Reason for refusal of registration

There are several requirements to be registered as a financial instruments business.

This time, we will talk about "things that do not fall under the grounds for refusal of registration."

In the financial instruments business, each industry (type 2, investment advisory/agency business, etc.)

Reasons for refusal of registration are specified for each.

(Persons for whom five years have not passed since the date of cancellation of registration,

A person who does not have sufficient human resources to properly conduct a financial instruments transaction business, etc.)

If there is any item that corresponds to one of the reasons for registration refusal,

Unable to receive registration.

In addition, businesses/individuals who have already been registered may

If you later fall under the reasons for refusal of registration,

Your registration will be cancelled.

Even though I spent a lot of time and money getting registered,

To avoid cancellation of registration or suspension of business later,

You must maintain the status at the time of registration.