Tagged: fake trading

*UK* 2014 FCA UNAUTHORIZED BROKER AND FIRM LIST

This list was obtained from the official FCA website. 

Resource link: http://www.fca.org.uk/news/list?ttypes=warning&yyear=&ssearch=

Considering  this::  No of results your search returned: 3063    Total Pages: 613  It will take too long to copy all of them on to here! Please use the link above to access the page on the FSA site I copied them from. On that page you will be able to click on each name to view more information.

Below are the first 8 pages which covers from August 28, 2014- today, September 23 2014

__________________________________________________________

SEPTEMBER 2014

Loan Machine Limited (clone)

Published: Today   Last Modified : Today


InvestPoint (UK) Ltd

Published: Today   Last Modified : Today


RT Owens & Associates LLC

Published: Today   Last Modified : Today


WB Global Strategic Asset Management

Published: 19/09/2014   Last Modified : 19/09/2014


Martin Kessler (clone)

Published: 18/09/2014   Last Modified : 18/09/2014


Brooke Point Limited/ Broke Point Limited

Published: 17/09/2014   Last Modified : Yesterday


Hirsche Private Asset Management Ltd

Published: 17/09/2014   Last Modified : 17/09/2014


Watts Corporate Services LLC

Published: 17/09/2014   Last Modified : 17/09/2014


Kames Capital in association with Dean Foster Associates (clone)

Published: 17/09/2014   Last Modified : 17/09/2014


Capital Gearing Portfolio Fund (Clone)

Published: 16/09/2014   Last Modified : 17/09/2014


Griffin Advisors Limited

Published: 16/09/2014   Last Modified : 16/09/2014


Cenkos Global Securities (clone)

Published: 16/09/2014   Last Modified : 16/09/2014


Hudson Coe & Associates LLC

Published: 16/09/2014   Last Modified : 16/09/2014


Commodities Link

Published: 16/09/2014   Last Modified : 16/09/2014


Belfius Commercial Finance Limited (clone)

Published: 16/09/2014   Last Modified : 16/09/2014


GE Shaw Management Group

Published: 15/09/2014   Last Modified : 15/09/2014


DuPont Financial / DuPont FX / DP Global Services Ltd (clone)

Published: 15/09/2014   Last Modified : 15/09/2014


China Merchant Securities Limited (clone)

Published: 12/09/2014   Last Modified : 12/09/2014


The Right Loan 4 U (clone)

Published: 11/09/2014   Last Modified : 11/09/2014


Redbrook Motor Company

Published: 11/09/2014   Last Modified : 11/09/2014


Drummonds Initiatives

Published: 11/09/2014   Last Modified : 11/09/2014


LEM Spreads / LE Management Ltd

Published: 11/09/2014   Last Modified : 11/09/2014


GBL Financial Services Ltd (clone)

Published: 11/09/2014   Last Modified : 11/09/2014


Cash Direct UK

Published: 11/09/2014   Last Modified : 11/09/2014


Smith and Stanley Corporate Consultants

Published: 11/09/2014   Last Modified : 11/09/2014


Brookmore Partners/ Brookemore Partners/ Brookmoore Partners/ Brookmore Associates

Published: 11/09/2014   Last Modified : 11/09/2014


Jacob Johnson Consultancy

Published: 10/09/2014   Last Modified : 10/09/2014


Williamson Advisors Ltd

Published: 10/09/2014   Last Modified : 10/09/2014


Bauer and Associates / Bauer Consultants

Published: 10/09/2014   Last Modified : 10/09/2014


Carrington Group LLC

Published: 09/09/2014   Last Modified : 09/09/2014


Jacobs Buchanan Investment Advisors / Jacobs Buchanan Partnership

Published: 08/09/2014   Last Modified : 08/09/2014


PlusFN Ltd / +FN / Equity Sky Capital Marketing Limited

Published: 08/09/2014   Last Modified : 08/09/2014


Fredric & Formby / Fredric and Formby / Fredericks Ltd (clone)

Published: 06/09/2014   Last Modified : 06/09/2014


BAM Capital / BAM Forex (clone)

Published: 05/09/2014   Last Modified : 05/09/2014


Springer Asset Management

Published: 05/09/2014   Last Modified : 05/09/2014

Quick Finance

Published: 05/09/2014   Last Modified : 05/09/2014


Mitsubishi UFJ Financial Group Inc (Clone)

Published: 02/09/2014   Last Modified : 02/09/2014


Marcus KPO Services LLC

Published: 01/09/2014   Last Modified : 01/09/2014


City Equities Ltd (Clone)

Published: 29/08/2014   Last Modified : 30/08/2014


Goldman Shaks (PVT) Ltd

Published: 28/08/2014   Last Modified : 28/08/2014


to view earlier months please click here and start on page 9: http://www.fca.org.uk/news/list?ttypes=warning&yyear=&ssearch=



Jan-Sept 2014 CFTC law suits (enforcement actions)

the following information was copied off the official CFTC website.

___________________________________

CFTC  TRADE COMMISSION

U.S. Commodity Futures Trading Commission
Date

Enforcement Press Releases

See Also:

OpenGov Logo

CFTC’s Commitment to Open Government

Media Contacts in Office of Public Affairs

  • Steven Adamske
  • 202-418-5080
Orange CFTC Banner

Press Room Email Subscriptions

Merrill Lynch, MERRIL EDGE Investing, MarketPro™ = They are counter party on: BATS |BIDS ATS |NYSE Amex, Arca|Chicago, EDGA, EDGX, ISE Stock Exchange|eBX/LeveL ATS|CBOE C21|Nasdaq Options Market |OMX Phlx.

Pertains to ALL accounts up to and including NASDAQ Level II accounts

____________________________________________________________

The Merril Lynch website is designed to look different than typical trading sites. There’s no Risk Statement link. It actually took over an hour of searching to find what I was looking for- the info that’s normally under “risk statement” or “customer account agreement” – The statement where they inform you about whats really going on.  
They are required to tell you the truth -and they do. It says you cant trust their advice because they are paid to tell you where to invest by the various exchanges and or by the fund/securities provider. They state that they:  Act as the counter party, Purchase holdings against you, act as market makers, profit 100% from acting as the Principle. They advise you to do what will make them the most money- regardless of if its thru your gain or your loss of funds. There’s more-  read below….

Please read the statement below. Warn anyone you know who invests thru Merril Lynch in ANY form at all (mutual funds, securities, stock, all forms of investing)

To follow my path to the information- start here: http://www.ml.com/index.asp?id=7695_15125 scroll to bottom of short page and click  Legal Information.  On that page – scroll down to Routing and Execution Disclosures Made Pursuant to Rules 605 and 606 of SEC Regulation NMS. At the end of the second paragraph of Rule 606 select: “click here” which takes you to this page: Material Aspects of Relationship with Route Venues which I copied to below.
_______________________________________________________

Resource links:
________________________________________________________
and

Merrill Edge MarketPro

SEC Rule 606 Reports – Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosure Information:

Disclosure Information: Material Aspects of Relationships with Venues to Which Customer Orders are Routed Merrill Lynch, Pierce, Fenner & Smith Incorporated (“MLPF&S”) is a broker-dealer that executes customer orders as agent and/or principal and receives remuneration for performing these execution services. MLPF&S acts as a registered market maker in numerous Nasdaq securities and may execute customer orders in such securities on a principal basis. MLPF&S also may principally commit capital to facilitate customer transactions or serve as the contra-side to customer orders executed internally through one of the alternative trading systems operated by MLPF&S.
Investors should understand that MLPF&S stands to realize 100% of any profits or losses generated when MLPF&S trades as agent and/or principal in respect of customer orders.
Aside from holdings that MLPF&S may acquire from time-to-time as part of its ordinary market making, block positioning, client facilitation and related hedging activities, MLPF&S (or an affiliate under common control) may acquire equity stakes in market centers as part of a strategic investment. In this regard, MLPF&S or an affiliate owns a minority equity investment stake in the following market centers and therefore stands to participate as a shareholder/investor in the profits that each market center realizes in part from the execution of securities transactions, including transactions that may involve orders for the accounts of MLPF&S customers: (i) BATS Exchange, (ii) BIDS ATS, (iii) NYSE Amex, (iv) Chicago Stock Exchange, (v) Direct Edge Holdings (EDGA Exchange, EDGX Exchange and ISE Stock Exchange), (vi) eBX/LeveL ATS, (vii) NYSE Arca, (viii) NYSE Amex, (ix) CBOE C2, (x) Nasdaq Options Market, (xi) Nasdaq OMX Phlx.
Additionally, MLPF&S is affiliated with Merrill Lynch Professional Clearing Corp. (“ML Pro”), which acts as a market maker on certain options exchanges, including the CBOE, CBOE C2, ISE, BATS Exchange, NYSE Arca, NYSE Amex, Nasdaq Options Market and Nasdaq OMX PHLX. Accordingly, MLPF&S may stand to indirectly share in the profits or losses that ML Pro generates by transacting as options market maker, including transactions that may involve orders for the accounts of MLPF&S customers.
MLPF&S routes customer and proprietary orders to national securities exchanges, alternative trading systems, electronic communications networks, and broker-dealers. Based on their fee schedules, certain market centers offer credits for orders that provide liquidity to their books and assess fees for orders that take liquidity from their books. In some cases, the credits offered by a market center to MLPF&S over a period of time may exceed the charges assessed. MLPF&S participates in the options order flow programs sponsored by the NYSE Amex Options, CBOE, ISE, NYSE Arca and PHLX. These exchange-sponsored programs offer payments for listed option orders that are directed to such options markets.
_____________________________________________________________

I’m now researching the UK business documents and will post that info in a separate post. Link to the UK data on their website is here:

http://www.ml.com/?id=7695_71373_71375_71390

Comment in Global Wealth Management documents :

Where this communication is sent by a branch of Merrill Lynch International Bank Limited, please note that mutual fund materials are only directed at persons to whom, and are distributed only to persons to whom, unregulated collective investment schemes may be promoted in accordance with the rules of the UK Financial Services Authority, including in particular Rule 3.11 of the Conduct of Business sourcebook (“relevant persons”). Such investments are available only to, and any invitation, offer or agreement to subscribe, purchase or otherwise acquire such investments will be engaged in only with, relevant persons. Any person who is not a relevant person should not act or rely on these materials. Merrill Lynch does not operate as a banking entity in all jurisdictions.

while its detailing that only the person whom it was sent to is whom can act on the offer- it reveals that the Financial Services Authority in UK allows Unregulated Collective Investment Schemes!

