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Magazine Article
"Supervision and Regulation, Administrative Dispositions, Authorized Financial Service Intermediary Businesses Associations, Designated Dispute Resolution Organizations (Financial ADR), and Provisions Regarding Impacts on Other Laws and Regulations"

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Author	【Co-Author】 Daisuke Oda Mana Watanabe Yuta Miyamoto
Related Practice Areas	Financial Regulation Insurance Payment Services/Electronic Money Financial Services Disputes Settlement and Funds Transfers Insurtech Cryptoassets and Blockchain Fund-raising Financing and Guarantees Cybersecurity and AML Corporate Financial Accounting and Personal Finance Management Asset Management Financial Services Intermediation DX Support Services for Financial Institutions
Language	Japanese
Publication	Kinyu Homu Jijo No.2165
Date of Publication	July 10, 2021
Note	Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 6)
Link	KINZAI Institute for Financial Affairs, Inc.

Financial Regulation：Publications

Magazine Article: "Commentary on Principles of the Revised CG Code and Initiatives for Issues Regarding Sustainability"
Magazine Article: "Instruction for Security Token Offering of Tokenized Property Fund Interests"
Magazine Article: "Considerations Regarding Insider Trading - In Light of Recent Trends"
Magazine Article: "Outline of the Revised Act on Strengthening Industrial Competitiveness and Effect on Business Practice - Focusing on Venture Support, Facilitation of Business Turnaround, and Perpetuation of the Regulatory Sandbox"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 5): Other Restriction on Activities, Etc. - Prohibition of Deposit of Money, Etc. and Regulations Regarding Use of Trade Names, Posting of Signs, and Statutory Books"

Insurance：Publications

Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 5): Other Restriction on Activities, Etc. - Prohibition of Deposit of Money, Etc. and Regulations Regarding Use of Trade Names, Posting of Signs, and Statutory Books"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 4): Restriction on Activities and System Development - (2) Obligations Owed to Customers to Provide Information and Develop Systems"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 3): Restriction on Activities and System Development - (1) Obligation to Execute Businesses in a Fair and Sincere Manner and Obligation to Provide Information"
Article: "The International Comparative Legal Guide to: Insurance & Reinsurance 2021 - Japan Chapter"
Article: "Chambers Global Practice Guides Insurance & Reinsurance 2021 - Japan Trends and Developments"

Payment Services/Electronic Money：Publications

Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 5): Other Restriction on Activities, Etc. - Prohibition of Deposit of Money, Etc. and Regulations Regarding Use of Trade Names, Posting of Signs, and Statutory Books"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 4): Restriction on Activities and System Development - (2) Obligations Owed to Customers to Provide Information and Develop Systems"
Article: "The Financial Technology Law Review Fourth Edition - Japan Chapter"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 3): Restriction on Activities and System Development - (1) Obligation to Execute Businesses in a Fair and Sincere Manner and Obligation to Provide Information"
Magazine Article: "Legal Issues and Practice of Cryptocurrency"

Financial Services Disputes：Publications

Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 5): Other Restriction on Activities, Etc. - Prohibition of Deposit of Money, Etc. and Regulations Regarding Use of Trade Names, Posting of Signs, and Statutory Books"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 4): Restriction on Activities and System Development - (2) Obligations Owed to Customers to Provide Information and Develop Systems"
Article: "Getting the Deal Through - Risk & Compliance Management 2021 - Japan Chapter"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 3): Restriction on Activities and System Development - (1) Obligation to Execute Businesses in a Fair and Sincere Manner and Obligation to Provide Information"
Magazine Article: "Legal Issues and Practice of Cryptocurrency"

Settlement and Funds Transfers：Publications

Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 5): Other Restriction on Activities, Etc. - Prohibition of Deposit of Money, Etc. and Regulations Regarding Use of Trade Names, Posting of Signs, and Statutory Books"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 4): Restriction on Activities and System Development - (2) Obligations Owed to Customers to Provide Information and Develop Systems"
Article: "The Financial Technology Law Review Fourth Edition - Japan Chapter"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 3): Restriction on Activities and System Development - (1) Obligation to Execute Businesses in a Fair and Sincere Manner and Obligation to Provide Information"
Magazine Panel Discussion: "Round-Table Talk: Issues and Outlook for Legislation on Payment and Financial Service Intermediary Businesses (Part 2) Prepaid Payment Instruments and Payment Collection Services"

