商品先物取引法
Commodity Derivatives Transaction Act
昭和二十五年八月五日法律第二百三十九号
Act No. 239 of August 5, 1950
第一章 総則 (第一条・第二条)
Chapter I General Provisions (Articles 1 and 2)
第二章 商品取引所
Chapter II Commodity Exchanges
第一節 総則 (第三条―第六条)
Section 1 General Provisions (Articles 3 through 6)
第二節 会員商品取引所
Section 2 Member Commodity Exchanges
第一款 設立 (第七条―第二十九条)
Subsection 1 Establishment (Articles 7 through 29)
第二款 会員 (第三十条―第四十五条)
Subsection 2 Membership (Articles 30 through 45)
第三款 機関 (第四十六条―第六十三条)
Subsection 3 Organization (Articles 46 through 63)
第四款 計算 (第六十四条―第六十八条の三)
Subsection 4 Accounts (Articles 64 through 68-3)
第五款 解散及び清算 (第六十九条―第七十七条)
Subsection 5 Dissolution and Liquidation (Articles 69 through 77)
第三節 株式会社商品取引所
Section 3 Incorporated Commodity Exchanges
第一款 総則 (第七十八条―第九十六条)
Subsection 1 General Provisions (Articles 78 through 96)
第二款 自主規制委員会 (第九十六条の二―第九十六条の十八)
Subsection 2 Self-Regulatory Committees (Articles 96-2 through 96-18)
第三款 主要株主 (第九十六条の十九―第九十六条の二十四)
Subsection 3 Major Shareholders (Articles 96-19 through 96-24)
第四款 商品取引所持株会社 (第九十六条の二十五―第九十六条の四十三)
Subsection 4 Commodity Exchange Holding Companies (Articles 96-25 through 96-43)
第四節 商品市場における取引 (第九十七条―第百二十条)
Section 4 Transactions on Commodity Markets (Articles 97 through 120)
第五節 組織変更 (第百二十一条―第百三十八条)
Section 5 Entity Conversion (Articles 121 through 138)
第六節 合併
Section 6 Mergers
第一款 総則 (第百三十九条)
Subsection 1 General Provisions (Article 139)
第二款 会員商品取引所と会員商品取引所との合併 (第百四十条・第百四十一条)
Subsection 2 Mergers between Member Commodity Exchanges (Articles 140 and 141)
第三款 会員商品取引所と株式会社商品取引所との合併 (第百四十二条・第百四十三条)
Subsection 3 Mergers between a Member Commodity Exchange and an Incorporated Commodity Exchange (Articles 142 and 143)
第四款 会員商品取引所の合併の手続 (第百四十四条―第百四十四条の四)
Subsection 4 Merger Procedures for a Member Commodity Exchange (Articles 144 through 144-4)
第五款 株式会社商品取引所の合併の手続
Subsection 5 Merger Procedures for an Incorporated Commodity Exchange
第一目 吸収合併存続株式会社商品取引所の手続 (第百四十四条の五―第百四十四条の十一)
Division 1 Procedures for an Incorporated Commodity Exchange Surviving an Absorption-Type Merger (Articles 144-5 through 144-11)
第二目 新設合併消滅株式会社商品取引所の手続 (第百四十四条の十二―第百四十四条の十七)
Division 2 Procedures for an Incorporated Commodity Exchange Dissolved in an Incorporation-Type Merger (Articles 144-12 through 144-17)
第三目 新設合併設立株式会社商品取引所の手続 (第百四十四条の十八・第百四十四条の十九)
Division 3 Procedures for an Incorporated Commodity Exchange Established by an Incorporation-Type Merger (Articles 144-18 and 144-19)
第六款 合併の効力の発生等 (第百四十五条―第百五十四条)
Subsection 6 The Coming into Effect of a Merger (Article 145 through 154)
第七節 監督 (第百五十五条―第百六十条)
Section 7 Supervision (Articles 155 through 160)
第八節 雑則 (第百六十一条―第百六十六条)
Section 8 Miscellaneous Provisions (Articles 161 through 166)
第三章 商品取引清算機関等
Chapter III Commodity Clearing Organizations
第一節 商品取引清算機関 (第百六十七条―第百八十七条)
Section 1 Commodity Clearing Organizations (Articles 167 through 187)
第二節 雑則 (第百八十八条・第百八十九条)
Section 2 Miscellaneous Provisions (Articles 188 and 189)
第四章 商品先物取引業者
Chapter IV Commodity Derivatives Brokers
第一節 許可等 (第百九十条―第百九十七条の二)
Section 1 Licensing (Articles 190 through 197-2)
第二節 特定委託者等 (第百九十七条の三―第百九十七条の十)
Section 2 Eligible Consignor (Articles 197-3 through 197-10)
第三節 業務 (第百九十八条―第二百二十四条)
Section 3 Services (Articles 198 through 224)
第四節 合併、分割及び事業の譲渡 (第二百二十五条―第二百三十条)
Section 4 Mergers, Demergers, and Business Transfers (Articles 225 through 230)
第五節 監督 (第二百三十一条―第二百四十条)
Section 5 Supervision (Articles 231 through 240)
第四章の二 商品先物取引仲介業者
Chapter IV-2 Commodity Derivatives Intermediary Service Provider
第一節 総則 (第二百四十条の二―第二百四十条の八)
Section 1 General Provisions (Articles 240-2 through 240-8)
第二節 業務 (第二百四十条の九―第二百四十条の二十一)
Section 2 Services (Articles 240-9 through 240-21)
第三節 監督 (第二百四十条の二十二―第二百四十条の二十五)
Section 3 Supervision (Article 240-22 through 240-25)
第四節 雑則 (第二百四十条の二十六)
Section 4 Miscellaneous Provisions (Article 240-26)
第五章 商品先物取引協会
Chapter V Commodity Derivatives Associations
第一節 総則 (第二百四十一条―第二百四十四条)
Section 1 General Provisions (Articles 241 through 244)
第二節 設立 (第二百四十五条―第二百五十条)
Section 2 Establishment (Articles 245 through 250)
第三節 協会員 (第二百五十一条―第二百五十三条)
Section 3 Association Members (Articles 251 through 253)
第四節 機関 (第二百五十四条―第二百五十八条)
Section 4 Organization (Articles 254 through 258)
第五節 紛争の解決 (第二百五十九条―第二百六十一条)
Section 5 Dispute Resolution (Articles 259 through 261)
第六節 解散 (第二百六十二条)
Section 6 Dissolution (Article 262)
第七節 監督 (第二百六十三条―第二百六十六条)
Section 7 Supervision (Articles 263 through 266)
第八節 雑則 (第二百六十七条・第二百六十八条)
Section 8 Miscellaneous Provisions (Articles 267 and 268)
第六章 委託者保護基金
Chapter VI Consignor Protection Funds
第一節 総則 (第二百六十九条―第二百七十四条)
Section 1 General Provisions (Articles 269 through 274)
第二節 会員 (第二百七十五条―第二百七十七条)
Section 2 Members (Articles 275 through 277)
第三節 設立 (第二百七十八条―第二百八十二条)
Section 3 Establishment (Articles 278 through 282)
第四節 管理 (第二百八十三条―第二百九十九条)
Section 4 Management (Articles 283 through 299)
第五節 業務 (第三百条―第三百十二条)
Section 5 Services (Articles 300 through 312)
第六節 負担金 (第三百十三条―第三百十五条)
Section 6 Dues (Articles 313 through 315)
第七節 財務及び会計 (第三百十六条―第三百二十一条)
Section 7 Finance and Accounting (Articles 316 through 321)
第八節 監督 (第三百二十二条―第三百二十四条)
Section 8 Supervision (Articles 322 through 324)
第九節 解散 (第三百二十五条―第三百二十七条)
Section 9 Dissolution (Articles 325 through 327)
第七章 雑則 (第三百二十八条―第三百五十五条)
Chapter VII Miscellaneous Provisions (Articles 328 through 355)
第八章 罰則 (第三百五十六条―第三百七十五条)
Chapter VIII Penal Provisions (Articles 356 through 375)
附 則
Supplementary Provisions
第一章 総則
Chapter I General Provisions
(目的)
(Purpose)
第一条 この法律は、商品取引所の組織、商品市場における取引の管理等について定め、その健全な運営を確保するとともに、商品先物取引業を行う者の業務の適正な運営を確保すること等により、商品の価格の形成及び売買その他の取引並びに商品市場における取引等の受託等を公正にするとともに、商品の生産及び流通を円滑にし、もつて国民経済の健全な発展及び商品市場における取引等の受託等における委託者等の保護に資することを目的とする。
Article 1 The purpose of this Act is to ensure fairness in commodity price formation, in purchase and sales and other transactions in commodities, and in persons consigned with transactions on commodity markets, etc., as well as to facilitate the production and distribution of commodities, by, inter alia, making stipulations for the organization of commodity exchanges, the management of transactions on commodity markets, and other matters, and by ensuring their sound operation, as well as by ensuring the appropriate operation of the business of persons conducting commodity derivatives business, thereby contributing to the sound development of the national economy and to the protection of consigners, etc. in respect of persons consigned with transactions on commodity markets, etc.
(定義)
(Definitions)
第二条 この法律において「商品」とは、次に掲げる物品をいう。
Article 2 (1) The term "commodity" as used in this Act means the following goods:
一 農産物、林産物、畜産物及び水産物並びにこれらを原料又は材料として製造し、又は加工した物品のうち、飲食物であるもの及び政令で定めるその他のもの
(i) agricultural products, forest products, livestock products, fishery products, edible or potable goods manufactured or processed using these products as ingredients or materials, and other goods specified by Cabinet Order;
二 鉱業法(昭和二十五年法律第二百八十九号)第三条第一項に規定する鉱物その他政令で定める鉱物及びこれらを製錬し、又は精製することにより得られる物品
(ii) minerals as prescribed in Article 3, paragraph (1) of the Mining Act (Act No. 289 of 1950), other minerals specified by Cabinet Order, and goods obtained by smelting or refining these minerals;
三 前二号に掲げるもののほか、国民経済上重要な原料又は材料であつて、その価格の変動が著しいために先物取引に類似する取引の対象とされる蓋然性が高いもの(先物取引又は先物取引に類似する取引の対象とされているものを含む。)として政令で定める物品
(iii) goods other than what is listed in the preceding two items, which are specified by Cabinet Order as ingredients or materials that are important to the national economy and highly likely to be the subject of transactions similar to futures transactions due to extreme fluctuation of their prices (including those that are already the subject of futures transactions or transactions similar thereto).
2 この法律において「商品指数」とは、二以上の商品たる物品の価格の水準を総合的に表した数値、一の商品たる物品の価格と他の商品たる物品の価格の差に基づいて算出された数値その他の二以上の商品たる物品の価格に基づいて算出された数値をいう。
(2) The term "commodity index" as used in this Act means a numerical value that comprehensively expresses the price level of two or more goods that are commodities, a numerical value calculated on the basis of the price difference between one type of goods that are commodities and the price of another type of goods that are commodities, or a numerical value calculated otherwise on the basis of the prices of two or more types of goods that are commodities.
3 この法律において「先物取引」とは、商品取引所の定める基準及び方法に従つて、商品市場において行われる次に掲げる取引をいう。
(3) The term "futures transaction" as used in this Act means one of the following transactions effected on a commodity market in accordance with the standards and methods specified by a commodity exchange:
一 当事者が将来の一定の時期において商品及びその対価の授受を約する売買取引であつて、当該売買の目的物となつている商品の転売又は買戻しをしたときは差金の授受によつて決済することができる取引
(i) a purchase and sale transaction in which the parties promise to deliver and take delivery of a commodity and its value at a fixed time in the future, which the parties may settle by delivering and taking delivery of the difference in values if they sell or buy back the underlying commodity;
二 約定価格(当事者が商品についてあらかじめ約定する価格(一の商品の価格の水準を表す数値その他の一の商品の価格に基づいて算出される数値を含む。以下この号において同じ。)をいう。以下同じ。)と現実価格(将来の一定の時期における現実の当該商品の価格をいう。以下同じ。)の差に基づいて算出される金銭の授受を約する取引
(ii) a transaction where the parties agree to transfer between them money calculated based on the difference between the contract price (meaning the price of a commodity upon which the parties agree in advance (including a numerical value that expresses the price level of a single commodity or any other numerical value calculated based on the price of a single commodity; hereinafter the same applies in this item); hereinafter the same applies) and the actual price (meaning the actual price of the relevant commodity at a fixed time in the future; hereinafter the same applies);
三 当事者が商品指数についてあらかじめ約定する数値(以下「約定数値」という。)と将来の一定の時期における現実の当該商品指数の数値(以下「現実数値」という。)の差に基づいて算出される金銭の授受を約する取引
(iii) a transaction where the parties agree to transfer between them money calculated based on the difference between the numerical value of a commodity index upon which the parties agree in advance (hereinafter referred to as the "agreed figure") and the actual numerical value of the commodity index at a fixed time in the future (hereinafter referred to as the "actual figure");
四 当事者の一方の意思表示により当事者間において次に掲げる取引を成立させることができる権利(以下「オプション」という。)を相手方が当事者の一方に付与し、当事者の一方がこれに対して対価を支払うことを約する取引
(iv) a transaction where the first party agrees to grant the second party the right to effect one of the following transactions between them by a unilateral manifestation of the second party's intention alone (hereinafter referred to as an "option") and the second party agrees to pay the value of that Option:
イ 第一号に掲げる取引
(a) the transaction referred to in item (i);
ロ 第二号に掲げる取引(これに準ずる取引で商品取引所の定めるものを含む。)
(b) the transaction referred to in item (ii) (including equivalent transactions that are specified by a commodity exchange);
ハ 前号に掲げる取引(これに準ずる取引で商品取引所の定めるものを含む。)
(c) the transaction referred to in the preceding item (including equivalent transactions that are specified by a commodity exchange);
ニ 次号に掲げる取引(これに準ずる取引で商品取引所の定めるものを含む。)
(d) the transaction referred to in the following item (including equivalent transactions that are specified by a commodity exchange);
ホ 第六号に掲げる取引(これに準ずる取引で商品取引所の定めるものを含む。)
(e) the transaction referred to in item (vi) (including equivalent transactions that are specified by a commodity exchange).
五 当事者が数量を定めた商品について当事者の一方が相手方と取り決めた当該商品の価格の約定した期間における変化率に基づいて金銭を支払い、相手方が当事者の一方と取り決めた当該商品の価格の約定した期間における変化率に基づいて金銭を支払うことを相互に約する取引
(v) a transaction where the parties mutually agree that, for a commodity whose volume they have set, the first party will pay money to the second based on the rate of change in the agreed-upon price for that commodity during the period they have agreed to, and the second party will pay money to the first based on the rate of change in the agreed-upon price for that commodity during the period they have agreed to;
六 当事者が数量を定めた商品について当事者の一方が相手方と取り決めた当該商品に係る商品指数の約定した期間における変化率に基づいて金銭を支払い、相手方が当事者の一方と取り決めた当該商品指数の約定した期間における変化率に基づいて金銭を支払うことを相互に約する取引
(vi) a transaction where the parties' mutual agreement that, for a commodity whose volume they have set, the first party will pay money to the second based on the rate of change in the agreed-upon commodity index for that commodity during the period they have agreed to, and the second party will pay money to the first based on the rate of change in that agreed-upon commodity index during the period they have agreed to;
七 前各号に掲げる取引に類似する取引であつて政令で定めるもの
(vii) a transaction which is similar to what is listed in one of the preceding items and which is specified by Cabinet Order.
4 この法律において「商品取引所」とは、会員商品取引所及び株式会社商品取引所をいう。
(4) The term "commodity exchange" as used in this Act means a member commodity exchange or an incorporated commodity exchange.
5 この法律において「会員商品取引所」とは、商品又は商品指数について先物取引をするために必要な市場を開設することを主たる目的としてこの法律に基づいて設立された会員組織の社団をいう。
(5) The term "member commodity exchange" as used in this Act means a mutual association with a membership system that has been established based on this Act for the main purpose of opening the necessary markets for effecting futures transactions in commodities or commodity indices.
6 この法律において「株式会社商品取引所」とは、第七十八条の許可を受けて、商品又は商品指数について先物取引をするために必要な市場を開設する株式会社をいう。
(6) The term "incorporated commodity exchange" as used in this Act means a stock company that operates the necessary market for effecting futures transactions in commodities or commodity indices after obtaining the license referred to in Article 78.
7 この法律において「上場商品」とは、商品取引所が一の商品市場で取引すべきものとして定款又は業務規程で定める一又は二以上の商品たる物品であつて、第九条若しくは第七十八条の許可又は第百五十五条第一項若しくは第百五十六条第一項の認可に係るものをいう。
(7) The term "listed commodity" as used in this Act means one or two or more goods that are commodities, which a commodities exchange specifies in its articles of incorporation or operational rules as goods that are to be traded on a single commodity market, and to which the permission referred to in Article 9, the license referred to in Article 78, or the authorization referred to Article 155, paragraph (1) or Article 156, paragraph (1) pertains.
8 この法律において「上場商品指数」とは、商品取引所が一の商品市場でその商品指数に係る取引を行うべきものとして定款又は業務規程で定める一又は二以上の商品指数であつて、第九条若しくは第七十八条の許可又は第百五十五条第一項若しくは第百五十六条第一項の認可に係るものをいう。
(8) The term "listed commodity index" as used in this Act means the one commodities index or the two or more commodities indices which a commodities exchange specifies in its articles of incorporation or operational rules as indices in connection with which trading is to take place on a single commodity market, and to which the permission referred to in Article 9, the license referred to in Article 78, or the authorization referred to in Article 155, paragraph (1) or Article 156, paragraph (1) pertains.
9 この法律において「商品市場」とは、一種の上場商品又は上場商品指数ごとに、次の各号に掲げる区分に応じて当該各号に定める取引を行うために商品取引所が開設する市場をいう。
(9) The term "commodity market" as used in this Act means the market that a commodity exchange operates for each single kind of listed commodity or listed commodity Index in order to carry out the transactions provided for in one of the following items for the category set forth in that item:
一 上場商品に係る商品市場 当該上場商品に係る第三項第一号に掲げる取引、同項第二号に掲げる取引若しくは同項第五号に掲げる取引又は同項第七号に掲げる取引のうちこれらの取引に類似するものとして政令で定めるもの
(i) the commodity market for a listed commodity: transactions set forth in paragraph (3), item (i); transactions set forth in item (ii) of that paragraph or transactions set forth in item (v) of that paragraph; or the transactions set forth in item (vii) of that paragraph that are specified by Cabinet Order as being similar such transactions; in that listed commodity;
二 上場商品指数に係る商品市場 当該上場商品指数に係る第三項第三号に掲げる取引若しくは同項第六号に掲げる取引又は同項第七号に掲げる取引のうちこれらの取引に類似するものとして政令で定めるもの
(ii) the commodity market for a listed commodity index: transactions set forth in paragraph (3), item (iii); transactions set forth in item (vi) of that paragraph; or the transactions set forth in item (vii) of that paragraph that are specified by Cabinet Order as being similar to such transactions; which are linked to that listed commodity index.
10 この法律において「商品市場における取引」には、前項各号に定める取引のほか、商品取引所が、定款又は業務規程で定めるところにより、商品市場において次の各号に掲げる区分に応じ当該各号に定める取引をすることとしたものを含むものとする。
(10) The term "transaction on a commodity market" as used in this Act includes a transaction set forth in one of the items of the preceding paragraph, as well as a transaction prescribed in one of the following items which a commodity exchange has decided to effect for the category of commodity market set forth in that item pursuant to the provisions of its articles of incorporation or operational rules:
一 上場商品に係る商品市場 次に掲げる取引
(i) the commodity market for a listed commodity: one of the following transactions:
イ その対象となる物品が当該上場商品であるか又はこれに含まれる商品指数に係る第三項第三号又は第六号に掲げる取引
(a) a transaction set forth in paragraph (3), item (iii) or (vi) linked to a commodity index covering goods that constitute or include that listed commodity;
ロ 当該上場商品に係る第三項第四号イ、ロ又はニに掲げる取引に係る同号に掲げる取引
(b) a transaction set forth in paragraph (3), item (iv) linked with a transaction set forth in (a), (b), or (d) of that item in connection with that listed commodity;
ハ その対象となる物品が当該上場商品であるか又はこれに含まれる商品指数に係る第三項第四号ハ又はホに掲げる取引に係る同号に掲げる取引
(c) a transaction set forth in paragraph (3), item (iv) linked with a transaction set forth in (c) or (e) of that item, in connection with a commodity index covering goods that constitute or include that listed commodity;
ニ 当該上場商品の売買取引(第三項第一号に掲げる取引に該当するものを除く。以下この号において同じ。)
(d) a purchase and sale transaction (other than one falling under the category of transactions set forth in paragraph (3), item (i); hereinafter the same applies in this item) in that listed commodity;
ホ 当事者の一方の意思表示により当事者間において当該上場商品の売買取引を成立させることができる権利(以下「実物オプション」という。)を相手方が当事者の一方に付与し、当事者の一方がこれに対して対価を支払うことを約する取引
(e) a transaction where the first party agrees to grant the second party the right to effect a purchase and sale transaction between them for that listed commodity by a unilateral manifestation of the second party's intention alone (hereinafter referred to as a "spot option") and the second party agrees to pay the value of that spot option;
ヘ 当該上場商品又はその対象となる物品が当該上場商品であるか若しくはこれに含まれる商品指数に係る次に掲げる取引
(f) one of the following transactions in that listed commodity, or in connection with a commodity index covering goods that constitute or include that listed commodity:
(1) 当事者が数量を定めた商品について当事者の一方が相手方と取り決めた商品の価格の約定した期間における変化率に基づいて金銭を支払い、相手方が当事者の一方と取り決めた当該商品以外の商品の価格の約定した期間における変化率に基づいて金銭を支払うことを相互に約する取引
1. a transaction where the parties mutually agree that, for a commodity whose volume they have set, the first party will pay money to the second based on the rate of change in the agreed-upon price for a commodity during the period they have agreed to, and the second party will pay money to the first based on the rate of change in an agreed-upon price for a commodity other than that commodity during the period they have agreed to;
(2) 当事者が数量を定めた商品について当事者の一方が相手方と取り決めた商品の価格の約定した期間における変化率に基づいて金銭を支払い、相手方が当事者の一方と取り決めた商品指数の約定した期間における変化率に基づいて金銭を支払うことを相互に約する取引
2. a transaction where the parties mutually agree that, for a commodity whose volume they have set, the first party will pay money to the second based on the rate of change in the agreed-upon price for the commodity during the period they have agreed to, and the second party will pay money to the first based on the rate of change in an agreed-upon commodity Index during the period they have agreed to;
(3) 当事者が数量を定めた商品について当事者の一方が相手方と取り決めた商品指数の約定した期間における変化率に基づいて金銭を支払い、相手方が当事者の一方と取り決めた商品指数の約定した期間における変化率に基づいて金銭を支払うことを相互に約する取引
3. a transaction where the parties mutually agree that, for a commodity whose volume they have set, the first party will pay money to the second based on the rate of change in an agreed-upon commodity index during the period they have agreed to, and the second party will pay money to the first based on the rate of change in an agreed-upon commodity Index during the period they have agreed to.
ト 当事者の一方の意思表示により当事者間においてヘに掲げる取引を成立させることができる権利(以下「特定スワップオプション」という。)を相手方が当事者の一方に付与し、当事者の一方がこれに対して対価を支払うことを約する取引
(g) a transaction where the first party agrees to grant the second party the right to effect one of the transactions listed in (f) above between them by a unilateral manifestation of the second party's intention alone (hereinafter referred to as a "specified swap option") and the second party agrees to pay the value of that specified swap option;
チ イからトまでの取引に類似する取引であつて政令で定めるもの
(h) a transaction which is similar to what is listed in one of the preceding (a) through (g) and which is specified by Cabinet Order.
二 上場商品指数に係る商品市場 当該上場商品指数に係る第三項第四号ハ又はホに掲げる取引に係る同号に掲げる取引その他これらの取引に類似する取引であつて政令で定めるもの
(ii) the commodity market for a listed commodity index: a transaction set forth in paragraph (3), item (iv) linked with a transaction listed in (c) or (e) of that item in connection with that listed commodity index and any other transaction which is similar to such a transaction and which is specified by Cabinet Order.
11 この法律において「商品取引所持株会社」とは、株式会社商品取引所を子会社(第三条の二第三項に規定する子会社をいう。)とする株式会社であつて、第九十六条の二十五第一項の認可を受けて設立され、又は同項若しくは同条第三項ただし書の認可を受けているものをいう。
(11) The term "commodity exchange holding company" as used in this Act means a stock company whose subsidiary company (meaning a subsidiary company as prescribed in Article 3-2, paragraph (3)) is an incorporated commodity exchange established with the authorization referred to in in Article 96-25, paragraph (1) or an incorporated commodity exchange that has obtained the authorization referred to in the same paragraph or in the proviso to paragraph (3) of that Article.
12 この法律において「外国商品市場」とは、商品市場に類似する市場で外国に所在するものをいう。
(12) The term "foreign commodity market" as used in this Act means a market that is similar to a commodity market and that is located in a foreign country.
13 この法律において「外国商品市場取引」とは、外国商品市場において行われる取引であつて、商品市場における取引に類似するものをいう。
(13) The term "foreign commodity market transaction" as used in this Act means a transaction that is effected on a foreign commodity market and that is similar to a transaction on a commodity market.
14 この法律において「店頭商品デリバティブ取引」とは、商品市場、外国商品市場及び取引所金融商品市場(金融商品取引法(昭和二十三年法律第二十五号)第二条第十七項に規定する取引所金融商品市場をいう。以下同じ。)によらないで行われる次に掲げる取引(第三百三十一条各号に掲げる施設における取引を除く。)をいう。
(14) The term "over-the-counter commodity derivative transaction" as used in this Act means any of the following transactions carried out outside any commodity market, foreign commodity market, and financial instruments exchange markets (which mean financial instruments exchange markets prescribed in Article 2, paragraph (17) of the Financial Instruments and Exchange Act (Act No. 25 of 1948); the same applies hereinafter) (excluding transactions carried out through the facilities listed in each of the items of Article 331):
一 当事者が将来の一定の時期において商品及びその対価の授受を約する売買取引であつて、当該売買の目的物となつている商品の売戻し又は買戻しをしたときは差金の授受によつて決済することができる取引
(i) a purchase and sale transaction in which the parties promise to transfer between them a commodity and its value at a fixed time in the future, which the parties may settle by transferring the difference in values if they sell or buy back the underlying commodity;
二 約定価格と現実価格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
(ii) a transaction in which the parties promise to transfer between them money calculated based on the difference between the contract price and the actual price, or a transaction similar thereto;
三 約定数値と現実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
(iii) a transaction in which the parties promise to transfer between them money calculated based on the difference between the agreed figure and the actual figure, or a transaction similar thereto;
四 当事者の一方の意思表示により当事者間において次に掲げる取引を成立させることができる権利を相手方が当事者の一方に付与し、当事者の一方がこれに対して対価を支払うことを約する取引又はこれに類似する取引
(iv) a transaction where the first party agrees to grant the second party the right to effect one of the following transactions between them by a unilateral manifestation of the second party's intention alone, and the second party agrees to pay the value thereof; or a transaction similar thereto:
イ 第一号に掲げる取引
(a) the transaction set forth in item (i);
ロ 第二号に掲げる取引
(b) the transaction set forth in item (ii);
ハ 前号に掲げる取引
(c) the transaction set forth in the previous item;
ニ 第六号に掲げる取引
(d) the transaction set forth in item (vi).
五 当事者の一方の意思表示により当事者間において当該意思表示を行う場合の商品の価格としてあらかじめ約定する価格(一の商品の価格の水準を表す数値その他の一の商品の価格に基づいて算出される数値を含む。以下この号において同じ。)若しくは商品指数としてあらかじめ約定する数値と現に当該意思表示を行つた時期における現実の当該商品の価格若しくは当該商品指数の数値の差に基づいて算出される金銭を授受することとなる取引を成立させることができる権利を相手方が当事者の一方に付与し、当事者の一方がこれに対して対価を支払うことを約する取引又はこれに類似する取引
(v) a transaction where the first party agrees to grant the second party the right, by a unilateral manifestation of the second party's intention alone, to effect a transaction in which the parties transfer between them money calculated based on the difference between the price they have agreed upon in advance as the price for a commodity in the event that the party manifests the intention to effect the transaction (including a numerical value that expresses the price level of the commodity or any other numerical value calculated based on the price of the commodity; hereinafter the same applies in this item), or the numerical value they have agreed upon in advance as that for the commodity index in the event that the party manifests that intention, and the current price of that commodity or numerical value of that commodity index at the time that the party actually manifests that intention, and the second party agrees to pay the value thereof; or a transaction similar thereto;
六 当事者が数量を定めた商品について当事者の一方が相手方と取り決めた商品の価格若しくは商品指数の約定した期間における変化率に基づいて金銭を支払い、相手方が当事者の一方と取り決めた商品の価格若しくは商品指数の約定した期間における変化率に基づいて金銭を支払うことを相互に約する取引又はこれに類似する取引
(vi) a transaction where the parties mutually agree that, for a commodity whose volume they have set, the first party will pay money to the second based on the rate of change in the agreed-upon price or commodity index for a commodity during the period they have agreed to, and the second party will pay money to the first based on the rate of change in the agreed-upon price or commodity index for a commodity during the period they have agreed to; or a transaction similar thereto;
七 前各号に掲げるもののほか、これらと同様の経済的性質を有する取引であつて、公益又は取引の当事者の保護を確保することが必要と認められるものとして政令で定めるもの
(vii) a transaction other than one set forth in the preceding items, which is of an economic nature similar thereto and which is specified by Cabinet Order as a transaction with regard to which it is found to be necessary to ensure the public interest or the protection of the parties thereto.
