Mizuho–DL Financial Technology Co., Ltd.Mizuho–DL Financial Technology Co., Ltd.

One MIZUHO

Investment Advisory

Our investment advisory service features quantitative driven advice tailored to customer’s needs. (for details, please see "Development of Investment Management" and "To Institutional Investors")

Following our mission statement, we are committed to act in the best interest of our clients in our investment advisory services. We provide bespoke investment advisory using various techniques to better address the challenges investors are facing, including the use of downside risk control, risk factor based portfolio management, considering accounting constraints, using state of the art quantitative tools. To make this possible and to maintain our uniqueness, we strive to provide the highest level of professional training in quantitative analysis and ethics to our employees, while controlling for potential conflicts of interest based on our company rules. We do not sell specific financial products such as investment funds.

  • *We are a registered provider of investment management advisory service. (No. 1081 (FP) registered by the director of the Kanto Local Financial Bureau)
  • *Kindly be advised that the above information relating to investment advice is effective as of September 30, 2017 and is subject to change or deletion without notice.

Fee Structure

  • We usually charge a predetermined fee (usually not exceeding 3.00% of the net asset value under advisory service, exclusive of tax*) for investment advisory services.
  • The formula to calculate the investment advisory fee shall vary depending on an individual contract. Generally, the fee is determined by the following formula: average balance of (net) asset value under advisory service × rate specified in the contract × term of contract.
  • For contracts performance fee inclusive, the investment advisory fee is generally determined by the following formula: average balance of (net) asset value under advisory service × (base fee rate specified in a contract (usually not exceeding 3.00%, exclusive of tax) × term of contract + performance fee rate (usually not exceeding 20%) × return above hurdle rate (i.e. return for the term of the contract in excess of predetermined hurdle rate)). Fees on contracts based on investment performance may result in higher fee than 3.00%(exclusive of tax) of the assets for which the advisory service was rendered.
  • *The above are maximum figures applicable to our current investment advisory service. Actual fee schedule vary depending on the contract and balance of assets. Advisory contracts based on investment performance may result in higher fee than 3.00%(exclusive of tax) of the assets under advisory service. Please read the pre–agreement disclosures or individual contract before subscribing to our investment advisory service.

Risks Associated with Security Investment

Risks associated with security investment, for which advice is given under the investment advisory contract are as follows.

Stock

Price Fluctuation Risk

The amount invested may not be recovered in full due to price fluctuation of stocks. The amount invested may not be recovered in full or may be completely lost due to changes in the management and⁄or financial status of issuers or changes in third–party evaluation of issuer's status.

Credit Risk of Issuers

There is a risk that the stock will not be able to be cashed if trading is disturbed due to changes in market condition, changes in the management and⁄or financial status of issuers, or changes in third–party evaluation of issuer's status (i.e. liquidity risk). As a result, the amount invested may not be recovered in full.

Bonds

Price Fluctuation Risk

The amount invested may not be recovered in full due to price fluctuation of bonds caused by interest rate changes. The amount invested may not be recovered in full or may be completely lost due to changes in the management and⁄or financial status of issuers or changes in third–party evaluation of issuer's status. Meanwhile, if some types of bond may be redeemed before the maturity, it may make it impossible for the investors to recover the invested amount in full.

Credit Risk of Issuers

There is a risk that the bonds may not be able to be cashed if trading is disturbed due to changes in market condition, changes in the management and⁄or financial status of issuers, or changes in third–party evaluation of issuer's status (i.e. liquidity risk). As a result, the amount invested may not be recovered in full.

Margin Transaction

In a margin transaction or a derivative transaction, size of a transaction may exceed the amount of margin deposited. Accordingly, the amount of loss related to the transaction may exceed the amount of margin. The amount of margin may be short due to the fluctuation of stock prices related to the margin transaction or due to losses because of changes in the management and⁄or financial status of issuers of stocks related to the margin transaction or the guarantor, or changes in third–party valuation of issuer's status.

Top of Page