"Cold Calling" - Investors Alert

  1. Today, so-called "Cold Calling," a fraudulent practice aimed at soliciting investors, is conducted all over the world. "Cold-calling" is a practice where by an entity disguises itself as a brokerage firm or an asset management firm and approaches potential investors via non face-to-face channels, such as by phone, fax, and emails, in order to solicit investment in securities or financial products. Typically, a "cold caller" makes unsolicited calls to potential investors, cajoles them into deciding to purchase certain securities, and then, becomes unavailable for contact after the investor sends the money for that purchase. As a result, the investors cannot obtain the securities although they made the payment, and they also cannot get back the money they paid. Investors need to be more careful and vigilant, as cold callers have been using more varied and more sophisticated tactics. (For example, some cold callers execute transactions properly and make profits for investors at first. Then, they solicit bigger transaction and make the investors transfer the money for it. After that, the cold callers disappear.)
  2. In most countries, a person is required to be registered with or licensed by the national regulatory body before conducting solicitation of securities transactions. However, cold-callers do not have such registration or licenses. One of the characteristics of cold callers is that it is extremely difficult to discover their whereabouts. Many cold callers indicate their office locations on their websites (or documents sent to investors), but they rarely operate at that location. Apparently, cold callers intentionally hide their whereabouts, so that they can avoid being visited by the investors they approach. Notably, it is very typical that cold callers claim that they are located in a country that is different from the location of the prospective victim. For example, there are many cases in which cold callers that have approached American or European investors claims that to have an office located in Japan (at a building in Tokyo, for instance.)
  3. The FSA has received extensive information from overseas investors and foreign regulators with regard to cold callers who claim to be located in Japan. The FSA has made a list of entities which are not registered with or authorized by the FSA under the Financial Instrument and Exchange Act of Japan. Investors should be very careful and vigilant about conducting business with these entities, potentially opting against conducting any transactions via these entities.
  4. Recognizing the need for cooperation among securities regulators in order to combat cold calling, the International Organization of Securities Commissions (IOSCO) - the international body consisted of securities regulators around the world - publicized a statement for investors alert on cold calling in February 2002 (see attachment). In the context of such international cooperation, the FSA brings attention and warning to investors by putting the list of suspected cold-callers below. Likewise, foreign regulators publicize the same kind of list and issue warnings to investors on their own websites. When you are solicited by an entity to invest in certain securities, it is very important for you to check the list below as well as other regulators' websites in advance of making decisions.
  5. It has been noted that the entities listed below do not cover all exiting cold callers in the world. Other cold callers may exist. Therefore, it is recommended that investors check not only the list below, but also the "List of licensed (registered) Financial Institutions" and confirm whether the entity is registered with the FSA. If not registered, sufficient caution is necessary, such as not having a business with such entities.

List of non-registered or non-authorized entities with the FSA

Below is the list of non-registered or non-authorized entities with the FSA, based on information received from investors. Investors should be aware that the solicitations of investment by these listed entities have a possibility of cold calling. Please be reminded that other suspected cold callers may exist and additional entities may be listed. Please also be advised that there have been cases where different companies were located in addresses indicated in the list below. The fact that the address is put in the list below does not mean that such companies have any connection to the listed entities.

*The entities which were listed more than 5 years ago were deleted from the list below. Please visit the web archiving project website of National Diet Library to see the previous lists.

http://warp.da.ndl.go.jp/waid/3473open new window

******* Latest Updated 4 Entities (Posted in July 2015) *******

(1) deVere Group Tokyo K.K.

Azabu East Building 4th Floor 1-25-5 Higashi Azabu Minato-ku Tokyo, 106-0044, Japan
Tel: +81 335 682 745
www.devere-group.comopen new window

(2) Higashi and Partners

5th Fl., Tanaka Tamuramachi Bldg. 12-15, Shinbashi 2-chome, Chiyoda-ku, Tokyo
ZIP 105-0004
Tel: +81 345 209 467
Fax: +81 368 005 394
www.higashipartners.comopen new window

(3) Japanese Acquisition Authority

5th Flr., Touwa Bldg. 26-4, Minami Ikebukuro 1-chome, Toshima-ku, Tokyo, 171-0022
Tel: +81 345 782 309
Fax: +81 345 781 509
www.jp-aa.orgopen new window

