JSDA "Gaimuin" (Registered Representative) Examination Preparation Seminars
INTRODUCTION
The Japan Securities Dealers' Association ("JSDA") requires that all securities sales representatives
operating in Japan are registered.
This requirement in effect extends to all traders, structurers etc.
in direct contact with customers and counterparties during transaction execution.
The location of the individual/firm in Japan is the prime consideration and not the domicile of the
home entity or the trading books involved.
Many securities firms now insist that all key back office
staff and managers sit the JSDA examinations in order to appraise themselves of the key elements of
the regulatory environment.
Our seminar is designed so that staff can be prepared to
pass the exams in the minimum time in order to take up their duties as
soon as possible.
There are two levels of examination: Series 1 and Series 2. Most delegates will need to prepare
themselves for Series 1. The JSDA now allows direct application for Series 1 (previously
it was necessary to pass Series 2 first).
Please note that all enquiries and arrangements regarding the JSDA registration process and
examinations must be made directly with the Association by the compliance/HR department of the respective
member firm.
The seminar is held in our offices in Shinbashi and lasts for five 3.5 hour sessions for Series 2
and a further 3.5 hour session for Series 1. There is an optional 2 hour preparatory
module for candidates with little experience of derivative products.
All instruction is conducted in English.
Please contact us at
seminars@shinkawaoffice.com
if you are interested in attending.
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