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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

1) Investment advisory business

2) Investment management business

3) Intermediation between an investment management/investment advisory company and its customers (as an agency or intermediary for conclusion of a discretionary investment contract or investment advisory contract) 

4) Solicitation or sales of funds established/managed by other investment management companies

5) Establishment of a foreign business operator’s representative office for collecting information in Japan

(2) Major business scheme cases

1) Investment advisory business

2) Investment management business (including investment solicitation for funds you have established) 

3) Intermediation between an investment management/investment advisory company and its customers (as an agency or intermediary for conclusion of a discretionary investment contract or investment advisory contract) 

4) Solicitation or sales of funds established by other investment management companies

5) Establishment of a foreign business operator’s representative office for collecting information in Japan
 

- Investment Management Business for Qualified Investors - 

3. Registration Screening Procedure and Registration Requirements

(1) Overview of registration screening procedure and registration application documents

1) Flow of registration screening procedure

2) Contact with Financial Services Agency/Local Finance Bureau or Local Finance Office

3) Prior consultations

4) Registration application (submission of application forms) 

5) Joining a self-regulatory organization

(2) Requirements for registration by type of Financial Instruments Business

1) Overview of registration requirements specified in the FIEA and the Guidelines for Supervision

2) Personnel requirements

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

(1) Classification of financial instruments businesses

(2) Major exemptions from application for Financial Instruments Businesses

(3) Classification of investors
 

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

(Reference 3) Useful Links

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