Insurtech：Publications

Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 5): Other Restriction on Activities, Etc. - Prohibition of Deposit of Money, Etc. and Regulations Regarding Use of Trade Names, Posting of Signs, and Statutory Books"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 4): Restriction on Activities and System Development - (2) Obligations Owed to Customers to Provide Information and Develop Systems"
Article: "The Financial Technology Law Review Fourth Edition - Japan Chapter"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 3): Restriction on Activities and System Development - (1) Obligation to Execute Businesses in a Fair and Sincere Manner and Obligation to Provide Information"
Magazine Article: "The Pertinence of Insurance Business to Diversifying Insurance Services (Part 2) - Interpretations that May Change with the Development of IT Business"

Cryptoassets and Blockchain：Publications

Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 5): Other Restriction on Activities, Etc. - Prohibition of Deposit of Money, Etc. and Regulations Regarding Use of Trade Names, Posting of Signs, and Statutory Books"
Magazine Article: "Instruction for Security Token Offering of Tokenized Debt or Stock"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 4): Restriction on Activities and System Development - (2) Obligations Owed to Customers to Provide Information and Develop Systems"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 3): Restriction on Activities and System Development - (1) Obligation to Execute Businesses in a Fair and Sincere Manner and Obligation to Provide Information"
Magazine Article: "Legal Issues and Practice of Cryptocurrency"

Fund-raising：Publications

Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 5): Other Restriction on Activities, Etc. - Prohibition of Deposit of Money, Etc. and Regulations Regarding Use of Trade Names, Posting of Signs, and Statutory Books"
Magazine Article: "Instruction for Security Token Offering of Tokenized Debt or Stock"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 4): Restriction on Activities and System Development - (2) Obligations Owed to Customers to Provide Information and Develop Systems"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 3): Restriction on Activities and System Development - (1) Obligation to Execute Businesses in a Fair and Sincere Manner and Obligation to Provide Information"
Magazine Article: "Legal Issues and Practice of Cryptocurrency"

Financing and Guarantees：Publications

Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 5): Other Restriction on Activities, Etc. - Prohibition of Deposit of Money, Etc. and Regulations Regarding Use of Trade Names, Posting of Signs, and Statutory Books"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 4): Restriction on Activities and System Development - (2) Obligations Owed to Customers to Provide Information and Develop Systems"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 3): Restriction on Activities and System Development - (1) Obligation to Execute Businesses in a Fair and Sincere Manner and Obligation to Provide Information"
Book: "Future Report on Digital Finance 2020"
Magazine Transcript: "Data Management in the Age of AI/IoT"

Cybersecurity and AML：Publications

Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 5): Other Restriction on Activities, Etc. - Prohibition of Deposit of Money, Etc. and Regulations Regarding Use of Trade Names, Posting of Signs, and Statutory Books"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 4): Restriction on Activities and System Development - (2) Obligations Owed to Customers to Provide Information and Develop Systems"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 3): Restriction on Activities and System Development - (1) Obligation to Execute Businesses in a Fair and Sincere Manner and Obligation to Provide Information"
Article: "The International Comparative Legal Guide to: Cybersecurity 2021 - Japan Chapter"
: "Mondaq Comparative Guides Cybersecurity - Japan Chapter"

Corporate Financial Accounting and Personal Finance Management：Publications

Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 5): Other Restriction on Activities, Etc. - Prohibition of Deposit of Money, Etc. and Regulations Regarding Use of Trade Names, Posting of Signs, and Statutory Books"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 4): Restriction on Activities and System Development - (2) Obligations Owed to Customers to Provide Information and Develop Systems"
Article: "The Financial Technology Law Review Fourth Edition - Japan Chapter"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 3): Restriction on Activities and System Development - (1) Obligation to Execute Businesses in a Fair and Sincere Manner and Obligation to Provide Information"
Article: "The Financial Technology Law Review Third Edition - Japan Chapter"

