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 141 of 158)
1 Feb 2014
TD Direct Investing証券株式会社 代表取締役社長 AGovernment disclosure record
Sent solicitation materials claiming to facilitate trading of unlisted stocks, while impersonating the registration number of the Kanto Finance Bureau. Used the word 'Securities' in the name but is not a registered securities company under the Financial Instruments and Exchange Act.
1 Feb 2014
株式会社ひまわりネット 代表取締役社長 AGovernment disclosure record
Sent solicitation materials and handled the offering or private placement of shares. The solicitation materials are similar to those of Business Gate Corporation, which issued a warning on February 25, 2013, and Nadeshiko Group Corporation, which issued a warning on January 22, 2014.
1 Jan 2014
株式会社大和サポート 代表取締役 AGovernment disclosure record
A company displayed and sent information indicating it conducts Type 1 or Type 2 Financial Instruments Business and Investment Management Business. Subsequently, a document titled [Application for Payment of Damage Recovery Distribution Money] was sent from the company, and there was information that the company later solicited damage recovery over the phone.
1 Jan 2014
株式会社ライフサイクル 代表取締役 AGovernment disclosure record
Sent solicitation materials and conducted募集 or private placement for a fund (solar power generation project).
1 Jan 2014
株式会社スマートインベストメント 代表取締役 AGovernment disclosure record
Sent solicitation materials and engaged in the buying and selling of unlisted stocks, and also provided advice based on an investment advisory contract.
1 Jan 2014
グローバルライン株式会社 代表取締役社長(兼会長) AGovernment disclosure record
Sent solicitation materials claiming to handle bond offerings or private placements and indicating investment management services, while impersonating Nomura Real Estate Investment Advisors with registration number Kanto Finance Bureau Director (Kinsho) No. 374.
1 Jan 2014
株式会社リメイクアース 代表取締役 AGovernment disclosure record
Sent solicitation materials and conducted fund (renewable energy project) recruitment or private placement.
1 Jan 2014
株式会社新生信販 代表取締役社長 AGovernment disclosure record
Sent solicitation materials and handled the offering or private placement of beneficiary securities, and indicated in the company profile that the company engaged in Type II Financial Instruments Business, Investment Advisory and Agency Business, and Qualified Institutional Investor Special Business.
1 Jan 2014
株式会社ソーラーエナジーグループ 代表取締役 AGovernment disclosure record
Sent solicitation materials and conducted募集 or private placement for a fund (solar power generation project).
1 Jan 2014
WIZ Financial Solutions LIMITED 運営責任者 AGovernment disclosure record
Engaging in advice based on investment advisory contracts via the internet. The website operated by the relevant business is [Premium Market Management (P.M.M)].
1 Jan 2014
株式会社シスコム 代表取締役 AGovernment disclosure record
Sent solicitation materials claiming to purchase unlisted stocks, similar to those of Craft Co., Ltd., which had previously been issued a warning on September 24, 2013.
1 Jan 2014
アシダGovernment disclosure record
Sent solicitation materials and handled the offering or private placement of corporate bonds. The name of the representative was unknown. The bond materials falsely claimed a connection with the Ministry of the Environment, using its logo and related photographs.
1 Jan 2014
株式会社なでしこグループ 代表取締役社長 AGovernment disclosure record
Sent solicitation materials and handled the offering or private placement of shares. The solicitation materials are similar to those of Business Gate Corporation, which was issued a warning on February 25, 2013. The materials state that a post-purchase briefing session for shareholders is conducted under the instructions of the Financial Services Agency.
1 Jan 2014
株式会社大和貿易開発 代表取締役 AGovernment disclosure record
Sent solicitation materials and conducted募集 or private placement of a fund (Indonesian stocks). Pretended to be a registered qualified institutional investor exception business operator.
1 Dec 2013
株式会社S・IGovernment disclosure record
Sent solicitation materials and conducted solicitation or private placement of a fund (foreign currency fund). The name of the representative is unknown.
1 Dec 2013
株式会社日興商事 代表取締役 AGovernment disclosure record
A company sent solicitation materials claiming to buy unlisted stocks and similar securities, and subsequently contacted a customer by phone for further solicitation. The materials falsely stated affiliation with the Securities and Exchange Surveillance Commission and used a registration number similar to that of the Financial Bureau. The materials were similar to those of Mita Consulting Co., Ltd., which had been issued a warning on the same day.
1 Dec 2013
株式会社フロンティアライフマネジメント 代表取締役社長 AGovernment disclosure record
Sent solicitation materials indicating the conduct of second-type financial instruments business, investment advisory and agency, and investment management, while also claiming to purchase unlisted stocks.
1 Dec 2013
株式会社総合マネジメント 代表取締役（会長、社長兼CEO）AGovernment disclosure record
Sent solicitation materials claiming to purchase corporate bonds, while impersonating a registration number similar to that of the Kanto Local Finance Bureau.
1 Dec 2013
株式会社野村ホールディングス 代表者 A ※備考欄のとおり、登録を受けた金融商品取引業者の親会社に類似した名称を使用していたもの。Government disclosure record
Sent solicitation materials claiming to buy unlisted stocks, using the logo and similar name of Nomura Holdings, the parent company of the registered financial instruments business operator. Impersonated the registration number 'Financial Bureau Director (Kinsho) No. 17', which is similar to the actual registration number. The solicitation materials are similar to those issued as warnings to Sanwa Trade Co., Ltd. on October 16, 2013, and Daiwa Trade Co., Ltd. on November 18, 2013.
