商品: 1000 Terms and Phrases
- 後づけ商品
- aftermarket product
- 商品取引事故
- Problematic Conduct in commodity trading
- アイディア商品
- novelty (wasei: idea product)
- 商品の一括売却
- Package sale of goods
- 上場商品の格付
- Grading of a Listed Commodity
- 金融商品仲介業者
- Financial Instruments Intermediary Service Providers
- 金融商品取引業者
- Financial Instruments Business Operators;
- a Financial Instruments Business Operator; and
- b. Financial Instruments Business Operators;
- 外国金融商品取引所
- Foreign Financial Instruments Exchange
- 金融商品会員制法人
- Financial Instruments Membership Corporation
- 金融商品取引業協会
- Financial Instruments Firms Association
- 金融商品取引業者等
- Financial Instruments Business Operators, etc.
- 当該金融商品取引所
- the Financial Instruments Exchange;
- 株式会社商品取引所
- Incorporated Commodity Exchange
- 商品市場を開設する者
- a person who establishes a Commodity Market;
- 金融商品取引清算機関
- Financial Instruments Clearing Organization
- 会員商品取引所の解散
- Dissolution of a Member Commodity Exchange
- 一部の商品市場の閉鎖
- Closure of a certain Commodity Market
- 金融商品取引責任準備金
- Financial Instruments Transaction Liability Reserve
- 金融商品取引所の解散等
- Dissolution, etc. of Financial Instruments Exchange
- 金融商品取引清算機関等
- Financial Instruments Clearing Organization, etc.
- 認可金融商品取引業協会
- Authorized Financial Instruments Firms Association
- 金融商品取引所となる法人
- Juridical Person Eligible for Financial Instrument Exchange
- 商品取引所を経て行う方法
- Transactions are settled through the Commodity Exchange.
- 株式会社商品取引所の許可
- License of an Incorporated Commodity Exchange
- 当該金融商品取引契約の概要
- the outline of the relevant Contract for Financial Instruments Transaction;
- 店頭商品先物取引の対象物品
- Products subject to Over-the-Counter Commodity Futures Transactions
- 商品取引所別苦情受付件数表
- a table stating the number of complaints received by each Commodity Exchange.
- 商品取引責任準備金の積立て
- Providing for liability reserve for commodity trading
- 公益法人金融商品取引業協会
- Public Interest Corporation-Type Financial Instruments Firms Associations
- 金融商品仲介業者に係る制限
- Limitation on Financial Instruments Intermediary Service Providers
- 金融商品の利率に準ずるもの
- Equivalent of Interest Rates for Financial Instruments
- 清算中の金融商品会員制法人
- Financial Instruments Membership Corporation in Liquidation
- 店頭商品先物取引の営業の届出
- Notification of business of Over-the-Counter Commodity Futures Transactions
- 商品市場における取引等の概要
- description of transactions, etc., on the Commodity Market;
- 会員商品取引所の合併の認可等
- Approval of a merger of a Member Commodity Exchange, etc.
- 金融商品取引所等による公衆縦覧
- Public Inspection by Financial Instruments Exchange, etc.
- 商品取引員別苦情受付処理件数表
- a table stating the number of complaints received and processed by each Futures Commission Merchant;
- 第四目 金融商品取引所持株会社
- Division 4 Financial Instruments Exchange Holding Company
- 金融商品取引所持株会社への準用
- Application Mutatis Mutandis to Financial Instruments Exchange Holding Company
- 会員金融商品取引所の取引参加者
- Trading Participant in Membership-Type Financial Instruments Exchange
- 金融商品取引業から除かれるもの
- Acts Excluded from the Scope of Financial Instruments Services
- 取引所金融商品市場に関する事項
- matters pertaining to the Financial Instruments Exchange Markets;
- matters regarding Financial Instruments Exchange Markets; and
- 株式会社商品取引所の取引参加者
- Trading Participants of an Incorporated Commodity Exchange
- 商品取引所に対する監督上の処分
- Disposition rendered to a Commodity Exchange for the purpose of supervision
- 株式会社商品取引所の設立の特則
- Special provisions on establishment of an Incorporated Commodity Exchange
- 委託者が商品取引員に連絡する方法
- method that a customer uses to contact a Futures Commission Merchant;
- 所属金融商品取引業者等の賠償責任
- Liability for Damages of Entrusting Financial Instruments Business Operators, etc.
- 公益法人金融商品取引業協会の認定
- Recognition of Public Interest Corporation-Type Financial Instruments Firms Associations
- 株式会社商品取引所の合併の認可等
- Approval of a merger of an Incorporated Commodity Exchange, etc.
- 受託契約に係る商品市場に関する事項
- Matters concerning the Commodity Market pertaining to the Brokerage Contract;
- 顧客が当該商品取引員に連絡する方法
- the method by which the customer contacts the Futures Commodity Merchant;
- 金融商品取引法等の適用に関する特例
- Special Provisions on Application of the Financial Instruments and Exchange Act, etc.
- 株式会社金融商品取引所の設立の特則
- Special Provisions on Establishment of Stock Company-Type Financial Instruments Exchange
- 株式会社金融商品取引所の取引参加者
- Trading Participant in Stock Company-Type Financial Instruments Exchange
- 金融商品取引所に対する監督上の処分
- Disposition Rendered to a Financial Instruments Exchange for Purpose of Supervision
- 金融商品会員制法人は、法人とする。
- A Financial Instruments Membership Corporation shall be a juridical person.
- 組織変更後株式会社商品取引所の商号
- The trade name of the Incorporated Commodity Exchange after Entity Conversion
- 金融商品取引業者に対する監督上の処分
- Disposition Rendered to a Financial Instruments Business Operator for the Purpose of Supervision
- 金融商品取引業者に対する業務改善命令
- Order to Improve Business Operation to a Financial Instruments Business Operator
- 金融商品取引業者等の自主的努力の尊重
- Respect for Voluntary Efforts of Financial Instruments Business Operator, etc.
- 商品取引員に係る検査職員の身分証明書
- Identification of inspection officials pertaining to Futures Commission Merchants
- 第二種特定商品市場類似施設の取引方法
- Method of transaction at a Facility Similar to a Type 2 Specified Commodity Market
- 第一種特定商品市場類似施設の取引方法
- Method of transaction at a Facility Similar to a Type 1 Specified Commodity Market
- 商品取引員の資力又は信用に関する事項
- Matters concerning the funds and credit of the Futures Commission Merchant;
- 取引所金融商品市場を開設する株式会社
- Stock Company which Establishes Financial Instruments Exchange Markets
- 市場の相場がある商品の取引に係る契約
- Contract for Transaction of Goods with Market Quotation
- 所属金融商品取引業者等の商号又は名称
- the trade name or the name of the Entrusting Financial Instruments Business Operator, etc.;
- 新設合併消滅会員金融商品取引所の手続
- Procedures of Membership-Type Financial Instruments Exchange Extinguished upon Consolidation-Type Merger
- 吸収合併存続会員金融商品取引所の手続
- Procedures of Membership-Type Financial Instruments Exchange Surviving Absorption-Type Merger
- 新設合併設立会員金融商品取引所の手続
- Procedures of a Membership-Type Financial Instruments Exchange Established by Consolidation-Type Merger
- 吸収合併消滅会員金融商品取引所の手続
- Procedures of Membership-Type Financial Instruments Exchange Extinguished upon an Absorption-Type Merger
- 金融商品取引所持株会社になつたとき。
- when the Major Shareholder has become a Financial Instruments Exchange Holding Company.
- 金融商品取引業者等 所管金融庁長官等
- a Financial Instruments Specialist, etc.: the Commissioner of Financial Services Agency or Other Competent Official;
- 金融商品取引所に上場されている有価証券
- Securities listed in a Financial Instruments Exchange;
- 所属金融商品取引業者等の代理権がない旨
- the effect that the Financial Instruments Intermediary Service Provider has not been delegated the authority of representation by an Entrusting Financial Instruments Business Operator, etc.;
- 商品市場における取引に係る差金の合計額
- total amount of the difference pertaining to the transaction on the Commodity Market;
- 商品取引員の商号、住所及び代表者の氏名
- trade name and address of the Futures Commission Merchant and the name of its representative;
- 店頭商品先物取引に関する業務の開始の日
- the commencement date of business pertaining to Over-the-Counter Commodity Futures Transactions.
- 第四目 会員金融商品取引所の合併の手続
- Division 4 Merger Procedures of Membership-Type Financial Instruments Exchange
- 取引所金融商品取引を行うことができる者
- Persons Allowed to Conduct Financial Instruments Transaction at Financial Instruments Exchange
- 金融商品取引業者及び取引所取引許可業者
- Financial Instruments Business Operator and Authorized Transaction-at-Exchange Operator; and
- 臨時の取引所金融商品取引の開始等の届出
- Notification of Extraordinary Start, etc. of Financial Instruments Transaction at Financial Instruments Exchange
- 特定商品等の預託等取引契約に関する法律
- Act on the Deposit, etc. Transaction Agreements of Specified Commodities, etc.
- 外国金融商品取引所に対する監督上の処分
- Dispositions for the Purpose of Supervision of Foreign Financial Instruments Exchange
- 組織変更後株式会社金融商品取引所の商号
- the trade name of the Stock Company-Type Financial Instruments Exchange after Entity Conversion;
- 当該金融商品仲介業者の商号、名称又は氏名
- the trade name or name of said Financial Instruments Intermediary Service Provider;
- 届出書類の写しの金融商品取引所等への提出
- Submission of Statement and Other Related Documents to Financial Instruments Exchange, etc.
- 金融商品取引所の解散についての総会の決議
- a resolution of a general meeting with regard to dissolution of a Financial Instruments Exchange; and
- 取引所金融商品市場の全部を閉鎖したとき。
- when a Financial Instruments Exchange has closed all of its Financial Instruments Exchange Markets;
- 第一項第八号の金融商品取引業者の親会社等
- the Parent Company, etc. of the Financial Instruments Specialist prescribed in item (viii) of paragraph (1); or
- 第一項第八号の金融商品取引業者の子会社等
- a Subsidiary Company, etc. of the Financial Instruments Specialist prescribed in item (viii) of paragraph (1);
- 当該金融商品取引業者等の商号、名称又は氏名
- the trade name or name of said Financial Instruments Business Operator, etc.;
- 当該商品取引員が取引証拠金等を受領した日付
- the date on which the Futures Commodity Merchant received the Clearing Margin, etc.;
- 既に積み立てられた商品取引責任準備金の金額
- the amount of liability reserve for commodity trading that has already been accrued.
- 訂正届出書の写しの金融商品取引所等への提出
- Submission of Amendment to Financial Instruments Exchange, etc.
- 第五目 株式会社金融商品取引所の合併の手続
- Division 5 Merger Procedures of Stock Company-Type Financial Instruments Exchange
- 取引所金融商品市場における有価証券の売買等
- (Sales and Purchase of Securities, etc. in Financial Instruments Exchange Market)
- 銀行代理業者についての金融商品取引法の準用
- Application Mutatis Mutandis of Financial Instruments and Exchange Act Concerning Bank Agents
- 新設合併消滅商品取引所が合意により定めた日
- A day decided by the Commodity Exchanges Dissolved in a Consolidation-Type Merger based on an agreement
- 商品取引所の役員及び使用人等の秘密保持義務
- Confidentiality obligation of officers, employees, etc. of a Commodity Exchange
- 取引参加者となる金融商品取引所の商号又は名称
- the trade name or the name of a Financial Instruments Exchange in which the applicant becomes a Trading Participant; and
- 金融商品の売買(第一号に掲げる取引を除く。)
- sales and purchase of Financial Instruments (excluding those specified in item (i)); or
- 特定業者が店頭商品先物取引業者に連絡する方法
- the method for a Specified Commercial Dealer to contact an Over-the-Counter Commodity Futures Transactions Dealer;
- 吸収合併消滅会員金融商品取引所の名称及び住所
- the name and address of the Membership-Type Financial Instruments Exchange Extinguished upon an Absorption-Type Merger;
- 自ら開設する取引所金融商品市場への上場の承認
- Approval of Financial Instruments Exchange's Listing on Financial Instruments Exchange Market Established by Itself
- 外国金融商品取引所参加者の商号、名称又は氏名
- the trade names or names of Participants of Foreign Financial Instruments Exchange; and
- 認可協会の協会員は、金融商品取引業者に限る。
- Member Firms of an Authorized Association shall be limited to Financial Instruments Business Operators.
- 監事は、金融商品会員制法人の事務を監査する。
- The auditors shall audit the affairs of the Financial Instruments Membership Corporation.
- 登記所に、金融商品会員制法人登記簿を備える。
- A registry of Financial Instruments Membership Corporation shall be kept at a Registry Office.
- 第三目 新設合併設立株式会社商品取引所の手続
- Division 3 Procedure of a Incorporated Commodity Exchange Established by a Consolidation-Type Merger
- 商品取引員の純資産額が資本金の額を下回った場合
- in the case where the amount of the net assets of a Futures Commission Merchant is below the amount of stated capital;
- 店頭商品先物取引業者に係る検査職員の身分証明書
- Identification of inspection officials pertaining to Over-the-Counter Futures Commodity Transaction Dealers
- 外国銀行代理銀行についての金融商品取引法の準用
- Mutatis Mutandis Application of the Financial Instruments and Exchange Act Concerning a Foreign Bank's Agent Bank
- 金融商品取引業者等に該当しないこととなること。
- the member comes to no longer fall under the category of the Financial Instruments Business Operator, etc.;
- 期限付商品市場の開設に係るもの 次に掲げる基準
- An application pertaining to the opening of a Time-Limited Commodity Market- The following criteria:
- 大量保有報告書等の写しの金融商品取引所等への提出
- Submission of Copy of Report of Possession of Large Volume, etc. to Financial Instruments Exchange, etc.
- 金融商品取引業者等が締結した投資顧問契約の相手方
- and Article 41-5: the other party to an Investment Advisory Contract concluded by a Financial Instruments Business Operator, etc.; and
- 金融商品取引業等を廃止したとき その法人又は個人
- when abolishing a Financial Instruments Business, etc.: the juridical person or individual;
- 商品取引受託業務の内容についての広告等の表示方法
- Method of indication in conducting Advertising, etc. with regard to the contents of Commodity Transactions Brokerage Business
- 金融商品取引業者 (第二十九条―第三十一条の五)
- Financial Instruments Business Operators (Article 29 - Article 31-5)
- 利害関係を有する金融商品取引業者等への委託の禁止
- Prohibition of Entrustment to a Financial Instruments Business Operator, etc. as an Interested Party
- 株式会社商品取引所の解散についての株主総会の決議
- Resolution of a general meeting of shareholders with regard to the dissolution of an Incorporated Commodity Exchange
- 当該金融商品取引業者等の商号、名称又は氏名及び住所
- the trade name or name and address of said Financial Instruments Business Operator, etc.;
- 店頭商品先物取引等の契約の締結前に確認すべき事項等
- Matters, etc., to be confirmed prior to closing a contract of Over-the Counter Commodity Futures Transactions, etc.
- 投資証券の募集等に当たつての金融商品取引法の準用等
- Application Mutatis Mutandis of the Financial Instruments and Exchange Act to Public Offerings, etc. of Investment Securities
- 商品の預託を受ける期間又は施設利用権を管理する期間
- the duration for which he/she will accept deposits of the commodities with him/her, or the duration for which he/she will manage the facility use rights;
- 金融商品取引法第二条に規定する定義に関する内閣府令
- Cabinet Office Ordinance on Definitions under Article 2 of the Financial Instruments and Exchange Act
- 清算中の金融商品会員制法人についての破産手続の開始
- Commencement of Bankruptcy Proceedings of Financial Instruments Membership Corporations in Liquidation
- 会員商品取引所は、次に掲げる事由によつて解散する。
- A Member Commodity Exchange shall be dissolved based on the following grounds:
- 金融商品仲介業を行う営業所又は事務所の名称及び所在地
- the name and location of business office or office at which the Financial Instruments Intermediary Service shall be conducted;
- 金融商品取引業者である個人が死亡したとき その相続人
- when an individual that is a Financial Instruments Business Operator has died: the heir thereof;
- 法第三百四十九条第二項に規定する店頭商品先物取引業者
- an Over-the-Counter Commodity Futures Transactions Dealer prescribed in Article 349, paragraph (2) of the Act;
- 商品取引員の許可更新の申請書の添付書類に係る経過措置
- Transitional measures pertaining to attached documents of applications for renewal of license of a Futures Commission Merchant
- 金融商品取引所に上場されている株券の発行者である会社
- a company that issues share certificates which are listed on a Financial Instruments Exchange;
- 商品の種類、数量及び価額又は施設利用権の内容及び価額
- the type, volume, and price of the commodities, or the contents and value of the facility use rights;
- 金融商品仲介業者である個人が死亡したとき その相続人
- when the individual that is a Financial Instruments Intermediary Service Provider has died: the heir thereof;
- 定款で定めた株式会社商品取引所としての存続期間の満了
- When the term of existence as an Incorporated Commodity Exchange specified by the articles of incorporation has expired
- 第一種金融商品取引業又は投資運用業を行う者の業務の範囲
- Scope of Businesses of Persons Who Engage in Type I Financial Instruments Business or Investment Management Business
- 金融商品取引業者等は、次に掲げる行為をしてはならない。
- A Financial Instruments Business Operator, etc. shall not conduct any of the following acts:
- 金融商品取引所等に対する書類の写しの提出等に代わる通知
- Notice in lieu of Submission, etc. of Copies of Documents to Financial Instruments Exchange, etc.
- 金融商品取引業者等が適格機関投資家等特例業務を行う場合
- When a Financial Instruments Business Operator, etc. Engages in Specially Permitted Businesses for Qualified Institutional Investor, etc.
- 第二種特定商品市場類似施設の開設許可の申請書の添付書類
- Attached documents to the written application for permission for establishment of a Facility Similar to a Type 2 Specified Commodity Market
- 第一種特定商品市場類似施設の開設許可の申請書の添付書類
- Attached documents to the written application for permission for establishment of a Facility Similar to a Type 1 Specified Commodity Market
- 店頭商品先物取引の契約の締結前に交付すべき書面の交付等
- Delivery, etc., of documents to be delivered prior to closing a contract of Over-the-Counter Commodity Futures Transactions
- 吸収合併存続株式会社金融商品取引所が公開会社である場合
- when the Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger is a Public Company; or
- 金融商品取引法第二条第十一項第三号(定義)に掲げる行為
- Acts listed in Article 2, paragraph (11), item (iii) (Definitions) of the Financial Instruments and Exchange Act.
- Acts listed in Article 2(11)(iii) of the Financial Instruments and Exchange Act.
- 金融商品取引法第二条第十一項第一号(定義)に掲げる行為
- Acts listed in Article 2, paragraph (11), item (i) (Definitions) of the Financial Instruments and Exchange Act;
- Acts listed in Article 2(11)(i) (Definitions) of the Financial Instruments and Exchange Act;
- 基金の会員の資格を有する者は、金融商品取引業者に限る。
- A person qualified as a member of a Fund shall be limited to Financial Instruments Business Operators.
- 金融商品取引業者を会員とする旨の定款の定めがあること。
- the juridical person's articles of incorporation shall include a provision to the effect that its members shall be Financial Instruments Business Operators;
- 組織変更をする会員金融商品取引所の組織変更総会の議事録
- the minutes of a general meeting concerning Entity Conversion of the Membership-Type Financial Instruments Exchange implementing Entity Conversion;
- 金融商品会員制法人は、次に掲げる事由によつて解散する。
- A Financial Instruments Membership Corporation shall be dissolved based on the following grounds:
- 組織変更をする会員商品取引所の組織変更会員総会の議事録
- Minutes of a general meeting of members concerning Entity Conversion of the Member Commodity Exchange implementing Entity Conversion
- 金融商品取引法第二条第三項第一号に規定する適格機関投資家
- a qualified institutional investor under Article 2, paragraph (3), item (i) of the Financial Instruments and Exchange Act;
- A qualified institutional investor prescribed in Article 2, paragraph (3), item (i) of the Financial Instruments and Exchange Act
- この法律において「金融商品」とは、次に掲げるものをいう。
- The term 'Financial Instruments' as used in this Act means the following:
- 分別基準適合物の再商品化等の促進のための方策に関する事項
- Matters related to measures to promote recycling, etc. of waste containers and packaging that conform to the sorting standards
- 上場商品の所有権の移転を目的としない売買取引をすること。
- Carrying out buying and selling transactions without the intention to transfer ownership of a Listed Commodity
- 会員の数がすべての商品市場について十人以下となつたこと。
- The number of members becomes 10 or less for all Commodity Markets
- 前条第一項各号に掲げる方法のうち、商品取引員が使用するもの
- among methods set forth in the respective items of the preceding Article, paragraph (1), those used by a Futures Commission Merchant;
- 第四目 金融商品取引所持株会社 (第百六条の十―第百九条)
- Division 4 Financial Instruments Exchange Holding Company (Article 106-10 - Article 109)
- 理事長は、金融商品会員制法人を代表し、その事務を総理する。
- The president shall represent the Financial Instruments Membership Corporation and preside over its affairs.
- 金融商品会員制法人の解散及び清算は、裁判所の監督に属する。
- Dissolution and liquidation of a Financial Instruments Membership Corporation shall be subject to the supervision of the court.
- 前項の規定は、株式会社商品取引所の清算人について準用する。
- The provision of the preceding paragraph shall apply mutatis mutandis to liquidators of an Incorporated Commodity Exchange.
- 会員商品取引所に係るもの 第十五条第一項第四号に掲げる基準
- An application pertaining to a Member Commodity Exchange- Criteria set forth in Article 15, paragraph (1), item (iv)
- 金融商品取引業者等の顧客は、次に掲げる行為をしてはならない。
- A customer of a Financial Instruments Business Operator, etc. shall not conduct any of the following acts:
- 第二十四条第一項第一号に掲げる有価証券 同号の金融商品取引所
- Securities falling under the category specified in Article 24(1)(i): the Financial Instruments Exchange referred to in Article 24(1)(i); or
- 委託者保護基金の会員である商品取引員の信託管理人としての業務
- a business as a trust administrator of a Futures Commission Merchant which is a member of the Consumer Protection Fund;
- 別表第二横浜商品取引所の項の改正規定 平成十七年八月二十六日
- provisions revising the paragraph referring to the Yokohama Commodity Exchange, Appended Table 2: August 26, 2005.
- 金融商品取引法第二十八条第六項(通則)に規定する投資助言業務
- Investment advisory services as defined in Article 28, paragraph (6) (General Rules) of the Financial Instruments and Exchange Act;
- 外国市場取引を行う外国金融商品取引所参加者がなくなつたとき。
- when a Foreign Financial Instruments Exchange comes to have no Participants of Foreign Financial Instruments Exchange which conducts Foreign Market Transactions;
- 外国市場取引が行われる外国金融商品市場の全部を閉鎖したとき。
- when a Foreign Financial Instruments Exchange has closed all its Foreign Financial Instruments Markets in which to conduct Foreign Market Transactions; and
- 金融商品仲介業に関連し、次に掲げるいずれかの行為を行うこと。
- to conduct any of the following acts in relation to the Financial Instruments Intermediary Service:
- 金融商品取引清算機関 (第百五十六条の二―第百五十六条の二十)
- Financial Instruments Clearing Organization (Article 156-2 - Article 156-20)
- 損失補てん等の禁止等に関する金融商品取引業者等に係る規定の準用
- Applications Mutatis Mutandis of Provisions Pertaining to Financial Instruments Business Operators, etc. in Relation to Prohibition of Compensations of Loss, etc.
- 金融商品会員制法人は、営利の目的をもつて業務を行つてはならない
- A Financial Instruments Membership Corporation shall not conduct the business for profit.
- 合併(合併により当該金融商品会員制法人が消滅した場合に限る。)
- merger (limited to the case where the Financial Instruments Membership Corporation has been extinguished as a result of a merger);
- 組織変更後株式会社商品取引所の資本金及び準備金の額に関する事項
- Matters concerning the amount of the stated capital and reserve of the Incorporated Commodity Exchange after Entity Conversion
- 取引参加者の数がすべての商品市場について十人以下となつたとき。
- When the number of Trading Participants becomes 10 or less for all Commodity Markets
- 第四十九条の規定は、株式会社商品取引所の役員について準用する。
- The provisions of Article 49 shall apply mutatis mutandis to officers of an Incorporated Commodity Exchange.
- 株式会社商品取引所に係るもの 第八十条第一項第六号に掲げる基準
- An application pertaining to a Incorporated Commodity Exchange- Criteria set forth in Article 80, paragraph (1), item (vi)
- 第二種金融商品取引業又は投資助言・代理業のみを行う者の兼業の範囲
- Scope of Subsidiary Businesses of Persons Who Only Engage in Type II Financial Instruments Business or Investment Advisory and Agency Business
- 取引所金融商品市場における有価証券の売買又は市場デリバティブ取引
- sales and purchase of Securities conducted in a Financial Instruments Exchange Market or Market Transactions of Derivatives; or
- 当該店頭商品先物取引の種類及び期限、数量、対価の額又は約定価格等
- the type, term, quantity, and amount of consideration or Contract Price, etc., of said Over-the-Counter Commodity Futures Transaction;
- 特定の金融商品取引業者に対し差別的取扱いをしないものであること。
- discriminatory treatment is not provided for a particular Financial Instruments Business Operator.
- 各年度において再商品化がされる当該特定分別基準適合物の量の見込み
- Prospective amount of the waste containers and packaging that conform to the specified sorting standards, which are recycled in each fiscal year
- 生産者、卸売商人又は小売商人が売却した産物又は商品の代価に係る債権
- a claim pertaining to the price of any product or goods sold by a manufacturer, wholesale merchant, or retail merchant;
- 商品取引所に預託しなければならない金銭及び有価証券から除かれるもの
- Exclusion of cash and Securities to be deposited with a Commodity Exchange
- 組織変更後株式会社金融商品取引所の資本金及び準備金の額に関する事項
- matters concerning the amount of the stated capital and reserve fund of the Stock Company-Type Financial Instruments Exchange after Entity Conversion; and
- 吸収合併消滅会員金融商品取引所の会員に対して交付する金銭の額の合計額
- the total amount of the money to be delivered to members of the Membership-Type Financial Instruments Exchange Extinguished upon an Absorption-Type Merger.
- 何人も、商品市場における取引に関し、次に掲げる行為をしてはならない。
- No person may conduct the following acts with regard to Transactions on a Commodity Market:
- 商品市場の開設に係るもの(次号に掲げるものを除く。) 次に掲げる基準
- An application pertaining to the opening of a Commodity Market (excluding those in the following item)- The following criteria:
- 当該金融商品取引業者等が承諾日から期限日までに締結する対象契約の相手方
- the person with whom the Financial Instruments Business Operator, etc. will conclude Subject Contracts during the period from the Date of Acceptance to the Expiration Date.
- 第二種特定商品市場類似施設の開設後一年間の取引量の見込みを記載した書面
- a document stating the estimated transaction volume for one year after the establishment of a Facility Similar to a Type 2 Specified Commodity Market;
- 第一種特定商品市場類似施設の開設後一年間の取引量の見込みを記載した書面
- a document stating the estimated transaction volume for one year after the establishment of a Facility Similar to a Type 1 Specified Commodity Market;
- 取引所金融商品市場における有価証券の売買等 (第百十条―第百三十三条)
- Sales and Purchase of Securities, etc. in Financial Instruments Exchange Market (Article 110 - Article 133)
- 第百一条の四の規定は、吸収合併存続会員金融商品取引所について準用する。
- The provisions of Article 101-4 shall apply mutatis mutandis to a Membership-Type Financial Instruments Exchange Surviving an Absorption-Type Merger.
- 第百一条の四の規定は、新設合併消滅会員金融商品取引所について準用する。
- The provisions of Article 101-4 shall apply mutatis mutandis to a Membership-Type Financial Instruments Exchange Extinguished upon a Consolidation-Type Merger.
- 第百一条の四の規定は、吸収合併消滅会員金融商品取引所について準用する。
- Article 101-4 shall apply mutatis mutandis to a Membership-Type Financial Instruments Exchange Extinguished upon an Absorption-Type Merger.
- 認可申請者が金融商品取引所の業務の公共性に関し十分な理解を有すること。
- the applicant for authorization has sufficient understanding with regard to the public nature of businesses of a Financial Instruments Exchange.
- the applicant for authorization has sufficient understanding with regard to the public nature of business of a Financial Instruments Exchange.
- 第一種金融商品取引業(有価証券関連業に該当するものに限る。) 五千万円
- Type I Financial Instruments Services (limited to business which falls under the category of Securities Services): 50 million yen;
- 金融商品会員制法人の住所は、その主たる事務所の所在地にあるものとする。
- The address of a Financial Instruments Membership Corporation shall be at the location of its principal office.
- 認可協会は、金融商品取引業者でなければ、これを設立することができない。
- An Authorized Association may be established only by Financial Instruments Business Operators.
- 前二号に掲げる事項のほか、商品市場における取引等の受託に関し必要な事項
- In addition to the matters listed in the preceding two items, necessary matters concerning the brokerage of Transactions on a Commodity Market, etc.
- 前号に掲げるもののほか、組織変更後株式会社商品取引所の定款で定める事項
- In addition to the matters listed in the preceding item, the matters specified by the articles of incorporation of the Incorporated Commodity Exchange after Entity Conversion
- 組織変更後株式会社商品取引所の取締役の氏名及び会計監査人の氏名又は名称
- The names of directors and name of accounting auditor of the Incorporated Commodity Exchange after Entity Conversion
- 外国金融商品市場において行う取引であつて、第三号に掲げる取引と類似の取引
- transactions conducted in a Foreign Financial Instruments Market that are similar to transactions listed in item (iii);
- 上場商品構成物品等の取引に関係のある事業者団体と関係を持っていないこと。
- the committee member shall not have any relationship with a business organization related to transactions of Listed Commodity Component Products, etc.;
- 顧客が商品取引受託業務に関する苦情の相談をする際の電話番号その他の連絡先
- telephone number or other points of contact for dealing with customer complaints pertaining to Commodity Transactions Brokerage Business;
- この省令による改正前の商品取引責任準備金については、なお従前の例による。
- With regard to the liability reserve for commodity trading prior to the revision by this ordinance, the provisions then in force shall remain applicable.
- 前二号に掲げる場合のほか、政令で定める場合 政令で定める金融商品取引業者
- In addition to what is listed in the preceding two items, in cases specified by a Cabinet Order: A Financial Instruments Business Operator as specified by a Cabinet Order.
- 前号に掲げるもののほか、新設合併設立会員金融商品取引所の定款で定める事項
- in addition to the matters listed in the preceding item, the matters specified by the articles of incorporation of the Membership-Type Financial Instruments Exchange Established by a Consolidation-Type Merger; and
- 金融商品取引業者又は法第六十三条第三項に規定する特例業務届出者である法人
- a Financial Instruments Specialist, or a juridical person that falls under the category of a Notifier of Specially Permitted Business Activities as prescribed in Article 63, paragraph (3) of the Act; and
- 協会員及び金融商品仲介業者の有価証券の売買その他の取引の勧誘に関する事項
- matters related to sales and purchase or other transactions of Securities solicited by Member Firms or Financial Instruments Intermediary Service Providers;
- 組織変更をする会員商品取引所の会員に対する前号の株式の割当てに関する事項
- Matters concerning the allotment of the shares set forth in the preceding item to members of the Member Commodity Exchange implementing Entity Conversion
- 金融商品取引業者等は、顧客のため忠実に投資助言業務を行わなければならない。
- A Financial Instruments Business Operator, etc. shall engage in Investment Advisory Business with loyalty to customers.
- 金融商品取引業者は、他の法律の規定にかかわらず、引受人となることができる。
- A Financial Instruments Business Operator may, notwithstanding the provisions of other Acts, become an Underwriter.
- 第二十四条第一項第二号に掲げる有価証券 政令で定める認可金融商品取引業協会
- Securities falling under the category specified in Article 24(1)(ii): the Authorized Financial Instruments Firms Association specified by a Cabinet Order.
- 内閣総理大臣は、金融商品取引業者登録簿を公衆の縦覧に供しなければならない。
- The Prime Minister shall make the registry of Financial Instruments Business Operators available for public inspection.
- 第一種金融商品取引業を行おうとする場合にあつては、次のいずれかに該当する者
- when a person intends to engage in Type I Financial Instruments Business, a person falling under any of the following:
- 内閣総理大臣は、金融商品仲介業者登録簿を公衆の縦覧に供しなければならない。
- The Prime Minister shall make the registry of Financial Instruments Intermediary Service Providers available for public inspection.
- 金融商品仲介業の業務の内容及び方法として内閣府令で定めるものを記載した書類
- a document that contains contents and methods of Financial Instruments Intermediary Service as specified by a Cabinet Office Ordinance;
- 当該登録投資法人の監督役員に対して継続的な報酬を与えている金融商品取引業者
- A Financial Instruments Business Operator that continuously gives remuneration to supervisory officers of said Registered Investment Corporation; and
- 当該金融商品取引業者が、他の基金に会員として加入する手続をとつていること。
- said Financial Instruments Business Operator has taken procedures to join another Fund as a member.
- 組織変更後株式会社金融商品取引所の取締役の氏名及び会計監査人の氏名又は名称
- the names of directors and name of accounting auditor of the Stock Company-Type Financial Instruments Exchange after Entity Conversion;
- 前号に掲げるもののほか、組織変更後株式会社金融商品取引所の定款で定める事項
- in addition to the matters listed in the preceding item, the matters specified by the articles of incorporation of the Stock Company-Type Financial Instruments Exchange after Entity Conversion;
- 組織変更後株式会社商品取引所の目的、商号、本店の所在地及び発行可能株式総数
- The purpose, trade name, the location of the head office and the total number of shares issuable of the Incorporated Commodity Exchange after Entity Conversion
- その者が取引をする商品市場のすべてが第九十五条の規定により閉鎖されたこと。
- All of the Commodity Markets in which the person carries out transactions were closed pursuant to the provisions of Article 95.
- 第百四十四条の十の規定は、新設合併消滅株式会社商品取引所について準用する。
- The provisions of Article 144-10 shall apply mutatis mutandis to a Incorporated Commodity Exchange Dissolved in a Consolidation-Type Merger.
- 金融商品取引契約の締結又はその勧誘に関して、顧客に対し虚偽のことを告げる行為
- an act of providing a customer with false information concerning the conclusion of a Contract for Financial Instruments Transaction or solicitation thereof;
- 顧客の注文内容について確認しないで、商品市場における取引等の受託を行うこと。
- undertaking brokerage of Transactions on a Commodity Market, etc., without confirming the contents of the customer's order;
- 前号に掲げるもののほか、新設合併設立株式会社金融商品取引所の定款で定める事項
- in addition to the matters listed in the preceding item, the matters specified in the articles of incorporation of the Stock Company-Type Financial Instruments Exchange Established by a Consolidation-Type Merger;
- 取引参加者の数が五以下となつたとき(株式会社金融商品取引所の場合に限る。)。
- when the number of the Trading Participants becomes 5 or less (limited to the case of a Stock Company-Type Financial Instruments Exchange);
- 金融商品取引所は、その定款において、信認金の運用方法を定めなければならない。
- A Financial Instruments Exchange shall specify the method of utilization of guarantee funds in its articles of incorporation.
- 前項の「自主規制業務」とは、金融商品取引所について行う次に掲げる業務をいう。
- The term 'Self-Regulation Related Services' set forth in the preceding paragraph shall mean the following services conducted in relation to a Financial Instruments Exchange:
- 金融商品仲介業に関し法令又は法令に基づいてする行政官庁の処分に違反したとき。
- when violating laws and regulations or disposition given by government agencies based on laws and regulations, in relation to the Financial Instruments Intermediary Service.
- 組織変更をする会員金融商品取引所の会員に対する前号の株式の割当てに関する事項
- matters regarding the allotment of the shares set forth in the preceding item to members of the Membership-Type Financial Instruments Exchange implementing Entity Conversion;
- 組織変更時における組織変更前の会員商品取引所に現に存する純資産額を証する書面
- A document proving the amount of net assets existing in the Member Commodity Exchange before Entity Conversion at the time of Entity Conversion
- 株式会社商品取引所になろうとする者は、主務大臣の許可を受けなければならない。
- An entity that intends to become a Incorporated Commodity Exchange shall obtain a license from the competent minister.
- 許可申請者が商品市場を適切に運営するに足りる人的構成を有するものであること。
- The applicant for a license has a personnel structure sufficient for appropriately managing the Commodity Market.
- 商品取引所の定款の変更は、主務大臣の認可を受けなければ、その効力を生じない。
- An amendment to the articles of incorporation of a Commodity Exchange shall not come into effect without the approval of the competent minister having been obtained.
- 当該金融商品取引業者等が承諾日から期限日までに行う対象契約の締結の勧誘の相手方
- the person whom the Financial Instruments Business Operator, etc. will solicit to conclude Subject Contracts during the period from the Date of Acceptance to the Expiration Date; or
- 金融商品取引業は、内閣総理大臣の登録を受けた者でなければ、行うことができない。
- Any Financial Instruments Business shall be conducted only by persons registered by the Prime Minister.
- 金融商品仲介業を適確に遂行することができる知識及び経験を有しないと認められる者
- a person who is found to not be knowledgeable or experienced to conduct Financial Instruments Intermediary Service in an appropriate manner;
- 第四目 会員金融商品取引所の合併の手続 (第百三十九条の三―第百三十九条の六)
- Division 4 Merger Procedures of Membership-Type Financial Instruments Exchange (Article 139-3 - Article 139-6)
- 金融商品取引法第二十八条第八項第三号又は第五号(通則)に掲げる行為の委託の媒介
- Intermediation for the entrustment of acts listed in Article 28, paragraph (8) item (iii) or (v) (General Rules) of the Financial Instruments and Exchange Act; and
- この法律において分別基準適合物について「再商品化」とは、次に掲げる行為をいう。
- The term 'recycling' as used in this Act shall mean the following acts with regard to waste containers and packaging that conform to the sorting standards.
- 合併により消滅する株式会社金融商品取引所の新株予約権は、効力発生日に消滅する。
- Share options of a Stock Company-Type Financial Instruments Exchange extinguished as a result of a merger shall be extinguished on the Effective Date.
- 当該取引一任契約の相手方となる関係外国金融商品取引業者の商号又は名称及び所在地
- the trade name or name, and location of the Relevant Foreign Financial Instruments Specialist which is to become the counterparty to said Discretionary Investment Contract.
- 金融商品仲介業者又はその役員若しくは使用人は、次に掲げる行為をしてはならない。
- A Financial Instruments Intermediary Service Provider or Officers or employees thereof shall not conduct any of the following acts:
- 組織変更後株式会社金融商品取引所の目的、商号、本店の所在地及び発行可能株式総数
- the purpose, trade name, the location of the head office and the total number of authorized shares of the Stock Company-Type Financial Instruments Exchange after Entity Conversion;
- この法律に定めるもののほか、商品取引所の合併に関し必要な事項は、政令で定める。
- In addition to what is provided for in this Act, the necessary matters concerning a merger of Commodity Exchanges shall be specified by a Cabinet Order.
- 第四十六条の規定は、金融商品取引業者が外国法人である場合については、適用しない。
- Article 46 shall not apply to cases where a Financial Instruments Business Operator is a foreign juridical person.
- 前二号に掲げるもののほか、政令で定める投資信託契約 政令で定める金融商品取引業者
- In addition to what is listed in the preceding two items, an Investment Trust Contract as specified by a Cabinet Order: A Financial Instrument Business Operator as specified by a Cabinet Order.
- 第百三十九条の十二の規定は、新設合併消滅株式会社金融商品取引所について準用する。
- Article 139-12 shall apply mutatis mutandis to a Stock Company-Type Financial Instruments Exchange Extinguished upon a Consolidation-Type Merger.
- 金融商品取引所を全部又は一部の当事者とする合併(第百四十条第一項の合併を除く。)
- merger where Financial Instruments Exchanges are all or part of the parties thereto (excluding the merger under Article 140(1)).
- 金融商品債務引受業は、内閣総理大臣の免許を受けた者でなければ、行つてはならない。
- Financial Instruments Obligation Assumption Service shall be conducted only by persons who have obtained a license from the Prime Minister.
- 金融商品仲介業者である法人について破産手続開始の決定があつたとき その破産管財人
- when a decision has been made for commencement of bankruptcy proceedings for a juridical person that is a Financial Instruments Intermediary Service Provider: the bankruptcy trustee thereof; and
- 投資者に対する広報その他公益法人金融商品取引業協会の目的を達成するため必要な業務
- to conduct publicity towards investors or other activities necessary for achieving purposes of the Public Interest Corporation-Type Financial Instruments Firms Association; and
- 前各号に掲げるもののほか、金融商品取引業の健全な発展又は投資者の保護に資する業務
- in addition to what is listed in the preceding items, activities that would contribute to the sound development of Financial Instruments Businesses and protection of investors.
- 前二号に掲げるもののほか、金融商品取引業の健全な発展又は投資者の保護に資する業務
- in addition to what is listed in the preceding two items, activities that would contribute to the sound development of Financial Instruments Businesses and protection of investors.
- 商品市場における相場が自己又は他人の市場操作によつて変動すべき旨を流布すること。
- Spreading information that the quotations on a Commodity Market would change through market manipulation by said person or another person
- 商業登記法第七十一条第一項の規定は、会員商品取引所の解散の登記について準用する。
- The provisions of Article 71, paragraph (1) of the Commercial Registration Act shall apply mutatis mutandis to the registration of dissolution of a Member Commodity Exchange.
- 金融商品仲介業者以外の者は、前項の標識又はこれに類似する標識を掲示してはならない。
- No person other than a Financial Instruments Intermediary Service Provider shall post a sign prescribed in the preceding paragraph or a sign similar thereto.
- 金融商品取引業者等である法人が破産手続開始の決定により解散したとき その破産管財人
- when a juridical person that is a Financial Instruments Business Operator, etc. has dissolved upon decision of commencement of bankruptcy proceedings: the bankruptcy trustee thereof;
- 商品市場における取引等の委託につき、顧客に対し、取引単位を告げないで勧誘すること。
- soliciting the consignment of transactions, etc., on the Commodity Market from a customer without disclosing the transaction unit;
- 当該顧客が当該金融商品取引業者又は登録金融機関を代理して成立させるものであること。
- the Subject Transaction is effected by the customer on behalf of the Financial Instruments Business Operator or Registered Financial Institution; or
- 吸収合併存続株式会社金融商品取引所の計算書類に関する事項として内閣府令で定めるもの
- matters specified by a Cabinet Office Ordinance as the matters concerning financial statements of a Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger; and
- 金融商品会員制法人の定款には、次に掲げる事項を記載し、又は記録しなければならない。
- The following matters shall be contained or recorded in the articles of incorporation of a Financial Instruments Membership Corporation:
- 金融商品会員制法人は、その名称のうちに会員制法人という文字を用いなければならない。
- A Financial Instruments Membership Corporation shall use the term 'Kaiinsei Hojin' (which means 'membership corporation') in its name.
- 金融商品取引所は、その名称又は商号のうちに取引所という文字を用いなければならない。
- A Financial Instruments Exchange shall use the term 'Torihikijo' (which means 'exchange') in its name or trade name.
- 効力発生日における組織変更をする会員金融商品取引所に現に存する純資産額を証する書面
- a document proving the amount of net assets existing in the Membership-Type Financial Instruments Exchange implementing Entity Conversion as of the Effective Date;
- 第九十八条第四項及び第五項の規定は、株式会社金融商品取引所の役員について準用する。
- The provisions of Article 98(4) and (5) shall apply mutatis mutandis to the Officers of a Stock Company-Type Financial Instruments Exchange.
- 金融商品会員制法人に、役員として、理事長一人、理事二人以上及び監事二人以上を置く。
- A Financial Instruments Membership Corporation shall appoint one president, two or more board members and two or more auditors as its Officers.
- 金融商品会員制法人の清算人の選任の裁判に対しては、不服を申し立てることができない。
- No appeal may be filed with regard to the judicial decision of appointment of a liquidator of a Financial Instruments Membership Corporation.
- 会員等は、商品取引所が業務規程で定めるところにより行う格付に従わなければならない。
- A Member, etc. shall comply with the grading conducted by a Commodity Exchange pursuant to the provisions of the market rules.
- 金融商品取引業者等以外の者は、前項の標識又はこれに類似する標識を掲示してはならない。
- No person other than a Financial Instruments Business Operator, etc. shall post a sign prescribed in the preceding paragraph or a sign similar thereto.
- 金融商品取引業者等は、その行う投資助言業務に関して、次に掲げる行為をしてはならない。
- A Financial Instruments Business Operator, etc. shall not conduct any of the following acts with regard to his/her Investment Advisory Business:
- 金融商品取引業者等である法人が分割により事業の全部又は一部を承継させたとき その法人
- when a juridical person that is a Financial Instruments Business Operator, etc. has had whole or part of its business succeeded to upon company split: the juridical person; or
- 商品取引員は、毎営業日ごとに、純資産額規制比率の状況を適切に把握しなければならない。
- A Futures Commission Merchant shall be aware of the status of the Merchant's own Net Assets Regulation Ratio appropriately on every business day.
- 認可申請者及びその子会社となる株式会社金融商品取引所の収支の見込みが良好であること。
- the applicant for authorization and the Stock Company-Type Financial Instruments Exchange which is to become its Subsidiary Company have good prospects for the income and expenditure of the business;
- 金融商品仲介業者である法人が合併により消滅したとき その法人を代表する役員であつた者
- when a juridical person that is a Financial Instruments Intermediary Service Provider has extinguished upon merger: the person who was the Officer representing the juridical person;
- 特定株式会社金融商品取引所は、自主規制委員の名簿を公衆の縦覧に供しなければならない。
- A Specified Stock Company-Type Financial Instruments Exchange shall make the directory of the members of the Self-Regulating Committee available for public inspection.
- 組織変更後株式会社商品取引所の資本金として計上すべき額については、主務省令で定める。
- The amounts that should be included in the stated capital of an Incorporated Commodity Exchange after Entity Conversion shall be specified by an ordinance of the competent ministry.
- 会員等は、前項の信認金を預託した後でなければ、商品市場において取引をしてはならない。
- A Member, etc. shall not carry out transactions on a Commodity Market until after depositing the guarantee funds set forth in the preceding paragraph.
- 金融商品取引業(投資助言・代理業を除く。)を適確に遂行するに足りる人的構成を有しない者
- a person who does not have a personnel structure sufficient to conduct Financial Instruments Business (excluding Investment Advisory and Agency Business) in an appropriate manner.
- 第四十二条の五から第四十二条の七まで 金融商品取引業者等が締結した投資一任契約の相手方
- Articles 42-5 to 42-7: the other party to a Discretionary Investment Contract concluded by a Financial Instruments Business Operator, etc.
- 金融商品取引業者等である法人が合併により消滅したとき その法人を代表する役員であつた者
- when a juridical person that is a Financial Instruments Business Operator, etc. has extinguished upon merger: the person who was an Officer representing the juridical person;
- 第五目 株式会社金融商品取引所の合併の手続 (第百三十九条の七―第百三十九条の二十一)
- Division 5 Merger Procedures of Stock Company-Type Financial Instruments Exchange (Article 139-7 - Article 139-21)
- 店頭商品先物取引業者の氏名又は商号若しくは名称及び住所並びに法人にあっては代表者の氏名
- the name or trade name and address of the Over-the-Counter Commodity Futures Transactions Dealer; if such dealer is a juridical person, the name of its representative;
- 当該金融商品取引業者等は、対象権利者のため忠実に投資運用業を行わなければならないこと。
- that said Financial Instruments Specialist, etc. will engage in the Investment Management for the Subject Right Holder in a loyal manner; and
- 免許申請者が取引所金融商品市場を適切に運営するに足りる人的構成を有するものであること。
- the applicant for license has a personnel structure sufficient for appropriately operating the Financial Instruments Exchange Market; or
- 金融商品会員制法人の理事は、少なくとも毎年一回、会員の通常総会を開かなければならない。
- Board members of a Financial Instruments Membership Corporation shall convene an ordinary general meeting of members at least once a year.
- 当該株式会社金融商品取引所の取締役は、次に掲げるものの閲覧及び謄写をすることができる。
- The directors of the Stock Company-Type Financial Instruments Exchange may inspect or copy the following:
- 特別代理人の選任は、金融商品会員制法人の主たる事務所の所在地の地方裁判所の管轄とする。
- Appointment of a special agent shall fall under the jurisdiction of a district court in the district where the principal office of a Financial Instruments Membership Corporation is located.
- 上場商品の格付の方法、格付表その他格付に関する事項は、業務規程で定めなければならない。
- The method of grading, the grade table and other matters concerning the grading of a Listed Commodity shall be specified by the market rules.
- 株式会社商品取引所を全部又は一部の当事者とする合併(第百四十五条第一項の合併を除く。)
- A merger where Incorporated Commodity Exchanges are all or part of the parties thereto (excluding a merger set forth in Article 145, paragraph (1))
- 合併後の商品取引所の資本金の額が第八十条第一項第一号の政令で定める金額以上であること。
- The amount of stated capital of the Commodity Exchange Resulting from a Merger is not less than an amount specified by a Cabinet Order as set forth in Article 80, paragraph (1), item (i).
- 第一種金融商品取引業又は投資運用業を行おうとする場合にあつては、次のいずれかに該当する者
- when a person intends to engage in Type I Financial Instruments Business or Investment Management Business, a person who falls under any of the following; or
- 信託業法第四章の規定は、金融商品取引業者等が投資運用業を行う場合については、適用しない。
- The provisions of Chapter IV of the Trust Business Act shall not apply where a Financial Instruments Business Operator, etc. engages in Investment Management Business.
- 吸収合併存続株式会社金融商品取引所の純資産額として内閣府令で定める方法により算定される額
- the amount calculated by the methods specified by a Cabinet Office Ordinance as the amount of Net Assets of the Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger.
- 認可を受けた日から六月以内に株式会社金融商品取引所を子会社とする会社とならなかつたとき。
- when a Financial Instruments Exchange Holding Company fails to become a company which has a Stock Company-Type Financial Instruments Exchanges as its Subsidiary Company, within six months from the date when authorization has been obtained.
- 分別収集された容器包装廃棄物の再商品化のための円滑な引渡しその他の適正な処理に関する事項
- Matters related to smooth delivery and other proper management for recycling of waste containers and packaging collected by sorted collection
- 対象権利者のため運用を行う権限の全部を委託する旨及び当該金融商品取引業者等の商号又は名称
- a statement to the effect that all of the authority to make investments for the Right Holder is entrusted, and the trade name and name of said Financial Instruments Specialist;
- 免許申請者が金融商品取引所としてこの法律の規定に適合するように組織されるものであること。
- the applicant for license will be organized as a Financial Instruments Exchange in such a manner that conforms to the provisions of this Act.
- 組織変更後株式会社金融商品取引所の資本金として計上すべき額については、内閣府令で定める。
- The amount that should be included in the stated capital of a Stock Company-Type Financial Instruments Exchange after Entity Conversion shall be specified by a Cabinet Office Ordinance.
- 自主規制委員は、特定株式会社金融商品取引所の取締役会の決議によつて解職することができる。
- The members of the Self-Regulating Committee may be removed by a resolution of the meeting of the board of directors of the Specified Stock Company-Type Financial Instruments Exchange.
- 会員は、定款の定めるところにより、金融商品会員制法人の承認を受けて脱退することができる。
- A member may withdraw from the membership with an approval of the Financial Instruments Membership Corporation, pursuant to the provisions of the articles of incorporation.
- 金融商品会員制法人は、主たる事務所の所在地において、設立の登記をすることにより成立する。
- A Financial Instruments Membership Corporation shall be established by registering its establishment in the district of the location of its principal office.
- 株式会社商品取引所が次の各号のいずれかに該当するときは、第七十八条の許可は、効力を失う。
- When an Incorporated Commodity Exchange falls under any of the following items, the license under Article 78 shall cease to be effective:
- 金融商品取引業に関し、不正又は著しく不当な行為をした場合において、その情状が特に重いとき。
- when a wrongful act or extremely unjust act has been conducted with regard to Financial Instruments Business, and when the circumstances are especially serious;
- 事業譲渡の当事者(商品取引員を除く。)の直前三年の各事業年度の計算書類等及びその附属明細書
- Financial Statements, etc., of the parties to the Business Transfer (excluding a Futures Commission Merchant) for each business year for the most recent three years and detailed statements thereof;
- 吸収分割の当事者(商品取引員を除く。)の直前三年の各事業年度の計算書類等及びその附属明細書
- Financial Statements, etc., of the parties to the Absorption-Type Split (excluding a Futures Commission Merchant) for each business year for the most recent three years and detailed statements thereof;
- 商品市場における取引等の委託につき、重要な事項について誤解を生ぜしめるべき表示をすること。
- making a representation that would cause a misunderstanding of an important matter with regard to the consignment of transactions, etc., on the Commodity Market;
- 認可申請者が専ら株式会社金融商品取引所を子会社として保有することを目的とする者であること。
- the applicant for authorization is a person whose sole purpose is the holding of a Stock Company-Type Financial Instruments Exchange as its Subsidiary Company;
- 当該申請に係る上場に関し、当該取引所金融商品市場における取引の公正が確保されていないこと。
- with regard to the listing pertaining to the application, fairness in transactions on the Financial Instruments Exchange Market has not been secured.
- 金融商品会員制法人の設立の登記は、創立総会の終了の日から二週間以内に、しなければならない。
- Registration of establishment of a Financial Instruments Membership Corporation shall be made within two weeks from the day of completion of its organizational meeting.
