Filling & Reporting

We assist brokerage organizations in understanding how to adhere with all legislation and guidelines and when to inform on their activities in order to maintain the integrity of the markets.
The fundamental aspect of a fair and open market is openness. But keeping up with the current regulatory reporting standards can be difficult in a constantly changing industry. Kikuhisa lets broker-dealers keep up-to-date with filing and reporting, making it easier to comply with regulations. To track the markets and regulated businesses, we use advanced technology, keeping pace with the dynamic regulatory climate. To preserve the credibility of the sector, we have the tools, technology, expertise and personnel to support. And our instruments will help enhance the reporting process.

To perform financial activities and business with the investors, all individuals and companies must be registered with Kikuhisa. To achieve registration, the companies must be fulfilling certain membership requirements. Securities practitioners are expected to pass certification tests in order to illustrate expertise in their relevant securities operations in order to become registered. The details below can guide you through the method of membership and registration.

‘Kikuhisa’ is prepared to help keep investors and their investments secure.
We implement rules and regulations and publish guidelines for financial institutions and brokers to ensure security.
In regulatory proceedings, we include a variety of stakeholders so that broker-dealers and investors will have faith that they are operating on a level playing field.
Our partnership with these stakeholders, as well as with the SEC, places us in a unique position to safeguard market integrity.


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