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新宿オフィス 新宿駅

秋葉原オフィス 秋葉原駅

名古屋オフィス 名駅

大阪オフィス 西梅田駅

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トップページ > Qualified Institutional Investors
ファンドとは

Usually when a fund makes investment to securities and derivative transactions, licences for both Type II financial instruments business and investment management business are obligatory.
On the other hand, obtaining licences for such operations are very challenging and time-consuming.
There are only about 200 companies that have successfully registered for investment management business and most of them run trust investment or manage an investment corporation.

Prior to commencement of the Financial Instruments and Exchange Act, there was no specific regulation as to solicitation of funds and self-management.
Therefore, a scope for qualified institutional investors was newly introduced by the Act so that existing professional investors can continue fund business without the licences.

An operation for qualified institutional investors involves a private fund run and invested by professionals.
To be precise, ‘professionals’ means investment corporations, institutions or organization.
And fund is ‘private’ where it comprises of less than 49 general investors.


■How an operation for qualified innstitutional investors Works




■Who are the qualified institutional investors?


1.   Financial Instruments Business Operators(the Category is limited only to
    Type I Financial Instruments business licence holders and Business
    Management business licence holders)
2.   Investment corporations
3.   Foreign investment corporations
4.   Banks
5.   Insurance companies
6.   Foreign insurance companies
7.   Credit associations, the federations of credit associations. labour banks,
    the federation of labour banks
8.   The Central Union of Agricultural Co-operatives, Shoko Chukin Bank
9.   Credit cooperatives, the federation of credit cooperatives, federations of
    agricultural cooperatives, federations of fishery cooperatives
10.  Institutions which manage and operate Fiscal Loan Fund
11.  Government Pension Investment Fund/The Pension Welfare Service
    Public Corporation
12.   Japan Bank For International Cooperation
13.   Development Bank of Japan Inc.
14.   Agricultural cooperatives, fishery cooperatives
15.   Institutions listed in Article 1, section 1 paragraph 9 of Cabinet Office
     Ordinance
16.   Corporations whose articles of association incorporate an operation of
     qualified institutional investment and whose capital is 500 million yen or
    more, and has filed with the Commissioner of the Financial Services
     Agency
17.   Investment Limited Partnership
18.   Authorized pension fund association
19.   Institutions authorized by Act on Special Measures concerning Urban
     Reconstruction
20.   Trust companies authorized by Trust Business Act
21.   Foreign trust companies authorized by Trust Business Act
22.   Corporations owning securities worth in total of 1 billion yen or more
      which have filed with the Commissioner of the Financial Services
     Agency
23.   Managing partnership members who have filed with the Commissioner
     of the Financial Services Agency as partnership, owning securities
     worth in total of 1 billion yen or more in relation to investment in
     accordance with a partnership agreement, Tokumei Kumiai(TK)
     agreement or limited liability partnership agreement and have
     obtained consent from all relevant members about the filing
24.   Individuals owning securities worth in total of 1 billion yen or more who
     have filed with the Commissioner of the Financial Services Agency,
     and 1 year or more has passed since opening an account with a
     Financial Instruments Dealer for the purpose of trading securities
25.    Entities conducting the following businesses in accordance with
     foreign laws and with certain capital: (i) First Class Financial
     Instruments Business (those related to Securities Related Businesses
     defined by the FIEL), (ii) Investment Management, under the FIEL (iii)
     banking business, (iv) insurance business and (v) trust business
     (excluding managed trust business)
26.    Foreign governments, foreign governmental organizations, foreign
     local governments, foreign central banks and international
      organizations to which Japan is a member which have filed with the
     Commissioner of the Financial Services Agency


■Starting an Operation for Qualified Institutional Investors

1. Trade name(corporate body) or name(individual)
2. Stated capital
3. Names of directors
4. Names of compliance officers
5. Names of managing directors
6. Categories of business operations
7. Address of the company
8. Other business operations(if any)
9. items listed in article 238 of the Financial Instruments and Exchange Act.


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