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
3,047
Labor
1,837
FSA warnings
1,148
Travel
62
3,047 public records(page 131 of 153)
1 Sept 2014
Realtime Capital Markets Pty. Ltd.Government disclosure record
Engaged in solicitation of over-the-counter derivative transactions via the internet. The name of the representative is unknown. The service provided by the operator is called HIGHLOW Binary Option.
1 Sept 2014
リーガルメディエイション株式会社 代表取締役社長 AGovernment disclosure record
The entity was engaged in soliciting or private placement of funds (such as FX and stocks) via the internet. There are reports that the entity contacted individuals by phone to promote the fund and directed them to its website. The entity was accepting applications for a fund called [Legal Mediation Fund Investment Business Limited Liability Partnership] on its website.
1 Sept 2014
Optionrally Financial Services LtdGovernment disclosure record
Engaged in solicitation of over-the-counter derivative transactions via the internet. The name of the representative is unknown. The service provided by the business is called OPTIONRALLY.
1 Sept 2014
株式会社ESPLUS 代表清算人 AことBGovernment disclosure record
The company solicited many individual investors to acquire rights related to funds. Additionally, A instructed unregistered agents to conduct these solicitations. The agents were subject to a petition filed by the Securities and Exchange Surveillance Commission on September 12, 2014, seeking a court order to prohibit and cease violations of the Financial Instruments and Exchange Act, specifically operating without registration to solicit fund subscriptions or handle private placements.
1 Sept 2014
Stover LtdGovernment disclosure record
Engaged in solicitation of over-the-counter derivative transactions via the internet. The name of the representative is unknown. The service provided by the business is called Dynamic Trade.
1 Sept 2014
Juggernaut Capital Management Pte.Ltd japanese subsidiary（ジャガーノート） 代表者 AGovernment disclosure record
A contract was concluded in which investment decisions for over-the-counter derivatives transactions were entrusted, and funds were managed. It is reported that the operator proposed to manage funds if money was deposited, a contract was signed, money was deposited, and deposit receipts and management reports were sent.
1 Aug 2014
株式会社エネジックGovernment disclosure record
The entity sent solicitation materials and conducted募集 or private placement of a fund related to natural energy projects. The name of the representative is unknown. There is information that a document titled 'Social Mega Solar Citizen Fund Anonymous Partnership Guide' was received from the entity.
1 Aug 2014
株式会社ファインクリエイトGovernment disclosure record
The entity sent solicitation materials and conducted fundraising or private placement for a fund (overseas real estate). The name of the representative is unknown. It was reported that the entity received solicitation materials titled [Fund Prospectus Cosmos Fund] and an [Investment Business Limited Partnership Contract Application Form]. The entity falsely claimed to be a registered qualified institutional investor exception business operator.
1 Aug 2014
株式会社グランター 代表取締役 A BGovernment disclosure record
The representative director of GK Grandar and employee B solicited the opening of wrap accounts operated by a related company, leading to investment discretionary contracts with numerous individual investors and the related company. They also solicited other investors for shares of another related company and overseas funds. The entity was filed against by the Financial Instruments and Exchange Commission on August 6, 2014, for violations of the Financial Instruments and Exchange Act, including unregistered solicitation of fund offerings and private placements.
1 Aug 2014
株式会社大和コンサルタントGovernment disclosure record
A company sent solicitation materials and solicited the purchase of unlisted stocks. The company's representative's name is unknown. They sent a postcard titled 'We will take back unwanted claims,' and there are reports of a telephone solicitation for purchasing unlisted stocks. The company explained that解除費用 (release cost) is required for the purchase, which is false. The postcard falsely claimed a registration number similar to that of the Financial Bureau and stated that trading of non-performing loans would cease on April 30, 2014, under the Act against Unjustifiable Premiums and Misleading Representations, which is false. The solicitation materials are similar to those warned against in May and June 2014 for Mitsubishi Corporation and Urban Consulting Inc., respectively.
1 Jul 2014
株式会社ランドマークジャパン 代表取締役 AGovernment disclosure record
The entity engaged in handling stock offerings after sending solicitation materials. It is reported that the entity conducted telephone solicitations regarding IPOs, allocated stocks to investors, and sent documents requesting fund transfers. Additionally, the entity sent documents claiming that its business activities were prohibited by the relevant ministry's notice, but such a fact is not true.
1 Jul 2014
TradeXP LTDGovernment disclosure record
Engaged in solicitation of over-the-counter derivatives trading via the internet. The name of the representative is unknown. The service provided by the operator is called traderXP (TraderXP).
1 Jul 2014
コーディアル投資事業有限責任組合 無限責任組合員 AGovernment disclosure record
An entity sent solicitation materials and conducted fund recruitment or private placement. They received a [Cordial Fund Anonymous Partnership Contract Application Form] and a phone call, during which they were solicited to invest in the fund. The entity falsely claimed on the movie fund's website that they were a registered qualified institutional investor under the special exception registration.
