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1. Introduction

(1) Purpose of this Guidebook

   Asset managers, who engage in asset management with professional expertise, play very important roles in revitalizing the Japanese capital market and achieving people’s stable asset building. For reaching these goals, It is crucial to facilitate the smooth entry of Financial Instruments Business Operators by reducing burdens on their entry into the Japanese financial market. Based on this viewpoint, “Follow-up on the Growth Strategy” (June 2019 Cabinet decision) proclaims preparation of a guidebook to support registration application for financial industry as one of the growth strategies.
   Under these circumstances, this Guidebook has been released for the purpose of providing information concerning the procedures for registration for Investment Management Business and other Financial Instruments Businesses.

(2) Structure and How to Use this Guidebook

    The main contents of this Guidebook are section 2. “Major Financial Instruments Business Schemes and Necessary Registration” and section 3. “Registration Screening Procedure and Registration Requirements” . Section 2 explains the types of registration to be required for each of the major business schemes related to asset management business, while section 3 provides an overview of the procedure for registration screening and explains the requirements for registration.
   First, please refer to section 2 whether and what type of registration as a Financial Instruments Business Operator is necessary. Then go to section 3 to find out the screening procedure and registration requirements for the necessary type of registration.
   Supplementary explanations on the FIEA (classification of Financial Instruments Businesses, major exemptions from application, classification of investors), along with other reference information, are provided at the end of this Guidebook.
 

Laws and Regulations, Guideline for Supervision

1) Laws

2) Comprehensive Guidelines for Supervision of Financial Instruments Business Operators, etc. (hereinafter, the “Guidelines for Supervision”)

3) FAQ on Financial Instruments and Exchange Act (Financial Services Agency) (hereinafter, the “FAQ”)


Note: Information in the web pages of the links above or the other links provided in this Guidebook may not reflect the latest
         information including all the revisions or amendments to the relevant laws and regulations.





 

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