金融: 1000 Terms and Phrases
- 金融
- financing
- credit transacting
- loaning of money
- circulation of money
- finance
- money and banking
- 金融庁
- Financial Services Agency
- the Financial Services Agency (of Japan)
- 闇金融
- black-market lending
- illegal loan
- Loan shark
- 金融業
- finance business
- moneylending business
- the finance business
- financial industry
- 金融界
- financial circles
- the financial community
- 金融街
- financial district
- Financial districts
- 金融政策
- monetary policy
- financial policy
- 金融操作
- market manipulation
- monetary operation
- 金融商品
- financial products
- financial instruments
- 金融市場
- money market
- financial market
- Financial markets
- 金融支援
- financial assistance
- financial support
- 金融工学
- financial engineering
- FT financial technology
- Computational finance
- 金融崩壊
- financial collapse
- financial breakdown
- 国際金融
- international finance
- 金融不安
- financial instability
- financial uncertainty
- financial turmoil
- financial unrest
- financial jitters
- financial anxiety
- 金融当局
- financial authorities
- 金融逼迫
- monetary stringency
- tight-money situation
- tight credit
- 金融公庫
- finance corporation
- (government-backed) finance corporation
- ヤミ金融
- black-market lending
- illegal loan
- 株式金融
- fund procurement by stock issue
- stock collateral loan
- 金融業者
- money lender
- financier
- 金融恐慌
- financial panic
- financial crisis
- 金融危機
- financial crisis
- Financial crises
- 金融機関
- financial institutions
- banking facilities
- financial (or banking) institution
- Financial services companies
- 金融関係
- finance-related
- financial
- 金融緩和
- monetary easing
- monetary ease
- easy money
- 庶民金融
- loans for low-income people
- 金融出資
- net interest income (expense)
- 金融技術
- financial technology
- 090金融
- '090' financing
- loan sharks operating from a cellphone (i.e. without a fixed phone number)
- 金融再編成
- restructuring of the financial industry
- reorganization of financial systems
- 金融担当相
- minister in charge of financial affairs
- 金融引締め
- monetary tightening
- credit squeeze
- credit crunch
- monetary restraint
- titght money
- 利付金融債
- interest-bearing bank debenture
- 金融自由化
- financial deregulation (or liberalization)
- 金融監督庁
- Financial Supervisory Agency
- 消費者金融
- consumer credit (finance, loan)
- consumer finance
- 国際金融局
- International Finance Bureau
- 国際金融公社
- International Finance Corporation
- 証券金融会社
- securities finance company
- 金融支援措置
- financial support measure
- 商品金融公社
- Commodity Credit Corporation
- 返還資金融資
- Repayment Funding Loan
- Loan of Funds for Refund
- 金融的送電権
- FTR financial transmission right
- 金融担当大臣
- State Minister in Charge of Financial Affairs
- Minister for Financial Services
- 国際金融市場
- international financial market
- international money market
- 金融派生商品
- financial derivative
- Derivatives (finance)
- Derivatives market
- 金融引き締め
- monetary tightening
- credit squeeze
- credit crunch
- tight money
- 金融機関離れ
- disintermediation
- removing money from banks
- seeking non-bank funds sources
- 住宅金融公庫
- Government Housing Loan Corporation
- the Government Housing Loan Corporation
- Housing Financing Corporation
- housing and loan corporation
- 復興金融公社
- Reconstruction Finance Corporation
- 金融緩和政策
- easy money policy
- an expansionary monetary policy
- 農業金融公社
- Agricultural Credit Corporation
- 量的金融緩和
- quantitative easing
- 医療金融公庫
- Medical Care Facilities Financing Corporation
- 世界金融危機
- world financial crisis (2007-)
- global financial crisis
- GFC
- 日本金融学会
- Japan Society of Monetary Economics
- 鉄鋼金融会社
- Societa Finanziaria Siderurgica
- 商工金融公社
- Industrial and Commercial Finance Corporation
- 中国金融協会
- Chinese Finance Association
- 国際金融協会
- Institute of International Finance
- IIF
- 国民金融公庫
- National Life Finance Corporation (1949-2008)
- People's Finance Corporation
- 登録金融機関
- Registered Financial Institutions
- Registered Financial Institution.
- a Registered Financial Institution.
- 政府系金融機関
- government-run financial institution
- 金融商品取引法
- Financial Instruments and Exchange Law (1948)
- Financial Instruments and Exchange Act
- 金融ビッグバン
- financial Big Bang (1996-2001)
- Big Bang financial reforms (in Japan)
- Financial Big Bang (in Japan)
- 金融アナリスト
- financial analyst
- 金融商品取引所
- financial instruments exchange
- 金融商品取引業
- financial instruments business
- 金融商品仲介業
- financial instruments introducing brokerage business
- 金融制度調査会
- Financial System Research Council
- Financial System Research Committee
- Committee on Financial Systems Research
- 金融再生委員会
- The Financial Reconstruction Commission
- 東京金融取引所
- Tokyo Financial Exchange Inc.
- 財政金融研究所
- Institute of Fiscal and Monetary Policy
- 金融機関の登録
- Registration of Financial Institutions
- 切れ者の金融マン
- rocket scientist
- 金融的送電権市場
- financial transmission entitlement market
- 金融商品取引業者
- Financial Instruments Business Operators;
- a Financial Instruments Business Operator; and
- b. Financial Instruments Business Operators;
- 住宅金融支援機構
- Japan Housing Finance Agency
- 金融活動作業部会
- Financial Action Task Force on Money Laundering
- FATF
- 協同組織金融機関
- cooperative financial institution
- 収納取扱金融機関
- designated banking institution for receipts only
- 農林漁業金融公庫
- Agriculture, Forestry and Fisheries Finance Corporation
- AFC
- 連邦住宅金融銀行
- Federal Home Loan Bank
- 出納取扱金融機関
- designated banking institute for receipts and disbursement
- 日本政策金融公庫
- Japan Finance Corporation
- JFC
- 金融引き締め政策
- tight-money policy
- 欧州金融安定基金
- European Financial Stability Facility
- EFSF
- 環境衛生金融公庫
- Environmental Sanitation Business Finance Corporation
- 超低金利金融政策
- ultra-loose monetary policy
- 公営企業金融公庫
- Japan Finance Corporation for Municipal Enterprises
- 'Japan Finance Corporation for Municipal Enterprises, JFM'
- 中小企業金融公庫
- Japan Finance Corporation for Small and Medium Enterprise
- Japan Finance Corporation for Small Business
- 国民生活金融公庫
- National Life Finance Corporation
- 金融商品仲介業者
- Financial Instruments Intermediary Service Providers
- サラリーマン金融
- consumer financing
- 所管金融庁長官等
- the Commissioner of Financial Services Agency or Other Competent Official;
- 当該金融商品取引所
- the Financial Instruments Exchange;
- 統一金融機関コード
- routing transit number
- 金融機関の不良債権
- unrecoverable debt at financial institution
- チッソ金融支援措置
- Financial Support Measures for Chisso
- アジア通貨金融機関
- Asian Currency Unit
- 金融工学、理財工学
- financial engineering
- 公営企業金融公庫債
- municipal utility bond
- 日本銀行金融研究所
- Institute for Monetary and Economic Studies, Bank of Japan
- IMES
- 金融機関の登録申請
- Application for Registration of Financial Institutions
- 外国金融商品取引所
- Foreign Financial Instruments Exchange
- 金融商品会員制法人
- Financial Instruments Membership Corporation
- 金融商品取引業協会
- Financial Instruments Firms Association
- 金融商品取引業者等
- Financial Instruments Business Operators, etc.
- 金融商品取引清算機関
- Financial Instruments Clearing Organization
- 電子決済取引金融機関
- depository financial institution
- 短期金融資産投資信託
- money market fund
- 金融商品取引法の準用
- Application Mutatis Mutandis of the Financial Instruments and Exchange Act
- Application Mutatis Mutandis of Financial Instruments and Exchange Act
- 環境配慮型の金融商品
- environment-conscious financial product
- 沖縄振興開発金融公庫
- Okinawa Development Finance Corporation
- ODFC
- 金融商品取引責任準備金
- Financial Instruments Transaction Liability Reserve
- 短期間金融資産投資信託
- money market mutual funds
- 短期間金融市場預金勘定
- money market deposit account
- 金融機関の登録の拒否等
- Refusal etc. of Registration of Financial Institutions
- 金融機関登録簿への登録
- Registration in a Registry of Financial Institutions
- 金融商品取引清算機関等
- Financial Instruments Clearing Organization, etc.
- 金融商品取引所の解散等
- Dissolution, etc. of Financial Instruments Exchange
- 認可金融商品取引業協会
- Authorized Financial Instruments Firms Association
- 金融商品取引所となる法人
- Juridical Person Eligible for Financial Instrument Exchange
- 混雑収入権、金融的送電権
- CRR congestion revenue rights
- 連邦住宅貸付抵当金融会社
- Federal Home Loan Mortgage Corporation
- 金融商品仲介業者に係る制限
- Limitation on Financial Instruments Intermediary Service Providers
- 清算中の金融商品会員制法人
- Financial Instruments Membership Corporation in Liquidation
- 金融市場金利連動型定期預金
- money market certificate
- 国際金融情報センター(財)
- JCIF
- Japan Center for International Finance
- 当該金融商品取引契約の概要
- the outline of the relevant Contract for Financial Instruments Transaction;
- 公益法人金融商品取引業協会
- Public Interest Corporation-Type Financial Instruments Firms Associations
- 金融機関等の本人確認義務等
- Obligation to Identify Customers, etc. of Financial Institutions, etc.
- 受取先の電子決済取引金融機関
- receiving depository financial institution
- 不法な利率で金を貸す金融業者
- loan shark
- 次に掲げる金融機関への預け金
- money deposited to the following financial institutions:
- 不明なOFX金融市場勘定科目
- Unknown OFX money market account
- 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
- 金融商品取引所持株会社への準用
- Application Mutatis Mutandis to Financial Instruments Exchange Holding Company
- 会員金融商品取引所の取引参加者
- Trading Participant in Membership-Type Financial Instruments Exchange
- 第四目 金融商品取引所持株会社
- Division 4 Financial Instruments Exchange Holding Company
- シンガポール国際金融先物取引所
- Singapore International Monetary Exchange
- 国際通貨金融問題国家諮問委員会
- National Advisory Council on International Monetary and Financial Problems
- 信託業務を営む金融機関への信託
- consignment to a Financial Institution Engaged in Trust Business.
- 金融商品取引所等による公衆縦覧
- Public Inspection by Financial Instruments Exchange, etc.
- 特別国際金融取引勘定の取扱い等
- Handling of the Special International Financial Transactions Account, 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
- 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.
- 金融機関の有価証券関連業の禁止等
- Prohibition, etc. of Securities-Related Business by Financial Institutions
- 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.
- 株式会社金融商品取引所の取引参加者
- Trading Participant in Stock Company-Type Financial Instruments Exchange
- 金融商品取引所に対する監督上の処分
- Disposition Rendered to a Financial Instruments Exchange for Purpose of Supervision
- 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
- 金融商品の販売等に関する法律の準用
- Application Mutatis Mutandis of the Act on Sales, etc. of Financial Instruments
- 金融機関等 次に掲げるものをいう。
- Financial Institutions, etc. means the following:
- 信託会社又は信託業務を営む金融機関
- a trust company or a Financial Institution Engaged in Trust Business;
- 主務大臣の指定する金融機関への預金
- Deposit to a financial institution designated by the competent minister
- 金融商品取引法等の適用に関する特例
- Special Provisions on Application of the Financial Instruments and Exchange Act, etc.
- 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
- 金融商品取引業者に対する監督上の処分
- Disposition Rendered to a Financial Instruments Business Operator for the Purpose of Supervision
- 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.;
- 金融商品取引業者等の自主的努力の尊重
- Respect for Voluntary Efforts of Financial Instruments Business Operator, etc.
- 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
- 吸収合併存続会員金融商品取引所の手続
- Procedures of Membership-Type Financial Instruments Exchange Surviving Absorption-Type Merger
- 新設合併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
- 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
- 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.
- 金融的送電権(NY-ISOでの名称)
- TCC transmission congestion contract
- 取引所金融商品市場を開設する株式会社
- Stock Company which Establishes Financial Instruments Exchange Markets
- 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.;
- 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
- 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
- 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
- 外国金融商品取引所に対する監督上の処分
- Dispositions for the Purpose of Supervision of Foreign Financial Instruments Exchange
- 組織変更後株式会社金融商品取引所の商号
- the trade name of the Stock Company-Type Financial Instruments Exchange after Entity Conversion;
- 金融商品取引所に上場されている有価証券
- Securities listed in a Financial Instruments Exchange;
- 特定金融機関等 次に掲げる法人をいう。
- Specified financial institution, etc.: Any of the following corporations:
- 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;
- 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;
- 市中金融機関に対する中央銀行の貸出し金利
- bank rate
- 届出書類の写しの金融商品取引所等への提出
- Submission of Statement and Other Related Documents to Financial Instruments Exchange, etc.
- 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;
- 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;
- 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)
- 当該金融商品取引業者等の商号、名称又は氏名
- the trade name or name of said Financial Instruments Business Operator, etc.;
- 訂正届出書の写しの金融商品取引所等への提出
- Submission of Amendment to Financial Instruments Exchange, etc.
- 外国金融機関等 次に掲げる外国法人をいう。
- Foreign financial institution, etc.: Any of the following foreign corporations:
- 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.
- 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.
- 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
- 自ら開設する取引所金融商品市場への上場の承認
- Approval of Financial Instruments Exchange's Listing on Financial Instruments Exchange Market Established by Itself
- 外国金融商品取引所参加者の商号、名称又は氏名
- the trade names or names of Participants of Foreign Financial Instruments Exchange; and
- 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;
- 財政と金融の2つの政策をうまく組み合せること
- policy mix
- 登録金融機関 (第三十三条―第三十三条の八)
- Registered Financial Institutions (Article 33 - Article 33-8)
- 登録金融機関 (第四十八条―第四十八条の三)
- Registered Financial Institutions (Article 48 - Article 48-3)
- 金融商品の売買(第一号に掲げる取引を除く。)
- sales and purchase of Financial Instruments (excluding those specified in item (i)); or
- 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
- ご存知のように、東京は世界の金融の中心地だ。
- Tokyo, as you know, is one of the financial centers of the world.
- 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.;
- 主務大臣の指定する銀行その他の金融機関への預金
- depositing with a bank or other financial institutions designated by the competent minister;
- 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;
- 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;
- 金融商品取引業者等が締結した投資顧問契約の相手方
- and Article 41-5: the other party to an Investment Advisory Contract concluded by a Financial Instruments Business Operator, etc.; and
- 利害関係を有する金融商品取引業者等への委託の禁止
- Prohibition of Entrustment to a Financial Instruments Business Operator, etc. as an Interested Party
- 金融商品取引業者 (第二十九条―第三十一条の五)
- Financial Instruments Business Operators (Article 29 - Article 31-5)
- 大量保有報告書等の写しの金融商品取引所等への提出
- Submission of Copy of Report of Possession of Large Volume, etc. to Financial Instruments Exchange, etc.
- 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;
- 現代の金融は一段と複雑かつ高度になってきている。
- Modern finance is becoming increasingly complicated and sophisticated.
- 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
- 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
- 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
- 次に掲げる金融機関に対して委託するものであること。
- the contract shall be a commission to the following financial institutions:
- 当該金融商品取引業者等の商号、名称又は氏名及び住所
- the trade name or name and address of said Financial Instruments Business Operator, etc.;
- 投資証券の募集等に当たつての金融商品取引法の準用等
- Application Mutatis Mutandis of the Financial Instruments and Exchange Act to Public Offerings, etc. of Investment Securities
- 外国金融機関等の債券現先取引に係る利子の課税の特例
- Special Provisions for Taxation on Interest Received by Foreign Financial Institutions, etc. from Bond Transactions with Repurchase/Resale Agreements
- Special Provisions on Taxation on Interest Received by a Foreign Financial Institution, etc. from Bond Transactions with Repurchase/Resale Agreements
- 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;
- 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;
- 準用金融商品取引法第三十七条第二項の規定に違反した者
- a person who has violated the provisions of Article 37(2) of the Financial Instruments and Exchange Act as Applied Mutatis Mutandis;
- A person who has violated the provisions of Article 37, paragraph (2) of the Financial Instruments and Exchange Act as Applied Mutatis Mutandis;
- 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;
- 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.
- 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
- 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;
- 第一種金融商品取引業又は投資運用業を行う者の業務の範囲
- Scope of Businesses of Persons Who Engage in Type I Financial Instruments Business or Investment Management Business
- 金融商品取引業者等は、次に掲げる行為をしてはならない。
- A Financial Instruments Business Operator, etc. shall not conduct any of the following acts:
- 金融商品取引所等に対する書類の写しの提出等に代わる通知
- Notice in lieu of Submission, etc. of Copies of Documents to Financial Instruments Exchange, etc.
- 金融商品取引法第二条第三項第一号に規定する適格機関投資家
- a qualified institutional investor under Article 2, paragraph (3), item (i) of the Financial Instruments and Exchange Act;
- A qualified institutional investor prescribed in Article 2, paragraph (3), item (i) of the Financial Instruments and Exchange Act
- この法律において「金融商品」とは、次に掲げるものをいう。
- The term 'Financial Instruments' as used in this Act means the following:
- この法律において「金融指標」とは、次に掲げるものをいう。
- The term 'Financial Indicator' as used in this Act means the following:
- 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.
- 第四目 金融商品取引所持株会社 (第百六条の十―第百九条)
- Division 4 Financial Instruments Exchange Holding Company (Article 106-10 - Article 109)
- 特別国際金融取引勘定において経理された預金等の利子の非課税
- Exclusion from Taxation of Interest on Deposits, etc. Settled in the Special International Financial Transactions Account
- 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
- 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;
- 金融商品取引業者等の顧客は、次に掲げる行為をしてはならない。
- A customer of a Financial Instruments Business Operator, etc. shall not conduct any of the following acts:
- 証券金融会社 (第百五十六条の二十三―第百五十六条の三十七)
- Securities Finance Company (Article 156-23 - Article 156-37)
- 第二十四条第一項第一号に掲げる有価証券 同号の金融商品取引所
- Securities falling under the category specified in Article 24(1)(i): the Financial Instruments Exchange referred to in Article 24(1)(i); or
- 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);
- 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.
- 損失補てん等の禁止等に関する金融商品取引業者等に係る規定の準用
- Applications Mutatis Mutandis of Provisions Pertaining to Financial Instruments Business Operators, etc. in Relation to Prohibition of Compensations of Loss, etc.
- 金融商品取引清算機関 (第百五十六条の二―第百五十六条の二十)
- Financial Instruments Clearing Organization (Article 156-2 - Article 156-20)
- 一国にとって金融政策と財政政策の適切な組み合わせが大切である。
- It is important for a nation to have an adequate mix of monetary and fiscal policies.
- 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.
- 第二種金融商品取引業又は投資助言・代理業のみを行う者の兼業の範囲
- Scope of Subsidiary Businesses of Persons Who Only Engage in Type II Financial Instruments Business or Investment Advisory and Agency Business
- 取引所金融商品市場における有価証券の売買又は市場デリバティブ取引
- sales and purchase of Securities conducted in a Financial Instruments Exchange Market or Market Transactions of Derivatives; or
- 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
- ブレトン第二次大戦後の通貨・金融問題処理のために取り決められた協定
- Bretton Woods Agreements
- 内閣総理大臣は、金融機関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 institutions available for public inspection.
- 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.
- 彼は小額の金を労働者に高利で貸すあやしげな金融業者として世に出た。
- He had begun life as an obscure financier by lending small sums of money to workmen at usurious interest.
- 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.
- 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.
- 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、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.
- 当該金融商品取引業者等が承諾日から期限日までに締結する対象契約の相手方
- the person with whom the Financial Instruments Business Operator, etc. will conclude Subject Contracts during the period from the Date of Acceptance to the Expiration Date.
- 取引所金融商品市場における有価証券の売買等 (第百十条―第百三十三条)
- Sales and Purchase of Securities, etc. in Financial Instruments Exchange Market (Article 110 - Article 133)
- ここ数ヶ月間、アメリカの金融政策は信用の引き締めで特徴づけられている。
- Monetary policy in United States has been characterized by tight credit over the months.
- 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.
- 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;
- 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
- 前二号に掲げる場合のほか、政令で定める場合 政令で定める金融商品取引業者
- In addition to what is listed in the preceding two items, in cases specified by a Cabinet Order: A Financial Instruments Business Operator as specified by a Cabinet Order.
- 外国金融商品市場において行う取引であつて、第三号に掲げる取引と類似の取引
- transactions conducted in a Foreign Financial Instruments Market that are similar to transactions listed in item (iii);
- コンピューターの仕事から金融、会計などの仕事に転向することは可能である。
- It's possible to branch out from computing to jobs in banking, accountancy and so on.
- 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
- 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.
- 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.
- 組織変更後株式会社金融商品取引所の取締役の氏名及び会計監査人の氏名又は名称
- the names of directors and name of accounting auditor of the Stock Company-Type Financial Instruments Exchange after Entity Conversion;
- 前号に掲げるもののほか、組織変更後株式会社金融商品取引所の定款で定める事項
- in addition to the matters listed in the preceding item, the matters specified by the articles of incorporation of the Stock Company-Type Financial Instruments Exchange after Entity Conversion;
- 金融商品取引業者は、他の法律の規定にかかわらず、引受人となることができる。
- A Financial Instruments Business Operator may, notwithstanding the provisions of other Acts, become an Underwriter.
- 第一種金融商品取引業を行おうとする場合にあつては、次のいずれかに該当する者
- when a person intends to engage in Type I Financial Instruments Business, a person falling under any of the following:
- 金融商品取引業者等は、顧客のため忠実に投資助言業務を行わなければならない。
- A Financial Instruments Business Operator, etc. shall engage in Investment Advisory Business with loyalty to customers.
- 内閣総理大臣は、金融商品取引業者登録簿を公衆の縦覧に供しなければならない。
- The Prime Minister shall make the registry of Financial Instruments Business Operators available for public inspection.
- 当該登録投資法人の監督役員に対して継続的な報酬を与えている金融商品取引業者
- A Financial Instruments Business Operator that continuously gives remuneration to supervisory officers of said Registered Investment Corporation; and
- 第二十四条第一項第二号に掲げる有価証券 政令で定める認可金融商品取引業協会
- Securities falling under the category specified in Article 24(1)(ii): the Authorized Financial Instruments Firms Association specified by a Cabinet Order.
- 前項の「自主規制業務」とは、金融商品取引所について行う次に掲げる業務をいう。
- The term 'Self-Regulation Related Services' set forth in the preceding paragraph shall mean the following services conducted in relation to a Financial Instruments Exchange:
- 金融商品仲介業に関し法令又は法令に基づいてする行政官庁の処分に違反したとき。
- when violating laws and regulations or disposition given by government agencies based on laws and regulations, in relation to the Financial Instruments Intermediary Service.
- 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;
- 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.
- 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);
- 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;
- 金融商品取引契約の締結又はその勧誘に関して、顧客に対し虚偽のことを告げる行為
- an act of providing a customer with false information concerning the conclusion of a Contract for Financial Instruments Transaction or solicitation thereof;
- 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.
- 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;
- 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.
- 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;
- 当該金融商品取引業者等が承諾日から期限日までに行う対象契約の締結の勧誘の相手方
- the person whom the Financial Instruments Business Operator, etc. will solicit to conclude Subject Contracts during the period from the Date of Acceptance to the Expiration Date; or
- 第四目 会員金融商品取引所の合併の手続 (第百三十九条の三―第百三十九条の六)
- Division 4 Merger Procedures of Membership-Type Financial Instruments Exchange (Article 139-3 - Article 139-6)
- 金融商品取引業は、内閣総理大臣の登録を受けた者でなければ、行うことができない。
- Any Financial Instruments Business shall be conducted only by persons registered by the Prime Minister.
- 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.
- 投資者に対する広報その他公益法人金融商品取引業協会の目的を達成するため必要な業務
- to conduct publicity towards investors or other activities necessary for achieving purposes of the Public Interest Corporation-Type Financial Instruments Firms Association; and
- 前各号に掲げるもののほか、金融商品取引業の健全な発展又は投資者の保護に資する業務
- in addition to what is listed in the preceding items, activities that would contribute to the sound development of Financial Instruments Businesses and protection of investors.
- 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
- 金融商品取引所を全部又は一部の当事者とする合併(第百四十条第一項の合併を除く。)
- merger where Financial Instruments Exchanges are all or part of the parties thereto (excluding the merger under Article 140(1)).
- 金融商品債務引受業は、内閣総理大臣の免許を受けた者でなければ、行つてはならない。
- Financial Instruments Obligation Assumption Service shall be conducted only by persons who have obtained a license from the Prime Minister.
- 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.
- 国内にある当行の本支店または他の金融機関にある受取人の預金口座への外貨建送金取引
- Foreign currency remittance translations payable to payee accounts held at the head office or branches of the Bank in Japan or, payable to payee accounts held at other financial institutions in Japan
- 前二号に掲げるもののほか、政令で定める投資信託契約 政令で定める金融商品取引業者
- In addition to what is listed in the preceding two items, an Investment Trust Contract as specified by a Cabinet Order: A Financial Instrument Business Operator as specified by a Cabinet Order.
- 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.
- 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.
- 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.
- 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
- 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.
- 第九十八条第四項及び第五項の規定は、株式会社金融商品取引所の役員について準用する。
- The provisions of Article 98(4) and (5) shall apply mutatis mutandis to the Officers of a Stock Company-Type Financial Instruments Exchange.
- 金融商品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;
- 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;
- 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.
- 法第三百二十条第三号の主務省令で定める方法は、信託業務を営む金融機関への信託とする。
- The method specified by an ordinance of the competent ministry set forth in Article 320, item (iii) of the Act shall be a trust account with a Financial Institution Engaged in Trust Business.
- 返還資金融資が行われることが一般委託者債務の迅速な弁済に必要であると認められること。
- Provision of a Repayment Funding Loan is found to be necessary for expeditiously repaying the liabilities of a General Customer.
- 金融商品取引業者等以外の者は、前項の標識又はこれに類似する標識を掲示してはならない。
- No person other than a Financial Instruments Business Operator, etc. shall post a sign prescribed in the preceding paragraph or a sign similar thereto.
- 金融商品取引業者等は、その行う投資助言業務に関して、次に掲げる行為をしてはならない。
- A Financial Instruments Business Operator, etc. shall not conduct any of the following acts with regard to his/her Investment Advisory Business:
- 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
- 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.
- 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.
- 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.
- 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;
- 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:
- 内閣総理大臣は、この法律による権限(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 that specified by a Cabinet Order) to the Commissioner of the Financial Services Agency.
- The Prime Minister shall delegate his/her authority under this Act (excluding the part of the authority specified by a Cabinet Order) to the Commissioner of the Financial Services Agency.
- The Prime Minister shall delegate his/her authority under this Act (excluding that specified by Cabinet Order) to the Commissioner of the Financial Services Agency.
- The Prime Minister shall delegate his/her authority under this Act (excluding those specified by a Cabinet Order) to the Commissioner of the Financial Services Agency.
- The Prime Minister shall delegate to the Commissioner of the Financial Services Agency the authority vested in this Act (excluding that specified by a Cabinet Order).
- The Prime Minister shall delegate his/her authority under this Act (excluding that specified by a Cabinet Order) to the Commissioner of the Financial Services Agency.
- The Prime Minister shall delegate his/her authority under this Act (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 this Act (excluding those specified by Cabinet Order) to the Commissioner of the Financial Services Agency.
- 金融商品取引業(投資助言・代理業を除く。)を適確に遂行するに足りる人的構成を有しない者
- a person who does not have a personnel structure sufficient to conduct Financial Instruments Business (excluding Investment Advisory and Agency Business) in an appropriate manner.
- 第四十二条の五から第四十二条の七まで 金融商品取引業者等が締結した投資一任契約の相手方
- Articles 42-5 to 42-7: the other party to a Discretionary Investment Contract concluded by a Financial Instruments Business Operator, etc.
- 第五目 株式会社金融商品取引所の合併の手続 (第百三十九条の七―第百三十九条の二十一)
- Division 5 Merger Procedures of Stock Company-Type Financial Instruments Exchange (Article 139-7 - Article 139-21)
- 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.
- 前号に規定する対価の決済に関し、金融機関が国内において業務を行なう者に対して有する債権
- Claims which a financial institution holds against a person who performs operations in Japan with regard to the settlement of the consideration prescribed in the preceding item
- Claims which a financial institution holds against a person who performs operations in Japan with regard to the settlement of the consideration prescribed in the preceding item.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 第一種金融商品取引業又は投資運用業を行おうとする場合にあつては、次のいずれかに該当する者
- when a person intends to engage in Type I Financial Instruments Business or Investment Management Business, a person who falls under any of the following; or
- 信託業法第四章の規定は、金融商品取引業者等が投資運用業を行う場合については、適用しない。
- The provisions of Chapter IV of the Trust Business Act shall not apply where a Financial Instruments Business Operator, etc. engages in Investment Management Business.
- 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
- 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.
- 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;
- 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
- 基金の会員である金融商品取引業者は、次に掲げる事由により、当然、その所属する基金を脱退する。
- A Financial Instruments Business Operator which is a member of a Fund shall automatically withdraw the Fund to which it belongs due to the following causes:
- 金融商品取引所は、特定の会員等又は有価証券の発行者に対し不当な差別的取扱いをしてはならない。
- A Financial Instruments Exchange shall not provide unjust discriminatory treatment to a particular Member, etc. or a particular Issuer of Securities.
