海外投資家等特例業者
Business Operators, Engaging in Specially Permitted Business for Foreign Investors, etc.
海外投資家等特例業者
Business Operators, Engaging in Specially Permitted Business for Foreign Investors, etc.
海外投資家等特例業者の届出事項について、金融商品取引法第63条の9第4項に基づき縦覧します。
海外投資家等特例業者は、下記Ｉ～IIIのリストのうち、原則としていずれか一つに掲載されており、金融商品取引法第63条の10の規定に基づく廃止届又は解散届等を受理した届出者につきましては、全てのリストから削除しております。
The following notified matters of Specially Permitted Business for Foreign Investors, etc. (hereinafter “SPBFI”) are provided for public inspection under the provision of Paragraph (4) of Article 63-9 of the Financial Instruments and Exchange Act (“FIEA”).
All business operators, of SPBFI are, in principle, posted on one of the list of I to III below. Those Notifiers whose Notification of Abolition or Notification of Dissolution under the provision of Article 63-10 of the FIEA was duly accepted are deleted from all the lists.
I．届出者リスト（The List of Notifiers of SPBFI）
１．届出者一覧（The List of Notifiers）（
PDF・
Excel）
２．ファンド一覧（The List of Funds）（PDF・Excel）
３．役員及び政令で定める使用人一覧（The List of Officers and Employees Specified by Cabinet Order）
（PDF・Excel）
４．営業所又は事務所一覧（The List of Business offices or Offices）（PDF・Excel）
（令和６年２月29日現在、As of February 29, 2024）
II．業務廃止命令を発出した届出者リスト（The List of Notifiers of SPBFI, to whom the competent authority issued Order for Abolition of Business Operation）
＊該当なし（Not Applicable）
１．届出者一覧（The List of Notifiers）（PDF・Excel）
２．ファンド一覧（The List of Funds）（PDF・Excel）
３．役員及び政令で定める使用人一覧（The List of Officers and Employees Specified by Cabinet Order）
（PDF・Excel）
４．営業所又は事務所一覧（The List of Business offices or Offices）（PDF・Excel）
（令和６年３月31日現在、As of March 31, 2024）
III．連絡が取れない届出者リスト（The List of Notifiers of SPBFI regarding which the location of the business office cannot be identified by the competent authority or with whom the competent authority cannot make contact）
＜ご注意＞※English reminders follow Japanese reminders.
- 掲載された届出者は、基本的に海外投資家や、いわゆるプロ投資家を相手に業務を行う者です。
- 届出を行っている業者と取引を行う場合であっても、その業者の信用力を慎重に判断し、取引内容をよく理解することが重要です。
●届出書の記載事項に機種依存文字（外字など）が含まれている場合は、他の文字に置き換えて表記しています。したがって、届出者の代表者、役員及び政令で定める使用人の氏名などについては、届出書の表記と異なる場合があります。
- 掲載情報は、令和６年２月29日までに受理した届出書の届出事項をもとに【届出者一覧】、【ファンド一覧】、【役員及び政令で定める使用人一覧】及び【営業所又は事務所一覧】として構成したものです。なお最新の状況につきましては、各届出者へ直接ご確認願います。
- 海外投資家等特例業務を行う金融商品取引業者の役員等の状況については、別途管轄財務局等において縦覧している金融商品取引業者登録簿と重複するため「－」表示とし、掲載情報から除外しています。
- その他【届出者一覧】の事項「行政処分等の状況」欄は業務停止命令や業務改善命令のほか以下のような対応状況を記載しています。
「※報告命令に応じません。」：金融商品取引法等の規定に基づく報告命令（ファンドモニタリング調査 表等の提出）に応じておりません。
「※検査に応じません。」：金融商品取引法の規定に基づく検査に応じておりません。
「※所在地変更届出未済」：金融商品取引法の規定に基づく変更届を提出しておりません。
- 「行政処分等の状況」欄に記載されていない者であっても、無登録営業や虚偽告知等の法令違反行為に該当する行為を行っていることがあり得ますのでご注意ください。
- 【ファンド一覧】の事項のうち、金融商品取引法の規定に基づき非該当届を提出し、一時的に海外投資家等特例業務に該当しなくなっている場合や休止届を提出している場合は、「－」表示となっている事項があります。
II．業務廃止命令を発出した届出者リスト
- このリストに掲載されている届出者につきましては、法令違反行為等が認められたことから金融商品取引法の規定に基づき業務廃止命令が発出されております。
- 令和６年２月29日以降に業務廃止命令を発出した届出者については、「I．届出者リスト」と一部重複掲載となっている場合があります。
III．連絡が取れない届出者リスト
- このリストに掲載されている届出者は、監督当局から連絡を取ることができず、その営業所又は事務所を確知できない状況となっております。
- 掲載されている届出者は、速やかに届出を行った管轄財務局等にご連絡ください。
- なお、公表日から30日を経過しても届出を行った管轄財務局等に連絡がない場合は、別途、金融商品取引法の規定に基づき、聴聞等の行政手続を行った上で海外投資家等特例業務の廃止を命ずることがあります。
- 令和６年２月29日以降に連絡を取ることができず、その営業所又は事務所を確知できない状況が判明した届出者については、「I．届出者リスト」と一部重複掲載となっている場合があります。
＜IMPORTANT REMINDER＞
●Despite notifications being accepted by the competent authority, the Financial Services Agency ("FSA") is in a position to neither endorse nor guarantee any credibility of each Notifier.
