登録後に英語での提出を認める主要な書類一覧（添付書類を含む）
List of frequently used documents which can be prepared in English for post-registration
(including attachments)
【Post-Registration】
The following application, notification and other documents which are required to be submitted to the FSA in connection with the post-registration procedures can be prepared in English.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 notarized, the name should be self-signed (in case of a foreign individual, his or her signature).
Please also refer to additional information
.
| 様式名称 （関連法令条文） |
Name of document (Related articles) |
Form | Example | Notes | ||
| 登録申請書記載事項の変更届出 (金商業府令第20条第１項) |
Notification of change to matters specified in application for registration (Article 20(1) of COOFIBi) |
No specific form | Please see below. | Notes Please submit the notification within two weeks. |
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| 金融商品取引業者の加入する金融商品取引業協会等の加入・脱退届出書 | Notification of (joining/withdrawal) regarding a financial instruments firms association/ a certified investor protection organization | No specific form | (Example) Notification of (joining/withdrawal) regarding a financial instruments firms association/ a certified investor protection organization |
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| 金融商品取引業者の商号、名称又は氏名の変更届出 | Notification of change in the trade name or name | No specific form | (Example) Notification of change in the trade name or name |
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| 金融商品取引業者の資本金の額又は出資の総額の変更届出 | Notification of change in the amount of stated capital or the total amount of contributions | No specific form | (Example) Notification of change in the amount of stated capital or the total amount of contributions |
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| 金融商品取引業者の役員又は政令で定める使用人の変更届出 | Notification of change of officer or employee specified by a Cabinet Order | No specific form | (Example) Notification of change of officer or employee specified by a Cabinet Order (Example) Pledge statement (for juridical person) (Example) Pledge statement (for individual) (Example) Resumes (Example) Extracts of the certificates of residence |
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| 金融商品取引業者の本店その他の営業所又は事務所の名称及び所在地の変更届出 | Notification of change to name and location of head office and other business office or office |
No specific form | (Example) Notification of change to name and location of head office and other business office or office |
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| 金融商品取引業者の他に行っている事業の変更届出 | Notification of change to other businesses conducted by applicant | No specific form | (Example) Notification of change to other businesses conducted by applicant |
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| 金融商品取引業等に関する内閣府令第７条第３号イ、第３号の２、第３号の３イ、第４号から第９号まで及び第１１号に掲げる事項の変更届出 | Notification of change to particulars as prescribed in Article 7, item (iii), (a), item (iii)-2, item (iii)-3, (a), items (iv) to (ix) and item (xi) | No specific form | (Example) Notification of change to particulars as prescribed in Article 7, item (iii), (a), item (iii)-2, item (iii)-3, (a), items (iv) to (ix) and item (xi) |
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| 業務の内容又は方法の変更届出 (金商業府令第21条) |
Notification on change of content or method of business (Article 21 of COOFIB) |
No specific form | (Example) Notification on change of content or method of business |
Please submit the notification without delay. | ||
| 変更登録申請書 (金商業府令第22条第１項及び第２項) |
Application for a registration of change (Article 22(1) and (2) of COOFIB) |
(Form) Application for a registration of change |
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| 営業保証金供託届出書 (金商業府令第25条第１項及び第２項) |
Notification of deposit for operation (Article 25 (1) and (2) of COOFIB) |
(Form) Notification of deposit for operation |
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| 営業保証金に代わる契約の締結の届出等 (金商業府令第27条第１項、第２項及び第４項) |
Notification on conclusion of contracts in lieu of deposit for operation (Article 27(1), (2) and (4) of COOFIB) |
Please see below. | Please see below. | |||
| 営業保証金供託保証契約締結届出書 | Notification on conclusion of contracts in lieu of deposit for operation | (Form) Notification on conclusion of contracts in lieu of deposit for operation |
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| 営業保証金供託保証契約変更承認申請書 | Application for approval of change in guarantee contract of deposit for operation | (Form) Application for approval of change in guarantee contract of deposit for operation |
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| 営業保証金供託保証契約解除承認申請書 | Application for approval of cancellation of guarantee contract of deposit for operation | (Form) Application for approval of cancellation of guarantee contract of deposit for operation |