The Financial Services Authority is in charge of Regulating financial services – so why would it permit unregulated activities to be promoted to anyone?

 

 

     

FOREX WARNING BLOG- do u want me to keep writing it? is it helping anyone?

I feel like no one cares. Like I’m wasting my time.

If you want me to keep going than please say so.

My whole goal is to try protect people from getting scammed by the whole change in the FOREX market from real to simulated. While 9 thousand people have visited my blog- most come to try put advertising in the comment sections.

I’ve had maybe 25 real comments. Is that all the real readers I’ve had?

If this blog has helped you- please let me know, Gathering the information takes a lot of time and is pointless if no one is making use of it.

COMMENT IF YOU WANT THIS BLOG TO BE CONTINUED….

2,2014 FOREX.COM/GAIN CAPITAL risk statement CRITICAL FACTS -why they are NO GOOD!!

It drives me crazy that people sign these agreements without understanding what they are agreeing to! If you did understand- there’s no way you would sign!

BY SIGNING – YOU HAVE AGREED TO ALLOW THEM TO RIP YOU OFF USING MULTIPLE METHODS TO DO IT AND HAVE ALSO AGREED THAT YOU WONT TAKE ACTION AGAINST THEM FOR DOING IT.

FOREX.COM is GAIN CAPITAL

The following are just some of what you are agreeing to-First- they make sure you know they are working against you and that you cannot trust them. They detail how they will move the market against you and then have you agree with them doing this to you.

copied from the secondary risk statementon feb 20,2014 http://www.forex.com/pdf/secondary.pdf

*****************************************************************

Please understand that all of your capital may be at risk.
FOREX IS AN OVER THE COUNTER (OTC) MARKET, MEANING THE FOREIGN CURRENCY TRADING YOU ARE ENTERING INTO IS NOT CONDUCTED ON AN EXCHANGE.
AS A MARKET MAKER, FOREX.COM IS THE COUNTERPARTY IN THESE TRANSACTIONS AND, THEREFORE, ACTS AS THE BUYER WHEN YOU SELL AND THE SELLER WHEN YOU BUY. AS A RESULT, FOREX.COM’S INTERESTS MAY BE IN CONFLICT WITH YOURS. UNLESS OTHERWISE SPECIFIED IN YOUR WRITTEN AGREEMENT OR OTHER WRITTEN DOCUMENTS
FOREX.COM ESTABLISHES THE PRICES AT WHICH IT OFFERS TO TRADE WITH YOU. THE PRICES OFFERED MIGHT NOT BE THE BEST PRICES AVAILABLE AND DIFFERENT PRICES MAY BE OFFERED TO DIFFERENT CUSTOMERS.
IF FOREX.COM ELECTS NOT TO COVER ITS OWN TRADING EXPOSURE, THEN YOU SHOULD BE AWARE THAT
FOREX.COM MAY MAKE MORE MONEY IF THE MARKET GOES AGAINST YOU. ADDITIONALLY, SINCE FOREX.COM
ACTS AS THE BUYER OR SELLER IN THE TRANSACTION, YOU SHOULD CAREFULLY EVALUATE ANY TRADE
RECOMMENDATIONS YOU RECEIVE FROM FOREX.COM OR ANY OF ITS SOLICITORS.

I have read, and understand the Risk Disclosure

INTERPRETATION:

  • You are ONLY trading against your broker.                                                             
  • Your broker can choose to not cover their own exposure- causing the market to swing against you because they will profit more that way. 
  • They control the prices you see+ they are the only other person trading with you therefore- they create the appearance of a market swing- to take your money away from you.
  • They are allowed to manipulate you by providing bad reccommendations.

***************************************************************

Customer Agreement

http://www.forex.com/forex-account-forms.html

4.1.
Pricing Information
.
FOREX.com will make available, by posting on the
FOREX.com Online Trading System , MetaTrader®Online
Trading System or by telephoning the FOREX.com
Trading Desk, Bid Prices and Ask Prices at which FOREX.com
is prepared to enter Foreign Currency Contracts Cross Currency Contracts
, or Metal Contracts with Customer. Each Bid Price or Ask Price shall be for a Spot
Contract with a specified Value Date and shall specify each Eligible Foreign Currency or tradable U.S. dollar based currency pairs involved where applicable
.FOREX.com expects that these prices will be reasonably related to the bid prices and ask prices available in the market at that time for similar transactions, but a number of factors, such as communication system delays, high volume or volatility can result in deviations between prices quoted by FOREX.com and other sources. FOREX.com makes no warranty, express or implied, that Bid Prices and Ask Prices represent prevailing bid prices and ask prices. In addition, these Bid and/or Ask Prices may reflect, at the direction of the Introducing Broker named above, additional pips added to the BID and/or ASK price that may result in an increase of the dealable spread available for the Customer’s account as well as a per trade or per lot commission and/or fees

INTERPRETATION:

They are not obligated to use prices that match what you might find on another site -keeping in mind- everyone makes there own prices and there is no actual market- your still just trading against your broker. Not other customers- meaning “high volume” and “volatility” don’t exist. They create the appearance of that environment at will.

***************************************************************

5.MARGIN REQUIREMENTS

Customer’s Account will be under the control of FOREX.com FOREX.com may change Margin requirements at any time, without prior notice to Customer, and may call for additional Margin (“Margin Call”) at (x) any time Customer’s Margin Balance falls below FOREX.com ’s Minimum Margin Requirement as applied to that Account;and (y) any timeFOREX.com, in its sole discretion, believes that it is prudent to do so.FOREX.com may at any time liquidate Customer’s Account in accordance with Paragraph 9.FOREX.com may withdraw funds from the Customer’s account without notice: (x) to ensure that Posted Margin equals or exceeds Required Margin; and (y) to satisfy any payment obligation to FOREX.com, including commissions,fees and charges in respect of Customer’s Account.

INTERPRETATION:

  • They control your account
  • They can change your margin requirement for no reason at all and
  • They don’t have to tell you before they change it. Furthermore
  • They can liquidate your account if it doesnt meet the new limit
  • and do it without prior notice

You want to know how these companies take peoples money? You sign an agreement that says they can! Who in there right mind would agree to have them get to move your margin limit without warning or notification? Then get to liquidate your account based on the new requirement- without ever notifying you! And they get to do this at their sole discretion- that means they are not required to have any form of valid reason. They can do it just because they feel like it.  They have the freedom to decide what the margin will be at their sole discretion as well- there are no standards they have to follow. They can double your margin requirement, or triple it- well… they will move it exactly enough to make sure you dont have enough in your account to cover it- at the same time swinging the market against your outstanding orders- thereby not only taking all your money- but making it so you then owe them money for the losses that happened when they liquidated.

I dont have time to keep writing this all out-  just read each paragraph carefully-The words that alert you to foul play are as follows

“at it’s sole discretion”  = “just cuz they feel like it” no reason required!

“without prior notice” = They can do it without warning you

“without notice”= they don’t have to tell you they did something- like change the agreement- and continuing to trade = agreeing to the changes they made- but how are you supposed to know changes were made?  exactly!

read these sections carefully!
4.3. Trade Matching
4.5.  Position& Trading Limits (they can control the speed you trade, the number of contracts you can hold- whatever is necessary to keep you from getting ahead.
REMEMBER- their income comes from taking your money. For you to profit- they have to take a loss. Commission is only a tiny recoup of the money they lost- it’s not a profit for them at all. To stay in business- they can’t let you keep any money you win and they have to take your money as well. They are paid to use all these rules to make sure you walk away with nothing. If you have made money- they will make it hard to get it out – while making the market suddenly look favorable- so you will reinvest not just your starting money- but your profits as well- and they keep you winning until you get confident and get close to your margin- then boom- they  move your margin and take everything.
FXCM told me how this is all done. The whole game that is being played on people. He told me (back in 2009) that no one had ever walked away with one dime from them. Every single person that traded with them eventually lost everything- and then some. He was the CEO of the company- warning me not to trade a charity’s money. At least they had enough morals to stop me. While I’m grateful- I took it upon myself to try warn everyone else.
I don’t even know if anyone is being saved by my blog. If anyone even cares that this blog exists. 
If you want me to keep writing this blog- please tell me as a comment.
.
.

FCA UNAUTHORIZED brokers added to list Aug 2013-Jan 2014

Jarvis Cohen Associates

Published: 10/01/2014   Last Modified : 10/01/2014 We have published this statement in order to warn investors against dealing with unauthorised firms.


dgfinancialservicesltd@gmail.com (clone)

Published: 10/01/2014   Last Modified : 10/01/2014 We have published this statement in order to warn investors against dealing with unauthorised firms.