15 この法律において「商品デリバティブ取引」とは、商品市場における取引、外国商品市場取引及び店頭商品デリバティブ取引(その内容等を勘案し、取引の当事者の保護に欠けるおそれがないものとして政令で定める店頭商品デリバティブ取引及び店頭商品デリバティブ取引について高度の能力を有する者として主務省令で定める者若しくは資本金の額が主務省令で定める金額以上の株式会社を相手方として行われ、又はこれらの者のために行われる店頭商品デリバティブ取引(第三百四十九条第一項において「対象外店頭商品デリバティブ取引」という。)を除く。)をいう。
(15) The term "commodity derivative transaction" as used in this Act means a transaction on a commodity market, a foreign commodity market transaction, or an over-the-counter commodity derivative transaction (other than an over-the-counter commodity derivative transaction specified by Cabinet Order as one that, in consideration of its content and other factors, is found to be unlikely to result in insufficient protection of the parties thereto, and any over-the-counter commodity derivative transaction effected with or on behalf of a party specified by Order of the competent ministry as being highly skilled in such transactions or with a stock company whose amount of stated capital is at least the amount specified by Order of the competent ministry (each such an excluded transaction is referred to as an "out-of-scope over-the-counter commodity derivative transaction" in Article 349, paragraph (1))).
16 この法律において「取引参加者」とは、第八十二条第一項の規定により与えられた取引資格に基づき、株式会社商品取引所の開設する商品市場における取引に参加できる者をいう。
(16) The term "trading participant" as used in this Act means a person that is permitted to participate in transactions on a commodity market that is operated by an incorporated commodity exchange, based on trading eligibility granted pursuant to the provisions of Article 82, paragraph (1).
17 この法律において「商品取引債務引受業」とは、商品市場における取引に基づく債務の引受けを行う営業をいう。
(17) The term "business of assuming commodity transaction debts" as used in this Act means the business of assuming the liabilities arising from transactions on a commodity market.
18 この法律において「商品取引清算機関」とは、商品取引債務引受業を営むことについて第百六十七条又は第百七十三条第一項の規定により主務大臣の許可又は承認を受けた者をいう。
(18) The term "commodity clearing organization" as used in this Act means a person that has been licensed by or has obtained the approval of the competent minister pursuant to the provisions of Article 167 or Article 173, paragraph (1) with regard to engagement in the business of assuming commodity transaction debts.
19 この法律において「清算参加者」とは、第百七十四条第一項の規定により与えられた資格に基づき、商品取引清算機関の行う商品取引債務引受業の相手方となる者をいう。
(19) The term "clearing participant" as used in this Act means the person that stands as the counterparty to the business of assuming commodity transaction debts by a commodity clearing organization, based on eligibility granted pursuant to the provisions of Article 174, paragraph (1).
20 この法律において「商品清算取引」とは、清算参加者が商品取引清算機関の業務方法書の定めるところにより商品取引所の会員又は取引参加者(以下「会員等」という。)の委託を受けて行う商品市場における取引であつて、当該取引に基づく債務を当該商品取引清算機関に引き受けさせること及び当該会員等が当該清算参加者を代理して当該取引を成立させることを条件とするものをいう。
(20) The term "commodity clearing transaction" as used in this Act means a transaction on a commodity market that a clearing participant effects, having been entrusted to do so by the member or trading participant (hereinafter referred to as a "member, etc.") of a commodity exchange, pursuant to the provisions of the business rules of a commodity clearing organization, on the condition that the commodity clearing organization will be made to assume the liabilities arising from the transaction and that the member, etc. will be made to effect the transaction on behalf of the clearing participant.
21 この法律において「商品市場における取引等」とは、次に掲げる行為をいう。
(21) The term "transaction on a commodity market, etc." as used in this Act means one of the following acts:
一 商品市場における取引
(i) a transaction on a commodity market;
二 前号に掲げる行為の委託の媒介、取次ぎ又は代理
(ii) acting as the intermediary, broker, or agent for the consignment of the act set forth in the preceding item;
三 商品清算取引の委託の取次ぎ
(iii) acting as a broker in consigning a person with a commodity clearing transaction;
四 前号に掲げる行為の委託の媒介、取次ぎ又は代理
(iv) acting as the intermediary, broker, or agent for the act set forth in the preceding item.
22 この法律において「商品先物取引業」とは、次に掲げる行為(その内容等を勘案し、委託者又は店頭商品デリバティブ取引の相手方(以下「委託者等」という。)の保護に欠けるおそれがないものとして政令で定めるもの及び第十五項の主務省令で定める者若しくは資本金の額が同項の主務省令で定める金額以上の株式会社を相手方として店頭商品デリバティブ取引を行い、又はこれらの者のために店頭商品デリバティブ取引の媒介、取次ぎ若しくは代理を行う行為を除く。)のいずれかを業として行うことをいう。
(22) The term "commodity derivatives business" as used in this Act means the business of engaging in one of the following acts in the course of trade (other than an act specified by Cabinet Order as one that, in consideration of its content and other factors, is found to be unlikely to result in insufficient protection for the consignor or for the counterparty to an over-the-counter commodity derivative transaction (hereinafter referred to as the "consignor, etc."); other than effecting an over-the-counter commodity derivative transaction with the party specified by order of the competent ministry which is referred to in paragraph (15) or with a stock company whose amount of stated capital is at least the amount specified by order of the competent ministry which is referred to in the same paragraph; and other than acting as the intermediary, broker, or agent for such a person in an over-the-counter commodity derivative transaction):
一 商品市場における取引(商品清算取引を除く。)の委託を受け、又はその委託の媒介、取次ぎ若しくは代理を行う行為
(i) accepting consignment of a transaction on a commodity market (other than a commodity clearing transaction) or acting as the intermediary, broker, or agent for consignment of a person with such a transaction;
二 商品清算取引の委託の取次ぎの委託を受け、又はその委託の媒介、取次ぎ若しくは代理を行う行為
(ii) Accepting consignment of intermediation of consignment of a commodity clearing transaction or acting as the intermediary, broker, or agent for consignment of such a transaction;
三 外国商品市場取引(商品清算取引に類似する取引を除く。)の委託を受け、又はその委託の媒介、取次ぎ若しくは代理を行う行為
(iii) accepting consignment of a foreign commodity market transaction (other than a transaction that is similar to a commodity clearing transaction) or acting as the intermediary, broker, or agent for consignment of such a transaction;
四 外国商品市場取引のうち、商品清算取引に類似する取引の委託の取次ぎの委託を受け、又はその委託の媒介、取次ぎ若しくは代理を行う行為
(iv) accepting consignment of a foreign commodity market transaction that is similar to a commodity clearing transaction, or acting as the intermediary, broker, or agent for consignment of such a transaction
五 店頭商品デリバティブ取引又はその媒介、取次ぎ若しくは代理を行う行為
(v) effecting an over-the-counter commodity derivative transaction or acting as the intermediary, broker, or agent for such a transaction.
23 この法律において「商品先物取引業者」とは、商品先物取引業を行うことについて第百九十条第一項の規定により主務大臣の許可を受けた者をいう。
(23) The term "commodity derivative broker" as used in this Act means a person licensed by the competent minister pursuant to the provisions of Article 190, paragraph (1) to conduct commodity derivatives business.
24 この法律において「商品取引契約」とは、商品先物取引業者が顧客を相手方とし、又は顧客のために第二十二項各号に掲げる行為を行うことを内容とする契約をいう。
(24) The term "commodity transaction contract" as used in this Act means a contract for a commodity derivative broker to perform an act set forth in one of the items of paragraph (22) with or on behalf of a customer.
25 この法律において「特定委託者」とは、次に掲げる者をいう。
(25) The term "eligible consignor" as used in this Act means the following:
一 商品先物取引業者
(i) a commodity derivative broker;
二 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(以下「商品投資顧問業者」という。)
(ii) a commodities investment advisor as prescribed in Article 2, paragraph (4) of the Act Regulating the Commodity Investment Business (Act No. 66 of 1991) (hereinafter referred to as a "commodities investment advisor");
三 商品デリバティブ取引に係る専門的知識及び経験を有する者として主務省令で定める者
(iii) a person specified by order of the competent ministry as having expert knowledge of and experience with commodity derivative transactions;
四 
(iv) the State
五 日本銀行
(v) the Bank of Japan;
六 商品取引所の会員等
(vi) members, etc. of a commodity exchange;
七 商品取引所に相当する外国の施設の会員等
(vii) members, etc. of a facility equivalent to a commodity exchange in a foreign state;
八 前各号に掲げるもののほか、第六章に規定する委託者保護基金その他の主務省令で定める法人
(viii) a consignor protection fund as prescribed in Chapter VI and any other corporation specified by order of the competent ministry, other than one as set forth in the preceding items;
26 この法律において「特定当業者」とは、商品先物取引業者が行う商品取引契約の締結の勧誘の相手方、商品先物取引業者に商品取引契約の申込みをする者又は商品先物取引業者と商品取引契約を締結する者であつて、当該商品取引契約に基づく商品デリバティブ取引に係る取引対象商品のすべてについて当該取引対象商品である物品又はこれに関連する物品として主務省令で定めるものの売買、売買の媒介、取次ぎ若しくは代理、生産、加工又は使用(以下「売買等」という。)を業として行つているもののうち、主務省令で定める要件に該当する法人(特定委託者に該当する法人を除く。)をいう。
(26) The term "specified professional" as used in this Act means the counterparty to a commodity derivative broker's solicitation to conclude a commodity transaction contract; a person offering a commodity transaction contract to a commodity derivative broker; or a person concluding a commodity transaction contract with a commodity derivative broker; which, in the course of trade, engages in the purchase and sale of goods that constitute underlying commodities in respect of all of the underlying commodities in the commodity derivative transactions that are based on its commodity transaction contract, or in the purchase and sale of goods specified by order of the competent ministry as being related to these; acts as the intermediary, broker, or agent for the purchase and sale or such goods; or produces, processes, or uses such goods (hereinafter such an action is referred to as the "purchase and sale, etc."); and which is a corporation satisfying the requirements specified by order of the competent ministry (other than a corporation that falls under the category of a specified consignor).
27 この法律において「取引対象商品」とは、商品市場における取引、外国商品市場取引若しくは店頭商品デリバティブ取引の対象となる商品又はこれらの取引の対象となる商品指数の対象となる商品をいう。
(27) The term "underlying commodity" as used in this Act means the commodity underlying a transaction on a commodity market, foreign commodity market transaction, or over-the-counter commodity derivative transaction, or a commodity that is a constituent of the commodity index underlying these transactions.
28 この法律において「商品先物取引仲介業」とは、商品先物取引業者の委託を受けて、当該商品先物取引業者のために第二十二項各号に規定する媒介のいずれかを業として行うことをいう。
(28) The term "commodity derivatives intermediation services" as used in this Act means undertaking consignment by a commodity derivative broker to act as the intermediary prescribed in one of the items of paragraph (22) on behalf of that commodity derivative broker, in the course of trade.
29 この法律において「商品先物取引仲介業者」とは、第二百四十条の二第一項の規定により主務大臣の登録を受けた者をいう。
(29) The term "commodity derivatives intermediary service provider" as used in this Act means a person that has obtained the registration of the competent minister pursuant to Article 240-2, paragraph (1).
第二章 商品取引所
Chapter II Commodity Exchanges
第一節 総則
Section 1 General Provisions
(業務の範囲)
(Scope of Business)
第三条 商品取引所は、商品又は商品指数について先物取引をするために必要な市場の開設の業務(以下「商品市場開設業務」という。)及び上場商品の品質の鑑定、刊行物の発行その他これに附帯する業務以外の業務を行つてはならない。ただし、主務省令で定めるところにより、主務大臣の認可を受けた場合は、商品市場開設業務に関連する業務及びこれに附帯する業務、算定割当量(地球温暖化対策の推進に関する法律(平成十年法律第百十七号)第二条第六項に規定する算定割当量をいう。以下同じ。)に係る取引を行う市場の開設の業務及びこれに附帯する業務、金融商品市場(金融商品取引法第二条第十四項に規定する金融商品市場をいう。以下同じ。)の開設の業務及びこれに附帯する業務(株式会社商品取引所が行う場合に限る。)又は金融商品債務引受業等(同法第百五十六条の三第一項第六号に規定する金融商品債務引受業等をいう。以下同じ。)及びこれに附帯する業務を行うことができる。
Article 3 (1) A commodity exchange must not conduct business other than the business of opening the necessary markets for effecting futures transactions for a commodity or commodity index (hereinafter referred to as the "business of opening a commodity market"), appraising the quality of listed commodities, issuing publications, and business incidental thereto; provided, however, that a commodity exchange that obtains the authorization of the competent minister pursuant to order of the competent ministry may engage in business that is connected with the opening a commodity market and business incidental thereto; the business of opening a market for trading carbon dioxide equivalent quotas (meaning carbon dioxide equivalent quotas as prescribed in Article 2, paragraph (6) of the Act on Promotion of Global Warming Countermeasures (Act No. 117 of 1998); the same applies hereinafter) and business incidental thereto; the business of opening a financial instruments market (meaning a financial instruments market as prescribed in Article 2, paragraph (14) of the financial instruments and exchange Act; hereinafter the same applies) and business incidental thereto (provided that such business is conducted by an incorporated commodity exchange); or perform financial instruments debt assumption services, etc. (meaning financial instruments obligation assumption services, etc. as prescribed in Article 156-3, paragraph (1), item (vi) of that Act; the same applies hereinafter) and business incidental thereto.
2 主務大臣は、前項ただし書の認可に条件を付することができる。
(2) The competent minister may attach conditions to the authorization referred to in the proviso to the preceding paragraph.
3 前項の条件は、公益若しくは取引の公正の確保のため又は委託者の保護のため必要な最小限度のものでなければならない。
(3) The conditions referred to in the preceding paragraph must constitute the minimum level of conditions that are necessary for the public interest, for ensuring the fairness of transactions, or for protecting the consignors.
4 主務大臣は、第一項ただし書の認可の申請があつた場合において、当該申請に係る業務を行うことにより、商品取引所の業務の公共性に対する信頼を損なうおそれ又は商品市場開設業務及びこれに附帯する業務の健全かつ適切な運営を損なうおそれがあると認めるときは、当該認可をしてはならない。
(4) If an application is filed for the authorization referred to in the proviso to paragraph (1) and the competent minister finds that the applicant's engagement in the business to which the application pertains is likely to impair confidence in the public nature of the business of the commodity exchange or to obstruct the sound and proper administration of the business of opening a commodity market or business incidental thereto, the minister must not give that authorization.
(子会社の範囲)
(Scope of Subsidiary Companies)
第三条の二 商品取引所は、商品市場開設業務及びこれに附帯する業務を行う会社以外の会社を子会社としてはならない。ただし、主務省令で定めるところにより、主務大臣の認可を受けた場合は、商品市場開設業務に関連する業務及びこれに附帯する業務を行う会社、算定割当量に係る取引を行う市場の開設の業務及びこれに附帯する業務を行う会社、取引所金融商品市場の開設の業務及びこれに附帯する業務を行う会社又は取引所金融商品市場の開設に関連する業務及びこれに附帯する業務を行う会社を子会社とすることができる。
Article 3-2 (1) A commodity exchange must not have a company other than one engaging in the business of opening a commodity market or business incidental thereto as its subsidiary company; provided, however, that a commodity exchange that obtains the authorization of the competent minister pursuant to order of the competent ministry may have as its subsidiary company a company engaging in business that is connected with the business of opening a commodity market and business incidental thereto; a company engaging in the business of opening markets for trading carbon dioxide equivalent quotas and business incidental thereto; a company engaging in the business of opening financial instruments exchange markets and business incidental thereto; or a company engaging in business that is connected with the opening of a financial instruments exchange market and business incidental thereto.
2 前条第二項から第四項までの規定は、前項ただし書の認可について準用する。この場合において、同条第四項中「業務を行う」とあるのは「会社を子会社とする」と、「商品市場開設業務」とあるのは「商品取引所の商品市場開設業務」と読み替えるものとする。
(2) The provisions of paragraph (2) through paragraph (4) of the preceding Article apply mutatis mutandis to the authorization referred to in the proviso to the preceding paragraph. In such case, the phrase "the business to which the application pertains" in paragraph (4) of that Article is deemed to be replaced with "the subsidiary company to which the application pertains" and the term "business of opening a commodity market" in that paragraph is deemed to be replaced with "the commodity exchange's opening of a commodity market".
3 前二項の「子会社」とは、法人がその総株主又は総社員の議決権(株式会社にあつては、株主総会において決議をすることができる事項の全部につき議決権を行使することができない株式についての議決権を除き、会社法(平成十七年法律第八十六号)第八百七十九条第三項の規定により議決権を有するものとみなされる株式についての議決権を含む。以下この項及び第百九十六条第二項において同じ。)の過半数を保有する会社をいう。この場合において、法人及びその一若しくは二以上の子会社又は法人の一若しくは二以上の子会社がその総株主又は総社員の議決権の過半数を保有する会社は、当該法人の子会社とみなす。
(3) The term "subsidiary company" as used in the preceding two paragraphs means a company in which a corporation holds the majority of all shareholders' or all members' voting rights (for a stock company, this excludes voting rights in respect of shares that do not allow voting rights to be exercised with regard to all matters that can be resolved at a shareholders meeting, and includes voting rights in respect of shares that are deemed to have voting rights pursuant to the provisions of Article 879, paragraph (3) of the Companies Act (Act No. 86 of 2005); hereinafter the same applies in this paragraph and in Article 196, paragraph (2)). In such a case, a company in which a corporation and one or more of its subsidiary companies hold the majority of all shareholders' or members' voting rights, or in which one or more of a corporation's subsidiary companies hold the majority of all shareholders' or members' voting rights, is deemed to be the subsidiary company of that corporation.
(名称又は商号)
(Name or Trade Name)
第四条 商品取引所は、その名称又は商号中に「取引所」という文字を用いなければならない。
Article 4 (1) A commodity exchange must use the characters "取引所" (pronounced "torihikijo" and meaning "exchange") in its name or trade name.
2 商品取引所でない者は、その名称又は商号中に商品取引所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。
(2) A person that is not a commodity exchange must not use a term in its name or trade name which could give rise to the misconception that it is a commodity exchange.
(市場の開設の制限)
(Restriction on the Opening of a Market)
第五条 商品取引所は、定款(株式会社商品取引所にあつては、定款又は業務規程。以下この項及び第百五条において同じ。)で定める商品市場以外の市場(定款で定める開設期限を経過し、又は第十一条第四項若しくは第百二条第三項に規定する範囲変更期間が終了した商品市場を含む。)を開設してはならない。
Article 5 (1) A commodity exchange must not open a market (including a commodity market for which the operative term specified in the articles of incorporation has passed, or for which the term for a change of scope as prescribed in Article 11, paragraph (4), or Article 102, paragraph (3) has ended) other than the commodity markets prescribed by the articles of incorporation (in the case of an incorporated commodity market, the articles of incorporation or operational rules; hereinafter the same applies in this paragraph and Article 105).
2 商品取引所は、一種の上場商品又は上場商品指数について二以上の商品市場を開設してはならない。
(2) A commodity exchange must not open two or more commodity markets for a single kind of listed commodity or listed commodity index.
(自主規制業務)
(Self-Regulatory Services)
第五条の二 商品取引所は、この法律及び定款その他の規則に従い、商品市場における取引を公正にし、及び委託者を保護するため、自主規制業務を適切に行わなければならない。
Article 5-2 (1) A commodity exchange must perform self-regulatory services in an appropriate manner, in accordance with this Act and with its articles of incorporation and other rules, in order to ensure the fairness of transactions on the commodity market, as well as to protect consignors.
2 前項の「自主規制業務」とは、商品市場について行う次に掲げる業務をいう。
(2) The term "self-regulatory services" as used in the preceding paragraph means the following services conducted in respect of a commodity market:
一 会員等のこの法律、この法律に基づく命令若しくはこの法律に基づいてする主務大臣の処分(第九十六条の二十二、第九十六条の三十四、第九十六条の四十、第百五十九条、第百六十条及び第百六十五条において「この法律等」という。)若しくは当該商品取引所の定款、業務規程、受託契約準則、紛争処理規程その他の規則又は取引の信義則の遵守の状況の調査
(i) the investigation of members', etc. compliance with this Act, orders based this Act, and dispositions made by the competent minister based on this Act (hereinafter referred to as "this Act, etc." in Article 96-22, Article 96-34, Article 96-40, Article 159, Article 160, and Article 165), with the articles of incorporation, operational rules, brokerage contract rules, dispute resolution rules, and other rules of the commodity exchange, and with the principle of good faith in transactions;
二 会員等に対する除名の処分その他の措置に関する業務
(ii) business related to expulsion and other dispositions against members, etc.;
三 その他商品市場における取引の公正を確保し、及び委託者を保護するために必要な業務として主務省令で定めるもの
(iii) other business specified by order of the competent ministry as necessary for ensuring the fairness of transactions on a commodity market and protecting consignors.
(商品市場類似施設の開設の禁止)
(Prohibition on the Establishment of a Facility Similar to a Commodity Market)
第六条 何人も、商品又は商品指数(これに類似する指数を含む。)について先物取引に類似する取引をするための施設(取引所金融商品市場を除く。)を開設してはならない。
Article 6 (1) It is prohibited for any person to establish a facility on which transactions that are similar to futures transactions in commodities or commodity indices are effected (including indices similar thereto) (this excludes financial instruments exchange markets).
2 何人も、前項の施設において先物取引に類似する取引をしてはならない。
(2) No person may carry out transactions that are similar to futures transactions in a facility as referred to in in the preceding paragraph.
第二節 会員商品取引所
Section 2 Member Commodity Exchanges
第一款 設立
Subsection 1 Establishment
(法人格)
(Legal Personality)
第七条 会員商品取引所は、法人とする。
Article 7 (1) A member commodity exchange has legal personality.
2 会員商品取引所は、営利の目的をもつて業務を行つてはならない。
(2) A member commodity exchange must not conduct business for profit.
(住所)
(Address)
第八条 会員商品取引所の住所は、その主たる事務所の所在地にあるものとする。
Article 8 The address of a member commodity exchange is the address at which its principal office is located.
(設立の許可)
(Permission for Establishment)
第九条 会員商品取引所を設立しようとする者は、主務大臣の許可を受けなければならない。
Article 9 A person seeking to establish a member commodity exchange must obtain the permission of the competent minister to do so.
(設立要件)
(Requirements for Establishment)
第十条 会員商品取引所を設立するには、開設する商品市場ごとに会員になろうとする二十人以上の者が発起人とならなければならない。
Article 10 (1) In order to establish a member commodity exchange, 20 or more persons that seek to become its members must become the founders.
2 発起人については、次の各号に掲げる商品市場の区分に応じ、当該各号に定める者が、それぞれ、一の商品市場における発起人の過半数を占めなければならない。
(2) With regard to the founders, the persons prescribed in the relevant of the following items for the category of commodity market set forth in that item must constitute the majority of the founders of a single commodity market:
一 上場商品に係る商品市場 一年以上継続して当該上場商品に含まれる物品(以下「上場商品構成物品」という。)の売買等を業として行つている者
(i) a commodity market for a listed commodity: persons that have been engaging continuously in the purchase and sale, etc. of goods that are included in the relevant listed commodity (hereinafter referred to as "listed commodity component products") in the course of trade, for one year or more;
二 上場商品指数に係る商品市場 一年以上継続して当該上場商品指数に係る商品指数の対象となる物品(以下「上場商品指数対象物品」という。)の売買等を業として行つている者
(ii) the commodity market for a listed commodity index: persons that have been engaging continuously in the purchase and sale, etc. of goods underlying the commodity index (or indices) to which the listed commodity index pertains (hereinafter referred to as the "goods underlying the listed commodity index") in the course of trade, for one year or more.
(定款)
(Articles of Incorporation)
第十一条 発起人は、会員商品取引所の定款を作成し、定款が書面をもつて作成されているときは、これに署名し、又は記名押印しなければならない。
Article 11 (1) The founders must prepare the articles of establishment of the member commodity exchange, and if the articles of incorporation are prepared in the form of a paper document, the founders must sign the document or have their names and seals affixed to the document.
2 前項の定款には、次に掲げる事項を記載し、又は記録しなければならない。
(2) The following particulars must be included or recorded in the articles of incorporation referred to in the preceding paragraph:
一 事業
(i) description of business;
二 名称
(ii) the name;
三 事務所の所在地
(iii) the office address;
四 会員たる資格に関する事項
(iv) the particulars of eligibility as a member;
五 出資一口の金額並びにその払込みの時期及び方法
(v) the amount for one unit of contribution and the timing and method of its payment;
六 会員の加入及び脱退に関する事項
(vi) the particulars of joining and withdrawing as a member;
七 信認金及び取引証拠金に関する事項
(vii) the particulars of the guarantee funds and clearing margins;
八 会員の経費の分担に関する事項
(viii) the particulars of the sharing of costs among members;
九 会員に対する監査及び制裁に関する事項
(ix) the particulars of audits of and sanctions against members;
十 役員の定数、任期及び選任に関する事項
(x) the particulars of the set number of officers and their term of office and appointment;
十一 会員総会に関する事項
(xi) particulars related to general meetings of members;
十二 商品市場外における会員間の契約に対する定款、業務規程、受託契約準則及び紛争処理規程の拘束力に関する事項
(xii) the particulars of the binding effect that the articles of incorporation, operational rules, brokerage contract rules and dispute resolution rules have on contracts between members concluded outside the commodity market;
十三 商品市場に関する次に掲げる事項
(xiii) the following particulars about the commodity market:
イ 上場商品又は上場商品指数
(a) the listed commodity or listed commodity index;
ロ 上場商品又は上場商品指数ごとの取引の種類
(b) the types of transaction for each listed commodity or listed commodity index;
ハ 取引の決済の方法
(c) the settlement method for transactions.
十四 事業年度
(xiv) the business year;
十五 剰余金の処分及び損失の処理に関する事項
(xv) particulars related to the allocation of surplus and the handling of losses;
十六 公告方法(会員商品取引所が公告(この法律又は他の法律の規定により官報に掲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。以下同じ。)
(xvi) the means of public notice (meaning the means by which the member commodity exchange issues public notice (other than public notice that must be issued through publication in the official gazette pursuant to the provisions of this Act or other Acts); hereinafter the same applies).
3 会員商品取引所の負担に帰すべき設立費用又は発起人が受けるべき報酬の額は、定款に記載し、又は記録しなければ、その効力を生じない。
(3) The costs of establishment to be borne by the member commodity exchange and the remuneration that the founders are to receive do not come into effect if not included or recorded in the articles of incorporation.
4 会員商品取引所の定款には、第二項各号に掲げる事項のほか、会員商品取引所の存続期間、商品市場の開設期限又は範囲変更期間(商品市場(第百五十五条第三項第二号に規定する期限付商品市場を除く。)における上場商品又は上場商品指数の範囲の変更(廃止又は範囲の縮小を除く。同条において同じ。)が行われる期間をいう。以下この項及び同条において同じ。)を定めたときは、その存続期間、開設期限又は範囲変更期間を記載し、又は記録するものとする。
(4) If the term of existence of a member commodity exchange, the operative term of a commodity market, or the term for a change of scope in a commodity market (meaning the term during which the scope of a listed commodity or a listed commodity index on a commodity market (excluding a fixed-term commodity market as prescribed in Article 155, paragraph (3), item (ii)) can be changed (other than a discontinuation or narrowing of the scope; hereinafter the same applies in Article 155); hereinafter the same applies in this paragraph and Article 155) is set, this term of existence, operative term, or term for a change of scope is to be included or recorded in the articles of incorporation of the member commodity exchange, beyond the particulars set forth in the items of paragraph (2).
