JSDA "Gaimuin" (Registered Representative) Examination Preparation Seminars

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 if you are interested in attending.

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