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Topic: DAIWA Securities

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	Japanese financial system - Wikipedia, the free encyclopedia
		There were three categories of securities companies in Japan, the first consisting of the "Big Four" securities houses (among the six largest such firms in the world): Nomura, Daiwa, Nikko, and Yamaichi.
		Japan's securities firms derived most of their income from brokerage fees, equity and bond trading, underwriting, and dealing.
		The Tokyo Securities and Stock Exchange became the largest in the world in 1988, in terms of the combined market value of outstanding shares and capitalization, while the Osaka Stock Exchange ranked third after those of Tokyo and New York.
	en.wikipedia.org /wiki/Japanese_financial_system (1318 words)

	Daiwa Securities SMBC Europe Limited
		Daiwa Securities SMBC Europe Limited is committed to protecting the privacy of your business and its employees, for further details please refer to our on-line privacy policy.
		Daiwa Securities SMBC Europe Limited is not registered as a broker-dealer or an investment advisor in the United States.
		Daiwa Securities SMBC Europe Limited does not represent that (a) any of the materials on this Site; (b) any investment services that may be deemed to be available on this Site; or (c) anything else on this Site, are appropriate for use or permitted by local laws in all jurisdictions.
	www.daiwasmbc.co.uk /main/termsconditions.asp (1253 words)

	Press Release Announcing Criminal Indictment Of Daiwa Bank, 11/2/95
		DAIWA is charged with conspiracy, mail and wire fraud, obstructing an examination of a financial institution, falsification of bank records, and misprision of felonies by failing to disclose federal crimes.
		DAIWA is also accused in the Indictment with conspiring to defraud the Federal Reserve Board between 1988 and 1995 by providing false information about the location and supervision of its traders.
		DAIWA is also charged with one count of obstructing an examination of a financial institution in connection with that conduct.
	www.lectlaw.com /files/cur45.htm (661 words)

	Wilshire Associates (Site not responding. Last check: 2007-11-02)
		Daiwa SBI, formerly known as Daiwa International Capital Management Co., Ltd. (DICAM), was established in Tokyo in 1973, as one of the first Japanese investment management companies managing Asian equities and bonds.
		Daiwa SBI's principal area of business is the provision of investment management services to institutional investors through a range of pooled and segregated investment vehicles.
		Daiwa SBI is headquartered in Tokyo and operates subsidiary offices in London, New York, Hong Kong and Singapore.
	www.wilshire.com /Company/PressRoom/PressReleases/Article.html?article=WARelease052505.htm (767 words)

	DAIWA SECURITIES AMERICA INC.
		Daiwa Securities America Inc. was formed in 1964 as a wholly owned subsidiary of Daiwa Securities Co. Ltd.
		In 1999, Daiwa Securities Group Inc. was established as the ultimate holding company for the Daiwa corporate family.
		Daiwa Securities Group Inc. became the listed successor to the former parent company, Daiwa Securities Co. Ltd.
	www.daiwausa.com (213 words)

	Daiwa Securities SMBC Europe Limited - Company History
		Daiwa Securities absorbs Matsunaga Co and Yoshikawa Securities (with experience in securities administration).
		Daiwa’s short-term goal is to recover from the losses.
		Daiwa Securities Company Limited is registered in Japan as a securities firm based on the Securities Exchange Law.
	www.daiwasmbc.co.uk /companyoverview/timeline1941-1950.asp (380 words)

	Criminal Complaint & Indictment Against Daiwa Bank
		Daiwa is duly licensed by the State of New York to operate.a branch office in New York, New York (the "New York Branch").
		DAIWA was duly licensed by the State of New York to operate a branch office in New York, New York (the "New York Branch").
		DAIWA thereafter falsified the books and records of the New York Branch to make it appear as if these payments were received and paid as interest from the United States Treasury.
	www.lectlaw.com /files/cas60.htm (7623 words)

	GARP : Risk News : Risk eNews Article (Site not responding. Last check: 2007-11-02)
		Three rated Japanese securities groups enjoyed improved performance in the fourth quarter of fiscal 2004 compared to the previous quarter, but results for the whole of fiscal 2004 were mixed.
		Daiwa Securities Group Inc. (BBB/Stable/A-2) saw a year-on-year increase of 43% in consolidated net profit in the last quarter of fiscal 2004, primarily through the performance of its wholesale subsidiary Daiwa Securities SMBC Co. Ltd.
		Although these securities firms face various challenges to improve their credit quality, the ratings on these groups are likely to remain stable for the foreseeable future, considering their capitalization, business franchises, and profitability.
	www.garp.com /risknews/newsfeed.asp?Category=6&MyFile=2005-05-10-10762.html (428 words)

