Corporate Profile. Invast Securities

Transcription

1 Corporate Profile Invast Securities

2 Message from the President Services that delight and surprise Integrity is the most important of Invast s values, and represents part of its corporate culture President CEO Takashi Kawaji Thank you very much for your continued patronage of Invast Securities. Our mission is to provide our investor customers with financial services with integrity while always considering matters from a customer viewpoint in an effort to deliver surprise and inspiration to them. We also desire to contribute to developing our society through allowing our customers to pursue their trading activities with pleasure and peace of mind. Through such efforts, we hope to give a sense of happiness to all the people we work with, including our customers and vendors as well as our employees and their families. We at Invast believe it is the provision of services exceeding customer expectations that will allow us to fulfill our aspiration of offering services that can give surprise and inspiration to our customers." While we will naturally seek to live up to expectations as a listed financial services firm, we continue to ask ourselves what should be done to deliver better-planned services in a more creative manner. The answer to this question, in our view, is for Invast to continue improving and evolving itself, which will be made possible by considering and perceiving matters from the customer viewpoint while constantly paying attention to customer feedback. Our strong hope is to give a sense of happiness, both material and spiritual, to all the people we work with by striving to provide our customers with superior services that can offer "surprise and inspiration." A company's fundamental values and culture have an effect on its decision-making process, and represent the firm's dignity. It is on the basis of the above-mentioned fundamental values and culture shared by all Invast employees that we will endeavor to deliver services that can give peace of mind, inspiration and a sense of happiness while cherishing "integrity," our top value, as the backbone of our entire activities. We appreciate your kind support and cooperation.

3 What Invast exists for Mission 1. Deliver surprise and inspiration through providing services with integrity 2. Give a sense of happiness, both material and spiritual, to all the people we work with What Invast aims to become Vision Invast aims to become a visionary company capable of continuing to deliver new value-added services while constantly evolving and changing itself, driven by a team of management composed of top quality professionals among the firm's highly-skilled talented individuals coming from around the world. what we believe in value 1. Integrity Integrity is the most important of Invast s values, and represents part of its corporate culture. We provide services with integrity and a high level of transparency while judging action by the standard of whether it has integrity. 2. Social contribution We at Invast make a useful contribution to society through pursuing our business activities. We will design and run our services in ways that enable our customers to have enjoyable trading experiences. At the same time, in an effort to allow our employees to lead happy family lives, we will continue to improve our work and office environment. 3. Surprise and inspiration We aspire to deliver surprise and inspiration by continuing to provide services that greatly exceed expectations at all times. 4. Venture spirit We continue to encourage our employees to make changes aimed at attaining growth. At the same time, we give recognition to talented individuals who take on a new challenge. This helps each of Invast employees to make unceasing efforts for improvement. One's experience gained from an unsuccessful endeavor to overcome a challenge serves to give the person a good lesson that can be drawn upon for future success. Such experience represents an asset that allows the person to grow in the future. The person equipped with increased experiences continues to be given an opportunity to undertake a new challenge. 5. Enjoyment Through collaboration with our highly-skilled colleagues equipped with integrity, we desire to continue delivering excellent results, based on the efforts to pursue socially useful operations. At the same time, we will work hard with a positive mindset in order to lead enjoyable and fruitful lives, both material and spiritual.

4 Guiding Principle Integrity The guiding principle that supports the core of our business is integrity. Connoting good faith, trust, and virtuousness, integrity is an objective term that carries great weight. Invast sees integrity as where it all begins for the finance industry and, by always acting with integrity, we strive to be a securities company whose customers enjoy worry-free trading. To give form to our dedication to integrity, we create integrity cards, with which we provide each customer or Invast partner upon first contact as an expression of our intent to hold ourselves to a high standard. Invast Securities Guiding Principle Integrity Integrity is an objective soundness of moral character. It carries more weight than honesty, which expresses one's own subjective sincerity. Invast is a neologism formed from the words invest and vast. An Integrity Card Invast Securities Invast is a neologism formed from the words invest and vast. INV@ST is the name of Invast Securities service, and ( at symbol) connotes the Internet.

