[Newsletter] Policy Research Institute: "Amendments of Cabinet Office Order on Financial Instruments Business, etc. for the improvement of Concurrent Engagement in an Investment Advisory Business"

Amendments of Cabinet Office Order on Financial Instruments Business, etc. for the improvement of Concurrent Engagement in an Investment Advisory Business

The Amendments of Cabinet Office Order on Financial Instruments Business, etc. for the improvement of concurrent engagement in an investment advisory business was promulgated on August 1, 2023¹, and will come into force on August 15, 2023; this newsletter outlines the amendment.

1.        Registration and Notification for Investment Advisory Business (投資助言業)

In order to conduct a thorough eligibility review of important personnel, the registration application for an investment advisory business required the inclusion of the names of individuals who make investment decisions based on the analysis of financial products (analysts, etc.), and any changes of such individuals must be promptly notified to Financial Services Agency, Japan (JFSA).

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