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''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 recently 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 suspected cold callers below based on the information received. The entities listed are not registered with or authorized by the FSA under the Financial Instrument Exchange Law of Japan. Therefore, these entities are suspected of being cold callers. 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 suspected cold callers

Below is the list of suspected cold callers, based on information received by the FSA. These listed entities are neither registered with nor authorized by the FSA as legitimate entities to conduct financial/securities-related business. Please be reminded that other suspected cold callers may exist. Accordingly, 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 suspected cold callers.

Profidex
Levels 9-11, AIG Building, 1-1-3 Marunouchi, Chiyoda-Ku, Tokyo 100-0005
TEL : +81-3-5288-5296
FAX : +81-3-4496-4835
Kaikatsu Group Limited
Tokyo Ginko Kyokai Building 1-3-1 Marunouchi, Chiyoda-Ku, Tokyo, 100-0005 Japan
TEL : +81-3-4496-5255
FAX : +81-3-4496-5256 and +81-3-4496-5257
Dragon Securities
502 Hotta-kata, 3-6-10 Hirusaido, Kagurazaka, Shinjyuku-ku, Tokyo, 162-0825 Japan
TEL : +81-3-4496-4800
FAX : +81-3-4496-4801
Carnegie Advisors Ltd.
807-31, Lions Plaza Ebisu, 3-25-3 Higashi, Shibuya-ku, Tokyo 150-0011, Japan
TEL : +81-3-3668-1362, FAX : +81-3-3668-1363
De Verre Lloyd & Co.,Ltd.
TEL : +81-3-5456-5369
Dreyfus Securities Ltd.
TEL : +81-3-5404-3826
Drexel Asset Management
TEL : +81-3-5325-3043 or +81-3-5219-1509
Kearns Investments Inc.
TEL : +81-3-5288-5414
Kensington International Group Ltd.
TEL : +81-3-5326-3125
Momentum Consultants Limited
807-31, Lions Plaza Ebisu, 3-25-3 Higashi, Shibuya-ku,
Tokyo 150-0011, Japan
TEL : +81-3-3668-1362, FAX : +81-3-3668-1363
Heritage Mergers and Acquisition
Kamiya-cho MT Bldg. 4-3-20 Toranomon, Minato-Ku, Tokyo, Japan 105-0001
TEL : +813-5404-3560
FAX : +813-4496-4930
Barlow & Ramsey
Sanno Park Tower Bldg. 2-11-1 Nagata-Cho, Chiyoda-ku, Tokyo, Japan 100-6113
TEL : +813-4496-5211
FAX : +813-4496-5212
Norbert Associates
9F AIG Bldg. 1-1-3 Marunouchi, Chiyoda-Ku, Tokyo, Japan 100-0005
TEL : +813-4496-4850
FAX : +813-4496-4851
Nishimura Mergers and Acquisition
2F Tokyo World Trade Center Bldg. 1-7-8 Kaigan, Minato-Ku, Tokyo, Japan 105-0022
TEL : +813-5456-5059
Cahill & Audleman
502 Hillside Kagurazaka, 3-6-10 Kagurazaka, Shinjyuku-Ku, Tokyo, Japan 162-0825
TEL : +813-4496-4790
FAX : +813-4496-4791
Select Capital Management
9F AIG Bldg. 2-18-6 Nihonbashi, Chiyoda-Ku, Tokyo, Japan 103-0027
