Faculty Database - NUMATA YUKO

Books and Papers

Academic Qualifications

Career History

Academic Associations Membership

Professional Achievements

Certificates and Licenses

Email Addresses

Current Specialized Field

（Last updated : 2022-03-02 19:20:47）

NUMATA YUKO
Department Professional Graduate School , Graduate School of Global Business

Position Professor

■ Books and Papers

1.	2020/08	Article	Current Status of Independent Advisors and Peripheral Businesses (in Japanese) Ma-Do 59,pp.34-36 (Single)
2.	2020/05	Article	Advice from US Securities Sales Representatives during Covid-19 Pandemic （in Japanese) Fund Information pp.11-14 (Single)
3.	2020/05	Article	What is the ‘Billion Dollar RIA’ Emerging in the Registered Independent Advisor (RIA) Industry? (in Japanese) Ma-Do 58,pp.50-51 (Single)
4.	2020/02	Article	Independent Financial Advisors with a Strong Presence in the United States (in Japanese) Issue released pp.24-25 (Single)
5.	2020/02	Article	Super OSJ: Starting from the Supervisory Function to Expand their Businesses and Supporting Independent Advisors. (in Japanese) Ma-Do pp.62-63 (Single)
6.	2019/12	Article	Top IFA 2020 Commentary: Best Interests for US Independent Advisors and Customers Fund Information (316Special Issue),pp.50-53 (Single)
7.	2019/11	Article	What is TAMP (Turnkey Asset Management Program) that Underpinned the Expansion of Independent Advisors? (in Japanese) Ma-Do 56,pp.48-49 (Single)
8.	2019/09	Article	Multi-channel US Securities Firms (in Japanese) Fund Information (307),pp.31-32 (Single)
9.	2019/08	Article	Where is U.S. Bank Brokerage Heading? Fund Information pp.31-33 (Single)
10.	2019/08	Article	‘Advisor Friendly’ Trust Companies Created by Diverse Trust Needs, Not Limited to the Wealthy　 (in Japanese) Ma-Do 55,pp.48-49 (Single)
11.	2019/07	Article	Changes in the Securities Industry for a New Era -Toward Expanding the Base of Investors- Monthly Capital Markets pp.14-24 (Single)
12.	2019/07	Article	Small and Medium-Sized Enterprises are the Key to Expanding Assets under Management (in Japanese) Fund Information (303),pp.23-25 (Single)
13.	2019/06	Book	Charts & Graphs. The US Securities Market 2019 Edition (in Japanese) pp.218-235 (Collaboration)
14.	2019/06	Article	The Disintermediation of the High Net Worth Market in the United States Fund Information (300),pp.30-32 (Single)
15.	2019/05	Article	Accountants are Turning into Independent Financial Advisors in the United States: In the Field of Consulting, the Need for Tax Knowledge is Increasing (in Japanese) Ma-Do 54,pp.51-52 (Single)
16.	2019/05	Article	Schwab Provides Face-to-Face Advice at a Low Price (in Japanese) Fund Information (298),pp.35-37 (Single)
17.	2019/04	Article	Independent Financial Advisors are the Most Powerful Force (in Japanese) Fund Information (296),pp.23-26 (Single)
18.	2019/04	Article	The Development of US Independent Financial Advisors and the Structural Change in the Insurance Industry in the 1980s Ma-Do 53,pp.61-62 (Single)
19.	2019/03	Article	Major Regional Securities Firms that are Enhancing Their Presence, Education and Human Resources are the Keys Fund Information (294),pp.26-28 (Single)
20.	2019/02	Article	Wirehouses Focused on High Net Worth Providing Comprehensive Services (in Japanese) Fund Information (291),pp.34-36 (Single)
21.	2018/11	Article	US Independent Financial Advisors Are the Driving Force of Innovation in the Retail Securities Business Ma-Do 52,pp.65-66 (Single)
22.	2018/10	Article	Lecture: Customer-Oriented Business Practices in US Securities Sales Securities Review 58(10) (Collaboration)
23.	2018/08	Article	Emerging Hybrid Independent Advisors: Diversifying to Meet Customers’ Needs Ma-Do 51,pp.38-39 (Single)
24.	2018/06	Article	Diversification of Sales Channels and ‘Best Interest Rule’(in Japanese) Fund Information (274),pp.8-10 (Single)
25.	2018/05	Article	’Best Interests Rule’ and its Impact on Independent Financial Advisors (in Japanese) Ma-Do 50,pp.74-75 (Single)
26.	2018/04	Book	Transforming Finance and Securities Industry (in Japanese) pp.291-318 (Collaboration)
27.	2018/02	Article	Support before Independence: Charles Schwab's Extensive Advisor Support (in Japanese) Ma-Do 49,pp.68-69 (Single)
28.	2017/12	Article	Suggestions from the United States and Issues in Japan: The Rising IFA Supported by Customer-Oriented Business Practices (in Japanese) Fund Information (262),pp.4-5 (Single)
29.	2017/11	Article	The Spread and Diversification of RIA Backed by Fiduciary Duty (in Japanese) Ma-Do 48,pp.66-67 (Single)
30.	2017/09	Article	What is Investment Advice-From the Case of a US Securities Sales Representative as a Fiduciary (in Japanese) (99),pp.19-34 (Single)
31.	2017/05	Article	Charles Schwab Creates Businesses Through Clients’ Eyes (in Japanese) Ma-Do 46,pp.62-63 (Single)
32.	2017/05	Article	Trends in Fiduciary Duty Discussions in US Securities Business and Suggestions for Japan (in Japanese) Quarterly Personal Finance Spring 2017 Issue (Spring 2017Issue),pp.52-62 (Single)
33.	2017/04	Book	Securities Encyclopedia (in Japanese) pp.19-23 (Collaboration)
34.	2017/02	Article	Current Status of Fiduciary Duty in US Retail Financial Businesses Ma-Do 45,pp.46-47 (Single)
35.	2016/11	Article	Independent Broker-Dealers: LPL has been the top firm for 20 years (in Japanese) Ma-Do 44,pp.50-51 (Single)
36.	2016/10	Article	Implications from the US: Will ‘From Main Street to Wall Street’ Accelerate? (in Japanese) Monthly Financial Journal (October 2016 Issue),pp.68-71 (Single)
37.	2016/10	Article	Will the" From Savings to Investment " Fortune-Telling from the US Case Accelerate? "Implications from the US: Will ‘From Main Street to Wall Street’ Accelerate?" (October 2016 Issue),pp.68-71 (Single)
38.	2016/09	Article	Retail Sales and Asset Location (in Japanese) Fund Information pp.24-24 (Single)
39.	2016/08	Article	Specialties, Sales Style, Career ... Sales Representatives Selected by "Individuality" (in Japanese) Ma-Do pp.50-51 (Single)
40.	2016/05	Book	Charts & Graphs: American Securities Market, 2016 Edition (in Japanese) pp.218-235 (Collaboration)
41.	2016/05	Article	Actual Conditions of Human Resources Acquisition at Independent Advisor Securities Companies with Diverse" Individuality " Ma-Do pp.54-55 (Single)
42.	2016/01	Article	Face-to-face channel and FinTech (in Japanese) Monthly Financial Journal pp.78-79 (Collaboration)
43.	2015/09	Article	Independent Advisors Play an Active Role in the United States, an ETF (in Japanese) Weekly Toyo Keizai (6615),pp.87-87 (Single)
44.	2015/05	Article	What is 'Investment Advice'? (in Japanese) Fund Information (196),pp.12-12 (Single)
45.	2015/03	Book	Transformation of Capital Markets and Securities Business pp.462-492 (Collaboration)
46.	2015/02	Article	US Bank Brokerage: 'Integrated' but Selective (in Japanese) Monthly Financial Journal (February 2015 Issue),pp.24-27 (Single)
47.	2014/11	Article	US Retail Securities Business after the Financial Crisis (in Japanese) Securities Review 54(11),pp.71-116 (Single)
48.	2013/03	Article	Securities Investment that Continues to Evolve as a Means of Personal Asset Formation (in Japanese) Meiji University Global Japanese Studies 5(1),pp.39-56 (Single)
49.	2002	Book	Transformation of US Banks: The Impact of Open-Architecture (Collaboration)
50.	2002	Book	US Capital Markets Reform (Collaboration)
51.	2001	Book	US Financial Service Businesses: Learning from the Cutting-Edge Nation in Finance to Obtain Ideas for Corporate Restructuring (Single)
52.	1997	Book	A Piece of the Action (Collaboration)
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■ Academic Qualifications

