融: 1000 Terms and Phrases
- 融
- Akira
- Satoko
- Tooru
- Nagashi
- Yuu
- Yuzuri
- Ranko
- Ranzou
- dissolve
- melt
- Toru
- 混融
- mixed melting
- power contact
- 祝融
- ancient Chinese god of fire (or spring)
- Zhu Rong (god)
- 棘融解
- acantholysis
- acantholytic
- 低融点
- low melting
- low-melting
- 膜融合
- membrane fusion
- fusogenic
- 融合核
- synkaryon
- fusion nucleus
- 融解湖
- thaw lakes
- thermokarst lakes
- tundra lakes
- tundra ponds
- 融雪量
- snowmelt
- snowmelt amount
- 自己融解
- autolysis
- autolytic
- Autolysis (biology)
- 凍結融解
- freeze thawing
- freezing and melting
- freezing and thawing
- freeze-thaw
- freeze-thawing
- 金融出資
- net interest income (expense)
- 融解温度
- melting temperature
- Tm
- 融合遺伝
- blending inheritance
- 融合細胞
- fused cell
- syncytium
- syncytia
- hybridoma
- 学際融合
- interdisciplinary fusion
- 目加田融
- Mekata Tooru (1940.4-)
- Mekada Tooru
- 溶融速度
- melting rate
- melt-off rate
- 融通電力
- interchanged power
- interchange power
- 金融技術
- financial technology
- 融雪洪水
- flood of melted snow
- snow flood
- snowmeltーflood
- 低利融資
- low-interest loan
- soft loan
- 溶融特性
- melting characteristic
- melt properties
- 融雪流出
- snowmelt run-off
- snowmelt runoff
- 庶民金融
- loans for low-income people
- 金融不安
- financial instability
- financial uncertainty
- financial turmoil
- financial unrest
- financial jitters
- financial anxiety
- 金融逼迫
- monetary stringency
- tight-money situation
- tight credit
- 090金融
- '090' financing
- loan sharks operating from a cellphone (i.e. without a fixed phone number)
- 横紋筋融解
- rhabdomyolysis
- rhabdomyolytic
- 投融資指針
- investment and finance guidelines
- 融合遺伝子
- fusion gene
- fused gene
- 溶融スラグ
- molten slag
- melted slag
- 溶融焼却炉
- slagging type incinerator
- 金融自由化
- financial deregulation (or liberalization)
- 利付金融債
- interest-bearing bank debenture
- 金融監督庁
- Financial Supervisory Agency
- 慣性核融合
- inertial confinement fusion
- 凍結融解法
- freeze-thaw process
- freezing-thawing process
- 表面溶融炉
- surface melting furnace
- 旋回溶融炉
- cyclone melting furnace
- 消融雪水道
- melting or flushing snow waterworks
- 融氷水流路
- meltwater channel
- spillway
- 財政投融資
- Fiscal Investment and Loan Program
- FILP
- treasury investment and loan
- treasury investment and loan (program)
- 消費者金融
- consumer credit (finance, loan)
- consumer finance
- 国際金融業務
- International Financial Business
- ヒト性融合胚
- Human-Animal Clone Embryo
- 動物性融合胚
- Animal-Human Clone Embryo
- アーク溶融炉
- arc melting furnace
- 金融的送電権
- FTR financial transmission right
- 経済融通電力
- power interchange for economical operation
- 特別融通電力
- specially contracted interchanged power
- 全国融通電力
- nation-wide power interchange
- ガラス溶融炉
- glass melting furnace
- 融解積算暖度
- thawing degree days
- 融資関連会社
- financially affiliated (or supported) company
- 溶融温度特性
- melting temperature characteristic
- 金融緩和政策
- easy money policy
- an expansionary monetary policy
- 融氷河流作用
- fluvioglacial actions
- fluvioglacial processes
- 融氷河成段丘
- fluvioglacial terrace
- glacio fluvial terrace
- 復興金融公社
- Reconstruction Finance Corporation
- 住宅金融公庫
- Government Housing Loan Corporation
- the Government Housing Loan Corporation
- Housing Financing Corporation
- housing and loan corporation
- 事業再生融資
- debtor-in-possession financing
- 金融派生商品
- financial derivative
- Derivatives (finance)
- Derivatives market
- 金融商品仲介業
- financial instruments introducing brokerage business
- 金融商品取引所
- financial instruments exchange
- 金融商品取引業
- financial instruments business
- プラズマ溶融炉
- plasma melting furnace
- エネルギー融通
- energy interchange
- 臨界融合周波数
- critical fusion frequency
- 2社間融通電力
- inter-system power exchange
- 国際熱核融合炉
- ITER International Thermonuclear Experimental Reactor
- 財政投融資計画
- fiscal investment and loans program
- Fiscal Investment and Loan Program
- government investment and loans program
- 融氷河流堆積物
- fluvioglacial deposits
- glacio fluvial deposits
- 所管金融庁長官等
- the Commissioner of Financial Services Agency or Other Competent Official;
- 協同組織金融機関
- cooperative financial institution
- 連邦住宅金融銀行
- Federal Home Loan Bank
- 金融的送電権市場
- financial transmission entitlement market
- 金融引き締め政策
- tight-money policy
- プラズマ溶融処理
- plasma melting disposal
- 凍結融解の繰返し
- freeze-thaw cycle
- 斜面整備融資制度
- Slope stabilization financing program
- 出納取扱金融機関
- designated banking institute for receipts and disbursement
- 収納取扱金融機関
- designated banking institution for receipts only
- 住宅金融支援機構
- Japan Housing Finance Agency
- 当該金融商品取引所
- the Financial Instruments Exchange;
- 溶融亜鉛めっき設備
- hot dip galvanizing line
- 公営企業金融公庫債
- municipal utility bond
- 金融工学、理財工学
- financial engineering
- 都市開発融資推進官
- Director for Urban Development Finance
- 溶融亜鉛メッキ鋼板
- galvanized steel sheet
- 金融商品取引清算機関
- Financial Instruments Clearing Organization
- コークスベット溶融炉
- coke bed melting furnace
- 溶融炭酸塩型燃料電池
- molten carbonate fuel cell (MCFC)
- 湿式燃焼炉(融灰炉)
- slag tap furnace
- 電力融通 電力取引所
- power exchange
- 溶融炭酸塩形燃料電池
- MCFC molten carbonate fuel cell
- 都市治水対策融資制度
- Financing program for urban river flood control
- 金融商品取引責任準備金
- Financial Instruments Transaction Liability Reserve
- 金融商品取引所となる法人
- Juridical Person Eligible for Financial Instrument Exchange
- 通貨及び金融の調節の理念
- The Principle of Currency and Monetary Control
- 金融庁長官への権限の委任
- Delegation of Authority to the Commissioner of the Financial Services Agency
- 溶融燃料・冷却材相互作用
- molten fuel-coolant interaction
- 連邦住宅貸付抵当金融会社
- Federal Home Loan Mortgage Corporation
- 海外投融資情報財団(財)
- JOI
- Japan Institute for Overseas Investment
- 混雑収入権、金融的送電権
- CRR congestion revenue rights
- 融解層(レーダーエコー)
- melting band
- 清算中の金融商品会員制法人
- Financial Instruments Membership Corporation in Liquidation
- 金融商品仲介業者に係る制限
- Limitation on Financial Instruments Intermediary Service Providers
- 金融機関等の本人確認義務等
- Obligation to Identify Customers, etc. of Financial Institutions, etc.
- 金融商品の利率に準ずるもの
- Equivalent of Interest Rates for Financial Instruments
- フローディングゾーン溶融法
- floating zone melting method
- 国際金融情報センター(財)
- JCIF
- Japan Center for International Finance
- 金融機関等に対する一時貸付け
- Temporary Loans to Financial Institutions, etc.
- 国際金融業務等に係る経過措置
- Transitional Measures Pertaining to International Financial Business
- EML4-ALK融合タンパク質
- EML4-ALK fusion protein
- 金融商品取引所持株会社への準用
- Application Mutatis Mutandis to Financial Instruments Exchange Holding Company
- 第四目 金融商品取引所持株会社
- Division 4 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
- 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
- 特別国際金融取引勘定の取扱い等
- Handling of the Special International Financial Transactions Account, etc.
- 金融商品取引業から除かれるもの
- Acts Excluded from the Scope of Financial Instruments Services
- 登録金融機関に対する監督上の処分
- Disposition Rendered to a Registered Financial Institution for the Purpose of Supervision
- 登録金融機関に対する業務改善命令
- Order to Improve Business Operation to a Registered Financial Institution
- 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
- 特別国際金融取引勘定承認金融機関
- Approved financial institutions for the special international financial transactions account
- 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
- 金融商品会員制法人は、法人とする。
- A Financial Instruments Membership Corporation shall be a juridical person.
- 財政融資資金の管理及び運用をする者
- a person engaged in the management and investment of the fiscal loan fund;
- 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
- 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
- 非常時融通用マージン(電力自由化)
- CBM Capacity Benefit Margin
- 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
- 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
- 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
- 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の自主的努力の尊重
- Respect for Voluntary Efforts of Financial Instruments Business Operator, etc.
- 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.;
- 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 所管金融庁長官等
- a Financial Instruments Specialist, etc.: the Commissioner of Financial Services Agency or Other Competent Official;
- 金融的送電権(NY-ISOでの名称)
- TCC transmission congestion contract
- 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;
- 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
- 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
- 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
- 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.;
- 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
- 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;
- 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;
- 信託業、保険業又は金融商品取引業を営む者
- Persons who operate trust business, insurance business or financial instruments business;
- 銀行その他の金融機関への預金又は郵便貯金
- Deposits with banks or other financial institutions, or postal savings;
- 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);
- 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)
- 財務省証券その他の融通証券の応募又は引受け
- Subscribing or underwriting financing bills and other financing securities;
- 金融商品取引所の会員等 次に掲げる資本取引
- Member, etc. of a financial instruments exchange: The following capital transactions
- (5) 金融機関等 次に掲げるものをいう。
- Financial Institutions, etc. means the following:
- 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
- スーパー堤防区域内中高層耐火建築物融資制度
- Financing programs for mid-to-high-rise fire-proof buildings in super levee areas
- 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.
- 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.
- 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
- 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
- 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.
- 銀行その他主務大臣の指定する金融機関への預金
- Deposit in a bank or other financial institutions designated by the competent minister
- 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;
- 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
- 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.;
- 法第二条第十一項に規定する登録金融機関をいう。
- Registered Financial Institution as defined in Article 2, paragraph (11) of the Act;
- 前三号に掲げる者のほか、金融庁長官が指定する者
- in addition to those listed in the preceding three items, any person designated by the Commissioner of the Financial Services Agency.
- 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;
- 法第三十四条に規定する金融商品取引業者等をいう。
- Financial Instruments Specialist, etc. as defined in Article 34 of the Act;
- 金融商品取引法第二条第二十二項第三号に掲げる取引
- Transactions listed in Article 2, paragraph (22), item (iii) 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
- 内閣総理大臣及び財務大臣の指定する金融機関への預金
- depositing in a financial institution designated by the Prime Minister and the Minister of Finance; or
- 資産対応証券の募集等に関する金融商品取引法等の準用
- Application Mutatis Mutandis of the Financial Instruments and Exchange Act, etc. to the Public Offering, etc. of Asset-Backed Securities
- 内閣総理大臣の指定する銀行その他の金融機関への預金
- the depositing of surplus funds in a bank or other financial institution designated by the Prime Minister; or
- 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
- 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;
- 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;
- その他の通貨及び金融の調節に関する方針の決定又は変更
- Determining or altering other guidelines for currency and monetary control;
- 売買の別、金融商品の銘柄、数又は金額、価格及び受渡日
- purchase or sale, issues, volumes or amounts, prices and the date of delivery of Financial Instruments;
- 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;
- 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:
- 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.
- 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;
- 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;
- 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.
- 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:
- 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;
- 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);
- 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.
- 第百十条の規定による金融再生委員会設置法第九条第一号の改正規定
- The provisions for revising Article 9, item (i) of the Act for Establishment of the Financial Reconstruction Commission pursuant to Article 110.
- 金融商品取引業者その他の財務省令で定める者 次に掲げる資本取引
- Financial instruments business operators or those specified by the Ordinance of the Ministry of Finance: The following capital transactions
- 法制上及び税制上の措置並びに財政上及び金融上の支援に関する事項
- The matters on necessary legislative and tax measures, and fiscal and financial supports;
- 銀行の営業時間は、金融取引の状況等を勘案して内閣府令で定める。
- Business hours of a Bank shall be specified by Cabinet Office Ordinance by taking into consideration the circumstances such as the status of financial transactions.
- Business hours of a Bank shall be specified by a Cabinet Office Ordinance by taking into consideration the circumstances such as the status of financial transactions.
- 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.
- 次に掲げる通貨及び金融の調節に関する事項は、委員会の議決による。
- The following matters concerning currency and monetary control shall be decided by the Board:
- 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
- 金融庁に、公認会計士・監査審査会(以下「審査会」という。)を置く。
- The Certified Public Accountants and Auditing Oversight Board (hereinafter referred to as the 'Board') shall be established within the Financial Services Agency.
- 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.
- 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.
- 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.
- 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.
- 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.
- 法第十六条の二に規定する政令で定める金融機関は、次に掲げるものとする。
- Financial institutions specified by Cabinet Order as prescribed in Article 16-2 of the Act shall be the following.
- 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;
- 法制上及び税制上の措置並びに財政上及び金融上の支援に関する基本的な事項
- Basic matters regarding the legislative and tax measures, and fiscal and financial supports;
- 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
- 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;
- 日本銀行の通貨及び金融の調節における自主性は、尊重されなければならない。
- The Bank of Japan's autonomy regarding currency and monetary control shall be respected.
- 居住者と非居住者との間の金融指標等先物契約に基づく債権の発生等に係る取引
- Transactions Pertaining to the Occurrence, etc. of Claims based on a futures contract on a financial index, etc. between a resident and a non-resident
- 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
- 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;
- 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;
- 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.
- 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.
- 特定銀行代理業者の営業時間は、金融取引の状況等を勘案して内閣府令で定める。
- Business hours of a Specified Bank Agent shall be specified by Cabinet Office Ordinance by taking into consideration the circumstances such as the status of financial transactions.
- Business hours of a Specified Bank Agent shall be specified by a Cabinet Office Ordinance by taking into consideration the circumstances such as the status of financial transactions.
- 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;
- 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.
- 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.
- 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:
- 第百九十七条において準用する金融商品取引法第三十九条第二項の規定に違反した者
- A person who has violated the provisions of Article 39, paragraph (2) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 197.
- この法律は、金融監督庁設置法(平成九年法律第百一号)の施行の日から施行する。
- This Act shall come into effect as of the day when the Act for Establishment of the Financial Supervisory Agency (Act No. 101 of 1997) comes into effect.
- This Act shall come into effect as from the effective date of the Act for Establishment of the Financial Supervisory Agency (Act No. 101 of 1997).
- This Act shall come into effect as from the day of enforcement of the Finance Supervisory Agency Establishment Act (Act No. 101 of 1997).
- This Act shall come into effect as from the day of enforcement of the Act for Establishment of the Financial Supervisory Agency (Act No. 101 of 1997).
- This Act shall come into effect as from the day when the Act for Establishment of the Financial Supervisory Agency (Act No. 101 of 1997) comes into effect.
- 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;
- 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:
- 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;
- インゴットの送りを制御するために、溶融液の液面制御をレーザー光を用いて行う装置
- Coating devices that effects molten liquid level control by employing laser light to control ingot feeding
- 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.
- 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.
- 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
- 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)).
- 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.
- 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
- 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.
- 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.
- 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
- 第百九十七条において準用する金融商品取引法第三十九条第一項の規定に違反したとき。
- When the Investment Corporation has violated the provisions of Article 39, paragraph (1) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 197.
- 地区内における金融その他の経済の事情が事業を行うのに適切でないと認められるとき。
- When the financial or other economic circumstances in the district are found to be inappropriate for conducting the activities
- 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.
- 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.
- 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;
- 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.
- 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;
- 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.
- 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
- この法律は、金融再生委員会設置法(平成十年法律第百三十号)の施行の日から施行する。
- This Act shall come into effect as of the day when the Act for Establishment of the Financial Reconstruction Commission (Act No. 130 of 1998) comes into effect.
- This Act shall come into effect as from the effective date of the Act for Establishment of the Financial Reconstruction Commission (Act No. 130 of 1998).
- This Act shall come into effect as from the day of enforcement of the Act for Establishment of the Financial Reconstruction Commission (Act No. 130 of 1998).
- This Act shall come into effect as from the day when the Act for Establishment of the Financial Reconstruction Commission (Act No. 130 of 1998) comes into effect.
- 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.
- 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;
- 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
- 金融商品取引法第二条第二十一項第一号に掲げる取引のうち、通貨の売買取引に該当するもの
- Among the transactions listed in Article 2, paragraph (21), item (i) of the Financial Instruments and Exchange Act, those falling under currency sales transactions
- 金融商品取引法第二条第二十二項第一号に掲げる取引のうち、通貨の売買取引に該当するもの
- Among the transactions listed in Article 2, paragraph (22), item (i) of the Financial Instruments and Exchange Act, those falling under currency sales transactions
- 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.
- 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.
- 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:
- 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;
- 登録金融機関業務に関し、不正又は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 unjust act is conducted with regard to a Registered Financial Institution Business, and when the circumstances are especially serious.
- 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
- 政府は、事業協同小組合の組合員に対し、税制上、金融上特別の措置を講じなければならない。
- The government shall put in place special taxation and financial measures for partner of a minor business cooperative.
- 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
- 内閣総理大臣は、この附則による権限(政令で定めるものを除く。)を金融庁長官に委任する。
- The Prime Minister shall delegate his/her authority under these Supplementary Provisions (excluding that specified by Cabinet Order) to the Commissioner of the Financial Services Agency.
- The Prime Minister shall delegate his/her authority under these Supplementary Provisions (excluding the authority specified by a Cabinet Order) to the Commissioner of the Financial Services Agency.
- The Prime Minister shall delegate his/her authority under these Supplementary Provisions (excluding that specified by a Cabinet Order) to the Commissioner of the Financial Services Agency.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 常務に従事する役員が金融業務に関して十分な経験及び識見を有する者でないと認められるとき。
- When any of the managing officers are found to lack sufficient experience and knowledge concerning the financial operations
- デリバティブ取引 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をいう。
- of the Financial Instruments and Exchange Act
- 商品取引員が行う受託契約の締結について準用する金融商品の販売等に関する法律の規定の読替え
- Replacement of Terms of the Provisions of the Act on Sales, etc. of Financial Products as Applied Mutatis Mutandis to Conclusion of Brokerage Contracts by a Futures Commission Merchant
- 一以上の動物性融合胚と一以上の動物胚又は体細胞若しくは胚性細胞とが集合して一体となった胚
- An Embryo produced as a result of aggregation of one or more Animal-Human Clone Embryos and one or more Animal Embryos or Somatic or Embryonic Cells
- 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;
- 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.
- 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.
- 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;
- 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;
- 金融商品取引法第六十七条の十一第一項に規定する店頭売買有価証券登録原簿に登録されている株券
- Share certificates registered in the Registry of Over-the-Counter Traded Securities prescribed in Article 67-11, paragraph (1) of the Financial Instruments and Exchange Act
- 店頭デリバティブ取引 金融商品取引法第二条第二十二項に規定する店頭デリバティブ取引をいう。
- Over-the-counter transactions of derivatives: Meaning over-the-counter transactions of derivatives prescribed in Article 2, paragraph (22) of the Financial Instruments and Exchange Act
- 市場デリバティブ取引 金融商品取引法第二条第二十一項に規定する市場デリバティブ取引をいう。
- Market transactions of derivatives: Meaning market transactions of derivatives prescribed in Article 2, paragraph (21) of the Financial Instruments and Exchange Act
- 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.
- 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:
- 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.
- 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:
- 内閣総理大臣は、この法律の規定による権限(政令で定めるものを除く。)を金融庁長官に委任する。
- The Prime Minister shall delegate the authority under the provisions of this Act (excluding that specified by the Cabinet Order) to the Commissioner of Financial Services Agency.
- 合併等が金融機関相互間の適正な競争関係を阻害する等金融秩序を乱すおそれがないものであること。
- It is unlikely that the Merger, etc. will disturb the order of the financial system, including impeding fair competition among financial institutions; and
- 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.
- 返還資金融資が行われることが顧客資産の返還に係る債務の迅速な履行に必要であると認められること。
- the provision of a Loan of Funds for Refund is found to be necessary for expeditious performance of the obligation pertaining to refund of Customer Assets; and
- 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.
- 不活性の環境における融点、軟化点、分解点又は昇華温度が一、七七〇度未満のセラミック繊維の短繊維
- Short fibers of ceramic fibers with melting points, softening points, decomposition points or sublimating temperature exceeding 1,770 degrees centigrade in an inactive environment
- 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.
- 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;
- 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.
- 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:
- 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.
- 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.
- 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.
- 日本銀行は、考査を行う場合には、当該考査に伴う取引先金融機関等の事務負担に配慮しなければならない。
- The Bank of Japan shall consider the administrative burden incurred by counterparty financial institutions, etc. when carrying out on-site examinations.
- 信託契約の受益者の指定又は変更(金融商品取引法第二条第八項第一号に規定する行為に係るものを除く。)
- Designation or change of the beneficiary of a trust contract (excluding those pertaining to acts prescribed in Article 2, paragraph (8), item (i) of the Financial Instruments and Exchange Act)
- 金融指標等先物契約に基づく債権の発生等に係る取引と類似の取引で外国金融商品市場において行われるもの
- Transactions similar to the transactions pertaining to the occurrence, etc. of claims based on a futures contract on a financial index, etc., which are conducted in the foreign financial instruments market
- 政府は、水産に関する施策を実施するため必要な法制上、財政上及び金融上の措置を講じなければならない。
- The Government shall take necessary legislative, fiscal and financial measures to implement the policies on fisheries.
- 有価証券関連店頭デリバティブ取引 金融商品取引法第二十八条第八項第四号(定義)に掲げる行為をいう。
- Over-the-counter transactions of securities-related derivatives- Transactions of securities-related derivatives prescribed in Article 28, paragraph (8), item (iv) (Definitions) of the Financial Instruments and Exchange Act.
- 政府は、土地に関する施策を実施するため必要な法制上、財政上及び金融上の措置を講じなければならない。
- The government shall take necessary legislative, fiscal and financial arrangements for implementing measures on land.
- 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;
- 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
- 登録金融機関業務又はこれに付随する業務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 pertaining to a Registered Financial Institution Business or accompanying business;
- 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.
- 本邦と外国との間の大量の資金の移動により我が国の金融市場又は資本市場に悪影響を及ぼすことになること。
- The Japanese financial market or capital market is adversely affected by transfer of massive funds between Japan and a foreign state.
- 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.
- 準用金融商品取引法第三十七条の四第一項の規定による書面を交付せず、又は虚偽の記載をした書面を交付した者
- A person who has failed to deliver a document under the provisions of Article 37-4, paragraph (1) of the Financial Instruments and Exchange Act as applied mutatis mutandis or has delivered a document by stating false matters
- A person who has failed to deliver the document under Article 37-4(1) of the Financial Instruments and Exchange Act as Applied Mutatis Mutandis or has delivered a document with making false statements.
- 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.
- 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.
- 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
- 日本銀行は、我が国の中央銀行として、銀行券を発行するとともに、通貨及び金融の調節を行うことを目的とする。
- The purpose of the Bank of Japan, or the central bank of Japan, is to issue banknotes and to carry out currency and monetary control.
- イ又はロに掲げる胚の胚性細胞であって核を有するものがヒト除核卵又は動物除核卵と融合することにより生ずる胚
- An Embryo produced by Fusion between an Embryonic Cell with a cell nucleus of an Embryo listed in (a) or (b) and a human or Animal Enucleated Egg
- 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.
- 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.
- 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.
- 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.
- 日本銀行は、通貨及び金融の調節に関する意思決定の内容及び過程を国民に明らかにするよう努めなければならない。
- The Bank of Japan shall endeavor to clarify to the citizen the content of its decisions, as well as its decision-making process, regarding currency and monetary control.
- 内閣総理大臣は、この法律(第十九条を除く。)による権限(政令で定めるものを除く。)を金融庁長官に委任する。
- The Prime Minister shall delegate the authority under this Act (excluding Article 19) to the Commissioner of the Financial Services Agency except for those prescribed by a Cabinet Order.
- 金融機関の信託業務の兼営等に関する法律により行う同法第一条第一項(兼営の認可)に規定する信託業務に係る事業
- Activities pertaining to trust business prescribed in Article 1, paragraph (1) (Approval of Provision of Trust Business) of the Act on Provision, etc. of Trust Business by Financial Institutions pursuant to the same Act
- 政府は、森林及び林業に関する施策を講ずるに当たっては、必要な資金の融通の適正円滑化を図らなければならない。
- In taking measures for forest and forestry, the Government shall endeavor to provide adequate financial support smoothly.
- 何人も、人クローン胚、ヒト動物交雑胚、ヒト性融合胚又はヒト性集合胚を人又は動物の胎内に移植してはならない。
- No person shall transfer a Human Somatic Cell Nuclear Transfer Embryo, Human-Animal Hybrid Embryo, Human-Animal Clone Embryo or Human-Animal Chimeric Embryo into a human or Animal uterus.
- 金融商品取引法第二条第二十二項第二号に掲げる取引又は同項第三号に掲げる取引のうち、通貨の金融指標に係るもの
- Among the transactions listed in Article 2, paragraph (22), item (ii) of the Financial Instruments and Exchange Act or the transactions listed in item (iii) of the said paragraph, those pertaining to a financial index for a currency
- 金融関連業務 銀行業、有価証券関連業、保険業又は信託業に付随し、又は関連する業務として内閣府令で定めるもの
- Financial Services: Business specified by Cabinet Office Ordinance as being incidental or related to Banking, Securities Services, Insurance Services or Trust Business;
- Finance-Related Business: Business specified by a Cabinet Office Ordinance as those being incidental or related to Banking Business, Securities-Related Business, Insurance Business or Trust Business;
- 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.
