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February 10, 2017
Financial Services Agency

Toward Further Efficiency and Transparency in the Screening Procedure for Licensing and Registration of Financial Businesses

From the perspective of ensuring efficiency and transparency in financial regulation, in the 2016-2017 Strategic Directions and Priorities (published in October 2016), the FSA recently indicated its policy direction to “execute proper progress management for registration/licensing procedure by list method for greater efficiency and transparency of financial regulation.”

In particular, as to the screening procedures that would require a long period until granting a license/registration, the FSA cooperatively manages the application procedure with applicants regarding issues that should be addressed in the early stages along with the procedural outlook, and thus ensures greater efficiency and predictability in the procedure.

The FSA also strives for a smooth screening procedure that is not affected by replacement of the FSA’s staff members upon the beginning of a new program year.

Moreover, to increase transparency and convenience for applicants, the FSA publishes an outline of the standard screening process for screening applications for new registration with the FSA/Local Financial Bureau, the major issues and the key points in past screenings of registration and license for operating financial businesses etc., as attached.

  • circleOutline of the Standard Screening Process for Applications for New Registration with the FSA/Local Financial Bureau (Appendix 1 (PDF:60KB))

  • circleGrounds for Refusing Registration, and Relevant Statutes and Regulations Pertaining to Viewpoints in Registration Screening (Appendix 2 (PDF:57KB))

  • circleMajor Issues and Key Points in Past Screenings of Registration and Licenses for Operating Financial Businesses (Appendix 3 (PDF:46KB))


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