Public risk disclosures
Search public Japanese government disclosures that name companies or operators even when the record is not a standard administrative enforcement action. Coverage includes labor standards violation disclosures, FSA warnings for unregistered financial operators, and travel agency sanctions.
Total
3,143
Labor
1,923
FSA warnings
1,158
Travel
62
3,143 public records(page 116 of 158)
1 Jan 2020
United Private Partners LimitedGovernment disclosure record
The entity was soliciting over the internet for over-the-counter derivative transactions. The service provided by the entity is called [KYBALION FX].
1 Jan 2020
Forex Express Ltd.Government disclosure record
Engaged in soliciting over the internet for over-the-counter derivative transactions. The service provided by the company is called [Forex Express].
1 Jan 2020
TritonFX Ltd.Government disclosure record
Engaged in solicitation of over-the-counter derivative transactions via the internet. The service provided by the entity is called TritonFX.
1 Jan 2020
SVODA GLOBAL MARKETS PTY LIMITEDGovernment disclosure record
Engaged in soliciting over the internet for over-the-counter derivative transactions. The service provided by the operator is called [SVOFX].
1 Dec 2019
株式会社サン （代表取締役 A）Government disclosure record
B (Trade Master Lab), an investment advisory and agency business, used its name to conduct investment advisory activities based on an investment advisory contract. The authorities' inspection revealed that B allowed an unregistered company, Sun Co., Ltd., to use B’s name to provide investment advice regarding the timing and prices of trades in Nikkei 225 options.
1 Dec 2019
AGovernment disclosure record
B (Trade Master Lab), an investment advisory and agency business, used its name to conduct investment advisory activities based on an investment advisory contract. The authorities' inspection revealed that B had allowed an unregistered entity, A, to use B's name to provide investment advice regarding the timing and prices of Nikkei 225 options trading.
1 Dec 2019
山根 晋爾Government disclosure record
A person used the name of Katsumi Horita (Trade Master Lab), an investment advisory and agency business operator, to conduct investment advisory activities based on an investment advisory contract. The authorities' inspection revealed that Horita allowed Shinji Yamane, who was not registered for financial instruments business, to use Horita's name to provide investment advice regarding the timing and prices of Nikkei 225 options trading.
1 Dec 2019
株式会社サン （代表取締役 池田勇太郎）Government disclosure record
Hottoda Katsumi (Trade Master Lab), an investment advisor and agent, was found to have used his name to conduct investment advisory activities based on an investment advisory contract. The authorities' inspection revealed that Hottoda allowed Sun Corporation, which is not registered as a financial instruments business operator, to use his name to provide investment advice regarding the timing and prices of Nikkei 225 options trading.
1 Nov 2019
Virtue Technology Inc.Government disclosure record
Engaged in soliciting over the internet for over-the-counter derivatives trading. The service provided by the entity is called [Virtue Forex].
1 Nov 2019
Roger Templeton NY Ltd.Government disclosure record
Engaged in solicitation of over-the-counter derivative transactions via the internet. The service provided by the entity is named [Roger Templeton NY].
1 Oct 2019
binary option breakGovernment disclosure record
The entity conducted over-the-counter derivative transactions via the internet. The service provided by the entity is called [binary option break, bobreak.com].
1 Oct 2019
HLMI LtdGovernment disclosure record
Engaged in solicitation of over-the-counter derivative transactions via the internet. The service provided by the company is called [HighLow, HIGHLOW.COM].
1 Sept 2019
STAGEGovernment disclosure record
An entity provided investment advisory services via the internet under the name [STAGE], based on an investment advisory contract. There is information that the entity was introduced by YI Consulting Co., Ltd. through email.
1 Aug 2019
Salvax LimitedGovernment disclosure record
Engaged in solicitation of over-the-counter derivative transactions via the internet. The service provided by the company is called [FXSuit].
1 Aug 2019
Red Blue Systems LtdGovernment disclosure record
The entity was soliciting over the internet for over-the-counter derivative transactions. The services provided by the entity are named [8MAX, EIGHT MAX TRADING].
1 Aug 2019
Bright Friends Limited.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
TI Securities LimitedGovernment 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
IFP Tokyo株式会社 代表取締役 AGovernment 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
IFP Tokyo株式会社 代表取締役 堀越健太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
Starkwood LimitedGovernment 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.
