Financial Instruments and Exchange Act

A person seeking the registration referred to in the preceding Article must submit a written application for registration to the Prime Minister, in which it states the following particulars:

the person's trade name or name;

the amount of stated capital or the total amount of contributions, if it is a corporation (or if it is a foreign corporation seeking to engage in type-I financial instruments business or cryptoasset trading business, the amount of stated capital or the total amount of contributions and the amount of brought-in capital);

the names of its officers, if it is a corporation (including the domestic representative, if it is a foreign corporation; hereinafter the same applies in this Chapter (excluding Article 29-4, paragraph (1), item (v), (d)(3) and Section 5) through Chapter III-6);

if the person has an employee as specified by Cabinet Order, the name of that employee;

the business category (meaning which of the acts set forth in Article 28, paragraph (1), item (i), item (i)-2, item (ii), item (iii), (a) through (c), or item (iv), or which, among securities, etc. management, type-II financial instruments business, investment advisory and agency business, investment management business, the business pertaining to the act set forth in Article 28, paragraph (5), item (i), or cryptoasset, etc. management, is the business category for which the person seeks registration);

if the person seeks to engage in investment management business and, with regard to the investment management business it seeks to engage in, does not receive a deposit of money or securities from a customer and does not have a person specified by Cabinet Order as being closely related to itself deposit a customer's money or securities, an indication of this;

if the person provides an electronic offering service (meaning performing the act set forth in Article 2, paragraph (8), item (vii) or (viii) (excluding those specified by Cabinet Order) on a regular basis by means of using an electronic data processing system or by any other means using information and communications technology that Cabinet Office Order specifies; hereinafter the same applies in this Chapter) or an electronic public offering service (meaning performing the act set forth in item (ix) of that paragraph on a regular basis by means of using an electronic data processing system or by any other means using information and communications technology that Cabinet Office Order specifies; hereinafter the same applies in this Chapter) with regard to securities set forth in the items of Article 3 or securities not listed on a financial instruments exchange (excluding those specified by Cabinet Order), an indication of this;

the following particulars concerning high-speed trading:

if the person conducts high-speed trading as type-I financial instruments business, type-II financial instruments business, or investment management business (excluding the case prescribed in (b)), an indication of this;

if the person does not conduct type-I financial instruments business and investment management business, but conducts high-speed trading as type-II financial instruments business, an indication of this; and

beyond the cases provided for in (a) and (b), if the person conducts high-speed trading, an indication of this;

if the person conducts, on a regular basis, any of the following acts with regard to rights that are deemed to be securities pursuant to the provisions of Article 2, paragraph (2) (limited to those that are specified by Cabinet Office Order as particularly necessary in the public interest or for the protection of investors in consideration of the means of recording or transferring the rights or other circumstances) or derivatives transactions involving those rights or financial indexes (limited to prices and interest rates of those rights and numerical values calculated based on them), an indication of this:

the acts set forth in Article 2, paragraph (8), items (i) through (x) with regard to those rights or the acts set forth in items (i) through (v) of that paragraph with regard to those derivatives transactions; or

the acts set forth in Article 2, paragraph (8), item (xii), (xiv), or (xv);

if the person conducts, on a regular basis, any of the following acts with regard to derivatives transactions involving crypto-and other assets or financial indexes (limited to prices and interest rates of crypto-and other assets and numerical values calculated based on them), an indication of this:

the acts set forth in Article 2, paragraph (8), items (i) through (v); or

the acts set forth in Article 2, paragraph (8), item (xii), (xiv), or (xv);

if the person engages in the acts set forth in Article 2, paragraph (8), items (vii) through (ix) on a regular basis with regard to rights in a lending business, etc. (meaning, among the rights set forth in Article 2, paragraph (2), items (iii) through (vi), those for which the business subject to investment (meaning a business conducted using money or other property invested or contributed by the person holding the right; the same applies in Article 40-3-3) is a business that is principally the lending of money, and others specified by Cabinet Order; hereinafter the same applies in this Chapter), an indication of this;

in the case of conducting cryptoasset trading business, the following particulars:

the name of the cryptoassets handled (excluding those handled only in the act set forth in Article 2, paragraph (8), item (xxv));

in the case of receiving the provision of cryptoasset management-related services from a cryptoasset management-related service provider, a statement to that effect, the trade name, name or full name of the cryptoasset management-related service provider, the content of the cryptoasset management-related services to be provided, and other particulars specified by Cabinet Office Order;

the name and location of the head office and other business offices or offices (or if it is a foreign corporation, the head office, and the principal business office or office in Japan, or other business offices or offices in Japan);

if it entrusts investment management-related services, that fact, the trade name, name, or personal name of the entrustee and the content of the investment management-related services entrusted to that entrustee, and other particulars specified by Cabinet Office Order;

if the person engages in other business, the business type;

other particulars specified by Cabinet Office Order.

The following documents must accompany the written application for registration referred to in the preceding paragraph:

a document pledging that the applicant does not fall under any of the items of Article 29-4, paragraph (1) (other than item (i), (d) through (f), item (i)-2, item (iii), (a), item (iv), (d), item (v)-2, or item (vii) (limited to the part related to Article 66-53, item (vi), (c)));

a document stating the things specified by Cabinet Office Order as constituting the business outline and business methods, and any other documents specified by Cabinet Office Order; and

beyond what is set forth in the preceding two items, if the person is a corporation, its articles of incorporation, its certificate of registered information, and any other document specified by Cabinet Office Order.

As concerns the documents set forth in item (iii) of the preceding paragraph accompanying a written application for registration, if the articles of incorporation have been prepared as electronic or magnetic records, such electronic or magnetic records (limited to those specified by Cabinet Office Order) may accompany the written application in lieu of paper documents.

Calculation of brought-in capital is specified by Cabinet Order.

When an application has filed for the registration referred to in Article 29, unless the Prime Minister refuses the registration pursuant to the provisions of paragraph (1) of the following Article, the Prime Minister must register the following particulars in the financial instruments business operators' register:

the particulars set forth in the items of paragraph (1) of the preceding Article; and

the date of registration and the registration number.

The Prime Minister must make the financial instruments business operators register available for public inspection.