Unregistered Firms

Alert

A collection of public information published by Japan's Financial Services Agency regarding firms and individuals conducting financial instruments business without registration (warning notices, etc.). Listings follow a policy of mechanical and comprehensive collection of published materials, without arbitrary selection. The inclusion criterion is "information on warning notices issued by the Financial Services Agency against firms or individuals conducting financial instruments business without registration (whether domestic or based overseas)," and no exclusion criterion is applied. See Data Sources for our primary sources.

Note:The cases listed on this page are collected mechanically and comprehensively from information such as warning notices published by the Financial Services Agency, Local Finance Bureaus, and other authorities, to the extent we have been able to confirm them. Firms and individuals not listed on this page may still be engaging in similar conduct, such as conducting financial instruments business without registration. Inclusion or exclusion on this page does not determine or guarantee the legality or safety of any specific firm or individual.

For the most up-to-date registration status, please check public sources directly, such as the list of registered financial instruments business operators published on the Financial Services Agency website.

By Case Type

Warning Notice256

By Publishing Authority

関東財務局252
近畿財務局3
北海道財務局1

About This Site

The information on this site is reference information based on materials published by Japanese public authorities (such as the Financial Services Agency and Local Finance Bureaus) and generally known information. It does not constitute a definitive assessment of any specific individual or organization, and it does not recommend or solicit the purchase, sale, or any other transaction of any specific investment product or service.
This site is operated by Trilogy Inc. (Registration No. 372, Kinki Local Finance Bureau; member of the Japan Investment Advisers Association) as part of its investor protection and investor education activities. Viewing or using this site does not require, and is not conditioned on, enrollment in any of Trilogy Inc.'s paid advisory services, and there is no charge to browse this site.
Requests for correction or removal of content, or objections or comments from any party referenced in an article, should be directed to the contact listed in our Correction & Takedown Policy. We will review the content and respond promptly.