Table of Contents
1. Introduction
(1) Purpose of this Guidebook
(2) Structure and How to Use this Guidebook
2. Major Financial Instruments Business Schemes and Necessary Registration
(1) Flowcharts to determine whether and what type of registration is necessary
(2) Major business scheme cases
2) Investment management business (including investment solicitation for funds you have established)
- Investment Management Business for Qualified Investors -
Emergency Registration Exemption for Foreign Financial Institutions / Asset Managers
3. Registration Screening Procedure and Registration Requirements
(1) Overview of registration screening procedure and registration application documents
(2) Requirements for registration by type of Financial Instruments Business
4. Specially Permitted Business for Foreign Investors, etc. / Specially Permitted Business during Transition Period
(1) Specially Permitted Business for Foreign Investors, etc.
(2) Specially Permitted Business during Transition Period
(3) Notification procedures and requirements
1)Flow of notification procedure
2)Preparation of notification documents
3)Notification requirements specified in the FIEA
Supplementary explanations on the Financial Instruments and Exchange Act
Contacts of Local Finance Bureaus/Local Finance Offices
Useful Links
Site Map
- About FSAPage list Open
- Ministerial Team
- Organization
- Location
- Annual Reports
- Financial Policies Monitor
- Laws & RegulationsPage list Open
- Name of Laws and Regulations(PDF)
- Legislation
- Guidelines
- Financial Instruments and Exchange Act
- Recent Changes
- Public Comment
- Basel
- No Action Letter System
- Procedures concerning Foreign Account Management Institutions
- PrinciplesPage list Open
- Strategic Directions and Priorities
- Progress and Assessment of the Strategic Directions and Priorities
- Policy Approaches to Strengthen Cyber Security in the Financial Sector
- Financial Monitoring Policy
- AnnouncementsPage list Open
- Press Conferences
- Press Releases
- Official Statements
- Speeches
- Great East Japan Earthquake-Related Information
- The Earthquake Centered in the Kumamoto Region of Kumamoto Prefecture 2016-Related Information