Institution record
Naito Securities
NAITO Securities Co., Ltd.
- Source score
- 5.0
- 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 | 7120001077507 | Regulated | Naito Securities Co., Ltd. | 2007-09-30 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Naito 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 |
|---|---|---|---|---|---|
| Naito Securities (this record) | FSA | 1 / 1 | Risk level not supplied | 5.0 | 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 |
Naito Securities: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Naito Securities's regulatory licence status and supervisory authorisation?
In our imported dataset, Naito Securities (legal entity reference: NAITO 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 7120001077507, 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 Naito Securities's jurisdictions and licences fall within this site's regulatory coverage?
Naito Securities is registered at Postal code 530-6119 Nakanoshimadai Building 19th Floor, 3-3-23 Nakanoshima, Kita-ku, Osaka City and tracked under our financial institutions and registrants headquartered in the united states and canada scope based on its institutional service profile (Stocks, bonds, exchange-traded funds (ETFs) and real estate investment trusts (REITs)) rather than a domestic focus licence. Its 1 recorded licence (FSA) should be evaluated for cross-border passporting and local solicitation rules.
What is Naito Securities's institutional risk classification, enforcement exposure, and score profile?
Naito Securities carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 5.0, risk & licensing: 5.0, brand: 5.0, 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 Naito Securities's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Naito 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 FSA.
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Regulatory Compliance
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