- 商品取引所は、その受託契約準則において、次に掲げる事項に関する細則を定めなければならない。
- A Commodity Exchange shall specify detailed regulations on the following matters in its brokerage contract rules:
- 商品取引所は、その紛争処理規程において、次に掲げる事項に関する細則を定めなければならない。
- A Commodity Exchange shall specify detailed regulations on the following matters in its dispute resolution rules:
- 金融商品取引業者等は、内閣府令で定めるところにより、最良執行方針等を公表しなければならない。
- A Financial Instruments Business Operator, etc. shall, pursuant to the provisions of a Cabinet Office Ordinance, announce its Best Execution Policy, etc.
- 金融商品取引所が次の各号のいずれかに該当するときは、第八十条第一項の免許は、その効力を失う。
- When a Financial Instruments Exchange falls under any of the cases specified in the following items, the license granted under Article 80(1) shall cease to be effective:
- 容器包装廃棄物の排出の抑制並びにその分別収集及び分別基準適合物の再商品化の促進等の基本的方向
- Basic direction of promotion, etc. of reduction of waste containers and packaging discharged and sorted collection thereof, and recycling of waste containers and packaging that conform to the sorting standards
- 基金の会員である金融商品取引業者は、次に掲げる事由により、当然、その所属する基金を脱退する。
- A Financial Instruments Business Operator which is a member of a Fund shall automatically withdraw the Fund to which it belongs due to the following causes:
- 金融商品取引所は、特定の会員等又は有価証券の発行者に対し不当な差別的取扱いをしてはならない。
- A Financial Instruments Exchange shall not provide unjust discriminatory treatment to a particular Member, etc. or a particular Issuer of Securities.
- 自主規制委員は、特定株式会社金融商品取引所の取締役の中から、取締役会の決議によつて選定する。
- Members of the Self-Regulating Committee shall be appointed from directors of a Specified Stock Company-Type Financial Instruments Exchange by a resolution of a meeting of the board of directors.
- 許可申請者が株式会社商品取引所としてこの法律の規定に適合するように組織されるものであること。
- The applicant for a license is organized in such a way as to conform to the provisions of this Act as an Incorporated Commodity Exchange.
- イ、ロ、ニ及びホに掲げる取引(ロに掲げる取引に準ずる取引で金融商品取引所の定めるものを含む。)
- transactions listed in (a), (b), (d), and (e) (including transactions equivalent to transactions listed in (b) that are prescribed by the Financial Instruments Exchange).
- この法律において「金融商品市場」とは、有価証券の売買又は市場デリバティブ取引を行う市場をいう。
- The term 'Financial Instruments Market' as used in this Act means a market in which sales and purchase of Securities or Market Transactions of Derivatives are conducted.
- 金融商品取引法第百八十七条及び第百九十一条の規定は、第一項の規定による申立てについて準用する。
- The provisions of Article 187 and Article 191 of the Financial Instruments and Exchange Act shall apply mutatis mutandis to the petition referred to in paragraph (1).
- The provisions of Article 187 and Article 191 of the Financial Instruments and Exchange Act shall apply mutatis mutandis to a petition as referred to in paragraph (1).
- その他取引所金融商品市場における取引の公正を確保するために必要な業務として内閣府令で定めるもの
- other business specified by a Cabinet Office Ordinance as that which may be necessary for ensuring fairness in transactions on a Financial Instruments Exchange Market.
- 金融商品仲介業者である法人が合併及び破産手続開始の決定以外の理由により解散したとき その清算人
- when a juridical person that is a Financial Instruments Intermediary Service Provider has been dissolved due to reasons other than a merger or a decision of commencement of bankruptcy proceedings: the liquidator thereof.
- 金融商品会員制法人の理事は、必要があると認めるときは、いつでも臨時総会を招集することができる。
- The directors of a Financial Instruments Membership Corporation may, whenever he/she finds it necessary, convene an extraordinary general meeting.
- 金融商品取引業者等は、最良執行方針等に従い、有価証券等取引に関する注文を執行しなければならない。
- A Financial Instruments Business Operator, etc. shall execute orders for Transactions of Securities, etc. in accordance with its Best Execution Policy, etc.
- 金融商品取引業者等は、顧客に対し、善良な管理者の注意をもつて投資助言業務を行わなければならない。
- A Financial Instruments Business Operator, etc. shall engage in Investment Advisory Business with due care of a prudent manager for customers.
- 金融商品取引業者等は、権利者に対し、善良な管理者の注意をもつて投資運用業を行わなければならない。
- A Financial Instruments Business Operator, etc. shall engage in Investment Management Business with due care of a prudent manager for Right Holders.
- 金融商品取引業者等である法人が合併及び破産手続開始の決定以外の理由により解散したとき その清算人
- when a juridical person that is a Financial Instruments Business Operator, etc. has dissolved due to reasons other than a merger or the decision of commencement of bankruptcy proceedings: the liquidator thereof;
- 顧客を担当する登録外務員の氏名及び連絡先並びに当該登録外務員の所属する商品取引員の住所及び連絡先
- the name of the Registered Sales Representative who is in charge of a customer and the address and point of contact of the Futures Commission Merchant of said Registered Sales Representative.
- 外国金融商品取引所が次の各号のいずれかに該当するときは、第百五十五条第一項の認可は、効力を失う。
- When a Foreign Financial Instruments Exchange falls under any of the cases specified in the following items, the authorization granted under Article 155(1) shall cease to be effective:
- 金融商品取引業者は、認可協会を設立しようとするときは、内閣総理大臣の認可を受けなければならない。
- A Financial Instruments Business Operator who intends to establish an Authorized Association shall obtain an authorization from the Prime Minister.
- 金融商品会員制法人と特定の会員との関係について議決をする場合には、その会員は、議決権を有しない。
- When making any resolution on a relationship between a Financial Instruments Membership Corporation and a particular member, such member shall not have a voting right.
- 前号に規定する場合には、組織変更をする会員商品取引所の会員に対する同号の金銭の割当てに関する事項
- In the case prescribed in the preceding item, matters concerning the allotment of money under the same item to members of the Member Commodity Exchange implementing Entity Conversion
- 組織変更後株式会社商品取引所の資本金の額が第八十条第一項第一号の政令で定める金額以上であること。
- The amount of the stated capital of the Incorporated Commodity Exchange after Entity Conversion is not less than an amount specified by a Cabinet Order set forth in Article 80, paragraph (1), item (i).
- 金融商品取引業者等が次の各号に掲げる業務を行う場合においては、当該各号に定める規定は、適用しない。
- When a Financial Instruments Business Operator, etc. engages in businesses listed in the following items, the provision of said respective items shall not be applied.
- 金融商品取引業者は、自己資本規制比率が百二十パーセントを下回ることのないようにしなければならない。
- A Financial Instruments Business Operator shall keep the Capital-to-Risk Ratio at no less than 120 percent.
- この号に規定する方法により多数の者に対して同様の内容で行う情報の提供をする商品取引員の商号又は通称
- the trade name or common name of the Futures Commission Merchant that provides information with the same contents to a large number of persons by the method prescribed in this item;
- 特定業者又は店頭商品先物取引業者の氏名又は商号若しくは名称及び住所並びに法人にあっては代表者の氏名
- the name or trade name, and address of the Specified Commercial Dealer or Over-the-Counter Commodity Futures Transactions Dealer; if such dealer is a juridical person, the name of its representative;
- 当該特定資産に有価証券及び不動産以外の政令で定める資産が含まれる場合 政令で定める金融商品取引業者
- When assets other than the Securities and Real Property specified by a Cabinet Order are included in the Specified Assets: A Financial Instruments Business Operator as specified by a Cabinet Order.
- 金融商品会員制法人は、会員名簿を備え置き、会員の変更があるごとに必要な変更を加えなければならない。
- A Financial Instruments Membership Corporation shall keep its directory of members and make necessary changes whenever there is any change in the members.
- 金融商品会員制法人は、理事長又は理事がその職務を行うについて他人に加えた損害を賠償する責任を負う。
- A Financial Instruments Membership Corporation shall be liable for the damage caused to others by its president or board members during the course of performance of their duties.
- 商業登記法第七十一条第一項の規定は、この法律による金融商品会員制法人の解散の登記について準用する。
- The provisions of Article 71(1) of the Commercial Registration Act shall apply mutatis mutandis to a registration of dissolution of a Financial Instruments Membership Corporation under this Act.
- 合併後の商品取引所の役員のうちに第十五条第二項第一号イからルまでのいずれかに該当する者があるとき。
- If the officers of the Commodity Exchange Resulting from a Merger include any of the persons who fall under any category of the persons in Article 15, paragraph (2), item (i) (a) to (k) inclusive
- 流通状況が前号に掲げる株券等に準ずるものとして政令で定める株券等 政令で定める認可金融商品取引業協会
- Share Certificates, etc. specified by a Cabinet Order as those of which the state of distribution can be regarded as being equivalent to Share Certificates, etc. referred to in the preceding item: the Authorized Financial Instruments Firms Association specified by a Cabinet Order.
- 合併の当事者(商品取引員を除く。)が劣後特約付借入金を借り入れている場合にあっては、その契約書の写し
- in cases where a party to a merger (excluding a Futures Commission Merchant) has Subordinated Borrowings, a copy of all contracts;
- この法律において「金融商品仲介業者」とは、第六十六条の規定により内閣総理大臣の登録を受けた者をいう。
- The term 'Financial Instruments Intermediary Service Provider' as used in this Act means a person who has been granted registration by the Prime Minister under Article 66.
- この法律において「金融商品取引業者」とは、第二十九条の規定により内閣総理大臣の登録を受けた者をいう。
- The term 'Financial Instruments Business Operator' as used in this Act means a person registered by the Prime Minister under Article 29.
- 前号に規定する場合には、吸収合併消滅会員金融商品取引所の会員に対する同号の株式等の割当てに関する事項
- in the case prescribed in the preceding item, matters concerning allotment of Shares, etc. set forth in said item to members of a Membership-Type Financial Instruments Exchange Extinguished upon an Absorption-Type Merger; and
- 基金を設立するには、その会員になろうとする二十以上の金融商品取引業者が発起人とならなければならない。
- In order to establish a Fund, 20 or more Financial Instruments Business Operators which intend to become its members shall become the founders.
- 前号に規定する場合には、組織変更をする会員金融商品取引所の会員に対する同号の金銭の割当てに関する事項
- in the case prescribed in the preceding item, matters concerning the allotment of money under that item to the members of the Membership-Type Financial Instruments Exchange implementing Entity Conversion;
- 申込者は、会員商品取引所の割り当てた組織変更時発行株式の数について組織変更時発行株式の引受人となる。
- An Applicant shall become a subscriber for the Shares Issued upon Entity Conversion with regard to the number of the Shares Issued upon Entity Conversion allotted by a Member Commodity Exchange.
- 商業登記法第七十六条及び第七十八条の規定は、第一項の会員商品取引所の組織変更の登記について準用する。
- The provisions of Article 76 and Article 78 of the Commercial Registration Act shall apply mutatis mutandis to registration of Entity Conversion of the Member Commodity Exchange set forth in paragraph (1).
- 会員商品取引所の清算を監督する裁判所は、主務大臣に対し、意見を求め、又は調査を嘱託することができる。
- A court supervising the liquidation of a Member Commodity Exchange may seek the opinion of or request an investigation from the competent minister.
- 商品市場の開設に係るもの(次号に掲げるものを除く。) 第八十条第一項第二号から第六号までに掲げる基準
- An application pertaining to the opening of a Commodity Market (excluding those in the following item)- Criteria set forth in Article 80, paragraph (1), items (ii) to (vi) inclusive
- 金融商品取引業者等は、その行う投資助言・代理業又は投資運用業に関して、次に掲げる行為をしてはならない。
- A Financial Instruments Business Operator, etc. shall not conduct any of the following acts with regard to his/her Investment Advisory and Agency Business or Investment Management Business:
- 金融商品取引業者等は、顧客に対し、善良な管理者の注意をもつて有価証券等管理業務を行わなければならない。
- A Financial Instruments Business Operator, etc. shall engage in Securities, etc. Management Business with due care of a prudent manager for customers.
- この法律において「認可金融商品取引業協会」とは、第四章第一節第一款の規定に基づいて設立された者をいう。
- The term 'Authorized Financial Instruments Firms Association' as used in this Act means a person established under Subsection 1 of Section 1 of Chapter IV.
- 第百六十四条及び第百六十七条の改正規定並びに別表第二中部商品取引所の項の改正規定 平成十七年十月十一日
- provisions revising Article 164 and Article 167, and provisions revising the paragraph referring to the Chubu Commodity Exchange (currently Central Japan Commodity Exchange), Appended Table 2: October 11, 2005;
- その他容器包装廃棄物の排出の抑制並びにその分別収集及び分別基準適合物の再商品化の促進等に関する重要事項
- Other important matters related to the promotion, etc. of reduction of waste containers and packaging discharged and sorted collection thereof, and recycling of waste containers and packaging that conform to the sorting standards
- 金融商品会員制法人の事務は、定款で理事その他の役員に委任したものを除き、すべて総会の決議によつて行う。
- All business of the Financial Instruments Membership Corporation shall be carried out under the resolution of the general meeting, except those delegated to the board members or other Officers by the articles of incorporation.
- 吸収分割の当事者(商品取引員を除く。)が劣後特約付借入金を借り入れている場合にあっては、その契約書の写し
- in cases where a party to an Absorption-Type Split (excluding a Futures Commission Merchant) has Subordinated Borrowings, a copy of all contracts;
- 事業譲渡の当事者(商品取引員を除く。)が劣後特約付借入金を借り入れている場合にあっては、その契約書の写し
- in cases where a party to the Business Transfer (excluding a Futures Commission Merchant) has Subordinated Borrowings, a copy of all contracts;
- 流通状況が前号に掲げる有価証券に準ずるものとして政令で定める有価証券 政令で定める認可金融商品取引業協会
- Securities specified by a Cabinet Order as those of which the state of distribution can be regarded as being equivalent to Securities referred to in the preceding item: the Authorized Financial Instruments Firms Association specified by the Cabinet Order.
- この法律において「デリバティブ取引」とは、金融商品取引法第二条第二十項に規定するデリバティブ取引をいう。
- The term 'Derivative Transactions' as used in this Act shall mean Derivative Transactions as prescribed in Article 2, paragraph (20) of the Financial Instruments and Exchange Act.
- 新設合併設立会員金融商品取引所の設立に際して理事長、理事及び監事となる者の氏名その他内閣府令で定める事項
- the names of the persons who become the president, board members and auditors at the time of the establishment of the Membership-Type Financial Instruments Exchange Established by a Consolidation-Type Merger and other matters specified by a Cabinet Office Ordinance.
- 新設合併消滅株式会社金融商品取引所は、株主総会の決議によつて、新設合併契約の承認を受けなければならない。
- A Stock Company-Type Financial Instruments Exchange Extinguished upon a Consolidation-Type Merger shall obtain approval for the Consolidation-Type Merger agreement by a resolution of a shareholders meeting.
- 当該金融商品取引所の主要株主(第百六条の三第一項の認可又は第百六条の十七第一項の認可を受けた者をいう。)
- the Major Shareholders of the Financial Instruments Exchange (meaning the person granted authorization under Article 106-3(1) or 106-17(1)); or
- 円滑かつ効率的な容器包装廃棄物の分別収集及び分別基準適合物の再商品化のために必要とされる調整に関する事項
- Matters related to the coordination that is considered necessary for smooth and efficient sorted collection of waste containers and packaging and recycling of waste containers and packaging that conform to the sorting standards
- 申込者は、会員金融商品取引所の割り当てた組織変更時発行株式の数について組織変更時発行株式の引受人となる。
- An Applicant shall become a subscriber for the Shares Issued upon Entity Conversion with regard to the number of the Shares Issued upon Entity Conversion allotted by a Membership-Type Financial Instruments Exchange.
- 裁判所は、金融商品会員制法人の解散及び清算の監督に必要な検査をさせるため、検査役を選任することができる。
- The court may appoint an inspector to conduct necessary inspections for supervision of dissolution and liquidation of a Financial Instruments Membership Corporation.
- 前二項の規定は、第一項の会員又は前項の取引参加者から委託を受けて商品清算取引を行う場合には、適用しない。
- The provisions of the preceding two paragraphs shall not apply to the case of carrying out a Commodity Clearing Transaction on consignment from a member under paragraph (1) or a Trading Participant under the preceding paragraph.
- この章において「投資運用業」とは、金融商品取引業のうち、次に掲げる行為のいずれかを業として行うことをいう。
- The term 'Investment Management Business' as used in this Chapter means, among Financial Instruments Businesses, conducting any of the following acts in the course of trade:
- 金融商品仲介業者並びにその役員及び使用人は、顧客に対して誠実かつ公正に、その業務を遂行しなければならない。
- A Financial Instruments Intermediary Service Provider as well as Officers and employees thereof shall execute their business in good faith and fairly to customers.
- 故意に、商品取引受託業務に係る取引と自己の取引を対当させて、委託者の利益を害することとなる取引をすること。
- intentionally countering its own transactions with regard to transactions pertaining to the Commodity Transactions Brokerage Business and carrying out a transaction which may harm the interest of a customer;
- 金融商品会員制法人を設立するには、発起人が定款を作成し、その全員が署名し、又は記名押印しなければならない。
- In order to establish a Financial Instruments Membership Corporation, the founders shall prepare articles of incorporation, and all founders shall sign or affix their names and seals thereto.
- 会員が脱退したときは、金融商品会員制法人は、定款の定めるところにより、その持分を払い戻さなければならない。
- When a member has withdrawn from the membership, a Financial Instruments Membership Corporation shall refund such member's equity, pursuant to the provisions of the articles of corporation.
- 商品市場における取引をする場合に、重要な事項について虚偽の表示又は誤解を生ぜしむべき表示を故意にすること。
- Intentionally making misrepresentation or a representation that would cause a misunderstanding with regard to important matters when carrying out Transactions on a Commodity Market
- 合併(合併により当該会員商品取引所が消滅する場合の当該合併に限る。第七十一条及び第七十二条において同じ。)
- Merger (limited to a merger where the Member Commodity Exchange is extinguished as a result of the merger; the same shall apply in Articles 71 and 72)
- 金融商品取引業者等並びにその役員及び使用人は、顧客に対して誠実かつ公正に、その業務を遂行しなければならない。
- A Financial Instruments Business Operator, etc. as well as Officers and employees thereof shall execute their business in good faith and fairly to customers.
- 手数料、報酬その他の当該金融商品取引契約に関して顧客が支払うべき対価に関する事項であつて内閣府令で定めるもの
- the matters concerning fees, remuneration or any other consideration payable by the customer with regard to said Contract for Financial Instruments Transaction, which are specified by a Cabinet Office Ordinance;
- 前二号及び次号から第六号までに掲げる取引(前号に掲げる取引に準ずる取引で金融商品取引所の定めるものを含む。)
- any transaction listed in the preceding two items or the following item to item (vi)(including those designated by the Financial Instruments Exchange and equivalent to a transaction specified in the preceding item).
- 当該個人が金融商品取引業者等に有価証券の取引を行うための口座を開設した日から起算して一年を経過していること。
- that a period of one year has passed from the date when said individual opened an account with the Financial Instruments Specialist, etc. for transactions in Securities;
- 当該金融商品取引業者等は、対象権利者に対し、善良な管理者の注意をもって投資運用業を行わなければならないこと。
- that said Financial Instruments Specialist, etc. will carry out Investment Management while paying the due care of a prudent manager for the Subject Right Holders;
- 第一項の規定にかかわらず、金融商品取引所は、内閣総理大臣の認可を受けて、自主規制法人を設立することができる。
- Notwithstanding the provision of paragraph (1), a Financial Instruments Exchange may establish a Self-Regulation Organization with an authorization from the Prime Minister.
- 理事は、必要があると認めるときは、委託金融商品取引所の取締役会又は理事会に出席し、意見を述べることができる。
- A board member may, when he/she finds it necessary, attend the meeting of the board of directors or the council meeting of the Entrusting Financial Instruments Exchange to state his/her opinions.
- 株式会社金融商品取引所は、その資本金の額を減少しようとするときは、内閣総理大臣の認可を受けなければならない。
- When a Stock Company-Type Financial Instruments Exchange intends to reduce the amount of its stated capital, it shall obtain an authorization from the Prime Minister.
- 組織変更後株式会社商品取引所の役員のうちに第十五条第二項第一号イからルまでのいずれかに該当する者があるとき。
- If the officers of the Incorporated Commodity Exchange after Entity Conversion include any of the persons who fall under any category of the persons in Article 15, paragraph (2), item (i) (a) to (k) inclusive
- 商品市場外における取引参加者間の契約に対する定款、業務規程、受託契約準則及び紛争処理規程の拘束力に関する事項
- Matters concerning the binding effect that the articles of incorporation, market rules, brokerage contract rules and dispute resolution rules have on contracts between Trading Participants concluded outside the Commodity Market
- 前項の営業保証金の額は、金融商品取引業者の業務の実情及び投資者の保護の必要性を考慮して、政令で定める額とする。
- The amount of a deposit for operation set forth in the preceding paragraph shall be specified by a Cabinet Order, considering the actual conditions of a Financial Instruments Business Operator's business and the necessity of the protection of investors.
- 金融商品取引業者等は、前項の規定による公告をしたときは、直ちに、その旨を内閣総理大臣に届け出なければならない。
- When a Financial Instruments Business Operator, etc. has given a public notice under the preceding paragraph, he/she shall notify to that effect to the Prime Minister immediately.
- この法律において「外国金融商品取引所」とは、第百五十五条第一項の規定により内閣総理大臣の認可を受けた者をいう。
- The term 'Foreign Financial Instruments Exchange' as used in this Act means a person who has been granted the authorization by the Prime Minister under Article 155(1).
- 登録投資法人は、次の各号のいずれかに該当する金融商品取引業者に、その資産の運用に係る業務を委託してはならない。
- A Registered Investment Corporation shall not entrust its business pertaining to asset investments to a Financial Instruments Business Operator that falls under any of the following items:
- 委託手数料の徴収その他受託に係る商品取引員の委託者に対する権利の実行のために預託財産の払出しを行おうとする場合
- in the case where there is an intention to withdraw the Deposited Property in order to collect commission fees or otherwise execute the rights of the Futures Commission Merchant pertaining to brokerage against a customer;
- 定款及び業務方法書の規定が法令に適合し、かつ、金融商品債務引受業を適正かつ確実に遂行するために十分であること。
- the provisions of the articles of incorporation and business rules conform to laws and regulations and are sufficient to conduct Financial Instruments Obligation Assumption Service appropriately and certainly;
- 基金は、前項の規定にかかわらず、定款の定めるところにより、通知金融商品取引業者の負担金を免除することができる。
- Notwithstanding the provision of the preceding paragraph, a Fund may, pursuant to the provisions of the articles of incorporation, remit the Burden Charge of a Notifying Financial Instruments Business Operator.
- 認可協会でない者は、その名称中に、認可金融商品取引業協会であると誤認されるおそれのある文字を用いてはならない。
- A person who is not an Authorized Association shall not use any term in its name that is likely to mislead people to understand that said person is an Authorized Financial Instruments Firms Association.
- 協会員及び金融商品仲介業者の業務に対する投資者からの苦情の解決及び第七十七条の二に規定するあつせんに関する事項
- matters related to complaint resolution filed by investors concerning the operations of the Member Firms or Financial Instruments Intermediary Service Providers and mediation as prescribed in Article 77-2;
- 金融商品会員制法人の清算人の解任についての裁判及び前条の規定による裁判に対しては、即時抗告をすることができる。
- An immediate appeal against the judicial decision of the dismissal of a liquidator of a Financial Instruments Membership Corporation and the judicial decisions prescribed in the provision of the preceding Article may be filed.
- 前項の格付人は、商品取引所の使用人としなければならない。ただし、主務大臣の承認を受けたときは、この限りでない。
- A grader set forth in the preceding paragraph shall be an employee of the Commodity Exchange; provided, however, that this shall not apply when the approval of the competent minister has been obtained.
- 組織変更後株式会社商品取引所の会計参与又は会計監査人を定めたときは、商業登記法第五十四条第二項各号に掲げる書面
- If an accounting advisor or accounting auditor has been appointed for the Incorporated Commodity Exchange after Entity Conversion, the documents listed in the respective items of Article 54, paragraph (2) of the Commercial Registration Act
- この章において「投資助言・代理業」とは、金融商品取引業のうち、次に掲げる行為のいずれかを業として行うことをいう。
- The term 'Investment Advisory and Agency Business' as used in this Chapter means, among Financial Instruments Businesses, conducting any of the following acts in the course of trade:
- 前二号に掲げるもののほか、当該登録投資法人の監督役員と利害関係を有する金融商品取引業者として内閣府令で定めるもの
- In addition to what is listed in the preceding two items, a Financial Instruments Business Operator specified by a Cabinet Office Ordinance as having a relationship with the supervisory officers of the Registered Investment Corporation as an interested party.
- 金融商品取引法第四十二条の七の規定は、投資信託委託会社がその運用の指図を行う投資信託財産については、適用しない。
- The provisions of Article 42-7 of the Financial Instruments and Exchange Act shall not apply to the Investment Trust Property for which the Settlor Company of an Investment Trust gives instructions on investment.
- 吸収合併存続株式会社金融商品取引所が第百三十九条の八第一項の株主総会の決議によつて吸収合併契約の承認を受けた場合
- when the Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger has obtained approval for the Absorption-Type Merger agreement by the resolution of a shareholders meeting set forth in Article 139-8(1).
- 金利、通貨の価格、金融商品市場における流動性及び相場その他の指標に係る変動に関する評価の結果について表示した等級
- grades indicating the results of an assessment related to the fluctuation of the interest rate, value of currency, liquidity and quotations on the Financial Instruments Market, and any other indicators;
- 会員及び金融商品仲介業者の有価証券の売買その他の取引の勧誘の適正化に必要な業務のため必要な規則の制定その他の業務
- to establish rules or conduct other activities necessary for ensuring appropriateness in solicitation for sales and purchase or other transactions of Securities conducted by its members and Financial Instruments Intermediary Service Providers;
- 解散した金融商品会員制法人は、清算の目的の範囲内において、その清算の結了に至るまでは、なお存続するものとみなす。
- A dissolved Financial Instruments Membership Corporation is deemed to still continue to exist to the extent of the purpose of the liquidation, until the completion of the liquidation.
- 商品取引所は、主務省令で定めるところにより、第一項の規定に基づき預託を受けた取引証拠金を管理しなければならない。
- A Commodity Exchange shall manage the clearing margin deposited based on the provisions of paragraph (1), pursuant to the provisions of an ordinance of the competent ministry.
- 組織変更をする会員商品取引所は、前項の規定による請求があつたときは、正当な理由がないのにこれを拒んではならない。
- When a request prescribed in the preceding paragraph has been made, a Member Commodity Exchange implementing Entity Conversion shall not refuse the request without a justifiable reason.
- 組織変更後株式会社商品取引所は、前項の規定による請求があつたときは、正当な理由がないのにこれを拒んではならない。
- When a request prescribed in the preceding paragraph has been made, an Incorporated Commodity Exchange after Entity Conversion shall not refuse the request without a justifiable reason.
- 株式会社商品取引所は、第十五条第二項第一号イからヲまでのいずれかに該当する者に対し、取引資格を与えてはならない。
- A Incorporated Commodity Exchange shall not grant the trading qualification to a person who falls under any category of the persons in Article 15, paragraph (2), item (i) (a) to (l) inclusive.
- 金融商品取引業者は、内閣府令で定めるところにより、その業務に関する帳簿書類を作成し、これを保存しなければならない。
- A Financial Instruments Business Operator shall, pursuant to the provisions of a Cabinet Office Ordinance, prepare and preserve the books and documents on its business.
- 法第二百二十四条第一項の規定により商品取引員が提出する事業報告書は、様式第十五号の二により作成しなければならない。
- The business report that a Futures Commission Merchant submits pursuant to the provisions of Article 224, paragraph (1) of the Act shall be prepared according to Form No. 15-2.
- 当該募集に係る有価証券の発行者又は第二号に掲げる者のいずれかと元引受契約を締結した金融商品取引業者又は登録金融機関
- the Financial Instruments Business Operator or Registered Financial Institution that has concluded a Wholesale Underwriting Contract with the Issuer of the Securities for which the Public Offering was made or either the person specified in item (ii).
- 当該金融商品取引業者等が、出資契約等の成立前に、対象行為者に関する次に掲げる事項を所管金融庁長官等に届け出ること。
- that said Financial Instruments Specialist, etc. shall make a notification of the matters related to the Subject Person as listed in the following sub-items to the Commissioner of Financial Services Agency or Other Competent Official before the formation of the Investment Agreement, etc.;
- 公益協会でない者は、その名称中に、公益法人金融商品取引業協会であると誤認されるおそれのある文字を用いてはならない。
- No person other than a Public Interest-Type Association shall use in its name any term which is likely to mislead people to understand that the person is a Public Interest-Type Association.
- 協会員又は金融商品仲介業者は、第三項の規定による求めがあつたときは、正当な理由がないのに、これを拒んではならない。
- When there has been a demand under the provision of paragraph (3), a Member Firm or a Financial Instruments Intermediary Service Provider shall not refuse the demand without justifiable grounds.
- 組織変更後株式会社金融商品取引所の会計参与又は会計監査人を定めたときは、商業登記法第五十四条第二項各号に掲げる書面
- if an accounting advisor or accounting auditor has been appointed for the Stock Company-Type Financial Instruments Exchange after Entity Conversion, the documents listed in the respective item of Article 54(2) of the Commercial Registration Act;
- 新設合併設立株式会社商品取引所は、前項の規定による請求があつたときは、正当な理由がないのにこれを拒んではならない。
- When a request prescribed in the preceding paragraph has been made, a Incorporated Commodity Exchange Established by a Consolidation-Type Merger shall not refuse the request without a justifiable reason.
- 合併の当事者(商品取引員を除く。)が法第十五条第二項第一号ハからホまで又はリのいずれにも該当しないことを誓約する書面
- a sworn, written statement that the parties to the merger (excluding a Futures Commission Merchant) do not fall under the provisions of Article 15, paragraph (2), item (i), (c) to (e), or (i) of the Act;
- 金融商品取引所は、内閣府令で定めるところにより、第一項の規定に基づき預託を受けた取引証拠金を管理しなければならない。
- A Financial Instruments Exchange shall, pursuant to the provisions of a Cabinet Office Ordinance, manage the clearing margin for which it accepted deposit under the provision of paragraph (1).
- 第百四十条第一項の認可を受けて設立された金融商品取引所は、当該設立の時に、第八十条第一項の免許を受けたものとみなす。
- A Financial Instruments Exchange which has been established under the authorization pursuant to Article 140(1) shall be deemed to have obtained the license under Article 80(1) at the time of said establishment.
- 金融商品取引所は、定款、業務規程又は受託契約準則を変更しようとするときは、内閣総理大臣の認可を受けなければならない。
- When a Financial Instruments Exchange intends to amend its articles of incorporation, operational rules or brokerage contract rules, it shall obtain authorization from the Prime Minister.
- 前項第二号の金融商品取引業者の親会社等(令第十五条の十六第三項に規定する親会社等をいう。次号及び次項において同じ。)
- the Parent Company, etc. (meaning a Parent Company, etc. as defined in Article 15-16, paragraph (3) of the Cabinet Order; the same shall apply in the following item and the following paragraph) of the Financial Instruments Specialist referred to in item (ii) of the preceding paragraph;
- 特定株式会社金融商品取引所は、自主規制委員会の日から十年間、前条第三項の議事録をその本店に備え置かなければならない。
- A Specified Stock Company-Type Financial Instruments Exchange shall keep the minutes set forth in paragraph (3) of the preceding Article at its head office for ten years from the day of a meeting of the Self-Regulating Committee.
- 金融商品会員制法人の解散及び清算を監督する裁判所は、内閣総理大臣に対し、意見を求め、又は調査を嘱託することができる。
- A court supervising the dissolution and liquidation of a Financial Instruments Membership Corporation may seek an opinion of, or investigation by, the Prime Minister.
- 組織変更時発行株式の引受けの申込みをする者は、次に掲げる事項を記載した書面を会員商品取引所に交付しなければならない。
- A person filing an application to subscribe for the Shares Issued upon Entity Conversion shall deliver a document containing the following matters to the Member Commodity Exchange:
- 会員商品取引所は、組織変更時発行株式の引受けの申込みをしようとする者に対し、次に掲げる事項を通知しなければならない。
- A Member Commodity Exchange shall notify the following matters to a person who intends to file an application to subscribe for the Shares Issued upon Entity Conversion:
- 金融商品取引業者等は、業務の運営の状況が次の各号のいずれかに該当することのないように、その業務を行わなければならない。
- A Financial Instruments Business Operator, etc. shall engage in his/her business in such a manner that the state of the operation of the business does not fall under any of the cases listed in the following items:
- 金融商品仲介業者は、営業所又は事務所ごとに、公衆の見やすい場所に、内閣府令で定める様式の標識を掲示しなければならない。
- A Financial Instruments Intermediary Service Provider shall post a sign in the form specified by a Cabinet Office Ordinance in a place accessible to the public at each of its business offices or offices.
- 合併の当事者(商品取引員を除く。)が劣後特約付社債を発行している場合にあっては、その目論見書又はこれに準ずるものの写し
- in cases where a party to a merger (excluding a Futures Commission Merchant) has issued a Subordinated Bonds, any prospectus or equivalent copy.
- 商品取引員は、第一項各号に掲げる契約を解除しようとするときは、その三十日前にその旨を主務大臣に届け出なければならない。
- When a Futures Commission Merchant intends to rescind a contract set forth in the respective items of paragraph (1), a notification of such fact shall be provided to the competent minister 30 days prior to such action.
- この法律において「資産運用会社」とは、登録投資法人の委託を受けてその資産の運用に係る業務を行う金融商品取引業者をいう。
- The term 'Asset Management Company' as used in this Act shall mean a Financial Instruments Business Operator who conducts business pertaining to asset investment under entrustment from a Registered Investment Corporation.
- その販売する商品で容器包装に入れられ、又は容器包装で包まれたものを輸入する行為(他の者の委託を受けて行うものを除く。)
- The act of importing goods to be sold that are put into containers or wrapped in packaging (excluding the act conducted based on entrustment from other persons).
- 前項第二号の金融商品取引業者の子会社等(令第十五条の十六第三項に規定する子会社等をいう。第三号及び次項において同じ。)
- a Subsidiary Company, etc. (meaning a Subsidiary Company, etc. as defined in Article 15-16, paragraph (3) of the Cabinet Order; the same shall apply in item (iii) and the following paragraph) of the Financial Instruments Specialist referred to in item (ii) of the preceding paragraph;
- 金融商品会員制法人と特定の加入予定者との関係について創立総会の議決をする場合には、その加入予定者は、議決権を有しない。
- When making any resolution on a relationship between a Financial Instruments Membership Corporation and a particular Prospective Member at an organizational meeting, such Prospective Member shall not have a voting right.
- 委託金融商品取引所は、業務執行の状況について、内閣府令で定めるところにより、定期的に、理事会に報告しなければならない。
- An Entrusting Financial Instruments Exchange shall periodically report to the Council pertaining to the status of business executions, pursuant to the provisions of a Cabinet Office Ordinance.
- 会員商品取引所が主務大臣の設立の許可の取消しの処分により解散する場合における解散の登記は、主務大臣の嘱託によつてする。
- Registration of liquidation in the case where a Member Commodity Exchange is dissolved by the competent minister's disposition to rescind the permission for establishment shall be made at the request of the competent minister.
- 金融商品取引業者等は、営業所又は事務所ごとに、公衆の見やすい場所に、内閣府令で定める様式の標識を掲示しなければならない。
- A Financial Instruments Business Operator, etc. shall post a sign in the form specified by a Cabinet Office Ordinance in a place accessible to the public at each of his/her business offices or other offices.
- 内閣総理大臣は、前項の規定による届出を受理したときは、届出があつた事項を金融商品取引業者登録簿に登録しなければならない。
- When the Prime Minister accepts a notification under the preceding paragraph, he/she shall register the notified matters in a registry of Financial Instruments Business Operators.
- 内閣総理大臣は、前項の規定による届出を受理したときは、届出があつた事項を金融商品仲介業者登録簿に登録しなければならない。
- When the Prime Minister accepts a notification under the preceding paragraph, he/she shall register notified matters in a registry of Financial Instruments Intermediary Service Providers.
- 吸収分割の当事者(商品取引員を除く。)が法第十五条第二項第一号ハからホまで又はリのいずれにも該当しないことを誓約する書面
- a sworn, written statement that the parties to the Absorption-Type Split (excluding a Futures Commission Merchant) do not fall under any of the provisions of Article 15, paragraph (2), item (i), (c) through (e), or (i) of the Act;
- 国内の金融機関(金融商品取引業者等に関する内閣府令第百七十七条第一項第三号ハの金融機関をいう。以下この表において同じ。)
- Financial Institutions (which means financial institutions specified in Article 177, paragraph (1), item (iii), (c) of the Cabinet Office Ordinance on Financial Instruments Business Operators, etc.; hereinafter the same shall apply in this table) in Japan;
- d. Financial Institutions (which means financial institutions specified in Article 177, paragraph (1), item (iii), (c) of the Cabinet Office Ordinance on Financial Instruments Business Operators, etc.; hereinafter the same shall apply in this table) in Japan;
- 登録投資法人が投資の対象とする資産に不動産が含まれる場合 宅地建物取引業法第三条第一項の免許を受けている金融商品取引業者
- In cases where Real Property shall be one of the assets subject to investment by a Registered Investment Corporation: A Financial Instruments Business Operator that has obtained a license as set forth in Article 3, paragraph (1) of the Building Lots and Buildings Transaction Business Act;
- 投資信託委託会社が金融商品取引法第五十二条第一項又は第五十三条第三項の規定により同法第二十九条の登録を取り消されること。
- Where the Settlor Company of an Investment Trust has its registration as prescribed in Article 29 of the Financial Instruments and Exchange Act rescinded under Article 52, paragraph (1) or Article 53, paragraph (3) of that Act; or
- 投資信託委託会社が金融商品取引法第五十二条第一項又は第五十三条第三項の規定により同法第二十九条の登録を取り消されたとき。
- When the Settlor Company of an Investment Trust has had its registration under Article 29 of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 52, paragraph (1) or Article 53, paragraph (3) of that Act;
- 吸収合併存続会員金融商品取引所は、効力発生日の前日までに、総会の決議によつて、吸収合併契約の承認を受けなければならない。
- A Membership-Type Financial Instruments Exchange Surviving an Absorption-Type Merger shall obtain approval for an Absorption-Type Merger agreement by a resolution of a general meeting of members, by the day immediately preceding the Effective Date.
- 新設合併設立株式会社金融商品取引所の設立に際して取締役となる者の氏名及びその設立に際して会計監査人となる者の氏名又は名称
- the names of the persons who become directors at the time of the establishment of the Stock Company-Type Financial Instruments Exchange Established by a Consolidation-Type Merger, and the name of the persons who become accounting auditors at the time of its establishment;
- 吸収合併消滅会員金融商品取引所は、効力発生日の前日までに、総会の決議によつて、吸収合併契約の承認を受けなければならない。
- A Membership-Type Financial Instruments Exchange Extinguished upon an Absorption-Type Merger shall obtain approval for an Absorption-Type Merger agreement by a resolution of a general meeting of members, by the day immediately preceding the Effective Date.
- 会員金融商品取引所は、組織変更時発行株式の引受けの申込みをしようとする者に対し、次に掲げる事項を通知しなければならない。
- A Membership-Type Financial Instruments Exchange shall notify the following matters to a person who intends to make an application of subscription for the Shares Issued upon Entity Conversion:
- 組織変更時発行株式の引受けの申込みをする者は、次に掲げる事項を記載した書面を会員金融商品取引所に交付しなければならない。
- A person who makes an application of subscription for the Shares Issued upon Entity Conversion shall deliver a document containing the following matters to the Membership-Type Financial Instruments Exchange:
- 吸収合併消滅商品取引所の吸収合併による解散は、吸収合併の登記の後でなければ、これをもつて第三者に対抗することができない。
- Dissolution as a result of an Absorption-Type Merger of a Commodity Exchange Dissolved in an Absorption-Type Merger may not be asserted against a third party until after the registration of the Absorption-Type Merger.
- 金融商品取引業者は、第二条第八項第十号に掲げる行為を業として行おうとするときは、内閣総理大臣の認可を受けなければならない。
- When a Financial Instruments Business Operator intends to conduct acts listed in Article 2(8)(x) in the course of trade, it shall obtain authorization from the Prime Minister.
- この章において「有価証券等管理業務」とは、第一種金融商品取引業に係る業務のうち、第一項第五号に掲げる行為に係る業務をいう。
- The term 'Securities, etc. Management Business' as used in this Chapter means business pertaining to acts listed in paragraph (1), item (v) among business pertaining to the Type I Financial Instruments Business.
- 吸収分割の当事者(商品取引員を除く。)が劣後特約付社債を発行している場合にあっては、その目論見書又はこれに準ずるものの写し
- in cases where a party to an Absorption-Type Split (excluding a Futures Commission Merchant) has issued Subordinated Bonds, any prospectus or equivalent copy.
- 事業譲渡の当事者(商品取引員を除く。)が劣後特約付社債を発行している場合にあっては、その目論見書又はこれに準ずるものの写し
- in cases where a party to the Business Transfer (excluding a Futures Commission Merchant) has issued Subordinated Bonds, any prospectus or equivalent copy.
- 法第二百二十一条第一項の規定により積み立てる商品取引責任準備金の金額は、次の各号に掲げる金額のうちいずれか低い金額とする。
- The amount of liability reserve for commodity trading to be provided pursuant to the provisions of Article 221, paragraph (1) of the Act shall be the following listed items, whichever amount is least:
- 商品取引員等の使用に係る電子計算機に備えられた顧客ファイルに記録された記載事項を電気通信回線を通じて顧客の閲覧に供する方法
- methods to provide the Contents that are recorded in a Customer File on a computer used by a Futures Commission Merchant, etc., for the inspection of customers via electronic telecommunication lines;
- 新設合併消滅会員金融商品取引所は、効力発生の日の前日までに、総会の決議によつて、新設合併契約の承認を受けなければならない。
- A Membership-Type Financial Instruments Exchange Extinguished upon a Consolidation-Type Merger shall obtain approval for a Consolidation-Type Merger agreement by a resolution of a general meeting of members, by the day immediately preceding the Effective Date.
- 当該新設合併消滅株式会社金融商品取引所の新株予約権の新株予約権者に対して金銭を交付するときは、当該金銭の額又はその算定方法
- when delivering money to holders of share options of the Stock Company-Type Financial Instruments Exchange Extinguished upon a Consolidation-Type Merger, the amount of said money or the method of calculating said amount.
- 吸収合併存続株式会社金融商品取引所は、効力発生日から六月間、前項の書面又は電磁的記録をその本店に備え置かなければならない。
- A Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger shall, during the period of six months from the Effective Date, keep at its head office the documents or Electromagnetic Records set forth in the preceding paragraph.
- 認可申請者がその対象議決権を行使することにより、株式会社金融商品取引所の業務の健全かつ適切な運営を損なうおそれがないこと。
- exercising of the Subject Voting Rights by the applicant for authorization is not likely to impair sound and appropriate operation of the business of the Stock Company-Type Financial Instruments Exchange; and
- 前項の場合において、金融商品取引所は、標準物の条件その他の標準物の取引に関し必要な事項を、業務規程で定めなければならない。
- In the case of the preceding paragraph, a Financial Instruments Exchange shall specify in its operational rules the conditions of the standardized instruments and other matters necessary for transactions of standardized instruments.
- 準用金融商品取引法第三十九条第二項の規定に違反した者は、一年以下の懲役若しくは百万円以下の罰金に処し、又はこれを併科する。
- A person who has violated the provisions of Article 39, paragraph (2) of the Financial Instruments and Exchange Act as Applied Mutatis Mutandis shall be punished by imprisonment with work for not more than one year or a fine of not more than one million yen, or both.
- A person who has violated the provisions of Article 39(2) of the Financial Instruments and Exchange Act as Applied Mutatis Mutandis shall be punished by imprisonment with work for not more than one year or a fine of not more than one million yen, or both.
- 基金の会員である金融商品取引業者は、次の各号に該当する場合には、直ちに、その旨をその所属する基金に通知しなければならない。
- When falling under any of the following items, a Financial Instruments Business Operator which is a member of a Fund shall immediately notify to that effect to the Fund to which it belongs:
- 株式会社商品取引所の定款には、会社法第二十七条各号に掲げる事項のほか、次に掲げる事項を記載し、又は記録しなければならない。
- In addition to the matters listed in the respective items of Article 27 of the Companies Act, the following matters shall be included in the articles of incorporation of an Incorporated Commodity Exchange:
- 商品取引所は、前項の認可を受けようとするときは、申請書に主務省令で定める書類を添付して、主務大臣に提出しなければならない。
- A Commodity Exchange which intends to obtain the approval set forth in the preceding paragraph shall submit to the competent minister a written application by attaching the documents specified by an ordinance of the competent ministry thereto.
- 流通状況が前号に掲げる株券等に準ずるものとして政令で定める株券等の発行者が発行する株券等 政令で定める認可金融商品取引業協会
- Share Certificates, etc. issued by an issuer of Share Certificates, etc., which are specified by a Cabinet Order as those of which the state of distribution can be regarded as being equivalent to the Share Certificates, etc. listed in the preceding item: an Authorized Financial Instruments Firms Association as specified by a Cabinet Order.
- 商品取引員は、顧客に対し、当該書面を交付する義務を負う旨及び法第二百十七条第一項各号に掲げる事項について説明する義務を負う旨
- the fact that a Futures Commission Merchant shall be liable to deliver said documents and to explain to a customer the matters listed in the respective items of Article 217, paragraph (1) of the Act;
- 投資信託委託会社が合併により解散した場合において、当該合併により設立した法人が設立後遅滞なく、金融商品取引業者となつたとき。
- In cases where a Settlor Company of an Investment Trust has been dissolved as a result of consolidation, when the juridical person established as a result of consolidation has become a Financial Instruments Business Operator after said establishment without delay; or
- 新設合併設立株式会社金融商品取引所は、その成立の日から六月間、前項の書面又は電磁的記録をその本店に備え置かなければならない。
- A Stock Company-Type Financial Instruments Exchange Established by a Consolidation-Type Merger shall, during the period of six months from the day of its establishment, keep at its head office the documents or Electromagnetic Records set forth in the preceding paragraph.
- 吸収合併消滅金融商品取引所の吸収合併による解散は、吸収合併の登記の後でなければ、これをもつて第三者に対抗することができない。
- Dissolution as a result of an Absorption-Type Merger of a Financial Instruments Exchange Extinguished upon an Absorption-Type Merger may not be asserted against a third party until after the registration of the Absorption-Type Merger.
- 基金は、前項の規定にかかわらず、認定金融商品取引業者の役員その他の政令で定める者に対しては、同項の支払を行わないものとする。
- Notwithstanding the provision of the preceding paragraph, a Fund shall not make the payment set forth in said paragraph to an Officer of a Recognized Financial Instruments Business Operator or any other person specified by a Cabinet Order.
- 前条第一項の認可を受けようとする金融商品取引所は、次に掲げる事項を記載した認可申請書を内閣総理大臣に提出しなければならない。
- A Financial Instrument Exchange who intends to obtain the authorization under paragraph (1) of the preceding Article shall submit an application for authorization containing the following matters to the Prime Minister:
- 協会員又は金融商品仲介業者は、認可協会から前項の規定による求めがあつたときは、正当な理由がないのに、これを拒んではならない。
- When there has been a demand under the preceding paragraph from an Authorized Association, a Member Firm or Financial Instruments Intermediary Service Provider shall not refuse the demand without justifiable grounds.
- 認可協会は、第一項の申出、当該苦情に係る事情及びその解決の結果について協会員又は金融商品仲介業者に周知させなければならない。
- An Authorized Association shall fully inform its Member Firms or Financial Instruments Intermediary Service Providers about any applications under paragraph (1), circumstances pertaining to said complaints and the outcome of any resolution.
- 出資の履行をすることにより組織変更時発行株式の株主となる権利の譲渡は、組織変更後株式会社商品取引所に対抗することができない。
- Transfer of the right to become a shareholder of the Shares Issued upon Entity Conversion through the Performance of Contribution may not be asserted against the Incorporated Commodity Exchange after Entity Conversion.
- 対象有価証券関連取引に関し、顧客の計算に属する金銭又は金融商品取引業者等が顧客から預託を受けた金銭(前号に掲げる金銭を除く。)
- the money belonging to the account of a customer or money deposited to the Financial Instruments Business Operator, etc. from a customer (excluding the money specified in the preceding item), with regard to a Subject Securities-Related Transactions; and
- 金融商品取引業者等は、次の各号のいずれかに該当することとなつたときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
- When a Financial Instruments Business Operator, etc. has come to fall under any of the following items, he/she shall notify to that effect to the Prime Minister without delay:
- 事業譲渡の当事者(商品取引員を除く。)が法第十五条第二項第一号ハからホまで又はリのいずれにも該当する者でないことを誓約する書面
- a sworn, written statement that the parties to the Business Transfer (excluding a Futures Commission Merchant) do not fall under any of the provisions of Article 15, paragraph (2), item (i), (c) through (e), or (i) of the Act;
- 適格機関投資家(金融商品取引法第二条第三項第一号に規定する適格機関投資家をいう。)のみを相手方として行う場合で政令で定める場合
- Where such solicitation is made only to Qualified Institutional Investors (meaning Qualified Institutional Investors as prescribed in Article 2, paragraph (3), item (i) of the Financial Instruments and Exchange Act) as specified by a Cabinet Order; or
- 吸収合併存続会員金融商品取引所は、効力発生日から六月間、前項の書面又は電磁的記録をその主たる事務所に備え置かなければならない。
- A Membership-Type Financial Instruments Exchange Surviving an Absorption-Type Merger shall, during the period of six months from the Effective Date, keep at its principal office the documents or Electromagnetic Records set forth in the preceding paragraph.
- ある種類の株式の株主に対して新設合併設立株式会社金融商品取引所の株式の割当てをしないこととするときは、その旨及び当該株式の種類
- if not allotting shares of the Stock Company-Type Financial Instruments Exchange Established by a Consolidation-Type Merger to shareholders of certain classes of shares, such fact and said classes of shares; and
- 株式会社金融商品取引所の主要株主が次の各号のいずれかに該当することとなつたときは、第百六条の三第一項の認可は、その効力を失う。
- When a Major Shareholder of a Stock Company-Type Financial Instruments Exchange comes to fall under any of the following items, the authorization under Article 106-3(1) shall cease to be effective:
- 認可申請者の業務規則が外国金融商品取引所参加者が行う外国市場取引を公正かつ円滑にし、及び投資者を保護するために十分であること。
- the Operational Regulations of the Applicant for authorization are sufficient for achieving the fair and smooth Foreign Market Transactions conducted by a Participants of Foreign Financial Instruments Exchange and for the protection of investors.
- 当該譲渡制限のない海外発行証券を識別するために必要な事項として認可金融商品取引業協会が定める事項(前三号に掲げる事項を除く。)
- the matters specified by the Authorized Financial Instruments Firms Association as the matters necessary for identifying the relevant Foreign Securities With No Restrictions on Transfer (excluding the matters set forth in the preceding three items).
- 株式会社金融商品取引所の定款には、会社法第二十七条各号に掲げる事項のほか、次に掲げる事項を記載し、又は記録しなければならない。
- In addition to the matters listed in the respective item of Article 27 of the Companies Act, the following matters shall be contained or recorded in the articles of incorporation of a Stock Company-Type Financial Instruments Exchange:
- 金融商品会員制法人は、設立の登記をした後二週間以内に、従たる事務所の所在地において、前項に掲げる事項を登記しなければならない。
- A Financial Instruments Membership Corporation shall file registration of the matters listed in the preceding paragraph in the district of the location of its secondary office, within two weeks from the registration of its establishment.
- 金融商品会員制法人が第八十条第一項の免許の取消しの処分により解散する場合における解散の登記は、内閣総理大臣の嘱託によつてする。
- When a Financial Instruments Membership Corporation is dissolved due to a disposition to rescind the license under Article 80(1), the registration of the dissolution shall be made upon the request of the Prime Minister.
- 株式会社商品取引所は、その資本金の額を増加しようとするときは、主務省令で定めるところにより、主務大臣に届け出なければならない。
- When an Incorporated Commodity Exchange intends to increase the amount of its stated capital, it shall notify the competent minister pursuant to an ordinance of the competent ministry.
- 吸収合併存続株式会社金融商品取引所は、効力発生日の前日までに、株主総会の決議によつて、吸収合併契約の承認を受けなければならない。
- A Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger shall obtain approval for the Absorption-Type Merger agreement by a resolution of a shareholders meeting, by the day immediately preceding the Effective Date.
- 金融商品取引所持株会社の主要株主が次の各号のいずれかに該当することとなつたときは、第百六条の十七第一項の認可は、その効力を失う。
- When a Major Shareholder of a Financial Instruments Exchange Holding Company falls under any of the following items, the authorization under Article 106-17(1) shall cease to be effective:
- 供与される財産上の利益の内容並びに供与の時期及び方法(特定商品又は施設利用権を買い取る契約にあつては、買取価格又はその算定方法)
- the details of the economic benefits to be delivered, and the timing and method of the delivery (for agreements under which the specified commodities or the facility use rights will be purchased, the price for purchase or the method used for the calculation thereof);
- 当該譲渡制限のない海外発行証券を識別するために必要な事項として認可金融商品取引業協会が定める事項(前二号に規定する事項を除く。)
- the matters specified by the Authorized Financial Instruments Firms Association as the matters necessary for identifying the relevant Foreign Securities With No Restriction on Transfer (excluding the matters set forth in the preceding two items).
- 出資の履行をすることにより組織変更時発行株式の株主となる権利の譲渡は、組織変更後株式会社金融商品取引所に対抗することができない。
- Transfer of the right to become a shareholder of the Shares Issued upon Entity Conversion by effecting the Performance of Contribution may not be asserted against the Stock Company-Type Financial Instruments Exchange after Entity Conversion.
