Possible 警告書発出 against 相澤良

相澤良 (Financial Instruments and Exchange Act)

Financial Instruments and Exchange Act金融庁・財務局Possible entity matchDecember 1, 2025

Action summary

Company: 相澤良Japanese only
Original: 相澤良
Entity match: Possible entity match60/100Machine extracted
Company name extracted from the Japanese public disclosure
Governing law: Financial Instruments and Exchange Act
金融商品取引法
Action type: 警告書発出
警告書発出
Action date: December 1, 2025
Issuing authority: 金融庁・財務局
金融庁・財務局

Violation

Show original Japanese text

みなし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者が、合同会社の業務執行社員ではないにもかかわらず第二種金融商品取引業の登録がないまま合同会社社員権の募集又は私募の取扱い等を行っていたことが判明したもの。

Compliance context

Context needed

This 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.

Evidence pack

Original 金融庁・財務局 announcement (Japanese)

Extracted at: 2026-05-14T21:13:26.083+00:00
Evidence checked: Not recorded
Archive captured: Not archived

Show audit JSON

{
  "record": {
    "id": "49fe5a71-6f07-4872-9e10-31ab748a596e",
    "url": "https://regbase.jp/en/enforcement/kinshoho-xiang-ze-liang-20251201",
    "company_name_original": "相澤 良",
    "company_name_registry": "相澤 良",
    "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": "警告書発出"
    },
    "authority": {
      "ja": "金融庁・財務局",
      "en": "金融庁・財務局"
    }
  },
  "entity_match": {
    "status": "possible",
    "confidence": 60,
    "method": "extracted_japanese_name",
    "method_label": "Company name extracted from the Japanese public disclosure",
    "notes": null
  },
  "review": {
    "status": "unreviewed",
    "label": "Machine extracted"
  },
  "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-xiang-ze-liang-20251201",
    "officialSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
    "archiveUrl": null,
    "archiveCapturedAt": null,
    "extractedAt": "2026-05-14T21:13:26.083+00:00",
    "translatedAt": null,
    "evidenceCheckedAt": null,
    "generatedAt": "2026-05-15T01:38:29.325Z"
  },
  "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.

Watch this company

Get an email when 相澤良 has new enforcement actions or registry changes (representative, address, business status). Sign-in is via a one-time email link — no password.

Language

日本語版を見る (Japanese)

Company info

English name: 相澤良 Japanese only
Japanese name: 相澤良

See company profile →

About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.

Possible 警告書発出 against 相澤 良