[Suggestion]For gold merchants who are having trouble with insufficient requirements
Updated: July 2026, 1
Recently, from a financial instruments business operator who has already registered,
We are increasingly receiving the following inquiries.
[Frequently asked questions]
✓ From the authoritiesPointed out that the organizational structure is inadequateI am having trouble dealing with it...
✓ Not required when receiving registrationOrganization/human compositionabout,
suddenly from the authoritiesIt is viewed as a problem and an explanation is required.･ ･ ･ ･
✓ Where a notification of change of person in charge has been submitted,insufficient experienceI got the reply...
Many of the financial instruments business operators we receive inquiries from are
"Why all of a sudden? Why was it just us? Nothing was said to me until now," he wondered.
Dealing with unfamiliar authorities/improving abstract registration requirementsI'm in a situation where I'm having a hard time.
After registration, you must continue to meet the requirements
Depending on the type of business for which financial instruments business operators are registered,
Need to meet "registration requirements" such as organizational/human composition and capitalin XNUMX minutes by bus from Yonago Station.
When receiving registration (new/changed registration), the status of the requirements will be checked, and
Even after registration, you must continue to meet the requirements as long as you are a gold merchant.in XNUMX minutes by bus from Yonago Station.
Furthermore, if the requirements change after registration due to legal revisions, etc.
after changeNeed to adapt to new requirementsin XNUMX minutes by bus from Yonago Station.
(In practice, transitional measures are often established to adapt to new requirements.)
Because of these rules, a gold merchant should (or should) meet the registration requirements.
In reality, when I received the registration, I met the requirements properly, but
In response to the subsequent retirements of key personnel, etc.“Financial merchants whose requirements are inadequate”Exists.
The authorities (Treasury Bureau/Treasury Office) will issue a warning to gold merchants who do not meet these requirements.
Deficiency pointed out,Request for correction (e.g. request for written or verbal explanation)may be done.
In particular, in the timing of business reports and change notifications, deficiencies in requirements, etc. are discovered and viewed as problems,
It seems that there are many cases where the authorities are required to take some kind of response.
Be especially careful if you are a “deemed registered business operator”!
Particular attention should be paid to "deemed registered business operators."
The Financial Instruments and Exchange Act came into effect on September 19, 9.
At that time, certain businesses that had been conducting business subject to regulations under the FIEA since before the enforcement date,
As a deemed registered business operator (*), we were able to receive gold commercial registration simply by submitting a registration application.
(※)Financial Services Agency"Financial Instruments Business Operator Registration List”, and the gold merchant whose registration date is “September 19, 9” is
Basically, it falls under "deemed registered business".
Deemed registered businesses that were able to register without checking detailed requirementsInside
There are cases where requirements are not understood in the first place, or requirements are left incomplete.
Such gold merchants are being approached by the authorities to point out deficiencies in requirements and request corrections.
In addition, the reason behind the occurrence of "gold merchants with insufficient requirements" is that gold trade registrations do not have an expiration date.
Once you are registered, you will not have the opportunity to undergo mandatory requirements confirmation again.The system also has an influence.
If you look at other licenses, they usually have an expiration date of 3 years/5 years, etc.
If you wish to continue your business after the expiry date, you will need to complete a renewal procedure.
At that time, the regulatory authority often confirms the status of requirements development, etc.
If you are unfamiliar with dealing with authorities, please consult with a support administrative scrivener corporation.
At our company, we have a team of financial specialists who are familiar with licenses for financial instruments trading.
We provide support for establishing requirements and management systems for gold merchants, as well as support for responding to authorities.
In particular, we offer the following to gold merchants who are (or may be) unrequired:
[Service overview]
✓ Check the status of registration requirements by industry
(Example: Diagnosis of the development status of human resources & advice for improvement, etc.)
✓ Consulting for registration requirements and necessary management system development
(Example: Checking the background of hiring candidates, creating internal regulations and manuals, planning and implementing requirements, etc.)
✓ Support in response to indications and requests from authorities
(Example: report creation, notification support, internal audit support (reports can be submitted to authorities), accompanying interviews with authorities, etc.)
▼ Recommended for gold merchants who fall under the following categories:
✓ Gold merchants who have already been cited by the authorities
✓ Financial traders who are not confident/concerned about the status of registration requirements
✓ Financial merchants who are planning to start new business or change notifications (= it would be especially troublesome if deficiencies were pointed out now), etc.
Based on the problems your company is currently facing, the points raised by the authorities, the details of the requests, etc.
We will provide appropriate advice and support on the necessary measures until the cause of concern is resolved.
*If there is a lack of compliance, please contact our company.“External advisor for compliance operations”Suggestions for
If there are any deficiencies in internal auditing, our company“Internal audit support for gold merchants”We also offer suggestions.
| I underestimated the authorities' response and only gave answers that sounded good. I have seen many cases where people faced great hardship later on. If you are a financial merchant who has already been pointed out or requested by the authorities and needs to take action, please Before responding to authoritiesPlease feel free to contact us. |
Reasons for choosing Support Administrative Scrivener Corporation
① A complete team system with experienced professional staff!
We provide various procedures and administrative support for financial instruments business operators nationwide, as well as
We have an overwhelming track record of providing practical support such as internal audits, training, advisory services, and business startups.
Professional staff with specialized experience and know-how will support you in a multi-person team structure.
By mobilizing past cases, know-how, and specialized knowledge, we respond by understanding the characteristics of the business and the important points of administration.
We will fully support the effective use of your company's gold commercial licenses.
② Available nationwide. Respond based on regional rules for each jurisdiction (region)!
With bases in Tokyo, Nagoya, and Osaka, we have supported gold merchants throughout the country for many years.
We are also familiar with local rules by region.
If necessary, we will act as the administrative point of contact and respond based on regional rules.
We will accompany you to interviews with authorities and carefully follow up on measures to respond to the authorities' findings and requests.
Please also use it as a point of contact for inquiries about financial transactions that are difficult to ask of the government.
