Japan Investment Advisers Association

Procedure for joining JIAA

Rules on Membership and Notification The procedure for joining JIAA is as follows: 1) Filing of an admission application with JIAA File an admission application along with the following documents for your firm: ● Application for Admission ● A copy of the Articles of Incorporation ● A copy of the Certificate of Registered Information ● A copy of the Application for Registration and the Certificate of Registration ● A document describing the business and business methods ● A document describing the operational structure including the composition of personnel and the organizational structure ● Resumes of officers and those employees falling under any of the definitions specified in Article 15-4 of the Order for Enforcement of the Financial Instruments and Exchange Act ● A leaflet, company brochure, or other document providing information including an overview of the business ● Other documents deemed necessary by JIAA, which include:
		・Latest business report (Appended Form 12) ・Document required to be delivered prior to concluding a contract ・ A copy of the summary of registration applicant information filed with the competent Local Finance Bureau ・ Internal rules for the handling of undisclosed important corporate information ・ Internal rules on principal transactions by officers ・ Compliance Check Sheet
2) Application screening and interview Screening and interviewing of applicants based on the documents filed 3) Review for admission by the Board of Directors In principle, the Board of Directors meets monthly. 4) Notification of approval of admission by the Board of Directors 5) Payment of admission and membership fees An applicant is formally enrolled as a JIAA member upon payment of admission and other required fees.