EVOLUTION JAPAN SECURITIES

Evolving into Japan's Full Service Broker Dealer

Evolution Japan Securities was started in 2002 with Michael L. Lerch (Founder & Global Chief Investment Officer), CEO Richard G. Chisholm, and Director Kazuko Miyashita as executives running the company out of its main offices located in the Financial District of Tokyo. The firm began as an ordinary brokerage but has grown into a full-service broker-dealer providing financing options as well as advanced trading strategies offering clients what they need to be successful. As a boutique broker-dealer, Evolution Japan Securities has taken a client centered approach building long-term relationships through customized services.

Products and Solutions Available at Evolution Japan Securities

Evolution Japan Securities provides corporate financing in the debt-equity-hybrid finance structure that meets each corporation's specific corporate financing needs. Along with corporate financing, Evolution Japan Securities offers advisory services to corporations who are engaging in M&A and strategic transactions as well as providing proprietary trading (long/short equity, event driven, merger arbitrage, etc) that focuses on commercial profitability.

Target Market(s) / Clientele Served by Evolution Japan Securities

Evolution Japan Securities' client base consists of corporate, institutional, and high net worth individuals throughout Japan and Asia.

Regulatory Obligations and Compliance

Evolution Japan Securities is a regulated and licensed broker-dealer by the FSA (Financial Services Agency of Japan) since its establishment in 2002; however, Evolution Japan Securities, like all broker-dealers in Japan, is under the jurisdiction of the FSA and does not disclose its regulatory license number(s) publicly. As a broker-dealer operating within Japan, Evolution Japan Securities is required to follow the rules, regulations, and guidelines of the FSA for all Japan broker-dealers.

Trading Terms and Conditions

As a broker-dealer for corporates and institutions, Evolution Japan Securities does not provide publicly available information regarding trading spreads, leverage, minimum deposits, or commission rates/fees to the public. Instead, each trading term and condition is negotiated individually between Evolution Japan Securities and its clients through one-on-one discussions.

General Trading Conditions

There are many specific trading conditions available to clients that have been created for each individual client's agreement but are not publicly available. For more detailed information about their trading conditions, clients are encouraged to contact Evolution Japan Securities.

Fee Structure Options for Clients

Evolution Japan Securities does not disclose to the public their deposit and withdrawal fees. All Evolution Japan Securities clients have a uniquely tailored fee structure based on individual client agreements, and as such, the firm encourages all of its clients to reach out for additional information.

Overall Reputation and User Experience of Evolution Japan Securities

Unlike retail trading brokerages, Evolution Japan Securities does not permit retail traders to trade with them, nor allow retail traders the opportunity to write reviews/feedback regarding the business. For this reason, Evolution Japan Securities is viewed by other institutional investors as a reputable firm, showing a strong commitment to compliance with regulatory authorities while creating strong relationships with clients through customized services. However, because no transparency exists based on fee structures, individual non-institutional investors have limited access to the firm's services.

Present Business Activities and Developments

As of the year 2024, Evolution Japan Securities continues to provide consistent, stable operations without any publicly announced changes or major events in connection with any public statement/announcement. The company's parent company remains active in social corporate responsibility (TOMODACHI Initiative).

Summary/Conclusion of the Evolution Japan Securities Business Model

Evolution Japan Securities is a customized relationship-driven business providing clients with tailored solutions, a commitment to advanced trading strategies, and adherence to regulatory compliance. Due to the limited transparency of fee structures, the overall accessibility to the market is restricted for non-institutional investors; however, Evolution Japan Securities has a strong reputation for professionalism and operational excellence within the Japanese corporate and institutional markets.