Article 63-9Notification of Specially Permitted Services for Foreign Investors

一the person's trade name or name;

二if the person is a corporation, the amount of stated capital or total amount of contributions;

三if the person is a corporation, the names of its officers;

四if the person has an employee specified by Cabinet Order, the name of that employee;

五the type of business (meaning the type of business related to the acts set forth in the items of paragraph (1) of the preceding Article);

六the name and location of the person's principal business office or office (if it is a foreign corporation, including the principal business office or office in Japan);

七the name and location of the business office or office for conducting specially permitted services for foreign investors, etc.;

八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;

九if the person engages in other business, the business type; and

十other particulars specified by Cabinet Office Order.

一if the person is a corporation, a document pledging that the person does not fall under paragraph (6), item (i) or (ii) (excluding (d)), the articles of incorporation (including anything equivalent to this), and the corporation's certificate of registered information (including equivalent to this);

二if the person is an individual, a document pledging that the person does not fall under paragraph (6), item (i) or (iii); and

三other documents specified by Cabinet Office Order.

一a person that falls under any of the following persons:

イa person that falls under any of Article 29-4, paragraph (1), item (i), (a) through (c);

ロa person falling under any of the following:

（１）a person found likely to cause specially permitted services for foreign investors, etc. to lose credibility, in light of the person's relationship with an organized crime group prescribed in Article 2, item (ii) of the Act on Prevention of Unjust Acts by Organized Crime Group Members or an organized crime group member prescribed in item (vi) of that Article, and other circumstances;

（２）any other person that falls under the criteria specified by Cabinet Office Order as a person that does not have a personnel structure sufficient to conduct specially permitted services for foreign investors, etc. in an appropriate manner; or

ハa person specified by Cabinet Office Order as a person that is found not to have in place the necessary system for performing specially permitted services for foreign investors, etc. in an appropriate manner;

二if the person is a corporation, a person that falls under any of the following persons:

イa person that falls under Article 29-4, paragraph (1), item (ii);

ロa person that does not have a business office or office in Japan;

ハa foreign corporation that has not designated a domestic representative;

ニa foreign corporation that has not been given the assurance referred to in Article 189, paragraph (2), item (i) by the foreign regulatory authority for financial instruments prescribed in paragraph (1) of that Article in a foreign country where its principal business office or office, or its business office or office for conducting specially permitted services for foreign investors, etc. is located;

ホa corporation that has a person falling under Article 29-4, paragraph (1), item (v), (d) 1. or 2. among its major shareholders that are individuals (meaning the major shareholders prescribed in paragraph (2) of that Article; if the corporation is a subsidiary company (meaning the subsidiary company prescribed in paragraph (4) of that Article) of a holding company, including the major shareholders of the holding company; the same applies in (f));

ヘa corporation that has a person falling under any of Article 29-4, paragraph (1), item (v), (e) 1. through 3. among its major shareholders that are corporations; or

トa person found not to have secured, for each of the specially permitted services for foreign investors, etc. subject to the notification, officers or employees who have sufficient knowledge and experience necessary for its execution; provided, however, that with regard to investment management-related services, in the case where the person making the notification entrusts those investment management-related services to an investment management-related services contractor (limited to a person that has obtained the registration referred to in Article 66-71 or the registration of a change referred to in Article 66-75, paragraph (4) for performing those investment management-related services), it is to be sufficient if the person has secured officers or employees with the ability to appropriately supervise that business;

三if the person is an individual, a person that falls under any of the following persons:

イa person that falls under Article 29-4, paragraph (1), item (iii), (b); or

ロan individual that has an address in a foreign country.

ハa person found not to have sufficient knowledge and experience necessary for the execution of each of the specially permitted services for foreign investors, etc. subject to the notification; provided, however, that with regard to investment management-related services, in the case where the person making the notification entrusts those investment management-related services to an investment management-related services contractor (limited to a person that has obtained the registration referred to in Article 66-71 or the registration of a change referred to in Article 66-75, paragraph (4) for performing those investment management-related services), it is to be sufficient if the person is one with the ability to appropriately supervise that business;