- 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.
- 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.
- この政令は、証券取引法及び金融先物取引法の一部を改正する法律の施行の日(平成十二年十二月一日)から施行する。
- This Cabinet Order shall come into effect as from the date of enforcement (December 1, 2000) of the Act on the Partial Revision of the Securities and Exchange Act and the Financial Futures Trading Act.
- イからハまでに掲げる胚の胚性細胞であって核を有するものがヒト除核卵又は動物除核卵と融合することにより生ずる胚
- An Embryo produced by Fusion between a Human or Animal Enucleated Egg and an Embryonic Cell with a cell nucleus of an Embryo listed in (a) to (c) inclusive
- 二以上の動物性融合胚が集合して一体となった胚(当該胚と体細胞又は胚性細胞とが集合して一体となった胚を含む。)
- An Embryo produced as a result of aggregation of two or more Animal-Human Clone Embryos (including an Embryo produced as a result of aggregation of such an Embryo and a Somatic or Embryonic Cell)
- 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;
- 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.
- 登録金融機関は、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 Registered Financial Institution shall, pursuant to the provisions of a Cabinet Office Ordinance, prepare and preserve the books and documents related to its business.
- 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.
- 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;
- 特別国際金融取引勘定とその他の勘定との間における資金の振替については、次に定めるところによらなければならない。
- The transfer of funds between the special international financial transactions account and other accounts shall be as prescribed below.
- 公示送達は、送達すべき書類を送達を受けるべき者にいつでも交付すべき旨を金融庁の掲示場に掲示することにより行う。
- Service by publication is made by way of a posting on the notice board of the Financial Services Agency to the effect that the documents to be served shall be delivered at any time to the person to be served.
- 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;
- 金融商品取引法第二条第二十二項第三号に掲げる取引のうち、通貨に係るもの(ハに掲げる取引に該当するものを除く。)
- Among the transactions listed in Article 2, paragraph (22), item (iii) of the Financial Instruments and Exchange Act, those pertaining to a currency (excluding those falling under the transactions listed in (c))
- 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.
- 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;
- 日本銀行は、我が国の中央銀行として、法令で定めるところにより、通貨及び金融に関する国の事務を取り扱うものとする。
- As the central bank of Japan, the Bank of Japan shall handle national government affairs concerning currency and finance, pursuant to laws and regulations.
- 金融庁長官は、第六項の規定による届出が行われたときは、遅滞なく、届出のあった事項を官報に公告しなければならない。
- When the notification under paragraph (6) has been filed, the Commissioner of the Financial Services Agency shall give public notice of the matters so notified in the Official Gazette without delay.
- 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;
- 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).
- 政府は、海洋に関する施策を実施するために必要な法制上、財政上又は金融上の措置その他の措置を講じなければならない。
- The Government shall take necessary legislative, fiscal or financial measures, and other measures in order to implement measures with regard to the oceans.
- 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;
- 返還資金融資による貸付金が顧客資産の返還に係る債務の迅速な履行のために使用されることが確実であると認められること。
- it is found that the loaned money through a Loan of Funds for Refund will certainly be used for expeditious performance of the obligation pertaining to the refund of Customer Assets.
- 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.
- 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.
- ヒト性融合胚 次のいずれかに掲げる胚(当該胚が一回以上分割されることにより順次生ずるそれぞれの胚を含む。)をいう。
- Human-Animal Clone Embryo Any of the following Embryos (including each Embryo produced successively by single or multiple splitting of such an Embryo):
- 金融等デリバティブ取引の媒介、取次ぎ又は代理(第十六号に掲げる事業に該当するもの及び内閣府令で定めるものを除く。)
- Acting as an intermediary, an introducing broker or an agent in carrying out financial derivative transactions (excluding such activities that fall under the activities set forth in item (xvi) and those specified by a Cabinet Office Ordinance)
- 一の細胞であるイに掲げる胚又はイに掲げる胚の胚性細胞であって核を有するものがヒト除核卵と融合することにより生ずる胚
- An Embryo produced by Fusion between a Human Enucleated Egg and an Embryo at the one-cell stage described in (a) or an Embryonic Cell with a cell nucleus of an Embryo described in (a)
- 動物性融合胚 次のいずれかに掲げる胚(当該胚が一回以上分割されることにより順次生ずるそれぞれの胚を含む。)をいう。
- Animal-Human Clone Embryo Any of the following Embryos (including each Embryo produced successively by single or multiple splitting of such an Embryo):
- 一の細胞であるイに掲げる胚又はイに掲げる胚の胚性細胞であって核を有するものが動物除核卵と融合することにより生ずる胚
- An Embryo produced by Fusion between an Animal Enucleated Egg and either an Embryo at the one-cell stage described in (a) or an Embryonic Cell with a cell nucleus of an Embryo described in (a)
- 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.;
- 金融商品取引法第二条第二十一項第三号に掲げる取引(同項第二号に掲げる取引に係るものを除く。)のうち、通貨に係るもの
- Among the transactions listed in Article 2, paragraph (21), item (iii) of the Financial Instruments and Exchange Act (excluding those pertaining to the transactions listed in item (ii) of the said paragraph), those pertaining to a currency
- 金融等デリバティブ取引の媒介、取次ぎ又は代理(第十三号に掲げる業務に該当するもの及び内閣府令で定めるものを除く。)
- Intermediation, brokerage or agency for Financial Derivative Transactions (excluding such business that falls under the category of business specified in item (xiii) and such business that is specified by Cabinet Office Ordinance);
- Intermediary, brokerage or agency service of Financial Derivative Transactions (excluding such business that falls under the category of business specified in item (xiii) and such business that is specified by a Cabinet Office Ordinance);
- 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.
- 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).
- 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.
- 第百九十七条において準用する金融商品取引法第三十九条第五項の規定による申請書又は書類に虚偽の記載をして提出したとき。
- When an Investment Corporation has entered a false statement in the written application or documents prescribed in Article 39, paragraph (5) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 197 and submitted them.
- 委員会は、前項の規定により委任された権限を行使したときは、速やかに、その結果について金融庁長官に報告するものとする。
- When the Commission has exercised any of the authority delegated thereto under the preceding paragraph, it shall promptly report the results thereof to the Commissioner of the Financial Services Agency.
- The Commission shall, when it exercises the authority delegated pursuant to the provisions of the preceding paragraph, promptly report to the Commissioner of the Financial Services Agency on the results thereof.
- 金融商品取引法第百九十三条の二第一項又は第二項の規定により監査証明を受けなければならない者(政令で定める者を除く。)
- A person who needs to receive audit attestation pursuant to the provisions of Article 193-2(1) or (2) of the Financial Instruments and Exchange Act (excluding one specified by Cabinet Order)
- 動物の体細胞、一の細胞である動物胚又は動物胚の胚性細胞であって核を有するものがヒト除核卵と融合することにより生ずる胚
- An Embryo produced by Fusion between a Human Enucleated Egg and either an Animal Somatic Cell or an Animal Embryo at the one-cell stage or an Embryonic Cell with a cell nucleus of an Animal Embryo
- 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;
- 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.
- 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.
- 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.
- 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.
- 国は、エネルギーの使用の合理化等を促進するために必要な財政上、金融上及び税制上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 fiscal, financial and taxation measures necessary to promote the rational use of energy, etc.
- 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;
- その他内閣府令(金融破綻処理制度及び金融危機管理に係るものについては、内閣府令・財務省令)で定める場合に該当するとき。
- When it falls under any other case specified by Cabinet Office Ordinance (or Cabinet Office Ordinance and Ordinance of the Ministry of Finance regarding the matters concerning the system for disposal of failed financial institutions and concerning financial risk management).
- When it falls under any other case specified by a Cabinet Office Ordinance (or a Cabinet Office Ordinance and an Ordinance of the Ministry of Finance regarding the matters concerning the system for disposal of failed financial institutions and concerning financial risk management).
- 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:
- 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:
- 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.
- 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.
- 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.
- この法律において「受託信託会社等」とは、特定目的信託の受託者である信託会社又は信託業務を営む銀行その他の金融機関をいう。
- The term 'Fiduciary Trust Company, etc.' as used in this Act means a Trust Company or a Bank or any other financial institution that carries out trust business and which serves as the trustee of a Specific Purpose Trust.
- 第二百九条第一項において準用する金融商品取引法第三十九条第五項の規定による申請書又は書類に虚偽の記載をして提出したとき。
- when the person has made a false statement in the written application or documents set forth in Article 39(5) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 209(1) and submitted them.
- 対外支払手段等の売買契約又は金融指標等先物契約に基づく債権の発生等に係る取引のうち、前項第十号に掲げる取引に該当するもの
- Among the transactions pertaining to the occurrence, etc. of claims based on a sales contract for foreign means of payment, etc. or a futures contract on a financial index, etc., those falling under the transactions listed in item (x) of the preceding paragraph
- 市場デリバティブ取引等 市場デリバティブ取引又は外国金融商品市場において行われる市場デリバティブ取引に類する取引をいう。
- Market transactions of derivatives, etc.: Meaning market transactions of derivatives or transactions similar to market transactions of derivatives conducted in a foreign financial instruments market
- 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.
- 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.
- 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.
- 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
- 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:
- 審議委員は、経済又は金融に関して高い識見を有する者その他の学識経験のある者のうちから、両議院の同意を得て、内閣が任命する。
- The Members of the Policy Board shall be appointed by the Cabinet, subject to the consent of the House of Representatives and the House of Councillors, from among persons with relevant knowledge and experience including experts on the economy or finance.
- 政府は、エネルギーの需給に関する施策を実施するため必要な法制上、財政上又は金融上の措置その他の措置を講じなければならない。
- The government shall make legislative, fiscal or financial arrangements or other arrangements that are necessary for implementing measures on energy supply and demand.
- 不活性の環境における融点、軟化点、分解点又は昇華温度が一、六四九度を超えるもの。ただし、次のいずれかに該当するものを除く。
- Those with melting points, softening points, decomposition points or sublimating temperature exceeding 1,649 degrees centigrade in an inactive environment, but excluding those that fall under any of the following.
- 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.
- 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:
- 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.
- 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.
- 有価証券の私募の取扱い 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。
- Handling of private placement of securities- Handling of private placement of securities (which means private placement of securities prescribed in Article 2, paragraph (3) (Definitions) of the Financial Instruments and Exchange Act)
- 外国政府、外国の政府機関、外国の地方公共団体、外国の中央銀行及び日本国が加盟している国際機関のうち金融庁長官に届出を行った者
- a foreign national government, foreign governmental organization, foreign regional government, foreign central bank, or an international organization of which Japan is a member state, which has made a notification to the Commissioner of the Financial Services Agency.
- 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.
- 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.
- 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
- 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.
- 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:
- 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:
- 金融庁長官は、政令の定めるところにより、第二項の規定により委任された権限の一部を財務局長又は財務支局長に委任することができる。
- The Commissioner of the Financial Services Agency may delegate part of the authority that has been delegated pursuant to the provisions of paragraph (2) to the head of a Local Finance Bureau or the head of a Local Finance Branch Bureau, pursuant to the provisions of a Cabinet Order.
- 金融庁長官は、政令で定めるところにより、第三項の規定により委任された権限の一部を財務局長又は財務支局長に委任することができる。
- The Commissioner of the Financial Services Agency may, pursuant to the provision of a Cabinet Order, delegate part of his/her authority that has been delegated pursuant to the provision of paragraph (3) to the head of a Local Finance Bureau or the head of a Local Finance Branch Bureau.
- 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).
- 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.
- 政府は、地震保険契約による保険金の支払のため特に必要があるときは、保険会社等に対し、資金のあつせん又は融通に努めるものとする。
- The government shall, when it is particularly necessary for ensuring the payment of insurance claims under earthquake insurance contracts, endeavor to arrange or provide financing for insurance companies, etc.
- 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.
- 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:
- 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.
- この政令は、金融機関等による顧客等の本人確認等に関する法律の一部を改正する法律の施行の日(平成十六年十二月三十日)から施行する。
- This Cabinet Order shall come into effect as from the date of enforcement (December 30, 2004) of the Act on the Partial Revision of the Act on Identity Confirmation of Customers, etc. by Financial Institutions, etc.
- 一の細胞であるイに掲げる胚又はイに掲げる胚の胚性細胞であって核を有するものがヒト除核卵又は動物除核卵と融合することにより生ずる胚
- An Embryo produced by Fusion between a human or Animal Enucleated Egg and an Embryo at the one-cell stage described in (a) or an Embryonic Cell with a cell nucleus of an Embryo described in (a)
- 動物の体細胞、一の細胞であるイに掲げる胚又はイに掲げる胚の胚性細胞であって核を有するものが動物除核卵と融合することにより生ずる胚
- An Embryo produced by Fusion between an Animal Enucleated Egg and either an Animal Somatic Cell or an Embryo at the one-cell stage described in (a) or an Embryonic Cell with a cell nucleus of an Embryo described in (a)
- 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).
- この法律は、持株会社の設立等の禁止の解除に伴う金融関係法律の整備等に関する法律(平成九年法律第百二十号)の施行の日から施行する。
- This Act shall come into effect as of the day when the Act Revising Finance-Related Acts for Lifting the Ban on Establishment of Holding Companies and Other Matters (Act No. 120 of 1997) comes into effect.
- This Act shall come into effect as from the effective date of the Act on the Revision, etc. of Finance-Related Acts Accompanying the Lifting of Prohibition on the Incorporation of Holding Companies, etc. (Act No. 120 of 1997).
- This Act shall come into effect as from the day of enforcement of the Act on Prepara.ion of Relevant Financial Acts Accompanying Cancellation of Prohibition of Establishment, etc. of Holding Companies (Act No. 120 of 1997).
- This Act shall come into effect as from the day of enforcement of the Act on Coordination, etc. of Finance-Related Acts in Line with Cancellation of the Prohibition of Formation, etc. of Holding Companies (Act No. 120 of 1997).
- This Act shall come into effect as from the day when the Act Revising Finance-Related Acts for Lifting the Ban on Establishment of Holding Companies and Other Matters (Act No. 120 of 1997) comes into effect.
- 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).
- 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;
- 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;
- 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.
- 政府は、ものづくり基盤技術の振興に関する施策を実施するため必要な法制上、財政上又は金融上の措置その他の措置を講じなければならない。
- The government shall take any legislative, fiscal or financial measures or any other measures that are necessary to implement measures on the promotion of core manufacturing technology.
- 融合 受精以外の方法により複数の細胞が合体して一の細胞を生ずることをいい、一の細胞の核が他の除核された細胞に移植されることを含む。
- Fusion Production of a single cell through combination of more than one cell without fertilization, which includes transfer of the nucleus of a single cell to another enucleated cell
- 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.
- 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.
- 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.
- 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:
- 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:
- 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)により行う同法第一条第一項(兼営の認可)に規定する信託業務に係る事業
- Activities pertaining to trust business prescribed in Article 1, paragraph (1) (Approval of Provision of Trust Business) of the Act on Provision, etc. of Trust Business by Financial Institutions (Act No. 43 of 1943) pursuant to the same Act
- 国債、地方債、政府保証債(その元本の償還及び利息の支払について政府が保証する債券をいう。)又は銀行その他の金融機関の発行する債券の取得
- Acquisition of Japanese government bonds, municipal bonds or bonds guaranteed by the government (meaning bonds for which the government guarantees payment of the principal and interest) or issued by a bank or other financial institution;
- 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.
- 機構は、経済産業大臣の認可を受けて、金融機関その他政令で定める法人に対し、前条第一項第十四号に掲げる業務の一部を委託することができる。
- NEDO may entrust a part of the functions listed in paragraph (1), item (xiv) of the preceding Article to a financial institution or other juridical person specified by Cabinet Order, with the authorization of the Minister of Economy, Trade and Industry.
- 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.
- 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.
- 日本銀行は、通貨及び金融の調節を行うに当たっては、物価の安定を図ることを通じて国民経済の健全な発展に資することをもって、その理念とする。
- Currency and monetary control by the Bank of Japan shall be aimed at achieving price stability, thereby contributing to the sound development of the national economy.
- 委員は、会長が、内閣総理大臣の承認を受けて、公認会計士、公認会計士に係る行政事務に従事する金融庁の職員及び学識経験者のうちから委嘱する。
- The chairperson shall appoint the members of the Committee, by obtaining the approval of the Prime Minister, from among certified public accountants, officials of the Financial Services Agency engaged in administrative affairs pertaining to certified public accountants, and any other persons with relevant knowledge and experience.
- 第二百九条第一項(第二百八十六条第一項において準用する場合を含む。)において準用する金融商品取引法第三十九条第一項の規定に違反したとき。
- when the person has violated the provisions of Article 39(1) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 209(1) (including the cases where it is applied mutatis mutandis pursuant to Article 286(1));
- 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.
- 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.
- 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.
- 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.
- 前項の銀行は、同項の届出に係る子会社対象会社以外の会社が子会社でなくなったときは、遅滞なく、その旨を金融再生委員会に届け出なければならない。
- A Bank which has made a notification under the preceding paragraph shall, when the company that is not a Company Eligible to be a Subsidiary Company ceases to be its Subsidiary Company, notify the Financial Reconstruction Commission to that effect without delay.
- A Bank which has made a notification under the preceding paragraph shall, when the company that is not a company eligible for Subsidiary Company ceases to be its Subsidiary Company, notify to that effect to the Financial Reconstruction Commission without delay.
- 第三十条第一項又は金融機関の合併及び転換に関する法律第五条第一項(認可)の認可を受けて当該銀行が合併により設立されたとき。 その設立された日
- In the case where the Bank is established by the merger under the authorization set forth in Article 30, paragraph (1) of this Act or Article 5, paragraph (1) (Authorization) of the Act on Mergers and Conversions in Financial Institutions: the day when the Bank is established;
- In the case where the Bank is established by the merger under the authorization set forth in Article 30(1) of this Act or Article 5(1) (Authorization) of Act on Financial Institutions' Merger and Conversion: the day when the Bank is established;
- 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.
- 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.
- デリバティブ取引 対外支払手段若しくは債権の売買契約又は金融指標等先物契約に基づく債権の発生等に係る取引であつて、財務省令で定めるものをいう。
- Derivative transactions: Meaning the transactions pertaining to the occurrence, etc. of claims based on a sales contract for means of payment or claims or a futures contract on a financial index, etc., which are specified by the Ordinance of the Ministry of Finance
- 国は、前項の規定による土地基金の財源を確保するため、都道府県又は指定都市等に対し、必要な資金の融通又はあつせんその他の援助に努めるものとする。
- For ensuring the source of the Land Funds pursuant to the provision of the preceding paragraph, the State shall make effort to accommodate the prefectures or designated cities, etc. with necessary funds or use its good offices or extend other assistance for this purpose.
- 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).
- 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.
- 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.
- 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);
- 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.
- 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.
- 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
- 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;
- 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;
- 金融商品取引法第二十四条第五項の規定により有価証券報告書を内閣総理大臣に提出しなければならない特定目的会社については、前三項の規定は、適用しない。
- The provisions of the preceding three paragraphs shall not apply to a Specific Purpose Company that is to submit an Annual Securities Report to the Prime Minister pursuant to the provisions of Article 24(5) of the Financial Instruments and Exchange Act.
- 日本銀行は、前項に規定するもののほか、銀行その他の金融機関の間で行われる資金決済の円滑の確保を図り、もって信用秩序の維持に資することを目的とする。
- In addition to what is prescribed in the preceding paragraph, the Bank of Japan's purpose is to ensure smooth settlement of funds among banks and other financial institutions, thereby contributing to the maintenance of stability of the financial system.
- 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).
- 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.
- 金融庁長官は、政令で定めるところにより、第一項の規定により委任された権限のうち、前条第一項及び第二項の規定による権限を審査会に委任することができる。
- The Commissioner of the Financial Services Agency may, from the authority delegated under the provisions of paragraph (1), delegate the authority under the provisions of paragraph (1) and paragraph (2) of the preceding Article to the Board, pursuant to the provisions of a Cabinet Order.
- 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
- 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;
- 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.
- 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.
- 登録金融機関は、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 Registered Financial Institution 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 the submission of the business report under the provision of the preceding paragraph.
- 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.
- 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:
- 金融商品取引法第二条第二十一項第二号に掲げる取引又は同項第三号に掲げる取引(同項第二号に掲げる取引に係るものに限る。)のうち、通貨の金融指標に係るもの
- Among the transactions listed in Article 2, paragraph (21), item (ii) of the Financial Instruments and Exchange Act or the transactions listed in item (iii) of the said paragraph (limited to those pertaining to the transactions listed in item (ii) of the said paragraph), those pertaining to a financial index for a currency
- 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.
- 原子炉(核融合炉を含む。以下同じ。)若しくはその部分品、付属装置若しくは構成材又は原子力用タービン若しくは原子力用発電機の設計、製造又は使用に関するもの
- Technology related to the design, manufacture, or use of nuclear reactors (including nuclear fusion reactors; the same shall apply hereinafter) or their parts, auxiliary equipment, components, nuclear turbines, or nuclear power generators
- 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
- 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.
- 登録金融機関は、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 Registered Financial Institution 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.
- 第二百九条第一項(第二百八十六条第一項において準用する場合を含む。次号において同じ。)において準用する金融商品取引法第三十九条第二項の規定に違反したとき。
- when the person has violated the provisions of Article 39(2) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 209(1) (including the cases where it is applied mutatis mutandis pursuant to Article 286(1); the same shall apply in the following item); or
- 届出者は、前項に規定する書面を次の各号に掲げる届出者の区分に応じ、当該各号に定める財務局長又は福岡財務支局長を経由して金融庁長官に提出しなければならない。
- A Notifier shall submit a document as prescribed in the preceding paragraph according to the category of Notifier in the following items to the Commissioner of the Financial Services Agency via the Director-General of the Local Finance Bureau or the Director-General of the Fukuoka Local Finance Branch Bureau prescribed in the respective items:
- 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;
- 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.
- 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.
- 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).
- 議長は、委員会の定めるところにより、金融調節事項を議事とする会議の議事録を作成し、委員会が適当と認めて定める相当期間経過後に、これを公表しなければならない。
- The chairperson shall prepare a transcript of each Board meeting for monetary control matters in accordance with the decisions made by the Board, and make public the transcript after the expiration of a period of time which is determined by the Board as appropriate.
- 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事業(前号の事業を除く。)
- Activities conducting the acts specified in the items of Article 33, paragraph (2) (Prohibition, etc. of Securities-related Business by Financial Institutions) of the Financial Instruments and Exchange Act (excluding the activities set forth in the preceding item) with regard to securities and transactions listed in the items of the same paragraph
- 国又は地方公共団体は、選定事業の実施のために必要な資金の確保若しくはその融通のあっせん又は法令の範囲内における地方債についての特別の配慮に努めるものとする。
- The national government or local governments, as the case may be, shall endeavor for obtainment of fund necessary for implementation of Selected Projects, or for arrangement of loans, or to take special consideration for issuance of local bonds within the limits under laws and regulations.
- 第五十二条の三十六第一項の規定にかかわらず、銀行等(銀行その他政令で定める金融業を行う者をいう。以下この条において同じ。)は、銀行代理業を営むことができる。
- Notwithstanding the provisions of Article 52-36, paragraph (1), a Bank, etc. (meaning a Bank or other person engaged in financial services specified by Cabinet Order; hereinafter the same shall apply in this Article) may operate Bank Agency Service.
- Notwithstanding the provision of Article 52-36(1), a Bank, etc. (meaning a Bank or other person who engages in financial business and is specified by a Cabinet Order; hereinafter the same shall apply in this Article) may operate Bank Agency Service.
- 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.
- 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:
- 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.
- 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.
- 特定目的信託に関しては、この編に定めるもののほか、信託法、信託業法及び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)の定めるところによる。
- In addition to what is provided for in this Part, the provisions of the Trust Act, the Trust Business Act, and the Act on Provision of Trust Business by Financial Institutions (Act No. 43 of 1943) shall also apply to Specific Purpose Trusts.
- この政令は、金融先物取引法の一部を改正する法律(次条及び附則第三条第一項において「改正法」という。)の施行の日(同項において「施行日」という。)から施行する。
- This Cabinet Order shall come into effect as from the date of enforcement of the Act on the Partial Revision of the Financial Futures Trading Act (referred to as the 'Revised Act' in the following Article and Article 3, paragraph (1) of the Supplementary Provisions) (such day shall be referred to as the 'date of enforcement' in the said paragraph).
- 信用協同組合、次条第一項第一号の事業を行う協同組合連合会、国民生活金融公庫その他内閣総理大臣の定める者の業務の代理又は媒介(内閣総理大臣の定めるものに限る。)
- Acting as an agent or intermediary in carrying out the operations of a credit cooperative, a federation of cooperatives engaged in the activities set forth in paragraph (1), item (i) of the following Article, the National Life Finance Corporation, or any other person specified by the Prime Minister (limited to such activities specified by the Prime Minister)
- 信託業法第二条第六項に規定する外国信託会社(同条第七項に規定する管理型外国信託会社を除く。第十六条第一項第七号において同じ。)のうち金融庁長官に届出を行った者
- a foreign trust company as prescribed in Article 2, paragraph (6) of the Trust Business Act (excluding a Management-type Foreign Trust Company as prescribed in paragraph (7) of that Article; the same shall apply in Article 16, paragraph (1), item (vii)) and which has made a notification to the Commissioner of the Financial Services Agency;
- 銀行を全部又は一部の当事者とする合併(第三十条第一項に規定する合併及び金融機関の合併及び転換に関する法律第三条(合併)の規定による合併に該当するものを除く。)
- A merger of which the parties solely consist of Banks or include a Bank or Banks (excluding a merger prescribed in Article 30, paragraph (1) and a Merger that falls under Mergers prescribed in Article 3 (Mergers) of the Act on Mergers and Conversions in Financial Institutions); or
- A Merger of which parties solely consist of Banks or include a Bank or Banks (excluding a Merger prescribed in Article 30(1) and a Merger that falls under Mergers prescribed in Article 3 (Merger) of the Act on Financial Institutions' Merger and Conversion); or
- 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:
- 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.
