Updated: July 2026, 1

　
Our company is based in Tokyo, Nagoya, and Osaka and supports investment advisory and agency registration applications nationwide.

We provide a wide range of specialized financial services, including building internal systems during new registration, formulating internal regulations, supporting interviews with the local finance bureau, as well as supporting financial inspections after registration, implementing internal audits and in-house training, and distributing information on legal revisions. We fully support our customers' smooth business development.

☑ I don't know how to apply for registration
☑ I'm so busy with work that I can't get around to applying for registration.
☑ I don't know how to create business procedure manuals and contract documents
☑ Since we are a new entrant, we would like support not only during registration but also after registration.
☑ I have started without registration, but I would like to know if there is a solution.

Inquiries like the ones above are often asked during free consultations.

Investment advisory and agency registration application support

Support Administrative Scriveners Corporation provides support for the establishment of systems related to investment advisory and agency businesses and for considering registration.

The systems relating to financial instruments business are organized differently depending on the content of the business and the form of the business, and when proceeding with the review, it is important to first understand the overall structure and concept of the system.
On the other hand, the contents of the system are often expressed in abstract terms, and it is not uncommon for people to be unsure where to start looking.

Now[Limited time]So, we have compiled a document summarizing the system's approach to investment advisory and agency business and the points you should keep in mind when considering it.FreeWe offer it at.

Our support details

Flow of registration

New registration application

Consultation and Application

The first consultation is free.
Please contact us by phone or via the inquiry form.
After confirming the current situation, we will explain our application plan.

If you are satisfied with the price and service provided in the estimate, please submit your request.

Please discuss the payment timing and success fees with the person in charge.
After your application, we will hold a meeting to establish the organizational structure and management system necessary for your application.

After preparing a summary etc., have an interview at the Finance Bureau (or Finance Office).

We will prepare the necessary documents such as a summary sheet for the preliminary interview with the financial office and attend the interview.

We will also fully support you in preparing for your interview.

Create a set of application forms. Seal/certificate acquisition, etc.

After the interview is completed, we will check the draft, and once the final draft is completed, we will ask you to sign and affix your seal.

(According to your request, we will obtain the certificates necessary for your application on your behalf.)

Main application (receipt stamp) *Payment of registration and license tax of 15 yen

After the interview is complete, we will complete a final draft set and ask for your signature and seal. Please bring the completed application form with your seal to complete the application.
The Finance Bureau (or Finance Office) will affix a receipt stamp on a copy of the application form.

The standard processing period is two months unless there are any problems with corrections, etc.
*During this time, we will create a website and create ledgers after the start of work.

Registration completed/Registration notification issued *Business cannot begin yet.

A registration notification will be issued by the Finance Bureau (or Finance Office) and a registration number will be determined.

*From 2024, it will be issued online to the business operator's gbizID.

*You will be required to install signs etc. as a financial instruments business operator.

Deposit of business guarantee deposit

After making a deposit of 500 million yen at the competent legal affairs bureau,

Submit a deposit notification using the business's gbizID and submit the original deposit statement to the Finance Bureau (or Finance Office)

Responding to financial ADR system
→After completing the response, submit a change notification *Start of business

In response to the financial ADR system, we will carry out procedures to join the Japan Investment Advisers Association, etc.

Upon joining the Japan Investment Advisers Association,
There are steps such as document application, website review, and interview.
After clearing the screening, the membership process will be processed once a month with approval by the Board of Directors.
After completing the procedure for joining the association, submit a change notification to the authorities.

＼First, download the materials／

[Investment Advisory Agency] Limited-time materials

We are providing the latest information on the investment advisory business!

[Expert explains]
Latest Topics in the Investment Advisory Industry

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Advantages of requesting investment advice and agency registration from our company

1. We will prepare your application as soon as possible with quick response.

Our company specializes in speedy response.

By leaving it to an administrative scrivener who specializes in investment advisory business registration, you can prepare everything from building an organizational structure to preparing documents in the shortest possible time, allowing you to enter the business as quickly as possible.

2. Initial consultation is free

At our company, you can receive an initial consultation free of charge.

If you have any questions regarding investment advice or agency services, please feel free to contact us!

