differ according to each type of business, namely, Type 1 and Type 2 Financial Instrument Business, Investment Management Business, Investment Management Business for Qualified Investors, and Investment Advisory and Agency Business, the outline of the registration requirements (for corporations) is provided in Appendix 1-1 below. (Comparisons of requirements for notification of Specially Permitted Businesses for Qualified Institutional Investors, etc., Transitional Period Specially Permitted Business and Specially Permitted Businesses for Overseas Investors, etc. are also included for reference (Appendix 1-2)). mainly in "Comprehensive Guidelines for Supervision of Financial Instruments Business Operators, etc. " There are no uniform standards in place for the specific level of personnel and systems required, and they will be determined on a case-by-case basis depending on the business model of each registration applicant. However, general requirements are provided in Appendix 2 below. The following requirements related to personnel structure and systems are provided for Specially Permitted Businesses for Overseas Investors, etc. and Transitional Period Specially Permitted Business. These requirements must be met in accordance with the size, etc. of the specially permitted business, in line with the standards for Specially Permitted Businesses for Qualified Institutional Investors, etc. As stated in Appendix 1-2, appropriate business operation must be secured for Specially Permitted Businesses for Qualified Institutional Investors, etc. depending on the size of a given Specially Permitted Business for Qualified Institutional Investors, etc. Registration Requirements for Each Financial Instruments Business b. Although the contents and standards of specific registration requirements for a Financial Instruments Business Requirements related to personnel structure and systems c. Details of the requirements related to personnel structure and systems are provided for each type of business 36
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