LBV Asset Management, LBV (clone firm)

Published: 09/01/2014   Last Modified : 09/01/2014 We have published this statement in order to warn investors against dealing with unauthorised firms.


Gold Asset Associates

Published: 03/01/2014   Last Modified : 03/01/2014 We have published this statement in order to warn investors against dealing with unauthorised firms.


http://www.d2fsl.com / www2.d2financialservicesltd.com (clone firm)

Published: 02/01/2014   Last Modified : 09/01/2014 We have published this statement in order to warn investors against dealing with unauthorised firms.


http://www.svsfx.com.cn (clone firm)

Published: 02/01/2014   Last Modified : 09/01/2014 We have published this statement in order to warn investors against dealing with unauthorised firms.


Protected Today

Published: 31/12/2013   Last Modified : 31/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Fast Line Legal Services

Published: 17/12/2013   Last Modified : 17/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Leighton Corporate Services LLC

Published: 12/12/2013   Last Modified : 12/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Amber Asset Management (clone firm)

Published: 11/12/2013   Last Modified : 09/01/2014 We have published this statement in order to warn investors against dealing with unauthorised firms.


McQueen and Bond

Published: 09/12/2013   Last Modified : 09/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


GE Wealth Management (clone firm)

Published: 05/12/2013   Last Modified : 05/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Westberg Equity Research Corp (WERC)

Published: 05/12/2013   Last Modified : 05/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Firkin Asset Consultants

Published: 04/12/2013   Last Modified : 04/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


KSI / Karamanof (clone firm)

Published: 04/12/2013   Last Modified : 04/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


First Trade Europe (clone firm)

Published: 03/12/2013   Last Modified : 03/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Jupiter P Morgan

Published: 03/12/2013   Last Modified : 03/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Emmett Ashford Group

Published: 02/12/2013   Last Modified : 02/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Next Financial Network

Published: 28/11/2013   Last Modified : 28/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


DeVere Group UK (clone firm)

Published: 27/11/2013   Last Modified : 09/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Estlander & Ronnlund Capital Management (clone firm)

Published: 25/11/2013   Last Modified : 26/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Curtis ISA

Published: 21/11/2013   Last Modified : 21/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Edge Capital Markets

Published: 21/11/2013   Last Modified : 21/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


NCP Financials (clone firm)

Published: 21/11/2013   Last Modified : 02/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Ava Capital Markets (clone firm)

Published: 21/11/2013   Last Modified : 02/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


First Capital Wealth Limited

Published: 20/11/2013   Last Modified : 20/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Hometrader Group PLC

Published: 20/11/2013   Last Modified : 20/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Dominic Nardone (trading as Trading Knowledge Limited)

Published: 18/11/2013   Last Modified : 18/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Primex – UTIP Trader

Published: 15/11/2013   Last Modified : 15/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


http://www.kingsleyadvice.com (clone firm)

Published: 12/11/2013   Last Modified : 12/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Cristian Pauna

Published: 12/11/2013   Last Modified : 12/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms and individuals.


Paul Atwal

Published: 12/11/2013   Last Modified : 12/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms and individuals.


Fairtrade Wealth Management

Published: 12/11/2013   Last Modified : 12/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Peter Bradshaw (clone of FCA Approved Person)

Published: 12/11/2013   Last Modified : 12/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms and individuals.


Board of International Finance

Published: 11/11/2013   Last Modified : 11/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Strategic Private Equity LLC

Published: 08/11/2013   Last Modified : 12/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Stonehill Securities

Published: 08/11/2013   Last Modified : 08/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


eKash UK Ltd

Published: 08/11/2013   Last Modified : 08/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


British Greatfount Capital / GF Capital

Published: 07/11/2013   Last Modified : 07/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Nationwide Property Buyers Limited

Published: 07/11/2013   Last Modified : 07/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


GF Capital / British Greatfount Capital (UK)

Published: 07/11/2013   Last Modified : 07/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Global Corporate Partners

Published: 07/11/2013   Last Modified : 07/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Tolland & Boch Limited

Published: 07/11/2013   Last Modified : 07/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Wellz Zable Limited

Published: 07/11/2013   Last Modified : 07/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Vincent Clare Limited

Published: 07/11/2013   Last Modified : 14/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Skandia Invest (clone firm)

Published: 06/11/2013   Last Modified : 06/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


First Asset Management Ltd

Published: 06/11/2013   Last Modified : 06/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Protect Life Insurance

Published: 05/11/2013   Last Modified : 05/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Pan American Global Partners

Published: 31/10/2013   Last Modified : 31/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


http://www.sgcbuk.com (Misusing the name of FCA EEA authorised firm)

Published: 30/10/2013   Last Modified : 30/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Protec Advisors

Published: 30/10/2013   Last Modified : 30/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Protec Gold Advisors

Published: 30/10/2013   Last Modified : 30/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Swiss Investor Club AG

Published: 28/10/2013   Last Modified : 28/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Hobart Roth LLC

Published: 28/10/2013   Last Modified : 28/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


http://www.citibankinguk.co.uk (Misusing the name of FCA authorised firms)

Published: 25/10/2013   Last Modified : 25/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Cayenne Trust Investment Plc (clone firm)

Published: 24/10/2013   Last Modified : 24/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Ellis Harper & Co LLC

Published: 23/10/2013   Last Modified : 23/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Pictet Private Wealth Management (clone firm)

Published: 23/10/2013   Last Modified : 07/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Hanover Group

Published: 22/10/2013   Last Modified : 31/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Martin Donnelly

Published: 22/10/2013   Last Modified : 22/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Harold and Bauman

Published: 22/10/2013   Last Modified : 22/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Brewer Consulting Group

Published: 22/10/2013   Last Modified : 22/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Steinberg Management

Published: 18/10/2013   Last Modified : 18/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Specialist Investor Funds

Published: 18/10/2013   Last Modified : 18/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


ForexTrada

Published: 18/10/2013   Last Modified : 18/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Quinn & Voakes Capital

Published: 17/10/2013   Last Modified : 25/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Glover Capital Group

Published: 17/10/2013   Last Modified : 17/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Hoden International Clearing

Published: 17/10/2013   Last Modified : 17/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


SKJ Capital Partners (clone firm)

Published: 16/10/2013   Last Modified : 16/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Whitney Cooper Associates

Published: 11/10/2013   Last Modified : 17/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


William Wright (clone individual)

Published: 10/10/2013   Last Modified : 10/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Property Cash Buyers

Published: 10/10/2013   Last Modified : 10/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Rowe Corporate Services

Published: 08/10/2013   Last Modified : 08/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Northern Capital Consultants

Published: 07/10/2013   Last Modified : 07/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


D G Financial Service Partner (clone firm)

Published: 07/10/2013   Last Modified : 07/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Bloomfield Advisory

Published: 03/10/2013   Last Modified : 03/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Qualtrum Adviser LLC

Published: 03/10/2013   Last Modified : 03/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Smith Securities Limited

Published: 02/10/2013   Last Modified : 03/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


One Option Finance Ltd (Clone of FCA authorised firm)

Published: 02/10/2013   Last Modified : 03/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Pacific First Securities

Published: 02/10/2013   Last Modified : 02/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Project Finance Bank

Published: 27/09/2013   Last Modified : 27/09/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


 

JAPAN FSA warning list of UNAUTHORIZED BROKERS-they updated on 9/2013

this replaces my previous post

______________________________________________________________

Below is the list of non-registered or non-authorized entities with the FSA, based on information received from investors. Investors should be aware that the solicitations of investment by these listed entities have a possibility of cold calling. Please be reminded that other suspected cold callers may exist and additional entities may be listed. Please also be advised that there have been cases where different companies were located in addresses indicated in the list below. The fact that the address is put in the list below does not mean that such companies have any connection to the listed entities.

 

******* Latest Update (Posted on September 2013) *******

 

(1) GMO Global
11th Fl. DaVinci Shiba Park Bldg. 4-1, Shiba Koen 2-chome, Minato-ku, Tokyo 105-0011, Japan
Tel: +81-3-6701-2180
FAX: +81-3-6701-2181
info@gmo-global.net
www.gmo-global.netopen new window

(2) Norris Jardine Newell Equities (NJN Equities)
Level 03, Sanno Park Tower, 2-11-1 Nagata-Cho, Chiyoda-Ku, Tokyo – 100-6162 Japan
www.njne.comopen new window

(3) Sovereign Wealth Capital
Ochanomizu Center Building 3-2-12 Hongo, Bunkyo-ku, Tokyo, 113-0033, Japan
Tel: +81367012498
Fax: +81367309716
http://sovereignwealthcapital.com/open new window

(4) Takeshi Venture Capital
Chiyoda ku Tower Marunouchi Tokyo, 100-0005
Telephone: +81 3 4520 9510
Fax: +81 3 4578 1610
www.takeshiventurecapital.comopen new window

 

********************************************

 