1 Jul 2014
株式会社エコード 代表取締役 AGovernment disclosure record
The entity sent solicitation materials and conducted募集 or private placement of a fund related to solar power generation business.
1 Jul 2014
iGaitame Ltd.（アイガイタメ） CEO AGovernment disclosure record
Engaged in solicitation of over-the-counter derivative transactions via the internet.
1 Jul 2014
ATM Holdings Limited.Government disclosure record
An entity solicited over the internet for over-the-counter derivative transactions. The name of the representative is unknown. The service provided by the entity is called option99.com. There are reports that the entity cannot be contacted, and that after deposits via credit card, refunds are not issued even when requested. Other services provided by the entity include Binaryfx, FastBinary, and MY TRADE.
1 Jul 2014
C4C MARKETS LTD Director General AGovernment disclosure record
Engaged in soliciting over the internet for over-the-counter derivative transactions. The service provided by the entity is called [CAPITAL4C].
1 Jul 2014
株式会社Grant 代表取締役 A B CGovernment disclosure record
Between December 2011 and December 2013, A, the representative director of Grant Corporation, B, an associate of the company, and C, the representative director of G3 Corporation, solicited many individual investors to acquire overseas funds, using themselves or unregistered agents without registration for financial instruments business. The agents were subject to a petition filed by the Securities and Exchange Surveillance Commission on July 3, 2014, seeking a court order to prohibit and cease violations of the Financial Instruments and Exchange Act, specifically unregistered solicitation and handling of fund offerings or private placements.
1 Jul 2014
No.1 Limited （実質的所有者 A）Government disclosure record
The funds invested in the fund were managed using unlisted shares of a foreign company that owns a gold mine. This was revealed as a result of an inspection of G3 Corporation by the Securities and Exchange Surveillance Commission.
1 Jul 2014
株式会社オーバル 代表取締役 A(当時)Government disclosure record
The company, based on an agreement with G3 Corporation, allowed its employees and unregistered agents under its umbrella to use business cards bearing G3 Corporation's trade name to solicit investments in overseas funds under G3 Corporation's name. This was revealed through an inspection of G3 Corporation by the Securities and Exchange Surveillance Commission.
| Date | Company / operator | Source | Type | Summary |
|---|---|---|---|---|
| 1 Sept 2014 | Realtime Capital Markets Pty. Ltd. Government disclosure record | FSA unregistered operator warnings | Warning issued | Engaged in solicitation of over-the-counter derivative transactions via the internet. The name of the representative is unknown. The service provided by the operator is called HIGHLOW Binary Option. |
| 1 Sept 2014 | リーガルメディエイション株式会社 代表取締役社長 A Government disclosure record | FSA unregistered operator warnings | Warning issued | The entity was engaged in soliciting or private placement of funds (such as FX and stocks) via the internet. There are reports that the entity contacted individuals by phone to promote the fund and directed them to its website. The entity was accepting applications for a fund called [Legal Mediation Fund Investment Business Limited Liability Partnership] on its website. |
| 1 Sept 2014 | Optionrally Financial Services Ltd Government disclosure record | FSA unregistered operator warnings | Warning issued | Engaged in solicitation of over-the-counter derivative transactions via the internet. The name of the representative is unknown. The service provided by the business is called OPTIONRALLY. |
| 1 Sept 2014 | 株式会社ESPLUS 代表清算人 AことB Government disclosure record | FSA unregistered operator warnings | Warning issued | The company solicited many individual investors to acquire rights related to funds. Additionally, A instructed unregistered agents to conduct these solicitations. The agents were subject to a petition filed by the Securities and Exchange Surveillance Commission on September 12, 2014, seeking a court order to prohibit and cease violations of the Financial Instruments and Exchange Act, specifically operating without registration to solicit fund subscriptions or handle private placements. |
| 1 Sept 2014 | Stover Ltd Government disclosure record | FSA unregistered operator warnings | Warning issued | Engaged in solicitation of over-the-counter derivative transactions via the internet. The name of the representative is unknown. The service provided by the business is called Dynamic Trade. |
| 1 Sept 2014 | Juggernaut Capital Management Pte.Ltd japanese subsidiary（ジャガーノート） 代表者 A Government disclosure record | FSA unregistered operator warnings | Warning issued | A contract was concluded in which investment decisions for over-the-counter derivatives transactions were entrusted, and funds were managed. It is reported that the operator proposed to manage funds if money was deposited, a contract was signed, money was deposited, and deposit receipts and management reports were sent. |
| 1 Aug 2014 | 株式会社エネジック Government disclosure record | FSA unregistered operator warnings | Warning issued | The entity sent solicitation materials and conducted募集 or private placement of a fund related to natural energy projects. The name of the representative is unknown. There is information that a document titled 'Social Mega Solar Citizen Fund Anonymous Partnership Guide' was received from the entity. |
| 1 Aug 2014 | 株式会社ファインクリエイト Government disclosure record | FSA unregistered operator warnings | Warning issued | The entity sent solicitation materials and conducted fundraising or private placement for a fund (overseas real estate). The name of the representative is unknown. It was reported that the entity received solicitation materials titled [Fund Prospectus Cosmos Fund] and an [Investment Business Limited Partnership Contract Application Form]. The entity falsely claimed to be a registered qualified institutional investor exception business operator. |