(4) Offshore Equities Regulation Department

2 Chome-5-1 Marunouchi, Chiyoda, Tokyo 100-0005 Japan
Tel: +81-34-578-1375
www.oeregdept.orgopen new window

******* List of non-registered or non-authorized entities with the FSA (Updated in July 2015) *******

Abramson International (Posted in July 2010)
1-20-7, Nihonbashi, Chuo-ku, Tokyo 103-0027
TEL: +81-3-4520-9345 / FAX: +81-3-6385-7621
Aichi International (Posted in August 2014)
5th Fl., Yushi Kogyo Kaikan 13-11, Nihonbashi 3-chome, Chuo-ku, Tokyo 103-0027 Japan
TEL: +81 3 6701 7638
FAX: +81 3 6701 7639
www.aichiinternational.comopen new window
Allied Acquisitions (Posted in February 2015)
16th Flr., Shin Nikko Bldg. East 10-1, Toranomon 2-chome, Minato-ku, Tokyo ZIP 105-0001
Tel: +81 505 865 4064
Fax: +81 345 782 129
www.alliedacq.comopen new window
Allied Mergers & Asset Management (Posted in December 2014)
Sanno Park Tower, Nagata-cho 2-chome, Chiyoda-ku, Japan
www.alliedmam.comopen new window
Aozora Alliance (Posted in April 2013)
World Udagawa Building, 3F, 36-6 Udagawa-cho, Shibuya-ku, Tokyo 150-0042,JAPAN
+81-3-4496-6021 / FAX+81-3-4496-6031
http://www.aozoraalliance.comopen new window
Arc Trading (Posted in February 2014)
Shiodome Center, Floor17, 1-5-2 Higashi-Shinbashi, Tokyo, Tokyo-to, Japan
Tel:+81-3-4550-0317
FAX:+81-3-4496-5044
www.arctrading.comopen new window
Asakura Acquisitions (Posted in December 2014)
10th Fl., Shibuya Cross Tower, 15-1, Shibuya 2-chome, Shibuya-ku, Tokyo, 150-0002
Tel: +81 345 209 316
Fax: +81 345 209 560
www.asakuraacq.com/index.htmlopen new window
Asgard Group (Posted in April 2014)
Nishi Ikebukuro Building, Level 6, 1-7 Nishi Ikebukuro, Tokyo,Tokyo-to, Japan
TEL: +81 3 4550 0443
FAX: +81 3 4333 0301
www.asgardgroup.com/open new window
Ashland Mergers & Acquisitions Management (Posted in April 2014)
17F Sky Building, 2-19-12 Takashima Nishi-Ku Yokohama, 220-0011, Japan
TEL: +81 4 5670-9065
FAX: +81 4 5330-7645
Asian Acquisition Oversight Committee (Posted in April 2014)
5F Shinjuku Mitsuba Building, 1-5-11 Shinjuku Nishi, Shinjuku-ku, Tokyo, 160-0023
TEL: +81 3 4577 4683
FAX: +81 3 4333 0394
www.aaoc.jp/index.htmlopen new window
Asiatic Acquisitions (Posted in November 2013)
9th Floor, Sankei Building 7-2, Otemachi 1-chome, Chiyoda-ku, Tokyo 100-0004 Japan
Atlantic Administration (Posted in July 2010)
Cerulean Tower, 26-1 Sakuragaoko-Cho, Shibuya-Ku, Tokyo 150-8512 Japan.
Aura Mergers & Acquisitions (Posted in October 2014)
21/F Yokohama Mitsui Building 1-1-2 Takashima Nishi Ward, Yokohama,
Kanagawa Prefecture 220-0011, Japan
Tel: +81-4-5670-9063
http://auraacquisitions.comopen new window
Axis Corporate Finance (Posted in March 2011)
Level5 Shinsaibashi Plaza Building Shinkan 3-12-21 Minami-Senba, Chuo-ku Osaka 542-0081
TEL: +81-3-4520-8929 / FAX: +81-6-6537-1926
Baxter Capital Ventures Management (Posted in June 2014)
16F Shin-Yokohama Square Bldg, 2-5-14 Shin-Yokohama, Kohoku-ku, Yokohama 222-0033
Belfrey International (Posted in February 2014)
Osaka Obayashi Building Level 22, 4-33 Kitahama-Higashi
Osaka, Osaka-Fu Japan
Tel:+81-6-4560-4015
Fax:+81-6-7635-4818
www.belfreyinternational.comopen new window
Benison Asset Management (Posted in June 2014)
Minatomirai Center Building 15F 3-6-1, Nishi-ku, Yokohama, 221-0012, Japan
TEL: +81-4-5670-9058
www.benisonam.comopen new window
Brookdale West Capital Management (Posted in July 2010)
15th Floor Gate City Ohsaki-West Tower, 11-1, Osaki 1-chome, Shinagawa-ku, Tokyo 141-0032
TEL: +81-345-209-677
Campbell & Co. Ltd. (Posted in July 2010)
Suite 401, Hanahara Bldg.5, 7-8-17 Nishinakajima, Yodogawa-ku, Osaka 532-0011 Japan
TEL: +81-06-6101-0356 / FAX: +81-06-6101-0357
Capital Mergers and Acquisitions (Posted in November 2013)
9th floor, NBF Platinum Tower Building 17-3, Shirokane 1-chome, Minato-ku, Tokyo 108-0072 Japan
www.capitalmajp.comopen new window
Capitol Trade (Posted in July 2013)
Holland Hills Mori Tower, Floor 9, 5-11-1 Toranomon, Tokyo
TEL: +81-3-4520-6362
FAX: +81-3-4496-4366
http://www.capitoltrade.comopen new window
Capstone Alliance Group (Posted in August 2014)
Level 7 Toranomon 40 MT Building, 5-13-1, Toranomon, Minato-ku Tokyo, Japan
TEL: +813 4579 5533
https://capstone-alliancegroup.comopen new window
Century Trading (Posted in June 2014)
Osaka Maru Building, Floor 28 1-19-20 Umeda, Osaka, Osaka-Fu, Japan - 74332