Capital Plus Group
14F Kamiya-cho MT Bldg. 4-3-20 Toranomon, Minato-Ku, Tokyo, Japan 105-0001
TEL : +813-4580-2121
FAX : +813-4496-4904
Premium Alliance Group
28F Shinagawa Intercity A, 2-15-1, Konan, Minato-Ku, Tokyo, Japan 108-6208
TEL : +813-5325-3223
FAX : +813-5325-3131
Link Merger & Acquisitions
21 Ichiban-Cho, Chiyoda-Ku, Tokyo, Japan 102-0082
TEL : +813-4580-2144
FAX : +813-4496-4333
Sukumo Group
TEL : +81-3-5219-1528
Tech-Link International Limited
Warren and Baker
TEL : +81-3-5219-1531
The Stockton Group
502 Ohashi-Building,
1-16, Kanda-Sakumacho, Chiyoda-ku,
Tokyo 101-0025, Japan
TEL : +81-3-4496-5110
FAX : +81-3-4496-5111 , +81-3-4496-5112
Charles Fleming Co.
Sanno Park Tower Bldg.,2-11-1 Nagata-Cho, Chiyoda-Ku,
Tokyo 100-6172, Japan
TEL : +81-3-5456-5026
FAX : +81-3-4496-4464
Greenfield Consulting
2-4-203 Ogikubo, Suginami-Ku, Tokyo, Japan
TEL : +813-5288-5444
FAX : +813-4496-4922
Pollack and Quinn
Shinjuku Mitsui Building, 21st Floor, 2-1-1 Nishishinjukuku, Shinjuku-ku, Tokyo 163-0421 Japan
website :www.pollackquinn.comopen new window
Blue Sky Solutions Inc.
7-24 Nihonbashi Kabutocho, Chuo-Ku, Tokyo 103-0026 Japan
website : www.blueskysolutionsinc.comopen new window
Apex Trading Group
18th Floor, Tokyo Sankei Building, 1-7-2 Ohtemachi, Chiyoda-ku, Tokyo 100-0004 Japan
TEL : +813-4496-4940
FAX : +813-4496-4941
website: www.apex-tg.comopen new window
Beacon Global Advisors
15th Floor, Cerulean Tower, 26-1 Sakuragaoka-cho, Shibuya-Ku, Tokyo 150-8512 Japan
TEL : +813-5456-5037
FAX : +813-4496-4047
website: www.beacon-global.comopen new window
Yamato & Associates
koraku Mori Bldg 9F, 1-4-14, Koraku, Bunkyo-Ku, Tokyo 112-004 Japan
website:www.yamatoandassociates.comopen new window
Jacob & Burns
Koraku Mori Bldg 9F, 1-4-14, Koraku, Bunkyo-Ku, Tokyo 112-004 Japan
TEL : +813-4496-4857
FAX : +813-4496-4320
website: www.jacobsburns.comopen new window
Dunleavy Investment Limited
Level 14 Kamiyacho MT Bldg. 4-3-20, Toramonon, Minato-Ku, Tokyo 105－0001 Japan
TEL : +813-4360-5534
FAX : +813-4360-5535
website:www.dunleavyinvestment.comopen new window
Suite B1 AIG Building 1-1-3 Marunouchi, Chiyoda-ku Tokyo 100-0005, Japan
Phone: +81 (3) 5288-5940
Fax: +81 (3) 5288-5941
Morley Thompson
24th Floor, Marunouchi Building, 2-4-1 Marunouchi, Chiyoda-Ku, Tokyo 100－6324 Japan
TEL : +813-4580-0920
FAX : +813-4496-5015
website: www.morleythompson.comopen new window
Brentwood Group Ltd.
Level 15, Tokyo Ginko Kyokai Building, 1-3-1 Marunouchi, Chiyoda-Ku, Tokyo, Japan 100-0005
TEL : +813-4580-1760, +813-6688-4521
FAX : +813-4496-6228
website: http://www.brentwoodgpinter.comopen new window
First Equis Ltd.