| 1 Aug 2014 | 株式会社グランター 代表取締役 A B Government disclosure record | FSA unregistered operator warnings | Warning issued | The representative director of GK Grandar and employee B solicited the opening of wrap accounts operated by a related company, leading to investment discretionary contracts with numerous individual investors and the related company. They also solicited other investors for shares of another related company and overseas funds. The entity was filed against by the Financial Instruments and Exchange Commission on August 6, 2014, for violations of the Financial Instruments and Exchange Act, including unregistered solicitation of fund offerings and private placements. |
| 1 Aug 2014 | 株式会社大和コンサルタント Government disclosure record | FSA unregistered operator warnings | Warning issued | A company sent solicitation materials and solicited the purchase of unlisted stocks. The company's representative's name is unknown. They sent a postcard titled 'We will take back unwanted claims,' and there are reports of a telephone solicitation for purchasing unlisted stocks. The company explained that解除費用 (release cost) is required for the purchase, which is false. The postcard falsely claimed a registration number similar to that of the Financial Bureau and stated that trading of non-performing loans would cease on April 30, 2014, under the Act against Unjustifiable Premiums and Misleading Representations, which is false. The solicitation materials are similar to those warned against in May and June 2014 for Mitsubishi Corporation and Urban Consulting Inc., respectively. |
| 1 Jul 2014 | 株式会社ランドマークジャパン 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | The entity engaged in handling stock offerings after sending solicitation materials. It is reported that the entity conducted telephone solicitations regarding IPOs, allocated stocks to investors, and sent documents requesting fund transfers. Additionally, the entity sent documents claiming that its business activities were prohibited by the relevant ministry's notice, but such a fact is not true. |
| 1 Jul 2014 | TradeXP LTD Government disclosure record | FSA unregistered operator warnings | Warning issued | Engaged in solicitation of over-the-counter derivatives trading via the internet. The name of the representative is unknown. The service provided by the operator is called traderXP (TraderXP). |
| 1 Jul 2014 | コーディアル投資事業有限責任組合 無限責任組合員 A Government disclosure record | FSA unregistered operator warnings | Warning issued | An entity sent solicitation materials and conducted fund recruitment or private placement. They received a [Cordial Fund Anonymous Partnership Contract Application Form] and a phone call, during which they were solicited to invest in the fund. The entity falsely claimed on the movie fund's website that they were a registered qualified institutional investor under the special exception registration. |
| 1 Jul 2014 | 株式会社エコード 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | The entity sent solicitation materials and conducted募集 or private placement of a fund related to solar power generation business. |
| 1 Jul 2014 | iGaitame Ltd.（アイガイタメ） CEO A Government disclosure record | FSA unregistered operator warnings | Warning issued | Engaged in solicitation of over-the-counter derivative transactions via the internet. |
| 1 Jul 2014 | ATM Holdings Limited. Government disclosure record | FSA unregistered operator warnings | Warning issued | An entity solicited over the internet for over-the-counter derivative transactions. The name of the representative is unknown. The service provided by the entity is called option99.com. There are reports that the entity cannot be contacted, and that after deposits via credit card, refunds are not issued even when requested. Other services provided by the entity include Binaryfx, FastBinary, and MY TRADE. |
| 1 Jul 2014 | C4C MARKETS LTD Director General A 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 entity is called [CAPITAL4C]. |
| 1 Jul 2014 | 株式会社Grant 代表取締役 A B C Government disclosure record | FSA unregistered operator warnings | Warning issued | Between December 2011 and December 2013, A, the representative director of Grant Corporation, B, an associate of the company, and C, the representative director of G3 Corporation, solicited many individual investors to acquire overseas funds, using themselves or unregistered agents without registration for financial instruments business. The agents were subject to a petition filed by the Securities and Exchange Surveillance Commission on July 3, 2014, seeking a court order to prohibit and cease violations of the Financial Instruments and Exchange Act, specifically unregistered solicitation and handling of fund offerings or private placements. |
| 1 Jul 2014 | No.1 Limited （実質的所有者 A） Government disclosure record | FSA unregistered operator warnings | Warning issued | The funds invested in the fund were managed using unlisted shares of a foreign company that owns a gold mine. This was revealed as a result of an inspection of G3 Corporation by the Securities and Exchange Surveillance Commission. |
| 1 Jul 2014 | 株式会社オーバル 代表取締役 A(当時) Government disclosure record | FSA unregistered operator warnings | Warning issued | The company, based on an agreement with G3 Corporation, allowed its employees and unregistered agents under its umbrella to use business cards bearing G3 Corporation's trade name to solicit investments in overseas funds under G3 Corporation's name. This was revealed through an inspection of G3 Corporation by the Securities and Exchange Surveillance Commission. |
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.