- 会員商品取引所が次に掲げる事由により解散したときは、その代表者であつた者は、遅滞なく、その旨を主務大臣に届け出なければならない。
- When a Member Commodity Exchange is dissolved based on the following grounds, a person who was its representative shall notify the competent minister to that effect without delay:
- 商品の価格その他の指標に係る変動、市場間の格差等を利用して行う取引として内閣府令で定めるものに係る業務(前号に掲げる業務を除く。)
- business pertaining to transactions conducted by using fluctuations in commodity prices and other indicators, market gaps, etc. as specified by a Cabinet Office Ordinance (excluding the business specified in the preceding item);
- 第三十条第一項の認可を受けようとする金融商品取引業者は、次に掲げる事項を記載した認可申請書を内閣総理大臣に提出しなければならない。
- A Financial Instruments Business Operator who intends to obtain authorization set forth in Article 30(1) shall submit a written application for authorization containing the following matters to the Prime Minister:
- 金融商品取引業又はこれに付随する業務に関し法令(第四十六条の六第二項を除く。)又は法令に基づいてする行政官庁の処分に違反したとき。
- when violating laws and regulations (excluding Article 46-6(2)) or disposition given by government agencies under laws and regulations pertaining to Financial Instruments Business or accompanying business;
- 第三十条第一項の認可を受けた金融商品取引業者が第三十条の四第一号から第三号まで又は第五号に掲げる基準に適合しないこととなつたとき。
- when a Financial Instruments Business Operator who obtained authorization under Article 30(1) becomes unable to satisfy the criteria listed in Article 30-4(i) to (iii) or (v).
- 当該特定資産に不動産が含まれる場合 宅地建物取引業法第三条第一項の免許及び同法第五十条の二第一項の認可を受けている金融商品取引業者
- When Real Property is included in the Specified Assets: A Financial Instruments Business Operator who has obtained the license under Article 3, paragraph (1) of the Building Lots and Buildings Transaction Business Act and authorization under Article 50-2 of that Act; and
- 金融商品取引業者は、基金に加入した場合又は所属する基金を変更した場合には、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
- When a Financial Instruments Business Operator has joined a Fund or changed a Fund to which it belongs, it shall notify to that effect to the Prime Minister without delay.
- 協会員及び金融商品仲介業者の法令、法令に基づく行政官庁の処分若しくは定款その他の規則又は取引の信義則の遵守の状況の調査に関する事項
- matters related to investigation of the status of observance of laws and regulations, dispositions given by government agencies based on laws and regulations, or the articles of incorporation or other rules, or the fair and equitable principles of transactions by Member Firms and Financial Instruments Intermediary Service Providers;
- 商品取引所は、国債の保有その他主務省令で定める方法によるほか、信認金又は特別担保金として預託を受けたものを運用することができない。
- A Commodity Exchange may not manage guarantee funds or special deposits for default that have been deposited except by possessing national government bonds and other methods specified by an ordinance of the competent ministry.
- 株式会社商品取引所は、その資本金の額を減少しようとするときは、主務省令で定めるところにより、主務大臣の認可を受けなければならない。
- When an Incorporated Commodity Exchange intends to reduce the amount of its stated capital, it shall obtain the approval of the competent minister pursuant to the provisions of an ordinance of the competent ministry.
- 法第二百二十四条第二項の規定により商品取引員は、次の各号に掲げる書類を、当該各号に定める期間内に、主務大臣に提出しなければならない。
- A Futures Commission Merchant shall submit the documents listed in the following items to the competent minister within the period prescribed in the respective said items pursuant to the provisions of Article 224, paragraph (2) of the Act:
- この法律において「外国市場デリバティブ取引」とは、外国金融商品市場において行う取引であつて、市場デリバティブ取引と類似の取引をいう。
- The term 'Foreign Market Derivatives Transactions' as used in this Act means transactions which are conducted in a Foreign Financial Instruments Market and are similar to Market Transactions of Derivatives.
- この法律において「金融商品取引所持株会社」とは、第百六条の十第一項又は第三項ただし書の規定により内閣総理大臣の認可を受けた者をいう。
- The term 'Financial Instruments Exchange Holding Company' as used in this Act means a person who has been granted the authorization by the Prime Minister under Article 106-10(1) or the proviso to Article 106-10(3).
- 金融商品取引所が次に掲げる事由により解散したときは、その代表者であつた者は、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
- When a Financial Instruments Exchange has been dissolved on the ground of any cause listed in the following, its former representative person shall notify to that effect to the Prime Minister without delay:
- 金融商品取引所は、定款の定めるところにより、市場デリバティブ取引のため、第二条第二十四項第五号に掲げる標準物を設定することができる。
- A Financial Instruments Exchange may, in accordance with the articles of incorporation, create the standardized instruments listed in Article 2(24)(v) for the purpose of Market Transactions of Derivatives.
- 金融商品取引業者は、負担金を業務規程の定める納期限までに納付しない場合には、その所属する基金に対し、延滞金を納付しなければならない。
- When a Financial Instruments Business Operator fails to pay a Burden Charge by the time limit for payment specified by the operational rules, it shall pay a delinquent charge to a Fund to which it belongs.
- 会員の持分は、定款の定めるところにより、金融商品会員制法人の承認を受け、当該会員が脱退しようとするときに限り、譲り渡すことができる。
- A member may transfer his/her equity only when said member intends to withdraw from the membership with an approval of the Financial Instruments Membership Corporation, pursuant to the provisions of the articles of incorporation.
- ハの場合において、当該商品取引員は、委託者保護基金が代位弁済に充てた後の当該預託財産の残余についてのみ払出しを行うことができること。
- in the case of (c), said Futures Commission Merchant can withdraw only the residual of said Deposited Property after the Consumer Protection Fund allocates the Deposited Property for said Subrogation Performance;
- 第一項の規定により登録を受けようとする金融商品取引業者等は、次に掲げる事項を記載した登録申請書を内閣総理大臣に提出しなければならない。
- A Financial Instruments Business Operator, etc. who intends to obtain registration under the provisions of paragraph (1) shall submit a written application for registration containing the following matters to the Prime Minister:
- 金融商品取引所持株会社が次の各号のいずれかに該当することとなつたときは、第百六条の十第一項及び第三項ただし書の認可は、その効力を失う。
- When a Financial Instruments Exchange Holding Company comes to fall under any of the following items, the authorization under Article 106-10(1) and the proviso to paragraph (3) shall cease to be effective:
- その人的構成に照らして、金融商品債務引受業を適正かつ確実に遂行することができる知識及び経験を有し、かつ、十分な社会的信用を有すること。
- in light of personnel structure, the Applicant has sufficient knowledge and experience for conducting Financial Instruments Obligation Assumption Service appropriately and certainly and has sufficient social credibility.
- 特定株式会社金融商品取引所の取締役会は、自主規制委員会の職務の執行のため必要なものとして内閣府令で定める事項を決定しなければならない。
- The board of directors of a Specified Stock Company-Type Financial Instruments Exchange shall decide the matters specified by a Cabinet Office Ordinance as those necessary for execution of duties of the Self-Regulating Committee.
- 金融商品取引業者は、投資者保護資金に充てるため、業務規程の定めるところにより、その所属する基金に対し、負担金を納付しなければならない。
- A Financial Instruments Business Operator shall, pursuant to the provisions of operational rules, pay a Burden Charge to a Fund to which it belongs, for the purpose of allocating it to Funds for Investor Protection.
- 前項の規定により認定された法人(以下この項及び次条において「公益法人金融商品取引業協会」という。)は、次に掲げる業務を行うものとする。
- A juridical person recognized under the preceding paragraph (hereinafter referred to as a 'Public Interest Corporation-Type Financial Instruments Firms Association' in this paragraph and the following Article) shall conduct the following activities:
- 株式会社金融商品取引所は、その資本金の額を増加しようとするときは、内閣府令で定めるところにより、内閣総理大臣に届け出なければならない。
- When a Stock Company-Type Financial Instruments Exchange intends to increase the amount of its stated capital, it shall notify to that effect to the Prime Minister, pursuant to the provisions of a Cabinet Office Ordinance.
- 金融商品会員制法人が解散した場合における残余財産は、定款又は総会の決議により別に定める場合のほか、会員に平等に分配しなければならない。
- The residual assets in the case of the dissolution of a Financial Instruments Membership Corporation shall be distributed equally among its members, unless otherwise stipulated by the articles of incorporation or resolution of a general meeting.
- 商品取引所の業務規程、受託契約準則、紛争処理規程又は市場取引監視委員会規程の変更は、主務大臣の認可を受けなければ、その効力を生じない。
- An amendment to the market rules, brokerage contract rules, dispute resolution rules or market transactions surveillance committee rules of a Commodity Exchange shall not come into effect without the approval of the competent minister having been obtained.
- 前三条の規定は、金融商品取引業者を子会社(第二十九条の四第三項に規定する子会社をいう。)とする持株会社の株主又は出資者について準用する。
- The provisions of the preceding three Articles shall apply mutatis mutandis to shareholders or equity investors of a Holding Company that holds a Financial Instruments Business Operator as its Subsidiary Company (meaning a Subsidiary Company prescribed in Article 29-4(3)).
- 第一項第二号に該当することとなった商品取引員は、法第二百十一条第一項の規定に基づき、遅滞なく、その旨を主務大臣に届け出なければならない。
- A Futures Commission Merchant, who has fallen under paragraph (1), item (ii) shall notify the competent minister of such fact without delay based on the provisions of Article 211, paragraph (1) of the Act.
- この省令の施行の際現に横浜商品取引所の繭糸市場において取引が開始されている日本生糸及び国際生糸に係る取引については、なお従前の例による。
- With regard to transactions pertaining to Japanese raw silk and international raw silk, for which said transaction has commenced on the Yokohama Commodity Exchange at the time of the enforcement of this ordinance, the provisions then in force shall remain applicable.
- この法律において「有価証券」とは、金融商品取引法第二条第一項に規定する有価証券又は同条第二項の規定により有価証券とみなされる権利をいう。
- The term 'Securities' as used in this Act shall mean Securities as prescribed in Article 2, paragraph (1) of the Financial Instruments and Exchange Act or rights deemed to be Securities under paragraph (2) of that Article.
- 取引所金融商品市場は、有価証券の売買及び市場デリバティブ取引を公正かつ円滑にし、並びに投資者の保護に資するよう運営されなければならない。
- A Financial Instruments Exchange Market shall be operated so as to achieve the fair and smooth sales and purchase of Securities and Market Transactions of Derivatives, as well as to contribute to the protection of investors.
- 当該認定金融商品取引業者に対して債務を負つている場合 その債務の額(当該債務に関して前号に該当する場合には、同号に定める額を控除した額)
- where the General Customer assumes obligation to said Recognized Financial Instruments Business Operator: the amount of the obligation (where the General Customer falls under the preceding item with regard to said obligation, the amount calculated by deducting the amount prescribed in said item); or
- 認定団体は、金融に係る知識の普及、啓発活動及び広報活動を通じて、金融商品取引業の健全な発展及び投資者の保護の促進に努めなければならない。
- A Certified Organization shall endeavor to promote sound development of Financial Instruments Businesses and protection of investors through dissemination of financial knowledge, enlightenment campaigns and publicity campaigns.
- 認可協会は、金融に係る知識の普及、啓発活動及び広報活動を通じて、金融商品取引業の健全な発展及び投資者の保護の促進に努めなければならない。
- An Authorized Association shall endeavor to promote sound development of Financial Instruments Business and protection of investors by dissemination of financial knowledge, enlightenment campaigns and publicity campaigns.
- 会員商品取引所を全部又は一部の当事者とする合併(第百四十五条第一項の合併を除く。)は、主務大臣の認可を受けなければ、その効力を生じない。
- A merger where Member Commodity Exchanges are all or part of the parties thereto (excluding a merger set forth in Article 145, paragraph (1)) shall not come into effect without the approval of the competent minister having been obtained.
- 前項の規定は、金融商品取引業者が同項に規定する他の業務を兼業する場合において、当該業務に関する法律の適用を排除するものと解してはならない。
- Where a Financial Instruments Business Operator engages in any other business as a subsidiary business prescribed in the preceding paragraph, the provision of said paragraph shall not be construed to preclude the application of Acts concerning that business.
- 前各号に掲げるもののほか、投資者の保護に欠け、若しくは取引の公正を害し、又は金融商品取引業の信用を失墜させるものとして内閣府令で定める行為
- in addition to what is listed in the preceding items, acts specified by a Cabinet Office Ordinance as those that result in insufficient protection of investors, harm the fairness of transactions or cause a loss of confidence in Financial Instruments Business.
- in addition to what is listed in the preceding items, any act specified by a Cabinet Office Ordinance as resulting in insufficient protection of investors, harming the fairness of transactions or causing a loss of confidence in Financial Instruments Business.
- 前各号に掲げるもののほか、金融商品取引業の内容に関する事項であつて、顧客の判断に影響を及ぼすこととなる重要なものとして内閣府令で定める事項
- in addition to what is listed in the preceding items, the matters concerning the contents of the relevant Financial Instruments Business, which are specified by a Cabinet Office Ordinance as important matters that may have an impact on customers' judgment.
- 前二号に掲げるもののほか、投資者の保護に欠け、若しくは取引の公正を害し、又は金融商品取引業の信用を失墜させるものとして内閣府令で定める行為
- in addition to what is listed in the preceding two items, any act specified by a Cabinet Office Ordinance as resulting in insufficient protection of investors, harming the fairness of transactions or causing a loss of confidence in Financial Instruments Business.
- 前二号に掲げるもののほか、投資者の保護に欠け、若しくは取引の公正を害し、又は金融商品仲介業の信用を失墜させるものとして内閣府令で定める行為
- in addition to what is listed in the preceding two items, acts specified by a Cabinet Office Ordinance as those that result in insufficient protection of investors, harm the fairness of transactions, or cause a loss of confidence in Financial Instruments Intermediary Service.
- 株式会社金融商品取引所は、自主規制業務を自主規制法人に委託している場合を除き、定款の定めるところにより、自主規制委員会を置くことができる。
- A Stock Company-Type Financial Instruments Exchange may establish a Self-Regulating Committee pursuant to the provisions of its articles of incorporation, except for the cases where Self-Regulation Related Services are entrusted to a Self-Regulation Organization.
- 顧客に対し、不確実な事項について断定的判断を提供し、又は確実であると誤解させるおそれのあることを告げて金融商品取引契約の締結の勧誘をする行為
- an act of providing a customer with conclusive evaluations on uncertain matters or with information that misleads him/her into believing the certainty of such matters, thereby soliciting him/her to conclude a Contract for Financial Instruments Transaction;
- 商品市場における取引等の委託につき、転売又は買戻しにより決済を結了する旨の意思を表示した顧客に対し、引き続き当該取引を行うことを勧めること。
- recommending to a customer who manifested intent to complete settlement by reselling or repurchasing with regard to the consignment of transactions, etc., on the Commodity Market to continue said transaction;
- この法律において「金融商品取引清算機関」とは、第百五十六条の二又は第百五十六条の十九の規定により内閣総理大臣の免許又は承認を受けた者をいう。
- The term 'Financial Instruments Clearing Organization' as used in this Act means a person who has been granted the license or approval by the Prime Minister under Article 156-2 or 156-19.
- 第八十八条の三第一項及び第三項、第八十八条の四並びに第八十八条の二十二の規定は、新設合併設立会員金融商品取引所の設立については、適用しない。
- Article 88-3(1) and (3), 88-4 and 88-22 shall not apply to establishment of a Membership-Type Financial Instruments Exchange Established by a Consolidation-Type Merger.
- 理事会は、委託金融商品取引所の理事、取締役及び執行役並びに支配人その他の使用人に対し、その職務の執行に関する事項の報告を求めることができる。
- The Council may request the president, directors and executive officers, and managers and other employees of the Entrusting Financial Instruments Exchange to report the matters concerning execution of their duties.
- 会員商品取引所は、第百二十九条第四号の期日の前日までに、申込者に対し、当該申込者に割り当てる組織変更時発行株式の数を通知しなければならない。
- A Member Commodity Exchange shall notify Applicants of the number of the Shares Issued upon Entity Conversion to be allotted to said Applicants by the day preceding the date set forth in Article 129, item (iv).
- 外務員は、その所属する金融商品取引業者等に代わつて、第六十四条第一項各号に掲げる行為に関し、一切の裁判外の行為を行う権限を有するものとみなす。
- A Sales Representative shall be deemed to have the authority to conduct any extra-judicial acts concerning acts listed in the items of Article 64(1) on behalf of the Financial Instruments Business Operator, etc. to which he/she belongs.
- 破産手続の開始を遅延させる目的で、著しく不利益な条件で債務を負担し、又は信用取引により商品を買い入れてこれを著しく不利益な条件で処分したこと。
- The bankrupt, for the purpose of delaying the commencement of bankruptcy proceedings, has assumed a debt under extremely disadvantageous conditions or purchased goods on credit and disposed of them under extremely disadvantageous conditions.
- 金融商品会員制法人の設立の登記の申請書には、定款並びに出資の払込みがあつたこと及び代表権を有する者の資格を証する書面を添付しなければならない。
- The articles of incorporation, and documents proving the payment of contribution and the qualification of the person who has the authority of representation shall be attached to an application for registration of establishment of a Financial Instruments Membership Corporation.
- 第十五条第五項から第九項までの規定は、株式会社商品取引所の取引参加者の数の最高限度の設定、変更又は廃止についての第一項の認可について準用する。
- The provisions of Article 15, paragraphs (5) to (9) inclusive shall apply mutatis mutandis to the approval under paragraph (1) for the establishment of, a change to or the abolition of the maximum number of Trading Participants of a Incorporated Commodity Exchange.
- 許可申請者の本店及び取引所取引店の所在するいずれかの国の第百八十九条第一項に規定する外国金融商品取引規制当局の同条第二項第一号の保証がないとき。
- when the Foreign Financial Instruments Regulatory Authority set forth in Article 189(1) of a state where the head office or Transaction-at-Exchange Office of the applicant for permission is located has not made the assurance prescribed in Article 189(2)(i);
- 登録投資法人が主として不動産に対する投資として運用することを目的とする場合 宅地建物取引業法第五十条の二第一項の認可を受けている金融商品取引業者
- In cases where the purpose of a Registered Investment Corporation is to invest mainly in Real Property: A Financial Instruments Business Operator who has obtained authorization set forth in Article 50-2, paragraph (1) of the Building Lots and Buildings Transaction Business Act; and
- 環境の保全に資するものとしての容器包装廃棄物の排出の抑制並びにその分別収集及び分別基準適合物の再商品化等の促進の意義に関する知識の普及に係る事項
- Matters pertaining to the dissemination of knowledge on the meaning of promoting the reduction of waste containers and packaging discharged and sorted collection thereof, and recycling, etc. of waste containers and packaging that conform to the sorting standards, as activity that contributes to preservation of the environment
- 組織変更をする会員金融商品取引所の会員は、効力発生日に、第百一条の二第四項第六号に掲げる事項についての定めに従い、同項第五号の株式の株主となる。
- A member of a Membership-Type Financial Instruments Exchange implementing Entity Conversion shall become a shareholder of the shares set forth in Article 101-2(4)(v), in accordance with the provisions on the matters listed in item (iv) of that paragraph on the day on the Effective Date.
- 会員金融商品取引所は、第百一条の九第四号の期日の前日までに、申込者に対し、当該申込者に割り当てる組織変更時発行株式の数を通知しなければならない。
- A Membership-Type Financial Instruments Exchange shall notify the Applicants of the number of the Shares Issued upon Entity Conversion to be allotted to said Applicant, by the day immediately preceding the date set forth in Article 101-9(iv).
- 裁判所は、前項の一時自主規制委員の職務を行う者を選任した場合には、特定株式会社金融商品取引所がその者に対して支払う報酬の額を定めることができる。
- In cases where the court has appointed a person who is to temporarily perform the duties of a member of the Self-Regulating Committee as prescribed in the preceding paragraph, the court may prescribe the amount of the remuneration that the Specified Stock Company-Type Financial Instruments Exchange shall pay to that person.
- 金融商品取引業者等は、前項の規定にかかわらず、すべての運用財産につき、その運用に係る権限の全部を同項に規定する政令で定める者に委託してはならない。
- Notwithstanding the provisions of the preceding paragraph, a Financial Instruments Business Operator, etc. shall not entrust the whole of the authority of investment with regard to all Investment Property to a person specified by a Cabinet Order as prescribed in said paragraph.
- 認可申請者がその人的構成に照らして、その子会社となる株式会社金融商品取引所の経営管理を適確かつ公正に遂行することができる知識及び経験を有すること。
- in light of the personnel structure, the applicant for authorization has knowledge and experience for accurately and fairly performing business administration of a Stock Company-Type Financial Instruments Exchange which is to become its Subsidiary Company; and
- 前条第四項の規定による取引所金融商品市場における有価証券の売買又は市場デリバティブ取引の委託者の優先権は、前項の優先権に対し、優先の効力を有する。
- The priority of a person who entrusted sales and purchase of Securities or Market Transactions of Derivatives in a Financial Instruments Exchange Market under paragraph (4) of the preceding Article shall prevail over the priority under the preceding paragraph.
- 第二項第六号の「有価証券の私募の取扱い」とは、有価証券の私募(金融商品取引法第二条第三項(定義)に規定する有価証券の私募をいう。)の取扱いをいう。
- The term 'Dealings in a Private Placement of Securities' as used in paragraph (2), item (vi) means dealings in a Private Placement of Securities (meaning a Private Placement of Securities as prescribed in Article 2, paragraph (3) (Definitions) under the Financial Instruments and Exchange Act).
- The 'Handling of Private Placement of Securities' set forth in paragraph (2)(vi) means to handle Private Placement of Securities (meaning Private Placement of Securities as prescribed in Article 2(3) (Definitions) of the Financial Instruments and Exchange Act).
- 会員及び金融商品仲介業者のこの法律若しくはこの法律に基づく命令若しくはこれらに基づく処分若しくは定款その他の規則又は取引の信義則の遵守の状況の調査
- to investigate the status of observance of this Act, orders given thereunder, a disposition made under this Act or under such an order, its articles of incorporation or other rules, or the fair and equitable principles of transactions by its members and Financial Instruments Intermediary Service Providers;
- 有価証券の売買その他の取引及びデリバティブ取引等を公正かつ円滑にし、並びに金融商品取引業の健全な発展及び投資者の保護に資することを目的とすること。
- the juridical person shall aim at ensuring fair and smooth transaction of Securities, including sales and purchase or other transactions of Securities, and Derivative Transactions, etc. as well as contributing to sound development of Financial Instruments Businesses and protection of investors;
- 金融商品会員制法人は、総会員の四分の三以上の賛成がなければ、解散の決議をすることができない。ただし、定款に別段の定めがあるときは、この限りでない。
- A Financial Instruments Membership Corporation shall not adopt a resolution for dissolution without the affirmative votes of three-fourths or more of all members; provided, however, that this shall not apply to the cases where it is otherwise provided for in the articles of incorporation.
- 譲受会社における商品取引受託業務を公正かつ的確に遂行するための規則(当該業務に関する当該譲受会社における責任体制を明確化する規定を含むものとする。)
- regulations for the fair and appropriate performance of Commodity Transactions Brokerage Business of the Transferee Company (including regulations in order to define a system for the responsibility of said Transferee Company pertaining to said Business);
- 承継会社における商品取引受託業務を公正かつ的確に遂行するための規則(当該業務に関する当該承継会社における責任体制を明確化する規定を含むものとする。)
- regulations for the fair and appropriate performance of Commodity Transactions Brokerage Business of the Succeeding Company (including regulations in order to define a system for the responsibilities of said Succeeding Company pertaining to said Business);
- 設立会社における商品取引受託業務を公正かつ的確に遂行するための規則(当該業務に関する当該設立会社における責任体制を明確化する規定を含むものとする。)
- regulations for the fair and appropriate performance of Commodity Transactions Brokerage Business of the Formed Company (including the regulations in order to define a system for the responsibilities of said Formed Company pertaining to said Business);
- 清算人は、清算中の金融商品会員制法人が破産手続開始の決定を受けた場合において、破産管財人にその事務を引き継いだときは、その任務を終了したものとする。
- When a Financial Instruments Membership Corporation in liquidation has become subject to the decision of the commencement of bankruptcy proceedings, if the administration of the relevant procedure has been transferred to a bankruptcy trustee, it is deemed that the liquidator has completed his/her duties.
- 内閣総理大臣は、前項の規定により職務代行者を選任したときは、金融商品取引業者等に対し、当該職務代行者に相当額の報酬を支払うべき旨を命ずることができる。
- When the Prime Minister has appointed an Acting Representative Person under the provision of the preceding paragraph, he/she may order the Financial Instruments Business Operator, etc. to pay a reasonable amount of remuneration to the Acting Representative Person.
- 新設合併をする場合には、次に掲げる株主は、新設合併消滅株式会社金融商品取引所に対し、自己の有する株式を公正な価格で買い取ることを請求することができる。
- In the case of a Consolidation-Type Merger, the following shareholders may request the Stock Company-Type Financial Instruments Exchange Extinguished upon a Consolidation-Type Merger to purchase their shares at a fair price:
- 対象行為者に関するホ(1)から(6)までに掲げる事項に変更があったときは、当該金融商品取引業者等が、遅滞なく、その旨を所管金融庁長官等に届け出ること。
- that said Financial Instruments Specialist, etc. shall, when there is any change to the matters related to the Subject Person as listed in 1. to 6. inclusive of sub-item (e), notify the Commissioner of Financial Services Agency or Other Competent Official to that effect without delay.
- 会員金融商品取引所は、総会員の四分の三以上の賛成がなければ、組織変更の決議をすることができない。ただし、定款に別段の定めがあるときは、この限りでない。
- A Membership-Type Financial Instruments Exchange may not adopt a resolution for Entity Conversion without the affirmative votes of three-fourths or more of all the members; provided, however, that this shall not apply in cases where it is otherwise provided for in the articles of incorporation.
- 第一項の会員総会の招集は、組織変更計画の要領及び組織変更後の株式会社(以下「組織変更後株式会社商品取引所」という。)の定款を示してしなければならない。
- A general meeting of members set forth in paragraph (1) shall be convened by presenting an outline of an Entity Conversion plan and the articles of incorporation of the stock company after the Entity Conversion (hereinafter referred to as the 'Incorporated Commodity Exchange after Entity Conversion').
- 金融商品取引業者は、前項各号に掲げる業務を行うこととなつたときは、内閣府令で定めるところにより、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
- A Financial Instruments Business Operator shall, when starting to engage in any of the businesses listed in the items of the preceding paragraph, notify the Prime Minister to that effect without delay pursuant to the provisions of a Cabinet Office Ordinance.
- 前項の承認を受けた金融商品取引業者等は、当該承認を受けた社内規則を変更し、又は廃止しようとする場合においては、内閣総理大臣の承認を受けなければならない。
- When a Financial Instruments Business Operator, etc. who has obtained approval under the preceding paragraph intends to change or abolish the Internal Rules for which he/she had obtained said approval, he/she shall newly obtain approval from the Prime Minister.
- 法第二条第八項第一号から第三号までに掲げる取引及び店頭商品先物取引にあっては、次の表に掲げる取引の区分に応じ同表に定める算定方法により算定した額の合計額
- With regard to transactions set forth in Article 2, paragraph (8), item (i) through (iii) of the Act and Over-the-Counter Commodity Futures Transactions, the amount is the total of the amount calculated by the calculation method specified in the following table for the categories of the transactions set forth in the same table.
- 金融商品仲介業者は、第六十六条の二第一項各号に掲げる事項について変更があつたときは、その日から二週間以内に、その旨を内閣総理大臣に届け出なければならない。
- When there are any changes in the matters listed in the items of Article 66-2(1), a Financial Instruments Intermediary Service Provider shall notify to that effect to the Prime Minister within two weeks from the day of change.
- 金融商品取引業者は、前項の規定により事業報告書を提出するほか、内閣府令で定めるところにより、その業務又は財産の状況を内閣総理大臣に報告しなければならない。
- A Financial Instruments Business Operator shall, pursuant to the provisions of a Cabinet Office Ordinance, report the status of its business or property to the Prime Minister, in addition to submission of the business report under the provision of the preceding paragraph.
- 商品市場の分析及び評価に関する資料であって、受託契約(法第二百十四条第二号に規定する受託契約をいう。以下同じ。)の締結の勧誘に使用しないものを配布する方法
- the method of distributing any material on analysis or evaluation on a Commodity Market which is not used for soliciting the conclusion of a Brokerage Contract (which means the Brokerage Contract prescribed in Article 214, item (ii) of the Act; the same shall apply hereinafter);
- 内閣総理大臣は、金融商品取引所がその免許を受けた当時既に第八十二条第二項各号のいずれかに該当していたことが判明したときは、その免許を取り消すことができる。
- When a Financial Instruments Exchange is found to have already fallen under any of the categories specified in the items of Article 82(2) at the time of receipt of the license, the Prime Minister may rescind its license.
- 法第二条第二十一項第一号に掲げる取引及び外国市場デリバティブ取引であって同号に掲げる取引と類似の取引 売買の別、金融商品の銘柄、数又は金額、価格及び受渡日
- transactions listed in Article 2, paragraph (21), item (i) of the Act, and a Exchange-Traded Derivatives Transactions in a Foreign Market similar to transactions listed in that item: purchase or sale, issues, volumes or amounts, prices and the date of delivery of Financial Instruments;
- 前項の規定により基金を脱退した者は、第七十九条の五十二から第七十九条の六十一までの規定の適用については、なお当該基金の会員である金融商品取引業者とみなす。
- A Financial Instruments Business Operator which has withdrawn from a Fund under the provisions of the preceding paragraph shall be deemed, for the purpose of application of Articles 79-52 to 79-61, to be a Financial Instruments Business Operator which is a member of said Fund.
- 前項の認可を受けようとする者は、組織変更後株式会社金融商品取引所について次に掲げる事項を記載した組織変更認可申請書を内閣総理大臣に提出しなければならない。
- A person who intends to obtain the authorization under the preceding paragraph shall submit to the Prime Minister an application for entity conversion containing the following matters with regard to the Stock Company-Type Financial Instruments Exchange after Entity Conversion:
- 組織変更後株式会社金融商品取引所の役員のうちに第二十九条の四第一項第二号イからトまで又は会社法第三百三十一条第一項第三号のいずれかに該当する者があるとき。
- when any of the Officers of the Stock Company-Type Financial Instruments Exchange after Entity Conversion falls under any category of the persons specified in Article 29-4(1)(ii)(a) to (g) of this Act, or Article 331(1)(iii) of the Companies Act; or
- 免許を受けた日から六月以内に取引所金融商品市場を開設しなかつたとき(やむを得ない理由がある場合において、あらかじめ内閣総理大臣の承認を受けた場合を除く。)。
- when a Financial Instruments Exchange has not established the Financial Instruments Exchange Market within six months from the date of receipt of the license (excluding cases where there is any compelling reason, and where the approval thereon has been obtained from the Prime Minister in advance).
- 都道府県及び市町村は、国の施策に準じて、容器包装廃棄物の排出の抑制及び分別基準適合物の再商品化等を促進するよう必要な措置を講ずることに努めなければならない。
- The prefectural and municipal governments shall endeavor to take measures necessary to promote the reduction of waste containers and packaging discharged and recycling, etc. of waste containers and packaging that conform to the sorting standards, pursuant to state policy.
- 第一項の規定により商品取引所が他の会員等をして当該取引の決済を結了させるときは、本人又はその承継者と当該会員等との間には委任契約が成立しているものとみなす。
- When a Commodity Exchange has another Member, etc. complete the settlement of said transactions pursuant to the provisions of paragraph (1), it shall be deemed that a contract for the consignment of such transactions is established between said person or that person's Successor and said Member, etc.
- 金融商品取引業者は、事業年度ごとに、内閣府令で定めるところにより、事業報告書を作成し、毎事業年度経過後三月以内に、これを内閣総理大臣に提出しなければならない。
- A Financial Instruments Business Operator shall, pursuant to the provisions of a Cabinet Office Ordinance, prepare a business report for each business year, and submit it to the Prime Minister within three months after the end of each business year.
- 前項の損失準備金は、内閣総理大臣の承認を受けて当該金融商品取引業者のすべての営業所又は事務所の業務に係る純損失の補てんに充てる場合のほか、使用してはならない。
- The reserve for loss set forth in the preceding paragraph shall not otherwise be used except for appropriation to compensation of a net loss pertaining to the business of All Business Offices or Offices of said Financial Instruments Business Operator, with an approval thereon of the Prime Minister.
- あらかじめ、委託者保護基金が当該商品取引員に代わってその委託者債務の代位弁済を行うべき額の限度額(以下この号において「代位弁済限度額」という。)を定めること。
- the limit of the amount to be repaid in Subrogation Performance for such Debts to a Customer by a Consumer Protection Fund for and on behalf of said Futures Commission Merchant shall be specified in advance (hereinafter referred to as the 'Subrogation Performance Limit Amount' in this item);
- 前項の規定は、保有する対象議決権の数に増加がない場合その他の内閣府令で定める場合において、株式会社金融商品取引所を子会社とすることとなるときには、適用しない。
- The provision of the preceding paragraph shall not apply when the person will have a Stock Company-Type Financial Instruments Exchange as its Subsidiary Company, in cases where there is no increase in the number of the Subject Voting Rights held or in other cases specified by Cabinet Office Ordinance.
- 国は、容器包装廃棄物の排出の抑制並びにその分別収集及び分別基準適合物の再商品化等を促進するために必要な資金の確保その他の措置を講ずるよう努めなければならない。
- The state shall endeavor to take measures such as securing of funds necessary to promote reduction of waste containers and packaging discharged and sorted collection thereof, and recycling, etc. of waste containers and packaging that conform to the sorting standards.
- この法律において「特定包装利用事業者」とは、その事業において、その販売する商品について、特定包装を用いる事業者であって、第十一項各号に掲げる者以外の者をいう。
- The term 'specified packaging users' as used in this Act shall mean business operators that use specified packaging for goods they sell in their business, excluding those listed in the items of paragraph 11.
- 前項の規定によりその業務又は財産の状況に関し参考となるべき報告又は資料の提出を求められた金融商品取引業者は、遅滞なく、報告又は資料の提出をしなければならない。
- A Financial Instruments Business Operator which has been requested for submission of reports or materials that will be helpful for understanding the status of its business or property under the provisions of the preceding paragraph shall submit the reports or materials without delay.
- 金融商品仲介業者が次の各号のいずれかに該当することとなつたときは、当該各号に定める者は、その日から三十日以内に、その旨を内閣総理大臣に届け出なければならない。
- When a Financial Instruments Intermediary Service Provider has come to fall under any of the following items, the person specified in the respective items shall notify to that effect to the Prime Minister within thirty days from the day:
- 第百一条第五項の規定による取引委託者が優先弁済を受ける権利は、前項の規定にかかわらず、同項の信認金についての会員等又は商品取引清算機関の権利に対して優先する。
- Notwithstanding the provisions of the preceding paragraph, the right of a Transaction Customer to receive preferential payment under Article 101, paragraph (5) shall take precedence over the right of a Member, etc. or Commodity Clearing Organization with regard to the guarantee funds set forth in the same paragraph.
- 株式会社商品取引所は、主務省令で定めるところにより、その発行済株式の総数、総株主の議決権の数その他の主務省令で定める事項を、公衆の縦覧に供しなければならない。
- An Incorporated Commodity Exchange shall provide for public inspection the total number of its issued shares, the number of voting rights of all shareholders and other matters specified by an ordinance of the competent ministry pursuant to the provisions of an ordinance of the competent ministry.
- 前項の規定により社内規則の作成又は変更を命ぜられた金融商品取引業者等は、三十日以内に、当該社内規則の作成又は変更をし、内閣総理大臣の承認を受けなければならない。
- A Financial Instruments Business Operator, etc. who is ordered to prepare or change the Internal Rules under the provisions of the preceding paragraph shall prepare or change the Internal Rules and obtain approval from the Prime Minister within 30 days.
- 金融商品取引業者等は、権利者(次の各号に掲げる業務の区分に応じ当該各号に定める者をいう。以下この款において同じ。)のため忠実に投資運用業を行わなければならない。
- A Financial Instruments Business Operator, etc. shall engage in Investment Management Business with loyalty to Right Holders (meaning the persons prescribed in the following items for the Categories of Businesses listed in the respective items; hereinafter the same shall apply in this Subsection):
- 金融商品取引業者等が次の各号のいずれかに該当することとなつたときは、当該各号に定める者は、その日から三十日以内に、その旨を内閣総理大臣に届け出なければならない。
- When a Financial Instruments Business Operator, etc. has come to fall under any of the following items, the person specified in the respective items shall notify to that effect to the Prime Minister within 30 days from the day:
- 登録金融機関は、有価証券の売買その他の取引又はデリバティブ取引等の取引量に応じ、内閣府令で定めるところにより、金融商品取引責任準備金を積み立てなければならない。
- A Registered Financial Institution shall, pursuant to the provisions of a Cabinet Office Ordinance, set up the financial instruments transaction liability reserve in proportion to the transaction volume of the sales and purchase or other transactions of Securities or Derivative Transactions, etc.
- 金融商品取引業者は、第三項の規定により届け出た業務又は第四項の規定により承認を受けた業務を廃止したときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
- A Financial Instruments Business Operator shall, when having abolished the business for which notification was given under paragraph (3) or approval was obtained under paragraph (4), notify the Prime Minister to that effect without delay.
- 店頭商品先物取引業者は、法第三百四十九条第九項の帳簿を作成するときは、次の各号に掲げる書面を保存することをもって、当該各号に定める事項の記載に代えることができる。
- When Over-the-Counter Commodity Futures Transactions Dealers prepare the books prescribed in Article 349, paragraph (9) of the Act, the preservation of the documents listed in the following items may substitute for the preservation of the record as prescribed in said items:
- 前項の規定により金融商品取引所が他の会員等に同項に規定する取引を結了させるときは、本人又はその一般承継人と他の会員等との間に、委任契約が成立していたものとみなす。
- When a Financial Instruments Exchange has another Member, etc. complete the transactions prescribed in the preceding paragraph under the provisions of said paragraph, it shall be deemed that a contract of mandate has been established between the former Member, etc. or its general successor, and said other Member, etc.
- 第六十四条から第六十四条の九まで(第六十四条の七第二項を除く。)の規定は、金融商品仲介業者について準用する。この場合において、必要な技術的読替えは、政令で定める。
- Article 64 to Article 64-9 inclusive (excluding Article 64-7(2)) shall apply mutatis mutandis to Financial Instruments Intermediary Service Providers. In this case, necessary technical replacement of terms shall be specified by a Cabinet Order.
- 株式会社金融商品取引所は、内閣府令で定めるところにより、その発行済株式の総数、総株主の議決権の数その他の内閣府令で定める事項を、公衆の縦覧に供しなければならない。
- A Stock Company-Type Financial Instruments Exchange shall make available for public inspection its total number of issued shares, the number of voting rights of all shareholders and other matters specified by a Cabinet Office Ordinance, pursuant to the provisions of a Cabinet Office Ordinance.
- 当該有価証券を取得させることを目的として当該有価証券の全部又は一部を発行者又は所有者(金融商品取引業者及び登録金融機関を除く。次号において同じ。)から取得すること。
- acquisition of all or part of the Securities from an Issuer or holder (excluding Financial Instruments Business Operators and Registered Financial Institutions; the same shall apply in the following item) for the purpose of having other persons acquire said Securities; or
- 第一種特定商品市場類似施設を開設する業務を公正かつ的確に遂行するための規則(当該業務に関する第一種特定施設開設者における責任体制を明確化する規定を含むものとする。)
- regulations for the fair and appropriate performance of business to establish a Facility Similar to a Type 1 Specified Commodity Market (including regulations in order to define a system for the responsibility of said Establisher of Type 1 Specified Facility pertaining to said business);
- 第二種特定商品市場類似施設を開設する業務を公正かつ的確に遂行するための規則(当該業務に関する第二種特定施設開設者における責任体制を明確化する規定を含むものとする。)
- regulations for the fair and appropriate performance of business to establish a Facility Similar to a Type 2 Specified Commodity Market (including regulations in order to define a system for responsibility of said Establisher of a Type 2 Specified Facility pertaining to said business);
- 前号に掲げる事項のほか、新設合併設立株式会社金融商品取引所の株式の割当てについて株式の種類ごとに異なる取扱いを行うこととするときは、その旨及び当該異なる取扱いの内容
- in addition to the matters listed in the preceding item, if treating allotment of shares of the Stock Company-Type Financial Instruments Exchange Established by a Consolidation-Type Merger differently by class of shares, such fact and the contents of such differing treatment.
- 商品取引員は、法第二百十一条第一項の規定に基づき、毎月末の様式第十五号により作成した純資産額規制比率に関する届出書を翌月二十日までに主務大臣に提出しなければならない。
- A Futures Commission Merchant shall submit to the competent minister a written notification for each month-end prepared using Form No. 15 and pertaining to the Net Assets Regulation Ratio by the 20th day of the month following the subject month based on the provisions of Article 211, paragraph (1) of the Act.
- 内閣総理大臣は、金融商品取引所持株会社がその認可を受けた当時既に第百六条の十二第二項各号のいずれかに該当していたことが判明したときは、その認可を取り消すことができる。
- When a Financial Instruments Exchange Holding Company is found to have already fallen under any of the categories specified in each item of Article 106-12(2) at the time of receipt of the authorization, the Prime Minister may rescind its authorization.
- 第百五条の五第三項の規定は、監査役会設置会社である特定株式会社金融商品取引所が株主総会に提出する取締役の選任及び解任に関する議案の内容を決定する場合について準用する。
- The provision of Article 105-5(3) shall apply mutatis mutandis to the cases where a Specified Stock Company-Type Financial Instruments Exchange which is a company with board of company auditors makes a decision on the contents of proposals regarding the election and dismissal of directors to be submitted to a shareholders meeting.
- 会員金融商品取引所は、前条の組織変更(以下この目において「組織変更」という。)をするには、組織変更計画を作成して、総会の決議によつて、その承認を受けなければならない。
- In order to implement the entity conversion set forth in the preceding Article (hereinafter referred to as the 'Entity Conversion' in this Division), a Membership-Type Financial Instruments Exchange shall prepare an entity conversion plan and obtain an approval thereon by a resolution of a general meeting.
- 清算中に金融商品会員制法人の財産がその債務を完済するのに足りないことが明らかになつたときは、清算人は、直ちに破産手続開始の申立てをし、その旨を公告しなければならない。
- When it has become apparent during the liquidation process that the properties of a Financial Instruments Membership Corporation are not sufficient to fully pay its debts, a liquidator shall immediately file a petition for the commencement of bankruptcy proceedings and shall make a public notice to that effect.
- 会員商品取引所は、前条の組織変更(以下この節において「組織変更」という。)をするには、組織変更計画を作成して、会員総会の決議によつて、その承認を受けなければならない。
- In order to implement the entity conversion set forth in the preceding Article (hereinafter referred to as 'Entity Conversion' in this Section), a Member Commodity Exchange shall create an Entity Conversion plan and gain approval by a resolution of a general meeting of members.
- 会員商品取引所が解散したときは、合併及び破産手続開始の決定による解散の場合を除くほか、二週間以内に、その主たる事務所の所在地において、解散の登記をしなければならない。
- When a Member Commodity Exchange dissolves, the dissolution shall be registered at the location of its principal office within two weeks except for the cases of dissolution based on a merger and a decision of commencement of bankruptcy proceedings.
- 金融商品取引業者は、第一項各号に掲げる事由による場合又は内閣総理大臣及び財務大臣の承認を受けて他の基金の会員となる場合を除き、その所属する基金を脱退することができない。
- A Financial Instruments Business Operator may not withdraw from a Fund to which it belongs except in cases where the withdrawal is for a cause listed in any of the items of paragraph (1) or when the Financial Instruments Business Operator becomes a member of another Fund with approval of the Prime Minister and the Minister of Finance.
- 前条第一項の期間の経過後に申出をした債権者は、金融商品会員制法人の債務が完済された後まだ権利の帰属すべき者に引き渡されていない財産に対してのみ、請求をすることができる。
- Any creditor who submits its claim after the lapse of the period prescribed in paragraph (1) of the preceding Article shall be entitled to make its claim only to the assets which, after all debts of the Financial Instruments Membership Corporation have been fully paid, are not yet delivered to the person with vested rights.
- 金融商品会員制法人の登記については、その事務所の所在地を管轄する法務局若しくは地方法務局若しくはこれらの支局又はこれらの出張所(以下単に「登記所」という。)がつかさどる。
- The legal affairs bureau or the district legal affairs bureau, or the branch office or the sub-branch offices of such bureaus (hereinafter simply referred to as the 'Registry Office') having jurisdiction over the address of the office of the Financial Instruments Membership Corporation shall be the competent Registry Office for registration of the Financial Instruments Membership Corporation.
- 前項に規定する場合において、清算中の金融商品会員制法人が既に債権者に支払い、又は権利の帰属すべき者に引き渡したものがあるときは、破産管財人は、これを取り戻すことができる。
- In the case prescribed in the preceding paragraph, if a Financial Instruments Membership Corporation in liquidation has already paid any money to the creditors, or has delivered any asset to the person with vested rights, the bankruptcy trustee may retrieve such money or asset.
- 会員等は、主務省令で定めるところにより、商品市場における取引について、その他の取引と帳簿上区分して経理し、かつ、帳簿その他業務に関する書類を保存しておかなければならない。
- A Member, etc. shall carry out accounting for Transactions on a Commodity Market separately from that for other transactions in books and preserve the books and other documents related to the relevant affairs, pursuant to the provisions of an ordinance of the competent ministry.
- 金融商品取引業者は、第二十九条の二第一項第五号に掲げる事項について変更をしようとするときは、内閣府令で定めるところにより、内閣総理大臣の行う変更登録を受けなければならない。
- When a Financial Instruments Business Operator intends to change matters listed in Article 29-2(1)(v), he/she shall obtain registration of change conducted by the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance.
- 金融商品取引業者は、第二十九条の二第一項各号(第五号を除く。)に掲げる事項について変更があつたときは、その日から二週間以内に、その旨を内閣総理大臣に届け出なければならない。
- When there are any changes in matters listed in the items (excluding item (v)) of Article 29-2(1), a Financial Instruments Business Operator shall notify to that effect to the Prime Minister within two weeks from the day of change.
- 内閣総理大臣は、第六十六条の登録の申請があつた場合においては、次条の規定により登録を拒否する場合を除くほか、次に掲げる事項を金融商品仲介業者登録簿に登録しなければならない。
- When an application for registration set forth in Article 66 has been filed, the Prime Minister shall register the following matters in a registry of Financial Instruments Intermediary Service Providers, except when he/she refuses the registration under the provisions of the following Article:
- 吸収合併存続会員金融商品取引所は、総会員の四分の三以上の賛成がなければ、吸収合併契約の承認の決議をすることができない。ただし、定款に別段の定めがあるときは、この限りでない。
- A Membership-Type Financial Instruments Exchange Surviving an Absorption-Type Merger may not adopt a resolution on approval of an Absorption-Type Merger agreement, unless the approval by at least three quarters majority of all members has been obtained; provided, however, that this shall not apply to cases where the articles of incorporation prescribe otherwise.
- 新設合併消滅会員金融商品取引所は、総会員の四分の三以上の賛成がなければ、新設合併契約の承認の決議をすることができない。ただし、定款に別段の定めがあるときは、この限りでない。
- A Membership-Type Financial Instruments Exchange Extinguished upon a Consolidation-Type Merger may not adopt a resolution on approval of an Absorption-Type Merger agreement, unless the approval by at least three-quarters majority of all members has been obtained; provided, however, that this shall not apply to cases where the articles of incorporation prescribe otherwise.
- 吸収合併消滅会員金融商品取引所は、総会員の四分の三以上の賛成がなければ、吸収合併契約の承認の決議をすることができない。ただし、定款に別段の定めがあるときは、この限りでない。
- A Membership-Type Financial Instruments Exchange Extinguished upon a Consolidation-Type Merger may not adopt a resolution on approval of an Absorption-Type Merger agreement, unless the approval by at least three quarters majority of all members has been obtained; provided, however, that this shall not apply to cases where the articles of incorporation prescribe otherwise.
- 内閣総理大臣は、金融商品取引所が次の各号のいずれかに該当する場合において、公益又は投資者保護のため必要かつ適当であると認めるときは、当該各号に定める処分をすることができる。
- When a Financial Instruments Exchange falls under any of the cases specified in the following items, if the Prime Minister finds it necessary and appropriate for the public interest or protection of investors, he/she may render the dispositions specified in the respective items:
- 組織変更をする会員商品取引所は、組織変更の効力が生じた日に、第百二十二条第四項第一号及び第二号に掲げる事項についての定めに従い、当該事項に係る定款の変更をしたものとみなす。
- A Member Commodity Exchange implementing Entity Conversion shall be deemed to have made amendments to its articles of incorporation pertaining to the matters set forth in Article 122, paragraph (4), items (i) and (ii) in accordance with the provisions on said matters, on the day on which Entity Conversion comes into effect.
- 当該和解の成立により商品取引員が顧客に対して支払をすることとなる額が千万円(イの司法書士が代理をする場合にあっては、司法書士法第三条第一号第七号に規定する額)を超えないこと。
- the amount to be paid to the customer by the Futures Commission Merchant as a result of said settlement having been reached does not exceed ten million yen (or, the amount prescribed in Article 3, paragraph (1), item (vii) of the Judicial Scriveners Act in the case where the judicial scrivener set forth in (a) represents the customer);
- 裁判所は、株式会社金融商品取引所の清算手続、破産手続、再生手続、更生手続又は承認援助手続において、内閣総理大臣に対し、意見を求め、又は検査若しくは調査を依頼することができる。
- In liquidation proceedings, bankruptcy proceedings, rehabilitation proceedings, reorganization proceedings or recognition and assistance proceedings for a Stock Company-Type Financial Instruments Exchange, the court may request an opinion of, or inspection or investigation by, the Prime Minister.
- 会員等がその受託した商品市場における取引(第三項の規定に基づき取次証拠金の預託を受けている取次者から受託したものに限る。)を行う場合(第一号に掲げる場合を除く。) 当該取次者
- When a Member, etc. carries out Transactions on a Commodity Market which the Member, etc. brokers (limited to those which the Member, etc. brokers for an Intermediary who obtained the deposit of an intermediation margin based on the provisions of paragraph (3)) (excluding the case set forth in item (i)) : Said Intermediary
- 金融商品取引法第三十三条第二項各号(金融機関の有価証券関連業の禁止等)に掲げる有価証券又は取引について、同項各号に定める行為を行う業務(前条第二項の規定により営む業務を除く。)
- Business of carrying out any acts listed in the items of Article 33, paragraph (2) (Prohibition, etc. of Securities Services by Financial Institutions) of the Financial Instruments and Exchange Act for the securities or transactions listed in the items of the that paragraph (excluding the business conducted under the provisions of paragraph (2) of the preceding Article);
- Business of carrying out any acts listed in each item of Article 33(2) (Prohibition, etc. of Securities-Related Business by Financial Institutions) of the Financial Instruments and Exchange Act for the securities or transactions listed in each item of the that paragraph (excluding the business conducted under the provisions of paragraph (2) of the preceding Article); and
- 組織変更をする会員商品取引所は、次に掲げる事項を官報に公告し、かつ、知れている債権者には、各別にこれを催告しなければならない。ただし、第二号の期間は、一月を下ることができない。
- A Member Commodity Exchange implementing Entity Conversion shall give public notice of the following matters in an official gazette and notify such matters individually to known creditors; provided, however, that the period set forth in item (ii) may not be shorter than one month:
- 取次者は、商品市場における取引の委託の取次ぎの受託について、主務省令で定めるところにより、取次委託者の承諾を得て、その者をして、当該取次者に取次証拠金を預託させることができる。
- An Intermediary may, with regard to brokerage of the intermediation of the consignment of Transactions on a Commodity Market, have the Intermediation Customer deposit an intermediation margin with the Intermediary by gaining the consent of such person.
- An Intermediary may, with regard to brokerage of the intermediation of consignment of Transactions on a Commodity Market, have the Intermediation Customer deposit an intermediation margin with the Intermediary by gaining the consent of such person.
- 株式の所有関係、親族関係その他の政令で定める特別の関係にある者が株式会社商品取引所の対象議決権を取得し、又は保有する場合 当該特別の関係にある者が取得し、又は保有する対象議決権
- When a person having a shareholder relationship, family relationship or other special relationship specified by a Cabinet Order acquires or possesses Subject Voting Rights of a Incorporated Commodity Exchange : The Subject Voting Rights acquired or possessed by said person having a special relationship
- 内閣総理大臣は、第二十九条の登録の申請があつた場合においては、次条第一項の規定により登録を拒否する場合を除くほか、次に掲げる事項を金融商品取引業者登録簿に登録しなければならない。
- When an application for registration set forth in Article 29 has been filed, the Prime Minister shall register the following matters in a registry of Financial Instruments Business Operators, except when he/she refuses the registration under the provisions of paragraph (1) of the following Article:
- この節において「外国証券業者」とは、金融商品取引業者及び銀行、協同組織金融機関その他政令で定める金融機関以外の者で、外国の法令に準拠し、外国において有価証券関連業を行う者をいう。
- The term 'Foreign Securities Broker' in this Section means a person other than Financial Instruments Business Operators, banks, Cooperative Structured Financial Institution and other financial institutions specified by a Cabinet Order, which is governed by the laws and regulations of a foreign state, and which engages in Securities-Related Business in a foreign state.
- 内閣総理大臣は、内閣府令で定めるところにより、協会に所属しない金融商品取引業者等の外務員に係る登録事務(第六十四条の五に係るものを除く。)を一の協会を定めて行わせることができる。
- The Prime Minister may designate one Association and have it conduct Registration Work (excluding work pertaining to Article 64-5) pertaining to Sales Representatives of a Financial Instruments Business Operator, etc. that does not belong to any Association pursuant to the provisions of a Cabinet Office Ordinance.