| Date | Company / operator | Source | Type | Summary |
|---|---|---|---|---|
| 1 Jan 2020 | United Private Partners Limited Government disclosure record | FSA unregistered operator warnings | Warning issued | The entity was soliciting over the internet for over-the-counter derivative transactions. The service provided by the entity is called [KYBALION FX]. |
| 1 Jan 2020 | Forex Express Ltd. Government disclosure record | FSA unregistered operator warnings | Warning issued | Engaged in soliciting over the internet for over-the-counter derivative transactions. The service provided by the company is called [Forex Express]. |
| 1 Jan 2020 | TritonFX Ltd. Government disclosure record | FSA unregistered operator warnings | Warning issued | Engaged in solicitation of over-the-counter derivative transactions via the internet. The service provided by the entity is called TritonFX. |
| 1 Jan 2020 | SVODA GLOBAL MARKETS PTY LIMITED Government disclosure record | FSA unregistered operator warnings | Warning issued | Engaged in soliciting over the internet for over-the-counter derivative transactions. The service provided by the operator is called [SVOFX]. |
| 1 Dec 2019 | 株式会社サン （代表取締役 A） Government disclosure record | FSA unregistered operator warnings | Warning issued | B (Trade Master Lab), an investment advisory and agency business, used its name to conduct investment advisory activities based on an investment advisory contract. The authorities' inspection revealed that B allowed an unregistered company, Sun Co., Ltd., to use B’s name to provide investment advice regarding the timing and prices of trades in Nikkei 225 options. |
| 1 Dec 2019 | A Government disclosure record | FSA unregistered operator warnings | Warning issued | B (Trade Master Lab), an investment advisory and agency business, used its name to conduct investment advisory activities based on an investment advisory contract. The authorities' inspection revealed that B had allowed an unregistered entity, A, to use B's name to provide investment advice regarding the timing and prices of Nikkei 225 options trading. |
| 1 Dec 2019 | 山根 晋爾 Government disclosure record | FSA unregistered operator warnings | Warning issued | A person used the name of Katsumi Horita (Trade Master Lab), an investment advisory and agency business operator, to conduct investment advisory activities based on an investment advisory contract. The authorities' inspection revealed that Horita allowed Shinji Yamane, who was not registered for financial instruments business, to use Horita's name to provide investment advice regarding the timing and prices of Nikkei 225 options trading. |
| 1 Dec 2019 | 株式会社サン （代表取締役 池田勇太郎） Government disclosure record | FSA unregistered operator warnings | Warning issued | Hottoda Katsumi (Trade Master Lab), an investment advisor and agent, was found to have used his name to conduct investment advisory activities based on an investment advisory contract. The authorities' inspection revealed that Hottoda allowed Sun Corporation, which is not registered as a financial instruments business operator, to use his name to provide investment advice regarding the timing and prices of Nikkei 225 options trading. |
| 1 Nov 2019 | Virtue Technology Inc. Government disclosure record | FSA unregistered operator warnings | Warning issued | Engaged in soliciting over the internet for over-the-counter derivatives trading. The service provided by the entity is called [Virtue Forex]. |
| 1 Nov 2019 | Roger Templeton NY Ltd. Government disclosure record | FSA unregistered operator warnings | Warning issued | Engaged in solicitation of over-the-counter derivative transactions via the internet. The service provided by the entity is named [Roger Templeton NY]. |
| 1 Oct 2019 | binary option break Government disclosure record | FSA unregistered operator warnings | Warning issued | The entity conducted over-the-counter derivative transactions via the internet. The service provided by the entity is called [binary option break, bobreak.com]. |
| 1 Oct 2019 | HLMI Ltd Government disclosure record | FSA unregistered operator warnings | Warning issued | Engaged in solicitation of over-the-counter derivative transactions via the internet. The service provided by the company is called [HighLow, HIGHLOW.COM]. |
| 1 Sept 2019 | STAGE Government disclosure record | FSA unregistered operator warnings | Warning issued | An entity provided investment advisory services via the internet under the name [STAGE], based on an investment advisory contract. There is information that the entity was introduced by YI Consulting Co., Ltd. through email. |
| 1 Aug 2019 | Salvax Limited Government disclosure record | FSA unregistered operator warnings | Warning issued | Engaged in solicitation of over-the-counter derivative transactions via the internet. The service provided by the company is called [FXSuit]. |
| 1 Aug 2019 | Red Blue Systems Ltd Government disclosure record | FSA unregistered operator warnings | Warning issued | The entity was soliciting over the internet for over-the-counter derivative transactions. The services provided by the entity are named [8MAX, EIGHT MAX TRADING]. |
| 1 Aug 2019 | Bright Friends Limited. Government disclosure record | FSA unregistered operator warnings | Warning issued | 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 | TI Securities Limited Government disclosure record | FSA unregistered operator warnings | Warning issued | 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 | IFP Tokyo株式会社 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | 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 | IFP Tokyo株式会社 代表取締役 堀越健太 Government disclosure record | FSA unregistered operator warnings | Warning issued | 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 | Starkwood Limited Government disclosure record | FSA unregistered operator warnings | Warning issued | 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. |
Important context
This list aggregates public Japanese government disclosures. It is not a sanctions list, credit report, legal opinion, or procurement approval system. Verify material records against the linked original Japanese source before making any compliance, credit, or legal decision.