UYS

History and Background

UYS is the trading name for Ueda Yagi Securities Co., Ltd. (UYS), a financial instrument distributor based in Tokyo, Japan. UYS began operations on April 12, 2007, and has developed a strong reputation in Japan as a direct seller of custom/private placement investment trusts and other alternative investments, providing them to the institutional market. Unlike many other financial brokers that primarily serve retail clients, UYS provides comprehensive services for innovative financial instruments and asset management, designed specifically for large financial institutions or corporations.

Founded by Kaname Ueda as a hedge fund series within an existing parent company, UYS is a wholly owned subsidiary of Ueda Yagi Tanshi Co., Ltd., which has been providing financial services since 1918. The financial services division of the Ueda Yagi Group has a history of strong growth, and that success has driven UYS's continued evolution as a primary provider of alternative investment products in Japan.

UYS is located in the same building as Ueda Yagi Tanshi Co., Ltd., in Chuo-ku, Tokyo (located on Nihonbashi-Hongokucho 1-1-9). The establishment of UYS was intended to allow a distinctive focus on serving large institutional clients rather than retail clients by providing precise, tailored products and services uniquely suited to their objectives and constraints for long-term growth, funded through alternative methods and vehicles.

Principal Businesses

UYS conducts its business through several primary business lines. Currently, UYS is primarily focused on:

• The securities business, including the selling of securities from the Ueda Yagi Group (Type I Financial Instruments Business).
• The LPS Distribution Business, which focuses on the selling of privately placed investment trusts and related businesses (Type II Financial Instruments Business).
• A non-discretionary Investment Advisory business in the area of private placements and other types of investments.
• A discretionary Investment Management business in the area of managing alternative investments on behalf of institutional clients.

Whether through LPS or private placement trusts, UYS focuses on serving sophisticated investors in the Japanese market by maintaining robust due diligence processes and agent/client relationships with hedge fund and alternative asset managers to ensure clients have access to quality, sustainable investment opportunities.

As UYS serves only large institutional/corporate clients, rather than individuals, it has an obligation to provide the most sophisticated clients with the tailored services they require, rather than trying to attract retail clients.

Regulatory Compliance and Licenses

UYS operates under strict Japanese regulations for the financial services industry and complies with all applicable laws and self-regulatory organizations (SROs) related to its business as a financial instruments business operator in Japan.

These regulatory affiliations underscore UYS’s commitment to transparency, investor protection, and adherence to industry best practices, which are critical for maintaining trust with institutional clients.

Trading Conditions and Platform Technology

UYS provides no publicly available information about typical retail trading conditions (such as commissions, spreads, leverage, and minimum deposit) as retail-focused brokers do, which is consistent with their approach. Their business model is focused on institutional distribution and discretionary management rather than retail online trading.

The UYS website also does not feature any advertisements for proprietary or third-party trading platforms, mobile applications, or retail trading tools; this illustrates UYS’s market positioning as a distributor and manager of alternative investment products rather than a traditional online broker.

Fee Structure

UYS does not provide details about Deposit Fees, Withdrawal Fees, Inactivity Charges, or any other Customer Related Charges on its Official English Language Website. The absence of a publicly posted Fee Schedule reinforces UYS’s focus on Institutional Clients that negotiate their individual Fee Structure directly with UYS, rather than by using standard Retail Brokerage Fee Schedules.

Prospective Clients should reach out to UYS directly regarding their unique Investment Needs and the corresponding Fee Structures related to their Service Agreement.

User Experience and Market Reputation

The strengths of UYS, as indicated in its Official Communications, are its broad product offerings, the extensive due diligence conducted on each Fund Manager, and the long-term relationships it has established with its Fund Managers. The final point among the three is one of the primary reasons UYS's Institutional Clients choose UYS as their Investment Partner.

UYS does not have customer reviews from external third-party sources published on its English Language Website, nor does UYS have Independent Ratings, nor does UYS publish aggregated reputation scores. The lack of publicly available client feedback is nothing new within the Institutional Investing Environment, where confidentiality and customized solutions are the norm.

For these reasons, while UYS presents itself as a reputable institution and experienced provider of Alternative Investments to its clients, external validation from public reviews or ratings is limited.

Current Developments

The most recent disclosure made by UYS on its English Language Website was its Headcount, which, as of July 2024, is 27 Employees. There is no other specific announcement for either 2024 or 2025 regarding New Product Launches, changes to Regulation of UYS, or Corporate Developments, on the English Pages reviewed.

These limited disclosures lead to the conclusion that UYS maintains a Low Profile Communication Strategy in English, and primarily focuses on Direct Engagement with Clients and Building Within its Niche Market Segment.

Summary

UYS is a Specialized Financial Services Firm focused primarily on the Alternative Investment Industry and Servicing Institutional Clients within Japan. UYS has a long history within the Ueda Yagi Group and is therefore a trusted partner for Institutional Investors seeking exposure to Privately Placed Funds and Alternative Investment Vehicles.

UYS does not disclose detailed Retail Trading Conditions, Fee Schedules, and Platform Information on its Website due to its Institutional Orientation. Nevertheless, UYS has demonstrated its Compliance with Regulations and Industry Memberships and, therefore, can be viewed as a Credible and Legitimate Company for Institutional Investors seeking a Dedicated Alternative Investment Distributor and Discretionary Manager based in Japan with a long history of experience within the Industry.