5 第一項の定款は、電磁的記録(電子的方式、磁気的方式その他人の知覚によつては認識することができない方式で作られる記録であつて、電子計算機による情報処理の用に供されるもので主務省令で定めるものをいう。以下同じ。)をもつて作成することができる。この場合において、当該電磁的記録に記録された情報については、主務省令で定める署名又は記名押印に代わる措置をとらなければならない。
(5) The articles of incorporation referred to in paragraph (1) may be prepared in the form of an electronic or magnetic record (meaning a record used in computer data processing which is created in electronic form, magnetic form, or any other form that is impossible to perceive through the human senses alone, and which is specified by order of the competent ministry; hereinafter the same applies). In such a case, the measures in lieu of signing or having names and seals affixed which are specified by order of the competent ministry must be taken for the information contained in that electronic or magnetic record.
6 会員商品取引所は、公告方法として、当該会員商品取引所の事務所の店頭に掲示する方法のほか、次に掲げる方法のいずれかを定款で定めることができる。
(6) A member commodity exchange may specify one of the following means as the means of public notice in its articles of incorporation, beyond the means of placing a posting at the office of the member commodity exchange:
一 官報に掲載する方法
(i) publication in the official gazette;
二 時事に関する事項を掲載する日刊新聞紙に掲載する方法
(ii) publication in a daily newspaper that publishes information about current events;
三 電子公告(公告方法のうち、電磁的方法(会社法第二条第三十四号に規定する電磁的方法をいう。)により不特定多数の者が公告すべき内容である情報の提供を受けることができる状態に置く措置であつて同号に規定するものをとる方法をいう。以下同じ。)
(iii) electronic public notice (meaning a means of public notice that involves implementing measures that make the information that is required to be publicized available to many and unspecified persons by an electronic or magnetic means (meaning an electronic or magnetic means prescribed in Article 2, item (xxxiv) of the Companies Act (Act No. 86 of 2005)), which is prescribed in the same item; hereinafter the same applies).
7 会員商品取引所が前項第三号に掲げる方法を公告方法とする旨を定款で定める場合には、その定款には、電子公告を公告方法とする旨を定めれば足りる。この場合においては、事故その他やむを得ない事由によつて電子公告による公告をすることができない場合の公告方法として、同項第一号又は第二号に掲げる方法のいずれかを定めることができる。
(7) If a member commodity exchange specifies in its articles of incorporation that the means set forth in item (iii) of the preceding paragraph is the means of public notice, it is sufficient for it to specify in the articles of incorporation that electronic public notice is the means of public notice. In such a case, either of the means set forth in item (i) and item (ii) of that paragraph may be specified as the means of public notice for cases in which public notice cannot be given by electronic public notice as a result of an accident or other unavoidable circumstances.
8 会員商品取引所が電子公告により公告をする場合には、次の各号に掲げる公告の区分に応じ、当該各号に定める日までの間、継続して電子公告による公告をしなければならない。
(8) If a member commodity exchange issues a public notice as an electronic public notice, it must do so on a continuous basis until the day provided for in the relevant of the following items for the category of public notice set forth in that item:
一 公告に定める期間内に異議を述べることができる旨の公告 当該期間を経過する日
(i) a public notice indicating that an objection may be stated within the period specified in the public notice: the day on which that period expires;
二 前号に掲げる公告以外の公告 当該公告の開始後一月を経過する日
(ii) a public notice other than one as set forth in the preceding item: the day on which one month has passed since the issuance of that public notice.
9 会員商品取引所が電子公告によりこの法律その他の法令の規定による公告をする場合については、会社法第九百四十条第三項、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、第九百五十三条及び第九百五十五条の規定を準用する。この場合において、同法第九百四十条第三項中「前二項の規定にかかわらず、これらの規定」とあるのは「商品取引所法第十一条第八項の規定にかかわらず、同項」と、同法第九百四十一条中「第四百四十条第一項」とあるのは「商品取引所法第六十八条の三」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。
(9) The provisions of Article 940, paragraph (3); Article 941; Article 946; Article 947; Article 951, paragraph (2); Article 953; and Article 955 of the Companies Act apply mutatis mutandis when a member commodity exchange issues public notice pursuant to the provisions of this Act or other Acts. In this case, the phrase "Notwithstanding the provisions of the preceding two paragraphs, .... pursuant to these provisions" in Article 940, paragraph (3) of the Companies Act is deemed to be replaced with "Notwithstanding the provisions of Article 11, paragraph (8) of the Commodity Exchange Act, .... pursuant to the same paragraph," the term "Article 440 (1)" in Article 941 of that Act is deemed to be replaced with "Article 68-3 of the Commodity Exchange Act", and any other technical replacement of terms is specified by Cabinet Order.
10 第二項各号に掲げる事項のほか、会員商品取引所の定款には、この法律の規定により定款の定めがなければその効力を生じない事項及びその他の事項でこの法律に違反しないものを記載し、又は記録することができる。
(10) Particulars other than those listed in the items of paragraph (2) which do not come into effect unless prescribed in the articles of incorporation pursuant to this Act, and any other particulars that do not violate this Act, may be included or recorded in the articles of incorporation of a member commodity exchange.
(加入の申込み)
(Application for Membership)
第十二条 発起人は、会員商品取引所の設立に際して、あらかじめ、その会員になろうとする者に対し、次に掲げる事項を通知しなければならない。
Article 12 (1) Before the establishment of a member commodity exchange, the founders must notify persons seeking to become its members of the following particulars:
一 定款に記載し、又は記録した事項
(i) the particulars included or recorded in the articles of incorporation;
二 発起人の氏名又は商号若しくは名称及び住所
(ii) the names or trade names and addresses of the founders;
三 出資の払込みの方法、期限及び場所
(iii) the method, due date and place for the payment of the contribution;
四 一定の時期までに創立総会が終わらなかつたときは、加入の申込みを取り消すことができること。
(iv) that the application for membership may be rescinded if the organizational meetings fail to be concluded by a certain time.
2 理事長は、会員商品取引所の成立後にその会員になろうとする者に対し、次に掲げる事項を通知しなければならない。
(2) The president must notify persons seeking to become members after the establishment of a member commodity exchange, of the following particulars:
一 成立の年月日
(i) the date of establishment;
二 定款に記載し、又は記録した事項
(ii) the particulars included or recorded in the articles of incorporation;
三 役員の氏名及び住所
(iii) the names and addresses of the officers;
四 出資の払込みの方法、期限及び場所
(iv) the method, due date and place for the payment of the contribution.
3 会員商品取引所の会員になろうとする者(発起人を含む。)は、その者の氏名又は名称及び住所、その引き受ける出資口数並びにその者が取引をしようとする商品市場における上場商品又は上場商品指数を記載した書面を発起人(成立後にあつては、理事長。次項において同じ。)に交付しなければならない。
(3) A person seeking to become a member of a member commodity exchange (including a founder) must deliver to the founders (or to the president, if the exchange has been established; the same applies in the following paragraph) a document stating that person's name and address, the number of units of contribution that person will make, and the listed commodity or listed commodity index that person seeks to trade on the commodity market.
4 会員商品取引所の会員になろうとする者は、前項の書面の交付に代えて、政令で定めるところにより、発起人の承諾を得て、同項の書面に記載すべき事項を電磁的方法(電子情報処理組織を使用する方法その他の情報通信の技術を利用する方法であつて主務省令で定めるものをいう。以下同じ。)により提供することができる。この場合において、当該会員になろうとする者は、同項の書面を交付したものとみなす。
(4) With the consent of the founders, in lieu of delivering the document referred to in the preceding paragraph, a person seeking to become the member of a member commodity exchange may provide the founders with the particulars that are required to be included in the document referred to in that paragraph by electronic or magnetic means (meaning by a means that makes use of an electronic data processing system or by a means that makes use of any other information and communications technology specified by order of the competent ministry; hereinafter the same applies) pursuant to Cabinet Order provisions. In such a case, the person seeking to become a member is deemed to have delivered the document referred to in that paragraph.
(創立総会)
(Organizational Meetings)
第十三条 発起人は、定款作成後、会員になろうとする者を募り、前条第一項第三号に定める出資の払込みの期限となつている日後十日を経過した日から五日以内に、創立総会を開かなければならない。
Article 13 (1) After creating the articles of incorporation, the founders must invite persons to become members, and hold the organizational meetings within five days after the day on which 10 days have passed since the due date for the payment of the contribution provided for in paragraph (1), item (iii) of the preceding Article.
2 発起人は、創立総会までに出資の全額の払込みを終了しなければならない。
(2) The founders must pay the full amount of contribution before the organizational meetings.
3 定款の承認その他設立に必要な事項の決定は、創立総会の決議によらなければならない。
(3) Approval of the articles of incorporation and decisions about matters that are otherwise necessary for the establishment of the member commodity exchange must be effected by resolution of an organizational meeting.
4 創立総会においては、定款を修正することができる。ただし、会員たる資格に関する事項については、この限りでない。
(4) The articles of incorporation may be revised at an organizational meeting; provided, however, that this does not apply to the particulars of eligibility as a member.
5 創立総会における議事は、会員になろうとする者(その出資の全額の払込みが終了した者に限る。)の半数以上が出席し、その議決権の三分の二以上で決する。
(5) A decision at an organizational meeting is made by at least a two-thirds majority of the votes of the attendees, at a meeting where at least half of the persons seeking to become members (limited to those that have paid the full amount of the contribution) are present.
6 創立総会においてその延期又は続行について決議があつた場合には、第八項において準用する第五十九条第八項本文及び第十項の規定は、適用しない。
(6) If a resolution is adopted at an organizational meeting with regard to the meeting's postponement or continuation, the provisions of Article 59, paragraph (8), main clause and paragraph (10) as applied mutatis mutandis pursuant to paragraph (8) of this Article do not apply.
7 創立総会の議事については、主務省令で定めるところにより、議事録を作成しなければならない。
(7) The minutes of an organizational meeting must be taken pursuant to the provisions of Order of the competent ministry.
8 第三十三条並びに第五十九条第八項本文及び第十項の規定は創立総会について、会社法第八百三十条、第八百三十一条、第八百三十四条(第十六号及び第十七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、第八百三十八条、第八百四十六条並びに第九百三十七条第一項(第一号トに係る部分に限る。)の規定(これらの規定中監査役に係る部分を除く。)は創立総会の決議の不存在若しくは無効の確認又は取消しの訴えについて、それぞれ準用する。この場合において、同項中「会社の本店(第一号トに規定する場合であって当該決議によって第九百三十条第二項各号に掲げる事項についての登記がされているときにあっては、本店及び当該登記に係る支店)」とあるのは、「会員商品取引所の主たる事務所(第一号トに規定する場合であって当該決議によって商品取引所法第二十四条第二項各号に掲げる事項についての登記がされているときにあっては、主たる事務所及び当該登記に係る従たる事務所)」と読み替えるものとする。
(8) The provisions of Article 33; the main clause of Article 59, paragraph (8); and Article 59, paragraph (10) apply mutatis mutandis to an organizational meeting, and the provisions of Article 830 of the Companies Act and of Article 831; Article 834 (limited to the part that involves items (xvi) and (xvii)); Article 835, paragraph (1); Article 836, paragraphs (1) and (3); Article 837; Article 838; Article 846; and Article 937, paragraph (1) (limited to the part that involves item (i) (g)) of that Act (excluding the part that involves corporate auditors) apply mutatis mutandis to an action seeking a declaratory judgment as to the absence or invalidity of an organizational meeting resolution or an action seeking the rescission of such a resolution. In this case, the phrase "the head office (or, in the case prescribed in item (i) (g), if the particulars listed in the items of Article 930, paragraph (2) have been registered as a result of such resolution, the head office and the branch offices regarding such registration)" in Article 937, paragraph (1) is to be deemed to be replaced with "the principal office of the member commodity exchange (or, in the case prescribed in item (i) (g), if a particular set forth in one of the items of Article 24, paragraph (2) of the Commodity Exchange Act is registered pursuant to that resolution, the principal office and the secondary office to which the registration pertains)".
(許可の申請)
(Application for Permission)
第十四条 発起人は、創立総会終了後、遅滞なく、第九条の許可の申請書に次に掲げる事項を記載して、主務大臣に提出しなければならない。
Article 14 (1) Following an organizational meeting, the founders must enter the following particulars in a written application for the permission referred to in Article 9, and submit it to the competent minister without delay:
一 名称
(i) the name;
二 事務所の所在地
(ii) the office address;
三 上場商品又は上場商品指数
(iii) the listed commodity or listed commodity index;
四 役員の氏名及び住所
(iv) the names and addresses of the officers;
五 会員の氏名又は商号若しくは名称及び会員が取引をする商品市場における上場商品又は上場商品指数
(v) the names or trade names of the members and the listed commodity or listed commodity index on the commodity market on which the members will trade.
2 前項の申請書には、定款、業務規程、受託契約準則、紛争処理規程、市場取引監視委員会規程その他主務省令で定める書類を添付しなければならない。
(2) The articles of incorporation, operational rules, brokerage contract rules, dispute resolution rules, market transactions surveillance committee rules, and other documents specified by order of the competent ministry must accompany the written application referred to in the preceding paragraph.
(許可の基準及び意見の聴取)
(Criteria for Permission and Hearing of Opinions)
第十五条 主務大臣は、第九条の許可の申請が次に掲げる基準に適合していると認めるときは、許可をしなければならない。
Article 15 (1) If the competent minister finds that an application for the permission referred to in Article 9 conforms to the following criteria, the minister must give permission:
一 申請に係る上場商品又は上場商品指数の先物取引を公正かつ円滑にするために十分な取引量が見込まれることその他上場商品構成物品又は上場商品指数対象物品(以下「上場商品構成物品等」という。)の取引の状況に照らし、当該先物取引をする会員商品取引所を設立することが当該上場商品構成物品等の生産及び流通を円滑にするため必要かつ適当であること。
(i) the volume of transactions is expected to be sufficient for ensuring fair and smooth futures transactions in the listed commodity or listed commodity index to which the application pertains, and in light of the conditions of transactions of the listed commodity component products or the products underlying the listed commodity index (hereinafter referred to as the "listed commodity component products, etc."), it is necessary and appropriate for a member commodity exchange on which those futures transactions are effected to be established in order to facilitate the production and distribution of the listed commodity component products, etc.;
二 上場商品に係る商品市場を開設しようとする場合にあつては、上場商品構成物品の売買等を業として行つている者の取引の状況その他の当該上場商品構成物品に係る経済活動の状況に照らして、当該上場商品構成物品を一の商品市場で取引することが適当であることとして政令で定める基準に適合すること。
(ii) if the founders seek to open a commodity market for a listed commodity, the situation conforms to the criteria specified by Cabinet Order as a situation in which it is appropriate for the listed commodity component products to be traded on a single commodity market, in light of the trading conditions of the persons effecting purchase and sales, etc. of listed commodity component products in the course of trade, and in light of other circumstances of economic activities involving the listed commodity component products;
三 二以上の商品指数を一の上場商品指数として商品市場を開設しようとする場合にあつては、当該二以上の商品指数の対象となる物品の大部分が共通していること。
(iii) if the founders seek to open a commodity market with two or more commodity indices as a single listed commodity index, the majority of the goods underlying those two or more commodity indices are the same goods;
四 定款、業務規程、受託契約準則、紛争処理規程及び市場取引監視委員会規程の規定が法令に違反せず、かつ、定款、業務規程、受託契約準則、紛争処理規程又は市場取引監視委員会規程に規定する取引の方法又は管理、会員の資格、会員の数の最高限度を定めた場合におけるその最高限度、特別担保金の預託義務を定めた場合におけるその預託に関する事項その他の事項が適当であつて、商品市場における取引の公正を確保し、及び委託者を保護するため十分であること。
(iv) the provisions of the articles of incorporation, operational rules, brokerage contract rules, dispute resolution rules, and market transactions surveillance committee rules do not violate laws and regulations, and the transaction method or management of transactions; membership eligibility; maximum number of members, if specified; particulars of deposits, if the obligation to make a special security deposit is stipulated; and other particulars prescribed in the articles of incorporation, operational rules, brokerage contract rules, dispute resolution rules, and market transactions surveillance committee rules are appropriate and sufficient for ensuring the fairness of transactions on the commodity market and for protecting consignors;
五 当該申請に係る会員商品取引所が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。
(v) the member commodity exchange to which the application pertains will be organized in a manner that conforms to the provisions of this Act.
2 主務大臣は、第九条の許可の申請が次の各号のいずれかに該当する場合には、前項の規定にかかわらず、同条の許可をしてはならない。
(2) Notwithstanding the provisions of the preceding paragraph, if an application for the permission referred to in Article 9 falls under one of the following items, the competent minister must not give the permission referred to in that Article:
一 発起人のうちに次のいずれかに該当する者があるとき。
(i) a person falling under one of the following categories is among the founders:
イ 成年被後見人若しくは被保佐人又は外国の法令上これらと同様に取り扱われている者
(a) an adult ward, a person under curatorship, or a person that is treated in the same manner under foreign laws and regulations;
ロ 破産者で復権を得ないもの又は外国の法令上これと同様に取り扱われている者
(b) a bankrupt that has not obtained a restoration of rights, or a person that is treated in the same manner under foreign laws and regulations;
ハ 禁錮以上の刑(これに相当する外国の法令による刑を含む。)又はこの法律若しくはこれに相当する外国の法令の規定により罰金の刑(これに相当する外国の法令による刑を含む。)に処せられ、その執行の終わつた日又は執行を受けることがないこととなつた日から五年を経過しない者
(c) a person that has been sentenced to imprisonment without work or a heavier punishment (including an equivalent sentence under foreign laws and regulations) or to a fine (including an equivalent sentence under foreign laws and regulations) pursuant to this Act or pursuant to the provisions of a foreign law or regulation that is equivalent to this Act, if five years have not yet passed since the day on which the person finished serving the sentence or ceased to be subject to its enforcement;
ニ 第九十六条の二十二第一項、第九十六条の三十四第一項若しくは第九十六条の四十第一項の規定により第九十六条の十九第一項、第九十六条の三十一第一項若しくは第九十六条の二十五第一項若しくは第三項ただし書の認可を取り消され、第百五十九条第一項若しくは第二項、第百八十六条第一項若しくは第二項、第二百三十五条第三項若しくは第二百三十六条第一項若しくは第三百四十条第一項(第三百四十五条において準用する場合を含む。)の規定により第九条若しくは第七十八条、第百六十七条、第百九十条第一項若しくは第三百三十二条第一項若しくは第三百四十二条第一項の許可を取り消され、若しくは第二百四十条の二十三第一項の規定により第二百四十条の二第一項の登録を取り消され、これらの取消しの日から五年を経過しない者又はこの法律に相当する外国の法令の規定により当該外国において受けている同種の認可、許可若しくは登録(当該認可、許可又は登録に類する免許その他の行政処分を含む。ヘにおいて「許可等」という。)を取り消され、その取消しの日から五年を経過しない者
(d) a person that has had the authorization referred to in Article 96-19, paragraph (1); Article 96-31, paragraph (1); Article 96-25, paragraph (1) or the proviso to (3) rescinded pursuant to the provisions of Article 96-22, paragraph (1); Article 96-34, paragraph (1); or Article 96-40, paragraph (1); had the permission referred to in Article 9, the license referred to in Article 78, Article 167, or Article 190, paragraph (1), or the license referred to in Article 332, paragraph (1) or Article 342, paragraph (1) rescinded pursuant to the provisions of Article 159, paragraph (1) or (2); Article 186, paragraph (1) or (2); Article 235, paragraph (3); Article 236, paragraph (1); or Article 340, paragraph (1) (including as applied mutatis mutandis pursuant to Article 345); had the registration referred to in Article 240-2, paragraph (1) rescinded pursuant to the provisions of Article 240-23, paragraph (1); if five years have not yet passed since the day of the rescission, or a person that had obtained permission, license, or registration of the same kind in a foreign state pursuant to the provisions of a foreign law or regulation that is equivalent to this Act (including registration or any other administrative disposition similar to such permission, license, or registration; referred to as "permission, etc." in (f)) but that has had that permission, etc. rescinded, if five years have not yet passed since the day of the rescission;
ホ 第百六十条第一項の規定又はこれに相当する外国の法令の規定による命令(これに相当する外国の法令によるその他の行政処分を含む。ト及びチにおいて同じ。)により商品取引所又はこれに相当する外国の施設から除名され、又は取引資格を取り消され、その除名又は取消しの日から五年を経過しない者
(e) a person that has been expelled from a commodity exchange or an equivalent facility in a foreign state pursuant to the provisions of Article 160, paragraph (1) or the provisions of a foreign law or regulation that are equivalent to such provisions (including any equivalent administrative disposition under foreign laws and regulations; the same applies in (g) and (h)) or whose trading eligibility has been rescinded, if five years have not passed since the day of the expulsion or rescission;
ヘ 第九十六条の十九第一項若しくは第九十六条の三十一第一項の認可を受けた者(以下この号において「主要株主」という。)が第九十六条の二十二第一項若しくは第九十六条の三十四第一項の規定により認可を取り消された場合、商品取引所持株会社が第九十六条の四十第一項の規定により第九十六条の二十五第一項若しくは第三項ただし書の認可を取り消された場合、商品取引所が第百五十九条第一項若しくは第二項の規定により第九条若しくは第七十八条の許可を取り消された場合、商品取引清算機関が第百八十六条第一項若しくは第二項の規定により第百六十七条の許可を取り消された場合、商品先物取引業者が第二百三十五条第三項若しくは第二百三十六条第一項の規定により第百九十条第一項の許可を取り消された場合、商品先物取引仲介業者が第二百四十条の二十三第一項の規定により第二百四十条の二第一項の登録を取り消された場合若しくは法人である第一種特定施設開設者(第三百三十一条第二号に規定する第一種特定施設開設者をいう。以下この号において同じ。)若しくは第二種特定施設開設者(第三百三十一条第三号に規定する第二種特定施設開設者をいう。以下この号において同じ。)が第三百四十条第一項(第三百四十五条において準用する場合を含む。)の規定により第三百三十二条第一項若しくは第三百四十二条第一項の許可を取り消された場合において、これらの取消しの日前三十日以内に当該主要株主、商品取引所持株会社、商品取引所、商品取引清算機関、商品先物取引業者、商品先物取引仲介業者若しくは第一種特定施設開設者若しくは第二種特定施設開設者の役員であつた者で当該取消しの日から五年を経過しないもの又は外国において同種の許可等を受けた法人がこの法律に相当する外国の法令の規定により当該許可等を取り消された場合において、その取消しの日前三十日以内に当該法人の役員であつた者で当該取消しの日から五年を経過しないもの
(f) a person that, during the 30 days prior to the date of rescission, was the officer of a person that had obtained the authorization referred to in Article 96-19, paragraph (1) or Article 96-31, paragraph (1) (hereinafter referred to as a "major shareholder" in this item) but that has had that authorization rescinded pursuant to the provisions of Article 96-22, paragraph (1) or Article 96-34, paragraph (1); the officer of a commodity exchange holding company that has had the authorization referred to in Article 96-25, paragraph (1) or the proviso of paragraph (3) of that Article rescinded pursuant to the provisions of Article 96-40, paragraph (1); the officer of a commodity exchange that has had the permission referred to in Article 9 or the license referred to in Article 78 rescinded pursuant to the provisions of Article 159, paragraph (1) or (2); the officer of a commodity clearing organization that has had the license referred to in Article 167 rescinded pursuant to the provisions of Article 186, paragraph (1) or (2); the officer of a commodity derivative broker that has had the license referred to in Article 190, paragraph (1) rescinded pursuant to the provisions of Article 235, paragraph (3) or Article 236, paragraph (1); the officer of a commodity derivatives intermediary service provider that has had the registration referred to in Article 240-2, paragraph (1) rescinded pursuant to the provisions of Article 240-23, paragraph (1); or the officer of a corporation that is the establisher of a Type 1 specified facility (meaning the establisher of a Type 1 specified facility as prescribed in Article 331, item (ii); hereinafter the same applies in this item) or the establisher of a Type 2 specified facility (meaning the establisher of a Type 2 specified facility as prescribed in Article 331, item (iii); hereinafter the same applies in this item) and that has had the license referred to in Article 332, paragraph (1) or Article 342, paragraph (1) rescinded pursuant to the provisions of Article 340, paragraph (1) (including as applied mutatis mutandis pursuant to Article 345); if five years have yet to pass since the day of the rescission; or that, during the 30 days prior to the date of rescission, was the officer of a corporation that had obtained similar permission, etc. in a foreign state, but that has had that permission, etc. rescinded pursuant to the provisions of a foreign law or regulation that is equivalent to this Act, if five years have not yet passed since the day of the rescission;
ト 法人である商品取引所の会員等又は商品取引所に相当する外国の施設の会員等が第百六十条第一項の規定又はこれに相当する外国の法令の規定による命令により当該商品取引所又は当該施設から除名され、又は取引資格を取り消された場合において、その除名又は取消しの日前三十日以内に当該法人の役員であつた者で当該除名又は取消しの日から五年を経過しないもの
(g) a person that, during the 30 days prior to the date of expulsion or rescission, was the officer of a corporation that was the member, etc. of a commodity exchange or the member, etc. of a facility equivalent to a commodity exchange in a foreign state, but that has been expelled from the commodity exchange or the facility or has had its trading eligibility rescinded pursuant to an order under Article 160, paragraph (1) or under the equivalent provisions of a foreign law or regulation, if five years have not yet passed since the day of the expulsion or rescission;
チ 第九十六条の四十第二項、第百五十九条第三項、第百六十条第一項、第百八十六条第四項、第二百三十六条第二項若しくは第二百四十条の二十三第二項の規定又はこれらに相当する外国の法令の規定による命令により解任された役員でその解任の日から五年を経過しないもの
(h) an officer that has been dismissed pursuant to an order under Article 96-40, paragraph (2); Article 159, paragraph (3); Article 160, paragraph (1); Article 186, paragraph (4),; Article 236, paragraph (2); or Article 240-23, paragraph (2); or under the equivalent provisions of a foreign law or regulation, if five years have not yet passed since the day of the dismissal;
リ 第三百二十八条第一項の規定による裁判所の命令又はこれに相当する外国の法令の規定による外国の裁判所の命令を受けた後一年を経過しない者
(i) a person that has not yet had one year pass after becoming subject to a court order under Article 328, paragraph (1) or a foreign court order under the equivalent provisions of a foreign law or regulation;
ヌ 会社法第三百三十一条第一項第三号に掲げる者
(j) a person set forth in Article 331, paragraph (1), item (iii) of the Companies Act
ル 営業に関し成年者と同一の行為能力を有しない未成年者でその法定代理人がイからヌまでのいずれかに該当するもの
(k) a minor that does not have the same legal capacity as an adult with regard to business, whose statutory representative falls under a category of person referred to in one of (a) through (j) ;
ヲ 法人でその役員のうちにイからルまでのいずれかに該当する者のあるもの
(l) a corporation that has a person falling under a category of person referred to in one of (a) through (k) as an officer.
二 申請書又はこれに添付すべき書類のうちに重要な事項について虚偽の記載があるとき。
(ii) the written application or a document that is required to accompany it contains a false statement about a material particular.
3 主務大臣は、会員商品取引所の存続期間又は商品市場の開設期限が定款に記載され、又は記録されている第九条の許可の申請があつた場合においては、第一項第一号の基準に代えて、申請に係る上場商品又は上場商品指数の先物取引を公正かつ円滑にするために十分な取引量が見込まれないことその他上場商品構成物品等の取引の状況に照らし、当該先物取引をする会員商品取引所を設立することが当該上場商品構成物品等の生産及び流通に著しい支障を及ぼし、又は及ぼすおそれがあることに該当しないことを同号の基準とし、当該基準並びに同項第二号及び第三号の基準の適用は、当該存続期間又は開設期限までの間について判断して行うものとする。
(3) If an application is filed for the permission referred to in Article 9, and the term of existence of a member commodity exchange or the operative term of the commodity market is included or recorded in the articles of incorporation, the criterion set forth in paragraph (1), item (i) is replaced by the criteria that the volume of transactions is not expected to fall short in terms of ensuring fair and smooth futures transactions in the listed commodity or listed commodity index to which the application pertains, and that, in light of the status of transactions of the listed commodity component products, etc., the establishment of a member commodity exchange on which such futures transactions are conducted does not and is not likely to cause an extreme hindrance to the production or distribution of the listed commodity component products, etc., and the competent minister must apply such criteria and the criteria referred to in items (ii) and (iii) of that paragraph to reach a judgment with respect to the period up until the end of that term of existence or that operative term.
4 主務大臣は、第三百五十二条(第三号に係る部分に限る。)の規定による公示があつた日から三月を経過した後でなければ、第九条の許可をしてはならない。
(4) The competent minister must not give the permission referred to in Article 9 until after three months have passed since the day of the public notice under Article 352 (limited to the part that involves item (iii)).