- 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:
- 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.
- 内閣総理大臣は、この附則の規定による権限(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 may delegate his/her authority under the provisions of these Supplementary Provisions (excluding that specified by a Cabinet Order) to the Commissioner of the Financial Services Agency.
- The Prime Minister shall delegate his/her authorities (excluding those specified by Cabinet Order) under these Supplementary Provisions to the Commissioner of the Financial Services Agency.
- 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 this Act (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 the provisions of 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 the authority specified by a Cabinet Order) to the Commissioner of the Financial Services Agency.
- The Prime Minister shall delegate his/her authorities (excluding those specified by a Cabinet Order) under these Supplementary Provisions 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.
- 金融商品取引業者等は、内閣府令で定めるところにより、最良執行方針等を公表しなければならない。
- A Financial Instruments Business Operator, etc. shall, pursuant to the provisions of a Cabinet Office Ordinance, announce its Best Execution Policy, etc.
- 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
- 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.
- その他取引所金融商品市場における取引の公正を確保するために必要な業務として内閣府令で定めるもの
- other business specified by a Cabinet Office Ordinance as that which may be necessary for ensuring fairness in transactions on a Financial Instruments Exchange Market.
- 金融商品仲介業者である法人が合併及び破産手続開始の決定以外の理由により解散したとき その清算人
- when a juridical person that is a Financial Instruments Intermediary Service Provider has been dissolved due to reasons other than a merger or a decision of commencement of bankruptcy proceedings: the liquidator thereof.
- 関係銀行とは、支払銀行および送金のために以下のことを行う当行の本支店または他の金融機関をいう。
- The term 'Banks Concerned' means the Paying Bank and the head office or branches of the Bank or other financial institutions which conduct the following for remittances.
- この法律において「金融商品市場」とは、有価証券の売買又は市場デリバティブ取引を行う市場をいう。
- The term 'Financial Instruments Market' as used in this Act means a market in which sales and purchase of Securities or Market Transactions of Derivatives are conducted.
- 金融商品取引法第百八十七条及び第百九十一条の規定は、第一項の規定による申立てについて準用する。
- The provisions of Article 187 and Article 191 of the Financial Instruments and Exchange Act shall apply mutatis mutandis to the petition referred to in paragraph (1).
- The provisions of Article 187 and Article 191 of the Financial Instruments and Exchange Act shall apply mutatis mutandis to a petition as referred to in paragraph (1).
- イ、ロ、ニ及びホに掲げる取引(ロに掲げる取引に準ずる取引で金融商品取引所の定めるものを含む。)
- transactions listed in (a), (b), (d), and (e) (including transactions equivalent to transactions listed in (b) that are prescribed by the Financial Instruments Exchange).
- 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:
- 金融商品取引業者等は、権利者に対し、善良な管理者の注意をもつて投資運用業を行わなければならない。
- A Financial Instruments Business Operator, etc. shall engage in Investment Management Business with due care of a prudent manager for Right Holders.
- 金融商品取引業者等は、顧客に対し、善良な管理者の注意をもつて投資助言業務を行わなければならない。
- A Financial Instruments Business Operator, etc. shall engage in Investment Advisory Business with due care of a prudent manager for customers.
- 金融商品取引業者等は、最良執行方針等に従い、有価証券等取引に関する注文を執行しなければならない。
- A Financial Instruments Business Operator, etc. shall execute orders for Transactions of Securities, etc. in accordance with its Best Execution Policy, etc.
- サービス産業には、通信、運輸、流通、金融をはじめものの生産には関係ないたくさんの分野が含まれる。
- Service industries include communication, transportation, distribution, finance and a host of other areas which do not involve production of goods.
- 金融商品会員制法人は、会員名簿を備え置き、会員の変更があるごとに必要な変更を加えなければならない。
- A Financial Instruments Membership Corporation shall keep its directory of members and make necessary changes whenever there is any change in the members.
- 金融商品会員制法人は、理事長又は理事がその職務を行うについて他人に加えた損害を賠償する責任を負う。
- A Financial Instruments Membership Corporation shall be liable for the damage caused to others by its president or board members during the course of performance of their duties.
- 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.
- 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.
- 当該特定資産に有価証券及び不動産以外の政令で定める資産が含まれる場合 政令で定める金融商品取引業者
- When assets other than the Securities and Real Property specified by a Cabinet Order are included in the Specified Assets: A Financial Instruments Business Operator as specified by a Cabinet Order.
- 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、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.
- その製造業者は、避けられない危機を乗り切る手助けをしてくれる、金をもった、さる金融業者をみつけた。
- The industrialist found a wealthy financier to help him weather the storm which was inevitable.
- 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.
- 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;
- 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
- 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;
- 準用金融商品取引法第三十七条第一項(第二号を除く。)に規定する事項を表示せず、又は虚偽の表示をした者
- a person who has failed to indicate any of the matters prescribed in Article 37(1) (excluding item (ii)) of the Financial Instruments and Exchange Act as Applied Mutatis Mutandis, or has made a false indication thereof;
- A person who has failed to indicate the matters prescribed in Article 37, paragraph (1) (excluding item (ii)) of the Financial Instruments and Exchange Act as Applied Mutatis Mutandis or has indicated false matters;
- A person who has failed to indicate the matters prescribed in Article 37(1) (excluding item (ii)) of the Financial Instruments and Exchange Act as Applied Mutatis Mutandis or has indicated false matters;
- 国内の金融機関に準ずる指定国(日本国を除く。)の会社(自己資本比率基準の適用を受けている者に限る。)
- Companies (limited to those under capital adequacy requirements) in Designated States (excluding Japan) which are equivalent to Financial Institutions in Japan;
- e. Companies (limited to those under capital adequacy requirements) in Designated States (excluding Japan) which are equivalent to Financial Institutions in Japan;
- この法律において「金融商品仲介業者」とは、第六十六条の規定により内閣総理大臣の登録を受けた者をいう。
- The term 'Financial Instruments Intermediary Service Provider' as used in this Act means a person who has been granted registration by the Prime Minister under Article 66.
- この法律において「金融商品取引業者」とは、第二十九条の規定により内閣総理大臣の登録を受けた者をいう。
- The term 'Financial Instruments Business Operator' as used in this Act means a person registered by the Prime Minister under Article 29.
- 流通状況が前号に掲げる株券等に準ずるものとして政令で定める株券等 政令で定める認可金融商品取引業協会
- Share Certificates, etc. specified by a Cabinet Order as those of which the state of distribution can be regarded as being equivalent to Share Certificates, etc. referred to in the preceding item: the Authorized Financial Instruments Firms Association specified by a Cabinet Order.
- 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.
- 金融商品取引業者等は、顧客に対し、善良な管理者の注意をもつて有価証券等管理業務を行わなければならない。
- A Financial Instruments Business Operator, etc. shall engage in Securities, etc. Management Business with due care of a prudent manager for customers.
- 金融商品取引業者等は、その行う投資助言・代理業又は投資運用業に関して、次に掲げる行為をしてはならない。
- A Financial Instruments Business Operator, etc. shall not conduct any of the following acts with regard to his/her Investment Advisory and Agency Business or Investment Management Business:
- この法律において「認可金融商品取引業協会」とは、第四章第一節第一款の規定に基づいて設立された者をいう。
- The term 'Authorized Financial Instruments Firms Association' as used in this Act means a person established under Subsection 1 of Section 1 of Chapter IV.
- 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.
- 金融機関は、他の法律の規定にかかわらず、前項の認可に係る業務の委託を受け、当該業務を行うことができる。
- Notwithstanding the provisions of other Acts, a financial institution may accept entrustment of authorized functions as set forth in the preceding paragraph and may perform said functions.
- 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
- 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.
- 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.
- この法律において「デリバティブ取引」とは、金融商品取引法第二条第二十項に規定するデリバティブ取引をいう。
- The term 'Derivative Transactions' as used in this Act shall mean Derivative Transactions as prescribed in Article 2, paragraph (20) of the Financial Instruments and Exchange Act.
- 返還資金融資による貸付金が一般委託者債務の迅速な弁済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 money lent by a Repayment Funding Loan will certainly be used for expeditiously repaying the liabilities of a General Customer.
- 流通状況が前号に掲げる有価証券に準ずるものとして政令で定める有価証券 政令で定める認可金融商品取引業協会
- Securities specified by a Cabinet Order as those of which the state of distribution can be regarded as being equivalent to Securities referred to in the preceding item: the Authorized Financial Instruments Firms Association specified by the Cabinet Order.
- 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.
- 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.
- 支払銀行とは、受取人の預金口座への送金資金の入金または受取人に対する送金資金の支払いを行う金融機関をいう。
- The term 'Paying Bank' means a financial institution which credits the funds remitted to the payee account or pays the same to the payee.
- この章において「投資運用業」とは、金融商品取引業のうち、次に掲げる行為のいずれかを業として行うことをいう。
- The term 'Investment Management Business' as used in this Chapter means, among Financial Instruments Businesses, conducting any of the following acts in the course of trade:
- この法律において「証券金融会社」とは、第百五十六条の二十四の規定により内閣総理大臣の免許を受けた者をいう。
- The term 'Securities Finance Company' as used in this Act means a person who has been granted the license by the Prime Minister under Article 156-24.
- 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
- 第一項の規定にかかわらず、金融商品取引所は、内閣総理大臣の認可を受けて、自主規制法人を設立することができる。
- Notwithstanding the provision of paragraph (1), a Financial Instruments Exchange may establish a Self-Regulation Organization with an authorization from the Prime Minister.
- 理事は、必要があると認めるときは、委託金融商品取引所の取締役会又は理事会に出席し、意見を述べることができる。
- A board member may, when he/she finds it necessary, attend the meeting of the board of directors or the council meeting of the Entrusting Financial Instruments Exchange to state his/her opinions.
- 株式会社金融商品取引所は、その資本金の額を減少しようとするときは、内閣総理大臣の認可を受けなければならない。
- When a Stock Company-Type Financial Instruments Exchange intends to reduce the amount of its stated capital, it shall obtain an authorization from the Prime Minister.
- 法第百三条第七項の主務省令で定める金融機関(以下この条において「銀行等」という。)は、次に掲げるものとする。
- The financial institutions specified by an ordinance of the competent ministry set forth in Article 103, paragraph (7) of the Act (hereinafter referred to as a 'Bank, etc.' in this Article) shall be as follows:
- 金融商品取引業者等並びにその役員及び使用人は、顧客に対して誠実かつ公正に、その業務を遂行しなければならない。
- A Financial Instruments Business Operator, etc. as well as Officers and employees thereof shall execute their business in good faith and fairly to customers.
- 手数料、報酬その他の当該金融商品取引契約に関して顧客が支払うべき対価に関する事項であつて内閣府令で定めるもの
- the matters concerning fees, remuneration or any other consideration payable by the customer with regard to said Contract for Financial Instruments Transaction, which are specified by a Cabinet Office Ordinance;
- 前二号及び次号から第六号までに掲げる取引(前号に掲げる取引に準ずる取引で金融商品取引所の定めるものを含む。)
- any transaction listed in the preceding two items or the following item to item (vi)(including those designated by the Financial Instruments Exchange and equivalent to a transaction specified in the preceding item).
- 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.
- 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.
- 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.
- 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;
- 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.
- 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;
- 金融商品会員制法人の清算人の解任についての裁判及び前条の規定による裁判に対しては、即時抗告をすることができる。
- An immediate appeal against the judicial decision of the dismissal of a liquidator of a Financial Instruments Membership Corporation and the judicial decisions prescribed in the provision of the preceding Article may be filed.
- 前項の営業保証金の額は、金融商品取引業者の業務の実情及び投資者の保護の必要性を考慮して、政令で定める額とする。
- The amount of a deposit for operation set forth in the preceding paragraph shall be specified by a Cabinet Order, considering the actual conditions of a Financial Instruments Business Operator's business and the necessity of the protection of investors.
- 登録投資法人は、次の各号のいずれかに該当する金融商品取引業者に、その資産の運用に係る業務を委託してはならない。
- A Registered Investment Corporation shall not entrust its business pertaining to asset investments to a Financial Instruments Business Operator that falls under any of the following items:
- この法律において「外国金融商品取引所」とは、第百五十五条第一項の規定により内閣総理大臣の認可を受けた者をいう。
- The term 'Foreign Financial Instruments Exchange' as used in this Act means a person who has been granted the authorization by the Prime Minister under Article 155(1).
- 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.
- 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.
- 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;
- 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).
- 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.
- 金融商品取引法第四十二条の七の規定は、投資信託委託会社がその運用の指図を行う投資信託財産については、適用しない。
- The provisions of Article 42-7 of the Financial Instruments and Exchange Act shall not apply to the Investment Trust Property for which the Settlor Company of an Investment Trust gives instructions on investment.
- 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機関登録簿に登録しなければならない。
- When the Prime Minister accepts a notification under the preceding paragraph, he/she shall register the notified matters in a registry of financial institutions.
- 登録金融機関業務(第三十三条の二の登録に係る業務をいう。以下同じ。)を適確に遂行するに足りる人的構成を有しない者
- a person who does not have a personnel structure sufficient to conduct Registered Financial Institution Business (meaning business pertaining to registration set forth in Article 33-2; the same shall apply hereinafter) in an appropriate manner.
- 前二号に掲げるもののほか、当該登録投資法人の監督役員と利害関係を有する金融商品取引業者として内閣府令で定めるもの
- In addition to what is listed in the preceding two items, a Financial Instruments Business Operator specified by a Cabinet Office Ordinance as having a relationship with the supervisory officers of the Registered Investment Corporation as an interested party.
- この章において「投資助言・代理業」とは、金融商品取引業のうち、次に掲げる行為のいずれかを業として行うことをいう。
- The term 'Investment Advisory and Agency Business' as used in this Chapter means, among Financial Instruments Businesses, conducting any of the following acts in the course of trade:
- マンハッタンの金融街にある証券取引所の中には、火災と停電のため、営業を早めに切り上げてしまったところもあります。
- The fire and power outage resulted in a shortened workday at some exchanges in Manhattan's financial district.
- 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.
- 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;
- 金融商品取引業者は、内閣府令で定めるところにより、その業務に関する帳簿書類を作成し、これを保存しなければならない。
- A Financial Instruments Business Operator shall, pursuant to the provisions of a Cabinet Office Ordinance, prepare and preserve the books and documents on its business.
- 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。以下「優先出資法」という。)に規定する優先出資証券
- preferred equity investment certificates prescribed in the Act on Preferred Equity Investment by Cooperative Structured Financial Institutions (Act No. 44 of 1993; (hereinafter referred to as the 'Act on Preferred Equity Investment');
- 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、資金需要者等の利益の保護の促進に努めなければならない。
- The Association shall endeavor to promote protection of the interests of Persons Seeking Funds, etc. through dissemination of financial knowledge, enlightenment activities, and publicity campaigns.
- 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)
- 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).
- 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.
- 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.
- 特定株式会社金融商品取引所は、自主規制委員会の日から十年間、前条第三項の議事録をその本店に備え置かなければならない。
- A Specified Stock Company-Type Financial Instruments Exchange shall keep the minutes set forth in paragraph (3) of the preceding Article at its head office for ten years from the day of a meeting of the Self-Regulating Committee.
- 金融商品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)
- 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.
- 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.
- 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.
- この法律において「資産運用会社」とは、登録投資法人の委託を受けてその資産の運用に係る業務を行う金融商品取引業者をいう。
- The term 'Asset Management Company' as used in this Act shall mean a Financial Instruments Business Operator who conducts business pertaining to asset investment under entrustment from a Registered Investment Corporation.
- 登録金融機関の代理を行う者のうち政令で定める者 第三十三条第二項第二号に掲げる有価証券につき同号に定める行為を行う業務
- a person who conducts agency service for a Registered Financial Institution and who is specified by a Cabinet Order: business to conduct acts specified in Article 33(2)(ii) with regard to Securities listed in said item;
- 金融商品取引業者等は、業務の運営の状況が次の各号のいずれかに該当することのないように、その業務を行わなければならない。
- A Financial Instruments Business Operator, etc. shall engage in his/her business in such a manner that the state of the operation of the business does not fall under any of the cases listed in the following items:
- 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.
- 内閣総理大臣は、前項の規定による届出を受理したときは、届出があつた事項を金融商品仲介業者登録簿に登録しなければならない。
- When the Prime Minister accepts a notification under the preceding paragraph, he/she shall register notified matters in a registry of Financial Instruments Intermediary Service Providers.
- 吸収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.
- 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.
- 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:
- 投資信託委託会社が金融商品取引法第五十二条第一項又は第五十三条第三項の規定により同法第二十九条の登録を取り消されること。
- Where the Settlor Company of an Investment Trust has its registration as prescribed in Article 29 of the Financial Instruments and Exchange Act rescinded under Article 52, paragraph (1) or Article 53, paragraph (3) of that Act; or
- 投資信託委託会社が金融商品取引法第五十二条第一項又は第五十三条第三項の規定により同法第二十九条の登録を取り消されたとき。
- When the Settlor Company of an Investment Trust has had its registration under Article 29 of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 52, paragraph (1) or Article 53, paragraph (3) of that Act;
- 金融商品取引業者等は、営業所又は事務所ごとに、公衆の見やすい場所に、内閣府令で定める様式の標識を掲示しなければならない。
- A Financial Instruments Business Operator, etc. shall post a sign in the form specified by a Cabinet Office Ordinance in a place accessible to the public at each of his/her business offices or other offices.
- 内閣総理大臣は、前項の規定による届出を受理したときは、届出があつた事項を金融商品取引業者登録簿に登録しなければならない。
- When the Prime Minister accepts a notification under the preceding paragraph, he/she shall register the notified matters in a registry of Financial Instruments Business Operators.
- 登録投資法人が投資の対象とする資産に不動産が含まれる場合 宅地建物取引業法第三条第一項の免許を受けている金融商品取引業者
- In cases where Real Property shall be one of the assets subject to investment by a Registered Investment Corporation: A Financial Instruments Business Operator that has obtained a license as set forth in Article 3, paragraph (1) of the Building Lots and Buildings Transaction Business Act;
- 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.
- 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:
- 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.
- 吸収合併存続株式会社金融商品取引所は、効力発生日から六月間、前項の書面又は電磁的記録をその本店に備え置かなければならない。
- A Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger shall, during the period of six months from the Effective Date, keep at its head office the documents or Electromagnetic Records set forth in the preceding paragraph.
- 認可申請者がその対象議決権を行使することにより、株式会社金融商品取引所の業務の健全かつ適切な運営を損なうおそれがないこと。
- exercising of the Subject Voting Rights by the applicant for authorization is not likely to impair sound and appropriate operation of the business of the Stock Company-Type Financial Instruments Exchange; and
- 金融商品取引業者は、第二条第八項第十号に掲げる行為を業として行おうとするときは、内閣総理大臣の認可を受けなければならない。
- When a Financial Instruments Business Operator intends to conduct acts listed in Article 2(8)(x) in the course of trade, it shall obtain authorization from the Prime Minister.
- この章において「有価証券等管理業務」とは、第一種金融商品取引業に係る業務のうち、第一項第五号に掲げる行為に係る業務をいう。
- The term 'Securities, etc. Management Business' as used in this Chapter means business pertaining to acts listed in paragraph (1), item (v) among business pertaining to the Type I Financial Instruments Business.
- 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.
- 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.
- 協会員又は金融商品仲介業者は、認可協会から前項の規定による求めがあつたときは、正当な理由がないのに、これを拒んではならない。
- When there has been a demand under the preceding paragraph from an Authorized Association, a Member Firm or Financial Instruments Intermediary Service Provider shall not refuse the demand without justifiable grounds.
- 認可協会は、第一項の申出、当該苦情に係る事情及びその解決の結果について協会員又は金融商品仲介業者に周知させなければならない。
- An Authorized Association shall fully inform its Member Firms or Financial Instruments Intermediary Service Providers about any applications under paragraph (1), circumstances pertaining to said complaints and the outcome of any resolution.
- 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:
- 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.
- 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.
- 金融庁長官は、政令で定めるところにより、前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 provisions of a Cabinet Order, delegate part of the authority delegated pursuant to the provisions of the preceding paragraph to the Directors-General of the Local Finance Bureaus or the Directors-General of the Local Finance Branch Bureaus.
- The Commissioner may, pursuant to the provisions of a Cabinet Order, delegate part of the authority delegated thereto under the provisions of the preceding paragraph to the Director of a Local Finance Bureau or Local Finance Branch Bureau.
- The Commissioner of the Financial Services Agency may, pursuant to the provisions of Cabinet Order, delegate part of the authority that has been delegated pursuant to the provisions of the preceding paragraph to the Director-Generals of Local Finance Bureaus or Local Finance Branch Bureaus.
- The Commissioner of Financial Services Agency may, pursuant to the Cabinet Order, delegate a part of its authority delegated pursuant to the provision of the preceding paragraph, to the Director-Generals of the Local Finance Bureaus or the Directors-General of the Local Finance Branch Bureaus.
- The Commissioner of the Financial Services Agency may, pursuant to the provisions of a Cabinet Order, delegate part of the authority that has been delegated pursuant to the provisions of the preceding paragraph to the Director-Generals of Local Finance Bureaus or Local Finance Branch Bureaus.
- 投資信託委託会社が合併により解散した場合において、当該合併により設立した法人が設立後遅滞なく、金融商品取引業者となつたとき。
- In cases where a Settlor Company of an Investment Trust has been dissolved as a result of consolidation, when the juridical person established as a result of consolidation has become a Financial Instruments Business Operator after said establishment without delay; or
- 流通状況が前号に掲げる株券等に準ずるものとして政令で定める株券等の発行者が発行する株券等 政令で定める認可金融商品取引業協会
- Share Certificates, etc. issued by an issuer of Share Certificates, etc., which are specified by a Cabinet Order as those of which the state of distribution can be regarded as being equivalent to the Share Certificates, etc. listed in the preceding item: an Authorized Financial Instruments Firms Association as specified by a Cabinet Order.
- 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)
- 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:
- 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.
- 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.
- 金融商品会員制法人が第八十条第一項の免許の取消しの処分により解散する場合における解散の登記は、内閣総理大臣の嘱託によつてする。
- When a Financial Instruments Membership Corporation is dissolved due to a disposition to rescind the license under Article 80(1), the registration of the dissolution shall be made upon the request of the Prime Minister.
- 株式会社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:
- 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:
- 適格機関投資家(金融商品取引法第二条第三項第一号に規定する適格機関投資家をいう。)のみを相手方として行う場合で政令で定める場合
- Where such solicitation is made only to Qualified Institutional Investors (meaning Qualified Institutional Investors as prescribed in Article 2, paragraph (3), item (i) of the Financial Instruments and Exchange Act) as specified by a Cabinet Order; or
- 対象有価証券関連取引に関し、顧客の計算に属する金銭又は金融商品取引業者等が顧客から預託を受けた金銭(前号に掲げる金銭を除く。)
- the money belonging to the account of a customer or money deposited to the Financial Instruments Business Operator, etc. from a customer (excluding the money specified in the preceding item), with regard to a Subject Securities-Related Transactions; and
- 金融庁長官は、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.
- 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.
- 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.
- 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:
- 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.
- 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.
- 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;
- 第三十条第一項の認可を受けようとする金融商品取引業者は、次に掲げる事項を記載した認可申請書を内閣総理大臣に提出しなければならない。
- A Financial Instruments Business Operator who intends to obtain authorization set forth in Article 30(1) shall submit a written application for authorization containing the following matters to the Prime Minister:
- 当該特定資産に不動産が含まれる場合 宅地建物取引業法第三条第一項の免許及び同法第五十条の二第一項の認可を受けている金融商品取引業者
- When Real Property is included in the Specified Assets: A Financial Instruments Business Operator who has obtained the license under Article 3, paragraph (1) of the Building Lots and Buildings Transaction Business Act and authorization under Article 50-2 of that Act; and
- 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.
- 公社債のうち日本国の国債若しくは地方債若しくは内国法人の発行する債券又は金融商品取引法第二条第一項第十五号(定義)に掲げる約束手形
- Japanese national government bonds, Japanese local government bonds, bonds issued by a domestic corporation or promissory notes listed in Article 2(1)(xv) (Definitions) of the Financial Instruments and Exchange Act, all of which fall under the category of government or company bonds
- 金融商品取引業者は、負担金を業務規程の定める納期限までに納付しない場合には、その所属する基金に対し、延滞金を納付しなければならない。
- When a Financial Instruments Business Operator fails to pay a Burden Charge by the time limit for payment specified by the operational rules, it shall pay a delinquent charge to a Fund to which it belongs.
- 会員の持分は、定款の定めるところにより、金融商品会員制法人の承認を受け、当該会員が脱退しようとするときに限り、譲り渡すことができる。
- A member may transfer his/her equity only when said member intends to withdraw from the membership with an approval of the Financial Instruments Membership Corporation, pursuant to the provisions of the articles of incorporation.
- 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:
- 外国にある当行の支店または他の金融機関を支払人として、送金依頼人が指定する者を受取人とする送金小切手を送金依頼人に対して交付すること
- Issuance of demand drafts to the applicant, for which the payer is a branch of the Bank located in a foreign country or, other financial institution located in a foreign country, and the payee is a person designated by the applicant.
- 外国為替法規上の(非)居住者と非居住者との間における国内にある当行の本支店または他の金融機関にある受取人の預金口座への円貨建送金取引
- Remittance transactions in yen between residents and nonresidents, or nonresidents and nonresidents, as defined in the Foreign Exchange and Foreign Trade Law and its corresponding regulations, payable to payee accounts held at the head office or branches of the Bank in Japan or, payable to payee accounts held at other financial institutions in Japan
- この法律において「金融商品取引所持株会社」とは、第百六条の十第一項又は第三項ただし書の規定により内閣総理大臣の認可を受けた者をいう。
- The term 'Financial Instruments Exchange Holding Company' as used in this Act means a person who has been granted the authorization by the Prime Minister under Article 106-10(1) or the proviso to Article 106-10(3).
- この法律において「外国市場デリバティブ取引」とは、外国金融商品市場において行う取引であつて、市場デリバティブ取引と類似の取引をいう。
- The term 'Foreign Market Derivatives Transactions' as used in this Act means transactions which are conducted in a Foreign Financial Instruments Market and are similar to Market Transactions of Derivatives.
- 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:
- 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.
- 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:
- 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.
- 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.
- 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.
- 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;
- 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
- 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.
- この法律において「有価証券」とは、金融商品取引法第二条第一項に規定する有価証券又は同条第二項の規定により有価証券とみなされる権利をいう。
- The term 'Securities' as used in this Act shall mean Securities as prescribed in Article 2, paragraph (1) of the Financial Instruments and Exchange Act or rights deemed to be Securities under paragraph (2) of that Article.
- 前項の規定により金融庁長官に委任された権限については、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 may be delegated 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.
- The Commissioner of the Financial Services Agency may, pursuant to the provisions of Cabinet Order, delegate part of the authority that has been delegated under the provisions of the preceding paragraph to the Directors-General of Local Finance Bureaus or Local Finance Branch Bureaus.
- A part of the authority delegated to the Commissioner of the Financial Services Agency pursuant to the provisions of the preceding paragraph may be delegated 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.
- The Commissioner of the Financial Services Agency may delegate part of the authority that has been delegated pursuant to the provisions of the preceding paragraph 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.
- The Commissioner of the Financial Services Agency may, pursuant to the provisions of a Cabinet Order, delegate part of the authority that has been delegated under the provisions of the preceding paragraph to the Directors-General of Local Finance Bureaus or Local Finance Branch Bureaus.
- 前三条の規定は、金融商品取引業者を子会社(第二十九条の四第三項に規定する子会社をいう。)とする持株会社の株主又は出資者について準用する。
- The provisions of the preceding three Articles shall apply mutatis mutandis to shareholders or equity investors of a Holding Company that holds a Financial Instruments Business Operator as its Subsidiary Company (meaning a Subsidiary Company prescribed in Article 29-4(3)).
- 第二百九条第一項(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));
- 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.
- 前二号に掲げるもののほか、投資者の保護に欠け、若しくは取引の公正を害し、又は金融商品仲介業の信用を失墜させるものとして内閣府令で定める行為
- in addition to what is listed in the preceding two items, acts specified by a Cabinet Office Ordinance as those that result in insufficient protection of investors, harm the fairness of transactions, or cause a loss of confidence in Financial Instruments Intermediary Service.
- 株式会社金融商品取引所は、自主規制業務を自主規制法人に委託している場合を除き、定款の定めるところにより、自主規制委員会を置くことができる。
- A Stock Company-Type Financial Instruments Exchange may establish a Self-Regulating Committee pursuant to the provisions of its articles of incorporation, except for the cases where Self-Regulation Related Services are entrusted to a Self-Regulation Organization.
- 前項の規定は、金融商品取引業者が同項に規定する他の業務を兼業する場合において、当該業務に関する法律の適用を排除するものと解してはならない。
- Where a Financial Instruments Business Operator engages in any other business as a subsidiary business prescribed in the preceding paragraph, the provision of said paragraph shall not be construed to preclude the application of Acts concerning that business.
- 前二号に掲げるもののほか、投資者の保護に欠け、若しくは取引の公正を害し、又は金融商品取引業の信用を失墜させるものとして内閣府令で定める行為
- in addition to what is listed in the preceding two items, any act specified by a Cabinet Office Ordinance as resulting in insufficient protection of investors, harming the fairness of transactions or causing a loss of confidence in Financial Instruments Business.