Shibuya Mark City West 22F 1-12-1 Dogenzaka, Shibuya-Ku, Tokyo, Japan 150-0043
TEL : +813-4360-5473, +813-4360-5474
FAX : +813-4360-5475
website: www.firstequis.comopen new window

Trinity Ventures
502 Hillsidekagurazaka, 3-6-10 Kagurazaka, Shinjuku-Ku, Tokyo, 162-0825, Japan
TEL : +813-4496-5041
FAX : +813-4496-5042
website : www.trinity-ventures.comopen new window
Tanaka Securities

1-40-4 Kamiosaki, Minato-Ku, Tokyo, 105-0011, Japan
website: http://www.tanasecure.comopen new window

Keystone Consulting Inc.
2-4-1 Toranomon, Minato-Ku, Tokyo, Japan 105-6016
TEL : +813-5403-4652
FAX : +813-4496-6060
website:http://www.keystoneconsultinc.com/ open new window
Mitsui, Lane & Associates
Level 15, 2-2-1 Toranomon, Minato-Ku, Tokyo, Japan 105-0001
TEL:+813-4496-4464
website : http://www.mitsuilaneandassociates.com/open new window
Fujiwata Capital Group
1-8-14 Nishimiyahara, Yodogawa-Ku, Osaka, Japan 532-0004
website : http://www.fujicapgrp.comopen new window
Takeshi Financial
6-2-4 Akasaka, Minato-Ku, Tokyo, Japan 107-6245
FAX : +813-4496-4347
website: http://www.takeshifinance.com/open new window
Okamura Asset Management
Shinjuku Park Tower 30th Floor, 3-7-1 Nishi Shinjuku, Shinjuku-Ku, Tokyo, Japan 163-1030
TEL : +813-4580-2168
FAX : +813-4496-6417
website: http://www.okamuraam.com/open new window
Keldione International
Shinjuku Park Tower N30, 3-7-1 Nishi Shinjuku, Shinuku-Ku, Tokyo, Japan, 163-030
FAX : +813-4496-6277
website: http://keldioneint.com/open new window
Crown Point Mergers and Acquisitions Limited
Shinjuku Park Tower 30th Floor, 3-7-1 Nishi Shinjuku, Shinuku-Ku, Tokyo, Japan, 163-1030
website: http://www.crownmergers.com/open new window
Greenfield & Mato
Koraku Mori Bldg. 9F, 1-4-14 Koraku, Bunkyo-Ku, Tokyo, Japan, 112-004
TEL : +813-4550-6882
website: http://www.greenfieldmato.com/open new window
Talbot and Reese, Inc
Shinjuku Monolith, 16th Floor, 2-3-1 Nishi Shinjuku, Shinjuku-Ku, Tokyo, Japan, 163-0916
TEL : +813-4580-2055
FAX : +813-4496-5096
website: http://www.talbotreese.com/open new window
Mitsui Financial
TEL : +81-50-5534-5315
website: http://www.mitsuifinancial.comopen new window
Asset Brokerage Network
Level 14 Shibarikyu Shiodome, 5-3 Kaigan, Minato-Ku, Tokyo, Japan, 105-0022
TEL : +813-4580-0937, +813-4550-6882, +813-4590-3121
FAX : +813-4496-4045
website: http://www.abn-group.com/open new window
Morgan Financial Advisors
Nishishinjuku-1, Suite 104 Shinjuku, Skyscraper District, Shinjuku-ku, Tokyo Japan
TEL : +813-4550-6896
FAX : +1-646-3679519, +1-866-3641457
website: http://www.morgan-advisors.comopen new window
Waldon McLean Associates
Toranomon Yatsuka Building, 1-1-11 Atago, Minato-Ku, Tokyo 105-0002, Japan
TEL : +813-4580-1656
FAX : +813-4580-1721
website: http://www.waldonmclean.com open new window
Scott Fitzgerald Group
Dogenzaka Kabuto Bldg., Dogenzaka Shibuya-Ku, Tokyo 150-0043
TEL : +813-4580-1689
website: http://www.scottfitzgeraldgroup.comopen new window
Masahiro International
25-32-408 Sakuragaoka-Cho, Shibuya-Ku, Tokyo, Japan
TEL : +813-4580-1656
website: http://www.masahirointernational.comopen new window
Kiyo Financial
13-3, Nihonbashi 3-chome, Chuo-Ku, 103-0027, Tokyo, Japan
TEL : +813-4580-1748
FAX : +813-4496-4243
website: http://kiyofinancial.comopen new window

[Attention!]When you click the website of Kiyo Financial as above, you will find the following message from Kiyo Financial:

Investor Alert: Kiyo Financial is currently under investigation.
Clients of Kiyo Financial are advised that funds invested in currently being held by the Financial Services Agency of Japan.
If you are a client of Kiyo, you can file a petition with http://www.fsa.go.jp/ for return of your funds.
If you have any questions call 03-3506-6000.

