Laws & Regulations : FSA

Legislation

Trust Business Act Q&As (Available in Japanese)
Q&As relating to Restructured Loans
- Main document (HTML, WORD, PDF) (Available in Japanese)
List of examples regarding the interpretation of laws and regulations on securities business (Available in Japanese)

Comprehensive Guidelines for Supervision of Regional Financial Institutions
Main document (HTML format • PDF format (PDF:1,590KB)) Reference Materials and Forms (Available in Japanese)
Supervisory Guidelines for Small-Claims and Short-Term Insurance Businesses Operators
Main document (HTML format • PDF format (PDF:226KB)) Appendix: Forms (PDF:1,572KB) (Available in Japanese)
Comprehensive Guidelines for Supervision of Trust Companies, etc.
- Main document (HTML format • PDF format (PDF:554KB)) Appendix: Forms (PDF:1,352KB) (Available in Japanese)
Comprehensive Guidelines for Supervision of Money Lenders
- Main document (HTML format • PDF format (PDF:581KB)) Appendix: Forms (PDF:360KB) (Available in Japanese)
Comprehensive Guidelines for Supervision of Credit Guarantee Corporations
- Main document(HTML format • PDF format (PDF:327KB)) (Available in Japanese)
Guidelines for Administrative Processes
- Financial Companies (Available in Japanese)

Principal Items Identified in the Inspection of Financial Instruments Firms, etc. (Securities and Exchange Surveillance Commission website) (Available in Japanese)
Collection of Reference Cases related to Quality Management in Audit Identified in Inspections (Certified Public Accountants and Auditing Oversight Board website) (Available in Japanese)

Q&As on Protection of Personal Information in the Financial Field
- Main document (Available in Japanese (PDF: 240KB))
- Appendix Form 1 (Word) (Available in Japanese)
- Appendix Form 2 (Excel) (Available in Japanese)
Reference Cases on Suspicious Transactions (Japanese version)

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Regulated Institutions Page list Open: List of Institutions; Administrative Action; Statistics; For those engaging in High Speed Trading; To Operators of Specially Permitted Businesses for Qualified Institutional Investors, etc.; Asia Region Funds Passport (ARFP)
FSA Weekly Review & ACCESS FSA Page list Open: Back Number (2022); Back Number (2021); Back Number (2020)