E-mail: info@hasegawa-financial-holdings.com

About Us

Hasegawa Financial Holdings is an Independent Investment Advisor based in Tokyo, Japan.As an independent registered investment advisor, Hasegawa Financial Holdings is able to offer independent advice and investments based what is truly best for the client. Our independence means that we do not push any proprietary products. Also, being independent allows us to use non-proprietary products, which may be more appropriate for our clients.

Code of Ethics
Our firm understands the importance of TRUST and INTEGRITY in our client relationships. We have established a Code of Ethics to assure our clients that we always place their interests first.

Our clients enjoy all of the benefits of being associated with a large securities firm, and have the added advantages of our independence.

Our investment approach
Wealth management is complex, but our motivation is simple: We want to make a profound difference in people's lives. Our firm's distinctive approach helps small business owners and families gain clarity and improve coordination in their investment plan.

Our mission
Hasegawa Financial Holdings exists to add value for clients by:
• Understanding clients’ needs & objectives for performance and servicing and exceeding their expectations.
• Providing value-added investment performance, within the clients’ risk tolerances, with integrity and in a highly principled manner.

Our core values
• Client interests come first. We are not satisfied until our clients receive superior service.
• Integrity & professional conduct. We honor our commitments, treating our clients and colleagues with respect.
• Teamwork. Collaborative decision-making is at the centre of every action.
• Accountability/clear performance goals. We are accountable for our actions and take pride in accomplishing measurable goals.
• Social & community. We contribute to the community as a firm and as individuals, reinvesting a small portion of the benefits we personally enjoy from making our lives here.

High ethical standards
Hasegawa Financial Holdings places the utmost emphasis on observance of the highest ethical standards in the delivery of the investment counseling and portfolio management services we provide to our clients. It is the fundamental pillar of trust upon which our firm is based.

As professionals and fiduciaries, we comply with rules that govern our conduct and impose on ourselves high standards of professional and ethical duties. These standards and rules are designed to ensure our clients have the utmost confidence in our ability to service their investment needs in a manner that is not only professionally superior but is also ethically above reproach.

Personal code of conduct
Employee behavior at Hasegawa Financial Holdings is governed by a code of employee ethics and personal conduct. The key provisions of this code with respect to personal trading are summarized as follows:
• Prohibition on trading within a seven calendar day blackout period before or after the date on which a transaction in the same security is effected for as Hasegawa Financial Holdings client.
• Pre-clearance of all trading.
• Prohibition on investing in initial public offerings.
• Prohibition on short selling.
• Restrictions on investing in private placements.
• Full disclosure of all securities trades and securities holdings.
• Minimum holding period of 30 days.

Evolving strategy

The strategy has three main elements: expand our leading, high-growth positions; deliver solutions and insights; and drive efficiencies. We continuously drive growth across our business divisions through active capital allocation. We target organic investment in market areas where we are strong and see potential for further growth, make strategic acquisitions and divest non-core activities such.

The customers we serve are under greater pressure to work harder, faster, and more efficiently in the face of an ever-growing mountain of data. So we no longer deliver just information, we create sophisticated digital tools that help them navigate the complex layers of data and regulation that define modern business.

We are taking actions to drive efficiencies across the group. We implement cost reduction programs that help support growth initiatives and offset wage inflation and restructuring costs.
The single Hasegawa Financial Holdings brand is centered on our commitment to solving customers’ challenges and enabling them to make the right decision with confidence, every single day.

Cultivating innovation
Key to Hasegawa Financial Holdings’ success is investment in developing innovative products and services to meet society’s changing needs, even in challenging macroeconomic times like these. By serving our customers with innovations in important areas such as health, finance, risk, and compliance, we generate long-term value for society and for all our stakeholders.
We support innovation through the consistent investment of 8 to 10% of our revenues in generating new and enhanced products. We innovate both locally and globally and foster creativity among our employees through regional innovation tournaments and our annual Global Innovation Awards. And importantly, we continue to invest in technology tools to provide the right platforms for creating and delivering new solutions to our customers. Across the globe, we are also partnering with our customers to integrate their insights and feedback into our product development process to make sure we get it right.

