Institution record
Mizuho Securities
Mizuho Securities Co., Ltd
- Source score
- 4.0
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (institutions licensed across asia-pacific and the middle east) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
In our coverage Securities and Futures Commission | AEZ953 | Regulated | Mizuho Securities Asia Limited | 2005-04-27 | |
In our coverage Monetary Authority of Singapore | Not supplied | Regulated | MIZUHO BANK, LTD. | — | |
In our coverage Financial Services Agency | 7010001008687 | Revoked | — | 2007-09-30 | |
In our coverage Hong Kong Monetary Authority (HKMA) | Not supplied | Regulated | MIZUHO BANK, LTD. | — | |
BaFin Bundesanstalt für Finanzdienstleistungsaufsicht | 10115675 | Regulated | Mizuho Bank Europe N.V. | — | |
European Central Bank (ECB Banking Supervision / SSM) European Central Bank (ECB Banking Supervision / SSM) | 724500ZSA7ZOZHUXBS53 | Regulated | Mizuho Bank Europe NV | — | |
Financial Conduct Authority Financial Conduct Authority | 119256 | Regulated | Mizuho International plc | 2021-12-01 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Mizuho Securities against peer institutions in our institutions licensed across asia-pacific and the middle east dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Mizuho Securities (this record) | SFCMASFSA+4 | 6 / 7 | Risk level not supplied | 4.0 | 0 |
| Binance DEX | FSACentral Bank of Bahrain (CBB)VARA+11 | 12 / 14 | Risk level not supplied | 5.0 | 0 |
| AvaTrade | FFAJFSAASIC+5 | 8 / 8 | Risk level not supplied | 6.0 | 0 |
| OKX | MASVARAAUSTRAC+6 | 9 / 9 | Risk level not supplied | 7.2 | 1 |
| Blackwell Global | SFCSERCSFC+3 | 5 / 6 | Risk level not supplied | 6.3 | 0 |
| Plus500 | FSAFMAMAS+3 | 6 / 6 | Risk level not supplied | 6.0 | 0 |
Mizuho Securities: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Mizuho Securities's regulatory licence status and supervisory authorisation?
In our imported dataset, Mizuho Securities (legal entity reference: Mizuho Securities Co., Ltd) holds 7 recorded licence entries, of which 6 carry a "regulated" status and 6 are marked regulated or registered: SFC (Securities and Futures Commission) — licence AEZ953, status: regulated; MAS (Monetary Authority of Singapore) — licence Not supplied, status: regulated; FSA (Financial Services Agency) — licence 7010001008687, status: revoked; Hong Kong Monetary Authority (HKMA) — licence Not supplied, status: regulated; BaFin (Bundesanstalt für Finanzdienstleistungsaufsicht) — licence 10115675, status: regulated; European Central Bank (ECB Banking Supervision / SSM) — licence 724500ZSA7ZOZHUXBS53, status: regulated; Financial Conduct Authority — licence 119256, 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 SFC, MAS, FSA public register.
Which of Mizuho Securities's jurisdictions and licences fall within this site's regulatory coverage?
This directory focuses on institutions licensed across asia-pacific and the middle east. 4 of Mizuho Securities's 7 licence records fall directly within this jurisdictional mandate: SFC (licence AEZ953, regulated, entity: Mizuho Securities Asia Limited); MAS (licence Not supplied, regulated, entity: MIZUHO BANK, LTD.); FSA (licence 7010001008687, revoked); Hong Kong Monetary Authority (HKMA) (licence Not supplied, regulated, entity: MIZUHO BANK, LTD.). Always confirm whether client money segregation and statutory investor compensation schemes apply to the specific subsidiary onboarding your account.
What is Mizuho Securities's institutional risk classification, enforcement exposure, and score profile?
Mizuho Securities carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 4.0, risk & licensing: 4.0, brand: 4.0, market influence: 4.0, user reputation: 0.0). The record flags 0 regulatory warning or complaint counts and 1 licence record with elevated status flags (FSA: revoked). 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 Mizuho Securities's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Mizuho 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 SFC.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from APAC Capital Brief relevant to Mizuho Securities's supervisory scope.
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BOJ & Yen Rates
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