適格機関投資家等特例業者等
Business Operators, etc., Engaging in Specially Permitted Businesses for Qualified Institutional Investors, etc.

適格機関投資家等特例業者等
Business Operators, etc., Engaging in Specially Permitted Businesses for Qualified Institutional Investors, etc.

適格機関投資家等特例業者等は、下記I〜IVのリストのうち、いずれか一つに掲載されており、重複掲載はありません。なお、監督当局において、金融商品取引法第63条の2の規定に基づく廃止届又は解散届等を受理した届出者につきましては、全てのリストから削除しております。

All business operators, etc., of Specially Permitted Businesses for Qualified Institutional Investors, etc. (hereinafter “SPBQII”) are posted on one of the list of I to IV below; No Notifier is posted on multiple lists. Those Notifiers whose Notification of Abolition or Notification of Dissolution under the provision of Article 63-2 of the Financial Instruments and Exchange Act (“FIEA”) was duly accepted by the competent Authority are deleted from all the lists.

I.業務廃止命令を発出した届出者リスト (The List of Notifiers of SPBQII, etc., whom our Authority issued Order for Abolition of Business Operation)

PDFExcel(平成28年10月31日現在、As of October 31, 2016)

II.連絡が取れない届出者リスト (The List of Notifiers of SPBQII, etc., whom our Authority cannot make contact nor able to identify the location of business office)

PDFExcel(平成28年10月31日現在、As of October 31, 2016)

III.問題があると認められた届出者リスト (The List of Notifiers of SPBQII, etc., whom our Authority recognized having problems in their operations)

PDFExcel(平成28年10月31日現在、As of October 31, 2016)

IV.届出者リスト (The List of Notifiers of SPBQII, etc.)

PDFExcel(平成28年10月31日現在、As of October 31, 2016)

<ご注意>※English Cautions and Reminders for above lists are under this Japanese Guidance.

この届出をもって金融庁が届出者の信頼性を保証するものではありません。

arrow掲載された届出者は、基本的にいわゆるプロ投資家を相手に業務を行う者です。

arrow届出を行っている業者と取引を行う場合であっても、その業者の信用力を慎重に判断し、取引内容をよく理解することが重要です。

法63条又は法63条の3…適格機関投資家等特例業務(いわゆるプロ投資家向け業務)

法附則48条…特例投資運用業務(既に募集は終了し運用のみの業務)

I.業務廃止命令を発出した届出者リスト

arrowこのリストに掲載されている届出者につきましては、法令違反行為等が認められたことから金融商品取引法の規定に基づき業務廃止命令が発出されております。

II.連絡が取れない届出者リスト

arrowこのリストに掲載されている届出者は、監督当局から連絡を取ることができず、その営業所又は事務所を確知できない状況となっております。

arrow掲載されている届出者は、速やかに届出を行った管轄財務局等にご連絡ください。

arrowなお、公表日から30日を経過しても届出を行った管轄財務局等に連絡がない場合は、別途、金融商品取引法の規定に基づき、聴聞等の行政手続を行った上で適格機関投資家等特例業務の廃止を命ずることがあります。

III.問題があると認められた届出者リスト

arrow「※金融商品取引法の規定に基づき、金融商品●●業の全ての業務について●ヶ月間停止(平成●年●月●日付)されています。」または「※金融商品取引法の規定に基づき、当社に対して、業務改善命令が発出されています。」と記載されている業者につきましては、法令違反行為等が認められたことから金融商品取引法の規定に基づき行政処分が行われている業者です。

arrow「※警告書を発出しました。」と記載されている業者につきましては、カッコ内に記載した行為が認められた業者です。

arrow「※報告命令に応じません。」と記載されている業者につきましては、金融商品取引法等の規定に基づく報告命令(ファンドモニタリング調査表等の提出)に応じておりません。