- 前各号に掲げるもののほか、投資者の保護に欠け、若しくは取引の公正を害し、又は金融商品取引業の信用を失墜させるものとして内閣府令で定める行為
- in addition to what is listed in the preceding items, acts specified by a Cabinet Office Ordinance as those that result in insufficient protection of investors, harm the fairness of transactions or cause a loss of confidence in Financial Instruments Business.
- in addition to what is listed in the preceding items, any act specified by a Cabinet Office Ordinance as resulting in insufficient protection of investors, harming the fairness of transactions or causing a loss of confidence in Financial Instruments Business.
- 前各号に掲げるもののほか、金融商品取引業の内容に関する事項であつて、顧客の判断に影響を及ぼすこととなる重要なものとして内閣府令で定める事項
- in addition to what is listed in the preceding items, the matters concerning the contents of the relevant Financial Instruments Business, which are specified by a Cabinet Office Ordinance as important matters that may have an impact on customers' judgment.
- 第八十八条の三第一項及び第三項、第八十八条の四並びに第八十八条の二十二の規定は、新設合併設立会員金融商品取引所の設立については、適用しない。
- Article 88-3(1) and (3), 88-4 and 88-22 shall not apply to establishment of a Membership-Type Financial Instruments Exchange Established by a Consolidation-Type Merger.
- 理事会は、委託金融商品取引所の理事、取締役及び執行役並びに支配人その他の使用人に対し、その職務の執行に関する事項の報告を求めることができる。
- The Council may request the president, directors and executive officers, and managers and other employees of the Entrusting Financial Instruments Exchange to report the matters concerning execution of their duties.
- 第三百六条第一項の支払及び第三百八条第一項の返還資金融資に要する費用の予想額に照らし、長期的に委託者保護基金の財政が均衡するものであること。
- The finance of the Consumer Protection Fund will be balanced in the long term in light of the estimated amount of the payment to be made under Article 306, paragraph (1) and that of the costs necessary for the Repayment Funding Loan under Article 308, paragraph (1).
- 顧客に対し、不確実な事項について断定的判断を提供し、又は確実であると誤解させるおそれのあることを告げて金融商品取引契約の締結の勧誘をする行為
- an act of providing a customer with conclusive evaluations on uncertain matters or with information that misleads him/her into believing the certainty of such matters, thereby soliciting him/her to conclude a Contract for Financial Instruments Transaction;
- この法律において「金融商品取引清算機関」とは、第百五十六条の二又は第百五十六条の十九の規定により内閣総理大臣の免許又は承認を受けた者をいう。
- The term 'Financial Instruments Clearing Organization' as used in this Act means a person who has been granted the license or approval by the Prime Minister under Article 156-2 or 156-19.
- 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
- 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);
- 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.
- 保証委託契約に基づき金融機関から支払いを受けた金銭を原資として、当該保証委託をした商品取引員に代わって当該商品取引員の委託者債務の弁済を行う業務
- establishing as the source the cash paid by financial institutions based on an Indemnity Agreement, a business on behalf of a Futures Commission Merchant who consigned said indemnity to repay Debts to a Customer of said Futures Commission Merchant;
- 信託会社又は信託業務を営む金融機関に信託する契約(以下この号において「信託契約」という。)を締結すること(次に掲げる要件を満たすものに限る。)。
- A contract of trust (hereinafter referred to as the 'Trust Contract' in this item) shall be concluded with a trust company or a Financial Institution Engaged in Trust Business (limited to those fulfilling the requirements as listed in the following):
- 登録投資法人が主として不動産に対する投資として運用することを目的とする場合 宅地建物取引業法第五十条の二第一項の認可を受けている金融商品取引業者
- In cases where the purpose of a Registered Investment Corporation is to invest mainly in Real Property: A Financial Instruments Business Operator who has obtained authorization set forth in Article 50-2, paragraph (1) of the Building Lots and Buildings Transaction Business Act; and
- 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
- 金融商品取引業者等は、前項の規定にかかわらず、すべての運用財産につき、その運用に係る権限の全部を同項に規定する政令で定める者に委託してはならない。
- Notwithstanding the provisions of the preceding paragraph, a Financial Instruments Business Operator, etc. shall not entrust the whole of the authority of investment with regard to all Investment Property to a person specified by a Cabinet Order as prescribed in said paragraph.
- 特定受給権者に当該預金又は貯金の払出しとその払い出した金銭による当該債権の弁済をその預金又は貯金の口座のある金融機関に委託して行うことを求める行為
- Acts of requesting a Specified Beneficiary to entrust withdrawals from the deposit or savings account and performance of said claims with the money withdrawn to the financial institution where said deposit or savings account is held.
- 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.
- 信託受益権売買等業務(金融商品取引法第六十五条の五第一項に規定する信託受益権の売買等を行う業務をいう。以下同じ。)を営む場合には、当該業務の実施体制
- where the person carries out Business for the Sale and Purchase, etc. of Beneficial Interest in Trust (which means business related to conducting the sale and purchase of beneficial interest in trust as prescribed in Article 65-5(1) of the Financial Instruments and Exchange Act; the same shall apply hereinafter), the system for carrying out said business; and
- 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.
- 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.
- 内閣総理大臣は、前項の規定により職務代行者を選任したときは、金融商品取引業者等に対し、当該職務代行者に相当額の報酬を支払うべき旨を命ずることができる。
- When the Prime Minister has appointed an Acting Representative Person under the provision of the preceding paragraph, he/she may order the Financial Instruments Business Operator, etc. to pay a reasonable amount of remuneration to the Acting Representative Person.
- 新設合併をする場合には、次に掲げる株主は、新設合併消滅株式会社金融商品取引所に対し、自己の有する株式を公正な価格で買い取ることを請求することができる。
- In the case of a Consolidation-Type Merger, the following shareholders may request the Stock Company-Type Financial Instruments Exchange Extinguished upon a Consolidation-Type Merger to purchase their shares at a fair price:
- 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.
- あらかじめ、イに掲げる金融機関が保証委託契約に基づき委託者保護基金に支払うべき額の限度額(以下この号において「支払保証限度額」という。)を定めること。
- the limit of the amount to be paid to the Consumer Protection Fund by a financial institution set forth in (a) based on the Indemnity Agreement shall be specified in advance (hereinafter referred to as 'Payment Guarantee Limit Amount' in this item);
- 登録金融機関は、第三十三条の三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 matters listed in the items of Article 33-3(1), a Registered Financial Institution shall notify to that effect to the Prime Minister within two weeks from the day of change.
- 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.
- 金融商品取引業者は、前項各号に掲げる業務を行うこととなつたときは、内閣府令で定めるところにより、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
- A Financial Instruments Business Operator shall, when starting to engage in any of the businesses listed in the items of the preceding paragraph, notify the Prime Minister to that effect without delay pursuant to the provisions of a Cabinet Office Ordinance.
- 前項の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.
- 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.
- 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.
- 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.
- 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.
- 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
- 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).
- 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.
- 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.
- 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.
- 第二百二十条の三において準用する金融商品の販売等に関する法律第九条第一項の規定に違反して勧誘方針を定めず、又は同条第三項の規定に違反してこれを公表しなかつた者
- A person who, in violation of the provisions of Article 9, paragraph (1) of the Act on Sales, etc. of Financial Products as applied mutatis mutandis pursuant to Article 220-3, has failed to establish a solicitation policy or who, in violation of the provisions of paragraph (3) of said Article, has failed to publish the solicitation policy
- 金融商品取引業者は、事業年度ごとに、内閣府令で定めるところにより、事業報告書を作成し、毎事業年度経過後三月以内に、これを内閣総理大臣に提出しなければならない。
- A Financial Instruments Business Operator shall, pursuant to the provisions of a Cabinet Office Ordinance, prepare a business report for each business year, and submit it to the Prime Minister within three months after the end of each business year.
- 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)
- 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).
- 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
- 前項の規定により社内規則の作成又は変更を命ぜられた金融商品取引業者等は、三十日以内に、当該社内規則の作成又は変更をし、内閣総理大臣の承認を受けなければならない。
- A Financial Instruments Business Operator, etc. who is ordered to prepare or change the Internal Rules under the provisions of the preceding paragraph shall prepare or change the Internal Rules and obtain approval from the Prime Minister within 30 days.
- 金融商品取引業者等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:
- 金融商品取引業者等は、権利者(次の各号に掲げる業務の区分に応じ当該各号に定める者をいう。以下この款において同じ。)のため忠実に投資運用業を行わなければならない。
- A Financial Instruments Business Operator, etc. shall engage in Investment Management Business with loyalty to Right Holders (meaning the persons prescribed in the following items for the Categories of Businesses listed in the respective items; hereinafter the same shall apply in this Subsection):
- 前項の規定は、特定利子の支払を受ける外国金融機関等(第四項第一号イに掲げる外国法人に限る。)が次の各号に掲げる外国法人のいずれかに該当する場合には、適用しない。
- The provision of the preceding paragraph shall not apply where the foreign financial institution, etc. that receives payment of specified interest (limited to a foreign corporation listed in paragraph (4)(i)(a)) falls under the category of foreign corporation listed in any of the following items:
- 金融商品取引法第二条第一項に規定する有価証券又は第四条第一号若しくは第三号(有価証券に準ずるものの範囲)に掲げる権利(次号に掲げるものを除く。)で次に掲げるもの
- The securities prescribed in Article 2(1) of the Financial Instruments and Exchange Act or the rights listed in Article 4(i) or (iii) (Scope of Those Equivalent to Securities) (excluding rights listed in the next item) which are listed as follows:
- 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.
- 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.
- 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.
- 送金依頼人の指定する外国にある当行の支店または他の金融機関にある受取人の 預金口座に一定額を入金することを委託するための支払指図を、関係銀行に対して発 信すること
- Issuance of payment orders to the Banks Concerned to entrust crediting certain amounts to payee accounts held at Bank branches located in foreign countries or, at other financial institutions located in foreign countries, as designated by the applicant
- 金融商品取引業者は、第三項の規定により届け出た業務又は第四項の規定により承認を受けた業務を廃止したときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
- A Financial Instruments Business Operator shall, when having abolished the business for which notification was given under paragraph (3) or approval was obtained under paragraph (4), notify the Prime Minister to that effect without delay.
- 法第四十二条の二第一項に規定する政令で定める利子は、同項に規定する外国金融機関等が支払を受ける利子で、法第七条の規定により所得税を課さないこととされるものとする。
- The interest specified by Cabinet Order prescribed in Article 42-2, paragraph (1) of the Act shall be the interest to be received by a foreign financial institution, etc. prescribed in said paragraph on which no income tax shall be imposed pursuant to the provisions of Article 7 of the Act.
- 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.
- 第一項の規定は、法第二百二十条の二第一項の規定による取引証拠金等の受領が、金融機関を介しての受領であり、顧客から書面による同意が得られた場合にあっては、適用しない。
- The provisions of paragraph (1) shall not apply when the receipt of a Clearing Margin, etc. under the provisions of Article 220-2, paragraph (1) of the Act is a receipt via a financial institution where the consent of the customer has been obtained in writing.
- 清算中に金融商品会員制法人の財産がその債務を完済するのに足りないことが明らかになつたときは、清算人は、直ちに破産手続開始の申立てをし、その旨を公告しなければならない。
- When it has become apparent during the liquidation process that the properties of a Financial Instruments Membership Corporation are not sufficient to fully pay its debts, a liquidator shall immediately file a petition for the commencement of bankruptcy proceedings and shall make a public notice to that effect.
- 会員金融商品取引所は、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.
- 内閣総理大臣は、金融商品取引所持株会社がその認可を受けた当時既に第百六条の十二第二項各号のいずれかに該当していたことが判明したときは、その認可を取り消すことができる。
- When a Financial Instruments Exchange Holding Company is found to have already fallen under any of the categories specified in each item of Article 106-12(2) at the time of receipt of the authorization, the Prime Minister may rescind its authorization.
- 第百五条の五第三項の規定は、監査役会設置会社である特定株式会社金融商品取引所が株主総会に提出する取締役の選任及び解任に関する議案の内容を決定する場合について準用する。
- The provision of Article 105-5(3) shall apply mutatis mutandis to the cases where a Specified Stock Company-Type Financial Instruments Exchange which is a company with board of company auditors makes a decision on the contents of proposals regarding the election and dismissal of directors to be submitted to a shareholders meeting.
- 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.
- 金融商品取引業者は、第一項各号に掲げる事由による場合又は内閣総理大臣及び財務大臣の承認を受けて他の基金の会員となる場合を除き、その所属する基金を脱退することができない。
- A Financial Instruments Business Operator may not withdraw from a Fund to which it belongs except in cases where the withdrawal is for a cause listed in any of the items of paragraph (1) or when the Financial Instruments Business Operator becomes a member of another Fund with approval of the Prime Minister and the Minister of Finance.
- 前条第一項の期間の経過後に申出をした債権者は、金融商品会員制法人の債務が完済された後まだ権利の帰属すべき者に引き渡されていない財産に対してのみ、請求をすることができる。
- Any creditor who submits its claim after the lapse of the period prescribed in paragraph (1) of the preceding Article shall be entitled to make its claim only to the assets which, after all debts of the Financial Instruments Membership Corporation have been fully paid, are not yet delivered to the person with vested rights.
- 金融商品会員制法人の登記については、その事務所の所在地を管轄する法務局若しくは地方法務局若しくはこれらの支局又はこれらの出張所(以下単に「登記所」という。)がつかさどる。
- The legal affairs bureau or the district legal affairs bureau, or the branch office or the sub-branch offices of such bureaus (hereinafter simply referred to as the 'Registry Office') having jurisdiction over the address of the office of the Financial Instruments Membership Corporation shall be the competent Registry Office for registration of the Financial Instruments Membership Corporation.
- 前項に規定する場合において、清算中の金融商品会員制法人が既に債権者に支払い、又は権利の帰属すべき者に引き渡したものがあるときは、破産管財人は、これを取り戻すことができる。
- In the case prescribed in the preceding paragraph, if a Financial Instruments Membership Corporation in liquidation has already paid any money to the creditors, or has delivered any asset to the person with vested rights, the bankruptcy trustee may retrieve such money or asset.
- 金融商品取引法第二条第一項に規定する有価証券又は第十一条第一号、第二号若しくは第四号(有価証券に準ずるものの範囲)に掲げる権利(次号に掲げるものを除く。)で次に掲げるもの
- The securities prescribed in Article 2(1) of the Financial Instruments and Exchange Act or the rights listed in item (i), (ii), or (iv) of Article 11 (Scope of Those Equivalent to Securities) (excluding rights listed in the next item) which are listed as follows:
- 内閣総理大臣は、第六十六条の登録の申請があつた場合においては、次条の規定により登録を拒否する場合を除くほか、次に掲げる事項を金融商品仲介業者登録簿に登録しなければならない。
- When an application for registration set forth in Article 66 has been filed, the Prime Minister shall register the following matters in a registry of Financial Instruments Intermediary Service Providers, except when he/she refuses the registration under the provisions of the following Article:
- 吸収合併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.
- 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、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:
- 金融商品取引業者は、第二十九条の二第一項第五号に掲げる事項について変更をしようとするときは、内閣府令で定めるところにより、内閣総理大臣の行う変更登録を受けなければならない。
- When a Financial Instruments Business Operator intends to change matters listed in Article 29-2(1)(v), he/she shall obtain registration of change conducted by the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance.
- 金融商品取引業者は、第二十九条の二第一項各号(第五号を除く。)に掲げる事項について変更があつたときは、その日から二週間以内に、その旨を内閣総理大臣に届け出なければならない。
- When there are any changes in matters listed in the items (excluding item (v)) of Article 29-2(1), a Financial Instruments Business Operator shall notify to that effect to the Prime Minister within two weeks from the day of change.
- 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.
- 財産の運用を次の方法に限る金銭信託とすること。ただし、金融機関の信託業務の兼営等に関する法律第六条の規定により元本の補てんの契約をした金銭信託とする場合は、この限りではない。
- management of property shall be by cash in trust and is limited to the following methods; provided, however, that this shall not apply to the case of cash in trust under a contract for the replacement of losses of principal pursuant to the provisions of Article 6 of the Act regarding Additional Operation of Trust Business by a Financial Institution:
- 内閣総理大臣は、第三十三条の二の登録の申請があつた場合においては、次条第一項の規定により登録を拒否する場合を除くほか、次に掲げる事項を金融機関登録簿に登録しなければならない。
- When an application for registration set forth in Article 33-2 has been filed, the Prime Minister shall register the following matters in a registry of financial institutions, except when he/she refuses the registration under the provisions of paragraph (1) of the following Article:
- 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.
- 通常の取引の条件と異なる条件であつて取引の公正を害するおそれのある条件で、当該登録金融機関の親法人等又は子法人等と有価証券の売買その他の取引又は店頭デリバティブ取引を行うこと。
- conducting sales and purchase or other transactions of Securities or Over-the-Counter Transactions of Derivatives with the Parent Juridical Person, etc. or Subsidiary Juridical Person, etc. of the Registered Financial Institution under terms and conditions that are different from ordinary terms and conditions and detrimental to the fairness of transactions;
- 当該特定利子を支払う特定金融機関等の第六十六条の五第四項第一号に規定する国外支配株主等に該当する外国法人(所得税法第百六十二条に規定する条約の我が国以外の締約国の法人を除く。)
- A foreign corporation (excluding a corporation of the Contracting State other than Japan of a convention prescribed in Article 162 of the Income Tax Act) that falls under the category of foreign controlling shareholder, etc. prescribed in Article 66-5(4)(i), which is related to the specified financial institution, etc. that pays the said specified interest
- 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.
- 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、第二十九条の登録の申請があつた場合においては、次条第一項の規定により登録を拒否する場合を除くほか、次に掲げる事項を金融商品取引業者登録簿に登録しなければならない。
- When an application for registration set forth in Article 29 has been filed, the Prime Minister shall register the following matters in a registry of Financial Instruments Business Operators, except when he/she refuses the registration under the provisions of paragraph (1) of the following Article:
- 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.
- 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
- 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.
- 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.
- 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.
- 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.
- 通常の取引の条件と異なる条件であつて取引の公正を害するおそれのある条件で、当該金融商品取引業者の親法人等又は子法人等と有価証券の売買その他の取引又は店頭デリバティブ取引を行うこと。
- conducting sales and purchase or other transactions of Securities or Over-the-Counter Transactions of Derivatives with the Parent Juridical Person, etc. or Subsidiary Juridical Person, etc. of the Financial Instruments Business Operator, etc. under terms and conditions that are different from ordinary terms and conditions and detrimental to the fairness of transactions;
- 第六十七条の十一第一項の規定により登録を受けた有価証券(以下「店頭売買有価証券」という。)について、当該登録を行う認可金融商品取引業協会が公表する当該有価証券の売買価格を用いる方法
- with regard to Securities registered under Article 67-11(1) (hereinafter referred to as 'Over-the-Counter Traded Securities'), a method using the trading price of the Securities published by the Authorized Financial Instruments Firms Association to which the Securities are registered;
- 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.
- 次に掲げる資産に対する投資として、運用財産(投資運用業を行う金融商品取引業者等が第四十二条第一項に規定する権利者のため運用を行う金銭その他の財産をいう。以下同じ。)の運用を行うこと。
- investment of Investment Property (meaning money and other property to be invested by a Financial Instruments Business Operator, etc. who engages in Investment Management Business on behalf of the Right Holder prescribed in Article 42(1) as an investment in the following assets; the same shall apply hereinafter):
- 金融商品取引業者等又はその役員若しくは使用人は、二以上の業務の種別(第二十九条の二第一項第五号に規定する業務の種別をいう。)に係る業務を行う場合には、次に掲げる行為をしてはならない。
- A Financial Instruments Business Operator, etc. or Officers or employees thereof, when engaging in two or more Categories of Businesses (meaning the Categories of Businesses prescribed in Article 29-2(1)(v)), shall not conduct any of the following acts:
- 有価証券売買取引等につき、金融商品取引業者等又は第三者との間で、前項第一号の約束をし、又は第三者に当該約束をさせる行為(当該約束が自己がし、又は第三者にさせた要求による場合に限る。)
- an act of gaining a promise set forth in item (i) of the preceding paragraph from a Financial Instruments Business Operator, etc. or a third party with regard to the Sales and Purchase or Other Transaction of Securities, etc. or making a third party gain such promise (limited to cases where such an act is conducted as a result of the request made by the customer him/herself or via a third party);
- 有価証券売買取引等につき、金融商品取引業者等又は第三者との間で、前項第二号の約束をし、又は第三者に当該約束をさせる行為(当該約束が自己がし、又は第三者にさせた要求による場合に限る。)
- an act of gaining a promise set forth in item (ii) of the preceding paragraph from a Financial Instruments Business Operator, etc. or a third party with regard to the Sales and Purchase or Other Transaction of Securities, etc. or having a third party gain such promise (limited to cases where such an act is conducted as a result of the request made by the customer him/herself or via a third party); and
- 金融商品取引業 当該各事業年度の受入手数料(有価証券の売買による利益を含む。)の合計額のうちに当該受入手数料で関連者以外の者から受けるものの合計額の占める割合が百分の五十を超える場合
- Financial instruments business: Where, out of the sum of the total commissions received (including profits from the buying and selling securities) for the relevant business year, the ratio of the sum of said commissions to be received from a person other than affiliated persons exceeds 50 percent
- Financial instruments business: Where, out of the sum of the total commissions received (including profits from the buying and selling of securities) for the relevant business year, the ratio of the sum of said commissions to be received from a person other than affiliated persons exceeds 50 percent
- 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.
- 外務員の登録を受けようとする金融商品取引業者等は、政令で定めるところにより、登録手数料を国(前条第一項又は第二項の規定により協会に登録する場合にあつては、協会)に納めなければならない。
- A Financial Instruments Business Operator, etc. that intends to obtain registration of Sales Representatives shall pay a registration fee to the government (when registering to an Association under the provisions of paragraph (1) or (2) of the preceding Article, to the Association) pursuant to the provisions of a Cabinet Order.
- 内閣総理大臣は、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.
- 吸収合併をする場合には、次の各号に掲げる場合における当該各号に定める株主は、吸収合併存続株式会社金融商品取引所に対し、自己の有する株式を公正な価格で買い取ることを請求することができる。
- In the case of an Absorption-Type Merger, the shareholders listed in any of the following items in the respective case may request the Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger to purchase their shares at a fair price:
- 特定保有団体等は、前項の規定により株式会社金融商品取引所の総株主の議決権の百分の五十以下の数の対象議決権の保有者となつたときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
- When a Specified Holding Entity, etc. has become a holder of the Subject Voting Rights not more than 50 percent of the voting rights of all shareholders of a Stock Company-Type Financial Instruments Exchange under the provision of the preceding paragraph, it shall notify to the Prime Minister of that effect without delay.
- 内閣総理大臣は、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.
- 令第百八十七条第九項第一号(恒久的施設を有しない外国法人の課税所得)に規定する金融商品取引所に上場されている株式又は出資に類するものとして財務省令で定めるものは、次に掲げるものとする。
- Shares specified by Ordinance of the Ministry of Finance as being similar to shares or capital contributions listed on a financial instruments exchange prescribed in Article 187, paragraph (9), item (i) (Taxable Income of Foreign Corporations That Have No Permanent Establishments) of the Order shall be as follows:
- 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;
- 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:
- 令第二百九十一条第九項第一号(恒久的施設を有しない非居住者の課税所得)に規定する金融商品取引所に上場されている株式又は出資に類するものとして財務省令で定めるものは、次に掲げるものとする。
- Shares specified by Ordinance of the Ministry of Finance as being similar to shares or capital contributions listed on a financial instruments exchange prescribed in Article 291, paragraph (9), item (i) (Taxable Income of Nonresidents Who Have No Permanent Establishments) of the Order shall be as follows:
- 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.
- 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)).
- この法律において「取引参加者」とは、第百十二条第一項又は第百十三条第一項の規定による取引資格に基づき、取引所金融商品市場における有価証券の売買又は市場デリバティブ取引に参加できる者をいう。
- The term 'Trading Participant' used in this Act means a person who is allowed to participate in the sales and purchase of Securities or Market Transactions of Derivatives in Financial Instruments Exchange Market based on the qualifications for trading granted under Article 112(1) or 113(1).
- 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).
- 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.
- 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.
- 金融商品取引業者(有価証券関連業を行う者に限る。次項において同じ。)は、会社法第七百二条に規定する社債管理者又は担保付社債信託法第二条第一項に規定する信託契約の受託会社となることができない。
- A Financial Instruments Business Operator (limited to those who engage in Securities-Related Business; the same shall apply in the following paragraph) may not become a bond manager prescribed in Article 702 of the Companies Act or trustee company for a trust contract defined in Article 2(1) of the Secured Debenture Trust Act.
- 業務の種別(第二十八条第一項第一号、第二号、第三号イからハまで及び第四号に掲げる行為に係る業務並びに有価証券等管理業務、第二種金融商品取引業、投資助言・代理業並びに投資運用業の種別をいう。)
- Categories of Businesses the person intends to conduct (meaning what category of businesses the person intends to conduct among business comprising of the acts listed in Article 28(1)(i), (ii), (iii)(a) to (c) inclusive, or item (iv), or Securities, etc. Management Business, Type II Financial Instruments Business, Investment Advisory and Agency Business or Investment Management Business);
- 会社法第三百四十六条第二項、第三百五十一条第二項及び第四百一条第三項(同法第四百三条第三項及び第四百二十条第三項において準用する場合を含む。)の規定は、株式会社金融商品取引所には、適用しない。
- The provisions of Article 346(2), Article 351(2) and Article 401(3) of the Companies Act (including the cases where it is applied mutatis mutandis pursuant to Article 403(3) and Article 420(3) of that Act) shall not apply to a Stock Company-Type Financial Instruments Exchange.
- 組織変更時発行株式の引受人は、第一項の規定による払込み又は前項の規定による給付(以下この目において「出資の履行」という。)をする債務と会員金融商品取引所に対する債権とを相殺することができない。
- A subscriber for the Shares Issued upon Entity Conversion shall not set off the subscriber's obligation to make the payment set forth in paragraph (1) or the delivery under the provisions of the preceding paragraph (hereinafter referred to as the 'Performance of Contribution' in this Division) against the claims they have against the Membership-Type Financial Instruments Exchange.
- この条の規定により発行する株式(以下この目において「組織変更時発行株式」という。)の数(組織変更後株式会社金融商品取引所が種類株式発行会社である場合にあつては、組織変更時発行株式の種類及び数)
- the number of shares issued under the provisions of this Article (hereinafter referred to as the 'Shares Issued upon Entity Conversion' in this Division) (in the case where a Stock Company-Type Financial Instruments Exchange after Entity Conversion is a company with class shares, the classes and the number of the Shares Issued upon Entity Conversion);
- 有価証券の引受人となつた金融商品取引業者は、当該有価証券を売却する場合において、引受人となつた日から六月を経過する日までは、その買主に対し買入代金につき貸付けその他信用の供与をしてはならない。
- A Financial Instruments Business Operator who has become an Underwriter of Securities, upon selling said Securities, shall not conduct money loan or other credit granting to the purchaser of the Securities for the purchase price until six months have elapsed from the day on which the Financial Instruments Business Operator became an Underwriter.
- 登録金融機関は、第三十三条の三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 the contents and methods of business entered into documents listed in Article 33-3(2)(ii), a Registered Financial Institution shall notify to that effect to the Prime Minister without delay pursuant to the provisions of a Cabinet Office Ordinance.
- 第一号若しくは第二号に掲げるもの又は前号に掲げるもののうち内閣府令で定めるものについて、金融商品取引所が、市場デリバティブ取引を円滑化するため、利率、償還期限その他の条件を標準化して設定した標準物
- standardized instruments which are created by a Financial Instruments Exchange for the purpose of facilitating Market Transactions of Derivatives by standardizing interest rates, the maturity period and/or other conditions of Financial Instruments listed in item (i) or (ii) or the preceding item and specified by a Cabinet Office Ordinance.
- 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.
- 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
- 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.
- 金融商品取引業者等は、次に掲げる有価証券(次項の規定により管理する有価証券を除く。)を、確実にかつ整然と管理する方法として内閣府令で定める方法により、自己の固有財産と分別して管理しなければならない。
- A Financial Instruments Business Operator, etc. shall manage the following Securities (excluding the Securities to be managed under the following paragraph) separately from his/her own property by a method specified by a Cabinet Office Ordinance as a method for managing property in a reliable and orderly manner:
- 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;
- 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.
- 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.
- 外国金融商品取引所は、内閣府令で定めるところにより、毎年四月から翌年三月までの期間における外国市場取引に関する業務報告書を作成し、当該期間経過後三月以内に、これを内閣総理大臣に提出しなければならない。
- A Foreign Financial Instruments Exchange shall, pursuant to the provisions of a Cabinet Office Ordinance, prepare a business report on Foreign Market Transactions conducted for the period from April of each year to March of the subsequent year and submit the same to the Prime Minister within three months after the expiration of said period.
- 会社法第二編第一章(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.
- 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.
- 金融商品取引業者は、第二十九条の二第二項第二号に掲げる書類に記載した業務の内容又は方法について変更があつたときは、内閣府令で定めるところにより、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
- When there are any changes in contents and methods of business entered into documents listed in Article 29-2(2)(ii), a Financial Instruments Business Operator shall notify to that effect to the Prime Minister without delay pursuant to the provisions of a Cabinet Office Ordinance.
- 登録金融機関又はその役員若しくは使用人は、次に掲げる行為をしてはならない。ただし、公益又は投資者保護のため支障を生ずることがないと認められるものとして内閣総理大臣の承認を受けたときは、この限りでない。
- A Registered Financial Institution or Officers or employees thereof shall not conduct any of the following acts; provided, however, that this shall not apply where approval has been obtained from the Prime Minster because it is found that the relevant act will not hinder the public interest or protection of investors:
- 第二十九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.