The Financial Services Agency of Japan warns all investors to Kiyo Financial that the above-mentioned notice is not true. We do not hold any funds of Kiyo Financial's clients. Therefore, we cannot return the client's funds even if the clients contact to us.

Sachiko International
5-3-13 Minami Azabu, Minato-Ku, Tokyo 106-0047, Japan
website: http://www.sachint.netopen new window
Masaru and Associate
1-11-4 Akasaka, Minato-Ku, Tokyo 107-8420, Japan
website: http://masaruassociates.comopen new window
Thomas Castle Management
8th Floor, Kasumigaseki Building, 3-2-5 Kasumigaseki, Chiyoda-Ku, Tokyo 100-6010, Japan
TEL: +813-4580-1758
FAX: +813-4496-4046
website: http://www.thomas-castle.comopen new window
First Prime Group
6-1-6-503 Minami-Aoyama, Minato-Ku, Tokyo, Japan
TEL: +813-4580-1998
website: http://www.firstprimegroup.comopen new window
First Prime International Ltd from Tokyo
6-1-6-503 Minami-Aoyama, Minato-Ku, Tokyo, Japan
TEL: +813-4550-0476
website: http://www.firstprimegroup.netopen new window
Conquest Mergers
Cerulean Tower, 36-1, Sakuragaokacho, Shibuya-ku, Tokyo.
Phone +81 (3) 4550-0330.
Sovereign Global Trading
Level 21, Shiodome Shibarikyu Building,
1-2-3, Kaigan, Shiodome, Minato-ku, Tokyo, 105-0022 Japan
TEL : +813-5403-6368
website: http://www.sovtrading.com/open new window
Yutaka Commodities,Inc
Higashishinbashi 1-chome Minato-ku Tokyo,105-0021
TEL: 03-4520-9234
FAX: 03-4496-4685
website: http://www.yutakacommodities.com/index.php?domain_name=yutakacommodities.com&ne51f6=1open new window
Gotthard Capital Partners
Kasumigaseki Building 28th Floor 2-5, Kasumigaseki 3-Chome, Chiyoda-ku Tokyo, 100-6028
TEL:03-4550-0327
FAX:03-4496-4849
website: http://www.gotthardcp.com/index.htmlopen new window
Teikoku Commodities
Shin-Marunouchi Bidg,1-5-1Marunouchi,Chiyoda-ku,Tokyo,100-6590
TEL:03-4520-9237
website: http://www.teikokucommodities.com/open new window
Maganura Mergers & Acquisitions
25-32-408 Sakuragaoka-Cho Shibuya-ku,Tokyo,150-0031
TEL:03-4520-6367
website: www.maganura-ma.orgopen new window
Hannan Corporation)
Taiyo Financial
Toyo-cho, Shinei Bldg.12F 4-chome 3-1 Toyo, Koto-ku,Tokyo,135-0016
TEL:03-4550-0458
FAX:03-4496-4494
website: http://www.taiyofinancial.com/open new window
Bridgestone Trading Ltd
Level 28,Shinagawa Intercity Tower A,2-15-1 Konan,Sumida-ku,Tokyo,108-6028
TEL:03-6717-4200
FAX:03-6717-4201
website: http://www.bridgestonetrading.com/contact.phpopen new window
Sakuma Group
105 Kowa Shiba Park Bldg, 3 F 1-1-11 Shiba Park, Minato-ku, Tokyo,105-0011
website: http://www.sakumagroup.com/open new window
Crosby Capital Partners
4-3-14 Toranomon 3rd Floor Minoto-ku,Tokyo,105-0001
website: http://crosbycp.comopen new window
Carlton First Capital
Suite 2A Mizuho Building Kamiosaki, Shinagawa-Ku Tokyo,141-0021
website: http://www.carltonfirstcapital.com/index.htmlopen new window
Dunbar Mckenzie Financial Group
Suite 2A Mizuho Building Kamiosaki, Shinagawa-Ku Tokyo,141-0021
TEL:03-4233-6000
FAX:03-4233-7000
website: http://dunbarmckenzie.com/index_files/page0015.htmopen new window
Citadel Group International
Level 8 Pacific Century Place 1-1-11 Marunouchi, Chiyoda-ku Tokyo,100-6208
Brunswick Knight
TEL:03-4800-400771
website: http://www.brunswick-knight.com/open new window
Colony Capital and Associates
20th Floor Marunouchi Building, 2-4-1 Marunouchi, Chiyoda-ku, Tokyo 100-6332
TEL:03-4520-9323
FAX:03-4496-4202
website: http://colonycapitalassociates.net/contact-us.htmopen new window
Yoshida, Wells & Associates
29-8, Hamamatsu-cho 1-chome, Minato-ku, Tokyo 105-0013
TEL: 03-4496-4430
website: http://yoshidawells.com/open new window
Manhattan Fujiwara International
Arca Central Building 14F 1-2-1 Kinshi Sumida-ku, Tokyo 130-0013
TEL: 03-4496-6277
website: http://www.manhattanfuji.jpopen new window
Citigroup Global Funds Incorporated
2-17-5 Shibuya Shibuya-ku Tokyo 150-0002
TEL/FAX: 03-4496-4342
website: http://www.cgfi.biz/open new window