- 商品取引員は、法第二百十八条第一項の規定により顧客に対して説明をしようとするときは、当該説明に先立って、当該顧客に対し法第二百十七条第一項に規定する書面を交付しなければならない。
- When a Futures Commission Merchant intends to provide explanations to a customer pursuant to the provisions of Article 218, paragraph (1) of the Act, the Futures Commission Merchant shall deliver the documents prescribed in Article 217, paragraph (1) of the Act to said customer prior to said explanation.
- 当該有価証券を取得させることを目的として当該有価証券の全部又は一部を発行者又は所有者(金融商品取引業者及び登録金融機関を除く。次号において同じ。)から取得することを内容とする契約
- a contract in which it is agreed that a party will acquire all or part of the Securities from their Issuer or holder (excluding cases where the holder is a Financial Instruments Business Operator or Registered Financial Institution; the same shall apply in the following item) for the purpose of having other persons acquire them; or
- 第一項の預託等取引契約の解除があつた場合において、当該預託等取引契約に係る商品の返還に要する費用又は施設利用権を預託者に取得させるために要する費用は、預託等取引業者の負担とする。
- Where the cancellation of a deposit, etc. transaction agreement is made under paragraph (1), the deposit, etc. servicer shall bear the costs required for the return of the commodities, or the costs required for causing the depositor to acquire the facility use rights, under said deposit, etc. transaction agreement.
- 当該株式会社金融商品取引所の株主は、その権利を行使するため必要があるときは、裁判所の許可を得て、第一項の議事録について前項各号に掲げるものの閲覧又は謄写の請求をすることができる。
- If it is necessary for the purpose of exercising the rights of a shareholder, a shareholder of the Stock Company-Type Financial Instruments Exchange may, with the permission of the court, make requests for inspection or copying of the matters set forth in each item of the preceding paragraph with regard to the minutes prescribed in paragraph (1).
- 金融商品会員制法人がその債務につきその財産をもつて完済することができなくなつた場合には、裁判所は、理事長及び理事若しくは債権者の申立てにより又は職権で、破産手続開始の決定をする。
- When a Financial Instruments Membership Corporation is unable to pay its obligations in full out of its property, the court shall, upon the filing of the president and the board members or the creditors, or by its own authority, grant a decision for commencement of bankruptcy proceedings.
- 通常の取引の条件と異なる条件であつて取引の公正を害するおそれのある条件で、当該金融商品取引業者の親法人等又は子法人等と有価証券の売買その他の取引又は店頭デリバティブ取引を行うこと。
- conducting sales and purchase or other transactions of Securities or Over-the-Counter Transactions of Derivatives with the Parent Juridical Person, etc. or Subsidiary Juridical Person, etc. of the Financial Instruments Business Operator, etc. under terms and conditions that are different from ordinary terms and conditions and detrimental to the fairness of transactions;
- 委託者保護基金は、法第三百九条の規定により、その会員である商品取引員から保全対象財産の全部又は一部の預託を受ける場合には、第九十八条第一項第二号に定めるところにより行うものとする。
- When accepting the whole or a portion of a deposit of Property Subject to Preservation from a Member pursuant to Article 309 of the Act, the Consumer Protection Fund shall conduct procedures pursuant to Article 98, paragraph (1), item (ii).
- 第六十七条の十一第一項の規定により登録を受けた有価証券(以下「店頭売買有価証券」という。)について、当該登録を行う認可金融商品取引業協会が公表する当該有価証券の売買価格を用いる方法
- with regard to Securities registered under Article 67-11(1) (hereinafter referred to as 'Over-the-Counter Traded Securities'), a method using the trading price of the Securities published by the Authorized Financial Instruments Firms Association to which the Securities are registered;
- 内閣総理大臣は、外国金融商品取引所が第百五十五条第一項の認可を受けた当時既に第百五十五条の三第二項各号のいずれかに該当していたことが判明したときは、その認可を取り消すことができる。
- When a Foreign Financial Instruments Exchange is found to have already fallen under any of the categories specified in the items of Article 155-3(2) at the time of receipt of the authorization under Article 155(1), the Prime Minister may rescind its authorization.
- 当該金融商品取引業者が、その承認の申請の時においてその脱退しようとする基金に対し会員として負担する債務を完済しており、かつ、前項に規定する義務を履行することが確実と見込まれること。
- said Financial Instruments Business Operator has repaid in full the obligation it has borne as a member to a Fund from which it intends to withdraw, by the time of filing an application for approval, and is expected to certainly perform the obligation prescribed in the preceding paragraph; and
- 認可協会は、前項の申出に係る苦情の解決について必要があると認めるときは、当該協会員又は金融商品仲介業者に対し、文書若しくは口頭による説明を求め、又は資料の提出を求めることができる。
- When an Authorized Association finds it necessary for resolving the complaint pertaining to an application under the preceding paragraph, it may demand that the relevant Member Firm or Financial Instruments Intermediary Service Provider should provide a written or oral explanation or submit materials.
- 前項の組織変更認可申請書には、組織変更計画の内容を記載した書面、組織変更後株式会社金融商品取引所の定款、業務規程、受託契約準則その他の内閣府令で定める書類を添付しなければならない。
- The documents containing the contents of the entity conversion plan, and the articles of incorporation, the operational rules and the brokerage contract rules of the Stock Company-Type Financial Instruments Exchange after Entity Conversion as well as other documents specified by a Cabinet Office Ordinance shall be attached to the application for entity conversion set forth in the preceding paragraph.
- 株式の所有関係、親族関係その他の政令で定める特別の関係にある者が株式会社金融商品取引所の対象議決権を取得し、又は保有する場合 当該特別の関係にある者が取得し、又は保有する対象議決権
- when a person who has a shareholder relationship, family relationship or any other special relationship specified by a Cabinet Order acquires or holds the Subject Voting Rights of a Stock Company-Type Financial Instruments Exchange: the Subject Voting Rights acquired or held by said person who has a special relationship.
- 組織変更をする会員金融商品取引所は、次に掲げる事項を官報に公告し、かつ、知れている債権者には、各別にこれを催告しなければならない。ただし、第二号の期間は、一月を下ることができない。
- A Membership-Type Financial Instruments Exchange implementing Entity Conversion shall give public notice of the following matters in the Official Gazette and send a demand on such matters individually to known creditors; provided, however, that the period set forth in item (ii) may not be less than one month:
- 次に掲げる資産に対する投資として、運用財産(投資運用業を行う金融商品取引業者等が第四十二条第一項に規定する権利者のため運用を行う金銭その他の財産をいう。以下同じ。)の運用を行うこと。
- investment of Investment Property (meaning money and other property to be invested by a Financial Instruments Business Operator, etc. who engages in Investment Management Business on behalf of the Right Holder prescribed in Article 42(1) as an investment in the following assets; the same shall apply hereinafter):
- 有価証券売買取引等につき、金融商品取引業者等又は第三者との間で、前項第二号の約束をし、又は第三者に当該約束をさせる行為(当該約束が自己がし、又は第三者にさせた要求による場合に限る。)
- an act of gaining a promise set forth in item (ii) of the preceding paragraph from a Financial Instruments Business Operator, etc. or a third party with regard to the Sales and Purchase or Other Transaction of Securities, etc. or having a third party gain such promise (limited to cases where such an act is conducted as a result of the request made by the customer him/herself or via a third party); and
- 有価証券売買取引等につき、金融商品取引業者等又は第三者との間で、前項第一号の約束をし、又は第三者に当該約束をさせる行為(当該約束が自己がし、又は第三者にさせた要求による場合に限る。)
- an act of gaining a promise set forth in item (i) of the preceding paragraph from a Financial Instruments Business Operator, etc. or a third party with regard to the Sales and Purchase or Other Transaction of Securities, etc. or making a third party gain such promise (limited to cases where such an act is conducted as a result of the request made by the customer him/herself or via a third party);
- 金融商品取引業者等又はその役員若しくは使用人は、二以上の業務の種別(第二十九条の二第一項第五号に規定する業務の種別をいう。)に係る業務を行う場合には、次に掲げる行為をしてはならない。
- A Financial Instruments Business Operator, etc. or Officers or employees thereof, when engaging in two or more Categories of Businesses (meaning the Categories of Businesses prescribed in Article 29-2(1)(v)), shall not conduct any of the following acts:
- 前項の金融商品取引責任準備金は、有価証券の売買その他の取引又はデリバティブ取引等に関して生じた事故による損失の補てんに充てる場合その他内閣府令で定める場合のほか、使用してはならない。
- The financial instruments transaction liability reserve set forth in the preceding paragraph shall not otherwise be used except for appropriation to compensation of a loss incurred by an accident in relation to the sales and purchase or other transactions of Securities or the Derivative Transactions, etc., or for other cases specified by a Cabinet Office Ordinance.
- 技術者、職人、労務者その他の主として自己の知的又は肉体的な労働により職業又は営業に従事する者(前二号に規定する者を除く。)のその業務に欠くことができない器具その他の物(商品を除く。)
- Equipment or any other objects (excluding products) that are indispensable for the work of a technician, an artisan, a laborer or any other person who engages in an occupation or business mainly through his/her own intellectual or physical labor (excluding those prescribed in the preceding two items)
- 国は、物品の調達に当たっては、容器包装廃棄物の排出の抑制に資する物又は分別基準適合物の再商品化をして得られた物若しくはこれを使用した物の利用を促進するよう必要な考慮を払うものとする。
- The state, in procuring articles, shall give necessary consideration to promoting the utilization of things that contribute to reducing waste containers and packaging discharged or things obtained by recycling waste containers and packaging that conform to the sorting standards, or things using such things.
- 会員商品取引所が解散したときは、合併及び破産手続開始の決定による解散の場合を除いては、理事長及び理事がその清算人となる。ただし、会員総会において他人を選任したときは、この限りでない。
- When a Member Commodity Exchange dissolves, the president and directors become the liquidators except for the cases of dissolution based on a merger and a decision of commencement of bankruptcy proceedings; provided, however, that this shall not apply when another person has been appointed at a general meeting of members.
- 外務員の登録を受けようとする金融商品取引業者等は、政令で定めるところにより、登録手数料を国(前条第一項又は第二項の規定により協会に登録する場合にあつては、協会)に納めなければならない。
- A Financial Instruments Business Operator, etc. that intends to obtain registration of Sales Representatives shall pay a registration fee to the government (when registering to an Association under the provisions of paragraph (1) or (2) of the preceding Article, to the Association) pursuant to the provisions of a Cabinet Order.
- 内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、金融商品取引業者に対し、政令で定めるところにより、第一項の事業報告書の全部又は一部の公告を命ずることができる。
- The Prime Minister may, when he/she finds it necessary and appropriate for the public interest or protection of investors, order the Financial Instruments Business Operator to put all or part of the business report under paragraph (1) to public notice, pursuant to the provisions of a Cabinet Order.
- 商品取引員は、第一項第一号に規定する株主資本等変動計算書を作成する場合においては、前事業年度末残高、当調書作成期間変動額及び当調書作成期間末残高の区分に応じて記載をしなければならない。
- In preparing the statements of changes in net assets prescribed in paragraph (1), item (i), a Futures Commission Merchant shall make statements for the respective categories of the account balances as of the end of the previous business year, the amount of change during the period for the preparation of the records, and the balance as of the end of the period for the preparation of the records.
- 吸収合併をする場合には、次の各号に掲げる場合における当該各号に定める株主は、吸収合併存続株式会社金融商品取引所に対し、自己の有する株式を公正な価格で買い取ることを請求することができる。
- In the case of an Absorption-Type Merger, the shareholders listed in any of the following items in the respective case may request the Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger to purchase their shares at a fair price:
- 特定保有団体等は、前項の規定により株式会社金融商品取引所の総株主の議決権の百分の五十以下の数の対象議決権の保有者となつたときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
- When a Specified Holding Entity, etc. has become a holder of the Subject Voting Rights not more than 50 percent of the voting rights of all shareholders of a Stock Company-Type Financial Instruments Exchange under the provision of the preceding paragraph, it shall notify to the Prime Minister of that effect without delay.
- 内閣総理大臣は、前項の承認の申請があつた場合においては、当該申請に係る上場に関し、当該取引所金融商品市場における取引の公正が確保されていないと認めるときは、同項の承認をしてはならない。
- When an application for approval set forth in the preceding paragraph is filed, if the Prime Minister finds that, with regard to the listing pertaining to said application, fairness in transactions on the Financial Instruments Exchange Market has not been secured, he/she shall not grant the approval under said paragraph.
- 設立を予定する金融商品会員制法人の会員となる予定の者(以下この条、次条及び第八十八条の六において「加入予定者」という。)は、創立総会の開会までに、出資の全額を払い込まなければならない。
- A person who intends to become a member of a Financial Instruments Membership Corporation to be established (hereinafter referred to as the 'Prospective Member' in this Article, the following Article and Article 88-6) shall pay the full amount of contribution before the opening of the organizational meeting.
- 前条の規定に違反した者は、当該違反行為により形成された対価の額又は約定価格等により当該商品市場における取引又はその委託をした者が当該取引又は委託につき受けた損害を賠償する責めに任ずる。
- A person who has violated the provisions of the preceding Article shall be liable to compensate for any damages incurred by a person who has carried out transactions on said Commodity Market or consigned such transactions, with respect to said transactions or consignment, as a result of the amount of consideration or Contract Price, etc. formed by said violation.
- 主務大臣は、会員商品取引所から第一項の認可の申請があつた場合において、当該申請が次の各号に掲げる区分に応じ、当該各号に定める基準に適合していると認めるときは、認可をしなければならない。
- Where an application for the approval under paragraph (1) has been filed by a Member Commodity Exchange, if the competent ministry finds that said application conforms to the criteria prescribed in the following items for the categories set forth respectively in those items, he/she shall give the approval:
- 金融商品取引業者等は、第六十四条第一項の規定により登録を受けている外務員について、次の各号のいずれかに該当する事実が生じたときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
- When a fact falling under any of the following items emerges with regard to a Sales Representative for whom a Financial Instruments Business Operator, etc. has obtained registration under the provisions of Article 64(1), he/she shall notify the Prime Minister to that effect without delay:
- 前項の場合において、損害賠償の額は、履行地又はその地の相場の標準となるべき地における同種の取引であって同一の時期に履行すべきものの相場と当該契約における商品の価格との差額によって定める。
- In the case referred to in the preceding paragraph, the amount of damages shall be determined by a difference between the quotation for the same kind of transaction to be performed at the same time at the place of performance or any other reference place for quotation, and the price of the goods under the contract.
- 対象行為者が、法第四十二条の四に規定する方法に準ずる方法により、当該行為に係る運用財産と自己の固有財産及び他の運用財産とを分別して管理し、その管理を当該金融商品取引業者等が監督すること。
- that the Subject Person shall manage the Investment Property pertaining to said act separately from such person's own property and other investment properties by the method equivalent to that prescribed in Article 42-4 of the Act, and said Financial Instruments Specialist, etc. shall supervise said management;
- 定款、業務規程及び受託契約準則の規定が法令に適合し、かつ、取引所金融商品市場における有価証券の売買及び市場デリバティブ取引を公正かつ円滑にし、並びに投資者を保護するために十分であること。
- the provisions of the articles of incorporation, the operational rules and the brokerage contract rules conform to laws and regulations, and are sufficient for achieving fair and smooth sales and purchase of Securities and Market Transactions of Derivatives on the Financial Instruments Exchange Market, as well as for protection of investors;
- 前項の認可を受けようとする者は、組織変更後株式会社商品取引所について第七十九条第一項第一号から第三号まで、第五号及び第六号に掲げる事項を記載した申請書を主務大臣に提出しなければならない。
- A person who intends to obtain the approval set forth in the preceding paragraph shall submit to the competent minister a written application stating the matters listed in Article 79, paragraph (1), items (i) to (iii) inclusive, item (v) and item (vi) with regard to the Incorporated Commodity Exchange after Entity Conversion.
- 商品取引員は、法第二百二十五条第一項の規定による合併の認可を受けようとするときは、法第百九十二条第一項各号に掲げる事項のほか、次に掲げる事項を記載した申請書を主務大臣に提出するものとする。
- In addition to the requirements listed in the respective items of Article 192, paragraph (1) of the Act, a Futures Commission Merchant shall submit to the competent minister a written application stating the following matters when intending to obtain approval for a merger as prescribed in Article 225, paragraph (1) of the Act:
- この法律において「取引参加者」とは、第百十二条第一項又は第百十三条第一項の規定による取引資格に基づき、取引所金融商品市場における有価証券の売買又は市場デリバティブ取引に参加できる者をいう。
- The term 'Trading Participant' used in this Act means a person who is allowed to participate in the sales and purchase of Securities or Market Transactions of Derivatives in Financial Instruments Exchange Market based on the qualifications for trading granted under Article 112(1) or 113(1).
- 公告方法(金融商品会員制法人が公告(この法律の規定により官報に記載する方法によりしなければならないものとされているものを除く。)をする方法をいう。第八十九条の二第二項第九号において同じ。)
- method of public notice (meaning the method by which a Financial Instruments Membership Corporation gives public notices (excluding those which shall be given by the method of publication in the Official Gazette under the provisions of this Act); the same shall apply in Article 89-2(2) (ix)).
- 公益協会は、内閣府令で定めるところにより、上場株券等の取引所金融商品市場外での売買に関する銘柄別の毎日の売買高、最高、最低及び最終の価格その他の事項を内閣総理大臣に報告しなければならない。
- A Public Interest-Type Association shall report the trading volume, highest price, lowest price, closing price and other matters concerning sales and purchase of Listed Share Certificates, etc. conducted outside of Financial Instruments Exchange Markets for each day and for each issue of the Listed Share Certificates, etc. to the Prime Minister, pursuant to the provisions of a Cabinet Office Ordinance.
- 売買その他の取引の勧誘を行うことが禁じられない株券、新株予約権付社債券その他内閣府令で定める有価証券(金融商品取引所に上場されている有価証券及び店頭売買有価証券を除く。)の種類に関する事項
- matters pertaining to kinds of share certificates, bonds with share option or other types of Securities specified by a Cabinet Office Ordinance (excluding Securities listed in a Financial Instruments Exchange and Over-the-Counter Traded Securities) for which solicitation for sales and purchase or for other transactions is not prohibited.
- 組織変更時発行株式の引受人は、第一項の規定による払込み又は前項の規定による給付(以下この節において「出資の履行」という。)をする債務と会員商品取引所に対する債権とを相殺することができない。
- A subscriber to the Shares Issued upon Entity Conversion shall not set off the subscriber's obligation to make the payment under paragraph (1) or the delivery under the preceding paragraph (hereinafter referred to as the 'Performance of Contribution' in this Section) against the subscriber's claims on a Member Commodity Exchange.
- 主務大臣は、株式会社商品取引所から第一項の認可の申請があつた場合において、当該申請が次の各号に掲げる区分に応じ、当該各号に定める基準に適合していると認めるときは、認可をしなければならない。
- Where an application for the approval under paragraph (1) has been filed by a Incorporated Commodity Exchange, if the competent ministry finds that said application conforms to the criteria prescribed in the following items for the categories set forth respectively in those items, he/she shall give the approval:
- 前項の申請書には、合併契約の内容を記載した書面、合併後の商品取引所の定款、業務規程、受託契約準則、紛争処理規程及び市場取引監視委員会規程その他主務省令で定める書面を添付しなければならない。
- A document containing the content of the merger contract and the articles of incorporation, market rules, brokerage contract rules, dispute resolution rules, market transactions surveillance committee rules and other documents specified by an ordinance of the competent ministry with regard to the Commodity Exchange Resulting from a Merger shall be attached to a written application under the preceding paragraph.
- 金融商品取引業者の常務に従事する取締役(委員会設置会社にあつては、執行役)は、前二項の規定の適用がある場合を除き、銀行、協同組織金融機関その他政令で定める金融機関の常務に従事してはならない。
- A director (an executive officer for a company with Committees) who regularly engages in the business of a Financial Instruments Business Operator shall not work as a managing director for a bank, Cooperative Structured Financial Institution, or other financial institution specified by a Cabinet Order in addition to cases where the provisions of the preceding two paragraphs are applied.
- 金融商品取引業者(有価証券関連業を行う者に限る。次項において同じ。)は、会社法第七百二条に規定する社債管理者又は担保付社債信託法第二条第一項に規定する信託契約の受託会社となることができない。
- A Financial Instruments Business Operator (limited to those who engage in Securities-Related Business; the same shall apply in the following paragraph) may not become a bond manager prescribed in Article 702 of the Companies Act or trustee company for a trust contract defined in Article 2(1) of the Secured Debenture Trust Act.
- 業務の種別(第二十八条第一項第一号、第二号、第三号イからハまで及び第四号に掲げる行為に係る業務並びに有価証券等管理業務、第二種金融商品取引業、投資助言・代理業並びに投資運用業の種別をいう。)
- Categories of Businesses the person intends to conduct (meaning what category of businesses the person intends to conduct among business comprising of the acts listed in Article 28(1)(i), (ii), (iii)(a) to (c) inclusive, or item (iv), or Securities, etc. Management Business, Type II Financial Instruments Business, Investment Advisory and Agency Business or Investment Management Business);
- 当該商品取引員の外国親会社が、外国の他の法人その他の団体の総株主の議決権の百分の五十以上の議決権に係る株式又は出資を自己又は他人の名義をもって所有している場合における当該他の法人その他の団体
- in cases where the Foreign Parent Company of said Futures Commission Merchant holds shares or contributions pertaining to 50 percent or more of the Voting Rights of all shareholders of another foreign juridical person or another organization under its own name or that of another person, said other juridical person or other organizations;
- 特定株式会社金融商品取引所の執行役、取締役、会計参与又は会計監査人が自主規制委員全員に対して自主規制委員会に報告すべき事項を通知したときは、当該事項を自主規制委員会へ報告することを要しない。
- In cases where an executive officer, a director, an accounting advisor or an accounting auditor of a Specified Stock Company-Type Financial Instruments Exchange has notified all members of the Self-Regulating Committee of the matters to be reported to the Self-Regulating Committee, it shall be unnecessary to report such matters to the Self-Regulating Committee.
- 有価証券の引受人となつた金融商品取引業者は、当該有価証券を売却する場合において、引受人となつた日から六月を経過する日までは、その買主に対し買入代金につき貸付けその他信用の供与をしてはならない。
- A Financial Instruments Business Operator who has become an Underwriter of Securities, upon selling said Securities, shall not conduct money loan or other credit granting to the purchaser of the Securities for the purchase price until six months have elapsed from the day on which the Financial Instruments Business Operator became an Underwriter.
- 商品取引員は、法第二百二十八条第一項の規定による事業譲渡の認可を受けようとするときは、法第百九十二条第一項各号に掲げる事項のほか、次に掲げる事項を記載した申請書を主務大臣に提出するものとする。
- When seeking to obtain approval for a Business Transfer prescribed in the provisions of Article 228, paragraph (1) of the Act, a Futures Commission Merchant shall submit an application to the competent minister stating the following matters in addition to the matters set forth in the respective items of Article 192, paragraph (1) of the Act:
- 商品取引員は、法第二百二十六条第一項の規定による新設分割の認可を受けようとするときは、法第百九十二条第一項各号に掲げる事項のほか、次に掲げる事項を記載した申請書を主務大臣に提出するものとする。
- When seeking to obtain approval of a Consolidation-Type Split prescribed in the provisions of Article 226, paragraph (1) of the Act, a Futures Commission Merchant shall submit an application to the competent minister stating the following matters in addition to the matters set forth in the respective items of Article 192, paragraph (1) of the Act:
- 商品取引員は、法第二百二十七条第一項の規定による吸収分割の認可を受けようとするときは、法第百九十二条第一項各号に掲げる事項のほか、次に掲げる事項を記載した申請書を主務大臣に提出するものとする。
- When seeking to obtain approval for an Absorption-Type Split prescribed in the provisions of Article 227, paragraph (1) of the Act, a Futures Commission Merchant shall submit an application to the competent minister stating the following matters in addition to the matters set forth in the respective items of Article 192, paragraph (1) of the Act:
- 会社法第三百四十六条第二項、第三百五十一条第二項及び第四百一条第三項(同法第四百三条第三項及び第四百二十条第三項において準用する場合を含む。)の規定は、株式会社金融商品取引所には、適用しない。
- The provisions of Article 346(2), Article 351(2) and Article 401(3) of the Companies Act (including the cases where it is applied mutatis mutandis pursuant to Article 403(3) and Article 420(3) of that Act) shall not apply to a Stock Company-Type Financial Instruments Exchange.
- 組織変更時発行株式の引受人は、第一項の規定による払込み又は前項の規定による給付(以下この目において「出資の履行」という。)をする債務と会員金融商品取引所に対する債権とを相殺することができない。
- A subscriber for the Shares Issued upon Entity Conversion shall not set off the subscriber's obligation to make the payment set forth in paragraph (1) or the delivery under the provisions of the preceding paragraph (hereinafter referred to as the 'Performance of Contribution' in this Division) against the claims they have against the Membership-Type Financial Instruments Exchange.
- この条の規定により発行する株式(以下この目において「組織変更時発行株式」という。)の数(組織変更後株式会社金融商品取引所が種類株式発行会社である場合にあつては、組織変更時発行株式の種類及び数)
- the number of shares issued under the provisions of this Article (hereinafter referred to as the 'Shares Issued upon Entity Conversion' in this Division) (in the case where a Stock Company-Type Financial Instruments Exchange after Entity Conversion is a company with class shares, the classes and the number of the Shares Issued upon Entity Conversion);
- 株式会社商品取引所が前項に掲げる事由以外の事由により解散したときは、その代表者であつた者は、遅滞なく、その旨を主務大臣に届け出なければならない。ただし、主務省令で定める場合は、この限りでない。
- When a Incorporated Commodity Exchange is dissolved based on a reason other than the grounds listed in the preceding paragraph, a person who was its representative shall notify the competent minister to that effect without delay; provided, however, that this shall not apply to cases specified by an ordinance of the competent ministry.
- 譲受会社が商品取引受託業務において電子情報処理組織を使用する場合には、当該電子情報処理組織の概要、設置場所、容量及び保守の方法並びに当該電子情報処理組織に異常が発生した場合の対処方法を記載した書類
- in cases where the Transferee Company uses an electronic data processing system for Commodity Transactions Brokerage Business, a document stating the description, installation location, capacity, and maintenance system of said electronic data processing system, and the process for responding in the event of the failure of said electronic data processing system;
- 承継会社が商品取引受託業務において電子情報処理組織を使用する場合には、当該電子情報処理組織の概要、設置場所、容量及び保守の方法並びに当該電子情報処理組織に異常が発生した場合の対処方法を記載した書類
- in cases where the Succeeding Company uses an electronic data processing system for Commodity Transactions Brokerage Business, a document giving the description, installation location, capacity, and maintenance system of said electronic data processing system, and process for responding in the event of failure of said electronic data processing system;
- 設立会社が商品取引受託業務において電子情報処理組織を使用する場合には、当該電子情報処理組織の概要、設置場所、容量及び保守の方法並びに当該電子情報処理組織に異常が発生した場合の対処方法を記載した書類
- in cases where the Formed Company uses an electronic data processing system for Commodity Transactions Brokerage Business, a document giving the description, installation location, capacity, and maintenance system of said electronic data processing system, and the process for responding in the event of the failure of said electronic data processing system;
- 第一号若しくは第二号に掲げるもの又は前号に掲げるもののうち内閣府令で定めるものについて、金融商品取引所が、市場デリバティブ取引を円滑化するため、利率、償還期限その他の条件を標準化して設定した標準物
- standardized instruments which are created by a Financial Instruments Exchange for the purpose of facilitating Market Transactions of Derivatives by standardizing interest rates, the maturity period and/or other conditions of Financial Instruments listed in item (i) or (ii) or the preceding item and specified by a Cabinet Office Ordinance.
- 会員商品取引所は、第一項各号に掲げる事項について変更があつたときは、直ちに、その旨及び当該変更があつた事項を第二項の申込みをした者(以下この節において「申込者」という。)に通知しなければならない。
- When there is a change to the matters listed in the respective items of paragraph (1), a Member Commodity Exchange shall immediately notify a person filing an application under paragraph (2) (hereinafter referred to as an 'Applicant' in this Section) that there has been a change and about the matters that have been changed.
- 主務大臣は、前条第一項の規定により、仮取締役、仮代表取締役、仮執行役、仮代表執行役又は仮監査役を選任したときは、当該株式会社商品取引所の本店の所在地の登記所にその旨の登記を嘱託しなければならない。
- When the competent minister appoints a provisional director, provisional representative director, provisional executive officer, provisional representative executive officer or provisional corporate auditor pursuant to the provisions of paragraph (1) of the preceding paragraph, he/she shall request registration to that effect to the registry office at the location of the head office of the Incorporated Commodity Exchange.
- 特定の金融商品、金融指標又はオプションに関し、顧客の取引に基づく価格、指標、数値又は対価の額の変動を利用して自己又は当該顧客以外の第三者の利益を図る目的をもつて、正当な根拠を有しない助言を行うこと。
- giving unjustifiable advice regarding a particular Financial Instrument, Financial Indicator or Option, for the purpose of securing the interest of the Financial Instruments Business Operator, etc. or a third party other than the relevant customer by using fluctuations in the price, indicator, figure or amount receivable based on the customer's transaction;
- 金融商品取引業者等は、次に掲げる有価証券(次項の規定により管理する有価証券を除く。)を、確実にかつ整然と管理する方法として内閣府令で定める方法により、自己の固有財産と分別して管理しなければならない。
- A Financial Instruments Business Operator, etc. shall manage the following Securities (excluding the Securities to be managed under the following paragraph) separately from his/her own property by a method specified by a Cabinet Office Ordinance as a method for managing property in a reliable and orderly manner:
- 法第二百三十二条第三項の規定により負債の合計金額を計算するときは、様式第一号により作成した純資産額に関する調書の負債の部に計上されるべき金額(商品取引責任準備金の金額を除く。)を合計するものとする。
- When calculating the total amount of liabilities pursuant to the provisions of Article 232, paragraph (3) of the Act, the amounts to be recorded in the liability section of the records pertaining to the amount of the net assets as prepared pursuant to Form No. 1 (excluding the amount of liability reserve for commodity trading) shall be rounded up.
- 定款その他の規則の規定が法令に適合し、かつ、有価証券の売買その他の取引及びデリバティブ取引等を公正かつ円滑にし、並びに金融商品取引業を健全に発展させるとともに、投資者を保護するために十分であること。
- the provisions of the articles of incorporation and other rules conform to laws and regulations, and are sufficient to facilitate fair and smooth sales and purchase or other transactions of Securities as well as Derivative Transactions, etc., and to ensure sound development of Financial Instruments Businesses and protection of investors; and
- 登録金融機関は、登録金融機関業務を行う範囲において、前二項、第六十八条第一項及び第二項、第七十八条第一項、第七十九条の七第一項並びに第七十九条の十一の規定の適用については、金融商品取引業者とみなす。
- Registered Financial Institutions shall be deemed to be Financial Instruments Business Operators with regard to application of the provisions of the preceding two paragraphs, Article 68(1) and (2), Article 78(1), Article 79-7(1) and Article 79-11, within the scope of performing Registered Financial Institution Businesses.
- 協会員又は金融商品仲介業者の行う有価証券の売買その他の取引又はデリバティブ取引等につき争いがある場合においては、当事者は、その争いの解決を図るため、認可協会に申し立て、あつせんを求めることができる。
- When there is a dispute pertaining to sales and purchase or other transactions of Securities or Derivative Transactions, etc. conducted by a Member Firm or a Financial Instruments Intermediary Service Provider, any party to the above transactions may file an application for mediation with an Authorized Association, for the purpose of resolving such dispute.
- 特定株式会社金融商品取引所の執行役、取締役、会計参与又は会計監査人は、自主規制委員会の要求があつたときは、当該自主規制委員会に出席し、当該自主規制委員会が求めた事項について説明をしなければならない。
- In cases where an executive officer, a director, an accounting advisor or an accounting auditor of a Specified Stock Company-Type Financial Instruments Exchange has been requested by the Self-Regulating Committee, he/she shall attend the Self-Regulating Committee and provide explanations on the matters as requested by the Self-Regulating Committee.
- 株式会社商品取引所は、第七十九条第一項第三号、第五号又は第六号に掲げる事項(本店の所在地を除く。)について変更があつたときは、遅滞なく、その旨を記載した変更届出書を主務大臣に提出しなければならない。
- When there is a change to the matters listed in Article 79, paragraph (1), item (iii), (v) or (vi) (excluding the location of the head office), a Incorporated Commodity Exchange shall submit to the competent minister a written notification of change with a statement to that effect without delay.
- 金融商品取引業者は、第二十九条の二第二項第二号に掲げる書類に記載した業務の内容又は方法について変更があつたときは、内閣府令で定めるところにより、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
- When there are any changes in contents and methods of business entered into documents listed in Article 29-2(2)(ii), a Financial Instruments Business Operator shall notify to that effect to the Prime Minister without delay pursuant to the provisions of a Cabinet Office Ordinance.
- 金融商品仲介業者は、第六十六条の二第二項第二号に掲げる書類に記載した業務の内容又は方法について変更があつたときは、内閣府令で定めるところにより、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
- When there are any changes in contents or methods of business entered into documents listed in Article 66-2(2)(ii), a Financial Instruments Intermediary Service Provider shall notify to that effect to the Prime Minister without delay, pursuant to the provisions of a Cabinet Office Ordinance.
- 金融商品取引業者が、その総株主等の議決権の過半数を保有している銀行等についてその総株主等の議決権の過半数を保有しないこととなつたとき、又は当該銀行等が合併し、解散し、若しくは業務の全部を廃止したとき。
- when a Financial Instruments Business Operator has come to lose the majority of voting rights of all Shareholders, etc. of Banks, etc., the majority of whose Voting Rights Held by All the Shareholders, etc. said Financial Instruments Business Operator used to hold, or when said Banks, etc. merged, dissolved or abolished the whole of their business;
- 合併後の会社が商品取引受託業務において電子情報処理組織を使用する場合には、当該電子情報処理組織の概要、設置場所、容量及び保守の方法並びに当該電子情報処理組織に異常が発生した場合の対処方法を記載した書類
- in cases where a Stock Company Resulting from a Merger uses an electronic data processing system for Commodity Transactions Brokerage Business, a document stating the description, installation location, capacity, and maintenance system of said electronic data processing system, and the process for responding in the event of the failure of said electronic data processing system;
- 商品取引員の代表者等が第百十二条第三号及び第四号に掲げる行為により顧客に損失を及ぼした場合(法第二百二十二条に規定する帳簿書類又は顧客の注文の内容の記録により事故であることが明らかである場合に限る。)
- cases where the Representative, etc. of the Futures Commission Merchant has inflicted a loss on the customer by the act set forth in Article 112, item (iii) or item (iv) (limited to cases where it is clear from the books and documents prescribed in Article 222 of the Act or from a record of the contents of the customer' orders that the cause is a Problematic Conduct).
- 会員等に対して取引所金融商品市場における有価証券の売買又は市場デリバティブ取引の委託をした者は、その委託により生じた債権に関し、当該会員等の信認金について、他の債権者に先立ち弁済を受ける権利を有する。
- A person who has entrusted sales and purchase of Securities or Market Transactions of Derivatives in a Financial Instruments Exchange Market to a Member, etc. shall have the right to receive, in preference over other creditors, payment with regard to claims incurred under such entrustment from the guarantee funds of the Member, etc.
- 会社法第二編第一章(第二十七条(第四号及び第五号を除く。)、第二十九条、第三十一条、第三十九条、第六節及び第四十九条を除く。)の規定は、新設合併設立株式会社金融商品取引所の設立については、適用しない。
- The provisions of Part II, Chapter I (excluding Article 27 (excluding items (iv) and (v)), Article 29, Article 31, Article 39, Section 6 and Article 49) of the Companies Act shall not apply to the establishment of a Stock Company-Type Financial Instruments Exchange Established by a Consolidation-Type Merger.
- 外国金融商品取引所は、内閣府令で定めるところにより、毎年四月から翌年三月までの期間における外国市場取引に関する業務報告書を作成し、当該期間経過後三月以内に、これを内閣総理大臣に提出しなければならない。
- A Foreign Financial Instruments Exchange shall, pursuant to the provisions of a Cabinet Office Ordinance, prepare a business report on Foreign Market Transactions conducted for the period from April of each year to March of the subsequent year and submit the same to the Prime Minister within three months after the expiration of said period.
- 会員金融商品取引所は、第一項各号に掲げる事項について変更があつたときは、直ちに、その旨及び当該変更があつた事項を第二項の申込みをした者(以下この目において「申込者」という。)に通知しなければならない。
- When there is any change in the matters listed in the respective item of paragraph (1), a Membership-Type Financial Instruments Exchange shall immediately notify the person who made an application under paragraph (2) (hereinafter referred to as an 'Applicant' in this Division) of the fact of the change and the matters that have been changed.
- 貸倒引当金のうち委託者未収金の額が商品市場における取引等に関し当該委託者から預託を受けた金銭及び有価証券並びに当該委託者の計算に属する金銭及び有価証券の合計額を超える場合における当該超える部分に係るもの
- in the case where the amount of the accounts receivable from a customer exceeds the total amount of cash and Securities deposited by said customer and cash, Securities, and Securities on said customer's account with regard to the Transactions, etc., on the Commodity Market, the amount of allowance for uncollectible receivables pertaining to said excess portion.
- 前項の申請書には、組織変更計画の内容を記載した書面、組織変更後株式会社商品取引所の定款、業務規程、受託契約準則、紛争処理規程及び市場取引監視委員会規程その他主務省令で定める書面を添付しなければならない。
- The written application set forth in the preceding paragraph shall have a document attached which states the content of the Entity Conversion plan and the articles of incorporation, market rules, brokerage contract rules, dispute resolution rules and market transactions surveillance committee rules of the Incorporated Commodity Exchange after Entity Conversion and other documents specified by an ordinance of the competent ministry.
- 商品取引所は、第三項の規定によりその取引を停止したとき、又は前項の規定により会員の除名若しくは取引参加者の取引資格の取消しを行つたときは、その理由を示し、遅滞なく、その旨を本人に通知しなければならない。
- When a Commodity Exchange has suspended transactions pursuant to the provisions of paragraph (3) or expelled a member or rescinded the trading qualification of a Trading Participant pursuant to the provisions of the preceding paragraph, the Commodity Exchange shall notify such person to that effect without delay, indicating the reason therefor.
- 第一項、第二項及び第四項の規定は、金融商品取引業者が第一項各号若しくは第二項各号に掲げる業務又は第四項の承認を受けた業務を行う場合において、これらの業務に関する法律の適用を排除するものと解してはならない。
- Where a Financial Instruments Business Operator engages in any of the businesses listed in the items of paragraph (1) or items of paragraph (2) or engages in a business for which approval has been obtained under paragraph (4), the provisions of paragraph (1), paragraph (2) and paragraph (4) shall not be construed to preclude the application of Acts concerning these businesses.
- 金融商品取引業者又はその役員若しくは使用人は、次に掲げる行為をしてはならない。ただし、公益又は投資者保護のため支障を生ずることがないと認められるものとして内閣総理大臣の承認を受けたときは、この限りでない。
- A Financial Instruments Business Operator, etc. or Officers or employees thereof shall not conduct any of the following acts; provided, however, that this shall not apply where approval has been obtained from the Prime Minster because it is found that the relevant act will not hinder the public interest or protection of investors:
- 第二項の場合において、特定保有団体等は、特定保有団体等となつた日から三月以内に、株式会社金融商品取引所の総株主の議決権の百分の五十以下の数の対象議決権の保有者となるために必要な措置をとらなければならない。
- In the case prescribed in paragraph (2), a Specified Holding Entity, etc. shall take necessary measures to become a holder of the Subject Voting Rights not more than 50 percent of the voting rights of all shareholders of a Stock Company-Type Financial Instruments Exchange, within three months from the day when said entity has become a Specified Holding Entity, etc.
- 基金は、金融商品取引業者が当該基金に加入しようとするときは、業務の種類に関する特別の事由その他の正当な事由により加入を制限する場合を除き、その加入を拒み、又はその加入について不当な条件を付してはならない。
- When a Financial Instruments Business Operator intends to join a Fund, the Fund shall neither refuse it nor attach unreasonable conditions thereto except in cases where its joining is restricted for a special cause concerning the type of the business or any other justifiable cause.
- 第二十九条の登録又は第三十一条第四項の変更登録を受けて金融商品取引業を行おうとする者(政令で定める者を除く。)は、その登録又は変更登録の申請と同時に、いずれか一の基金に加入する手続をとらなければならない。
- A person who intends to conduct Financial Instruments Business with registration set forth in Article 29 or registration of change set forth in Article 31(4) (excluding those specified by a Cabinet Order) shall take procedures to join any one of the Funds at the same time as the filing of an application for the registration or registration of change.
- 会員等がその受託した商品市場における取引(取次者から受託したものに限る。)を行う場合(第一号及び前号に掲げる場合を除く。) 当該取引の委託の取次ぎの委託をした者(以下この条において「取次委託者」という。)
- When a Member, etc. carries out Transactions on a Commodity Market which the Member, etc. brokers (limited to those which the Member, etc. brokers for an Intermediary) (excluding the cases set forth in item (i) and the preceding item) : The person who consigned the intermediation of the consignment of such transactions (hereinafter referred to as the 'Intermediation Customer' in this Article)
- 金融商品取引業者等が外国法人又は外国に住所を有する個人である場合において、この法律の規定の適用に当たつての技術的読替えその他当該外国法人又は個人に対するこの法律の規定の適用に関し必要な事項は、政令で定める。
- In cases when a Financial Instruments Business Operator, etc. is a foreign juridical person or an individual domiciled in a foreign state, the technical replacement of the terms for the application of the provision of this Act and other necessary matters concerning the application of the provision of this Act to said foreign juridical person or individual shall be specified by a Cabinet Order.
- この法律において「特定容器利用事業者」とは、その事業(収益事業であって主務省令で定めるものに限る。以下同じ。)において、その販売する商品について、特定容器を用いる事業者であって、次に掲げる者以外の者をいう。
- The term 'specified container users' as used in this Act shall mean business operators that use specified containers for goods they sell in their business (limited to profit-making business specified by the ordinance of the competent ministry; the same shall apply hereinafter), excluding those listed in the following.
- 金融商品会員制法人は、第八十九条の二第二項に掲げる事項のいずれかに変更を生じたときは、主たる事務所の所在地においては二週間以内に、従たる事務所の所在地においては三週間以内に、変更の登記をしなければならない。
- When there is any change in any matters listed in Article 89-2(2), a Financial Instruments Membership Corporation shall file registration of the change within two weeks in the district of the location of its principal office, and within three weeks in the district of the locations of its secondary offices.
- 法人であるときは、資本金の額又は出資の総額(第一種金融商品取引業を行おうとする外国法人にあつては、資本金の額又は出資の総額及び持込資本金(資本金に対応する資産のうち国内に持ち込むものをいう。以下同じ。)の額)
- the amount of the stated capital or the total amount of contribution, for a juridical person (the amount of the stated capital or the total amount of contribution and the amount of Brought-in Capital (meaning assets corresponding to the stated capital that are brought into Japan; the same shall apply hereinafter), for a foreign juridical person which intends to engage in the Type I Financial Instruments Business);
- 外国証券業者は、国内にある者を相手方として第二十八条第八項各号に掲げる行為を行つてはならない。ただし、金融商品取引業者のうち、有価証券関連業を行う者を相手方とする場合その他政令で定める場合は、この限りでない。
- A Foreign Securities Broker shall not conduct any acts listed in the items of Article 28(8) to a person in Japan as the counterparty; provided, however, that this shall not apply to cases where a Foreign Securities Broker conducts said acts to a Financial Instruments Business Operator engaged in Securities-Related Business as the counterparty, or to any other cases specified by a Cabinet Order.
- 金融商品取引業者は、投資信託契約を締結しようとするときは、あらかじめ、当該投資信託契約に係る委託者指図型投資信託約款(以下この章において「投資信託約款」という。)の内容を内閣総理大臣に届け出なければならない。
- When a Financial Instruments Business Operator intends to conclude an Investment Trust Contract, it shall notify the Prime Minister of the contents of the basic terms and conditions of the Investment Trust Managed under Instructions from the Settlor pertaining to said Investment Trust Contract (hereinafter referred to as the 'Basic Terms and Conditions of the Investment Trust' in this Chapter) in advance.
- 前項の規定による処分に係る聴聞において行政手続法第十五条第一項の通知があつた場合における同法第三章第二節の規定の適用については、前項の金融商品等のうち、有価証券の発行者は、同条第一項の通知を受けた者とみなす。
- With regard to the application of the provisions of Section 2, Chapter III of the Administrative Procedure Act in cases where the notice under Article 15(1) of said Act has been provided in the hearings pertaining to the disposition under the preceding paragraph, the Issuer of Securities, from among the Financial Instruments set forth in the preceding paragraph, shall be deemed as the person who has received the notice under Article 15(1) of said Act.
- 法第二条第八項第十五号に掲げる行為のうち、金融商品取引業等に関する内閣府令第七条第四号ニ(2)に掲げる権利に対する投資として、同号ニ(1)に掲げる権利を有する者から出資を受けた金銭その他の財産の運用を行うもの
- an act which is listed in Article 2, paragraph (8), item (xv) of the Act, and in which the money or other properties contributed by a person entitled to the rights listed in Article 7, item (iv), sub-item (d)1. of the Cabinet Office Ordinance on Financial Instruments Services, etc. is invested as an investment in the rights listed in sub-item (d)2. of that item;
- 同時に多数の者に対し、取引所金融商品市場外での上場株券等の売付け又は買付けの申込みをした場合その他の内閣府令で定める場合 当該売付け又は買付けの申込みに係る有価証券の種類、銘柄、価格その他内閣府令で定める事項
- when a Member Firm makes, outside of a Financial Instruments Exchange Market, an offer for sales or purchase of the Listed Share Certificates, etc. to a large number of persons simultaneously, or in other cases specified by a Cabinet Office Ordinance: the kinds, issues, prices or other matters specified by a Cabinet Office Ordinance pertaining to the Securities for which the offer for sales or purchase is made.
- in cases where the member makes, outside of Financial Instruments Exchange Markets, an offer for sales and purchase of Listed Share Certificates, etc. to a large number of persons simultaneously, or in other cases specified by a Cabinet Office Ordinance: the kinds, issues, prices, or volumes, or other matters specified by a Cabinet Office Ordinance pertaining to the Listed Share Certificates, etc. for which the offer for sales and purchase is made.
- 金銭の信託契約その他の契約又は法律の規定に基づき、株式会社商品取引所の対象議決権を行使することができる権限又は当該議決権の行使について指図を行うことができる権限を有し、又は有することとなる場合 当該対象議決権
- When a person has or will gain the authority to exercise Subject Voting Rights of an Incorporated Commodity Exchange or the authority to give instructions on the exercise of such voting rights based on the provisions of a money trust contract or other contract or Act : Said Subject Voting Rights
- 新設合併設立株式会社商品取引所は、その成立の日から六月間、前項の書面又は電磁的記録及び新設合併契約の内容その他主務省令で定める事項を記載し、又は記録した書面又は電磁的記録をその本店に備え置かなければならない。
- A Incorporated Commodity Exchange Established by a Consolidation-Type Merger shall, during the period of six months from the day of its establishment, keep at its head office the document or Electromagnetic Record set forth in the preceding paragraph and a document or an Electromagnetic Record containing the content of the Consolidation-Type Merger contract and other matters specified by an ordinance of the competent ministry.
- 特例業務届出者が適格機関投資家等特例業務を行う場合においては、当該特例業務届出者を金融商品取引業者とみなして、第三十八条(第一号に係る部分に限る。)及び第三十九条並びにこれらの規定に係る第八章の規定を適用する。
- When a Specially Permitted Business Notifying Person engages in a Specially Permitted Businesses for Qualified Institutional Investor, etc. the Specially Permitted Business Notifying Person shall be deemed to be a Financial Instruments Business Operator and Articles 38 (limited to the part relating to item (i) thereof) and 39 and the provisions of Chapter VIII related to these Articles shall apply to him/her.
- 金融商品取引業者等は、その行う投資運用業(第二条第八項第十五号に掲げる行為を行う業務に限る。)に関して、内閣府令で定めるところにより、運用財産と自己の固有財産及び他の運用財産とを分別して管理しなければならない。
- A Financial Instruments Business Operator, etc. shall, with regard to his/her Investment Management Business (limited to the business of conducting the act specified in Article 2(8)(xv)), manage Investment Property separately from his/her own property and other Investment Property pursuant to the provisions of a Cabinet Office Ordinance.
- 第二種特定商品市場類似施設を開設する業務において電子情報処理組織を使用する場合には、当該電子情報処理組織の概要、設置場所、容量及び保守の方法並びに当該電子情報処理組織に異常が発生した場合の対処方法を記載した書類
- in cases where using an electronic data processing system for business to establish a Facility Similar to a Type 2 Specified Commodity Market, a document giving the description, installation location, capacity, and maintenance system of said electronic data processing system, and the process for responding in the event of the failure of said electronic data processing system;
- 第一種特定商品市場類似施設を開設する業務において電子情報処理組織を使用する場合には、当該電子情報処理組織の概要、設置場所、容量及び保守の方法並びに当該電子情報処理組織に異常が発生した場合の対処方法を記載した書類
- in cases where using an electronic data processing system for business to establish a Facility Similar to a Type 1 Specified Commodity Market, a document giving the description, installation location, capacity, and maintenance system of said electronic data processing system, and process for responding in the event of the failure of said electronic data processing system;
- 前項の規定により第百六条の三第一項の認可を取り消された者は、当該認可を取り消された日から三月以内に、株式会社金融商品取引所の保有基準割合未満の数の対象議決権の保有者となるために必要な措置をとらなければならない。
- A person whose authorization under Article 106-3(1) has been rescinded under the provision of the preceding paragraph shall take necessary measures to become a holder of the Subject Voting Rights of a Stock Company-Type Financial Instruments Exchange less than the Holding Ratio Threshold, within three months from the date of the rescission of the authorization.
- 金融商品取引所について破産手続開始若しくは破産手続終結の決定があつた場合又は破産手続開始の決定の取消し若しくは破産手続廃止の決定が確定した場合には、裁判所書記官は、その旨を内閣総理大臣に通知しなければならない。
- With respect to a Financial Instruments Exchange, when a decision of commencement of bankruptcy proceedings or of conclusion of bankruptcy proceedings has been rendered or when a rescission of a decision of commencement of bankruptcy proceedings, or a decision of earlier termination of bankruptcy proceedings has become final and binding, a court clerk shall notify the Prime Minister to that effect.
- 金融商品会員制法人が解散したときは、合併及び破産手続開始の決定による解散の場合を除くほか、主たる事務所の所在地においては二週間以内に、従たる事務所の所在地においては三週間以内に、解散の登記をしなければならない。
- When a Financial Instruments Membership Corporation has been dissolved, the dissolution shall be registered in the district of the location of its principal office within two weeks, and in the district of the location of its secondary offices within three weeks, except for the case of a dissolution based on a merger and a decision of commencement of bankruptcy proceedings.
- 預託財産の評価額が預託必要額(当該商品取引員の保全対象財産の額から他の委託者資産保全措置を講じている額を控除した額をいう。)を超過する場合に、当該超過額に相当する金額の範囲内で預託財産の払出しを行おうとする場合
- when the appraised amount of the Deposited Property exceeds the Necessary Amount for the Deposit (the amount calculated by deducting the amount for the other Measures for Customer Assets Preservation from the amount of the Property Subject to Preservation of said Futures Commission Merchant), the case where there is an intention to withdraw the Deposited Property within the scope of the amount equivalent to said excess portion;
- 当該申出に係る契約の種類に属する金融商品取引契約(以下この条において「対象契約」という。)の締結の勧誘又は締結をする場合において、申出者を特定投資家として取り扱う期間の末日(以下この条において「期限日」という。)
- the last day of the period during which the Applicant will be treated as a Professional Investor when soliciting to conclude, or concluding a Contract for Financial Instruments Transaction which belongs to the Kind of Contract to which the request has been submitted (such a contract shall be referred to as a 'Subject Contract' hereinafter in this Article; such a day shall be referred to as the 'Expiration Date' hereinafter in this Article);
- 第四十九条の五に定めるもののほか、内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認める場合には、金融商品取引業者に対し、その資産のうち政令で定める部分を国内において保有することを命ずることができる。
- In addition to what is specified in Article 49-5, when the Prime Minister finds it necessary and appropriate for the public interest or protection of investors, he/she may order a Financial Instruments Business Operator to retain the portion of its assets which is specified by a Cabinet Order within Japan.