Abramson International
1-20-7, Nihonbashi, Chuo-ku, Tokyo 103-0027
TEL: +81-3-4520-9345 / FAX: +81-3-6385-7621
http://www.Abramsoninternational.comopen new window
Alderman Associates Ltd
Arca Central Building 14F, 1-2-1 Kinshi, Sumida-ku, Tokyo 130-0031 Japan
TEL: +81-3-4520-9536 / FAX: +81-3-6385-7599
http://www.aldermanassociatesltd.comopen new window
Anderson Munro
Nihonbashi Mitsui Tower 39th Floor, 2-1-1 Nihonbashi-Muromachi, Chuo-ku, Tokyo 163-1030 Japan
TEL: +81-3-5456-5074 / FAX: +81-3-4496-4380
http://andersonmunro.comopen new window
Aozora Alliance
World Udagawa Building, 3F, 36-6 Udagawa-cho, Shibuya-ku, Tokyo 150-0042,JAPAN
+81-3-4496-6021 / FAX+81-3-4496-6031
http://www.aozoraalliance.comopen new window
Apex Trading Group
18th Floor, Tokyo Sankei Building, 1-7-2 Ohtemachi, Chiyoda-ku, Tokyo 100-0004 Japan
TEL: +81-3-4496-4940 / FAX: +81-3-4496-4941
http://www.apex-tg.comopen new window
Asia Pacific Group
28F Shinagawa Intercity A, 2-15-1, Konan, Minato-Ku, Tokyo 108-6208 Japan
TEL: +81-3-4550-0446 / FAX: +81-3-4496-5042
http://asiapacificgroup.comopen new window
Asset Brokerage Network
Level 14 Shibarikyu Shiodome, 5-3 Kaigan, Minato-Ku, Tokyo 105-0022 Japan
TEL: +81-3-4580-0937, +81-3-4550-6882, +81-3-4590-3121 / FAX: +81-3-4496-4045
http://www.abn-group.comopen new window
Atlantic Administration
Cerulean Tower, 26-1 Sakuragaoko-Cho, Shibuya-Ku, Tokyo 150-8512 Japan.
Axis Corporate Finance
Level5 Shinsaibashi Plaza Building Shinkan 3-12-21 Minami-Senba, Chuo-ku Osaka 542-0081
TEL: +81-3-4520-8929 / FAX: +81-6-6537-1926
http://www.axiscf.comopen new window
Barlow & Ramsey
Sanno Park Tower Bldg. 2-11-1 Nagata-Cho, Chiyoda-ku, Tokyo 100-6113 Japan
TEL: +81-3-4496-5211 / FAX: +81-3-4496-5212
Beacon Global Advisors
15th Floor, Cerulean Tower, 26-1 Sakuragaoka-cho, Shibuya-Ku, Tokyo 150-8512 Japan
TEL: +81-3-5456-5037 / FAX: +81-3-4496-4047
http://www.beacon-global.comopen new window
Blue Sky Solutions Inc.
7-24 Nihonbashi Kabutocho, Chuo-Ku, Tokyo 103-0026 Japan
http://www.blueskysolutionsinc.comopen new window
Bowden Ventures
2-1 Nihombashi Kabuto-cho, Chuo-ku, Tokyo 103-8220 Japan
TEL: +81-3-4580-1727 / FAX: +81-3-4496-4011
Brentwood Group Ltd.
Level 15, Tokyo Ginko Kyokai Building, 1-3-1 Marunouchi, Chiyoda-Ku, Tokyo 100-0005 Japan
TEL: +81-3-4580-1760, +81-3-6688-4521 / FAX: +81-3-4496-6228
http://www.brentwoodgpinter.comopen new window
Bridgestone Trading Ltd
Level 28, Shinagawa Intercity Tower A, 2-15-1 Konan,Sumida-ku, Tokyo 108-6028
TEL: +81-3-6717-4200 / FAX: +81-3-6717-4201
http://bridgestonetrading.com/company.phpopen new window
* Bridgestone Corporation has no association whatsoever with the organization.
Brookdale West Capital Management
15th Floor Gate City Ohsaki-West Tower, 11-1, Osaki 1-chome, Shinagawa-ku, Tokyo 141-0032
TEL: +81-345-209-677
http://brookdalewest.comopen new window
Brunswick Knight
TEL: 03-4800-400771
http://www.brunswick-knight.comopen new window
Cahill & Audleman
502 Hillside Kagurazaka, 3-6-10 Kagurazaka, Shinjyuku-Ku, Tokyo 162-0825 Japan
TEL: +81-3-4496-4790 / FAX: +81-3-4496-4791
Calderton Capital Partners
Nihonbashi 1-chome Building, 1-4-1 Nihonbashi Chuo-ku, Tokyo 103-0027 Japan
TEL: +81-3-4588-4048
http://www.caldertoncp.com/index.htmlopen new window
Cambridge Capital
Yebisu Garden Place Tower 18 Fl. 4-20-3 Ebisu, Shibuya-ku, Tokyo 150-6018 Japan
TEL: +81-3-5148-8730 / FAX: +81-3-3779-5022
http://www.cambridge-capital.com/index.htmlopen new window
Campbell & Co. Ltd.
Suite 401, Hanahara Bldg.5, 7-8-17 Nishinakajima, Yodogawa-ku, Osaka 532-0011 Japan
TEL: +81-06-6101-0356 / FAX: +81-06-6101-0357
http://www.campbellasia.comopen new window
Capital Plus Group
14F Kamiya-cho MT Bldg. 4-3-20 Toranomon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-4580-2121 / FAX: +81-3-4496-4904
Capitol Trade
Holland Hills Mori Tower Floor 9 5-11-1 Toranomon Tokyo
Phone: 81 3 4520 6362
FAX: 81 3 4496 4366
http://www.capitoltrade.comopen new window