※The Citigroup companies in Japan have no association whatsoever with the organization.

Cook Capital Partners
Bank of Tokyo-Mitsubishi UFJ Roppomgi Minato-ku Tokyo 106-0032
TEL: 03-4550-0325
FAX: 03-4496-5013
website: http://www.cookcp.com/open new window
Takeda Financial Co.Ltd
Kawase Bldg　3-17-5 Shinjuku, Shinjuku-ku, Tokyo 160-0022
TEL: +81-3-4520-9327
FAX: +81-3-4496-4332
website: http://www.takedafinancial.com/contact/ open new window
Guardian Asset Management
Atago Green Hills Mori Tower 40F 2-5-1 Atago, Minato-Ku Tokyo, Japan, 105-6240
TEL: +81-3-4580-1725
website: http://www.guardian-am.com/contactus.phpopen new window
Calderton Capital Partners
Nihonbashi 1-chome Building, 1-4-1 Nihonbashi Chuo-ku, Tokyo, Japan, 103-0027
TEL: +81-3-4588-4048
website: http://www.caldertoncp.com/index.htmlopen new window
NEXT Futures Co. Ltd.
2-4-7 Sugamo Toshima-ku, Tokyo, Japan 170-0002
TEL: +81-3-4550-6918
FAX: +81-3-4496-4085
website: http://www.nextfutures.com/contact/open new window
Bowden Ventures
2-1 Nihombashi Kabuto-cho Chuo-ku, Tokyo, Japan, 103-8220
TEL: +81-3-4580-1727
FAX: +81-3-4496-4011
Webb Capital Partners
Atago Green Hills MORI Tower 37F, 2-5-1 Atago Minato-ku, Tokyo, Japan, 150-6237
TEL: +81-3-4520-8985
FAX: +81-3-4496-4825
Saitou Consulting Financial Solutions
2-2-2 Uchi-saiwai-cho Chiyoda-ku, Tokyo, Japan, 150-6237
TEL: +81-3-4520-9303
FAX: +81-3-4496-4221
website: http://saitoucon.com/open new window
Carter Sinclair Ltd
31F Osaka Kokusai, 2-3-13 Azuchi-machi, Chuo-ku Osaka, Japan, 541-0052
TEL: +81-6-4964-2616
FAX: +81-6-4964-2628
website: http://www.carter-sinclair.com/contact.htmopen new window
Milton Hayward Ltd
Yurakucho Ekimae Building Level 12, Yurakucho 2-7-1, Chiyoda-ku Tokyo, Japan, 541-0052
TEL: +81-3-5456-5049
FAX: +81-3-4496-4021
website: http://www.miltonhayward.com/open new window
Linden Ventures
Shinjuku Park Tower 30th Floor, 3-7-1 Nishi-Shinjuku Shinjuku-ku, Tokyo, Japan, 163-1030
TEL: +81-3-4580-2174, +81-3-4580-0927
FAX: +81-3-4496-4259
Lee Hamilton & Associates
4th Fl, Palaceside Bldg. 1-1 Hitotsubashi 1-chome Chiyoda-ku, Tokyo, Japan 100-0003
website: http://leehamiltonassoc.com/open new window
Cornerstone Worldwide
Hibiya Central Building, 1-2-9 Nishi Shimbashi, Minato-ku, Tokyo, Japan, 105-003
