The Compliance Manual for Sales Managers and Internal Administrators is a material to acquire the knowledge necessary to conduct their duties as a Sales Manager or Internal Administrator of the Association Member.
It contains important compliance matters, such as the management of investment solicitations, the management of customer orders acceptance, the prohibited acts against officers and employees, and the prohibited acts in market transactions.
It is useful to deepen your understanding of laws and regulations and the self-regulation of the Japan Securities Dealers Association.

You can find the full text (English version) of 2023 version of the Compliance Manual for Sales Managers and Internal Administrators via the following link.

2023 version of Compliance Manual for Sales Managers and Internal Administrators

（Please note that due to the file volume, downloading to your device may take some time.）

○ Chapter 1　Importance of Internal Administration and Legal Compliance System

○ Chapter 2　Professional Ethics on the Part of Officers and Employees of Association Members

○ Chapter 3　Opening Customer Accounts

○ Chapter 4　Managing Investment Solicitation

○ Chapter 5　Managing Acceptance of Customer Orders

○ Chapter 6   Management of Delivery, Custody, Etc.

○ Chapter 7　Regulations Regarding Association Members,Their Officers and Employees

○ Chapter 8　Regulations, Etc. on Unfair Transactions

○ Chapter 9　Other Items Concerning Internal Administration

• Qualifications / Qualification Examinations / Manuals
• Sales Representative Qualification Exam
• FAQ on Sales Representative Qualification/Sales Representative Qualification Exam

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