Broker Summary
What Wikilix has recorded about Kuni Umi AI Securities: its history, the licences it holds, its trading conditions and its fees.
Kuni Umi AI Securities Co., Ltd, or simply Kuni Umi, was created to offer securities brokerage and discretionary investment management services for individuals and institutions, in addition to pension funds, to clients of all kinds throughout Japan. Kuni Umi's operations are conducted under the auspices of N&O Consulting Co., Ltd which owns 58% of Kuni Umi and is also the primary investor in the company, and the current President and CEO, Yuan Li who owns 35% of the company. As noted in the commentary below, Kuni Umi's business model emphasizes the delivery of superior services to clients to support clients as they navigate the challenges associated with operating in a financial services environment governed by strict governance, compliance and risk management regulations. Therefore, it is a logical evolution for the company to provide these high standard professional services to clients who require the highest quality assistance in maximising returns and minimising risks.
The services offered by Kuni Umi include all aspects of traditional brokerage services, alternative product development (such as the formation of Private Equity and Hedge Fund products), financial product intermediation to support and link Institutional and Retail Clients, Investment Banking and Creation/Management of Managed Portfolios. Little information about trading conditions or fees and meeting trading requirements is available to the public. However, as required by the Japan Financial Services Agency (FSA) Regulation, Kuni Umi is compliant and regulated by the FSA as a registered licensed entity operating under the Japan Financial Instruments and Exchange Act. Kuni Umi is a member of various key Industry Bodies, including the Japan Investor Protection Fund and Tokyo Securities Police Liaison Council.
Only a handful of positive reviews regarding Kuni Umi exist as of 2024. However, its regulated compliant status and the qualifications, professionalism and financial stability of its leaders and management team will enhance Kuni Umi's overall reputation for providing a superior level of service to its clients. Kuni Umi has made no known major business developments in 2024.
Kuni Umi is registered as a financial services provider in Japan under FSA Regulation #350000007. The information available to the public regarding Kuni Umi's regulatory compliance status, trading conditions and fees are outlined in the table below. Trading Conditions: Kuni Umi does not disclose information regarding fees and minimum deposits for its services within the public domain. Therefore, they are not disclosed in the public domain, including Kuni Umi's official website or other social media platforms. As such, Kuni Umi will be subject to complying with the regulations and standards set forth by FSA and the Japanese Securities and Exchange Commission (JSEC).
Website snapshots
8 full-page captures of Kuni Umi AI Securities's own site, archived so what they said can still be read after the pages change.
Regulatory Licenses
We have not confirmed any regulation for Kuni Umi AI Securities. Money deposited with an unregulated broker is protected only by the company itself.
Trading with an unregulated broker puts your deposit at risk.
No regulation
We have not confirmed any regulation for Kuni Umi AI Securities. An unregulated broker is not supervised by a financial authority, and money you deposit is protected only by the company itself.
What this means for you
- No compensation scheme covers your funds.
- No regulator to escalate a complaint to.
- No audit of how client money is held.
Funding Methods
2 ways to fund an account.
| Method | Deposit fee | Withdrawal fee | Min deposit | Withdrawal min / max | Processing |
|---|---|---|---|---|---|
Domestic Bank TransferBank TransferWithdrawal fees for domestic bank transfers are covered by the broker; no fees charged to clients. Deposit minimum is $100. No explicit maximum limits disclosed. | Not recorded | Free | USD 100 | Not recordedNot recorded | Not recorded |
Other Deposit MethodsOtherNo detailed information on deposit or withdrawal fees, limits, or processing times for these methods. | Not recorded | Not recorded | USD 100 | Not recordedNot recorded | Not recorded |
Global Domains
One domain on record. All active and served over HTTPS.
Corporate Network
One legal entity behind the Kuni Umi AI Securities brand.
- Kuni Umi AI Securities Co. LtdActiveJapanRegistration 2010001107097
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Frequently Asked Questions
Common questions about Kuni Umi AI Securities
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