- 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.
- 第一項、第二項及び第四項の規定は、金融商品取引業者が第一項各号若しくは第二項各号に掲げる業務又は第四項の承認を受けた業務を行う場合において、これらの業務に関する法律の適用を排除するものと解してはならない。
- Where a Financial Instruments Business Operator engages in any of the businesses listed in the items of paragraph (1) or items of paragraph (2) or engages in a business for which approval has been obtained under paragraph (4), the provisions of paragraph (1), paragraph (2) and paragraph (4) shall not be construed to preclude the application of Acts concerning these businesses.
- 金融商品取引業者又はその役員若しくは使用人は、次に掲げる行為をしてはならない。ただし、公益又は投資者保護のため支障を生ずることがないと認められるものとして内閣総理大臣の承認を受けたときは、この限りでない。
- A Financial Instruments Business Operator, etc. or Officers or employees thereof shall not conduct any of the following acts; provided, however, that this shall not apply where approval has been obtained from the Prime Minster because it is found that the relevant act will not hinder the public interest or protection of investors:
- 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.
- 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.
- 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.
- 金融商品取引業者は、投資信託契約を締結しようとするときは、あらかじめ、当該投資信託契約に係る委託者指図型投資信託約款(以下この章において「投資信託約款」という。)の内容を内閣総理大臣に届け出なければならない。
- When a Financial Instruments Business Operator intends to conclude an Investment Trust Contract, it shall notify the Prime Minister of the contents of the basic terms and conditions of the Investment Trust Managed under Instructions from the Settlor pertaining to said Investment Trust Contract (hereinafter referred to as the 'Basic Terms and Conditions of the Investment Trust' in this Chapter) in advance.
- 吸収合併存続株式会社商品取引所が会社法第四百四十条第四項に規定する株式会社である場合において、当該株式会社が金融商品取引法第二十四条第一項の規定により最終事業年度に係る有価証券報告書を提出しているとき その旨
- in the case where a Member Commodity Exchange Surviving an Absorption-Type Merger is a stock company prescribed in Article 440, paragraph (4) of the Companies Act, and when said stock company submitted a securities report pertaining to the final business year pursuant to the provisions of Article 24, paragraph (1) of the Financial Instruments and Exchange Act: a statement to that effect;
- 法人であるときは、資本金の額又は出資の総額(第一種金融商品取引業を行おうとする外国法人にあつては、資本金の額又は出資の総額及び持込資本金(資本金に対応する資産のうち国内に持ち込むものをいう。以下同じ。)の額)
- the amount of the stated capital or the total amount of contribution, for a juridical person (the amount of the stated capital or the total amount of contribution and the amount of Brought-in Capital (meaning assets corresponding to the stated capital that are brought into Japan; the same shall apply hereinafter), for a foreign juridical person which intends to engage in the Type I Financial Instruments Business);
- 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.
- 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.
- 前項の規定により第百六条の三第一項の認可を取り消された者は、当該認可を取り消された日から三月以内に、株式会社金融商品取引所の保有基準割合未満の数の対象議決権の保有者となるために必要な措置をとらなければならない。
- A person whose authorization under Article 106-3(1) has been rescinded under the provision of the preceding paragraph shall take necessary measures to become a holder of the Subject Voting Rights of a Stock Company-Type Financial Instruments Exchange less than the Holding Ratio Threshold, within three months from the date of the rescission of the authorization.
- 金融商品取引業者等は、その行う投資運用業(第二条第八項第十五号に掲げる行為を行う業務に限る。)に関して、内閣府令で定めるところにより、運用財産と自己の固有財産及び他の運用財産とを分別して管理しなければならない。
- A Financial Instruments Business Operator, etc. shall, with regard to his/her Investment Management Business (limited to the business of conducting the act specified in Article 2(8)(xv)), manage Investment Property separately from his/her own property and other Investment Property pursuant to the provisions of a Cabinet Office Ordinance.
- 金融商品会員制法人の従たる事務所の新設、主たる事務所又は従たる事務所の移転その他第八十九条の二第二項に掲げる事項の変更の登記の申請書には、従たる事務所の新設又は登記事項の変更を証する書面を添付しなければならない。
- The documents proving the establishment of a secondary office or changes in registered matters shall be attached to an application of establishment of secondary offices, relocation of principal office or secondary offices or of changes in other matters listed in Article 89-2(2) with regard to a Financial Instruments Membership Corporation.
- 金融商品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.
- 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.
- 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.
- 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.
- 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.
- 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
- 当該申出に係る契約の種類に属する金融商品取引契約(以下この条において「対象契約」という。)の締結の勧誘又は締結をする場合において、申出者を特定投資家として取り扱う期間の末日(以下この条において「期限日」という。)
- the last day of the period during which the Applicant will be treated as a Professional Investor when soliciting to conclude, or concluding a Contract for Financial Instruments Transaction which belongs to the Kind of Contract to which the request has been submitted (such a contract shall be referred to as a 'Subject Contract' hereinafter in this Article; such a day shall be referred to as the 'Expiration Date' hereinafter in this Article);
- 当該金融商品取引業者との間で第二条第八項各号に掲げる行為に関する契約を締結することを条件としてその親法人等又は子法人等がその顧客に対して信用を供与していることを知りながら、当該顧客との間で当該契約を締結すること。
- concluding a contract with a customer for any of the acts listed in the items of Article 2(8), knowing that the Parent Juridical Person, etc. or Subsidiary Juridical Person, etc. of the Financial Instruments Business Operator, etc. has granted credit to the customer on the condition that said contract should be concluded with the Financial Instruments Business Operator, etc.;
- 次に掲げる契約を締結し、当該契約に基づき、金融商品の価値等の分析に基づく投資判断に基づいて有価証券又はデリバティブ取引に係る権利に対する投資として、金銭その他の財産の運用(その指図を含む。以下同じ。)を行うこと。
- conclusion of the following contract, and investment (including instructions of investment; the same shall apply hereinafter) of money or other properties in Securities or rights pertaining to Derivative Transactions conducted based on analysis of Values, etc. of Financial Instruments under such a contract;
- 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.
- 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.
- 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.
- 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.
- 信認金は、有価証券(国債証券、地方債証券並びに特別の法律により法人の発行する債券、取引所金融商品市場において売買取引されている社債券及び株券その他の政令で定める有価証券をいう。)をもつて、これに充てることができる。
- Securities (which mean national government bond certificates, local government bond certificates and bond certificates issued by a juridical person pursuant to special Acts, corporate bond certificates and share certificates traded on a Financial Instruments Exchange Market and other securities specified by a Cabinet Order) may be allotted for guarantee funds.
- 商品取引清算機関の有する前項に規定する請求権は破産債権、再生債権又は更生債権とし、清算参加者が有する同項に規定する請求権は破産財団に属する財産、再生債務者財産又は更生会社財産若しくは更生協同組織金融機関財産とする。
- The claims of a Commodity Clearing Organization under the preceding paragraph shall be claims in bankruptcy, claims in rehabilitation and claims in reorganization and the claims of a Clearing Participant under the same paragraph shall be those related to the property of the bankruptcy estate, the property of the rehabilitation debtor, the property of the company in need of reorganization or the property of the cooperative financial institution in need of reorganization.
- 信託契約は、商品取引員を委託者とし、信託会社又は信託業務を営む金融機関を受託者とし、かつ、当該商品取引員に対し商品市場における取引等を委託した者(以下この号において「取引委託者」という。)を元本の受益者とすること。
- the Trust Contract shall establish a Futures Commission Merchant as the customer; a trust company or a Financial Institution Engaged in Trust Business as the broker; and the person who consigned the Transactions, etc. on a Commodity Market to said Futures Commission Merchant (hereinafter referred to as the 'Transaction Customer' in this item) as the beneficiary of the principal;
- 所得税法第二条第一項第九号(定義)に規定する公社債(次項第三号において「公社債」という。)のうち日本国の国債若しくは地方債若しくは内国法人の発行する債券又は金融商品取引法第二条第一項第十五号(定義)に掲げる約束手形
- Japanese national government bonds, Japanese local government bonds, bonds issued by a domestic corporation or promissory notes listed in Article 2(1)(xv) (Definitions) of the Financial Instruments and Exchange Act, all of which fall under the category of government or company bonds prescribed in Article 2(1)(ix) (Definitions) of the Income Tax Act (referred to as 'government or company bonds' in item (iii) of the next paragraph);
- 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.
- 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;
- 新設合併設立会員金融商品取引所は、その成立の日から六月間、前項の書面又は電磁的記録及び新設合併契約の内容その他内閣府令で定める事項を記載し、又は記録した書面又は電磁的記録をその主たる事務所に備え置かなければならない。
- A Membership-Type Financial Instruments Exchange Established by a Consolidation-Type Merger shall, during the period of six months from its establishment, keep at its principal office the documents or Electromagnetic Records set forth in the preceding paragraph, and the documents or Electromagnetic Records containing or recording the contents of the Consolidation-Type Merger agreement and other matters specified by a Cabinet Office Ordinance.
- 当該株主総会に先立つて当該吸収合併に反対する旨を当該吸収合併存続株式会社金融商品取引所に対し通知し、かつ、当該株主総会において当該吸収合併に反対した株主(当該株主総会において議決権を行使することができるものに限る。)
- a shareholder who has notified the Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger of his/her dissent from the Absorption-Type Merger prior to said shareholders meeting and who has dissented from the Absorption-Type Merger at said shareholders meeting (limited to those who are entitled to exercise their voting rights at said shareholders meeting); or
- 委託者指図型投資信託の信託財産(以下この章において「投資信託財産」という。)を主として不動産に対する投資として運用することを目的とする投資信託契約 宅地建物取引業法第五十条の二第一項の認可を受けている金融商品取引業者
- An Investment Trust Contract concluded for the purpose of investing trust property of an Investment Trust Managed under Instructions from the Settlor (hereinafter such trust property shall be referred to as 'Investment Trust Property' in this Chapter) mainly in Real Property: The Financial Instruments Business Operator who has obtained authorization under Article 50-2, paragraph (1) of the Building Lots and Buildings Transaction Business Act; and
- その親法人等又は子法人等との間で第二条第八項各号に掲げる行為に関する契約を締結することを条件として当該登録金融機関がその顧客に対して信用を供与しながら、当該顧客との間で第三十三条第二項第四号ロに掲げる行為をすること。
- conducting the act specified in Article 33(2)(iv)(b) with a customer, while granting credit to the customer on the condition that a contract for any of the acts listed in the items of Article 2(8) should be concluded with the Parent Juridical Person, etc. or Subsidiary Juridical Person, etc. of the Registered Financial Institution;
- 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.
- 第三項の創立総会の議事は、その開会までに発起人に対して会員となる旨を申し出た金融商品取引業者(以下この条において「加入予定者」という。)及び発起人の二分の一以上が出席して、その出席者の議決権の三分の二以上の多数で決する。
- A decision at an organizational meeting set forth in paragraph (3) shall be made by at least two-thirds of the voting rights of those present when at least half of the Financial Instruments Business Operators which have proposed themselves to the founders to become members before the opening of the meeting (hereinafter referred to as 'Expected Members' in this Article) and the founders are present.
- 前項本文の規定は、保有する対象議決権の数に増加がない場合その他の内閣府令で定める場合において、株式会社金融商品取引所の総株主の議決権の保有基準割合以上の数の対象議決権を取得し、又は保有することとなるときには、適用しない。
- The provisions of the main clause of the preceding paragraph shall not apply to acquisition or holding of the Subject Voting Rights of a Stock Company-Type Financial Instruments Exchange not less than the Holding Ratio Threshold of the voting rights of all shareholders, in the case where there is no increase in the number of the Subject Voting Rights held or in any other case specified by a Cabinet Office Ordinance.
- 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.
- 金融商品取引業者等は、顧客の計算において自己が占有する有価証券又は顧客から預託を受けた有価証券を担保に供する場合又は他人に貸し付ける場合には、内閣府令で定めるところにより、当該顧客から書面による同意を得なければならない。
- A Financial Instruments Business Operator, etc. shall, when furnishing as security the Securities possessed by him/her based on a customer's account or Securities deposited to him/her from a customer or loaning such Securities to another person, obtain written consent from the customer pursuant to the provisions of a Cabinet Office Ordinance.
- 当該者に係る第一項第二号に掲げる事項に関する情報が既に公衆に広範に提供されているものとして、その者が発行者である有価証券で既に発行されたものの取引所金融商品市場における取引状況等に関し内閣府令で定める基準に該当すること。
- the person must satisfy the criteria on the state of transactions of Securities already issued by the person in the relevant Financial Instruments Exchange Market and other matters for regarding information on the matters listed in item (ii) of paragraph (1) pertaining to the person as being widely available to the public specified by a Cabinet Office Ordinance.
- 内閣総理大臣は、政令で定めるところにより、金融商品取引業者が民法第三十四条の規定により設立した法人であつて、次に掲げる要件に該当すると認められるものを、その申請により、次項に規定する業務を行う者として認定することができる。
- The Prime Minister may, upon an application and pursuant to the provisions of a Cabinet Order, grant recognition for conducting the activities listed in the following paragraph to a juridical person which has been established by Financial Instruments Business Operators under Article 34 of the Civil Code and is found to satisfy the following requirements:
- 第一項の総会の招集は、その会議開催日の五日前までに、会議の目的である事項のほか、組織変更計画の要領及び組織変更後の株式会社(以下この目において「組織変更後株式会社金融商品取引所」という。)の定款を示してしなければならない。
- A general meeting set forth in paragraph (1) shall be convened by presenting an outline of the entity conversion plan and the articles of incorporation of the stock company after the entry conversion (hereinafter referred to as the 'Stock Company-Type Financial Instruments Exchange after Entity Conversion' in this Division), in addition to the subject matter of the meeting, by at least five days prior to the day of the meeting.
- 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.
- 会社法第八百六十八条第一項、第八百七十一条、第八百七十四条(第一号に係る部分に限る。)、第八百七十五条及び第八百七十六条の規定は、金融商品会員制法人の清算について準用する。この場合において、必要な技術的読替えは、政令で定める。
- The provisions of Article 868(1), Article 871, Article 874 (limited to the part pertaining to item (i)), Article 875 and Article 876 of the Companies Act shall apply mutatis mutandis to the liquidation of a Financial Instruments Membership Corporation. In this case, any other necessary technical replacement of terms shall be specified by a Cabinet Order.
- 金融商品取引業者等は、期限日以前に更新申出を申出者から受けた場合であつて、当該更新申出に係る第二項の規定による承諾をする場合には、期限日から期限日後最初に対象契約の締結の勧誘又は締結をするまでに、当該承諾をしなければならない。
- Where a Financial Instruments Business Operator, etc. has received a Request for Renewal from an Applicant before the Expiration Date and accepts the Request for Renewal under the provisions of paragraph (2), he/she shall accept it during the period between the Expiration Date and the time of soliciting to conclude or concluding the first Subject Contract after the Expiration Date.
- 金融商品取引業者等が第二項の規定による承諾及び第三項の規定による書面の交付をした場合であつて、申出者が次に掲げる者である場合におけるこの法律(この款を除く。)の規定の適用については、当該申出者は、特定投資家以外の顧客とみなす。
- Where the Financial Instruments Business Operator, etc. has given the acceptance under the provisions of paragraph (2) or delivered the document under the provisions of paragraph (3), and the Applicant is a person listed in the following items, the Applicant shall be deemed to be a customer other than a Professional Investor for the purpose of application of this Act (excluding this Subsection):
- 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:
- 金融商品取引業者が外国法人である場合における第四十六条の四の規定の適用については、同条中「事業年度ごとに」とあるのは「毎年四月一日から翌年三月三十一日までの期間ごとに」と、「毎事業年度経過後」とあるのは「当該期間経過後」とする。
- With regard to the application of Article 46-4 to cases where a Financial Instruments Business Operator is a foreign juridical person, the term 'for each business year' in said Article shall be deemed to be replaced with 'for each period from April 1 to March 31 of the following year,'; and the term 'from the end of each business year' in the same Article shall be deemed to be replaced with 'from the elapse of said period.'
- 吸収合併存続会員金融商品取引所は、次項の総会の日の五日前の日から効力発生日後六月を経過する日までの間、吸収合併契約の内容その他内閣府令で定める事項を記載し、又は記録した書面又は電磁的記録を主たる事務所に備え置かなければならない。
- A Membership-Type Financial Instruments Exchange Surviving an Absorption-Type Merger shall, during the period from 5 days prior to the day of the general meeting of members set forth in the following paragraph until the day on which six months have passed from the Effective Date, keep at its principal office the documents or Electromagnetic Records containing or recording the contents of the Absorption-Type Merger agreement and other matters specified by a Cabinet Office Ordinance.
- 金融商品取引業者等は、期限日以前に対象契約の属する契約の種類に係る第一項の規定による申出(以下この項において「更新申出」という。)を申出者から受けた場合には、期限日以前に当該更新申出に係る第二項の規定による承諾をしてはならない。
- A Financial Instruments Business Operator, etc., when receiving a request under paragraph (1) for the Kind of Contract to which the Subject Contract belongs from an Applicant before the Expiration Date (hereinafter, such a request shall be referred to as the 'Request for Renewal' in this paragraph), shall not accept the Request for Renewal under paragraph (2) before the Expiration Date.
- 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.
- 累積投資契約(金融商品取引業者(有価証券等管理業務を行う者に限る。)が顧客から金銭を預かり、当該金銭を対価としてあらかじめ定めた期日において当該顧客に有価証券を継続的に売り付ける契約をいう。)の締結(内閣府令で定めるものに限る。)
- conclusion of a Contract for Cumulative Investment (meaning a contract wherein a Financial Instruments Business Operator (limited to those who engage in Securities, etc. Management Business) receives deposit money from a customer and sells Securities to that customer continuously on dates designated in advance while receiving consideration from that money) (limited to those specified by a Cabinet Office Ordinance);
- 前二項の規定により報告書提出外国会社が外国会社半期報告書及びその補足書類を提出した場合には、当該外国会社半期報告書及びその補足書類を半期報告書とみなし、これらの提出を半期報告書を提出したものとみなして、金融商品取引法令を適用する。
- The provisions of the Financial Instruments and Exchange Act and Related Regulations shall apply to cases where a Reporting Foreign Company submits a Foreign Company Semiannual Securities Report and Supplementary Documents thereof under the preceding two paragraphs, by deeming the Foreign Company Semiannual Securities Report and Supplementary Documents to be a Semiannual Securities Report and deeming submission of the former to be submission of the latter.
- 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.
- 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.
- 会社更生法(平成十四年法律第百五十四号)第二百五十八条第一項若しくは第四項又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)第百五十九条第一項若しくは第四項若しくは第三百三十二条第一項若しくは第四項の規定による登記
- registration under the provisions of Article 258, paragraph (1) or paragraph (4) of the Corporate Reorganization Act (Act No. 154 of 2002) or the provisions of Article 159, paragraph (1) or paragraph (4) or Article 332, paragraph (1) or paragraph (4) of the Act on Special Measures, etc. for Reorganization Proceedings for Financial Institutions, etc. (Act No. 95 of 1996); or
- 金融商品会員制法人は、設立の時及び毎年一月から三月までの間に財産目録を作成し、常にこれをその主たる事務所に備え置かなければならない。ただし、特に事業年度を設けるものは、設立の時及び毎事業年度の終了の時に財産目録を作成しなければならない。
- A Financial Instruments Membership Corporation shall prepare its inventory of assets at the time of establishment and at any time between January and March every year, and shall keep it at its principal office at all times; provided, however, that in cases where a Financial Instruments Membership Corporation establishes any specific business year, it shall prepare the inventory of assets at the time of its establishment and at the end of its respective business year.
- 金融庁長官は、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:
- 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.
- 金融商品取引業者等が第二項の規定による承諾をし、かつ、申出者が同項の規定による書面による同意をした場合であつて、当該申出者が次に掲げる者である場合におけるこの法律(この款を除く。)の規定の適用については、当該申出者は、特定投資家とみなす。
- Where the Financial Instruments Business Operator, etc. has given the acceptance under paragraph (2) and the Applicant has given the consent under said paragraph, when the Applicant is a person listed in the following items, the Applicant shall be deemed to be a Professional Investor for the purpose of application of this Act (excluding this Subsection):
- 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.
- 信託会社でない者は、その名称又は商号のうちに信託会社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。ただし、担保付社債信託法第三条の免許又は金融機関の信託業務の兼営等に関する法律第一条第一項の認可を受けた者については、この限りでない。
- A person who is not a Trust Company shall not use, in its name or trade name, any word that is likely to cause the misunderstanding that the person is a Trust Company; provided, however, that this shall not apply to a person who has obtained a license under Article 3 of the Secured Bonds Trust Act or authorization under Article 1(1) of the Act on Provision, etc. of Trust Business by Financial Institutions.
- 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.
- 委託者保護基金は、通知商品取引員(認定商品取引員を除く。)の申込みに基づき、その必要と認められる金額の範囲内において、当該通知商品取引員に対し、一般委託者債務の迅速な弁済に必要な資金の貸付け(以下「返還資金融資」という。)を行うことができる。
- A Consumer Protection Fund may provide a loan of funds necessary for the expeditious repayment of liabilities of General Customers (hereinafter referred to as the 'Repayment Funding Loan') to a Futures Commission Merchant Subject to a Notice (excluding a Recognized Futures Commission Merchant) within the scope of the amount found to be necessary, based on an application by said Futures Commission Merchant Subject to a Notice.
- 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
- この条において「公開買付け」とは、不特定かつ多数の者に対し、公告により株券等の買付け等の申込み又は売付け等(売付けその他の有償の譲渡をいう。以下この章において同じ。)の申込みの勧誘を行い、取引所金融商品市場外で株券等の買付け等を行うことをいう。
- The term 'Tender Offer' as used in this Article means an act of soliciting offers for Purchase, etc. or Sales, etc. (meaning sales or other type of transfer for value; hereinafter the same shall apply in this Section) of Share Certificates, etc. from many and unspecified persons through public notice, and making Purchase, etc. of Share Certificates, etc. outside of Financial Instruments Exchange Markets.
- 前二項の規定により報告書提出外国会社が外国会社四半期報告書及びその補足書類を提出した場合には、当該外国会社四半期報告書及びその補足書類を四半期報告書とみなし、これらの提出を四半期報告書を提出したものとみなして、金融商品取引法令の規定を適用する。
- The provisions of the Financial Instruments and Exchange Act and Related Regulations shall apply to cases where a Reporting Foreign Company submits a Foreign Company Quarterly Securities Report and Supplementary Documents thereof under the preceding two paragraphs, by deeming the Foreign Company Quarterly Securities Report and Supplementary Documents to be a Quarterly Securities Report and deeming submission of the former to be submission of the latter.
- 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加え、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。
- In the case where five years have elapsed after the enforcement of this Act, the government shall carry out a review of the financial systems revised by this Act, in consideration of the status of the implementation of the provisions revised by this Act and the changes in social and economic situations, and shall take any required measures based on the results, when the government deems it necessary.
- 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.
- Where five years have passed since the enforcement of this Act, 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 socioeconomic situations, etc., and shall, when it finds it necessary, take necessary measures based on the results 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 the 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 elapsed since the enforcement of this Act, the government shall, while taking into account the status of implementation of respective provisions revised by this Act and changes in the socioeconomic circumstances, review relevant financial systems revised by this Act, and take measures as required based on the review results where it finds it necessary.
- When five years have passed since the enforcement of this Act, the government shall review various financial systems after the revision by this Act, taking into account the state of the enforcement of the provisions revised by this Act and changes in socioeconomic situations, and shall, when it finds it necessary, take necessary measures based on the results of 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.
- When five years have elapsed since the enforcement of this Act, the government shall, while taking into account the status of implementation of respective provisions revised by this Act and changes in the socioeconomic circumstances, review the relevant financial systems revised by this Act and take any necessary measures based on the review results.
- 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.
- イに掲げるもののほか、当事者の一方が、相手方から、金融商品の価値等の分析に基づく投資判断の全部又は一部を一任されるとともに、当該投資判断に基づき当該相手方のため投資を行うのに必要な権限を委任されることを内容とする契約(以下「投資一任契約」という。)
- in addition to those listed in (a), a contract wherein one of the parties is fully or partly entrusted by the other party with the discretion in making Investment Decisions based on analysis of Values, etc. of Financial Instruments and is also entrusted with the authorities necessary for making investment on behalf of the other party based on such Investment Decisions (such a contract is hereinafter referred to as a 'Discretionary Investment Contract').
- 投資法人の執行役員は、当該投資法人の発行する投資証券等の募集等(募集(金融商品取引法第二条第三項に規定する有価証券の募集をいう。)、私募(同項に規定する有価証券の私募をいう。)その他政令で定める行為をいう。以下同じ。)に係る事務を行つてはならない。
- A corporate officer(s) of an Investment Corporation shall not conduct affairs pertaining to Public Offerings, etc. (meaning Public Offerings (meaning the Public Offering of Securities as prescribed in Article 2, paragraph (3) of the Financial Instruments and Exchange Act), Private Placement (meaning the Private Placement of Securities prescribed in that paragraph) and other acts specified by a Cabinet Order; the same shall apply hereinafter) of Investment Securities, etc. issued by said Investment Corporation.
- 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.'
- 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.
- 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).'
- 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.
- 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.
- 商品取引員は、前項各号に掲げる契約を締結し、又は変更したときは、遅滞なく、契約書の写しを主務大臣に提出しなければならない。ただし、信託契約を変更した場合にあっては、当該契約を締結した信託会社又は信託業務を営む金融機関が発行する残高証明書を添付するものとする。
- A Futures Commission Merchant shall submit a copy of the contract to the competent minister without delay when concluded or after changing the contract as set forth in the respective items of the preceding paragraph; provided, however, that in the case of changing a Trust Contract, a certificate of the deposit balance issued by the trust company concluding said contract or a Financial Institution Engaged in Trust Business shall be attached.
- 第二十六条第七項(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);
- 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.
- 新設合併契約を承認するための株主総会(種類株主総会を含む。)に先立つて当該新設合併に反対する旨を当該新設合併消滅株式会社金融商品取引所に対し通知し、かつ、当該株主総会において当該新設合併に反対した株主(当該株主総会において議決権を行使することができるものに限る。)
- a shareholder who has notified the Stock Company-Type Financial Instruments Exchange Extinguished upon a Consolidation-Type Merger of his/her dissent from the Consolidation-Type Merger prior to a shareholders meeting (including a class shareholders meeting) for approving the Consolidation-Type Merger agreement and who has dissented from the Consolidation-Type Merger at said shareholders meeting (limited to those who are entitled to exercise their voting rights at said shareholders meeting); and
- 前項の認可を受けた地方公共団体等は、同項及び第百六条の十四第一項の規定にかかわらず、その保有する対象議決権の数に増加がない場合その他の内閣府令で定める場合には、金融商品取引所持株会社の総株主の議決権の百分の五十を超える対象議決権を取得し、又は保有することができる。
- Notwithstanding the provisions of the preceding paragraph and Article 106-14(1), the Local Government, etc. which has obtained the authorization under the preceding paragraph may acquire or hold the Subject Voting Rights exceeding 50 percent of the voting rights of all shareholders of a Financial Instruments Exchange Holding Company, in cases where there is no increase in the number of the Subject Voting Rights held or in other cases specified by a Cabinet Office Ordinance.
- 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.
- 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.
- 金融商品取引業者等は、前項の規定による申出を受けた場合には、当該申出をした個人(以下この条において「申出者」という。)に対し、前条第二項第四号イ及びロに掲げる事項を記載した書面を交付するとともに、申出者が前項各号に掲げる者のいずれかに該当することを確認しなければならない。
- When receiving a request under the preceding paragraph, a Financial Instruments Business Operator, etc. shall deliver a document containing matters listed in paragraph (2), item (iv), sub-item (a) and (b) of the preceding Article and (b) to an individual who submitted the request (hereinafter referred to as an 'Applicant' in this Article) and shall confirm that the Applicant falls under any of those listed in the items of the preceding paragraph.
- 金融商品取引業者は、前二項の規定による管理の状況について、内閣府令で定めるところにより、定期に、公認会計士(公認会計士法(昭和二十三年法律第百三号)第十六条の二第五項に規定する外国公認会計士を含む。第百九十三条の二において同じ。)又は監査法人の監査を受けなければならない。
- A Financial Instruments Business Operator, etc. shall, with regard to the state of management under the preceding two paragraphs, pursuant to the provisions of a Cabinet Office Ordinance, periodically undergo audit by a certified public accountant (including foreign certified public accountant prescribed in Article 16-2(5) of the Certified Public Accountants Act (Act No. 103 of 1948); the same shall apply in Article 193-2) or audit by an audit firm.
- 金融商品の価値等の分析に基づく投資判断に基づいて主として有価証券又はデリバティブ取引に係る権利に対する投資として、次に掲げる権利その他政令で定める権利を有する者から出資又は拠出を受けた金銭その他の財産の運用を行うこと(第十二号及び前号に掲げる行為に該当するものを除く。)。
- investment of money or other properties invested or contributed from a person who holds the following rights or other rights specified by a Cabinet Order, as an investment mainly in Securities or rights pertaining to Derivative Transactions conducted based on analysis of Values, etc. of Financial Instruments (excluding acts falling under the categories specified in item (xii) and the preceding item);
- 認可協会は、内閣府令で定めるところにより、その開設する店頭売買有価証券市場における店頭売買有価証券の売買、取扱有価証券の売買及び上場株券等の取引所金融商品市場外での売買に関する銘柄別の毎日の売買高、最高、最低及び最終の価格その他の事項を内閣総理大臣に報告しなければならない。
- An Authorized Association shall, pursuant to the provisions of a Cabinet Office Ordinance, report to the Prime Minister the daily trading volume, and highest price, lowest price, closing price and any other matters for each day and for each issue in relation to sales and purchase of Over-the-Counter Traded Securities on the Over-the-Counter Securities Market established by said Authorized Association, sales and purchase of the Tradable Securities, and sales and purchase of the Listed Share Certificates, etc. conducted outside of a Financial Instruments Exchange Market.