TEL: +81-3-4520-9241
FAX: +81-3-4496-4170
website: http://www.cornerstoneworldwide.com/open new window
Liberty Securities
39th Floor Shinjuku Nomura Building Shinjuku Shinjuku-ku, Tokyo, Japan 160-0022
TEL: +81-50-5809-8850
FAX: +81-3-4496-6098
website: http://www.libertysecurities.org/index.phpopen new window
Global International Trading
Level 27, Shiroyama Trust Tower 4-3-1 Toranomon, Minato-Ku Tokyo, Japan 105-6027
TEL: +81-50-5809-3362
FAX: +81-3-4496-6328
website: http://globalinternationaltrading.com/index.phpopen new window
DES Options
AIG Umeda 1-27 Bldg Chayamachi Kita-ku Ohsaka-shi, Osaka, Japan 530-0013
TEL: +81-6-4560-4004
FAX: +81-3-6537-1712
website: http://www.desoptions.com/open new window
Fukumoto, Toshihiro and Partners Futures Trading
Kawase Bldg 3-17-5 Shinjuku Shinjuku-ku Tokyo, Japan 160-0022
TEL: +81-3-4520-6363
FAX: +81-3-6385-7561
website: http://www.ftpfutures.com/open new window
Equi Asia Group Ltd
Level 28, Shinagawa Intercity Building, Tower A, 2-15-1 Konan, Minato-Ku, Tokyo, Japan, 108-6028
TEL: +81-3-6717-4321
FAX: +81-3-6717-4341
New Asia Business Consultants
32Floor St. Lukes Tower, 8-1 Akashi-cho, Chou-ku Tokyo, Japan, 104-8518
TEL: +81-3-4520-6303
FAX: +81-3-4496-6049
website: http://www.now.asia-consult.com/open new window
Kimura Financial
63-2 Horinouchi Oura Tohoku-machi, Kamikita-gun Aomori, Japan, 039-2402
TEL: +81-3-4496-4064
FAX: +81-3-4496-4074
website: http://www.kimurafinancial.com/whoweare/background.htmlopen new window
Palmer Brown Management Inc
5Floor, ThinkPark Tower, 2-1-1 Osaki, Shinagawa-ku, Tokyo, Japan, 141-6005
TEL: +81-3-6688-7109
FAX: +81-3-6688-7089
website: http://www.palmer-brown.com/open new window
Penn Capital management Ltd
1-4-27 Shiromi, Chuo-ku, Osaka, Japan, 540-8560
TEL: +81-6-4560-4030
FAX: +81-6-6537-1768
website: http://www.penncm.com/open new window
Park East Capital
Level 14, 1-2-9 Nishi Shimbashi, Minato-Ku, Tokyo, Japan. 105-0003
TEL: +81-3-4496-4250
FAX: +81-3-4496-4251
website: http://www.parkeastcapital.com/open new window
Takahashi Nakamura Associate
1-11-1 Marunouchi, Chiyoda-ku, Tokyo, Japan, 100-6208
TEL: +81-3-4550-0322
website: http://www.takahashinakamura.comopen new window