Carlton First Capital
Suite 2A Mizuho Building Kamiosaki, Shinagawa-Ku, Tokyo 141-0021 Japan
http://www.carltonfirstcapital.com/index.htmlopen new window
Carnegie Advisors Ltd.
807-31, Lions Plaza Ebisu, 3-25-3 Higashi, Shibuya-ku, Tokyo 150-0011 Japan
TEL: +81-3-3668-1362 / FAX: +81-3-3668-1363
Carter Sinclair Ltd
31F Osaka Kokusai, 2-3-13 Azuchi-machi, Chuo-ku, Osaka 541-0052 Japan
TEL: +81-6-4964-2616 / FAX: +81-6-4964-2628
http://www.carter-sinclair.com/contact.htmopen new window
Charles Fleming Co.
Sanno Park Tower Bldg., 2-11-1 Nagata-Cho, Chiyoda-Ku, Tokyo 100-6172 Japan
TEL: +81-3-5456-5026 / FAX: +81-3-4496-4464
Citadel Group International
Level 8 Pacific Century Place 1-1-11 Marunouchi, Chiyoda-ku Tokyo 100-6208 Japan
Citigroup Global Funds Incorporated
2-17-5 Shibuya Shibuya-ku, Tokyo 150-0002
TEL / FAX: +81-3-4496-4342
http://www.cgfi.bizopen new window
* The Citigroup companies in Japan have no association whatsoever with the organization.
Colony Capital and Associates
20th Floor Marunouchi Building, 2-4-1 Marunouchi, Chiyoda-ku, Tokyo 100-6332 Japan
TEL: +81-3-4520-9323 / FAX: +81-3-4496-4202
http://colonycapitalassociates.net/contact-us.htmopen new window
Commercial First Group
Level3 Tokyo Bankers Club Building, 1-3-1 Marunouchi, Chiyoda-ku, Tokyo 100-0005, Japan
TEL: +81-3-4550-6918 / FAX: +81-3-4496-6293
http://comfirstgroup.comopen new window
Conquest Mergers
Cerulean Tower, 36-1, Sakuragaokacho, Shibuya-ku, Tokyo, Japan
TEL: +81-3-4550-0330.
Cook Capital Partners
4-9-7 Roppongi, Minato-ku, Tokyo 106-0032 Japan
TEL: +81-3-4550-0325 / FAX: +81-3-4496-5013
http://www.cookcp.comopen new window
Cooper & Daniels Company
24F Osaka Ekimae dai 3 bldg, Umeda, Kita-ku, Osaka 1-1-3-500 Japan
TEL: +81-6-4560-4011
http://www.cooperdaniels.comopen new window
Cornerstone Worldwide
Hibiya Central Building, 1-2-9 Nishi Shimbashi, Minato-ku, Tokyo 105-0003 Japan
TEL: +81-3-4520-9241 / FAX: +81-3-4496-4170
http://www.cornerstoneworldwide.comopen new window
Crosby Capital Partners
3rd Floor, 4-3-14 Toranomon, Minoto-ku, Tokyo 105-0001
http://crosbycp.comopen new window
Crown Point Mergers and Acquisitions Limited
Shinjuku Park Tower 30th Floor, 3-7-1 Nishi Shinjuku, Shinuku-Ku, Tokyo 163-1030 Japan,
http://www.crownmergers.comopen new window
Dai-ichi Securities
15th floor, KDDI Otemachi building, 1-8-1 Otemachi, Chiyoda-Ku, Tokyo 100-0004 Japan
TEL: +81-3-4496-4201 / FAX: +81-3-4496-4202
http://www.dai-ichi-securities.comopen new window
Daine Financial Trust Management
Level 29, Shinjuku Nomura Building, 1-26-2 Nishi-Shinjuku, Shinjuku-ku, Tokyo 163-0532 Japan
TEL: +81-3-4550-6877
http://www.dainefinancialtm.comopen new window
Dawson & Fielding Inc.
8th Floor, AIG Building, 1-1-3 Marunouchi, Chiyoda-Ku, Tokyo 100-0005 Japan
TEL: 81-3-4578-9266 / FAX+81-3-4496-6155
http://www.dawsonfielding.comopen new window
DES Options
AIG Umeda Bldg, 1-27 Chayamachi, Kita-ku, Ohsaka-shi, Osaka 530-0013 Japan
TEL: +81-6-4560-4004 / FAX: +81-3-6537-1712
http://www.desoptions.comopen new window
De Verre Lloyd & Co.,Ltd.
TEL: +81-3-5456-5369
Direct Mergers & Acquisitions Inc.
17th Flr., Resona Maruha Bildg., 1-2 Otemachi 1-chome, Chiyoda-ku, Tokyo Japan 100-0004
Tel: +81-3-4579-0599 / FAX: +81-3-6369-3657
http://www.directmergersacq.comopen new window
Dragon Securities
502 Hotta-kata, 3-6-10 Hirusaido, Kagurazaka, Shinjyuku-ku, Tokyo 162-0825 Japan
TEL: +81-3-4496-4800 / FAX: +81-3-4496-4801
Drake Merger Management
8th flr., Kanematsu Bidg., 14-1, Kyobashi 2-chome, Chuo-ku, Tokyo, Japan 104-0031
TEL: +81-3-4578-0424 / FAX: +81-3-6745-1142
http://www.drakemerger.com/open new window
Dreyfus Securities Ltd.
TEL: +81-3-5404-3826
Drexel Asset Management
TEL: +81-3-5325-3043, +81-3-5219-1509
Dulton Group
2-14-10 Kanda Jinbo-cho, Chiyoda-ku, Tokyo, Japan
Dunbar Mckenzie Financial Group
Suite 2A Mizuho Building Kamiosaki, Shinagawa-Ku Tokyo 141-0021
TEL: +81-3-4233-6000 / FAX:+81-3-4233-7000
http://dunbarmckenzie.com/index_files/page0015.htmopen new window
Dunleavy Investment Limited
Level 14 Kamiyacho MT Bldg. 4-3-20, Toramonon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-4360-5534 / FAX: +81-3-4360-5535
http://www.dunleavyinvestment.com
Suite B1 AIG Building 1-1-3 Marunouchi, Chiyoda-ku Tokyo 100-0005 Japan
TEL: +81-3-5288-5940 / FAX: +81-5288-5941
e.go trade incorporated
Tokyo Otemachi 1st Square 4/F East Tower, 1-5-1, Otemachi, Chiyoda-ku, Tokyo 100-004 Japan
Equi Asia Group Ltd
Level 28, Shinagawa Intercity Building, Tower A, 2-15-1 Konan, Minato-Ku, Tokyo 108-6028 Japan
TEL: +81-3-6717-4321 / FAX: +81-3-6717-4341
First Equis Ltd.
Shibuya Mark City West 22F 1-12-1 Dogenzaka, Shibuya-Ku, Tokyo 150-0043 Japan
http://www.firstequis.comopen new window
First Prime Group
6-1-6-503 Minami-Aoyama, Minato-Ku, Tokyo, Japan
TEL: +81-3-4580-1998
http://www.firstprimegroup.comopen new window
First Prime International Ltd from Tokyo
6-1-6-503 Minami-Aoyama, Minato-Ku, Tokyo, Japan
TEL: +81-3-4550-0476
http://www.firstprimegroup.netopen new window
Fox Paine Partners Inc.
Arca Central Building 14F 1-2-1 Kinshi Sumida-ku, Tokyo 130-0013
TEL: +81-3-4578-9002 / FAX: +81-3-6385-7639
http://www.foxpainepartnersinc.comopen new window
Fujiwata Capital Group
1-8-14 Nishimiyahara, Yodogawa-Ku, Osaka 532-0004 Japan
http://www.fujicapgrp.comopen new window
Fukumoto, Toshihiro and Partners Futures Trading
Kawase Bldg 3-17-5 Shinjuku, Shinjuku-ku, Tokyo 160-0022 Japan
TEL: +81-3-4520-6363 / FAX: +81-3-6385-7561
http://www.ftpfutures.comopen new window
Global International Trading
Level 27, Shiroyama Trust Tower 4-3-1 Toranomon, Minato-Ku, Tokyo 105-6027 Japan
TEL: +81-50-5809-3362 / FAX: +81-3-4496-6328
http://globalinternationaltrading.com/index.phpopen new window
Global Strategic Management
Daitobo Building, Level 6, 20-1 Nihonbashi Hakozakicho, Tokyo, Japan
TEL: +81-3-4520-6364 Fax: +81-3-6745-8961
http://www.globalstrategicmanagement.com/open new window
Gotthard Capital Partners
Kasumigaseki Building 28th Floor 2-5, Kasumigaseki 3-Chome, Chiyoda-ku, Tokyo 100-6028
TEL:03-4550-0327 / FAX:03-4496-4849
http://www.gotthardcp.com/index.htmlopen new window
Graham Walker
8th floor, Shinjuku Mitsui Building, 2-1 Nishishinjuku, 6-24-1, Shinjuku-ku, Tokyo
TEL: +81-3-4578-9712 / FAX: +81-3-4578-9714
http://www.grahamwalker.com/contactus.htmlopen new window
Greenfield & Mato
Koraku Mori Bldg. 9F, 1-4-14 Koraku, Bunkyo-Ku, Tokyo 112-0004 Japan
TEL: +81-3-4550-6882
http://www.greenfieldmato.comopen new window
Greenfield Consulting
2-4-203 Ogikubo, Suginami-Ku, Tokyo, Japan
TEL: +813-5288-5444 / FAX: +813-4496-4922
Guardian Asset Management
Atago Green Hills Mori Tower 40F, 2-5-1 Atago, Minato-Ku, Tokyo 105-6240 Japan
TEL: +81-3-4580-1725
http://www.guardian-am.com/contactus.phpopen new window
Hannan Corporation
Harbor Trading
Roppongi Hills Mori Tower, Level14 6-10-1, Roppongi, Minato-Ku, Tokyo
TEL: +81-3-4578-0191 / FAX: +81-3-6730-9477
http://www.harbortrading.com/open new window
Hawkins & Doyle
18F JT Bldg. 2-2-1 Toranomon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-4580-2168 / FAX: +81-3-4496-5000
Heritage Mergers and Acquisition
Kamiya-cho MT Bldg. 4-3-20 Toranomon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-5404-3560 / FAX: +81-3-4496-4930
Huber Acquisition Group* previously known as Castle Rock Finance and Hitomi Acquisitions
22nd Flr., Atago Green Hills MORI Tower5-1, Atago 2-chome, Minato-ku, Tokyo, Japan, 105-6228
TEL: +81-3-4578-0425 / FAX: +81-3-6745-9383
http://www.huberacqgroup.com/open new window
Ideal Merger Group
Tamurakoma Bldg, 5-9 Azuchi-machi 3 Chome, Chuo-ku, Osaka City, Osaka 541-0052
http://www.idealmergergroup.com./open new window
Jacob & Burns
Koraku Mori Bldg 9F, 1-4-14, Koraku, Bunkyo-Ku, Tokyo 112-004 Japan
TEL: +81-3-4496-4857 / FAX: +81-3-4496-4320
Jam Capital Corporation
Shin Marunouchi Bldg, 1-5-1 Marunouchi, Chiyoda-ku, Tokyo 100-6590 Japan
http://www.jam-capital.comopen new window
Kaikatsu Group Limited
Tokyo Ginko Kyokai Building 1-3-1 Marunouchi, Chiyoda-Ku, Tokyo 100-0005 Japan
TEL: +81-3-4496-5255 / FAX: +81-3-4496-5256, +81-3-4496-5257
Kearns Investments Inc.
TEL: +81-3-5288-5414
Keldione International
Shinjuku Park Tower N30, 3-7-1 Nishi Shinjuku, Shinuku-Ku, Tokyo 163-030 Japan
FAX: +813-4496-6277
http://keldioneint.comopen new window
Kendall Morgan Partners Tokyo
Akihabara Dai building 76 Sotokanda 1 Chiyoda-ku Tokyo 1001-0021
Tel +81-3-6740-6076 Fax +81-3-6740-8379
www.kendallmorganpartners.comopen new window

