Institution record
Mizuho Securities
- Source score
- —
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (banks and deposit-taking institutions) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
FCATier-1 Financial Conduct Authority | 119256 | Regulated | Mizuho International plc | 2021-12-01 | |
BaFinTier-1 Bundesanstalt für Finanzdienstleistungsaufsicht | 10115675 | Regulated | Mizuho Bank Europe N.V. | — | |
MASTier-1 Monetary Authority of Singapore | Number pending check | Regulated | MIZUHO BANK, LTD. | — | |
ECBTier-1 European Central Bank | 724500ZSA7ZOZHUXBS53 | Regulated | Mizuho Bank Europe NV | — | |
SFCTier-1 Securities and Futures Commission | AEZ953 | Regulated | Mizuho Securities Asia Limited | 2005-04-27 | |
HKMATier-1 Hong Kong Monetary Authority | Number pending check | Regulated | MIZUHO BANK, LTD. | — | |
FSATier-1 Financial Services Agency | 7010001008687 | Revoked | — | 2007-09-30 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Mizuho Securities against peer institutions in our banks and deposit-taking institutions dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Mizuho Securities (this record) | FCABaFinMAS+4 | 6 / 7 | Risk level not supplied | — | 0 |
| MUFG Bank | PRAOCCHKMA+4 | 7 / 7 | Risk level not supplied | — | 0 |
| Deutsche Bank AG | FRSECBPRA+1 | 4 / 4 | Risk level not supplied | — | 0 |
| ING BANK | DNBECBPRA | 3 / 3 | Risk level not supplied | — | 0 |
| Garantibank | DNBECBAFM | 3 / 3 | Risk level not supplied | — | 0 |
| LeasePlanbank | ECBDNBBaFin | 3 / 3 | Risk level not supplied | — | 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) holds 7 recorded licence entries, of which 6 carry a "regulated" status and 6 are marked regulated or registered: FCA (Financial Conduct Authority) — licence 119256, status: regulated, Tier-1; BaFin (Bundesanstalt für Finanzdienstleistungsaufsicht) — licence 10115675, status: regulated, Tier-1; MAS (Monetary Authority of Singapore) — licence Number pending check, status: regulated, Tier-1; ECB (European Central Bank) — licence 724500ZSA7ZOZHUXBS53, status: regulated, Tier-1; SFC (Securities and Futures Commission) — licence AEZ953, status: regulated, Tier-1; HKMA (Hong Kong Monetary Authority) — licence Number pending check, status: regulated, Tier-1; FSA (Financial Services Agency) — licence 7010001008687, status: revoked, Tier-1. 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 FCA, BaFin, MAS public register.
Which of Mizuho Securities's jurisdictions and licences fall within this site's regulatory coverage?
Mizuho Securities is registered at -- and tracked under our banks and deposit-taking institutions scope based on its institutional service profile (CFDs, Precious metals, Stock indices, Forex) rather than a domestic focus licence. Its 7 recorded licences (FCA, BaFin, MAS, ECB, SFC, HKMA, FSA) should be evaluated for cross-border passporting and local solicitation rules.
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 (composite numeric scores are not supplied for this record). 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 FCA.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from FinLexicon Wiki relevant to Mizuho Securities's supervisory scope.
Statutory Law & Custody Architecture
Statutory Client Asset Segregation & Insolvency Waterfalls: Comparative Legal Architecture of FCA CASS 7, SEC Rule 15c3-3, SIPA, and EU MiFID II Custody Regimes (2026)
A definitive statutory and insolvency-law reference comparing UK FCA CASS 7 statutory trusts, US SEC Rule 15c3-3 customer reserve formulas and SIPA liquidations, EU MiFID II Article 16(8)-(10) title-transfer prohibitions, and Japanese FIEA Article 43-2 trust bank mandates.
Market Microstructure & Derivatives Taxonomy
Expanded Risk-Based Approach (ERBA) Basel III Endgame Standard: Master Agreement Clauses, Legal Opinions & Novation Workflows (-4.8% Cat I/II CET1 Change Benchmark)
Expanded Risk-Based Approach (ERBA) Basel III Endgame Standard (BASEL-ERBA-2026) stands at -4.8% (Cat I/II CET1 Change) (Source: Federal Reserve / OCC / FDIC, 2026-10-20), governing SIFMA Cleared Repo Annexes, ISDA proto
Central Clearing & Repo Architecture
SEC Rule 17ad-22(e)(18) U.S. Treasury Central Clearing Mandate: Master Agreement Clauses, Legal Opinions & Novation Workflows (100% Eligible Repo Scope Benchmark)
SEC Rule 17ad-22(e)(18) U.S. Treasury Central Clearing Mandate (SEC-UST-CLEARING) stands at 100% (Eligible Repo Scope) (Source: U.S. Securities and Exchange Commission, 2026-10-20), governing SIFMA Cleared Repo Annexes,
ISDA & Counterparty Credit Lexicon
FICC Sponsored Member Repo (SMR) Done-With & Done-Away Clearing: Master Agreement Clauses, Legal Opinions & Novation Workflows ($1.95T Daily Sponsored Volume Benchmark)
FICC Sponsored Member Repo (SMR) Done-With & Done-Away Clearing (FICC-SPONSORED-REPO) stands at $1.95T (Daily Sponsored Volume) (Source: DTCC Fixed Income Clearing Corp, 2026-10-20), governing SIFMA Cleared Repo Annexes,