- 金融機関等の更生手続の特例等に関する法律(平成八年法律第九十五号)第四章第五節、第五章第三節及び第六章第三節の規定による顧客表の提出その他これらの規定による業務
- submission of a customer list under the provision of Chapter IV, Section 5, Chapter V, Section 3 and Chapter VI, Section 3 of the Act on Special Measures Concerning Reorganization Proceedings of Financial Institutions, etc. (Act No. 95 of 1996) and other business under these provisions; and
- 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.
- 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.
- 国は、前項の規定により無利子で貸付けを行う場合には、日本政策投資銀行、沖縄振興開発金融公庫その他の政府系金融機関等の審査機能又は貸付け機能を活用することができる。
- The national government may use the credit screening capability and loan finance capability of Development Bank of Japan, the Okinawa Development Finance Corporation, other governmental financial institutions, etc, when it provides loans without interest pursuant to the provision of the preceding paragraph.
- 金融機関等の更生手続の特例等に関する法律第二十四条第一項、第二十六条、第二十七条、第三十一条、第四十五条、第四十八条第一項第二号から第四号まで及び第四十九条第一項
- Article 24, paragraph (1), Article 26, Article 27, Article 31, Article 45, Article 48, paragraph (1), items (ii) to (iv) inclusive and Article 49, paragraph (1) of the Act on Special Measures on Corporate Reorganization Proceedings and Other Insolvency Proceedings by Financial Institutions, etc.; and
- Articles 24(1), 26, 27, 31, 45, 48(1)(ii) to (iv) inclusive and 49(1) of the Act on Special Measures of Corporate Reorganization Proceedings and Other Insolvency Proceedings of Financial Institutions, etc.; and
- 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.
- 当該銀行が第三十条第一項又は金融機関の合併及び転換に関する法律第五条第一項(認可)の認可を受けて合併をしたとき(当該銀行が存続する場合に限る。)。 その合併をした日
- In the case where that Bank carries out a merger under the authorization set forth in Article 30, paragraph (1) of this Act or Article 5, paragraph (1) (Authorization) of the Act on Mergers and Conversions in Financial Institutions (limited to cases where the Bank survives after the Merger): the day when the Merger is carried out;
- In the case where that Bank carries out a merger under the authorization set forth in Article 30(1) of this Act or Article 5(1) (Authorization) of Act on Financial Institutions' Merger and Conversion (limited to cases where the Bank survives after the Merger): the day when the Merger is carried out;
- 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.
- 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.
- 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.
- 受託信託会社等は、固有財産により金融商品取引法第二条第八項第六号の行為を行った場合において、受益証券の全部を取得したときは、これを相当の時期に処分しなければならない。
- In cases where a Fiduciary Trust Company, etc. has conducted an act set forth in Article 2(8)(vi) of the Financial Instruments and Exchange Act, it shall, if it has acquired all of the Beneficiary Certificates, dispose of them at an appropriate time.
- 特定目的会社は、金融商品取引法第二条第一項第十五号に掲げる約束手形(第二号において「特定手形」という。)については、次に掲げる場合に限り、これを発行することができる。
- A Specific Purpose Company may issue the promissory notes referred to in Article 2(1)(xv) of the Financial Instruments and Exchange Act (referred to as 'Specified Notes' in item (ii)) only in the following cases:
- 人クローン胚 ヒトの体細胞であって核を有するものがヒト除核卵と融合することにより生ずる胚(当該胚が一回以上分割されることにより順次生ずるそれぞれの胚を含む。)をいう。
- Human Somatic Cell Nuclear Transfer Embryo An Embryo produced by Fusion between a Human Enucleated Egg and a human Somatic Cell with a cell nucleus (including each Embryo produced successively by single or multiple splitting of such an Embryo)
- 当該銀行持株会社の子会社が預金保険法第六十五条に規定する適格性の認定等に係る同法第五十九条第二項に規定する合併等を行った同条第一項に規定する救済金融機関に該当する場合
- in cases where a subsidiary company of said bank holding company corresponds to a relieving financial institution prescribed in Article 59, paragraph (1) of the Deposit Insurance Act, which conducted a merger, etc. prescribed in paragraph (2) of the same Article pertaining to confirmation of eligibility, etc. prescribed in Article 65 of the same Act.
- 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.
- 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.
- 次に掲げる要件のいずれかに該当するものとして金融庁長官に届出を行った個人(ロに該当するものとして届出を行った個人にあっては、業務執行組合員等として取引を行う場合に限る。)
- an individual who has notified the Commissioner of the Financial Services Agency that he/she meets any of the following requirements (for an individual who has made a notification that he/she falls under sub-item (b), limited to the cases where he/she effects a transaction as an Operating Partner, etc.):
- 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.
- 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.
- 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:
- 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:
- 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.
- 都道府県知事は、定置漁業権又は区画漁業権を目的とする抵当権の設定が、当該漁業の経営に必要な資金の融通のためやむを得ないと認められる場合でなければ、前項の認可をしてはならない。
- The Governor concerned shall not make the approval pursuant to the preceding paragraph unless the Governor finds that the establishment of a mortgage covering a fixed gear fishery right or a demarcated fishery right is inevitable for the financing necessary for the management of said fishery.
- 事業協同組合及び事業協同小組合は、前項の規定によるほか、定款の定めるところにより、組合員が金融機関以外の者に対して負担する当該組合員の事業に関する債務を保証することができる。
- A business cooperative or a minor business cooperative may, pursuant to the provisions of the articles of association, guarantee obligations concerning the business of a member that are borne by the member against a person other than a financial institution.
- 特定出資は、第二十九条第二項の規定にかかわらず、社員総会の承認を受けないで信託会社等(信託会社及び信託業務を営む銀行その他の金融機関をいう。以下同じ。)に信託することができる。
- Notwithstanding the provisions of Article 29(2), Specified Equity may be placed in trust with a Trust Company, etc. (meaning a trust company or a bank or any other financial institution that carries out trust business; the same shall apply hereinafter) without obtaining approval therefore at a general meeting of members.
- 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
- 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.
- 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).
- 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.
- 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.
- 準用金融商品取引法第三十七条の三第一項(第二号及び第六号を除く。)の規定に違反して、書面を交付せず、又は同項に規定する事項を記載しない書面若しくは虚偽の記載をした書面を交付した者
- A person who has, in violation of the provisions of Article 37-3, paragraph (1) (excluding item (ii) and item (vi)) of the Financial Instruments and Exchange Act as applied mutatis mutandis, failed to deliver a document or has delivered a document without stating the matters prescribed in the same paragraph or by stating false matters
- A person who has, in violation of the provisions of Article 37-3(1) (excluding items (ii) and (vi)) of the Financial Instruments and Exchange Act as Applied Mutatis Mutandis, failed to deliver the document, or has delivered a document without stating the matters prescribed in that paragraph or with making false statements; or
- 金融庁長官は、政令で定めるところにより、第一項の規定により委任された権限(前二項の規定により審査会に委任されたものを除く。)の一部を財務局長又は財務支局長に委任することができる。
- The Commissioner of the Financial Services Agency may delegate a part of the authority delegated pursuant to the provisions of paragraph (1) (excluding that delegated to the Board pursuant to the provisions of the preceding two paragraphs) to the directors general of local finance bureaus or the directors general of local finance branch bureaus, pursuant to the provisions of a Cabinet Order.
- 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:
- 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.
- 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、登録金融機関に対し、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 a Registered Financial Institution to put all or part of the business report under paragraph (1) to public notice, pursuant to the provisions of a Cabinet Order.
- 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.
- 対外支払手段等の売買契約に基づく債権の発生等に係る取引のうち、前項第九号イ又はロに掲げる取引に該当する市場デリバティブ取引と類似の取引であつて、外国金融商品市場において行われるもの
- Among the transactions pertaining to the occurrence, etc. of claims based on a sales contract for foreign means of payment, etc., transactions similar to market transactions of derivatives that fall under the transactions listed in item (ix)(a) or (b) of the preceding paragraph, which are conducted in the foreign financial instruments market
- 信託業法(平成十六年法律第百五十四号)第二条第二項に規定する信託会社(同条第四項に規定する管理型信託会社を除く。第十六条第一項第七号において同じ。)のうち金融庁長官に届出を行った者
- a trust company as prescribed in Article 2, paragraph (2) of the Trust Business Act (Act No. 154 of 2004) (excluding a Management-type Trust Company prescribed in paragraph (4) of that Article; the same shall apply in Article 16, paragraph (1), item (vii)) which has made a notification to the Commissioner of the Financial Services Agency;
- 法第二条第一項第十五号に規定する内閣府令で定めるものは、当該法人の委任によりその支払いを行う次に掲げる金融機関が交付した「CP」の文字が印刷された用紙を使用して発行するものとする。
- Promissory notes specified by Cabinet Office Ordinance, as referred to in Article 2, paragraph (1), item (xv) of the Act, shall be those issued by using a paper which is delivered by any of the following financial institutions on entrustment by such juridical person to guarantee the payment thereof, and on which the mark 'CP' is printed:
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- この法律において「特定約束手形」とは、金融商品取引法(昭和二十三年法律第二十五号)第二条第一項第十五号に掲げる約束手形であって、特定目的会社が第二百五条の規定により発行するものをいう。
- The term 'Specified Promissory Note' as used in this Act means a promissory note as set forth in Article 2(1)(xv) of the Financial Instruments and Exchange Act (Act No. 25 of 1948), which is issued by a Specific Purpose Company pursuant to the provisions of Article 205.
- 前各項に掲げるもののほか、この条の規定により金融商品取引法、信託業法及び金融機関の信託業務の兼営等に関する法律の規定を適用する場合における技術的読替えその他必要な事項は、政令で定める。
- In addition to what is listed in the preceding paragraphs, in cases of applying the provisions of the Financial Instruments and Exchange Act, the Trust Business Act, and the Act on Concurrent Operation of Trust Business by a Financial Institution pursuant to the provisions of this Article, any technical replacement of terms and other necessary matters shall be specified by a Cabinet Order.
- 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:
- 第三項の「銀行等」とは、銀行、長期信用銀行(長期信用銀行法(昭和二十七年法律第百八十七号)第二条(定義)に規定する長期信用銀行をいう。以下同じ。)その他内閣府令で定める金融機関をいう。
- The term 'Banks, etc.' as used in paragraph (3) shall mean Banks, Long-Term Credit Banks (meaning Long-Term Credit Banks prescribed in Article 2 (Definitions) of the Long-Term Credit Bank Act (Act No. 187 of 1952); the same shall apply hereinafter) and any other financial institutions specified by Cabinet Office Ordinance.
- 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:
- 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;
- ヒト胚核移植胚 一の細胞であるヒト受精胚若しくはヒト胚分割胚又はヒト受精胚、ヒト胚分割胚若しくはヒト集合胚の胚性細胞であって核を有するものがヒト除核卵と融合することにより生ずる胚をいう。
- Human Embryonic Nuclear Transfer Embryo An Embryo produced by Fusion between a Human Enucleated Egg and a Human Fertilized Embryo or Human Split Embryo at the one-cell stage or an Embryonic Cell with a cell nucleus of a Human Fertilized Embryo, Human Split Embryo or Human-Human Chimeric Embryo
- 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;
- 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)).
- 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.
- 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.
- 金融庁長官は、政令で定めるところにより、第一項の規定により委任された権限(第二項及び第三項の規定により委員会に委任されたものを除く。)の一部を財務局長又は財務支局長に委任することができる。
- The Commissioner of the Financial Services Agency may, pursuant to the provisions of a Cabinet Order, delegate part of the authority delegated thereto pursuant to paragraph (1) (excluding those delegated to the Commission under paragraph (2) and paragraph (3)) to the director-general of a finance bureau or the commissioner of a local finance branch bureau.
- The Commissioner of the Financial Services Agency may, pursuant to the provisions of a Cabinet Order, delegate a part of the authority delegated pursuant to the provisions of paragraph (1) (excluding the authority delegated by the Commission pursuant to the provisions of paragraph (2) and paragraph (3)) to the Director-General of a Local Finance Bureau or the Director-General of a Local Finance Branch Bureau.
- 下請代金の支払につき、当該下請代金の支払期日までに一般の金融機関(預金又は貯金の受入れ及び資金の融通を業とする者をいう。)による割引を受けることが困難であると認められる手形を交付すること。
- With respect to the payment of subcontract proceeds, delivering a negotiable instrument which is found difficult to be discounted, by the date of payment of the subcontract proceeds, by a general financial institution (this term refers to a person who receives deposits or savings and lends funds as a business).
- 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.
- 当該金融機関等が顧客等について既に本人確認を行つており、かつ、当該本人確認について本人確認記録(法第十八条の三第一項に規定する本人確認記録をいう。以下この項において同じ。)を保存している場合
- Where the financial institution, etc. have already conducted identity confirmation and also preserve a record of identity confirmation (meaning record of identity confirmation as prescribed in Article 18-3, paragraph (1) of the Act) in regard to the identity confirmation
- 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);
- 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.
- 職員は、商業、工業又は金融業その他営利を目的とする私企業(以下営利企業という。)を営むことを目的とする会社その他の団体の役員、顧問若しくは評議員の職を兼ね、又は自ら営利企業を営んではならない。
- No official shall concurrently hold the position of an officer, advisor or councillor in a company or any other organization established for the purpose of operating a commercial, industrial, financial or other for-profit private enterprise (hereinafter referred to as 'profit-making enterprise'), nor shall he/she operate, on his/her own account, any profit-making enterprise.
- 議長は、委員会の会議のうち第十五条第一項各号に掲げる事項(以下この章において「金融調節事項」という。)を議事とする会議については、政令で定めるところにより、これを定期的に招集しなければならない。
- The chairperson shall, pursuant to a Cabinet Order, regularly call Board meetings at which the matters listed in the items of Article 15, paragraph 1 (hereinafter referred to as 'monetary control matters' in this Chapter) are to be discussed.
- 信用協同組合のうち金融庁長官に届出を行った者及び信用協同組合連合会並びに業として預金若しくは貯金の受入れ又は共済に関する施設の事業をすることができる農業協同組合連合会及び共済水産業協同組合連合会
- a credit cooperative which has filed a notification with the Commissioner of the Financial Services Agency or a federation of credit cooperatives; or a federation of agricultural cooperatives or a federation of mutual aid fishermen's cooperatives which is able to accept deposits or savings or run a business facility related to mutual aid as a part of its business;
- 資金管理業務諮問委員会の委員は、経済又は金融に関して高い識見を有する者その他の学識経験を有する者及び一般消費者の意見を代表する者のうちから、主務大臣の認可を受けて、資金管理法人の代表者が任命する。
- The representative of the Deposit Management Entity shall appoint Members of the Deposit Management Business Consultation Committee who shall have great knowledge relating to economics or finance, other academic experiences and experience with the opinions of general consumers and who shall have been approved by the competent minister.
- 財務大臣は、その所掌に係る金融破綻処理制度及び金融危機管理に関し、銀行に係る制度の企画又は立案をするため必要があると認めるときは、内閣総理大臣に対し、必要な資料の提出及び説明を求めることができる。
- The Minister of Finance shall, when he/she finds it necessary for planning or framing a system in relation to the systems for disposal of failed financial institutions or financial risk management under his/her jurisdiction, request submission of materials and provisions of explanation necessary from the Prime Minister.
- The Minister of Finance shall, when he/she finds it necessary for planning or framing a system in relation to the systems for disposal of failed financial institutions or financial risk management under his/her jurisdiction, request to the Prime Minister submission of materials and provision of explanation necessary.
- 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.
- 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.
- 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
- 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.
- 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.
- 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;
- 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.
- この法律は、銀行の業務の公共性にかんがみ、信用を維持し、預金者等の保護を確保するとともに金融の円滑を図るため、銀行の業務の健全かつ適切な運営を期し、もつて国民経済の健全な発展に資することを目的とする。
- The purpose of this Act is, in view of the public nature of banking services and for the purpose of maintaining their credibility, securing protection for depositors, etc. and facilitating the smooth functioning of financial services, to ensure the sound and appropriate operations of banking services, thereby contributing to the sound development of the national economy.
- The purpose of this Act is, in view of the public nature of the business of banks and for the purpose of maintaining its credibility, securing the protection of Depositors, etc. and facilitating smooth functioning of financial services, to ensure sound and appropriate operations of the business of banks, thereby contributing to the sound development of the national economy.
- 日本銀行は、その行う通貨及び金融の調節が経済政策の一環をなすものであることを踏まえ、それが政府の経済政策の基本方針と整合的なものとなるよう、常に政府と連絡を密にし、十分な意思疎通を図らなければならない。
- The Bank of Japan shall, taking into account the fact that currency and monetary control is a component of overall economic policy, always maintain close contact with the government and exchange views sufficiently, so that its currency and monetary control and the basic stance of the government's economic policy shall be mutually compatible.
- 前項の規定は、議長が必要と認める場合又は現に在任する委員の総数の三分の一以上が必要と認めて議長に対しその招集を求めた場合において金融調節事項を議事とする会議を招集することを妨げるものと解してはならない。
- The preceding paragraph shall not be interpreted as preventing a Board meeting for monetary control matters from being called on an ad hoc basis, when the chairperson finds it necessary, or when one-third or more of the total incumbent Board members find it necessary and request the chairperson to call such a meeting.
- 外国の法令に準拠して外国において次に掲げる業を行う者(個人を除く。)で、この号の届出の時における資本金若しくは出資の額又は基金の総額がそれぞれ次に定める金額以上であるものとして金融庁長官に届出を行った者
- a person (excluding an individual) who engages in the following business activities in a foreign state under the laws and regulations of a foreign state, and who has notified the Commissioner of the Financial Services Agency that it has the amount of stated capital or the contribution or the total amount of funds not less than those listed in the following sub-items, at the time of the notification under this item:
- 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.
- 財務大臣は、その所掌に係る金融破綻処理制度及び金融危機管理に関し、資産の流動化に係る制度の企画又は立案をするため必要があると認めるときは、内閣総理大臣に対し、必要な資料の提出及び説明を求めることができる。
- The Minister of Finance may, if he/she finds it necessary for planning or drafting a system pertaining to Asset Securitization in connection with the financial failure resolution system or financial crisis management under his/her jurisdiction, request that the Prime Minister submit the necessary materials and explanations.
- 特別国際金融取引勘定承認金融機関は、財務省令で定める帳簿書類を備え付けてこれに法第二十一条第三項各号に掲げる取引又は行為に係る資金の運用又は調達を財務省令で定める基準及び方法により記録しなければならない。
- Approved institutions for the special international financial transactions account shall keep books and documents specified by the Ordinance of the Minister of Finance and record, in these books and documents, the operation or procurement of funds pertaining to the transactions or acts listed in the items of Article 21, paragraph (3) of the Act by the standard and method specified by the Ordinance of the Ministry of Finance.
- 財務大臣は、その所掌に係る金融破綻処理制度及び金融危機管理に関し、電子記録債権に係る制度の企画又は立案をするため必要があると認めるときは、内閣総理大臣に対し、必要な資料の提出及び説明を求めることができる。
- The Minister of Finance may request the Prime Minister to submit the necessary materials and explain, if he/she finds it necessary for the projection or planning of system pertaining to Electronically Recorded Monetary Claims for the management of financial failures and financial crisis under the jurisdiction of the Minister of Finance.
- 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.
- 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.
- 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.
- 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.
- 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.
- 財務大臣は、その所掌に係る金融破綻処理制度及び金融危機管理に関し、火災共済協同組合に係る制度の企画又は立案をするため必要があると認めるときは、内閣総理大臣に対し、必要な資料の提出及び説明を求めることができる。
- The Minister of Finance may, when he/she finds it to be necessary for planning or drafting a system pertaining to a fire mutual aid cooperative in connection with the financial failure resolution system or financial crisis management under his/her jurisdiction, request the Prime Minister to submit and provide an explanation about the necessary materials.
- 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;
- 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.
- 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.
- 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
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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;
- 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.
- 第二十六条第七項(第五十四条第一項において準用する場合を含む。)、第六十条第三項、第二百十九条第三項又は第二百二十三条第三項において準用する金融商品取引法第百八十七条第四号の規定による検査を拒み、妨げ、又は忌避した者
- A person who has refused, hindered, or avoided the inspection under Article 187, item (iv) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 26, paragraph (7) (including the cases where it is applied mutatis mutandis pursuant to Article 54, paragraph (1)), Article 60, paragraph (3), Article 219, paragraph (3), or Article 223, paragraph (3).
- 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
- 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).
- 第二百九条第一項(第二百八十六条第一項において準用する場合を含む。)において準用する金融商品取引法第三十七条の四第一項の規定による書面の交付をせず、又は虚偽の記載をした書面の交付をした者は、三十万円以下の罰金に処する。
- Any person who has failed to deliver documents under Article 37-4(1) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 209(1) (including the cases where it is applied mutatis mutandis pursuant to Article 286(1)) or who has delivered documents containing false statements shall be punished by a fine of not more than 300,000 yen.
- 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.
- 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.
- 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.
- 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.
- 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:
- 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.
- 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.
- 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.
- 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.'
- 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:
- 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.
- 金融庁長官は、政令で定めるところにより、第一項の規定により委任された権限(前項の規定により委員会に委任されたものを除く。)のうち、第二十二条第一項及び第二百十三条第一項から第五項までの規定によるものを委員会に委任することができる。
- The Commissioner of the Financial Services Agency may, from within the authority delegated under paragraph (1) (excluding that delegated to the Commission pursuant to the preceding paragraph), delegate the authority prescribed in Article 22, paragraph (1) and Article 213, paragraph (1) through paragraph (5) to the Commission.
- 有価証券関連デリバティブ取引又は書面取次ぎ行為 それぞれ金融商品取引法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。
- of the Financial Instruments and Exchange Act and intermediary service of securities transactions on receiving written orders prescribed in Article 33, paragraph (2) (Prohibition, etc. of Securities-Related Business by Financial Institutions) of the same Act
- 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
- 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.
- 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.
- 第二十六条第七項(第五十四条第一項において準用する場合を含む。)、第六十条第三項、第二百十九条第三項又は第二百二十三条第三項において準用する金融商品取引法第百八十七条第三号の規定による関係人に対する処分に違反して、物件を提出しなかつた者
- A person who has failed to submit articles in violation of the disposition for the person concerned under Article 187, item (iii) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 26, paragraph (7) (including the cases where it is applied mutatis mutandis pursuant to Article 54, paragraph (1)), Article 60, paragraph (3), Article 219, paragraph (3), or Article 223, paragraph (3); or
- 財務大臣は、その所掌に係る金融破綻処理制度及び金融危機管理に関し、資産の流動化に係る制度の企画又は立案をするため特に必要があると認めるときは、その必要の限度において、特定目的会社に対し、資料の提出、説明その他の協力を求めることができる。
- The Minister of Finance may, if he/she finds it particularly necessary for planning or drafting a system pertaining to Asset Securitization in connection with the financial failure resolution system or financial crisis management under his/her jurisdiction, request that a Specific Purpose Company submit materials, explanations, or provide any other cooperation to the extent necessary.
- 金融庁長官は、前項の規定により委任された権限のうち、第四十六条の九の二第二項の規定による報告の受理に関する事務並びに第四十六条の十二第一項並びに第四十九条の三第一項及び第二項の規定による権限(次に掲げるものに限る。)を審査会に委任する。
- The Commissioner of the Financial Services Agency shall, from the authority delegated pursuant to the provisions of the preceding paragraph, delegate the authority related to affairs concerning the receipt of reports under the provisions of Article 46-9-2(2) and the authority under the provisions of Article 46-12(1) and Article 49-3(1) and (2) (limited to the following authority) to the Board:
- ヒトの体細胞、一の細胞であるヒト受精胚、ヒト胚分割胚、ヒト胚核移植胚若しくは人クローン胚又はヒト受精胚、ヒト胚分割胚、ヒト胚核移植胚、人クローン胚若しくはヒト集合胚の胚性細胞であって核を有するものが動物除核卵と融合することにより生ずる胚
- An Embryo produced by Fusion between an Animal Enucleated Egg and either a human Somatic Cell or a Human Fertilized Embryo, Human Split Embryo, Human Embryonic Nuclear Transfer Embryo or Human Somatic Cell Nuclear Transfer Embryo at the one-cell stage or an Embryonic Cell with a cell nucleus of a Human Fertilized Embryo, Human Split Embryo, Human Embryonic Nuclear Transfer Embryo, Human Somatic Cell Nuclear Transfer Embryo or Human-Human Chimeric Embryo
- 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.
- 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.
- 銀行法施行規則(昭和五十七年大蔵省令第十号)第十七条の三第二項第十二号に掲げる業務を行う株式会社のうち、当該業務を行う旨が定款において定められ、かつ、この号の届出の時における資本金の額が五億円以上であるものとして金融庁長官に届出を行った者
- a stock company engaged in the business activities listed in Article 17-3, paragraph (2), item (xii) of the Ordinance for the Enforcement of the Banking Act (Ordinance of the Ministry of Finance No. 10 of 1982), which has prescribed in its articles of incorporation that it is to be engaged in said business activities, and which has notified the Commissioner of the Financial Services Agency that it has the amount of the stated capital of five hundred million yen or more at the time of the notification under this item;
- 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.
- 第二百八条第二項及び第二百九条の規定は、原委託者が行う受益証券の募集等(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又は有価証券の私募をいう。次項において同じ。)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 208(2) and Article 209 shall apply mutatis mutandis to a Public Offering, etc. (meaning a Public Offering of Securities or Private Placement of Securities prescribed in Article 2(3) of the Financial Instruments and Exchange Act; the same shall apply in the following paragraph) of Beneficiary Certificates by the Originator. In this case, any other necessary technical replacement of terms shall be specified by a Cabinet Order.
- 第十一条の二から前条までに規定するもののほか、国及び地方公共団体は、特定事業の実施を促進するため、基本方針及び実施方針に照らして、必要な法制上及び税制上の措置を講ずるとともに、選定事業者に対し、必要な財政上及び金融上の支援を行うものとする。
- In addition to supports provided in Articles 11-2 to 15 inclusive, in order to promote the implementation of Qualified Projects, the national government and local governments shall take the necessary legislative and tax measures in light of the Basic Policy and Implementation Policies, and offer Appointed Business Operators necessary financing and fiscal supports.
