●この届出をもって金融庁が届出者の信頼性を保証するものではありません。
掲載された届出者は、基本的にいわゆるプロ投資家を相手に業務を行う者です。
届出を行っている業者と取引を行う場合であっても、その業者の信用力を慎重に判断し、取引内容をよく理解することが重要です。

●法63条又は法63条の３…適格機関投資家等特例業務（いわゆるプロ投資家向け業務）

●法附則48条…特例投資運用業務（既に募集は終了し運用のみの業務）

Ｉ．届出者リスト

  掲載情報は、令和２年12月31日までに受理した届出書の届出事項をもとに【届出者一覧】、【ファンド一覧】、【役員及び政令で定める使用人一覧】及び【営業所又は事務所一覧】として構成したものです。なお最新の状況につきましては、各届出者へ直接ご確認願います。

 適格機関投資家等特例業務を行う金融商品取引業者の役員等の状況については、別途管轄財務局等において縦覧している金融商品取引業者登録簿と重複するため「－」表示とし、掲載情報から除外しています。

 【届出者一覧】には平成27年金商法改正により経過措置期間である平成28年8月末までに提出が義務付けられていた追加届出書を提出していない平成27年金商法改正以前の届出者も含んでおります。したがって、届出書が未提出のため、記載できない事項について「－」表示としています。これらの届出者について、【ファンド一覧】、【役員及び政令で定める使用人一覧】及び【営業所又は事務所一覧】は、記載できないため掲載していません。

 その他【届出者一覧】の事項「行政処分等の状況」欄は業務停止命令や業務改善命令のほか以下のような対応状況を記載しています。
　「※警告書を発出しました。」：カッコ内に記載した行為が認められました。
　「※報告命令に応じません。」：金融商品取引法等の規定に基づく報告命令（ファンドモニタリング調査表等の提出）に応じておりません。
　「※検査に応じません。」：金融商品取引法の規定に基づく検査に応じておりません。
　「※旧届出書（第８面）提出義務違反」：平成24年４月に提出が義務付けられたファンド（集団投資スキーム）の名称や当該ファンドの持分を取得する適格機関投資家の商号、名称又は氏名を記載した届出（旧届出書　（第８面））を提出しておりません。
　「※所在地変更届出未済」：金融商品取引法の規定に基づく変更届を提出しておりません。
　「※追加届出書提出義務違反」：金融商品取引法の規定に基づく追加届出書を提出しておりません。

「行政処分等の状況」欄に記載されていない者であっても、無登録営業や虚偽告知等の法令違反行為に該当する行為を行っていることがあり得ますのでご注意ください。

 【ファンド一覧】の事項のうち、金融商品取引法の規定で届出事項とされていない場合（法附則48条届出）及び金融商品取引法の規定に基づき非該当届を提出し、一時的に適格機関投資家等特例業務に該当しなくなっている場合や休止届を提出している場合は、「－」表示となっている事項があります。

II．業務廃止命令を発出した届出者リスト

III．連絡が取れない届出者リスト

　このリストに掲載されている届出者は、監督当局から連絡を取ることができず、その営業所又は事務所を確知できない状況となっております。

　掲載されている届出者は、速やかに届出を行った管轄財務局等にご連絡ください。

　なお、公表日から30日を経過しても届出を行った管轄財務局等に連絡がない場合は、別途、金融商品取引法の規定に基づき、聴聞等の行政手続を行った上で適格機関投資家等特例業務の廃止を命ずることがあります。

　令和２年11月30日以降に連絡を取ることができず、その営業所又は事務所を確知できない状況が判明した届出者については、「I．届出者リスト」と一部重複掲載となっている場合があります。

　追加届出書を提出していない平成27年金商法改正以前の届出者については、【届出者一覧】において記載できない事項について「－」表示としているほか、【ファンド一覧】、【役員及び政令で定める使用人一覧】及び【営業所又は事務所一覧】についても記載できないため掲載しておりません。

●Despite notifications being accepted by competent Authority, the Financial Services Agency ("FSA") is in a position to neither endorse nor guarantee any credibility of each Notifier.
　Listed Notifiers herewith basically do their business with, what is called, professional investors.
　It is important to make a careful judgment on your own regarding the creditworthiness of each Notifier and to fully understand all transactions, even though transactions will deal with the business entities or persons who have submitted their notifications to competent Authority.