- 当該金融商品取引業者との間で第二条第八項各号に掲げる行為に関する契約を締結することを条件としてその親法人等又は子法人等がその顧客に対して信用を供与していることを知りながら、当該顧客との間で当該契約を締結すること。
- concluding a contract with a customer for any of the acts listed in the items of Article 2(8), knowing that the Parent Juridical Person, etc. or Subsidiary Juridical Person, etc. of the Financial Instruments Business Operator, etc. has granted credit to the customer on the condition that said contract should be concluded with the Financial Instruments Business Operator, etc.;
- 委託者保護基金は、法第三百九条の規定に基づきその会員である商品取引員から預託を受けた保全対象財産を管理するときは、次項の規定に基づき管理されるものを除き、次に掲げる方法により当該保全対象財産を管理するものとする。
- When managing Property Subject to Preservation deposited by a Member Futures Commission Merchant, based on the provisions of Article 309 of the Act, the Consumer Protection Fund shall manage said Property Subject to Preservation by the following methods (excluding property managed by the provisions of the following paragraph):
- 次に掲げる契約を締結し、当該契約に基づき、金融商品の価値等の分析に基づく投資判断に基づいて有価証券又はデリバティブ取引に係る権利に対する投資として、金銭その他の財産の運用(その指図を含む。以下同じ。)を行うこと。
- conclusion of the following contract, and investment (including instructions of investment; the same shall apply hereinafter) of money or other properties in Securities or rights pertaining to Derivative Transactions conducted based on analysis of Values, etc. of Financial Instruments under such a contract;
- 吸収合併消滅会員金融商品取引所は、第三項の総会の日の五日前の日から効力発生日までの間、吸収合併契約の内容その他内閣府令で定める事項を記載し、又は記録した書面又は電磁的記録を主たる事務所に備え置かなければならない。
- A Membership-Type Financial Instruments Exchange Extinguished upon an Absorption-Type Merger shall, during the period from 5 days prior to the day of the general meeting of members set forth in paragraph (3) until the Effective Date, keep at its principal office the documents or Electromagnetic Records containing or recording the contents of the Absorption-Type Merger agreement and other matters specified by a Cabinet Office Ordinance.
- 前項の規定により第百六条の十七第一項の認可を取り消された者は、当該認可を取り消された日から三月以内に、金融商品取引所持株会社の保有基準割合未満の数の対象議決権の保有者となるために必要な措置をとらなければならない。
- A person whose authorization under Article 106-17(1) has been rescinded under the provision of the preceding paragraph shall take necessary measures to become a holder of the Subject Voting Rights of a Financial Instruments Exchange Holding Company less than the Holding Ratio Threshold, within three months from the date of the rescission of the authorization.
- 国は、教育活動、広報活動等を通じて、容器包装廃棄物の排出の抑制並びにその分別収集及び分別基準適合物の再商品化の促進等に関する国民の理解を深めるとともに、その実施に関する国民の協力を求めるよう努めなければならない。
- The state shall increase public understanding of the promotion, etc. of reduction of waste containers and packaging discharged and sorted collection thereof, and recycling of waste containers and packaging that conform to the sorting standards through educational and publicity activities, and shall also endeavor to ask for public cooperation in actual implementation.
- 第五十七条第一項及び第三項の規定は第六十六条の登録について、第五十七条第二項及び第三項並びに第六十五条の六の規定は金融商品仲介業者について、それぞれ準用する。この場合において、必要な技術的読替えは、政令で定める。
- Article 57(1) and (3) shall apply mutatis mutandis to the registration under Article 66, and the provisions of Article 57(2) and (3) and Article 65-6 shall apply mutatis mutandis to Financial Instruments Intermediary Service Providers. In this case, necessary technical replacement of terms shall be specified by a Cabinet Order.
- 認可協会は、その定款において、詐欺行為、相場を操縦する行為又は不当な手数料若しくは費用の徴収その他協会員及び金融商品仲介業者の不当な利得行為を防止して、取引の信義則を助長することに努める旨を定めなければならない。
- An Authorized Association shall stipulate in its articles of incorporation that it shall endeavor to prevent fraudulent acts, market manipulation or collection of unreasonable fees or expenses and other acts of unfair profiting by Member Firms and Financial Instruments Intermediary Service Providers, as well as to promote the fair and equitable principles of transactions.
- 金融商品会員制法人と理事長又は理事との利益が相反する事項については、当該理事長又は当該理事は、代表権を有しない。この場合においては、裁判所は、利害関係人又は検察官の請求により、特別代理人を選任しなければならない。
- A president or a board member shall have no authority of representation as to any matters involving a conflict of interest between the Financial Instruments Membership Corporation, and such president or board member. In this case, the court shall, at the request of any interested person or a public prosecutor, appoint a special agent.
- 理事会が前項の助言を行つた場合において、当該助言を受けた当該委託金融商品取引所は、当該助言に従つて措置を講じたとき、又は講じなかつたときは、当該措置の内容又は措置を講じなかつた旨を理事会に報告しなければならない。
- When the council has given the advice under the preceding paragraph, if the Entrusting Financial Instruments Exchange which received the advice has taken, or not taken, any measure in accordance with said advice, it shall report to the Council the contents of the measures taken or the fact that it has not taken any measures.
- 金銭の信託契約その他の契約又は法律の規定に基づき、株式会社金融商品取引所の対象議決権を行使することができる権限又は当該議決権の行使について指図を行うことができる権限を有し、又は有することとなる場合 当該対象議決権
- when a person has or will have the authority to exercise the Subject Voting Rights of a Stock Company-Type Financial Instruments Exchange or the authority to give instructions on exercise of such voting rights, pursuant to the provisions of a money trust contract or other contracts or the laws: the Subject Voting Rights; and
- 金融商品会員制法人の従たる事務所の新設、主たる事務所又は従たる事務所の移転その他第八十九条の二第二項に掲げる事項の変更の登記の申請書には、従たる事務所の新設又は登記事項の変更を証する書面を添付しなければならない。
- The documents proving the establishment of a secondary office or changes in registered matters shall be attached to an application of establishment of secondary offices, relocation of principal office or secondary offices or of changes in other matters listed in Article 89-2(2) with regard to a Financial Instruments Membership Corporation.
- 金融商品取引業者は、毎年三月、六月、九月及び十二月の末日における自己資本規制比率を記載した書面を作成し、当該末日から一月を経過した日から三月間、すべての営業所又は事務所に備え置き、公衆の縦覧に供しなければならない。
- A Financial Instruments Business Operator shall prepare the documents containing its Capital-to-Risk Ratio as of the last day of March, June, September and December every year, and keep them at all of its business offices or offices for public inspection for three months after one month has elapsed from the last day of the relevant month.
- 前項の届出をした店頭商品先物取引業者は、法第三百四十九条第二項第一号から第三号まで、次項第一号又は第二号に掲げる事項を変更しようとするときはあらかじめ、次の各号に掲げる事項を記載した届出書を提出しなければならない。
- When intending to change the matters set forth in Article 349, paragraph (2), item (i) through item (iii) of the Act and item (i) or item (ii) of the following paragraph, an Over-the-Counter Commodity Futures Transactions Dealer who submitted a written notification as per the preceding paragraph shall submit a written notification stating the matters listed in the following items:
- 商品取引員は、前項第一号及び第二号に規定する調書並びに同項第四号に規定する月計残高試算表を作成する場合においては、主務大臣の定める会計処理の方法その他一般に公正妥当と認められる企業会計の基準に従わなければならない。
- In preparing the records prescribed in the preceding paragraph, item (i) and item (ii), and the monthly schedule of detailed account balances prescribed in the same paragraph, item (iv), a Futures Commission Merchant shall comply with accounting procedures specified by the competent minister and generally accepted corporate accounting standards.
- 会社法第九百四十条第一項(第一号に係る部分に限る。)及び第三項の規定は、新設合併消滅株式会社金融商品取引所が電子公告により前項の公告をする場合について準用する。この場合において、必要な技術的読替えは、政令で定める。
- The provisions of Article 940, paragraph (1) (limited to the part pertaining to item (i)) and paragraph (3) of the Companies Act shall apply mutatis mutandis to cases where the Stock Company-Type Financial Instruments Exchange Extinguished upon a Consolidation-Type Merger gives the public notice set forth in the preceding paragraph by means of Electronic Public Notice. In this case, any necessary technical replacement of terms shall be specified by a Cabinet Order.
- 会社法第九百四十条第一項(第一号に係る部分に限る。)及び第三項の規定は、吸収合併存続株式会社金融商品取引所が電子公告により前項の公告をする場合について準用する。この場合において、必要な技術的読替えは、政令で定める。
- The provisions of Article 940, paragraph (1) (limited to the part pertaining to item (i)) and paragraph (3) of the Companies Act shall apply mutatis mutandis to cases where the Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger gives the public notice set forth in the preceding paragraph by means of Electronic Public Notice. In this case, any necessary technical replacement of terms shall be specified by a Cabinet Order.
- 第一項の「子金融機関等」とは、銀行が総株主等の議決権の過半数を保有している者その他の当該銀行と密接な関係を有する者として政令で定める者のうち、銀行、金融商品取引業者、保険会社その他政令で定める金融業を行う者をいう。
- The term 'Subsidiary Financial Institution, etc.' as used in paragraph (1) means, among persons for whom the majority of the Voting Rights Held by All of the Shareholders, etc. are held by a Bank, and among any other persons specified by Cabinet Order as those with a close relationship to a Bank, any Bank, Financial Instruments Specialist, Insurance Company, or any other person engaged in financial services as specified by Cabinet Order.
- 金融商品取引所の役員(役員が法人であるときは、その職務を行う者)若しくは職員若しくは自主規制法人の理事、監事若しくは職員又はこれらの職にあつた者は、その職務に関して知り得た秘密を他に漏らし、又は盗用してはならない。
- An Officer (in cases where the officer is a juridical person, a person who performs duties of officers) or employee of a Financial Instruments Exchange, or a board member, auditor or employee of a Self-Regulation Organization or a person who was formerly in such position shall not divulge to another person or misappropriate any confidential information which he/she has learned during the course of his/her duties.
- 信認金は、有価証券(国債証券、地方債証券並びに特別の法律により法人の発行する債券、取引所金融商品市場において売買取引されている社債券及び株券その他の政令で定める有価証券をいう。)をもつて、これに充てることができる。
- Securities (which mean national government bond certificates, local government bond certificates and bond certificates issued by a juridical person pursuant to special Acts, corporate bond certificates and share certificates traded on a Financial Instruments Exchange Market and other securities specified by a Cabinet Order) may be allotted for guarantee funds.
- いずれかの取引所取引店がその所在する国の外国金融商品取引市場開設者(当該国において第八十条第一項の免許と同種類の免許又はこれに類する許可その他の行政処分を受けたものに限る。第三号において同じ。)に加入していないとき。
- when any Transaction-at-Exchange Office has not been a member of an Establisher of a Foreign Financial Instruments Exchange Market of the state where said Transaction-at-Exchange Office (limited to those which have obtained the same kind of license as the license under Article 80(1), or the permission or other administrative dispositions similar thereto in said state; hereinafter the same shall apply in item (iii)) is located;
- 特定の金融商品、金融指標又はオプションに関し、取引に基づく価格、指標、数値又は対価の額の変動を利用して自己又は権利者以外の第三者の利益を図る目的をもつて、正当な根拠を有しない取引を行うことを内容とした運用を行うこと。
- making an investment intended to conduct an unjustifiable transaction regarding a particular Financial Instrument, Financial Indicator or Option, for the purpose of securing the interest of the Financial Instruments Business Operator, etc. or a third party other than the Right Holder by using fluctuations in the price, indicator, figure or amount receivable based on the transaction;
- 委託者指図型投資信託の信託財産(以下この章において「投資信託財産」という。)を主として不動産に対する投資として運用することを目的とする投資信託契約 宅地建物取引業法第五十条の二第一項の認可を受けている金融商品取引業者
- An Investment Trust Contract concluded for the purpose of investing trust property of an Investment Trust Managed under Instructions from the Settlor (hereinafter such trust property shall be referred to as 'Investment Trust Property' in this Chapter) mainly in Real Property: The Financial Instruments Business Operator who has obtained authorization under Article 50-2, paragraph (1) of the Building Lots and Buildings Transaction Business Act; and
- 新設合併設立会員金融商品取引所は、その成立の日から六月間、前項の書面又は電磁的記録及び新設合併契約の内容その他内閣府令で定める事項を記載し、又は記録した書面又は電磁的記録をその主たる事務所に備え置かなければならない。
- A Membership-Type Financial Instruments Exchange Established by a Consolidation-Type Merger shall, during the period of six months from its establishment, keep at its principal office the documents or Electromagnetic Records set forth in the preceding paragraph, and the documents or Electromagnetic Records containing or recording the contents of the Consolidation-Type Merger agreement and other matters specified by a Cabinet Office Ordinance.
- 当該株主総会に先立つて当該吸収合併に反対する旨を当該吸収合併存続株式会社金融商品取引所に対し通知し、かつ、当該株主総会において当該吸収合併に反対した株主(当該株主総会において議決権を行使することができるものに限る。)
- a shareholder who has notified the Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger of his/her dissent from the Absorption-Type Merger prior to said shareholders meeting and who has dissented from the Absorption-Type Merger at said shareholders meeting (limited to those who are entitled to exercise their voting rights at said shareholders meeting); or
- 第七十九条の四十三の規定は、前項の創立総会の議事について準用する。この場合において、同条中「総会員」とあるのは、「その開会までに発起人に対して会員となる旨を申し出た金融商品取引業者及び発起人」と読み替えるものとする。
- The provision of Article 79-43 shall apply mutatis mutandis to decisions at an organizational meeting set forth in the preceding paragraph. In this case, the term 'all members' in said Article shall be deemed to be replaced with 'Financial Instruments Business Operators which have proposed themselves to the founders to become members before the opening of the meeting and the founders.'
- 内閣総理大臣は、前条第二項の規定により、仮取締役、仮会計参与、仮監査役、仮代表取締役、仮執行役又は仮代表執行役を選任したときは、当該株式会社金融商品取引所の本店の所在地の登記所にその旨の登記を嘱託しなければならない。
- When the Prime Minister has appointed a provisional director, provisional accounting advisor, provisional company auditor, provisional representative director, provisional executive officer or a provisional representative executive officer under the provisions of paragraph (2) of the preceding Article, he/she shall request the registration to that effect to the registry office in the district of the location of the head office of the Stock Company-Type Financial Instruments Exchange.
- 前項の場合には、吸収合併消滅会員金融商品取引所は、変更前の効力発生日(変更後の効力発生日が変更前の効力発生日前の日である場合にあつては、当該変更後の効力発生日)の前日までに、変更後の効力発生日を公告しなければならない。
- In the case of the preceding paragraph, the Membership-Type Financial Instruments Exchange Extinguished upon an Absorption-Type Merger shall give a public notice of the new Effective Date by the day immediately preceding the Effective Date before the change (if the new Effective Date comes before the Effective Date before the change, said new Effective Date instead of the Effective Date before the change).
- 金融商品取引業者等は、顧客の計算において自己が占有する有価証券又は顧客から預託を受けた有価証券を担保に供する場合又は他人に貸し付ける場合には、内閣府令で定めるところにより、当該顧客から書面による同意を得なければならない。
- A Financial Instruments Business Operator, etc. shall, when furnishing as security the Securities possessed by him/her based on a customer's account or Securities deposited to him/her from a customer or loaning such Securities to another person, obtain written consent from the customer pursuant to the provisions of a Cabinet Office Ordinance.
- 前項に規定する場合において、商品取引員は、法第二百十七条第一項第一号から第三号までに掲げる事項について顧客が理解できるように説明をした後、同項第四号に掲げる事項について当該顧客が理解できるように説明をしなければならない。
- In cases prescribed in the preceding paragraph, after a Futures Commission Merchant explains the matters set forth in Article 217, paragraph (1), item (i) to item (iii) of the Act in order for a customer to understand these matters, the Futures Commission Merchant shall explain the matters set forth in item (iv) of the same paragraph in order for said customer to understand these matters.
- 当該者に係る第一項第二号に掲げる事項に関する情報が既に公衆に広範に提供されているものとして、その者が発行者である有価証券で既に発行されたものの取引所金融商品市場における取引状況等に関し内閣府令で定める基準に該当すること。
- the person must satisfy the criteria on the state of transactions of Securities already issued by the person in the relevant Financial Instruments Exchange Market and other matters for regarding information on the matters listed in item (ii) of paragraph (1) pertaining to the person as being widely available to the public specified by a Cabinet Office Ordinance.
- 前項本文の規定は、保有する対象議決権の数に増加がない場合その他の内閣府令で定める場合において、金融商品取引所持株会社の総株主の議決権の保有基準割合以上の数の対象議決権を取得し、又は保有することとなるときには、適用しない。
- The provisions of the main clause of the preceding paragraph shall not apply to acquisition or holding of the Subject Voting Rights not less than the Holding Ratio Threshold of the voting rights of all shareholders of a Financial Instruments Exchange Holding Company, in the case where there is no increase in the number of the Subject Voting Rights held or in any other case specified by a Cabinet Office Ordinance.
- この法律は、特定商品及び施設利用権の預託等取引契約の締結及びその履行を公正にし、並びに預託等取引契約に係る預託者が受けることのある損害の防止を図ることにより、預託等取引契約に係る預託者の利益の保護を図ることを目的とする。
- The purpose of this Act is to protect the interests of the depositor in a deposit, etc. transaction agreement, by ensuring fairness in the conclusion and performance of the deposit, etc. transaction agreement of specified commodities or facility use rights and by aiming to prevent any damage which may be incurred by the depositor in a deposit, etc. transaction agreement.
- 第三項の創立総会の議事は、その開会までに発起人に対して会員となる旨を申し出た金融商品取引業者(以下この条において「加入予定者」という。)及び発起人の二分の一以上が出席して、その出席者の議決権の三分の二以上の多数で決する。
- A decision at an organizational meeting set forth in paragraph (3) shall be made by at least two-thirds of the voting rights of those present when at least half of the Financial Instruments Business Operators which have proposed themselves to the founders to become members before the opening of the meeting (hereinafter referred to as 'Expected Members' in this Article) and the founders are present.
- 前項本文の規定は、保有する対象議決権の数に増加がない場合その他の内閣府令で定める場合において、株式会社金融商品取引所の総株主の議決権の保有基準割合以上の数の対象議決権を取得し、又は保有することとなるときには、適用しない。
- The provisions of the main clause of the preceding paragraph shall not apply to acquisition or holding of the Subject Voting Rights of a Stock Company-Type Financial Instruments Exchange not less than the Holding Ratio Threshold of the voting rights of all shareholders, in the case where there is no increase in the number of the Subject Voting Rights held or in any other case specified by a Cabinet Office Ordinance.
- 会社法第三百四十六条第二項及び第三項、第三百五十一条第二項及び第三項並びに第四百一条第三項及び第四項(同法第四百三条第三項及び第四百二十条第三項において準用する場合を含む。)の規定は、株式会社商品取引所には、適用しない。
- The provisions of Article 346, paragraphs (2) and (3), Article 351, paragraphs (2) and (3) and Article 401, paragraphs (3) and (4) (including the case where they are applied mutatis mutandis pursuant to Article 403, paragraph (3) and Article 420, paragraph (3) of the Companies Act) of the Companies Act shall not apply to a Incorporated Commodity Exchange.
- 金融商品取引業(登録金融機関にあつては、登録金融機関業務)のうち第六十四条第一項各号に掲げる行為を行う業務又はこれに付随する業務に関し法令に違反したとき、その他外務員の職務に関して著しく不適当な行為をしたと認められるとき。
- when the person has violated laws and regulations concerning business to conduct acts listed in the items of Article 64(1) among Financial Instruments Business (Registered Financial Institution Business for Registered Financial Institutions) and its accompanying business, or the person is found to have conducted extremely inappropriate acts concerning other Duties of Sales Representatives; or
- 内閣総理大臣は、政令で定めるところにより、金融商品取引業者が民法第三十四条の規定により設立した法人であつて、次に掲げる要件に該当すると認められるものを、その申請により、次項に規定する業務を行う者として認定することができる。
- The Prime Minister may, upon an application and pursuant to the provisions of a Cabinet Order, grant recognition for conducting the activities listed in the following paragraph to a juridical person which has been established by Financial Instruments Business Operators under Article 34 of the Civil Code and is found to satisfy the following requirements:
- 第一項の総会の招集は、その会議開催日の五日前までに、会議の目的である事項のほか、組織変更計画の要領及び組織変更後の株式会社(以下この目において「組織変更後株式会社金融商品取引所」という。)の定款を示してしなければならない。
- A general meeting set forth in paragraph (1) shall be convened by presenting an outline of the entity conversion plan and the articles of incorporation of the stock company after the entry conversion (hereinafter referred to as the 'Stock Company-Type Financial Instruments Exchange after Entity Conversion' in this Division), in addition to the subject matter of the meeting, by at least five days prior to the day of the meeting.
- 主務大臣は、株式会社商品取引所の取締役、代表取締役、執行役、代表執行役又は監査役の職務を行う者がない場合において、必要があると認めるときは、仮取締役、仮代表取締役、仮執行役、仮代表執行役又は仮監査役を選任することができる。
- The competent minister may, when there is no person to perform the duties of a director, representative director, executive officer, representative executive officer or corporate auditor of an Incorporated Commodity Exchange and if he/she finds it necessary, appoint a provisional director, provisional representative director, provisional executive officer, provisional representative executive officer or provisional corporate auditor.
- 商品取引員が、その取り扱う個人である顧客に関する情報の安全管理、従業者の監督及び当該情報の取扱いを委託する場合にはその委託先の監督について、当該情報の漏えい、滅失又はき損の防止を図るために必要かつ適切な措置を講じていない場合
- in the case where a Futures Commission Merchant has not taken the necessary and appropriate measures with regard to the supervision of a consignee in order to prevent the leakage, loss, or damage of said information in the case of consigning the safe control of handling personal information pertaining to a customer, supervision of workers, or handling of said information;
- この法律において「勧誘者」とは、預託等取引業者が預託等取引契約の締結又は更新についての勧誘(当該預託等取引契約の目的とするために当該特定商品又は施設利用権を購入させることについての勧誘を含む。以下同じ。)を行わせる者をいう。
- The term 'solicitor' as used in this Act means a person who is caused by a deposit, etc. servicer to solicit the conclusion or renewal of deposit, etc. transaction agreements (including solicitation to allow the purchase of said specified commodities or facility use rights in order to make them the subject matter of said deposit, etc. transaction agreements; the same shall apply hereinafter).
- 金融商品取引業者等が第二項の規定による承諾及び第三項の規定による書面の交付をした場合であつて、申出者が次に掲げる者である場合におけるこの法律(この款を除く。)の規定の適用については、当該申出者は、特定投資家以外の顧客とみなす。
- Where the Financial Instruments Business Operator, etc. has given the acceptance under the provisions of paragraph (2) or delivered the document under the provisions of paragraph (3), and the Applicant is a person listed in the following items, the Applicant shall be deemed to be a customer other than a Professional Investor for the purpose of application of this Act (excluding this Subsection):
- 金融商品取引業者等は、期限日以前に更新申出を申出者から受けた場合であつて、当該更新申出に係る第二項の規定による承諾をする場合には、期限日から期限日後最初に対象契約の締結の勧誘又は締結をするまでに、当該承諾をしなければならない。
- Where a Financial Instruments Business Operator, etc. has received a Request for Renewal from an Applicant before the Expiration Date and accepts the Request for Renewal under the provisions of paragraph (2), he/she shall accept it during the period between the Expiration Date and the time of soliciting to conclude or concluding the first Subject Contract after the Expiration Date.
- 会社法第九百四十条第一項(第三号に係る部分に限る。)及び第三項の規定は、吸収合併存続株式会社金融商品取引所が電子公告により第二項の規定による公告をする場合について準用する。この場合において、必要な技術的読替えは、政令で定める。
- The provisions of Article 940, paragraph (1) (limited to the part pertaining to item (iii)) and paragraph (3) of the Companies Act shall apply mutatis mutandis to cases where a Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger gives the public notice set forth in paragraph (2) by means of Electronic Public Notice. In this case, any necessary technical replacement of terms shall be specified by a Cabinet Order.
- 前項の「親金融機関等」とは、銀行持株会社の総株主の議決権の過半数を保有している者その他の当該銀行持株会社と密接な関係を有する者として政令で定める者のうち、銀行、金融商品取引業者、保険会社その他政令で定める金融業を行う者をいう。
- The term 'Parent Financial Institution, etc.' as used in the preceding paragraph means a person who holds the majority of voting rights of all of a Bank Holding Company's shareholders and any other person specified by Cabinet Order as one with a close relationship to said Bank Holding Company, which is a Bank, Financial Instruments Specialist, Insurance Company, or any other person engaged in financial services specified by Cabinet Order.
- 会社法第八百六十八条第一項、第八百七十一条、第八百七十四条(第一号に係る部分に限る。)、第八百七十五条及び第八百七十六条の規定は、金融商品会員制法人の清算について準用する。この場合において、必要な技術的読替えは、政令で定める。
- The provisions of Article 868(1), Article 871, Article 874 (limited to the part pertaining to item (i)), Article 875 and Article 876 of the Companies Act shall apply mutatis mutandis to the liquidation of a Financial Instruments Membership Corporation. In this case, any other necessary technical replacement of terms shall be specified by a Cabinet Order.
- 金融商品取引業者等は、期限日以前に対象契約の属する契約の種類に係る第一項の規定による申出(以下この項において「更新申出」という。)を申出者から受けた場合には、期限日以前に当該更新申出に係る第二項の規定による承諾をしてはならない。
- A Financial Instruments Business Operator, etc., when receiving a request under paragraph (1) for the Kind of Contract to which the Subject Contract belongs from an Applicant before the Expiration Date (hereinafter, such a request shall be referred to as the 'Request for Renewal' in this paragraph), shall not accept the Request for Renewal under paragraph (2) before the Expiration Date.
- 金融商品取引業者が外国法人である場合における第四十六条の四の規定の適用については、同条中「事業年度ごとに」とあるのは「毎年四月一日から翌年三月三十一日までの期間ごとに」と、「毎事業年度経過後」とあるのは「当該期間経過後」とする。
- With regard to the application of Article 46-4 to cases where a Financial Instruments Business Operator is a foreign juridical person, the term 'for each business year' in said Article shall be deemed to be replaced with 'for each period from April 1 to March 31 of the following year,'; and the term 'from the end of each business year' in the same Article shall be deemed to be replaced with 'from the elapse of said period.'
- 吸収合併存続会員金融商品取引所は、次項の総会の日の五日前の日から効力発生日後六月を経過する日までの間、吸収合併契約の内容その他内閣府令で定める事項を記載し、又は記録した書面又は電磁的記録を主たる事務所に備え置かなければならない。
- A Membership-Type Financial Instruments Exchange Surviving an Absorption-Type Merger shall, during the period from 5 days prior to the day of the general meeting of members set forth in the following paragraph until the day on which six months have passed from the Effective Date, keep at its principal office the documents or Electromagnetic Records containing or recording the contents of the Absorption-Type Merger agreement and other matters specified by a Cabinet Office Ordinance.
- 前条第一項の請求をした認定金融商品取引業者の一般顧客が次の各号に該当する場合において基金が同項の規定により支払をすべき金額は、同項の規定にかかわらず、同項の規定による金額から当該各号に定める額を控除した金額に相当する金額とする。
- In cases where a General Customer of a Recognized Financial Instruments Business Operator who has made a request set forth in paragraph (1) of the preceding Article falls under the following items, the amount to be paid by the Fund under the provisions of said paragraph shall be an amount equivalent to the amount calculated by deducting the amount prescribed respectively in said items from the amount under the provision of said paragraph, notwithstanding the provision of said paragraph:
- 累積投資契約(金融商品取引業者(有価証券等管理業務を行う者に限る。)が顧客から金銭を預かり、当該金銭を対価としてあらかじめ定めた期日において当該顧客に有価証券を継続的に売り付ける契約をいう。)の締結(内閣府令で定めるものに限る。)
- conclusion of a Contract for Cumulative Investment (meaning a contract wherein a Financial Instruments Business Operator (limited to those who engage in Securities, etc. Management Business) receives deposit money from a customer and sells Securities to that customer continuously on dates designated in advance while receiving consideration from that money) (limited to those specified by a Cabinet Office Ordinance);
- 前二項の規定により報告書提出外国会社が外国会社半期報告書及びその補足書類を提出した場合には、当該外国会社半期報告書及びその補足書類を半期報告書とみなし、これらの提出を半期報告書を提出したものとみなして、金融商品取引法令を適用する。
- The provisions of the Financial Instruments and Exchange Act and Related Regulations shall apply to cases where a Reporting Foreign Company submits a Foreign Company Semiannual Securities Report and Supplementary Documents thereof under the preceding two paragraphs, by deeming the Foreign Company Semiannual Securities Report and Supplementary Documents to be a Semiannual Securities Report and deeming submission of the former to be submission of the latter.
- 組織変更をする会員金融商品取引所は、前条第一項の総会の会議開催日の五日前から効力発生日の前日までの間、組織変更計画の内容その他の内閣府令で定める事項を記載し、又は記録した書面又は電磁的記録を主たる事務所に備え置かなければならない。
- A Membership-Type Financial Instruments Exchange implementing Entity Conversion shall, during the period from five days prior to the day of a general meeting set forth in paragraph (1) of the preceding Article until the day immediately before the Effective Date, keep at its principal office the documents or electromagnetic records containing or recording the contents of the entity conversion plan and other matters specified by a Cabinet Office Ordinance.
- 適格機関投資家等特例業務(前項各号に掲げる行為のいずれかを業として行うことをいう。以下同じ。)を行う者(金融商品取引業者等を除く。)は、あらかじめ、内閣府令で定めるところにより、次に掲げる事項を内閣総理大臣に届け出なければならない。
- A person who engages in Specially Permitted Businesses for Qualified Institutional Investor, etc. (meaning performing in the course of trade any of the acts listed in the items in the preceding paragraph; the same shall apply hereinafter) (excluding Financial Instruments Business Operators, etc.) shall, in advance, notify the Prime Minister of the following matters, pursuant to the provisions of a Cabinet Office Ordinance:
- 認可申請者が法令若しくは法令に基づく行政官庁の処分(以下この号及び第百五十五条の十において「法令等」という。)又は業務規則に違反した外国金融商品取引所参加者に対し法令等又は業務規則を遵守させるために必要な措置をとることができること。
- the Applicant for authorization is able to take necessary measures for having Participants of Foreign Financial Instruments Exchange which have violated laws and regulations or dispositions given by a government agency based on laws and regulations (hereinafter referred to as the 'Laws and Regulations, etc.' in this item and Article 155-10) or the Operational Regulations observe the Laws and Regulations, etc. or Operational Regulations; and
- 第三項の場合において、会員又は取引参加者の純資産額が前項に規定する期間内に第一項又は第二項の規定による最低額以上とならなかつたときは、商品取引所は、遅滞なく、当該会員の除名又は当該取引参加者の取引資格の取消しを行わなければならない。
- In the case referred to in paragraph (3), if the amount of net assets of a member or Trading Participant does not reach the minimum amount prescribed in paragraph (1) or (2) within the period prescribed in the preceding paragraph, the Commodity Exchange shall expel said member or rescind the trading qualification of said Trading Participant without delay.
- 基金は、通知金融商品取引業者につき、前条の規定により、顧客資産の返還に係る債務の円滑な履行が困難であるとの認定を行つた場合には、速やかに、次条第一項の請求の届出期間、届出場所その他政令で定める事項を定め、これを公告しなければならない。
- When a Fund has granted, under the provisions of the preceding Article, recognition to the effect that it is difficult for a Notifying Financial Instruments Business Operator to smoothly perform the obligation pertaining to refund of Customer Assets, it shall promptly specify the period and place of notification set forth in paragraph (1) of the following Article and other matters specified by a Cabinet Order and give a public notice thereof.
- 指定紛争解決機関でない者(金融商品取引法第百五十六条の三十九第一項の規定による指定を受けた者その他これに類する者として政令で定めるものを除く。)は、その名称又は商号中に、指定紛争解決機関と誤認されるおそれのある文字を使用してはならない。
- A person who is not a Designated Dispute Resolution Organization (excluding persons who have been designated under Article 156-39, paragraph (1) of the Financial Instruments and Exchange Act and any other persons specified by Cabinet Order as those similar thereto) shall not use any term in its name or trade name that is likely to mislead people to understand that said person is a Designated Dispute Resolution Organization.
- 金融商品会員制法人は、設立の時及び毎年一月から三月までの間に財産目録を作成し、常にこれをその主たる事務所に備え置かなければならない。ただし、特に事業年度を設けるものは、設立の時及び毎事業年度の終了の時に財産目録を作成しなければならない。
- A Financial Instruments Membership Corporation shall prepare its inventory of assets at the time of establishment and at any time between January and March every year, and shall keep it at its principal office at all times; provided, however, that in cases where a Financial Instruments Membership Corporation establishes any specific business year, it shall prepare the inventory of assets at the time of its establishment and at the end of its respective business year.
- 金融商品取引業者等が第二項の規定による承諾をし、かつ、申出者が同項の規定による書面による同意をした場合であつて、当該申出者が次に掲げる者である場合におけるこの法律(この款を除く。)の規定の適用については、当該申出者は、特定投資家とみなす。
- Where the Financial Instruments Business Operator, etc. has given the acceptance under paragraph (2) and the Applicant has given the consent under said paragraph, when the Applicant is a person listed in the following items, the Applicant shall be deemed to be a Professional Investor for the purpose of application of this Act (excluding this Subsection):
- 商品市場における取引等の委託につき、顧客若しくはその指定した者に対し、特別の利益を提供することを約し、又は顧客若しくはその指定した者に対し特別の利益を提供すること(第三者をして特別の利益の提供を約させ、又はこれを提供させることを含む。)。
- promising a customer or any person designated by a customer to provide special interest or providing special interest to a customer or any person designated by a customer (including having a third person promise provision of special interest or having a third person provide special interest) with regard to the consignment of transactions, etc., on the Commodity Market;
- 地方公共団体等は、第百六条の十四第一項の規定にかかわらず、内閣府令で定めるところにより、内閣総理大臣の認可を受けて、金融商品取引所持株会社の総株主の議決権の保有基準割合以上百分の五十以下の数の対象議決権を取得し、又は保有することができる。
- Notwithstanding the provisions of Article 106-14(1), the Local Government, etc. may, with an authorization of the Prime Minister, acquire or hold the Subject Voting Rights not less than the Holding Ratio Threshold, but not more than 50 percent of the Holding Ratio Threshold of the voting rights of all shareholders of a Financial Instruments Exchange Holding Company, pursuant to the provisions of a Cabinet Office Ordinance.
- 前項の規定にかかわらず、組織変更をする会員商品取引所が同項の規定による公告を、官報のほか、第十一条第六項の規定による定款の定めに従い、同項第二号又は第三号に掲げる公告方法によりするときは、前項の規定による各別の催告は、することを要しない。
- Notwithstanding the provisions of the preceding paragraph, when a Member Commodity Exchange implementing Entity Conversion gives the public notice prescribed in the same paragraph not only in an official gazette but also by the Method of Public Notice set forth in Article 11, paragraph (6), item (ii) or (iii) in accordance with the provisions of the articles of incorporation prescribed in the same paragraph, the Member Commodity Exchange shall not be required to give the individual notice prescribed in the preceding paragraph.
- 国は、容器包装に関する情報の収集、整理及び活用、容器包装廃棄物の排出の抑制並びにその分別収集及び分別基準適合物の再商品化等の促進に資する科学技術の振興を図るための研究開発の推進及びその成果の普及等必要な措置を講ずるよう努めなければならない。
- The state shall endeavor to take necessary measures, such as collection, organization and utilization of information on containers and packaging, and promotion of research and development and dissemination of the results of such research and development, which is designed to promote science and technology that contribute to promoting the reduction of waste containers and packaging discharged and sorted collection thereof, and recycling, etc. of waste containers and packaging that conform to the sorting standards.
- 金融商品会員制法人の清算が結了したときは、第百条の十七第一項において準用する会社法第五百七条第三項の承認があつた後、主たる事務所の所在地においては二週間以内に、従たる事務所の所在地においては三週間以内に、清算結了の登記をしなければならない。
- When liquidation of a Financial Instruments Membership Corporation has been completed, the completion of liquidation shall be registered in the district of the location of the principal office within two weeks, and in the district of the location of the secondary offices within three weeks, from the time when the approval under Article 507(3) of the Companies Act as applied mutatis mutandis pursuant to Article 100-17(1) has been obtained.
- 閲覧ファイル(商品取引員等の使用に係る電子計算機に備えられたファイルであって、同時に複数の顧客の閲覧に供するため当該記載事項を記録させるファイルをいう。以下この条において同じ。)に記録された記載事項を電気通信回線を通じて顧客の閲覧に供する方法
- methods to provide the Contents that are recorded in an Inspection File (which means a file on a computer used by a Futures Commission Merchant, etc., and a file in which said Contents are recorded for the inspection of multiple customers simultaneously; hereinafter the same shall apply in this Article) for the inspection of customers via electronic telecommunication lines;
- 第八十五条第一項の認可を受けた金融商品取引所は、第八十五条の二第一項第三号に掲げる事項について変更があつたときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。受託自主規制法人との間の委託契約の内容に変更があつたときも、同様とする。
- A Financial Instruments Exchange who has been granted the authorization under Article 85(1) shall, when there are any changes in the matters listed in Article 85-2(1)(iii), notify to that effect to the Prime Minister without delay. The same shall apply to cases where there are any changes in the entrustment contract with the Entrusted Self-Regulation Organization.
- 組織変更をする会員商品取引所は、前条第一項の会員総会の会議開催日の十日前から組織変更の効力が生ずる日の前日までの間、組織変更計画の内容その他主務省令で定める事項を記載し、又は記録した書面又は電磁的記録を主たる事務所に備え置かなければならない。
- A Member Commodity Exchange implementing Entity Conversion shall, during the period from 10 days prior to the day of the general meeting of members set forth in paragraph (1) of the preceding Article until the day preceding the day on which the Entity Conversion comes into effect, keep at its principal office a document or an Electromagnetic Record containing the content of the Entity Conversion plan and other matters specified by an ordinance of the competent ministry.
- この条において「公開買付け」とは、不特定かつ多数の者に対し、公告により株券等の買付け等の申込み又は売付け等(売付けその他の有償の譲渡をいう。以下この章において同じ。)の申込みの勧誘を行い、取引所金融商品市場外で株券等の買付け等を行うことをいう。
- The term 'Tender Offer' as used in this Article means an act of soliciting offers for Purchase, etc. or Sales, etc. (meaning sales or other type of transfer for value; hereinafter the same shall apply in this Section) of Share Certificates, etc. from many and unspecified persons through public notice, and making Purchase, etc. of Share Certificates, etc. outside of Financial Instruments Exchange Markets.
- 前二項の規定により報告書提出外国会社が外国会社四半期報告書及びその補足書類を提出した場合には、当該外国会社四半期報告書及びその補足書類を四半期報告書とみなし、これらの提出を四半期報告書を提出したものとみなして、金融商品取引法令の規定を適用する。
- The provisions of the Financial Instruments and Exchange Act and Related Regulations shall apply to cases where a Reporting Foreign Company submits a Foreign Company Quarterly Securities Report and Supplementary Documents thereof under the preceding two paragraphs, by deeming the Foreign Company Quarterly Securities Report and Supplementary Documents to be a Quarterly Securities Report and deeming submission of the former to be submission of the latter.
- 前項の申込みをする者は、同項の書面の交付に代えて、政令で定めるところにより、会員商品取引所の承諾を得て、同項の書面に記載すべき事項を電磁的方法により提供することができる。この場合において、当該申込みをした者は、同項の書面を交付したものとみなす。
- The person filing an application set forth in the preceding paragraph may, in lieu of the delivery of the document set forth in the preceding paragraph, provide the matters that should be contained in the document under the same paragraph by an Electromagnetic Means by gaining the consent of the Member Commodity Exchange, pursuant to the provisions of a Cabinet Order. In this case, the person making the subscription shall be deemed to have delivered the document set forth in the same paragraph.
- 金融商品取引業者が外国法人又は外国に住所を有する個人である場合における第四十七条の二の規定及び登録金融機関が外国法人である場合における第四十八条の二第一項の規定の適用については、これらの規定中「三月以内」とあるのは、「政令で定める期間内」とする。
- With regard to the application of Article 47-2 to cases where a Financial Instruments Business Operator is a foreign juridical person or an individual domiciled in a foreign state, and the application of Article 48-2(1) to cases where a Registered Financial Institution is a foreign juridical person, the term 'within three months' in the same provisions shall be deemed to be replaced with 'within the period specified by a Cabinet Order.'
- 第一項第一号に該当することとなった商品取引員は、法第二百十一条第一項の規定に基づき、直ちに、その旨を主務大臣に届け出、かつ、営業日ごとに、様式第十五号により純資産額規制比率に関する届出書を作成し、遅滞なく、これを主務大臣に提出しなければならない。
- A Futures Commission Merchant who has fallen under paragraph (1), item (i) shall immediately notify the competent minister of such fact, prepare a written notification according to Form No. 15 on every business day pertaining to the Net Assets Regulation Ratio, and submit the notification to the competent minister without delay based on the provisions of Article 211, paragraph (1) of the Act.
- 合併の当事者(商品取引員を除く。)の直前三年の各事業年度の計算書類等(当該当事者が持分会社である場合にあっては、会社法施行規則第二条第三項第十二号(ロに係る部分に限る。)に規定する計算書類等をいう。第百二十条第六号において同じ。)及びその附属明細書
- Financial Statements, etc., of the parties to the merger (excluding a Futures Commission Merchant) for each business year of the most recent three years (in cases where said parties are mochibun kaisha, the Financial Statements, etc., prescribed in Article 2, paragraph (3), item (xii) of the Ordinance for Enforcement of the Companies Act [limited to items pertaining to (b)]; the same shall apply to Article 126, item (vi)] and detailed statements thereof;
- イに掲げるもののほか、当事者の一方が、相手方から、金融商品の価値等の分析に基づく投資判断の全部又は一部を一任されるとともに、当該投資判断に基づき当該相手方のため投資を行うのに必要な権限を委任されることを内容とする契約(以下「投資一任契約」という。)
- in addition to those listed in (a), a contract wherein one of the parties is fully or partly entrusted by the other party with the discretion in making Investment Decisions based on analysis of Values, etc. of Financial Instruments and is also entrusted with the authorities necessary for making investment on behalf of the other party based on such Investment Decisions (such a contract is hereinafter referred to as a 'Discretionary Investment Contract').
- 投資法人の執行役員は、当該投資法人の発行する投資証券等の募集等(募集(金融商品取引法第二条第三項に規定する有価証券の募集をいう。)、私募(同項に規定する有価証券の私募をいう。)その他政令で定める行為をいう。以下同じ。)に係る事務を行つてはならない。
- A corporate officer(s) of an Investment Corporation shall not conduct affairs pertaining to Public Offerings, etc. (meaning Public Offerings (meaning the Public Offering of Securities as prescribed in Article 2, paragraph (3) of the Financial Instruments and Exchange Act), Private Placement (meaning the Private Placement of Securities prescribed in that paragraph) and other acts specified by a Cabinet Order; the same shall apply hereinafter) of Investment Securities, etc. issued by said Investment Corporation.
- 前項の申込みをする者は、同項の書面の交付に代えて、政令で定めるところにより、会員金融商品取引所の承諾を得て、同項の書面に記載すべき事項を電磁的方法により提供することができる。この場合において、当該申込みをした者は、同項の書面を交付したものとみなす。
- The person who makes an application set forth in the preceding paragraph may, in lieu of delivery of the document set forth in that paragraph, provide information that should be contained in the document under that paragraph by an electromagnetic device, with the approval of the Membership-Type Financial Instruments Exchange and pursuant to the provisions of a Cabinet Order. In this case, the person who has made the application shall be deemed to have delivered the document set forth in that paragraph.
- 法第二条第二十一項第三号に掲げる取引及び外国市場デリバティブ取引であって同号に掲げる取引と類似の取引 オプションを付与する立場の当事者となるか又は取得する立場の当事者となるかの別、金融商品又は金融指標の銘柄、数又は金額、オプションの対価の額及び受渡日
- transactions listed in Article 2, paragraph (21), item (iii) of the Act, and Exchange-Traded Derivatives Transactions in a Foreign Market similar to transactions listed in that item: the party to grant and the party to acquire, and the issues, the volumes or amounts, the amount of consideration for the Options, and the date of delivery for the Financial Instruments or the Financial Indicator;
- 商品を預託者に返還すること又は施設利用権を預託者に取得させること(当該返還すること又は当該取得させることに代えて金銭その他これらに代替する物品を預託者に給付することを含む。)を担保するための措置の有無及び当該措置が講ぜられている場合にあつてはその内容
- whether or not there are any measures to secure the return of the commodities to the depositor or to cause the facility use rights to be acquired by the depositor (including measures to secure the delivery of money or other alternative goods to the depositor, in lieu of the return thereof or the acquisition thereby), and if there are, the details thereof; and
- 第七十七条の規定は、認定団体が投資者からの苦情(対象事業者に関するものに限る。)の解決を行う場合について準用する。この場合において、同条中「協会員又は金融商品仲介業者」とあるのは、「第七十九条の十一第一項に規定する対象事業者」と読み替えるものとする。
- Article 77 shall apply mutatis mutandis to the cases where a Certified Organization resolves complaints filed by investors (limited to those concerning the Target Business Operators). In this case, the term 'Member Firm or Financial Instruments Intermediary Service Provider' in said Article, shall be deemed to be replaced with 'the Target Business Operators prescribed in Article 79-11(1).'
- 金融商品取引業者は、事業年度ごとに、業務及び財産の状況に関する事項として内閣府令で定めるものを記載した説明書類を作成し、毎事業年度経過後政令で定める期間を経過した日から一年間、これをすべての営業所又は事務所に備え置き、公衆の縦覧に供しなければならない。
- A Financial Instruments Business Operator shall, for each business year, prepare explanatory documents containing the matters specified by a Cabinet Office Ordinance as the matters concerning status of business and property, and keep said explanatory documents at all of its business offices or offices and make them available for public inspection, for one year from the day on which the period specified by a Cabinet Order has elapsed from the end of each business year.
- 組織変更後株式会社金融商品取引所は、効力発生日から六月間、第百一条の三第一項の書面又は電磁的記録及び前条の規定による手続の経過その他の組織変更に関する事項として内閣府令で定める事項を記載し、又は記録した書面又は電磁的記録を本店に備え置かなければならない。
- A Stock Company-Type Financial Instruments Exchange after Entity Conversion shall, during the period of six months from the Effective Date, keep at its head office the documents or electromagnetic records set forth in Article 101-3(1), and the documents or the electromagnetic records containing or recording the progress of the procedures prescribed in the preceding Article and other matters specified by a Cabinet Office Ordinance as the matters concerning Entity Conversion.
- 取引所の相場その他の市場の相場がある商品の取引に係る契約であって、その取引の性質上特定の日時又は一定の期間内に履行をしなければ契約をした目的を達することができないものについて、その時期が破産手続開始後に到来すべきときは、当該契約は、解除されたものとみなす。
- With regard to a contract for a transaction of goods with a quotation on an exchange or any other market quotation the purpose of which, from the nature of the transaction, cannot be achieved unless the transaction is performed on a specific date or within a specific period of time, if the due date is to come after the commencement of bankruptcy proceedings, it shall be deemed that such contract is cancelled.
- 前項の合併認可申請書には、合併契約の内容を記載し、又は記録した書面又は電磁的記録(内閣府令で定めたものに限る。以下この項において同じ。)、合併後金融商品取引所の定款、業務規程、受託契約準則その他の内閣府令で定める書面又は電磁的記録を添付しなければならない。
- The documents or Electromagnetic Records containing or recording the contents of the merger agreement (limited to those specified by a Cabinet Office Ordinance; hereinafter the same shall apply in this paragraph), and the articles of incorporation, operational rules, brokerage contract rules and other documents or Electromagnetic Records specified by a Cabinet Office Ordinance with regard to the Financial Instruments Exchange Resulting from a Merger shall be attached to the written application for authorization of merger under the preceding paragraph.
- 商品取引員は、前項各号に掲げる契約を締結し、又は変更したときは、遅滞なく、契約書の写しを主務大臣に提出しなければならない。ただし、信託契約を変更した場合にあっては、当該契約を締結した信託会社又は信託業務を営む金融機関が発行する残高証明書を添付するものとする。
- A Futures Commission Merchant shall submit a copy of the contract to the competent minister without delay when concluded or after changing the contract as set forth in the respective items of the preceding paragraph; provided, however, that in the case of changing a Trust Contract, a certificate of the deposit balance issued by the trust company concluding said contract or a Financial Institution Engaged in Trust Business shall be attached.
- 第二項第十二号若しくは第十三号の「デリバティブ取引」又は第二項第十六号若しくは第十七号の「有価証券関連店頭デリバティブ取引」とは、それぞれ金融商品取引法第二条第二十項(定義)に規定するデリバティブ取引又は同法第二十八条第八項第四号(定義)に掲げる行為をいう。
- The term 'Derivative Transactions' as used in paragraph (2), items (xii) and (xiii) and the term 'Over-the-Counter Derivative Securities Transactions' as used in paragraph (2), items (xvi) and (xvii) respectively mean the Derivative Transactions prescribed in Article 2, paragraph (20) (Definitions) of the Financial Instruments and Exchange Act and the acts listed in Article 28, paragraph (8), item (iv) (Definitions) of that Act.
- 金融商品取引業者が外国法人である場合における第四十六条の三第一項の規定の適用については、同項中「事業年度ごとに」とあるのは「毎年四月一日から翌年三月三十一日までの期間ごとに」と、「毎事業年度経過後三月以内」とあるのは「当該期間経過後政令で定める期間内」とする。
- With regard to the application of Article 46-3(1) to cases where a Financial Instruments Business Operator is a foreign juridical person, the term 'each business year' in said paragraph shall be deemed to be replaced with 'for each period from April 1 to March 31 of the following year,'; and the term 'within three months after the end of each business year' in said paragraph shall be deemed to be replaced with 'within the period specified by a Cabinet Order after elapse of said period.'
- 新設合併契約を承認するための株主総会(種類株主総会を含む。)に先立つて当該新設合併に反対する旨を当該新設合併消滅株式会社商品取引所に対し通知し、かつ、当該株主総会において当該新設合併に反対した株主(当該株主総会において議決権を行使することができるものに限る。)
- A shareholder who has notified the Incorporated Commodity Exchange Dissolved in a Consolidation-Type Merger of his/her dissent from the Consolidation-Type Merger prior to a general meeting of shareholders (including a general meeting of class shareholders) for approving the Consolidation-Type Merger contract and who has dissented from the Consolidation-Type Merger at said general meeting of shareholders (limited to those who are entitled to exercise their voting rights at said general meeting of shareholders)
- 前項の認可を受けた地方公共団体等は、同項及び第百三条の二第一項の規定にかかわらず、その保有する対象議決権の数に増加がない場合その他の内閣府令で定める場合には、株式会社金融商品取引所の総株主の議決権の百分の五十を超える対象議決権を取得し、又は保有することができる。
- Notwithstanding the provisions of the preceding paragraph and Article 103-2(1), the Local Government, etc. which has obtained the authorization under the preceding paragraph may acquire or hold the Subject Voting Rights exceeding 50 percent of the voting rights of all shareholders of a Stock Company-Type Financial Instruments Exchange, in cases where there is no increase in the number of the Subject Voting Rights held or in other cases specified by a Cabinet Office Ordinance.
- ロの支払が事故(法第二百十四条の二第三項に規定する事故をいう。以下この条から第百三条の四までにおいて同じ。)による損失の全部又は一部を補てんするために行われるものであることをイの弁護士又は司法書士が調査し、確認したことを証する書面が商品取引員に交付されていること。
- a document proving that the attorney at law or judicial scrivener set forth in (a) investigated and confirmed that the payment set forth in (b) is made in order to compensate in whole or in part for a loss incurred from a Problematic Conduct (which means the Problematic Conduct prescribed in Article 214-2, paragraph (3) of the Act; hereinafter the same shall apply in this Article to Article 103-4) has been delivered to the Futures Commission Merchant;
- 新設合併契約を承認するための株主総会(種類株主総会を含む。)に先立つて当該新設合併に反対する旨を当該新設合併消滅株式会社金融商品取引所に対し通知し、かつ、当該株主総会において当該新設合併に反対した株主(当該株主総会において議決権を行使することができるものに限る。)
- a shareholder who has notified the Stock Company-Type Financial Instruments Exchange Extinguished upon a Consolidation-Type Merger of his/her dissent from the Consolidation-Type Merger prior to a shareholders meeting (including a class shareholders meeting) for approving the Consolidation-Type Merger agreement and who has dissented from the Consolidation-Type Merger at said shareholders meeting (limited to those who are entitled to exercise their voting rights at said shareholders meeting); and
- 前項の認可を受けた地方公共団体等は、同項及び第百六条の十四第一項の規定にかかわらず、その保有する対象議決権の数に増加がない場合その他の内閣府令で定める場合には、金融商品取引所持株会社の総株主の議決権の百分の五十を超える対象議決権を取得し、又は保有することができる。
- Notwithstanding the provisions of the preceding paragraph and Article 106-14(1), the Local Government, etc. which has obtained the authorization under the preceding paragraph may acquire or hold the Subject Voting Rights exceeding 50 percent of the voting rights of all shareholders of a Financial Instruments Exchange Holding Company, in cases where there is no increase in the number of the Subject Voting Rights held or in other cases specified by a Cabinet Office Ordinance.
- 組織変更後株式会社商品取引所は、組織変更の効力が生じた日から六月間、第百二十三条第一項の書面又は電磁的記録及び前条の規定による手続の経過その他の組織変更に関する事項として主務省令で定める事項を記載し、又は記録した書面又は電磁的記録を本店に備え置かなければならない。
- A Incorporated Commodity Exchange after Entity Conversion shall, during the period of six months from the day on which Entity Conversion comes into effect, keep at its head office the document or Electromagnetic Record set forth in Article 123, paragraph (1) and a document or an Electromagnetic Record containing the progress of the procedure prescribed in the preceding Articles and other matters specified by an ordinance of the competent minister as being matters concerning Entity Conversion.
- 外国の法令に準拠して設立された法人又は外国に住所を有する個人で外国において投資助言業務を行う者(第二十九条の登録を受けた者を除く。)は、同条の規定にかかわらず、金融商品取引業者のうち投資運用業を行う者その他政令で定める者のみを相手方として投資助言業務を行うことができる。
- A juridical person established under the laws and regulations of a foreign state or an individual domiciled in a foreign state which is engaged in the Investment Advisory Business in a foreign state (excluding persons registered under Article 29) may, notwithstanding the provision of said Article, perform the Investment Advisory Business only for the Financial Instruments Business Operators engaged in the Investment Management Business or for other persons specified by a Cabinet Order.