- 銀行その他金融業を行う者(外国の法令に準拠して外国において銀行業を営む者(第四条第五項に規定する銀行等を除く。以下「外国銀行」という。)を除く。)の業務(次号に掲げる業務に該当するものを除く。)の代理又は媒介(内閣府令で定めるものに限る。)
- Agency or intermediation for the business activities of a Bank or person engaged in other financial services (excluding persons engaged in Banking in a foreign state in accordance with laws and regulations of the foreign state (excluding Banks, etc. defined in Article 4, paragraph (5); hereinafter referred to as a 'Foreign Bank')) (excluding business activities falling under the business set forth in the following item) (limited to the agency or intermediation specified by Cabinet Office Ordinance);
- 本邦に主たる事務所を有する法人に対する政令で定める金額を超える金銭の貸付け(銀行業を営む者その他政令で定める金融機関がその業務として行う貸付け及び前項第三号又は第四号に掲げるものが行う本邦通貨による貸付けを除く。)でその期間が一年を超えるもの
- Loan of money exceeding the amount specified by Cabinet Order to a juridical person having its principal office in Japan (excluding loan provided by a person who operates banking business or other financial institution specified by Cabinet Order on a regular basis and loan in Japanese currency provided by those listed in item 3 or 4 of the preceding paragraph), for which the period exceeds one year
- 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.
- 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.'
- 政府は、この法律の施行後五年を経過した場合において、この法律による改正後の規定の実施状況、社会経済情勢の変化等を勘案し、この法律による改正後の金融諸制度について検討を行い、必要があると認めるときは、その結果に基づいて所要の措置を講ずるものとする。
- When five years have passed since after this Act comes into effect, the government shall review financial systems after its revision by this Act by taking into account the state of implementation of provisions revised by this Act, changes in the socioeconomic conditions and other relevant factors, and shall, when it finds it necessary, take necessary measures based on the findings of the review.
- The government shall, when five years have elapsed from the enforcement of this Act, review the financial systems after the revision by this Act by taking into account the status of the implementation of the provisions after the revision by this Act, changes to social and economic conditions, etc., and shall, when it finds it necessary, take necessary measures based on the results of the review.
- When five years have passed since after this Act comes into effect, the government shall review financial systems after the revision by this Act by taking into account the state of implementation of provisions revised by this Act, changes in the socioeconomic conditions and other relevant factors, and shall, when it finds it necessary, take necessary measures based on the findings of the review.
- 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.
- 銀行等、証券会社及び金融先物取引業者は、前項第五号、第十号又は第十一号に掲げる資本取引の媒介、取次ぎ又は代理をしたときは、その都度、政令で定めるところにより、当該資本取引の内容、実行の時期その他の政令で定める事項を財務大臣に報告しなければならない。
- When the Banks, etc., securities corporations and financial futures traders have acted as an intermediary, agency or agent for capital transactions listed in item 5, 10 or 11 of the preceding paragraph, they shall report, pursuant to the provisions of Cabinet Order, to the Minister of Finance the content of the capital transactions, the time of conducting the capital transactions and other matters specified by Cabinet Order on a case-by-case basis.
- 法第二百二十条の三の規定により商品取引員が行う受託契約の締結について金融商品の販売等に関する法律第九条第一項の規定を準用する場合においては、同項中「特定顧客」とあるのは、「商品取引所法第二百十八条第一項の主務省令で定める者」と読み替えるものとする。
- In cases of applying mutatis mutandis the provisions of Article 9, paragraph (1) of the Act on Sales, etc. of Financial Products to the conclusion of Brokerage Contracts by a Futures Commission Merchant pursuant to the provisions of Article 220-3, the term 'specified customer' in the same paragraph shall be deemed to be replaced with 'person specified by an ordinance of the competent minister as set forth in Article 218, paragraph (1) of the Commodity Exchange Act.'
- 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).'
- 第四十条第三項に規定する国際金融面での協力に該当するものとして財務大臣が定めるもののため行う外国為替の売買の実施、第四十一条に規定する業務に係る各外国中央銀行等(同条に規定する外国中央銀行等をいう。)との取引の開始及び第四十二条の規定による取引の実施
- Conducting the buying and selling of foreign exchange to facilitate international financial business which the Minister of Finance specifies as constituting cooperation in the field of international finance as prescribed in Article 40, paragraph 3, initiating transactions with a foreign central bank, etc. (a foreign central bank, etc. prescribed in Article 41) pertaining to the business prescribed in the same Article, and executing transactions pursuant to Article 42;
- この法律の施行前にした行為に対する罰則の適用については、なお従前の例による。附則第十七条第三項の規定によりこの法律による改正前の協同組合による金融事業に関する法律第二条の規定がなおその効力を有する間にした行為に対する罰則の適用についても、同様とする。
- With regard to the application of penal provisions to an act committed prior to the enforcement of this Act, the provisions then in force shall remain applicable. The same shall apply with regard to the application of penal provisions to an act committed while the provisions of Article 2 of the Act on Financial Businesses by Cooperatives prior to the revision by this Act remain effective pursuant to the provisions of Article 17, paragraph (3) of the Supplementary Provisions.
- 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;
- この法律の施行の際現に旧担保附社債信託法等の規定により内閣総理大臣その他の国の機関に対してされている申請、届出その他の行為は、新担保附社債信託法等の相当規定に基づいて、金融再生委員会その他の相当の国の機関に対してされた申請、届出その他の行為とみなす。
- An application, notification or other act having been filed or made to the Prime Minister or other national organ under the provisions of the Former Secured Bonds Trust Act, etc. at the time when this Act comes into effect shall be deemed to be an application, notification or other act filed or made to the Financial Reconstruction Commission or other corresponding national organ pursuant to the corresponding provisions of the New Secured Bonds Trust Act, etc.
- Any application, notification and other acts that have been addressed to the Prime Minister or other organs of the State pursuant to the provisions of the Former Secured Bond Trust Act, etc. by the time when this Act enters into force shall be deemed as application, notification and other acts addressed to the Financial Reconstruction Commission or other corresponding organs of the State pursuant to the corresponding provisions of the Current Secured Bond Trust Act, etc.
- Application, notification, or other acts made to the Prime Minister or other national government organs pursuant to the provisions of the Former Secured Debenture Trust Act, etc. prior to the enforcement of this Act shall be deemed to have been made to the Financial Reconstruction Commission and other relevant national government organs based on the relevant provisions of the New Secured Debenture Trust Act, etc.
- An application, a notification, or any other act which has been already filed with or given or directed to the Prime Minister or any other national organ pursuant to the provisions of the Old Secured Bonds Trust Act, etc. at the time of the enforcement of this Act shall be deemed to be an application, a notification, or any other act which has been filed with or given or directed to the Financial Reconstruction Commission or any other corresponding national organ based on the corresponding provisions of the New Secured Bonds Trust Act, etc.
- 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.
- 特定目的信託の受益権は、譲渡することができる。ただし、記名式の受益証券をもって表示される受益権については、特定目的信託契約において適格機関投資家(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。)以外の者への譲渡を制限することを妨げない。
- Beneficial interest in a Specific Purpose Trust may be transferred; provided, however, that this shall not preclude a Specific Purpose Trust Contract from restricting a transfer of beneficial interest represented by a registered Beneficiary Certificate to a person other than a Qualified Institutional Investor (meaning a qualified institutional investor as defined in Article 2(3)(i) of the Financial Instruments and Exchange Act).
- 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.
- 前項の規定により金融庁長官に委任された権限並びにこの附則の規定による農林水産大臣及び厚生労働大臣の権限については、政令で定めるところにより、その一部を財務局長又は財務支局長(農林水産大臣及び厚生労働大臣にあっては、地方支分部局の長)に委任することができる。
- Part of the authority delegated to the Commissioner of the Financial Services Agency under the preceding paragraph and part of the authority delegated to the Minister of Agriculture, Forestry and Fisheries and the Minister of Health, Labour and Welfare under the provisions of these Supplementary Provisions may be delegated to the Directors-General of Local Finance Bureaus or Local Finance Branch Bureaus (or heads of local branch offices in the case of authorities delegated to the Minister of Agriculture, Forestry and Fisheries and the Minister of Health, Labour and Welfare), pursuant to the provisions of Cabinet Order.
- A part of the authority delegated to the Commissioner of the Financial Services Agency pursuant to the provisions of the preceding paragraph and the authority of the Minister of Agriculture, Forestry and Fisheries and the Minister of Health, Labour and Welfare under the provisions of these Supplementary Provisions may be delegated to the head of a Local Finance Bureau or the head of a Local Finance Branch Bureau (the head of a Local Branch Office in the case of the authority of the Minister of Agriculture, Forestry and Fisheries and the Minister of Health, Labour and Welfare), pursuant to the provisions of a Cabinet Order.
- Part of the authority delegated to the Commissioner of the Financial Services Agency under the preceding paragraph and part of the authority delegated to the Minister of Agriculture, Forestry and Fisheries and the Minister of Health, Labour and Welfare under the provisions of these Supplementary Provisions may be delegated to the Directors-General of Local Finance Bureaus or Local Finance Branch Bureaus (or heads of local branch offices in the case of authorities delegated to the Minister of Agriculture, Forestry and Fisheries and the Minister of Health, Labour and Welfare), pursuant to the provisions of a Cabinet Order.
- 第二十六条第七項(第五十四条第一項において準用する場合を含む。)、第六十条第三項、第二百十九条第三項又は第二百二十三条第三項において準用する金融商品取引法第百八十七条第二号の規定による鑑定人に対する処分に違反して、出頭せず、鑑定をせず、又は虚偽の鑑定をした者
- A person who has failed to appear or present an expert opinion, or who has presented a false expert opinion, in violation of the disposition for an expert witness under Article 187, item (ii) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 26, paragraph (7) (including the cases where it is applied mutatis mutandis pursuant to Article 54, paragraph (1)), Article 60, paragraph (3), Article 219, paragraph (3), or Article 223, paragraph (3);
- 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.'
- 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.
- 前項の規定により金融庁長官に委任された権限並びにこの附則の規定による農林水産大臣及び厚生労働大臣の権限については、政令で定めるところにより、その一部を財務局長若しくは財務支局長(農林水産大臣及び労働大臣の権限にあっては、地方支分部局の長)に委任することができる。
- A part of the authority delegated to the Commissioner of the Financial Services Agency pursuant to the provisions of the preceding paragraph and the authority of the Minister of Agriculture, Forestry and Fisheries and the Minister of Health, Labour and Welfare under the provisions of these Supplementary Provisions may be delegated to the head of a Local Finance Bureau or the head of a Local Finance Branch Bureau (the head of a Local Branch Office in the case of the authority of the Minister of Agriculture, Forestry and Fisheries and the Minister of Health, Labour and Welfare), pursuant to the provisions of a Cabinet Order.
- 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.
- 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
- 第二項第十号の事業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、同項第十号の三の事業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事業を含むものとする。
- The activities set forth in paragraph (2), item (x) shall include the activities of conducting the acts listed in Article 2, paragraph (8), items (i) to (vi) and items (viii) to (x) (Definitions) of the Financial Instruments and Exchange Act for those monetary claims indicated in the form of certificates as prescribed in the same item that fall under the category of securities, and the activities set forth in item (x)-3 of the same paragraph shall include such activities for short term company bonds, etc.
- 前項の規定により金融庁長官に委任された権限並びにこの附則の規定による農林水産大臣及び厚生労働大臣の権限については、政令で定めるところにより、その一部を財務局長若しくは財務支局長(農林水産大臣及び厚生労働大臣の権限にあっては、地方支分部局の長)に委任することができる。
- Part of the authority delegated to the Commissioner of the Financial Services Agency under the preceding paragraph and part of the authority delegated to the Minister of Agriculture, Forestry and Fisheries and the Minister of Health, Labour and Welfare under the provisions of these Supplementary Provisions may be delegated to the Directors-General of Local Finance Bureaus or Local Finance Branch Bureaus (or heads of local branch offices in case of the authority delegated to the Minister of Agriculture, Forestry and Fisheries and the Minister of Health, Labour and Welfare), pursuant to the provisions of Cabinet Order.
- 外国の政府若しくは地方公共団体、国際機関、外国の政府関係機関(その機関の本店又は主たる事務所の所在する国の政府が主たる出資者となっている機関をいう。)、外国の地方公共団体が主たる出資者となっている法人又は外国の銀行その他の金融機関が発行し、又は債務を保証する債券の取得
- Acquiring bonds that a foreign government, local government, international institution, foreign government affiliated institution (meaning an institution in which the main equity investor is the government of the country in which the head office or principle office of the institution is located), a juridical person in which a local government of a foreign country is the main equity investor, or a foreign bank or other financial institution issues or guarantees the debts thereof.
- 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.
- 日本銀行は、毎事業年度、経費(通貨及び金融の調節に支障を生じさせないものとして政令で定める経費に限る。)に関する予算(以下「経費の予算」という。)を作成し、当該事業年度開始前に、財務大臣に提出して、その認可を受けなければならない。これを変更しようとするときも、同様とする。
- Every business year, the Bank of Japan shall make a budget for expenses (limited to those specified by a Cabinet Order as not hampering the currency and monetary control; hereinafter such budget shall be referred to as a 'budget for expenses'), and submit it to the Minister of Finance for authorization before the business year begins. The same shall apply when making any change to the budget.
- 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.
- 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.
- 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.
- 都道府県の区域をその地区とする火災共済協同組合については、設立の認可その他この法律に規定する行政庁の権限(内閣総理大臣にあつては、第二項の規定により金融庁長官に委任された権限に限る。)に属する事務の一部は、政令で定めるところにより、都道府県知事が行うこととすることができる。
- With regard to a fire mutual aid cooperative whose district coincides with the district of a prefecture, the grant of approval for formation and part of any other affairs under the authority (limited to the authority that has been delegated to the Commissioner of the Financial Services Agency pursuant to the provisions of paragraph (2) in the case of the Prime Minister) of the administrative agency prescribed in this Act may be performed by a prefectural governor, pursuant to the provisions of a Cabinet Order.
- 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.
- 優先出資(協同組織金融機関の優先出資に関する法律(平成五年法律第四十四号)に規定する優先出資をいう。以下この号において同じ。)に係る剰余金の配当、残余財産の分配、剰余金を用いて行う優先出資の消却及び同法第十五条第一項(第二号に係る部分に限る。)の規定による優先出資の消却の方法
- the payment of the dividend of surplus related to Preferred Equity Investment (meaning preferred equity investment as provided in the Act on Preferred Equity Investment by Cooperative Structured Financial Institutions (Act No. 44 of 1993); hereinafter the same shall apply in this item), distribution of residual assets, and the method of cancellation of Preferred Equity Investment by using the surplus, and cancellation of Preferred Equity Investment under Article 15, paragraph (1) of that Act (limited to the part pertaining to item (ii));
- 財務大臣は、その所掌に係る金融破綻処理制度及び金融危機管理に関し、銀行に係る制度の企画又は立案をするため特に必要があると認めるときは、その必要の限度において、銀行、銀行主要株主、銀行持株会社、銀行代理業者その他の関係者に対し、資料の提出、説明その他の協力を求めることができる。
- The Minister of Finance shall, when and to the extent he/she finds it particularly necessary for planning or framing a system pertaining to Banks in relation to the systems for disposal of failed financial institutions or financial risk management under his/her jurisdiction, request submission of materials, explanations and other cooperation from a Bank, Bank's Major Shareholder, Bank Holding Company, Bank Agent or other relevant person.
- 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.
- 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.
- 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.
- 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:
- 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.'
- 債権者が異議を述べたときは、更生保護法人は、これに弁済し、若しくは相当の担保を供し、又はその債権者に弁済を受けさせることを目的として信託会社若しくは信託業務を営む金融機関に相当の財産を信託しなければならない。ただし、合併をしてもその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 has stated an objection, the juridical person for offenders rehabilitation shall repay it or give an appropriate security or entrust appropriate property to a trust company or a bank operating trust businesses for the purpose of repaying the creditor; except that this shall not apply when the merger is unlikely to harm the creditor.
- 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.
- 日本銀行は、前条の規定による業務のほか、我が国の中央銀行としての外国中央銀行等又は国際機関との協力であって国際金融支援その他の国際金融面での協力を図るため、次に掲げる取引その他の当該協力のために必要な取引を、財務大臣からの要請に基づき、又はあらかじめその承認を得て、行うことができる。
- In addition to the business prescribed in the preceding Article, the Bank of Japan may conduct the following transactions and other transactions necessary for cooperating, as the central bank of Japan, with foreign central banks, etc. or international institutions in the field of international finance, including the provision of international financial assistance, at the request, or upon the approval, of the Minister of Finance:
- 第一項の規定は、特定目的会社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優先出資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 the Specific Purpose Company has delivered a prospectus as prescribed in Article 2(10) of the Financial Instruments and Exchange Act which contains the matters listed in the items of that paragraph to the person who intends to file the application set forth in paragraph (1) and to other cases specified by a Cabinet Office Ordinance as having no risk of failing to protect the person who intends to make an application to subscribe for Preferred Equity for Subscription.
- 第一項の規定は、特定目的会社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特定社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 the Specific Purpose Company has delivered a prospectus prescribed in Article 2(10) of the Financial Instruments and Exchange Act which contains the matters listed in the items of that paragraph to the person who intends to file the application set forth in paragraph (1), and to other cases specified by a Cabinet Office Ordinance as those that are unlikely to prejudice the protection of the person applying to subscribe for the Specified Bond for Subscription.
- 第十八条第二項から第四項まで及び第十八条の二から第十八条の四までの規定は、金融機関等が資本取引に係る契約締結等行為を行う場合について準用する。この場合において、第十八条の三第二項中「特定為替取引」とあるのは、「第二十二条の二第一項に規定する資本取引に係る契約」と読み替えるものとする。
- The provisions of paragraphs 2 to 4 inclusive of Article 18 and Articles 18-2 to 18-4 inclusive shall apply mutatis mutandis to cases where Financial Institutions, etc. commit the Acts such as Conclusion of a Contract pertaining to Capital Transactions. In this case, the term 'Specified Exchange Transactions' in Article 18-3, paragraph 2 shall be deemed to be replaced with 'contract pertaining to capital transactions prescribed in Article 22-2, paragraph 1.'
- 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.
- 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
- 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;
- 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.
- 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.
- 第三項の規定により届出を行った者は、前項に規定する適格機関投資家に該当することとなる期間において、当該届出に係る事項(第三項第一号イ若しくはハ、第二号イ若しくはハ又は第三号イ若しくはハに掲げる事項に限る。)に変更があった場合には、遅滞なく、書面によりその旨を金融庁長官に届け出なければならない。
- A person who has made the notification pursuant to the provisions of paragraph (3) shall, when there is any change to the matters pertaining to said notification (limited to the matters listed in paragraph (3), item (i), sub-item (a) or (c), paragraph (3), item (ii), sub-item (a) or (c), or paragraph (3), item (iii), sub-item (a) or (c)) during the period for which said persons are regarded as falling under the category of a Qualified Institutional Investor as prescribed in the preceding paragraph, file a written notification to that effect, without delay, with the Commissioner of the Financial Services Agency.
- 信託業法(平成十六年法律第百五十四号)第二条第二項(定義)に規定する信託会社のうち、信託業務(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。以下「兼営法」という。)第一条第一項(兼営の認可)に規定する信託業務をいう。以下同じ。)を専ら営む会社(以下「信託専門会社」という。)
- Trust companies prescribed in Article 2, paragraph (2) (Definitions) of the Trust Business Act (Act No. 154 of 2004) which exclusively engage in Trust Business, etc. (meaning Trust Business, etc. as prescribed in Article 1, paragraph (1) (Authorization of Trust Business, etc.) of Act on Engagement in Trust Business by a Financial Institution (Act No. 43 of 1943; hereinafter referred to as 'Act on Trust Business by Financial Institutions'); the same shall apply hereinafter) (hereinafter referred to as 'Companies Specialized in Trust Business');
- 財務大臣は、その所掌に係る金融破綻処理制度及び金融危機管理に関し、投資信託(外国投資信託を含む。次項において同じ。)又は投資法人(外国投資法人を含む。次項において同じ。)に係る制度の企画又は立案をするため必要があると認めるときは、内閣総理大臣に対し、必要な資料の提出及び説明を求めることができる。
- When the Minister of Finance finds it necessary for the planning or drafting of a system pertaining to an Investment Trust (including a Foreign Investment Trust; the same shall apply in the following paragraph) or an Investment Corporation (including a Foreign Investment Corporation; the same shall apply in the following paragraph), in relation to a system for the disposition of failed financial institutions and financial risk management under his/her jurisdiction, he/she may request that the Prime Minister provide the necessary materials and an explanation thereof.
- 金融庁長官は、政令で定めるところにより、第一項の規定により委任された権限(前項の規定により委員会に委任されたものを除く。)のうち、第二百十七条第一項(第二百九条第二項(第二百八十六条第一項において準用する場合を含む。)において準用する場合を含む。)の規定によるものを委員会に委任することができる。
- The Commissioner of the Financial Services Agency may, out of the authority delegated pursuant to the provisions of paragraph (1) (excluding that delegated by the Commission pursuant to the provisions of the preceding paragraph), delegate the authority under the provisions of Article 217(1) (including the cases where it is applied mutatis mutandis pursuant to Article 209(2) (including the cases where it is applied mutatis mutandis pursuant to Article 286(1))) to the Commission, pursuant to the provisions of a Cabinet Order.
- 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.
- 特定目的会社の取締役又は使用人は、当該特定目的会社の発行する資産対応証券の募集等(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又は有価証券の私募をいう。以下この編において同じ。)の取扱いについて次条第二項の規定による届出が行われたときは、当該資産対応証券の募集等に係る事務を行ってはならない。
- In cases where a notification under paragraph (2) of the following Article has been made with regard to the handling of a Public Offering, etc. (meaning a Public Offering of Securities or Private Placement of Securities as prescribed in Article 2(3) of the Financial Instruments and Exchange Act; hereinafter the same shall apply in this Part) of Asset-Backed Securities issued by a Specific Purpose Company, neither the director nor the employees of the Specific Purpose Company shall administer the affairs related to the Public Offering, etc. of Asset-Backed Securities.
- 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.
- 財務大臣は、その所掌に係る金融破綻処理制度及び金融危機管理に関し、投資信託又は投資法人に係る制度の企画又は立案をするため特に必要があると認めるときは、その必要の限度において、投資信託委託会社、受託会社、資産運用会社、資産保管会社その他の関係者に対し、資料の提出、説明その他の協力を求めることができる。
- When the Minister of Finance finds it particularly necessary for the planning or drafting of a system pertaining to an Investment Trust or Investment Corporation in relation to a system for the disposition of failed financial institutions and financial risk management under his/her jurisdiction, he/she shall, within the limit necessary, request that the Settlor Company of the Investment Trust, the Trustee Company, the Asset Management Company, the Asset Custody Company, or any other persons concerned provide materials, explanations thereof, and any other cooperation.
- 前項で定める場合のほか、居住者が第一項第五号、第十号又は第十一号に掲げる資本取引の当事者となつた場合において、当該資本取引の媒介、取次ぎ又は代理をする者が銀行等、証券会社又は金融先物取引業者であるときは、当該居住者は、同項の規定にかかわらず、当該資本取引に係る同項の規定による報告をすることを要しない。
- In addition to the cases prescribed in the preceding paragraph, where a resident has become a party to capital transactions listed in paragraph 1, item 5, 10, or 11, when the Banks, etc., a securities corporation or a financial futures trader act as an intermediary, agency or agent for the capital transactions, the resident shall not be required to make a report pursuant to the provision of the said paragraph pertaining to the capital transactions, notwithstanding the provision of the said paragraph.
- 銀行を全部又は一部の当事者とする合併(当該合併後存続する会社又は当該合併により設立される会社が銀行であるものに限るものとし、金融機関の合併及び転換に関する法律第三条(合併)の規定による合併に該当するものを除く。以下この章において「合併」という。)は、内閣総理大臣の認可を受けなければ、その効力を生じない。
- Any merger involving a Bank or Banks as all or some of parties (limited to the case where the surviving company or the company established by the merger is a Bank and excluding a merger under Article 3 (Merger) of the Act on Mergers and Conversions in Financial Institutions; such a merger shall be hereinafter referred to as the 'Merger' in this Chapter) shall not be effective without the authorization of the Prime Minister.
- 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.
- 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.
- 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.
- 日本銀行は、第三十三条から前条までに規定する業務のほか、内閣総理大臣及び財務大臣の認可を受けて、第三十三条第一項第五号から第七号までに掲げる業務又は第三十五条第二項若しくは第三十六条第二項に規定する業務と一体的に行うことによって金融機関の間における資金決済の円滑に資すると認められる業務を行うことができる。
- In addition to the business prescribed in Article 33 through the preceding Article, the Bank of Japan may, upon authorization from the Prime Minister and the Minister of Finance, conduct the business deemed to contribute to smooth settlement of funds among financial institutions in conjunction with the business prescribed in Article 33, paragraph 1, items (v) through (vii) or the business prescribed in Article 35, paragraph 2 or Article 36, paragraph 2.
- 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.
- 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);
- 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:
- 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.
- 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).
- 信用協同組合は、第一項及び第二項の規定により行う事業のほか、第一項第一号から第三号までの事業の遂行を妨げない限度において、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事業(第二項の規定により行う事業を除く。)を行うことができる。
- In addition to the activities conducted pursuant to the provisions of paragraph (1) and paragraph (2), a credit cooperative may carry out the activities of conducting the acts specified in the items of Article 33, paragraph (2) (Prohibition, etc. of Securities-related Business by Financial Institutions) of the Financial Instruments and Exchange Act (excluding the activities conducted pursuant to the provisions of paragraph (2)) with regard to securities and transactions listed in the items of the same paragraph, within a limit of not obstructing the execution of the activities set forth in paragraph (1), items (i) to (iii).
- 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.