TEL: +81 6 4560 4020
FAX: +81 6 7635 2874
Chase Franklin International (Posted in February 2014)
3-8-2 Marunouchi, Chiyoda-Ku, Tokyo, 100-0005 Japan
Tel:+81-3-4520-8983
Fax: +81-3-4570-0120
Clairmont Capital Partners (Posted in August 2014)
Marunouchi Kitaguchi Building 6-5,1 Marunouchi, Chiyoda-ku, Tokyo Japan, 100-0005
TEL: +81-505-8067037
FAX: +81-343-330700
www.clairmontcapitalpartners.comopen new window
Clarion Equity Management (Posted in August 2014)
15/F Yokohama Landmark Tower, 2-2-1 Minatomirai, Nishi-ku Kanagawa, Yokohama, 220-8120, Japan
TEL: +81 (4) 5670-9059
FAX: +81 (4) 5345-0769
www.clarionem.comopen new window
Commercial First Group (Posted in September 2010)
Level3 Tokyo Bankers Club Building, 1-3-1 Marunouchi, Chiyoda-ku, Tokyo 100-0005, Japan
TEL: +81-3-4550-6918 / FAX: +81-3-4496-6293
Cooper & Daniels Company (Posted in September 2010)
24F Osaka Ekimae dai 3 bldg, Umeda, Kita-ku, Osaka 1-1-3-500 Japan
TEL: +81-6-4560-4011
Daido Holdings Group (Posted in November 2013)
8th floor, Toyo Building 2-10, Nihonbashi 1-chome, Chuo-ku, Tokyo 103-0027 Japan
Dai-ichi Securities (Posted in July 2010)
15th floor, KDDI Otemachi building, 1-8-1 Otemachi, Chiyoda-Ku, Tokyo 100-0004 Japan
TEL: +81-3-4496-4201 / FAX: +81-3-4496-4202
Daine Financial Trust Management (Posted in July 2010)
Level 29, Shinjuku Nomura Building, 1-26-2 Nishi-Shinjuku, Shinjuku-ku, Tokyo 163-0532 Japan
TEL: +81-3-4550-6877
Daiwa Financial Ltd. (Posted in December 2014)
19th Fl., Tokyo Sankei Bldg., 7-2, Otemachi 1-chome, Chiyoda-ku, 100-0004, Tokyo
Tel: +81 505 865 4051
Fax: +81 345 789 059
www.daiwafinancial.comopen new window
Department of Offshore Acquisitions Regulation (Posted in August 2014)
5F Meguro Shinsencho Bldg., 4-5-9 Aobadai, Meguro-ku, Tokyo 153-0042, Japan
TEL: +813 454 06169
www.doareg.org/index.htmlopen new window
deVere Group Tokyo K.K. (Posted in July 2015)
Azabu East Building 4th Floor 1-25-5 Higashi Azabu Minato-ku Tokyo, 106-0044, Japan
Tel: +81 335 682 745
www.devere-group.comopen new window
Direct Mergers & Acquisitions Inc. (Posted in April 2013)
17th Flr., Resona Maruha Bildg., 1-2 Otemachi 1-chome, Chiyoda-ku, Tokyo Japan 100-0004
Tel: +81-3-4579-0599 / FAX: +81-3-6369-3657
Drake Merger Management (Posted in April 2013)
8th flr., Kanematsu Bidg., 14-1, Kyobashi 2-chome, Chuo-ku, Tokyo, Japan 104-0031
TEL: +81-3-4578-0424 / FAX: +81-3-6745-1142
Dulton Group (Posted in March 2011)
2-14-10 Kanda Jinbo-cho, Chiyoda-ku, Tokyo, Japan
Firkin Asset Consultants (Posted in November 2013)
12th floor, Hilton Plaza West Office Tower 2-2-2 Umeda, Kita-ku, Osaka 530-0001 Japan
TEL: +81-6-4560-4022 / FAX: +81-6-7635-7238
First Catholic Financial (Posted in April 2014)
Seiroka Tower, 8-1 Akashicho, Chuo-ku, Tokyo, Tokyo-to, Japan, 104-0044
TEL: +81 3 6740 1673
FAX: +81 3 6745 7692
firstcatholicfinancial.com/index.htmlopen new window
Global Strategic Management (Posted in June 2013)
Daitobo Building, Level 6, 20-1 Nihonbashi Hakozakicho, Tokyo, Japan
TEL: +81-3-4520-6364 / Fax: +81-3-6745-8961
GMO Global (Posted in September 2013)
11th Fl. DaVinci Shiba Park Bldg. 4-1, Shiba Koen 2-chome, Minato-ku, Tokyo 105-0011, Japan
Tel: +81-3-6701-2180
FAX: +81-3-6701-2181
info@gmo-global.net
www.gmo-global.netopen new window
Graham Walker (Posted in March 2011)
8th floor, Shinjuku Mitsui Building, 2-1 Nishishinjuku, 6-24-1, Shinjuku-ku, Tokyo
TEL: +81-3-4578-9712 / FAX: +81-3-4578-9714
http://www.grahamwalker.com/contactus.htmlopen new window
Harbor Trading (Posted in March 2011)
Roppongi Hills Mori Tower, Level14 6-10-1, Roppongi, Minato-Ku, Tokyo
TEL: +81-3-4578-0191 / FAX: +81-3-6730-9477
Hawk Trade (Posted in December 2014)
Tokyo Daiya Building No. 5, Level 8, 1-28-23 Shinkawa, Tokyo, Tokyo-to, Japan
Tel: +81 3 4578 2731
Fax: +81 3 6800 3062
www.hawktrade.comopen new window
Higashi and Partners (Posted in July 2015)
5th Fl., Tanaka Tamuramachi Bldg. 12-15, Shinbashi 2-chome, Chiyoda-ku, Tokyo
ZIP 105-0004
Tel: +81 345 209 467
Fax: +81 368 005 394
www.higashipartners.comopen new window
Hoya Partners (Posted in August 2014)
22nd Flr., Mid Town Tower 7-1, Akasaka 9-chome, Minato-ku, Tokyo ZIP 107-6227
TEL: +81 505 865 4052
FAX: +81 345 895 385
www.hoya-jp.com/index.htmlopen new window
