Examples of application for registration and attachments

  When preparing an application for registration and an attachment, please refer to notes on description.
  The following are examples for your reference only. The document should be prepared in accordance with the actual situation of the relevant financial instruments business operator.
  For the document that is required to be self-signed, the name and address should be self-signed (in case of a foreign individual, his or her signature) as much as possible from the view point of ensuring its authenticity.
 

Name of documents	Related articles	Notes
Application for registration	Article 29-2(1) of the Acti, Article 5 of COOFIBii	The example is prepared based on Investment Advisory and Agency Business.
Pledge statement for the registration applicant	Article 29-2(2)(i) of the Act
Document describing the business and business methods	Article 29-2(2)(ii) of the Act, Article 8 of COOFIB	The example is prepared based on Type II Financial Instrments Business, Investment Management Business, and Investment Advisory and Agency Business.
Documents stating the registration applicant's business execution system, such as its personnel structure and the organizational structure pertaining to the business	Article 29-2(2)(ii) of the Act, Article 9(i) of the COOFIB	The example is prepared based on Type II Financial Instrments Business, Investment Management Business, and Investment Advisory and Agency Business.
Resumes of officers and important employees (for juridical person)	Article 29-2(2)(ii) of the Act, Article 9(ii)(a) of the COOFIB
Resumes of the registration applicant and important employees (for individual)	Article 29-2(2)(ii) of the Act, Article 9(iii)(a) of the COOFIB
Extracts of the certificates of residence of officers and important employees (for juridical person)	Article 29-2(2)(ii) of the Act, Article 9(ii)(b) of the COOFIB	The example is prepared for a person who is not a resident in Japan and will submit the document instead of a certificate of residence (Juminhyo) and personal identification (Mibunsyomeisyo).
Extracts of the certificates of residence of the registration applicant and important employees (for individual)	Article 29-2(2)(ii) of the Act, Article 9(iii)(b) of the COOFIB	The example is prepared for a person who is not a resident in Japan and will submit the document instead of a certificate of residence (Juminhyo) and personal identification (Mibunsyomeisyo).
Personal identification of officers and important employees (for juridical person)	Article 29-2(2)(ii) of the Act, Article 9(ii)(d) of the COOFIB	The example is prepared for a person who is not a resident in Japan and will submit the document instead of a certificate of residence (Juminhyo) and personal identification (Mibunsyomeisyo).
Personal identification of the registration applicant and important employees (for individual)	Article 29-2(2)(ii) of the Act, Article 9(iii)(d) of the COOFIB	The example is prepared for a person who is not a resident in Japan and will submit the document instead of a certificate of residence (Juminhyo) and personal identification (Mibunsyomeisyo).
Pledge statement of officers and important employees (for juridical person)	Article 29-2(2)(ii) of the Act, Article 9(ii)(e) of the COOFIB
Pledge statement of important employees (for induvisual)	Article 29-2(2)(ii) of the Act, Article 9(iii)(e) of the COOFIB
Document stating the status of Persons in Specified Relationships (parent company, etc., subsidiaries, etc., and holding companies)	Article 29-2(2)(ii) of the Act, Article 9(iv) of the COOFIB
Internal rules concerning financial instruments business (No specific form)	Article 29-2(2)(ii) of the Act, Article 9(v) of the COOFIB
Document evidencing that the registration applicant does not fall under the criteria provided in Article 13(iv) of COOFIB (No specific form)	Article 29-2(2)(ii) of the Act, Article 9(vii) of the COOFIB
Document describing the ability to carry out the Specified Investment Management Business Related to Real Property (No specific form)	Article 29-2(2)(ii) of the Act, Article 9(viii) of the COOFIB
Documents describing the overview of the crypto assets and financial indicator (No specific form)	Article 29-2(2)(ii) of the Act, Article 9(x) of the COOFIB
Latest balance sheet (including related footnotes) and income statement (including related footnotes)	Article 29-2(2)(iii) of the Act, Article 10(1)(i) of the COOFIB
Document stating the calculated Net Assets	Article 29-2(2)(iii) of the Act, Article 10(1)(iii)(a) of the COOFIB	This document should be submitted in the case where the registration applicant conducts Investment Management Business.
Document stating the Major Shareholders' trade names or names, and the locations of their head offices or principal offices, as well as the number of the Subject Voting Rights held by the Major Shareholders	Article 29-2(2)(iii) of the Act, Article 10(1)(iii)(b) and (c) of the COOFIB	This document should be submitted in the case where the registration applicant conducts Investment Management Business. In case of a foreign corporation, the registration applicant is also required to prepare a document evidencing that a confirmation by the relevant foreign regulatory authority has been made with regard to a person equivalent to a major shareholder, or any equivalent ducument (no specific form)

(i) Financial Instruments and Exchange Act
(ii) Cabinet Office Order on Financial Instruments Business, etc.