SOLUTIONS

FOR

INVESTMENT FUND / FINANCIAL SERVICES

JAPAN'S

COMPLIANCE FRAMEWORK

Cultivating Japanese investor capital base requires satisfying the local rules/standards and executing investor relations within the local framework.

Japan's Financial Services Agency (FSA) overhauled its securities rules as the Financial Instruments and Exchange Act (FIEA) in 2007 which consolidated the Securities Exchange Act of 1948 and other related laws.

This reform created the most comprehensive coverage of investment asset classes and enhanced the integrity and efficiency of the country's financial market.

The March 2016 revision of FIEA expanded requirements for exempt institutional fund businesses including broader documentation, information disclosure, and a registered Japan-based contact person or agent.

The information on this website is provided solely for informational purpose and does not constitute legal advice.

EXEMPT OPTIONS

What are your options for entering Japan?

Japan's FIEA offers exempt options to operate as non-registered businesses called Specially Permitted Operators (SPO).

This rule is particularly useful for foreign investment fund firms such as Private Equity, Private Debt, Real Estate, Hedge Fund, and other alternative fund managers.

Two types of SPOs are:

Specially Permitted Business Operators for Qualified Institutional Investors (SPBQII)

Specially Permitted Investment Management Business Operators for Qualified Institutional Investors

Skylands provides agency services to assist your document preparation, filing, reporting, and ongoing IR communications as a registered agent.

SKYLANDS

SOLUTIONS

Customers value Skylands Global not only for our advice but also because we implement it to achieve your objectives.

Companies in general have legal/compliance officers and retain external counsels for legal advice. What they wish beyond is ready access to specialist resources to get the plan executed. This is especially true when targeting a country as far and foreign as Japan.

Deploy Skylands Global as your professional team to:

conduct market research
register a business in Japan
prepare/file documents for a license/permit
identify/manage distribution channel partners
target new customer base
prospect/manage capital providers
support investors relations
arrange financial media
communicate with the supervisory authority
file compliance reports
support the overseas headquarters and investment team

Your organizational needs can define Skylands’ responsibilities. Our services will boost your local expertise, shorten your time to market, and maximize your return on investment in your local operations.