The Japan Financial Services Agency has published a draft partial revision to the Comprehensive Supervision Guidelines for Financial Instruments Traders, etc. and opened it for public comment, with the amendments intended to reflect revisions to the Japan Securities Dealers Association’s self-regulatory rules on investment solicitation and customer management by member firms. Comments may be submitted by mail or online via e-Gov up to 17:00 on 24 April 2026, and submissions by telephone will not be accepted. The proposed changes are set out in an attached comparison table, and the agency indicates that submitters’ names and the content of comments may be disclosed upon request, with certain portions potentially redacted where needed.
Japan Financial Services Agency 2026-03-25
Japan Financial Services Agency consults on draft revisions to supervision guidelines for financial instruments traders following Japan Securities Dealers Association rule changes
The Japan Financial Services Agency has released a draft revision to the Comprehensive Supervision Guidelines for Financial Instruments Traders, aligning with updates to the Japan Securities Dealers Association’s self-regulatory rules. The amendments focus on investment solicitation and customer management by member firms.