- 金融商品取引業者等は、前項の規定による申出を受けた場合には、当該申出をした個人(以下この条において「申出者」という。)に対し、前条第二項第四号イ及びロに掲げる事項を記載した書面を交付するとともに、申出者が前項各号に掲げる者のいずれかに該当することを確認しなければならない。
- When receiving a request under the preceding paragraph, a Financial Instruments Business Operator, etc. shall deliver a document containing matters listed in paragraph (2), item (iv), sub-item (a) and (b) of the preceding Article and (b) to an individual who submitted the request (hereinafter referred to as an 'Applicant' in this Article) and shall confirm that the Applicant falls under any of those listed in the items of the preceding paragraph.
- 金融商品取引業者は、前二項の規定による管理の状況について、内閣府令で定めるところにより、定期に、公認会計士(公認会計士法(昭和二十三年法律第百三号)第十六条の二第五項に規定する外国公認会計士を含む。第百九十三条の二において同じ。)又は監査法人の監査を受けなければならない。
- A Financial Instruments Business Operator, etc. shall, with regard to the state of management under the preceding two paragraphs, pursuant to the provisions of a Cabinet Office Ordinance, periodically undergo audit by a certified public accountant (including foreign certified public accountant prescribed in Article 16-2(5) of the Certified Public Accountants Act (Act No. 103 of 1948); the same shall apply in Article 193-2) or audit by an audit firm.
- 商品取引員の代表者、代理人、使用人その他の従業員(以下「代表者等」という。)が第百十二条各号に掲げる行為により顧客に損失を及ぼした場合で、一日の取引において顧客に生じた損失について顧客に対して申し込み、約束し、又は提供する財産上の利益が十万円に相当する額を上回らないとき。
- in cases where the representative, an agent, an employee, or other worker (hereinafter referred to as the 'Representative, etc.') of the Futures Commission Merchant has inflicted a loss on the customer by any of the acts listed in the items of Article 112, the amount of property benefit for which an offer or promise is made or is provided to the customer with regard to a loss incurred by the customer in a single day's transactions does not exceed the amount equivalent to one hundred thousand yen;
- 金融商品の価値等の分析に基づく投資判断に基づいて主として有価証券又はデリバティブ取引に係る権利に対する投資として、次に掲げる権利その他政令で定める権利を有する者から出資又は拠出を受けた金銭その他の財産の運用を行うこと(第十二号及び前号に掲げる行為に該当するものを除く。)。
- investment of money or other properties invested or contributed from a person who holds the following rights or other rights specified by a Cabinet Order, as an investment mainly in Securities or rights pertaining to Derivative Transactions conducted based on analysis of Values, etc. of Financial Instruments (excluding acts falling under the categories specified in item (xii) and the preceding item);
- 前項の規定により読み替えて適用する第四項の臨時報告書と併せて臨時代替書面を提出した場合には、当該臨時代替書面を当該臨時報告書の一部とみなし、当該臨時代替書面を提出したことを当該臨時代替書面を当該臨時報告書の一部として提出したものとみなして、金融商品取引法令の規定を適用する。
- When Documents Substituting Part of an Extraordinary Report are submitted together with an Extraordinary Report set forth in paragraph (4) as applied by replacing certain terms pursuant to the preceding paragraph, the provisions of the Financial Instruments and Exchange Act and Related Regulations shall apply by deeming the Documents Substituting Part of an Extraordinary Report to form a part of the Extraordinary Report and deeming submission of the Documents Substituting Part of an Extraordinary Report to be submission of the Documents Substituting Part of an Extraordinary Report as a part of the Extraordinary Report.
- 前項の規定により読み替えて適用する第一項の半期報告書と併せて半期代替書面を提出した場合には、当該半期代替書面を当該半期報告書の一部とみなし、当該半期代替書面を提出したことを当該半期代替書面を当該半期報告書の一部として提出したものとみなして、金融商品取引法令の規定を適用する。
- When Documents Substituting Part of a Semiannual Securities Report are submitted together with a Semiannual Securities Report set forth in paragraph (1) as applied by replacing certain terms pursuant to the preceding paragraph, the provisions of the Financial Instruments and Exchange Act and Related Regulations shall apply by deeming the Documents Substituting Part of a Semiannual Securities Report to form a part of the Semiannual Securities Report and deeming submission of the Documents Substituting Part of a Semiannual Securities Report to be submission of the Documents Substituting Part of a Semiannual Securities Report as a part of the Semiannual Securities Report.
- 前項の場合において、金融商品取引所持株会社の総株主の議決権の保有基準割合以上の数の対象議決権を取得し、又は保有することとなつた者(以下この条において「特定保有者」という。)は、特定保有者になつた旨その他内閣府令で定める事項を、遅滞なく、内閣総理大臣に届け出なければならない。
- In the case prescribed in the preceding paragraph, a person who has come to acquire or hold Subject Voting Rights not less than the Holding Ratio Threshold of the voting rights of all shareholders of a Financial Instruments Exchange Holding Company (hereinafter referred to as a 'Specified Holder' in this Article) shall notify the Prime Minister without delay of the fact that said person has become a Specified Holder and any other matters specified by a Cabinet Office Ordinance.
- 認可協会は、内閣府令で定めるところにより、その開設する店頭売買有価証券市場における店頭売買有価証券の売買、取扱有価証券の売買及び上場株券等の取引所金融商品市場外での売買に関する銘柄別の毎日の売買高、最高、最低及び最終の価格その他の事項を内閣総理大臣に報告しなければならない。
- An Authorized Association shall, pursuant to the provisions of a Cabinet Office Ordinance, report to the Prime Minister the daily trading volume, and highest price, lowest price, closing price and any other matters for each day and for each issue in relation to sales and purchase of Over-the-Counter Traded Securities on the Over-the-Counter Securities Market established by said Authorized Association, sales and purchase of the Tradable Securities, and sales and purchase of the Listed Share Certificates, etc. conducted outside of a Financial Instruments Exchange Market.
- 前項の場合において、株式会社金融商品取引所の総株主の議決権の保有基準割合以上の数の対象議決権を取得し、又は保有することとなつた者(以下この条において「特定保有者」という。)は、特定保有者になつた旨その他内閣府令で定める事項を、遅滞なく、内閣総理大臣に届け出なければならない。
- In the case prescribed in the preceding paragraph, a person who has come to acquire or hold the Subject Voting Rights not less than the Holding Ratio Threshold of the voting rights of all shareholders of a Stock Company-Type Financial Instruments Exchange (hereinafter referred to as a 'Specified Holder' in this Article) shall notify the Prime Minister without delay of the fact that said person has become a Specified Holder and any other matters specified by a Cabinet Office Ordinance.
- 会社法第三百三十一条第二項ただし書(同法第三百三十五条第一項において準用する場合を含む。)、第三百三十二条第二項(同法第三百三十四条第一項において準用する場合を含む。)、第三百三十六条第二項及び第四百二条第五項ただし書の規定は、株式会社金融商品取引所については、適用しない。
- The provisions of the proviso to paragraph (2) of Article 331 of the Companies Act (including the cases where it is applied mutatis mutandis pursuant to Article 335(1) of that Act), Article 332(2) of that Act (including the case where it is applied mutatis mutandis pursuant to Article 334(1) of that Act), Article 336(2) and the proviso to Article 402(5) of that Act shall not apply to a Stock Company-Type Financial Instruments Exchange.
- 会社法第二百十九条第一項(第六号に係る部分に限る。)、第二項及び第三項、第二百二十条並びに第二百九十三条第一項(第三号に係る部分に限る。)及び第二項から第四項までの規定は、新設合併消滅株式会社商品取引所について準用する。この場合において、必要な技術的読替えは、政令で定める。
- The provisions of Article 219, paragraph (1) (limited to the part pertaining to item (vi)), paragraph (2) and paragraph (3), Article 220 and Article 293, paragraph (1) (limited to the part pertaining to item (iii)) and paragraphs (2) to (4) inclusive of the Companies Act shall apply mutatis mutandis to a Incorporated Commodity Exchange Dissolved in a Consolidation-Type Merger. In this case, the necessary technical replacement of terms shall be specified by a Cabinet Order.
- 金融商品取引業者等は、有価証券等取引に関する顧客の注文を執行した後、内閣府令で定める期間内に当該顧客から求められたときは、当該注文が最良執行方針等に従つて執行された旨を内閣府令で定めるところにより説明した書面を、内閣府令で定めるところにより、当該顧客に交付しなければならない。
- A Financial Instruments Business Operator, etc. shall, when requested by a customer within a period specified by a Cabinet Office Ordinance after having executed the customer's order for a transaction of Securities, etc., deliver to the customer, pursuant to the provisions of a Cabinet Office Ordinance, a document explaining, pursuant to the provisions of a Cabinet Office Ordinance, that the order has been executed in accordance with its Best Execution Policy, etc.
- 第一項の「子金融機関等」とは、銀行持株会社が総株主等の議決権の過半数を保有している者その他の当該銀行持株会社と密接な関係を有する者として政令で定める者のうち、銀行(当該銀行持株会社の子会社である銀行を除く。)、金融商品取引業者、保険会社その他政令で定める金融業を行う者をいう。
- The term 'Subsidiary Financial Institution, etc.' as used in paragraph (1) means a person whose majority of Voting Rights Held by All of the Shareholders, etc. are held by a Bank Holding Company and any other person specified by Cabinet Order as one with a close relationship to said Bank Holding Company, which is a Bank (excluding a Bank which is a Subsidiary Company of said Bank Holding Company), Financial Instruments Specialist, Insurance Company, or any other person engaged in financial services specified by Cabinet Order.
- その販売する商品を容器包装に入れ、又は容器包装で包む行為(他の者(外国為替及び外国貿易法(昭和二十四年法律第二百二十八号)第六条に規定する非居住者を除く。以下この項及び次項において同じ。)の委託(主務省令で定めるものに限る。以下この項において同じ。)を受けて行うものを除く。)
- The act of putting goods to be sold into containers or wrapping such goods in packaging (excluding the act conducted based on entrustment (limited to those specified by the ordinance of the competent ministry; hereinafter the same shall apply in this paragraph) from other persons (excluding non-residents prescribed in Article 6 of the Foreign Exchange and Foreign Trade Act (Act No. 228 of 1949); hereinafter the same shall apply in this and the next paragraph)
- 認定金融商品取引業者の破産手続において、破産法第百九十七条第一項(同法第二百九条第三項において準用する場合を含む。)若しくは第二百四条第二項の規定による通知をしたとき、又は同法第二百八条第一項の規定による許可を受けたときは、破産管財人は、その旨を基金に通知しなければならない。
- When a bankruptcy trustee has made a notice under the provision of Article 197(1) (including the cases where it is applied mutatis mutandis pursuant to Article 209(3) of the Bankruptcy Act) or Article 204(2) of the Bankruptcy Act or when a bankruptcy trustee has received a permission under the provision of Article 208(1) of said Act in the bankruptcy proceedings of a Recognized Financial Instruments Business Operator, he/she shall notify to that effect to the relevant Fund.
- 当該商品取引員が、外国の法人その他の団体に総株主の議決権(法第八十六条第一項に規定する議決権をいう。以下このロにおいて同じ。)の百分の五十以上の議決権に係る株式を自己又は他人の名義をもって所有されている場合における当該法人その他の団体(以下この条において「外国親会社」という。)
- in cases where a foreign juridical person or any other organization holds shares pertaining to 50 percent or more of the Voting Rights (which means voting rights prescribed in Article 86, paragraph (1) of the Act; hereinafter the same shall apply in this (b)) of all shareholders under its own name or that of another person, said juridical person or other organization (hereinafter referred to as the 'Foreign Parent Company' in this Article);
- 新法第二百九十三条の登録のうち最初のものの効力が生じる日までの間は、第八十条第二項第三号の規定の適用については、同号中「委託者保護基金」とあるのは、「昭和五十年十月三十一日に設立された社団法人商品取引受託債務補償基金協会(以下「補償基金協会」という。)」と読み替えるものとする。
- Until the date of whichever registration filed under Article 293 of the New Act first becomes effective, with regard to the application of the provisions of Article 80, paragraph (2), item (iii), the term 'Consumer Protection Fund' in the same item shall be deemed to be replaced with 'the Association of Compensation Funds for Consigned Liabilities in Commodity Futures, Inc. (hereinafter referred to as the 'Association of Compensation Funds') established on October 31, 1975.'
- 第一項の規定は、投資法人が同項各号に掲げる事項を記載した金融商品取引法第二条第十項に規定する目論見書を第一項の申込みをしようとする者に対して交付している場合その他募集投資口の引受けの申込みをしようとする者の保護に欠けるおそれがないものとして内閣府令で定める場合には、適用しない。
- The provisions of paragraph (1) shall not apply to cases where an Investment Corporation has delivered a prospectus as prescribed in Article 2, paragraph (10) of the Financial Instruments and Exchange Act in which the matters listed in the items of paragraph (1) are stated, to the person who intends to file an application under paragraph (1), nor shall they apply to other cases specified by a Cabinet Office Ordinance as those in which it is unlikely that the protection of the person who intends to apply to subscribe for the Investment Equity for Subscription will be compromised.
- 第二項第五号に掲げる業務には同号に規定する証書をもつて表示される金銭債権のうち有価証券に該当するものについて、同項第五号の三に掲げる業務には短期社債等について、金融商品取引法第二条第八項第一号から第六号まで及び第八号から第十号まで(定義)に掲げる行為を行う業務を含むものとする。
- The business listed in paragraph (2), item (v) shall include the business of carrying out the acts listed in Article 2, paragraph (8), items (i) to (vi) inclusive and (viii) to (x) inclusive (Definitions) of the Financial Instruments and Exchange Act for monetary claims that are indicated in the form of certificates as prescribed in paragraph 2, item (v) and that fall under the category of securities, and the business set forth in paragraph (2), item (v)-3 shall include the business of carrying out such acts for Short-Term Corporate Bonds, etc.
- 会社法第二百十九条第一項(第六号に係る部分に限る。)、第二項及び第三項、第二百二十条並びに第二百九十三条第一項(第三号に係る部分に限る。)及び第二項から第四項までの規定は、新設合併消滅株式会社金融商品取引所について準用する。この場合において、必要な技術的読替えは、政令で定める。
- The provisions of Article 219, paragraph (1) (limited to the part pertaining to item (vi)), paragraph (2) and paragraph (3), Article 220 and Article 293, paragraph (1) (limited to the part pertaining to item (iii)) and paragraphs (2) to (4) inclusive of the Companies Act shall apply mutatis mutandis to a Stock Company-Type Financial Instruments Exchange Extinguished upon a Consolidation-Type Merger. In this case, any necessary technical replacement of terms shall be specified by a Cabinet Order.
- 金融商品の価値等の分析に基づく投資判断に基づいて有価証券又はデリバティブ取引に係る権利に対する投資として、第一項第十号に掲げる有価証券に表示される権利その他の政令で定める権利を有する者から拠出を受けた金銭その他の財産の運用を行うこと(第十二号に掲げる行為に該当するものを除く。)。
- investment of money or other properties contributed from a person who holds rights indicated on the Securities specified in item (x) of paragraph (1) or other rights specified by a Cabinet Order, as an investment in Securities or rights pertaining to Derivative Transactions conducted based on analysis of Values, etc. of Financial Instruments (excluding acts falling under the category specified in item (xii));
- 内閣総理大臣は、第八十五条第一項の認可を受けて委託された自主規制業務が次の各号のいずれかに該当するときは、委託金融商品取引所に対し、同項の認可を取り消し、その委託の方法の変更若しくはその委託の一部若しくは全部の禁止を命じ、又はその他監督上必要な措置をとることを命ずることができる。
- When self-regulating related services entrusted by a Financial Instruments Exchange with the authorization given under Article 85(1) fall under any of the following items, the Prime Minister may rescind the authorization given to the Financial Instruments Exchange under Article 85(1), order the Financial Instruments Exchange to change the method of entrustment or prohibit part or all of the entrustment, or order the Financial Instruments Exchange to take other measures necessary for supervision:
- 第三十条第一項の認可を受けた金融商品取引業者は、第三項の規定にかかわらず、当該認可を受けた業務に係る損失の危険の管理方法、売買価格の決定方法、受渡しその他の決済の方法その他内閣府令で定める業務の内容及び方法を変更しようとする場合においては、内閣総理大臣の認可を受けなければならない。
- When a Financial Instruments Business Operator who has obtained authorization under Article 30(1) intends to change the methods to manage risks of loss, price formation method, methods of transfer and other settlement, and other contents and methods of business specified by a Cabinet Office Ordinance for which he/she had obtained the authorization, he/she shall obtain an authorization from the Prime Minister, notwithstanding the provision of paragraph (3).
- 金融商品取引業者が外国法人である場合における第四十六条の六第一項の規定の適用については、同項中「資本金」とあるのは「持込資本金」と、「準備金」とあるのは「国内の営業所又は事務所において積み立てられた準備金」と、「固定資産」とあるのは「国内の営業所又は事務所における固定資産」とする。
- With regard to the application of Article 46-6(1) to cases where a Financial Instruments Business Operator is a foreign juridical person, the term 'stated capital' in said paragraph shall be deemed to be replaced with 'brought-in capital,' and the term 'reserve fund' in said paragraph shall be deemed to be replaced with 'reserve fund set up in business offices or offices in Japan,'; and the term 'fixed assets' in said paragraph shall be deemed to be replaced with 'fixed assets for business offices or offices in Japan.'
- 第一項の規定は、投資法人が同項各号に掲げる事項を記載した金融商品取引法第二条第十項に規定する目論見書を第一項の申込みをしようとする者に対して交付している場合その他募集投資法人債の引受けの申込みをしようとする者の保護に欠けるおそれがないものとして内閣府令で定める場合には、適用しない。
- The provisions of paragraph (1) shall not apply to cases where an Investment Corporation has delivered the Prospectus prescribed in Article 2, paragraph (10) of the Financial Instruments and Exchange Act, which states the matters listed in the items of paragraph (1), to the person who intends to file an application under paragraph (1) nor shall they apply to other cases specified by a Cabinet Office Ordinance as those in which it is unlikely that the protection of the person who intends to apply to subscribe for Investment Corporation Bonds for Subscription will be compromised.
- 金融商品取引業者等は、運用財産について、内閣府令で定めるところにより、定期に運用報告書を作成し、当該運用財産に係る知れている権利者に交付しなければならない。ただし、運用報告書を権利者に交付しなくても権利者の保護に支障を生ずることがない場合として内閣府令で定める場合は、この限りでない。
- A Financial Instruments Business Operator, etc. shall, pursuant to the provisions of a Cabinet Office Ordinance, prepare an investment report with regard to Investment Property periodically and deliver it to any known Right Holders pertaining to the Investment Property; provided, however, that this shall not apply to the cases specified by a Cabinet Office Ordinance where non-delivery of an investment report to such Right Holders will not hinder protection of the Right Holders.
- 第百五条の四第二項及び第三項の規定にかかわらず、特定株式会社金融商品取引所の代表取締役又は代表執行役は、公益又は投資者の保護を図るため特に必要があると認める場合であつて、状況に照らし緊急を要するときは、上場の廃止その他の内閣府令で定める自主規制業務に関する事項を決定することができる。
- Notwithstanding the provisions of Article 105-4(2) and (3), when a representative director or a representative executive officer of a Specified Stock Company-Type Financial Instruments Exchange finds it particularly necessary for achieving public interest or protection of investors and that there is an urgent necessity in light of the circumstances, he/she may make decisions on delisting and other matters related to Self-Regulation Related Services as specified by a Cabinet Office Ordinance.
- 金融商品取引業者等は、顧客から有価証券の売買又は店頭デリバティブ取引に関する注文を受けたときは、あらかじめ、その者に対し自己がその相手方となつて当該売買若しくは取引を成立させるか、又は媒介し、取次ぎし、若しくは代理して当該売買若しくは取引を成立させるかの別を明らかにしなければならない。
- A Financial Instruments Business Operator, etc. shall, when accepting an order from a customer for sales and purchase of Securities or Over-the-Counter Transactions of Derivatives, give the customer a clear notice, in advance, regarding whether said Financial Instruments Business Operator, etc. will take charge of effecting the sales and purchase or the transaction as the other party to the customer, or will perform an intermediary, brokerage or agency service to effect the sales and purchase or the transaction.
- 会社法第九百四十条第一項(第一号に係る部分に限る。)及び第三項の規定は、金融商品取引業者等(会社に限る。)が電子公告(同法第二条第三十四号に規定する電子公告をいう。以下同じ。)により第六項の規定による公告をする場合について準用する。この場合において、必要な技術的読替えは、政令で定める。
- The provisions of Article 940(1) (limited to the part pertaining to item (i)) and Article 940(3) of the Companies Act shall apply mutatis mutandis to cases where a Financial Instruments Business Operator, etc. (limited to companies) gives a public notice under paragraph (6) in the form of an Electronic Public Notice (meaning an Electronic Public Notice prescribed in Article 2(xxxiv) of said Act; the same shall apply hereinafter). In this case, necessary technical replacement of terms shall be specified by a Cabinet Order.
- 前項の規定は、同項第一号に掲げる基準に適合するように負担金の算定方法を定めることとした場合には、これによる負担金の納付によつて会員である金融商品取引業者の経営の健全性が維持されなくなるときにおいて、当該基準に適合しない負担金の算定方法を一時的に定めることを妨げるものと解してはならない。
- The provision of the preceding paragraph shall not be construed as precluding temporarily specifying a method of calculation of a Burden Charge that does not conform to said criteria when the sound management of a Financial Instruments Business Operator which is a member will not be maintained due to the payment of a Burden Charge if the method of calculation of a Burden Charge is to be specified so as to conform to the criterion specified in item (i) of said paragraph.
- 前項の規定により読み替えて適用する第一項の四半期報告書と併せて四半期代替書面を提出した場合には、当該四半期代替書面を当該四半期報告書の一部とみなし、当該四半期代替書面を提出したことを当該四半期代替書面を当該四半期報告書の一部として提出したものとみなして、金融商品取引法令の規定を適用する。
- When Documents Substituting Part of a Quarterly Securities Report are submitted together with a Quarterly Securities Report set forth in paragraph (1) as applied by replacing certain terms pursuant to the preceding paragraph, the provisions of the Financial Instruments and Exchange Act and Related Regulations shall apply by deeming the Documents Substituting Part of a Quarterly Securities Report to form a part of the Quarterly Securities Report and deeming submission of the Documents Substituting Part of a Quarterly Securities Report to be submission of the Documents Substituting Part of a Quarterly Securities Report as a part of the Quarterly Securities Report.
- 前項の場合において、株式会社金融商品取引所の総株主の議決権の百分の五十を超える対象議決権を取得し、又は保有することとなつた地方公共団体等(以下この条において「特定保有団体等」という。)は、特定保有団体等になつた旨その他内閣府令で定める事項を、遅滞なく、内閣総理大臣に届け出なければならない。
- In the case prescribed in the preceding paragraph, the Local Government, etc. which has come to acquire or hold the Subject Voting Rights exceeding 50 percent of the voting rights of all shareholders of a Stock Company-Type Financial Instruments Exchange (hereinafter referred to as a 'Specified Holding Entity, etc.' in this Article) shall notify the Prime Minister without delay of the fact that said entity has become a Specified Holding Entity, etc. and any other matters specified by a Cabinet Office Ordinance.
- 外国金融商品取引所は、第百五十五条の二第一項各号に掲げる事項又は同条第二項第二号に掲げる書類に記載した業務の内容若しくは方法について変更があつた場合、業務規則について重要な変更があつた場合その他内閣府令で定める場合には、その日から二週間以内に、その旨を内閣総理大臣に届け出なければならない。
- When there are any changes in the matters listed in any of the items in Article 155-2(1) or the contents or methods of business set forth in the documents listed in Article 155-2(2)(ii) or any important changes in its Operational Regulations, or in other cases specified by a Cabinet Office Ordinance, a Foreign Financial Instruments Exchange shall notify to that effect to the Prime Minister within two weeks from the day of change.
- 特定株式会社金融商品取引所の自主規制委員会は、会社法第三百六十二条第四項及び第四百十六条第四項の規定にかかわらず、自主規制業務に関する事項の決定並びに次条第二項に規定する自主規制委員の選定及び第百五条の七第一項に規定する自主規制委員の解職について、執行役又は取締役に委任することができない。
- A Self-Regulating Committee of a Specified Stock Company-Type Financial Instruments Exchange shall not delegate to executive officers or directors the decisions on matters regarding Self-Regulation Related Services, and appointment of members of Self-Regulating Committee prescribed in paragraph (2) of the following Article or removal of the members of the Self-Regulating Committee prescribed in Article 105-7(1), notwithstanding the provisions of Article 362(4) and Article 416(4) of the Companies Act.
- 前項の規定により読み替えて適用する第一項の有価証券報告書と併せて報告書代替書面を提出した場合には、当該報告書代替書面を当該有価証券報告書の一部とみなし、当該報告書代替書面を提出したことを当該報告書代替書面を当該有価証券報告書の一部として提出したものとみなして、金融商品取引法令の規定を適用する。
- When Documents Substituting Part of an Annual Securities Report are submitted together with an Annual Securities Report set forth in paragraph (1) as applied by replacing certain terms under the preceding paragraph, the provisions of the Financial Instruments and Exchange Act and Related Regulations shall apply by deeming the Documents Substituting Part of an Annual Securities Report to form a part of the Annual Securities Report and deeming submission of the Documents Substituting Part of an Annual Securities Report to be submission of the Documents Substituting Part of an Annual Securities Report as a part of the Annual Securities Report.
- 内閣総理大臣は、金融商品取引業者が第四十六条の六第二項の規定に違反している場合(自己資本規制比率が、百パーセントを下回るときに限る。)において、公益又は投資者保護のため必要かつ適当であると認めるときは、その必要の限度において、三月以内の期間を定めて業務の全部又は一部の停止を命ずることができる。
- In cases where a Financial Instruments Business Operator violates the provision of Article 46-6(2) (limited to cases where the Capital-to-Risk Ratio is less than 100 percent), if the Prime Minister finds it necessary and appropriate for the public interest or protection of investors, he/she may order the suspension of whole or part of its business by specifying a period not exceeding three months, within the limit necessary.
- 金融商品取引業者等は、有価証券の売買及びデリバティブ取引(政令で定めるものを除く。以下この条において「有価証券等取引」という。)に関する顧客の注文について、政令で定めるところにより、最良の取引の条件で執行するための方針及び方法(以下この条において「最良執行方針等」という。)を定めなければならない。
- A Financial Instruments Business Operator, etc. shall, pursuant to the provisions of a Cabinet Order, establish a policy and method for executing orders from customers for sales and purchase of Securities and Derivative Transactions (except those specified by a Cabinet Order; hereinafter referred to as 'Transactions of Securities, etc.' in this Article) under the best terms and conditions (hereinafter referred to as the 'Best Execution Policy, etc.' in this Article).
- 適格機関投資家等特例業務を行う金融商品取引業者等(第六十三条第一項各号の行為を業として行うことについて第二十九条又は第三十三条の二の登録を受けている者を除く。)は、あらかじめ、内閣府令で定めるところにより、内閣総理大臣にその旨及び第六十三条第二項第五号に規定する業務の種別を届け出なければならない。
- A Financial Instruments Business Operator, etc. who engages in Specially Permitted Businesses for Qualified Institutional Investor, etc. (excluding those who have obtained registration under Article 29 or Article 33-2 for engaging in acts listed in the items of Article 63(1) in the course of trade) shall notify the Prime Minister to that effect and of the Category of Business prescribed in Article 63(2)(v) in advance, pursuant to the provisions of a Cabinet Office Ordinance.
- 第二項第二号又は第十二号の「有価証券関連デリバティブ取引」又は「書面取次ぎ行為」とは、それぞれ金融商品取引法(昭和二十三年法律第二十五号)第二十八条第八項第六号(定義)に規定する有価証券関連デリバティブ取引又は同法第三十三条第二項(金融機関の有価証券関連業の禁止等)に規定する書面取次ぎ行為をいう。
- The terms 'Derivative Securities Transactions' and 'Brokerage with Written Orders' as used in paragraph (2), items (ii) and (xii) respectively mean the Derivative Securities Transactions defined in Article 28, paragraph (8), item (vi) (Definitions) of the Financial Instruments and Exchange Act (Act No. 25 of 1948) and the Brokerage with Written Orders defined in Article 33, paragraph (2) (Prohibition, etc. of Securities Services by Financial Institutions) of that Act.
- 投資の対象とする資産に不動産(建物又は宅地建物取引業法(昭和二十七年法律第百七十六号)第二条第一号に規定する宅地をいう。次号、第六十六条第三項第一号イ及びロ、第百九十九条第一号及び第二号並びに第二百二十四条の二において同じ。)が含まれる投資信託契約 同法第三条第一項の免許を受けている金融商品取引業者
- An Investment Trust Contract where Real Property (meaning buildings or building lots as prescribed in Article 2, item (i) of the Building Lots and Buildings Transaction Business Act (Act No. 176 of 1952); the same shall apply in the following item, Article 66, paragraph (3), item (i), sub-items (a) and (b), Article 199, items (i) and (ii), and Article 224-2) is one of the assets subject to investment: The Financial Instruments Business Operator who has obtained a license set forth in Article 3, paragraph (1) of that Act;
- 会員等は、商品市場における取引の受託について、主務省令で定めるところにより、委託者又は取次者(当該取引が、次項の規定に基づく取次証拠金の預託を取次委託者から受けていない取次者から受託したものである場合にあつては、取次委託者)の承諾を得て、その者をして、当該会員等に委託証拠金を預託させることができる。
- A Member, etc. may, with regard to brokerage of a Transaction on a Commodity Market, have the customer or the Intermediary (the Intermediation Customer in the case the transaction is one which the Member, etc. brokers for an Intermediary who has not obtained the deposit of an intermediation margin based on the provisions of the following paragraph from the Intermediation Customer) deposit a customer margin with the Member, etc. by gaining the consent of such person, pursuant to the provisions of an ordinance of the competent ministry.
- 第一項の規定にかかわらず、同項に規定する金融商品取引業者、銀行その他の内閣府令で定める者は、その株券等保有割合が百分の五を超えることとなつた日から政令で定める期間内に重要提案行為等を行うときは、その五日前までに、内閣府令で定めるところにより、同項の大量保有報告書を内閣総理大臣に提出しなければならない。
- Notwithstanding the provision of paragraph (1), when a Financial Instruments Business Operator, bank or any other person specified by a Cabinet Office Ordinance which is set forth in the same paragraph intends to conduct an Act of Making Important Suggestion, etc. within a period specified by a Cabinet Order from the date when the Holding Ratio of Share Certificates, etc. have exceeded 5%, such person shall submit to the Prime Minister a Report of Possession of Large Volume prescribed in the same paragraph by five days prior to the date of such Act of Making Important Suggestions, etc., pursuant to the provisions of a Cabinet Office Ordinance.
- 金融商品取引業者その他業務による利益を図るため、その行う投資助言業務に関して取引の方針、取引の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした助言を行い、又はその行う投資運用業に関して運用の方針、運用財産の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした運用を行うこと。
- giving advice intended to conduct a transaction with regard to his/her Investment Advisory Business that is unnecessary in light of the policy of the transaction, the amount of the transaction or the market conditions, or making investment intended to conduct a transaction with regard to his/her Investment Management Business that is unnecessary in light of the policy of the investment, the amount of Investment Property or the market conditions, for the purpose of gaining profit from Other Businesses of the Financial Instruments Business Operator; and
- 商品市場における相場の変動により受託契約に基づく取引について顧客に損失が生ずることとなるおそれがあり、かつ、当該損失の額が取引証拠金等の額を上回ることとなるおそれがある旨(音声により放送する方法を除き、当該事項以外の文字又は数字のうち最も大きなものと著しく異ならない大きさで表示されているものに限る。)
- the fact that there is a risk of the customer incurring a loss with regard to the transaction based on said Brokerage Contract due to fluctuation in the quotations on the Commodity Market and the risk that the amount of such loss could exceed the amount of the Clearing Margin, etc. (except when using the method of sound broadcasting, this shall be limited to one where the letters or numbers used for indicating this matter are in a size that is not substantially different from the largest letters or numbers used for indicating other matters);
- 商品市場における相場の変動により受託契約に基づく取引について顧客に損失が生ずることとなるおそれがあり、かつ、当該損失の額が取引証拠金等の額を上回ることとなるおそれがある旨(当該事項の文字又は数字が当該事項以外の事項の文字又は数字のうち最も大きなものと著しく異ならない大きさで表示されているものに限る。)
- the fact that there is a risk of the customer incurring a loss with regard to the transaction based on said Brokerage Contract due to a fluctuation in the quotations on the Commodity Market and the risk that the amount of such loss could exceed the amount of the Clearing Margin, etc. (limited to one where the letters or numbers used for indicating this matter are of a size that is not substantially different from the largest letters or numbers used for indicating other matters);
- 預託等取引業者又は勧誘者は、預託等取引契約の締結又は更新についての勧誘をするときは、預託等取引契約に関する事項及び特定商品又は施設利用権の購入に関する事項であつて、顧客の判断に影響を及ぼすこととなる重要なものとして政令で定めるものにつき、故意に事実を告げず、又は不実のことを告げる行為をしてはならない。
- When a deposit, etc. servicer or a solicitor solicits the conclusion or renewal of a deposit, etc. transaction agreement, he/she shall not intentionally fail to provide a fact, nor shall he/she make a misrepresentation, in relation to the matters specified by Cabinet Order as important matters that may have an impact on the customers' decision concerning the deposit, etc. transaction agreement or concerning the purchase of the specified commodities or facility use rights.
- 金融商品取引業者等は、その行うデリバティブ取引等(有価証券関連デリバティブ取引等に該当するものを除く。次項において同じ。)に関し、第百十九条の規定により顧客から預託を受けた金銭又は有価証券その他の保証金又は有価証券については、内閣府令で定めるところにより、自己の固有財産と区分して管理しなければならない。
- A Financial Instruments Business Operator, etc. shall, with regard to his/her Derivative Transactions, etc. (excluding those that fall within the category of Transactions of Securities-Related Derivatives, etc.; the same shall apply in the following paragraph), manage the money or Securities deposited from a customer under Article 119 or other security deposit and Securities, separately from his/her own property pursuant to the provisions of a Cabinet Office Ordinance.
- 商品取引員が、その取り扱う個人である顧客に関する人種、信条、門地、本籍地、保健医療又は犯罪経歴についての情報その他の特別の非公開情報(その業務上知り得た公表されていない情報をいう。)を、適切な業務の運営の確保その他必要と認められる目的以外の目的のために利用しないことを確保するための措置を講じていない場合
- in the case where a Futures Commission Merchant has not taken sufficient measures to ensure that personal information regarding race, creed, family origin, domicile of origin, healthcare, or criminal background of a customer and other specified Non-Public Information (which means information learned in connection with business and which has not yet been publicly disclosed) is not used for a purpose other than for ensuring the appropriate operation of the business and for other purposes which are determined to be necessary.
- 吸収合併存続会員金融商品取引所が前項において準用する第百一条の四第二項の規定による公告を、官報のほか、次項において準用する会社法第九百三十九条第一項の規定による定款の定めに従い、同項第二号に掲げる公告方法によりするときは、前項において準用する第百一条の四第二項の規定による各別の催告は、することを要しない。
- When a Membership-Type Financial Instruments Exchange Surviving an Absorption-Type Merger gives the public notice prescribed in the Article 101-4(2) as applied mutatis mutandis pursuant to the preceding paragraph not only in the Official Gazette but also by the Methods of Public Notice set forth in Article 939(1)(ii) of the Companies Act, in accordance with the provisions of the articles of incorporation prescribed in Article 939(1) of the Companies Act as applied mutatis mutandis pursuant to the following paragraph, the Membership-Type Financial Instruments Exchange Surviving an Absorption-Type Merger shall not be required to give the individual notice prescribed in Article 101-4(2) as applied mutatis mutandis pursuant to the preceding paragraph.
- 新設合併消滅会員金融商品取引所が前項において準用する第百一条の四第二項の規定による公告を、官報のほか、次項において準用する会社法第九百三十九条第一項の規定による定款の定めに従い、同項第二号に掲げる公告方法によりするときは、前項において準用する第百一条の四第二項の規定による各別の催告は、することを要しない。
- When a Membership-Type Financial Instruments Exchange Extinguished upon a Consolidation-Type Merger gives the public notice prescribed in Article 101-4(2) as applied mutatis mutandis pursuant to the preceding paragraph not only in the Official Gazette but also by the Methods of Public Notice set forth in Article 939(1)(ii) of the Companies Act, in accordance with the provisions of the articles of incorporation prescribed in Article 939(1) of the Companies Act as applied mutatis mutandis pursuant to the following paragraph, the Membership-Type Financial Instruments Exchange Extinguished upon a Consolidation-Type Merger shall not be required to give the individual notice prescribed in Article 101-4(2) as applied mutatis mutandis pursuant to the preceding paragraph.
- 金融商品会員制法人は、主たる事務所を移転したときは、二週間以内に旧所在地においては移転の登記をし、新所在地においては第八十九条の二第二項に掲げる事項を登記し、従たる事務所を移転したときは、旧所在地においては三週間以内に移転の登記をし、新所在地においては四週間以内に同項に掲げる事項を登記しなければならない。
- When a Financial Instruments Membership Corporation has relocated its principal office, it shall, within two weeks, file registration of such relocation in the district of the old location and registration of the matters listed in Article 89-2(2) in the district of the new location. When a Financial Instruments Membership Corporation has relocated its secondary office, it shall file registration of the relocation in the district of the old location within three weeks, and shall file registration of the matters listed in that paragraph in the district of the new location within four weeks.
- 前項の規定にかかわらず、吸収合併存続株式会社金融商品取引所が同項の規定による公告を、官報のほか、会社法第九百三十九条第一項の規定による定款の定めに従い、同項第二号に掲げる公告方法(同法第二条第三十三号に規定する公告方法をいう。)又は電子公告によりするときは、前項の規定による各別の催告は、することを要しない。
- Notwithstanding the provisions of the preceding paragraph, when a Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger gives the public notice prescribed in said paragraph not only in the Official Gazette but also by the Methods of Public Notice set forth in Article 939(1)(ii) of the Companies Act (meaning the Methods of Public Notice under Article 2(xxxiii) of said Act) or by means of Electronic Public Notice, in accordance with the provisions of the articles of incorporation prescribed in Article 939(1) of said Act, the Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger shall not be required to give the individual notice prescribed in the preceding paragraph.
- 金融商品会員制法人は、成立後従たる事務所を設けたときは、主たる事務所の所在地においては二週間以内に従たる事務所を設けたことを登記し、その従たる事務所の所在地においては三週間以内に前条第二項に掲げる事項を登記し、他の従たる事務所の所在地においては同期間内にその従たる事務所を設けたことを登記しなければならない。
- In the event that a secondary office is established after a Financial Instruments Membership Corporation is established, such establishment of a secondary office shall be registered in the district of the location of the principal office within two weeks, the matters listed in the paragraph (2) of the preceding Article shall be registered in the district of the location of such secondary office within three weeks, and the establishment of such secondary office shall be registered in the districts of locations of other secondary offices within the same period.
- 有価証券売買取引等につき、金融商品取引業者等又は第三者から、前項第三号の提供に係る財産上の利益を受け、又は第三者に当該財産上の利益を受けさせる行為(前二号の約束による場合であつて当該約束が自己がし、又は第三者にさせた要求によるとき及び当該財産上の利益の提供が自己がし、又は第三者にさせた要求による場合に限る。)
- an act of receiving property benefit provided under item (iii) of the preceding paragraph by a Financial Instruments Business Operator, etc. or a third party with regard to the Sales and Purchase or Other Transaction of Securities, etc. or having a third party receive such property benefit (limited to cases where such act is conducted based on the promise set forth in either of the preceding two items that is gained as a result of the request made by the customer him/herself or via a third party, or where such provision of property benefit is conducted as a result of the request made by the customer him/herself or via a third party).
- 商品取引員が、他の法人の総株主等(令第七条第一項第三号に規定する総株主等をいう。)の議決権(令第七条第一項第三号に規定する議決権をいう。)の百分の十以上百分の五十以下に相当する議決権を保有し、かつ、その法人の事業活動の主要部分について継続的で緊密な関係を維持するその法人に対する関係(前号に掲げるものを除く。)
- a relationship with another such juridical person (excluding the relationship listed in the preceding item) when a Futures Commission Merchant possesses no fewer than 10 percent and no more than 50 percent of the Voting Rights (which means a voting right prescribed in Article 7, paragraph (1), item (iii) of the Order) of All Shareholders, etc. (which means all shareholders, etc., prescribed in Article 7, paragraph (1), item (iii) of the Order) of another juridical person, and maintains a continuing and close relationship in key portions of such juridical person's business activity.
- 吸収合併存続株式会社金融商品取引所は、次に掲げる事項を官報に公告し、かつ、知れている債権者(会社法第七百二条に規定する社債管理者(第八項において単に「社債管理者」という。)がある場合にあつては、当該社債管理者を含む。)には、各別にこれを催告しなければならない。ただし、第四号の期間は、一月を下ることができない。
- A Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger shall give the public notice of the following matters in the Official Gazette and notify such matters individually to each of the known creditors (including the bond manager under Article 702 of the Companies Act (simply referred to as the 'Bond Manager' in paragraph (8)), in the case that the Bond Manager exists); provided, however, that the period set forth in item (iv) may not be less than one month:
- 金融商品取引業者等以外の者 当該者の主たる営業所又は事務所(外国法人又は外国に住所を有する個人にあっては、国内における主たる営業所又は事務所)の所在地を管轄する財務局長(当該所在地が福岡財務支局の管轄区域内にある場合にあっては福岡財務支局長、当該者が国内に営業所又は事務所を有しない場合にあっては関東財務局長)
- a person other than a Financial Instruments Specialist, etc.: the Director-General of the Local Finance Bureau that has jurisdiction over the location of the principal business office or principal office of said person (or the principal business office or principal office in Japan, in the case of a foreign juridical person or an individual person domiciled in a foreign state) (or the Director-General of the Fukuoka Local Finance Branch Bureau, in cases where said location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau; or the Director-General of the Kanto Finance Bureau, in cases where said person has no business office or any other office in Japan);
- 金融商品取引業者は、第六項の権利の実行その他の理由により、営業保証金の額(契約金額を含む。第十項において同じ。)が第二項の政令で定める額に不足することとなつたときは、内閣府令で定める日から三週間以内にその不足額につき供託(第三項の契約の締結を含む。)を行い、その旨を遅滞なく内閣総理大臣に届け出なければならない。
- When the amount of a deposit for operation (including the Contract Amount; the same shall apply in paragraph (10)) becomes short of the amount specified by a Cabinet Order as prescribed in paragraph (2) due to the execution of the right set forth in paragraph (6) or other reasons, a Financial Instruments Business Operator shall deposit the shortfall (including conclusion of a contract set forth in paragraph(3)) within three weeks from the day specified by a Cabinet Office Ordinance and notify to that effect to the Prime Minister without delay.
- 基金は、第七十九条の四十九第一号から第四号まで及び第六号に掲げる業務を行うため必要があると認めるときは、政令で定める金額の範囲内において、内閣総理大臣及び財務大臣の認可を受けて、金融機関等(銀行、金融商品取引業者その他内閣府令・財務省令で定めるものをいう。)から資金の借入れ(借換えを含む。)をすることができる。
- A Fund may, when the Fund finds it necessary for conducting the business listed in items (i) to (iv) and (vi) of Article 79-49, borrow (including refinancing) funds from a Financial Institution, etc. (meaning a bank, Financial Instruments Business Operator or other person specified by a Cabinet Office Ordinance and Ordinance of the Ministry of Finance) with the authorization of the Prime Minister and the Minister of Finance, within the scope of the amount specified by a Cabinet Order.
- 当該金融商品取引業者の親法人等又は子法人等の利益を図るため、その行う投資助言業務に関して取引の方針、取引の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした助言を行い、又はその行う投資運用業に関して運用の方針、運用財産の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした運用を行うこと。
- giving advice intended to conduct a transaction with regard to his/her Investment Advisory Business that is unnecessary in light of the policy of the transaction, the amount of the transaction or the market conditions, or making investment intended to conduct a transaction with regard to his/her Investment Management Business that is unnecessary in light of the policy of the investment, the amount of Investment Property or the market conditions, for the purpose of securing the interest of the Parent Juridical Person, etc. or Subsidiary Juridical Person, etc. of the Financial Instruments Business Operator, etc.; and
- 前項の規定により読み替えて適用する第五十二条第一項の規定により金融商品取引業の廃止が命じられた場合における第二十九条の四第一項の規定の適用については、当該廃止を命じられた相続人を第五十二条第一項の規定により第二十九条の登録を取り消された者と、当該廃止を命じられた日を同項の規定による同条の登録の取消しの日とみなす。
- For application of the provision of Article 29-4(1) in cases where the abolition of Financial Instruments Business has been ordered under Article 52(1) which is applied by replacing certain terms under the provisions of the preceding paragraph, the heir who received the order of said abolition shall be deemed to be a person who has had his/her registration under Article 29 rescinded under the provisions of Article 52(1), and the day when said abolition was ordered shall be deemed to be the day when registration under Article 29 has rescinded under the provisions of Article 52(1).
- 法第三百四十二条第一項第一号の主務省令で定める方法は、第二種特定施設取引参加者の提示した取引条件が、取引の相手方となる他の第二種特定施設取引参加者の提示した取引条件と、第二種特定商品市場類似施設を介して行われる当事者間の交渉に基づかず一致する場合に、当該第二種特定施設取引参加者の提示した取引条件を用いる方法とする。
- The method specified by an ordinance of the competent ministry set forth in Article 342, paragraph (1), item (i) of the Act shall be a method of adopting trading terms offered by a Type 2 Specified Facility Trading Participant, when the trading terms offered by said Type 2 Specified Facility Trading Participant correspond to trading terms offered by another Type 2 Specified Facility Trading Participant, which is the counterparty of the trade, without relying on negotiation between the parties through a Facility Similar to a Type 2 Specified Commodity Market.
- 法第三百三十二条第一項第一号の主務省令で定める方法は、第一種特定施設取引参加者の提示した取引条件が、取引の相手方となる他の第一種特定施設取引参加者の提示した取引条件と、第一種特定商品市場類似施設を介して行われる当事者間の交渉に基づかず一致する場合に、当該第一種特定施設取引参加者の提示した取引条件を用いる方法とする。
- The method specified by an ordinance of the competent ministry set forth in Article 332, paragraph (1), item (i) of the Act shall be a method of adopting trading terms offered by a Type 1 Specified Facility Trading Participant when the trading terms offered by said Type 1 Specified Facility Trading Participant correspond to trading terms offered by another Type 1 Specified Facility Trading Participant, which is the counterparty of the trade, without relying on negotiation between the parties through a Facility Similar to a Type 1 Specified Commodity Market.
- 債権者が第二項第二号の期間内に異議を述べたときは、組織変更をする会員金融商品取引所は、当該債権者に対し弁済し、若しくは相当の担保を提供し、又は当該債権者に弁済を受けさせることを目的として信託会社等に相当の財産を信託しなければならない。ただし、当該組織変更をしても当該債権者を害するおそれがないときは、この限りでない。
- When a creditor makes an objection within the period set forth in item (ii) of paragraph (2), a Membership-Type Financial Instruments Exchange implementing Entity Conversion shall make payment or provide reasonable security to said creditor, or deposit reasonable property with a trust company, etc., for the purpose of having such creditor receive the payment; provided, however, that this shall not apply to the cases where said Entity Conversion is not likely to harm said creditor.
- 自主規制委員は、特定株式会社金融商品取引所の執行役又は取締役が自主規制業務に関し自主規制委員会の決定に違反する行為をし、又はその行為をするおそれがある場合において、当該行為によつて自主規制業務の適正な運営に著しい支障をきたすおそれがあるときは、当該執行役又は取締役に対し、当該行為をやめることを請求することができる。
- In cases where an executive officer or a director of a Specified Stock Company-Type Financial Instruments Exchange engages in, or is likely to engage in, any act in violation of a decision of a Self-Regulating Committee with regard to Self-Regulation Related Services, and if such acts are likely to cause substantial detriment to appropriate operation of the Self-Regulation Related Services, the member of the Self-Regulating Committee may demand such executive officer or director to cease such act.
- 債権者が第二項第四号の期間内に異議を述べたときは、吸収合併存続株式会社金融商品取引所は、当該債権者に対し、弁済し、若しくは相当の担保を提供し、又は当該債権者に弁済を受けさせることを目的として信託会社等に相当の財産を信託しなければならない。ただし、当該吸収合併をしても当該債権者を害するおそれがないときは、この限りでない。
- When a creditor makes an objection within the period set forth in paragraph (2), item (iv), a Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger shall make payment or provide reasonable security to said creditor, or deposit reasonable property to a Trust Company, etc. for the purpose of making such creditors receive the payment; provided, however, that this shall not apply to cases where said Absorption-Type Merger is not likely to harm said creditor.
- この法律は、容器包装廃棄物の排出の抑制並びにその分別収集及びこれにより得られた分別基準適合物の再商品化を促進するための措置を講ずること等により、一般廃棄物の減量及び再生資源の十分な利用等を通じて、廃棄物の適正な処理及び資源の有効な利用の確保を図り、もって生活環境の保全及び国民経済の健全な発展に寄与することを目的とする。
- The purpose of this Act is, by taking measures to promote reduction of waste containers and packaging discharged and the sorted collection thereof as well as the recycling of waste containers and packaging which are obtained through sorted collection, etc., that conform to the sorting standards, to ensure proper management of waste and effective use of resources through reduction of municipal solid waste and adequate use of recyclable resources, thereby contributing to the preservation of the living environment and the sound development of the national economy.
- 取引所金融商品市場における有価証券の売買等であつて競売買の方法以外の方法による有価証券の売買等として内閣総理大臣が定めるもの(以下この項において「特定売買等」という。)による買付け等による株券等の買付け等の後におけるその者の所有に係る株券等の株券等所有割合が三分の一を超える場合における特定売買等による当該株券等の買付け等
- Sales and purchase or the like of Securities conducted at Financial Instruments Exchange Markets through sales and purchase, etc. of Share Certificates, etc. using a method that is designated by the Prime Minister as a method other than the method of auction (such sales and purchase, etc. of Share Certificates, etc. are hereinafter referred to as 'Specified Sales and Purchase, etc.' in this paragraph) after which the Share Certificates, etc. Holding Rate of Share Certificates, etc. in possession by the person who conducted the Purchase, etc. exceeds one third;
- 組織変更時発行株式の引受人(第百二十九条第三号の財産(以下この節において「現物出資財産」という。)を給付する者を除く。)は、同条第四号の期日に、会員商品取引所が定めた銀行等(会社法第三十四条第二項に規定する銀行等をいう。)の払込みの取扱いの場所において、それぞれの組織変更時発行株式の払込金額の全額を払い込まなければならない。
- A subscriber to the Shares Issued upon Entity Conversion (excluding a person who delivers the property set forth in Article 129, item (iii) [hereinafter referred to as the 'Contributed Assets']) shall pay the full amount of the Amount to be Paid for each Share Issued upon Entity Conversion at the place for handling the payment at Banks, etc. (which means the banks, etc. prescribed in Article 34, paragraph (2) of the Companies Act) specified by the Member Commodity Exchange by the date set forth in item (iv) of the same Article.
- 内閣総理大臣は、 第一項の規定により登録事務を行う協会に所属する金融商品取引業者等の外務員が第六十四条の五第一項第一号から第三号までのいずれかに該当するにもかかわ らず、当該協会が同項に規定する措置をしない場合において、公益又は投資者保護のため必要かつ適当であると認めるときは、同項に規定する措置をすることを命ずることができる。
- When a Sales Representative of a Financial Instruments Business Operator, etc. belonging to an Association that conducts Registration Work under the provisions of paragraph (1) falls under any of Article 64-5(1)(i) to (iii) but said Association does not take any measures prescribed in said paragraph, the Prime Minister may order them to take measures prescribed in said paragraph when he/she finds it necessary and appropriate for the public interest or protection of investors.
- 公益協会は、前条の規定による報告に基づき、上場株券等の取引所金融商品市場外での売買(会員が自己の計算において行うもの並びに会員が媒介、取次ぎ及び代理を行うものに限る。次条において同じ。)について、内閣府令で定めるところにより、銘柄別に毎日の売買高、最高、最低及び最終の価格その他の事項をその会員に通知し、公表しなければならない。
- Based on reports received under the provision of the preceding Article, a Public Interest-Type Association shall notify to its member, and also make public, the trading volume, highest price, lowest price, closing price and other matters concerning sales and purchase of Listed Share Certificates, etc. conducted outside of Financial Instruments Exchange Markets (limited to those conducted by its member on their own account, or those for which its member provides intermediary, brokerage or agency service; the same shall apply in the following Article) for each day and for each issue of the Listed Share Certificates, etc., pursuant to the provisions of a Cabinet Office Ordinance.
- 金融商品取引業者は、内閣府令で定めるところにより、事業年度ごとに、前条の事業報告書に記載されている事項のうち投資者保護のため必要と認められるものとして内閣府令で定めるものを記載した説明書類を作成し、毎事業年度経過後政令で定める期間を経過した日から一年間、これをすべての営業所又は事務所に備え置き、公衆の縦覧に供しなければならない。
- A Financial Instruments Business Operator shall, pursuant to the provisions of a Cabinet Office Ordinance, prepare explanatory documents for each business year containing the matters specified by a Cabinet Office Ordinance as the matters necessary for the protection of investors from among the matters contained in the business report set forth in the preceding Article, and keep them at all of its business offices or offices for public inspection, for one year from the day on which the period specified by a Cabinet Order has elapsed from the end of each business year.
