JFSA Registration Status: Active
Kanto Local Finance Bureau (Kin-sho) No. 2345 | Type: Investment Advisory and Agency Business
Registered & Regulated
Compliance Rate
100%
57/57 requirements met
Capital Surplus
JPY 235M
above minimum
Registered Reps
4
qualified personnel
Customer Assets
JPY 32.0B
segregated
JFSA Registration Details
Registration Information
Registration Number:Kanto Local Finance Bureau (Kin-sho) No. 2345
Registration Type:Investment Advisory and Agency Business
Registration Date:April 1, 2019
Status:
Active
Registered Business Types
Investment Advisory Business
Investment Management Business
Type II Financial Instruments Business
JFSA Regulatory Compliance Framework
| Requirement | Regulation | Description | Controls | Implemented | Status |
|---|---|---|---|---|---|
Investment Advisory Business Act | FIEA Article 29 | Registration and conduct requirements for investment advisers | 10 | 10 | Compliant |
Customer Asset Segregation | FIEA Article 43-2 | Segregation and protection of customer assets | 8 | 8 | Compliant |
AML/CFT | FATF Standards | Anti-money laundering and counter-terrorism financing | 12 | 12 | Compliant |
Internal Control System | FIEA Article 38 | Internal management and control systems | 9 | 9 | Compliant |
Fiduciary Duty | FIEA General | Duty of loyalty and care to customers | 7 | 7 | Compliant |
Disclosure Requirements | FIEA Article 37-3 | Mandatory disclosures to customers and regulators | 11 | 11 | Compliant |
| Total | 57 | 57 | 100% |
JFSA Business Reports Filing History
| Period | Report Type | Due Date | Filed Date | Status |
|---|---|---|---|---|
| Q3 2025 (Jul-Sep) | Quarterly Business Report | October 31, 2025 | October 25, 2025 | Filed |
| Q2 2025 (Apr-Jun) | Quarterly Business Report | July 31, 2025 | July 28, 2025 | Filed |
| Q1 2025 (Jan-Mar) | Quarterly Business Report | April 30, 2025 | April 26, 2025 | Filed |
| FY 2024 Annual | Annual Business Report | June 30, 2025 | June 25, 2025 | Filed |
Registered Investment Advisers
| Name | Role | License Number | Qualifications | Status |
|---|---|---|---|---|
| Takeshi Yamamoto | Chief Investment Officer | J-001-2345 | Securities Analyst, CIIA | Registered |
| Yuki Tanaka | Portfolio Manager | J-002-2346 | CFA, FRM | Registered |
| Kenji Sato | Compliance Officer | J-003-2347 | Compliance Professional | Registered |
| Akiko Suzuki | Investment Analyst | J-004-2348 | Securities Analyst | Registered |
Capital Adequacy
Registered CapitalJPY 50M
Net AssetsJPY 285M
Minimum CapitalJPY 50M
SurplusJPY 235M
Customer Asset Segregation
Total Customer AssetsJPY 32.0B
Segregated AmountJPY 32.0B
Trust Accounts145
Last Reconciliation
Daily
JFSA Inspections & Regulatory Requirements
On-site Inspection
Remediated
Date: March 2024 | Focus: Customer Asset Segregation and Internal Controls | Findings: 1
Off-site Monitoring
Closed
Date: October 2025 | Focus: Quarterly Business Reports Review | Findings: 0
Investment Advisory Business Act Compliance
Investment advisory and management businesses must maintain customer asset segregation in trust accounts, submit quarterly business reports, ensure fiduciary duty to clients, and maintain adequate internal controls and compliance systems.
Custodian Trust Banks
Customer assets segregated at: Nomura Trust & Banking, Mizuho Trust & Banking, SMBC Trust Bank
Reporting Requirements
- • Quarterly Business Reports (within 1 month)
- • Annual Business Reports (within 3 months)
- • Material Event Notifications (immediate)
- • Customer Asset Reports (monthly)
Key Compliance Areas
- • Fiduciary duty and best interest standard
- • Customer asset segregation in trust
- • Internal control and risk management
- • AML/CFT and Know Your Customer