5 主務大臣は、第九条の許可の申請が第一項各号に適合していないと認めるとき、又は第二項各号のいずれかに該当すると認めるときは、あらかじめ申請をした者にその旨を通知し、申請をした者又はその代理人の出頭を求め、釈明のための証拠を提出する機会を与えるため、その職員に意見の聴取をさせなければならない。
(5) Before the competent minister finds an application for the permission referred to in Article 9 not to conform to one of the items of paragraph (1) or to fall under one of the items of paragraph (2), the minister must notify the applicant of this, ask the applicant or its representative to appear, and have ministry officials conduct a hearing of opinions so as to give that person an opportunity to submit explanatory evidence.
6 前項の場合において、主務大臣は、意見の聴取をされる者が正当な理由がないのに意見の聴取に応じないときは、意見の聴取を行うことを要しない。
(6) In the case referred to in the preceding paragraph, if the person whose opinion is to be heard fails to take part in the hearing of opinions and has no legitimate grounds for failing to do so, the hearing of opinions is not required to be conducted.
7 主務大臣は、第五項の通知をする場合においては、意見を聴取する事項、場所及び期日を明らかにして、通知しなければならない。
(7) When notifying a person as referred to in paragraph (5), the competent minister must clarify the particulars of the hearing of opinions and the location and date for the same.
8 第五項の意見の聴取は、公開により行わなければならない。ただし、主務大臣が意見の聴取をされる者の業務に関する秘密を保つため必要があると認めるとき、又は公益上必要があると認めるときは、この限りでない。
(8) The hearing of opinions referred to in paragraph (5) must be open to the public; provided, however, that this does not apply if the competent minister finds there to be a need to maintain the trade secret of a person whose opinion is to be heard, or finds there to be a need from a public interest perspective.
9 主務大臣は、第五項の意見の聴取を行うため必要があると認めるときは、参考人の出頭を求めてその意見を聴取し、若しくは参考人にその意見若しくは報告の提出を求め、又は鑑定人に出頭を求めて鑑定をさせることができる。
(9) If the competent minister finds it to be necessary in order for the hearing of opinions referred to in paragraph (5) to be conducted, the minister may ask a consultant to appear so as to hear the opinion of the consultant, ask a consultant to submit an opinion or report, or ask an expert to appear and have the expert give an expert opinion.
10 主務大臣は、会員商品取引所の存続期間又は商品市場の開設期限が定款に記載され、又は記録されている第九条の許可の申請があつた場合においては、第三百五十二条(第三号に係る部分に限る。)の規定による公示があつた日から四月以内に、申請をした者に対し、許可又は不許可の通知を発しなければならない。
(10) If an application is filed for the permission referred to in Article 9 and the term of existence of a member commodity exchange or the operative term of the commodity market is included or recorded in the articles of incorporation, the competent minister must issue a permission notice or a non-permission notice to the applicant within four months from the day of the public notice under Article 352 (limited to the part that involves item (iii)).
11 主務大臣が前項の期間内に同項の通知を発しなかつたときは、その期間満了の日に第九条の許可があつたものとみなす。
(11) If the competent minister does not issue the notice referred to in the preceding paragraph within the period set forth in that paragraph, the permission referred to in Article 9 is deemed to have been given on the final day of that period.
(成立の時期及び届出)
(Timing of Establishment and Notification)
第十六条 会員商品取引所は、その設立の登記をすることにより成立する。
Article 16 (1) A member commodity exchange is established by a registration of its establishment being recorded.
2 会員商品取引所は、成立の日から二週間以内に、主務大臣にその旨を届け出なければならない。
(2) A Member Commodity Exchange must notify the competent minister of its establishment within two weeks from the day of its establishment.
(理事長への事務引継)
(Transfer of Administrative Affairs to the President)
第十七条 発起人は、第九条の許可があつたとき(第十五条第十一項の規定による場合を含む。)は、遅滞なく、その事務を理事長に引き継がなければならない。
Article 17 Upon having the permission referred to in Article 9 (including in a case under Article 15, paragraph (11)), the founders must hand over their administrative affairs to the president without delay.
会社法の準用)
(Application Mutatis Mutandis of the Companies Act)
第十八条 会社法第五十三条から第五十六条までの規定は、会員商品取引所の発起人について準用する。
Article 18 (1) The provisions of Articles 53 through 56 of the Companies Act apply mutatis mutandis to the founders of a member commodity exchange.
2 会社法第七編第二章第二節(第八百四十七条第二項、第八百四十九条第二項第二号及び第五項並びに第八百五十一条を除く。)の規定は、会員商品取引所の発起人の責任を追及する訴えについて準用する。この場合において、同法第八百四十七条第一項及び第四項中「法務省令」とあるのは、「主務省令」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。
(2) The provisions of Part VII, Chapter II, Section 2 (excluding Article 847, paragraph (2); Article 849, paragraph (2), item (ii), and paragraph (5); and Article 851) of the Companies Act apply mutatis mutandis to an action seeking to hold the founders of a member commodity exchange liable. In this case, the term "Order of the Ministry of Justice" in Article 847, paragraphs (1) and (4) of that Act are deemed to be replaced with "order of the competent ministry", and any other necessary technical replacement of terms is specified by Cabinet Order.
3 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、会員商品取引所の設立の無効の訴えについて準用する。
(3) The provisions of Article 828, paragraph (1) (limited to the part that involves item (i)) and paragraph (2) (limited to the part that involves item (i)); Article 834 (limited to the part that involves item (i)); Article 835, paragraph (1); Article 836, paragraphs (1) and (3); Articles 837 through 839; and Article 846 apply mutatis mutandis to an action to invalidate the establishment of a member commodity exchange.
(役員又は会員の氏名等の変更)
(Changing the Name of an Officer or Member)
第十九条 会員商品取引所は、第十四条第一項第四号又は第五号に掲げる事項について変更があつたときは、遅滞なく、その旨を記載した変更届出書を主務大臣に提出しなければならない。
Article 19 (1) If a particular set forth in Article 14, paragraph (1), item (iv) or (v) changes, the member commodity exchange must submit a change notification form indicating this to the competent minister without delay.
2 前項の変更届出書には、その変更を証する書面及び主務省令で定める書類を添付しなければならない。
(2) The written notification of change referred to in the preceding paragraph must be accompanied by a document evidencing the change and by the documents specified by Order of the competent ministry.
(設立の登記)
(Registration of Establishment)
第二十条 会員商品取引所の設立の登記は、その主たる事務所の所在地において、第九条の許可があつた日から二週間以内にしなければならない。
Article 20 (1) A registration of establishment must be recorded for a member commodity exchange in connection with the location of its principal office and within two weeks from the day on which it obtains the permission referred to in Article 9.
2 前項の登記には、次に掲げる事項を登記しなければならない。
(2) The following particulars must be stated in the registration referred to in the preceding paragraph:
一 目的
(i) purpose;
二 名称
(ii) name;
三 事務所の所在場所
(iii) office address;
四 存続期間又は解散の事由を定めたときは、その期間又は事由
(iv) term of existence and grounds for dissolution, if specified;
五 出資の総額
(v) total amount of contribution;
六 出資一口の金額及びその払込みの方法
(vi) amount for one unit of contribution and its method of its payment;
七 代表権を有する者の氏名、住所及び資格
(vii) name, address, and credentials of the person with the authority for representation;
八 公告方法
(viii) means of public notice;
九 第十一条第六項の定款の定めが電子公告を公告方法とする旨のものであるときは、次に掲げる事項
(ix) if the provisions of the articles of incorporation which are referred to in Article 11, paragraph (6) specify electronic public notice as the means of public notice, the following:
イ 電子公告により公告すべき内容である情報について不特定多数の者がその提供を受けるために必要な事項であつて法務省令で定めるもの
(a) the things that are necessary for allowing many and unspecified persons to receive information of which public notice will be given as an electronic public notice, and which are specified by Order of the Ministry of Justice;
ロ 第十一条第七項後段の規定による定款の定めがあるときは、その定め
(b) if there are provisions in the articles of incorporation as under the second sentence of Article 11, paragraph (7), those provisions.
(変更の登記)
(Registration of a Change)
第二十一条 会員商品取引所において前条第二項各号に掲げる事項に変更が生じたときは、二週間以内に、その主たる事務所の所在地において、変更の登記をしなければならない。
Article 21 (1) If there is a change in a particular set forth in one of the items of paragraph (2) of the preceding Article at a member commodity exchange, a registration of the change must be recorded in connection with the location of its principal office within two weeks.
2 前項の規定にかかわらず、前条第二項第五号に掲げる事項の変更の登記は、毎事業年度末日現在により、当該末日から四週間以内にすれば足りる。
(2) Notwithstanding the provisions of the preceding paragraph, it is sufficient to register a change to the particular set forth in paragraph (2), item (v) of the preceding Article as it stands on the last day of each business year, within four weeks after the last day of the relevant business year.
(他の登記所の管轄区域内への主たる事務所の移転の登記)
(Registration of the Relocation of the Principal Office to the Jurisdictional District of another Registry Office)
第二十二条 会員商品取引所がその主たる事務所を他の登記所の管轄区域内に移転したときは、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二十条第二項各号に掲げる事項を登記しなければならない。
Article 22 If a member commodity exchange relocates its principal office to the jurisdictional district of another registry office, it must register the relocation in connection with its former location, and register the particulars set forth in the items of Article 20, paragraph (2) in connection with its new location, within two weeks.
(職務執行停止の仮処分等の登記)
(Registration of a Provisional Disposition to Suspend Execution of Duties)
第二十三条 会員商品取引所を代表すべき者の職務の執行を停止し、若しくはその職務を代行する者を選任する仮処分命令又はその仮処分命令を変更し、若しくは取り消す決定がされたときは、その主たる事務所の所在地において、その登記をしなければならない。
Article 23 If an order for a provisional disposition is issued suspending the person representing a member commodity exchange from discharging that person's duties or appointing a person to act in that person's stead in the performance of those duties, or if a decision is reached that changes or rescinds such a provisional disposition, this must be registered in connection with the location of the principal office of the member commodity exchange.
(従たる事務所の所在地における登記)
(Registration at the Secondary Office Location)
第二十四条 次の各号に掲げる場合(当該各号に規定する従たる事務所が主たる事務所の所在地を管轄する登記所の管轄区域内にある場合を除く。)には、当該各号に定める期間内に、当該従たる事務所の所在地において、従たる事務所の所在地における登記をしなければならない。
Article 24 (1) In a case set forth in one of the following items (unless the secondary office set forth in the relevant item is located within the jurisdictional district of the registry office that has jurisdiction over the principal office location), a registration connected with the secondary office location must be recorded in connection with the location of that secondary office within the period specified in that item:
一 会員商品取引所の設立に際して従たる事務所を設けた場合(次号に規定する場合を除く。) 主たる事務所の所在地における設立の登記をした日から二週間以内
(i) the secondary office is established upon the establishment of the member commodity exchange (other than in the case set forth in the following item): within two weeks from the day on which the registration of establishment is recorded in connection with the location of the principal office;
二 新設合併により設立する会員商品取引所が新設合併に際して従たる事務所を設けた場合 第百四十七条の二第一項に規定する日から三週間以内
(ii) the member commodity exchange that is incorporated in a consolidation-type merger establishes the secondary office at the time of that consolidation-type merger: within three weeks from the day set forth in Article 147-2, paragraph (1);
三 会員商品取引所の成立後に従たる事務所を設けた場合 従たる事務所を設けた日から三週間以内
(iii) secondary office is established after the establishment of the member commodity exchange: within three weeks from the day on which the secondary office is established.
2 従たる事務所の所在地における登記においては、次に掲げる事項を登記しなければならない。ただし、従たる事務所の所在地を管轄する登記所の管轄区域内に新たに従たる事務所を設けたときは、第三号に掲げる事項を登記すれば足りる。
(2) The following particulars must be recorded for a registration connected with a second office location; provided, however, that if a secondary office is being newly established within the jurisdictional district of a registry office that has jurisdiction over an existing secondary office location, it is sufficient for the particular set forth in item (iii) to be registered:
一 名称
(i) name;
二 主たる事務所の所在場所
(ii) location of the principal office;
三 従たる事務所(その所在地を管轄する登記所の管轄区域内にあるものに限る。)の所在場所
(iii) addresses of the secondary offices (limited to secondary offices located in the jurisdictional district of the registry office that has jurisdiction over the secondary office in question).
3 前項各号に掲げる事項に変更が生じたときは、三週間以内に、当該従たる事務所の所在地において、変更の登記をしなければならない。
(3) If there is a change in a particular set forth in one of the items of the preceding paragraph, a registration of the change must be recorded in connection with the location of that secondary office within three weeks.
(他の登記所の管轄区域内への従たる事務所の移転の登記)
(Registration of the Relocation of a Secondary Office to the Jurisdictional District of Another Registry Office)
第二十四条の二 会員商品取引所がその従たる事務所を他の登記所の管轄区域内に移転したときは、旧所在地(主たる事務所の所在地を管轄する登記所の管轄区域内にある場合を除く。)においては三週間以内に移転の登記をし、新所在地(主たる事務所の所在地を管轄する登記所の管轄区域内にある場合を除く。以下この条において同じ。)においては四週間以内に前条第二項各号に掲げる事項を登記しなければならない。ただし、従たる事務所の所在地を管轄する登記所の管轄区域内に新たに従たる事務所を移転したときは、新所在地においては、同項第三号に掲げる事項を登記すれば足りる。
Article 24-2 If a member commodity exchange relocates its secondary office to the jurisdictional district of another registry office, it must register the relocation in connection with its former location (unless this is within the jurisdictional district of the registry office that has jurisdiction over the principal office location) within three weeks, and must register the particulars set forth in the items of paragraph (2) of the preceding Article in connection with its new location (unless this is within the jurisdictional district of the registry office that has jurisdiction over the principal office location; hereinafter the same applies in this Article) within four weeks; provided, however, that if a member commodity exchange newly relocates a secondary office into the jurisdiction of a registry office that has jurisdiction over an existing secondary office location, it is sufficient for the particulars set forth in item (iii) of that paragraph to be registered in connection with its new location.
(管轄登記所及び登記簿)
(Competent Registry Office and Registry)
第二十五条 会員商品取引所の登記に関する事務は、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が管轄登記所としてつかさどる。
Article 25 (1) The legal affairs bureau or the district legal affairs bureau with jurisdiction or the branch office or sub-branch office of that bureau that has jurisdiction over the office location of the member commodity exchange, is the competent registry office for administrative affairs involved in the registration of a member commodity exchange.
2 登記所に、会員商品取引所登記簿を備える。
(2) A registry office keeps a register of member commodity exchanges.
(設立の登記の申請)
(Application for Registration of Establishment)
第二十六条 会員商品取引所の設立の登記は、会員商品取引所を代表すべき者の申請によつてする。
Article 26 (1) A registration of establishment is made for a member commodity exchange at the application of the person that is to represent the member commodity exchange.
2 会員商品取引所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会員商品取引所を代表すべき者の資格を証する書面を添付しなければならない。
(2) The written application for a registration of the establishment of a member commodity exchange must be accompanied by a document evidencing the credentials of the person that is to represent the member commodity exchange.
(変更の登記の申請)
(Application for the Registration of a Change)
第二十七条 第二十条第二項各号に掲げる事項の変更の登記の申請書には、当該事項の変更を証する書面を添付しなければならない。
Article 27 A written application for the registration of a change in a particular set forth in one of the items of Article 20, paragraph (2) must be accompanied by a document evidencing the change in that particular.
(設立の無効の登記の手続)
(Procedure for Registering the Invalidity of Establishment)
第二十八条 会社法第九百三十七条第一項(第一号イに係る部分に限る。)の規定は、会員商品取引所の設立の無効の訴えに係る請求を認容する判決が確定した場合について準用する。この場合において、同項中「会社の本店(第一号トに規定する場合であって当該決議によって第九百三十条第二項各号に掲げる事項についての登記がされているときにあっては、本店及び当該登記に係る支店)」とあるのは、「会員商品取引所の主たる事務所」と読み替えるものとする。
Article 28 The provisions of Article 937, paragraph (1) of the Companies Act (limited to the part that involves item (i) (a)) applies mutatis mutandis when a judgment affirming the claim in an action to invalidate the establishment of a member commodity exchange becomes final and binding. In this case, the phrase "the location of the head office of the company (or, in the cases prescribed in item (i) (g), if the matters listed in the items of Article 930 (2) have been registered as a result of such resolution, the head office and the branch office(s) regarding such registration)" in the same paragraph is deemed to be replaced with "the principal office location of the member commodity exchange".
商業登記法の準用)
(Application Mutatis Mutandis of the Commercial Registration Act)
第二十九条 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、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、第四十八条から第五十三条まで及び第百三十二条から第百四十八条までの規定は、会員商品取引所の登記について準用する。この場合において、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、「商品取引所法第二十四条第二項各号」と読み替えるものとする。
Article 29 The provisions of Articles 2 through 5 , Articles 7 through 15 , Articles 17 through 23-2 , Article 24 (excluding items (xv) and (xvi)), Articles 25 through 27, Article 48 through 53, and Articles 132 through 148 of the Commercial Registration Act (Act No. 125 of 1963) apply mutatis mutandis to the registration of a member commodity exchange. In this case, the phrase "the respective items of Article 930, paragraph (2) of the Companies Act" in Article 48, paragraph (2) of that Act is deemed to be replaced with "the items of Article 24, paragraph (2) of the Commodity Exchange Act".
第二款 会員
Subsection 2 Membership
第三十条 削除
Article 30 Deleted
(欠格条件)
(Conditions for Ineligibility)
第三十一条 第十五条第二項第一号イからヲまでのいずれかに該当する者は、会員となることができない。
Article 31 (1) A person falling under one of the categories referred to in Article 15, paragraph (2), item (i), (a) through (l) may not become a member.
2 合併後存続する法人又は合併により設立された法人は、前項(第十五条第二項第一号ハからホまで、リ及びヲに係る部分に限る。)の規定の適用については、当該合併により消滅した法人と同一の法人とみなす。
(2) With regard to the application of the provisions of the preceding paragraph (limited to the part that involves Article 15, paragraph (2), item (i), (c) through (e) , (i) and (l)), the corporation that survives a merger or the corporation incorporated in a merger is deemed to be the same corporation as that which disappeared in the merger.
(出資)
(Contribution)
第三十二条 会員は、出資一口以上を持たなければならない。
Article 32 (1) A member must make a contribution of one or more units.
2 出資は、金銭以外の財産ですることができない。
(2) Contributions may not be made using property other than money.
3 出資一口の金額は、均一でなければならない。
(3) The amount for one unit of contribution must be uniform.
4 会員商品取引所の債務に対する会員の責任は、第三十四条の規定による経費の負担及び第四十五条第三項の規定による損失額の負担のほか、その出資額を限度とする。
(4) Beyond a member's liability for the obligations of the member commodity exchange being limited to the expenses under Article 34 and that member's share of any amount of loss under Article 45, paragraph (3), a member's liability for the obligations of a member financial instruments corporation is limited to the amount of its contribution.
5 会員は、出資の払込みについて、相殺をもつて会員商品取引所に対抗することができない。
(5) A member may not assert a set-off against a member commodity exchange for payment of its contribution.
(議決権及び選挙権)
(Voting Right and Right to Elect)
第三十三条 会員は、出資口数にかかわらず、各々一個の議決権及び役員の選挙権を有する。
Article 33 (1) A member has a single voting right and a single right to elect officers, irrespective of that member's number of units of contribution.
2 会員は、第五十九条第八項の規定によりあらかじめ通知のあつた事項につき、書面又は代理人をもつて、議決権又は選挙権を行うことができる。この場合においては、定款で定める資格を有する者でなければ、代理人となることができない。
(2) A member may exercise a voting right or right to elect by written ballot or by proxy in respect of particulars of which the member is notified in advance pursuant to the provisions of Article 59, paragraph (8). In such a case, a person may not act as a proxy unless that person has the credentials specified in the articles of incorporation.
3 会員は、定款で定めるところにより、前項の規定による書面をもつてする議決権の行使に代えて、議決権を電磁的方法により行うことができる。
(3) In lieu of exercising a voting right by written ballot pursuant to the preceding paragraph, a member may exercise a voting right by electronic or magnetic means, pursuant to the provisions of the articles of incorporation.
4 前二項の規定により議決権又は選挙権を行う者は、出席者とみなす。
(4) A person that exercises a voting right or a right to vote pursuant to the provisions of the preceding two paragraphs is deemed to be present at the relevant meeting.
5 代理人は、代理権を証する書面を会員商品取引所に提出しなければならない。この場合において、電磁的方法により議決権を行うことが定款で定められているときは、当該書面の提出に代えて、代理権を当該電磁的方法により証明することができる。
(5) A proxy must submit a document certifying its authority for representation to the member commodity exchange. In such a case, if the articles of incorporation provide that voting rights may be exercised by electronic or magnetic means, the proxy may attest to its authority for representation through electronic or magnetic means in lieu of submitting such a document.
(経費の賦課)
(Imposition of Expenses)
第三十四条 会員商品取引所は、定款で定めるところにより、会員に経費を賦課することができる。
Article 34 (1) A member commodity exchange may impose expenses on its members pursuant to the provisions of its articles of incorporation.
2 第三十二条第五項の規定は、前項の経費の払込みについて準用する。
(2) The provisions of Article 32, paragraph (5) apply mutatis mutandis to the payment of the expenses referred to in the preceding paragraph.
(加入)
(Membership)
第三十五条 会員商品取引所の設立の際会員商品取引所に加入しようとする者でその引き受けた出資の全額の払込みが終了したものは、その会員商品取引所成立の時に会員となる。
Article 35 (1) A person that, as of the time of incorporation of a member commodity exchange, seeks to join the member commodity exchange and has finished paying the full amount of the contribution that person has undertaken, becomes a member at the time of the incorporation of the member commodity exchange.
2 会員商品取引所の設立の際会員商品取引所に加入しようとする者で会員商品取引所成立の時までに前項に規定する払込みを終了しない者については、会員商品取引所成立の時に加入の申込みを取り消したものとみなす。
(2) A person that, as of the time of incorporation of a member commodity exchange, seeks to join the member commodity exchange but has not finished making the payment prescribed in the preceding paragraph by the time of the incorporation of the member commodity exchange, is deemed to have rescinded the application for membership at the time of the incorporation of the member commodity exchange.
3 成立後の会員商品取引所に加入しようとする者は、定款で定めるところにより、加入につき会員商品取引所の承諾を得て、その引き受けた出資の全額の払込み及び会員商品取引所が加入金を徴収することを定めた場合にはその支払を終了した時又は会員の持分の全部若しくは一部の譲受け及び会員商品取引所が加入金を徴収することを定めた場合にはその支払を終了した時に会員となる。
(3) A person seeking to join a member commodity exchange after its incorporation becomes a member at the time that, pursuant to the provisions of the articles of incorporation, the person obtains the member commodity exchange's consent to join it, finishes paying the full amount of the contribution that person has undertaken, and finishes paying the membership fee, if the member commodity exchange has stipulated that it will collect one; or at the time that, pursuant to the provisions of the articles of incorporation, the person obtains the member commodity exchange's consent to join it, acquires the whole or a part of a member's equity interest, and finishes paying the membership fee, if the member commodity exchange has stipulated that it will collect one.
4 会員商品取引所は、会員たる資格を有する者が会員商品取引所に加入しようとするときは、正当な理由がないのに、その加入を拒んではならない。
(4) If a person that is qualified to become a member seeks to join a member commodity exchange, the member commodity exchange must not refuse membership without just cause.
(持分の譲渡)
(Transfer of Equity Interest)
第三十六条 会員は、定款で定めるところにより、会員又は会員たる資格を有する者に持分の全部又は一部を譲り渡すことができる。
Article 36 (1) A member may transfer the whole or a part of its equity interest to a person that is qualified to become a member, pursuant to the provisions of the articles of incorporation.
2 会員たる資格を有する者が持分を譲り受けようとするときは、加入の例によらなければならない。
(2) If a person that is qualified to become a member seeks to acquire equity interest, the acquisition must be governed by the same rules as those for joining.
3 持分の譲受人は、その持分について、譲渡人の権利及び義務を承継する。
(3) A person acquiring equity interest succeeds to the rights and obligations of the person transferring those shares.
(持分の承継)
(Succession to Shares)
第三十七条 会員が死亡した場合において、その相続人又は受遺者(以下この条において「相続人等」という。)が会員であるときは、その者は、被承継人の持分並びにその持分についての被承継人の権利及び義務を承継する。この場合においては、承継人は、遅滞なく、その旨を会員商品取引所に通知しなければならない。
Article 37 (1) If a member dies and that member's heir or donee (hereinafter referred to as the "heir, etc." in this Article) is a member, such a person succeeds to the equity interest of the decedent and the rights and obligations of the decedent in connection with that equity interest. In such a case, the heir, etc. must notify the member commodity exchange of this without delay.
2 会員が死亡した場合において、相続人等が会員たる資格を有する者であるときは、その者は、定款で定める期間内に加入につき会員商品取引所の承諾を得て、被承継人の持分並びにその持分についての被承継人の権利及び義務を承継することができる。
(2) If a member dies and the heir, etc. is a person that is qualified to become a member, such a person may succeed to the shares of the decedent and the rights and obligations of the decedent in connection with that equity interest upon obtaining the member commodity exchange's consent for the person to join it within the period specified in the articles of incorporation.
3 前項の規定により相続人等が被承継人の持分並びにその持分についての被承継人の権利及び義務を承継したときは、その者は、被承継人の死亡の時において会員になつたものとみなす。
(3) Once an heir, etc. succeeds to the equity interest of the decedent and to the rights and obligations of the decedent in connection with that equity interest pursuant to the provisions of the preceding paragraph, the heir, etc. is deemed to have become a member at the decedent's time of death.
4 第一項又は第二項の場合において、相続人等が数人あるときは、その相続人等全員の同意をもつて選定された一人の相続人等に対してのみ、これらの項の規定を適用する。
(4) In the case referred to in paragraph (1) or (2), if there are two or more heirs, etc., the provisions of these paragraphs apply only to the one heir, etc. that all the heirs, etc. consent to select.
(持分の共有禁止)
(Prohibition on Co-ownership of Equity Interest)
第三十八条 会員は、持分を共有することができない。
Article 38 Members may not co-own equity interest.
(取引に係る権利及び義務の承継)
(Succession to Rights and Obligations in Transactions)
第三十九条 第三十七条第一項又は第二項の規定により会員の持分並びにその持分についての権利及び義務を承継した者は、当該会員が商品市場においてした取引に係る権利及び義務を承継する。
Article 39 A person that succeeds to the equity interest of a member and to the rights and obligations connected with that equity interest pursuant to the provisions of Article 37, paragraph (1) or (2) succeeds to the rights and obligations in the transactions that the member has effected on the commodity market.
(会員たる地位の承継)
(Succession to Member Status)
第四十条 会員につき合併があつたときは、合併後存続する法人又は合併により設立された法人は、会員たる地位を承継する。
Article 40 If a member merges, the corporation surviving the merger or the corporation incorporated in the merger succeeds to member status.
(任意脱退)
(Voluntary Withdrawal)
第四十一条 会員は、三十日前までに予告して、会員商品取引所を脱退することができる。
Article 41 (1) A member may withdraw from a member commodity exchange with 30 days' advance notice.
2 前項の予告期間は、定款で延長することができる。ただし、その期間は、一年を超えることができない。
(2) The period of advance notice referred to in the preceding paragraph may be extended by the articles of incorporation; provided, however, that such a period may not exceed one year.
(当然脱退)
(Withdrawal by Operation of Law)
第四十二条 会員は、前条及び第四十四条第一項に規定する場合のほか、次に掲げる事由によつて脱退する。
Article 42 Beyond being withdrawn in the case prescribed in the preceding Article or Article 44, paragraph (1), membership is withdrawn for the following reasons:
一 その者が取引をする商品市場のすべてが第七十条の規定により閉鎖されたこと。
(i) all of the commodity markets in which the person trades close pursuant to the provisions of Article 70;
二 持分全部の譲渡
(ii) transfer of the whole of the member's shares;
三 死亡又は解散
(iii) death or dissolution;
四 除名
(iv) expulsion.
(除名)
(Expulsion)
第四十三条 会員の除名は、第九十九条第五項の規定によつてする場合及び第百六十条第一項の規定による主務大臣の命令によつてする場合を除き、定款で定める事由のある会員につき、第六十一条に定める会員総会の決議によつてするものとする。
Article 43 (1) With the exception of expulsion pursuant to the provisions of Article 99, paragraph (5) and expulsion by Order of the competent minister under Article 160, paragraph (1), the expulsion of a member is to be effected through a general meeting resolution as provided in Article 61, in respect of a member against which there exists a reason as specified by the articles of incorporation exists.
