Profile

NUMATA Yuko

Professor, School of Global Japanese Studies,
Meiji University

SDGs theme

Research fields:
Management of financial institutions in Japan and the U.S., capital markets

Research themes:
The US retail financial services, the sales channels of financial institutions, client segmentation
[Keywords] Investment advice, fiduciary duty (“Principles for customer first business
practices” in Japan), securities firms/investment banks, asset management companies/investment managers and financial intermediaries

Main books and papers:
◆"Toranpu Seikenka no Riteru Shokengyo to Fidyushari Dyuthi" (Retail Securities Business and Fiduciary Duty under the Trump Administration) (Henbousuru Kinyu to Shokengyo (The Transformation of Financial and Securities Businesses), Chapter 11, ed. Study Committee on Securities Management, 2018)
◆"Toushi Adobaisu toha Nanika – Fidyushari toshiteno Beikoku Shoken Eigyou Tantousha no Jirei kara – " (What Is Investment Advice? – From the Case of U.S. Registered Representatives as Fiduciaries –) (Shoken Keizai Kenkyu, No. 99, 2017)