On 27 January 2023, the Financial Services Agency (FSA) issued a press release, informing about its proposing of draft amendments to the „Comprehensive Guidelines for Supervision of Financial Instruments Business Operators, etc.,“ and others for public consultation.
The proposal is mainly intended to provide amendments to the guidelines and others, in regard to books and documents related to the business of financial instruments business operators, etc., for which the obligation to prepare and preserve such books and documents is stipulated in laws and regulations, aimed at clarifying the points to be noted concerning the preservation of such books and documents offshore.
Public comments will be accepted until 5:00 p.m. (JST) on 28 February 2023.
You can submit your feedback online on the E-GOV public comment website.
Publication of the draft amendments to the „Comprehensive Guidelines for Supervision of Financial Instruments Business Operators, etc.“ and others for public consultation
ID
21614
Other Features
code of conduct
companies
compliance
due diligence
surveys
third countries
transparency
Date Published: 2023-01-27
Regulatory Framework: Financial Instruments and Exchange Act (FIEA)
Regulatory Type: consultation
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