1 Dec 2013
株式会社Global Contents Japan（株式投資情報サイトTOP） 代表取締役 AGovernment disclosure record
The operator provided investment advice via the internet based on an investment advisory contract. The company's trade name, representative's name, and address are registered details. The website operated by the company is [Stock Investment Information Site TOP]. The operator provided advice without registration through the website [Toshin Brain.com], and a warning was issued on March 14, 2013.
| Date | Company / operator | Source | Type | Summary |
|---|---|---|---|---|
| 1 Feb 2014 | TD Direct Investing証券株式会社 代表取締役社長 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials claiming to facilitate trading of unlisted stocks, while impersonating the registration number of the Kanto Finance Bureau. Used the word 'Securities' in the name but is not a registered securities company under the Financial Instruments and Exchange Act. |
| 1 Feb 2014 | 株式会社ひまわりネット 代表取締役社長 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials and handled the offering or private placement of shares. The solicitation materials are similar to those of Business Gate Corporation, which issued a warning on February 25, 2013, and Nadeshiko Group Corporation, which issued a warning on January 22, 2014. |
| 1 Jan 2014 | 株式会社大和サポート 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | A company displayed and sent information indicating it conducts Type 1 or Type 2 Financial Instruments Business and Investment Management Business. Subsequently, a document titled [Application for Payment of Damage Recovery Distribution Money] was sent from the company, and there was information that the company later solicited damage recovery over the phone. |
| 1 Jan 2014 | 株式会社ライフサイクル 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials and conducted募集 or private placement for a fund (solar power generation project). |
| 1 Jan 2014 | 株式会社スマートインベストメント 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials and engaged in the buying and selling of unlisted stocks, and also provided advice based on an investment advisory contract. |
| 1 Jan 2014 | グローバルライン株式会社 代表取締役社長(兼会長) A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials claiming to handle bond offerings or private placements and indicating investment management services, while impersonating Nomura Real Estate Investment Advisors with registration number Kanto Finance Bureau Director (Kinsho) No. 374. |
| 1 Jan 2014 | 株式会社リメイクアース 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials and conducted fund (renewable energy project) recruitment or private placement. |
| 1 Jan 2014 | 株式会社新生信販 代表取締役社長 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials and handled the offering or private placement of beneficiary securities, and indicated in the company profile that the company engaged in Type II Financial Instruments Business, Investment Advisory and Agency Business, and Qualified Institutional Investor Special Business. |
| 1 Jan 2014 | 株式会社ソーラーエナジーグループ 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials and conducted募集 or private placement for a fund (solar power generation project). |
| 1 Jan 2014 | WIZ Financial Solutions LIMITED 運営責任者 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Engaging in advice based on investment advisory contracts via the internet. The website operated by the relevant business is [Premium Market Management (P.M.M)]. |
| 1 Jan 2014 | 株式会社シスコム 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials claiming to purchase unlisted stocks, similar to those of Craft Co., Ltd., which had previously been issued a warning on September 24, 2013. |
| 1 Jan 2014 | アシダ Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials and handled the offering or private placement of corporate bonds. The name of the representative was unknown. The bond materials falsely claimed a connection with the Ministry of the Environment, using its logo and related photographs. |
| 1 Jan 2014 | 株式会社なでしこグループ 代表取締役社長 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials and handled the offering or private placement of shares. The solicitation materials are similar to those of Business Gate Corporation, which was issued a warning on February 25, 2013. The materials state that a post-purchase briefing session for shareholders is conducted under the instructions of the Financial Services Agency. |
| 1 Jan 2014 | 株式会社大和貿易開発 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials and conducted募集 or private placement of a fund (Indonesian stocks). Pretended to be a registered qualified institutional investor exception business operator. |
| 1 Dec 2013 | 株式会社S・I Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials and conducted solicitation or private placement of a fund (foreign currency fund). The name of the representative is unknown. |
| 1 Dec 2013 | 株式会社日興商事 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | A company sent solicitation materials claiming to buy unlisted stocks and similar securities, and subsequently contacted a customer by phone for further solicitation. The materials falsely stated affiliation with the Securities and Exchange Surveillance Commission and used a registration number similar to that of the Financial Bureau. The materials were similar to those of Mita Consulting Co., Ltd., which had been issued a warning on the same day. |
| 1 Dec 2013 | 株式会社フロンティアライフマネジメント 代表取締役社長 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials indicating the conduct of second-type financial instruments business, investment advisory and agency, and investment management, while also claiming to purchase unlisted stocks. |
| 1 Dec 2013 | 株式会社総合マネジメント 代表取締役（会長、社長兼CEO）A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials claiming to purchase corporate bonds, while impersonating a registration number similar to that of the Kanto Local Finance Bureau. |
| 1 Dec 2013 | 株式会社野村ホールディングス 代表者 A ※備考欄のとおり、登録を受けた金融商品取引業者の親会社に類似した名称を使用していたもの。 Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials claiming to buy unlisted stocks, using the logo and similar name of Nomura Holdings, the parent company of the registered financial instruments business operator. Impersonated the registration number 'Financial Bureau Director (Kinsho) No. 17', which is similar to the actual registration number. The solicitation materials are similar to those issued as warnings to Sanwa Trade Co., Ltd. on October 16, 2013, and Daiwa Trade Co., Ltd. on November 18, 2013. |
| 1 Dec 2013 | 株式会社Global Contents Japan（株式投資情報サイトTOP） 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | The operator provided investment advice via the internet based on an investment advisory contract. The company's trade name, representative's name, and address are registered details. The website operated by the company is [Stock Investment Information Site TOP]. The operator provided advice without registration through the website [Toshin Brain.com], and a warning was issued on March 14, 2013. |
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.