Investment Compliance Commission

THEIR INFO:

Welcome to

INVESTMENT COMPLIANCE COMMISSION

Investment Compliance Commission is a financial regulator charged with the oversight of banking, investments and other financial services in Japan.
This website serves as a portal to all of our services to the general public and provides access to a number of tools and documents including warnings, investment advice, complaints and checking procedures and educational material designed to provide the investor with the knowledge needed to invest safely in today’s markets.
Our operational remit includes the supervision and regulation of firms working within the financial markets, dissemination of information to the investing public and management of risk in the financial sector as a whole.

OUR REMIT
Investment Compliance Commission has responsibility for four main areas in our work as a regulatory authority.

Supervision
As a watchdog for the financial sector, Investment Compliance Commission is responsible for ensuring that our member firms maintain a high standard of professional conduct and ethics in all business they carry out with the investing public.
This is achieved by overseeing firms to make sure that they adhere to the rules governing their sector as closely and as accurately as possible.
If a company does not comply with the rules and standards that have been set, Investment Compliance Commission is empowered to take action, disciplinary, criminal and/or civil to ensure that investors are protected and abusive companies are prosecuted to the full extent of the law.

Prevention of Abuse
In the vast majority of cases, financial institutions do their best to stay within the guidelines and rules set out to them but in the case that a firm strays from these practices or treats a client in an unethical way, Investment Compliance Commission has the ability to adjudicate problems between investors and institutions to achieve a satisfactory result.
If you have been approached by an unlicensed company with an offer of financial products or services, you may report it to Investment Compliance Commission.

Investment Compliance Commission
Address: Kioicho Bldg., 3-12 Kioi-cho, Chiyoda-ku, Tokyo 102-0094, Japan
Phone: +81 505 213 0378
Email: [email protected]

Keeping Investors Informed
Ongoing investor education and the proliferation of information is one of the main remits of Investment Compliance Commission. We publish regular articles, proposals, guidance and other resources to assist investors in understanding the financial sector in as much detail as possible and helping the investor make the most appropriate and informed investment decisions for themselves as individuals.
Subject matter ranges from investment guides, warnings, how to guides and a glossary of basic investment terms designed to help the novice investor understand the terminology used in our resources.

Management of Risk
Investment Compliance Commission advocates policies that are designed to limit and reduce risk in the financial sector by the publication of guidelines for financial companies and markets designed to prevent failure of both individual member firms and the market as a whole. Subsequent to the recent financial crisis in 2008 we have played a key role in tightening rules governing banking, investment dealing and the markets.