	Business finance news - currency market news - online UK currency markets - financial news - Interactive Investor
		SMFG and Daiwa both issued statements denying merger talks were set to begin, yet hinting it might be only a matter of time before they did.
		He noted SMFG and Daiwa Securities already have a close relationship, and in the past merged their wholesale securities operations to create Daiwa Securities SMBC.
		Daiwa jumped 5.3 pct or 37 yen to close at 740 while SMFG rose 2.7 pct or 19,000 yen to 717,000.
	www.iii.co.uk /news?type=afxnews&articleid=5207469&subject=companies&action=article (856 words)

	Irish Jobs - Job Search Ireland Member's profile
		Daiwa Securities Trust and Banking (Europe) plc is the principal asset services and banking operation of Daiwa Securities Group Inc., Tokyo.
		Daiwa Securities consolidated group net worth at 31 March 2003 was ¥541 billion and its total assets ¥9.52 trillion.
		Daiwa Securities Trust and Banking (Europe) plc operates out of three main locations; London, Dublin and New Jersey with subsidiaries in the Cayman Islands and Luxembourg and provides a truly global service in our chosen business line.
	www.irishjobs.ie /Member.asp?Mid=2806 (269 words)

	Banker Middle East - The business of banking
		Daiwa NY intended keeping the fraud hidden from the Fed, transferring the losses to Japan to avoid monitoring by the American authorities and to prevent any risk to its banking license.
		Daiwa was indicted on 24 points, including obstruction of the Fed's auditing processes, making false and fraudulent statements, falsifying its own accounts with the object of misleading the Fed and other authorities, concealing felonies, failure to report observed felonies, and conspiracy.
		Daiwa itself was fined $340 million and forced to cease all its banking operations in the US, with the exception of its assets management activities.
	www.bankerme.com /bme/2006/mar/risk_management.asp (2503 words)

	BBC News \| BUSINESS \| Daiwa Securities takes big hit
		Japan's second-biggest brokerage, Daiwa Securities, has reported a large loss, owing to a slump in Tokyo share prices and because of a costly restructuring of its real estate business.
		Daiwa Securities Group, the parent of the financial retailer Daiwa Securities, suffered net losses of 131.58bn yen (£750m; $1bn) during the six month period from April to September.
		Daiwa's two main competitors, Nomura Securities and Nikko Securities, are expected to report similarly poor results next week.
	news.bbc.co.uk /1/low/business/1621283.stm (266 words)

	Asia Times: Holding company system gains momentum in Japan
		Daiwa Securities Co. became a holding company for its former retail and wholesale divisions, company officials said.
		Daiwa's wholesale division was spun off on April 5 to form Daiwa Securities SB Capital Markets Co. The securities firm is a joint venture with Sumitomo Bank (TSE:8318), and has a staff of some 1,600 people.
		Daiwa Securities Group, with a work force of about 400, will be engaged in financial affairs and policy-making for the whole group.
	www.atimes.com /japan-econ/AD28Dh03.html (327 words)

	Daiwa Securities Group Inc. information and related industry information from Hoover's
		Daiwa Securities SMBC (40% of which is held by Sumitomo Mitsui Financial Group) offers investment banking services, mostly to domestic companies and Japan-based multinationals.
		Deputy President, COO, and Director; President, Daiwa Securities SMBC Co. Ltd.
		There are 10 competitors for Daiwa Securities Group; see more.
	hbn.hoovers.com /daiwa/--ID__47374--/free-co-factsheet.xhtml (434 words)

	S&P Assigns 'BBB-' to Daiwa Securities; Outlook Stable
		Daiwa Asset Management Co. Ltd., a member of the Daiwa group of companies, holds the largest net assets under management among domestic companies, reflecting Daiwa's distribution power.
		Daiwa Securities capitalization is adequate for its current business profile, with Y150 billion in total shareholders' equity.
		In addition, competition from other securities firms, banks, and new entrants such as discount brokers is expected to intensify in the retail market.
	www.prnewswire.com /cgi-bin/stories.pl?ACCT=105&STORY=/www/story/05-12-1999/0000931916 (411 words)

