Enforcement record

Surcharge Payment Order disclosure naming ユー・エム・シー・エレクトロニクス株式会社

ユー・エム・シー・エレクトロニクス株式会社 (Financial Instruments and Exchange Act)

This page records one action from a Japanese government disclosure, including the published name, governing law, authority, action details, and official source.

Financial Instruments and Exchange ActFinancial Services AgencyGovernment disclosure9 April 2021

Action type

Surcharge Payment Order

Law

Financial Instruments and Exchange Act

Authority

Financial Services Agency

Action date

9 April 2021

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-YUEMUSIE-202607262115
Generated at: 27 July 2026 at 06:15
Record URL: https://regbase.jp/en/enforcement/kinshoho-yuemusierekutoronikusu-20210409

1. Review Summary

Disclosure name	ユー・エム・シー・エレクトロニクス株式会社	Corporate Number	Not stated in the disclosure
Enforcement record	1 record	Other confirmed records for this company	Outside this report's scope
Action date	9 April 2021	Authority	Financial Services Agency
Law	Financial Instruments and Exchange Act	Action type	Surcharge Payment Order
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	ユー・エム・シー・エレクトロニクス株式会社

3. Enforcement Record

Target name in disclosure	ユー・エム・シー・エレクトロニクス株式会社
Authority	Financial Services Agency (金融庁)
Law / action type	Financial Instruments and Exchange Act / Surcharge Payment Order
Action / announcement date	Action: 9 April 2021 / Announcement: 12 March 2026
English summary	The Financial Services Agency, based on a recommendation from the Securities and Exchange Surveillance Commission for a surcharge payment order related to false statements in securities reports by U.M.C. Electronics Co., Ltd., initiated adjudication procedures on February 2, 2021 (Reiwa 2nd year, case number 18, violation of the Financial Instruments and Exchange Act). The respondent submitted a statement acknowledging the facts listed in Article 178, Paragraph 1, Items 2 and 4 of the Financial Instruments and Exchange Act and the amount of surcharge payable. Following this, the adjudicator submitted a draft decision to order the payment of the surcharge based on Article 185-6 of the same Act. Accordingly, a decision was made as follows.
Original Japanese text	金融庁は、証券取引等監視委員会からユー・エム・シー・エレクトロニクス（株）における有価証券報告書等の虚偽記載の検査結果に基づく課徴金納付命令の勧告を受け、令和3年2月2日に審判手続開始の決定（令和2年度(判)第18号金融商品取引法違反審判事件）を行ったところ、被審人から課徴金に係る金融商品取引法（以下「金商法」といいます。）第１７８条第１項第２号及び第４号に掲げる事実並びに納付すべき課徴金の額を認める旨の答弁書の提出があり、これを受けた審判官から金商法第185条の6の規定に基づき、課徴金の納付を命ずる旨の決定案が提出されたことから、以下のとおり決定を行いました。
Financial / consumer impact	Penalty: ¥396M (¥396,150,000) / Affected amount: - / Affected consumers: Not recorded
Official source	https://www.fsa.go.jp/news/r2/shouken/20210409_3.html
Source archive	https://kiroku.today/a/acda275328hdjv29
Extraction / evidence timestamps	Extracted: 25 April 2026 at 08:27 / Evidence checked: 25 April 2026 at 08:27 / Archive captured: 12 July 2026 at 14:52

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

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Free report

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Preserved evidence by Kiroku

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Open preserved source and evidence pack

For developers: JSON integration details

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/api/v1/enforcements?company=%E3%83%A6%E3%83%BC%E3%83%BB%E3%82%A8%E3%83%A0%E3%83%BB%E3%82%B7%E3%83%BC%E3%83%BB%E3%82%A8%E3%83%AC%E3%82%AF%E3%83%88%E3%83%AD%E3%83%8B%E3%82%AF%E3%82%B9%E6%A0%AA%E5%BC%8F%E4%BC%9A%E7%A4%BE&limit=10

Open JSON Specs

Action summary

Company: ユー・エム・シー・エレクトロニクス株式会社Japanese only
Original: ユー・エム・シー・エレクトロニクス株式会社
Governing law: Financial Instruments and Exchange Act
金融商品取引法
Action type: Surcharge Payment Order
課徴金納付命令
Action date: 9 April 2021
Penalty: ¥396M (¥396,150,000)
Issuing authority: Financial Services Agency
金融庁