Huber Acquisition Group *previously known as Castle Rock Finance and Hitomi Acquisitions (Posted in April 2013)
22nd Flr., Atago Green Hills MORI Tower5-1, Atago 2-chome, Minato-ku, Tokyo, Japan, 105-6228
TEL: +81-3-4578-0425 / FAX: +81-3-6745-9383
Hunt Acquisition Group (Posted in December 2014)
8/F Shin-Yokohama TECH Building, 3-9-1 Shin-Yokohama, Kohoku-ku, Yokohama-shi, Kanagawa, Japan 222-0033
www.huntagrp.comopen new window
IAM Group (Posted in December 2014)
Level 10 TOC Minato Mirai 1- 1- 7, Sakuragi-cho Naka-ku Yokohama Kanagawa, 231-0062, JAPAN
Tel: 81-45440-6815
Fax: 81-45440-6001
www.iamgroupltd.comopen new window
Ideal Merger Group (Posted in March 2011)
Tamurakoma Bldg, 5-9 Azuchi-machi 3 Chome, Chuo-ku, Osaka City, Osaka 541-0052
Jam Capital Corporation (Posted in September 2010)
Shin Marunouchi Bldg, 1-5-1 Marunouchi, Chiyoda-ku, Tokyo 100-6590 Japan
Kanagawa Associates (Posted in November 2013)
Sanno Park Tower, Tokyo 100-6103, Japan
TEL: +81-3-4578-0069 / FAX: +81-3-4578-9572
www.kanagawa-associates.comopen new window
Kendall Morgan Partners Tokyo (Posted in June 2013)
Akihabara Dai building 76 Sotokanda 1 Chiyoda-ku Tokyo 1001-0021
Tel +81-3-6740-6076 Fax +81-3-6740-8379
www.kendallmorganpartners.comopen new window
Keyser Associates (Posted in August 2014)
15th Flr., Shinagawa Grand Central Tower 16-4, Konan 2-chome, Minato-ku, Tokyo ZIP 108-0075
TEL: +81 505 865 4053
FAX: +81 345 895 3788
http://keyser-global.com/index.htmlopen new window
Kirayaka International (Posted in April 2013)
Head Office 17th Fl., Hibiya Kokusai Building, 2-3 Uchisaiwai-cho 2-chome, Chiyoda-ku, Tokyo 100-0011. Japan
TEL: +81 3 6740 9975 / FAX: +81 3 6740 9976
http://www.kirayakainternational.com/open new window
Kiyose Mergers (Posted in October 2014)
16th Flr., Keidanren Kaikan 3-2, Ohte-machi 1-chome, Chiyoda-ku, Tokyo, 100-0004
Tel: +81 345 789 465
Fax: +81 345 781 549
www.kiyosemergers.comopen new window
KMEX Kyoto Merchantile Exchange (Posted in March 2011)
67 Kusakawa-cho, Nanzenji, Sakyo-Ku, Kyoto 606-8437, Kyoto Prefecture, Japan
Komatsu Global (Posted in August 2014)
7th Fl., Intec 88 Building. 20, Araki-cho Shinjuku-ku Tokyo, 160-0007 Japan
TEL: +81 3 4330 1008
FAX: +81 3 4570 0450
http://www.komatsuglobal.com/index.phpopen new window
Koyal Group (Posted in August 2014)
Arca Central Building 14F 1-2-1 Kinshi Sumida-ku Tokyo 1300013 Japan
TEL: +81 (3) 4578 2181
FAX: +81 (3) 6701 7036
www.koyalgroup.com/open new window
Liberty Advice Ltd. (Posted in October 2014)
9th Fl., New Otani Business Court 4-1, Kioi-cho, Chiyoda-ku Tokyo Japan, 102-0094
Tel: +81 505 865 4048
Fax: +81 345 895 387
www.libertyadv-worldwide.comopen new window
Mann International (Posted in July 2010)
Level 7, Wakamatsu Building, 3-3-6 Nihonbashi-Honcho, Chuo-Ku, Tokyo 103-0023 Japan
TEL: +81-3-4550-0334 / FAX: +81-3-4496-4096
Marks Capital (Posted in August 2014)
Riverside Yomiuri Building 36-2 Nihonbashi Hakozakicho Koto-ku, Tokyo 103-0015, Japan
TEL: +81 (3) 67400962
FAX: +81 (3) 68003128
www.markscapital.com/index.htmlopen new window
Marunouchi Merger Group (Posted in February 2015)
28th Fl., Marunouchi Bldg. 4-1, Marunouchi 2-chome, Chiyoda-ku Tokyo, 100-6333
Tel: +81 345 888 492
Fax: +81 345 888 497
www.marunouchimg.comopen new window
Masters Financial Corporation (Posted in March 2011)
3F-314 Sokendoshumachi building, 2-1-10, Doshumachi, Chuo-ku, Osaka
TEL: +81-6-4560-4004
Matsuo Associates (Posted in October 2014)
28th Flr., Atago Green Hills MORI Tower. 5-1, Atago 2-chome, Minata-ku, Tokyo, 105-6238
Tel: +81 505 865 4057
Fax: +81 345 895 386
www.matsuo-jp.comopen new window
Merit Corporate Finance (Posted in September 2010)
24F Hankyu Grand Building, 8-47 Kakuda-cho, Kita-ku, Osaka 530-0017 Japan
TEL: +81-6-4560-4006
Minato International (Posted in June 2014)
8th Fl., Fuji 28 Bldg 7-26, Kita-Aoyama 2-chome Minato-ku, Tokyo 107-0061 Japan
TEL: +81 3 4335 2412
FAX: +81 3 4335 2413
Minato Merger Group (Posted in February 2015)
12th Fl., Tamachi Center Bldg. 34-7, Shiba 5-chome, Minato-ku, Tokyo ZIP 108-0014
Tel: +81 345 888 491
Fax: +81 345 888 496
minatomg.comopen new window
Mitsui Asset Management (Posted in July 2010)
Level 12, Edobori Center Building, 2-1-1 Edobori, Nishi-ku, Osaka 550-0002 Japan
TEL: 81-6-4560-4010 / FAX: 81-6-6573-1689