	[No title] (Site not responding. Last check: 2007-11-02)
		Daiwa Securities Group Inc. announced that it has decided to sell JPY 50 billion of 1.80% unsecured bonds due 2011, consisting of JPY 100 million bonds, each with a face value of JPY 100, in a public offering on June 2, 2006.
		Daiwa Securities Group Inc. announced that it has completed the sale of the entire 1,400,000 shares (35%) in Iing co., ltd. held by the Company to the affiliated companies of Iing.
		Daiwa Securities Group Inc. announced that it plans to distribute JPY 22 per share as its year-end dividend for fiscal year ended March 31, 2006.
	today.reuters.com /stocks/KeyDevelopments.aspx?symbol=8601.T (362 words)

	8601 Company Disclosure Page
		For securities recommended in the Product in which the Firm is not a market maker, the Firm is a liquidity provider in the issuers' financial instruments and may act as principal in connection with such transactions.
		Securities recommended, offered, or sold by the Firm: (i) are not insured by the Federal Deposit Insurance Corporation; (ii) are not deposits or other obligations of any insured depository institution (including Citibank); and (iii) are subject to investment risks, including the possible loss of the principal amount invested.
		The securities of non-U.S. issuers may not be registered with, nor be subject to the reporting requirements of the U.S. Securities and Exchange Commission.
	www.smithbarney.com /research/disclaimer/8601.html (3463 words)

	S&P: Concerns Remain for Japanese Brokerages
		Over the past three years, the ratings of the three major players that remain in the wake of the collapse of Yamaichi Securities -- Nomura Securities Co. Ltd., Daiwa Securities Co. Ltd., and Nikko Securities Co. Ltd.
		"Also, compared with two years ago, their risk absorption capacity is significantly weaker." At the same time, the securities firms are trying to restore the confidence of their customers, which has been damaged by various scandals and a lack of effective compliance.
		Daiwa established a holding company on April 26 to pool the resources of its group of companies and improve operating efficiency.
	www.prnewswire.com /cgi-bin/stories.pl?ACCT=105&STORY=/www/story/05-21-1999/0000945219 (618 words)

	Forbes.com: Daiwa's White Knight (Site not responding. Last check: 2007-11-02)
		TOKYO - Daiwa Securities, Japan's second largest securities company, is soon going to become a part of the Deutsche Bank group.
		In a move that will radically alter Japan's financial landscape, Daiwa is about to shift all of its profitable businesses into a joint venture that will be 51% owned by Daiwa and 49% owned by Deutsche Bank (nyse: DB - news - people), sources close to negotiations between the two parties said.
		Daiwa's struggling retail business is expected not to be merged into the new joint venture but will remain a part of Daiwa securities.
	www.forbes.com /2001/11/29/1129daiwa.html (518 words)

	Dell Power Solutions
		That's why Daiwa Securities SMBC Hong Kong Ltd. is constantly on the lookout for efficient, cost-effective technologies to help the firm keep pace with market requirements and the demands of the investment community.
		Daiwa Securities SMBC is an alliance between the wholesale division of the former Daiwa Securities Co. Ltd.
		Daiwa Securities uses a distributed computing environment and a SAN to support business growth while achieving optimum TCO and process efficiency
	www.dell.com /content/topics/global.aspx/power/en/ps1q03cs_daiwa?c=us&l=en&s=esg (1233 words)

	CNN.com - Daiwa seen setting up China brokerage - Jan. 1, 2003
		Daiwa Securities Group Inc. is to set up a brokerage in China in 2003 through a joint venture with a local company, the Nihon Keizai Shimbun said on Wednesday.
		The Chinese government lifted a ban on foreign companies entering the securities industry earlier this year and Daiwa Securities is likely to face competition from a number of European and U.S. firms.
		Daiwa, Japan's second biggest brokerage, is also mulling buying into a brokerage arm of SIG, the paper said.
	www.cnn.com /2003/BUSINESS/asia/01/01/china.daiwa (308 words)

	Bloomberg.com: Japan
		Daiwa's stock-trading profit in the quarter surged 88 percent from a year earlier to 21.6 billion yen, compensating for a 5.4 percent drop in brokerage commissions to 22.4 billion yen.
		Daiwa Securities SMBC Co., the investment-banking venture of Daiwa and Sumitomo Mitsui Financial Group Inc., Japan's third- largest bank, in January bought 80 billion yen of bonds from Fuji TV.
		Daiwa charged on average 69 basis points for stock trades in the last three months of 2004, down from 70 basis points a year earlier.
	www.bloomberg.com /apps/news?pid=10000101&sid=aPeexqhG8Sco&refer=japan (878 words)