- 当該金融機関等が第七条の三に掲げるもの(同条第三号に掲げるものを除く。以下この項において同じ。)と既に行為を行つたことがあり、その際に法第二十二条の二第二項の規定により準用される法第十八条第三項の規定により顧客等とみなされる自然人について本人確認を行つており、かつ、当該本人確認について本人確認記録を保存している場合
- Where the financial institutions, etc. have already committed acts with those listed in Article 7-3 (excluding those listed in item (iii) of the said Article; hereinafter the same shall apply in this paragraph) and have, in committing the acts, conducted identity confirmation in regard to natural persons who are deemed to be customers, etc. pursuant to the provision of Article 18, paragraph (3) of the Act, as applied mutatis mutandis pursuant to Article 22-2, paragraph (2) of the Act, and also preserve a record of identity confirmation in regard to the identity confirmation
- 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.
- 債権者が第一項の期間内に異議を述べたときは、当該銀行は、弁済し、又は相当の担保を提供し、若しく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若しくは信託業務を営む他の金融機関に相当の財産を信託しなければならない。ただし、当該事業の全部の譲渡又は譲受け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。
- In cases where creditors raise objections within the period under paragraph (1), the Bank must make payment to such creditors or entrust equivalent property to a trust company or other financial institution that engages in Trust Business, etc. for the purpose of providing equivalent security or assuring payment to such creditors; provided, however, that this shall not apply if the transfer or acquisition of the whole of business is unlikely to be detrimental to such creditors.
- 法第二十一条第三項第一号に規定する非居住者のうち金融機関である者その他財務省令で定める者との間の預金契約 払戻しについて期限の定めがない預金契約にあつてはその払戻しが当該預金契約を解除した日の翌日以後に行われ、払戻しについて期限の定めがある預金契約にあつてはその払戻期限が当該預金契約を締結した日の翌日以後に到来すること。
- Deposit contract with a non-resident prescribed in Article 21, paragraph (3), item (i) of the Act who is a financial institution or another kind specified by the Ordinance of the Ministry of Finance: With regard to a deposit contract with no set due date for refund, the refund shall be made on and after the day following the date of cancellation of the deposit contract, and with regard to a deposit contract with a set due date for refund, the due date for refund shall arrive on and after the day following the date of cancellation of the deposit contract.
- 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.
- 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.
- 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.
- 第十六条の二第四項(預金保険法(昭和四十六年法律第三十四号)第二条第四項に規定する破綻金融機関に該当する銀行を子会社とする場合に限る。)、第三十条第一項から第三項まで、第三十七条第一項、第五十二条の九第一項若しくは第二項ただし書、第五十二条の十七第一項若しくは第三項ただし書又は第五十二条の三十五第一項から第三項までの規定による認可
- Granting authorization under the provisions of Article 16-2, paragraph (4) (limited to case where the Bank wishes to have a Bank which falls under the category of failed financial institutions under Article 2, paragraph (4) of the Deposit Insurance Act (Act No. 34 of 1971) become its Subsidiary Company), Article 30, paragraphs (1) to (3) inclusive, Article 37, paragraph (1), Article 52-9, paragraph (1) or the proviso to Article 52-9, paragraph (2), Article 52-17, paragraph (1) or the proviso to Article 52-17, paragraph (3), or Article 52-35, paragraphs (1) to (3) inclusive;
- この法律に規定する行政庁(管轄都道府県知事を除く。以下この条において同じ。)の権限(経済産業大臣にあつては都道府県の区域をその地区とする火災共済協同組合に係るものを除き、内閣総理大臣にあつては前項の規定により金融庁長官に委任されたものを除く。)に属する事務の一部は、政令で定めるところにより、都道府県知事が行うこととすることができる。
- Part of the affairs under the authority (excluding the authority pertaining to a fire mutual aid cooperative whose district coincides with the district of a prefecture in the case of the Minister of Economy, Trade and Industry, and excluding the authority delegated to the Commissioner of the Financial Services Agency pursuant to the provisions of the preceding paragraph in the case of the Prime Minister) of the administrative agency (excluding the competent prefectural governor; hereinafter the same shall apply in this Article) prescribed in this Act may be performed by a prefectural governor pursuant to the provisions of 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、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.
- 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.
- 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.
- 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:
- 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.
- 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
- 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;
- 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
- 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;
- 金利、通貨の価格、商品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。)(第十号及び第十五号の二に掲げる事業に該当するものを除く。)
- Transactions promising the payment or receipt of the amount of money calculated based on the difference between the numeric value, which has been agreed upon between the parties in advance as the interest rate, price of currency, price of goods or numeric value of another index, and the actual numeric value of such index at a certain time in the future, or transactions similar thereto, which are specified by a Cabinet Office Ordinance (referred to as 'financial derivative transactions' in the following item) (excluding those that fall under the activities set forth in item (x) and item (xv)-2)
- 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).
- 日本銀行は、第一項の規定により我が国の中央銀行としての外国中央銀行等又は国際機関との協力を図るため、自ら、又はこれらの者の事務の取扱いをする者として行う外国為替の売買のうち、国際金融面での協力に該当するものとして財務大臣が定めるもののため行う外国為替の売買については、財務大臣からの要請に基づき、又はあらかじめその承認を得て、行うものとする。
- The Bank of Japan shall, when buying and selling foreign exchange on its own account or as an agent on behalf of foreign central banks, etc. or international institutions to cooperate with them as the central bank of Japan pursuant to paragraph 1, conduct the buying and selling for the purpose which the Minister of Finance specifies as constituting cooperation in the field of international finance, at the request, or upon the approval, of the Minister of Finance.
- 優先出資証券(法第二条第一項第七号に掲げる優先出資証券をいう。) 優先出資(協同組織金融機関の優先出資に関する法律(平成五年法律第四十四号)に規定する優先出資をいう。以下この号において同じ。)に係る剰余金の配当、残余財産の分配、剰余金を用いて行う優先出資の消却及び同法第十五条第一項(第二号に係る部分に限る。)の規定による優先出資の消却の方法
- Preferred Equity Investment Certificates (meaning preferred equity investment certificates as set forth in Article 2, paragraph (1), item (vii) of the Act): the payment of the dividend of surplus related to Preferred Equity Investment (meaning preferred equity investment as provided in the Act on Preferred Equity Investment by Cooperative Structured Financial Institutions (Act No. 44 of 1993); hereinafter the same shall apply in this item), distribution of residual assets, and the method of cancellation of Preferred Equity Investment by using the surplus, and cancellation of Preferred Equity Investment under Article 15, paragraph (1) of that Act (limited to the part pertaining to item (ii));
- 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.
- 第二十六条第七項(第五十四条第一項において準用する場合を含む。)、第六十条第三項、第二百十九条第三項又は第二百二十三条第三項において準用する金融商品取引法第百八十七条第一号の規定による関係人又は参考人に対する処分に違反して、出頭せず、陳述をせず、若しくは虚偽の陳述をし、又は意見若しくは報告を提出せず、若しくは虚偽の意見若しくは報告を提出した者
- A person who has failed to appear or make a statement, who has made a false statement, who has failed to submit opinions or reports, or who has submitted false opinions or reports, in violation of the dispositions for the persons concerned or witnesses under Article 187, item (i) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 26, paragraph (7) (including the cases where it is applied mutatis mutandis pursuant to Article 54, paragraph (1)), Article 60, paragraph (3), Article 219, paragraph (3) or Article 223, paragraph (3);
- 第十六条の二第一項第十一号又は第十二号に掲げる会社(同条第四項の規定により子会社とすることについて認可を受けなければならないとされるものを除く。)を子会社としようとするとき(第三十条第一項から第三項まで又は金融機関の合併及び転換に関する法律第五条第一項(認可)の規定による認可を受けて合併、会社分割又は事業の譲受けをしようとする場合を除く。)。
- When it wishes to have a company falling under the category specified in Article 16-2, paragraph (1), item (xi) or (xii) (excluding that for which Article 16-2, paragraph (4) provides that in order to have such a company as its Subsidiary Company, a Bank is required to obtain authorization) become its Subsidiary Company (excluding the case where it wishes to do so by conducting a merger or company split or acquiring business from said company with the authorization granted under Article 30, paragraphs (1) to (3) inclusive of this Act or Article 5, paragraph (1) (Authorization) of Act on Mergers and Conversions in Financial Institutions);
- 財務大臣又は内閣府設置法(平成十一年法律第八十九号)第十九条第二項に規定する経済財政政策担当大臣(経済財政政策担当大臣が置かれていないときは、内閣総理大臣。次項において「経済財政政策担当大臣」という。)は、必要に応じ、金融調節事項を議事とする会議に出席して意見を述べ、又はそれぞれの指名するその職員を当該会議に出席させて意見を述べさせることができる。
- The Minister of Finance or the Minister of State for Economic and Fiscal Policy prescribed in Article 19, paragraph 2 of the Act for Establishment of the Cabinet Office (Act No. 89 of 1999) (referred to as the 'Minister of State for Economic and Fiscal Policy' in the following paragraph; in the case where the office is vacant, it shall be assumed by the Prime Minister) may, when necessary, attend and express opinions at Board meetings for monetary control matters, or may designate an official of the Ministry of Finance or the Cabinet Office, respectively, to attend and express opinions at such meetings.
- 破産手続開始、再生手続開始、更生手続開始又は特別清算開始の申立てを行つたとき(有価証券関連業を行わない旨の第三十一条第四項の変更登録及び外国法人である金融商品取引業者にあつては、国内において破産手続開始、再生手続開始、更生手続開始若しくは特別清算開始の申立てを行つたとき、又は本店の所在する国において当該国の法令に基づき同種類の申立てを行つたとき。)。
- when the Financial Instruments Business Operator files an application for commencement of bankruptcy proceedings, rehabilitation proceedings, reorganization proceedings, or special liquidation proceedings (with regard to a Financial Instruments Business Operator which has obtained registration of change set forth in Article 31(4) to the effect that it stops conducting Securities-Related Business or which is a foreign juridical person, when it files an application for commencement of bankruptcy proceedings, rehabilitation proceedings, reorganization proceedings, or special liquidation proceedings in Japan, or when it files an application of the same kind in a state where its head office is located based on the laws and regulations of said state);
- 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.
- 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.
- 新銀行法第十六条の二第一項の規定は、この法律の施行の際現に同項に規定する子会社対象会社以外の会社を子会社(新銀行法第二条第八項に規定する子会社をいう。以下この条において同じ。)としている銀行の当該会社については、当該銀行が施行日から起算して三月を経過する日までにその旨を金融再生委員会に届け出たときは、施行日から起算して一年を経過する日までの間は、適用しない。
- The provisions of Article 16-2, paragraph (1) of the New Banking Act shall not apply, until the day on which one year has elapsed from the Effective Date, to a company that is not a Company Eligible to be a Subsidiary Company as defined in that provisions but has been a Subsidiary Company (meaning a Subsidiary Company as defined in Article 2, paragraph (8) of the New Banking Act; hereinafter the same shall apply in this Article) of a Bank at the time when this Act comes into effect, if the Bank notifies the Financial Reconstruction Commission thereof by the day on which three months have elapsed from the Effective Date.
- 前項の「親金融機関等」とは、銀行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(金融商品取引法第二条第九項(定義)に規定する金融商品取引業者をいう。以下同じ。)、保険会社(保険業法第二条第二項(定義)に規定する保険会社をいう。以下同じ。)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, among persons who hold the majority of the voting rights of all of a Bank's shareholders and among any other persons specified by Cabinet Order as those with a close relationship to a Bank, any Bank, Financial Instruments Specialist (meaning a Financial Instruments Specialist as defined in Article 2, paragraph (9) (Definitions) of the Financial Instruments and Exchange Act; the same shall apply hereinafter), Insurance Company (meaning an insurance company as defined in Article 2, paragraph (2) (Definitions) of the Insurance Services Act; the same shall apply hereinafter) or any other person engaged in financial services as specified by Cabinet Order.
- 第二百十七条から第二百十九条までの規定は、資産対応証券の募集等の取扱いを行う特定譲渡人について準用する。この場合において、第二百十七条第一項中「この法律」とあるのは「この法律又は第二百九条第一項において準用する金融商品取引法の規定」と、「その業務若しくは財産」とあるのは「その資産対応証券の募集等の取扱い」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 217 to Article 219 inclusive shall apply mutatis mutandis to Specified Transferors handling Public Offerings, etc. of Asset-Backed Securities. In this case the phrases 'this Act' and 'business or property thereof' in Article 217(1) shall be deemed to be replaced with 'this Act or the provisions of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 209(1)' and 'handling the Public Offering, etc. of Asset-Backed Securities,' respectively, and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
- 法第二百二十条の三の規定により準用する金融商品の販売等に関する法律(平成十二年法律第百一号)第九条第一項ただし書に規定する政令で定める者は、法律により直接に設立された法人又は特別の法律により特別の設立行為をもつて設立された法人(総務省設置法(平成十一年法律第九十一号)第四条第十五号の規定の適用を受けない法人を除く。)であつて国又は地方公共団体の全額出資に係る法人とする。
- The persons specified by a Cabinet Order as prescribed in the proviso to Article 9, paragraph (1) of the Act on Sales, etc. of Financial Products (Act No. 101 of 2000) as applied mutatis mutandis pursuant to Article 220-3 of the Act shall be juridical persons directly established pursuant to an Act or juridical persons established by a special act of incorporation pursuant to a special Act (excluding juridical persons which are not subject to application of the provisions of Article 4, item (xv) of the Act for Establishment of the Ministry of Internal Affairs and Communications [Act No. 91 of 1999]) that are wholly owned by the State or a local public entity.
- 内閣総理大臣及び財務大臣は、銀行法(昭和五十六年法律第五十九号)第五十七条の五の規定その他の法令の規定による協議に基づき信用秩序の維持に重大な支障が生じるおそれがあると認めるとき、その他の信用秩序の維持のため特に必要があると認めるときは、日本銀行に対し、当該協議に係る金融機関への資金の貸付けその他の信用秩序の維持のために必要と認められる業務を行うことを要請することができる。
- The Prime Minister and the Minister of Finance may, when they find it especially necessary for the maintenance of stability of the financial system, such as in the case where they find that serious problems may arise in the maintenance of stability of the financial system based on the consultation pursuant to Article 57-5 of the Banking Act (Act No. 59 of 1981) or other laws and regulations, request the Bank of Japan to conduct the business necessary to maintain stability of the financial system, such as to provide loans to the financial institution pertaining to the said consultation.
- 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;
- 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;
- 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;
- 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).
- 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).
- 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);
- 前項に定める場合のほか、財務大臣は、居住者又は非居住者による同項に規定する資本取引(特別国際金融取引勘定で経理されるものを除く。)が何らの制限なしに行われた場合には、次に掲げるいずれかの事態を生じ、この法律の目的を達成することが困難になると認めるときは、政令で定めるところにより、当該資本取引を行おうとする居住者又は非居住者に対し、当該資本取引を行うことについて、許可を受ける義務を課することができる。
- In addition to the cases prescribed in the preceding paragraph, when the Minister of Finance finds that if capital transactions prescribed in the said paragraph (excluding those whose accounting is settled in the Special International Financial Transactions Account) by a resident or a non-resident are conducted without any restrictions, any of the following situations will arise, which will make it difficult to achieve the purpose of this Act, he/she may impose, pursuant to the provisions of Cabinet Order, on a resident or non-resident who intends to commit the capital transactions, the obligation to obtain permission for implementation of the capital transactions.
- 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:
- 銀行が預金保険法(昭和四十六年法律第三十四号)第六十五条に規定する適格性の認定等に係る同法第五十九条第二項に規定する合併等を行った同条第一項に規定する救済金融機関に該当する場合には、当該銀行について、当該銀行又は当該銀行及びその子会社等が該当する前条第一項又は第二項の表の区分に応じた命令は、当該銀行又は当該銀行及びその子会社等の自己資本比率以上の自己資本比率に係るこれらの表の区分に掲げる命令とする。
- In cases where a bank corresponds to a relieving financial institution as prescribed in Article 59, paragraph (1) of the Deposit Insurance Act (Act No. 34 of 1971) which conducted a merger, etc. as prescribed in paragraph (2) of the same Article pertaining to confirmation of eligibility, etc. as prescribed in Article 65, an order with regard to said bank in accordance with a category of the tables in paragraph (1) or (2) of the preceding Article to which said bank or said bank and its subsidiary company, etc. correspond shall be an order listed under the categories of these tables pertaining to the Capital Adequacy Ratio at and more than Capital Adequacy Ratio of said bank or said bank and its subsidiary company, etc.
- 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;
- 法第二百二十条の三の規定により準用する金融商品の販売等に関する法律第九条第三項に規定する政令で定める方法は、商品取引員の本店(外国の法令に準拠して設立された法人にあつては、国内における主たる営業所。以下この項並びに第二十九条第一項第四号及び第三項において同じ。)において勧誘方針を見やすいように掲示する方法又は勧誘方針を閲覧に供する方法及び次の各号に掲げる場合に該当するときは、当該各号に定める方法とする。
- The method specified by a Cabinet Order as prescribed in Article 9, paragraph (3) of the Act on Sales, etc. of Financial Products as applied mutatis mutandis pursuant to Article 220-3 of the Act shall be the method of posting the solicitation policy in a clearly visible manner or providing the solicitation policy for public inspection at the head office of the Futures Commission Merchant (with regard to a juridical person established in accordance with the laws and regulations of a foreign state, the principal business office in Japan; hereinafter the same shall apply in this paragraph and Article 29, paragraph (1), item (iv) and paragraph (3) of the same Article), and, in the cases listed in the following items, the methods specified respectively in those items:
- 旧担保附社債信託法等の規定により内閣総理大臣その他の国の機関に対し報告、届出、提出その他の手続をしなければならない事項で、この法律の施行の日前にその手続がされていないものについては、これを、新担保附社債信託法等の相当規定により金融再生委員会その他の相当の国の機関に対して報告、届出、提出その他の手続をしなければならない事項についてその手続がされていないものとみなして、新担保附社債信託法等の規定を適用する。
- With regard to a matter for which it is required to report, notify, or submit to, or take other procedure to the Prime Minister or other national organ under the provisions of the Former Secured Bonds Trust Act, etc. but has not been made before the day on which this Act comes into effect, the relevant provisions of the New Secured Bonds Trust Act, etc. shall apply by deeming the matter for which it is required to report, notify, or submit to, or take other procedure before the Financial Reconstruction Commission or other corresponding national organ pursuant to the corresponding provisions of the New Secured Bonds Trust Act, etc. not to have been made.
- For the purpose of applying the provisions of the Current Secured Bond Trust Act, etc. to the matters that shall be reported, notified, submitted, or subject to any other procedure addressed to the Prime Minister or other organs of the State pursuant to the provisions of the Former Secured Bond Trust Act, etc., any such matters for which the relevant procedure has not been completed by the effective date of this Act shall be deemed as matters that shall be reported, notified, submitted, or subject to any other procedure addressed to the Financial Reconstruction Commission or other corresponding organs of the State pursuant to the corresponding provisions of the Current Secured Bond Trust Act, etc., but for which the relevant procedure has not been completed.
- With regard to matters which require procedures including reporting, notification, and submission to the Prime Minister or other national government organs pursuant to the provisions of the Former Secured Debenture Trust Act, etc. and for which such procedures have not been taken prior to the enforcement of this Act, it shall be deemed that procedures including reporting, notification, and submission to the Financial Reconstruction Commission or other national government organs have not been taken for matters which require such procedures pursuant to the relevant provisions of the New Secured Debenture Trust Act, etc. and the provisions of the New Secured Debenture Trust Act, etc. shall be applicable.
- With regard to a matter which requires reporting, notification or submission to or any other procedure with the Prime Minister or any other national organ pursuant to the provisions of the Old Secured Bonds Trust Act, etc. and for which said procedure has not been carried out prior to the day of enforcement of this Act, the provisions of the New Secured Bonds Trust Act, etc., shall apply by deeming that a matter which requires reporting, notification or submission to or any other procedure with the Financial Reconstruction Commission or any other corresponding national organ pursuant to the provisions of the New Secured Bonds Trust Act, etc. has yet to undergo said procedure.
- 法第二十一条第三項に規定する政令で定める金融機関は、銀行、長期信用銀行、信用金庫、信用金庫連合会、農林中央金庫、株式会社商工組合中央金庫、保険会社(保険業法(平成七年法律第百五号)第二条第二項に規定する保険会社及び同条第七項に規定する外国保険会社等をいう。)及び金融商品取引業者(金融商品取引法第二条第九項に規定する金融商品取引業者であつて、同法第二十八条第一項第一号に掲げる行為を業として行う者に限る。)とする。
- Financial institutions specified by Cabinet Order as prescribed in Article 21, paragraph (3) of the Act shall be banks, long-term credit banks, credit associations, federations of credit associations, Norinchukin Bank, Shokochukin Bank Limited, insurance corporations (meaning insurance corporations prescribed in Article 2, paragraph (2) of the Insurance Business Act (Act No. 105 of 1995) and foreign insurance corporations, etc. prescribed in paragraph (7) of the said Article) and financial instruments business operators (limited to financial instruments business operators prescribed in Article 2, paragraph (9) of the Financial Instruments and Exchange Act who conduct acts listed in Article 28, paragraph (1), item (i) of the said Act in the course of trade).
- 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).
- 特定目的会社は、資産流動化計画に従い特定資産を譲り受けようとする場合において、その譲受けに係る契約書に、当該特定資産の譲渡人が、当該特定資産に係る資産対応証券に関する有価証券届出書等(金融商品取引法第二条第七項に規定する有価証券届出書その他の内閣府令において規定する書類をいう。以下同じ。)に記載すべき重要な事項につき、譲受人たる当該特定目的会社に告知する義務を有する旨の記載がないときは、当該特定資産を譲り受けてはならない。
- In cases where a Specific Purpose Company intends to receive a transfer of Specified Assets in accordance with the Asset Securitization Plan, if the contract document for receiving such a transfer lacks a statement to the effect that the transferor of the Specified Assets has the obligation to notify the Specific Purpose Company that is the transferee, of any important matters that should be stated in the Securities Registration Statements, etc. (meaning the Securities Registration Statement prescribed in Article 2(7) of the Financial Instruments and Exchange Act and other documents specified by a Cabinet Office Ordinance; the same shall apply hereinafter) of Asset-Backed Securities pertaining to the relevant Specified Assets, said Specific Purpose Company shall not receive the transfer of said Specified Assets.
- 国税又は地方税の犯則事件に関する法令(他の法令において準用する場合を含む。)に基づいて国税庁長官、国税局長、税務署長、収税官吏、税関長、税関職員又は徴税吏員(他の法令の規定に基づいてこれらの職員の職務を行う者を含む。)がする処分及び行政指導並びに証券取引又は金融先物取引の犯則事件に関する法令に基づいて証券取引等監視委員会、その職員(当該法令においてその職員とみなされる者を含む。)、財務局長又は財務支局長がする処分及び行政指導
- Dispositions and Administrative Guidance rendered by the Commissioner of the National Tax Agency, directors of the Regional Taxation Bureaus, the chiefs of tax offices, tax collectors, the superintendents of custom houses, customs officers, or local tax officials (including those who perform the duties of these offices pursuant to the provisions of other laws and regulations) pursuant to laws and regulations relating to national or local tax law violations (including cases where such laws and regulations are applied mutatis mutandis pursuant to other laws and regulations ), and Dispositions and Administrative Guidance rendered by the Securities and Exchange Surveillance Commission, personnel of that Commission (including those persons deemed as its personnel pursuant to applicable laws and regulations), directors of Local Finance Bureaus, and directors of the Local Finance Branch Bureaus pursuant to laws and regulations relating to violations of securities and exchange and financial futures trading regulations;
- 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)
- 第百九十七条において準用する金融商品取引法第三十七条の三第一項(第二号及び第六号を除く。)若しくは第三十七条の四第一項の 規定に違反して、書面を交付せず、若しくはこれらの規定に規定する事項を記載しない書面若しくは虚偽の記載をした書面を交付した者又は第百九十七条におい て準用する同法第三十七条の三第二項若しくは第三十七条の四第二項において準用する同法第三十四条の二第四項に規定する方法により当該事項を欠いた提供若 しくは虚偽の事項の提供をした者
- A person who has, in violation of Article 37-3, paragraph (1) (excluding item (ii) and item (vi)) or Article 37-4, paragraph (1) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 197, failed to deliver documents, who has delivered documents that do not contain the matters set forth in said provisions, or has delivered documents containing a false statement, or a person who has made provisions lacking said matters or of matters which have been falsely stated under the method prescribed in Article 34-2, paragraph (4) of that Act as applied mutatis mutandis pursuant to the provisions of Article 37-3, paragraph (2) or Article 37-4, paragraph (2) of that Act which are applied mutatis mutandis pursuant to Article 197.
- 次に掲げる要件のいずれかに該当するものとして金融庁長官に届出を行った法人(ロに該当するものとして届出を行った法人にあっては、業務執行組合員等(組合契約を締結して組合の業務の執行を委任された組合員、匿名組合契約を締結した営業者若しくは有限責任事業組合契約を締結して組合の重要な業務の執行の決定に関与し、かつ、当該業務を自ら執行する組合員又は外国の法令に基づくこれらに類する者をいう。以下この号及び次号において同じ。)として取引を行う場合に限る。)
- a juridical person which has notified the Commissioner of the Financial Services Agency that it falls under any of the following requirements (in the case of a juridical person which has made a notification to the effect that it falls under sub-item (b), limited to cases where said juridical person effects any transaction as an Operating Partner, etc. (meaning a partner who has concluded a Partnership Contract under which said partner is delegated to manage the business of the partnership; a proprietor who has concluded a Silent Partnership Contract; a partner who has concluded a Limited Liability Partnership Agreement, participates in management decisions regarding the important business of a partnership, and manages said business by himself/herself; or any person equivalent to them under the laws and regulations of a foreign state; hereinafter the same shall apply in this item and the following item)):
- 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.