- “Listed Notifiers of SPBFI” basically means those who engage in business with so-called foreign investors or professional investors as counterparties.
- It is important to carefully assess the creditworthiness of a peer company you intend to do business with and to fully understand the nature of all transactions thereof, even if the peer company is on the list of Notifiers of SPBFI.
●When machine-dependent characters (such as external characters) are included in the descriptions of Notification, such characters are replaced by other characters. Therefore, there might be cases where the names and other information of representatives, corporate officers and employees specified under the applicable Cabinet Order are shown in characters different from those originally described in the Notification.
- Information published here is based on notified matters of the notifications accepted by our Authorities as of February 29, 2024 and are compiled into the following 4 lists: List of Notifiers, List of Funds, List of Officers and Employees Specified by a Cabinet Order, and List of business offices or offices. As for the latest situation, please consult with each Notifier directly.
- As for Financial Instruments Business Operators who operate SPBFI, the status of officers, etc. is excluded from this list and indicated as “-,” as it is stated in the Register of Financial Instruments Business Operators, which is separately available for public inspection at competent Local Finance Bureaus, etc.
- The column of “Situation of Administrative Dispositions, etc.” in the section of List of Notifiers also indicates the following administrative measures besides orders to suspend businesses and orders to improve business operations.
〇 “Issued and Dispatched a Warning Statement” denotes that the competent authority ascertained the acts stated in the brackets.
〇 “Did not comply with the Reporting Order issued by the Authorities” denotes that they have not replied to the reporting order (submission of answers to the Monitoring Questionnaire about Funds, etc.) pursuant to the corresponding provisions under the FIEA, etc.
〇 “Refused or did not comply with the Inspection by the Authorities” denotes that they did not accept the inspection pursuant to the corresponding provisions under the FIEA.
〇 “Have not submitted the Notification to change business office location” denotes that they did not submit the said Notification pursuant to the corresponding provisions under the FIEA.
- Please note that even if a Notifier is NOT listed in the “Situation of Administrative Dispositions, etc.” column of the list, the Notifier may still be operating certain financial businesses without proper registration, and or conducting wrongful acts, such as making false statements in violation of the corresponding provisions of the FIEA.
- Among the matters of (List of Funds), some of the matters are indicated as “-” when (1) the Notifier submitted Notification of Non-Applicability to SPBFI Operation pursuant to the corresponding provisions under the FIEA and the nature of its business is temporarily not applicable to SPBFI operation, and/or (2) the Notifier submitted Notification of Suspension.
II. The List of Notifiers of SPBFI, to whom the competent authority issued Order for Abolition of Business
- The Notifiers on the said list have been issued orders to abolish their SPBFI operation pursuant to the provisions of the FIEA, as they have been found to have conducted acts, etc. in violation of laws and/or regulations.
- As for the Notifiers to whom the competent authority issued order for abolition of business on or after February 29, 2024, some of the names of those Notifiers will be published both in the said list and “I. The List of Notifiers of SPBFI”
III. The List of Notifiers of SPBFI regarding which the location of the business office cannot be identified by the competent authority or with whom the competent authority cannot make contact.
- The Notifiers on the said list cannot be contacted by the competent authority, and the locations of their business offices or offices cannot be ascertained.
- The Notifiers on the said list are required to contact the competent Local Finance Bureau, etc. immediately.
- If no contact has been made with the competent authority, etc. even after 30 days have elapsed since the date of the announcement of the Notifier's name on the said list, the competent authority may, having performed the administrative procedures, such as legal hearings, etc., order the Notifier to abolish its SPBFI operation pursuant to the provisions of the FIEA.
- If the competent authority recognized a situation where the competent authority cannot make contact with the Notifiers on the said list and is unable to ascertain the locations of their business offices or offices on or after February 29, 2024, some of the names of those Notifiers may be published both on the said list and on “I. The List of Notifiers of SPBFI”
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