Institution record
Mita Securities
Mita Securities Co.,Ltd.
- Source score
- 6.0
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (financial institutions and registrants headquartered in the united states and canada) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
Financial Services Agency | 6010001058171 | Regulated | MITA SECURITIES Co., Ltd | — |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Mita Securities against peer institutions in our financial institutions and registrants headquartered in the united states and canada dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Mita Securities (this record) | FSA | 1 / 1 | Risk level not supplied | 6.0 | 0 |
U.S. Securities and Exchange Commission (SEC)FINRAFinancial Conduct Authority+1 | 4 / 4 | Risk level not supplied | 6.0 | 0 | |
SECFinancial Crimes Enforcement Network (FinCEN) | 2 / 2 | Risk level not supplied | 5.0 | 0 | |
SECFinancial Crimes Enforcement Network (FinCEN) | 2 / 2 | Risk level not supplied | 5.0 | 0 | |
California Department of Financial Protection and Innovation (DFPI)U.S. Securities and Exchange Commission (SEC) | 0 / 2 | Risk level not supplied | 2.0 | 0 | |
Financial Transactions and Reports Analysis Centre of Canada (FINTRAC)Financial Crimes Enforcement Network (FinCEN)ASIC+8 | 3 / 11 | Risk level not supplied | — | 0 |
Mita Securities: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Mita Securities's regulatory licence status and supervisory authorisation?
In our imported dataset, Mita Securities (legal entity reference: Mita 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 6010001058171, 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 Mita Securities's jurisdictions and licences fall within this site's regulatory coverage?
Mita Securities is registered at 3-11, Nihombashi-kabutocho, Chuo-ku, Tokyo and tracked under our financial institutions and registrants headquartered in the united states and canada scope based on its institutional service profile (Wealth management services, investment banking, financing loans, real estate, electronic transactions) rather than a domestic focus licence. Its 1 recorded licence (FSA) should be evaluated for cross-border passporting and local solicitation rules.
What is Mita Securities's institutional risk classification, enforcement exposure, and score profile?
Mita Securities 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 Mita Securities's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Mita Securities, institutional and retail allocators should: (1) confirm the domain (mitasec.com/en) 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 Americas Firm Ledger relevant to Mita Securities's supervisory scope.
Regulatory Compliance
SEC Enforcement Penalties Fall to 18-Year Low - WSJ
SEC Enforcement Penalties Fall to 18-Year Low - WSJ: Institutional summary of the primary material (SEC). Cross-reference official supervisory registers for live updates.
Regulatory Compliance
US SEC enforcement activity plunges two years into Trump administration - Reuters
US SEC enforcement activity plunges two years into Trump administration - Reuters: Institutional summary of the primary material (SEC). Cross-reference official supervisory registers for live updates.
Market Insights
CoreWeave's Funding Challenges Are 'Manageable:' Bank of America Sees the Stock More Than Doubling From Here - Benzinga
CoreWeave's Funding Challenges Are 'Manageable:' Bank of America Sees the Stock More Than Doubling From Here - Benzinga: CoreWeave's Funding Challenges Are 'Manageable:' Bank of America Sees the Stock More Than Doubling From Here Benzinga
Market Insights
Nasdaq futures rise over 500 points: 5 things to know before Wall Street opens - Invezz
Nasdaq futures rise over 500 points: 5 things to know before Wall Street opens - Invezz: Nasdaq futures rise over 500 points: 5 things to know before Wall Street opens Invezz