- 資産流動化計画に定められた特定資産の譲渡人(当該譲渡人が法人である場合には、その役員及び使用人を含む。以下「特定譲渡人」という。)が特定目的会社の発行する資産対応証券(特定短期社債及び特定約束手形を除く。以下この条及び次条において同じ。)の募集等に関する事務を受託した者である場合における金融商品取引法の適用については、当該特定譲渡人が行う当該特定目的会社が発行する資産対応証券の募集等の取扱いは、同法第二条第八項第九号に掲げる行為に該当しないものとみなす。
- With regard to the application of the Financial Instruments and Exchange Act in cases where the transferor of Specified Assets set forth in the Asset Securitization Plan (in cases where the transferor is a juridical person, including its officers and employees; hereinafter referred to as the 'Specified Transferor') is the person who has been entrusted with the affairs related to the Public Offering, etc. of Asset-Backed Securities (excluding Specified Short-Term Bonds and Specified Promissory Notes; hereinafter the same shall apply in this Article and the following Article) which the Specific Purpose Company issues, the handling of a Public Offering, etc. of Asset-Backed Securities issued by the Specific Purpose Company which has been made by the Specified Transferor shall be deemed not to fall under the acts listed in Article 2(8)(ix) of that Act.
- 法第二十二条の二第一項に規定する政令で定める行為は、次に掲げる行為(顧客分別金信託(金融商品取引法第四十三条の二第二項の規定による信託をいう。)に係る契約の締結又は当該契約に係る受益者の指定その他財務省令で定める行為を除く。)とする。ただし、第一号から第八号までに掲げる行為にあつては、本人確認済みの顧客等(法第二十二条の二第一項に規定する顧客等をいい、法第十八条第三項の規定により顧客とみなされる自然人を含む。以下この条において同じ。)との間の行為を除く。
- Acts specified by Cabinet Order as prescribed in Article 22-2, paragraph (1) of the Act shall be the following acts (excluding acts of concluding a contract pertaining to customer-oriented money trust (meaning trust pursuant to the provision of Article 43-2, paragraph (2) of the Financial Instruments and Exchange Act) or designating beneficiaries pertaining to such a contract, or other acts specified by the Ordinance of the Ministry of Finance); provided, however, that for the acts listed in items (i) to (viii) inclusive, acts committed with customers, etc. (meaning customers, etc. prescribed in Article 22-2, paragraph (1) of the Act, including natural persons who shall be deemed to be customers pursuant to the provision of Article 18, paragraph (3) of the Act; hereinafter the same shall apply in this Article) whose identity has already been confirmed shall be excluded.
- 投資信託委託会社が、業として有価証券又はデリバティブ取引に係る権利以外の資産に対する投資として委託者指図型投資信託の信託財産の運用の指図を行う場合(前項の規定により読み替えられた金融商品取引法第二十九条の二第二項第二号に規定する特定投資運用行為を行う場合にあつては、業として当該特定投資運用行為を行うことにつき同法第三十五条第四項の承認を受けた場合に限る。)における同法の規定の適用については、当該指図は、同法第二条第八項第十四号に掲げる行為に該当するものとみなす。
- With regard to the application of the provisions of the Financial Instruments and Exchange Act to cases where the Settlor Company of an Investment Trust gives instructions in the course of business for investment to be made in Securities or assets other than the rights pertaining to Derivative Transactions as an investment of the of the trust property of an Investment Trust Managed under Instructions from the Settlor (in cases where the Settlor Company of an Investment Trust conducts Specified Investment Management Activities as set forth in Article 29-2, paragraph (2), item (ii) of that Act as replaced pursuant to the provisions of the preceding paragraph, limited to cases where said Settlor Company of an Investment Trust has obtained the approval set forth in Article 35, paragraph (4) of that Act for conducting said Specified Investment Management Activities in the course of trade), said instructions shall be deemed to fall under the acts listed in Article 2, paragraph (8), item (xiv) of that Act.
- 金融商品取引所にその発行する有価証券を上場しようとする者その他の政令で定める者(大会社等を除く。)の発行する当該有価証券が上場される日その他の政令で定める日の属する会計期間前の三会計期間の範囲内で内閣府令で定める会計期間に係る財務書類について監査法人が監査関連業務を行つた場合には、その者を大会社等とみなして、第三十四条の十一の三の規定を適用する。この場合において、同条中「監査法人は」とあるのは、「第三十四条の十一の五第一項の監査関連業務を行つた監査法人は」とする。
- In the case where an audit corporation has provided audit-related services concerning the financial documents of a person who intends to list the securities he/she issues in a financial instruments exchange or any other person specified by Cabinet Order (excluding a large company, etc.) pertaining to the accounting period specified by Cabinet Office Ordinance not exceeding three accounting periods preceding the accounting period that includes the day on which said securities issued by such person are to be listed or includes any other date specified by Cabinet Order, the provisions of Article 34-11-3 shall apply by deeming such person to be a large company, etc. In this case, the term 'audit corporation' in the same Article shall be deemed to be replaced with 'audit corporation that has provided the audit-related services set forth in Article 34-11-5(1).'
- 金融商品取引所にその発行する有価証券を上場しようとする者その他の政令で定める者の発行する有価証券が上場される日その他の政令で定める日の属する会計期間前の三会計期間の範囲内で内閣府令で定める会計期間に係る財務書類について前条第二項に規定する大規模監査法人が監査関連業務を行つた場合には、その者を同条第一項に規定する上場有価証券発行者等とみなして、同項の規定を適用する。この場合において、同項中「大規模監査法人」とあるのは、「次条第二項の監査関連業務を行つた大規模監査法人」とする。
- In the case where a large audit corporation prescribed in paragraph (2) of the preceding Article has provided audit-related services concerning the financial documents of a person who intends to list the securities he/she issues in a financial instruments exchange or any other person specified by Cabinet Order pertaining to the accounting period specified by Cabinet Office Ordinance not exceeding three accounting periods preceding the accounting period that includes the day on which said securities issued by such person are to be listed or includes any other date specified by Cabinet Order, the provisions of paragraph (1) of the same Article shall apply by deeming such person to be a listed securities issuer, etc. prescribed in the same paragraph. In this case, the term 'large audit corporation' in the same paragraph shall be deemed to be replaced with 'large audit corporation that has provided the audit-related services set forth in paragraph (2) of the following Article.'
- この法律若しくは金融商品取引法第百九十七条から第百九十八条までの規定に違反し、又は投資信託及び投資法人に関する法律第二百三十三条第一項(第三号に係る部分に限る。)の罪、保険業法第三百二十八条第一項(第三号に係る部分に限る。)の罪、資産の流動化に関する法律第三百八条第一項(第三号に係る部分に限る。)の罪若しくは会社法第九百六十七条第一項(第三号に係る部分に限る。)の罪を犯し、禁錮以上の刑に処せられた者であつて、その執行を終わり、又は執行を受けることがなくなつてから五年を経過しないもの
- A person who has violated this Act or the provisions of Articles 197 to 198 inclusive of the Financial Instruments and Exchange Act or who has committed a crime set forth in Article 233(1) (limited to the portion pertaining to item (iii)) of the Act on Securities Investment Trust and Securities Investment Corporations, a crime set forth in Article 328(1) (limited to the portion pertaining to item (iii)) of the Insurance Business Act, a crime set forth in Article 308(1) (limited to the portion pertaining to item (iii)) of the Act on Securitization of Assets or a crime set forth in Article 967(1) (limited to the portion pertaining to item (iii)) of the Companies Act, who has been sentenced to imprisonment without work or a severer punishment and for whom five years have yet to elapse from the time when the execution of the sentence has been completed or the sentence has ceased to be executed
- 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.
- 次の各号に掲げる金融機関は、当該各号に定める業務を行う場合には、第十九条第二項、第四十一条第四項、第百二十二条第一項第十六号、第百四十一条第一項第三号、第百四十五条第三項、第百八十四条第一項第四号、第百八十五条第三号、第百八十六条第三号、第百九十三条第二号、第二十四条第三項において準用する会社法第六十四条、第三十六条第五項において準用する同法第二百八条第一項並びに第三十六条第七項、第四十一条第六項及び第百二十二条第十項において準用する同法第六十四条の規定の適用については、銀行とみなす。
- With regard to the application of the provisions of Article 19(2), Article 41(4), Article 122(1)(xvi), Article 141(1)(iii), Article 145(3), Article 184(1)(iv), Article 185(iii), Article 186(iii), and Article 193(ii) of this Act, Article 64 of the Companies Act as applied mutatis mutandis pursuant to Article 24(3) of this Act, Article 208(1) of the Companies Act as applied mutatis mutandis pursuant to Article 36(5) of this Act, and Article 64 of the Companies Act as applied mutatis mutandis pursuant to Article 36(7), Article 41(6), and Article 122(10) of this Act, in cases where the financial institutions listed in the following items carry out business specified in the respective items, such financial institutions shall be deemed to be a bank:
- 法第二十条第一号又は第四号に規定する信託契約(受益権が金融商品取引法第二条第一項に規定する有価証券に表示される権利(同項第十二号から第十四号までに掲げるものを除く。以下この条において同じ。)若しくは同条第二項の規定により有価証券とみなされる権利又は商品投資に係る事業の規制に関する法律(平成三年法律第六十六号)第二条第六項に規定する商品投資受益権であるもの並びに担保付社債信託法(明治三十八年法律第五十二号)第二条第一項に規定する信託契約を除く。以下この条において「信託契約」という。)の締結
- Conclusion of a trust contract as prescribed in Article 21, item (i) or (iv) of the Act (excluding contracts in which subject beneficial interest is the right indicated on securities prescribed in Article 2, paragraph (1) of the Financial Instruments and Exchange Act (excluding those listed in items (xii) and (xiv) of the said paragraph; hereinafter the same shall apply in this Article) or the right deemed to be securities pursuant to the provision of paragraph (2) of the said Article, or the beneficial interest in commodities investment prescribed in Article 2, paragraph (6) of the Act on Regulations of Business Pertaining to Commodities Investment (Act No. 66 of 1991), and trust contracts prescribed in Article 2, paragraph (1) of the Secured Debenture Trust Act (Act No. 52 of 1905); hereinafter referred to as the 'trust contracts' in this Article)
- 資産運用会社が、業として有価証券又はデリバティブ取引に係る権利以外の資産に対する投資として登録投資法人の資産の運用を行う場合(第一項の規定により読み替えられた金融商品取引法第二十九条の二第二項第二号に規定する特定投資運用行為を行う場合にあつては、業として当該特定投資運用行為を行うことにつき同法第三十五条第四項の承認を受けた場合に限る。)における同法の規定の適用については、当該運用は、同法第二条第八項第十二号に掲げる行為(同号イに掲げる契約に基づいて行うものに限る。)に該当するものとみなす。
- With regard to the application of the provisions of the Financial Instruments and Exchange Act in cases where an Asset Management Company invests assets of a Registered Investment Corporation as an investment in Securities or in assets other than rights pertaining to Derivative Transactions in the course of business (in cases where the Asset Management Company conducts Specified Investment Management Activities as set forth in Article 29-2, paragraph (2), item (ii) of that Act as replaced pursuant to paragraph (1), limited to the case where said Asset Management Company has obtained approval set forth in Article 35, paragraph (4) of that Act for conducting said Specified Investment Management Activities in the course of business), said investment shall be deemed to fall under the acts listed in Article 2, paragraph (8), item (xii) of that Act (limited to the acts conducted under the contract listed in Article 2, paragraph (8), item (xii), sub-item (a) of that Act).
- 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.
- 前項の「特別国際金融取引勘定」とは、銀行その他の政令で定める金融機関が、非居住者(外国法令に基づいて設立された法人その他政令で定める者に限る。以下この項及び次項において同じ。)から受け入れた預金その他の非居住者から調達した資金を非居住者に対する金銭の貸付け、非居住者からの証券の取得その他の非居住者との間での運用に充てるために行う次に掲げる取引又は行為に係る資金の運用又は調達に関する経理をその他の取引又は行為に係る資金の運用又は調達に関する経理と区分して整理するため財務大臣の承認を受けて設ける勘定をいう。
- The 'Special International Financial Transactions Account' set forth in the preceding paragraph shall mean the account set by banks or other financial institutions specified by Cabinet Order with the approval of the Minister of Finance in order to adjust accounting related to the operation or procurement of funds pertaining to the following transactions or acts, which are committed to allocate deposits received from a non-resident (limited to juridical persons established pursuant to foreign laws and regulations and those specified by Cabinet Order; hereinafter the same shall apply in this and the next paragraph) or other funds procured from a non-resident to money loan to a non-resident, acquisition of securities from a non-resident or other operations with a non-resident, in distinction from the accounting related to the operation or procurement of funds pertaining to other transactions or acts.
- この法律の規定又は第二百二十三条の三の規定により読み替えて適用する金融商品取引法、信託業法若しくは金融機関の信託業務の兼営等に関する法律の規定により、不動産その他の政令で定める特定資産に関し、内閣総理大臣が内閣府令(政令で定めるものに限る。)を定め、若しくは内閣総理大臣が命令その他の処分(政令で定めるものに限る。)を行う場合又は内閣総理大臣に対し届出(政令で定めるものに限る。)若しくは登録の申請があつた場合における国土交通大臣その他の関係行政機関の長との協議、これに対する通知その他の手続については、政令で定める。
- Where the Prime Minister establishes a Cabinet Office Ordinance (limited to one specified by a Cabinet Order) or issues an order or other disposition (limited to one specified by a Cabinet Order), or where a notification (limited to one specified by a Cabinet Order) or an application for registration has been filed with the Prime Minister in relation to Real Property and Specified Assets specified by a Cabinet Order pursuant to the provisions of this Act and the provisions of the Financial Instruments and Exchange Act, the Trust Business Act, or the Act on Concurrent Operation of Trust Business by a Financial Institution as applied by replacing terms pursuant to Article 223-3, those matters related to consultation between the Prime Minister and the Minister of Finance or another head of an administrative organ, notices to be given to the Minister of Finance or another head of an administrative organ, and other procedures shall be specified by a Cabinet Order.
- 審議会は、前二項に規定するもののほか、森林病害虫等防除法(昭和二十五年法律第五十三号)、国有林野の管理経営に関する法律(昭和二十六年法律第二百四十六号)、森林法(昭和二十六年法律第二百四十九号)、保安林整備臨時措置法(昭和二十九年法律第八十四号)、林業経営基盤の強化等の促進のための資金の融通等に関する暫定措置法(昭和五十四年法律第五十一号)、森林の保健機能の増進に関する特別措置法(平成元年法律第七十一号)及び林業労働力の確保の促進に関する法律(平成八年法律第四十五号)の規定によりその権限に属させられた事項を処理する。
- In addition to the matters provided in the preceding two paragraphs, the Council shall deal with the tasks authorized pursuant to the provisions of the following Acts: Forest Pests and Disease Control Act (Act No. 53 of 1950), Act Concerning Utilization of National Forest Land (Act No.246 of 1951), Forest Act (Act No. 249 of 1951), Temporary Measures Act for Protection Forest Consolidation (Act No. 84 of 1954), Temporary Measures Act Concerning Fund for Improvement of Forestry Management Framework (Act No. 51 of 1979), Special Measures Act for Improvement of Public Health Function of Forests (Act No.71 of 1989), Act Concerning the Securing of forestry Work Force (Act No. 45 of 1996)
- 書類の送達については、民事訴訟法第九十九条、第百一条から第百三条まで、第百五条、第百六条、第百七条第一項(第二号及び第三号を除く。)及び第三項、第百八条並びに第百九条の規定を準用する。この場合において、同法第九十九条第一項中「執行官」とあり、及び同法第百七条第一項中「裁判所書記官」とあるのは「金融庁の職員」と、同法第百八条中「裁判長」とあるのは「内閣総理大臣又は審判長(公認会計士法第三十四条の四十二第一項ただし書の場合にあっては、審判官)」と、同法第百九条中「裁判所」とあるのは「内閣総理大臣又は審判官」と読み替えるものとする。
- The provisions of Article 99, Articles 101 to 103 inclusive, Article 105, Article 106, Article 107(1) (excluding item (ii) and item (iii)) and (3), Article 108 and Article 109 of the Administrative Procedure Act shall apply mutatis mutandis to the service of documents. In this case, the term 'court enforcement officer' in Article 99(1) of the same Act and the term 'court clerk' in Article 107(1) of the same Act shall be deemed to be replaced with 'official of the Financial Services Agency,' the term 'presiding judge' in Article 108 of the same Act shall be deemed to be replaced with 'Prime Minister or the chief hearing examiner (the hearing examiner in the case of the proviso to Article 34-42(1) of the Certified Public Accountants Act)' and the term 'court' in Article 109 of the same Act shall be deemed to be replaced with 'Prime Minister or a hearing examiner.'
- 第十六条の二第二項第二号に掲げる金融関連業務(当該銀行持株会社が証券専門会社、証券仲介専門会社及び有価証券関連業を営む外国の会社のいずれをも子会社としていない場合にあつては同項第三号に掲げる証券専門関連業務を、当該銀行持株会社が保険会社、少額短期保険業者及び保険業を営む外国の会社のいずれをも子会社としていない場合にあつては同項第四号に掲げる保険専門関連業務を、当該銀行持株会社が信託兼営銀行、信託専門会社及び信託業を営む外国の会社のいずれをも子会社としていない場合にあつては同項第五号に掲げる信託専門関連業務をそれぞれ除くものとする。)
- Financial Services defined in Article 16-2, paragraph (2), item (ii) (excluding Specialized Securities Services defined in Article 16-2, paragraph (2), item (iii) in the cases where the Bank Holding Company has any Specialized Securities Company, Specialized Securities Intermediation Company or foreign company which engages in Securities Services as its Subsidiary Company; Specialized Insurance Services defined in Article 16-2, paragraph (2), item (iv) in the cases where the Bank Holding Company has any Insurance Company, Low-Cost, Short-Term Insurance Provider or foreign company which engages in Insurance Services as its Subsidiary Company; and Specialized Trust Services defined in Article 16-2, paragraph (2), item (v) in the cases where the Bank Holding Company has any Trust Bank, company specialized in Trust Business or foreign company which engages in Trust Business as its Subsidiary Company).
- 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.
- この法律において「資産の流動化」とは、一連の行為として、特定目的会社が資産対応証券の発行若しくは特定目的借入れにより得られる金銭をもって資産を取得し、又は信託会社(信託業法(平成十六年法律第百五十四号)第二条第二項に規定する信託会社をいう。以下同じ。)若しくは信託業務を営む銀行(銀行法(昭和五十六年法律第五十九号)第二条第一項に規定する銀行をいう。以下同じ。)その他の金融機関が資産の信託を受けて受益証券を発行し、これらの資産の管理及び処分により得られる金銭をもって、次の各号に掲げる資産対応証券、特定目的借入れ及び受益証券に係る債務又は出資について当該各号に定める行為を行うことをいう。
- The term 'Asset Securitization' as used in this Act means a series of acts wherein a Specific Purpose Company acquires assets with the monies obtained through issuance of Asset-Backed Securities or through Specific Purpose Borrowings, or wherein a Trust Company (meaning a trust company as defined in Article 2(2) of the Trust Business Act (Act No. 154 of 2004); the same shall apply hereinafter) or a Bank (meaning a bank as defined in Article 2(1) of the Banking Act (Act No. 59 of 1981); the same shall apply hereinafter) or any other financial institution carrying out trust business holds assets in trust and issues Beneficiary Certificates, and, with the monies obtained through the administration and disposition of such assets, conducts the acts prescribed in the following items with regard to obligations said person has undertaken in relation to Asset-Backed Securities, Specific Purpose Borrowings, or Beneficiary Certificates, or with regard to equity, as set forth respectively in those items:
- (6) 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));
- 金融商品取引法第三十六条第一項(顧客に対する誠実義務)、第三十七条第一項(第二号を除く。)及び第二項(広告等の規制)、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(契約締結前の書面の交付)、第三十七条の四(契約締結時等の書面の交付)、第三十八条(禁止行為)、第三十九条(損失補てん等の禁止)、第四十条(適合性の原則等)、第四十四条の三第一項(第三号を除く。)(親法人等又は子法人等が関与する行為の制限)、第四十五条(第三号及び第四号を除く。)の規定は、資産対応証券の募集等を行う特定目的会社及び資産対応証券の募集等の取扱いを行う特定譲渡人について準用する。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 36(1) (Duty of Good Faith to Customers), Article 37(1) (excluding item (ii)) and (2) (Regulation of Advertising, etc.), Article 37-3(1) (excluding item (ii) and item (vi)) and (2) (Delivery of Document Prior to Conclusion of Contract), Article 37-4 (Delivery of Document upon Conclusion of Contract, etc.), Article 38 (Prohibited Acts), Article 39 (Prohibition of Compensation of Loss, etc.), Article 40 (Principle of Suitability), Article 44-3(1) (excluding item (iii)) (Restriction on Acts Involving Parent Juridical Persons, etc. or Subsidiary Juridical Persons, etc.), and Article 45 (excluding item (iii) and item (iv)) of the Financial Instruments and Exchange Act shall apply mutatis mutandis to a Specific Purpose Company making a Public Offering, etc. of Asset-Backed Securities and a Specified Transferor handling the Public Offering, etc. of Asset-Backed Securities. In this case, any necessary technical replacement of terms shall be specified by a Cabinet Order.
- この法律若しくは金融商品取引法(昭和二十三年法律第二十五号)第百九十七条から第百九十八条までの規定に違反し、又は投資信託及び投資法人に関する法律(昭和二十六年法律第百九十八号)第二百三十三条第一項(第三号に係る部分に限る。)の罪、保険業法(平成七年法律第百五号)第三百二十八条第一項(第三号に係る部分に限る。)の罪、資産の流動化に関する法律(平成十年法律第百五号)第三百八条第一項(第三号に係る部分に限る。)の罪若しくは会社法(平成十七年法律第八十六号)第九百六十七条第一項(第三号に係る部分に限る。)の罪を犯し、禁錮以上の刑に処せられた者であつて、その執行を終わり、又は執行を受けることがなくなつてから五年を経過しないもの
- A person who has violated this Act or the provisions of Articles 197 to 198 inclusive of the Financial Instruments and Exchange Act (Act No. 25 of 1948) or who has committed a crime set forth in Article 233(1) (limited to the portion pertaining to item (iii)) of the Act on Securities Investment Trust and Securities Investment Corporations (Act No. 198 of 1951), a crime set forth in Article 328(1) (limited to the portion pertaining to item (iii)) of the Insurance Business Act (Act No. 105 of 1995), a crime set forth in Article 308(1) (limited to the portion pertaining to item (iii)) of the Act on Securitization of Assets (Act No. 105 of 1998) or a crime set forth in Article 967(1) (limited to the portion pertaining to item (iii)) of the Companies Act (Act No. 86 of 2005), who has been sentenced to imprisonment without work or a severer punishment and for whom five years have yet to elapse from the time when execution of the sentence was completed or the sentence ceased to be executed
- 受託信託会社等が信託業法第七条第三項(同法第五十四条第二項において準用する場合を含む。)の登録の更新をしなかった場合、同法第四十四条第一項の規定により同法第三条の免許を取り消された場合、同法第四十五条第一項の規定により同法第七条第一項の登録を取り消された場合、同法第五十九条第一項の規定により同法第五十三条第一項の免許を取り消された場合、同法第六十条第一項の規定により同法第五十四条第一項の登録を取り消された場合又は金融機関の信託業務の兼営等に関する法律第十条の規定により同法第一条第一項の認可を取り消された場合における前項の規定の適用については、同項中「権利者集会の決議」とあるのは、「権利者集会の決議又は内閣総理大臣」とする。
- With regard to application of the provisions of the preceding paragraph in cases where a Fiduciary Trust Company, etc. fails to renew the registration set forth in Article 7(3) of the Trust Business Act (including the cases where it is applied mutatis mutandis pursuant to Article 54(2) of that Act), in cases where the license set forth in Article 3 of that Act is rescinded pursuant to the provisions of Article 44(1) of that Act, in cases where the registration set forth in Article 7(1) of that Act is rescinded pursuant to the provisions of Article 45(1) of that Act, in cases where the license set forth in Article 53(1) of that Act is rescinded pursuant to the provisions of Article 59(1) of that Act, in cases where the registration set forth in Article 54(1) of said Act is rescinded pursuant to the provisions of Article 60(1) of that Act, or in cases where the authorization set forth in Article 1(1) of the Act on Provision of Trust Business by Financial Institutions is rescinded pursuant to the provisions of Article 10 of that Act, the phrase 'resolution at a Beneficiary Certificate Holders' Meeting' in the preceding paragraph shall be deemed to be replaced with 'resolution at a Beneficiary Certificate Holders' Meeting or by the Prime Minister.'
- 大規模監査法人は、金融商品取引所に上場されている有価証券の発行者その他の政令で定める者(以下この項において「上場有価証券発行者等」という。)の財務書類について第二条第一項の業務を行う場合において、当該業務を執行する社員のうちその事務を統括する者その他の内閣府令で定める者(以下この項において「筆頭業務執行社員等」という。)が上場有価証券発行者等の五会計期間の範囲内で政令で定める連続会計期間のすべての会計期間に係る財務書類について監査関連業務を行つた場合には、当該政令で定める連続会計期間の翌会計期間以後の政令で定める会計期間に係る当該上場有価証券発行者等の財務書類について当該筆頭業務執行社員等に監査関連業務を行わせてはならない。
- In the case where a large audit corporation provides the services set forth in Article 2(1) concerning the financial documents of an issuer of securities listed in a financial instruments exchange or any other person specified by Cabinet Order (hereinafter referred to as a 'listed securities issuer, etc.' in this paragraph), if any partner executing said services who supervises the relevant affairs or any other person specified by Cabinet Office Ordinance (hereinafter referred to as a 'lead engagement partner, etc.' in this paragraph) has provided audit-related services concerning the financial documents pertaining to all accounting periods of consecutive accounting periods as specified by Cabinet Order not exceeding five accounting periods of the listed securities issuer, etc., the large audit corporation shall not have said lead engagement partner, etc. provide audit-related services concerning the financial documents of said listed securities issuer, etc. pertaining to an accounting period specified by Cabinet Order which comes in or after the accounting period following said consecutive accounting periods as specified by Cabinet Order.
- 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.