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| 営業保証金供託保証契約変更届出書 | Notification of change in guarantee contract of deposit for operation | (Form) Notification of change in guarantee contract of deposit for operation |
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| 営業保証金供託保証契約解除届出書 | Notification of cancellation of guarantee contract of deposit for operation | (Form) Notification of cancellation of guarantee contract of deposit for operation |
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| 兼職の届出 (金商業府令第31条) |
Notification of concurrent holding of officers’ positions (Article 31 of COOFIB) |
No specific form | (Example) Notification of concurrent holding of officers’ positions |
Please submit the notification without delay. | ||
| 対象議決権保有届出書 (金商業府令第36条) |
Notification of holding subject voting rights (Article 36 of COOFIB) |
(Form) Notification of holding subject voting rights |
It includes the case where it is applied mutatis mutandis pursuant to Article 39 of COOFIB. | |||
| 特定主要株主となった旨の届出書 (金商業府令第38条の２) |
Notification of becoming the specified major shareholder (Article 38-2 of COOFIB) |
(Form) Notification of becoming the specified major shareholder |
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| 特定主要株主以外の主要株主となった旨の届出書 (金商業府令第38条の５) |
Notification of becoming a major shareholder other than the specified major shareholder (Article 38-5 of COOFIB) |
(Form) Notification of becoming a major shareholder other than the specified major shareholder |
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| その他業務に係る届出 (金商業府令第69条) |
Notification of additional business (Article 69 of COOFIB) |
No specific form | ||||
| その他業務の承認申請 (金商業府令第70条第１項及び第２項) |
Application for approval of additional business (Article 70(1) and (2) of COOFIB) |
No specific form | ||||
| 事故の確認の申請 (金商業府令第120条) |
Application for confirmation of problematic conduct (Article 120 of COOFIB) |
No specific form | ||||
| 事業報告書 (金商業府令第182条第１項) |
Business Report (Article 182(1) of COOFIB) |
(Form) Business Report |
Frequently occuring mistakes |
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| 説明書類 (金商業府令第183条第１項) |
Explanatory Documents (Article 183(1) of COOFIB) |
Provisional English form to be posted | ||||
| 説明書類の縦覧期限の承認申請 (金商業府令第190条第１項、第２項及び第４項) |
Application for approval on period before public inspection of explanatory documents (Article 190(1), (2) and (4) of COOFIB) |
No specific form | ||||
| 事業報告書の提出期限の承認申請書 (金商業府令第191条第1項、第2項及び第4項) |
Application for approval on due date for submission of Business Report (Article 191(1), (2) and (4) of COOFIB) |
No specific form | ||||
| 休止その他の届出 (金商業府令第201条各号及び第202条各号) |
Notification on suspension of business and other matters (Respective items of Article 201 and Article 202 of COOFIB) |
No specific form | ||||
| 廃業等の届出 (金商業府令第204条第１項及び第２項) |
Notification on discontinuance of business (Article 204(1) and (2) of COOFIB) |
No specific form | ||||
| 金融商品取引業等の廃業等の公告の届出 (金商業府令第205条第３項及び第４項) |
Notification of public notice on discontinuance of business (Article 205(3) and (4) of COOFIB) |
No specific form | ||||
| 金融商品取引業者等が行う適格機関投資家等特例業務に関する届出書 (金商業府令第244条第１項及び第３項) |
Notification on specially permitted business for qualified institutional investors (Article 244(1) and (3) of COOFIB) |
(Form) Notification on specially permitted business for qualified institutional investors |
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| 金融商品取引業者等による適格機関投資家等特例業務に係る届出事項の変更届出 (金商業府令第244条の２) |
Notification of change to notified matters pertaining to specially permitted business for qualified institutional investors (Article 244-2 of COOFIB) |
Provisional English form to be posted | ||||
| 金融商品取引業者等による適格機関投資家等特例業務に該当しなくなった場合の届出 (金商業府令第245条) |
Notification where the business is no longer specially permitted business for qualified institutional investors (Article 245 of COOFIB) |
No specific form | ||||
| 金融商品取引業者等による適格機関投資家等特例業務の廃止等の届出 (金商業府令第246条) |
Notification on discontinuance of specially permitted business for qualified institutional investors (Article 246 of COOFIB) |
No specific form | |
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| 営業保証金取戻承認申請書 (営業保証金規則ii第14条第１項) |
Application for approval of reclaiming of deposit for operation (Article 14(1) of ODOFIBOii) |
(Form) Application for approval of reclaiming of deposit for operation |
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| 営業保証金の保管替えに係る届出書 (営業保証金規則第16条第４項) |
Notification of change in the place of retention of deposit for operation (Article 16(4) of ODOFIBO) |
(Form) Notification of change in the place of retention of deposit for operation |
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(ii) Ordinance on Deposit for Operation of Financial Instruments Business Operators（金融商品取引業者営業保証金規則）
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