JP Info Priority INFORM

Japan - JFSA Unregistered Firms Warning List

Unregistered financial firm warning — Japanese regulator

1,155
Sanctioned Entities
Info
Severity Level
INFORM
Required Action
Sep 29
Last Updated 2026
About This List

Japan's JFSA Unregistered Firms Warning List flags roughly 1,120 financial businesses soliciting Japanese residents without proper registration under domestic securities and banking law. It is informational, supporting retail investor protection checks and broker onboarding reviews.

Detailed Information
Japan JFSA Unregistered Firms Warning List — Registry of unauthorized financial services providers maintained by the Financial Services Agency of Japan (金融庁). Published under the Financial Instruments and Exchange Act (FIEA). Contains firms that have been issued warning letters for conducting financial instruments business without proper registration, including derivatives/FX trading, securities trading, investment advisory, and cryptocurrency services. Covers both domestic Japanese firms and overseas-based operators targeting Japanese investors. Essential for financial due diligence screening against unauthorized market participants in Japan's jurisdiction.
List Name Japan: JFSA Unregistered Firms Warning List
Full Name Japan - JFSA Unregistered Firms Warning List
Entity Count 1,155 entities
Severity Level Info - Informational data only (not a sanctions list)
Required Action INFORM - Unregistered financial firm warning — Japanese regulator
Last Updated September 29, 2026 at 06:17 UTC (2 weeks ago)
Compliance Implications

This is informational data only and does not constitute a sanctions or stop-list. Examples include Interpol Red Notices or law enforcement databases. These are included for comprehensive screening but matches do not indicate sanctions violations.

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Disclaimer: This information is provided for informational purposes only. Data is sourced from official government publications and updated regularly. Always verify sanctions information with official sources and consult qualified compliance professionals for business decisions.

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