In addition, we have discovered fictitious regulators and securities/financial exchanges as listed below. The regulators and exchanges below do not exist.

Tokyo Commodities Futures Exchange
3-43-13 Koenji-Kita, Suginami-Ku, Tokyo, Japan
website: http://www.tcfx.jpopen new window
Commodities Futures Trade Board
website: http://www.cftb.jpopen new window
Asian Carbon Trade Exchange
Level 9, Edobori Center Building, 2-1-1, Edobori, Nishi-Ku, Osaka, 550-0002 Japan
TEL : +816-6225-1319
website: http://www.asiancarbontrade.comopen new window
The Tokyo Futures and Options Exchange
166-0002 Koenji-Kita, Suginami-Ku, Tokyo, 166-0002
website: http://www.tfox.jpopen new window
The Financial Services Regulatory Authority
website: http://fsra.jpopen new window
Hawkins & Doyle
18F JT Bldg.2-2-1 Toranomon, Minato-Ku
TEL: +81-3-4580-2168
FAX: +81-3-4496-5000
Nikkei Securities Exchange Group
Head Office : 15th Fl. Tokyo Exchange Bldg Nihonbashi Kabutocho Chuo-ku, Tokyo, Japan
Telephone : +81-3-9588-5988
Fax : +81-3-9588-2989
E-Mail : info@nikkei-securities.jp
website: http://www.nikkei-securities.jp/open new window
International Equities Administrators
2-12-4 Toranomon, Minato-ku Tokyo,105-0001
TEL:03-4550-0335
FAX:03-4496-4455
International Stock Regulators Board
Marunouchi Bidg.23G,3-2-4 Marunouchi,Chiyoda-ku,Tokyo,100-6323
TEL:03-4550-0331
website: http://www.intsrb.orgopen new window
Central Registration Department
HSBC Building 11-1, Nihonbashi3-choume,Chuo-ku,103-0027
Tokyo World Future Exchange
website: http://www.twfex.com/open new window
International Trading Bureau
Izumi Garden Tower 18th Floor 1-6-1 Roppongi Minato-ku Tokyo 106-6018
TEL: 03-4588-8763
Tokyo Futures Trading Board
website: http://www.tftb.jp/registered/open new window
Japan Futures Trading Board
website: http://www.jftb.org/eng/open new window
International Securities Commission
Siodome Sumitomo Building 14th Floor 1-9-2 Higashi-Shimbashi Minato-ku Tokyo,105-0021
TEL:+81-3-4590-3164
FAX:+81-3-4496-6333
website: http://www.intersc.org/open new window
International Association of Securites Varification
4-9-7 Roppongi Minato-ku Tokyo,106-0032
TEL:+81-3-4588-8764
FAX:+81-3-4580-7166
Tokyo Commodities Trading Authority
Dai-ichi Tekko Building, Chiyoda-ku, Tokyo, Japan, 100-0005
website: http://hkhoster.com/tocomta.org/jp/open new window
International Exchange Regulatory Agency
Yokohama Business Park 134 Godo-Cho, Kanagawa, Tokyo, Japans
TEL:+81-3-4520-9560
FAX:+81-3-6385-7549
website: http://www.intexra.org/open new window
Financial Trading Commission
Level 20, 1-3-3 Kaigan, Tokyo, Japan, 105-0022
TEL:+81-3-4588-8710
website: http://www.fintco.orgopen new window

[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," 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 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.
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