Japan Public Risk Disclosures

1 Aug 2019

Government disclosure record

D.U.corporation entered into a contract to delegate investment decisions for over-the-counter derivative transactions and managed funds. They solicited and purchased a foreign exchange automatic trading system from Royal Tree Capital Singapore Pte. Ltd., and were reportedly asked to agree to terms that included delegating final investment decisions and authority to the provider. The company was found to have violated the Financial Instruments and Exchange Act following an investigation by the Financial Services Agency, which requested a court to issue an order to prohibit and suspend the conduct. The court issued an order as requested.

1 Aug 2019

Government disclosure record

The entity was soliciting over the internet for over-the-counter derivative transactions. The service name provided by the entity is [TITAN FX, Titan FX, タイタンFX], which is the same as the service name offered by [Titan FX Limited], which was issued a warning on August 7, 2015.

1 Jul 2019

Government disclosure record

The entity was engaged in soliciting or handling private placements of funds. On July 30, 2019, the Financial Instruments and Exchange Surveillance Commission filed a petition with the court to prohibit and cease the entity's violation of the Financial Instruments and Exchange Act by engaging in fund solicitation or private placement handling without registration.

1 Jul 2019

Government disclosure record

An entity was engaged in soliciting and handling the募集 or private placement of a fund after sending solicitation materials. The entity reportedly entered into a partnership program agreement with SDD HOLDINGS PTE.LTD. regarding customer introductions for the fund titled [SWAP Arbitrage Diversified Program], issued by SDD Asset Management Limited, and conducted募集 or private placement based on this agreement. On March 29, 2019, warnings were issued to SDD Asset Management Limited and SDD HOLDINGS PTE.LTD. for conducting financial instruments business without registration.

1 Jul 2019

Government disclosure record

A firm was engaged in soliciting and handling the募集 or private placement of a fund, sending solicitation materials. The firm reportedly entered into a partnership program agreement with SDD HOLDINGS PTE.LTD. regarding customer introductions for the fund titled [SWAP Arbitrage Diversified Program], issued by SDD Asset Management Limited, and conducted募集 or private placement activities based on this agreement. On March 29, 2019, the firm and SDD HOLDINGS PTE.LTD. were warned for conducting financial instruments business without registration.

1 Jul 2019

Government disclosure record

The respondent was engaged in soliciting or handling private placements of funds. On July 30, 2019, the Financial Instruments and Exchange Surveillance Commission filed a petition with the court to prohibit and cease the respondent's violation of the Financial Instruments and Exchange Act by engaging in fund solicitation or private placement handling without registration.

1 Jul 2019

Government disclosure record

A firm was engaged in soliciting and handling the募集 or private placement of a fund, sending solicitation materials. The firm reportedly entered into a partnership program contract with SDD HOLDINGS PTE.LTD. regarding customer introduction, related to the fund titled [SWAP Arbitrage Diversified Program], with SDD Asset Management Limited as the issuing responsible party. On March 29, 2019, warnings were issued to SDD Asset Management Limited and SDD HOLDINGS PTE.LTD. for conducting financial instruments business without registration.

1 Jun 2019

Government disclosure record

The company, Tokai Investment Advisory Service LLC, was found to have engaged in investment advisory activities under its name through an unregistered entity, by allowing the unregistered entity to use its name to conclude investment advisory contracts with clients and to send investment advice via email regarding the timing and prices of domestic stock transactions.

1 Jun 2019

Government disclosure record

An entity that mediated the conclusion of investment discretionary contracts. On June 26, 2019, the Financial Instruments and Exchange Surveillance Commission filed a petition with the court to prohibit and cease the entity's violation of the Financial Instruments and Exchange Act by engaging in unregistered mediation of investment discretionary contracts.

1 May 2019

Government disclosure record

Engaged in solicitation for intermediation of over-the-counter derivative transactions via the internet. The service provided by the company is called [FXRoyalCashBack].

1 Mar 2019

Government disclosure record

The Kinki Financial Bureau issued warnings to SDD Asset Management Limited and related entities for conducting unregistered financial instruments business and handling fund solicitations based on partnership agreements with residents of Japan. The warnings were issued on March 29, 2019. The fund involved is titled [SWAP Arbitrage Diversified Program], and related promotional materials and bank transfer information have been reported.

1 Mar 2019

Government disclosure record

A person sent solicitation materials and conducted fund recruitment or private placement for a fund titled [SWAP Arbitrage Diversified Program], with the fund's responsible operator. They distributed solicitation materials, requested submission of an application form, and received transfers of investment funds into bank accounts under the names of SDD Investment Inc. and SDD Holdings Japan Branch. The authorities and the Kinki Financial Bureau issued a warning on March 29, 2019, to those handling the recruitment or private placement of the fund, for conducting financial instruments business without registration. Additionally, the [FX-Heart] service operated by SDD Partners Limited is the same as the service name provided by PLT Company Limited, which was warned by the authorities on April 28, 2017.

1 Mar 2019

Government disclosure record

Engaged in soliciting advice based on investment advisory contracts via the internet. The service provided by the company is called [Solution].

1 Mar 2019

Government disclosure record

Engaged in soliciting advice based on investment advisory contracts via the internet. The name of the service provided by the business is [Number].

1 Mar 2019

Government disclosure record

The entity sent solicitation materials and conducted fund募集 or private placement, and engaged in the operation of funds received from investments (FX). It is reported that the entity received investment solicitation from the operator for products operated via FX, and was provided with materials titled [Fund Plan Contract] and [FX Business Fund Plan Guide].

1 Mar 2019

Government disclosure record

The Kanto Local Finance Bureau issued warnings on March 29, 2019, to SDD HOLDINGS PTE.LTD. and SDD Asset Management Limited for conducting financial instruments business without registration. The involved company used solicitation materials and a business card from Kawashima First-Class FP Office in their solicitation activities related to a fund called [SWAP Arbitrage Diversified Program], which was managed under a partnership agreement with SDD HOLDINGS PTE.LTD.

1 Feb 2019

Government disclosure record

The operator was soliciting over the internet for over-the-counter derivative transactions. The services provided by the operator are named [THE BINARY] and [J.E.T OPTION (added on August 30, 2019)].

1 Feb 2019

Government disclosure record

The entity solicited advice based on investment advisory contracts via the internet. The services provided by the entity are named [BIZ, Biz, and Kabushiki Joho Site BIZ].

1 Feb 2019

Government disclosure record

Engaged in soliciting advice based on investment advisory contracts via the internet. The services provided by the company are named [Kabu Navi, Kabu Navigation].

1 Feb 2019

Government disclosure record

The entity was soliciting advice based on an investment advisory contract via the internet. The service provided by the entity is called [FINANCE, Finance].