* Sumitomo Mitsui Asset Management Company, Limited and Chuo Mitsui Asset Management Company, Limited have no association whatsoever with the organization.
Miyako Mergers & Acquisitions (Posted in December 2014)
Ith Flr., Kasumigaseki Bldg., 2-5, Kasumigaseki 3-chome, Chiyoda-ku, Tokyo, ZIP 100-6012
Tel: +81 345 789 545
Fax: +81 345 781 548
www.miyakoma.comopen new window
MTR Global (Posted in July 2013)
12/F Tokyo Banker's Club Build, 1-7-2 Marunouchi, Chiyoda-ku, Tokyo 100-0005. Japan
TEL: +81-3-6388-0372 / FAX: +81-3-6388-0373
http://www.mtrglobal.comopen new window
Nakamura Corporation (Posted in February 2015)
3rd Fl., Nihon Seimei Ichibancho Bldg. 23-3, Ichiban-cho, Chiyoda-ku, Tokyo ZIP 102-0082
Tel: +81 505 865 4060
Fax: +81 345 895 380
www.nakamuracorporation.comopen new window
New Gold Capital (Posted in July 2013)
Hibiya Central Building, 1-2-9 Nishi-Shinbashi, Minato-ku, Tokyo 105-0003, Japan
TEL: +81-3-6745-8443 / FAX: +81-3-6745-9396
http://www.newgoldcapital.comopen new window
New England Worldwide Services (Posted in July 2010)
Level 15, Hilton Plaza West Office Tower, 20202 Umeda, Kita-ku, Osaka 530-0001 Japan
TEL: +81-6-4560-4008
Niigata Global (Posted in June 2014)
16th Fl., Sapia Tower 7-12, Marunouchi 1-chome, Chiyoda-ku, 100-0005 Tokyo, Japan
TEL: +81 3 6740 9975
FAX: +81 3 6740 9976
niigataglobal.comopen new window
Nikkei Financial (Posted in September 2010)
36th Floor, Dentsu Honsha Building, 1-10-2 Higashi-Shinbashi, Shiodome SIO-SITE, Minato-ku, Tokyo, Japan
TEL: +81-3-4520-9438 / FAX: +81-3-4496-4029
Nihonbashi Acquisitions (Posted in February 2015)
5th Fl., Matsumoto Kyodo Bldg. 5-11, Nihonbashi Hon-cho 3-chome Chuo-ku, Tokyo
ZIP 103-0023
Tel: +81 345 888 327
Fax: +81 345 888 495
www.nihonbashiacq.comopen new window
Nippori Group (Posted in October 2014)
14th Fl., Shinjuku Square Tower Bldg 22-1, Nishi Shinjuku 6-chome, Shinjuku-ku, Tokyo 163-1117 Japan
Tel: +81 3 4330 1006
Fax: +81 3 4330 1007
www.nipporigroup.comopen new window
Norris Jardine Newell Equities (NJN Equities) (Posted in September 2013)
Level 03, Sanno Park Tower, 2-11-1 Nagata-Cho, Chiyoda-Ku, Tokyo - 100-6162 Japan
www.njne.comopen new window
Offshore Securities Acquisition Commission (Posted in June 2014)
5F NB Mita Building, 3-14-4, Shiba, Minato-ku, Tokyo 105-0014 Japan
TEL: +81 3 4540 6131
www.oseaco.orgopen new window
Okuma Group (Posted in September 2010)
Marunouchi Trust Tower Main 16th Floor, 1-4-3 Marunouchi, Chiyoda-ku, Tokyo 100-0045 Japan
TEL: +81-3-4496-4733 / FAX: +81-3-4496-4734
Oppenheimer Lloyd (Posted in September 2010)
1-11-3 Marunouchi, Chiyoda-Ku, Tokyo 100-6208 Japan
TEL: +81-3-4578-9054 / FAX: +81-3-4578-9245
Osaka Futures and Options Exchange (Posted in September 2010)
Hankyu Grand Building, 8-47, Kakuta-cho, Kita-Ku, Osaka 530-0017
Parley Acquisition Group (Posted in December 2014)
10/F TS Plaza Building, 2, Kanagawa-ku, Yokohama-shi, Kanagawa, 220-8686, Japan
Tel: 814 5670 9040
Pendleton and Associates (Posted in September 2010)
Hanako Building, 34 F 11th Floor, 6-14-17, Showa Dori, Ginza District, Tokyo 104-0061 Japan
TEL: +81-3-3242-6165 / FAX. +81-3-6385-7698
Rothman Global (Posted in September 2010)
Shibuya Mark City 1-12-1, Dogenzaka, Shibuya, Tokyo 150-0043, Japan
Sakura Financial Group (Posted in September 2010)
Trusty Kojimachi Bldg, 3-4 Kojimachi, Chiyoda-ku, Tokyo 102-0083 Japan
TEL: +81-3-4496-4348 / FAX: +81-3-4496-4349
Saito Mergers & Acquisitions (Posted in December 2014)
43-2 Kamadai-cho, Hodogaya-ku,Yokohama-shi, Kanagawa, 240-0066, Japan
Tel: +81 4 5670-9068
www.saitomergers.comopen new window
Securities Intermediary Brokers (SIB) (Posted in July 2010)
Level 27, Tokyo Sankei Building, 1-7-2 Otemachi, Chiyoda-Ku, Tokyo 100-0004 Japan
TEL: +81-3-4550-6946
Shimbashi & Partners (Posted in February 2015)
15th Fl., Shiodome Sumitomo Bldg. 9-2, Higashi-Shimbashi 1-chome, Minato-ku Tokyo, 105-0021
Tel: +81 345 888 491
Fax: +81 345 888 496
shimbashipartners.comopen new window
Shinsei Associates (Posted in April 2013)
7th F, Kyodo Tsushin Kaikan, 2-5, Toranomon 2-chome, Minato-ku, Tokyo 105-0001 Japan
Tel: +81 3 4496 6021
Fax: +81 3 4496 6031
Shintomi Trading (Posted in April 2013)
12-21-2 Otemachi, Chiyoda-ku, 100-0004, Tokyo, Japan
Shibuya Associates (Posted in October 2014)
6th Flr., Noa Dogenzaka Bldg. 15-1 Dogenzaka 2-chome, Shibuya-ku Tokyo,150-0043
Tel: +81 345 209 239
