Enforcement record
Issuance of Warning Letter disclosure naming ヤマト投資事業組合 代表 A
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 March 2013
RegBase evidence report
Japanese public-record enforcement check
Saveable record of the published action, regulator source, source status, and review notes for internal compliance files.
- Report ID
- RB-EN-ENFORCEMENT-KINSHOHO-YAMATOTO-202608141736
- Generated at
- 15 August 2026 at 02:36
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-yamatotou-zi-shi-ye-zu-he-dai-biao-a-20130301
1. Review Summary
| Disclosure name | ヤマト投資事業組合 代表 A | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 1 March 2013 | Authority | Financial Services Agency and Local Finance Bureaus |
| Law | Financial Instruments and Exchange Act | Action type | Issuance of Warning Letter |
| Source status | Preserved public-source archive recorded | ||
This report summarizes public Japanese government disclosure data held by RegBase. It is not a credit score, sanctions conclusion, legal opinion, or adverse-media determination. Confirm important decisions against the linked official Japanese source.
2. Published Information
| Published name | ヤマト投資事業組合 代表 A |
|---|
3. Enforcement Record
| Target name in disclosure | ヤマト投資事業組合 代表 A |
|---|---|
| Authority | Financial Services Agency and Local Finance Bureaus (金融庁・財務局) |
| Law / action type | Financial Instruments and Exchange Act / Issuance of Warning Letter |
| Action / announcement date | Action: 1 March 2013 / Announcement: 1 March 2013 |
| English summary | Engaged in soliciting and handling stock offerings or private placements after sending solicitation materials, while falsely claiming to have a registration number similar to [Kanto Local Finance Bureau (Kinsho) No. 177]. The address is the same as that of [Global Vision Corporation], which was issued a warning on November 15, 2012. |
| Original Japanese text | 勧誘資料等を送付したうえで、株式の募集又は私募の取扱いを行っていたもの。 関東財務局の登録番号に類似した「関東財務局（金商）177号」を騙っていた。 また、所在地は、平成24年11月15日付で警告書を発出した「グローバルビジョン株式会社」と同一である。 |
| Official source | https://www.fsa.go.jp/ordinary/chuui/mutouroku.html |
| Source archive | https://kiroku.today/a/9fa660712e7967kc |
| Extraction / evidence timestamps | Extracted: 15 May 2026 at 06:13 / Evidence checked: 14 August 2026 at 23:54 / Archive captured: 16 May 2026 at 03:30 |
4. Business Location and Permit Details
No additional structured business-location or permit fields are recorded for this disclosure.
5. Other Confirmed Records for This Company
This report covers the single government disclosure shown on this page.
Reviewer Notes
| Reviewer | Team / company | ||
|---|---|---|---|
| Review purpose | |||
| Additional notes | |||
- □ Official source URL or archived source was checked.
- □ Corporate Number, address, or other identifiers were reviewed to avoid confusing similarly named entities.
- □ This document is understood as a public-record evidence file, not a credit decision or legal opinion.
Current page: Enforcement record
This screen focuses on one disclosed action: the published name, governing law, authority, facts, source status, and review evidence.
Free report
Save the disclosure record naming ヤマト投資事業組合 代表 A
Includes the published name, regulator, governing law, source links, archive status, and reviewer note fields for internal due-diligence files.
Preserved evidence by Kiroku
Review the preserved source for ヤマト投資事業組合 代表 A
Open the preserved public source with its capture time, original artifact, available verification data, and downloadable evidence pack.
For developers: JSON integration details
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Action summary
- Company
- ヤマト投資事業組合 代表 AJapanese onlyOriginal: ヤマト投資事業組合 代表 A
- 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 March 2013
- 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
Engaged in soliciting and handling stock offerings or private placements after sending solicitation materials, while falsely claiming to have a registration number similar to [Kanto Local Finance Bureau (Kinsho) No. 177]. The address is the same as that of [Global Vision Corporation], which was issued a warning on November 15, 2012.
Show original Japanese text
勧誘資料等を送付したうえで、株式の募集又は私募の取扱いを行っていたもの。 関東財務局の登録番号に類似した「関東財務局（金商）177号」を騙っていた。 また、所在地は、平成24年11月15日付で警告書を発出した「グローバルビジョン株式会社」と同一である。
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.
Evidence pack
- Extracted at
- 2026-05-14T21:13:26.087+00:00
- Evidence checked
- 2026-08-14T14:54:36.182+00:00
- Archive captured
- 2026-05-15T18:30:47.935052+00:00
Show audit JSON
{
"record": {
"id": "f66ee63c-47f1-46b9-b0fe-98d6d033ee81",
"url": "https://regbase.jp/en/enforcement/kinshoho-yamatotou-zi-shi-ye-zu-he-dai-biao-a-20130301",
"company_name_original": "ヤマト投資事業組合 代表 A",
"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": 60,
"method": "source_name_only_no_registry_match",
"method_label": "source_name_only_no_registry_match",
"notes": "公表資料の名称は収録しましたが、法人番号へ安全に結び付ける独立証拠が不足しています。"
},
"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-yamatotou-zi-shi-ye-zu-he-dai-biao-a-20130301",
"officialSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/9fa660712e7967kc",
"archivedSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
"archiveCapturedAt": "2026-05-15T18:30:47.935052+00:00",
"extractedAt": "2026-05-14T21:13:26.087+00:00",
"translatedAt": "2026-07-06T04:20:39.789+00:00",
"evidenceCheckedAt": "2026-08-14T14:54:36.182+00:00",
"generatedAt": "2026-08-14T17:36:29.810Z"
},
"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.