2 前項の場合においては、会員商品取引所は、その会員総会の会日の十日前までに、その会員に対しその旨及び除名の理由を記載した書面を送付し、かつ、会員総会において弁明する機会を与えなければならない。
(2) In a case as referred to in the preceding paragraph, the member commodity exchange must send a document indicating this and giving the reason for the expulsion to the member by 10 days prior to the day of the relevant general meeting, and must give the member an opportunity to provide an explanation at the general meeting.
3 除名は、除名した会員にその旨を通知しなければ、これをもつてその者に対抗することができない。
(3) Expulsion may not be asserted against a member unless the expelled member is notified of the expulsion.
(持分の差押えによる脱退)
(Withdrawal due to Attachment of Equity Interest)
第四十四条 会員の持分を差し押さえた債権者は、その会員を脱退させることができる。ただし、会員商品取引所及び会員に対し三十日前までに予告しなければならない。
Article 44 (1) A creditor that attaches the equity interest of a member may cause the member to withdraw from membership; provided, however, that the creditor must give 30 days' advance notice to the member commodity exchange and the member.
2 前項ただし書の予告は、同項の会員が、同項の債権者に対し、弁済し、又は相当の担保を提供したときは、その効力を失う。
(2) The advance notice referred to in the proviso to the preceding paragraph ceases to be in effect if the member referred to in that paragraph repays the debt or provides reasonable collateral to the creditor referred to in in that paragraph.
3 会員の持分の差押えは、持分の払戻しを請求する権利に対しても、その効力を有する。
(3) Attachment of the share of a member is also effective against the right to claim a refund of that share.
(持分の払戻し)
(Refund of Equity Interest)
第四十五条 脱退した会員は、定款で定めるところにより、その持分の全部又は一部の払戻しを受けることができる。
Article 45 (1) A member that withdraws from membership may receive a refund of the whole or a part of its equity interest, pursuant to the provisions of the articles of incorporation.
2 前項の持分は、脱退した日の属する月の前月末日における会員商品取引所の財産によつて定める。
(2) The equity interest referred to in the preceding paragraph is decided based on the property of the member commodity exchange on the last day of the month preceding that in which the member withdraws from membership.
3 前項の持分を計算するに当たり、会員商品取引所の財産をもつて債務を完済することができないときは、会員商品取引所は、定款で定めるところにより、脱退した会員に対し、その負担に帰すべき損失額の払込みを請求することができる。
(3) In calculating the share referred to in the preceding paragraph, if a debt cannot be repaid in full out of the property of the member commodity exchange, the member commodity exchange may file a claim against the withdrawn member for payment of the amount of loss that the withdrawn member is to bear.
4 第一項又は前項の規定による請求権は、脱退後二年間行わないときは、時効によつて消滅する。
(4) A claim under paragraph (1) or the preceding paragraph is extinguished by prescription if not exercised in the two years after the withdrawal.
5 脱退した会員が会員商品取引所に対する債務を完済するまでは、会員商品取引所は、持分の払戻しを停止することができる。
(5) A member commodity exchange may suspend the refund of the share until the withdrawn member repays its debt to the member commodity exchange in full.
第三款 機関
Subsection 3 Organization
(役員)
(Officers)
第四十六条 会員商品取引所に、次の役員を置く。
Article 46 (1) A member commodity exchange has the following officers:
理事長 一人
One president;
理事 二人以上
Two or more directors;
監事 二人以上
Two or more auditors.
(理事長及び理事の権限)
(Authority of the President and Directors)
第四十七条 理事長は、会員商品取引所を代表し、その事務を総理する。
Article 47 (1) The president represents the member commodity exchange and presides over its administrative affairs.
2 理事は、定款で定めるところにより、会員商品取引所を代表し、理事長を補佐して会員商品取引所の事務を掌理し、理事長に事故があるときにはその職務を代理し、理事長が欠員のときにはその職務を行う。
(2) A director, pursuant to the provisions of the articles of incorporation, represents the member commodity exchange, assists the president in administering the affairs of the member commodity exchange, acts as a proxy in handling the duties of the president if the president is unable to attend to them, and performs the duties of the president if the position is vacant.
3 会員商品取引所の事務の執行は、定款に別段の定めがないときは、理事長及び理事の過半数で決する。
(3) The execution of the administrative affairs of a member commodity exchange is decided by majority vote among the president and directors, unless otherwise specified by the articles of incorporation.
(理事長及び理事の代理行為の委任)
(Delegation of the Authority of the President and Directors)
第四十七条の二 理事長及び理事は、定款又は会員総会の決議によつて禁止されていないときに限り、特定の行為の代理を他人に委任することができる。
Article 47-2 The president and directors may delegate their authority for specific actions to another person, unless such delegation is prohibited by the articles of incorporation or general meeting resolution.
(監事の権限)
(Authority of Auditors)
第四十八条 監事は、会員商品取引所の事務を監査する。
Article 48 (1) An auditor audits the administrative affairs of the member commodity exchange.
2 監事は、いつでも理事長若しくは理事に対して事務の報告を求め、又は会員商品取引所の事務及び財産の状況を調査することができる。
(2) At any time, an auditor may request the president or a director to give a report about administrative affairs or examine the state of the administrative affairs and assets of the member commodity exchange.
3 監事は、理事長が会員総会に提出しようとする書類を調査し、会員総会にその意見を報告しなければならない。
(3) An auditor must examine the documents that the president seeks to submit to a general meeting of members and report an opinion to the members.
(役員の欠格条件)
(Conditions for Ineligibility as an Officer)
第四十九条 第十五条第二項第一号イからルまでのいずれかに該当する者は、会員商品取引所の役員となることができない。
Article 49 (1) A person falling under a category of person referred to in one of Article 15, paragraph (2), item (i), (a) through (k) may not become the officer of a member commodity exchange.
2 会員商品取引所の役員が前項に規定する者に該当することとなつたときは、その職を失う。
(2) If the officer of a member commodity exchange comes to fall under a category of person provided for in the preceding paragraph, that officer loses the position of officer.
(役員の選任)
(Appointment of Officers)
第五十条 会員商品取引所の役員は、次項の規定により選任される理事を除き、定款で定めるところにより、会員総会において、会員が選挙する。ただし、設立当時の役員は、創立総会において、会員になろうとする者が選挙する。
Article 50 (1) The members elect the officers of a member commodity exchange at a general meeting pursuant to the provisions of the articles of incorporation, with the exception of the directors that are appointed pursuant to the following paragraph; provided, however, that the persons seeking to become members elect the officers at the time of incorporation are elected by persons who intend to become members at an organizational general meeting.
2 理事長は、定款に特別の定めがある場合には、理事の過半数の同意を得て、定款で定める数の理事を選任する。
(2) If there are special provisions in the articles of incorporation, the president appoints the number of directors specified by the articles of incorporation with the consent of a majority of the directors.
(会員商品取引所と役員との関係)
(Relationship between a Member Commodity Exchange and Officers)
第五十条の二 会員商品取引所と役員との関係は、委任に関する規定に従う。
Article 50-2 The relationship between a member commodity exchange and its officers is in accordance with the provisions concerning delegation.
(役員の任期)
(Term of Office of Officers)
第五十一条 役員の任期は、三年以内において定款で定める期間とする。
Article 51 (1) The term of office of an officer is a period of not more than three years, as specified by the articles of incorporation.
2 設立当時の役員の任期は、前項の規定にかかわらず、創立総会において定める期間とする。ただし、その期間は、一年を超えることができない。
(2) Notwithstanding the provisions of the preceding paragraph, the term of office of an officer at the time of incorporation is the period decided at the organizational meeting; provided, however, that such a period may not exceed one year.
(仮理事及び仮監事)
(Provisional Directors and Provisional Auditors)
第五十二条 主務大臣は、理事又は監事の職を行う者がない場合において、必要があると認めるときは、仮理事又は仮監事を選任することができる。
Article 52 If there is no person to perform the duties of a director or auditor and if the competent minister finds it to be necessary, the minister may appoint a provisional director or provisional auditor.
(理事長及び理事の責任)
(Responsibilities of the President and Directors)
第五十三条 理事長又は理事がその任務を怠つたときは、その理事長又は理事は、会員商品取引所に対して連帯して損害賠償の責めに任ずる。
Article 53 (1) If the president or a director neglects their duties, the president and directors are held jointly and severally liable for damages to the member commodity exchange.
2 理事長又は理事が法令又は定款に違反する行為をしたときは、会員総会の決議によつた場合でもその理事長又は理事は、第三者に対して連帯して損害賠償の責めに任ずる。
(2) If the president or a director commits an act that violates a law or regulation or the articles of incorporation, even if this was based on a general meeting resolution, the president and directors are held jointly and severally liable for damages to third parties.
(役員の解任の請求)
(Requesting the Dismissal of an Officer)
第五十四条 会員は、総会員の五分の一以上の連署をもつて、役員の解任を請求することができる。この場合において、その請求につき、総会員の半数以上が出席する会員総会において、出席会員の三分の二以上の同意があつたときは、その請求に係る役員は、その職を失う。
Article 54 (1) A member may request the dismissal of an officer, with the countersignatures of at least one-fifth of all of the members. In such a case, with the consent of at least two-thirds of the attending members at a general meeting about that request where at least half of all members are present, the officer to which the request pertains loses the position of officer.
2 前項の規定による解任の請求は、理事長及び理事の全員又は監事の全員について、同時にしなければならない。ただし、法令又は定款若しくは業務規程に違反したことを理由として解任を請求するときは、この限りでない。
(2) A request for dismissal under the preceding paragraph must be made simultaneously by the president and all of the directors or simultaneously by all of the auditors; provided, however, that this does not apply if dismissal is requested due to the violation of a law or regulation, the articles of incorporation or the operational rules.
3 第一項の規定による解任の請求は、その理由を記載した書面を理事長に提出してしなければならない。
(3) To make request for dismissal under paragraph (1), a document stating the reason for the request must be submitted to the president.
4 第一項の規定による解任の請求があつたときは、理事長は、その請求を会員総会の議に付し、かつ、会員総会の会日から十日前までに、その請求に係る役員に対し、前項の規定による書面を送付し、かつ、会員総会において弁明する機会を与えなければならない。
(4) If a request for dismissal under paragraph (1) is made, the president must refer the request to a general meeting and send the document under the preceding paragraph to the officer to which the request pertains by 10 days before the day of the general meeting, and must give that officer an opportunity to provide an explanation at the general meeting.
5 第五十九条第三項、第六項及び第七項の規定は、前項の場合について準用する。
(5) The provisions of Article 59, paragraphs (3), (6), and (7) apply mutatis mutandis to the case referred to in the preceding paragraph.
(役員の兼職禁止)
(Prohibition on the Concurrent Holding of Positions by Officers)
第五十五条 会員商品取引所の役員は、他の商品取引所の役員の地位を占めてはならない。
Article 55 (1) The officer of a member commodity exchange must not hold the position of officer at another commodity exchange.
2 理事長又は理事は、その者が理事長又は理事となつている会員商品取引所の監事と、監事は、その者が監事となつている会員商品取引所の使用人又は理事長若しくは理事と兼ねてはならない。
(2) It is prohibited for the president or a director to concurrently hold the position of auditor at the member commodity exchange where the person serves as president or director, and for an auditor to concurrently hold the position of employee, president, or director at the member commodity exchange where the person serves as auditor.
(理事の自己契約等の禁止)
(Prohibition against Directors Concluding Contracts with Themselves)
第五十六条 会員商品取引所が理事長又は理事と契約をするときは、監事が会員商品取引所を代表する。会員商品取引所と理事長又は理事との訴訟についても、また同様とする。
Article 56 When a member commodity exchange concludes a contract with the president or a director, an auditor represents the member commodity exchange. The same applies to litigation between a member commodity exchange and the president or a director.
(定款等の備置き及び閲覧等)
(Keeping and Inspection of the Articles of Incorporation)
第五十七条 会員商品取引所は、定款及び業務規程を会員商品取引所の各事務所に、会員名簿を主たる事務所に備え置かなければならない。
Article 57 (1) A member commodity exchange must keep copies of the articles of incorporation and operational rules at each office of the member commodity exchange, and must keep a register of members at its principal office.
2 会員商品取引所は、会員総会の議事録を十年間主たる事務所に、その謄本を五年間従たる事務所に備え置かなければならない。
(2) A member commodity exchange must keep the minutes of general meetings at its principal office for 10 years, and must keep copies of those minutes at its secondary offices for five years.
3 会員名簿には、各会員について次に掲げる事項を記載し、又は記録しなければならない。
(3) The following particulars concerning each member must be included or recorded in a register of members:
一 氏名又は商号若しくは名称及び住所
(i) name or trade name and address;
二 加入年月日
(ii) date of membership;
三 出資口数、出資金額及びその払込年月日
(iii) number of units of contribution, amount of contribution, and date of payment;
四 取引をする商品市場における上場商品又は上場商品指数
(iv) the listed commodity or listed commodity index on the commodity market on which the member trades;
五 商品先物取引業者であるときは、許可年月日
(v) if it is a commodity derivative broker, the license date.
4 会員及び会員商品取引所の債権者は、当該会員商品取引所の事業時間内は、いつでも、次に掲げる請求をすることができる。ただし、第二号又は第四号に掲げる請求をするには、当該会員商品取引所の定めた費用を支払わなければならない。
(4) The member or creditor of a member commodity exchange may make the following requests at any time during the business hours of the member commodity exchange; provided, however, that in making the request set forth in item (ii) or (iv), the member or creditor must pay the cost stipulated by the member commodity exchange:
一 第一項又は第二項の書面の閲覧の請求
(i) a request to inspect a document referred to in paragraph (1) or (2);
二 第一項又は第二項の書面の謄本又は抄本の交付の請求
(ii) a request to be issued a certified copy or extract of a document referred to in paragraph (1) or (2);
三 第一項又は第二項の書面の作成に代えて電磁的記録の作成がされているときは、当該電磁的記録に記録された事項を主務省令で定める方法により表示したものの閲覧の請求
(iii) if an electronic or magnetic record has been created in lieu of a document referred to in paragraph (1) or (2), a request to inspect something that shows the particulars that have been recorded in that electronic or magnetic record, through a means specified by order of the competent ministry;
四 前号の電磁的記録に記録された事項を電磁的方法であつて主務省令で定めるものにより提供することの請求又は当該事項を記載した書面の交付の請求
(iv) a request to be provided with the particulars that have been recorded in an electronic or magnetic record referred to in the preceding item by an electronic or magnetic means specified by order of the competent ministry, or a request to be issued a document that states those particulars.
5 会員商品取引所は、前項の規定による請求があつたときは、正当な理由がないのにこれを拒んではならない。
(5) If a member commodity exchange has had a request as under the preceding paragraph, it must not refuse that request without legitimate grounds.
会社法等の準用)
(Application Mutatis Mutandis of the Companies Act)
第五十八条 会社法第四百二十四条及び第四百三十条の規定は理事長、理事及び監事について、同法第七編第二章第二節(第八百四十七条第二項、第八百四十九条第二項第二号及び第五項並びに第八百五十一条を除く。)の規定は理事長、理事及び監事の責任を追及する訴えについて、同法第三百四十九条第四項及び第五項、第三百五十条、第三百五十四条並びに第三百六十一条の規定は理事長及び理事について、第五十三条の規定は監事について、それぞれ準用する。この場合において、同法第四百二十四条中「前条第一項」とあるのは「商品取引所法第五十三条第一項」と、同法第四百三十条中「役員等が」とあるのは「理事長又は理事が」と、「他の役員等も」とあるのは「監事も」と、同法第八百四十七条第一項及び第四項中「法務省令」とあるのは「主務省令」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 58 The provisions of Article 424 and Article 430 of the Companies Act apply mutatis mutandis to the president, directors, and auditors; the provisions of Part VII, Chapter II, Section 2 (excluding Article 847, paragraph (2), Article 849, paragraph (2), item (ii) and paragraph (5) and Article 851) of that Act apply mutatis mutandis to an action seeking to hold the president, directors, and auditors liable; the provisions of Article 349, paragraphs (4) and (5), Article 350, Article 354, and Article 361 of that Act apply mutatis mutandis to the president and directors; and the provisions of Article 53 apply mutatis mutandis to the auditors. In this case, the phrase "paragraph (1) of the preceding Article" in Article 424 of that Act is deemed to be replaced with "Article 53, paragraph (1) of the Commodity Exchange Act"; the term "In cases where officers, etc." in Article 430 of that Act is deemed to be replaced with "If the president or a director"; the phrase "another officer, etc." in the same Article is deemed to be replaced with "an auditor"; the term "Order of the Ministry of Justice" in Article 847, paragraphs (1) and (4) of that Act is deemed to be replaced with "order of the competent ministry"; and any other technical replacement of terms is as specified by Cabinet Order.
(会員総会の招集)
(Convocation of General Meetings)
第五十九条 理事長は、定款で定めるところにより、毎事業年度一回通常会員総会を招集しなければならない。
Article 59 (1) The president must call an ordinary general meeting once every business year, pursuant to the provisions of the articles of incorporation.
2 理事長は、必要があると認めるときは、定款で定めるところにより、いつでも臨時会員総会を招集することができる。
(2) The president may call an extraordinary general meeting pursuant to the provisions of the articles of incorporation, whenever the president finds this to be necessary.
3 会員が総会員の五分の一以上の者の同意をもつて、会議の目的たる事項及び招集の理由を記載した書面を理事長に提出して、会員総会の招集を請求したときは、理事長は、その請求があつた日から二十日以内に、臨時会員総会を招集しなければならない。
(3) If a member, with the consent of at least one-fifth of all of the members, submits a document to the president specifying the purpose of a board meeting and the grounds for calling one, the president must convene an extraordinary general meeting within 20 days after the day of the request.
4 前項の場合において、電磁的方法により議決権を行うことが定款で定められているときは、同項の規定による書面の提出に代えて、当該書面に記載すべき事項及び理由を当該電磁的方法により提出することができる。この場合において、当該書面に記載すべき事項及び理由を当該電磁的方法により提出した会員は、当該書面を提出したものとみなす。
(4) In the case referred to in the preceding paragraph, if the articles of incorporation provide that a voting right may be exercised by electronic or magnetic means, in lieu of submitting the document under that paragraph, a member may submit the purpose and grounds that are to be stated in that document by electronic or magnetic means. In such a case, a member that submits the purpose and grounds that are to be stated in a document by electronic or magnetic means is deemed to have submitted that document.
5 前項前段の電磁的方法(主務省令で定める方法を除く。)により行われた当該書面に記載すべき事項及び理由の提供は、理事長の使用に係る電子計算機に備えられたファイルへの記録がされた時に当該理事長に到達したものとみなす。
(5) In providing the purpose and grounds that are to be stated in a document by the electronic or magnetic means (excluding any means specified by order of the competent ministry) referred to in the first sentence of the preceding paragraph, the purpose and grounds are deemed to have reached the president at the time that they are recorded in a file on a computer used by the president.
6 理事長の職務を行う者がないとき、又は第三項の請求があつた場合において理事長が正当な理由がないのに招集の手続をしないときは、監事は、遅滞なく、会員総会を招集しなければならない。
(6) If there is no person to perform the duties of the president, or if a request set forth in paragraph (3) is made but the president fails to implement convocation procedures without legitimate grounds for failing to do so, an auditor must convene a general meeting without delay.
7 前項の場合において、監事の職務を行う者がないとき、又は監事が正当な理由がないのに同項の手続をしないときは、第三項の会員は、主務大臣の承認を得て、会員総会を招集することができる。
(7) In the case referred to in the preceding paragraph, if there is no person to perform the duties of auditor, or if an auditor fails to implement the procedures referred to in that paragraph without legitimate grounds for failing to do so, the member referred to in paragraph (3) may convene a general meeting with the approval of the competent minister.
8 会員総会を招集するには、会日から十日前までに、各会員に対して、書面をもつて招集の通知を発しなければならない。ただし、第二項、第三項、第六項及び前項に規定する招集については、定款でこの期間を短縮することができる。
(8) In order to convene a general meeting, a written notice to convene must be sent to each member by 10 days prior to the day of the meeting; provided, however, that this period may be shortened according to the articles of incorporation for a convocation as prescribed in paragraph (2), (3), (6), or the preceding paragraph.
9 前項の通知には、会議の目的たる事項を記載し、又は記録しなければならない。
(9) The purpose of the meeting must be stated in the notice referred to in the preceding paragraph.
10 会員総会を招集する者は、第八項の規定による書面による通知の発出に代えて、政令で定めるところにより、会員の承諾を得て、電磁的方法により通知を発することができる。この場合において、当該通知を当該電磁的方法により発した会員総会を招集する者は、同項の規定による書面による通知を発したものとみなす。
(10) In lieu of sending a written notice under paragraph (8), the person calling a general meeting may send notice by electronic or magnetic means, with the consent of the members and pursuant Cabinet Order provisions. In such a case, the person convening a general meeting that sends such a notice by electronic or magnetic means is deemed to have sent the written notice under that paragraph.
(会員総会の決議事項)
(Matters Requiring a General Meeting Resolution)
第六十条 この法律に特別の定めがあるもののほか、次に掲げる事項は、会員総会の決議を経なければならない。
Article 60 The following matters, beyond those that are otherwise prescribed in this Act, require a general meeting resolution:
一 定款の変更
(i) a change in the articles of incorporation;
二 貸借対照表、損益計算書、業務報告書、剰余金処分案及び損失処理案の承認
(ii) approval of the balance sheet, profit and loss statement, business report, and proposed allocation of surplus or proposed allocation of loss;
三 経費の賦課及び徴収の方法
(iii) the means of imposing and collecting costs;
四 解散
(iv) dissolution;
五 合併
(v) merger;
六 会員の除名
(vi) expulsion of a member;
七 その他定款で定める事項
(vii) any other matter specified by the articles of incorporation.
(会員総会の特別決議事項)
(Matters Requiring a Special General Meeting Resolution)
第六十一条 前条第一号及び第四号から第六号までに掲げる事項は、総会員の半数以上が出席し、その議決権の三分の二以上の多数による決議を経なければならない。
Article 61 The matters set forth in item (i) and items (iv) through (vi) of the preceding Article require a resolution to be passed with at least a two-thirds majority vote of the attendees, at a meeting where at least half of all members are present.
(会員総会の議事)
(Items of General Meeting Business)
第六十二条 会員総会の議事は、この法律又は定款に特別の定めがある場合を除いて、出席した会員の議決権の過半数で決し、可否同数のときは、議長の決するところによる。
Article 62 (1) Unless otherwise provided for in this Act or in the articles of incorporation, items of general meeting business are decided by majority vote of the members in attendance, and by the chairperson in the event of a tie.
2 議長は、会員総会において選任する。
(2) The chairperson is appointed at a general meeting.
3 議長は、会員として会員総会の決議に加わる権利を有しない。
(3) The chairperson is not entitled to take part in a general meeting resolution as a member.
4 会員総会においては、第五十九条第八項の規定によりあらかじめ通知した事項についてのみ決議することができる。ただし、定款で別段の定めをしたときは、この限りでない。
(4) Only the particulars of which notice is given in advance pursuant to the provisions of Article 59, paragraph (8) may be put to a resolution at a general meeting; provided, however, that this does not apply if otherwise provided in the articles of incorporation.
5 会員総会の議事録には、出席した監事も署名しなければならない。
(5) The minutes of a general meeting of members must also be signed by the auditors in attendance.
(延期又は続行の決議)
(Resolution to Postpone or Continue)
第六十二条の二 会員総会においてその延期又は続行について決議があつた場合には、第五十九条第八項本文の規定は、適用しない。
Article 62-2 At a general meeting, if a resolution is passed to postpone or continue that meeting, the provisions of the main clause of Article 59, paragraph (8) do not apply.
(議事録)
(Minutes)
第六十二条の三 会員総会の議事については、主務省令で定めるところにより、議事録を作成しなければならない。
Article 62-3 The minutes of a general meeting must be prepared pursuant to the provisions of order of the competent ministry.
会社法の準用)
(Application Mutatis Mutandis of the Companies Act)
第六十三条 会社法第八百三十条、第八百三十一条、第八百三十四条(第十六号及び第十七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、第八百三十八条、第八百四十六条並びに第九百三十七条第一項(第一号トに係る部分に限る。)の規定は、会員総会の決議の不存在若しくは無効の確認又は取消しの訴えについて準用する。この場合において、同項中「会社の本店(第一号トに規定する場合であって当該決議によって第九百三十条第二項各号に掲げる事項についての登記がされているときにあっては、本店及び当該登記に係る支店)」とあるのは、「会員商品取引所の主たる事務所(第一号トに規定する場合であって当該決議によって商品取引所法第二十四条第二項各号に掲げる事項についての登記がされているときにあっては、主たる事務所及び当該登記に係る従たる事務所)」と読み替えるものとする。
Article 63 The provisions of Article 830 of the Companies Act and of Article 831; Article 834 (limited to the part that involves items (xvi) and (xvii)); Article 835, paragraph (1); Article 836, paragraphs (1) and (3); Article 837; Article 838; Article 846; and Article 937, paragraph (1) (limited to the part that involves item (i) (g)) of that Act apply mutatis mutandis to an action seeking a declaratory judgment as to the absence or invalidity of a general meeting resolution or an action seeking the rescission of such a resolution. In this case, the phrase "the head office (or, in the cases prescribed in item (i) (g), if the matters listed in the items of Article 930 (2) have been registered as a result of such resolution, the head office and the branch office(s) regarding such registration)" in Article 937, paragraph (1) is deemed to be replaced with "the principal office of the member commodity exchange (or, in the case prescribed in item (i) (g), if a particular set forth in one of the items of Article 24, paragraph (2) of the Commodity Exchange Act is registered pursuant to that resolution, the principal office and the secondary office to which the registration pertains)".
第四款 計算
Subsection 4 Accounts
(損失てん補準備金)
(Loss Compensation Reserve)
第六十四条 会員商品取引所は、定款で定めるところにより、毎事業年度の剰余金の百分の十以上を損失てん補準備金として積み立てなければならない。
Article 64 (1) A member commodity exchange must set aside at least ten percent of surplus in every business year as loss reserves, pursuant to the provisions of the articles of incorporation.
2 前項の準備金は、損失のてん補に充てる場合を除いては、取り崩してはならない。
(2) The reserves set forth in the preceding paragraph must not be broken into other than when allocated to cover a loss.
(剰余金の配当禁止)
(Prohibition on the Distribution of Surplus)
第六十五条 会員商品取引所は、剰余金の分配をしてはならない。
Article 65 A member commodity exchange may not distribute its surplus.
(決算関係書類等の作成)
(Preparation of Account Settlement Documents)
第六十六条 会員商品取引所は、主務省令で定めるところにより、財産目録、貸借対照表、損益計算書、業務報告書及び剰余金処分案又は損失処理案(以下「決算関係書類等」という。)を作成しなければならない。
Article 66 (1) A member commodity exchange must prepare an inventory of assets, balance sheet, profit and loss statement, business report, and proposed allocation of surplus or proposed allocation of loss (hereinafter referred to as "account settlement documents") in accordance with the provisions of order of the competent ministry .
2 決算関係書類等は、電磁的記録をもつて作成することができる。
(2) An account settlement document may be prepared as an electronic or magnetic record.
(決算関係書類等の提出等)
(Submission of Account Settlement Documents)
第六十七条 理事長は、通常会員総会の会日の二週間前までに、決算関係書類等(これらのものが電磁的記録で作成され、又はその作成に代えて電磁的記録の作成がされている場合における当該電磁的記録を含む。)を監事に提出し、又は提供しなければならない。
Article 67 The president must submit or provide account settlement documents (including an electronic or magnetic record, if these documents have been prepared as electronic or magnetic records or if electronic or magnetic records are prepared in lieu of the paper documents) to the auditors by two weeks before the day of an ordinary general meeting.
(決算関係書類等の承認及び報告)
(Approval and Reporting of Account Settlement Documents)
第六十八条 決算関係書類等(財産目録及び業務報告書を除く。)は、通常会員総会の承認を受けなければならない。
Article 68 (1) Account settlement documents (excluding the inventory of property and business report) must be approved by an ordinary general meeting of members.
2 理事長は、業務報告書の内容を通常会員総会に報告しなければならない。
(2) The president must report the content of the business report at an ordinary general meeting.
(決算関係書類等の備置き及び閲覧等)
(Keeping and Inspection of Account Settlement Documents)
第六十八条の二 会員商品取引所は、決算関係書類等を、通常会員総会の会日の二週間前の日から五年間、その主たる事務所に備え置かなければならない。
Article 68-2 (1) A member commodity exchange must keep account settlement documents at its principal office for five years, beginning from the day two weeks prior to the day of the relevant ordinary general meeting.