5 Corporate Governance Director Profiles as of June 31, 2012 All of our directors and auditors possess expertise in their respective fields and have achieved much experience and success. Lawyers are appointed as outside directors. Two of our three auditors are outside auditors: one is the president of a global consulting company and the other is a certified public accountant and certified fraud examiner. Takeshi Kawaji President and Representative Director Hironobu Mikata Executive Managing Director Koichi Kawaji Director (part-time) 1995 Employed at Sanki Shoji Co., Ltd Graduated from Babson College in the U.S Employed at Kobe Securities Co., Ltd Became executive managing director of Invast 2008 Became vice president and representative director of Invast 2010 Became president and representative director of Invast 1986 Graduated from the School of Political Science and Economics at Waseda University 1987 Employed at HOXSINBUSSAN Co.,Ltd Employed at Sanki Shoji Co., Ltd Became an executive officer and general manager of customer support at Invast 2009 Became a director at Invast 2011 Became an executive managing director at Invast 1993 Became chairman and representative director of Sanki Shoji Co., Ltd Became director at Kobe Securities Co., Ltd. (part-time) 2001 Became chairman of the Board at Million trading corporation(now KOYO HOLDINGS) 2005 Became chairman and representative director of KOYO HOLDINGS 2007 Became president and representative director of KOYO BUSINESS SERVICES, INC. Takuro Iwata Outside Director Lawyer 1983 Graduated from the School of Law at Tohoku University 1992 Employed at the Law Offices of Kodama and Saito 2000 Became director at the Iwata Law Office 2003 Founded the HANZOMON SOGO LAW OFFICE 2007 Became outside director at Invast Shigeru Mitobe Full-time Auditor 1979 Employed at Kinki General Trading Co., Ltd Employed at Sanki Shoji Co., Ltd. (now KOYO BUSINESS SERVICES, INC.) 1997 Became director at the same 2004 Became representative director at the same 2005 Became director at KOYO HOLDINGS 2010 Became advisor at KOYO HOLDINGS 2012 Became full-time director at Invast Keizo Tannawa Outside Auditor 1976 Graduated from the Aviation Dept. of the Faculty of Engineering at the Univ. of Tokyo 1978 Earned a master s degree in engineering at the same 1985 Earned a master s degree at Stanford University 1993 Became a partner at McKinsey & Company 1997 Became a consultant and president and representative director of Watson Wyatt 2007 Became an outside auditor at Invast Makoto Ando Outside Auditor CPA USCPA Tax Accountant Certified Fraud Examiner 1983 Graduated from the Faculty of Economics at Keio University 1984 Employed at the Marunouchi office of the Sanwa Tokyo auditing firm (now Deloitte Touche Tohmatsu LLC) 1988 Employed at KPMG Peat Marwick New York Office 1994 Employed at Tokyo s Metropolitan Police 2002 Employed at the Ando Certified Public Accounting Firm 2007 Became outside auditor at Invast

6 Corporate Governance Compliance, Risk Management, and Internal Control Along with regular internal audits through our Compliance, our corporate governance efforts include carrying out compliance program progress checks, timely reviews of compliance manuals, and business operation checks. We have also set up a risk management committee to manage risks in accordance with environmental changes, and have a project team in charge of a robust system for handling internal control related to financial reporting. History 1960, August Maruki Securities Co., Ltd. established with 50,000,000 yen in capital 1960, September Registered as a securities broker based on the Securities and Exchange Law 1973, July Became a member of the Japan Securities Dealers Association 1986, July Became a regular member of the Osaka Securities Exchange 1996, March Maruki Securities Co., Ltd. became Kobe Securities Co., Ltd. 1998, November Became a member of the Japan Investor Protection Fund 2005, June Kobe Securities Co., Ltd. became KOBE Securities Co., Ltd. 2006, March KOBE Securities Co., Ltd. listed on the Nippon New Market Hercules Index (OSE) 2007, April KOBE Securities Co., Ltd. became Invast Securities Co., Ltd. Headquarters relocated from Osaka City to Minato Ward, Tokyo 2007, September Registered as a financial futures broker based on the Financial Futures Trading Act Became a member of the Tokyo Financial Exchange Inc., and joined the Financial Futures Association of Japan Registered as a financial products broker based on the Financial Instruments and Exchange Law 2007, October Company split created online business from Sanki Shoji Co. Ltd. s online business segment Online business started 2009, May Over-the-counter CFD trading began July Bansei Yamamaru Securities Co., Ltd. split off its exchange-traded foreign exchange margin trading business (Click 365) August Conventional securities business transferred to Bansei Yamamaru Securities Co., Ltd. in a corporate split December Bansei Yamamaru Securities Co., Ltd. split off its over-the-counter foreign exchange margin trading business 2010, March Commodities futures business transferred to Dot Commodity, Inc. in a corporate split October Relisted on the JASDAQ Market, formed from the merger of JASDAQ, and the OSE s Nippon New Market Hercules markets November Acquired permission to conduct exchange-traded stock index margin trading (Click 365) from the Tokyo Financial Exchange Inc. 2011, January Acquired permission to conduct commodities future trading business based on the Commodity Futures Trading Act, and joined the Commodity Futures Association of Japan November Began our ST24 automated FX trading service

7 Organization Chart as of March 31, 2012 Marketing Division Customer Support Board of Auditors Corporate Planning Dealing General Meeting of Shareholders Board of Directors Management Committee Compliance Committee Administration Division Compliance Administration Disciplinary Action Committee Accounting Risk Management Committee Systems Division Systems General Planning Company Data Market listing JASDAQ Securities code 8709 Established August 10, 1960 President Takeshi Kawaji Capital 5,965,080,000 yen (as of March 31, 2012) Head office Nishi-Shinbashi, Minato-ku, Tokyo NBF Toranomon Bldg. Employees 51 (as of March 31, 2012)

8 Invast Securities Co., Ltd Nishi-Shinbashi, Minato-ku, Tokyo Financial instruments firm: Chief of the Kanto Local Finance Bureau (Kin-sho) No. 26 Membership: Japan Securities Dealers Association, Financial Futures Association of Japan, Commodity Futures Association of Japan