1 Jun 2012
Surplus Finance S.A. (FXcast)Government disclosure record
FSA unregistered operator warningsWarning issued
Over-the-counter derivatives trading conducted via the internet.
Public risk disclosures
Japan 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 153 of 158)
1 Jun 2012
株式会社日興ファンド 代表取締役 AGovernment disclosure record
FSA unregistered operator warningsWarning issued
Engaged in the purchase of unlisted stocks and corporate bonds through solicitation letters.
1 Jun 2012
NZ FINANCIAL CAPITAL LIMITED (FXIM)Government disclosure record
FSA unregistered operator warningsWarning issued
Over-the-counter derivatives transactions conducted via the internet.
1 Jun 2012
株式会社日興ファンド 代表取締役 BGovernment disclosure record
FSA unregistered operator warningsWarning issued
Engaged in the purchase of unlisted stocks and corporate bonds through solicitation letters.
1 Jun 2012
United World Capital Limited (UWCFX)Government disclosure record
FSA unregistered operator warningsWarning issued
Over-the-counter derivatives transactions conducted via the internet.
1 Jun 2012
Investment House Limited (iHForex)Government disclosure record
FSA unregistered operator warningsWarning issued
Over-the-counter derivatives trading conducted via the internet.
1 Apr 2012
株式会社東京年金経済研究所 代表取締役 AGovernment disclosure record
FSA unregistered operator warningsWarning issued
Engaged in investment advisory and agency business without registration, providing advice on the value of securities based on investment advisory contracts with multiple pension funds.
1 Mar 2012
株式会社きんきプラント 代表取締役 A 営業統括者 BGovernment disclosure record
FSA unregistered operator warningsWarning issued
They claim [principal guarantee and high dividends] and solicit investments in a partnership under the guise of investing in a business-type fund. The invested funds are diverted and used for company expenses, etc.
1 Mar 2012
株式会社ホンダ商事Government disclosure record
FSA unregistered operator warningsWarning issued
Impersonation of registered financial instruments business operator Honda Shoji Co., Ltd., using a similar name and falsely claiming registration number Kanto Finance Bureau Director (Kinsho) No. 2394 and location.
1 Mar 2012
株式会社トラストホールディングスGovernment disclosure record
FSA unregistered operator warningsWarning issued
Public notice issued for engaging in financial instruments business without registration.
1 Mar 2012
東証プロフィットGovernment disclosure record
FSA unregistered operator warningsWarning issued
Public notice issued for engaging in financial instruments business without registration.
1 Feb 2012
株式会社ソネットコーポレーションGovernment disclosure record
FSA unregistered operator warningsWarning issued
Public notice issued regarding an entity that was warned for conducting financial instruments business without registration.
1 Feb 2012
シグマリゾート株式会社Government disclosure record
FSA unregistered operator warningsWarning issued
Public notice issued for engaging in financial instruments business without registration.
1 Feb 2012
株式会社ウィンテストGovernment disclosure record
FSA unregistered operator warningsWarning issued
Public notice issued for engaging in financial instruments business without registration.
1 Feb 2012
株式会社福富Government disclosure record
FSA unregistered operator warningsWarning issued
Public notice issued regarding an entity conducting financial instruments business without registration.
1 Feb 2012
株式会社ユニバースマネージメントGovernment disclosure record
FSA unregistered operator warningsWarning issued
Public notice issued for engaging in financial instruments business without registration.
1 Feb 2012
新栄證券株式会社Government disclosure record
FSA unregistered operator warningsWarning issued
The business name includes the characters [証券], but the entity is not registered under the Financial Instruments and Exchange Act.
1 Feb 2012
日本ライフ証券株式会社Government disclosure record
FSA unregistered operator warningsWarning issued
The company uses the character [証券] in its trade name but is not registered under the Financial Instruments and Exchange Act.
1 Feb 2012
株式会社シーシーエス証券Government disclosure record
FSA unregistered operator warningsWarning issued
The company uses the character [証券] in its trade name but is not registered under the Financial Instruments and Exchange Act.
