Registered as a Type 1 Financial Instruments Business
Updated: July 2026, 1
■ Type 1 Financial Instruments Business
Registration as a Type 1 Financial Instruments Business is required when engaging in buying and selling, intermediation of buying and selling, selling, offering, handling and underwriting of selling, etc. of "highly liquid securities" such as stocks, bonds, investment trusts, etc. is.
This license is usually obtained by "securities companies" and "FX companies".
In addition, relatively new businesses such as "cryptocurrency-related derivative transactions" and "buying and selling tokenized securities representation rights and electronic record transfer rights" also require registration as a Type I Financial Instruments Business.
Of the 1,949 financial instruments business operators nationwide, 293 are registered as Type 7 financial instruments business operators (as of the end of January 6).
Due to the high registration requirements and maintenance hurdles, the number of registered Type I Financial Instruments Business Operators is limited. However, the operations and schemes covered by Type I Financial Instruments Business Operators, such as security token-related businesses, are rapidly evolving and the scope of their use is expanding.
■ Type 1 Financial Instruments Business and Type 2 Financial Instruments Business
In the first place, Type 1 Financial Instruments Business is one type of "Financial Instruments Business."
"Financial instruments business" is divided into the following four types.
Since the target business content of each is different, you will need to obtain the required type of registration depending on the business content you will be performing.
① Type 1 Financial Instruments Business
② Type II financial instruments business
③ Investment management business
④ Investment advisory and agency business
Of the above, the situations in which they are used are similar: ① Type 1 Financial Instruments Business and ② Type 2 Financial Instruments Business.
Both are "players that appear in situations involving the sale and solicitation of securities," but basically, they can be broadly divided into the following categories:
〇Stocks, bonds, etc. "Highly liquid securities (Type 1 securities)" When dealing with
⇒⇒⇒ First classFinancial instruments business
Collective investment scheme interests, etc. "Low liquidity deemed securities (category 2 securities)" When dealing with
⇒⇒⇒ Type XNUMXFinancial instruments business
However, if you are underwriting even "deemed securities with low liquidity (paragraph 2 securities)," you must be careful because they fall under Type XNUMX Financial Instruments Business.
"Electronic Record Transfer Rights" are tokenized versions of so-called "Section 2 Securities" such as collective investment scheme interests, but are treated as Section 1 Securities. If you wish to buy or sell electronic record transfer rights, you will need to be registered as a Type XNUMX Financial Instruments Business.For details, please see ST Operations.
In addition, with regard to the acts listed in Article 2, Paragraph 8, Items 1 to 10 of the FIEA, when receiving deposits of money, etc. from customers, it falls under securities management business and is classified as a type 2 financial instruments transaction business. Registration is required. (Article 8, Paragraph 16, Item XNUMX of the FIEA)
Benefits of requesting
A.A well-rounded team of experienced, specialized staffSupport in
Our company provides various procedures and administrative support to financial instruments business operators nationwide,
We provide practical support such as internal audits, training, consulting, and business start-ups.Overwhelming track recordin XNUMX minutes by bus from Yonago Station.
Our specialized staff with specialized experience and know-howTeam structure with multiple peopleでFast Response international success.
We will support your business by mobilizing past cases, know-how, and knowledge, and responding to the characteristics of your business and the key points of the government.
2. It's not just about getting a license. We provide support for post-registration practical work and business development.
Optimization of post-registration practices-Flexible business developmentWe will assist you in obtaining registration with the content possible.
Even if the license is the same, the internal management system and regulations in place will have a significant impact on future business.
In addition, many financial instruments traders are planning to expand into various other businesses in addition to gold trading.
Our company specializes not only in financial services, but also in other areas that financial services companies can easily expand into (real estate, money lending, fund settlement, etc.).
Regulations and business fields beyond the Financial Instruments and Exchange ActCross-sectional knowledge and know-howWe will support your business by utilizing the above.
The first consultation is free.
