Enforcement record
Issuance of Warning Letter disclosure naming 合同会社西理財
This page records one action from a Japanese government disclosure, including the published name, governing law, authority, action details, and official source.
Action type
Issuance of Warning Letter
Law
Financial Instruments and Exchange Act
Authority
Financial Services Agency and Local Finance Bureaus
Action date
1 June 2026
Current page: Enforcement record
This screen focuses on one disclosed action: the published name, governing law, authority, facts, source status, and review evidence.
Source verification
Public-source and preservation status
- Publishing authority
- Financial Services Agency and Local Finance Bureaus
- Official source URL
- Recorded by RegBase
- Entity match
- Not confirmed; shown under the published name
- Kiroku preservation
- Completed archive verified
- Captured: Jun 20, 2026, 03:31 AM JST
“Confirmed” means that RegBase matched this record to the cited public disclosure or entity under the stated checks. It does not verify the truth of the disclosure or guarantee the entity’s current status, creditworthiness, or any legal conclusion.
Open the official source links in the section below to review the original disclosure.
Action summary
- Company
- 合同会社西理財Japanese onlyOriginal: 合同会社西理財
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Issuance of Warning Letter警告書発出
- Action date
- 1 June 2026
- Issuing authority
- Financial Services Agency and Local Finance Bureaus金融庁・財務局
- Industry context
- 無登録金融商品取引業者（国内）
Violation
Global Bridge Fund LLC (hereinafter referred to as the 'Issuer') engaged in the solicitation or handling of securities called the Muse Marketing Fund Series, which are small-scale private bonds. The company and its agents explained the product content, application procedures, and deadlines related to the securities called the Muse Marketing Fund Series, and received commissions paid upon the formation of contracts with the issuer. The issuer and the company stated that they could not comprehensively confirm what explanations were given to individual investors during solicitations conducted by third parties.
Show original Japanese text
グローバルブリッジファンド合同会社（以下「発行体」とする。）が発行する少人数私募債「ミュゼマーケティングファンドシリーズ」と称する有価証券の募集又は私募の取扱いを行っていたもの 当該業者は、自ら又は他者を介して「ミュゼマーケティングファンドシリーズ」と称する有価証券の商品内容、申込手順や期日などの取得申込手続に関する説明を行い、発行体から当該商品の契約成立と連動して支払われる報酬を得ていた。 なお、発行体及び当該業者は、自社以外の者が行う当該商品の勧誘に際し、個別の投資家に対してどのような説明がなされていたのかを網羅的に確認できていない旨を述べている。
Compliance context
Context neededThis is a public Japanese regulatory disclosure. The exact legal effect depends on the cited source and regulator.
Financial markets law covering securities, investment services, disclosure, and market conduct.
Review the original Japanese source and determine relevance to your counterparty-risk workflow.
This context is an operational aid for review workflows, not a credit opinion or legal conclusion.
Open original sources and verification detailsOfficial URL, direct PDF, and Kiroku archive
- Extracted at
- 2026-06-25T15:43:53.28+00:00
- Evidence checked
- 2026-09-27T20:33:03.378+00:00
- Archive captured
- 2026-06-19T18:31:06.606588+00:00
Show audit JSON
{
"record": {
"id": "3c05f9df-213d-4f46-9a62-8607fa41833a",
"url": "https://regbase.jp/en/enforcement/kinshoho-xi-li-cai-20260601",
"company_name_original": "合同会社西理財",
"company_name_registry": null,
"corporate_number": null,
"law": {
"ja": "金融商品取引法",
"en": "Financial Instruments and Exchange Act"
},
"action_type": {
"ja": "警告書発出",
"en": "Issuance of Warning Letter"
},
"authority": {
"ja": "金融庁・財務局",
"en": "Financial Services Agency and Local Finance Bureaus"
}
},
"entity_match": {
"status": "unresolved",
"confidence": 88,
"method": "nta_historical_strict_name_nationally_unique",
"method_label": "nta_historical_strict_name_nationally_unique",
"notes": "有力な法人候補がありますが、自動確定に必要な独立証拠が不足しています（nta_historical_strict_name_nationally_unique）。"
},
"review": {
"status": "needs_review",
"label": "Needs review"
},
"compliance_context": {
"severity": "Context needed",
"actionMeaning": "This is a public Japanese regulatory disclosure. The exact legal effect depends on the cited source and regulator.",
"practicalNote": "Review the original Japanese source and determine relevance to your counterparty-risk workflow.",
"lawContext": "Financial markets law covering securities, investment services, disclosure, and market conduct."
},
"evidence": {
"recordUrl": "https://regbase.jp/en/enforcement/kinshoho-xi-li-cai-20260601",
"officialSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/9fa660712el9kyh0",
"archivedSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
"archiveCapturedAt": "2026-06-19T18:31:06.606588+00:00",
"extractedAt": "2026-06-25T15:43:53.28+00:00",
"translatedAt": "2026-07-06T04:21:43.853+00:00",
"evidenceCheckedAt": "2026-09-27T20:33:03.378+00:00",
"generatedAt": "2026-09-28T12:58:35.612Z"
},
"limitations": [
"RegBase aggregates public Japanese government disclosures and does not provide a credit opinion.",
"English summaries are provided for reference. The original Japanese source is authoritative.",
"Possible or unresolved entity matches should be manually verified before use in a decision."
]
}The original Japanese disclosure is the authoritative record. Use possible or unresolved matches only as leads for manual review.
Language
日本語版を見る (Japanese)About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.