- 組織変更時発行株式の引受人(第百一条の九第三号の財産(以下この目において「現物出資財産」という。)を給付する者を除く。)は、同条第四号の期日に、会員金融商品取引所が定めた銀行等(会社法第三十四条第二項に規定する銀行等をいう。)の払込みの取扱いの場所において、それぞれの組織変更時発行株式の払込金額の全額を払い込まなければならない。
- A subscriber for the Shares Issued upon Entity Conversion (excluding a person who delivers the property set forth in Article 101-9(iii) (hereinafter referred to as the 'Property Contributed in Kind' in this Division)) shall, on the date set forth in item (iv) of that Article, pay the full amount to be paid for the respective Shares Issued upon Entity Conversion for which the subscribers respectively subscribed, at the place for handling of the payment such as at Banks (which means the Banks, Etc., prescribed in Article 34(2) of the Companies Act) specified by the Membership-Type Financial Instruments Exchange.
- 第八項及び第九項の規定により報告書提出外国会社が外国会社報告書及びその補足書類を提出した場合には、当該外国会社報告書及びその補足書類を有価証券報告書とみなし、これらの提出を有価証券報告書等を提出したものとみなして、この法律又はこの法律に基づく命令(以下この章から第二章の四までにおいて「金融商品取引法令」という。)の規定を適用する。
- The provisions of this Act and orders given thereunder (hereinafter referred to as the 'Financial Instruments and Exchange Act and Related Regulations' in this Chapter to Chapter II-4) shall apply to cases where a Reporting Foreign Company submits a Foreign Company Report and Supplementary Documents thereof under paragraphs (8) and (9), by deeming the Foreign Company Report and Supplementary Documents to be Annual Securities Reports, etc. and deeming submission of the former to be submission of the latter.
- 会社法第九百四十条第一項(第一号に係る部分に限る。)及び第三項、第九百四十一条、第九百四十六条、第九百四十七条、第九百五十一条第二項、第九百五十三条並びに第九百五十五条の規定は、金融商品取引業者等(外国会社に限る。)が電子公告により第六項の規定による公告をする場合について準用する。この場合において、必要な技術的読替えは、政令で定める。
- The provisions of Article 940(1) (limited to the part pertaining to item (i)) and Article 940(3), Article 941, Article 946, Article 947, Article 951(2), Article 953, and Article 955 of the Companies Act shall apply mutatis mutandis to cases where a Financial Instruments Business Operator, etc. (limited to foreign companies) gives a public notice under paragraph (6) in the form of an Electronic Public Notice. In this case, necessary technical replacement of terms shall be specified by a Cabinet Order.
- 外国の法令に準拠して設立された法人で外国において投資運用業(第二条第八項第十二号に掲げる行為を投資一任契約に基づき行う業務に限る。以下この項において同じ。)を行う者(第二十九条の登録を受けた者を除く。)は、同条の規定にかかわらず、金融商品取引業者のうち投資運用業を行う者その他政令で定める者のみを相手方として投資運用業を行うことができる。
- A juridical person established under the laws and regulations of a foreign state which is engaged in the Investment Management Business in a foreign state (limited to the business to perform the act listed in Article 2(8) (xii) based on the Discretionary Investment Contract; hereinafter the same shall apply in this paragraph) (excluding persons registered under Article 29), notwithstanding the provision of said Article, shall perform the Investment Management Business only for the Financial Instruments Business Operators engaged in the Investment Management Business or for other persons specified by a Cabinet Order.
- 当該商品取引員が、外国の法人その他の団体の総株主、総社員、総会員、総組合員又は総出資者の議決権(令第七条第一項第三号に規定する議決権をいう。以下この条(ロを除く。)において同じ。)の百分の五十以上の議決権に係る株式又は出資を自己又は他人の名義をもって所有している場合における当該法人その他の団体(以下この条において「外国子会社」という。)
- in cases where said Futures Commission Merchant holds shares or contributions pertaining to 50 percent or more of the Voting Rights (which means Voting Rights prescribed in Article 7, paragraph (1), item (iii) of the Order; hereinafter the same shall apply [except for (b)] in this Article) for all shareholders, all company members, all organization members, all partners, or all investors of a foreign juridical person or any other organization, under its own name or that of another person, said juridical person or other organization (hereinafter referred to as a 'Foreign Subsidiary' in this Article);
- 地方公共団体その他の政令で定める者(以下この条、第百六条の十四及び第百六条の十七において「地方公共団体等」という。)は、第百三条の二第一項の規定にかかわらず、内閣府令で定めるところにより、内閣総理大臣の認可を受けて、株式会社金融商品取引所の総株主の議決権の保有基準割合以上百分の五十以下の数の対象議決権を取得し、又は保有することができる。
- Notwithstanding the provisions of Article 103-2(1), the local government or any other person specified by a Cabinet Order (hereinafter referred to as the 'Local Government, etc.' in this Article, Article 106-14 and Article 106-17) may, with an authorization of the Prime Minister, acquire or hold the Subject Voting Rights not less than the Holding Ratio Threshold but not more than 50 percent of the Holding Ratio Threshold of the voting rights of all shareholders of a Stock Company-Type Financial Instruments Exchange, pursuant to the provisions of a Cabinet Office Ordinance.
- 前項各号の「特例子会社対象業務」とは、子会社対象会社(前条第一項第十一号に掲げる会社を除く。)が営むことができる業務(従属業務を除く。以下この項において「特定業務」という。)以外の業務であつて、第十条第二項第十四号に規定する金融等デリバティブ取引に係る同号に規定する商品の売買その他の特定業務に準ずるものとして内閣府令で定めるものをいう。
- The term 'Subject Business of a Special Subsidiary Company' as used in the items of the preceding paragraph means business activities other than those in which the Companies Eligible to Be Subsidiary Companies (excluding companies specified in paragraph (1), item (xi) of the preceding Article) may engage (excluding Dependent Business; hereinafter referred to as the 'Specified Business Activities' in this paragraph), which is purchase and sale of products prescribed in Article 10, paragraph (2), item (xiv) pertaining to the Financial Derivative Transactions defined in that item and any other business specified by Cabinet Office Ordinance as that equivalent to Specified Business.
- 有価証券の売買その他の取引及びデリバティブ取引等を公正かつ円滑にし、並びに金融商品取引業の健全な発展及び投資者の保護に資することを目的として、次の各号に掲げる業務を行おうとする法人(法人でない団体で代表者又は管理人の定めのあるものを含み、認可協会及び公益協会を除く。次条第三号ロにおいて同じ。)は、内閣総理大臣の認定を受けることができる。
- A juridical person (including an organization without judicial personality for which the representative person or administrator has been designated, and excluding Authorized Association and Public Interest-type Association; hereinafter the same shall apply in item (iii), sub-item (b) of the following Article) which intends to engage in the businesses listed in each of the following items, with the purpose of ensuring fair and smooth sales and purchase or other transactions of Securities and Derivative Transactions, etc. and of contributing to the sound development of Financial Instruments Businesses and protection of investors may obtain a certification from the Prime Minister:
- 第二項の場合において、特定保有者は、特定保有者となつた日から三月以内に、金融商品取引所持株会社の保有基準割合未満の数の対象議決権の保有者となるために必要な措置をとらなければならない。ただし、当該特定保有者が地方公共団体等である場合であつて、当該地方公共団体等が第百六条の十七第一項の規定により内閣総理大臣の認可を受けたときは、この限りでない。
- In the case prescribed in paragraph (2), a Specified Holder shall take necessary measures to become a holder of the Subject Voting Rights of a Financial Instruments Exchange Holding Company less than the Holding Ratio Threshold, within three months from the day when said person has become a Specified Holder; provided, however, that this shall not apply to the cases where said Specified Holder is the Local Government, etc. and said Local Government, etc. has obtained an authorization of the Prime Minister under the provisions of Article 106-17(1).
- 会員商品取引所は、決算関係書類等の写しを、通常会員総会の会日の二週間前の日から三年間、その従たる事務所に備え置かなければならない。ただし、決算関係書類等が電磁的記録で作成されている場合であつて、従たる事務所における次項第三号及び第四号に掲げる請求に応じることを可能とするための措置として主務省令で定めるものをとつているときは、この限りでない。
- A Member Commodity Exchange shall keep a copy of the Settlement related Documents, etc. at its secondary offices for three years from the day two weeks prior to the day of an ordinary general meeting of members; provided, however, that this shall not apply when the Settlement related Documents, etc. have been created as an Electromagnetic Record and a measure specified by an ordinance of the competent ministry as that for enabling a secondary office to respond to the requests listed in items (iii) and (iv) of the following paragraph has been taken.
- 基金は、金融機関等の更生手続の特例等に関する法律の規定による行為を行うほか、一般顧客が通知金融商品取引業者に対して有する債権(当該一般顧客の顧客資産に係るものに限る。)の実現を保全するために必要があると認めるときは、その必要の限度において、当該一般顧客のため、当該債権の実現を保全するために必要な一切の裁判上又は裁判外の行為を行う権限を有する。
- In addition to conducting acts under the provision of the Act on Special Measures Concerning Reorganization Proceedings of Financial Institutions, etc., a Fund shall, when the Fund finds it necessary for preserving realization of claims which a General Customer holds against a Notifying Financial Instruments Business Operator (limited to those pertaining to Customer Assets of said General Customer), have the authority to conduct any and all judicial or extra-judicial acts that are necessary to preserve realization of said claims on behalf of said General Customer within the limit necessary.
- 金融商品取引業者等は、その行う投資運用業(第二条第八項第十五号に掲げる行為を行う業務に限る。)に関して、第一項の運用報告書を作成したときは、遅滞なく、これを内閣総理大臣に届け出なければならない。ただし、一の運用財産の権利者の数が政令で定める数以下である場合その他投資者の保護に支障を生ずることがない場合として内閣府令で定める場合は、この限りでない。
- A Financial Instruments Business Operator, etc. shall, when having prepared an investment report set forth in paragraph (1) with regard to his/her Investment Management Business (limited to the business of conducting the act specified in Article 2(8)(xv)), notify the Prime Minister of this without delay; provided, however, that this shall not apply to cases where the number of Right Holders entitled to a set of Investment Property is below the number specified by a Cabinet Order or other cases where protection of investors will not be hindered as specified by a Cabinet Office Ordinance.
- 別表第五に定める帳簿の内容が、電磁的方法により記録され、当該記録が必要に応じ電子計算機その他の機器を用いて直ちに表示されることができるようにして保存されるときは、当該記録の保存をもって前条第三項に規定する帳簿の保存に代えることができる。この場合において、商品取引員は、当該記録が滅失し、又はき損することを防止するために必要な措置を講じなければならない。
- When the content of the books prescribed in Appended Table 5 is recorded through an Electromagnetic Means and is retained to display said record for immediate inspection by a computer or other appliance as necessary, the preservation of said record may substitute for the retention of the books as prescribed in the preceding Article, paragraph (3). In this case, a Futures Commission Merchant shall take the necessary measures for preventing the loss of or damage to said record.
- この法律において「有価証券の売出し」とは、既に発行された有価証券の売付けの申込み又はその買付けの申込みの勧誘(第二号において「売付け勧誘等」という。)のうち、次の各号に掲げる有価証券の区分に応じ、当該各号に定める場合に該当するもの(取引所金融商品市場における有価証券の売買及びこれに準ずる取引その他の政令で定める有価証券の取引に係るものを除く。)をいう。
- The term 'Secondary Distribution of Securities' as used in this Act means, among solicitations of an application to sell or purchase already-issued Securities (referred to as 'Solicitation for Selling, etc.' in item (ii)), those falling under the categories specified for each kind of Securities in the following items (excluding those made relating to sales and purchase of Securities in a Financial Instruments Exchange Market and a transaction equivalent thereto and other transactions of Securities specified by a Cabinet Order):
- 第二項の場合において、特定保有者は、特定保有者となつた日から三月以内に、株式会社金融商品取引所の保有基準割合未満の数の対象議決権の保有者となるために必要な措置をとらなければならない。ただし、当該特定保有者が第百六条の三第一項に規定する地方公共団体等である場合であつて、当該地方公共団体等が同項の規定により内閣総理大臣の認可を受けたときは、この限りでない。
- In the case prescribed in paragraph (2), a Specified Holder shall take necessary measures to become a holder of the Subject Voting Rights of a Stock Company-Type Financial Instruments Exchange less than the Holding Ratio Threshold within three months from the day when said person has become a Specified Holder; provided, however, that this shall not apply to the cases where said Specified Holder is the Local Government, etc. prescribed in Article 106-3(1) and said Local Government, etc. has obtained an authorization of the Prime Minister under the provisions of that paragraph.
- 第一項の規定により応募株主等による契約の解除があつた場合においては、公開買付者は、当該契約の解除に伴う損害賠償又は違約金の支払を請求することができないものとし、応募株券等(応募株主等が公開買付けに応じて売付け等をした株券等をいう。以下この節において同じ。)を金融商品取引業者又は銀行等に管理させているときは、その返還に要する費用は、公開買付者の負担とする。
- Even where an Accepting Shareholder, etc. cancels the contract under paragraph (1), the Tender Offeror may not request the Accepting Shareholder, etc. to pay damages or penalty and, if the Tender Offeror has a Financial Instruments Business Operator or a Bank, etc. manage the Share Certificates, etc. Offered to Sell (meaning Share Certificates, etc. which the Accepting Shareholder, etc. make Sales, etc. in response to the Tender Offer; hereinafter the same shall apply in this Section), shall bear the cost required for return of the Share Certificates, etc. Offered to Sell.
- 機構等が信託受益権の販売を行う場合においては、当該機構等を金融商品取引業者とみなして、第三十四条から第三十四条の五まで、第三十六条、第三十七条(第一項第二号を除く。)、第三十七条の三(第一項第二号を除く。)、第三十七条の四、第三十七条の六、第三十八条、第三十九条、第四十条並びに第四十五条第一号及び第二号の規定(これらの規定に係る罰則を含む。)を適用する。
- When an Agency, etc. conducts the Sales of Trust Beneficial Rights, said Agency, etc. shall be deemed to be a Financial Instruments Business Operator, and the provisions of Article 34 to Article 34-5 inclusive, Article 36, Article 37 (excluding paragraph (1), item (ii)), Article 37-3 (excluding paragraph (1), item (ii)), Article 37-4, Article 37-6, Article 38, Article 39, Article 40, and Article 45 (i) and (ii) (including penal provisions pertaining to those provisions) shall be applied.
- 旧郵便貯金(郵政民営化法等の施行に伴う関係法律の整備等に関する法律(平成十七年法律百二号)附則第五条第一項の規定によりなおその効力を有するものとされる同法第二条の規定による廃止前の郵便貯金法(昭和二十二年法律第百四十四号)第七条第一項各号に規定する郵便貯金をいう。)は、この省令による改正後の商品取引所法施行規則の規定の適用については、銀行への預け金とみなす。
- Old Postal Savings (which means the postal savings prescribed in the items of Article 7, paragraph (1) of the Postal Savings Act [Act No. 144 of 1947] prior to being repealed by the provisions of Article 2 of the Act on Preparation, etc. of Relevant Acts Accompanying Enforcement of the Postal Service Privatization Act, etc. [Act No. 102 of 2005], which are to remain effective pursuant to the provisions of Article 5, paragraph (1) of the Supplementary Provisions of the same Act) shall be deemed to be money deposited with a bank, with regard to application of the Ordinance for Enforcement of the Commodity Exchange Act as revised by this ordinance.
- 第二項の規定にかかわらず、第一項に規定する金融商品取引業者、銀行その他の内閣府令で定める者は、同項の大量保有報告書又は第二項の変更報告書を提出した後に株券等保有割合が百分の一以上増加した場合であつて、当該増加した日から政令で定める期間内に重要提案行為等を行うときは、その五日前までに、内閣府令で定めるところにより、同項の変更報告書を内閣総理大臣に提出しなければならない。
- Notwithstanding the provision of paragraph (2), when the Holding Ratio of Share Certificates, etc. of a Financial Instruments Business Operator, bank or any other person specified by a Cabinet Office Ordinance which is set forth in paragraph (1) has increased by 1% or more after the submission of the Report of Possession of Large Volume under the same paragraph or the Change Report under paragraph (2), and when any of said persons intends to conduct an Act of Making Important Suggestions, etc. within the period specified by a Cabinet Order from the date of said increase, such person shall submit to the Prime Minister a Change Report under the same paragraph by five days prior to the date of such Act of Making Important Suggestions, etc., pursuant to the provisions of a Cabinet Office Ordinance.
- 認証紛争解決事業者(裁判外紛争解決手続の利用の促進に関する法律(平成十六年法律第百五十一号)第二条第四号に規定する認証紛争解決事業者をいい、商品取引受託業務に係る紛争が裁判外紛争解決手続の利用の促進に関する法律第六条第一号に規定する紛争の範囲に含まれるものに限る。)が行う認証紛争解決手続(同法第二条第三号に規定する認証紛争解決手続をいう。)による和解が成立している場合
- cases where a settlement has been reached as a result of a Certified Dispute Resolution Procedure (which means the Certified Dispute Resolution Procedure prescribed in Article 2, item (iii) of the Act on Promotion of Use of Alternative Dispute Resolution [Act No. 151 of 2004]) carried out by a certified dispute resolution business operator (which means the certified dispute resolution business operator prescribed in Article 2, item (iv) of the same Act where the dispute pertaining to Commodity Transactions Brokerage Business falls within the scope of disputes prescribed in Article 6, item (i) of the same Act);
- 前項本文に規定する場合において、内閣府令で定める数の株式(前条第一項の株主総会において議決権を行使することができるものに限る。)を有する株主が次条第一項の規定による通知又は同条第二項の公告の日から二週間以内に吸収合併に反対する旨を吸収合併存続株式会社金融商品取引所に対し通知したときは、効力発生日の前日までに、株主総会の決議によつて、吸収合併契約の承認を受けなければならない。
- In the case prescribed in the main clause of the preceding paragraph, if a shareholder holding the number of shares specified by a Cabinet Office Ordinance (limited to those of which voting rights may be exercised at the shareholders meeting set forth in paragraph (1) of the preceding Article) notifies the Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger of his/her dissent from the Absorption-Type Merger, within two weeks from the day of the notice set forth in paragraph (1) of the following Article or from the day of the public notice set forth in paragraph (2) of said Article, the Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger shall obtain the approval for the Absorption-Type Merger agreement by a resolution of a shareholders meeting, by the day immediately preceding the Effective Date.
- 金融商品取引業者は、資本金、準備金その他の内閣府令で定めるものの額の合計額から固定資産その他の内閣府令で定めるものの額の合計額を控除した額の、保有する有価証券の価格の変動その他の理由により発生し得る危険に対応する額として内閣府令で定めるものの合計額に対する比率(以下「自己資本規制比率」という。)を算出し、毎月末及び内閣府令で定める場合に、内閣総理大臣に届け出なければならない。
- A Financial Instruments Business Operator shall calculate the ratio of the total sum of the stated capital, reserve fund, and other amount specified by a Cabinet Office Ordinance after deduction of the total sum of the fixed assets and any others specified by a Cabinet Office Ordinance, to the total sum of the amount specified by a Cabinet Office Ordinance as the amount for covering possible risks which may accrue due to the fluctuation of prices of the Securities held or other reasons (hereinafter referred to as the 'Capital-to-Risk Ratio'), and notify it to the Prime Minister at the end of each month and in the cases specified by a Cabinet Office Ordinance.
- 法第二条第二十二項第二号に掲げる取引 現実数値が約定数値を上回った場合に金銭を支払う立場の当事者となるか又は当該金銭を受領する立場の当事者となるかの別、金融指標又は金融商品の銘柄(授受することとなる金銭の額の計算年月日、授受することとなる金銭の額の計算方法、当該金銭を授受することとなる年月日その他の当該取引の内容を適確に示すための事項を含む。)、数又は金額、約定数値及び受渡日
- transactions listed in Article 2, paragraph (22), item (ii) of the Act: the party to pay and the party to receive, and the money when the Actual Figure exceeds the Agreed-Upon Figure, the issues (including the date of the calculation of the amount of money to be delivered or received, the method of the calculation of the amount of the money to be delivered or received, the date of delivery or receipt of said money, or other matters to properly indicate the contents of said transaction), the volumes or amounts, the Agreed-Upon Figure and the date of delivery for the Financial Indicator or the Financial Instruments;
- 金融商品取引業者等は、期限日後最初に対象契約の申込みを申出者から受けた場合であつて、承諾日以後において対象契約の属する契約の種類に係る第一項の規定による申出(次項において「更新申出」という。)を当該申出者から受けていない場合には、当該申込みに係る対象契約を締結するまでに、当該申出者に対し、対象契約に関して当該申出者を特定投資家として取り扱うこととなる旨を告知しなければならない。
- Where a Financial Instruments Business Operator, etc. has received an application for a Subject Contract from an Applicant for the first time after the Expiration Date and has not received a request under paragraph (1) for the Kind of Contract to which the Subject Contract belongs (referred to as the 'Request for Renewal' in the following paragraph) on or after the Date of Acceptance, he/she shall notify the Applicant that the Applicant will be treated as a Professional Investor with regard to the Subject Contract by the time when he/she concludes the Subject Contract pertaining to said application.
- 金融商品取引業者等は、前項の規定による申出を承諾する場合には、あらかじめ、次に掲げる事項を記載した書面により、当該申出をした法人(以下この条において「申出者」という。)の同意を得なければならない。この場合において、第二号に規定する期限日は、第一号に規定する承諾日から起算して一年を経過する日(内閣府令で定める場合にあつては、当該経過する日前で内閣府令で定める日)としなければならない。
- A Financial Instruments Business Operator, etc. shall, when accepting the request submitted under the preceding paragraph, obtain written consent of the juridical person who submitted the request (hereinafter referred to as an 'Applicant' in this Article) in advance, using a document containing the following matters. In this case, the Expiration Date prescribed in item (ii) shall be the day when one year has passed since the Date of Acceptance prescribed in item (i) (or the day specified by a Cabinet Office Ordinance which shall not be on or later the day when one year has passed since the Date of Acceptance):
- 前条第一項の帳簿又は同条第二項に掲げる書面の内容が、電磁的方法により記録され、当該記録が必要に応じ電子計算機その他の機器を用いて直ちに表示されることができるようにして保存されるときは、当該記録の保存をもって同条第三項に規定する帳簿の保存に代えることができる。この場合において、店頭商品先物取引業者は、当該記録が滅失し、又はき損することを防止するために必要な措置を講じなければならない。
- When the content of any of the books prescribed in paragraph (1) of the preceding Article or documents set forth in paragraph (2) of the same Article are recorded through an Electromagnetic Means and preserved to display said record for immediate inspection by a computer or other appliance as necessary, the preservation of said record may substitute for the retention of the books prescribed in the same Article, paragraph (3). In this case, an Over-the-Counter Futures Commodity Transaction Dealer shall take the necessary measures for preventing the loss of and damage to said record.
- 外国の法令に準拠して設立された法人で外国において投資運用業(第二条第八項第十五号に掲げる行為を行う業務に限る。)を行う者(第二十九条の登録を受けた者を除く。)は、同条の規定にかかわらず、金融商品取引業者のうち投資運用業を行う者その他政令で定める者のみを相手方として投資運用業(同号に掲げる行為を行う業務に限る。)を行うことができる。この場合において、第六十三条第二項の規定は、適用しない。
- A juridical person established under the laws and regulations of a foreign state which is engaged in the Investment Management Business in Japan (limited to the business to perform the act listed in Article 2(8)(xv)) (excluding persons registered under Article 29) may, notwithstanding the provision of the same Article, perform the Investment Management Business (limited to the business specified in Article 2(8)(xv)) only for a Financial Instruments Business Operator engaged in the Investment Management Business or for other persons specified by a Cabinet Order. In this case, the provision of Article 63(2) shall not apply.
- 法第二条第二十二項第三号又は第四号に掲げる取引 オプションを付与する立場の当事者となるか又は取得する立場の当事者となるかの別、オプションの行使により成立する取引の内容(法第二条第二十二項第三号イに掲げる取引にあっては、売買の別、金融商品の銘柄、数又は金額、価格及び受渡日をいい、同号ロに掲げる取引にあっては、前二号、次号又は第十一号に規定する事項をいう。)、オプションの対価の額及び受渡日
- transactions listed in Article 2, paragraph (22), item (iii) or (iv) of the Act: the party to grant and the party to acquire the Options, the contents of the transaction to be effected by the exercise of the Options (in the case of a transaction listed in Article 2, paragraph (22) item (iii), sub-item (a) of the Act, meaning information as to whether the type of transaction is a sale or purchase, the issues of the Financial Instruments, the volumes or amounts, prices and the date of delivery; and in the case of a transaction listed in sub-item (b) of that item, meaning the matters prescribed in the preceding two items, the following item or item (xi)), the amount of the consideration for the Options and the date of delivery;
- 法第二条第二十一項第二号に掲げる取引及び外国市場デリバティブ取引であって同号に掲げる取引と類似の取引 現実数値(同号に規定する現実数値をいう。第八号において同じ。)が約定数値(同項第二号に規定する約定数値をいう。第八号において同じ。)を上回った場合に金銭を支払う立場の当事者となるか又は当該金銭を受領する立場の当事者となるかの別、金融指標又は金融商品の銘柄、数又は金額、約定数値及び受渡日
- transactions listed in Article 2, paragraph (21), item (ii) of the Act, and Exchange-Traded Derivatives Transactions in a Foreign Market similar to the transactions listed in that item: the party to pay and the party to receive the money when the Actual Figure (meaning the Actual Figure prescribed in that item; the same shall apply in item (viii)) exceeds the Agreed-Upon Figure (meaning the Agreed-Upon Figure as prescribed in item (ii) of that paragraph; the same shall apply in item (viii)), and the volumes or amounts, the agreed-upon figure, and the date of delivery for the Financial Indicator or the Financial Instruments;
- この法律において「金融商品取引業」とは、次に掲げる行為(その内容等を勘案し、投資者の保護のため支障を生ずることがないと認められるものとして政令で定めるもの及び銀行、優先出資法第二条第一項に規定する協同組織金融機関(以下「協同組織金融機関」という。)その他政令で定める金融機関が行う第十二号、第十四号、第十五号又は第二十八条第八項各号に掲げるものを除く。)のいずれかを業として行うことをいう。
- The term 'Financial Instruments Business' as used in this Act means the following acts (excluding acts specified by a Cabinet Order as those for which it is found not to hinder the protection of investors when taking into account its content and other related factors, and acts listed in item (xii), (xiv) or (xv) in this paragraph or the items of Article 28(8) conducted by a bank, a Cooperative Structured Financial Institution defined by Article 2(1) of the Act on Preferred Equity Investment (hereinafter referred to as the 'Cooperative Structured Financial Institution') or other financial institution specified by a Cabinet Order) conducted in the course of trade:
- 金融商品取引業者等は、前項の規定により承諾する場合には、第一項の規定による申出をした特定投資家(以下この条において「申出者」という。)に対し、あらかじめ、次に掲げる事項を記載した書面を交付しなければならない。この場合において、第二号に規定する期限日は、第一号に規定する承諾日から起算して一年を経過する日(内閣府令で定める場合にあつては、当該経過する日前で内閣府令で定める日)としなければならない。
- When a Financial Instruments Business Operator, etc. accepts a request under the provisions of the preceding paragraph, he/she shall deliver a document containing the following matters in advance to the Professional Investor who submitted the request under paragraph (1) (hereinafter referred to an 'Applicant' in this Article). In this case, the Expiration Date provided by item (ii) shall be the day when one year has passed since the Date of Acceptance provided by item (i) (or the day specified by a Cabinet Office Ordinance which shall not be on or later than the day when one year has passed since the Date of Acceptance):
- 第六十四条の七第一項若しくは第二項の規定により登録事務を行う協会の第六十四条第三項の規定による登録の申請に係る不作為若しくは第六十四条の二第一項の規定による登録の拒否又は第六十四条の七第一項の規定により登録事務を行う協会の第六十四条の五第一項の規定による処分について不服がある金融商品取引業者等は、内閣総理大臣に対し、行政不服審査法(昭和三十七年法律第百六十号)による審査請求をすることができる。
- When a Financial Instruments Business Operator, etc. has any complaints about inaction on the application for registration filed under Article 64(3) or rejection of registration under Article 64-2(1) by an Association that conducts Registration Work under Article 64-7(1) or (2), or disposition given under Article 64-5(1) by an Association that conducts Registration Work under Article 64-7(1), he/she may file an application for examination to the Prime Minister under the Administrative Appeal Act (Act No. 160 of 1962).
- 前条第二項から第七項までの規定は、金融商品取引業者等が第一項の規定による申出を承諾する場合について準用する。この場合において、同条第二項中「当該申出をした法人」とあるのは「次条第二項に規定する申出者」と、同条第四項中「第二項の規定による承諾」とあるのは「次条第二項の規定による書面の交付及び確認並びに第二項の規定による承諾」と、同条第七項中「第一項」とあるのは「次条第一項」と読み替えるものとする。
- The provisions of paragraphs (2) to (7) of the preceding Article shall apply mutatis mutandis to cases where a Financial Instruments Business Operator, etc. accepts a request under paragraph (1). In this case, the term 'the juridical person who submitted the request' in Article 34-3(2) shall be deemed to be replaced with 'the Applicant under paragraph (2) of the following Article,'; the term 'the acceptance under paragraph (2)' in Article 34-3(4) shall be deemed to be replaced with 'the delivery of a document and the confirmation under paragraph (2) of the following Article and the acceptance under paragraph (2),'; and the term 'paragraph (1)' in Article 34-3(7) shall be deemed to be replaced with 'paragraph (1) of the following Article.'
- 当該匿名組合契約の相手方になろうとする者が他の匿名組合契約の営業者であって、かつ、金融商品取引業者等(投資運用業を行う者に限る。)、法第六十三条第二項若しくは第六十三条の三第一項の規定に基づく届出を行った者(法第六十三条第一項第二号に掲げる行為を業として行う者に限る。)又は証券取引法等の一部を改正する法律(平成十八年法律第六十五号)附則第四十八条第一項に規定する特例投資運用業務を行う者であること。
- that a person who wishes to be a counterparty to said Silent Partnership Contract is a proprietor under any other Silent Partnership Contract, and, at the same time, falls under the category of a Financial Instruments Specialist, etc. (limited to a person engaged in Investment Management), a person who has made a notification under Article 63, paragraph (2) or Article 63-3, paragraph (1) of the Act (limited to a person engaged in an act listed in Article 63, paragraph (1), item (ii) of the Act as a part of business) or a person engaged in special investment management business as prescribed in Article 48, paragraph (1) of the Supplementary Provisions of the Act for Partial Revision of the Securities and Exchange Act, etc. (Act No. 65 of 2006);
- 株券の発行者である会社の取引関係者(当該会社の指定する当該会社と取引関係にある者をいう。以下この号において同じ。)が当該会社の他の取引関係者と共同して当該会社の株券の買付け(金融商品取引業者に媒介、取次ぎ又は代理の申込みをして行うものに限る。)を、一定の計画に従い、個別の投資判断に基づかず、継続的に行うことを約する契約(各取引関係者の一回当たりの拠出金額が百万円に満たないものに限る。)に基づく権利
- rights based on a contract under which Business Associates of a company that issues share certificates (meaning persons who are designated by said company as business associates of said company; hereinafter the same shall apply in this item) promise to purchase (limited to purchases made through applying for intermediation, brokerage or agency to a Financial Instruments Specialist) the share certificates of said company on a continual basis, jointly with the other Business Associates of said company, according to a certain plan, without depending on an individual investment decision (limited to a contract wherein each Business Associate is to contribute less than one million yen on each occasion).
- 法第二条第八項第十五号に掲げる行為のうち、当該行為を行う者(以下この号において「対象行為者」という。)が金融商品取引業者等との間で投資一任契約を締結し、当該契約に基づき、当該行為に係る同項第十五号イからハまでに掲げる権利(以下この号において「対象権利」という。)を有する者(以下この号において「対象権利者」という。)のため運用を行う権限の全部を委託するものであって、次に掲げる要件のすべてに該当するもの
- the acts which are listed in Article 2, paragraph (8), item (xv) of the Act, and in which a person who conducts said act (hereinafter referred to as a 'Subject Person' in this item) concludes a Discretionary Investment Contract with a Financial Instruments Specialist, etc., and entrusts all of his/her authority to make investments on behalf of the person entitled to the rights under sub-items (a) to (c) inclusive of item (xv) of that paragraph (such a person is hereinafter referred to as the 'Subject Rights Holder' in this item, and such rights are hereinafter referred to as the 'Subject Rights' in this item), based on said Discretionary Investment Contract, in which case all of the requirements listed the following sub-items are met:
- 自己の計算において行う取扱有価証券(当該認可協会がその規則において、売買その他の取引の勧誘を行うことを禁じていない株券、新株予約権付社債券その他内閣府令で定める有価証券(金融商品取引所に上場されている有価証券及び店頭売買有価証券を除く。)をいう。以下同じ。)の売買又は媒介、取次ぎ若しくは代理を行う取扱有価証券の売買が成立した場合 当該売買に係る有価証券の種類、銘柄、価格、数量その他内閣府令で定める事項
- when sales and purchase of the Tradable Securities (meaning the Share Certificates, bonds with share option or any other Securities specified by a Cabinet Office Ordinance for which solicitation of sales and purchase or other transactions has not been prohibited by said Authorized Association under its rules (excluding Securities listed on a Financial Instruments Exchange and Over-the-Counter Traded Securities; the same shall apply hereinafter) conducted on the Member Firm's own account, or sales and purchase of the Tradable Securities for which the Member Firm has provided intermediary, brokerage or agency services has been effected: the kinds, issues, prices or volumes or other matters specified by a Cabinet Office Ordinance pertaining to the Securities for which the sales and purchase is effected;
- 内閣総理大臣は、前項の申請があつた場合においては、金融商品取引法第五十二条第一項又は第五十三条第三項の規定により当該投資信託委託会社の同法第二十九条の登録を取り消した日以後、当該投資信託契約の存続期間その他につき条件を付して、当該投資信託契約を存続させることを承認することができる。この場合において、当該投資信託委託会社であつた者は、その業務の執行の範囲内において、同条の登録を取り消されていないものとみなす。
- In cases where an application set forth in the preceding paragraph has been made, the Prime Minister may approve the continuation of the Investment Trust Contract by attaching conditions on the duration of the Investment Trust Contract or any other matters on or after the day on which he/she has rescinded the registration of a Settlor Company of an Investment Trust under Article 29 of the Financial Instruments and Exchange Act pursuant to the provisions of Article 52, paragraph (1) or Article 53, paragraph (3) of that Act. In this case, the person who was in the position of said Settlor Company of an Investment Trust shall be deemed not to have been subject to the rescission of its registration under Article 29 within the scope of the execution of its business.
- この法律において「分別基準適合物」とは、市町村が第八条に規定する市町村分別収集計画に基づき容器包装廃棄物について分別収集をして得られた物のうち、環境省令で定める基準に適合するものであって、主務省令で定める設置の基準に適合する施設として主務大臣が市町村の意見を聴いて指定する施設において保管されているもの(有償又は無償で譲渡できることが明らかで再商品化をする必要がない物として主務省令で定める物を除く。)をいう。
- The term 'waste containers and packaging that conform to the sorting standards' as used in this Act shall mean waste containers and packaging that are obtained through sorted collection of waste containers and packaging by the municipal governments based on their Municipal Sorted Collection Plans prescribed in Article 8, which conform to the standards specified by the Ordinance of the Ministry of the Environment and which are stored in a facility designated by the competent minister as a facility that conforms to the establishment standards specified by the ordinance of the competent ministry after hearing opinions of the municipal governments (excluding containers and packaging which are specified by the ordinance of the competent ministry as those which can obviously be transferred at a price or without charge and for which recycling is not necessary).
- 投資信託財産についてその受益証券が金融商品取引法第四条第三項に規定する特定投資家向け有価証券に該当するものであつて、第一項の書面に記載すべき事項に係る情報が同法第二十七条の三十二第一項に規定する発行者情報として同項又は同条第二項の規定によりすべての受益者(政令で定めるものを含む。)に提供され、又は公表される場合(投資信託約款において第一項の書面の交付に代えて当該情報の提供又は公表が行われる旨を定めている場合に限る。)
- Where the Beneficiary Certificates for Investment Trust Property fall under the Securities issued to Professional Investors as provided in Article 4, paragraph (3) of the Financial Instruments and Exchange Act and the matters which should be stated in the documents prescribed in paragraph (1) are provided or publicized to all the beneficiaries (including those specified by a Cabinet Order) under Article 27-32, paragraph (1) or paragraph (2) of that Act as the issuer's information prescribed in Article 27-32, paragraph (1) of that Act (limited to cases where the Basic Terms and Conditions of the Investment Trust provide to the effect that the provision or publication of said information is to be made in lieu of delivering the documents under paragraph (1)).
- 認可協会は、前条の規定による報告に基づき、その開設する店頭売買有価証券市場における店頭売買有価証券の売買、取扱有価証券の売買及び上場株券等の取引所金融商品市場外での売買(協会員が自己の計算において行うもの並びに協会員が媒介、取次ぎ及び代理を行うものに限る。次条において同じ。)について、内閣府令で定めるところにより、銘柄別に毎日の売買高、最高、最低及び最終の価格その他の事項をその協会員に通知し、公表しなければならない。
- An Authorized Association shall, pursuant to the provisions of a Cabinet Office Ordinance and based on the reports made pursuant to the provision of the preceding Article, notify its Member Firms and also publicize the daily trading volume, and highest price, lowest price, closing price and any other matters for each day and for each issue in relation to sales and purchase of Over-the-Counter Traded Securities on the Over-the-Counter Securities Market established by said Authorized Association, sales and purchase of the Tradable Securities, and sales and purchase of the Listed Share Certificates, etc. conducted outside of a Financial Instruments Exchange Market (limited to those which a Member Firm conducts on its own account, and those for which a Member Firm provides intermediary, brokerage or agency services; hereinafter the same shall apply in the following Article).
- 外国証券業者は、第二十九条及び第五十八条の二の規定にかかわらず、内閣総理大臣の許可を受けて、金融商品取引所における有価証券の売買及び市場デリバティブ取引(有価証券等清算取次ぎ(第二条第二十七項第一号に係るものに限る。以下この項において同じ。)の委託者として当該有価証券等清算取次ぎを行う者を代理してこれらの取引を行う場合を含む。以下「取引所取引」という。)を業として行うこと(以下この款において「取引所取引業務」という。)ができる。
- Notwithstanding the provisions of Article 29 and Article 58-2, a Foreign Securities Broker may, with the permission of the Prime Minister, engage in sales and purchase of Securities and Market Transactions of Derivatives on a Financial Instruments Exchange (including the cases where said Foreign Securities Broker conducts these transactions on behalf of the person who provides Brokerage for Clearing of Securities, etc. (limited to those pertaining to Article 2(27)(i); hereinafter the same shall apply in this paragraph) as the entrusting person of Brokerage for Clearing of Securities, etc.; these transactions are hereinafter collectively referred to as the 'Transaction at Exchange') in the course of trade (hereinafter referred to as the 'Transaction-at-Exchange Operation' in this Subsection)
- 定款、業務規程、受託契約準則、紛争処理規程及び市場取引監視委員会規程の規定が法令に違反せず、かつ、定款、業務規程、受託契約準則、紛争処理規程又は市場取引監視委員会規程に規定する取引の方法又は管理、取引参加者の資格、取引参加者の数の最高限度を定めた場合におけるその最高限度、特別担保金の預託義務を定めた場合におけるその預託に関する事項その他の事項が適当であつて、商品市場における取引の公正を確保し、及び委託者を保護するため十分であること。
- The provisions of the articles of incorporation, market rules, brokerage contract rules, dispute resolution rules and market transactions surveillance committee rules do not violate laws and regulations, and the method or management of transactions, qualification of a Trading Participant, if the maximum number of Trading Participants is specified such maximum number, if obligation to deposit a special collateral money is specified matters concerning such deposit and other matters prescribed in the articles of incorporation, market rules, brokerage contract rules, dispute resolution rules or market transactions surveillance committee rules are appropriate and sufficient for ensuring the fairness of Transactions on the Commodity Market and protecting customers.
- 前項の規定により同項に規定する通知された事項又は当該事項を記載した書類を公衆の縦覧に供した場合には、第二十五条第三項(第二十七条において準用する場合を含む。)、第二十七条の十四第三項(第二十七条の二十二の二第二項において準用する場合を含む。)又は第二十七条の二十八第二項(第二十七条の二十九第二項において準用する場合を含む。)に規定する書類について、これらの規定により公衆の縦覧に供されたものとみなして、金融商品取引法令の規定を適用する。
- When the notified information or the documents containing said information prescribed in the preceding paragraph are made available for public inspection under the provision of said paragraph, the Laws and Regulations on Financial Instruments shall apply to the documents prescribed in Article 25(3) (including the cases where it is applied mutatis mutandis pursuant to Article 27), Article 27-14(3) (including the cases where it is applied mutatis mutandis pursuant to Article 27-22-2(2)) or Article 27-28(2) (including the cases where it is applied mutatis mutandis pursuant to Article 27-29(2)), by deeming that said information or documents have been made available for public inspection under those provisions.
- 認可協会は、有価証券(金融商品取引所に上場されていないものに限る。第六十七条の十一第一において同じ。)の流通を円滑にし、有価証券の売買その他の取引の公正を確保し、かつ、投資者の保護に資するため、店頭売買有価証券の売買(協会員(認可協会の会員をいう。以下この節において同じ。)が自己の計算において行うもの並びに協会員が媒介、取次ぎ及び代理を行うものに限る。同項において同じ。)のための市場(以下「店頭売買有価証券市場」という。)を開設することができる。
- An Authorized Association may establish a market where Over-the-Counter Traded Securities are traded (limited to the cases where Member Firms(meaning the members of an Authorized Association; hereinafter the same shall apply in this Section) conduct such transactions on their respective account, and the case where Member Firms provide intermediary, brokerage or agency service; the same shall apply in Article 67-11(1)) (hereinafter referred to as the 'Over-the-Counter Securities Market'), in order to facilitate distribution of Securities (limited to Securities not listed on a Financial Instruments Exchange; the same shall apply in Article 67-11(1)), to ensure fairness of the sales and purchase or other transactions of Securities, and to contribute to the protection of investors.
- 第一項の規定により同項に規定するファイルに記録されている事項又は当該事項を記載した書類を公衆の縦覧に供した場合には、第二十五条第一項(第二十七条において準用する場合を含む。)、第二十七条の十四第一項(第二十七条の二十二の二第二項において準用する場合を含む。)又は第二十七条の二十八第一項(第二十七条の二十九第二項において準用する場合を含む。)に規定する書類について、これらの規定により公衆の縦覧に供されたものとみなして、金融商品取引法令の規定を適用する。
- When the information recorded in the File prescribed in paragraph (1) or the documents containing said information are made available for public inspection under the provision of paragraph (1), the Laws and Regulations on Financial Instruments shall apply to the documents prescribed in Article 25(1) (including the cases where it is applied mutatis mutandis pursuant to Article 27), Article 27-14(1) (including the cases where it is applied mutatis mutandis pursuant to Article 27-22-2(2)), or Article 27-28(1) (including the cases where it is applied mutatis mutandis pursuant to Article 27-29(2)), by deeming that said information or documents have been made available for public inspection under these provisions.
- この法律において「証券投資信託」とは、委託者指図型投資信託のうち主として有価証券(金融商品取引法(昭和二十三年法律第二十五号)第二条第二項の規定により有価証券とみなされる同項各号に掲げる権利を除く。第七条及び第四十八条において同じ。)に対する投資として運用すること(同法第二十八条第八項第六号に規定する有価証券関連デリバティブ取引のうち政令で定めるものを行うことを含む。第七条及び第四十八条において同じ。)を目的とするものであつて、政令で定めるものをいう。
- The term 'Securities Investment Trust' as used in this Act shall mean an Investment Trust Managed under Instructions from the Settlor created for the purpose of investing mainly in Securities (excluding the rights listed in the items of Article 2, paragraph (2) of the Financial Instruments and Exchange Act (Act No. 25 of 1948) which are deemed to be Securities under said Article 2, paragraph (2); the same shall apply in Article 7 and Article 48) (including Transactions of Securities-Related Derivatives as provided in Article 28, paragraph (8), item (vi) of that Act and as specified by a Cabinet Order; the same shall apply in Article 7 and Article 48) and which is specified by a Cabinet Order.
- 特定投資家(金融商品取引法第二条第三十一項に規定する特定投資家をいい、同法第三十四条の三第四項(同法第三十四条の四第四項において準用する場合を含む。)又は同法第三十四条の三第六項(同法第三十四条の四第四項において準用する場合を含む。)の規定により特定投資家とみなされる者のうち内閣府令で定めるものを含み、同法第三十四条の二第五項又は第八項の規定により特定投資家以外の顧客とみなされる者のうち内閣府令で定めるものを除く。)のみを相手方として行う場合で政令で定める場合
- Where such solicitation is made only to Professional Investors (meaning Professional Investors as prescribed in Article 2, paragraph (31) of the Financial Instruments and Exchange Act, including those persons deemed to be Professional Investors under the provisions of Article 34-3, paragraph (4) of that Act (including the cases where it is applied mutatis mutandis pursuant to Article 34-4, paragraph (4) of that Act) or Article 34-3, paragraph (6) of that Act (including the cases where it is applied mutatis mutandis pursuant to Article 34-4, paragraph (4) of that Act) who are specified by a Cabinet Office Ordinance, and excluding those deemed to be customers other than Professional Investors under Article 34-2, paragraph (5) or paragraph (8) of that Act who are specified by a Cabinet Office Ordinance) as specified by a Cabinet Order.
- 債権者が第二項第二号の期間内に異議を述べたときは、組織変更をする会員商品取引所は、当該債権者に対し、弁済し、若しくは相当の担保を提供し、又は当該債権者に弁済を受けさせることを目的として信託会社等(信託会社及び信託業務を営む金融機関(金融機関の信託業務の兼営等に関する法律(昭和十八年法律第四十三号)第一条第一項の認可を受けた金融機関をいう。)をいう。以下同じ。)に相当の財産を信託しなければならない。ただし、当該組織変更をしても当該債権者を害するおそれがないときは、この限りでない。
- When a creditor makes an objection within the period set forth in paragraph (2), item (ii), a Member Commodity Exchange implementing Entity Conversion shall repay the liabilities or provide reasonable collateral to said creditor or deposit reasonable property with a Trust Company, etc. (which means a trust company and a Financial Institution Engaged in Trust Business [which means a financial institution that has obtained the approval set forth in Article 1, paragraph (1) of the Act on Additional Operation of Trust Business by a Financial Institution (Act 43 of 2006)]; the same shall apply hereinafter) for the purpose of repaying the liabilities to said creditor; provided, however, that this shall not apply when said Entity Conversion is not likely to harm said creditor.
- 裁判所は、委託者指図型投資信託の受益証券の募集の取扱い等(募集の取扱い(金融商品取引法第二条第八項第九号に規定する有価証券の募集の取扱いをいう。第百九十六条第二項において同じ。)、私募の取扱い(同号に規定する有価証券の私募の取扱いをいう。)その他政令で定める行為をいう。以下同じ。)につき次の各号のいずれかに該当すると認めるときは、内閣総理大臣の申立てにより、その行為を現に行い、又は行おうとする者(以下この条において「行為者」という。)に対し、その行為の禁止又は停止を命ずることができる。
- When the court finds that Dealings in a Public Offering, etc. (meaning Dealings in Public Offerings (meaning dealings in public offerings of Securities as prescribed in Article 2, paragraph (8), item (ix) of the Financial Instruments and Exchange Act; the same shall apply in Article 196, paragraph (2)), Dealings in Private Placements (meaning dealings in private placements of Securities as provided in Article 2, paragraph (8), item (ix) of that Act), and other acts specified by a Cabinet Order; the same shall apply hereinafter) of Beneficiary Certificates of an Investment Trust Managed under Instructions from the Settlor falls under any of the following items, the court may give an order to the person who has actually conducted or who intends to conduct such acts (hereinafter referred to as the 'Offender' in this Article) prohibiting or suspending such acts upon the filing of a petition by the Prime Minister:
- 一般顧客である個人が、認定金融商品取引業者に対して有する補償対象債権(有価証券に係るものに限る。以下この項において同じ。)に係る第七十九条の五十六第一項の支払を受けたときは、その支払を受けた時に、その支払を受けた金額により、当該個人から当該支払をした基金に対し当該支払に係る補償対象債権(当該補償対象債権のうち当該支払をしたことにより当該基金が取得した部分に限る。)に係る有価証券の譲渡があつたものとみなして、所得税法(昭和四十年法律第三十三号)その他の所得税に関する法令の規定を適用する。
- When an individual who is a General Customer has received a payment set forth in Article 79-56(1) pertaining to Claims Subject to Compensation that he/she holds against a Recognized Financial Instruments Business Operator (limited to those pertaining to Securities; hereinafter the same shall apply in this paragraph), the provision of the Income Tax Act (Act No. 33 of 1965) and other laws and regulations concerning income tax shall apply by deeming that Securities pertaining to Claims Subject to Compensation (limited to part of said Claims Subject to Compensation which said Fund acquired by said payment) pertaining to said payment was transferred from said individual to the Fund which made said payment by the amount paid at the time of receipt of the payment.
- 特例業務届出者が適格機関投資家等特例業務に係る事業の全部を譲渡したとき、又は特例業務届出者について合併、分割(当該事業の全部を承継させるものに限る。)若しくは相続があつたときは、当該事業の全部を譲り受けた者又は合併後存続する法人若しくは合併により設立された法人、分割により当該事業の全部を承継した法人若しくは相続人(相続人が二人以上ある場合においてその協議により当該事業を承継すべき相続人を定めたときは、その者)は、当該者が金融商品取引業者等である場合を除き、その特例業務届出者の地位を承継する。
- When a Specially Permitted Business Notifying Person has transferred the entire businesses pertaining to Specially Permitted Businesses for Qualified Institutional Investor, etc., or a merger, split (limited to those where the entire businesses are succeeded to) or inheritance has taken place with regard to a Specially Permitted Business Notifying Person, a person who has accepted the entire businesses, a juridical person surviving the merger, a juridical person established upon the merger, or a juridical person or heir who has succeeded to the entire businesses upon the split (when two or more heirs and the person to succeed to said businesses have been determined through conference among them, said person) shall succeed to the Specially Permitted Business Notifying Person's position except in cases where said person is a Financial Instruments Business Operator, etc.
- 法第二条第八項第十七号に掲げる行為のうち、金融商品取引業者(同項第七号イに掲げる有価証券に表示されるべき権利であって同条第二項の規定により有価証券とみなされるもの(以下この号において「投資信託受益権」という。)についての同条第八項第七号に掲げる行為に係る業務を行う者に限る。)が、その発行する投資信託受益権について行うものであって、法第四十三条の二第一項及び第二項に規定する方法に準ずる方法により、当該投資信託受益権と自己の固有財産とを分別して管理をするもの(当該管理の状況について、同条第三項に定めるところに準じて行う監査を受けているものに限る。)
- an act which is listed in Article 2, paragraph (8) item (xvii) of the Act, and which is performed by a Financial Instruments Specialist (limited to a person who engages in business activities pertaining to the acts listed in item (vii), paragraph (8) of that Article with respect to the rights to be indicated on the Securities listed in sub-item (a), item (vii) of that paragraph and which are regarded as Securities pursuant to the provisions of paragraph (2) of that Article (hereinafter referred to as the 'Beneficial Interest in the Investment Trust' in this item)) with regard to any Beneficial Interest in the Investment Trust it issues, and in which said Financial Instruments Specialist manages said Beneficial Interest in the Investment Trust separately from its own property in accordance with the method equivalent to that prescribed in Article 43-2, paragraph (1) and (2) of the Act (limited to the case where said management is audited in the same manner as prescribed in paragraph (3) of that Article).
- 内閣総理大臣は、第二十九条若しくは第三十三条の二の登録、第三十条第一項若しくは第三十一条第六項の認可、第三十一条第四項の変更登録、第三十五条第四項の承認若しくは前条第三項若しくは第四項の承認をし、若しくはしないこととしたとき、第三十条の二第一項の規定により条件を付することとしたとき、又は第五十一条、第五十一条の二、第五十二条第一項若しくは第二項、第五十二条の二第一項若しくは第二項、第五十三条、第五十四条、第五十六条の三若しくは前条第二項の規定に基づいて処分をすることとしたときは、書面により、その旨を登録申請者又は金融商品取引業者等に通知しなければならない。
- When the Prime Minister has decided to grant or refuse registration under Article 29 or Article 33-2, authorization under Article 30(1) or Article 31(6), registration of change under Article 31(4), approval under Article 35 (4), or approval under paragraph (3) or (4) of the preceding Article, attach conditions under the provisions of Article 30-2(1), or make disposition based on the provisions of Article 51, Article 51-2, Article 52(1) or (2), Article 52-2(1) or (2), Article 53, Article 54, Article 56-3, or paragraph (2) of the preceding Article, he/she shall notify to that effect in writing to the applicant or the Financial Instruments Business Operator.
- 指定格付を付与された者 本格付又は予備格付の別を問わず、長期優先債務(これと同視し得る債務を含む。)に指定格付(金融商品取引業者の市場リスク相当額、取引先リスク相当額及び基礎的リスク相当額の算出の基準等を定める件第一条第五号の指定格付をいう。以下この表において同じ。)が付与されている者をいい、会社格付又は保険金支払能力格付において指定格付と同等の格付が付与されている場合には、指定格付を付与されているものとみなす。なお、指定格付を付与されている連結財務諸表提出会社の連結子会社については、当該連結子会社が指定格付以外の格付を付与されている場合を除き、指定格付を付与されたものとみなす。
- An institution which has been rated by a Designated Rating agency means, notwithstanding the difference of the actual rating and the preliminary rating, an institution that has been given a Designated Rating (which means a Designated Rating specified in Article 1, item (v) of the Notice on Establishment of Standards for Calculation of Financial Instruments Business Operators' Amount Equivalent to Market Risk, Amount Equivalent to Counterparty Risk, and Amount Equivalent to Basic Risk; hereinafter the same shall apply in this table) of long term preferred debts (including debts that can be identified as equivalents), and the institution shall be deemed to be given a Designated Rating when said institution has been given the same rating as the Designated Rating with regard to a company rating or an insurance solvency rating. With regard to a consolidated subsidiary of a company with a Designated Rating that also submits a consolidated financial report, said consolidated subsidiary shall be deemed to be granted the Designated Rating, except for the cases where said consolidated subsidiary has been given a rating other than the Designated Rating.
