Institution record
Mizuho Securities
- Source score
- —
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (stock brokers, investment platforms and wealth managers) 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 stock brokers, investment platforms and wealth managers dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Mizuho Securities (this record) | FCABaFinMAS+4 | 6 / 7 | Risk level not supplied | — | 0 |
| Doo Prime | FCAFINRASEC+4 | 7 / 7 | Risk level not supplied | — | 1 |
| Swissquote | FCASFCCYSEC+3 | 5 / 6 | Risk level not supplied | — | 0 |
| IB | IIROCFCAASIC+2 | 5 / 5 | Risk level not supplied | — | 0 |
| Tiger Brokers | SFCFINRAASIC+1 | 4 / 4 | Risk level not supplied | — | 0 |
| Hantec Markets Australia | ASICFCAFSA+1 | 4 / 4 | 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 stock brokers, investment platforms and wealth managers 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 ETFYield Lab relevant to Mizuho Securities's supervisory scope.
ETF Structure & Yield Engineering
Institutional ETF Creation-Redemption Arbitrage, SEC Rule 6c-11 Custom Baskets, and Cross-Border UCITS Withholding Tax Yield Architecture (2026)
An empirical quantitative analysis of Authorised Participant (AP) primary-market arbitrage bands, SEC Rule 6c-11 and IRC Section 852(b)(6) in-kind capital gains shielding, fixed-income ETF NAV-to-market basis dynamics, and Irish ICAV 15% vs 30% US dividend withholding tax alpha.
Fixed Income ETFs & Market Microstructure
SEC Rule 6c-11 Custom Creation Baskets, Fixed-Income ETF NAV Arbitrage & After-Tax Yield Drag Model (2026)
Authorized Participant (AP) custom creation and redemption baskets under SEC Rule 6c-11 refer to non-pro-rata fixed-income portfolio transfers that allow ETF issuers to purge low-basis, illiquid, or off-the-run bonds in-kind without realizing distributable capital gains, compressing annualized after-tax yield drag by 42 to 118 basis points compared with open-end mutual funds.
Treasury Ladders & Yield Math
SGOV vs BIL vs TLT: 30-Day SEC Yield vs Distribution Yield Math & ETF Fee Drag Analysis (2026)
30-Day SEC Yield refers to a standardized net annualized yield metric mandated by the SEC that deducts fund expense ratios from 30-day portfolio income.
Treasury Ladders & Yield Math
iShares 0-3 Month Treasury Bond ETF (SGOV) Yield & Fee Benchmark: 30-Day SEC Yield vs. Trailing 12-Month Distribution Yield Audit (4.31% 30-Day SEC Yield (3 bps ER) Benchmark)
iShares 0-3 Month Treasury Bond ETF (SGOV) Yield & Fee Benchmark (SGOV-0-3M-UST) stands at 4.31% (30-Day SEC Yield (3 bps ER)) (Source: SEC Form N-1A / U.S. Treasury, 2026-10-20), governing Form N-1A Item 26 accrual acco