Guidebooks

Guidebook for Registration of Investment Management Businesses and Other Financial Instruments Businesses

This guidebook explains the types of registration required for each of the major business schemes related to asset management. It also contains an overview of registration screening procedures and an explanation of registration requirements.
Before entering our consultation process, we ask that applicants fill out the appropriate “Summary of Applicant for New Registration or its Change” form for their intended business. This form helps ease the application process by facilitating dialogue between the applicant and the registration authorities.

January 10, 2020
(Updated April 15, 2022)

List of Guidebooks

Guidebook for Registration of Investment Management Business and Other Financial Instruments Businesses	FSA’s website	PDF
Summary of Applicant for New Registration or its Change (Investment Management Business)		PDF
Summary of Applicant for New Registration or its Change (Investment Advisory and Agency Business)		PDF
Summary of Applicant for New Registration or its Change (Type II Financial Instruments Business)		PDF
Summary of Applicant for New Registration or its Change (Type I Financial Instruments Business)		PDF

* The format and content of the Summary of Applicant form is revised as needed, and the form used in the actual screening procedure may differ slightly from those provided on this website.

Reference Materials

Under the Financial Instruments and Exchange Act (FIEA), registration is not required for the following business schemes, but you must notify FSA before commencing your business activities. (The relevant articles of FIEA are included for reference purposes.)

• Special Business Activities for Qualified Institutional Investors
• Specially Permitted Businesses for Foreign Investors, etc. (FIEA Article 63-8 through 63-15), and Specially Permitted Businesses during a Transition Period (Article 3-3 of the Supplementary Provisions of FIEA)
• Establishment of a Foreign Business Operator's Representative Office for Collecting Information in Japan (FIEA Article 62)

Please click on the links and documents below for more detailed information.

List of Reference

Special Business Activities for Qualified Institutional Investors (related links)
Specially Permitted Businesses for Foreign Investors, etc., and Specially Permitted Businesses during a Transition Period (related links)
Notification Form for the Establishment of an Office for Collecting Information in Japan (filled-out example) (Japanese Only)		Word

Asset Managers & FinTech Companies Registration Guidebook
(by Tokyo Metropolitan Government)

This guidebook explains the necessary procedures to open a FinTech company or start an asset management business in Japan. It was compiled by the Tokyo Metropolitan Government and supervised by FSA.

Tokyo Metropolitan Government: Asset Managers & FinTech Companies Registration Guidebook

Questions and Inquiries