- 前項の場合において、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.
- 前項の場合において、株式会社金融商品取引所の総株主の議決権の保有基準割合以上の数の対象議決権を取得し、又は保有することとなつた者(以下この条において「特定保有者」という。)は、特定保有者になつた旨その他内閣府令で定める事項を、遅滞なく、内閣総理大臣に届け出なければならない。
- In the case prescribed in the preceding paragraph, a person who has come to acquire or hold the Subject Voting Rights not less than the Holding Ratio Threshold of the voting rights of all shareholders of a Stock Company-Type Financial Instruments Exchange (hereinafter referred to as a 'Specified Holder' in this Article) shall notify the Prime Minister without delay of the fact that said person has become a Specified Holder and any other matters specified by a Cabinet Office Ordinance.
- 会社法第三百三十一条第二項ただし書(同法第三百三十五条第一項において準用する場合を含む。)、第三百三十二条第二項(同法第三百三十四条第一項において準用する場合を含む。)、第三百三十六条第二項及び第四百二条第五項ただし書の規定は、株式会社金融商品取引所については、適用しない。
- The provisions of the proviso to paragraph (2) of Article 331 of the Companies Act (including the cases where it is applied mutatis mutandis pursuant to Article 335(1) of that Act), Article 332(2) of that Act (including the case where it is applied mutatis mutandis pursuant to Article 334(1) of that Act), Article 336(2) and the proviso to Article 402(5) of that Act shall not apply to a Stock Company-Type Financial Instruments Exchange.
- 前項の規定により読み替えて適用する第四項の臨時報告書と併せて臨時代替書面を提出した場合には、当該臨時代替書面を当該臨時報告書の一部とみなし、当該臨時代替書面を提出したことを当該臨時代替書面を当該臨時報告書の一部として提出したものとみなして、金融商品取引法令の規定を適用する。
- When Documents Substituting Part of an Extraordinary Report are submitted together with an Extraordinary Report set forth in paragraph (4) as applied by replacing certain terms pursuant to the preceding paragraph, the provisions of the Financial Instruments and Exchange Act and Related Regulations shall apply by deeming the Documents Substituting Part of an Extraordinary Report to form a part of the Extraordinary Report and deeming submission of the Documents Substituting Part of an Extraordinary Report to be submission of the Documents Substituting Part of an Extraordinary Report as a part of the Extraordinary Report.
- 前項の規定により読み替えて適用する第一項の半期報告書と併せて半期代替書面を提出した場合には、当該半期代替書面を当該半期報告書の一部とみなし、当該半期代替書面を提出したことを当該半期代替書面を当該半期報告書の一部として提出したものとみなして、金融商品取引法令の規定を適用する。
- When Documents Substituting Part of a Semiannual Securities Report are submitted together with a Semiannual Securities Report set forth in paragraph (1) as applied by replacing certain terms pursuant to the preceding paragraph, the provisions of the Financial Instruments and Exchange Act and Related Regulations shall apply by deeming the Documents Substituting Part of a Semiannual Securities Report to form a part of the Semiannual Securities Report and deeming submission of the Documents Substituting Part of a Semiannual Securities Report to be submission of the Documents Substituting Part of a Semiannual Securities Report as a part of the Semiannual Securities Report.
- 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.
- 金融商品取引業者等は、有価証券等取引に関する顧客の注文を執行した後、内閣府令で定める期間内に当該顧客から求められたときは、当該注文が最良執行方針等に従つて執行された旨を内閣府令で定めるところにより説明した書面を、内閣府令で定めるところにより、当該顧客に交付しなければならない。
- A Financial Instruments Business Operator, etc. shall, when requested by a customer within a period specified by a Cabinet Office Ordinance after having executed the customer's order for a transaction of Securities, etc., deliver to the customer, pursuant to the provisions of a Cabinet Office Ordinance, a document explaining, pursuant to the provisions of a Cabinet Office Ordinance, that the order has been executed in accordance with its Best Execution Policy, etc.
- 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));
- 会社法第二百十九条第一項(第六号に係る部分に限る。)、第二項及び第三項、第二百二十条並びに第二百九十三条第一項(第三号に係る部分に限る。)及び第二項から第四項までの規定は、新設合併消滅株式会社金融商品取引所について準用する。この場合において、必要な技術的読替えは、政令で定める。
- The provisions of Article 219, paragraph (1) (limited to the part pertaining to item (vi)), paragraph (2) and paragraph (3), Article 220 and Article 293, paragraph (1) (limited to the part pertaining to item (iii)) and paragraphs (2) to (4) inclusive of the Companies Act shall apply mutatis mutandis to a Stock Company-Type Financial Instruments Exchange Extinguished upon a Consolidation-Type Merger. In this case, any necessary technical replacement of terms shall be specified by a Cabinet Order.
- 金融機関に対し、委託者債務の弁済に必要な額の全部又は一部を委託者保護基金に支払うことを委託する契約(以下この号及び第百三十九条第一項第三号において「保証委託契約」という。)を締結すること(次に掲げる要件を満たすものに限る。第百三十九条第一項第三号において「保証委託」という。)。
- A contract to consign to a financial institution the payment to a Consumer Protection Fund of the whole or a portion of the necessary amount for the repayment of Debts to a Customer (hereinafter referred to as an 'Indemnity Agreement' in this item and Article 139, paragraph (1), item (iii)) shall be concluded (limited to those cases which fulfill the requirements set forth in the following, which is called 'Indemnity' in Article 139, paragraph (1), item (iii)):
- 第一項の規定は、投資法人が同項各号に掲げる事項を記載した金融商品取引法第二条第十項に規定する目論見書を第一項の申込みをしようとする者に対して交付している場合その他募集投資口の引受けの申込みをしようとする者の保護に欠けるおそれがないものとして内閣府令で定める場合には、適用しない。
- The provisions of paragraph (1) shall not apply to cases where an Investment Corporation has delivered a prospectus as prescribed in Article 2, paragraph (10) of the Financial Instruments and Exchange Act in which the matters listed in the items of paragraph (1) are stated, to the person who intends to file an application under paragraph (1), nor shall they apply to other cases specified by a Cabinet Office Ordinance as those in which it is unlikely that the protection of the person who intends to apply to subscribe for the Investment Equity for Subscription will be compromised.
- 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:
- 金融商品の価値等の分析に基づく投資判断に基づいて有価証券又はデリバティブ取引に係る権利に対する投資として、第一項第十号に掲げる有価証券に表示される権利その他の政令で定める権利を有する者から拠出を受けた金銭その他の財産の運用を行うこと(第十二号に掲げる行為に該当するものを除く。)。
- investment of money or other properties contributed from a person who holds rights indicated on the Securities specified in item (x) of paragraph (1) or other rights specified by a Cabinet Order, as an investment in Securities or rights pertaining to Derivative Transactions conducted based on analysis of Values, etc. of Financial Instruments (excluding acts falling under the category specified in item (xii));
- 金融商品取引業者が外国法人である場合における第四十六条の六第一項の規定の適用については、同項中「資本金」とあるのは「持込資本金」と、「準備金」とあるのは「国内の営業所又は事務所において積み立てられた準備金」と、「固定資産」とあるのは「国内の営業所又は事務所における固定資産」とする。
- With regard to the application of Article 46-6(1) to cases where a Financial Instruments Business Operator is a foreign juridical person, the term 'stated capital' in said paragraph shall be deemed to be replaced with 'brought-in capital,' and the term 'reserve fund' in said paragraph shall be deemed to be replaced with 'reserve fund set up in business offices or offices in Japan,'; and the term 'fixed assets' in said paragraph shall be deemed to be replaced with 'fixed assets for business offices or offices in Japan.'
- 第三十条第一項の認可を受けた金融商品取引業者は、第三項の規定にかかわらず、当該認可を受けた業務に係る損失の危険の管理方法、売買価格の決定方法、受渡しその他の決済の方法その他内閣府令で定める業務の内容及び方法を変更しようとする場合においては、内閣総理大臣の認可を受けなければならない。
- When a Financial Instruments Business Operator who has obtained authorization under Article 30(1) intends to change the methods to manage risks of loss, price formation method, methods of transfer and other settlement, and other contents and methods of business specified by a Cabinet Office Ordinance for which he/she had obtained the authorization, he/she shall obtain an authorization from the Prime Minister, notwithstanding the provision of paragraph (3).
- 第一項の規定は、投資法人が同項各号に掲げる事項を記載した金融商品取引法第二条第十項に規定する目論見書を第一項の申込みをしようとする者に対して交付している場合その他募集投資法人債の引受けの申込みをしようとする者の保護に欠けるおそれがないものとして内閣府令で定める場合には、適用しない。
- The provisions of paragraph (1) shall not apply to cases where an Investment Corporation has delivered the Prospectus prescribed in Article 2, paragraph (10) of the Financial Instruments and Exchange Act, which states the matters listed in the items of paragraph (1), to the person who intends to file an application under paragraph (1) nor shall they apply to other cases specified by a Cabinet Office Ordinance as those in which it is unlikely that the protection of the person who intends to apply to subscribe for Investment Corporation Bonds for Subscription will be compromised.
- 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.
- 日本国以外の国の中央銀行又はこれに準ずる金融当局(次項において「外国中央銀行等」という。)は、その有する財産に対する保全処分及び民事執行の手続については、第二条第一号から第三号までに該当しない場合においても、これを外国等とみなし、第四条並びに第十七条第一項及び第二項の規定を適用する。
- The central bank of a State other than Japan or the financial authorities equivalent thereto (referred to as a 'Foreign Central Bank, etc.' in the following paragraph) shall be deemed to be a Foreign State, etc. for purposes of an execution of a temporary restraining order or a civil execution procedures against property held by the Foreign Central Bank, etc., even in cases where it does not fall within the requirements of Article 2, item (i) through item (iii), and the provisions of Article 4 and Article 17, paragraph (1) and paragraph (2) shall apply.
- 金融商品取引業者等は、運用財産について、内閣府令で定めるところにより、定期に運用報告書を作成し、当該運用財産に係る知れている権利者に交付しなければならない。ただし、運用報告書を権利者に交付しなくても権利者の保護に支障を生ずることがない場合として内閣府令で定める場合は、この限りでない。
- A Financial Instruments Business Operator, etc. shall, pursuant to the provisions of a Cabinet Office Ordinance, prepare an investment report with regard to Investment Property periodically and deliver it to any known Right Holders pertaining to the Investment Property; provided, however, that this shall not apply to the cases specified by a Cabinet Office Ordinance where non-delivery of an investment report to such Right Holders will not hinder protection of the Right Holders.
- 第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.'
- 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.
- 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.
- 金融商品取引業者等は、顧客から有価証券の売買又は店頭デリバティブ取引に関する注文を受けたときは、あらかじめ、その者に対し自己がその相手方となつて当該売買若しくは取引を成立させるか、又は媒介し、取次ぎし、若しくは代理して当該売買若しくは取引を成立させるかの別を明らかにしなければならない。
- A Financial Instruments Business Operator, etc. shall, when accepting an order from a customer for sales and purchase of Securities or Over-the-Counter Transactions of Derivatives, give the customer a clear notice, in advance, regarding whether said Financial Instruments Business Operator, etc. will take charge of effecting the sales and purchase or the transaction as the other party to the customer, or will perform an intermediary, brokerage or agency service to effect the sales and purchase or the transaction.
- 前項の規定により読み替えて適用する第一項の四半期報告書と併せて四半期代替書面を提出した場合には、当該四半期代替書面を当該四半期報告書の一部とみなし、当該四半期代替書面を提出したことを当該四半期代替書面を当該四半期報告書の一部として提出したものとみなして、金融商品取引法令の規定を適用する。
- When Documents Substituting Part of a Quarterly Securities Report are submitted together with a Quarterly Securities Report set forth in paragraph (1) as applied by replacing certain terms pursuant to the preceding paragraph, the provisions of the Financial Instruments and Exchange Act and Related Regulations shall apply by deeming the Documents Substituting Part of a Quarterly Securities Report to form a part of the Quarterly Securities Report and deeming submission of the Documents Substituting Part of a Quarterly Securities Report to be submission of the Documents Substituting Part of a Quarterly Securities Report as a part of the Quarterly Securities Report.
- 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.
- 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.
- 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.
- 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.
- 前項の規定により読み替えて適用する第一項の有価証券報告書と併せて報告書代替書面を提出した場合には、当該報告書代替書面を当該有価証券報告書の一部とみなし、当該報告書代替書面を提出したことを当該報告書代替書面を当該有価証券報告書の一部として提出したものとみなして、金融商品取引法令の規定を適用する。
- When Documents Substituting Part of an Annual Securities Report are submitted together with an Annual Securities Report set forth in paragraph (1) as applied by replacing certain terms under the preceding paragraph, the provisions of the Financial Instruments and Exchange Act and Related Regulations shall apply by deeming the Documents Substituting Part of an Annual Securities Report to form a part of the Annual Securities Report and deeming submission of the Documents Substituting Part of an Annual Securities Report to be submission of the Documents Substituting Part of an Annual Securities Report as a part of the Annual Securities Report.
- 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.
- 登録金融機関その他業務による利益を図るため、その行う投資助言業務に関して取引の方針、取引の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした助言を行い、又はその行う投資運用業に関して運用の方針、運用財産の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした運用を行うこと。
- giving advice intended to conduct a transaction with regard to its Investment Advisory Business that is unnecessary in light of the policy of the transaction, the amount of the transaction or the market conditions, or making investment intended to conduct a transaction with regard to its Investment Management Business that is unnecessary in light of the policy of the investment, the amount of Investment Property or the market conditions, for the purpose of gaining profit from Other Businesses of the Registered Financial Institution; and
- 金融商品取引業者等は、有価証券の売買及びデリバティブ取引(政令で定めるものを除く。以下この条において「有価証券等取引」という。)に関する顧客の注文について、政令で定めるところにより、最良の取引の条件で執行するための方針及び方法(以下この条において「最良執行方針等」という。)を定めなければならない。
- A Financial Instruments Business Operator, etc. shall, pursuant to the provisions of a Cabinet Order, establish a policy and method for executing orders from customers for sales and purchase of Securities and Derivative Transactions (except those specified by a Cabinet Order; hereinafter referred to as 'Transactions of Securities, etc.' in this Article) under the best terms and conditions (hereinafter referred to as the 'Best Execution Policy, etc.' in this Article).
- 投資の対象とする資産に不動産(建物又は宅地建物取引業法(昭和二十七年法律第百七十六号)第二条第一号に規定する宅地をいう。次号、第六十六条第三項第一号イ及びロ、第百九十九条第一号及び第二号並びに第二百二十四条の二において同じ。)が含まれる投資信託契約 同法第三条第一項の免許を受けている金融商品取引業者
- An Investment Trust Contract where Real Property (meaning buildings or building lots as prescribed in Article 2, item (i) of the Building Lots and Buildings Transaction Business Act (Act No. 176 of 1952); the same shall apply in the following item, Article 66, paragraph (3), item (i), sub-items (a) and (b), Article 199, items (i) and (ii), and Article 224-2) is one of the assets subject to investment: The Financial Instruments Business Operator who has obtained a license set forth in Article 3, paragraph (1) of that Act;
- 金融商品取引業者その他業務による利益を図るため、その行う投資助言業務に関して取引の方針、取引の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした助言を行い、又はその行う投資運用業に関して運用の方針、運用財産の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした運用を行うこと。
- giving advice intended to conduct a transaction with regard to his/her Investment Advisory Business that is unnecessary in light of the policy of the transaction, the amount of the transaction or the market conditions, or making investment intended to conduct a transaction with regard to his/her Investment Management Business that is unnecessary in light of the policy of the investment, the amount of Investment Property or the market conditions, for the purpose of gaining profit from Other Businesses of the Financial Instruments Business Operator; and
- 第一項の規定にかかわらず、同項に規定する金融商品取引業者、銀行その他の内閣府令で定める者は、その株券等保有割合が百分の五を超えることとなつた日から政令で定める期間内に重要提案行為等を行うときは、その五日前までに、内閣府令で定めるところにより、同項の大量保有報告書を内閣総理大臣に提出しなければならない。
- Notwithstanding the provision of paragraph (1), when a Financial Instruments Business Operator, bank or any other person specified by a Cabinet Office Ordinance which is set forth in the same paragraph intends to conduct an Act of Making Important Suggestion, etc. within a period specified by a Cabinet Order from the date when the Holding Ratio of Share Certificates, etc. have exceeded 5%, such person shall submit to the Prime Minister a Report of Possession of Large Volume prescribed in the same paragraph by five days prior to the date of such Act of Making Important Suggestions, etc., pursuant to the provisions of a Cabinet Office Ordinance.
- 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.
- 金融商品取引業者等は、その行うデリバティブ取引等(有価証券関連デリバティブ取引等に該当するものを除く。次項において同じ。)に関し、第百十九条の規定により顧客から預託を受けた金銭又は有価証券その他の保証金又は有価証券については、内閣府令で定めるところにより、自己の固有財産と区分して管理しなければならない。
- A Financial Instruments Business Operator, etc. shall, with regard to his/her Derivative Transactions, etc. (excluding those that fall within the category of Transactions of Securities-Related Derivatives, etc.; the same shall apply in the following paragraph), manage the money or Securities deposited from a customer under Article 119 or other security deposit and Securities, separately from his/her own property pursuant to the provisions of a Cabinet Office Ordinance.
- 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.
- 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.
- 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:
- 当該登録金融機関の親法人等又は子法人等の利益を図るため、その行う投資助言業務に関して取引の方針、取引の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした助言を行い、又はその行う投資運用業に関して運用の方針、運用財産の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした運用を行うこと。
- giving advice intended to conduct a transaction with regard to its Investment Advisory Business that is unnecessary in light of the policy of the transaction, the amount of the transaction or the market conditions, or making investment intended to conduct a transaction with regard to its Investment Management Business that is unnecessary in light of the policy of the investment, the amount of Investment Property or the market conditions, for the purpose of securing the interest of the Parent Juridical Person, etc. or Subsidiary Juridical Person, etc. of the Registered Financial Institution; and
- 有価証券売買取引等につき、金融商品取引業者等又は第三者から、前項第三号の提供に係る財産上の利益を受け、又は第三者に当該財産上の利益を受けさせる行為(前二号の約束による場合であつて当該約束が自己がし、又は第三者にさせた要求によるとき及び当該財産上の利益の提供が自己がし、又は第三者にさせた要求による場合に限る。)
- an act of receiving property benefit provided under item (iii) of the preceding paragraph by a Financial Instruments Business Operator, etc. or a third party with regard to the Sales and Purchase or Other Transaction of Securities, etc. or having a third party receive such property benefit (limited to cases where such act is conducted based on the promise set forth in either of the preceding two items that is gained as a result of the request made by the customer him/herself or via a third party, or where such provision of property benefit is conducted as a result of the request made by the customer him/herself or via a third party).
- 商品取引員は、商品市場における取引につき、委託者から預託を受けた有価証券及び委託者の計算に属する有価証券を委託の趣旨に反して、担保として提供し、貸付け、その他処分してはならない。ただし、委託者の同意を得て、委託者保護基金に預託し、又は次に掲げる金融機関に担保として提供し、若しくは信託する場合は、この限りでない。
- With regard to transactions on a Commodity Market, a Futures Commission Merchant shall not deposit as collateral, loan, nor dispose of Securities deposited by a customer or Securities on a customer's account contrary to the purpose of the consignment; provided, however, that this shall not apply in cases of depositing with a Consumer Protection Fund, depositing as collateral, or entrusting assets to the following financial institutions, after obtaining the consent of the customer:
- 金融商品取引業者は、第六項の権利の実行その他の理由により、営業保証金の額(契約金額を含む。第十項において同じ。)が第二項の政令で定める額に不足することとなつたときは、内閣府令で定める日から三週間以内にその不足額につき供託(第三項の契約の締結を含む。)を行い、その旨を遅滞なく内閣総理大臣に届け出なければならない。
- When the amount of a deposit for operation (including the Contract Amount; the same shall apply in paragraph (10)) becomes short of the amount specified by a Cabinet Order as prescribed in paragraph (2) due to the execution of the right set forth in paragraph (6) or other reasons, a Financial Instruments Business Operator shall deposit the shortfall (including conclusion of a contract set forth in paragraph(3)) within three weeks from the day specified by a Cabinet Office Ordinance and notify to that effect to the Prime Minister without delay.
- 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).
- 前二項の規定は、受託者が更生手続開始の決定を受けた場合について準用する。この場合において、前項中「管財人があるとき」とあるのは、「管財人があるとき(会社更生法第七十四条第二項(金融機関等の更生手続の特例等に関する法律第四十七条及び第二百十三条において準用する場合を含む。)の期間を除く。)」と読み替えるものとする。
- The provisions of the preceding two paragraphs shall apply mutatis mutandis where the trustee is given an order for the commencement of reorganization proceedings. In this case, the phrase 'there is a rehabilitation trustee' in the preceding paragraph shall be deemed to be replaced with 'there is a reorganization trustee (excluding the period set forth in Article 74, paragraph (2) of the Corporate Reorganization Act (including cases where applied mutatis mutandis pursuant to Article 47 and Article 213 of the Act on Special Rules, etc. for Reorganization Proceedings for Financial Institutions, etc.)).'
- 当該金融商品取引業者の親法人等又は子法人等の利益を図るため、その行う投資助言業務に関して取引の方針、取引の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした助言を行い、又はその行う投資運用業に関して運用の方針、運用財産の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした運用を行うこと。
- giving advice intended to conduct a transaction with regard to his/her Investment Advisory Business that is unnecessary in light of the policy of the transaction, the amount of the transaction or the market conditions, or making investment intended to conduct a transaction with regard to his/her Investment Management Business that is unnecessary in light of the policy of the investment, the amount of Investment Property or the market conditions, for the purpose of securing the interest of the Parent Juridical Person, etc. or Subsidiary Juridical Person, etc. of the Financial Instruments Business Operator, etc.; and
- 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.
- 委託者が破産手続開始の決定、再生手続開始の決定又は更生手続開始の決定を受けた場合において、破産法第五十三条第一項、民事再生法第四十九条第一項又は会社更生法第六十一条第一項(金融機関等の更生手続の特例等に関する法律第四十一条第一項及び第二百六条第一項において準用する場合を含む。)の規定による信託契約の解除がされたとき。
- where the settlor is given an order for the commencement of bankruptcy proceedings, an order for the commencement of rehabilitation proceedings, or an order for the commencement of reorganization proceedings, and the trust agreement is cancelled under the provisions of Article 53, paragraph (1) of the Bankruptcy Act, Article 49, paragraph (1) of the Civil Rehabilitation Act or Article 61, paragraph (1) of the Corporate Reorganization Act (including cases where applied mutatis mutandis pursuant to Article 41, paragraph (1) and Article 206, paragraph (1) of the Act on Special Rules, etc. for Reorganization Proceedings for Financial Institutions, etc.); or
- 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.
- 取引所金融商品市場における有価証券の売買等であつて競売買の方法以外の方法による有価証券の売買等として内閣総理大臣が定めるもの(以下この項において「特定売買等」という。)による買付け等による株券等の買付け等の後におけるその者の所有に係る株券等の株券等所有割合が三分の一を超える場合における特定売買等による当該株券等の買付け等
- Sales and purchase or the like of Securities conducted at Financial Instruments Exchange Markets through sales and purchase, etc. of Share Certificates, etc. using a method that is designated by the Prime Minister as a method other than the method of auction (such sales and purchase, etc. of Share Certificates, etc. are hereinafter referred to as 'Specified Sales and Purchase, etc.' in this paragraph) after which the Share Certificates, etc. Holding Rate of Share Certificates, etc. in possession by the person who conducted the Purchase, etc. exceeds one third;
- 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.
- 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.
- 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.
- 金融商品取引業者は、内閣府令で定めるところにより、事業年度ごとに、前条の事業報告書に記載されている事項のうち投資者保護のため必要と認められるものとして内閣府令で定めるものを記載した説明書類を作成し、毎事業年度経過後政令で定める期間を経過した日から一年間、これをすべての営業所又は事務所に備え置き、公衆の縦覧に供しなければならない。
- A Financial Instruments Business Operator shall, pursuant to the provisions of a Cabinet Office Ordinance, prepare explanatory documents for each business year containing the matters specified by a Cabinet Office Ordinance as the matters necessary for the protection of investors from among the matters contained in the business report set forth in the preceding Article, and keep them at all of its business offices or offices for public inspection, for one year from the day on which the period specified by a Cabinet Order has elapsed from the end of each business year.
- 組織変更時発行株式の引受人(第百一条の九第三号の財産(以下この目において「現物出資財産」という。)を給付する者を除く。)は、同条第四号の期日に、会員金融商品取引所が定めた銀行等(会社法第三十四条第二項に規定する銀行等をいう。)の払込みの取扱いの場所において、それぞれの組織変更時発行株式の払込金額の全額を払い込まなければならない。
- A subscriber for the Shares Issued upon Entity Conversion (excluding a person who delivers the property set forth in Article 101-9(iii) (hereinafter referred to as the 'Property Contributed in Kind' in this Division)) shall, on the date set forth in item (iv) of that Article, pay the full amount to be paid for the respective Shares Issued upon Entity Conversion for which the subscribers respectively subscribed, at the place for handling of the payment such as at Banks (which means the Banks, Etc., prescribed in Article 34(2) of the Companies Act) specified by the Membership-Type Financial Instruments Exchange.
- 第八項及び第九項の規定により報告書提出外国会社が外国会社報告書及びその補足書類を提出した場合には、当該外国会社報告書及びその補足書類を有価証券報告書とみなし、これらの提出を有価証券報告書等を提出したものとみなして、この法律又はこの法律に基づく命令(以下この章から第二章の四までにおいて「金融商品取引法令」という。)の規定を適用する。
- The provisions of this Act and orders given thereunder (hereinafter referred to as the 'Financial Instruments and Exchange Act and Related Regulations' in this Chapter to Chapter II-4) shall apply to cases where a Reporting Foreign Company submits a Foreign Company Report and Supplementary Documents thereof under paragraphs (8) and (9), by deeming the Foreign Company Report and Supplementary Documents to be Annual Securities Reports, etc. and deeming submission of the former to be submission of the latter.
- 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.
- 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:
- 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.
- 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.
- この章において「一般委託者」とは、商品取引員に対し商品市場における取引等(商品清算取引を除く。次項において同じ。)を委託した者(商品取引員、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、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)第二条第四項に規定する商品投資顧問業者その他の政令で定める者を除く。)をいう。
- The term 'General Customer' as used in this Chapter shall mean a person who has consigned a Transaction on a Commodity Market, etc. (excluding a Commodity Clearing Transaction; the same shall apply in this paragraph) to a Futures Commission Merchant (excluding a Futures Commission Merchant, a qualified institutional investor under Article 2, paragraph (3), item (i) of the Financial Instruments and Exchange Act, a commodities investment advisor under Article 2, paragraph (4) of the Act on Regulation of Business Pertaining to Commodity Investment [Act No. 66 of 1991] and any other person specified by a Cabinet Order).
- 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)
- 当該外国投資信託の設定に係る受益権の募集が、国外において、金融商品取引法第二条第三項に規定する取得勧誘のうち同項第一号に掲げる場合に該当するものに相当するものにより行われたものであり、かつ、当該外国投資信託の目論見書その他これに類する書類にその取得勧誘が同号に掲げる場合に該当するものに相当するものである旨の記載がなされて行われていること。
- The public offering of beneficial rights based on the establishment of the said foreign investment trust has been conducted, outside Japan, by way of a solicitation of acquisition prescribed in Article 2(3) of the Financial Instruments and Exchange Act which is equivalent to the one listed in item (i) of Article 2(3), and it is stated in the prospectus of the said foreign investment trust or any other document similar thereto that the relevant solicitation of acquisition is equivalent to the one listed in the said item.
- 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;
- 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).
- この法律において「信託契約代理業」とは、信託契約(当該信託契約に基づく信託の受託者が当該信託の受益権(当該受益権を表示する証券又は証書を含む。)の発行者(金融商品取引法(昭和二十三年法律第二十五号)第二条第五項に規定する発行者をいう。)とされる場合を除く。)の締結の代理(信託会社又は外国信託会社を代理する場合に限る。)又は媒介を行う営業をいう。
- The term 'Agency for Trust Agreements' as used in this Act shall mean business that is carried out for acting as an agent (limited to the case of acting as an agent for a Trust Company or a Foreign Trust Company) or an intermediary in concluding a trust agreement (excluding the case where the trustee of a trust based on said trust agreement is to be a person who has issued beneficial interest in said trust (including securities or a deed indicating said beneficial interest) (meaning an issuer as prescribed in Article 2(5) of the Financial Instruments and Exchange Act (Act No. 25 of 1948))).
