The registration for carrying out financial instruments business is provided for in Article 29 of the Financial Instruments and Exchange Act1.
Notes
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Financial Instruments and Exchange Act, Article 29. ↩
Financial instruments business operator
- Japanese
- 金融商品取引業者
- Last reviewed
- October 3, 2026
This is a draft, shown for review before publication.
A financial instruments business operator is a person that has registered under the Financial Instruments and Exchange Act to carry out financial instruments business. For derivatives transactions, a person that conducts OTC derivatives transactions as a business registers for Type I financial instruments business.
Related terms
Explained in detail
Pages that use this term
- Exchange-Traded vs OTC Derivatives
- Cleared vs Bilateral Trades
- Interest Rate Futures
- TIBOR
- ISDA SIMM: The Standard Model for Initial Margin
- Funding Variation and Initial Margin
- Handling Margin Calls
- Operational Risk in Derivatives
- The Client Business Flow
- KYC and Credit Review
- Product Explanations and Pre-Contract Disclosures
- Suitability Checks
- Trade Execution
- Trade Confirmations
- Trade Capture and Approval
- Lifecycle Event Processing
- Collateral Operations
- Regulatory Reporting
- Accounting Operations
- Front-to-Back System Architecture
- Intragroup Back-to-Back Trades
- Taxation of Derivative Gains and Losses
- The Credit Support Annex (CSA)
- Close-Out Netting
- Japan's Close-Out Netting Act
- Trade Repositories
- Electronic Trading Platforms such as SEFs
- Mis-Selling Cases
- Complaints and Dispute Resolution (FINMAC)
- The Financial Services Provision Act
- Supervisory Guidelines of the Financial Services Agency
- Mandatory Clearing
- Margin Requirements for Uncleared Derivatives
- Trade Reporting
- Suitability and the Duty to Explain
- Swap Dealer Registration
- AML and Sanctions
- Insider Trading
- Best Execution
- Record keeping
- Crypto-Asset Derivatives