	ADP (Site not responding. Last check: 2007-11-02)
		Daiwa Securities SB Capital Markets Hong Kong Ltd (Daiwa SBCM Hong Kong) has gone live on release 4 of the Gloss transaction processing system and on the Wilco Enterprise Broker middleware solution from Wilco International, a wholly owned subsidiary of Automatic Data Processing Inc (NYSE: ADP).
		Daiwa SBCM Hong Kong is using Gloss to process all of its agency business with a high volume of trades now being processed in over 10 markets world-wide.
		Daiwa SBCM Hong Kong also implemented Wilco's SWIFT Adapter to send instructions to custodians; its Euroclear Adapter for automating the sending of settlement instructions to Euroclear and the processing of replies; and a two-way interface to Xpedite was built for delivering client confirmations via fax and telex using Wilco's existing Print Adapter product.
	www.fis.adp.com /press.asp?id=59 (646 words)

	Bloomberg.com: Top Worldwide (Site not responding. Last check: 2007-11-02)
		The securities firm said it would raise its dividend for the six months ended Sept. 30 to 12 yen from 5 yen to reflect the increase in earnings.
		Daiwa's brokerage commissions rose to 26.2 billion yen in the quarter from 16.8 billion yen a year earlier.
		Daiwa SMBC is handling the initial public offering of Sumco Corp., the world's second-largest maker of silicon wafers, with Goldman Sachs Group Inc. and Mitsubishi UFJ Securities Co. The Oct.
	www.bloomberg.com /apps/news?pid=10000087&sid=aEZadl5Ndfnw (841 words)

	ASrIA - Company Profile
		To respond to this revolution, it is indispensable that the Daiwa Securities Group make major changes to its traditional mechanisms, and seek to construct a new business model for its securities finance businesses.
		In 2000, Daiwa Securities Group established a Corporate Branding Project that is organized across the major group companies.
		Daiwa Securities to Begin Sales of the UBS Global Equity 40 Investment Trust Fund focusing on Corporate Social Responsibility (CSR)
	www.asria.org /member/profile?m=daiwa (403 words)

	Bloomberg.com: Asia
		Daiwa SMBC in 2002 won an assignment to handle a sale of government shares in Japan Tobacco Inc., the nation's tobacco making monopoly, which hasn't been completed.
		Daiwa's retail turned to a profit this fiscal year after reporting losses in two quarters of the year to March 31, 2003.
		Daiwa had revenue of 14.4 billion yen from share sales in the three months ended Dec. 31, compared with 4.4 billion yen in the third quarter of 2001.
	quote.bloomberg.com /apps/news?pid=10000080&refer=asia&sid=avjlszRR5fkE (742 words)

	Daiwa securities (Site not responding. Last check: 2007-11-02)
		Daiwa Securities and Daiwa Securities SMBC will begin sales on May 10 of the new...
		Daiwa Securities Co. (8601)posted an 88% plunge in fiscal 1997 pretax profit to 5.1 billion yen..
		TOKYO - Daiwa Securities, Japan's second largest securities company, is soongoing to become a part of the Deutsche Bank group..
	www.matureinvestment.com /daiwa-securities.html (292 words)

	Daiwa Securities Trust Co.
		The Fund invests substantially all of its assets in equity securities of Japanese companies whose securities are traded on the First or Second Section of the Tokyo Stock Exchange or listed on the over-the-counter market in Japan or listed on other stock exchanges in Japan.
		The Fund's investment adviser is Daiwa SB Investments Ltd. ("DSBI"), formerly known as Daiwa International Management Corp. DSBI was established in 1973 as an investment advisory firm specializing in Asian equity management.
		DSBI intends to adopt an approach that involves quantitative valuation of securities to identify an appropriate universe of securities from which to select investments, with judgmental analysis then applied to this universe to determine the actual investments to be made by the Fund.
	www.daiwast.com /jpn/fund_Jpn.html (862 words)

	Asia Times Online - The trusted news source for information on Japan
		TOKYO - Daiwa Securities SMBC Co, an affiliate of Daiwa Securities Group Inc that focuses on corporate dealings, will become the first Japanese firm to establish a securities house in China, sources said.
		Daiwa will form a joint venture with Shanghai International Group Corp (SIG) to offer investment banking services, initial public offerings of Chinese units of Japanese firms and corporate merger and acquisition deals.
		Daiwa expects to obtain preliminary permission for the planned operations from the Chinese authority this month.
	www.atimes.com /atimes/Japan/FF08Dh03.html (297 words)

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