- 価額決定日において当該有価証券が公開買付け等(金融商品取引法第二十七条の二第六項(同法第二十七条の二十二の二第二項において準用する場合を含む。)に規定する公開買付け及びこれに相当する外国の法令に基づく制度をいう。以下この号及び第六十条の二において同じ。)の対象であるときは、当該価額決定日における当該公開買付け等に係る契約における当該有価証券の価格
- when said Securities are subject to Tender Offer, etc. (which means the Tender Offer prescribed in Article 27-2, paragraph (6) of the Financial Instruments and Exchange Act (including cases where it is applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the same Act) and any equivalent system based on laws and regulations in a foreign state; hereinafter the same shall apply in this item and Article 60-2) as on the Value Determination Day, the price of said Securities at the time of drawing up a contract pertaining to said Tender Offer, etc. as on said Value Determination Day.
- 金融商品取引業者等は、その行う投資運用業(第二条第八項第十五号に掲げる行為を行う業務に限る。)に関して、第一項の運用報告書を作成したときは、遅滞なく、これを内閣総理大臣に届け出なければならない。ただし、一の運用財産の権利者の数が政令で定める数以下である場合その他投資者の保護に支障を生ずることがない場合として内閣府令で定める場合は、この限りでない。
- A Financial Instruments Business Operator, etc. shall, when having prepared an investment report set forth in paragraph (1) with regard to his/her Investment Management Business (limited to the business of conducting the act specified in Article 2(8)(xv)), notify the Prime Minister of this without delay; provided, however, that this shall not apply to cases where the number of Right Holders entitled to a set of Investment Property is below the number specified by a Cabinet Order or other cases where protection of investors will not be hindered as specified by a Cabinet Office Ordinance.
- 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);
- 商品取引員が通知商品取引員に該当することとなった場合その他委託者保護基金が当該商品取引員の有する委託者債務の円滑な弁済のために必要と判断した場合に、当該委託者保護基金は、保証委託契約を締結したイに掲げる金融機関に対し、支払保証限度額を限度として、当該委託者債務の弁済に必要と認められる額を当該委託者保護基金に対して支払うことを指示することができること。
- in the case where a Futures Commission Merchant has fallen under the category of a Futures Commission Merchant Subject to a Notice and where the Consumer Protection Fund judges it is necessary for the smooth repayment of said Futures Commission Merchant's Debts to a Customer, said Consumer Protection Fund can instruct a financial institution set forth in (a), which has concluded an Indemnity Agreement, to pay to said Consumer Protection Fund the necessary amount for repayment of said Debts to a Customer within the limit of the Payment Guarantee Limit Amount;
- 委託者非指図型投資信託契約(以下この章において「投資信託契約」という。)は、一の信託会社等(信託会社(信託業法(平成十六年法律第百五十四号)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。)又は信託業務を営む金融機関をいう。以下この章、第二百二十三条の三第四項及び第二百四十九条において同じ。)を受託者とするのでなければ、これを締結してはならない。
- No contract for an Investment Trust Managed Without Instructions from the Settlor (hereinafter referred to as an 'Investment Trust Contract' in this Chapter) shall be concluded unless one Trust Company, etc. (meaning a trust company (limited to one who has obtained a license under Article 3 or Article 53, paragraph (1) of the Trust Business Act (Act No. 154 of 2004) or a Financial Institution Engaged in Trust Business; hereinafter the same shall apply in this Chapter, Article 223-3, paragraph (4) and Article 249) is to be the trustee.
- 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.
- この法律において「有価証券の売出し」とは、既に発行された有価証券の売付けの申込み又はその買付けの申込みの勧誘(第二号において「売付け勧誘等」という。)のうち、次の各号に掲げる有価証券の区分に応じ、当該各号に定める場合に該当するもの(取引所金融商品市場における有価証券の売買及びこれに準ずる取引その他の政令で定める有価証券の取引に係るものを除く。)をいう。
- The term 'Secondary Distribution of Securities' as used in this Act means, among solicitations of an application to sell or purchase already-issued Securities (referred to as 'Solicitation for Selling, etc.' in item (ii)), those falling under the categories specified for each kind of Securities in the following items (excluding those made relating to sales and purchase of Securities in a Financial Instruments Exchange Market and a transaction equivalent thereto and other transactions of Securities specified by a Cabinet Order):
- 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.
- 第一項の規定により応募株主等による契約の解除があつた場合においては、公開買付者は、当該契約の解除に伴う損害賠償又は違約金の支払を請求することができないものとし、応募株券等(応募株主等が公開買付けに応じて売付け等をした株券等をいう。以下この節において同じ。)を金融商品取引業者又は銀行等に管理させているときは、その返還に要する費用は、公開買付者の負担とする。
- Even where an Accepting Shareholder, etc. cancels the contract under paragraph (1), the Tender Offeror may not request the Accepting Shareholder, etc. to pay damages or penalty and, if the Tender Offeror has a Financial Instruments Business Operator or a Bank, etc. manage the Share Certificates, etc. Offered to Sell (meaning Share Certificates, etc. which the Accepting Shareholder, etc. make Sales, etc. in response to the Tender Offer; hereinafter the same shall apply in this Section), shall bear the cost required for return of the Share Certificates, etc. Offered to Sell.
- 第二項の規定にかかわらず、第一項に規定する金融商品取引業者、銀行その他の内閣府令で定める者は、同項の大量保有報告書又は第二項の変更報告書を提出した後に株券等保有割合が百分の一以上増加した場合であつて、当該増加した日から政令で定める期間内に重要提案行為等を行うときは、その五日前までに、内閣府令で定めるところにより、同項の変更報告書を内閣総理大臣に提出しなければならない。
- Notwithstanding the provision of paragraph (2), when the Holding Ratio of Share Certificates, etc. of a Financial Instruments Business Operator, bank or any other person specified by a Cabinet Office Ordinance which is set forth in paragraph (1) has increased by 1% or more after the submission of the Report of Possession of Large Volume under the same paragraph or the Change Report under paragraph (2), and when any of said persons intends to conduct an Act of Making Important Suggestions, etc. within the period specified by a Cabinet Order from the date of said increase, such person shall submit to the Prime Minister a Change Report under the same paragraph by five days prior to the date of such Act of Making Important Suggestions, etc., pursuant to the provisions of a Cabinet Office Ordinance.
- 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.
- 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.
- 金融商品取引業者等は、期限日後最初に対象契約の申込みを申出者から受けた場合であつて、承諾日以後において対象契約の属する契約の種類に係る第一項の規定による申出(次項において「更新申出」という。)を当該申出者から受けていない場合には、当該申込みに係る対象契約を締結するまでに、当該申出者に対し、対象契約に関して当該申出者を特定投資家として取り扱うこととなる旨を告知しなければならない。
- Where a Financial Instruments Business Operator, etc. has received an application for a Subject Contract from an Applicant for the first time after the Expiration Date and has not received a request under paragraph (1) for the Kind of Contract to which the Subject Contract belongs (referred to as the 'Request for Renewal' in the following paragraph) on or after the Date of Acceptance, he/she shall notify the Applicant that the Applicant will be treated as a Professional Investor with regard to the Subject Contract by the time when he/she concludes the Subject Contract pertaining to said application.
- 金融商品取引業者等は、前項の規定による申出を承諾する場合には、あらかじめ、次に掲げる事項を記載した書面により、当該申出をした法人(以下この条において「申出者」という。)の同意を得なければならない。この場合において、第二号に規定する期限日は、第一号に規定する承諾日から起算して一年を経過する日(内閣府令で定める場合にあつては、当該経過する日前で内閣府令で定める日)としなければならない。
- A Financial Instruments Business Operator, etc. shall, when accepting the request submitted under the preceding paragraph, obtain written consent of the juridical person who submitted the request (hereinafter referred to as an 'Applicant' in this Article) in advance, using a document containing the following matters. In this case, the Expiration Date prescribed in item (ii) shall be the day when one year has passed since the Date of Acceptance prescribed in item (i) (or the day specified by a Cabinet Office Ordinance which shall not be on or later the day when one year has passed since the Date of Acceptance):
- 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.
- 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).
- 金融商品取引業者等は、前項の規定により承諾する場合には、第一項の規定による申出をした特定投資家(以下この条において「申出者」という。)に対し、あらかじめ、次に掲げる事項を記載した書面を交付しなければならない。この場合において、第二号に規定する期限日は、第一号に規定する承諾日から起算して一年を経過する日(内閣府令で定める場合にあつては、当該経過する日前で内閣府令で定める日)としなければならない。
- When a Financial Instruments Business Operator, etc. accepts a request under the provisions of the preceding paragraph, he/she shall deliver a document containing the following matters in advance to the Professional Investor who submitted the request under paragraph (1) (hereinafter referred to an 'Applicant' in this Article). In this case, the Expiration Date provided by item (ii) shall be the day when one year has passed since the Date of Acceptance provided by item (i) (or the day specified by a Cabinet Office Ordinance which shall not be on or later than the day when one year has passed since the Date of Acceptance):
- 前条第二項から第七項までの規定は、金融商品取引業者等が第一項の規定による申出を承諾する場合について準用する。この場合において、同条第二項中「当該申出をした法人」とあるのは「次条第二項に規定する申出者」と、同条第四項中「第二項の規定による承諾」とあるのは「次条第二項の規定による書面の交付及び確認並びに第二項の規定による承諾」と、同条第七項中「第一項」とあるのは「次条第一項」と読み替えるものとする。
- The provisions of paragraphs (2) to (7) of the preceding Article shall apply mutatis mutandis to cases where a Financial Instruments Business Operator, etc. accepts a request under paragraph (1). In this case, the term 'the juridical person who submitted the request' in Article 34-3(2) shall be deemed to be replaced with 'the Applicant under paragraph (2) of the following Article,'; the term 'the acceptance under paragraph (2)' in Article 34-3(4) shall be deemed to be replaced with 'the delivery of a document and the confirmation under paragraph (2) of the following Article and the acceptance under paragraph (2),'; and the term 'paragraph (1)' in Article 34-3(7) shall be deemed to be replaced with 'paragraph (1) of the following Article.'
- 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.
- 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:
- 内閣総理大臣は、前項の申請があつた場合においては、金融商品取引法第五十二条第一項又は第五十三条第三項の規定により当該投資信託委託会社の同法第二十九条の登録を取り消した日以後、当該投資信託契約の存続期間その他につき条件を付して、当該投資信託契約を存続させることを承認することができる。この場合において、当該投資信託委託会社であつた者は、その業務の執行の範囲内において、同条の登録を取り消されていないものとみなす。
- In cases where an application set forth in the preceding paragraph has been made, the Prime Minister may approve the continuation of the Investment Trust Contract by attaching conditions on the duration of the Investment Trust Contract or any other matters on or after the day on which he/she has rescinded the registration of a Settlor Company of an Investment Trust under Article 29 of the Financial Instruments and Exchange Act pursuant to the provisions of Article 52, paragraph (1) or Article 53, paragraph (3) of that Act. In this case, the person who was in the position of said Settlor Company of an Investment Trust shall be deemed not to have been subject to the rescission of its registration under Article 29 within the scope of the execution of its business.
- 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).
- 投資信託財産についてその受益証券が金融商品取引法第四条第三項に規定する特定投資家向け有価証券に該当するものであつて、第一項の書面に記載すべき事項に係る情報が同法第二十七条の三十二第一項に規定する発行者情報として同項又は同条第二項の規定によりすべての受益者(政令で定めるものを含む。)に提供され、又は公表される場合(投資信託約款において第一項の書面の交付に代えて当該情報の提供又は公表が行われる旨を定めている場合に限る。)
- Where the Beneficiary Certificates for Investment Trust Property fall under the Securities issued to Professional Investors as provided in Article 4, paragraph (3) of the Financial Instruments and Exchange Act and the matters which should be stated in the documents prescribed in paragraph (1) are provided or publicized to all the beneficiaries (including those specified by a Cabinet Order) under Article 27-32, paragraph (1) or paragraph (2) of that Act as the issuer's information prescribed in Article 27-32, paragraph (1) of that Act (limited to cases where the Basic Terms and Conditions of the Investment Trust provide to the effect that the provision or publication of said information is to be made in lieu of delivering the documents under paragraph (1)).
- 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)
- 第二項又は第三項の場合において、第二項の会員等又は第三項の取次者(以下この項及び第九項において「会員等又は取次者」という。)は、主務省令で定めるところにより、主務大臣の承認を受けて、銀行その他の主務省令で定める金融機関(以下この条において「銀行等」という。)と当該会員等又は取次者のために所要の取引証拠金に相当する金額が商品取引所の指示に応じて当該商品取引所に預託される旨の契約を締結して、その旨を当該商品取引所に届け出ることができる。
- In the case referred to in paragraph (2) or (3), a Member, etc. under paragraph (2) or an Intermediary under paragraph (3) (hereinafter referred to as a 'Member, etc. or Intermediary' in this paragraph and paragraph (9)) may, by gaining the approval of the competent minister, conclude a contract with a bank or other financial institution specified by an ordinance of the competent ministry (hereinafter referred to as a 'Bank, etc.') to have an amount corresponding to the required clearing margin deposited with a Commodity Exchange on behalf of the Member, etc. or Intermediary in accordance with the instruction of the Commodity Exchange and notify the Commodity Exchange to that effect, pursuant to the provisions of an ordinance of the competent ministry.
- 前項の規定により同項に規定する通知された事項又は当該事項を記載した書類を公衆の縦覧に供した場合には、第二十五条第三項(第二十七条において準用する場合を含む。)、第二十七条の十四第三項(第二十七条の二十二の二第二項において準用する場合を含む。)又は第二十七条の二十八第二項(第二十七条の二十九第二項において準用する場合を含む。)に規定する書類について、これらの規定により公衆の縦覧に供されたものとみなして、金融商品取引法令の規定を適用する。
- When the notified information or the documents containing said information prescribed in the preceding paragraph are made available for public inspection under the provision of said paragraph, the Laws and Regulations on Financial Instruments shall apply to the documents prescribed in Article 25(3) (including the cases where it is applied mutatis mutandis pursuant to Article 27), Article 27-14(3) (including the cases where it is applied mutatis mutandis pursuant to Article 27-22-2(2)) or Article 27-28(2) (including the cases where it is applied mutatis mutandis pursuant to Article 27-29(2)), by deeming that said information or documents have been made available for public inspection under those provisions.
- 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.
- 当該一般民間国外債の発行をする者が締結する引受契約等(債券の発行に係る引受け、募集又は売出しの取扱いその他これらに準ずるもの(以下この号において「引受け等」という。)に関する契約をいう。)に、当該一般民間国外債の引受け等を行う者は、当該一般民間国外債を居住者及び内国法人(国内金融機関等を除く。)に対して当該引受契約等に基づく募集又は売出し、募集又は売出しの取扱いその他これらに準ずるものにより取得させ、又は売り付けてはならない旨の定めがあること。
- In the underwriting contract, etc. (meaning a contract for underwriting, dealing in public offering or secondary distribution, or any other operations equivalent thereto pertaining to the issue of bonds (hereinafter referred to in this item as 'underwriting, etc.')) concluded by the person who issues the said general foreign-issued company bonds, it is provided that the person who performs the underwriting, etc. shall not pressure a resident or domestic corporation (excluding a domestic financial institution, etc.) into acquiring or buying the said general foreign-issued company bonds by way of public offering or secondary distribution, dealing in public offering or secondary distribution, or any other operations equivalent thereto under the said underwriting contract, etc.
- 認可協会は、有価証券(金融商品取引所に上場されていないものに限る。第六十七条の十一第一において同じ。)の流通を円滑にし、有価証券の売買その他の取引の公正を確保し、かつ、投資者の保護に資するため、店頭売買有価証券の売買(協会員(認可協会の会員をいう。以下この節において同じ。)が自己の計算において行うもの並びに協会員が媒介、取次ぎ及び代理を行うものに限る。同項において同じ。)のための市場(以下「店頭売買有価証券市場」という。)を開設することができる。
- An Authorized Association may establish a market where Over-the-Counter Traded Securities are traded (limited to the cases where Member Firms(meaning the members of an Authorized Association; hereinafter the same shall apply in this Section) conduct such transactions on their respective account, and the case where Member Firms provide intermediary, brokerage or agency service; the same shall apply in Article 67-11(1)) (hereinafter referred to as the 'Over-the-Counter Securities Market'), in order to facilitate distribution of Securities (limited to Securities not listed on a Financial Instruments Exchange; the same shall apply in Article 67-11(1)), to ensure fairness of the sales and purchase or other transactions of Securities, and to contribute to the protection of investors.
- 第一項の規定により同項に規定するファイルに記録されている事項又は当該事項を記載した書類を公衆の縦覧に供した場合には、第二十五条第一項(第二十七条において準用する場合を含む。)、第二十七条の十四第一項(第二十七条の二十二の二第二項において準用する場合を含む。)又は第二十七条の二十八第一項(第二十七条の二十九第二項において準用する場合を含む。)に規定する書類について、これらの規定により公衆の縦覧に供されたものとみなして、金融商品取引法令の規定を適用する。
- When the information recorded in the File prescribed in paragraph (1) or the documents containing said information are made available for public inspection under the provision of paragraph (1), the Laws and Regulations on Financial Instruments shall apply to the documents prescribed in Article 25(1) (including the cases where it is applied mutatis mutandis pursuant to Article 27), Article 27-14(1) (including the cases where it is applied mutatis mutandis pursuant to Article 27-22-2(2)), or Article 27-28(1) (including the cases where it is applied mutatis mutandis pursuant to Article 27-29(2)), by deeming that said information or documents have been made available for public inspection under these provisions.
- この法律において「証券投資信託」とは、委託者指図型投資信託のうち主として有価証券(金融商品取引法(昭和二十三年法律第二十五号)第二条第二項の規定により有価証券とみなされる同項各号に掲げる権利を除く。第七条及び第四十八条において同じ。)に対する投資として運用すること(同法第二十八条第八項第六号に規定する有価証券関連デリバティブ取引のうち政令で定めるものを行うことを含む。第七条及び第四十八条において同じ。)を目的とするものであつて、政令で定めるものをいう。
- The term 'Securities Investment Trust' as used in this Act shall mean an Investment Trust Managed under Instructions from the Settlor created for the purpose of investing mainly in Securities (excluding the rights listed in the items of Article 2, paragraph (2) of the Financial Instruments and Exchange Act (Act No. 25 of 1948) which are deemed to be Securities under said Article 2, paragraph (2); the same shall apply in Article 7 and Article 48) (including Transactions of Securities-Related Derivatives as provided in Article 28, paragraph (8), item (vi) of that Act and as specified by a Cabinet Order; the same shall apply in Article 7 and Article 48) and which is specified by a Cabinet Order.
- 特定投資家(金融商品取引法第二条第三十一項に規定する特定投資家をいい、同法第三十四条の三第四項(同法第三十四条の四第四項において準用する場合を含む。)又は同法第三十四条の三第六項(同法第三十四条の四第四項において準用する場合を含む。)の規定により特定投資家とみなされる者のうち内閣府令で定めるものを含み、同法第三十四条の二第五項又は第八項の規定により特定投資家以外の顧客とみなされる者のうち内閣府令で定めるものを除く。)のみを相手方として行う場合で政令で定める場合
- Where such solicitation is made only to Professional Investors (meaning Professional Investors as prescribed in Article 2, paragraph (31) of the Financial Instruments and Exchange Act, including those persons deemed to be Professional Investors under the provisions of Article 34-3, paragraph (4) of that Act (including the cases where it is applied mutatis mutandis pursuant to Article 34-4, paragraph (4) of that Act) or Article 34-3, paragraph (6) of that Act (including the cases where it is applied mutatis mutandis pursuant to Article 34-4, paragraph (4) of that Act) who are specified by a Cabinet Office Ordinance, and excluding those deemed to be customers other than Professional Investors under Article 34-2, paragraph (5) or paragraph (8) of that Act who are specified by a Cabinet Office Ordinance) as specified by a Cabinet Order.
- 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.
- 裁判所は、委託者指図型投資信託の受益証券の募集の取扱い等(募集の取扱い(金融商品取引法第二条第八項第九号に規定する有価証券の募集の取扱いをいう。第百九十六条第二項において同じ。)、私募の取扱い(同号に規定する有価証券の私募の取扱いをいう。)その他政令で定める行為をいう。以下同じ。)につき次の各号のいずれかに該当すると認めるときは、内閣総理大臣の申立てにより、その行為を現に行い、又は行おうとする者(以下この条において「行為者」という。)に対し、その行為の禁止又は停止を命ずることができる。
- When the court finds that Dealings in a Public Offering, etc. (meaning Dealings in Public Offerings (meaning dealings in public offerings of Securities as prescribed in Article 2, paragraph (8), item (ix) of the Financial Instruments and Exchange Act; the same shall apply in Article 196, paragraph (2)), Dealings in Private Placements (meaning dealings in private placements of Securities as provided in Article 2, paragraph (8), item (ix) of that Act), and other acts specified by a Cabinet Order; the same shall apply hereinafter) of Beneficiary Certificates of an Investment Trust Managed under Instructions from the Settlor falls under any of the following items, the court may give an order to the person who has actually conducted or who intends to conduct such acts (hereinafter referred to as the 'Offender' in this Article) prohibiting or suspending such acts upon the filing of a petition by the Prime Minister:
- 当該一般民間国外債の券面及びその発行に係る目論見書に、居住者又は内国法人が当該一般民間国外債の利子の支払を受ける場合(国内金融機関等については、前項において準用する第四項本文及び第六項の規定によりその者による非課税適用申告書の提出がある場合又は前項において準用する第七項の規定により当該一般民間国外債の利子の支払をする者による利子受領者確認書の提出がある場合を除く。)には、次のイ又はロに掲げる場合の区分に応じそれぞれイ又はロに定める金額に係る利子について所得税が課される旨の記載があること。
- In the certificates of the said general foreign-issued company bonds and the prospectus pertaining to the issue thereof, it is stated that where a resident or domestic corporation receives payment of interest on the said general foreign-issued company bonds (where a domestic financial institution, etc. receives payment, the case where it has submitted a written application for tax exemption pursuant to the provision of the main clause of paragraph (4) and the provision of paragraph (6) as applied mutatis mutandis pursuant to the preceding paragraph or where the person who pays interest on the said general foreign-issued company bonds has submitted an interest recipient confirmation document pursuant to the provision of paragraph (7) as applied mutatis mutandis pursuant to the preceding paragraph shall be excluded), income tax shall be imposed on any interest on the amount specified in (a) or (b) below for the category listed in (a) or (b) respectively:
- 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.
- 地域によっては、(金融期間に属さない)商用ATMがコンビニエンスストアのような場所に設置されています。これらのATMは利用手数料を別の取引として表示したり毎月の銀行利用手数料としたりするかわりに、金額に直接加算します。例えば、10,000円を引き出すと、10,105円+相互利用手数料が口座から引かれます。もしこれを手動で10,000円として入力したとすると、金額が一致しません。このような取引を一致していると認識できるようにするため、この値をあなたの地域での最大の利用手数料に(あなたの地域の通貨で)設定してください。
- In some places commercial ATMs (not belonging to a financial institution) are installed in places like convenience stores. These ATMs add their fee directly to the amount instead of showing up as a separate transaction or in your monthly banking fees. For example, you withdraw $100, and you are charged $101,50 plus Interac fees. If you manually entered that $100, the amounts won't match. You should set this to whatever is the maximum such fee in your area (in units of your local currency), so the transaction will be recognised as a match.
- 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.'
- 投資信託財産として有する有価証券に係る議決権並びに会社法第百六十六条第一項、第二百二条第二項及び第四百六十九条第一項の規定に基づく株主の権利、同法第八百二十八条第一項の規定に基づき同項第二号及び第三号に掲げる行為の無効を主張する権利その他これらに準ずる株主の権利で内閣府令で定めるもの(投資主、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。次項において「優先出資法」という。)に基づく優先出資者その他政令で定める者の権利でこれらに類する権利として政令で定めるものを含む。)の行使については、投資信託委託会社がその指図を行うものとする。
- With regard to voting rights and the rights of shareholder under Article 166, paragraph (1), Article 202, paragraph (2) and Article 469, paragraph (1) of the Companies Act, the right under Article 828, paragraph (1) of that Act to assert the invalidity of the acts listed in Article 828, paragraph (1), item (ii) and item (iii) of that Act, and the rights of shareholder specified by a Cabinet Office Ordinance as those equivalent to foregoing rights (including the rights of an Investor, preferred equity investors under the Act on Preferred Equity Investment by Cooperative Structured Financial Institutions (Act No. 44 of 1993; referred to as the 'Act on Preferred Equity Investment' in the following paragraph), or any other person designated by a Cabinet Order as those similar to foregoing rights) pertaining to securities held as Investment Trust Property, the Settlor Company of an Investment Trust shall give instructions on their exercise.
- 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.
- 債務者の財産に属する権利で登記がされたものについて破産法第二百五十八条第一項第二号若しくは第二百五十九条第一項第一号(同条第二項において準用する場合を含む。)、民事再生法第十二条第一項(同条第二項において準用する場合を含む。)、会社更生法第二百六十条第一項(同条第二項において準用する場合を含む。)、金融機関等の更生手続の特例等に関する法律第百六十一条第一項(同条第二項において準用する場合を含む。)若しくは第三百三十四条第一項(同条第二項において準用する場合を含む。)又は会社法第九百三十八条第三項(同条第四項又は他の法律において準用する場合を含む。)の規定によりされた登記
- a registration made with regard to a registered right to the debtor's property under the provisions of Article 258, paragraph (1), item (ii) of the Bankruptcy Act or Article 259, paragraph (1), item (i) of said Act (including cases where applied mutatis mutandis pursuant to paragraph (2) of said Article), Article 12, paragraph (1) of the Civil Rehabilitation Act (including cases where applied mutatis mutandis pursuant to paragraph (2) of said Article), Article 260, paragraph (1) of the Corporate Reorganization Act (including cases where applied mutatis mutandis pursuant to paragraph (2) of said Article), Article 161, paragraph (1) of the Act on Special Measures, etc. for Reorganization Proceedings for Financial Institutions, etc. (including cases where applied mutatis mutandis pursuant to paragraph (2) of said Article) or Article 334, paragraph (1) of said Act (including cases where applied mutatis mutandis pursuant to paragraph (2) of said Article) or Article 938, paragraph (3) of the Companies Act (including cases where applied mutatis mutandis pursuant to paragraph (4) of said Article or to other Acts); or
- 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.
- 譲渡事業年度開始の日の前日において、その株式又は出資(金融商品取引所に上場されているものその他これに類するものとして財務省令で定めるものに限る。次号において「上場株式等」という。)に係る第一項第四号の不動産関連法人の特殊関係株主等が当該不動産関連法人の発行済株式の又は出資(当該不動産関連法人が有する自己の株式又は出資を除く。次号において「発行済株式等」という。)の総数又は総額の百分の五を超える数又は金額の株式又は出資(当該特殊関係株主等が次項第三号に掲げる者である場合には、同号の組合財産であるものに限る。)を有し、かつ、その株式又は出資の譲渡をした者が当該特殊関係株主等である場合の当該譲渡
- The transfer of shares or capital contributions in the case where a specially-related shareholder, etc. of the real estate-related corporation referred to in paragraph (1)(iv) pertaining to the shares or capital contributions (limited to those listed in a financial instruments exchange or others specified by an Ordinance of the Ministry of Finance as being similar thereto; referred to as 'listed shares, etc.' in the next item) had owned, on the previous day of the first day of the business year containing the date of transfer, the number or amount of shares or capital contributions accounting for five percent or more of the total number or total amount of the said real estate-related corporation's issued shares or capital contributions (excluding own shares or capital contributions that the said real estate-related corporation owns; referred to as 'issued shares, etc.' in the next item) and the person who transferred the shares or capital contributions is the said specially-related shareholder, etc.;
- 六月を超えない範囲内において政令で定める期間内に政令で定める割合を超える株券等の取得を株券等の買付け等又は新規発行取得(株券等の発行者が新たに発行する株券等の取得をいう。以下この号において同じ。)により行う場合(株券等の買付け等により行う場合にあつては、政令で定める割合を超える株券等の買付け等を特定売買等による株券等の買付け等又は取引所金融商品市場外における株券等の買付け等(公開買付けによるものを除く。)により行うときに限る。)であつて、当該買付け等又は新規発行取得の後におけるその者の所有に係る株券等の株券等所有割合が三分の一を超えるときにおける当該株券等の買付け等(前三号に掲げるものを除く。)
- Purchase, etc. of Share Certificates, etc. in cases where acquisition of Share Certificates, etc. in excess of the proportion specified by a Cabinet Order during the period specified by a Cabinet Order not exceeding six months is made by Purchase, etc. of Share Certificates, etc. or Acquisition of Newly Issued Share Certificates, etc. (meaning acquisition of Share Certificates, etc. which is newly issued by its Issuer; hereinafter the same shall apply in this item) (in cases where such acquisition of Share Certificates, etc. is made by Purchase, etc. of Share Certificates, etc., limited to Purchase, etc. of Share Certificates, etc. in excess of the proportion specified by a Cabinet Order conducted through Specified Sales and Purchase, etc. or outside of Financial Instruments Exchange Markets (excluding that conducted by a Tender Offer)) and the Share Certificates, etc. Holding Rate of Share Certificates, etc. in possession by the person who conducted the Purchase, etc. of Share Certificates, etc. exceeds one third after the Purchase, etc. of Share Certificates, etc. or the Acquisition of Newly Issued Share Certificates, etc. (excluding those listed in the preceding three items);
- 第二十四条第一項の規定による有価証券報告書を提出しなければならない会社(第二十三条の三第四項の規定により当該有価証券報告書を提出した会社を含む。次項において同じ。)のうち、第二十四条第一項第一号に掲げる有価証券の発行者である会社その他の政令で定めるものは、内閣府令で定めるところにより、当該有価証券報告書の記載内容が金融商品取引法令に基づき適正であることを確認した旨を記載した確認書(以下この条及び次条において「確認書」という。)を当該有価証券報告書(第二十四条第八項の規定により同項に規定する有価証券報告書等に代えて外国会社報告書を提出する場合にあつては、当該外国会社報告書)と併せて内閣総理大臣に提出しなければならない。
- A company which is required to submit Annual Securities Reports under Article 24(1) (including those which have submitted Annual Securities Reports under Article 23-3(4); the same shall apply in the following paragraph) shall, if the Securities issued by the company are those listed in Article 24(1)(i) or the company is otherwise required by a Cabinet Order, submit, together with an Annual Securities Report (or a Foreign Company Report in cases where Foreign Company Reports are submitted instead of Annual Securities Reports, etc. defined in Article 24(8) under Article 24(8)), a letter confirming that, pursuant to the provisions of a Cabinet Office Ordinance, statements contained in the Annual Securities Report are appropriate under the Financial Instruments and Exchange Act and Related Regulations (hereinafter referred to as a 'Confirmation Letter' in this Article and the following Article).