- 金利、通貨の価格、商品の価格、算定割当量(地球温暖化対策の推進に関する法律(平成十年法律第百十七号)第二条第六項(定義)に規定する算定割当量その他これに類似するものをいう。次条第四号において同じ。)の価格その他の指標の数値としてあらかじめ当事者間で約定された数値と将来の一定の時期における現実の当該指標の数値の差に基づいて算出される金銭の授受を約する取引又はこれに類似する取引であつて内閣府令で定めるもの(次号において「金融等デリバティブ取引」という。)のうち銀行の経営の健全性を損なうおそれがないと認められる取引として内閣府令で定めるもの(第五号及び第十二号に掲げる業務に該当するものを除く。)
- Transactions where the relevant parties promise to give and receive money calculated based on the difference between a numerical value that the parties have agreed upon in advance as the numerical value of an interest rate, currency value, product price, price for Carbon Dioxide Equivalent Quotas (meaning carbon dioxide equivalent quotas defined in Article 2, paragraph (6) (Definitions) of the Act on Promotion of Global Warming Countermeasures (Act No. 117 of 1998) and those equivalent thereto; the same shall apply in item (iv) of the following Article) or any other index and the actual numerical value of that index at a fixed point of time in the future, or any equivalent transactions specified by Cabinet Office Ordinance (referred to as 'Financial Derivative Transactions' in the following item) which are transactions found unlikely to damage the soundness of the management of the Bank as specified by Cabinet Office Ordinance (excluding transactions that fall under the categories of business listed in items (v) and (xii));
- 六月を超えない範囲内において政令で定める期間内に政令で定める割合を超える株券等の取得を株券等の買付け等又は新規発行取得(株券等の発行者が新たに発行する株券等の取得をいう。以下この号において同じ。)により行う場合(株券等の買付け等により行う場合にあつては、政令で定める割合を超える株券等の買付け等を特定売買等による株券等の買付け等又は取引所金融商品市場外における株券等の買付け等(公開買付けによるものを除く。)により行うときに限る。)であつて、当該買付け等又は新規発行取得の後におけるその者の所有に係る株券等の株券等所有割合が三分の一を超えるときにおける当該株券等の買付け等(前三号に掲げるものを除く。)
- Purchase, etc. of Share Certificates, etc. in cases where acquisition of Share Certificates, etc. in excess of the proportion specified by a Cabinet Order during the period specified by a Cabinet Order not exceeding six months is made by Purchase, etc. of Share Certificates, etc. or Acquisition of Newly Issued Share Certificates, etc. (meaning acquisition of Share Certificates, etc. which is newly issued by its Issuer; hereinafter the same shall apply in this item) (in cases where such acquisition of Share Certificates, etc. is made by Purchase, etc. of Share Certificates, etc., limited to Purchase, etc. of Share Certificates, etc. in excess of the proportion specified by a Cabinet Order conducted through Specified Sales and Purchase, etc. or outside of Financial Instruments Exchange Markets (excluding that conducted by a Tender Offer)) and the Share Certificates, etc. Holding Rate of Share Certificates, etc. in possession by the person who conducted the Purchase, etc. of Share Certificates, etc. exceeds one third after the Purchase, etc. of Share Certificates, etc. or the Acquisition of Newly Issued Share Certificates, etc. (excluding those listed in the preceding three items);
- 何人も、株式会社商品取引所の総株主の議決権(株主総会において決議をすることができる事項の全部につき議決権を行使することができない株式についての議決権を除き、会社法第八百七十九条第三項の規定により議決権を有するものとみなされる株式についての議決権を含む。以下この条及び次条において同じ。)の百分の五を超える議決権(社債、株式等の振替に関する法律(平成十三年法律第七十五号)第百四十七条第一項又は第百四十八条第一項の規定により発行者に対抗することができない株式に係る議決権を含み、取得又は保有の態様その他の事情を勘案して主務省令で定めるものを除く。以下この条において「対象議決権」という。)を取得し、又は保有してはならない。
- No person may acquire or possess voting rights (excluding the voting rights of the shares which cannot be exercised for all matters that are subject to a resolution at a general meeting of shareholders and including the voting rights of the shares for which the shareholder is deemed to have voting rights pursuant to the provisions of Article 879, paragraph (3) of the Companies Act; hereinafter the same shall apply in this Article and the following Article) exceeding five percent of the voting rights of all shareholders of a Incorporated Commodity Exchange (including the voting rights of the shares which cannot be asserted against the issuer pursuant to the provisions of Article 147, paragraph (1) or Article 148, paragraph (1) of the Act on Transfer of Bonds, Shares, etc. [Act No. 75 of 2001] and excluding those specified by an ordinance of the competent ministry by taking into consideration the mode of acquisition or possession or any other relevant circumstances; hereinafter referred to as the 'Subject Voting Rights' in this Article).
- 第二十四条第一項の規定による有価証券報告書を提出しなければならない会社(第二十三条の三第四項の規定により当該有価証券報告書を提出した会社を含む。次項において同じ。)のうち、第二十四条第一項第一号に掲げる有価証券の発行者である会社その他の政令で定めるものは、内閣府令で定めるところにより、当該有価証券報告書の記載内容が金融商品取引法令に基づき適正であることを確認した旨を記載した確認書(以下この条及び次条において「確認書」という。)を当該有価証券報告書(第二十四条第八項の規定により同項に規定する有価証券報告書等に代えて外国会社報告書を提出する場合にあつては、当該外国会社報告書)と併せて内閣総理大臣に提出しなければならない。
- A company which is required to submit Annual Securities Reports under Article 24(1) (including those which have submitted Annual Securities Reports under Article 23-3(4); the same shall apply in the following paragraph) shall, if the Securities issued by the company are those listed in Article 24(1)(i) or the company is otherwise required by a Cabinet Order, submit, together with an Annual Securities Report (or a Foreign Company Report in cases where Foreign Company Reports are submitted instead of Annual Securities Reports, etc. defined in Article 24(8) under Article 24(8)), a letter confirming that, pursuant to the provisions of a Cabinet Office Ordinance, statements contained in the Annual Securities Report are appropriate under the Financial Instruments and Exchange Act and Related Regulations (hereinafter referred to as a 'Confirmation Letter' in this Article and the following Article).
- 金融商品取引法第三十六条第一項、第三十七条(第一項第二号を除く。)、第三十七条の三第一項(第二号及び第六号を除く。)及び第二項、第三十七条の四、第三十八条、第三十九条第一項、第三項及び第五項、第四十条、第四十四条の三第一項(第三号を除く。)並びに第四十五条(第三号及び第四号を除く。)の規定は設立企画人が設立中の投資法人の発行する投資証券の募集等を行う場合におけるその設立企画人(法人である場合においては、その役員及び使用人を含む。以下この条において「特定設立企画人等」という。)について、同法第三十九条第二項及び第四項の規定は特定設立企画人等の顧客について、それぞれ準用する。この場合において、必要な技術的読替えは、政令で定める。
- The provisions of Article 36, paragraph (1), Article 37 (excluding paragraph (1), item (ii)), Article 37-3, paragraph (1) (excluding item (ii) and item (vi)) and paragraph (2), Article 37-4, Article 38, Article 39, paragraph (1), paragraph (3), and paragraph (5), Article 40, Article 44-3, paragraph (1) (excluding item (iii)), and Article 45 (excluding item (iii) and item (iv)) of the Financial Instruments and Exchange Act shall apply mutatis mutandis to the organizer(s) (in cases where the organizer is a juridical person, its officers and employees shall be included; hereinafter referred to as the 'Specified Organizer(s), etc.' in this Article) in cases where the organizer(s) has dealings in a Public Offering, etc. of Investment Securities issued by an Investment Corporation that is in the process of being established and the provisions of Article 39, paragraph (2) and paragraph (4) of that Act apply mutatis mutandis to the customers of the Specified Organizer(s), etc. In this case, any necessary technical replacement of terms shall be specified by a Cabinet Order.
- 第一項の規定に基づき商品取引所により取引資格を与えられた者は、同項に規定する目的の範囲内において、第百一条第一項から第四項まで、第百三条、第百四条第三項及び第四項、第百八条第一項、第百十三条から第百十五条まで、第百十八条、第百五十七条、第百五十九条第一項、第百六十条第一項、第百六十五条、第百七十九条並びに第百八十八条の規定の適用については、会員等とみなす。この場合において、第百十三条第一項(第百十四条及び第百八十八条において準用する場合を含む。)中「から脱退した」とあるのは「において取引をすることができる資格を喪失した」と、第百六十条第一項及び第百六十五条中「の除名」とあるのは「の取引をすることができる資格の取消し」とする。
- A person who has been granted the trading qualification by a Commodity Exchange based on the provisions of paragraph (1) shall be deemed to be a Member, etc. within the scope of the purpose prescribed in the same paragraph with regard to application of the provisions of Article 101, paragraphs (1) to (4) inclusive, Article 103, Article 104, paragraphs (3) and (4), Article 108, paragraph (1), Articles 113 to 115 inclusive, Article 118, Article 157, Article 159, paragraph (1), Article 160, paragraph (1), Article 165, Article 179 and Article 188. In this case, the phrase 'withdrawn from' in Article 113, paragraph (1) (including the case of its application mutatis mutandis pursuant to Article 114 and Article 188) shall be deemed to be replaced with 'lost the qualification to carry out transactions on' and the phrase 'expulsion of' in Article 160, paragraph (1) and Article 165 shall be deemed to be replaced with 'rescission of the qualification to carry out transactions of.'
- 外国証券業者(有価証券関連業と密接な関係を有する業を行う者で内閣府令で定めるものを含む。以下この条において同じ。)又は外国で投資助言業務若しくは投資運用業を行う者(第二十九条又は第三十三条の二の登録を受けた者を除く。以下この条において同じ。)は、有価証券及び有価証券に係る金融指標の市場に関する情報の収集及び提供その他金融商品取引等に関連のある業務で内閣府令で定めるものを行うため、国内において駐在員事務所その他の施設を設置しようとする場合(他の目的をもつて設置している施設において当該業務を行おうとする場合を含む。)には、あらかじめ、当該業務の内容、当該施設の所在の場所その他内閣府令で定める事項を内閣総理大臣に届け出なければならない。
- A Foreign Securities Broker (including those whose business is closely related to Securities-Related Business and those which are specified by a Cabinet Office Ordinance; hereinafter the same shall apply in this Article) or a person who conducts Investment Advisory Business or Investment Management Business in a foreign state (excluding persons registered under Article 29 or Article 33-2; hereinafter the same shall apply in this Article) shall, when it intends to establish a representative office or any other institution in Japan for the purposes of collection or provision of information regarding the securities market and the market of financial indicator of the Securities, or to conduct other business related to financial instruments business, etc. which are specified by a Cabinet Office Ordinance (including the cases where said Foreign Securities Broker intends to conduct said business in the institution established for other purposes), notify the contents of said business, the location of said facility and other matters specified by a Cabinet Office Ordinance to the Prime Minister in advance.
- 金融商品取引業者等は、第二条第二項第五号若しくは第六号に掲げる権利又は同条第一項第二十一号に掲げる有価証券(政令で定めるものに限る。)若しくは同条第二項第七号に掲げる権利(政令で定めるものに限る。)については、当該権利又は有価証券に関し出資され、又は拠出された金銭(これに類するものとして政令で定めるものを含む。以下この条において同じ。)が、当該金銭を充てて行われる事業を行う者の固有財産その他当該者の行う他の事業に係る財産と分別して管理することが当該権利又は有価証券に係る契約その他の法律行為において確保されているものとして内閣府令で定めるものでなければ、第二条第八項第一号、第二号又は第七号から第九号までに掲げる行為を行つてはならない。
- With regard to the rights listed in Article 2(2)(v) or (vi) or the Securities listed in Article 2(1)(xxi) (limited to those specified by a Cabinet Order) or the rights listed in Article 2(2)(vii) (limited to those specified by a Cabinet Order), a Financial Instruments Business Operator, etc. may not conduct any of the acts listed in Article 2(8)(i), (ii) or (vii) to (ix) unless the relevant right or Securities are specified by a Cabinet Office Ordinance as those for which it is ensured by means of a contract or other juristic act pertaining to the right or Securities that the money invested or contributed for the right or Securities (including those specified by a Cabinet Order as being similar to money; hereinafter the same shall apply in this Article) is managed separately from the property that belongs to the person who conducts the relevant business to be operated using such money, or any other property pertaining to other businesses conducted by that person.
- 発行登録者、有価証券の売出しをする者、引受人、金融商品取引業者又は登録金融機関は、発行登録によりあらかじめその募集又は売出しが登録されている有価証券については、当該発行登録がその効力を生じており、かつ、当該有価証券の募集又は売出しごとにその発行価額又は売出価額の総額、発行条件又は売出条件その他の事項で公益又は投資者保護のため必要かつ適当なものとして内閣府令で定めるものを記載した書類(以下「発行登録追補書類」という。)が内閣府令で定めるところにより内閣総理大臣に提出されていなければ、これを募集又は売出しにより取得させ、又は売り付けてはならない。ただし、有価証券の募集又は売出しごとの発行価額又は売出価額の総額が一億円未満の有価証券の募集又は売出しで内閣府令で定めるものについては、この限りでない。
- The Issuer, a person who engages in Secondary Distribution of Securities, an Underwriter, a Financial Instruments Business Operator or a Registered Financial Institution shall not have another person acquire Securities for which the Shelf Registration has been made for their Public Offerings or Secondary Distributions, or sell such Securities to another person, through Public Offerings or Secondary Distributions, unless the Shelf Registration has already come into effect and, for each Public Offering or Secondary Distribution, a document which states the total issue price or total distribution amount, conditions of issuance or distribution of the Securities or other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors (hereinafter referred to as 'Shelf Registration Supplements') has been submitted to the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance; provided however, that this shall not apply to Public Offerings or Secondary Distributions specified by a Cabinet Office Ordinance if the total issue price or total distribution amount of each Public Offering or Secondary Distribution is less than 100 million.
- 会社法第八百二十八条第一項(第一号に係る部分に限る。)及び第二項(第一号に係る部分に限る。)、第八百三十四条(第一号に係る部分に限る。)、第八百三十五条第一項、第八百三十六条第一項及び第三項、第八百三十七条から第八百三十九条まで並びに第八百四十六条の規定は、金融商品会員制法人の設立の無効の訴えについて準用する。この場合において、同法第八百二十八条第二項第一号中「株主等(株主、取締役又は清算人(監査役設置会社にあっては株主、取締役、監査役又は清算人、委員会設置会社にあっては株主、取締役、執行役又は清算人)をいう。以下この節において同じ。)又は設立する持分会社の社員等(社員又は清算人をいう。以下この項において同じ。)」とあるのは、「会員、理事長及び理事、監事又は清算人」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
- The provisions of Article 828, paragraph (1) (limited to the part pertaining to item (i)) and paragraph (2) (limited to the part pertaining to item (i)), Article 834 (limited to the part pertaining to item (i)), Article 835(1), Article 836(1) and (3), Article 837 to Article 839 inclusive and Article 846 of the Companies Act shall apply mutatis mutandis to an action seeking invalidation of the establishment of a Financial Instruments Membership Corporation. In this case, the term 'a Shareholder etc. (meaning a shareholder, director or liquidator (or, for a Company with Company Auditors, it means a shareholder, director, company auditor or liquidator; and for a Company with Committees, it means a shareholder, director, executive officer, or liquidator); hereinafter the same shall apply in this Section) of the incorporated Stock Company or a Partner, etc. (meaning a partner or liquidator; hereinafter the same shall apply in this paragraph) of the incorporated Membership Company' in Article 828(2)(i) of that Act shall be deemed to be replaced with 'members, president and board members, auditors or liquidators,' and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
- 第四項の規定により臨時報告書を提出しなければならない会社(第二十四条第五項において準用する同条第一項の規定による有価証券報告書を提出しなければならない会社に限る。)が、内閣府令で定めるところにより、第四項の規定による臨時報告書に記載すべき内容の一部を記載した書面(法令又は金融商品取引所の規則(これに類するものとして内閣府令で定めるものを含む。)に基づいて作成された書面に限る。以下この項及び次項において「臨時代替書面」という。)を臨時報告書と併せて内閣総理大臣に提出する場合において、公益又は投資者保護に欠けることがないものとして内閣府令で定めるところにより内閣総理大臣の承認を受けた場合における第四項の規定の適用については、同項中「その内容を記載した報告書」とあるのは、「その内容(第十五項に規定する臨時代替書面に記載された内容を除く。)を記載した報告書」とする。
- In cases where a company required to submit an Extraordinary Report under paragraph (4) (limited to a company which is required to submit Annual Securities Reports under Article 24 (1) as applied mutatis mutandis pursuant to Article 24 (5)) submits documents containing, pursuant to the provisions of a Cabinet Office Ordinance, descriptions on part of the matters to be stated in an Extraordinary Report set forth in paragraph (4) (limited to documents prepared based on laws and regulations or rules of a Financial Instruments Exchange (including those specified by a Cabinet Office Ordinance as being similar to such rules); such documents are hereinafter referred to as 'Documents Substituting Part of an Extraordinary Report' in this paragraph and the following paragraph) together with an Extraordinary Report to the Prime Minister, with regard to the application of paragraph (4) to cases approved by the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance as those where the public interest or protection of investors would not be impaired, the term 'a report stating the details thereof' in paragraph (4) shall be deemed to be replaced with 'a report stating the details thereof (excluding the details stated in Documents Substituting Part of an Extraordinary Report as defined in paragraph (15).'
- 会社法第四百七十五条(第一号及び第三号を除く。)、第四百七十六条、第四百七十八条第二項及び第四項、第四百七十九条第一項及び第四項、第四百八十一条、第四百八十二条第二項、第四百八十三条第四項から第六項まで、第四百八十四条、第四百八十五条、第四百九十二条第一項から第三項まで、第四百九十九条から第五百三条まで、第五百七条、第八百六十八条第一項、第八百六十九条、第八百七十条(第二号に係る部分に限る。)、第八百七十一条、第八百七十二条(第四号に係る部分に限る。)、第八百七十四条(第一号及び第四号に係る部分に限る。)、第八百七十五条並びに第八百七十六条の規定は、会員商品取引所の清算について準用する。この場合において、同法第四百九十二条第一項及び第五百七条第一項中「法務省令」とあるのは「主務省令」と、同法第四百九十九条第一項中「官報に公告し」とあるのは「公告し」と読み替えるものとする。
- The provisions of Article 475 (excluding items (i) and (iii)), Article 476, Article 478, paragraphs (2) and (4), Article 479, paragraphs (1) and (4), Article 481, Article 482, paragraph (2), Article 483, paragraphs (4) to (6) inclusive, Article 484, Article 485, Article 492, paragraphs (1) to (3) inclusive, Articles 499 to 503 inclusive, Article 507, Article 868, paragraph (1), Article 869, Article 870 (limited to the part pertaining to item (ii)), Article 871, Article 872 (limited to the part pertaining to item (iv)), Article 874 (limited to the part pertaining to items (i) and (iv)), Article 875 and Article 876 of the Companies Act shall apply mutatis mutandis to liquidation of a Member Commodity Exchange. In this case, the term 'an Ordinance of the Ministry of Justice' in Article 492, paragraph (1) and Article 507, paragraph (1) of the same Act shall be deemed to be replaced with 'an ordinance of the competent ministry' and the phrase 'give a public notice in an official gazette' in Article 499, paragraph (1) of the same Act shall be deemed to be replaced with 'give a public notice.'
- 銀行、金融商品取引業者(有価証券関連業を営む者に限る。)、信託会社(信託業法第三条又は第五十三条第一項の免許を受けたものに限る。)その他の内閣府令で定める者のうち基準日を内閣総理大臣に届け出た者が保有する議決権で当該議決権に係る株式の発行者である銀行又は銀行持株会社の営業活動を支配することを保有の目的としないもの(議決権保有割合が内閣府令で定める数を超えた場合及び保有の態様その他の事情を勘案して内閣府令で定める場合を除く。以下この条において「特例対象議決権」という。)に係る銀行議決権保有届出書は、第五十二条の二の十一第一項の規定にかかわらず、議決権保有割合が初めて百分の五を超える数となつた基準日における当該議決権の保有状況に関する事項であつて、内閣府令で定めるものを記載したものを、内閣府令で定めるところにより、当該基準日の属する月の翌月十五日までに、内閣総理大臣に提出しなければならない。
- Notwithstanding the provisions of Article 52-2-11, paragraph (1), among Banks, Financial Instruments Specialists (limited to those that engage in Securities Services), trust companies (limited to those that have obtained a license set forth in Article 3 or Article 53, paragraph (1) of the Trust Business Act) and any other persons specified by Cabinet Office Ordinance, where those who have notified the Prime Minister of a Reference Date hold voting rights for a purpose other than to control the business activities of the Bank or Bank Holding Company that has issued the shares related to said voting rights (excluding the case where the Proportion of Voting Rights Held has exceeded the number specified by Cabinet Office Ordinance and any case specified by a Cabinet Office Ordinance by taking into consideration the manner in which they are held and other circumstances; hereinafter referred to as 'Voting Rights Subject to Special Provisions' in this Article), their Written Notices of Voting Rights Held in the Bank shall be submitted to the Prime Minister stating matters that relate to the holding status of those voting rights as of the Reference Date on which the Proportion of Voting Rights Held exceeded five hundredths for the first time and that are specified by Cabinet Office Ordinance, by the 15th day of the month following the month containing said Reference Date, pursuant to the provisions of Cabinet Office Ordinance.
- 第一項(第三項において準用する場合に限る。以下この条において同じ。)の規定により四半期報告書を提出しなければならない会社(第二項(第三項において準用する場合に限る。)の規定により四半期報告書を提出する会社を含む。)が、内閣府令で定めるところにより、第一項に規定する内閣府令で定める事項の一部を記載した書面(法令又は金融商品取引所の規則(これに類するものとして内閣府令で定めるものを含む。)に基づいて作成された書面に限る。以下この項及び次項において「四半期代替書面」という。)を四半期報告書と併せて内閣総理大臣に提出する場合において、公益又は投資者保護に欠けることがないものとして内閣府令で定めるところにより内閣総理大臣の承認を受けた場合における第一項の適用については、同項中「内閣府令で定める事項」とあるのは、「内閣府令で定める事項(第十二項に規定する四半期代替書面に記載された事項を除く。)」とする。
- In cases where a company required to submit Quarterly Securities Reports under paragraph (1) (limited to cases where it is applied mutatis mutandis pursuant to paragraph (3); hereinafter the same shall apply in this Article)(including a company submitting Quarterly Securities Reports under paragraph (2) (limited to cases where it is applied mutatis mutandis pursuant to paragraph (3))) submits, pursuant to the provisions of a Cabinet Office Ordinance, documents containing descriptions on part of the matters specified by a Cabinet Office Ordinance under paragraph (1) (limited to documents prepared based on laws and regulations or rules of a Financial Instruments Exchange (including those specified by a Cabinet Office Ordinance as being similar to such rules); such documents are hereinafter referred to as 'Documents Substituting Part of a Quarterly Securities Report' in this paragraph and the following paragraph) together with a Quarterly Securities Report to the Prime Minister, with regard to the application of paragraph (1) to cases approved by the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance as those where the public interest or protection of investors would not be impaired, the term 'other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors' in paragraph (1) shall be deemed to be replaced with 'other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors (excluding matters stated in Documents Substituting Part of a Quarterly Securities Report as defined in paragraph (12)).'
- 内閣総理大臣は、認可協会が法令、法令に基づく行政官庁の処分若しくは当該認可協会の定款その他の規則(以下この条において「法令等」という。)に違反した場合又は協会員、金融商品仲介業者若しくは店頭売買有価証券若しくは取扱有価証券の発行者が法令等に違反し、若しくは定款その他の規則に定める取引の信義則に背反する行為をしたにもかかわらず、これらの者に対し法令等若しくは当該取引の信義則を遵守させるために認可協会がこの法律、この法律に基づく命令若しくは定款その他の規則により認められた権能を行使せずその他必要な措置をすることを怠つた場合において、公益又は投資者保護のため必要かつ適当であると認めるときは、その設立の認可を取り消し、一年以内の期間を定めてその業務の全部若しくは一部の停止を命じ、その業務の方法の変更若しくはその業務の一部の禁止を命じ、その役員の解任を命じ、又は定款その他の規則に定める必要な措置をすることを命ずることができる。
- When an Authorized Association has violated laws and regulations, a disposition given by government agencies based on laws and regulations, or its articles of incorporation or any other rules (hereinafter referred to as the 'Laws and Regulations, etc.' in this Article); or, despite the fact that a Member Firm, a Financial Instruments Intermediary Service Provider, or an issuer of Over-the-Counter Traded Securities or Tradable Securities has violated the Laws and Regulations, etc., or has committed an act contrary to the fair and equitable principles of transactions specified in the articles of incorporation or any other rules, the Authorized Association has failed to exercise its powers vested under this Act, an order given under this Act, or its articles of incorporation or any other rules, or to take any other necessary measures, for having such persons observe the Laws and Regulations, etc. or the fair and equitable principles of transactions, if the Prime Minister finds it necessary and appropriate for the public interest and protection of investors, he/she may rescind the authorization of its establishment, issue an order of suspension of all or part of its business, specifying a period of suspension not exceeding one year, issue an order of change of its business methods or of prohibition of a part of its business, issue an order of dismissal of its Officers, or issue an order to take necessary measures specified in the articles of incorporation or any other rules.
- 第一項(第五項において準用する場合を含む。以下この項から第十三項までにおいて同じ。)の規定により有価証券報告書を提出しなければならない外国会社(第二十三条の三第四項の規定により有価証券報告書を提出したものを含む。以下「報告書提出外国会社」という。)は、公益又は投資者保護に欠けることがないものとして内閣府令で定める場合には、第一項の規定による有価証券報告書及び第六項の規定によりこれに添付しなければならない書類(以下この条において「有価証券報告書等」という。)に代えて、外国において開示(当該外国の法令(外国金融商品市場を開設する者その他の内閣府令で定める者の規則を含む。)に基づいて当該外国において公衆の縦覧に供されることをいう。第二十四条の四の七第六項及び第二十四条の五第七項において同じ。)が行われている有価証券報告書等に類する書類であつて英語で記載されたもの(以下この章において「外国会社報告書」という。)を提出することができる。
- In the cases specified by a Cabinet Office Ordinance as cases where the public interest or protection of investors would not be impaired, a foreign company required to submit Annual Securities Reports under paragraph (1) (including the cases where it is applied mutatis mutandis pursuant to paragraph (5); hereinafter the same shall apply in this paragraph to paragraph (13)) (including foreign companies which have submitted Annual Securities Reports under Article 23-3(4); hereinafter referred as to 'Reporting Foreign Company') may submit, instead of Annual Securities Reports to be submitted under paragraph (1) and the documents to be attached thereto under paragraph (6) (hereinafter collectively referred to as 'Annual Securities Reports, etc.' in this Article), documents which are prepared in English and are similar to Annual Securities Reports, etc. Disclosed in a Foreign State (meaning the state of having been made available for public inspection based on laws and regulations under the foreign state (including the rules provided for by the operator of a Foreign Financial Instruments Market or other person specified by a Cabinet Office Ordinance); the same shall apply hereinafter in Articles 24-4-7(6) and 24-5(7)) (such documents are hereinafter referred to as 'Foreign Company Reports' in this Chapter).
- 第一項(第三項において準用する場合に限る。以下この項及び次項において同じ。)の規定により半期報告書を提出しなければならない会社が、内閣府令で定めるところにより、第一項に規定する内閣府令で定める事項の一部を記載した書面(法令又は金融商品取引所の規則(これに類するものとして内閣府令で定めるものを含む。)に基づいて作成された書面に限る。以下この項及び次項において「半期代替書面」という。)を半期報告書と併せて内閣総理大臣に提出する場合において、公益又は投資者保護に欠けることがないものとして内閣府令で定めるところにより内閣総理大臣の承認を受けた場合における第一項及び第二項の規定の適用については、第一項中「内閣府令で定める事項」とあるのは「内閣府令で定める事項(第十三項に規定する半期代替書面に記載された事項を除く。)」と、第二項中「同項に規定する事項」とあるのは「同項に規定する事項(第十三項に規定する半期代替書面に記載された事項を除く。)」とする。
- In cases where a company required to submit Semiannual Securities Reports under paragraph (1) (limited to cases where it is applied mutatis mutandis pursuant to paragraph (3); hereinafter the same shall apply in this paragraph and following paragraph) submits, pursuant to the provisions of a Cabinet Office Ordinance, documents containing descriptions on part of the matters specified by a Cabinet Office Ordinance under paragraph (1) (limited to documents prepared based on laws and regulations or rules of a Financial Instruments Exchange (including those specified by a Cabinet Office Ordinance as being similar to such rules); such documents are hereinafter referred to as 'Documents Substituting Part of a Semiannual Securities Report' in this paragraph and the following paragraph) together with a Semiannual Securities Report to the Prime Minister, with regard to the application of paragraph (1) and (2) to cases approved by the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance as those where the public interest or protection of investors would not be impaired, the term 'other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors' in paragraph (1) shall be deemed to be replaced with 'other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors (excluding matters stated in Documents Substituting Part of a Semiannual Securities Report as defined in paragraph (13))'; and the term 'the matters set forth in the preceding paragraph' in paragraph (2) shall be deemed to be replaced with 'the matters set forth in the preceding paragraph (excluding matters stated in Documents Substituting Part of a Semiannual Securities Report as defined in paragraph (13)).'
- 第一項(第五項において準用する場合に限る。以下この条において同じ。)の規定により有価証券報告書を提出しなければならない会社が、内閣府令で定めるところにより、第一項に規定する内閣府令で定める事項の一部を記載した書面(法令又は金融商品取引所の規則(これに類するものとして内閣府令で定めるものを含む。)に基づいて作成された書面に限る。以下この項及び次項において「報告書代替書面」という。)を有価証券報告書と併せて内閣総理大臣に提出する場合において、公益又は投資者保護に欠けることがないものとして内閣府令で定めるところにより内閣総理大臣の承認を受けた場合における第一項及び第二項の規定の適用については、第一項中「内閣府令で定める事項」とあるのは「内閣府令で定める事項(第十四項に規定する報告書代替書面に記載された事項を除く。)」と、第二項中「同項本文に規定する事項」とあるのは「同項本文に規定する事項(第十四項に規定する報告書代替書面に記載された事項を除く。)」とする。
- In cases where a company required to submit Annual Securities Reports under paragraph (1) (limited to cases where it is applied mutatis mutandis pursuant to paragraph (5); hereinafter the same shall apply in this Article) submits, pursuant to the provisions of a Cabinet Office Ordinance, documents containing descriptions on part of the matters specified by a Cabinet Office Ordinance under paragraph (1) (limited to documents prepared based on laws and regulations or rules of a Financial Instruments Exchange (including those specified by a Cabinet Office Ordinance as being similar to such rules); such documents are hereinafter referred to as 'Documents Substituting Part of an Annual Securities Report' in this paragraph and the following paragraph) together with an Annual Securities Report to the Prime Minister, with regard to the application of paragraphs (1) and (2) to cases approved by the Prime Minister as specified by a Cabinet Office Ordinance as those where the public interest or protection of investors would not be impaired, the term 'other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors' in paragraph (1) shall be deemed to be replaced with 'other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors (excluding matters stated in Documents Substituting Part of an Annual Securities Report defined in paragraph (14))'; and the term 'among the matters set forth in the main clause of Article 5(1)' in paragraph (2) shall be deemed to be replaced with 'among the matters set forth in the main clause of Article 5(1) (excluding matters stated in Documents Substituting Part of an Annual Securities Report defined in paragraph (14)).'
- 改正法附則第十三条第一項の主務省令で定めるものは、施行日までにその決済を結了していない取引について、改正法による改正前の商品取引所法第九十七条第一項の規定により委託証拠金として預託を受けている金銭及び有価証券の価額が新法第百三条第一項又は第百七十九条第一項の規定により当該取引の取次者(新法第百三条第一項第二号又は第百七十九条第一項第一号ロに規定する取次者をいう。)、委託者(同法第百三条第一項第二号又は第百七十九条第一項第一号ロに規定する委託者をいう。)、取次委託者(同法第百三条第一項第四号又は第百七十九条第一項第一号ニに規定する取次委託者をいう。)、清算取次者(同項第二号ロに規定する清算取次者をいう。)、清算取次委託者(同号ロに規定する清算取次委託者をいう。)又は清算取次者に対する委託者(同号ニに規定する清算取次者に対する委託者をいう。)が取引証拠金として預託すべき金銭及び有価証券の価額を超える場合にあっては、当該超える部分に相当する金銭及び有価証券とする。
- With regard to transactions which have not yet been settled by the Effective Date, when the amount of cash and the value of Securities deposited as Customer Margins pursuant to the provisions of Article 97, paragraph (1) of the Commodity Exchange Act prior to the amendments by the Revised Act exceeds the amount of cash and value of Securities that shall be deposited with an Intermediary (which means an Intermediary prescribed in Article 103, paragraph (1), item (ii), or Article 179, paragraph (1), item (i), (b) of the New Act), a Customer (which means a Customer prescribed in Article 103, paragraph (1), item (ii), or Article 179, paragraph (1), item (i), (b) of the same Act), an Intermediation Customer (which means an Intermediation Customer prescribed in Article 103, paragraph (1), item (iv), or Article 179, paragraph (1), item (i), (d) of the same Act), a Clearing Intermediary (a Clearing Intermediary prescribed in the same paragraph, item (ii), (b)); a Clearing Intermediation Customer (which means a Clearing Intermediation Customer prescribed in the same item, (b)), or a Customer of the Clearing Intermediary (which means a Customer of the Clearing Intermediary prescribed in the same item, (d)) of said transaction, pursuant to the provisions of Article 103, paragraph (1) or Article 179, paragraph (1) of the New Act, cash and Securities specified by an ordinance of the competent ministry set forth in Article 13, paragraph (1) of the Supplementary Provisions of the Revised Act shall be cash and Securities corresponding to such excess portion.
- 第二十四条第八項、第九項及び第十一項から第十三項までの規定は、外国会社である親会社等が親会社等状況報告書を提出する場合について準用する。この場合において、同条第八項中「外国会社(第二十三条の三第四項の規定により有価証券報告書を提出したものを含む。以下「報告書提出外国会社」という。)」とあるのは「外国会社である親会社等(第二十四条の七第一項に規定する親会社等をいう。以下この条において同じ。)」と、「外国において開示(当該外国の法令(外国金融商品市場を開設する者その他の内閣府令で定める者の規則を含む。)に基づいて当該外国において公衆の縦覧に供されることをいう。第二十四条の四の七第六項及び第二十四条の五第七項において同じ。)が行われている有価証券報告書等に類する」とあるのは「親会社等状況報告書に記載すべき事項を記載した」と、同条第九項中「、当該外国会社報告書に記載されていない事項のうち公益又は投資者保護のため必要かつ適当なものとして内閣府令で定めるものを記載した書類その他」とあるのは「その他」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
- Article 24(8), (9) and (11) to (13) shall apply mutatis mutandis to cases where a Parent Company, etc. which is a foreign company submits a Status Report of Parent Company, etc. In this case, the parts 'a foreign company,' ') (including foreign companies which have submitted Annual Securities Reports under Article 23-3(4); hereinafter referred as to 'Reporting Foreign Company'),' and 'and are similar to Annual Securities Reports, etc. Disclosed in a Foreign State (meaning the state of having been made available for public inspection under laws and regulations under the foreign state (including the rules provided for by the operator of a Foreign Financial Instruments Market or other person specified by a Cabinet Office Ordinance); the same shall apply hereinafter in Articles 24-4-7(6) and 24-5(7))' in Article 24(8) shall be deemed to be replaced with 'a Parent Company, etc. which is a foreign company (meaning Parent Company, etc. as defined by Article 24-7(1); hereinafter the same shall apply in this Article),' '),' and 'and states the matters to be stated in the Status Report of Parent Company, etc.,' respectively; the part 'documents stating the matters specified by a Cabinet Office Ordinance as those necessary and appropriate for the public interest or protection of investors among the matters not stated in the Foreign Company Report, and other' in Article 24(9) shall be deemed to be replaced with 'other'; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
- 有価証券の募集又は売出しを予定している当該有価証券の発行者で、第五条第四項に規定する者に該当するものは、当該募集又は売出しを予定している有価証券の発行価額又は売出価額の総額(以下「発行予定額」という。)が一億円以上の場合においては、内閣府令で定めるところにより、当該募集又は売出しを予定している期間(以下「発行予定期間」という。)、当該有価証券の種類及び発行予定額又は発行若しくは売出しの限度額、当該有価証券について引受けを予定する金融商品取引業者又は登録金融機関のうち主たるものの名称その他の事項で公益又は投資者保護のため必要かつ適当なものとして内閣府令で定めるものを記載した書類(以下「発行登録書」という。)を内閣総理大臣に提出して、当該有価証券の募集又は売出しを登録することができる。ただし、その有価証券発行勧誘等が第二十三条の十三第一項に規定する適格機関投資家向け勧誘(同項本文の規定の適用を受けるものに限る。)に該当するものであつた有価証券の売出し(当該有価証券に関して開示が行われている場合を除く。)及びその有価証券発行勧誘等が同条第三項に規定する少人数向け勧誘(同項本文の規定の適用を受けるものに限る。)に該当するものであつた有価証券の売出し(当該有価証券に関して開示が行われている場合を除く。)を予定している場合は、この限りでない。
- The Issuer of Securities of which Public Offerings or Secondary Distributions are planned may, if he/she satisfies requirements specified in Article 5(4) and the total issue price or the total distribution amount of the Securities of which Public Offerings or Secondary Distributions are planned (hereinafter referred to as the 'Planned Amount of Issue') is 100 million yen or more, register Public Offerings or Secondary Distributions of the Securities by submitting a document which, pursuant to the provisions of a Cabinet Office Ordinance, state the matters specified by a Cabinet Office Ordinance as those necessary and appropriate for the public interest or protection of investors, including the period in which Public Offerings or Secondary Distributions of the Securities are planned (hereinafter referred to as the 'Planned Issue Period'), the kind of the Securities, the Planned Amount of Issue or the maximum amount of issue or distribution, and names of principal Financial Instruments Business Operators and/or Registered Financial Institutions which plan to underwrite the Securities (such document is hereinafter referred to as a 'Shelf Registration Statement') to the Prime Minister; provided, however, that this shall not apply to cases where a second distribution is planned for the Securities of which Solicitation for Newly Issued Securities, etc. was conducted in a manner falling under the category of Solicitation Only for Qualified Institutional Investors defined in Article 23-13(1) (limited to Solicitation Only for Qualified Institutional Investors to which the main clause of Article 23-13(1) is applicable) (excluding the Case Where Disclosures Have Been Made with regard to the Securities) or where a second distribution is planned for the Securities of which Solicitation for Newly Issued Securities, etc. was conducted in a manner falling under the category of Solicitation for Small Number of Investors defined in Article 23-13(3) (limited to Solicitation for Small Number of Investors to which the main clause of Article 23-13(3) is applicable) (excluding the Case Where Disclosures Have Been Made with regard to the Securities).
- 株券、新株予約権付社債券その他の政令で定める有価証券(以下この項において「株券関連有価証券」という。)で金融商品取引所に上場されているもの(流通状況がこれに準ずるものとして政令で定める株券関連有価証券を含む。)の発行者である法人が発行者(内閣府令で定める有価証券については、内閣府令で定める者。第二十七条の三十第二項を除き、以下この章及び第二十七条の三十の十一第四項において同じ。)である対象有価証券(当該対象有価証券に係るオプション(当該オプションの行使により当該行使をした者が当該オプションに係る対象有価証券の売買において買主としての地位を取得するものに限る。)を表示する第二条第一項第十九号に掲げる有価証券その他の当該対象有価証券に係る権利を表示するものとして政令で定めるものを含む。以下この章及び第二十七条の三十の十一第四項において「株券等」という。)の保有者で当該株券等に係るその株券等保有割合が百分の五を超えるもの(以下この章において「大量保有者」という。)は、内閣府令で定めるところにより、株券等保有割合に関する事項、取得資金に関する事項、保有の目的その他の内閣府令で定める事項を記載した報告書(以下「大量保有報告書」という。)を大量保有者となつた日から五日(日曜日その他政令で定める休日の日数は、算入しない。第二十七条の二十五第一項及び第二十七条の二十六において同じ。)以内に、内閣総理大臣に提出しなければならない。ただし、第四項に規定する保有株券等の総数に増加がない場合その他の内閣府令で定める場合については、この限りでない。
- A holder of the Target Securities (including the Securities listed in Article 2(1)(xix) indicating the Options pertaining to said Target Securities (limited to the Options which cause a person who has exercised said Options to acquire a position as a buyer in the sales or purchase of the Target Securities pertaining to said Options) and other Securities specified by a Cabinet Order as those which indicate the rights pertaining to said Target Securities) whose issuer is a juridical person which is an issuer (with regard to the Securities specified by a Cabinet Office Ordinance, a person specified by a Cabinet Office Ordinance; the same shall apply hereinafter in this Chapter and Article 27-30-11(4), except for Article 27-30(2)) of share certificates, bonds with share option and other Securities specified by a Cabinet Order (hereinafter referred to as the 'Securities Related to Share Certificates' in this paragraph) that are listed on a Financial Instruments Exchange (including the Securities Related to Share Certificates specified by a Cabinet Order as those of which the state of distribution can be regarded as being equivalent to said Securities) (such Securities shall be hereinafter collectively referred to as the 'Share Certificates, etc.' in this Chapter and Article 27-30-11(4)), and whose Holding Ratio of Share Certificates, etc. pertaining to said Share Certificates, etc. exceeds 5% (such holder shall be hereinafter referred to as a 'Large Volume Holder' in this Chapter) shall, pursuant to the provisions of a Cabinet Office Ordinance, submit to the Prime Minister a report that contains the matters related to the Holding Ratio of Share Certificates, etc., matters related to the funds for the acquisition, purposes of holding and any other matters specified by a Cabinet Office Ordinance (such report shall be hereinafter referred to as 'Reports of Possession of Large Volume'), within five days from the date on which such person has come to be a Large Volume Holder (Sundays and other holidays specified by a Cabinet Order shall not be included for the purpose of counting days; the same shall apply in Article 27-25(1) and Article 27-26); provided, however, that this shall not apply to the cases where there is no increase in the total number of the Share Certificates, etc. held set forth in paragraph (4) or to any other case specified by a Cabinet Office Ordinance.
- 第二十四条第八項、第九項及び第十一項から第十三項までの規定は、報告書提出外国会社が第一項又は第二項の規定による内部統制報告書を提出する場合(外国会社報告書を提出している場合に限る。)について準用する。この場合において、同条第八項中「外国会社(第二十三条の三第四項の規定により有価証券報告書を提出したものを含む。以下「報告書提出外国会社」という。)」とあるのは「外国会社」と、「第一項の規定による有価証券報告書及び第六項の規定によりこれに添付しなければならない書類(以下この条において「有価証券報告書等」という。)」とあるのは「第二十四条の四の四第一項又は第二項(これらの規定を同条第三項において準用する場合を含む。)の規定による内部統制報告書及び同条第四項の規定によりこれに添付しなければならない書類(以下この条において「内部統制報告書等」という。)」と、「外国において開示(当該外国の法令(外国金融商品市場を開設する者その他の内閣府令で定める者の規則を含む。)に基づいて当該外国において公衆の縦覧に供されることをいう。第二十四条の四の七第六項及び第二十四条の五第七項において同じ。)が行われている有価証券報告書等に類する」とあるのは「内部統制報告書等に記載すべき事項を記載した」と、同条第九項中「、当該外国会社報告書に記載されていない事項のうち公益又は投資者保護のため必要かつ適当なものとして内閣府令で定めるものを記載した書類その他」とあるのは「その他」と、同条第十一項中「有価証券報告書等」とあるのは「内部統制報告書等」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
- Article 24(8), (9) and (11) to (13) shall apply mutatis mutandis to cases where a Reporting Foreign Company submits an Internal Control Report under paragraph (1) or (2) of this Article (limited to cases where the Reporting Foreign Company submits Foreign Company Reports). In this case, the parts ') (including foreign companies which have submitted Annual Securities Reports under Article 23-3(4); hereinafter referred as to 'Reporting Foreign Company'),' 'Annual Securities Reports to be submitted under paragraph (1) and the documents to be attached thereto under paragraph (6) (hereinafter collectively referred to as 'Annual Securities Reports, etc.' in this Article)' and 'and are similar to Annual Securities Reports, etc. Disclosed in a Foreign State (meaning the state of having been made available for public inspection under laws and regulations under the foreign state (including the rules provided for by the operator of a Foreign Financial Instruments Market or other person specified by a Cabinet Office Ordinance); the same shall apply hereinafter in Articles 24-4-7(6) and 24-5(7))' in Article 24(8) shall be deemed to be replaced with '),' 'an Internal Control Report to be submitted under Article 24-4-4(1) or (2) (including the cases where they are applied mutatis mutandis pursuant to Article 24-4-4(3)) and documents to be attached under Article 24-4-4(4) (hereinafter collectively referred to as an 'Internal Control Report, etc.')' and 'and states the matters to be stated in the Internal Control Report, etc.,' respectively; the part 'documents stating the matters specified by a Cabinet Office Ordinance as those necessary and appropriate for the public interest or protection of investors among the matters not stated in the Foreign Company Report, and other' in Article 24(9) shall be deemed to be replaced with 'other'; the term 'Annual Securities Reports, etc.' in Article 24(11) shall be deemed to be replaced with 'Internal Control Report, etc.'; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
- 第二十四条第八項、第九項及び第十一項から第十三項までの規定は、報告書提出外国会社が第一項又は第二項の規定により確認書を提出する場合(外国会社報告書を提出している場合に限る。)について準用する。この場合において、同条第八項中「外国会社(第二十三条の三第四項の規定により有価証券報告書を提出したものを含む。以下「報告書提出外国会社」という。)」とあるのは「外国会社」と、「第一項の規定による有価証券報告書及び第六項の規定によりこれに添付しなければならない書類(以下この条において「有価証券報告書等」という。)」とあるのは「第二十四条の四の二第一項又は第二項(これらの規定を同条第三項(同条第四項において準用する場合を含む。)及び第四項において準用する場合を含む。)の規定による確認書」と、「外国において開示(当該外国の法令(外国金融商品市場を開設する者その他の内閣府令で定める者の規則を含む。)に基づいて当該外国において公衆の縦覧に供されることをいう。第二十四条の四の七第六項及び第二十四条の五第七項において同じ。)が行われている有価証券報告書等に類する」とあるのは「確認書に記載すべき事項を記載した」と、同条第九項中「、当該外国会社報告書に記載されていない事項のうち公益又は投資者保護のため必要かつ適当なものとして内閣府令で定めるものを記載した書類その他」とあるのは「その他」と、同条第十一項中「有価証券報告書等」とあるのは「第二十四条の四の二第一項又は第二項(これらの規定を同条第三項(同条第四項において準用する場合を含む。)及び第四項において準用する場合を含む。)の規定による確認書」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
- Article 24(8), (9) and (11) to (13) shall apply mutatis mutandis to cases where a Reporting Foreign Company submits a Confirmation Letter under paragraph (1) or (2) of this Article (limited to cases where the Reporting Foreign Company submits a Foreign Company Report). In this case, the parts ') (including foreign companies which have submitted Annual Securities Reports under Article 23-3(4); hereinafter referred as to 'Reporting Foreign Company'),' 'Annual Securities Reports to be submitted under paragraph (1) and the documents to be attached thereto under paragraph (6) (hereinafter collectively referred to as 'Annual Securities Reports, etc.' in this Article)' and 'and are similar to Annual Securities Reports, etc. Disclosed in a Foreign State (meaning the state of having been made available for public inspection under laws and regulations under the foreign state (including the rules provided for by the operator of a Foreign Financial Instruments Market or other person specified by a Cabinet Office Ordinance); the same shall apply hereinafter in Articles 24-4-7(6) and 24-5(7))' in Article 24(8) shall be deemed to be replaced with '),' 'a Confirmation Letter to be submitted under Article 24-4-2(1) or (2) (including the cases where they are applied mutatis mutandis pursuant to Article 24-4-2(3) (including the cases where it is applied mutatis mutandis pursuant to Article 24-4-2(4)) or Article 24-4-2(4))' and 'and states the matters to be stated in the Confirmation Letter,' respectively; the part 'documents stating the matters specified by a Cabinet Office Ordinance as those necessary and appropriate for the public interest or protection of investors among the matters not stated in the Foreign Company Report, and other' in Article 24(9) shall be deemed to be replaced with 'other'; the term 'Annual Securities Reports, etc.' in Article 24(11) shall be deemed to be replaced with 'a Confirmation Letter to be submitted under Article 24-4-2(1) or (2) (including the cases where they are applied mutatis mutandis pursuant to Article 24-4-2(3) (including the cases where it is applied mutatis mutandis pursuant to Article 24-4-2(4)) or Article 24-4-2(4))'; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
- 会社法第八百二十八条第一項(第七号及び第八号に係る部分に限る。)及び第二項(第七号及び第八号に係る部分に限る。)、第八百三十四条(第七号及び第八号に係る部分に限る。)、第八百三十五条第一項、第八百三十六条から第八百三十九条まで、第八百四十三条(第一項第三号及び第四号並びに第二項ただし書を除く。)、第八百四十六条並びに第九百三十七条第三項(第二号及び第三号に係る部分に限る。)及び第四項の規定は第百三十六条第一項の合併の無効の訴えについて、同法第八百六十八条第五項、第八百七十条(第十五号に係る部分に限る。)、第八百七十一条本文、第八百七十二条(第四号に係る部分に限る。)、第八百七十三条本文、第八百七十五条及び第八百七十六条の規定はこの条において準用する同法第八百四十三条第四項の申立てについて、それぞれ準用する。この場合において、同法第八百二十八条第二項第七号中「株主等若しくは社員等」とあるのは「会員等(会員、理事長、理事、監事又は清算人をいう。以下この号において同じ。)」と、「株主等、社員等」とあるのは「会員等、株主等(株主、取締役又は清算人(監査役会設置会社にあっては株主、取締役、監査役又は清算人、委員会設置会社にあっては株主、取締役、執行役又は清算人)をいう。)」と、同項第八号中「株主等若しくは社員等」とあるのは「会員等(会員、理事長、理事、監事又は清算人をいう。以下この号において同じ。)若しくは株主等(株主、取締役又は清算人(監査役会設置会社にあっては株主、取締役、監査役又は清算人、委員会設置会社にあっては株主、取締役、執行役又は清算人)をいう。以下この号において同じ。)」と、「株主等、社員等」とあるのは「会員等、株主等」と、同法第九百三十七条第三項中「本店」とあるのは「本店(会員金融商品取引所にあっては、主たる事務所及び従たる事務所)」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
- The provisions of Article 828, paragraph (1) (limited to the parts pertaining to item (vii) and item (viii)) and paragraph (2) (limited to the parts pertaining to item (vii) and item (viii)), Article 834 (limited to the parts pertaining to item (vii) and item (viii)), Article 835(1), Articles 836 to 839 inclusive, Article 843 (excluding paragraph (1), item (iii) and item (iv) and the proviso to paragraph (2)), Article 846 and Article 937, paragraph (3) (limited to the parts pertaining to item (ii) and item (iii)) and paragraph (4) of the Companies Act shall apply mutatis mutandis to an action seeking invalidation of merger under Article 136(1); and the provisions of Article 868(5), Article 870 (limited to the parts pertaining to item (xv)), the main clause of Article 871, Article 872 (limited to the part pertaining to item (iv)), the main clause of Article 873, Article 875 and Article 876 of said Act shall apply mutatis mutandis to filing of the motion under Article 843(4) of said Act as applied mutatis mutandis pursuant to this Article. In this case, the term 'Shareholders, etc. or Members, etc.' in Article 828(2)(vii) of the Companies Act shall be deemed to be replaced with 'Member, etc. (meaning members, presidents, directors, auditors or liquidators; hereinafter the same shall apply in this item); the term 'Shareholders, etc., Members, etc.' in said item shall be deemed to be replaced with 'Member, etc., Shareholders, etc. (meaning shareholders, directors or liquidators (with regard to a company with auditors, meaning shareholders, directors, auditors or liquidators; and with regard to a company with Committees, meaning shareholders, directors, executive officers or liquidators)); the term 'Shareholders, etc. or Members, etc.' in Article 828(2)(viii) shall be deemed to be replaced with 'Member, etc. (meaning members, presidents, directors, auditors or liquidators; hereinafter the same shall apply in this item) or Shareholders, etc. (meaning shareholders, directors or liquidators (with regard to a company with auditors, meaning shareholders, directors, auditors or liquidators; and with regard to a company with Committees, shareholders, directors, executive officers or liquidators; hereinafter the same shall apply in this item); and the term 'Shareholders, etc., Members, etc.' in said item shall be deemed to be replaced with 'Member, etc., Shareholders, etc.'; and the term 'the head office' in Article 937(3) of said Act shall be deemed to be replaced with 'the head office (with regard to a Membership-Type Financial Instruments Exchange, the principal office and secondary offices); and any other necessary technical replacement of terms shall be specified by a Cabinet Order.