Enforcement record
Issuance of Warning Letter disclosure naming 朝日トレード株式会社
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 May 2014
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
- Saved content requires review
- Captured: May 16, 2026, 03:30 AM JST
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Action summary
- Company
- 朝日トレード株式会社Japanese onlyOriginal: 朝日トレード株式会社
- 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 May 2014
- 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
Sent solicitation materials and handled the solicitation of investment trusts (foreign bond funds). The name of the representative is unknown. The solicitation materials were forged copies of genuine securities company sales materials and falsely claimed to be from Mizuho Securities Co., Ltd., a registered financial instruments business operator with registration number Kanto Finance Bureau Director (Kinsho) No. 94. It is reported that solicitation materials were sent by the relevant company, and subsequently, there was an offer to purchase solicitation materials from another company.
Show original Japanese text
勧誘資料等を送付したうえで、投資信託（外国債券ファンド）の募集の取扱いを行っていたもの。 代表者等の氏名は「不明」。 勧誘資料は実在する証券会社の販売用資料を偽造したものであり、また、登録を受けた金融商品取引業者である「みずほ証券株式会社」の登録番号「関東財務局長（金商）第94号」を騙っていた。 当該業者から勧誘資料が送られ、その後、他の会社から勧誘資料を買い取る旨の勧誘を受けたとの情報が寄せられている。
Public documents and saved materials
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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.
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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.