- 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
- 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.
- 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.'
- 金融商品取引法第三十六条第一項、第三十七条(第一項第二号を除く。)、第三十七条の三第一項(第二号及び第六号を除く。)及び第二項、第三十七条の四、第三十八条、第三十九条第一項、第三項及び第五項、第四十条、第四十四条の三第一項(第三号を除く。)並びに第四十五条(第三号及び第四号を除く。)の規定は設立企画人が設立中の投資法人の発行する投資証券の募集等を行う場合におけるその設立企画人(法人である場合においては、その役員及び使用人を含む。以下この条において「特定設立企画人等」という。)について、同法第三十九条第二項及び第四項の規定は特定設立企画人等の顧客について、それぞれ準用する。この場合において、必要な技術的読替えは、政令で定める。
- The provisions of Article 36, paragraph (1), Article 37 (excluding paragraph (1), item (ii)), Article 37-3, paragraph (1) (excluding item (ii) and item (vi)) and paragraph (2), Article 37-4, Article 38, Article 39, paragraph (1), paragraph (3), and paragraph (5), Article 40, Article 44-3, paragraph (1) (excluding item (iii)), and Article 45 (excluding item (iii) and item (iv)) of the Financial Instruments and Exchange Act shall apply mutatis mutandis to the organizer(s) (in cases where the organizer is a juridical person, its officers and employees shall be included; hereinafter referred to as the 'Specified Organizer(s), etc.' in this Article) in cases where the organizer(s) has dealings in a Public Offering, etc. of Investment Securities issued by an Investment Corporation that is in the process of being established and the provisions of Article 39, paragraph (2) and paragraph (4) of that Act apply mutatis mutandis to the customers of the Specified Organizer(s), etc. In this case, any necessary technical replacement of terms shall be specified by a Cabinet Order.
- 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.
- 金融商品取引業者等は、第二条第二項第五号若しくは第六号に掲げる権利又は同条第一項第二十一号に掲げる有価証券(政令で定めるものに限る。)若しくは同条第二項第七号に掲げる権利(政令で定めるものに限る。)については、当該権利又は有価証券に関し出資され、又は拠出された金銭(これに類するものとして政令で定めるものを含む。以下この条において同じ。)が、当該金銭を充てて行われる事業を行う者の固有財産その他当該者の行う他の事業に係る財産と分別して管理することが当該権利又は有価証券に係る契約その他の法律行為において確保されているものとして内閣府令で定めるものでなければ、第二条第八項第一号、第二号又は第七号から第九号までに掲げる行為を行つてはならない。
- With regard to the rights listed in Article 2(2)(v) or (vi) or the Securities listed in Article 2(1)(xxi) (limited to those specified by a Cabinet Order) or the rights listed in Article 2(2)(vii) (limited to those specified by a Cabinet Order), a Financial Instruments Business Operator, etc. may not conduct any of the acts listed in Article 2(8)(i), (ii) or (vii) to (ix) unless the relevant right or Securities are specified by a Cabinet Office Ordinance as those for which it is ensured by means of a contract or other juristic act pertaining to the right or Securities that the money invested or contributed for the right or Securities (including those specified by a Cabinet Order as being similar to money; hereinafter the same shall apply in this Article) is managed separately from the property that belongs to the person who conducts the relevant business to be operated using such money, or any other property pertaining to other businesses conducted by that person.
- 第一項の規定の適用を受けようとする外国金融機関等は、政令で定めるところにより、その支払を受けるべき特定利子につき同項の規定の適用を受けようとする旨、その者の名称及び本店又は主たる事務所の所在地(国内に恒久的施設を有する外国法人にあつては、財務省令で定める場所。以下この条において同じ。)その他の財務省令で定める事項を記載した申告書(以下この条において「非課税適用申告書」という。)を、最初にその支払を受けるべき日の前日までに、その特定利子の支払をする者を経由してその支払をする者の当該特定利子に係る所得税法第十七条の規定による納税地(同法第十八条第二項の規定による指定があつた場合には、その指定をされた納税地)の所轄税務署長に提出しなければならない。
- A foreign financial institution, etc. that seeks the application of the provision of paragraph (1) shall, pursuant to the provision of a Cabinet Order, submit a written application stating that it seeks the application of the provision of the said paragraph with respect to the specified interest receivable, as well as its name and the location of its head office or principal office (or any other place specified by an Ordinance of the Ministry of Finance in the case of a foreign corporation having permanent establishments in Japan; hereinafter the same shall apply in this Article) and any other matters specified by an Ordinance of the Ministry of Finance (hereinafter referred to in this Article as a 'written application for tax exemption'), no later than the day preceding the day on which the foreign financial institution, etc. is to receive payment for the first time, via the person who pays the specified interest, to the competent district director having jurisdiction over the place for tax payment pursuant to the provision of Article 17 of the Income Tax Act which pertains to the person who makes payment in terms of the said specified interest (in the case where another place has been designated pursuant to the provision of Article 18(2) of the said Act: the designated place for tax payment).
- 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.
- 譲渡年の前年の十二月三十一日(以下この項において「基準日」という。)において、その株式又は出資(金融商品取引所に上場されているものその他これに類するものとして財務省令で定めるものに限る。次号において「上場株式等」という。)に係る第一項第四号の不動産関連法人の特殊関係株主等が当該不動産関連法人の発行済株式(投資信託及び投資法人に関する法律第二条第十二項に規定する投資法人にあつては、発行済みの投資口)又は出資(当該不動産関連法人が有する自己の株式又は出資を除く。次号において「発行済株式等」という。)の総数又は総額の百分の五を超える数又は金額の株式又は出資(当該特殊関係株主等が次項第三号に掲げる者である場合には、同号の組合財産であるものに限る。)を有し、かつ、その株式又は出資の譲渡をした者が当該特殊関係株主等である場合の当該譲渡
- The transfer of shares or capital contributions in the case where a specially-related shareholder, etc. of the real estate-related corporation referred to in paragraph (1)(iv) pertaining to the shares or capital contributions (limited to those listed in a financial instruments exchange or others specified by an Ordinance of the Ministry of Finance as being similar thereto; referred to as 'listed shares, etc.' in the next item) had owned, on December 31st of the year preceding the year containing the date of transfer (hereinafter referred to as the 'base date' in this paragraph), the number or amount of shares or capital contributions accounting for five percent or more of the total number or total amount of the said real estate-related corporation's issued shares (or issued units of investment in the case of an investment corporation prescribed in Article 2(12) of the Act on Investment Trust and Investment Corporation) or capital contributions (excluding own shares or capital contributions that the said real estate-related corporation owns; referred to as 'issued shares, etc.' in the next item) and the person who transferred the shares or capital contributions is the said specially-related shareholder, etc.
- 会社法第八百二十八条第一項(第一号に係る部分に限る。)及び第二項(第一号に係る部分に限る。)、第八百三十四条(第一号に係る部分に限る。)、第八百三十五条第一項、第八百三十六条第一項及び第三項、第八百三十七条から第八百三十九条まで並びに第八百四十六条の規定は、金融商品会員制法人の設立の無効の訴えについて準用する。この場合において、同法第八百二十八条第二項第一号中「株主等(株主、取締役又は清算人(監査役設置会社にあっては株主、取締役、監査役又は清算人、委員会設置会社にあっては株主、取締役、執行役又は清算人)をいう。以下この節において同じ。)又は設立する持分会社の社員等(社員又は清算人をいう。以下この項において同じ。)」とあるのは、「会員、理事長及び理事、監事又は清算人」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
- The provisions of Article 828, paragraph (1) (limited to the part pertaining to item (i)) and paragraph (2) (limited to the part pertaining to item (i)), Article 834 (limited to the part pertaining to item (i)), Article 835(1), Article 836(1) and (3), Article 837 to Article 839 inclusive and Article 846 of the Companies Act shall apply mutatis mutandis to an action seeking invalidation of the establishment of a Financial Instruments Membership Corporation. In this case, the term 'a Shareholder etc. (meaning a shareholder, director or liquidator (or, for a Company with Company Auditors, it means a shareholder, director, company auditor or liquidator; and for a Company with Committees, it means a shareholder, director, executive officer, or liquidator); hereinafter the same shall apply in this Section) of the incorporated Stock Company or a Partner, etc. (meaning a partner or liquidator; hereinafter the same shall apply in this paragraph) of the incorporated Membership Company' in Article 828(2)(i) of that Act shall be deemed to be replaced with 'members, president and board members, auditors or liquidators,' and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
- 第四項の規定により臨時報告書を提出しなければならない会社(第二十四条第五項において準用する同条第一項の規定による有価証券報告書を提出しなければならない会社に限る。)が、内閣府令で定めるところにより、第四項の規定による臨時報告書に記載すべき内容の一部を記載した書面(法令又は金融商品取引所の規則(これに類するものとして内閣府令で定めるものを含む。)に基づいて作成された書面に限る。以下この項及び次項において「臨時代替書面」という。)を臨時報告書と併せて内閣総理大臣に提出する場合において、公益又は投資者保護に欠けることがないものとして内閣府令で定めるところにより内閣総理大臣の承認を受けた場合における第四項の規定の適用については、同項中「その内容を記載した報告書」とあるのは、「その内容(第十五項に規定する臨時代替書面に記載された内容を除く。)を記載した報告書」とする。
- In cases where a company required to submit an Extraordinary Report under paragraph (4) (limited to a company which is required to submit Annual Securities Reports under Article 24 (1) as applied mutatis mutandis pursuant to Article 24 (5)) submits documents containing, pursuant to the provisions of a Cabinet Office Ordinance, descriptions on part of the matters to be stated in an Extraordinary Report set forth in paragraph (4) (limited to documents prepared based on laws and regulations or rules of a Financial Instruments Exchange (including those specified by a Cabinet Office Ordinance as being similar to such rules); such documents are hereinafter referred to as 'Documents Substituting Part of an Extraordinary Report' in this paragraph and the following paragraph) together with an Extraordinary Report to the Prime Minister, with regard to the application of paragraph (4) to cases approved by the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance as those where the public interest or protection of investors would not be impaired, the term 'a report stating the details thereof' in paragraph (4) shall be deemed to be replaced with 'a report stating the details thereof (excluding the details stated in Documents Substituting Part of an Extraordinary Report as defined in paragraph (15).'
- 第一項(第三項において準用する場合に限る。以下この条において同じ。)の規定により四半期報告書を提出しなければならない会社(第二項(第三項において準用する場合に限る。)の規定により四半期報告書を提出する会社を含む。)が、内閣府令で定めるところにより、第一項に規定する内閣府令で定める事項の一部を記載した書面(法令又は金融商品取引所の規則(これに類するものとして内閣府令で定めるものを含む。)に基づいて作成された書面に限る。以下この項及び次項において「四半期代替書面」という。)を四半期報告書と併せて内閣総理大臣に提出する場合において、公益又は投資者保護に欠けることがないものとして内閣府令で定めるところにより内閣総理大臣の承認を受けた場合における第一項の適用については、同項中「内閣府令で定める事項」とあるのは、「内閣府令で定める事項(第十二項に規定する四半期代替書面に記載された事項を除く。)」とする。
- In cases where a company required to submit Quarterly Securities Reports under paragraph (1) (limited to cases where it is applied mutatis mutandis pursuant to paragraph (3); hereinafter the same shall apply in this Article)(including a company submitting Quarterly Securities Reports under paragraph (2) (limited to cases where it is applied mutatis mutandis pursuant to paragraph (3))) submits, pursuant to the provisions of a Cabinet Office Ordinance, documents containing descriptions on part of the matters specified by a Cabinet Office Ordinance under paragraph (1) (limited to documents prepared based on laws and regulations or rules of a Financial Instruments Exchange (including those specified by a Cabinet Office Ordinance as being similar to such rules); such documents are hereinafter referred to as 'Documents Substituting Part of a Quarterly Securities Report' in this paragraph and the following paragraph) together with a Quarterly Securities Report to the Prime Minister, with regard to the application of paragraph (1) to cases approved by the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance as those where the public interest or protection of investors would not be impaired, the term 'other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors' in paragraph (1) shall be deemed to be replaced with 'other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors (excluding matters stated in Documents Substituting Part of a Quarterly Securities Report as defined in paragraph (12)).'
- 内閣総理大臣は、認可協会が法令、法令に基づく行政官庁の処分若しくは当該認可協会の定款その他の規則(以下この条において「法令等」という。)に違反した場合又は協会員、金融商品仲介業者若しくは店頭売買有価証券若しくは取扱有価証券の発行者が法令等に違反し、若しくは定款その他の規則に定める取引の信義則に背反する行為をしたにもかかわらず、これらの者に対し法令等若しくは当該取引の信義則を遵守させるために認可協会がこの法律、この法律に基づく命令若しくは定款その他の規則により認められた権能を行使せずその他必要な措置をすることを怠つた場合において、公益又は投資者保護のため必要かつ適当であると認めるときは、その設立の認可を取り消し、一年以内の期間を定めてその業務の全部若しくは一部の停止を命じ、その業務の方法の変更若しくはその業務の一部の禁止を命じ、その役員の解任を命じ、又は定款その他の規則に定める必要な措置をすることを命ずることができる。
- When an Authorized Association has violated laws and regulations, a disposition given by government agencies based on laws and regulations, or its articles of incorporation or any other rules (hereinafter referred to as the 'Laws and Regulations, etc.' in this Article); or, despite the fact that a Member Firm, a Financial Instruments Intermediary Service Provider, or an issuer of Over-the-Counter Traded Securities or Tradable Securities has violated the Laws and Regulations, etc., or has committed an act contrary to the fair and equitable principles of transactions specified in the articles of incorporation or any other rules, the Authorized Association has failed to exercise its powers vested under this Act, an order given under this Act, or its articles of incorporation or any other rules, or to take any other necessary measures, for having such persons observe the Laws and Regulations, etc. or the fair and equitable principles of transactions, if the Prime Minister finds it necessary and appropriate for the public interest and protection of investors, he/she may rescind the authorization of its establishment, issue an order of suspension of all or part of its business, specifying a period of suspension not exceeding one year, issue an order of change of its business methods or of prohibition of a part of its business, issue an order of dismissal of its Officers, or issue an order to take necessary measures specified in the articles of incorporation or any other rules.
- 第一項(第五項において準用する場合を含む。以下この項から第十三項までにおいて同じ。)の規定により有価証券報告書を提出しなければならない外国会社(第二十三条の三第四項の規定により有価証券報告書を提出したものを含む。以下「報告書提出外国会社」という。)は、公益又は投資者保護に欠けることがないものとして内閣府令で定める場合には、第一項の規定による有価証券報告書及び第六項の規定によりこれに添付しなければならない書類(以下この条において「有価証券報告書等」という。)に代えて、外国において開示(当該外国の法令(外国金融商品市場を開設する者その他の内閣府令で定める者の規則を含む。)に基づいて当該外国において公衆の縦覧に供されることをいう。第二十四条の四の七第六項及び第二十四条の五第七項において同じ。)が行われている有価証券報告書等に類する書類であつて英語で記載されたもの(以下この章において「外国会社報告書」という。)を提出することができる。
- In the cases specified by a Cabinet Office Ordinance as cases where the public interest or protection of investors would not be impaired, a foreign company required to submit Annual Securities Reports under paragraph (1) (including the cases where it is applied mutatis mutandis pursuant to paragraph (5); hereinafter the same shall apply in this paragraph to paragraph (13)) (including foreign companies which have submitted Annual Securities Reports under Article 23-3(4); hereinafter referred as to 'Reporting Foreign Company') may submit, instead of Annual Securities Reports to be submitted under paragraph (1) and the documents to be attached thereto under paragraph (6) (hereinafter collectively referred to as 'Annual Securities Reports, etc.' in this Article), documents which are prepared in English and are similar to Annual Securities Reports, etc. Disclosed in a Foreign State (meaning the state of having been made available for public inspection based on laws and regulations under the foreign state (including the rules provided for by the operator of a Foreign Financial Instruments Market or other person specified by a Cabinet Office Ordinance); the same shall apply hereinafter in Articles 24-4-7(6) and 24-5(7)) (such documents are hereinafter referred to as 'Foreign Company Reports' in this Chapter).
- 第一項(第三項において準用する場合に限る。以下この項及び次項において同じ。)の規定により半期報告書を提出しなければならない会社が、内閣府令で定めるところにより、第一項に規定する内閣府令で定める事項の一部を記載した書面(法令又は金融商品取引所の規則(これに類するものとして内閣府令で定めるものを含む。)に基づいて作成された書面に限る。以下この項及び次項において「半期代替書面」という。)を半期報告書と併せて内閣総理大臣に提出する場合において、公益又は投資者保護に欠けることがないものとして内閣府令で定めるところにより内閣総理大臣の承認を受けた場合における第一項及び第二項の規定の適用については、第一項中「内閣府令で定める事項」とあるのは「内閣府令で定める事項(第十三項に規定する半期代替書面に記載された事項を除く。)」と、第二項中「同項に規定する事項」とあるのは「同項に規定する事項(第十三項に規定する半期代替書面に記載された事項を除く。)」とする。
- In cases where a company required to submit Semiannual Securities Reports under paragraph (1) (limited to cases where it is applied mutatis mutandis pursuant to paragraph (3); hereinafter the same shall apply in this paragraph and following paragraph) submits, pursuant to the provisions of a Cabinet Office Ordinance, documents containing descriptions on part of the matters specified by a Cabinet Office Ordinance under paragraph (1) (limited to documents prepared based on laws and regulations or rules of a Financial Instruments Exchange (including those specified by a Cabinet Office Ordinance as being similar to such rules); such documents are hereinafter referred to as 'Documents Substituting Part of a Semiannual Securities Report' in this paragraph and the following paragraph) together with a Semiannual Securities Report to the Prime Minister, with regard to the application of paragraph (1) and (2) to cases approved by the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance as those where the public interest or protection of investors would not be impaired, the term 'other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors' in paragraph (1) shall be deemed to be replaced with 'other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors (excluding matters stated in Documents Substituting Part of a Semiannual Securities Report as defined in paragraph (13))'; and the term 'the matters set forth in the preceding paragraph' in paragraph (2) shall be deemed to be replaced with 'the matters set forth in the preceding paragraph (excluding matters stated in Documents Substituting Part of a Semiannual Securities Report as defined in paragraph (13)).'
- 第一項(第五項において準用する場合に限る。以下この条において同じ。)の規定により有価証券報告書を提出しなければならない会社が、内閣府令で定めるところにより、第一項に規定する内閣府令で定める事項の一部を記載した書面(法令又は金融商品取引所の規則(これに類するものとして内閣府令で定めるものを含む。)に基づいて作成された書面に限る。以下この項及び次項において「報告書代替書面」という。)を有価証券報告書と併せて内閣総理大臣に提出する場合において、公益又は投資者保護に欠けることがないものとして内閣府令で定めるところにより内閣総理大臣の承認を受けた場合における第一項及び第二項の規定の適用については、第一項中「内閣府令で定める事項」とあるのは「内閣府令で定める事項(第十四項に規定する報告書代替書面に記載された事項を除く。)」と、第二項中「同項本文に規定する事項」とあるのは「同項本文に規定する事項(第十四項に規定する報告書代替書面に記載された事項を除く。)」とする。
- In cases where a company required to submit Annual Securities Reports under paragraph (1) (limited to cases where it is applied mutatis mutandis pursuant to paragraph (5); hereinafter the same shall apply in this Article) submits, pursuant to the provisions of a Cabinet Office Ordinance, documents containing descriptions on part of the matters specified by a Cabinet Office Ordinance under paragraph (1) (limited to documents prepared based on laws and regulations or rules of a Financial Instruments Exchange (including those specified by a Cabinet Office Ordinance as being similar to such rules); such documents are hereinafter referred to as 'Documents Substituting Part of an Annual Securities Report' in this paragraph and the following paragraph) together with an Annual Securities Report to the Prime Minister, with regard to the application of paragraphs (1) and (2) to cases approved by the Prime Minister as specified by a Cabinet Office Ordinance as those where the public interest or protection of investors would not be impaired, the term 'other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors' in paragraph (1) shall be deemed to be replaced with 'other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors (excluding matters stated in Documents Substituting Part of an Annual Securities Report defined in paragraph (14))'; and the term 'among the matters set forth in the main clause of Article 5(1)' in paragraph (2) shall be deemed to be replaced with 'among the matters set forth in the main clause of Article 5(1) (excluding matters stated in Documents Substituting Part of an Annual Securities Report defined in paragraph (14)).'
- 第二十四条第八項、第九項及び第十一項から第十三項までの規定は、外国会社である親会社等が親会社等状況報告書を提出する場合について準用する。この場合において、同条第八項中「外国会社(第二十三条の三第四項の規定により有価証券報告書を提出したものを含む。以下「報告書提出外国会社」という。)」とあるのは「外国会社である親会社等(第二十四条の七第一項に規定する親会社等をいう。以下この条において同じ。)」と、「外国において開示(当該外国の法令(外国金融商品市場を開設する者その他の内閣府令で定める者の規則を含む。)に基づいて当該外国において公衆の縦覧に供されることをいう。第二十四条の四の七第六項及び第二十四条の五第七項において同じ。)が行われている有価証券報告書等に類する」とあるのは「親会社等状況報告書に記載すべき事項を記載した」と、同条第九項中「、当該外国会社報告書に記載されていない事項のうち公益又は投資者保護のため必要かつ適当なものとして内閣府令で定めるものを記載した書類その他」とあるのは「その他」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
- Article 24(8), (9) and (11) to (13) shall apply mutatis mutandis to cases where a Parent Company, etc. which is a foreign company submits a Status Report of Parent Company, etc. In this case, the parts 'a foreign company,' ') (including foreign companies which have submitted Annual Securities Reports under Article 23-3(4); hereinafter referred as to 'Reporting Foreign Company'),' and 'and are similar to Annual Securities Reports, etc. Disclosed in a Foreign State (meaning the state of having been made available for public inspection under laws and regulations under the foreign state (including the rules provided for by the operator of a Foreign Financial Instruments Market or other person specified by a Cabinet Office Ordinance); the same shall apply hereinafter in Articles 24-4-7(6) and 24-5(7))' in Article 24(8) shall be deemed to be replaced with 'a Parent Company, etc. which is a foreign company (meaning Parent Company, etc. as defined by Article 24-7(1); hereinafter the same shall apply in this Article),' '),' and 'and states the matters to be stated in the Status Report of Parent Company, etc.,' respectively; the part 'documents stating the matters specified by a Cabinet Office Ordinance as those necessary and appropriate for the public interest or protection of investors among the matters not stated in the Foreign Company Report, and other' in Article 24(9) shall be deemed to be replaced with 'other'; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
- 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.
- 株券、新株予約権付社債券その他の政令で定める有価証券(以下この項において「株券関連有価証券」という。)で金融商品取引所に上場されているもの(流通状況がこれに準ずるものとして政令で定める株券関連有価証券を含む。)の発行者である法人が発行者(内閣府令で定める有価証券については、内閣府令で定める者。第二十七条の三十第二項を除き、以下この章及び第二十七条の三十の十一第四項において同じ。)である対象有価証券(当該対象有価証券に係るオプション(当該オプションの行使により当該行使をした者が当該オプションに係る対象有価証券の売買において買主としての地位を取得するものに限る。)を表示する第二条第一項第十九号に掲げる有価証券その他の当該対象有価証券に係る権利を表示するものとして政令で定めるものを含む。以下この章及び第二十七条の三十の十一第四項において「株券等」という。)の保有者で当該株券等に係るその株券等保有割合が百分の五を超えるもの(以下この章において「大量保有者」という。)は、内閣府令で定めるところにより、株券等保有割合に関する事項、取得資金に関する事項、保有の目的その他の内閣府令で定める事項を記載した報告書(以下「大量保有報告書」という。)を大量保有者となつた日から五日(日曜日その他政令で定める休日の日数は、算入しない。第二十七条の二十五第一項及び第二十七条の二十六において同じ。)以内に、内閣総理大臣に提出しなければならない。ただし、第四項に規定する保有株券等の総数に増加がない場合その他の内閣府令で定める場合については、この限りでない。
- A holder of the Target Securities (including the Securities listed in Article 2(1)(xix) indicating the Options pertaining to said Target Securities (limited to the Options which cause a person who has exercised said Options to acquire a position as a buyer in the sales or purchase of the Target Securities pertaining to said Options) and other Securities specified by a Cabinet Order as those which indicate the rights pertaining to said Target Securities) whose issuer is a juridical person which is an issuer (with regard to the Securities specified by a Cabinet Office Ordinance, a person specified by a Cabinet Office Ordinance; the same shall apply hereinafter in this Chapter and Article 27-30-11(4), except for Article 27-30(2)) of share certificates, bonds with share option and other Securities specified by a Cabinet Order (hereinafter referred to as the 'Securities Related to Share Certificates' in this paragraph) that are listed on a Financial Instruments Exchange (including the Securities Related to Share Certificates specified by a Cabinet Order as those of which the state of distribution can be regarded as being equivalent to said Securities) (such Securities shall be hereinafter collectively referred to as the 'Share Certificates, etc.' in this Chapter and Article 27-30-11(4)), and whose Holding Ratio of Share Certificates, etc. pertaining to said Share Certificates, etc. exceeds 5% (such holder shall be hereinafter referred to as a 'Large Volume Holder' in this Chapter) shall, pursuant to the provisions of a Cabinet Office Ordinance, submit to the Prime Minister a report that contains the matters related to the Holding Ratio of Share Certificates, etc., matters related to the funds for the acquisition, purposes of holding and any other matters specified by a Cabinet Office Ordinance (such report shall be hereinafter referred to as 'Reports of Possession of Large Volume'), within five days from the date on which such person has come to be a Large Volume Holder (Sundays and other holidays specified by a Cabinet Order shall not be included for the purpose of counting days; the same shall apply in Article 27-25(1) and Article 27-26); provided, however, that this shall not apply to the cases where there is no increase in the total number of the Share Certificates, etc. held set forth in paragraph (4) or to any other case specified by a Cabinet Office Ordinance.
