The other day, our administrative scrivener Masuno took the stage as a lecturer at the following seminar sponsored by the Tokyo Metropolitan Government.
[Seminar overview]
Contents: Tokyo independent start-up dojo “Aim for an independent asset management company”
Date and time: Sunday, July 2019, 7 from 28:10 AM to 4:XNUMX PM
Target audience: Employees of financial institutions who aim to open an asset management business in Tokyo (first-come, first-served basis)
Lecture content
On the day of the seminar, the title was "Licensing procedures related to asset management industry."
We have explained the basics of registration procedures for investment management and investment advisory businesses.
The participants of the seminar were as follows.
・Existing investment advisory firms aiming to change registration to investment management business
・Those who are aiming to register as a new investment management business or professional investment management business
・Those who are aiming to register as a new investment advisory/agent agency.
Everyone, please be aware of areas that are not clear in the Financial Instruments and Exchange Act, such as "requirements for organizations and people."
They showed strong interest in the honest talk about the ``unexpected pitfalls'' when applying for registration.
This is valuable information that is hard to hear!
After the lecture
It was a long Sunday seminar, but everyone listened intently.
I received a lot of inspiration from everyone's energy and enthusiasm.
We also received a great response from those who were unable to participate due to cancellations.
I realized that there were more people having trouble with the license acquisition procedure than I had imagined.
I would like to share with everyone as much as possible, such as the actual registration process and real practical stories.
We would like to actively hold lectures, in-house seminars, study sessions, etc.
If you are having trouble with the registration process for your financial products business, or if you are concerned about the direction of your business,
To our companyContact UsI would appreciate it if you could give it to me. (The first consultation is free)
Lecturer career (Masuno)
After graduating from Waseda University Faculty of Law, worked at Mizuho Bank and then joined Support Administrative Scrivener Corporation.
Familiar with the financial and real estate fields, including registration procedures for financial instruments trading businesses, fund formation,
We are currently expanding our specialized services nationwide, including support for building internal management systems, internal audits, and training support.
The number of internal regulations created each year is over 1,000.
I like reading "Comprehensive Supervisory Guidelines for Financial Instruments Business Operators, etc."