2 会員商品取引所は、決算関係書類等の写しを、通常会員総会の会日の二週間前の日から三年間、その従たる事務所に備え置かなければならない。ただし、決算関係書類等が電磁的記録で作成されている場合であつて、従たる事務所における次項第三号及び第四号に掲げる請求に応じることを可能とするための措置として主務省令で定めるものをとつているときは、この限りでない。
(2) A member commodity exchange must keep a copy of account settlement documents at its secondary offices for three years, beginning from the day two weeks prior to the day of the relevant ordinary general meeting; provided, however, that this does not apply if the account settlement documents have been prepared as electronic or magnetic records and a measure specified by order of the competent ministry as one that enables a secondary office to respond to the requests set forth in items (iii) and (iv) of the following paragraph has been taken.
3 会員及び会員商品取引所の債権者は、会員商品取引所に対して、その事業時間内は、いつでも、次に掲げる請求をすることができる。ただし、第二号又は第四号に掲げる請求をするには、当該会員商品取引所の定めた費用を支払わなければならない。
(3) The member or creditor of a member commodity exchange may make the following requests of the member commodity exchange at any time during its business hours; provided, however, that in making the request set forth in item (ii) or (iv), the member or creditor must pay the cost stipulated by the member commodity exchange:
一 決算関係書類等が書面をもつて作成されているときは、当該書面又は当該書面の写しの閲覧の請求
(i) if an account settlement document has been prepared as a written document, a request to inspect that document or a copy of it;
二 前号の書面の謄本又は抄本の交付の請求
(ii) a request to be issued a certified copy or extract of a document referred to in the preceding item;
三 決算関係書類等が電磁的記録をもつて作成されているときは、当該電磁的記録に記録された事項を主務省令で定める方法により表示したものの閲覧の請求
(iii) if an account settlement document has been prepared as an electronic or magnetic record, a request to inspect something that shows the particulars that have been recorded in that electronic or magnetic record, through a means specified by order of the competent ministry;
四 前号の電磁的記録に記録された事項を電磁的方法であつて主務省令で定めるものにより提供することの請求又はその事項を記載した書面の交付の請求
(iv) a request to be provided with the particulars that have been recorded in an electronic or magnetic record referred to in the preceding item by an electronic or magnetic means specified by order of the competent ministry, or a request to be issued a document that states those particulars.
(貸借対照表の公告)
(Public Notice of the Balance Sheet)
第六十八条の三 会員商品取引所は、主務省令で定めるところにより、通常会員総会の終結後遅滞なく、貸借対照表を公告しなければならない。
Article 68-3 A member commodity exchange must issue public notice of its balance sheet pursuant to the provisions of order of the competent ministry without delay after the conclusion of an ordinary general meeting.
第五款 解散及び清算
Subsection 5 Dissolution and Liquidation
(会員商品取引所の解散)
(Dissolution of a Member Commodity Exchange)
第六十九条 会員商品取引所は、次に掲げる事由によつて解散する。
Article 69 A member commodity exchange is dissolved for the following reasons:
一 定款で定めた存続期間の満了又は解散事由の発生
(i) expiration of the term of existence specified in the articles of incorporation or the occurrence of grounds for dissolution specified in the articles of incorporation;
二 会員総会の決議
(ii) general meeting resolution;
三 合併(合併により当該会員商品取引所が消滅する場合の当該合併に限る。第七十一条及び第七十二条において同じ。)
(iii) merger (limited to a merger in which the member commodity exchange disappears; the same applies in Articles 71 and 72);
四 破産手続開始の決定
(iv) an order to commence bankruptcy proceedings;
五 設立の許可の取消し
(v) rescission of permission for incorporation;
六 会員の数がすべての商品市場について十人以下となつたこと。
(vi) the number of members on all of its commodity markets falls to 10 or below.
(一部の商品市場の閉鎖)
(Partial Closure of Commodity Markets)
第七十条 会員商品取引所は、その開設する商品市場において取引をする会員の数が十人以下となつたときは、前条第六号に掲げる事由により解散する場合を除くほか、当該商品市場における取引を停止し、第百五十五条第一項の規定による定款の変更の認可の申請をしなければならない。
Article 70 If the number of members effecting transactions on a commodity market that a member commodity exchange operates falls to 10 or below, the member commodity exchange must suspend the transactions on that commodity market and apply for authorization for a change to the articles of incorporation under Article 155, paragraph (1), unless it is dissolved for the reason set forth in item (vi) of the preceding Article.
(清算人)
(Liquidators)
第七十一条 会員商品取引所が解散したときは、合併及び破産手続開始の決定による解散の場合を除いては、理事長及び理事がその清算人となる。ただし、会員総会において他人を選任したときは、この限りでない。
Article 71 If a member commodity exchange is dissolved, the president and directors become the liquidators, unless it is dissolved in a merger or due to an order to commence bankruptcy proceedings; provided, however, that this does not apply if another person is appointed at a general meeting.
(残余財産の分配)
(Distribution of Residual Assets)
第七十一条の二 残余財産は、会員の出資口数に応じて分配しなければならない。
Article 71-2 Residual assets must be distributed based on a member's number of units of contribution.
(解散の登記)
(Registration of Dissolution)
第七十二条 会員商品取引所が解散したときは、合併及び破産手続開始の決定による解散の場合を除くほか、二週間以内に、その主たる事務所の所在地において、解散の登記をしなければならない。
Article 72 If a member commodity exchange is dissolved, the dissolution must be registered in connection with the location of its principal office within two weeks, unless it is dissolved in a merger or due to an order to commence bankruptcy proceedings.
(清算結了の登記)
(Registration of Completion of Liquidation)
第七十三条 清算が結了したときは、第七十七条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の日から、その主たる事務所の所在地においては二週間以内に、その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。
Article 73 Once a liquidation is complete, the completion of liquidation must be registered in connection with the location of the principal office within two weeks, and in connection with the location of the secondary offices within three weeks, from the day of the approval referred to in Article 507, paragraph (3) of the Companies Act as applied mutatis mutandis pursuant to Article 77, paragraph (1) of this Act.
(解散の登記の申請)
(Application for Registration of Dissolution)
第七十四条 会員商品取引所の解散の登記の申請書には、解散の事由を証する書面及び理事長又は会員商品取引所を代表すべき理事が清算人でない場合においては、会員商品取引所を代表すべき清算人であることを証する書面を添付しなければならない。
Article 74 (1) A document evidencing the reason for dissolution must accompany the written application to register the dissolution of a member commodity exchange, and if the president or director representing the member commodity exchange is not the liquidator, a document certifying that the liquidator is the person that is to represent the member commodity exchange.
2 会員商品取引所が主務大臣の設立の許可の取消しの処分により解散する場合における解散の登記は、主務大臣の嘱託によつてする。
(2) If a member commodity exchange is dissolved at the disposition of the competent minister to rescind the permission for incorporation, the registration of its dissolution is made at the request of the competent minister.
(清算結了の登記の申請)
(Application for the Registration of the Completion of Liquidation)
第七十五条 第七十三条の規定による登記の申請書には、第七十七条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ことを証する書面を添付しなければならない。
Article 75 A document evidencing that the approval referred to in Article 507, paragraph (3) of the Companies Act as applied mutatis mutandis pursuant to Article 77, paragraph (1) has been obtained must accompany the written application for a registration under Article 73.
(会員商品取引所の合併の認可等)
(Approval of the Merger of a Member Commodity Exchange)
第七十六条 会員商品取引所を全部又は一部の当事者とする合併(第百四十五条第一項の合併を除く。)は、主務大臣の認可を受けなければ、その効力を生じない。
Article 76 (1) A merger in which member commodity exchanges constitute all or part of the parties (excluding a merger set forth in Article 145, paragraph (1)) does not become effective without the authorization of the competent minister.
2 会員商品取引所が次に掲げる事由により解散したときは、その代表者であつた者は、遅滞なく、その旨を主務大臣に届け出なければならない。
(2) If a member commodity exchange is dissolved for one of the following reasons, the person that was its representative must notify the competent minister of this without delay:
一 定款で定めた存続期間の満了又は解散事由の発生
(i) expiration of the term of existence specified in the articles of incorporation or the occurrence of grounds for dissolution specified in the articles of incorporation;
二 会員総会の決議
(ii) general meeting resolution;
三 破産手続開始の決定
(iii) an order to commence bankruptcy proceedings;
四 会員の数がすべての商品市場について十人以下となつたこと。
(iv) the number of members in all commodity markets falls to 10 or below.
会社法等の準用等)
(Application Mutatis Mutandis of the Companies Act)
第七十七条 会社法第四百七十五条(第一号及び第三号を除く。)、第四百七十六条、第四百七十八条第二項及び第四項、第四百七十九条第一項及び第四項、第四百八十一条、第四百八十二条第二項、第四百八十三条第四項から第六項まで、第四百八十四条、第四百八十五条、第四百九十二条第一項から第三項まで、第四百九十九条から第五百三条まで、第五百七条、第八百六十八条第一項、第八百六十九条、第八百七十条(第二号に係る部分に限る。)、第八百七十一条、第八百七十二条(第四号に係る部分に限る。)、第八百七十四条(第一号及び第四号に係る部分に限る。)、第八百七十五条並びに第八百七十六条の規定は、会員商品取引所の清算について準用する。この場合において、同法第四百九十二条第一項及び第五百七条第一項中「法務省令」とあるのは「主務省令」と、同法第四百九十九条第一項中「官報に公告し」とあるのは「公告し」と読み替えるものとする。
Article 77 (1) The provisions of Article 475 of the Companies Act (excluding items (i) and (iii)) and of Article 476; Article 478, paragraphs (2) and (4); Article 479, paragraphs (1) and (4); Article 481; Article 482, paragraph (2); Article 483, paragraphs (4) through (6) ; Article 484; Article 485; Article 492, paragraphs (1) through (3) ; Articles 499 through 503; Article 507; Article 868, paragraph (1); Article 869; Article 870 (limited to the part that involves item (ii)); Article 871; Article 872 (limited to the part that involves item (iv)); Article 874 (limited to the part that involves items (i) and (iv)); Article 875; and Article 876 of that Act apply mutatis mutandis to the liquidation of a member commodity exchange. In this case, the term "Order of the Ministry of Justice" in Article 492, paragraph (1) and Article 507, paragraph (1) of that Act is deemed to be replaced with "order of the competent ministry"; and the phrase "give public notice in an official gazette" in Article 499, paragraph (1) of that Act is deemed to be replaced with "issue public notice".
2 第四十八条第二項及び第三項、第五十条の二、第五十三条、第五十五条から第五十七条まで、第五十九条、第六十二条の三並びに第六十六条から第六十八条の三まで並びに会社法第三百六十一条、第四百二十四条、第四百三十条、第五百九十九条及び第六百条の規定は会員商品取引所の清算人について、同法第七編第二章第二節(第八百四十七条第二項、第八百四十九条第二項第二号及び第五項並びに第八百五十一条を除く。)の規定は会員商品取引所の清算人の責任を追及する訴えについて、それぞれ準用する。この場合において、第六十六条第一項中「財産目録、貸借対照表、損益計算書、業務報告書及び剰余金処分案又は損失処理案」とあるのは「財産目録、貸借対照表及び事務報告書」と、同法第四百二十四条中「前条第一項」とあるのは「商品取引所法第五十三条第一項」と、同法第八百四十七条第一項及び第四項中「法務省令」とあるのは「主務省令」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。
(2) The provisions of Article 48, paragraphs (2) and (3) Article 50-2, Article 53, Articles 55 through 57, Article 59, Article 62-3, and Articles 66 through 68-3 of this Act and the provisions of Article 361 of the Companies Act and of Article 424, Article 430, Article 599, and Article 600 of that Act apply mutatis mutandis to the liquidators of a member commodity exchange, and the provisions of Part VII, Chapter II, Section 2 (excluding Article 847, paragraph (2), Article 849, paragraph (2), item (ii) and paragraph (5), and Article 851) of that Act apply mutatis mutandis to an action seeking to hold the liquidators of a member commodity exchange liable. In this case, the phrase "inventory of property, balance sheet, profit and loss statement, business report, and proposed allocation of surplus or proposed allocation of loss" in Article 66, paragraph (1) of this Act is deemed to be replaced with "inventory of property, balance sheet, and business report"; the phrase "paragraph (1) of the preceding Article" in Article 424 of the Companies Act is deemed to be replaced with "Article 53, paragraph (1) of the Commodity Exchange Act"; the phrase " Order of the Ministry of Justice" in Article 847, paragraphs (1) and (4) of that Act is deemed to be replaced with "order of the competent ministry"; and any other technical replacement of terms is specified by Cabinet Order.
3 会員商品取引所の清算を監督する裁判所は、主務大臣に対し、意見を求め、又は調査を嘱託することができる。
(3) The court supervising the liquidation of a member commodity exchange may seek the opinion of, or commission an investigation by, the competent minister.
4 主務大臣は、前項に規定する裁判所に対し、意見を述べることができる。
(4) The competent minister may state an opinion to the court prescribed in the preceding paragraph.
5 商業登記法第七十一条第一項の規定は、会員商品取引所の解散の登記について準用する。
(5) The provisions of Article 71, paragraph (1) of the Commercial Registration Act apply mutatis mutandis to the registration of the dissolution of a member commodity exchange.
第三節 株式会社商品取引所
Section 3 Incorporated Commodity Exchanges
第一款 総則
Subsection 1 General Provisions
(株式会社商品取引所の許可)
(Licensing an Incorporated Commodity Exchange)
第七十八条 株式会社商品取引所になろうとする者は、主務大臣の許可を受けなければならない。
Article 78 A person that seeks to become an incorporated commodity exchange must obtain a license from the competent minister.
(許可の申請)
(Application for a License)
第七十九条 前条の許可を受けようとする者は、次に掲げる事項を記載した申請書を主務大臣に提出しなければならない。
Article 79 (1) A person seeking the license referred to in the preceding Article must submit a written application stating the following particulars to the competent minister:
一 商号
(i) its trade name;
二 資本金の額
(ii) its amount of stated capital;
三 本店、支店その他の営業所の所在地
(iii) the location of the head office, branch offices, and any other business offices;
四 上場商品又は上場商品指数
(iv) the listed commodity or listed commodity index;
五 役員の氏名又は名称及び住所
(v) the names or trade names and addresses of its officers;
六 取引参加者の氏名又は商号若しくは名称及び取引参加者が取引をする商品市場における上場商品又は上場商品指数並びに取引参加者が一年以上継続して上場商品構成物品等の売買等を業として行つている場合にあつてはその旨
(vi) the names or trade names of the trading participants and the listed commodity or listed commodity index for the commodity market on which the trading participants will trade, and an indication that the trading participant has been engaging continuously in the purchase and sale, etc. of goods where the listed commodity, etc. in the course of trade, for one year or more, if applicable.
2 前項の申請書には、定款、業務規程、受託契約準則、紛争処理規程、市場取引監視委員会規程その他主務省令で定める書類を添付しなければならない。
(2) The articles of incorporation, operational rules, brokerage contract rules, dispute resolution rules, market transactions surveillance committee rules, and other documents specified by order of the competent ministry must accompany the written application referred to in the preceding paragraph.
(許可の基準等)
(Criteria for Licensing)
第八十条 主務大臣は、第七十八条の許可の申請が次に掲げる基準に適合していると認めるときは、許可をしなければならない。
Article 80 (1) If the competent minister finds that an application for the license referred to in Article 78 conforms to the following criteria, the minister must grant the license:
一 許可申請者が株式会社でその資本金の額が政令で定める金額以上のものであること。
(i) the license applicant is a stock company whose stated capital is at least the amount specified by Cabinet Order;
二 申請に係る商品市場が、次に掲げる商品市場の区分に応じ、それぞれ次に定める基準に適合していること。
(ii) the commodity market to which the application pertains conforms to the criteria prescribed in the relevant of the following for the category of commodity market set forth therein:
イ 上場商品に係る商品市場 当該商品市場において取引をしようとする取引参加者の合計数が二十人以上であり、かつ、その過半数の者が、一年以上継続して当該商品市場における上場商品構成物品の売買等を業として行つている者であること。
(a) a commodity market for a listed commodity: the total number of trading participants that seek to trade on the commodity market is 20 or greater, and the majority of them have been engaging continuously in the purchase and sale, etc. of the goods where the listed commodity on the commodity market in the course of trade, for one year or more;
ロ 上場商品指数に係る商品市場 当該商品市場において取引をしようとする取引参加者の合計数が二十人以上であり、かつ、その過半数の者が、一年以上継続して当該商品市場における上場商品指数対象物品の売買等を業として行つている者であること。
(b) a commodity market for a listed commodity index: the total number of trading participants that seek to trade on the commodity market is 20 or greater, and the majority of them have been engaging continuously in the purchase and sale, etc. of the goods underlying the listed commodity index on the commodity market in the course of trade, for one year or more.
三 申請に係る上場商品又は上場商品指数の先物取引を公正かつ円滑にするために十分な取引量が見込まれることその他上場商品構成物品等の取引の状況に照らし、許可申請者が当該先物取引をする株式会社商品取引所になることが当該上場商品構成物品等の生産及び流通を円滑にするため必要かつ適当であること。
(iii) the volume of transactions is expected to be sufficient for ensuring fair and smooth futures transactions in the listed commodity or listed commodity index to which the application pertains, and in light of the status of transactions in the goods where the listed commodity, etc., it is necessary and appropriate for the license applicant to become an incorporated commodity exchange on which such futures transactions are effected, in order to facilitate the production and distribution of the goods where the listed commodity, etc.;
四 上場商品に係る商品市場を開設しようとする場合にあつては、上場商品構成物品の売買等を業として行つている者の取引の状況その他の当該上場商品構成物品に係る経済活動の状況に照らして、当該上場商品構成物品を一の商品市場で取引することが適当であることとして政令で定める基準に適合すること。
(iv) if the applicant seeks to open a commodity market for a listed commodity, the situation conforms to the criteria specified by Cabinet Order as a situation in which it is appropriate for the goods where the listed commodity to be traded on a single commodity market, in light of the trading conditions of persons effecting purchase and sales, etc. of goods where the listed commodity in the course of trade, and in light of other circumstances of economic activities involving the goods where the listed commodity;
五 二以上の商品指数を一の上場商品指数として商品市場を開設しようとする場合にあつては、当該二以上の商品指数の対象となる物品の大部分が共通していること。
(v) if the applicant seeks to open a commodity market with two or more commodity indices as a single listed commodity index, most of the goods underlying those two or more commodity indices are the same goods;
六 定款、業務規程、受託契約準則、紛争処理規程及び市場取引監視委員会規程の規定が法令に違反せず、かつ、定款、業務規程、受託契約準則、紛争処理規程又は市場取引監視委員会規程に規定する取引の方法又は管理、取引参加者の資格、取引参加者の数の最高限度を定めた場合におけるその最高限度、特別担保金の預託義務を定めた場合におけるその預託に関する事項その他の事項が適当であつて、商品市場における取引の公正を確保し、及び委託者を保護するため十分であること。
(vi) the provisions of the articles of incorporation, operational rules, brokerage contract rules, dispute resolution rules, and market transactions surveillance committee rules do not violate laws and regulations, and the transaction method or management of transactions; eligibility as a trading participant; maximum number of trading participants, if specified; particulars of deposits, if the obligation to make a special security deposit is stipulated; and other particulars prescribed in the articles of incorporation, operational rules, brokerage contract rules, dispute resolution rules, and market transactions surveillance committee rules are appropriate and sufficient for ensuring the fairness of transactions on the commodity market and for protecting consignors;
七 許可申請者が商品市場を適切に運営するに足りる人的構成を有するものであること。
(vii) the license applicant has a sufficient personnel structure to appropriately manage the commodity market;
八 許可申請者が株式会社商品取引所としてこの法律の規定に適合するように組織されるものであること。
(viii) the license applicant will be organized as an incorporated commodity exchange in a manner that conforms to the provisions of this Act;
九 次に掲げる機関を置くものであること。
(ix) the license applicant has in place the following mechanisms:
イ 取締役会
(a) a board of directors;
ロ 監査役会又は委員会
(b) a board of auditors or audit committee;
ハ 会計監査人
(c) an accounting auditor.
2 主務大臣は、第七十八条の許可の申請が次の各号のいずれかに該当する場合には、前項の規定にかかわらず、同条の許可をしてはならない。
(2) Notwithstanding the provisions of the preceding paragraph, if an application for the license referred to in Article 78 falls under one of the following items, the competent minister must not grant the license referred to in that Article:
一 許可申請者が第十五条第二項第一号ハからホまで、リ又はヲのいずれかに該当する者であるとき。
(i) the license applicant falls under a category of person referred to in one of Article 15, paragraph (2), item (i) (c) through (e), (i), or (l);
二 申請書又はこれに添付すべき書類のうちに重要な事項について虚偽の記載があるとき。
(ii) the written application or a document that is required to accompany it contains a false statement about a material particular.
3 主務大臣は、株式会社商品取引所としての存続期間又は商品市場の開設期限が業務規程に記載され、又は記録されている第七十八条の許可の申請があつた場合においては、第一項第三号の基準に代えて、申請に係る上場商品又は上場商品指数の先物取引を公正かつ円滑にするために十分な取引量が見込まれないことその他上場商品構成物品等の取引の状況に照らし、当該先物取引をする株式会社商品取引所になることが当該上場商品構成物品等の生産及び流通に著しい支障を及ぼし、又は及ぼすおそれがあることに該当しないことを同号の基準とし、当該基準並びに同項第四号及び第五号の基準の適用は、当該存続期間又は開設期限までの間について判断して行うものとする。
(3) If an application is filed for the license referred to in Article 78, and the applicant's term of existence as an incorporated commodity exchange or the operative term of the commodity market is included or recorded in the operational rules, the criterion set forth in paragraph (1), item (iii) is replaced by the criteria that the volume of transactions is not expected to fall short in terms of ensuring fair and smooth futures transactions of the listed commodity or listed commodity index to which the application pertains, and that, in light of the status of transactions of the listed commodity component products, etc., the applicant's becoming an incorporated commodity exchange on which such futures transactions are effected does not and is not likely to cause an extreme hindrance to the production or distribution of the goods where the listed commodity, etc., and the competent minister is to apply these criteria and the criteria referred to in items (iv) and (v) of that paragraph to reach a judgment with respect to the period up until the end of that term of existence or that operative term.
4 第十五条第四項から第十一項までの規定は、第七十八条の許可について準用する。
(4) The provisions of Article 15, paragraphs (4) through (11) apply mutatis mutandis to the license referred to in Article 78.
(定款)
(Articles of Incorporation)
第八十一条 株式会社商品取引所の定款には、会社法第二十七条各号に掲げる事項のほか、次に掲げる事項を記載し、又は記録しなければならない。
Article 81 Beyond the particulars set forth in the items of Article 27 of the Companies Act, the following particulars must be included in the articles of incorporation of an incorporated commodity exchange:
一 取引参加者に対する監査及び制裁に関する事項
(i) the particulars involved in audits of and sanctions against trading participants;
二 商品市場外における取引参加者間の契約に対する定款、業務規程、受託契約準則及び紛争処理規程の拘束力に関する事項
(ii) the particulars of the binding effect that the articles of incorporation, operational rules, brokerage contract rules, and dispute resolution rules have on contracts between trading participants concluded outside the commodity market;
三 商品市場に関する事項
(iii) the particulars of the commodity market;
四 自主規制委員会を設置する場合にあつては、その旨
(iv) if a self-regulatory committee will be established, an indication of this.
(株式会社商品取引所の子会社の範囲の特例)
(Special Provisions on the Scope of the Subsidiary Companies of an Incorporated Commodity Exchange)
第八十一条の二 株式会社商品取引所は、第三条第一項ただし書の認可及び金融商品取引法第八十条第一項の免許を受けて取引所金融商品市場を開設している場合には、第三条の二第一項の規定にかかわらず、主務大臣の認可を受けないで、取引所金融商品市場の開設の業務及びこれに附帯する業務を行う会社を子会社(同条第三項に規定する子会社をいう。以下同じ。)とすることができる。
Article 81-2 Notwithstanding the provisions of Article 3-2, paragraph (1), an incorporated commodity exchange that has opened a financial instruments exchange market under the authorization referred to in the proviso of Article 3, paragraph (1) or the license referred to in Article 80, paragraph (1) of the Financial Instruments and Exchange Act may have a company engaging in the business of opening a financial instruments exchange market and other business incidental thereto as its subsidiary company (meaning a subsidiary company as prescribed in Article 3-2, paragraph (3)), without obtaining the authorization of the competent minister.
(株式会社商品取引所の取引参加者)
(Trading Participants of an Incorporated Commodity Exchange)
第八十二条 株式会社商品取引所は、業務規程で定めるところにより、その開設する商品市場における取引を行うための取引資格を与えることができる。
Article 82 (1) Pursuant to the provisions of its operational rules, an incorporated commodity exchange may grant a person trading eligibility for effecting transactions on the commodity markets it opens.
2 株式会社商品取引所は、第十五条第二項第一号イからヲまでのいずれかに該当する者に対し、取引資格を与えてはならない。
(2) An incorporated commodity exchange must not grant trading eligibility to a person falling under a category of person in one of Article 15, paragraph (2), item (i) (a) through (l).
3 合併後存続する法人又は合併により設立された法人は、前項(第十五条第二項第一号ハからホまで、リ及びヲに係る部分に限る。)の規定の適用については、当該合併により消滅した法人と同一の法人とみなす。
(3) A corporation surviving a merger or a corporation established by a merger is deemed to be the same corporation as that which has been extinguished as a result of the merger with regard to the application of the provisions of the preceding paragraph (limited to the part that involves Article 15, paragraph (2), item (i), (c) through (e), (i) and (l)).
(取引参加者の地位の承継)
(Succession to the Status of Trading Participant)
第八十三条 取引参加者につき合併があつたときは、合併後存続する法人又は合併により設立された法人は、その取引参加者の地位を承継する。
Article 83 If a trading participant merges, the corporation surviving the merger or the corporation established by the merger succeeds to the status of trading participant.
(取引資格の喪失)
(Forfeiture of Trading Eligibility)
第八十四条 取引参加者は、三十日前までに予告して、第八十二条第一項の規定により与えられた取引資格を喪失することができる。
Article 84 (1) A trading participant may forfeit trading eligibility granted pursuant to the provisions of Article 82, paragraph (1) with 30 days' advance notice.
2 前項の予告期間は、業務規程で延長することができる。ただし、その期間は、一年を超えることができない。
(2) The period of advance notice referred to in the preceding paragraph may be extended by the operational rules; provided, however, that such a period may not exceed one year.
3 取引参加者は、第一項に規定する場合のほか、次に掲げる事由によつて、第八十二条第一項の規定により与えられた取引資格を喪失する。
(3) Beyond forfeiture in the case prescribed in paragraph (1), a trading participant forfeits trading eligibility granted pursuant to the provisions of Article 82, paragraph (1) for the following reasons:
一 その者が取引をする商品市場のすべてが第九十五条の規定により閉鎖されたこと。
(i) all of the commodity markets in which the person carries out transactions are closed pursuant to the provisions of Article 95;
二 死亡又は解散
(ii) death or dissolution;
三 取引資格の取消し
(iii) rescission of trading eligibility.
(役員又は取引参加者の氏名等の変更)
(Changes to the Name of an Officer or Trading Participant)
第八十五条 株式会社商品取引所は、第七十九条第一項第三号、第五号又は第六号に掲げる事項(本店の所在地を除く。)について変更があつたときは、遅滞なく、その旨を記載した変更届出書を主務大臣に提出しなければならない。
Article 85 (1) If a particular set forth in Article 79, paragraph (1), item (iii), (v) or (vi) (excluding the location of the head office) changes, the incorporated commodity exchange must submit a written notification of change indicating this to the competent minister without delay.
2 前項の変更届出書には、その変更を証する書面及び主務省令で定める書類を添付しなければならない。
(2) The written notification of change referred to in the preceding paragraph must be accompanied by a document evidencing the change and by the documents specified by order of the competent ministry.