- 第二十四条第八項、第九項及び第十一項から第十三項までの規定は、報告書提出外国会社が第一項又は第二項の規定による内部統制報告書を提出する場合(外国会社報告書を提出している場合に限る。)について準用する。この場合において、同条第八項中「外国会社(第二十三条の三第四項の規定により有価証券報告書を提出したものを含む。以下「報告書提出外国会社」という。)」とあるのは「外国会社」と、「第一項の規定による有価証券報告書及び第六項の規定によりこれに添付しなければならない書類(以下この条において「有価証券報告書等」という。)」とあるのは「第二十四条の四の四第一項又は第二項(これらの規定を同条第三項において準用する場合を含む。)の規定による内部統制報告書及び同条第四項の規定によりこれに添付しなければならない書類(以下この条において「内部統制報告書等」という。)」と、「外国において開示(当該外国の法令(外国金融商品市場を開設する者その他の内閣府令で定める者の規則を含む。)に基づいて当該外国において公衆の縦覧に供されることをいう。第二十四条の四の七第六項及び第二十四条の五第七項において同じ。)が行われている有価証券報告書等に類する」とあるのは「内部統制報告書等に記載すべき事項を記載した」と、同条第九項中「、当該外国会社報告書に記載されていない事項のうち公益又は投資者保護のため必要かつ適当なものとして内閣府令で定めるものを記載した書類その他」とあるのは「その他」と、同条第十一項中「有価証券報告書等」とあるのは「内部統制報告書等」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
- Article 24(8), (9) and (11) to (13) shall apply mutatis mutandis to cases where a Reporting Foreign Company submits an Internal Control Report under paragraph (1) or (2) of this Article (limited to cases where the Reporting Foreign Company submits Foreign Company Reports). In this case, the parts ') (including foreign companies which have submitted Annual Securities Reports under Article 23-3(4); hereinafter referred as to 'Reporting Foreign Company'),' 'Annual Securities Reports to be submitted under paragraph (1) and the documents to be attached thereto under paragraph (6) (hereinafter collectively referred to as 'Annual Securities Reports, etc.' in this Article)' and 'and are similar to Annual Securities Reports, etc. Disclosed in a Foreign State (meaning the state of having been made available for public inspection under laws and regulations under the foreign state (including the rules provided for by the operator of a Foreign Financial Instruments Market or other person specified by a Cabinet Office Ordinance); the same shall apply hereinafter in Articles 24-4-7(6) and 24-5(7))' in Article 24(8) shall be deemed to be replaced with '),' 'an Internal Control Report to be submitted under Article 24-4-4(1) or (2) (including the cases where they are applied mutatis mutandis pursuant to Article 24-4-4(3)) and documents to be attached under Article 24-4-4(4) (hereinafter collectively referred to as an 'Internal Control Report, etc.')' and 'and states the matters to be stated in the Internal Control Report, etc.,' respectively; the part 'documents stating the matters specified by a Cabinet Office Ordinance as those necessary and appropriate for the public interest or protection of investors among the matters not stated in the Foreign Company Report, and other' in Article 24(9) shall be deemed to be replaced with 'other'; the term 'Annual Securities Reports, etc.' in Article 24(11) shall be deemed to be replaced with 'Internal Control Report, etc.'; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
- 第二十四条第八項、第九項及び第十一項から第十三項までの規定は、報告書提出外国会社が第一項又は第二項の規定により確認書を提出する場合(外国会社報告書を提出している場合に限る。)について準用する。この場合において、同条第八項中「外国会社(第二十三条の三第四項の規定により有価証券報告書を提出したものを含む。以下「報告書提出外国会社」という。)」とあるのは「外国会社」と、「第一項の規定による有価証券報告書及び第六項の規定によりこれに添付しなければならない書類(以下この条において「有価証券報告書等」という。)」とあるのは「第二十四条の四の二第一項又は第二項(これらの規定を同条第三項(同条第四項において準用する場合を含む。)及び第四項において準用する場合を含む。)の規定による確認書」と、「外国において開示(当該外国の法令(外国金融商品市場を開設する者その他の内閣府令で定める者の規則を含む。)に基づいて当該外国において公衆の縦覧に供されることをいう。第二十四条の四の七第六項及び第二十四条の五第七項において同じ。)が行われている有価証券報告書等に類する」とあるのは「確認書に記載すべき事項を記載した」と、同条第九項中「、当該外国会社報告書に記載されていない事項のうち公益又は投資者保護のため必要かつ適当なものとして内閣府令で定めるものを記載した書類その他」とあるのは「その他」と、同条第十一項中「有価証券報告書等」とあるのは「第二十四条の四の二第一項又は第二項(これらの規定を同条第三項(同条第四項において準用する場合を含む。)及び第四項において準用する場合を含む。)の規定による確認書」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
- Article 24(8), (9) and (11) to (13) shall apply mutatis mutandis to cases where a Reporting Foreign Company submits a Confirmation Letter under paragraph (1) or (2) of this Article (limited to cases where the Reporting Foreign Company submits a Foreign Company Report). In this case, the parts ') (including foreign companies which have submitted Annual Securities Reports under Article 23-3(4); hereinafter referred as to 'Reporting Foreign Company'),' 'Annual Securities Reports to be submitted under paragraph (1) and the documents to be attached thereto under paragraph (6) (hereinafter collectively referred to as 'Annual Securities Reports, etc.' in this Article)' and 'and are similar to Annual Securities Reports, etc. Disclosed in a Foreign State (meaning the state of having been made available for public inspection under laws and regulations under the foreign state (including the rules provided for by the operator of a Foreign Financial Instruments Market or other person specified by a Cabinet Office Ordinance); the same shall apply hereinafter in Articles 24-4-7(6) and 24-5(7))' in Article 24(8) shall be deemed to be replaced with '),' 'a Confirmation Letter to be submitted under Article 24-4-2(1) or (2) (including the cases where they are applied mutatis mutandis pursuant to Article 24-4-2(3) (including the cases where it is applied mutatis mutandis pursuant to Article 24-4-2(4)) or Article 24-4-2(4))' and 'and states the matters to be stated in the Confirmation Letter,' respectively; the part 'documents stating the matters specified by a Cabinet Office Ordinance as those necessary and appropriate for the public interest or protection of investors among the matters not stated in the Foreign Company Report, and other' in Article 24(9) shall be deemed to be replaced with 'other'; the term 'Annual Securities Reports, etc.' in Article 24(11) shall be deemed to be replaced with 'a Confirmation Letter to be submitted under Article 24-4-2(1) or (2) (including the cases where they are applied mutatis mutandis pursuant to Article 24-4-2(3) (including the cases where it is applied mutatis mutandis pursuant to Article 24-4-2(4)) or Article 24-4-2(4))'; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
- 会社法第八百二十八条第一項(第七号及び第八号に係る部分に限る。)及び第二項(第七号及び第八号に係る部分に限る。)、第八百三十四条(第七号及び第八号に係る部分に限る。)、第八百三十五条第一項、第八百三十六条から第八百三十九条まで、第八百四十三条(第一項第三号及び第四号並びに第二項ただし書を除く。)、第八百四十六条並びに第九百三十七条第三項(第二号及び第三号に係る部分に限る。)及び第四項の規定は第百三十六条第一項の合併の無効の訴えについて、同法第八百六十八条第五項、第八百七十条(第十五号に係る部分に限る。)、第八百七十一条本文、第八百七十二条(第四号に係る部分に限る。)、第八百七十三条本文、第八百七十五条及び第八百七十六条の規定はこの条において準用する同法第八百四十三条第四項の申立てについて、それぞれ準用する。この場合において、同法第八百二十八条第二項第七号中「株主等若しくは社員等」とあるのは「会員等(会員、理事長、理事、監事又は清算人をいう。以下この号において同じ。)」と、「株主等、社員等」とあるのは「会員等、株主等(株主、取締役又は清算人(監査役会設置会社にあっては株主、取締役、監査役又は清算人、委員会設置会社にあっては株主、取締役、執行役又は清算人)をいう。)」と、同項第八号中「株主等若しくは社員等」とあるのは「会員等(会員、理事長、理事、監事又は清算人をいう。以下この号において同じ。)若しくは株主等(株主、取締役又は清算人(監査役会設置会社にあっては株主、取締役、監査役又は清算人、委員会設置会社にあっては株主、取締役、執行役又は清算人)をいう。以下この号において同じ。)」と、「株主等、社員等」とあるのは「会員等、株主等」と、同法第九百三十七条第三項中「本店」とあるのは「本店(会員金融商品取引所にあっては、主たる事務所及び従たる事務所)」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
- The provisions of Article 828, paragraph (1) (limited to the parts pertaining to item (vii) and item (viii)) and paragraph (2) (limited to the parts pertaining to item (vii) and item (viii)), Article 834 (limited to the parts pertaining to item (vii) and item (viii)), Article 835(1), Articles 836 to 839 inclusive, Article 843 (excluding paragraph (1), item (iii) and item (iv) and the proviso to paragraph (2)), Article 846 and Article 937, paragraph (3) (limited to the parts pertaining to item (ii) and item (iii)) and paragraph (4) of the Companies Act shall apply mutatis mutandis to an action seeking invalidation of merger under Article 136(1); and the provisions of Article 868(5), Article 870 (limited to the parts pertaining to item (xv)), the main clause of Article 871, Article 872 (limited to the part pertaining to item (iv)), the main clause of Article 873, Article 875 and Article 876 of said Act shall apply mutatis mutandis to filing of the motion under Article 843(4) of said Act as applied mutatis mutandis pursuant to this Article. In this case, the term 'Shareholders, etc. or Members, etc.' in Article 828(2)(vii) of the Companies Act shall be deemed to be replaced with 'Member, etc. (meaning members, presidents, directors, auditors or liquidators; hereinafter the same shall apply in this item); the term 'Shareholders, etc., Members, etc.' in said item shall be deemed to be replaced with 'Member, etc., Shareholders, etc. (meaning shareholders, directors or liquidators (with regard to a company with auditors, meaning shareholders, directors, auditors or liquidators; and with regard to a company with Committees, meaning shareholders, directors, executive officers or liquidators)); the term 'Shareholders, etc. or Members, etc.' in Article 828(2)(viii) shall be deemed to be replaced with 'Member, etc. (meaning members, presidents, directors, auditors or liquidators; hereinafter the same shall apply in this item) or Shareholders, etc. (meaning shareholders, directors or liquidators (with regard to a company with auditors, meaning shareholders, directors, auditors or liquidators; and with regard to a company with Committees, shareholders, directors, executive officers or liquidators; hereinafter the same shall apply in this item); and the term 'Shareholders, etc., Members, etc.' in said item shall be deemed to be replaced with 'Member, etc., Shareholders, etc.'; and the term 'the head office' in Article 937(3) of said Act shall be deemed to be replaced with 'the head office (with regard to a Membership-Type Financial Instruments Exchange, the principal office and secondary offices); and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
- この節の規定若しくは農業協同組合法(昭和二十二年法律第百三十二号)第九十二条第五項、公認会計士法第三十四条の二十第六項、水産業協同組合法(昭和二十三年法律第二百四十二号)第百二十一条第五項、中小企業等協同組合法(昭和二十四年法律第百八十一号)第三十三条第七項(輸出水産業の振興に関する法律(昭和二十九年法律第百五十四号)第二十条並びに中小企業団体の組織に関する法律(昭和三十二年法律第百八十五号)第五条の二十三第三項及び第四十七条第二項において準用する場合を含む。)、弁護士法(昭和二十四年法律第二百五号)第三十条の二十八第六項(同法第四十三条第三項において準用する場合を含む。)、船主相互保険組合法(昭和二十五年法律第百七十七号)第五十五条第三項、司法書士法(昭和二十五年法律第百九十七号)第四十五条の二第六項、土地家屋調査士法(昭和二十五年法律第二百二十八号)第四十条の二第六項、商品取引所法(昭和二十五年法律第二百三十九号)第十一条第九項、行政書士法(昭和二十六年法律第四号)第十三条の二十の二第六項、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)第四十八条の二第三項(同法第四十九条の十三第二項及び第三項並びに第五十九条において準用する場合を含む。)及び第百八十六条の二第四項、税理士法第四十八条の十九の二第六項(同法第四十九条の十二第三項において準用する場合を含む。)、信用金庫法(昭和二十六年法律第二百三十八号)第八十七条の四第四項、輸出入取引法(昭和二十七年法律第二百九十九号)第十五条第六項(同法第十九条の六において準用する場合を含む。)、中小漁業融資保証法(昭和二十七年法律第三百四十六号)第五十五条第五項、労働金庫法(昭和二十八年法律第二百二十七号)第九十一条の四第四項、鉱工業技術研究組合法(昭和三十六年法律第八十一号)第九条第七項、農業信用保証保険法(昭和三十六年法律第二百四号)第四十八条の三第五項(同法第四十八条の九第七項において準用する場合を含む。)、社会保険労務士法(昭和四十三年法律第八十九号)第二十五条の二十三の二第六項、外国証券業者に関する法律(昭和四十六年法律第五号)第二十三条第六項、森林組合法(昭和五十三年法律第三十六号)第八条の二第五項、銀行法第四十九条の二第二項、金融先物取引法(昭和六十三年法律第七十七号)第八十四条第七項、保険業法(平成七年法律第百五号)第六十七条の二及び第二百十七条第三項、資産の流動化に関する法律(平成十年法律第百五号)第百九十四条第四項及び第二百八十八条第三項、弁理士法(平成十二年法律第四十九号)第五十三条の二第六項、農林中央金庫法(平成十三年法律第九十三号)第九十六条の二第四項並びに信託業法第五十七条第六項(以下この節において「電子公告関係規定」と総称する。)において準用する第九百五十五条第一項の規定又はこの節の規定に基づく命令に違反し、罰金以上の刑に処せられ、その執行を終わり、又は執行を受けることがなくなった日から二年を経過しない者
- a person who has been sentenced to a fine or a severer punishment for the violation of the provisions of this Section or the provisions of Article 955(1) as applied mutatis mutandis pursuant to Article 92(5) of the Agricultural Cooperatives Act (Act No. 132 of 1947), Article 34-20(6) of the Certified Public Accountants Act, Article 121(5) of the Fisheries Cooperatives Act (Act No. 242 of 1948), Article 33(7) of the Small and Medium-Sized Enterprise Cooperatives Act (Act No. 181 of 1949) (including the cases where it is applied mutatis mutandis pursuant to Article 20 of the Export Fisheries Promotion Act (Act No. 154 of 1954) and Article 5-23(3) and Article 47(2) of the Act on Organizations of Small and Medium Sized Enterprises (Act No. 185 of 1957)), Article30-28(6) of the Attorneys Act (Act No. 205 of 1949) (including the cases where it is applied mutatis mutandis pursuant to Article 43(3) of that Act), Article 55(3) of the Ship Owners' Mutual Insurance Union Act (Act No. 177 of 1950), Article 45-2(6) of the Judicial Scrivener Act (Act No. 197 of 1950), Article 40-2(6) of the Land and House Investigator Act (Act No. 228 of 1950), Article 11(9) of the Commodity Exchange Act (Act No. 239 of 1950), Article 13-20-2(6) of the Administrative Scrivener Act (Act No. 4 of 1951), Article 48-2(3) of the Act on Securities Investment Trust and Securities Investment Corporations (Act No. 198 of 1951) (including the cases where it is applied mutatis mutandis pursuant to Article 49-13(2) and (3) and Article 59 of that Act) and Article 186-2(4) of that Act, Article 48-19-2(6) of the Certified Public Tax Accountant Act (including the cases where it is applied mutatis mutandis pursuant to Article 49-12(3) of that Act), Article 87-4(4) of the Shinkin Bank Act (Act No. 238 of 1951), Article 15(6) of the Export and Import Transaction Act (Act No. 299 of 1952) (including the cases where it is applied mutatis mutandis pursuant to Article 19-6 of that Act), Article 55(5) of the Loan Security Act for Small and Medium Sized Fishery Industry (Act No. 346 of 1952), Article 91-4(4) of the Labor Bank Act (Act No. 227 of 1953), Article 9(7) of the Act on Research and Development Partnership concerning Mining and Manufacturing Technology (Act No. 81 of 1961), Article 48-3(5) of the Agricultural Credit Guarantee Insurance Act (Act No. 204 of 1961) (including the cases where it is applied mutatis mutandis pursuant to Article 48-9(7) of that Act), Article 25-23-2(6) of the Act on Public Consultants on Social and Labor Insurance (Act No. 89 of 1968), Article 23(6) of the Act on Foreign Securities Brokers (Act No. 5 of 1971), Article 8-2(5) of the Forestry Partnership Act (Act No. 36 of 1978), Article 49-2(2) of the Banking Act, Article 84(7) of the Financial Instruments and Exchange Act (Act No. 77 of 1988), Article 67-2 and Article 217(3) of the Insurance Business Act (Act No. 105 of 1995), Article 194(4) and Article 288(3) of the Act on Securitization of Assets (Act No. 105 of 1998), Article 53-2(6) of the Patent Attorney Act (Act No. 49 of 2000), Article 96-2(4) of the Norinchukin Bank Act (Act No. 93 of 2001) and Article 57(6) of the Trust Business Act (hereinafter collectively referred to as the 'Electronic Public Notice Related Provisions' in this Section) or the violation of an order based on the provisions this Section and where two years have yet to elapse from the day on which the execution of the sentence has been completed or the sentence has become no longer applicable;
- 第一条の規定、第八条中農業協同組合法第三十条の四第二項第二号の改正規定(「第百九十七条第一項第一号から第四号まで若しくは第七号若しくは第二項、第百九十八条第一号から第十号まで、第十八号若しくは第十九号」を「第百九十七条、第百九十七条の二第一号から第十号まで若しくは第十三号、第百九十八条第八号」に改める部分に限る。)、第九条中水産業協同組合法第三十四条の四第二項第二号の改正規定(「第百九十七条第一項第一号から第四号まで若しくは第七号若しくは第二項、第百九十八条第一号から第十号まで、第十八号若しくは第十九号」を「第百九十七条、第百九十七条の二第一号から第十号まで若しくは第十三号、第百九十八条第八号」に改める部分に限る。)、第十一条中協同組合による金融事業に関する法律第五条の四第四号の改正規定(「第百九十七条第一項第一号から第四号まで若しくは第七号若しくは第二項」を「第百九十七条」に、「第百九十八条第一号から第十号まで、第十八号若しくは第十九号(有価証券の無届募集等の罪)」を「第百九十七条の二第一号から第十号まで若しくは第十三号(有価証券の無届募集等の罪)、第百九十八条第八号(裁判所の禁止又は停止命令違反の罪)」に改める部分に限る。)、第十三条中信用金庫法第三十四条第四号の改正規定(「第百九十七条第一項第一号から第四号まで若しくは第七号若しくは第二項」を「第百九十七条」に、「第百九十八条第一号から第十号まで、第十八号若しくは第十九号(有価証券の無届募集等の罪)」を「第百九十七条の二第一号から第十号まで若しくは第十三号(有価証券の無届募集等の罪)、第百九十八条第八号(裁判所の禁止又は停止命令違反の罪)」に改める部分に限る。)、第十五条中労働金庫法第三十四条第四号の改正規定(「第百九十七条第一項第一号から第四号まで若しくは第七号若しくは第二項」を「第百九十七条」に、「第百九十八条第一号から第十号まで、第十八号若しくは第十九号(有価証券の無届募集等の罪)」を「第百九十七条の二第一号から第十号まで若しくは第十三号(有価証券の無届募集等の罪)、第百九十八条第八号(裁判所の禁止又は停止命令違反の罪)」に改める部分に限る。)、第十八条中保険業法第五十三条の二第一項第三号の改正規定(「第百九十七条第一項第一号から第四号まで若しくは第七号若しくは第二項」を「第百九十七条」に、「第百九十八条第一号から第十号まで、第十八号若しくは第十九号(有価証券の無届募集等の罪)」を「第百九十七条の二第一号から第十号まで若しくは第十三号(有価証券の無届募集等の罪)、第百九十八条第八号(裁判所の禁止又は停止命令違反の罪)」に改める部分に限る。)、第十九条中農林中央金庫法第二十四条の四第四号の改正規定(「第百九十七条第一項第一号から第四号まで若しくは第七号若しくは第二項、第百九十八条第一号から第十号まで、第十八号若しくは第十九号」を「第百九十七条、第百九十七条の二第一号から第十号まで若しくは第十三号、第百九十八条第八号」に改める部分に限る。)並びに附則第二条、第四条、第百八十二条第一項、第百八十四条第一項、第百八十七条第一項、第百九十条第一項、第百九十三条第一項、第百九十六条第一項及び第百九十八条第一項の規定 公布の日から起算して二十日を経過した日
- The provisions of Article 1, the provisions revising Article 30-4, paragraph (2), item (ii) of the Agricultural Cooperatives Act in Article 8 (limited to the portion revising 'Article 197, paragraph (1), items (i) to (iv) or item (vii) or paragraph (2), Article 198, items (i) to (x), item (xviii) or item (xix)' to 'Article 197, Article 197-2, items (i) to (x) or item (xiii), Article 198, item (viii)'), the provisions revising Article 34-4, paragraph (2), item (ii) of the Fisheries Cooperative Association Act in Article 9 (limited to the portion revising 'Article 197, paragraph (1), items (i) to (iv) or item (vii) or paragraph (2), Article 198, items (i) to (x), item (xviii) or item (xix)' to 'Article 197, Article 197-2, items (i) to (x) or item (xiii), Article 198, item (viii)'), the provisions revising Article 5-4, item (iv) of the Act on Financial Businesses by Cooperative in Article 11 (limited to the portions revising 'Article 197, paragraph (1), items (i) to (iv) or item (vii) or paragraph (2)' to 'Article 197,' and 'Article 198, items (i) to (x), item (xviii) or item (xix) (Offense of Solicitation Without Notification, etc. of Securities)' to 'Article 197-2, items (i) to (x) or item (xiii) (Offense of Solicitation Without Notification, etc. of Securities), Article 198, item (viii) (Offense of Violation of Prohibition or Suspension Order by a Court)'), the provisions revising Article 34, item (iv) of the Shinkin Bank Act in Article 13 (limited to the portions revising 'Article 197, paragraph (1), items (i) to (iv) or item (vii) or paragraph (2)' to 'Article 197' and 'Article 198, items (i) to (x), item (xviii) or item (xix) (Offense of Solicitation Without Notification, etc. of Securities)' to 'Article 197-2, items (i) to (x) or item (xiii) (Offense of Solicitation Without Notification, etc. of Securities), Article 198, item (viii) (Offense of Violation of Prohibition or Suspension Order by a Court)'), the provisions revising Article 34, item (iv) of the Labor Bank Act in Article 15 (limited to the portions revising 'Article 197, paragraph (1), items (i) to (iv) or item (vii) or paragraph (2)' to 'Article 197' and 'Article 198, items (i) to (x), item (xviii) or item (xix) (Offense of Solicitation Without Notification, etc. of Securities)' to 'Article 197-2, items (i) to (x) or item (xiii) (Offense of Solicitation Without Notification, etc. of Securities), Article 198, item (viii) (Offense of Violation of Prohibition or Suspension Order by a Court)'), the provisions revising Article 53-2, paragraph (1), item (iii) of the Insurance Business Act in Article 18 (limited to the portions revising 'Article 197, paragraph (1), items (i) to (iv) or item (vii) or paragraph (2)' to 'Article 197' and 'Article 198, items (i) to (x), item (xviii) or item (xix) (Offense of Solicitation Without Notification, etc. of Securities)' to 'Article 197-2, items (i) to (x) or item (xiii) (Offense of Solicitation Without Notification, etc. of Securities), Article 198, item (viii) (Offense of Violation of Prohibition or Suspension Order by a Court)'), the provisions revising Article 24-4, item (iv) of the Norinchukin Bank Act in Article 19 (limited to the portions revising 'Article 197, paragraph (1), items (i) to (iv) or item (vii) or paragraph (2), Article 198, items (i) to (x), item (xviii) or item (xix)' to 'Article 197, Article 197-2, items (i) to (x) or item (xiii), Article 198, item (viii)'), and the provisions of Article 2, Article 4, Article 182, paragraph (1), Article 184, paragraph (1), Article 187, paragraph (1), Article 190, paragraph (1), Article 193, paragraph (1), Article 196, paragraph (1) and Article 198, paragraph (1) of the Supplementary Provisions : The day on which 20 days have elapsed from the day of promulgation
- The provisions of Article 1, the provisions in Article 8 which is to revise Article 30-4, paragraph (2), item (ii) of the Agricultural Cooperatives Act (limited to the part revising the phrase 'Article 197, paragraph (1), items (i) to (iv) inclusive or (vii) or Article 197, paragraph (2), Article 198, items (i) to (x) inclusive, (xviii) or (xix)' into 'Article 197, Article 197-2, items (i) to (x) inclusive or (xiii) or Article 198, item (viii)'), the provisions in Article 9 which is to revise Article 34-4, paragraph (2), item (ii) of the Fisheries Cooperatives Act (limited to the part revising the phrase 'Article 197, paragraph (1), items (i) to (iv) inclusive or (vii) or Article 197, paragraph (2), Article 198, items (i) to (x) inclusive, (xviii) or (xix)' into 'Article 197, 197-2, items (i) to (x) inclusive or (xiii) or Article 198, item (viii)'), the provisions in Article 11 which is to revise Article 5-4, item (iv) of the Act on Financial Services by Cooperatives (limited to the part revising the phrase 'Article 197, paragraph (1), items (i) to (iv) inclusive or (vii) or Article 197, paragraph (2)' into 'Article 197' and the part revising 'Article 198, items (i) to (x) inclusive, (xviii) or (xix) (The Crime of Offering Securities Without Notification, etc.)' into '197-2, items (i) to (x) inclusive or (xiii) (The Crime of Offering Securities Without Notification, etc.), Article 198, item (viii) (The Crime of Breaching a Prohibition Order or Order for Suspension Issued by the Court)'), the provisions in Article 13 which is to revise Article 34, item (iv) of the Shinkin Bank Act (limited to the part revising the phrase 'Article 197, paragraph (1), items (i) to (iv) inclusive or (vii) or Article 197, paragraph (2)' into 'Article 197' and the part revising 'Article 198, items (i) to (x) inclusive, (xviii) or (xix) (The Crime of Offering Securities Without Notification, etc.)' into '197-2, items (i) to (x) inclusive or (xiii) (The Crime of Offering Securities Without Notification, etc.), Article 198, item (viii) (The Crime of Breaching a Prohibition Order or Order for Suspension Issued by the Court)'), the provisions in Article 15 which is to revise Article 34, item (iv) of the Labor Bank Act (limited to the part revising the phrase 'Article 197, paragraph (1), items (i) to (iv) inclusive or (vii) or Article 197, paragraph (2)' into 'Article 197' and the part revising 'Article 198, items (i) to (x) inclusive, (xviii) or (xix) (The Crime of Offering Securities Without Notification, etc.)' into '197-2, items (i) to (x) inclusive or (xiii) (The Crime of Offering Securities Without Notification, etc.), Article 198, item (viii) (The Crime of Breaching a Prohibition Order or Order for Suspension Issued by the Court)'), the provisions in Article 18 which is to revise Article 53-2, paragraph (1), item (iii) of the Insurance Services Act (limited to the part revising the phrase 'Article 197, paragraph (1), items (i) to (iv) inclusive or (vii) or Article 197, paragraph (2)' into 'Article 197' and the part revising 'Article 198, items (i) to (x) inclusive, (xviii) or (xix) (The Crime of Offering Securities Without Notification, etc.)' into '197-2, items (i) to (x) inclusive or (xiii) (The Crime of Offering Securities Without Notification, etc.), Article 198, item (viii) (The Crime of Breaching a Prohibition Order or Order for Suspension Issued by the Court)'), the provisions in Article 19 which is to revise Article 24-4, item (iv) of the Norinchukin Bank Act (limited to the part revising the phrase 'Article 197, paragraph (1), items (i) to (iv) inclusive or (vii) or Article 197, paragraph (2), Article 198, items (i) to (x) inclusive, (xviii) or (xix)' into 'Article 197, Article 197-2, items (i) to (x) inclusive or (xiii) or Article 198, item (viii)'), and the provisions of Article 2, Article 4, Article 182, paragraph (1), Article 184, paragraph (1), Article 187, paragraph (1), Article 190, paragraph (1), Article 193, paragraph (1), Article 196, paragraph (1) and Article 198, paragraph (1) of these Supplementary Provisions: The date on which 20 days from the day of promulgation have elapsed
- The provisions of Article 1; from Article 8, the provisions revising Article 30-4, paragraph (2), item (ii) of the Agricultural Cooperative Act (limited to the portion changing 'Article 197, paragraph (1), items (i) to (iv) or item (vii) or paragraph (2), Article 198, items (i) to (x), item (xviii) or item (xix)' to 'Article 197, Article 197-2, items (i) to (x) or item (xiii), Article 198, item (viii)'); from Article 9, the provisions revising Article 34-4, paragraph (2), item (ii) of the Fisheries Cooperatives Act (limited to the portion changing 'Article 197, paragraph (1), items (i) to (iv) or item (vii) or paragraph (2), Article 198, items (i) to (x), item (xviii) or item (xix)' to 'Article 197, Article 197-2, items (i) to (x) or item (xiii), Article 198, item (viii)'); from Article 11, the provisions revising Article 5-4, item (iv) of the Act on Financial Businesses by Cooperative (limited to the portion changing 'Article 197, paragraph (1), items (i) to (iv) or item (vii) or paragraph (2)' to 'Article 197,' 'Article 198, items (i) to (x), item (xviii) or item (xix) (Offense of Solicitation Without Notification, etc. of Securities)' to 'Article 197-2, items (i) to (x) or item (xiii) (Offense of Solicitation Without Notification, etc. of Securities), Article 198, item (viii) (Offense of Violation of Prohibition or Suspension Order by a Court)'); from Article 13, the provisions revising Article 34, item (iv) of the Shinkin Bank Act (limited to the portion changing 'Article 197, paragraph (1), items (i) to (iv) or item (vii) or paragraph (2)' to 'Article 197,' 'Article 198, items (i) to (x), item (xviii) or item (xix) (Offense of Solicitation Without Notification, etc. of Securities)' to 'Article 197-2, items (i) to (x) or item (xiii) (Offense of Solicitation Without Notification, etc. of Securities), Article 198, item (viii) (Offense of Violation of Prohibition or Suspension Order by a Court)'); from Article 15, the provisions revising Article 34, item (iv) of the Labor Bank Act (limited to the portion changing 'Article 197, paragraph (1), items (i) to (iv) or item (vii) or paragraph (2)' to 'Article 197,' 'Article 198, items (i) to (x), item (xviii) or item (xix) (Offense of Solicitation Without Notification, etc. of Securities)' to 'Article 197-2, items (i) to (x) or item (xiii) (Offense of Solicitation Without Notification, etc. of Securities), Article 198, item (viii) (Offense of Violation of Prohibition or Suspension Order by a Court)'); from Article 18, the provisions revising Article 53-2, paragraph (1), item (iii) of the Insurance Business Act (limited to the portion changing 'Article 197, paragraph (1), items (i) to (iv) or item (vii) or paragraph (2)' to 'Article 197,' 'Article 198, items (i) to (x), item (xviii) or item (xix) (Offense of Solicitation Without Notification, etc. of Securities)' to 'Article 197-2, items (i) to (x) or item (xiii) (Offense of Solicitation Without Notification, etc. of Securities), Article 198, item (viii) (Offense of Violation of Prohibition or Suspension Order by a Court)'); from Article 19, the provisions revising Article 24-4, item (iv) of the Norinchukin Bank Act (limited to the portion changing 'Article 197, paragraph (1), items (i) to (iv) or item (vii) or paragraph (2), Article 198, items (i) to (x), item (xviii) or item (xix)' to 'Article 197, Article 197-2, items (i) to (x) or item (xiii), Article 198, item (viii)'); and the provisions of Article 2, Article 4, Article 182, paragraph (1), Article 184, paragraph (1), Article 187, paragraph (1), Article 190, paragraph (1), Article 193, paragraph (1), Article 196, paragraph (1), and Article 198, paragraph (1) of the Supplementary Provisions- The day on which twenty days have elapsed from the day of promulgation