Institution record
Sparx Asset
Sparx Asset Management Co., Ltd.
- Source score
- 6.0
- 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 | |
|---|---|---|---|---|---|
Financial Services Agency | 5010701017007 | Regulated | SPARX Asset Management Co., Ltd. | — |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Sparx Asset against peer institutions in our stock brokers, investment platforms and wealth managers dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Sparx Asset (this record) | FSA | 1 / 1 | Risk level not supplied | 6.0 | 0 |
IIROCFinancial Conduct AuthorityASIC+2 | 5 / 5 | Risk level not supplied | 8.0 | 0 | |
FSA | 1 / 1 | Risk level not supplied | 7.0 | 0 | |
FSA | 1 / 1 | Risk level not supplied | 6.0 | 0 | |
FSA | 1 / 1 | Risk level not supplied | 5.0 | 0 | |
SCBIIROCU.S. Securities and Exchange Commission (SEC)+1 | 3 / 4 | Risk level not supplied | 5.0 | 0 |
Sparx Asset: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Sparx Asset's regulatory licence status and supervisory authorisation?
In our imported dataset, Sparx Asset (legal entity reference: Sparx Asset Management 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 5010701017007, 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 Sparx Asset's jurisdictions and licences fall within this site's regulatory coverage?
Sparx Asset is registered at Shinagawa Season Terrace 6th floor, 1-2-70 Konan, Minato-ku, Tokyo (General reception on the 5th floor) and tracked under our stock brokers, investment platforms and wealth managers scope based on its institutional service profile (Asset management, Stocks) rather than a domestic focus licence. Its 1 recorded licence (FSA) should be evaluated for cross-border passporting and local solicitation rules.
What is Sparx Asset's institutional risk classification, enforcement exposure, and score profile?
Sparx Asset carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 6.0, risk & licensing: 6.0, brand: 6.0, market influence: 6.0, 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 Sparx Asset's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Sparx Asset, institutional and retail allocators should: (1) confirm the domain (sparx.co.jp/company/outline.html) 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 Sparx Asset's supervisory scope.
Market Insights
Top Wall Street analysts like these 3 dividend stocks for consistent income
Top Wall Street analysts like these dividend stocks for consistent income: Three dividend-paying stocks that are highlighted by Wall Street’s top pros, as tracked by TipRanks.
Dividend Announcements
Annaly Capital Management, Inc. PFD SER G declares $0.5436 dividend
Annaly Capital Management, Inc. PFD SER G declares $0.5436 dividend: Institutional summary of the primary material ($0.5436, SFC). Cross-reference official supervisory registers for live updates.
Broker Fees and Calculators
BlackRock Bitcoin ETF outflows hit $1.66B over seven trading sessions
BlackRock Bitcoin ETF outflows hit over seven trading sessions: Institutional summary of the primary material ($201, $1.66, FCA). Cross-reference official supervisory registers for live updates.
Dividend Announcements
NRG Energy declares $0.475 dividend
NRG Energy declares $0.475 dividend: Institutional summary of the primary material ($0.475). Cross-reference official supervisory registers for live updates.