Fax: +81 345 781 506
www.shibuyaassoc.com/index.htmlopen new window
Sierra Finance Asset Management (Posted in February 2014)
4F Suga Building 2, 6-82 Ota-cho, Naka-ku, Yokohama-Ku, Kanagawa-ku, 231-0011 Japan
Tel: +81-4-5670-9039
Fax: +81-4-5345-0476
Smith and Jacobs Financial (Posted in November 2013)
11th floor, Shuwa Kioicho Park Building 3-6, Kioi-cho, Chiyoda-ku, Tokyo 102-0094 Japan
Solomon Layb (Posted in July 2013)
Roppongi Tower 7-10-2, Chiyoda Business Park, 2-5-4 Kojimachi, Chiyoda-ku Tokyo 102-0083 Japan
Sovereign Wealth Capital (Posted in September 2013)
Ochanomizu Center Building 3-2-12 Hongo, Bunkyo-ku, Tokyo, 113-0033, Japan
Tel: +81367012498
Fax: +81367309716
Springer Asset Management (Posted in August 2014)
5/F Yokohama Business Park East Tower 134, Godo-cho, Hodogaya-ku, Yokohama Kanagawa 240-0005 Japan
TEL: +81 4 5670-9062
FAX: +81 4 5345-0297
www.springeram.comopen new window
Stockbridge Partners (Posted in July 2013)
Yasuda Seimei Building Floor 18, 3-3-20 Umeda, Osaka, Japan
TEL: +81-6-4560-4039 / FAX: +81-6-7635-4783
Taito Securities Group (Posted in October 2014)
15th Flr., Shibuya Markcity West 12-1, Dogenzaka 1-chome, Shibuya-ku, Tokyo 150-0043
Tel: +81 345 789 154
Fax: +81 345 781 504
www.taitosec.com/index.htmlopen new window
Takeshi Venture Capital (Posted in September 2013)
Chiyoda ku Tower Marunouchi Tokyo, 100-0005
TEL: +81 3 4520 9510
FAX: +81 3 4578 1610
www.takeshiventurecapital.comopen new window
The Avanti Group (Posted in June 2014)
3-11-4 Nihonbashi, Chuo, Tokyo, Japan
Tel: +81 345 782 170
Fax: +81 367 012 906
www.theavantigroup.comopen new window
The Cathford group (Posted in December 2014)
14F Roppongi Minato-ku, Tokyo, Japan 106-6114
Tel: +813 4540 6638
Fax: +813 6369 3568
www.thecathfordgroup.netopen new window
Tesla Acquisition Corporation (Posted in November 2013)
18th floor, KDDI Ote-machi Building 8-1, Ote-machi 1-chome, Chiyoda-ku, Tokyo 100-0004 Japan
Tokai Global Trading (Posted in February 2014)
Tokyo Stock Exchange 2-1 Nihombashi Kabutocho Chuo-ku Tokyo 103-0026 Japan
Tel:+81-3-6388-0368, +81-3-4578-9031
Fax:+81-3-4496-4606
www.tokaiglobaltrading.comopen new window
Tokyo Board Options Exchange (Posted in March 2011)
14-3 Nagato Cho 2-Chome, Chiyoda-Ku, Tokyo Japan 100-0014
Toyo Securities (Posted in February 2014)
18th Fl., Shiroyama Trust Tower 3-1, Toranomon 4-chome, Minato-ku, Tokyo 105-6025 Japan
* Toyo Securities Co., Ltd. has no association whatsoever with the organization.
United Global Trading (Posted in April 2014)
Takadanobaba Center Building, Floor 10, 1-31-18 Takadanobaba, Tokyo, Tokyo-to, Japan
TEL: +813 4578 2729
FAX: +813 6369 4289
Venture Associates (Posted in September 2010)
34 F Yamashiku Building, 5-9-4 Otemachi, Chiyoda, Tokyo, Japan 100-0006
TEL: + 813-4578-9500 / FAX: + 813-4496-4360
Wakamy, Libman & Associates (Posted in October 2014)
5th Flr., Tadokoro Bldg. 3-15, Nihonbashi Hongoku-cho 3-chome, Chuo-ku Tokyo, 103-0021
Tel: +81 345 789 058
Fax: +81 345 781 536
www.wakamylibman.com/index.htmlopen new window
WB Global (Posted in July 2013)
Azabu East Court, 2-22-5 Higashi Azabu Minato-ku, Tokyo, 106-0044 Japan
TEL: +81-3-4588-8725
www.wbglobal.netopen new window
Weinstein Acquisitions (Posted in December 2014)
134 Godocho, Hodogaya Ward, Yokohama, Kanagawa, 240-0005 Japan
Wilshire-Park (Posted in March 2011)
Sumitomo Fudosan Mita Twin Building, West Wing, 6F, Mita 3-chome, Minato-ku, Tokyo,
TEL: +81-3-4578-9381 / FAX: +81-3-4578-9382
World Capital Advisors (Posted in December 2014)
Marunouchi Eiraku Building, 1 Chome-4-1 Marunouchi, Chiyoda-ku, Tokyo, Japan
Tel: +81 3 6800 1712
www.worldcapitaladvisors.comopen new window
Yamaguchi Partners Global Head Office (Posted in April 2013)
16F Seiroka Tower 8-1, Akashi-cho, Chuo-ku, 104-6591 Tokyo, Japan,
Tel: +81-3-6369-3995 / FAX: +81-3-6369-3997
http://www.yamaguchipartners.comopen new window
Yamato & Associates (Posted in April 2014)
koraku Mori Bldg 9F, 1-4-14, Koraku, Bunkyo-Ku, Tokyo 112-004 Japan
Yamato Global (Posted in April 2014)
NNK Bldg. 4F 1-12 Shinjuku 1-chome, Shinjuku-ku, Tokyo 160-0022, Japan
TEL: +81 3 6701 2180
FAX: +81 3 6701 2181
www.yamatoglobal.comopen new window
Yokohama Mercantile Exchange (YKMEX) (Posted in July 2013)
Naka-ku Tower, Nogecho 3-13-7, Yokohama, Kanagawa Prefecture,231-0064 Japan

