KOSEI SECURITIES

General Information & Regulation

Established in April 1961, KOSEI Securities Co., Ltd. is a securities company primarily engaged in trading, brokerage, underwriting business, sales and other businesses. The company is authorized and regulated by the Japan Securities Dealers Association, and its financial instrument operator number is Kinki Finance Bureau Director (Financial Instruments) No. 14. In addition, KOSEI Securities is regulated by the Financial Services Agency of Japan (FSA) under license number 6120001077409.

Market Instruments

KOSEI Securities offers investors a range of financial instruments, including stocks, bonds, investment trusts, ETFs/REITs, futures/options, insurance agents and iDeCo pension plans.

Trading Accounts

KOSEI Securities offers both personal and corporate accounts. Before starting to trade, clients will need to open a securities trading account. Clients can open an account with KOSEI Securities in a number of ways, including applying through the official website, applying by phone (0120-06-8617) and applying in-store.

Commissions

KOSEI Securities charges customers for providing products and various services as needed during the trading process. When a securities trading account is traded online, the commission (including tax) to be paid is 0.601% of the contract price for contract up to 1,000,000 yen and 1,100 yen for contracts up to 1,100 yen.

Risks

Each product is subject to the risk of loss due to price fluctuations, etc. Margin trading as well as futures and options trading may result in losses in excess of the principal amount. Since the risk differs for each product, clients may refer to documents such as listed securities, pre-contract documents, prospectuses and customer information regarding the product.

Internal System

KOSEI Securities has an internal system “KICS / i5”, a 24/7 monitoring system “Kics Manager”, and a backup system based on the Business Continuity Plan (BCP). Among them, “KICS/i5” is a “Securities front/back office system” built on IBM's “System i”.

KOSEI Club

“KOSEI Club” is an Internet service for clients who have an account with KOSEI Securities. Clients can access their account information, place stock orders, and trade cash stocks, futures, and options online from their home computers. This service is available 24 hours a day, except during data updates. In addition, “Trading Support J-GX” is an information tool for KOSEI Club members. Clients can access information such as real-time price information and the latest news from their computers, tablets or smartphones, and use various functions such as portfolio management, chart analysis and order links for owning stocks.