Kensington International Group Ltd.
TEL: +81-3-5326-3125
Keystone Consulting Inc.
2-4-1 Toranomon, Minato-Ku, Tokyo 105-6016 Japan
TEL: +81-3-5403-4652 / FAX: +81-3-4496-6060
http://www.keystoneconsultinc.comopen new window
Kimura Financial
63-2 Horinouchi Oura, Tohoku-machi, Kamikita-gun, Aomori 039-2402 Japan
TEL: +81-3-4496-4064 / FAX: +81-3-4496-4074
http://www.kimurafinancial.comopen new window
Kirayaka International
Head Office 17th Fl., Hibiya Kokusai Building, 2-3 Uchisaiwai-cho 2-chome, Chiyoda-ku, Tokyo 100-0011. Japan
TEL: +81 3 6740 9975, / FAX: +81 3 6740 9976
http://www.kirayakainternational.com/open new window
Kiyo Financial
13-3, Nihonbashi 3-chome, Chuo-Ku, Tokyo 103-0027 Japan
TEL: +81-3-4580-1748 / FAX: +81-3-4496-4243
http://kiyofinancial.comopen new window
Lee Hamilton & Associates
4th Floor, Palaceside Bldg. 1-1 Hitotsubashi 1-chome, Chiyoda-ku, Tokyo 100-0003 Japan
http://leehamiltonassoc.comopen new window
Liberty Securities
39th Floor, Shinjuku Nomura Building, Shinjuku, Shinjuku-ku, Tokyo 160-0022 Japan
TEL: +81-50-5809-8850 / FAX: +81-3-4496-6098
http://www.libertysecurities.org/index.phpopen new window
Linden Ventures
Shinjuku Park Tower 30th Floor, 3-7-1 Nishi-Shinjuku, Shinjuku-ku, Tokyo 163-1030 Japan
TEL: +81-3-4580-2174, +81-3-4580-0927 / FAX: +81-3-4496-4259
Link Merger & Acquisitions
21 Ichiban-Cho, Chiyoda-Ku, Tokyo 102-0082 Japan
TEL: +81-3-4580-2144 / FAX: +81-3-4496-4333
Maganura Mergers & Acquisitions
25-32-408 Sakuragaoka-Cho, Shibuya-ku, Tokyo 150-0031
TEL:+81-3-4520-6367
http://www.maganura-ma.orgopen new window
Manhattan Fujiwara International
Arca Central Building 14F, 1-2-1 Kinshi Sumida-ku, Tokyo 130-0013
TEL: +81-3-4496-6277
http://www.manhattanfuji.jpopen new window
Mann International
Level 7, Wakamatsu Building, 3-3-6 Nihonbashi-Honcho, Chuo-Ku, Tokyo 103-0023 Japan
TEL: +81-3-4550-0334 / FAX: +81-3-4496-4096
http://www.manninternational.comopen new window
Masahiro International
25-32-408 Sakuragaoka-Cho, Shibuya-Ku, Tokyo, Japan
TEL: +81-3-4580-1656
http://www.masahirointernational.comopen new window
Masaru and Associate
1-11-4 Akasaka, Minato-Ku, Tokyo 107-8420 Japan
http://masaruassociates.comopen new window
Masters Financial Corporation
3F-314 Sokendoshumachi building, 2-1-10, Doshumachi, Chuo-ku, Osaka
TEL: +81-6-4560-4004
http://www.mastersfinancialcorp.comopen new window
Merit Corporate Finance
24F Hankyu Grand Building, 8-47 Kakuda-cho, Kita-ku, Osaka 530-0017 Japan
TEL: +81-6-4560-4006
http://www.meritcorpfinance.comopen new window
Milton Hayward Ltd
Yurakucho Ekimae Building Level 12, Yurakucho 2-7-1, Chiyoda-ku Tokyo 541-0052 Japan
TEL: +81-3-5456-5049 / FAX: +81-3-4496-4021
http://www.miltonhayward.comopen new window
Mitsui Asset Management
Level 12, Edobori Center Building, 2-1-1 Edobori, Nishi-ku, Osaka 550-0002 Japan
TEL: 81-6-4560-4010 / FAX: 81-6-6573-1689
http://www.mitsuiassetmgmt.comopen new window
* Sumitomo Mitsui Asset Management Company, Limited and Chuo Mitsui Asset Management Company, Limited have no association whatsoever with the organization
Mitsui Financial
TEL: +81-50-5534-5315
http://www.mitsuifinancial.comopen new window
Mitsui, Lane & Associates
Level 15, 2-2-1 Toranomon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-4496-4464
http://www.mitsuilaneandassociates.comopen new window
Momentum Consultants Limited
807-31, Lions Plaza Ebisu, 3-25-3 Higashi, Shibuya-ku, Tokyo 150-0011 Japan
TEL: +81-3-3668-1362 / FAX: +81-3-3668-1363
Morgan Financial Advisors
Nishishinjuku-1, Suite 104 Shinjuku, Skyscraper District, Shinjuku-ku, Tokyo Japan
TEL: +81-3-4550-6896 / FAX: +1-646-3679519, +1-866-3641457
http://www.morgan-advisors.comopen new window
Morley Thompson
24th Floor, Marunouchi Building, 2-4-1 Marunouchi, Chiyoda-Ku, Tokyo 100-6324 Japan
TEL: +81-3-4580-0920 / FAX: +81-3-4496-5015
http://www.morleythompson.comopen new window
MTR Global
12/F Tokyo Banker’s Club Build, 1-7-2 Marunouchi, Chiyoda-ku, Tokyo 100-0005. Japan
TEL: +81-3-6388-0372 FAX: +81-3-6388-0373
http://www.mtrglobal.comopen new window
New Asia Business Consultants
32Floor St. Lukes Tower, 8-1 Akashi-cho, Chou-ku, Tokyo 104-8518 Japan
TEL: +81-3-4520-6303 / FAX: +81-3-4496-6049
http://www.now.asia-consult.comopen new window
New Gold Capital
Hibiya Central Building, 1-2-9 Nishi-Shinbashi, Minato-ku, Tokyo 105-0003, Japan
TEL: +81-3-6745-8443 FAX: +81-3-6745-9396
http://www.newgoldcapital.comopen new window
New England Worldwide Services
Level 15, Hilton Plaza West Office Tower, 20202 Umeda, Kita-ku, Osaka 530-0001 Japan
TEL: +81-6-4560-4008
http://www.newenglandwwservices.comopen new window
New Market Corporation
Yurakucho 2-7-1, Chiyoda-ku, Tokyo, Japan
TEL: +81-3-4580-2171 / FAX: +81-3-4580-2197
http://www.newmarketcorp.comopen new window
NEXT Futures Co. Ltd.
2-4-7 Sugamo Toshima-ku, Tokyo 170-0002 Japan
TEL: +81-3-4550-6918 / FAX: +81-3-4496-4085
http://www.nextfutures.com/contact/open new window
Nikkei Financial
36th Floor, Dentsu Honsha Building, 1-10-2 Higashi-Shinbashi, Shiodome SIO-SITE, Minato-ku, Tokyo, Japan
TEL: +81-3-4520-9438 / FAX: +81-3-4496-4029
http://www.nikkei-financial.comopen new window
Nishimura Mergers and Acquisition
2F Tokyo World Trade Center Bldg. 1-7-8 Kaigan, Minato-Ku, Tokyo 105-0022 Japan
TEL: +81-3-5456-5059
Norbert Associates
9F AIG Bldg. 1-1-3 Marunouchi, Chiyoda-Ku, Tokyo 100-0005 Japan
TEL: +813-4496-4850 / FAX: +813-4496-4851
Okamura Asset Management
Shinjuku Park Tower 30th Floor, 3-7-1 Nishi Shinjuku, Shinjuku-Ku, Tokyo 163-1030 Japan
TEL: +813-4580-2168 / FAX: +813-4496-6417
http://www.okamuraam.comopen new window
Okuma Group
Marunouchi Trust Tower Main 16th Floor, 1-4-3 Marunouchi, Chiyoda-ku, Tokyo 100-0045 Japan
TEL: +81-3-4496-4733 / FAX: +81-3-4496-4734
http://www.okumagroup.comopen new window
Oppenheimer Lloyd
1-11-3 Marunouchi, Chiyoda-Ku, Tokyo 100-6208 Japan
TEL: +81-3-4578-9054 / FAX: +81-3-4578-9245
http://www.oppenheimerlloyd.comopen new window
Oracle Equity Management
2-2-8 Nanko-Kita, Suminoe-Ku, Osaka, Japan
TEL: +81-6-4560-4033 / FAX: +81-6-6537-1696 or +81-6-6537-1633
http://www.oracleem.comopen new window
Palmer Brown Management Inc
5Floor, ThinkPark Tower, 2-1-1 Osaki, Shinagawa-ku, Tokyo 141-6005 Japan
TEL: +81-3-6688-7109 / FAX: +81-3-6688-7089
http://www.palmer-brown.comopen new window
Paragon Options Management
Level 9, Ariake Frontier Bldg. Tower B 3-1-25 Ariake, Koto-ku Tokyo 135-0063 Japan
TEL: +81-3-4570-7616 / FAX: +81-3-4570-7616
http://paragonoptionsmanagement.comopen new window
Park East Capital
Level 14, 1-2-9 Nishi Shimbashi, Minato-Ku, Tokyo 105-0003 Japan
TEL: +81-3-4496-4250 / FAX: +81-3-4496-4251
http://www.parkeastcapital.comopen new window
Pendleton and Associates
Hanako Building, 34 F 11th Floor, 6-14-17, Showa Dori, Ginza District, Tokyo 104-0061 Japan
TEL: +81-3-3242-6165 / FAX. +81-3-6385-7698
http://www.pendletonandassociates.comopen new window
Penn Capital management Ltd
1-4-27 Shiromi, Chuo-ku, Osaka 540-8560 Japan
TEL: +81-6-4560-4030 / FAX: +81-6-6537-1768
http://www.penncm.comopen new window
Pollack and Quinn
Shinjuku Mitsui Building, 21st Floor, 2-1-1 Nishishinjukuku, Shinjuku-ku, Tokyo 163-0421 Japan
http://www.pollackquinn.comopen new window
Power Point Capital
