Institution record
Mizuho Securities
Mizuho Securities Co., Ltd
- Source score
- 4.0
- 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 | |
|---|---|---|---|---|---|
In our coverage Securities and Futures Commission | AEZ953 | Regulated | Mizuho Securities Asia Limited | 2005-04-27 | |
In our coverage Financial Conduct Authority | 119256 | Regulated | Mizuho International plc | 2021-12-01 | |
MAS Monetary Authority of Singapore | Not supplied | Regulated | MIZUHO BANK, LTD. | — | |
FSA Financial Services Agency | 7010001008687 | Revoked | — | 2007-09-30 | |
BaFin Bundesanstalt für Finanzdienstleistungsaufsicht | 10115675 | Regulated | Mizuho Bank Europe N.V. | — | |
European Central Bank (ECB Banking Supervision / SSM) European Central Bank (ECB Banking Supervision / SSM) | 724500ZSA7ZOZHUXBS53 | Regulated | Mizuho Bank Europe NV | — | |
Hong Kong Monetary Authority (HKMA) Hong Kong Monetary Authority (HKMA) | Not supplied | Regulated | MIZUHO BANK, LTD. | — |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Mizuho Securities against peer institutions in our stock brokers, investment platforms and wealth managers dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Mizuho Securities (this record) | SFCFinancial Conduct AuthorityMAS+4 | 6 / 7 | Risk level not supplied | 4.0 | 0 |
| Doo Prime | ASICU.S. Securities and Exchange Commission (SEC)FINRA+4 | 7 / 7 | Risk level not supplied | 7.0 | 1 |
| IB | IIROCFinancial Conduct AuthorityASIC+2 | 5 / 5 | Risk level not supplied | 8.0 | 0 |
| Tiger Brokers | FINRASFCASIC+1 | 4 / 4 | Risk level not supplied | 6.8 | 0 |
| Swissquote | CYSECSFCFinancial Conduct Authority (UK FCA)+3 | 5 / 6 | Risk level not supplied | 6.5 | 0 |
| Hantec Markets Australia | Financial Conduct AuthorityASICVFSC+1 | 4 / 4 | Risk level not supplied | 6.6 | 0 |
Mizuho Securities: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Mizuho Securities's regulatory licence status and supervisory authorisation?
In our imported dataset, Mizuho Securities (legal entity reference: Mizuho Securities Co., Ltd) holds 7 recorded licence entries, of which 6 carry a "regulated" status and 6 are marked regulated or registered: SFC (Securities and Futures Commission) — licence AEZ953, status: regulated; Financial Conduct Authority — licence 119256, status: regulated; MAS (Monetary Authority of Singapore) — licence Not supplied, status: regulated; FSA (Financial Services Agency) — licence 7010001008687, status: revoked; BaFin (Bundesanstalt für Finanzdienstleistungsaufsicht) — licence 10115675, status: regulated; European Central Bank (ECB Banking Supervision / SSM) — licence 724500ZSA7ZOZHUXBS53, status: regulated; Hong Kong Monetary Authority (HKMA) — licence Not supplied, 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 SFC, Financial Conduct Authority, MAS public register.
Which of Mizuho Securities's jurisdictions and licences fall within this site's regulatory coverage?
This directory focuses on stock brokers, investment platforms and wealth managers. 2 of Mizuho Securities's 7 licence records fall directly within this jurisdictional mandate: SFC (licence AEZ953, regulated, entity: Mizuho Securities Asia Limited); Financial Conduct Authority (licence 119256, regulated, entity: Mizuho International plc). Always confirm whether client money segregation and statutory investor compensation schemes apply to the specific subsidiary onboarding your account.
What is Mizuho Securities's institutional risk classification, enforcement exposure, and score profile?
Mizuho Securities carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 4.0, risk & licensing: 4.0, brand: 4.0, market influence: 4.0, user reputation: 0.0). The record flags 0 regulatory warning or complaint counts and 1 licence record with elevated status flags (FSA: revoked). 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 Mizuho Securities's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Mizuho Securities, institutional and retail allocators should: (1) confirm the domain (not supplied in source) 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 SFC.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from ETFYield Lab relevant to Mizuho Securities's supervisory scope.
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
TIPS & Inflation Breakevens
SPDR Bloomberg 1-3 Month T-Bill ETF (BIL) Liquidity & Fee Audit: Rolling Rung Ladder vs. T-Bill + Long-Bond Barbell Strategy (4.20% 30-Day SEC Yield (13.56 bps ER) Benchmark)
SPDR Bloomberg 1-3 Month T-Bill ETF (BIL) Liquidity & Fee Audit (BIL-1-3M-TBILL) stands at 4.20% (30-Day SEC Yield (13.56 bps ER)) (Source: SEC EDGAR / State Street, 2026-10-20), governing reinvestment risk immunization