******* Non-authorized regulatory organization by Japanese government (Updated in July 2015) *******

Asian Financial Commission (Posted in December 2014)
16th Flr., Hibiya Kokusai Bldg. 2-3, Uchisaiwai-cho 2-chome, Chiyoda-ku, Tokyo ZIP 100-0011
www.afc-gov.asiaopen new window
Asian Securities Administrators Japan (Posted in February 2014)
15th Flr., Shinjuku Green Tower Bldg. 14-1, Nishi-shinjuku 6-chome, Shinjuku-ku, Tokyo, 160-0023 Japan
Bureau of Offshore Mergers & Acquisitions (Posted in December 2014)
8/F Tokyo Kotsu Kaikan Building 2-10-1, Yuraku-cho, Chiyoda-ku, Tokyo 100-0006 Japan
www.boma-jap.orgopen new window
Cross Border Acquisition Commission (Posted in September 2010)
Level 22, Tokyo Sankei Building, 1-7-2 Otemachi, Chiyoda-Ku, Tokyo 100-0004 Japan
TEL: +81-3-4578-9579
Cross Borders Mergers Association (Posted in November 2013)
11th Floor, WBG Marive East 6, Nakase 2-chome, Mihama-ku, Chiba Tokyo 261-7114 Japan
TEL: +81-345-774-683 / FAX: +81-345-774-661
www.crossbordersma.orgopen new window
Cross-border Securities Authority of Japan (Posted in February 2015)
4th Flr., Nagaoka Bldg. 13-2, Ginza 5-chome, Chuo-ku, Tokyo
ZIP 104-0061
Tel: +81 345 781 875
Fax: +81 368 007 796
cbsa-jp.orgopen new window
Department of Foreign Securities (Posted in October 2014)
11th Flr., Yurakucho Bldg. 10-1, Yuraku-cho 1-chome, Chiyoda-ku Tokyo 100-0006, Japan
Tel: +81 345 795 998
Fax: +81 345 781 508
Department of Global Market Acquisitions (Posted in February 2014)
6F Zenken Plaza 1-4-11 Nishi-Shinjuku, Shinjuku-ku, Tokyo 160-0023 Japan
Phone: +81-3-4520-8919
Fax: +81-3-6369-3942
Eastern Equity Division (Posted in July 2010)
Level 9, Ariake Frontier Bldg. Tower B, 3-1-25 Ariake, Koto-ku Tokyo 135-0063 Japan
TEL: +81-3-4520-9242 / FAX: +81-3-6385-7636
Equity Management Bureau (Posted in July 2010)
Intercity Tower A, Level 18, Shinagawa, 2-15-1 Konan, Minato-Ku, Tokyo 108-6028 Japan
TEL: +81-3-4520-9427 / FAX: +81-3-6385-7542
Financial Exchange Authority (Posted in March 2011)
Level16, Aoyama Palacio Tower, 3-6-7 Kita-Aoyama, Minato-ku, Tokyo 107-0061
TEL: +81-3-4550-0684 / FAX: +81-3-6730-9726
Financial Markets Authority (Posted in February 2015)
11th Flr., Shinjuku Green Tower Bldg. 14-1, Nishi-shinjuku 6-chome, Shinjuku-ku, Tokyo
ZIP 160-0023
Tel: +81 345 782 163
Fax: +81 345 781 505
fma-asia.orgopen new window
International Acquisition Authority (Posted in July 2010)
Level 4, Wakamatsu Building, 3-3-6 Nihonbashi-Honcho, Chuo-Ku, Tokyo 103-0023 Japan
TEL: +81-3-4578-9693
International Acquisitions Regulatory Commission (Posted in August 2014)
27th Flr. MTFG Plaza 1-4-5 Marunouchi, Chiyoda-ku, Tokyo 100-0005 Japan
TEL: +81 (3) 4588-8758
www.intlarc.org/index.htmlopen new window
International Equity Agency of Japan (Posted in October 2014)
8th Fl., Chuo Jidosha Bldg. 6-8, Yushima 1-chome, Bunkyo-ku Tokyo, 113-0034
Tel: +81 345 782 001
Fax: +81 345 781 547
http://iea-jp.org/index.htmlopen new window
International Equity Authority (Posted in March 2011)
14 Flr Shinjuku Maynds Tower, 2-1-1 Yoyogi, Shibuya Ward, Tokyo 100-0004
International Mergers & Aquisitions Administration (Posted in April 2013)
17th Flr., Fujino Bldg. 15-18 Nihonbashi Kodenma-cho, Chuo-ku Tokyo, 103-0001, Japan
TEL: +81 3 4578-0375 / FAX: +81 3 6745-9514
International Mergers & Acquisitions Authority (Posted in April 2013)

