Institution record
Monex Securities
MONEX, Inc.
- 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 | 1010001064546 | Regulated | Monex Securities Co., Ltd. | 2007-09-30 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Monex 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 |
|---|---|---|---|---|---|
| Monex 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 |
Monex Securities: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Monex Securities's regulatory licence status and supervisory authorisation?
In our imported dataset, Monex Securities (legal entity reference: MONEX, Inc.) holds 1 recorded licence entry, of which 1 carries a "regulated" status and 1 are marked regulated or registered: FSA (Financial Services Agency) — licence 1010001064546, 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 Monex Securities's jurisdictions and licences fall within this site's regulatory coverage?
Monex Securities is registered at 1-12-32 Akasaka, Minato-ku, Tokyo 107-6025 and tracked under our financial institutions and registrants headquartered in the united states and canada scope based on its institutional service profile (domestic, US and Chinese stocks, investment trusts, bonds, IPOs, stock lending, ETFs, FX pairs, cryptocurrency CFDs, bonds and related services) rather than a domestic focus licence. Its 1 recorded licence (FSA) should be evaluated for cross-border passporting and local solicitation rules.
What is Monex Securities's institutional risk classification, enforcement exposure, and score profile?
Monex 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 Monex Securities's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Monex Securities, institutional and retail allocators should: (1) confirm the domain (monex.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.
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Regulatory Compliance
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Regulatory Compliance
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