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Group Companies & Organization Structure

In order to meet our diversified asset management and client service needs, SPARX Group has several units in Japan and overseas operating under our Tokyo-based holding company, SPARX Group Co., Ltd. These include SPARX Asset Management Co. Ltd. (SAM), our core Japanese equity asset management entity, as well as Tokyo-based SPARX Securities Co. Ltd. (SEC) and SPARX Capital Partners Co. Ltd. (SCP). It also encompasses our overseas affiliates and subsidiaries in key financial centers such as Hong Kong, London and New York. For details on these units please scroll through the outlines below.






JAPAN


SPARX Asset Management Co., Ltd. (SAM)

Tokyo-based SAM is SPARX Group's core equity-related asset management entity in Japan and includes all investment professionals within the Japanese equities Investment & Research team.

Company Name SPARX Asset Management Co.,Ltd.
President & CEO Shuhei Abe
Head Office Gate City Ohsaki, East Tower 16F 1-11-2 Ohsaki, Shinagawa-ku,
Tokyo 141-0032, Japan
TEL.+81-3-5435-8200 Fax.+81-3-5435-8201
URL http://www.sparx.co.jp/
Establishment April 3, 2006
Capital JPY 2.5 billion
Business description Discretionary Investment Management Business Activities, Investment Advisory Business Activities, and Investment Trust Management Business Activities
Number of Directors
and employees
94 persons (as of March 31, 2008)
Registration Number
 
Director - General of Kanto Local Finance Bureau (Financial Instruments) No.346
   



SPARX Securities Co., Ltd. (SEC)

Tokyo-based SEC provides asset management, maintenance and advisory services in Japan and also solicits  Japanese clients and markets funds exclusively in the Japanese market.
Company Name SPARX Securities Co.,Ltd.
President & CEO Mikiro Shimizu
Head Office Gate City Ohsaki, East Tower 16F 1-11-2 Ohsaki, Shinagawa-ku,
Tokyo 141-0032, Japan
TEL.+81-3-5435-8300 Fax.+81-3-5435-8299
URL http://www.sparxsec.co.jp/
Establishment May, 1998
Capital JPY 165 million
Business description Primarily markets and distributes SPARX products and services; provides financial/investment information and advisory services regarding clients' asset management activities, and provides consulting services for business restructuring and expansion.
Number of employees 19 persons (as of March 31, 2008)
Securities Business License Number Ministry of Finance Certification No.10082
(License No. 1,2 and 4 under the Securities and Exchange Law, article 28 paragraph 2)
(Currently registered under the Securities and Exchange Law)
Securities Business Registration Number Kanto Local Finance Bureau No.131
Japan Securities Dealers Association Member Code No. 357


SPARX Capital Partners Co., Ltd. (SCP)

Tokyo-based SCP is the proprietary capital arm of SPARX Group. In additional to its proprietary capital investment activities, SCP also provides advice to SAM and other Group entities.
Company Name SPARX Capital Partners Co.,Ltd.
President & CEO Shoichi Miyasaka
Head Office Gate City Ohsaki, East Tower 16F 1-11-2 Ohsaki, Shinagawa-ku,
Tokyo 141-0032, Japan
TEL. +81-3-5437-9800 Fax. +81-3-5437-9801
Establishment July, 2005
Capital JPY 450 million
Business description Investment in public and unlisted stocks; Investment in funds managed by other SPARX Group entities; Value creation activities for companies in which SPARX Group invests; Development of new investment techniques
Number of Directors and employees 11 people (as of March 31, 2008)


OVERSEAS OFFICES


UNITED STATES
SPARX Investment & Research, USA, Inc. (SIR)
Address
360 Madison Avenue, 24th Floor, New York, New York 10017, USA
Tel. +1-212-452-5000 Fax. +1-212-452-5099
SEC IARD Number
Securities Exchange Commission IARD/CRD No.117985
Business Description
Handles business development and client service operations in the U.S., as well as the management activities for U.S.-based funds.

UNITED KINGDOM
SPARX Asset Management International, Ltd. (SAMI)
Address
20 Balderton Street, 2nd Floor South, London W1K6TL, UK
Tel. +44-207-297-4000 Fax. +44-207-297-4099
FSA Permission Reference Number
The Financial Services Authority : 232300
Business Description
Provides various business development and client service activities.

PMA Capital Services Limited (PMACS)
Address
52-54 Gracechurch Street, 2nd Floor, London, EC3V 0EH, UK
Tel. 44-207-648-2120
Business Description
Acts as investment management entity with discretionary fund management authority.

HONG KONG
SPARX International (Hong Kong) Limited (SIHK)
Address
6/F, ICBC Tower, 3 Garden Road, Central, Hong Kong
Tel. 852-3413-9000 Fax. 852-3413-9099
Business Description
Conducts investment & research and handles fund administration duties for offshore and fund-of-funds related activities.

PMA Investment Advisors Limited (PMA)
Address
6/F, ICBC Tower, 3 Garden Road, Central, Hong Kong
Tel. 852-3102-7500
Business Description
Authorized to provide asset management and securities advisory services.

KOREA
Cosmo Investment Management Co., Ltd.
Address
29th Floor, Millennium Building 467-12 Dogok-Dong Gangnam-Gu 135-270, Seoul, Korea
Tel. 82-2-570-1600 Fax. 82-2-570-1690
Business Description
A registered investment adviser and discretionary investment adviser.


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