1.	1992/03/31 Degree Acquisition	The University of Tokyo, Bachelor of Economics
2.	1988/04～1992/03	Department of Business Administration, Faculty of Economics, The University of Tokyo, Graduated,

■ Career History

1.	1992/04～1997/01	Nomura Research Institute
2.	1997/02～2001/09	Nomura Research Institute America
3.	2001/10～2004/03	Nomura Research Institute
4.	2004/04～2010/05	Nomura Institute of Capital Market Research
5.	2010/06～2012/03	Nomura Securities
6.	2012/04	Meiji University School of Global Japanese Studies Associate Professor
7.	2018/04～	Meiji University School of Global Japanese Studies Professor
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■ Academic Associations Membership

1.	2013/07～	Society for the Economic Studies of Securities
2.	2012～	Japan Institute of Marketing Science
3.	2011～	Nippon Finance Association
4.	1995/05～	Securities Analysts Association of Japan

■ Professional Achievements

● Special note of person who has experience of business
1.	2013/08～	Visiting Researcher and Member of Securities Management Study Group, Japan Securities Research Institute
● Other note that should be mentioned specially on duty
1.	2018/10	Customer-Oriented Business Operations in US Securities Sales (Presentation in Japanese)
2.	2018/09/21	"Current Status and Issues of US & Japan Independent Financial Advisors," Presented before the Working Group on Financial Markets under the Financial System Council (in Japanese)
3.	2016/09	US Private Banking: Perspectives of the US Securities Industry
4.	2016/02	US ETFs and Face-to-face Channels
5.	2014/11	US Retail Securities Business after the Financial Crisis (Presentation in Japanese)
6.	2013/03	Current Status of US Retail Securities Services (Presentation in Japanese)
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■ Certificates and Licenses

1.	2011	Series 16 (Supervisory Analyst Qualification), Securities Industry and Financial Markets Association (USA)
2.	2010	Class-1 (sales representative qualification), Japan Securities Dealers Association
3.	2010	Regular Member's Internal Administrator Qualification, Japan Securities Dealers Association
4.	2004	Class-2 (sales representative qualification), Japan Securities Dealers Association
5.	1997	Series 7 (general securities registered representative), National Association of Securities Dealers (USA)
6.	1995	Chartered Member of the Securities Analysts Association of Japan (CMA)
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■ Email Addresses

■ Current Specialized Field

Business administration