●When model-dependent characters (such as external characters) are included in the descriptions of Notification, such characters are replaced by other characters. Therefore, there might be cases that name, etc. of the representative, the corporate officers and employees specified under the Cabinet Order is written with characters different from those described in the Notification.

●“Article 63 or Article 63-3 of FIEA” denotes SPBQII (what is called, businesses operation for professional investors).

●“Article 48” (of the Supplementary Provisions of the Act for Partial Revision of the Securities Exchange Act, etc.) denotes Specially Permitted Investment Management Business (“SPIMB”) (These Notifiers have already finished private placement and maintain investment management only.)

I. The List of Notifiers of SPBQII, etc.

　Informations published here are based on notified matters of the notifications accepted by our Authorities as of December 31, 2020 and are compiled into following 4 lists: (List of Notifiers),(List of Funds), (List of Officers and Employees Specified by a Cabinet Order) and (List of business offices or offices). As for latest situation, please consult with individual Notifier. 

　As for Financial Instruments Business Operators who operates SPBQII, the situation of officers, etc. are excluded from this list and indicated as “-”, as such publications are redundant to the Registers of Financial Instruments Business Operators which are available for public inspection at competent Local Finance Bureaus, etc.

　(List of Notifiers) is including those Notifiers who have submitted the notification before Revised FIEA of 2015 was enforced (March 1, 2016) but not yet submitted required Additional Notification during transitionally period specified under Revised FIEA of 2015 (deadline August 31, 2016). Since Additional Notification was not submitted, matters not available are indicated as “-”. Also matters of those Notifiers not available to enter in (List of Funds), (List of Officers and Employees Specified by a Cabinet Order), (List of business offices or offices) are not published on the lists.

　“Situation of Administrative Dispositions, etc.” column of (List of Notifiers) is also indicating following administrative measures besides Order to Suspend Business and Order to Improve Business Operations.

　Please note that there are possibilities that Notifiers without any statement in the “Situation of Administrative Dispositions, etc.” column of the list would have committed acts in violation of the provisions of FIEA such as unregistered sales activities and/or false notifications.

　Among the matters of (List of Funds), some of the matters are indicated as “-” when (1) the Notifier is not required to notify such matters the Supplementary Provisions), (2) the Notifier submitted Notification of Non-Applicable to SPBQII Operation based on the regulations under FIEA and is temporarily not applicable to SPBQII operation and (3) the Notifier submitted Notification of Suspension.

II. The List of Notifiers of SPBQII, etc., whom our Authority issued Order for Abolition of Business

　With regard to those Notifiers listed on above list, the competent Authority found the acts in violation of laws or regulations, etc. and imposed order for abolition of business against such Notifiers pursuant to the provisions of the FIEA.

　As for those Notifiers whom our Authority issued order for abolition of business after November 30, 2020 , some of their names are published both in “I. The List of Notifiers of SPBQII, etc.” and this list.

　As for those Notifiers who have submitted the notification before Revised FIEA of 2015 was enforced (March 1, 2016) but not yet submitted required Additional Notification, matters not available to enter in (List of Notifiers) are indicated as “-”; and those matters not available to enter in (List of Funds), (List of Officers and Employees Specified by a Cabinet Order), (List of business offices or offices) are not published on the lists.

III. The List of Notifiers of SPBQII, etc., whom our Authority cannot make contact nor able to identify the location of business office

　With regard to those Notifiers listed on above list, competent Authority cannot make contact with them and is not able to identify the location of their business offices.

　Those Notifiers whose names were published on this list are required to contact competent Local Finance Bureau, etc. immediately.

　If no contacts were made to competent Authority, etc. though 30 days elapsed since the date of the publication of the name, competent Authority may, having performed the administrative procedures such as legal hearings, etc. under the provisions of FIEA, order the Notifier to abolish the SPBQII operation.

　As for those Notifiers whom our Authority recognized the situation that competent Authority cannot make contact with them and is not able to identify the location of their business offices after November 30, 2020 , some of their names are published both in “I. The List of Notifiers of SPBQII, etc.” and this list.

　As for those Notifiers who have submitted the notification before Revised FIEA of 2015 was enforced (March 1, 2016) but not yet submitted required Additional Notification, matters not available to enter in (List of Notifiers) are indicated as “-”; and those matters not available to enter in (List of Funds), (List of Officers and Employees Specified by a Cabinet Order), (List of business offices or offices) are not published on the lists.