Funds Transfer, Investment Adviser, Agent, and Management
Our firm provides comprehensive support for financial services providers in Japan, assisting with a wide range of necessary procedures. This support extends from initial registration through to various post-registration modifications, business reporting, creation of internal policies, conducting in-house training, internal audit support, and guidance on advertising regulations, covering practical operational methods within Japan.
Furthermore, we tailor and adjust optimal operational manuals and internal policies according to the specific realities of our clients. By establishing a compliance structure ahead of time that adheres to Japanese legal regulations, we can minimize operational stress in Japan.
In the realm of financial licensing in Japan, local rules vary by region. Our firm boasts a proven track record of handling cases nationwide, accumulating a wealth of case studies. Leveraging our expertise in the requirements and procedural rules specific to each region, jurisdiction, and official, we offer prompt pre-application preparation, regulatory coordination, and application support.
Licenses We Support
- Comprehensive management of financial licenses
- Special exceptions for qualified institutional investors
- Type I financial instruments business
- Type II financial instruments business
- Investment management business
- Investment advice and agency services
- Funds transfer service
- Issuance of prepaid payment instruments
- Payment processing services
- Cryptocurrency exchange services (Virtual currency)
- Money lending business
- Financial services intermediation
- Credit purchase brokerage
- Business involving agreements for handling credit card numbers, etc.
Examples of Our Support Services
- Advice on necessary internal systems for registration applications
- Creation and arrangement of executive summaries, registration applications, operational manuals, and internal policies
- Mock interviews for meetings with the Financial Services Agency, including sharing of past interview questions
- Accompaniment to meetings with officials from the Financial Services Agency
- Creation of documents to be provided before contract conclusion, at the time of contract conclusion, and contract documents
- Proxy acquisition of various certificates
- Applications to the Financial Services Agency
- Post-application amendments
- Association membership procedures
- Notification of changes after joining an association
- Post-registration startup support, including compliance with various regulations
Comprehensive management of financial licenses
In Japan, obtaining financial licenses, primarily for financial instruments businesses, involves distinct characteristics:
- Unannounced financial inspections may occur after license acquisition.
- A wide range of organizational structures, legal documents, statutory books, and internal regulations are required post-license acquisition.
- Multiple notifications are necessary after obtaining a license, including changes to the articles of incorporation, changes in parent companies, and modifications to operational manuals.
- Frequent amendments to the Financial Instruments and Exchange Act and related laws necessitate periodic reviews and adjustments of internal management systems.
While financial licenses in Japan can open up business opportunities, the results of financial inspections can lead to severe administrative actions, potentially impacting the overall credibility of a company adversely.
Furthermore, the post-license period demands attention to numerous specific filings and regulatory compliance unique to the financial sector, making it susceptible to procedural oversights and non-compliance issues.
Our firm offers a comprehensive service that manages the deadlines and information related to your financial licenses, and handles all associated procedures on your behalf, simplifying the complex regulatory landscape.