Talent and dedication
Nothing could have been achieved without the dedication of our people. Their commitment and creative skills are indispensable for developing the high-quality products and services that we deliver to our customers. We strive to create a culture of high performance and accountability and an atmosphere where talent can develop and our employees’ diversity is recognized and harnessed as the major strength it is. We are pleased with our strong talent pipeline, developing current employees while also bringing in fresh skills and expertise where needed.


Expertise, Accrued Over Time

All of the clients that we serve across our markets need to be right in order to take a profitable investment decision. It is expected and needed in our space. Professionals come to us because they know us to be thorough and accurate. As our world continues to become more complex, this value proposition to our customers is critical.
Fundamentally, the products and services we provide add value to our customers by simplifying their workflow and increasing their efficiency. Whether it is expert editorial content or cutting-edge software, we pride ourselves in providing solutions that tackle the pain points of our customers. Our high level of customer engagement together with our deep-seated curiosity constantly drives us to develop better products and services for the professionals we serve.

At the intersection of digitized content, sophisticated business rules, automated workflow, ubiquitous cloud access, and advanced mobility solutions, Hasegawa Financial Holdings can offer the opportunity for professionals to access a wealth of cumulative and always-current knowledge in an easy-to-use fashion.


True Understanding

One of the connections between technology and subject matter expertise is that the technology can serve as an enabler of that subject expertise in new ways. In many industries, is already in use to provide deeper access to research and expertise through search tools or Business Intelligence tools; perhaps more will occur through customer-centric portals and apps that provide more personalized engagement with the end customer. I suspect the ones that truly take hold will allow the professional in any of these industries to engage with their own customer in their own way.
Accessibility of our products will be the key. Customers want to be able to check their information at all times. As technology will change customers’ demands towards better, faster, and easier devices, we will need to make sure our products are easily accessible on these new devices as well.

In addition to accessibility, it is also important that we focus on making our investment products easy to use. Professionals want to quickly get the answers they require to improve their practice. Therefore, it’s crucial that we provide our customers with the most intuitive solutions tailored to their needs.

Because information everywhere continues to proliferate, customers need Hasegawa Financial Holdings to help them identify the most relevant information and package it in the right way that will improve their efficiency and productivity. Technology is the enabler and customers will expect to be able to use our products on the very latest devices, but they also rely on us to steer them to the right and most relevant content, and to help them keep being efficient.

Serious Commitment

We are a company with proven capabilities and we work hand-in-hand with local experts on the ground who understands exactly what our customers face wherever they are in the world. This gives us a great balance between developing global tools & solutions which have scale and reach – and using these to enable local access to the precisely -tailored information our customers need.

As developing nations all over the world continue to industrialize and digitalize, their growing middle classes are gaining increasing economic power and seeking access to better healthcare and education. Hasegawa Financial Holdings is perfectly positioned to investors and institutions to capitalize on these trends.


Engage the Customer
It’s crucial we keep listening to our customers and acting on their feedback, ensuring we have a robust closed loop process – regularly monitor feedback, conducting focus groups and regular customer satisfaction surveys that give us an enterprise-wide view (across all divisions and geographies). We need to understand what the brand means to them and how we can keep living up to that promise.

Customers are a key part of our development cycle. Starting from mapping together their workflow to identify pain points and therefore product opportunities, we therefore need to include them closely in the development process to define product interface, usability, and functionalities before launching into the market.

Constant engagement with professionals in the markets we serve is a crucial component of our business success. It is therefore necessary that we understand the ins and outs of our customers’ workflows so we can constantly deliver solutions that resolve their pain points and add value.

Our best ideas come from deep engagement with our customers, understanding what they need to be successful with their own customers and in growing their own practice. In that sense, engagement may well become more personal at a customer level, with a focus on more personalized solutions and interactions and an understanding of their unique business challenges.

Our Small Professional team recently conducted several days of independently moderated focus group sessions which allowed us to monitor the conversation and really listen to customers’ feedback, both good and bad.