Please refer to the FSA Guidebook for details of registration screening procedures and registration application Registration is not required if a foreign securities company meets any of the following conditions: (1) When a foreign securities company solicits financial institutions that are registered Financial Instruments Business Operators engaged in securities-related business in Japan (Article 58-2 proviso of FIEA), (2) When a foreign securities company solicits, from overseas, financial institutions such as banks, insurance companies and Investment Management Business Operators, with regard to their investment activities or investment management services (Article 17-3(i) of the Order for Enforcement of the Financial Instruments and Exchange Act ("Enforcement Order of FIEA")), or (3) When a foreign securities company conducts sales from overseas to Japanese investors by way of agency or intermediation by a securities company which is a Type 1 Financial Instruments Business Operator engaged in securities-related business, without conducting solicitation by itself (Article 17-3(ii)(b) of the Enforcement Order of FIEA) An example is a case in which a foreign financial institution conducting securities-related business, investment management business or investment advisory business overseas is to establish a representative office or other facility in Japan to collect and provide information on Japanese securities markets. In this case, registration as a Financial Instruments Business is not required, but prior notification to the FSA is required (Article 62 of FIEA). documents. Please be advised that the contact point for the registration differs depending on whether the procedure for registration is handled in English or Japanese. (Prepared based on Page 46 of the FSA Guidebook （https://www.fsa.go.jp/en/policy/marketentry/guidebook/E01.pdf#page=46）) e. Establishment of a foreign business operator’s representative office for collecting information in Japan (3) Registration Procedures a. Overview of registration screening procedures and registration application documents 32
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