1-5-1 Marounichi, Chiyoda-Ku, Tokyo 100-6520 Japan
TEL: +81-3-4520-9329 / FAX: +81-3-4496-4989
http://www.powerpointcapital.comopen new window
Premium Alliance Group
28F Shinagawa Intercity A, 2-15-1, Konan, Minato-Ku, Tokyo 108-6208 Japan
TEL: +813-5325-3223 / FAX: +813-5325-3131
Profidex
Levels 9-11, AIG Building, 1-1-3 Marunouchi, Chiyoda-Ku, Tokyo 100-0005
TEL: +81-3-5288-5296 / FAX: +81-3-4496-4835
Rothman Global
Shibuya Mark City 1-12-1, Dogenzaka, Shibuya, Tokyo 150-0043, Japan
http://rothmanglobal.comopen new window
Sachiko International
5-3-13 Minami Azabu, Minato-Ku, Tokyo 106-0047 Japan
http://www.sachint.netopen new window
Saitou Consulting Financial Solutions
2-2-2 Uchi-saiwai-cho Chiyoda-ku, Tokyo 150-6237 Japan
TEL: +81-3-4520-9303 / FAX: +81-3-4496-4221
http://saitoucon.comopen new window
Sakuma Group
105 Kowa Shiba Park Bldg, 3F 1-1-11 Shiba Park, Minato-ku, Tokyo 105-0011
http://www.sakumagroup.comopen new window
Sakura Financial Group
Trusty Kojimachi Bldg, 3-4 Kojimachi, Chiyoda-ku, Tokyo 102-0083 Japan
TEL: +81-3-4496-4348 / FAX: +81-3-4496-4349
http://www.sakurafinancialgroup.comopen new window
Scott Fitzgerald Group
Dogenzaka Kabuto Bldg., Dogenzaka Shibuya-Ku, Tokyo 150-0043
TEL: +81-3-4580-1689
http://www.scottfitzgeraldgroup.comopen new window
Securities Intermediary Brokers (SIB)
Level 27, Tokyo Sankei Building, 1-7-2 Otemachi, Chiyoda-Ku, Tokyo 100-0004 Japan
TEL: +81-3-4550-6946
http://securitiesintermediarybrokers.jpopen new window
Select Capital Management
9F AIG Bldg. 2-18-6 Nihonbashi, Chiyoda-Ku, Tokyo 103-0027 Japan
Shinsei Associates
7th F, Kyodo Tsushin Kaikan, 2-5, Toranomon 2-chome, Minato-ku, Tokyo 105-0001 Japan
Tel: +81 3 4496 6021 / FAX: +81 3 4496 6031
https://www.shinseiassociates.comopen new window
Shintomi Trading
12-21-2 Otemachi, Chiyoda-ku, 100-0004, Tokyo, Japan
http://www.shintomitrading.com/open new window
Smart Trade Group
Level 28 Shinagawa Intercity A, 2-15-1, Konan, Minato-Ku, Tokyo 108-6208 Japan
TEL: +81-3-4550-0340 / FAX: +81-3-4496-4 271
http://www.smarttradegroup.comopen new window
Smith and White Transfer Agents LTD.
1-2-9 Nishi Shimbashi, Minato-Ku, Tokyo 105-0003. Japan
TEL: +81-3-4520-6369
http://www.sw-transferservices.comopen new window
Smith and White Transfer Agents LTD.
1-2-9 Nishi Shimbashi, Minato-Ku, Tokyo 105-0003. Japan
TEL: +81-3-4520-6369
http://www.sw-transferservices.comopen new window
Solomon Layb
Roppongi Tower 7-10-2, Chiyoda Business Park, 2-5-4 Kojimachi, Chiyoda-ku Tokyo 102-0083 Japan
http://www.solomon-layb.comopen new window
Source One International
Level 11, Aoyama Palacio Tower 3-6-7 Kita-Aoyama, Minato-Ku, Tokyo 107-0061 Japan
TEL: +81-3-4520-6306 FAX: +81-3449-64129
http://www.sourceoneinternational.com/index.htmlopen new window
Sovereign Global Trading
Level 21, Shiodome Shibarikyu Building, 1-2-3, Kaigan, Shiodome, Minato-ku, Tokyo 105-0022 Japan
TEL: +813-5403-6368
http://www.sovtrading.comopen new window
Stockbridge Partners
Yasuda Seimei Building Floor 18, 3-3-20 Umeda, Osaka, Japan
TEL: +81-6-4560-4039 FAX: +81-6-7635-4783
http://stockbridgepartners.com/index.phpopen new window
Sukumo Group
TEL: +81-3-5219-1528
Sun Worldwide
TEL: +81-3-4550-0325 / FAX: +81-3-4496-6375
http://www.sunworldwide.comopen new window
Taiyo Financial
Toyo-cho, Shinei Bldg.12F 4-chome 3-1 Toyo, Koto-ku, Tokyo 135-0016
TEL: +81-3-4550-0458 / FAX: +81-3-4496-4494
http://www.taiyofinancial.comopen new window
Takahashi Nakamura Associate
1-11-1 Marunouchi, Chiyoda-ku, Tokyo 100-6208 Japan
TEL: +81-3-4550-0322
http://www.takahashinakamura.comopen new window
Takeda Financial Co.Ltd
Kawase Bldg 3-17-5 Shinjuku, Shinjuku-ku, Tokyo 160-0022
TEL: +81-3-4520-9327 / FAX: +81-3-4496-4332
http://www.takedafinancial.com/contactopen new window
Takeshi Financial
6-2-4 Akasaka, Minato-Ku, Tokyo 107-6245 Japan
FAX: +81-3-4496-4347
http://www.takeshifinance.comopen new window
Talbot and Reese, Inc
Shinjuku Monolith, 16th Floor, 2-3-1 Nishi Shinjuku, Shinjuku-Ku, Tokyo 163-0916 Japan
TEL: +81-3-4580-2055 / FAX: +81-3-4496-5096
http://www.talbotreese.comopen new window
Tanaka Securities
1-40-4 Kamiosaki, Minato-Ku, Tokyo 105-0011 Japan
http://www.tanasecure.comopen new window
Tech-Link International Limited
Teikoku Commodities
Shin-Marunouchi Bidg, 1-5-1 Marunouchi, Chiyoda-ku, Tokyo 100-6590
TEL: +81-3-4520-9237
http://www.teikokucommodities.comopen new window
The Stockton Group
502 Ohashi-Building, 1-16, Kanda-Sakumacho, Chiyoda-ku, Tokyo 101-0025 Japan
TEL: +81-3-4496-5110 / FAX: +81-3-4496-5111 , +81-3-4496-5112
Thomas Castle Management
8th Floor, Kasumigaseki Building, 3-2-5 Kasumigaseki, Chiyoda-Ku, Tokyo 100-6010 Japan
TEL: +81-3-4580-1758 / FAX: +81-3-4496-4046
http://www.thomas-castle.comopen new window
Thomas Moore
Fukoku Seimei Bldg, 2-2-2, Uchisaiwai-cho, Chiyoda-ku, Tokyo 100-0011 Japan
TEL: +81-3-4520-9682 / FAX: +81-3-4496-6466
http://www.thomasmoore.bizopen new window
Trinity Ventures
502 Hillsidekagurazaka, 3-6-10 Kagurazaka, Shinjuku-Ku, Tokyo 162-0825 Japan
TEL: +813-4496-5041 / FAX: +813-4496-5042
http://www.trinity-ventures.comopen new window
Vantage Pro Asset Management
Level 7, Wakamatsu Building, 3-3-6 Nihonbashi-Honcho, Chuo-Ku, Tokyo 103-0023 Japan
TEL: +81-3-6202-2913 / FAX: +81-3-6202-2912
http://www.vantagepro.jpopen new window
Venture Associates
34 F Yamashiku Building, 5-9-4 Otemachi, Chiyoda, Tokyo, Japan 100-0006
TEL: + 813-4578-9500 / FAX: + 813-4496-4360
http://www.ventureassoc.comopen new window
Waldon McLean Associates
Toranomon Yatsuka Building, 1-1-11 Atago, Minato-Ku, Tokyo 105-0002 Japan
TEL: +81-3-4580-1656 / FAX: +81-3-4580-1721
http://www.waldonmclean.comopen new window
Warren and Baker
TEL: +81-3-5219-1531
WB Global
Azabu East Court, 2-22-5 Higashi Azabu Minato-ku, Tokyo, 106-0044 Japan
TEL: +81-3-4588-8725
www.wbglobal.netopen new window
Webb Capital Partners
Atago Green Hills MORI Tower 37F, 2-5-1 Atago Minato-ku, Tokyo 150-6237 Japan
TEL: +81-3-4520-8985 / FAX: +81-3-4496-4825
Western Pacific Advisor, Inc
Tokyo Otemachi 1st Square 4/F East Tower, 1-5-1, Otemachi, Chiyoda-ku, Tokyo 100-004 Japan
TEL: 81-3-4520-9775 / FAX: 81-3-4520-9776
http://www.westpacificadvisors.comopen new window
Westernfield Holding
Shinjuku Park Tower S 20/F, 3-7-1, Nishi-Shinjuku, Shinjuku-ku, Tokyo 163-1035 Japan
TEL: +81-3-4520-9532 / FAX: +81-3-4496-6474
http://www.western-field.comopen new window
Wilshire-Park
Sumitomo Fudosan Mita Twin Building, West Wing, 6F, Mita 3-chome, Minato-ku, Tokyo,
TEL: +81-3-4578-9381 / FAX: +81-3-4578-9382
http://www.wilshire-park.comopen new window
Yamaguchi Partners Global Head Office
16F Seiroka Tower 8-1, Akashi-cho, Chuo-ku, 104-6591 Tokyo, Japan,
Tel: +81-3-6369-3995 / FAX: +81-3-6369-3997
http://www.yamaguchipartners.comopen new window
Yamato & Associates
koraku Mori Bldg 9F, 1-4-14, Koraku, Bunkyo-Ku, Tokyo 112-004 Japan
http://www.yamatoandassociates.comopen new window
Yoshida, Wells & Associates
29-8, Hamamatsu-cho 1-chome, Minato-ku, Tokyo 105-0013
TEL: +81-3-4496-4430
http://yoshidawells.comopen new window
Yutaka Commodities,Inc
Higashishinbashi 1-chome Minato-ku Tokyo 105-0021
TEL: +81-3-4520-9234 / FAX: +81-3-4496-4685
http://www.yutakacommodities.com/ open new window