Asset Management：Publications

Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 5): Other Restriction on Activities, Etc. - Prohibition of Deposit of Money, Etc. and Regulations Regarding Use of Trade Names, Posting of Signs, and Statutory Books"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 4): Restriction on Activities and System Development - (2) Obligations Owed to Customers to Provide Information and Develop Systems"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 3): Restriction on Activities and System Development - (1) Obligation to Execute Businesses in a Fair and Sincere Manner and Obligation to Provide Information"
Magazine Article: "Legal Issues and Practice of Cryptocurrency"
Book: "Cryptoassets Law"

Financial Services Intermediation：Publications

Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 5): Other Restriction on Activities, Etc. - Prohibition of Deposit of Money, Etc. and Regulations Regarding Use of Trade Names, Posting of Signs, and Statutory Books"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 4): Restriction on Activities and System Development - (2) Obligations Owed to Customers to Provide Information and Develop Systems"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 3): Restriction on Activities and System Development - (1) Obligation to Execute Businesses in a Fair and Sincere Manner and Obligation to Provide Information"
Magazine Panel Discussion: "Round-Table Talk: Issues and Outlook for Legislation on Payment and Financial Service Intermediary Businesses (Part 3) Financial Service Intermediary Businesses"
Magazine Article: "Impacts of Financial Services Intermediary Legislation on Financial Business Operators' Business Models and Practices"

DX Support Services for Financial Institutions：Publications

Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 5): Other Restriction on Activities, Etc. - Prohibition of Deposit of Money, Etc. and Regulations Regarding Use of Trade Names, Posting of Signs, and Statutory Books"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 4): Restriction on Activities and System Development - (2) Obligations Owed to Customers to Provide Information and Develop Systems"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 3): Restriction on Activities and System Development - (1) Obligation to Execute Businesses in a Fair and Sincere Manner and Obligation to Provide Information"
Magazine Article: "Aims of Businesses Partcipating in "My Number" Card Point-Reward Program and Expectations for Regional Banks"
Magazine Article: "Issues and Future Prospects for the Banking Industry from the Perspective of Japanese Financial Regulations"

Daisuke Oda：Publications

Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 5): Other Restriction on Activities, Etc. - Prohibition of Deposit of Money, Etc. and Regulations Regarding Use of Trade Names, Posting of Signs, and Statutory Books"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 4): Restriction on Activities and System Development - (2) Obligations Owed to Customers to Provide Information and Develop Systems"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 3): Restriction on Activities and System Development - (1) Obligation to Execute Businesses in a Fair and Sincere Manner and Obligation to Provide Information"
Book Article: "Compliance for Managers [Expanded 12th ed.]"
Book Article: "Compliance for Bank Clerks [Expanded 11th ed.]"

Mana Watanabe：Publications

Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 5): Other Restriction on Activities, Etc. - Prohibition of Deposit of Money, Etc. and Regulations Regarding Use of Trade Names, Posting of Signs, and Statutory Books"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 4): Restriction on Activities and System Development - (2) Obligations Owed to Customers to Provide Information and Develop Systems"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 3): Restriction on Activities and System Development - (1) Obligation to Execute Businesses in a Fair and Sincere Manner and Obligation to Provide Information"
Book: "Financial Transaction Rule Book for Compliance [2020 version]"

Yuta Miyamoto：Publications

Book: "Annual Summary of Labor-Related Court Decisions and Orders (2021 Edition)"
Magazine Article: "Q&A on Systems and Practices of Financial Service Intermediary Businesses (Part 5): Other Restriction on Activities, Etc. - Prohibition of Deposit of Money, Etc. and Regulations Regarding Use of Trade Names, Posting of Signs, and Statutory Books"
Magazine Article: "Q&A Systems and Practices of Financial Service Intermediary Businesses (Part 1): Details, Scope, and Types of Financial Service Intermediary Businesses, and Relationships with Existing Intermediary Businesses, etc."