登録手続に英語での提出を認める書類一覧(添付書類を含む)
List of documents which can be prepared in English for registration (including attachments)

 

 

【Registration】

When preparing an application for registration and an attachment, please refer to notes on description.  (here)
The examples below are 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 viewpoint of ensuring its authenticity.
 
様式名称
(関連法令条文)
Name of document
(Related articles)
Form Example Notes
登録申請書
(法i第29条の2第1項、金商業府令ii第5条)
Application for registration
(Article 29-2(1) of the Acti, Article 5 of COOFIBii)
 (Form)
Application for registration
(Example) Application for registration The example is prepared based on Investment Advisory and Agency Business.
登録申請者の誓約書
(法第29条の2第2項第1号)
Pledge statement for the registration applicant
(Article 29-2(2)(i) of the Act)
No specific form (Example)
Pledge statement for the registration applicant
 
業務の内容及び方法を記載した書類
(法第29条の2第2項第2号、金商業府令第8条)
Document describing the business and business methods
(Article 29-2(2)(ii) of the Act, Article 8 of COOFIB)
No specific form (Example) Document describing the business and business methods The example is prepared based on Type II Financial Instruments Business, Investment Management Business, and Investment Advisory and Agency Business.
業務に係る人的構成及び組織等の業務執行体制を記載した書面
(法第29条の2第2項第2号、金商業府令第9条第1号)
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 COOFIB)
No specific form (Example) Documents stating the registration applicant's business execution system, such as its personnel structure and the organizational structure pertaining to the business The example is prepared based on Type II Financial Instruments Business, Investment Management Business, and Investment Advisory and Agency Business.
役員及び重要な使用人の履歴書(法人の場合)
(法第29条の2第2項第2号、金商業府令第9条第2号イ)
Resumes of officers and important employees (for juridical person)
(Article 29-2(2)(ii) of the Act, Article 9(ii)(a) of COOFIB)
No specific form (Example) Resumes of officers and important employees (for juridical person)  
登録申請者及び重要な使用人の履歴書(個人の場合)
(法第29条の2第2項第2号、金商業府令第9条第3号イ)
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)
No specific form (Example) Resumes of the registration applicant and important employees (for individual)  
役員及び重要な使用人の住民票の抄本等(法人の場合)
(法第29条の2第2項第2号、金商業府令第9条第2号ロ)
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 COOFIB)
No specific form (Example) Extracts of the certificates of residence of officers and important employees (for juridical person) 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 (Mibun-syomeisyo).
登録申請者及び重要な使用人の住民票の抄本等(個人の場合)
(法第29条の2第2項第2号、金商業府令第9条第3号ロ)
Extracts of 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 COOFIB)
No specific form (Example) Extracts of certificates of residence of the registration applicant and important employees (for individual) 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 (Mibun-syomeisyo).
役員及び重要な使用人の身分証明書等(法人の場合)
(法第29条の2第2項第2号、金商業府令第9条第2号二)
Personal identification of officers and important employees (for juridical person)
(Article 29-2(2)(ii) of the Act, Article 9(ii)(d) of COOFIB)
No specific form (Example) Personal identification of officers and important employees (for juridical person) 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 (Mibun-syomeisyo).
登録申請者及び重要な使用人の身分証明書等(個人の場合)
(法第29条の2第2項第2号、金商業府令第9条第3号二)
Personal identification of the registration applicant and important employees (for individual)
(Article 29-2(2)(ii) of the Act, Article 9(iii)(d) of COOFIB)
No specific form (Example) Personal identification of officers and important employees (for juridical person) 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 (Mibun-syomeisyo).
役員及び重要な使用人の誓約書(法人の場合)
(法第29条の2第2項第2号、金商業府令第9条第2号ホ)
Pledge statement of officers and important employees (for juridical person)
(Article 29-2(2)(ii) of the Act, Article 9(ii)(e) of COOFIB)
No specific form (Example)
Pledge statement of officers and important employees (for juridical person)
 
重要な使用人の誓約書(個人の場合)
(法第29条の2第2項第2号、金商業府令第9条第3号ホ)
Pledge statement of important employees (for individual)
(Article 29-2(2)(ii) of the Act, Article 9(iii)(e) of COOFIB)
No specific form (Example)
Pledge statement of important mployees (for individual)
 
特定関係者(親法人等、子法人等及び持株会社)の状況を記載した書類
(法第29条の2第2項第2号、金商業府令第9条第4号)
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 COOFIB)
No specific form (Example) Document stating the status of Persons in Specified Relationships (parent company, etc., subsidiaries, etc., and holding companies)  
金融商品取引業務に関する社内規則
(法第29条の2第2項第2号、金商業府令第9条第5号)
Internal rules concerning financial instruments business
(Article 29-2(2)(ii) of the Act, Article 9(v) of COOFIB)
No specific form No example  
金商業府令第13条第4号に掲げる基準に該当しないことを証する書面
(法第29条の2第2項第2号、金商業府令第9条第7号)
Document evidencing that the registration applicant does not fall under the criteria provided in Article 13 (iv) of COOFIB
(Article 29-2(2)(ii) of the Act, Article 9(vii) of COOFIB)
No specific form No example  
不動産関連特定投資運用業を行う場合における業務遂行能力に関する事項を記載した書面
(法第29条の2第2項第2号、金商業府令第9条第8号)
Document describing the ability to carry out the Specified Investment Management Business Related to Real Property
(Article 29-2(2)(ii) of the Act, Article 9(viii) of COOFIB)
No specific form No example  
暗号資産及び金融指標の概要を説明した書類
(法第29条の2第2項第2号、金商業府令第9条第10号)
Documents describing the overview of the crypto assets and financial indicator
(Article 29-2(2)(ii) of the Act, Article 9(x) of COOFIB)
No specific form No example  
最終の貸借対照表(関連する注記を含む)及び損益計算書(関連する注記を含む)
(法第29条の2第2項第3号、金商業府令第10条第1項1号)
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 COOFIB)
No specific form (Example)
Latest balance sheet (including related footnotes) and income statement (including related footnotes)
 
純財産額を算出した書面
(法第29条の2第2項第3号、金商業府令第10条第1項2号イ)
Document stating the calculated Net Assets
(Article 29-2(2)(iii) of the Act, Article 10(1)(ii)(a) of COOFIB)
No specific form (Example) Document stating the calculated Net Assets This document should be submitted in the case where the registration applicant conducts Investment Management Business.
主要株主の商号、名称又は氏名及び本店又は主たる事務所の所在地(個人にあっては、住所又は居所)並びに当該主要株主が保有する対象議決権の数を記載した書面
(法第29条の2第2項第3号、金商業府令第10条第1項第2号ロ、同号ハ)
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)(ii)(b) and (c) of COOFIB)
No specific form (Example) 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 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(金融商品取引法)
(ii) Cabinet Office Order on Financial Instruments Business, etc.(金融商品取引業等に関する内閣府令)







 

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