3. We support building a compliance system for business operations.

Business method manuals, documents issued before contract conclusion, documents issued at the time of contract conclusion, investment advisory agreements, etc. can be created in a format tailored to the company's actual situation, so you can appropriately build a compliance system for business operations after registration. can do.

Four. We support smooth business start-up after obtaining permission.

You can reduce complicated tasks such as going to the financial bureau and collecting certificates, etc., so you can spend more time creating a website after starting your business, building internal systems, and improving your sales system. , which can lead to a smooth start of business after registration.

Other related services introduction

Legal advisory services

・I want to change the work procedure manual because the compensation system has changed.
・I would like someone to handle change notifications on my behalf when there is a change in officers.
・I want to build a compliance system in preparation for inspection by the Financial Services Agency.
- Accounting documents are not sufficiently prepared 
・I want to create a compliance manual in preparation for complaints from customers.

For registered businesses that have already received investment advisory business registration, would you like to resolve the above concerns?

Our company provides legal support, including building a compliance system for business operations, as well as ``legal advisory services'' that act on your behalf to change business procedures and submit business reports to the financial bureau. Please use all means.

Financial specialist instructor dispatch service

・ I want to know about financial practices and compliance
・ We are looking for a lecturer for a lecture on financial inspection measures, etc.
・We would like you to cooperate with regular in-house training.
・ I would like to participate in a seminar on financial industry regulations, etc.
・I want to conduct basic financial knowledge training for new employees externally.

For financial-related companies, please use our financial specialist instructor dispatch service.

We dispatch expert instructors who are familiar with the financial field to in-house training sessions for financial companies, various financial seminars and lectures, etc.
We respond to the dispatch of instructors from a wide range of customers, including companies, various industry organizations, and schools.

＼First, download the materials／

[Investment Advisory Agency] Limited-time materials

Guests’ Feedback

Remuneration

*Our corporation is an administrative scrivener corporation and is not a government agency (government agency).

FAQ

What is the difference between doing the procedure myself and entrusting it to an administrative scrivener?

By entrusting the process to a certified administrative scrivener, you can prepare long-term, strategic documents and obtain licenses with an eye toward the work that will take place after your financial instruments business registration.

Of course, it is possible to complete the procedures on your own, but you may end up having trouble later on if the business method manual or company regulations are out of sync with the actual work you want to do.

Additionally, before applying, you will need to prepare over 30 types of documents, including application forms and internal regulations.
Some documents are voluminous, 30 to 40 pages long, so if you are going through the process yourself, you may have a hard time creating the documents.

Depending on the accuracy of the documents, the review may not progress smoothly, and in some cases authorities may implicitly urge applicants to seek the opinion of an expert, which may result in it taking even longer to obtain a license.

Should I ask a lawyer or an administrative scrivener to handle the new registration procedure?

Rather than choosing between "lawyer or administrative scrivener," we recommend that you carefully select a contractor that has a proven track record of registration, knowledge, and know-how in the field of financial services that your company is aiming to acquire.

There are many professional and consulting firms in Japan, but especially in highly specialized fields such as the "financial instruments trading industry," there are only a handful of truly experienced professionals.

　``I requested this service because I heard that it had a proven track record, but I had no experience in registering new users.''
　"Even though I have experience in investment advice, this was my first time in Type 2."

Many people come to us for advice because of the above-mentioned mismatch between the work they want to do and the contractor, which makes the procedures long, complicated, and difficult.

Also, many people mistakenly think that "lawyer = almighty."

Lawyers are legal experts who are active in areas such as legal interpretation of the gold business registration process, but they are not necessarily familiar with administrative procedures.

In fact, when obtaining a license, you can obtain it quickly and smoothly by following the rules and procedures of the competent finance bureau and official in charge and carrying out application procedures that take into account financial business practices and important administrative points.

You should choose a contractor that is familiar with the content of the financial instruments trading business you want to carry out (practice, case studies, etc.) and has a track record, knowledge, and know-how of the administrative procedures.

Also, since this is a relatively time-consuming procedure, be sure to carefully assess the tempo (speed) and the compatibility between the people involved.

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