- 新銀行法第二十六条第二項(新長期信用銀行法第十七条、新外国為替銀行法第十一条、第四条の規定による改正後の信用金庫法(以下「新信用金庫法」という。)第八十九条、第五条の規定による改正後の労働金庫法(以下「新労働金庫法」という。)第九十四条及び第七条の規定による改正後の協同組合による金融事業に関する法律(以下「新協金法」という。)第六条において準用する場合を含む。)の規定は、平成十年四月一日以後に新銀行法第二十六条第一項(新長期信用銀行法第十七条、新外国為替銀行法第十一条、新信用金庫法第八十九条、新労働金庫法第九十四条及び新協金法第六条において準用する場合を含む。)の規定による命令(改善計画の提出を求めることを含む。)をする場合について適用する。
- The provisions of Article 26, paragraph (2) of the New Banking Act (including the cases where it is applied mutatis mutandis pursuant to Article 17 of the New Long-Term Credit Bank Act, Article 11 of the New Foreign Exchange Bank Act, Article 89 of the Shinkin Bank Act after its revision by Article 4 (hereinafter referred to as the 'New Shinkin Bank Act'), Article 94 of the Labor Bank Act after its revision by Article 5 (hereinafter referred to as the 'New Labor Bank Act') and Article 6 of the Act on Financial Services by Cooperatives after its revision by Article 7 (hereinafter referred to as the 'New Act on Financial Services by Cooperatives')) shall apply to the cases where an order under Article 26, paragraph (1) (including the cases where it is applied mutatis mutandis pursuant to Article 17 of the New Long-Term Credit Bank Act, Article 11 of the New Foreign Exchange Bank Act, Article 89 of the New Shinkin Bank Act, Article 94 of the New Labor Bank Act and Article 6 of the New Act on Financial Services by Cooperatives) (including a request for submission of an improvement plan) is given on or after April 1, 1998.
- 指定紛争解決機関の実質的支配者等(指定紛争解決機関の株式の所有、指定紛争解決機関に対する融資その他の事由を通じて指定紛争解決機関の事業を実質的に支配し、又はその事業に重要な影響を与える関係にあるものとして内閣府令で定める者をいう。)又は指定紛争解決機関の子会社等(指定紛争解決機関が株式の所有その他の事由を通じてその事業を実質的に支配する関係にあるものとして内閣府令で定める者をいう。)を銀行業務関連紛争の当事者とする銀行業務関連紛争について紛争解決手続の業務を行うこととしている指定紛争解決機関にあつては、当該実質的支配者等若しくは当該子会社等又は指定紛争解決機関が紛争解決委員に対して不当な影響を及ぼすことを排除するための措置が講じられていること。
- That, with regard to a Designated Dispute Resolution Organization that is to carry out the operations of Dispute Resolution Procedures with regard to the Dispute Related to Banking Services of which one of the Parties is the Substantial Controller, etc. (meaning the person specified by Cabinet Office Ordinance as one who substantially controls the business of the Designated Dispute Resolution Organization or who has a material influence on the business thereof by the holding of shares of the Designated Dispute Resolution Organization, financing the Designated Dispute Resolution Organization or any other cause) of the Designated Dispute Resolution Organization or a Subsidiary Company, etc. (meaning the person specified by Cabinet Office Ordinance as one whose business is substantially controlled by the Designated Dispute Resolution Organization by the holding of shares or any other cause) of the Designated Dispute Resolution Organization, measures have been taken for preventing said Substantial Controller, etc., Subsidiary Company, etc. or Designated Dispute Resolution Organization from exercising undue influence on the Dispute Resolution Mediator;
- 銀行は、子会社対象会社のうち、第一項第一号から第十一号まで又は第十三号に掲げる会社(従属業務(第二項第一号に掲げる従属業務をいう。以下この項及び第七項において同じ。)又は銀行業に付随し、若しくは関連する業務として内閣府令で定めるものを専ら営む会社(従属業務を営む会社にあつては、主として当該銀行の営む業務のためにその業務を営んでいる会社に限る。)を除く。以下この条及び次条第四項第一号において「子会社対象銀行等」という。)を子会社としようとするときは、第三十条第一項から第三項まで又は金融機関の合併及び転換に関する法律(昭和四十三年法律第八十六号)第五条第一項(認可)の規定により合併、会社分割又は事業の譲受けの認可を受ける場合を除き、あらかじめ、内閣総理大臣の認可を受けなければならない。
- A Bank shall, when it wishes to cause a Company Eligible to Be Subsidiary Company which falls under any of categories listed in items (i) to (xi) inclusive and (xiii) of paragraph (1) (excluding that which exclusively engages in Dependent Business (meaning Dependent Business defined in paragraph (2), item (i); hereinafter the same shall apply in this paragraph and paragraph (7)) or business specified by Cabinet Office Ordinance as that being incidental or related exclusively to Banking (in case of a company which engages in Dependent Business, limited to that engages in it mainly for business operated by the Bank); such a Company Eligible to Be Subsidiary Company shall be referred to as a 'Bank, etc. Eligible to Be Subsidiary Company' in this Article and paragraph (4), item (i) of the following Article) to become its Subsidiary Company, obtain authorization therefor from the Prime Minister in advance, except when an authorization for merger, company split or acquisition of business from the other company is to be obtained pursuant to the provisions of Article 30, paragraphs (1) to (3) inclusive of this Act or Article 5, paragraph (1) (Authorization) of the Act on Mergers and Conversions in Financial Institutions (Act No. 86 of 1968).
- 金融庁長官は、第三項の規定により届出が行われたときは、当該届出が一月一日から一月を経過する日までの間に行われた場合はその日の属する年の三月一日までに、四月一日から一月を経過する日までの間に行われた場合はその日の属する年の六月一日までに、七月一日から一月を経過する日までの間に行われた場合はその日の属する年の九月一日までに及び十月一日から一月を経過する日までの間に行われた場合はその日の属する年の十二月一日までに、当該届出を行った者の商号、名称又は氏名、本店若しくは主たる事務所の所在地又は住所、適格機関投資家に該当する期間(第五項に規定する期間をいう。)及び当該届出を行った者が第一項第二十三号ロ又は第二十四号ロに該当するものとして届出を行った者である場合にはその旨を官報に公告しなければならない。
- When the notification has been filed pursuant to the provisions of paragraph (3), the Commissioner of the Financial Services Agency shall give a public notice of the trade name or name, and the location of the head office or principal office or the domicile, of the person who made said notification, the period during which the person who made said notification is to be regarded as falling under the category of a Qualified Institutional Investor (meaning the period as prescribed in paragraph (5)), and, if the person who has made said notification made such notification as a person who falls under paragraph (1), item (xxiii), sub-item (b) or, item (xxiv), sub-item (b) it shall be published to that effect in Official Gazette until March 1 of the year in which the date of the notification falls in cases where said notification was made during the period from January 1 until one month thereafter; until June 1 of the year in which the date of the notification falls in cases where said notification was made during the period from April 1 until one month thereafter; until September 1 of the year in which the date of the notification falls in cases where said notification was made during the period from July 1 until one month thereafter; or until December 1 of the year in which the date of the notification falls in cases where said notification was made during the period from October 1 until one month thereafter.
- 外国の法令に準拠し、外国において、他人の求めに応じ報酬を得て、財務書類の監査又は証明をすることを業とする者は、金融商品取引法第二条第一項第十七号に掲げる有価証券で同項第九号に掲げる有価証券の性質を有するものその他の政令で定める有価証券の発行者その他内閣府令で定める者が同法の規定により提出する財務書類(以下「外国会社等財務書類」という。)について第二条第一項の業務に相当すると認められる業務を行うときは、あらかじめ、内閣府令で定めるところにより、内閣総理大臣に届け出なければならない。ただし、外国会社等財務書類について同項の業務に相当すると認められる業務を行う者に対する監督を行う外国の行政機関その他これに準ずるものの適切な監督を受けると認められる者として内閣府令で定めるものについては、この限りでない。
- A person who makes it his/her practice to audit or attest financial documents for fees at the request of others in a foreign state in compliance with the laws and regulations of the foreign state, when intending to provide services that are found to correspond to the services prescribed in Article 2(1) concerning financial documents to be submitted by an issuer of securities listed in Article 2(1)(xvii) of the Financial Instruments and Exchange Act that have the nature of securities listed in Item (ix) of the same paragraph or any other securities specified by Cabinet Order or to be submitted by any other person specified by Cabinet Office Ordinance pursuant to the provisions of the same Act (such financial documents shall be hereinafter referred to as 'financial documents of a foreign company, etc.'), shall notify the Prime Minister in advance pursuant to the provisions of a Cabinet Office Ordinance; provided, however, that this shall not apply to a person who is specified by Cabinet Office Ordinance as one who is deemed to receive appropriate supervision of the administrative agency of the foreign state that supervises persons who provide services that are found to correspond to those set forth in the same paragraph concerning financial documents of the foreign company, etc. or an organization equivalent to such administrative agency.
- 主務大臣は、前条第一項の規定により許可を受ける義務を課した場合において、当該許可を受ける義務が課された支払等を当該許可を受けないで行つた者が再び同項の規定により許可を受ける義務が課された支払等を当該許可を受けないで行うおそれがあると認めるときは、その者に対し、一年以内の期間を限り、本邦から外国へ向けた支払(銀行(銀行法(昭和五十六年法律第五十九号)第二条第一項に規定する銀行をいう。以下同じ。)その他の政令で定める金融機関(以下「銀行等」という。)が行う為替取引によつてされるものを除く。)及び居住者と非居住者との間でする支払等(銀行等が行う為替取引によつてされるものその他政令で定めるものを除く。)について、その全部若しくは一部を禁止し、又は政令で定めるところにより許可を受ける義務を課することができる。
- Where the competent minister has imposed the obligation to obtain permission pursuant to the provision of paragraph 1 of the preceding article, when he/she finds a risk that a person who has made payment, etc., for which the obligation to obtain the permission is imposed, without obtaining the permission will make payment, for which the obligation to obtain permission is imposed pursuant to the provision of the said paragraph, again without obtaining the permission, he/she may, for a period of not more than one year, prohibit the person from making, in whole or in part, payment from Japan to a foreign state (excluding payment through exchange transactions conducted by banks (meaning banks prescribed in Article 2, paragraph 1 of the Banking Act (Act No. 59 of 1981); the same shall apply hereinafter) or other financial institutions specified by Cabinet Order (hereinafter referred to as the 'Banks, etc.') and payment, etc. made between a resident and a non-resident (excluding payment, etc. resulting from exchange transactions conducted by the Banks, etc. or other payment, etc. specified by Cabinet Order), or may impose, pursuant to the provisions of Cabinet Order, on the person, the obligation to obtain permission for such payment and payment, etc.
- 新銀行法第十三条の二(新長期信用銀行法第十七条、第三条の規定による改正後の信用金庫法(以下「新信用金庫法」という。)第八十九条第一項、第四条の規定による改正後の労働金庫法(以下「新労働金庫法」という。)第九十四条第一項及び第六条の規定による改正後の協同組合による金融事業に関する法律(以下「新協金法」という。)第六条第一項において準用する場合を含む。)の規定は、銀行等(銀行、長期信用銀行、信用金庫若しくは信用金庫連合会、労働金庫若しくは労働金庫連合会又は信用協同組合若しくは信用協同組合連合会(新協金法第二条第一項に規定する信用協同組合連合会をいう。)をいう。以下この条及び次条第二項において同じ。)の施行日以後にする取引又は行為について適用し、銀行等の施行日前にした取引又は行為については、なお従前の例による。
- The provisions of Article 13-2 of the New Banking Act (including cases where it is applied mutatis mutandis pursuant to Article 17 of the New Long-Term Credit Bank Act, Article 89, paragraph (1) of the Shinkin Bank Act after its revision by Article 3 (hereinafter referred to as the 'New Shinkin Bank Act'), Article 94, paragraph (1) of the Labor Bank Act after its revision by Article 4 (hereinafter referred to as the 'New Labor Bank Act') and Article 6, paragraph (1) of the Act on Financial Services by Cooperative after its revision by Article 6 (hereinafter referred to as the 'New Act on Financial Services by Cooperatives')) shall apply to a transaction or act conducted by a Bank, etc. (meaning a Bank, Long-Term Credit Bank, Shinkin Bank or federation of Shinkin Banks, labor bank or federation of labor banks, or credit cooperative or Federation of Credit Cooperatives (meaning Federation of Credit Cooperatives as defined in Article 2, paragraph (1) of the New Act on Financial Services by Cooperatives); hereinafter the same shall apply in this Article and paragraph (2) of the following Article) on or after the Effective Date, and the provisions then in force shall remain applicable to a transaction or act conducted by a Bank, etc. before the Effective Date.
- 保険会社の取締役、執行役、会計参与若しくはその職務を行うべき社員及び監査役は、特定関係者(当該保険会社の子会社、当該保険会社を子会社とする保険持株会社の子会社(当該保険会社を除く。)その他の当該保険会社と政令で定める特殊の関係のある者をいう。)に該当する銀行(銀行法(昭和五十六年法律第五十九号)第二条第一項(定義等)に規定する銀行をいう。以下同じ。)その他の政令で定める金融機関又は金融商品取引法(昭和二十三年法律第二十五号)第二条第九項(定義)に規定する金融商品取引業者(有価証券関連業(同法第二十八条第八項(定義)に規定する有価証券関連業をいう。以下同じ。)を行う者に限る。)の取締役、執行役、会計参与若しくはその職務を行うべき社員若しくは監査役(理事、監事その他これらに準ずる者を含む。)又は使用人を兼ねてはならない。
- A director, executive officer, accounting advisor or a member who shall carry out its duties and company auditor of an Insurance Company shall not concurrently serve as the director, executive officer, accounting advisor or a member who shall carry out its duties or company auditor (including director, auditor or any other equivalent person) or employee of a bank (meaning a bank prescribed in Article 2, paragraph (1) (Definitions, etc.) of the Banking Act (Act No. 59 of 1981); the same shall apply hereinafter) or any other financial institution specified by a Cabinet Order, or a Financial Instruments Business Operator prescribed in Article 2, paragraph (9) (Definitions) of the Financial Instruments and Exchange Act (Act No. 25 of 1948) (limited to an operator that engages in a securities-related business (referring to any of the securities-related businesses prescribed in Article 28, paragraph (8) (Definitions) of the same Act); the same shall apply hereinafter), if such institution or operator is deemed as a specified person concerned (referring to a person that has a special relationship as specified by a Cabinet Order with the Insurance Company, such as a Subsidiary Company of the Insurance Company or a Subsidiary Company of the Insurance Holding Company of which the Insurance Company is a Subsidiary Company (excluding said Insurance Company).
- 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.
- 新銀行法第十六条の三第一項の規定は、この法律の施行の際現に国内の会社(同項に規定する国内の会社をいう。以下この項において同じ。)の株式等(新銀行法第二条第七項に規定する株式等をいう。以下この項において同じ。)を合算してその基準株式数等(新銀行法第十六条の三第一項に規定する基準株式数等をいう。以下この項において同じ。)を超えて所有している銀行又はその子会社による当該国内の会社の株式等の所有については、当該銀行が施行日から起算して三月を経過する日までにその旨を金融再生委員会に届け出たときは、施行日から起算して一年を経過する日までの間は、適用しない。この場合において、同日後は、当該国内の会社の株式等の所有については、当該銀行又はその子会社が同日において同条第二項本文に規定する事由により当該国内の会社の株式等を合算してその基準株式数等を超えて取得したものとみなして、同条の規定を適用する。
- The provisions of Article 16-3, paragraph (1) of the New Banking Act shall not apply, until the day on which one year has elapsed from the Effective Date, to holding of Shares, etc. (meaning Shares, etc. as defined in Article 2, paragraph (7) of the New Banking Act; hereinafter the same shall apply in this paragraph) of a Domestic Company (meaning domestic company as defined in Article 16-3, paragraph (1) of the New Banking Act; hereinafter the same shall apply in this paragraph) by a Bank and/or its Subsidiary Companies of which the total number exceeds the Threshold on Holding of Shares, etc. (meaning the Threshold on Holding of Shares, etc. as defined in Article 16-3, paragraph (1) of the New Banking Act; hereinafter the same shall apply in this paragraph) at the time when this Act comes into effect, if the Bank notifies the Financial Reconstruction Commission thereof by the day on which three months have elapsed from the Effective Date. In this case, after the day on which one year has elapsed from the Effective Date, the provisions of Article 16-3 of the New Banking Act shall apply to such holding of Shares, etc. in the Domestic Company by deeming that the Bank and/or the Subsidiary Companies acquire, on that day, the Shares, etc. in the Domestic Company in excess of the Threshold on Holding of Shares, etc. by a cause provided in the main clause of Article 16-3, paragraph (2) of the New Banking Act.
- 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.
- 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.
- 銀行持株会社が、当該銀行持株会社及びその子会社等の連結自己資本比率が当該銀行持株会社及びその子会社等が従前に該当していた前条第一項の表の区分に係る連結自己資本比率の範囲を超えて低下したことを知った後、速やかに、その連結自己資本比率を当該銀行持株会社及びその子会社等が該当する同表の区分に係る連結自己資本比率の範囲を超えて確実に改善するための合理的と認められる計画を金融庁長官に提出した場合には、当該銀行持株会社について、当該区分に応じた命令は、当該銀行持株会社及びその子会社等の連結自己資本比率以上で当該計画の実施後に見込まれる当該銀行持株会社及びその子会社等の連結自己資本比率以下の連結自己資本比率に係る同表の区分(非対象区分を除く。)に掲げる命令とする。ただし、当該計画が合理的でないことが明らかになった場合には、当該銀行持株会社について、当該銀行持株会社及びその子会社等が該当する同表の区分に係る命令は、同項のとおりとする。
- In cases where a bank holding company learns that the Consolidated Capital Adequacy Ratio of said bank holding company and its subsidiary, etc. decreased lower than the range of the Consolidated Capital Adequacy Ratio pertaining to the category of the table in paragraph (1) of the preceding Article under which said bank holding company and its subsidiary company, etc. used to fall and submits without delay to the Commissioner of the Financial Services Agency a plan found to be reasonable to improve said Consolidated Capital Adequacy Ratio certainly to exceed the scope of the Consolidated Capital adequacy ratio pertaining to the category of the same table to which said bank holding company and its subsidiary company, etc. correspond, an order with regard to said bank holding company in accordance with said category shall be an order listed in the category (except for exceptions from categories) in the same table pertaining to a Consolidated Capital Adequacy Ratio which is more than the Consolidated Capital Adequacy Ratio of said bank holding company and its subsidiary company, etc. and less than the Consolidated Capital Adequacy Ratio to be expected after implementation of said plan; provided, however, that in cases where said plan is found to be unreasonable, an order with regard to said bank holding company pertaining to the category of the same table to which said bank holding company and its subsidiary company, etc. correspond shall be as prescribed in the same paragraph.
- 銀行が、その自己資本比率(前条第七項に規定する単体自己資本比率又は同条第八項に規定する連結自己資本比率をいう。以下この条において同じ。)が当該銀行又は当該銀行及びその子会社等が従前に該当していた前条第一項又は第二項の表の区分に係る自己資本比率の範囲を超えて低下したことを知った後、速やかに、その自己資本比率を当該銀行又は当該銀行及びその子会社等が該当するこれらの表の区分に係る自己資本比率の範囲を超えて確実に改善するための合理的と認められる計画を金融庁長官に提出した場合には、当該銀行について、当該区分に応じた命令は、当該銀行又は当該銀行及びその子会社等の自己資本比率以上で当該計画の実施後に見込まれる当該銀行又は当該銀行及びその子会社等の自己資本比率以下の自己資本比率に係るこれらの表の区分(非対象区分を除く。)に掲げる命令とする。ただし、当該計画が合理的でないことが明らかになった場合には、当該銀行について、当該銀行又は当該銀行及びその子会社等が該当するこれらの表の区分に係る命令は、同条第一項又は第二項のとおりとする。
- In cases where a bank learns that its Capital Adequacy Ratio (which means the Non-Consolidated Capital Adequacy Ratio as prescribed in paragraph (7) of the preceding Article or the Consolidated Capital Adequacy Ratio as prescribed in paragraph (8) of the same Article; hereinafter the same shall apply in this Article) decreased lower than the range of the Capital Adequacy ratio pertaining to the categories in the tables in paragraphs (1) and (2) of the preceding Article under which said bank or said bank and its subsidiary company, etc. used to fall and submits without delay to the Commissioner of the Financial Services Agency a plan found to be reasonable to improve the Capital Adequacy Ratio certainly to exceed the range of the Capital Adequacy Ratio pertaining to the category of these tables to which said bank or said bank and its subsidiary, etc. correspond, then, an order in accordance with said category with regard to said bank, shall be an order listed in the category (except for exceptions from categories) in these tables corresponding to which is more than the Capital Adequacy Ratio of said bank or said bank and its subsidiary company, etc. and less than the Capital Adequacy Ratio to be expected after implementation of said plan; provided, however, that in cases where said plan is found to be unreasonable, with regard to said bank, an order pertaining to the categories of these tables to which said bank or said bank and its subsidiary company, etc. correspond shall be prescribed in paragraphs (1) and (2) of the same Article.
- この法律は、ヒト又は動物の胚又は生殖細胞を操作する技術のうちクローン技術ほか一定の技術(以下「クローン技術等」という。)が、その用いられ方のいかんによっては特定の人と同一の遺伝子構造を有する人(以下「人クローン個体」という。)若しくは人と動物のいずれであるかが明らかでない個体(以下「交雑個体」という。)を作り出し、又はこれらに類する個体の人為による生成をもたらすおそれがあり、これにより人の尊厳の保持、人の生命及び身体の安全の確保並びに社会秩序の維持(以下「人の尊厳の保持等」という。)に重大な影響を与える可能性があることにかんがみ、クローン技術等のうちクローン技術又は特定融合・集合技術により作成される胚を人又は動物の胎内に移植することを禁止するとともに、クローン技術等による胚の作成、譲受及び輸入を規制し、その他当該胚の適正な取扱いを確保するための措置を講ずることにより、人クローン個体及び交雑個体の生成の防止並びにこれらに類する個体の人為による生成の規制を図り、もって社会及び国民生活と調和のとれた科学技術の発展を期することを目的とする。
- The purpose of this Act is, in light of the risk that certain techniques including the Cloning Techniques (hereinafter referred to as the 'Cloning Techniques, etc.' ) among the techniques for manipulating Embryos or Germ Cells of a human or an Animal could, depending on the way they are applied, create an individual with the same gene structure as a certain individual (hereinafter referred to as a 'Human Clone Individual' ) or an individual which cannot be clearly classified as a human or an Animal (hereinafter referred to as an 'Hybrid Individual' ), or artificially create other similar individuals, and have a serious influence on the preservation of human dignity, safety for human life and body, and maintenance of public order (hereinafter referred to as the 'Preservation of Human Dignity, etc.' ), to prevent creation of Human Clone Individuals and Hybrid Individuals and to regulate artificial creation of individuals similar to them by means of prohibiting transfer of Embryos produced by the Cloning Techniques or Specified Fusion/Aggregation Techniques among Cloning Techniques, etc. into a human or Animal uterus, regulating production, receipt by assignment and import of Embryos created by Cloning Techniques, etc., and taking other measures for securing appropriate handling of such Embryos, thereby ensuring the development of science and technology in harmony with society and citizens lives.
- 「金融指標等先物契約」とは、証券取引法(昭和二十三年法律第二十五号)第二条第二十一項に規定する有価証券指数等先物取引、同条第二十二項に規定する有価証券オプション取引(同項第二号に掲げる取引に係るもののうち、政令で定めるものに限る。以下この号において同じ。)、同条第二十三項に規定する外国市場証券先物取引(同条第二十一項に規定する有価証券指数等先物取引及び同条第二十二項に規定する有価証券オプション取引に類する取引に限る。)、同条第二十五項に規定する有価証券店頭指数等先渡取引、同条第二十六項に規定する有価証券店頭オプション取引(同項第二号に掲げる取引及びこれに類する取引に限る。)及び同条第二十七項に規定する有価証券店頭指数等スワップ取引並びに金融先物取引法(昭和六十三年法律第七十七号)第二条第二項に規定する取引所金融先物取引(同項第二号に掲げる取引又は同項第三号に掲げる取引(同号ロに掲げる取引に係るもののうち、政令で定めるものに限る。)に該当するものに限る。以下この号において同じ。)、同条第四項に規定する店頭金融先物取引(同項第二号に掲げる取引又は同項第三号に掲げる取引(政令で定めるものに限る。)に類する取引に限る。)及び同条第三項に規定する海外金融先物市場において行われる同条第二項に規定する取引所金融先物取引に類する取引その他これらに類する取引として政令で定める取引に係る契約をいう。
- The term 'futures contract on a financial index, etc.' shall mean a contract pertaining to securities index futures trading, etc. prescribed in Article 2, paragraph 21 of the Securities and Exchange Act, securities options trading prescribed in paragraph 22 of the said article (limited to those pertaining to transactions listed in item 2 of the said paragraph, which are specified by Cabinet Order; hereinafter the same shall apply in this item), securities futures trading in the foreign market prescribed in paragraph 23 of the said article (limited to trading similar to securities index futures trading, etc. prescribed in paragraph 21 of the said article and securities options trading prescribed in paragraph 22 of the said article), forward trading in an over-the-counter securities index, etc. prescribed in paragraph 25 of the said article, over-the-counter securities options trading prescribed in paragraph 26 of the said article (limited to transactions listed in item 2 of the said paragraph and transactions similar thereto) and over-the-counter securities index swap trading, etc. prescribed in paragraph 27 of the said article, and exchange financial futures trading prescribed in Article 2, paragraph 2 of the Financial Futures Trading Act (Act No. 77 of 1988) (limited to those falling under transactions listed in item 2 of the said paragraph or transactions listed in item 3 of the said paragraph (limited to those pertaining to transactions listed in (b) of the said item, which are specified by Cabinet Order); hereinafter the same shall apply in this item), over-the-counter financial futures trading prescribed in paragraph 4 of the said article (limited to transactions similar to those listed in item 2 of the said paragraph or those listed in item 3 of the said paragraph (limited to those specified by Cabinet Order)), transactions similar to exchange financial futures trading prescribed in paragraph 2 of the said article, which are conducted in the overseas financial futures market prescribed in paragraph 3 of the said article, or other transactions specified by Cabinet Order as transactions similar thereto.
