Institution record
Kosei Securities
The Kosei Securities CO.,LTD
- Source score
- 7.0
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (stock brokers, investment platforms and wealth managers) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
FSA Financial Services Agency | 6120001077409 | Regulated | THE KOSEI SECURITIES CO.,LTD | 2007-9-30 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Kosei Securities against peer institutions in our stock brokers, investment platforms and wealth managers dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Kosei Securities (this record) | FSA | 1 / 1 | Risk level not supplied | 7.0 | 0 |
| IB | IIROCFinancial Conduct AuthorityASIC+2 | 5 / 5 | Risk level not supplied | 8.0 | 0 |
| Mizuho Securities | SFCFinancial Conduct AuthorityMAS+4 | 6 / 7 | Risk level not supplied | 4.0 | 0 |
| MUFG Bank | Financial Conduct Authority (UK FCA)Office of the Comptroller of the Currency (U.S. OCC)Prudential Regulation Authority (Bank of England PRA)+4 | 7 / 7 | Risk level not supplied | 5.0 | 0 |
| Aizawa Securities | FSA | 1 / 1 | Risk level not supplied | 7.0 | 0 |
| Ichiyoshi Securities | FSA | 1 / 1 | Risk level not supplied | 6.0 | 0 |
Kosei Securities: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Kosei Securities's regulatory licence status and supervisory authorisation?
In our imported dataset, Kosei Securities (legal entity reference: The Kosei Securities CO.,LTD) holds 1 recorded licence entry, of which 1 carries a "regulated" status and 1 are marked regulated or registered: FSA (Financial Services Agency) — licence 6120001077409, status: regulated. Institutional due diligence requires verifying that the exact legal entity on your counterparty agreement matches the licensed entity name and registration number on the official FSA public register.
Which of Kosei Securities's jurisdictions and licences fall within this site's regulatory coverage?
Kosei Securities is registered at 2-1-10, Kitahama, Chuo-ku, Osaka-shi, Osaka and tracked under our stock brokers, investment platforms and wealth managers scope based on its institutional service profile (Stocks, Futures, Options, Bonds, Investment, Trusts, Insurance) rather than a domestic focus licence. Its 1 recorded licence (FSA) should be evaluated for cross-border passporting and local solicitation rules.
What is Kosei Securities's institutional risk classification, enforcement exposure, and score profile?
Kosei Securities carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 7.0, risk & licensing: 7.0, brand: 7.0, market influence: 7.0, user reputation: 0.0). The record flags 0 regulatory warning or complaint counts. Because these figures reflect imported source fields rather than primary audit findings, compliance teams should review primary enforcement bulletins directly.
What operational due diligence steps apply to Kosei Securities's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Kosei Securities, institutional and retail allocators should: (1) confirm the domain (kosei.co.jp) against regulator-approved domains to guard against clone firms; (2) verify whether any of the 0 recorded warning/complaint entries or 0 user comments involve withdrawal restrictions or scope violations; and (3) confirm the dispute-resolution ombudsman tied to FSA.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from ETFYield Lab relevant to Kosei Securities's supervisory scope.
TIPS & Inflation Breakevens
Alpha Architect 1-3 Month Box ETF (BOXX) vs. Direct T-Bill Tax Math: Rolling Rung Ladder vs. T-Bill + Long-Bond Barbell Strategy (4.32% Implied Box Spread Rate Benchmark)
Alpha Architect 1-3 Month Box ETF (BOXX) vs. Direct T-Bill Tax Math (BOXX-SYNTHETIC-BOX) stands at 4.32% (Implied Box Spread Rate) (Source: Cboe SPX Box Options / IRS Sec 1256, 2026-10-20), governing reinvestment risk im
ETF Fee Drag & SEC Yield Audits
iShares iBonds & Invesco BulletShares Target-Maturity Bond Ladders: Rolling Rung Ladder vs. T-Bill + Long-Bond Barbell Strategy (4.22% Held-to-Maturity Net YTW Benchmark)
iShares iBonds & Invesco BulletShares Target-Maturity Bond Ladders (IBOND-TARGET-MAT) stands at 4.22% (Held-to-Maturity Net YTW) (Source: SEC Form N-1A Target-Date Filings, 2026-10-20), governing reinvestment risk immuni
Fixed Income ETFs & Market Microstructure
SEC Rule 6c-11 Custom Creation Baskets, Fixed-Income ETF NAV Arbitrage & After-Tax Yield Drag Model (2026)
Authorized Participant (AP) custom creation and redemption baskets under SEC Rule 6c-11 refer to non-pro-rata fixed-income portfolio transfers that allow ETF issuers to purge low-basis, illiquid, or off-the-run bonds in-kind without realizing distributable capital gains, compressing annualized after-tax yield drag by 42 to 118 basis points compared with open-end mutual funds.
Treasury Ladders & Yield Math
iShares 0-3 Month Treasury Bond ETF (SGOV) Yield & Fee Benchmark: Rolling Rung Ladder vs. T-Bill + Long-Bond Barbell Strategy (4.31% 30-Day SEC Yield (3 bps ER) Benchmark)
iShares 0-3 Month Treasury Bond ETF (SGOV) Yield & Fee Benchmark (SGOV-0-3M-UST) stands at 4.31% (30-Day SEC Yield (3 bps ER)) (Source: SEC Form N-1A / U.S. Treasury, 2026-10-20), governing reinvestment risk immunization