 

Non-authorized regulators and securities/financial exchanges

 

Asian Carbon Trade Exchange
Level 9, Edobori Center Building, 2-1-1, Edobori, Nishi-Ku, Osaka 550-0002 Japan
TEL: +81-6-6225-1319
http://www.asiancarbontrade.comopen new window
Central Exchange Bureau
Level 16, Yebisu Garden Place Tower, 4-8-3 Ebisu, Shibuya-ku, Tokyo 150-6018 Japan
TEL: +81-3-4580-1629
http://cexb.orgopen new window
Central Registration Department
HSBC Building 11-1, Nihonbashi3-choume, Chuo-ku, Tokyo 103-0027
Commodities Futures Trade Board
http://www.cftb.jpopen new window
Cross Border Acquisition Commission
Level 22, Tokyo Sankei Building, 1-7-2 Otemachi, Chiyoda-Ku, Tokyo 100-0004 Japan
TEL: +81-3-4578-9579
http://www.cba-commission.orgopen new window
Eastern Equity Division
Level 9, Ariake Frontier Bldg. Tower B, 3-1-25 Ariake, Koto-ku Tokyo 135-0063 Japan
TEL: +81-3-4520-9242 / FAX: +81-3-6385-7636
http://www.easterned.orgopen new window
Equity Management Bureau
Intercity Tower A, Level 18, Shinagawa, 2-15-1 Konan, Minato-Ku, Tokyo 108-6028 Japan
TEL: +81-3-4520-9427 / FAX: +81-3-6385-7542
http://www.eqmb.orgopen new window
Equity Trading International Commission (ETIC)
35F, Sunshine 50, 2-1-1, Higashi Ikebukuro, Toshima-ku, Tokyo 170-6045 Japan
TEL: +81-3-4578-9022
http://www.etic.orgopen new window
http://www.eqtic.orgopen new window
Financial Exchange Authority
Level16, Aoyama Palacio Tower, 3-6-7 Kita-Aoyama, Minato-ku, Tokyo 107-0061
TEL: +81-3-4550-0684 / FAX: +81-3-6730-9726
http://www.financialxa.orgopen new window
Financial Trading Commission
Level 20, 1-3-3 Kaigan, Tokyo 105-0022 Japan
TEL: +81-3-4588-8710
http://www.fintco.orgopen new window
International Acquisition Authority
Level 4, Wakamatsu Building, 3-3-6 Nihonbashi-Honcho, Chuo-Ku, Tokyo 103-0023 Japan
TEL: +81-3-4578-9693
http://interaa.orgopen new window
International Association of Securites Varification
4-9-7 Roppongi Minato-ku Tokyo,106-0032
TEL: +81-3-4588-8764 / FAX: +81-3-4580-7166
International Equities Administrators
2-12-4 Toranomon, Minato-ku Tokyo,105-0001
TEL: +81-3-4550-0335 / FAX: +81-3-4496-4455
International Equity Authority
14 Flr Shinjuku Maynds Tower, 2-1-1 Yoyogi, Shibuya Ward, Tokyo 100-0004
International Equity Regulation Department
12/F, Tokyo Bankers Club Building, 1-2-1, Marunouchi, Chiyoda-ku, Tokyo 100-0005 Japan
http://interd.orgopen new window
International Exchange Regulatory Agency
Yokohama Business Park 134 Godo-Cho, Kanagawa, Tokyo, Japan
TEL: +81-3-4520-9560 / FAX:+81-3-6385-7549
http://www.intexra.orgopen new window
International Mergers & Aquisitions Administration
17th Flr., Fujino Bldg. 15-18 Nihonbashi Kodenma-cho, Chuo-ku Tokyo, 103-0001, Japan
TEL: +81 3 4578-0375 / FAX: +81 3 6745-9514
International Mergers & Acquisitions Authority

1) 17th Flr., Fujino Bldg. 15-18 Nihonbashi Kodenma-cho, Chuo-ku Tokyo, 103-0001, Japan
TEL: +81 3 4578-0375 / FAX: +81 3 6745-9514

2) 22-11, Hokima 1-chome, Adachi-ku, Tokyo,121-0064
TEL; +81 3 4578-0625 / FAX: +81-3-6745-8657

http://www.imcqa.org/open new window

Intercontinental Mergers & Acquisitions Agency
9th Flr. Yamaguchi Bldg. 8-17, Iwamoto-cho 1-chome Chiyoda-ku Tokyo 101-0032, Japan
http://www.interconma.org/open new window
International Securities Commission
Siodome Sumitomo Building 14th Floor 1-9-2 Higashi-Shimbashi Minato-ku Tokyo 105-0021
TEL: +81-3-4590-3164 / FAX: +81-3-4496-6333
http://www.intersc.orgopen new window
International Stock Regulators Board
Marunouchi Bidg. 23G, 3-2-4 Marunouchi, Chiyoda-ku, Tokyo 100-6323
TEL: +81-3-4550-0331
http://www.intsrb.orgopen new window
International Trade Advisory Committee
Ginza Fugetsudo Building, 104-0061 Tokyo, Japan
FAX: +81-3-6385-7514
http://intl-tradeac.comopen new window
International Trading Bureau
Izumi Garden Tower 18th Floor 1-6-1 Roppongi, Minato-ku, Tokyo 106-6018
TEL: +81-3-4588-8763
Japan Futures Trading Board
http://www.jftb.org/engopen new window
KMEX Kyoto Merchantile Exchange
67 Kusakawa-cho, Nanzenji, Sakyo-Ku, Kyoto 606-8437, Kyoto Prefecture, Japan
Mergers and Acquisitions Financial Administration
11th Floor Hanwha Bldg, 10-1 Shiba 4-chome, Minato-ku, Tokyo, 108-0014
Tel: +008-134-578-0376 Fax: +008-136-745-4952
regulation@mafinad.orgopen new window

Mergers & Acquisitions Regulatory Commission (MAREGCOM)
Level 14, Hibiya Central Building, 1-2-9 Nishi Shimbashi, Minato-Ku, Tokyo 105-0003
TEL: +81-3-4580-2174
http://www.maregcom.orgopen new window
Mergers & Acquisitions Supervison & Administration Commission(MASAC)
15th Flr., Fujino Building 11-8, Nihonbashi Kodenma-cho Chuo-ku, Tokyo 103-0001
TEL: +81-3-4579-00370 / FAX: +81-3-6745-2891
http://www.masac.org/open new window
Nikkei Securities Exchange Group
15th Fl. Tokyo Exchange Bldg Nihonbashi Kabutocho, Chuo-ku, Tokyo, Japan
TEL: +81-3-9588-5988 / FAX: +81-3-9588-2989
http://www.nikkei-securities.jpopen new window
Osaka Futures and Options Exchange
Hankyu Grand Building, 8-47, Kakuta-cho, Kita-Ku, Osaka 530-0017
http://www.ofox.jpopen new window
The Financial Services Regulatory Authority
http://fsra.jpopen new window
The Tokyo Futures and Options Exchange
166-0002 Koenji-Kita, Suginami-Ku, Tokyo 166-0002
http://www.tfox.jpopen new window
Tokyo Board Options Exchange
14-3 Nagato Cho 2-Chome, Chiyoda-Ku, Tokyo Japan 100-0014
http://www.tboex.comopen new window
Tokyo Commodities Futures Exchange
3-43-13 Koenji-Kita, Suginami-Ku, Tokyo, Japan
http://www.tcfx.jpopen new window
Tokyo Commodities Trading Authority
Dai-ichi Tekko Building, Chiyoda-ku, Tokyo 100-0005 Japan
http://hkhoster.com/tocomta.org/jp/open new window
Tokyo Futures Trading Board
Level 16 & 27, Shiroyama Trust Tower 4-3-1 Toranomon, Minato-ku, Tokyo 105-6016 (Level 16) 105-6027 (Level 27) Japan
http://www.toftb.comopen new window
Tokyo World Future Exchange
http://www.twfex.comopen new window
World Securities Authority
Level7, Nittochi Nishi-Shinjuku Building, 6-10-1 Nishi-Shinjuku, Shinjuku-ku, Tokyo
TEL: +81-3-4550-0685 / FAX: +81-3-6730-9627
Yokohama Mercantile Exchange (YKMEX)
Naka-ku Tower, Nogecho 3-13-7, Yokohama, Kanagawa Prefecture,231-0064 Japan
http://www.ykmex.orgopen new window


 

[Attachment]

 

Investors Alert by the IOSCO

 

  1. In February, 2002, the International Organization of Securities Commissions (IOSCO) released a statement of “Investors Alert on cold calling,” of which points are as follows:
    • Generally speaking, an entity is required to have some form of authorization by the regulators in the country where the investors that it would solicit reside, in order to conduct financial/securities business. There is a possibility that cold callers do not have such authorization and they are involved in illegal activities by which investors lose their money.
    • Therefore, investors should not make an investment solely on the basis of “cold calls.” Before making an investment decision and paying money, investors should, at the very least, check whether the entities are given registration and/or authorization as securities dealers, investment advisers, etc., by the regulators in the jurisdictions where the investors reside and the entities claim to operate. Investors also should make serious inquiries into the legitimacy of the entity if the entity promises spectacular returns or “guaranteed” profits.
  2. The IOSCO Asian Pacific Regional Committee (APRC) also announced a press release in February, 2002. The APRC members, including the FSA, expressed their intension to enhance cooperation, mutual assistance and information-sharing to detect illegal activities, as well as to publicize the names of unlicensed/unregistered entities, in order to prevent investors from becoming victims by fraudulent activities.