Legal advisory services

Updated: July 2025, 1

This is a service that provides legal support, including building a compliance system for business operations, to registered business operators who have already received investment advisory business registration, as well as changes to business procedures and submission of business reports to the local finance bureau.

Support content

□Support for building a compliance system

□Review of business procedures manual due to changes in remuneration system, advice method, etc.

□ Formulation of internal rules and compliance manual

□Legal checks on advertising regulations, complaint handling, etc.

We visit about once a month to conduct interviews and work to improve our compliance system.

Benefits of requesting

1: Registered businesses are subject to irregular inspections by the Financial Services Agency.
     Inspections are conducted suddenly without prior notice. At our companySupporting the establishment of a legal compliance system that can respond to sudden inspections by the Financial Services Agency
 

2: If you are a new business operator, you may be wondering how to build an internal management system.

     At our company, as a project for a certain period of time after receiving a consulting contract,Build an internal management system that matches the contractor's style in a planned mannerWe will continue to move forward.

3: If there is a change in business methods or officers, we will also handle notifications of changes to the Finance Bureau on your behalf.Reducing the workload of the person in chargeWe can help you.

Until registrationFlow of

 ①: Consultation → Estimate

For consultation (phone or face-to-face),Free as many times as you likeis. Please contact us by phone or via the inquiry form.

We will then ask you to visit our office (or have a web interview), and after confirming your current situation and requirements, we will provide you with advice.

During the interview, we will learn more about the client's current situation and desired support, and provide a quote at a reasonable price.

 ②: Application → Meeting

After your application, we will hold a meeting to establish the organizational structure and management system necessary for your application.

 ③: After preparing a summary etc., 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 fully support you in preparing for the interview.

 ④: Create a set of application forms. Seal/certificate acquisition, etc.

After the interview is complete, we will complete a final draft set and ask for your signature and seal.

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

Example of legal advisor contract schedule

For clients who have signed a legal advisory contract, we will plan the schedule below and proceed with building a legal compliance system.

In addition to providing information on revisions to the FIEA, we also submit notifications of changes to the Finance Bureau.