The Association shall perform mainly the businesses stipulated in the following Items:

• (1) To provide guidance and admonition to Members to comply with the provisions of FIEA and other laws and regulations when conducting Type II Financial Instruments Business, etc.;
• (2) To perform investigation or provide guidance and admonition, in relation to the Type II Financial Instruments Business, etc. conducted by Members, that are necessary to achieve appropriateness of the contents of the contracts, to achieve appropriateness of the management of the assets, or otherwise to protect the investors;
• (3) To investigate the situation of compliance with laws and regulations, orders pursuant to laws and regulations, dispositions pursuant to the foregoing, the Articles of Incorporation and other rules, or the fair and equitable principles of transactions by Members, as well as the condition of the business and the assets of Members;
• (4) To resolve complaints brought by the investors concerning the Type II Financial Instruments Business, etc. conducted by Members, and to mediate disputes arising from the Type II Financial Instruments Business, etc. conducted by Members;
• (5) To establish the rules that are necessary for the operation required for achieving appropriateness of solicitations for the transactions of the Type II Financial Instruments Business, etc. conducted by Members;

  e.g. Rules Concerning Representation of Advertisement, etc. and Offer of Premiums
  Rules Concerning Solicitation of Investment and Management of Customers, etc
  Rules Concerning Handling of Private Placement, etc. of Business-Type Fund

• (6) To provide examinations, training, etc. for the officers and employees of Members in order to enhance their qualification;
• (7) To conduct research and study on the issues concerning financial instruments, financial indicators and financial instruments markets, and to make proposals and requests to the government, etc. as necessary;
• (8) To educate, enlighten and promote publicity on financial instruments,
  financial indicators and financial instruments markets