Violation

Machine-translated summary — verify against original

The Financial Services Agency, based on a recommendation from the Securities and Exchange Surveillance Commission for a surcharge payment order related to false statements in securities reports by U.M.C. Electronics Co., Ltd., initiated adjudication procedures on February 2, 2021 (Reiwa 2nd year, case number 18, violation of the Financial Instruments and Exchange Act). The respondent submitted a statement acknowledging the facts listed in Article 178, Paragraph 1, Items 2 and 4 of the Financial Instruments and Exchange Act and the amount of surcharge payable. Following this, the adjudicator submitted a draft decision to order the payment of the surcharge based on Article 185-6 of the same Act. Accordingly, a decision was made as follows.

Show original Japanese text

金融庁は、証券取引等監視委員会からユー・エム・シー・エレクトロニクス（株）における有価証券報告書等の虚偽記載の検査結果に基づく課徴金納付命令の勧告を受け、令和3年2月2日に審判手続開始の決定（令和2年度(判)第18号金融商品取引法違反審判事件）を行ったところ、被審人から課徴金に係る金融商品取引法（以下「金商法」といいます。）第１７８条第１項第２号及び第４号に掲げる事実並びに納付すべき課徴金の額を認める旨の答弁書の提出があり、これを受けた審判官から金商法第185条の6の規定に基づき、課徴金の納付を命ずる旨の決定案が提出されたことから、以下のとおり決定を行いました。

Compliance context

Medium-high

A formal administrative order requiring payment of a monetary surcharge.

Financial markets law covering securities, investment services, disclosure, and market conduct.

Review the amount, covered conduct, recurrence history, and remediation evidence before making a risk decision.

This context is an operational aid for review workflows, not a credit opinion or legal conclusion.

Evidence pack

Original Financial Services Agency source (Japanese)Open preserved source and evidence pack

Extracted at: 2026-04-24T23:27:22.505+00:00
Evidence checked: 2026-04-24T23:27:22.505+00:00
Archive captured: 2026-07-12T05:52:54.835794+00:00

Show audit JSON

{
  "record": {
    "id": "4ba1c0f5-6096-410f-a3ca-be3aa991386f",
    "url": "https://regbase.jp/en/enforcement/kinshoho-yuemusierekutoronikusu-20210409",
    "company_name_original": "ユー・エム・シー・エレクトロニクス株式会社",
    "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": "課徴金納付命令",
      "en": "Surcharge Payment Order"
    },
    "authority": {
      "ja": "金融庁",
      "en": "Financial Services Agency"
    }
  },
  "entity_match": {
    "status": "unresolved",
    "confidence": 85,
    "method": "nta_strict_name_nationally_unique",
    "method_label": "nta_strict_name_nationally_unique",
    "notes": "NTA full-download lookup found a nationally unique exact registered-name candidate (ユー・エム・シー・エレクトロニクス株式会社). No Corporate Number was present in the disclosure, so this remains a likely match."
  },
  "review": {
    "status": "unreviewed",
    "label": "Machine extracted"
  },
  "compliance_context": {
    "severity": "Medium-high",
    "actionMeaning": "A formal administrative order requiring payment of a monetary surcharge.",
    "practicalNote": "Review the amount, covered conduct, recurrence history, and remediation evidence before making a risk decision.",
    "lawContext": "Financial markets law covering securities, investment services, disclosure, and market conduct."
  },
  "evidence": {
    "recordUrl": "https://regbase.jp/en/enforcement/kinshoho-yuemusierekutoronikusu-20210409",
    "officialSourceUrl": "https://www.fsa.go.jp/news/r2/shouken/20210409_3.html",
    "officialDocumentUrl": null,
    "archiveUrl": "https://kiroku.today/a/acda275328hdjv29",
    "archivedSourceUrl": "https://www.fsa.go.jp/news/r2/shouken/20210409_3.html",
    "archiveCapturedAt": "2026-07-12T05:52:54.835794+00:00",
    "extractedAt": "2026-04-24T23:27:22.505+00:00",
    "translatedAt": "2026-05-01T06:44:38.679+00:00",
    "evidenceCheckedAt": "2026-04-24T23:27:22.505+00:00",
    "generatedAt": "2026-07-26T21:15:34.714Z"
  },
  "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.