1 Feb 2012
ダイワ商事株式会社Government disclosure record
FSA unregistered operator warningsWarning issued
Public notice issued for conducting financial instruments business without registration.
| Date | Company / operator | Source | Type | Summary |
|---|---|---|---|---|
| 1 Jun 2012 | Surplus Finance S.A. (FXcast) Government disclosure record | FSA unregistered operator warnings | Warning issued | Over-the-counter derivatives trading conducted via the internet. |
| 1 Jun 2012 | 株式会社日興ファンド 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Engaged in the purchase of unlisted stocks and corporate bonds through solicitation letters. |
| 1 Jun 2012 | NZ FINANCIAL CAPITAL LIMITED (FXIM) Government disclosure record | FSA unregistered operator warnings | Warning issued | Over-the-counter derivatives transactions conducted via the internet. |
| 1 Jun 2012 | 株式会社日興ファンド 代表取締役 B Government disclosure record | FSA unregistered operator warnings | Warning issued | Engaged in the purchase of unlisted stocks and corporate bonds through solicitation letters. |
| 1 Jun 2012 | United World Capital Limited (UWCFX) Government disclosure record | FSA unregistered operator warnings | Warning issued | Over-the-counter derivatives transactions conducted via the internet. |
| 1 Jun 2012 | Investment House Limited (iHForex) Government disclosure record | FSA unregistered operator warnings | Warning issued | Over-the-counter derivatives trading conducted via the internet. |
| 1 Apr 2012 | 株式会社東京年金経済研究所 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Engaged in investment advisory and agency business without registration, providing advice on the value of securities based on investment advisory contracts with multiple pension funds. |
| 1 Mar 2012 | 株式会社きんきプラント 代表取締役 A 営業統括者 B Government disclosure record | FSA unregistered operator warnings | Warning issued | They claim [principal guarantee and high dividends] and solicit investments in a partnership under the guise of investing in a business-type fund. The invested funds are diverted and used for company expenses, etc. |
| 1 Mar 2012 | 株式会社ホンダ商事 Government disclosure record | FSA unregistered operator warnings | Warning issued | Impersonation of registered financial instruments business operator Honda Shoji Co., Ltd., using a similar name and falsely claiming registration number Kanto Finance Bureau Director (Kinsho) No. 2394 and location. |
| 1 Mar 2012 | 株式会社トラストホールディングス Government disclosure record | FSA unregistered operator warnings | Warning issued | Public notice issued for engaging in financial instruments business without registration. |
| 1 Mar 2012 | 東証プロフィット Government disclosure record | FSA unregistered operator warnings | Warning issued | Public notice issued for engaging in financial instruments business without registration. |
| 1 Feb 2012 | 株式会社ソネットコーポレーション Government disclosure record | FSA unregistered operator warnings | Warning issued | Public notice issued regarding an entity that was warned for conducting financial instruments business without registration. |
| 1 Feb 2012 | シグマリゾート株式会社 Government disclosure record | FSA unregistered operator warnings | Warning issued | Public notice issued for engaging in financial instruments business without registration. |
| 1 Feb 2012 | 株式会社ウィンテスト Government disclosure record | FSA unregistered operator warnings | Warning issued | Public notice issued for engaging in financial instruments business without registration. |
| 1 Feb 2012 | 株式会社福富 Government disclosure record | FSA unregistered operator warnings | Warning issued | Public notice issued regarding an entity conducting financial instruments business without registration. |
| 1 Feb 2012 | 株式会社ユニバースマネージメント Government disclosure record | FSA unregistered operator warnings | Warning issued | Public notice issued for engaging in financial instruments business without registration. |
| 1 Feb 2012 | 新栄證券株式会社 Government disclosure record | FSA unregistered operator warnings | Warning issued | The business name includes the characters [証券], but the entity is not registered under the Financial Instruments and Exchange Act. |
| 1 Feb 2012 | 日本ライフ証券株式会社 Government disclosure record | FSA unregistered operator warnings | Warning issued | The company uses the character [証券] in its trade name but is not registered under the Financial Instruments and Exchange Act. |
| 1 Feb 2012 | 株式会社シーシーエス証券 Government disclosure record | FSA unregistered operator warnings | Warning issued | The company uses the character [証券] in its trade name but is not registered under the Financial Instruments and Exchange Act. |
| 1 Feb 2012 | ダイワ商事株式会社 Government disclosure record | FSA unregistered operator warnings | Warning issued | Public notice issued 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.