- 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。)が委託者非指図型投資信託の信託財産の運用を行う場合における同法の規定の適用については、同法第二十四条の二中「、信託会社」とあるのは「信託会社」と、「準用する」とあるのは「、同法第四十二条の二(禁止行為)及び第四十四条の三第一項(親法人等又は子法人等が関与する行為の制限)の規定(これらの規定に係る罰則を含む。)は信託会社が行う投資信託及び投資法人に関する法律第二条第二項に規定する委託者非指図型投資信託の信託財産の運用を行う業務について、それぞれ準用する」と、「これらの規定中」とあるのは「これらの規定(金融商品取引法第四十二条の二及び第四十四条の三第一項の規定を除く。)中」と、「同条第四項中」とあるのは「同条第四項及び同法第四十二条の二第六号中」と、「「信託会社の責めに帰すべき事故」」とあるのは「「信託会社の責めに帰すべき事故」と、同法第四十四条の三第一項第二号中「第二条第八項各号に掲げる行為に関する契約」とあるのは「投資信託及び投資法人に関する法律第四十七条第一項に規定する委託者非指図型投資信託契約」と、同項第三号中「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」とあるのは「委託者非指図型投資信託の信託財産の運用を行う業務」」とする。
- With regard to the application of the provisions of the Trust Business Act, in cases where a trust company (limited to one that has obtained a license prescribed in Article 3 or Article 53, paragraph (1) of the Trust Business Act) invests trust property of an Investment Trust Managed Without Instructions from the Settlor, the phrase 'and the provisions of Article 42-2 (Prohibited Acts) and Article 44-3, paragraph (1) (Restriction on Acts Involving Parent Juridical Persons, etc. or Subsidiary Juridical Persons, etc.) of that Act (including the penal provisions pertaining to those provisions) shall apply mutatis mutandis to the business of investing trust property of an Investment Trust Managed Without Instructions from the Settlor as set forth in Article 2, paragraph (2) of the Act on Investment Trusts and Investment Corporations conducted by a trust company respectively' shall be added after the term'; hereinafter referred to as 'Specific Trust Agreement')' in Article 24-2 of the Trust Business Act, the phrases 'in these provisions' and 'in Article 39, paragraph (4) of said Act' in Article 24-2 of the Trust Business Act shall be deemed to be replaced with 'in these provisions (excluding Article 42-2 and Article 44-3, paragraph (1) of the Financial Instruments and Exchange Act' and 'in Article 39, paragraph (4) and Article 42-2, item (vi) of that Act' respectively, and the phrase ', the term 'a contract with a customer for any of the acts listed in the items of Article 2, paragraph (8)' in Article 44-3, paragraph (1), item (ii) of that Act shall be deemed to be replaced with 'a contract for an Investment Trust Managed Without Instructions from the Settlor as prescribed in Article 47, paragraph (1) of the Act on Investment Trusts and Investment Corporations' and the term 'giving advice to conduct a transaction that is unnecessary in light of the transaction policy, the amount of the transaction, or the market conditions regarding the Investment Advisory Business, or the Investment Management Business that does so' in Article 44-3, paragraph (1), item (iii) of the Financial Instruments and Exchange Act shall be deemed to be replaced with 'business for conducting the investment of the trust property of an Investment Trust Managed Without Instructions from the Settlor' ' shall be added after the term ' 'an accident imputable to a Trust Company' ' in Article 24-2 of the Trust Business Act.
- 組合等の登記については、商業登記法(昭和三十八年法律第百二十五号)第二条から第五条まで(登記所及び登記官)、第七条から第十五条まで、第十七条から第二十三条の二まで、第二十四条(第十五号及び第十六号を除く。)、第二十五条から第二十七条まで(登記簿等、登記手続の通則及び同一の所在場所における同一の商号の登記の禁止)、第四十八条から第五十三条まで、第七十一条第一項及び第三項(株式会社の登記)並びに第百三十二条から第百四十八条まで(登記の更正及び抹消並びに雑則)の規定を、組合の登記については、同法第二十四条(第十五号に係る部分に限る。)(申請の却下)、第四十五条(会社の支配人の登記)、第七十九条、第八十二条及び第八十三条(合併の登記)の規定を準用する。この場合において、同法第十二条第一項中「会社更生法(平成十四年法律第百五十四号)」とあるのは「金融機関等の更生手続の特例等に関する法律(平成八年法律第九十五号)」と、同法第四十八条第二項中「会社法第九百三十条第二項各号」とあるのは「中小企業等協同組合法第九十三条第二項各号」と、同法第七十一条第三項ただし書中「会社法第四百七十八条第一項第一号の規定により清算株式会社の清算人となつたもの(同法第四百八十三条第四項に規定する場合にあつては、同項の規定により清算株式会社の代表清算人となつたもの)」とあるのは、中央会については、「中小企業等協同組合法第八十二条の十四本文の規定による清算人」と読み替えるものとする。
- With regard to registration of a cooperative, etc., the provisions of Articles 2 to 5 (Registry Office and Registrar), Articles 7 to 15, Articles 17 to 23-2, Article 24 (excluding item (xv) and item (xvi)), Articles 25 to 27 (Registry, etc., General Rules on the Registration Procedure, and Prohibition of Registration of Identical Trade Names for Identical Office Addresses), Articles 48 to 53, Article 71, paragraph (1) and paragraph (3) (Registration of a Stock Company) and Articles 132 to 148 (Correction and Cancellation of Registration and Miscellaneous Provisions) of the Commercial Registration Act (Act No. 125 of 1963) shall apply mutatis mutandis; and with regard to registration of a cooperative, the provisions of Article 24 (limited to the portions pertaining to item (xv)) (Dismissal of Application), Article 45 (Registration of the Manager of a Company), Article 79, Article 82 and Article 83 (Registration of a Merger) of the same Act shall apply mutatis mutandis. In this case, the term 'Corporate Reorganization Act (Act No. 154 of 2002)' in Article 12, paragraph (1) of the same Act shall be deemed to be replaced with 'Act on Special Treatment of Corporate Reorganization Proceedings and Other Insolvency Proceedings of Financial Institutions (Act No. 95 of 1996),' the term 'the items of Article 930, paragraph (2) of the Companies Act' in Article 48, paragraph (2) of the same Act shall be deemed to be replaced with 'the items of Article 93, paragraph (2) of the Small and Medium-Sized Enterprise Cooperatives Act,' the phrase 'one who has become a liquidator of a liquidating stock company pursuant to the provisions of Article 478, paragraph (1), item (i) of the Companies Act (in the case prescribed in Article 483, paragraph (4) of the same Act, one who has become the representative liquidator of a liquidating stock company pursuant to the provisions of the same paragraph)' in the proviso to Article 71, paragraph (3) of the same Act shall be deemed to be replaced with 'a liquidator under the provisions of the main clause of Article 82-14 of the Small and Medium-Sized Enterprise Cooperatives Act' with regard to an FSBA.
- 新銀行法第五十二条の六第一項(新長期信用銀行法第十七条において準用する場合を含む。以下この項において同じ。)の規定は、この法律の施行の際現に新銀行法第五十二条の六第一項に規定する同一人に対する信用の供与等(同項に規定する信用の供与等をいう。以下この項において同じ。)の額が合算して銀行持株会社に係る信用供与等限度額(同条第一項に規定する銀行持株会社に係る信用供与等限度額をいう。以下この項において同じ。)を超えている新銀行法第二条第十一項に規定する銀行持株会社(以下この項において「銀行持株会社」という。)若しくはその子会社等(新銀行法第五十二条の六第一項に規定する子会社等をいう。以下この項において同じ。)又は新長期信用銀行法第十六条の四第一項に規定する長期信用銀行持株会社(以下この項において「長期信用銀行持株会社」という。)若しくはその子会社等の当該同一人に対する信用の供与等については、当該銀行持株会社又は当該長期信用銀行持株会社(以下この項及び附則第百五条において「銀行持株会社等」という。)が施行日から起算して三月を経過する日までにその旨を金融再生委員会に届け出たときは、施行日から起算して一年を経過する日までの間は、適用しない。この場合において、当該銀行持株会社若しくはその子会社等又は当該長期信用銀行持株会社若しくはその子会社等が合算して当該同一人に対して同日後も引き続き銀行持株会社に係る信用供与等限度額を超えて当該信用の供与等をしないこととすれば当該同一人の事業の継続に著しい支障を生ずるおそれがある場合その他のやむを得ない理由がある場合において当該銀行持株会社等が同日までに内閣総理大臣の承認を受けたときは、当該銀行持株会社等は、同日の翌日において新銀行法第五十二条の六第一項ただし書の規定による承認を受けたものとみなす。
- The provisions of Article 52-6, paragraph (1) of the New Banking Act (including the cases where it is applied mutatis mutandis pursuant to Article 17 of the New Long-Term Credit Bank Act; hereinafter the same shall apply in this paragraph) shall not apply, until the day on which one year has elapsed from the Effective Date, to Credit Extended, etc. (meaning granting of credit, etc. as defined in Article 52-6, paragraph (1) of the New Banking Act; hereinafter the same shall apply in this paragraph) by a Bank Holding Company as defined in Article 2, paragraph (11) of the New Banking Act (hereinafter referred to as a 'Bank Holding Company' in this paragraph) and/or its Subsidiary Companies, etc. (meaning Subsidiary Companies, etc. as defined in 52-6, paragraph (1) of the New Banking Act; hereinafter the same shall apply in this paragraph), or by a Long-Term Credit Bank Holding Company as defined in Article 16-4, paragraph (1) of the New Long-Term Credit Bank Act (hereinafter referred to as a 'Long-Term Credit Bank Holding Company' in this paragraph) and/or its Subsidiary Companies, etc., to one person as defined in Article 52-6, paragraph (1) of the New Banking Act of which the total amount exceeds the Limit on Extensions of Credit, etc. by a Bank Holding Company (meaning the Limit on Extensions of Credit, etc. by a Bank Holding Company as defined in Article 52-6, paragraph (1) of the New Banking Act; hereinafter the same shall apply in this paragraph) at the time when this Act comes into effect, if the Bank Holding Company or the Long-Term Credit Bank Holding Company (hereinafter collectively referred to as a 'Bank Holding Company, etc.' in this paragraph and Article 105 of these Supplementary Provisions) notifies the Financial Reconstruction Commission thereof by the day on which three months have elapsed from the Effective Date. In this case, where it is likely that if the Bank Holding Company and/or its Subsidiary Companies, etc., or Long-Term Credit Bank Holding Company and/or its Subsidiary Companies, etc., do not continue to extend credit, etc. in a total amount that exceeds the Limit on Extensions of Credit, etc. by a Bank Holding Company to the one person even after the day on which one year has elapsed from the Effective Date, it would significantly hinder the continuation of the business of the one person, or where there is other compelling reason, and when the Bank Holding Company, etc. obtains an approval from the Prime Minister before that day, the Bank Holding Company, etc. shall be deemed to have obtained the approval referred to in the proviso to Article 52-6, paragraph (1) of the New Banking Act on the day after that day.
- この法律、金融商品取引法、会社法、一般社団法人及び一般財団法人に関する法律(平成十八年法律第四十八号)、投資信託及び投資法人に関する法律(昭和二十六年法律第百九十八号)、宅地建物取引業法(昭和二十七年法律第百七十六号)、出資の受入れ、預り金及び金利等の取締りに関する法律(昭和二十九年法律第百九十五号)、割賦販売法(昭和三十六年法律第百五十九号)、貸金業法(昭和五十八年法律第三十二号)、特定商品等の預託等取引契約に関する法律(昭和六十一年法律第六十二号)、商品投資に係る事業の規制に関する法律(平成三年法律第六十六号)、不動産特定共同事業法(平成六年法律第七十七号)、金融業者の貸付業務のための社債の発行等に関する法律(平成十一年法律第三十二号)、信託業法、信託法若しくはこれらに相当する外国の法令の規定に違反し、又は民事再生法(平成十一年法律第二百二十五号)第二百五十五条、第二百五十六条、第二百五十八条から第二百六十条まで若しくは第二百六十二条の罪、外国倒産処理手続の承認援助に関する法律(平成十二年法律第百二十九号)第六十五条、第六十六条、第六十八条若しくは第六十九条の罪、破産法(平成十六年法律第七十五号)第二百六十五条、第二百六十六条、第二百六十八条から第二百七十二条まで若しくは第二百七十四条の罪、刑法(明治四十年法律第四十五号)第二百四条、第二百六条、第二百八条、第二百八条の三、第二百二十二条若しくは第二百四十七条の罪、暴力行為等処罰に関する法律(大正十五年法律第六十号)の罪若しくは暴力団員による不当な行為の防止等に関する法律(平成三年法律第七十七号)第四十六条、第四十七条、第四十九条若しくは第五十条の罪を犯し、罰金の刑(これに相当する外国の法令による刑を含む。)に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなった日から三年を経過しない者
- a person who has been sentenced to a fine (including a punishment under the laws and regulations of a foreign state equivalent thereto) for having violated the provisions of this Act, the Financial Instruments and Exchange Act, the Companies Act, the Act on General Incorporated Associations and General Incorporated Foundations (Act No. 48 of 2006), the Act on Investment Trusts and Investment Corporations (Act No. 198 of 1951), the Building Lots and Buildings Transaction Business Act (Act No. 176 of 1952), the Act Regulating the Receipt of Contributions, Receipt of Deposits and Interest Rates (Act No. 195 of 1954), the Installment Sales Act (Act No. 159 of 1961), the Money Lending Business Act (Act No. 32 of 1983), the Act on Deposit, etc. Transaction Agreements of Specified Commodities, etc. (Act No. 62 of 1986), the Act on Regulation of Business Pertaining to Commodity Investment (Act No. 66 of 1991), the Real Estate Specified Joint Enterprise Act (Act No. 77 of 1994), the Act on Issuance, etc. of Bonds for Financial Corporations' Loan Business (Act No. 32 of 1999), the Trust Business Act, the Trust Act, or the laws and regulations of a foreign state equivalent to these Acts, or for having committed a crime prescribed in Article 255, Article 256, Article 258 to Article 260 inclusive, or Article 262 of the Civil Rehabilitation Act (Act No. 225 of 1999), Article 65, Article 66, Article 68, or Article 69 of the Act on Recognition of and Assistance for Foreign Insolvency Procedures (Act No. 129 of 2000), Article 265, Article 266, Article 268 to Article 272 inclusive or Article 274 of the Bankruptcy Act (Act No. 75 of 2004), Article 204, Article 206, Article 208, Article 208-3, Article 222, or Article 247 of the Penal Code (Act No. 45 of 1907), the Act on Punishment of Violent Acts (Act No. 60 of 1926), or Article 46, Article 47, Article 49, or Article 50 of the Act on Prevention of Illegal Acts by Organized Crime Group Members (Act No. 77 of 1991), and for whom three years have yet to elapse since the date on which the execution of the sentence was completed or since the date on which he/she ceased to be subject to the execution of such sentence;
- 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.
- この法律は、公布の日から起算して六月を超えない範囲内において政令で定める日から施行する。ただし、第一条中商法第二百八十五条ノ四、第二百八十五条ノ五第二項、第二百八十五条ノ六第二項及び第三項、第二百九十条第一項並びに第二百九十三条ノ五第三項の改正規定並びに附則第六条中農林中央金庫法(大正十二年法律第四十二号)第二十三条第三項及び第二十四条第一項の改正規定、附則第七条中商工組合中央金庫法(昭和十一年法律第十四号)第三十九条ノ三第三項及び第四十条ノ二第一項の改正規定、附則第九条中農業協同組合法(昭和二十二年法律第百三十二号)第五十二条第一項の改正規定、附則第十条中証券取引法(昭和二十三年法律第二十五号)第五十三条第三項の改正規定及び同条第四項を削る改正規定、附則第十一条中水産業協同組合法(昭和二十三年法律第二百四十二号)第五十六条第一項の改正規定、附則第十二条中協同組合による金融事業に関する法律(昭和二十四年法律第百八十三号)第五条の五の次に一条を加える改正規定及び同法第十二条第一項の改正規定、附則第十三条中船主相互保険組合法(昭和二十五年法律第百七十七号)第四十二条第一項の改正規定、附則第十六条中信用金庫法(昭和二十六年法律第二百三十八号)第五十五条の三第三項及び第五十七条第一項の改正規定、附則第十八条中労働金庫法(昭和二十八年法律第二百二十七号)第六十一条第一項の改正規定、附則第二十三条中銀行法(昭和五十六年法律第五十九号)第十七条の二第三項の改正規定及び同条第四項を削る改正規定、附則第二十六条の規定、附則第二十七条中保険業法(平成七年法律第百五号)第十五条に一項を加える改正規定、同法第五十五条第一項及び第二項、第百十二条第一項並びに第百十二条の二第三項の改正規定、同条第四項を削る改正規定、同法第百十五条第二項、第百十八条第一項、第百十九条及び第百九十九条の改正規定並びに同法附則第五十九条第二項及び附則第九十条第二項を削る改正規定、附則第二十九条中株式の消却の手続に関する商法の特例に関する法律(平成九年法律第五十五号)第七条第二項の改正規定並びに附則第三十一条中特定目的会社による特定資産の流動化に関する法律(平成十年法律第百五号)第百一条第一項及び第百二条第三項の改正規定は、平成十二年四月一日から施行する。
- This Act shall come into effect as of the date specified by Cabinet Order within a period not exceeding six months from the day of promulgation; provided, however, that the provisions in Article 1 which are to revise Articles 285-4, Article 285-5, paragraph (2), Article 285-6, paragraphs (2) and (3), Article 290, paragraph (1) and Article 293-5, paragraph (3) of the Commercial Code, and the provisions in Article 6 of these Supplementary Provisions which are to revise Articles 23, paragraph (3) and Article 24, paragraph (1) of the Norinchukin Bank Act (Act No. 42 of 1923), the provisions in Article 7 of these Supplementary Provisions which are to revise Articles 39-3, paragraph (3) and Article 40-2, paragraph (1) of the Shoko Chukin Bank Act (Act No. 14 of 1936), the provisions in Article 9 of these Supplementary Provisions which is to revise Article 52, paragraph (1) of the Agricultural Cooperatives Act (Act No. 132 of 1947), the provisions in Article 10 of these Supplementary Provisions which are to revise Article 53, paragraph (3) of the Securities and Exchange Act (Act No. 25 of 1948) and to delete Article 53, paragraph (4) of that Act, the provisions in Article 11 of these Supplementary Provisions which is to revise Article 56, paragraph (1) of the Fisheries Cooperatives Act (Act No. 242 of 1948), the provisions in Article 12 of these Supplementary Provisions which are to add a new Article after Article 5-5 of the Act on Financial Services by Cooperatives (Act No. 183 of 1949) and to revise Article 12, paragraph (1) of that Act, the provisions in Article 13 of these Supplementary Provisions which is to revise Article 42, paragraph (1) of the Ship Owner's Mutual Insurance Union Act (Act No. 177 of 1950), the provisions in Article 16 of these Supplementary Provisions which are to revise Articles 55-3, paragraph (3) and Article 57, paragraph (1) of the Shinkin Bank Act (Act No. 238 of 1951), the provisions in Article 18 of these Supplementary Provisions which is to revise Article 61, paragraph (1) of the Labor Bank Act (Act No. 227 of 1953), the provisions in Article 23 of these Supplementary Provisions which are to revise Article 17-2, paragraph (3) of the Banking Act (Act No. 59 of 1981) and to delete Article 17-2, paragraph (4) of that Act, the provisions of Article 26 of these Supplementary Provisions, the provisions in Article 27 of these Supplementary Provisions which are to add a new paragraph to Article 15 of the Insurance Services Act (Act No. 105 of 1995), to revise Articles 55, paragraphs (1) and (2), Article 112, paragraph (1) and Article 112-2, paragraph (3) of that Act, to delete Article 112-2, paragraph (4) of that Act, to revise Articles 115, paragraph (2), Article 118, paragraph (1), Article 119 and Article 199 of that Act, and to delete Article 59, paragraph (2) and Article 90, paragraph (2) of the Supplementary Provisions to that Act, the provisions in Article 29 of these Supplementary Provisions which is to revise Article 7, paragraph (2) of the Act on Special Measures under the Commercial Code Concerning Procedures for Canceling Shares (Act No. 55 of 1997) and the provisions in Article 31 of these Supplementary Provisions which are to revise Article 101, paragraph (1) and Article 102, paragraph (3) of the Act on Securitization of Specified Assets by Special Purpose Companies (Act No. 105 of 1998), shall come into effect as of April 1, 2000.
- 第十条の規定による改正後の銀行法(以下「新銀行法」という。)第十三条第一項(第十一条の規定による改正後の長期信用銀行法(以下「新長期信用銀行法」という。)第十七条、第十三条の規定による改正後の信用金庫法(以下「新信用金庫法」という。)第八十九条、第十四条の規定による改正後の労働金庫法(以下「新労働金庫法」という。)第九十四条、及び第十六条の規定による改正後の協同組合による金融事業に関する法律(以下「新協金法」という。)第六条において準用する場合(以下この条から附則第百五条までにおいて「新長期信用銀行法第十七条等において準用する場合」という。)を含む。以下この項及び次項において同じ。)の規定は、この法律の施行の際現に新銀行法第十三条第一項に規定する同一人に対する信用の供与等(同項に規定する信用の供与等をいう。以下この項及び次項において同じ。)の額が信用供与等限度額(同条第一項に規定する信用供与等限度額をいう。以下この項において同じ。)を超えている銀行(新銀行法第二条第一項に規定する銀行をいう。以下同じ。)、長期信用銀行(新長期信用銀行法第二条に規定する長期信用銀行をいう。以下同じ。)、信用金庫若しくは信用金庫連合会、労働金庫若しくは労働金庫連合会又は信用協同組合若しくは信用協同組合連合会(新協金法第二条第一項に規定する信用協同組合連合会をいう。以下同じ。)(以下この条から附則第百五条までにおいて「銀行等」という。)の当該同一人に対する信用の供与等については、当該銀行等が施行日から起算して三月を経過する日までにその旨を金融再生委員会(労働金庫又は労働金庫連合会にあっては金融再生委員会及び労働大臣とし、信用協同組合又は信用協同組合連合会にあっては新協金法第七条第一項に規定する行政庁とする。以下この項及び次項において同じ。)に届け出たときは、施行日から起算して一年を経過する日までの間は、適用しない。この場合において、当該銀行等が、当該同一人に対して同日後も引き続き信用供与等限度額を超えて当該信用の供与等をしないこととすれば当該同一人の事業の継続に著しい支障を生ずるおそれがある場合その他のやむを得ない理由がある場合において同日までに金融再生委員会の承認を受けたときは、当該銀行等は、同日の翌日において新銀行法第十三条第一項ただし書の規定による承認を受けたものとみなす。
- The provisions of Article 13, paragraph (1) of the Banking Act after its revision by the provisions of Article 10 (hereinafter referred to as the 'New Banking Act') (including the cases where it is applied mutatis mutandis pursuant to Article 17 of the Long-Term Credit Bank Act after its revision by the provisions of Article 11 (hereinafter referred to as the 'New Long-Term Credit Bank Act'), Article 89 of the Shinkin Bank Act after its revision by the provisions of Article 13 (hereinafter referred to as the 'New Shinkin Bank Act'), Article 94 of the Labor Bank Act after its revision by the provisions of Article 14 (hereinafter referred to as the 'New Labor Bank Act') and Article 6 of the Act on Financial Services by Cooperatives after its revision by the provisions of Article 16 (hereinafter referred to as the 'New Act on Financial Services by Cooperatives') (hereinafter referred to as the 'Cases where provisions are applied mutatis mutandis pursuant to Article 17 of the New Long-Term Credit Bank Act, etc.' in this Article to Article 105 inclusive of these Supplementary Provisions); hereinafter the same shall apply in this and the following paragraph) shall not apply, until the day on which one year has elapsed from the Effective Date, to Credit Extended, etc. (meaning Credit Extended, etc. as defined in Article 13, paragraph (1) of the New Banking Act; hereinafter the same shall apply in this and the following paragraph) by a Bank (meaning a Bank as defined in Article 2, paragraph (1) of the New Banking Act; hereinafter the same shall apply), Long-Term Credit Bank (meaning a Long-Term Credit Bank as defined in Article 2 of the New Long-Term Credit Bank Act; hereinafter the same shall apply), Shinkin Bank or federation of Shinkin Banks, labor bank or federation of labor banks, or credit cooperatives or Federation of Credit Cooperatives (meaning Federation of Credit Cooperatives as defined in Article 2, paragraph (1) of the New Act on Financial Services by Cooperatives; hereinafter the same shall apply) (hereinafter collectively referred to as the 'Bank, etc.' in this Article to Article 105 inclusive of these Supplementary Provisions) to a single person as defined in Article 13, paragraph (1) of the New Banking Act, in an amount that exceeds the Limit on Extensions of Credit, etc. (meaning the Limit on Extensions of Credit, etc. as defined in Article 13, paragraph (1) of the New Banking Act; hereinafter the same shall apply in this paragraph) at the time when this Act comes into effect, if the Bank, etc. notifies the Financial Reconstruction Commission (the Financial Reconstruction Commission or the Minister of Labor in the case of labor bank or federation of labor banks, or the administrative agency referred to in Article 7, paragraph (1) of the New Act on Financial Services by Cooperatives in the case of credit cooperatives or Federation of Credit Cooperatives; hereinafter the same shall apply in this and the following paragraph) thereof, until the day on which three months have elapsed from the Effective Date. In this case, where it is likely that if the Bank, etc. does not continue to extend credit, etc. in excess of the Limit on Extensions of Credit, etc. to the single person even after the day on which one year has elapsed from the Effective Date, it would significantly hinder the continuation of the business activities of said person, or where there is other unavoidable reason, and when the Bank, etc. obtains approval from the Financial Reconstruction Commission before that day, the Bank, etc. shall be deemed to have obtained the approval referred to in the proviso to Article 13, paragraph (1) of the New Banking Act on the day after that day.