Institution record
Mizuho Securities
Mizuho Securities Co., Ltd
- Source score
- 4.0
- 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 | |
|---|---|---|---|---|---|
In our coverage Monetary Authority of Singapore | Not supplied | Regulated | MIZUHO BANK, LTD. | — | |
In our coverage European Central Bank (ECB Banking Supervision / SSM) | 724500ZSA7ZOZHUXBS53 | Regulated | Mizuho Bank Europe NV | — | |
In our coverage Hong Kong Monetary Authority (HKMA) | Not supplied | Regulated | MIZUHO BANK, LTD. | — | |
SFC Securities and Futures Commission | AEZ953 | Regulated | Mizuho Securities Asia Limited | 2005-04-27 | |
FSA Financial Services Agency | 7010001008687 | Revoked | — | 2007-09-30 | |
BaFin Bundesanstalt für Finanzdienstleistungsaufsicht | 10115675 | Regulated | Mizuho Bank Europe N.V. | — | |
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 banks and deposit-taking institutions dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Mizuho Securities (this record) | MASEuropean Central Bank (ECB Banking Supervision / SSM)Hong Kong Monetary Authority (HKMA)+4 | 6 / 7 | Risk level not supplied | 4.0 | 0 |
| MUFG Bank | Office of the Comptroller of the Currency (U.S. OCC)Prudential Regulation Authority (Bank of England PRA)Board of Governors of the Federal Reserve System (U.S. Fed)+4 | 7 / 7 | Risk level not supplied | 5.0 | 0 |
| Deutsche Bank AG | Board of Governors of the Federal Reserve System (U.S. Fed)European Central Bank (ECB Banking Supervision / SSM)Prudential Regulation Authority (Bank of England PRA)+1 | 4 / 4 | Risk level not supplied | 5.0 | 0 |
| ING BANK | De Nederlandsche Bank (DNB)Prudential Regulation Authority (Bank of England PRA)European Central Bank (ECB Banking Supervision / SSM) | 3 / 3 | Risk level not supplied | 5.0 | 0 |
| Garantibank | European Central Bank (ECB Banking Supervision / SSM)De Nederlandsche Bank (DNB)AFM | 3 / 3 | Risk level not supplied | 5.0 | 0 |
| LeasePlanbank | De Nederlandsche Bank (DNB)European Central Bank (ECB Banking Supervision / SSM)BaFin | 3 / 3 | Risk level not supplied | 5.0 | 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: MAS (Monetary Authority of Singapore) — licence Not supplied, status: regulated; European Central Bank (ECB Banking Supervision / SSM) — licence 724500ZSA7ZOZHUXBS53, status: regulated; Hong Kong Monetary Authority (HKMA) — licence Not supplied, status: regulated; SFC (Securities and Futures Commission) — licence AEZ953, status: regulated; FSA (Financial Services Agency) — licence 7010001008687, status: revoked; BaFin (Bundesanstalt für Finanzdienstleistungsaufsicht) — licence 10115675, 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 MAS, European Central Bank (ECB Banking Supervision / SSM), Hong Kong Monetary Authority (HKMA) public register.
Which of Mizuho Securities's jurisdictions and licences fall within this site's regulatory coverage?
This directory focuses on banks and deposit-taking institutions. 3 of Mizuho Securities's 7 licence records fall directly within this jurisdictional mandate: MAS (licence Not supplied, regulated, entity: MIZUHO BANK, LTD.); European Central Bank (ECB Banking Supervision / SSM) (licence 724500ZSA7ZOZHUXBS53, regulated, entity: Mizuho Bank Europe NV); 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 MAS.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from FinLexicon Wiki relevant to Mizuho Securities's supervisory scope.
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,
Prudential Regulation & Capital Standards
U.S. G-SIB Surcharge Method 2 Systemic Capital Buffer: Master Agreement Clauses, Legal Opinions & Novation Workflows (-40 bps 2026 Surcharge Cut Benchmark)
U.S. G-SIB Surcharge Method 2 Systemic Capital Buffer (GSIB-METHOD2) stands at -40 bps (2026 Surcharge Cut) (Source: Federal Reserve Board, 2026-10-20), governing SIFMA Cleared Repo Annexes, ISDA protocol adherence, and