(議決権の保有制限)
(Limitations on the Holding of Voting Rights)
第八十六条 何人も、株式会社商品取引所の総株主の議決権(株主総会において決議をすることができる事項の全部につき議決権を行使することができない株式についての議決権を除き、会社法第八百七十九条第三項の規定により議決権を有するものとみなされる株式についての議決権を含む。以下同じ。)の百分の二十(その財務及び営業の方針の決定に対して重要な影響を与えることが推測される事実として主務省令で定める事実がある場合には、百分の十五。以下この条、第三款及び第九十六条の四十第四項において「保有基準割合」という。)以上の数の議決権(社債、株式等の振替に関する法律(平成十三年法律第七十五号)第百四十七条第一項又は第百四十八条第一項の規定により発行者に対抗することができない株式に係る議決権を含み、取得又は保有の態様その他の事情を勘案して主務省令で定めるものを除く。以下この節において「対象議決権」という。)を取得し、又は保有してはならない。ただし、商品取引所、商品取引所持株会社、金融商品取引所(金融商品取引法第二条第十六項に規定する金融商品取引所をいい、政令で定める者に限る。以下同じ。)又は金融商品取引所持株会社(同条第十八項に規定する金融商品取引所持株会社をいい、政令で定める者に限る。以下同じ。)が取得し、又は保有する場合は、この限りでない。
Article 86 (1) No person may acquire or possess voting rights (excluding voting rights in respect of shares that do not allow voting rights to be exercised with regard to all matters that shares that are deemed to have voting rights pursuant to the provisions of Article 879, paragraph (3) of the Companies Act; hereinafter the same applies) constituting twenty percent or more (or fifteen percent or more, if a fact has occurred that is specified by order of the competent ministry as something that is presumed to have material influence on decisions about financial and operational policies; hereinafter referred to as the "threshold holding ratio" in this Article, Subsection 3, and Article 96-40, paragraph (4)) of all shareholders' voting rights in an incorporated commodity exchange (including voting rights in respect of shares that cannot be asserted against the issuer pursuant to the provisions of Article 147, paragraph (1) or Article 148, paragraph (1) of the Act on the Book-Entry Transfer of Bonds, Shares (Act No. 75 of 2001) and excluding those specified by order of the competent ministry in consideration of the manner in which they are acquired or held and other circumstances; hereinafter referred to as "subject voting rights" in this Section); provided, however, that this does not apply to voting rights acquired or possessed by a commodity exchange, commodity exchange holding company, financial instruments exchange (meaning a financial instruments exchange as prescribed in Article 2, paragraph (16) of the Financial Instruments and Exchange Act and limited to one specified by Cabinet Order; hereinafter the same applies), or financial instruments exchange holding company (meaning a financial instruments exchange holding company as prescribed in paragraph (18) of that Article and limited to one specified by Cabinet Order; hereinafter the same applies).
2 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主務省令で定める場合において、株式会社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。
(2) If the number of subject voting rights that the person holds does not increase or in any other case specified by order of the competent ministry, the main clause of the preceding paragraph does not apply to a person acquiring or holding a number of subject voting rights in an incorporated commodity exchange which is equal to or greater than the holding limit of all shareholders' voting rights.
3 前項の場合において、株式会社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主務省令で定める事項を、遅滞なく、主務大臣に届け出なければならない。
(3) In the case referred to in the preceding paragraph, a person that comes to acquire or hold a number of subject voting rights that is greater than the threshold holding ratio of all shareholders' voting rights in an incorporated commodity exchange (hereinafter referred to as a "specified holder" in this Article) must notify the competent minister without delay that that person has become a specified holder, and of the particulars specified by order of the competent ministry.
4 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九十六条の十九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主務大臣の認可を受けたときは、この限りでない。
(4) In the case referred to in paragraph (2), a specified holder must take the necessary measures to become the holder of a number of subject voting rights in the incorporated commodity exchange which is less than the threshold holding ratio within three months from the day on which the person becomes a specified holder; provided, however, that this does not apply if the specified holder is a local government, etc. provided for in Article 96-19, paragraph (1) and obtains the authorization of the competent minister pursuant to the provisions of that paragraph.
5 次の各号に掲げる場合における前各項の規定の適用については、当該各号に定める対象議決権は、これを取得し、又は保有するものとみなす。
(5) With regard to application of the provisions of the preceding paragraphs to a case set forth in one of the following items, the relevant person is deemed to acquire or hold the subject voting rights specified in the relevant item:
一 金銭の信託契約その他の契約又は法律の規定に基づき、株式会社商品取引所の対象議決権を行使することができる権限又は当該議決権の行使について指図を行うことができる権限を有し、又は有することとなる場合 当該対象議決権
(i) a person has or will have the authority to exercise subject voting rights in an incorporated commodity exchange or the authority to give instructions on the exercise of such voting rights pursuant to the provisions of a money trust contract or other contract or based on the provisions of law: the subject voting rights in question;
二 株式の所有関係、親族関係その他の政令で定める特別の関係にある者が株式会社商品取引所の対象議決権を取得し、又は保有する場合 当該特別の関係にある者が取得し、又は保有する対象議決権
(ii) a person that is related to the person in question through a shareholding relationship, familial relationship, or other special relationship specified by Cabinet Order, acquires or holds subject voting rights in an incorporated commodity exchange: the subject voting rights acquired or held by the person with the special relationship to the person in question.
6 前各項の規定の適用に関し必要な事項は、政令で定める。
(6) Necessary particulars relevant to the application of the provisions of the preceding paragraphs are specified by Cabinet Order.
(対象議決権保有届出書の提出)
(Submission of Notification of Holding Subject Voting Rights)
第八十六条の二 株式会社商品取引所の総株主の議決権の百分の五を超える対象議決権の保有者(以下この項において「対象議決権保有者」という。)となつた者は、主務省令で定めるところにより、対象議決権保有割合(対象議決権保有者の保有する当該対象議決権の数を当該株式会社商品取引所の総株主の議決権の数で除して得た割合をいう。)、保有の目的その他主務省令で定める事項を記載した対象議決権保有届出書を、遅滞なく、主務大臣に提出しなければならない。
Article 86-2 (1) A person that becomes the holder of subject voting rights exceeding five percent of all shareholders' voting rights in an Incorporated commodity exchange (hereinafter referred to as a "holder of subject voting rights" in this paragraph) must submit a notification of holding subject voting rights to the competent minister, pursuant to the provisions of order of the competent ministry and without delay, in which the holder states the subject voting rights holding rate (meaning the rate arrived at by dividing the number of subject voting rights held by the holder of subject voting rights by the number representing all shareholders' voting rights in the incorporated commodity exchange), the purpose of the holding, and other particulars specified by order of the competent ministry.
2 前条第五項の規定は、前項の規定を適用する場合について準用する。
(2) The provisions of paragraph (5) of the preceding Article apply mutatis mutandis when the provisions of the preceding paragraph are applicable.
(対象議決権保有届出書の提出者に対する報告徴収及び立入検査)
(Collection of Reports and On-site Inspections of a Person Submitting a Notification of Holding Subject Voting Rights)
第八十六条の三 主務大臣は、この法律の施行のため必要があると認めるときは、前条第一項の対象議決権保有届出書の提出者に対し、その業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ、又はその職員に、その者の事務所若しくは営業所に立ち入り、帳簿、書類その他の物件の検査(当該対象議決権保有届出書の記載に関し必要な検査に限る。)をさせることができる。
Article 86-3 (1) Whenever the competent minister finds it to be necessary for the enforcement of this Act, the minister may order the person submitting a notification of holding subject voting rights pursuant to the provisions of paragraph (1) of the preceding Article to submit reports or materials that should serve as a reference with respect to its business or assets, and may have ministry officials enter that person's office or business office to inspect that person's books and documents or any other article (but only as is necessary in connection with the statements contained in the notification of holding subject voting rights).
2 前項の規定により立入検査をする職員は、その身分を示す証明書を携帯し、関係人にこれを提示しなければならない。
(2) An official conducting an inspection pursuant to the provisions of the preceding paragraph must carry identification and present it to the persons concerned.
3 第一項の規定による立入検査の権限は、犯罪捜査のために認められたものと解釈してはならない。
(3) The authority for an on-site inspection under paragraph (1) must not be interpreted as having been accorded for the purpose of a criminal investigation.
(発行済株式の総数等の縦覧)
(Public Inspection of the Total Number of Issued Shares)
第八十七条 株式会社商品取引所は、主務省令で定めるところにより、その発行済株式の総数、総株主の議決権の数その他の主務省令で定める事項を、公衆の縦覧に供しなければならない。
Article 87 A incorporated commodity exchange must make available for public inspection its total number of issued shares, the number that represents all shareholders' voting rights, and other particulars specified by order of the competent ministry, pursuant to the provisions of order of the competent ministry.
(資本金の減少の認可等)
(Approval for a Reduction of Stated Capital)
第八十八条 株式会社商品取引所は、その資本金の額を減少しようとするときは、主務省令で定めるところにより、主務大臣の認可を受けなければならない。
Article 88 (1) If an incorporated commodity exchange seeks to reduce its stated capital, it must obtain the authorization of the competent minister to do so, pursuant to the provisions of order of the competent ministry.
2 株式会社商品取引所は、その資本金の額を増加しようとするときは、主務省令で定めるところにより、主務大臣に届け出なければならない。
(2) If an incorporated commodity exchange seeks to increase its stated capital, it must notify the competent minister pursuant to order of the competent ministry.
(仮取締役、仮監査役等)
(Provisional Directors and Provisional Auditors)
第八十九条 主務大臣は、株式会社商品取引所の取締役、代表取締役、執行役、代表執行役又は監査役の職務を行う者がない場合において、必要があると認めるときは、仮取締役、仮代表取締役、仮執行役、仮代表執行役又は仮監査役を選任することができる。
Article 89 (1) The competent minister may appoint a provisional director, provisional representative director, provisional executive officer, provisional representative executive officer, or provisional corporate auditor if there is no one to perform the duties of director, representative director, executive officer, representative executive officer, or auditor at an incorporated commodity exchange and if the minister finds it to be necessary to do so.
2 会社法第三百四十六条第二項及び第三項、第三百五十一条第二項及び第三項並びに第四百一条第三項及び第四項(同法第四百三条第三項及び第四百二十条第三項において準用する場合を含む。)の規定は、株式会社商品取引所には、適用しない。
(2) The provisions of Article 346, paragraphs (2) and (3) of the Companies Act and of Article 351, paragraphs (2) and (3); and Article 401, paragraphs (3) and (4) of that Act (including as applied mutatis mutandis pursuant to Article 403, paragraph (3) and Article 420, paragraph (3) of the Companies Act) do not apply to an incorporated commodity exchange.
(主務大臣の嘱託登記)
(Registration by Request of the Competent Minister)
第九十条 主務大臣は、前条第一項の規定により、仮取締役、仮代表取締役、仮執行役、仮代表執行役又は仮監査役を選任したときは、当該株式会社商品取引所の本店の所在地の登記所にその旨の登記を嘱託しなければならない。
Article 90 (1) If the competent minister appoints a provisional director, provisional representative director, provisional executive officer, provisional representative executive officer, or provisional auditor pursuant to the provisions of paragraph (1) of the preceding Article, the minister must commission the registry office for the location of the head office of the incorporated commodity exchange to register this.
2 前項の規定により主務大臣が登記を嘱託するときは、嘱託書に、当該登記の原因となる事由に係る処分を行つたことを証する書面を添付しなければならない。
(2) If the competent minister commissions a registration pursuant to the provisions of the preceding paragraph, the commission form must be accompanied by a document certifying that the minister has reached a disposition in connection with the circumstances causing the registration.
(役員等の兼職禁止)
(Prohibition on the Concurrent Holding of Positions by Officers)
第九十一条 株式会社商品取引所の役員は、他の商品取引所の役員の地位を占めてはならない。
Article 91 (1) An officer of an incorporated commodity exchange must not hold the position of officer at another commodity exchange.
2 前項の規定は、株式会社商品取引所の清算人について準用する。
(2) The provisions of the preceding paragraph apply mutatis mutandis to the liquidators of an incorporated commodity exchange.
(役員の欠格条件)
(Conditions for Ineligibility as an Officer)
第九十二条 第四十九条の規定は、株式会社商品取引所の役員について準用する。
Article 92 The provisions of Article 49 apply mutatis mutandis to officers of an incorporated commodity exchange.
(業務規程等の備置き及び閲覧等)
(The Keeping and Inspection of Operational Rules)
第九十三条 株式会社商品取引所は、業務規程を株式会社商品取引所の各営業所に、取引参加者名簿を本店に備え置かなければならない。
Article 93 (1) An incorporated commodity exchange must keep its operational rules at each of its business offices, and must keep a trading participant register at its head office.
2 取引参加者名簿には、各取引参加者について次に掲げる事項を記載し、又は記録しなければならない。
(2) The following particulars of each trading participant must be stated or recorded in a trading participant register:
一 氏名又は商号若しくは名称及び住所
(i) name or trade name and address;
二 取引資格取得年月日
(ii) date of acquiring a trading qualification;
三 取引をする商品市場における上場商品又は上場商品指数
(iii) the listed commodity or listed commodity index on the commodity market on which the trading participant trades;
四 商品先物取引業者であるときは、許可年月日
(iv) if it is a commodity derivative broker, the date it was granted a license.
3 第五十七条第四項及び第五項の規定は、第一項の規定により備え置く業務規程及び取引参加者名簿について準用する。この場合において、同条第四項中「会員及び会員商品取引所の債権者」とあるのは「株式会社商品取引所の株主、取引参加者及び債権者」と、「会員商品取引所の事業時間内」とあるのは「株式会社商品取引所の営業時間内」と、同項ただし書中「会員商品取引所の定めた」とあるのは「株式会社商品取引所の定めた」と、同条第五項中「会員商品取引所」とあるのは「株式会社商品取引所」と読み替えるものとする。
(3) The provisions of Article 57, paragraphs (4) and (5) apply mutatis mutandis to the operational rules and trading participant register that are kept pursuant to the provisions of paragraph (1). In this case, the phrase "The member or creditor of a member commodity exchange" in paragraph (4) of that Article is deemed to be replaced with "The shareholder, trading participant, or creditor of an incorporated commodity exchange"; the phrase "during the business hours of the member commodity exchange" in the same paragraph is deemed to be replaced with "during the business hours of the incorporated commodity exchange"; the phrase "decided by the member commodity exchange" in the proviso to the same paragraph is deemed to be replaced with "decided by the incorporated commodity exchange"; and the term "member commodity exchange" in paragraph (5) of that Article is deemed to be replaced with "incorporated commodity exchange".
4 株式会社商品取引所の取引参加者は、株式会社商品取引所の定款について会社法第三十一条第二項各号に掲げる請求をすることができる。ただし、同項第二号又は第四号に掲げる請求をするには、当該株式会社商品取引所の定めた費用を支払わなければならない。
(4) A trading participant of a incorporated commodity exchange may make the requests set forth in the items of Article 31, paragraph (2) of the Companies Act with regard to the articles of incorporation of an incorporated commodity exchange; provided, however, that in making the request set forth in item (ii) or (iv), the trading participant must pay the cost stipulated by the incorporated commodity exchange.
(許可の失効)
(License Expiration)
第九十四条 株式会社商品取引所が次の各号のいずれかに該当するときは、第七十八条の許可は、効力を失う。
Article 94 (1) If an incorporated commodity exchange falls under one of the following items, the license under Article 78 ceases to be valid:
一 業務規程で定めた株式会社商品取引所としての存続期間の満了
(i) its term of existence as an incorporated commodity exchange as specified by its operational rules expires;
二 分割により事業の全部を承継させ、又は事業の全部を譲渡したとき。
(ii) the incorporated commodity exchange transfers all of its business through a split or a business transfer;
三 取引参加者の数がすべての商品市場について十人以下となつたとき。
(iii) the number of trading participants on all of its commodity markets falls to 10 or below;
四 解散したとき。
(iv) the incorporated commodity exchange is dissolved;
五 設立、合併(当該合併により設立される者が株式会社商品取引所であるものに限る。)又は新設分割(当該新設分割により設立される者が株式会社商品取引所であるものに限る。)を無効とする判決が確定したとき。
(v) a judgment invalidating its establishment, merger (but only if the entity established in the merger is an incorporated commodity exchange), or incorporation-type company split (but only if the entity established in the incorporation-type company split is an incorporated commodity exchange) has become final and binding.
2 前項第二号、第三号又は第五号の規定により許可が失効したときは、その代表者又は代表者であつた者は、遅滞なく、その旨を主務大臣に届け出なければならない。
(2) If the license of an incorporated commodity exchange expires pursuant to the provisions of item (ii), (iii), or (v) of the preceding paragraph, the person that is or was its representative must notify the competent minister of this without delay.
(一部の商品市場の閉鎖)
(Partial Closure of Commodity Markets)
第九十五条 株式会社商品取引所は、その開設する商品市場において取引をする取引参加者の数が十人以下となつたときは、前条第一項第三号に該当する場合を除くほか、当該商品市場における取引を停止し、第百五十六条第一項の規定による業務規程の変更の認可の申請をしなければならない。
Article 95 If the number of trading participants effecting transactions on a commodity market that an incorporated commodity exchange operates falls to 10 or below, the incorporated commodity exchange must suspend the transactions on that commodity market and apply for the authorization to amend its operational rules under Article 156, paragraph (1), unless it is a case that falls under paragraph (1), item (iii) of the preceding Article.
(株式会社商品取引所の合併の認可等)
(Approval for a Merger of an Incorporated Commodity Exchange)
第九十六条 次に掲げる事項は、主務大臣の認可を受けなければ、その効力を生じない。
Article 96 (1) The following matters do not come into effect without the authorization of the competent minister:
一 株式会社商品取引所の解散についての株主総会の決議
(i) a shareholders resolution to dissolve an incorporated commodity exchange;
二 株式会社商品取引所を全部又は一部の当事者とする合併(第百四十五条第一項の合併を除く。)
(ii) a merger in which incorporated commodity exchanges constitute all or some of the parties (excluding a merger as provided in Article 145, paragraph (1)).
2 株式会社商品取引所が前項に掲げる事由以外の事由により解散したときは、その代表者であつた者は、遅滞なく、その旨を主務大臣に届け出なければならない。ただし、主務省令で定める場合は、この限りでない。
(2) If a incorporated commodity exchange is dissolved for a reason other than one of those set forth in the preceding paragraph, the person that was its representative must notify the competent minister of this without delay; provided, however, that this does not apply to cases specified by Order of the competent ministry.
第二款 自主規制委員会
Subsection 2 Self-Regulatory Committees
(権限等)
(Authority)
第九十六条の二 株式会社商品取引所は、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。
Article 96-2 (1) An incorporated commodity exchange may set in place a self-regulatory committee pursuant to the provisions of its articles of incorporation.
2 自主規制委員会は、当該自主規制委員会を設置する株式会社商品取引所(以下この款において「特定株式会社商品取引所」という。)の自主規制業務(第五条の二第二項に規定する自主規制業務をいう。以下この款において同じ。)に関する事項の決定を行う。
(2) A self-regulatory committee makes the decisions about matters related to the self-regulatory services (meaning self-regulatory services as prescribed in Article 5-2, paragraph (2); hereinafter the same applies in this subsection) of the incorporated commodity exchange that has in place that self-regulatory committee (hereinafter referred to as a "specified incorporated commodity exchange" in this subsection).
3 自主規制委員会は、自主規制業務に関する事項の決定について、取締役会から委任を受けたものとみなす。
(3) A self-regulatory committee is deemed to be entrusted by the board of directors with decisions about matters related to self-regulatory services.
4 特定株式会社商品取引所の自主規制委員会は、自主規制業務に関する事項の決定について、執行役又は取締役に委任することができない。
(4) The self-regulatory committee of a specified incorporated commodity exchange is not permitted to entrust executive officers or directors with a decisions about a matter related to self-regulatory services.
5 特定株式会社商品取引所の取締役会は、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、次条第二項に規定する自主規制委員の選定及び第九十六条の五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。
(5) Notwithstanding the provisions of Article 362, paragraph (4) of the Companies Act and of Article 416, paragraph (4) of that Act, the board of directors of a specified incorporated commodity exchange is not permitted to entrust executive officers or directors with decisions about matters related to the appointment of members of the self-regulatory committee as prescribed in paragraph (2) of the following Article or about removal of the members of the self-regulatory committee as prescribed in Article 96-5, paragraph (1).
(組織)
(Organization)
第九十六条の三 自主規制委員会は、自主規制委員三人以上で組織し、その過半数は、社外取締役でなければならない。
Article 96-3 (1) A self-regulatory committee must be composed of three or more members of the committee, and the majority of those members must be outside directors.
2 自主規制委員は、特定株式会社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。
(2) Members of a self-regulatory committee are selected from among the directors of a specified incorporated commodity exchange and appointed by resolution of the board of directors.
3 前項の決議は、議決に加わることができる取締役の過半数(これを上回る割合を定款で定めた場合にあつては、その割合以上)が出席し、その過半数(これを上回る割合を定款で定めた場合にあつては、その割合以上)で、かつ、出席した社外取締役の過半数をもつて行う。
(3) The resolution prescribed in the preceding paragraph is adopted by a majority (or, if a higher proportion is provided for in the articles of incorporation, at least such a proportion) of the attending directors and by a majority of the attending outside directors, at a meeting where the majority (or, if a higher proportion is provided for in the articles of incorporation, at least such a proportion) of the directors that are entitled to participate in the vote are present.
4 自主規制委員会に自主規制委員長を置き、自主規制委員の互選によつて社外取締役のうちからこれを定める。
(4) A self-regulatory committee has a chairperson, and this chairperson is designated from among the outside directors based on a vote among the members of the self-regulatory committee.
5 自主規制委員長は、自主規制委員会の会務を総理する。
(5) The chairperson of a self-regulatory committee presides over the affairs of the self-regulatory committee.
6 自主規制委員会は、あらかじめ、自主規制委員のうちから、自主規制委員長に事故がある場合に当該自主規制委員長の職務を代理する者を定めておかなければならない。
(6) A self-regulatory committee must designate a person from among the members of the self-regulatory committee to act as a proxy in handling the duties of the chairperson of the self-regulatory committee in the event that the chairperson is unable to attend to them, in advance.
(任期)
(Term of Office)
第九十六条の四 自主規制委員の任期は、選定後一年以内に終了する事業年度のうち最終のものに関する定時株主総会の終結の時までとする。
Article 96-4 (1) The term of office of the members of a self-regulatory committee continues until the conclusion of the annual shareholders meeting for the last business year that ends within one year from the time of the member's selection.
2 自主規制委員は、四回に限り再選されることができる。
(2) The members of a self-regulatory committee may be reselected a maximum of four times.
(解職等)
(Removal from Positions)
第九十六条の五 自主規制委員は、特定株式会社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。
Article 96-5 (1) Members of a self-regulatory committee may be removed by a resolution of the board of directors of the specified incorporated commodity exchange.
2 前項の決議は、議決に加わることができる取締役の過半数(これを上回る割合を定款で定めた場合にあつては、その割合以上)が出席し、その過半数(これを上回る割合を定款で定めた場合にあつては、その割合以上)で、かつ、出席した自主規制委員の過半数をもつて行う。
(2) The resolution referred to in the preceding paragraph is adopted by a majority (or, if a higher proportion is provided for in the articles of incorporation, at least such a proportion) of the attending directors and by a majority of the attending members of the self-regulatory committee, at a meeting where the majority (or, if a higher proportion is provided for in the articles of incorporation, at least such a proportion) of the directors that are entitled to participate in the vote are present.
3 第九十六条の三第一項に規定する自主規制委員の員数が欠けた場合には、任期の満了又は辞任により退任した自主規制委員は、新たに選定された自主規制委員(次項の一時自主規制委員の職務を行う者を含む。)が就任するまで、なお自主規制委員としての権利義務を有する。
(3) If there is a vacancy that results in a shortfall in the number of members of a self-regulatory committee provided for in Article 96-3, paragraph (1), a member of the self-regulatory committee that has left the position due to the expiration of the term of office or because the member resigned continues to have rights and obligations as a member of the self-regulatory committee until a newly selected self-regulatory committee member (including a person as referred to in the following paragraph that will temporarily perform the duties of a member of the self-regulatory committee) assumes that position.
4 前項に規定する場合において、裁判所は、必要があると認めるときは、利害関係人の申立てにより、一時自主規制委員の職務を行う者を選任することができる。
(4) In the case prescribed in the preceding paragraph, if the court finds it to be necessary, it may appoint a person to temporarily perform the duties of a member of the self-regulatory committee, at the petition of an interested party.
5 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。
(5) If the court appoints a person to temporarily perform the duties of a member of the self-regulatory committee as referred to in the preceding paragraph, it may set the amount of the remuneration that the specified incorporated commodity exchange is to pay that person.
6 会社法第八百六十八条第一項、第八百七十条第一項(第一号に係る部分に限る。)、第八百七十一条、第八百七十二条(第四号に係る部分に限る。)、第八百七十四条(第一号に係る部分に限る。)、第八百七十五条及び第八百七十六条の規定は、第四項の申立てがあつた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。
(6) The provisions of Article 868, paragraph (1) of the Companies Act and of Article 870, paragraph (1) (limited to the part that involves item (i)), Article 871, Article 872 (limited to the part that involves item (iv)), Article 874 (limited to the part that involves item (i)), Article 875, and Article 876 of that Act apply mutatis mutandis if the petition referred to in paragraph (4) is filed. The necessary technical replacement of terms for such a case is specified by Cabinet Order.
(取締役の選任及び解任)
(Election and Dismissal of Directors)
第九十六条の六 第九十六条の三第三項の規定は、監査役会設置会社である特定株式会社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。
Article 96-6 The provisions of Article 96-3, paragraph (3) apply mutatis mutandis when a specified incorporated commodity exchange which is a company with a board of auditors reaches a decision on the contents of a proposal regarding the appointment or dismissal of a director which is to be submitted to the shareholders.
(緊急の場合の取扱い)
(Handling of Emergency Cases)
第九十六条の七 第九十六条の二第二項及び第三項の規定にかかわらず、特定株式会社商品取引所の代表取締役又は代表執行役は、公益又は委託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、会員等に対する処分その他の主務省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。
Article 96-7 (1) Notwithstanding the provisions of Article 96-2, paragraph (2) and paragraph (3), if the representative director or representative executive officer of a specified incorporated commodity exchange finds it to be particularly necessary for ensuring the public interest or the protection of consignors, and there is an urgent necessity in light of the circumstances, the representative director or representative executive officer may reach a disposition against a member, etc. or reach a decision on any other matter prescribed by order of the competent ministry in connection with self-regulatory services.
2 前項の規定により特定株式会社商品取引所が会員等に対する処分その他の主務省令で定める自主規制業務に関する事項の決定をした場合には、当該株式会社商品取引所の代表取締役又は代表執行役は、自主規制委員会に対し、速やかに、その旨を報告しなければならない。
(2) If a specified incorporated commodity exchange reaches a disposition against a member, etc. or reaches a decision on any other matter prescribed by order of the competent ministry in connection with self-regulatory services pursuant to the provisions of the preceding paragraph, the representative director or the representative executive officer of the specified incorporated commodity exchange must promptly report this to the self-regulatory committee.
(執行役又は取締役の行為の差止め)
(Enjoinment of Acts of an Executive Officer or Director)
第九十六条の八 自主規制委員は、特定株式会社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。
Article 96-8 (1) If the executive officer or director of a specified incorporated commodity exchange acts, or is likely to act, in way that violates a decision of the self-regulatory committee with regard to self-regulatory services, and if that act is likely to substantially compromise the appropriate operation of self-regulatory services, a member of the self-regulatory committee may demand the executive officer or director to cease engaging in such act.
2 前項の場合において、裁判所が仮処分をもつて同項の執行役又は取締役に対し、その行為をやめることを命ずるときは、担保を立てさせないものとする。
(2) In the case referred to in the preceding paragraph, if the court issues a provisional disposition ordering the executive officer or director referred to in that paragraph to cease engaging in that act, the court is not to make the executive officer or director provide collateral.
(業務規程等の変更の取扱い)
(Treatment of a Change in Operational Rules)
第九十六条の九 特定株式会社商品取引所は、当該株式会社商品取引所の業務規程その他の規則に定める事項のうち自主規制業務に関連するものとして主務省令で定めるものの変更又は廃止をしようとするときは、自主規制委員会の同意を得なければならない。
Article 96-9 A specified incorporated commodity exchange must obtain the consent of the self-regulatory committee if it seeks to change or discontinue a particular prescribed in the operational rules or other rules of the specified incorporated commodity exchange, and that is specified by order of the competent ministry as being related to self-regulatory services.
(招集権者)
(Convener)
第九十六条の十 自主規制委員会は、第九十六条の三第四項に規定する自主規制委員長(自主規制委員長に事故があるときは、同条第六項に規定する自主規制委員長の職務を代理する者。次条及び第九十六条の十二第一項において同じ。)が招集する。
Article 96-10 A self-regulatory committee is convened by the chairperson of the committee prescribed in Article 96-3, paragraph (4) (or by the person that acts as a proxy in handling the duties of the chairperson of the self-regulatory committee as prescribed in Article 96-3, paragraph (6), if the chairperson of the self-regulatory committee is unable to attend to those duties; hereinafter the same applies in the following Article and Article 96-12, paragraph (1)).
(招集請求)
(Demanding the Calling of a Meeting)
第九十六条の十一 自主規制委員は、自主規制委員長に対し、自主規制委員会の目的である事項及び招集の理由を示して、自主規制委員会の招集を請求することができる。
Article 96-11 A member of a self-regulatory committee may call a meeting of the self-regulatory committee by specifying the purpose of a self-regulatory committee meeting and showing grounds for calling one.
