Surcharge Payment Order against 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)

Financial Instruments and Exchange ActFinancial Services AgencyConfirmed entity match9 April 2021

For developers: integration details

You do not need this for normal browsing. Use it when integrating this enforcement record into an internal tool or AI workflow.

/api/v1/enforcements?corporate_number=1030001044117&limit=10

Open API response API docs

Action summary

Company: ユー・エム・シー・エレクトロニクス株式会社Japanese original
Original: ユー・エム・シー・エレクトロニクス株式会社
Corporate Number: 1030001044117
Entity match: Confirmed entity match95/100Machine extracted
Normalized Japanese name matched to a company profile with Corporate Number
Matched by normalized Japanese company name to an enriched company profile with a Corporate Number.
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 announcement (Japanese)Archived source snapshot

Extracted at: 2026-04-24T23:27:22.505+00:00
Evidence checked: 2026-04-24T23:27:22.505+00:00
Archive captured: 2026-04-05T12:30:44.145+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": "ユー・エム・シー・エレクトロニクス株式会社",
    "corporate_number": "1030001044117",
    "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": "confirmed",
    "confidence": 95,
    "method": "normalized_name_with_corporate_number",
    "method_label": "Normalized Japanese name matched to a company profile with Corporate Number",
    "notes": "Matched by normalized Japanese company name to an enriched company profile with a Corporate Number."
  },
  "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",
    "archiveUrl": "https://kiroku.today/view/acda275328lqpaws",
    "archiveCapturedAt": "2026-04-05T12:30:44.145+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": "2026-05-20T22:58:19.067Z"
  },
  "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)

Company info

English name: ユー・エム・シー・エレクトロニクス株式会社 Japanese original
Japanese name: ユー・エム・シー・エレクトロニクス株式会社
Corporate Number: 1030001044117
Registered address: 埼玉県上尾市大字瓦葺７２１番地

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.