arrow「※検査に応じません。」と記載されている業者につきましては、金融商品取引法の規定に基づく検査に応じておりません。

arrow「※旧届出書(第8面)提出義務違反」と記載されている業者につきましては、平成24年4月に提出が義務付けられたファンド(集団投資スキーム)の名称や当該ファンドの持分を取得する適格機関投資家の商号、名称又は氏名を記載した届出(旧届出書(第8面))を提出しておりません。

arrow備考欄に記載されていない者であっても、無登録営業や虚偽告知等の法令違反行為に該当する行為を行っていることがあり得ますのでご注意ください。

IV.届出者リスト

arrowIIIIのいずれにも該当しない届出者

<IMPORTANT REMINDER>

Despite notifications being accepted by competent Authority, the Financial Services Agency (hereinafter, “FSA”) is in a position to neither endorse nor guarantee any credibility of each Notifier.

arrowListed Notifiers herewith basically do their business with, what is called, professional investors.

arrowIt is important to make a careful judgment on your own regarding the creditworthiness of each Notifier and to fully understand all transactions, even though transactions will deal with the business entities or persons who have submitted their notifications to competent Authority.

“Article 63 or Article 63-3 of FIEA” denotes SPBQII (what is called, businesses operation for professional investors).

“Article 48” (of the Supplementary Provisions of the Act for Partial Revision of the Securities Exchange Act, etc.) denotes Specially Permitted Investment Management Business (“SPIMB”) (These Notifiers have already finished public offering and maintain fund operation only.)

I. “The List of Notifiers of SPBQII, etc., whom our Authority issued Order for Abolition of Business Operation”

arrowWith regard to those Notifiers listed on above list, competent Authority has recognized the violation of FIEA, etc. and issued Order for Abolition of Business Operation under the provision of FIEA.

II. “The List of Notifiers of SPBQII, etc., whom our Authority cannot make contact nor able to identify the location of business office”

arrowWith regard to those Notifiers listed on above list, competent Authority cannot make contact with them and is not able to identify the location of their business offices.

arrowThose Notifiers whose names were published on this list are required to contact competent Local Finance Bureau, etc. immediately.

arrowIf no contacts were made to competent Authority, etc. though 30 days elapsed since the date of the publication of the name, competent Authority may, having performed the administrative procedures such as legal hearings, etc. under the provisions of FIEA, order the Notifier to abolish the SPBQII operation.

III. “The List of Notifiers of SPBQII, etc., whom our Authority recognized having problems in their operations” (Other than above I and II categories)

arrowWith regard to the Notifiers with statements in the remarks column as “*Entire business operations of Financial Instruments Business have been suspended for XX months (As from mm/dd/yyyy) pursuant to the provisions of the FIEA” and/or “*The Order to Improve Business Operation has been Issued against the Notifier pursuant to the provisions of the FIEA”, the competent Authority found the acts in violation of laws or regulations, etc. and imposed administrative disposition against such Notifier pursuant to the provisions of the FIEA.

arrowWith regard to the Notifiers with statements in the remarks column as “Issued and Dispatched the Warning Statement”, the competent Authority found their acts stated in the brackets.

arrowWith regard to the Notifiers with statements in the remarks column as “Did not comply with the Reporting Order issued by the Authorities”, it notes that they have not replied to the reporting orders (submission of answers to the Monitoring Questionnaire about Funds) that were directed by the competent Authority.

arrowWith regard to the Notifiers with statements in the remarks column as “Refused or did not comply with the Inspection by the Authorities”, it notes that they do not accept the inspection based on the regulations under FIEA.

arrowWith regard to the Notifiers with statements in the remarks column as “Violation against Obligation of Submission of former Notification [No. 8]”, it notes that they did not submit the former notifications [No. 8] which notify the information of the name of funds (corrective investment scheme) and the trade name or name of Qualified Institutional Investors who have equity of the fund.

arrowPlease note that there are possibilities that Notifiers without any statement in the remarks column of the list would have committed acts in violation of the provisions of FIEA such as unregistered sales activities and/or false notifications.

IV. “The List of Notifiers of SPBQII, etc.”

arrowThose Notifiers who do not fall under any of the above I to III categories.