Sales activities for an investment trust or a fund established by itself (Article 28(2)(i) of FIEA); Sales activities for a partnership-type fund (interests in a collective investment scheme) Services related to the so-called Deemed Type 2 Financial Instruments Business operated by c. Any person who has worked in the entity in a. above (as a senior officer) (i.e. where he/she is named as a senior officer or an important employee in the application documents) (ii) Application for either of the following types of business under the FIEA: a. Type 1 Financial Instrument Business (limited to cases where the counterparties are Professional Investors, and the securities handled are limited to certain securities including beneficiary certificates of foreign investment trusts and foreign investment securities) (Article 28(1) of FIEA); b. Investment Management Business (Article 28(4) of FIEA); c. Investment Advisory and Agency Business (Article 28(3) of FIEA); or d. Type 2 Financial Instruments Business relevant to asset management business in any of the following cases or managed by its group company with Professional Investors as counterparties (Article 28(2)(ii) of FIEA); or an asset management company of an investment corporation or an operator of Investment Management Business for Qualified Investors (Article 196(2) of the Act on Investment Trusts and Investment Corporations and Article 29-5(2) of FIEA) If a foreign financial business operator does not meet the eligibility requirements prescribed above, the LFB that has jurisdiction over the applicant's head office shall be the contact point for registration procedures. Even in this case, however, the Financial Market Entry Office still accepts pre-application consultations on legal interpretation (regulatory applicability assessment/screening) and on business scheme/model viability. Please also be advised that if you are a foreign business operator who wishes to register as an Investment Advisory and Agency Business without a business office in Japan, you need to contact the Kanto LFB. Prior to the preparation and submission of registration application documents, the applicant will receive prior consultation for confirmation of the business scheme, organizational structure, etc., compliance with laws and regulations and supervisory guidelines, and the content of the application documents, etc., in advance. Registration application Upon completion of confirmation of requirements in prior consultation, the applicant shall prepare and submit the application documents. The applicant is required to prepare and submit the registration application form along with various attachment documents corresponding to the relevant type of Financial Instruments Business. In cases where the eligibility requirements prescribed in (i) and (ii) above are met, the applicant may prepare and submit them in English. If not, application documents must be prepared in Japanese. For any document that cannot be prepared in Japanese due to special circumstances, the Japanese translation thereof should be attached (Article 2 of the Cabinet Office Order on Financial Instruments Business (“Business Order”)). Notification for Specially Permitted Businesses for Overseas Investors, etc. The FMEO serves as the contact point for the notification procedures of both Specially Permitted Businesses for Overseas Investors, etc. and Transitional Period Specially Permitted Business. For the notification procedures of Specially Permitted Businesses for Qualified Institutional Investors, etc., the Kanto Local Financial Bureau serves as the contact point for the applicants that do not have a place of business or office in Japan. In either case, notification (preparation and submission of notification form and attachments) can be made in English. 35
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