Investment management business registration
Updated: July 2026, 1
We can respond to inquiries regarding the investment management industry!
☑ Up until now, we have been dealing with special operations for qualified institutions, etc., but we would like to properly register as an investment management business and develop it.
☑ I have been communicating with the Finance Bureau myself, but am at a loss as I am being asked to create a large number of regulations.
☑ I have already registered as an investment advisory/agency business, but I would like to step up to the investment management business in the future.
☑ Although I have already registered as an investment management business, I have decided to perform approval work as a side job.
Investment management business registration application support
Support Administrative Scriveners Corporation provides support for the establishment of systems related to the investment management industry and consideration of 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 thinking regarding the investment management industry and the points that you should keep in mind when considering it.FreeWe offer it at.
table of contents
- 1 Support content
- 2 Flow of registration
- 3 Advantages of requesting investment management business registration from us
- 4 Client's voice
- 5 Frequently asked questions regarding investment management industry
- 6 Providing the latest information on the investment management industry!
- 7 Please leave it to us! ~Message from the staff in charge~
- 8 Remuneration
- 9 Nationwide Support
Support content
□Investment management business registration application｜Represents applications to each financial bureau
□Legal advisory services｜Legal support for business operations
□Submission of various change notifications|
Submit notifications of changes to company name, officers, etc. on your behalf
□Changes to business procedures｜ Submit notification of changes to business procedures on your behalf
□Contract document creation｜Supporting contract document creation
□Creation of membership terms, personal information protection regulations, etc.|
Supporting the creation of membership terms and conditions related to investment advisory contracts
□Homepage and system construction support|
Website launch and system introduction support
□Creation of in-house training materials|
Supporting the creation of materials for in-house training at financial institutions
□Dispatch of instructors for in-house training sessions|
Dispatch specialized instructors who are familiar with the financial field
Flow of registration
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.
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.
Main application (receipt stamp) *Payment of registration and license tax
After the interview is complete, we will complete a final draft set and ask for your signature and seal.
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 *Cannot start business yet
You will receive a notification from the Finance Bureau (or Finance Office) that your registration is complete. A registration number will be determined.
Responding to financial ADR system
In response to the financial ADR system, we will carry out procedures to join the Japan Investment Advisers Association, etc.
Submit change notification *Start of business
After completing the procedure for joining the association, submit a change notification to the authorities.
＼First, download the materials／
[Investment management business] Limited time materials
Advantages of requesting investment management business registration from us
1. We will respond quickly and prepare your application as soon as possible.
Our company specializes in speedy response.
By leaving it to an administrative scrivener who specializes in investment management 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. Consultations are always free of charge.
At our company, you can receive a free consultation.
If you make a reservation in advance even outside business hours,Consultations available at night and on weekends and holidays.
If you have any trouble with investment management business registration, please feel free to contact us!
3. We support the establishment of 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 will support the smooth start of business after obtaining permission.
Since you can reduce complicated tasks such as the time to go to the financial bureau and the trouble of collecting certificates, you can spend that time building internal systems and improving your sales structure, allowing for smooth business operations after registration. You can get started.
By reducing complicated tasks, customers can spend more time creating websites and improving their sales structure after starting their business, leading to a smooth start of their business.
Client's voice
Frequently asked questions regarding investment management industry
What are the regulations for concurrent employment in the investment management industry?
Also, are there any concurrent business regulations regarding type 2 financial instruments business and investment advisory/agency business?
Regarding restrictions on concurrent employment in the investment management industry, seeRegulations on concurrent businesses for investment managersPlease look at.
With regard to the regulations regarding concurrent business in the Type 2 Financial Instruments Business and Investment Advisory/Agency Business, there are basically no restrictions on the range of businesses that can be undertaken concurrently, so you can undertake a wide range of businesses.
However, please be aware that there may be some regulations imposed by laws other than the Financial Instruments and Exchange Act, such as laws related to other businesses you are engaged in concurrently.
In addition, operations that violate the public interest or public order and morals, or operations that make it difficult to continue the original business of financial instruments trading, are issues that predate the regulation of concurrent employment.
Providing the latest information on the investment management industry!
[Expert explains]
Latest Topics in the Investment Management Industry
＼First, download the materials／
[Investment management business] Limited time materials
Please leave it to us! ~Message from the staff in charge~
Remuneration
Compensation for registering as an investment management business varies greatly depending on the client's individual circumstances.
We will provide you with a quote after consulting with you, so please contact us first by email or phone.
*Our corporation is an administrative scrivener corporation and is not a government agency (government agency).
Nationwide Support
![[Investment Management Industry] Explanatory Materials | Download Form](https://www.shigyo.co.jp/cms/wp-content/uploads/2026/01/image-10-1024x768.png "[Investment Management Industry] Explanatory Materials | Download Form")
