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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

- Investment Management Business for Qualified Investors - 

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

2) Personnel requirements

(Reference 1) Supplementary explanations on the Financial Instruments and Exchange Act

(Reference 2) Contacts of Local Finance Bureaus/Local Finance Offices

(Reference 3) Useful Links

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