The applicant is: Grounds for refusal of registration (in the case where the applicant is a corporation, Article 15 of the Financial Services Act) (1) A corporation that has previously been subject to rescission of a license or registration as a bank agent, insurance agent, or finance-related business, etc. or other administrative dispositions, and less than five years have passed since the date of such disposition; (2) A corporation that has previously committed a crime under finance-related laws such as the Banking Act, FIEA, etc. or the Penal Code and received a criminal sentence of at least a certain degree of severity, unless five years have passed since the day on which it finished serving the sentence or ceased to be subject to the sentence; (3) A person specified by Cabinet Office Order as a person for whom there are reasonable grounds to believe that the person is likely to commit a wrongful or dishonest act in relation to Financial Services Intermediary Business operations (i.e. a person who has previously been issued with a notice of possible revocation of a finance related license or permission and who were given a notice to cease business in the period between the notice and the revocation or decision not to revoke and less than five years have passed since the day that that they were given the notice to cease business;) (4) A corporation whose other business is found to be contrary to the public interest; (5) A corporation without sufficient capacity to appropriately conduct a Financial Services Intermediary Business; (6) In the case of conducting Electronic Financial Services Intermediary Business Operations, a corporation that has not developed a system to perform the Electronic Financial Services Intermediary Business Operations appropriately and reliably; (7) A corporation that is not a member of a certified financial services intermediary business association, etc., and which has not prepared internal rules equivalent to the articles of incorporation or other rules of such associations or which has not developed a system to comply with such internal rules; (8) A corporation whose officers include any of the following persons: a person who cannot appropriately conduct a Financial Services Intermediary Business due to a mental disability or other mental or physical disorder; a person who has become subject to an order to commence bankruptcy proceedings and has not been released from bankruptcy restrictions (including those subject to similar treatment under foreign laws); a person who has been sentenced to imprisonment without work or a heavier sentence (including any equivalent punishment under foreign laws or regulations) and for whom five years have not passed since the day on which that person finished serving the sentence or ceased to be subject to the sentence; or a person who has been subject to a dismissal order pursuant to the Financial Services Act or equivalent foreign laws and regulations within the past five years; (9) A corporation specified by Cabinet Office Order as a corporation that is likely to be hindered from conducting deposit, etc. intermediary business operations appropriately and reliably due to conducting other businesses (the main concurrent business being a business other than the lending of money, etc., and there is a risk of a conflict of interest with the interests of a financial institution which is a counterparty to the corporation's deposit, etc. intermediary business operations and those of a Financial Services Intermediary Business Operator); In the case of conducting insurance intermediary business operations, an insurance company, etc.; (10) In the case of securities, etc. intermediary business operations, a bank or insurance company, (11) etc.; or In the case of loan intermediary business operations, the person supervising operations in the (12) place of business where the loan intermediary business is conducted is an employee, and such 63
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