1) 17th Flr., Fujino Bldg. 15-18 Nihonbashi Kodenma-cho, Chuo-ku Tokyo, 103-0001, Japan
TEL: +81 3 4578-0375 / FAX: +81 3 6745-9514

2) 22-11, Hokima 1-chome, Adachi-ku, Tokyo,121-0064
TEL: +81 3 4578-0625 / FAX: +81-3-6745-8657

Intercontinental Mergers & Acquisitions Agency (Posted in April 2013)
9th Flr. Yamaguchi Bldg. 8-17, Iwamoto-cho 1-chome Chiyoda-ku Tokyo 101-0032, Japan
International Mergers and Acquisitions Board (Posted in November 2013)
28th floor, Shinjuku Mitsui Building 1-1, Nishi Shinjuku 2-chome, Shinjuku-ku, Tokyo 163-0430 Japan
TEL: +81-345-795-711 / FAX: +81-363-694-838
www.imabjp.orgopen new window
International Trade Advisory Committee (Posted in July 2010)
Ginza Fugetsudo Building, 104-0061 Tokyo, Japan
FAX: +81-3-6385-7514
Japanese Acquisition Authority (Posted in July 2015)
5th Flr., Touwa Bldg. 26-4, Minami Ikebukuro 1-chome, Toshima-ku, Tokyo, 171-0022
Tel: +81 345 782 309
Fax: +81 345 781 509
www.jp-aa.orgopen new window
Japanese Administration for Acquisitions (Posted in August 2014)
4th Fl., Seibunkan Bldg. 5-9, Iidabashi 1-chome, Chiyoda-ku, Tokyo ZIP 102-0072
TEL: +81 345 895 395
FAX: +81 345 895 382
http://jaagov.asia/open new window
Japanese Financial Commission (Posted in October 2014)
7th Fl., FUJI 28 Bldg., 7-26, Kita-Aoyama 2-chome, Minato-ku, Tokyo, 07-0061
Tel: +81 345 790 593
Fax: +81 345 776 443
www.jfc-gov.asiaopen new window
Japanese Mergers and Acquisitions Commission (Posted in October 2014)
3rd Fl., Daini Kowa Bldg. 17-2, Shinbashi 1-chome, Minato-ku, Tokyo, 105-0004
Tel: +81 345 895 398
Fax: +81 345 895 383
http://jmac-gov.asia/contactus.phpopen new window
Mergers and Acquisitions Financial Administration (Posted in June 2013)
11th Floor Hanwha Bldg, 10-1 Shiba 4-chome, Minato-ku, Tokyo, 108-0014
Tel: +008-134-578-0376 / Fax: +008-136-745-4952
regulation@mafinad.orgopen new window
Mergers & Acquisitions Supervison & Administration Commission(MASAC) (Posted in April 2013)
15th Flr., Fujino Building 11-8, Nihonbashi Kodenma-cho Chuo-ku, Tokyo 103-0001
TEL: +81-3-4579-00370 / FAX: +81-3-6745-2891
National Mergers Commerce Commission (Posted in August 2014)
111th Flr., Yurakucho Bldg. 10-1, Yuraku-cho 1-chome, Chiyoda-ku Tokyo 100-0006, Japan
TEL: +81 345 782 378
FAX: +81 345 774 660
www.nmccasia.org/open new window
Offshore Equities Regulation Department (Posted in July 2015)
2 Chome-5-1 Marunouchi, Chiyoda, Tokyo 100-0005 Japan
Tel: +81-34-578-1375
www.oeregdept.orgopen new window
World Securities Authority (Posted in March 2011)
Level7, Nittochi Nishi-Shinjuku Building, 6-10-1 Nishi-Shinjuku, Shinjuku-ku, Tokyo
TEL: +81-3-4550-0685 / FAX: +81-3-6730-9627

[Attachment]

Investors Alert by the IOSCO

  1. In February, 2002, the International Organization of Securities Commissions (IOSCO) released a statement of "Investors Alert on cold calling, (PDF:98KB)" of which points are as follows:
    • Generally speaking, an entity is required to have some form of authorization by the regulators in the country where the investors that it would solicit reside, in order to conduct financial/securities business. There is a possibility that cold callers do not have such authorization and they are involved in illegal activities by which investors lose their money.
    • Therefore, investors should not make an investment solely on the basis of "cold calls." Before making an investment decision and paying money, investors should, at the very least, check whether the entities are given registration and/or authorization as securities dealers, investment advisers, etc., by the regulators in the jurisdictions where the investors reside and the entities claim to operate. Investors also should make serious inquiries into the legitimacy of the entity if the entity promises spectacular returns or "guaranteed" profits.
  2. The IOSCO Asian Pacific Regional Committee (APRC) also announced a press release (PDF:95KB) in February, 2002. The APRC members, including the FSA, expressed their intension to enhance cooperation, mutual assistance and information-sharing to detect illegal activities, as well as to publicize the names of unlicensed/unregistered entities, in order to prevent investors from becoming victims by fraudulent activities.