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Information on Specially Permitted Businesses for Qualified Institutional Investors, etc.

Important Notice Regarding Regulatory Revisions

Japanese
 

 On May 27, 2015, a law to revise some of the provisions of the Financial Instruments and Exchange Act ("FIEA") related to operators ("specially permitted operators") of Specially Permitted Businesses for Qualified Institutional Investors, etc. ("specially permitted businesses") ("Revised FIEA of 2015") was passed. The law was promulgated on June 3 of the same year. This will also apply to operators of businesses stipulated in Article 48(1) of the Supplementary Provisions of the Act to Partially Amend the Securities and Exchange Act (Act No. 65 of 2006) ("specially permitted investment management business operators").
 

 The Revised FIEA of 2015 is stipulated to take effect within one year from the date it was promulgated (i.e. June 3, 2015).

 Information on the dates on which the revised law, etc. take effect and guidance on the documents required to be submitted due to transitional measures, etc. will be posted on this website. Please make sure you address the requirements under the upcoming changes without fail. We recommend checking out this website periodically - be especially alert for updates that are likely in the early part of each month.


 Important Notice Regarding Regulatory RevisionsNovember 20, 2015)(PDF
Laws related to Specially Permitted Business Operators and Specially Permitted Investment Management Business Operators for Qualified Institutional Investors, etc. have been revised, making it necessary for these providers to make additional submissions. 

 

Update (February 3, 2016)

 It has been decided by the Cabinet that the Enforcement Date of the Revised FIEA of 2015 shall be March 1, 2016.
Detailed guidance regarding the revised laws and regulations in English will be posted on this site when it becomes available.
 

Update (May 2, 2016)

 (1)English version of the guidance and new (additional) notification forms of Specially Permitted Businesses for Qualified Institutional Investors, etc. under Revised FIEA of 2015 will be posted on this site shortly. We thank you for your patience.

(2)For your reference, English version of the guidance and new (additional) notification forms under Revised FIEA of 2015 (Forms and Entry samples are same as Kanto Local Finance Bureau version) are currently posted on Financial Services Agency’s website. Please check FSA’s site from the link below.
http://www.fsa.go.jp/en/news/2016/20160203-1.html

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本ページに関するお問い合わせ先

Kanto Local Finance Bureau
Tel: +81-(0)48-614-0044
3rd Securities Business Surveillance Section