Asset Managers & FinTech Companies Registration Guidebook
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*In the case where a foreign juridical person seeks to engage in Type 1 Financial Instruments Business, it is also necessary to be a person that engages in the same kind of business as Type 1 Financial Instruments Business in a foreign country in compliance with the laws and regulations of said country (including a case where the person holding all of its shares or the equity in investment engages in the same kind of business as Type 1 Financial Instruments Business). (Prepared based on page 61 of the FSA Guidebook(https://www.fsa.go.jp/en/policy/marketentry/guidebook/E01.pdf#page=61)) Appendix 1-1 Registration Requirements for Each Type of Financial Instruments Business 37

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