(招集手続)
(Procedures for Calling Meetings)
第九十六条の十二 自主規制委員会を招集するには、自主規制委員長は、自主規制委員会の日の一週間(これを下回る期間を自主規制委員会で定めた場合にあつては、その期間)前までに、各自主規制委員に対してその通知を発しなければならない。
Article 96-12 (1) To call a meeting of the self-regulatory committee, the chairperson of the self-regulatory committee must dispatch a notice of the meeting to each member of the self-regulatory committee, no later than one week prior to the day of the self-regulatory committee meeting (or, if a shorter period of time has been specified by the self-regulatory committee, such a period).
2 前項の規定にかかわらず、自主規制委員会は、自主規制委員の全員の同意があるときは、招集の手続を経ることなく開催することができる。
(2) Notwithstanding the provisions of the preceding paragraph, with the consent of all members of the self-regulatory committee, a meeting of the self-regulatory committee may be held without the procedures for calling meetings being followed.
3 特定株式会社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。
(3) If the executive officer, director, accounting advisor, or accounting auditor of a specified incorporated commodity exchange is so requested by the self-regulatory committee, the officer, director, accounting advisor, or accounting auditor must attend a meeting of the self-regulatory committee and provide explanations on matters regarding which the self-regulatory committee requests an explanation.
(決議)
(Resolutions)
第九十六条の十三 自主規制委員会の決議は、議決に加わることができる自主規制委員の過半数が出席し、その過半数で、かつ、出席した社外取締役である自主規制委員の過半数をもつて行う。
Article 96-13 (1) A self-regulatory committee resolution is adopted by a majority of the attending members of the self-regulatory committee and by a majority of the attending members of the self-regulatory committee that are outside directors, at a meeting where the majority of the members of the self-regulatory committee that are entitled to participate in the vote are present.
2 前項の決議について特別の利害関係を有する自主規制委員は、議決に加わることができない。
(2) A member of the self-regulatory committee with a special interest in the resolution prescribed in the preceding paragraph may not participate in the vote.
3 自主規制委員会の議事については、主務省令で定めるところにより、議事録を作成し、議事録が書面をもつて作成されているときは、出席した自主規制委員は、これに署名し、又は記名押印しなければならない。
(3) The minutes of a self-regulatory committee meeting must be prepared pursuant to the provisions of order of the competent ministry, and if the minutes are prepared in writing, the members of the self-regulatory committee present at the meeting must sign them or have their names and seals affixed to them.
4 自主規制委員会が選定する自主規制委員は、第一項の規定による決議後、遅滞なく、当該決議の内容を取締役会に報告しなければならない。
(4) Without delay following a resolution under paragraph (1), the member of the self-regulatory committee that the self-regulatory committee selects must report the content of the resolution to the board of directors.
5 第三項の議事録は、電磁的記録をもつて作成することができる。この場合において、当該電磁的記録に記録された事項については、主務省令で定める署名又は記名押印に代わる措置をとらなければならない。
(5) The minutes referred to in paragraph (3) may be prepared as electronic or magnetic records. In such a case, the relevant persons must use the measures in lieu of signing or having their names and seals affixed which are prescribed by order of the competent ministry, for the particulars that are recorded in the electronic or magnetic records.
6 前各項に定めるもののほか、議事の手続その他自主規制委員会の運営に関し必要な事項は、自主規制委員会が定める。
(6) Beyond what is provided in the preceding paragraphs, meeting proceedings necessary particulars otherwise relevant to the operation of the self-regulatory committee are specified by the self-regulatory committee.
(議事録)
(Minutes)
第九十六条の十四 特定株式会社商品取引所は、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。
Article 96-14 (1) A specified incorporated commodity exchange must keep the minutes set forth in paragraph (3) of the preceding Article at its head office for a ten-year period beginning from the day of the self-regulatory committee meeting.
2 当該株式会社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。
(2) The directors of the relevant incorporated commodity exchange may inspect or copy the following:
一 前項の議事録が書面をもつて作成されているときは、当該書面
(i) if the minutes referred to in the preceding paragraph are prepared in writing, the relevant written documents;
二 前項の議事録が電磁的記録をもつて作成されているときは、当該電磁的記録に記録された事項を主務省令で定める方法により表示したもの
(ii) if the minutes referred to in the preceding paragraph are prepared as electronic or magnetic records, something that shows the particulars that have been recorded in such electronic or magnetic records, through a means prescribed by order of the competent ministry.
3 当該株式会社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。
(3) If it is necessary in order for the shareholder of an incorporated commodity exchange to exercise its rights, with the permission of the court, the shareholder may make request to inspect or copy the things set forth in the items of the preceding paragraph as respects the minutes referred to in paragraph (1).
4 前項の規定は、当該株式会社商品取引所の債権者が自主規制委員の責任を追及するため必要があるとき及び当該株式会社商品取引所を子会社とする者の株主又は会員がその権利を行使するため必要があるときについて準用する。
(4) The provisions of the preceding paragraph apply mutatis mutandis if it is necessary in order for the creditor of an incorporated commodity exchange to inquire into the liability of the members of the self-regulatory committee, or if it is necessary in order for the shareholder or member of a person that has the incorporated commodity exchange as its subsidiary company to exercise their voting rights.
5 裁判所は、第三項(前項において準用する場合を含む。以下この条において同じ。)の請求に係る閲覧又は謄写をすることにより、当該株式会社商品取引所、当該株式会社商品取引所を子会社とする者又は当該株式会社商品取引所の子会社に著しい損害を及ぼすおそれがあると認めるときは、第三項の許可をすることができない。
(5) The court may not give the permission referred to paragraph (3) (including as applied mutatis mutandis pursuant to the provisions of the preceding paragraph; hereinafter the same applies in this Article) if the court finds that inspection or copying to which the request referred to in that paragraph pertains is likely to cause substantial detriment to the incorporated commodity exchange, to a person that has the incorporated commodity exchange as its subsidiary company, or to a subsidiary company of the incorporated commodity exchange.
6 会社法第八百六十八条第一項、第八百六十九条、第八百七十条第二項(第一号に係る部分に限る。)、第八百七十条の二、第八百七十一条本文、第八百七十二条(第五号に係る部分に限る。)、第八百七十二条の二、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、第三項の許可について準用する。この場合において、必要な技術的読替えは、政令で定める。
(6) The provisions of Article 868, paragraph (1) of the Companies Act and of Article 869; Article 870, paragraph (2) (limited to the part that involves Article 870-2, item (i)); the main clause of Article 871; Article 872 (limited to the part that involves Article 872-2, item (iv)); the main clause of Article 873; Article 875; and Article 876 of that Act apply mutatis mutandis to the permission referred to in paragraph (3). The necessary technical replacement of terms for such a case is specified by Cabinet Order.
(報告の省略)
(Omission of Reports)
第九十六条の十五 特定株式会社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。
Article 96-15 If the executive officer, director, accounting advisor, or accounting auditor of a specified incorporated commodity exchange notifies all members of the self-regulatory committee of the particulars that are required to be reported to the self-regulatory committee, it is not required that those particulars be reported to the self-regulatory committee.
(公衆縦覧)
(Public Inspection)
第九十六条の十六 特定株式会社商品取引所は、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。
Article 96-16 A specified incorporated commodity exchange must make the directory of the members of the self-regulatory committee available for public inspection.
(自主規制委員会の職務執行のための決定)
(Decisions on Execution of Duties of Self-Regulatory Committees)
第九十六条の十七 特定株式会社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主務省令で定める事項を決定しなければならない。
Article 96-17 The board of directors of a specified incorporated commodity exchange must decide on the particulars that are specified by order of the competent ministry as being necessary in order to allow a self-regulatory committee to discharge its functions.
(監査役等の出席)
(Attendance of Auditors)
第九十六条の十八 監査役会設置会社である特定株式会社商品取引所の監査役又は委員会設置会社である特定株式会社商品取引所の監査委員会により選定された監査委員は、必要があると認めるときは、特定株式会社商品取引所の自主規制委員会に出席し、意見を述べることができる。
Article 96-18 A corporate auditor of a specified incorporated commodity exchange which is a company with a board of corporate auditors, or an audit committee member appointed by the audit committee of a specified incorporated commodity exchange which is a company with committees may, if the auditor finds it to be necessary, attend the self-regulatory committee of the specified incorporated commodity exchange to state their opinions.
第三款 主要株主
Subsection 3 Major Shareholders
(認可等)
(Approval)
第九十六条の十九 地方公共団体その他の政令で定める者(以下この条、第九十六条の二十八第四項及び第九十六条の三十一において「地方公共団体等」という。)は、第八十六条第一項本文の規定にかかわらず、主務省令で定めるところにより、主務大臣の認可を受けて、株式会社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。
Article 96-19 (1) Notwithstanding the provisions of the main clause of Article 86, paragraph (1), with the authorization of the competent minister, a local government or any other person specified by Cabinet Order (hereinafter referred to as the "local government, etc." in this Article, Article 96-28, paragraph (4) and Article 96-31) may acquire or hold a number of subject voting rights that is equal to or greater than the threshold holding ratio, but no greater than 50 percent, of all shareholders' voting rights in an incorporated commodity exchange, pursuant to the provisions of order of the competent ministry.
2 前項の認可を受けた地方公共団体等は、同項及び第八十六条第一項本文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主務省令で定める場合には、株式会社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。
(2) Notwithstanding the provisions of the preceding paragraph and the main clause of Article 86, paragraph (1), if the number of subject voting rights that it holds does not increase or in any other case specified by order of the competent ministry, a local government, etc. that obtains the authorization referred to in the preceding paragraph may acquire or hold subject voting rights exceeding 50 percent of all shareholders' voting rights in an incorporated commodity exchange.
3 前項の場合において、株式会社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主務省令で定める事項を、遅滞なく、主務大臣に届け出なければならない。
(3) In the case referred to in the preceding paragraph, a local government, etc. that comes to acquire or hold subject voting rights exceeding 50 percent of all shareholders' voting rights in an incorporated commodity exchange (hereinafter referred to as a "specified holding entity, etc." in this Article) must notify the competent minister without delay that it has become a specified holding entity, etc., and of any other particulars specified by order of the competent ministry.
4 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。
(4) In the case referred to in paragraph (2), the specified holding entity, etc. must take the necessary measures to become the holder of a number of subject voting rights which constitutes 50 percent or less of all shareholders' voting rights in an incorporated commodity exchange, within three months from the day on which it becomes a specified holding entity, etc.
5 特定保有団体等は、前項の規定により株式会社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、その旨を主務大臣に届け出なければならない。
(5) When a specified holding entity, etc. becomes the holder of a number of subject voting rights which constitutes 50 percent or less of all shareholders' voting rights in an incorporated commodity exchange pursuant to the provisions of the preceding paragraph, it must notify the competent minister of this without delay.
6 第三条第二項及び第三項の規定は、第一項の認可について準用する。
(6) The provisions of Article 3, paragraph (2) and paragraph (3) apply mutatis mutandis to the authorization referred to in paragraph (1).
(認可基準)
(Criteria for Authorization)
第九十六条の二十 主務大臣は、前条第一項の認可の申請があつた場合においては、その申請が次に掲げる基準に適合するかどうかを審査しなければならない。
Article 96-20 (1) Whenever an application is filed for the authorization referred to in paragraph (1) of the preceding Article, the competent minister must examine whether the application conforms to the criteria listed in the following:
一 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。
(i) the applicant for authorization's exercise of the subject voting rights is not likely to impair the sound and appropriate operation of the business of the incorporated commodity exchange; and
二 認可申請者が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。
(ii) the applicant for authorization has a sufficient understanding of the public nature of the business of a commodity exchange.
2 主務大臣は、前項の規定により審査した結果、その申請が同項の基準に適合していると認めたときは、次の各号のいずれかに該当する場合を除いて、その認可を与えなければならない。
(2) If, as a result of having conducted an examination pursuant to the provisions of the preceding paragraph, the competent minister finds that the application conforms to the criteria in that paragraph, the minister must grant the authorization, except in a case that falls under one of the following items:
一 認可申請者が第十五条第二項第一号イからヲまでのいずれかに該当する者であるとき。
(i) the applicant for authorization is a person falling under one of the categories set forth in Article 15, paragraph (2), item (i) (a) through (l);
二 申請書又はこれに添付すべき書類のうちに重要な事項について虚偽の記載があるとき。
(ii) the application or a document that is required to accompany it contains a false statement about a material particular.
(報告徴収及び立入検査)
(Collection of Reports and On-site Inspections)
第九十六条の二十一 主務大臣は、この法律の施行のため必要があると認めるときは、株式会社商品取引所の主要株主(第九十六条の十九第一項の認可を受けた者をいう。以下この款において同じ。)に対し、当該株式会社商品取引所の業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ、又はその職員に、当該主要株主の事務所若しくは営業所に立ち入り、帳簿、書類その他の物件の検査(当該株式会社商品取引所の業務又は財産に関し必要な検査に限る。)をさせることができる。
Article 96-21 (1) Whenever the competent minister finds it to be necessary for the enforcement of this Act, the minister may order the major shareholder of an incorporated commodity exchange (meaning a person that has obtained the authorization referred to in Article 96-19, paragraph (1); hereinafter the same applies in this Subsection) to submit reports or materials that should serve as a reference with respect to the business or assets of the incorporated commodity exchange, and may have ministry officials enter the office or business office of such a major shareholder to inspect its books and documents or any other article (but only as is necessary in connection with the business or assets of the company-operated commodity exchange).
2 前項の規定は、株式会社商品取引所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保有する金融商品取引所及び金融商品取引所持株会社について準用する。
(2) The provisions of the preceding paragraph apply mutatis mutandis to a financial instruments exchange or financial instruments exchange holding company that holds a number of subject voting rights in an incorporated commodity exchange which is equal to or greater than the threshold holding ratio, but no greater than 50 percent.
3 第八十六条の三第二項及び第三項の規定は、第一項(前項において準用する場合を含む。)の規定による立入検査について準用する。
(3) The provisions of Article 86-3, paragraph (2) and paragraph (3) apply mutatis mutandis to an on-site inspection under paragraph (1) (including as applied mutatis mutandis pursuant to the preceding paragraph).
(監督上の処分)
(Supervisory Measures)
第九十六条の二十二 主務大臣は、株式会社商品取引所の主要株主がこの法律等に違反したとき、又は主要株主の行為が株式会社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あると認めるときは、当該主要株主に対し、第九十六条の十九第一項の認可を取り消し、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。
Article 96-22 (1) If the major shareholder of an incorporated commodity exchange violates this Act, etc., or it is found that the act of a major shareholder is likely to impair the sound and appropriate operation of the business of an incorporated commodity exchange, the competent minister may rescind its Article 96-19, paragraph (1) authorization, or may order it to otherwise take measures that are necessary from a supervisory perspective.
2 前項の規定により第九十六条の十九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。
(2) A person whose Article 96-19, paragraph (1) authorization is rescinded pursuant to the provisions of the preceding paragraph must take the necessary measures to become the holder of a number of subject voting rights in an incorporated commodity exchange which is less than the threshold holding ratio, within three months from the date that the authorization is rescinded.
3 主務大臣は、第一項の規定による処分を行おうとする場合において必要があると認めるときは、参考人の出頭を求めてその意見を聴取し、若しくは参考人にその意見若しくは報告の提出を求め、又は鑑定人に出頭を求めて鑑定をさせることができる。
(3) If the competent minister finds it to be necessary in contemplating a disposition pursuant to the provisions of paragraph (1), the minister may ask a consultant to appear so as to hear the opinion of the consultant, ask a consultant to submit an opinion or report, or ask an expert to appear and have the expert give an expert opinion.
4 第一項の規定による認可の取消しに係る聴聞の期日における審理は、公開により行わなければならない。ただし、主務大臣が当該処分の名あて人となるべき者の業務に関する秘密を保つため必要があると認めるとき、又は公益上必要があると認めるときは、この限りでない。
(4) The proceedings taking place on the date for a hearing on the rescission of authorization under paragraph (1) must be open to the public; provided, however, that this does not apply if the competent minister finds it to be necessary not to do so in order to maintain the trade secret of the person that could become subject to the disposition, or finds it to be necessary not to do so in the public interest.
5 第一項の規定は株式会社商品取引所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保有する商品取引所、商品取引所持株会社、金融商品取引所及び金融商品取引所持株会社について、第三項の規定はこの項において準用する第一項の規定による処分について準用する。
(5) The provisions of paragraph (1) apply mutatis mutandis to a commodity exchange, commodity exchange holding company, financial instruments exchange, or financial instruments exchange holding company that holds a number of subject voting rights in an incorporated commodity exchange which is equal to or greater than the threshold holding ratio, but no greater than 50 percent; and the provisions of paragraph (3) apply mutatis mutandis to the disposition under paragraph (1) as applied mutatis mutandis pursuant to this paragraph.
(認可の失効)
(Expiration of Authorization)
第九十六条の二十三 株式会社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、第九十六条の十九第一項の認可は、その効力を失う。
Article 96-23 (1) If the major shareholder of an incorporated commodity exchange comes to fall under one of the following items, the authorization referred to in Article 96-19, paragraph (1) ceases to be valid:
一 認可を受けた日から六月以内に保有基準割合以上の数の対象議決権の保有者とならなかつたとき。
(i) it fails to become the holder of a number of subject voting rights which is equal to or greater than the threshold holding ratio within six months from the date on which it obtains the authorization;
二 保有基準割合未満の数の対象議決権の保有者となつたとき。
(ii) it becomes the holder of a number of subject voting rights which is less than the threshold holding ratio;
三 商品取引所、商品取引所持株会社、金融商品取引所又は金融商品取引所持株会社となつたとき。
(iii) it becomes a commodity exchange, commodity exchange holding company, financial instruments exchange, or financial instruments exchange holding company.
2 前項の規定により認可が失効したとき(同項第三号に係る場合にあつては、金融商品取引所又は金融商品取引所持株会社となつたときに限る。)は、主要株主であつた者は、遅滞なく、その旨を主務大臣に届け出なければならない。
(2) If an authorization ceases to be valid pursuant to the provisions of the preceding paragraph (in a case under item (iii) of that paragraph, this is limited to if the major shareholder becomes a financial instruments exchange or financial instruments exchange holding company), the person that was formerly a major shareholder must notify the competent minister of this without delay.
(対象議決権に係る規定の準用)
(Application Mutatis Mutandis of Provisions on Subject Voting Rights)
第九十六条の二十四 第八十六条第五項の規定は、第九十六条の十九第一項から第五項まで、第九十六条の二十第一項、第九十六条の二十一第二項、第九十六条の二十二第二項及び第五項並びに前条第一項の規定を適用する場合について準用する。
Article 96-24 The provisions of Article 86, paragraph (5) apply mutatis mutandis when the provisions of Article 96-19, paragraphs (1) through (5); Article 96-20, paragraph (1); Article 96-21, paragraph (2); Article 96-22, paragraph (2) and paragraph (5); and paragraph (1) of the preceding Article are applicable.
第四款 商品取引所持株会社
Subsection 4 Commodity Exchange Holding Companies
(認可等)
(Approvals)
第九十六条の二十五 株式会社商品取引所を子会社としようとする者又は株式会社商品取引所を子会社とする会社の設立をしようとする者は、あらかじめ、主務大臣の認可を受けなければならない。ただし、商品取引所、金融商品取引所又は金融商品取引所持株会社が株式会社商品取引所を子会社とする場合は、この限りでない。
Article 96-25 (1) A person seeking to have an incorporated commodity exchange as its subsidiary company, or a person seeking to incorporate a company that will have an incorporated commodity exchange as its subsidiary company, must obtain the authorization of the competent minister in advance; provided, however, that this does not apply if a commodity exchange, financial instruments exchange, or financial instruments exchange holding company will have an incorporated commodity exchange as its subsidiary company.
2 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主務省令で定める場合において、株式会社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。
(2) If the number of subject voting rights that the relevant person holds does not increase or in any other case specified by order of the competent ministry, the provisions of the preceding paragraph do not apply to an incorporated commodity exchange becoming a subsidiary company.
3 前項の場合において、株式会社商品取引所を子会社とすることとなつた会社(以下この条において「特定持株会社」という。)は、特定持株会社となつた日から三月以内に、株式会社商品取引所を子会社とする会社でなくなるために必要な措置をとらなければならない。ただし、当該特定持株会社が株式会社商品取引所を子会社とする会社であることについて主務大臣の認可を受けた場合は、この限りでない。
(3) In the case referred to in the preceding paragraph, a company that comes to have an incorporated commodity exchange as its subsidiary company (hereinafter referred to in this Article as a "specified holding company" in this Article) must take the necessary measures to cease to be a company that has an incorporated commodity exchange as its subsidiary company, within three months from the day on which it becomes a specified holding company; provided, however, that this does not apply if the specified holding company obtains the authorization of the competent minister as a company that has an incorporated commodity exchange as its subsidiary company.
4 第九十六条の十九第三項及び第五項の規定は、特定持株会社について準用する。この場合において、同条第三項中「前項」とあるのは「第九十六条の二十五第二項」と、同条第五項中「前項」とあるのは「第九十六条の二十五第三項」と、「株式会社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」とあるのは「株式会社商品取引所を子会社とする会社でなくなつたとき」と読み替えるものとする。
(4) The provisions of Article 96-19, paragraph (3) and paragraph (5) apply mutatis mutandis to a specified holding company. In this case, the phrase "the preceding paragraph" in paragraph (3) of that Article is deemed to be replaced with "Article 96-25, paragraph (2)"; the phrase "the preceding paragraph" in paragraph (5) of that Article is deemed to be replaced with "Article 96-25, paragraph (3)"; and the phrase "becomes the holder of a number of subject voting rights which constitutes 50 percent or less of all shareholders' voting rights in an incorporated commodity exchange" in that paragraph is deemed to be replaced with "ceases to be a company that has an incorporated commodity exchange as its subsidiary company".
5 第三条第二項及び第三項の規定は、第一項及び第三項ただし書の認可について準用する。
(5) The provisions of Article 3, paragraph (2) and paragraph (3) apply mutatis mutandis to the authorization under paragraph (1) and the proviso to paragraph (3).
(認可の申請)
(Application for Authorization)
第九十六条の二十六 前条第一項又は第三項ただし書の認可を受けようとする者は、次に掲げる事項を記載した申請書を主務大臣に提出しなければならない。
Article 96-26 (1) A person seeking the authorization referred to in paragraph (1) or the proviso to paragraph (3) of the preceding Article must submit an application for authorization to the competent minister in which it states the following particulars:
一 商号
(i) its trade name;
二 資本金の額
(ii) the amount of stated capital;
三 本店、支店その他の営業所の所在地
(iii) the addresses of its head office, branch offices, and other business offices;
四 役員の氏名又は名称及び住所
(iv) the names and addresses of its officers.
2 前項の申請書には、定款その他主務省令で定める書類を添付しなければならない。
(2) The articles of incorporation and the documents specified by order of the competent ministry must accompany the application referred to in the preceding paragraph.
3 前項の場合において、定款が電磁的記録で作成されているときは、書面に代えて電磁的記録を添付することができる。
(3) In a case referred to in the preceding paragraph, if the articles of incorporation have been prepared in the form of an electronic or magnetic record, the electronic or magnetic records may accompany the application in lieu of paper documents.
(認可審査基準)
(Criteria for Examination for Authorization)
第九十六条の二十七 主務大臣は、前条第一項の規定による認可の申請があつた場合においては、その申請が次に掲げる基準に適合するかどうかを審査しなければならない。
Article 96-27 (1) Whenever an application is filed for the authorization referred to in paragraph (1) of the preceding Article, the competent minister must examine whether the application conforms to the following criteria:
一 認可申請者又は認可を受けて設立される会社(以下この条において「認可申請者等」という。)が専ら株式会社商品取引所又は株式会社商品取引所及び商品取引所関連会社(商品市場開設業務に附帯する業務を行う会社、商品市場開設業務に関連する業務及びこれに附帯する業務を行う会社、算定割当量に係る取引を行う市場の開設の業務及びこれに附帯する業務を行う会社、取引所金融商品市場の開設の業務及びこれに附帯する業務を行う会社又は取引所金融商品市場の開設に関連する業務及びこれに附帯する業務を行う会社をいう。第九十六条の三十六において同じ。)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。
(i) the applicant for authorization or the company to be established with that authorization (hereinafter referred to as an "applicant, etc. for authorization" in this Article) is a person whose sole purpose is to have an incorporated commodity exchange, incorporated commodity exchange, or commodity exchange-affiliated company (meaning a company engaging in business incidental to the operation of a commodity market; a company engaging in business that is connected to the business of opening a commodity market and business incidental thereto; a company engaging in the business of opening a market for trading carbon dioxide equivalent quotas and business incidental thereto; a company engaging in the business of opening a financial instruments exchange market and business incidental thereto; or a company engaging in business that is connected with the business of opening a financial instruments exchange market and business incidental thereto; the same applies in Article 96-36) as its subsidiary company or subsidiary companies;
二 認可申請者等及びその子会社となる株式会社商品取引所の収支の見込みが良好であること。
(ii) the applicant, etc. for authorization and the incorporated commodity exchange that would become its subsidiary company have good prospects in terms of income and expenditure;
三 認可申請者等がその人的構成に照らして、その子会社となる株式会社商品取引所の経営管理を的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。
(iii) in light of its personnel structure, the applicant, etc. for authorization has the knowledge and experience to manage and control the incorporated commodity exchange that would become its subsidiary company properly and reliably;
四 認可申請者が十分な社会的信用を有する者であること。
(iv) the applicant for authorization has sufficient social credibility.
2 主務大臣は、前項の規定により審査した結果、その申請が同項の基準に適合していると認めたときは、次の各号のいずれかに該当する場合を除いて、その認可を与えなければならない。
(2) If, as a result of having conducted an examination pursuant to the provisions of the preceding paragraph, the competent minister finds that the application conforms to the criteria in that paragraph, the minister must grant the authorization, except in a case that falls under one of the following items:
一 認可申請者等が株式会社(次に掲げる機関を置くものに限る。)でないとき。
(i) the applicant, etc. for authorization is not a stock company (meaning a stock company with the following organs):
イ 取締役会
(a) a board of directors;
ロ 監査役又は委員会
(b) an auditor or audit committee;
二 認可申請者がこの法律又はこの法律に相当する外国の法令の規定により罰金の刑(これに相当する外国の法令による刑を含む。)に処せられ、その執行の終わつた日又は執行を受けることがないこととなつた日から五年を経過しない者であるとき。
(ii) the applicant for authorization is a person that has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) pursuant to the provisions of this Act or pursuant to a foreign law or regulation that is equivalent to this Act, and five years have not yet passed since the day on which the person finished serving the sentence or ceased to be subject to its enforcement;
三 認可申請者が第九十六条の二十二第一項、第九十六条の三十四第一項若しくは第九十六条の四十第一項の規定により認可を取り消され、第百五十九条第一項若しくは第二項、第百八十六条第一項若しくは第二項、第二百三十五条第三項、第二百三十六条第一項若しくは第三百四十条第一項(第三百四十五条において準用する場合を含む。)の規定により許可を取り消され、若しくは第二百四十条の二十三第一項の規定により登録を取り消され、これらの取消しの日から五年を経過しない者又はこの法律に相当する外国の法令の規定により当該外国において受けている同種の認可、許可若しくは登録(当該認可、許可又は登録に類する免許その他の行政処分を含む。)を取り消され、その取消しの日から五年を経過しない者であるとき。
(iii) the applicant for authorization is a person that has had an authorization rescinded pursuant to the provisions of Article 96-22, paragraph (1); Article 96-34, paragraph (1); or Article 96-40, paragraph (1); had permission rescinded pursuant to the provisions of Article 159, paragraph (1) or paragraph (2); Article 186, paragraph (1) or paragraph (2); Article 235, paragraph (3); Article 236, paragraph (1); or Article 340, paragraph (1) (including as applied mutatis mutandis pursuant to Article 345); or had a registration rescinded pursuant to the provisions of Article 240-23, paragraph (1); and five years have not yet passed since the date of the rescission; or is a person that had obtained authorization, permission, or registration of the same kind in a foreign state, pursuant to a foreign law or regulation that is equivalent to this Act (including a license or other administrative disposition similar to the authorization, permission, or registration), but that has had the authorization, permission, or registration rescinded, and five years have not yet passed since the date of the rescission;
四 認可申請者等の役員のうちに第十五条第二項第一号イからルまでのいずれかに該当する者があるとき。
(iv) the applicant, etc. for authorization has a person falling under one of the categories in Article 15, paragraph (2), item (i) (a) through (k) as an officer; or;
五 認可申請書又はこれに添付すべき書類若しくは電磁的記録のうちに重要な事項について虚偽の記載又は記録があるとき。
(v) the application for authorization or a document or electronic or magnetic record that is required to accompany it contains a false statement or false record about a material particular.
(議決権の保有制限)
(Limitation on the Holding of Voting Rights)
第九十六条の二十八 何人も、商品取引所持株会社の総株主の議決権の百分の二十(その財務及び営業の方針の決定に対して重要な影響を与えることが推測される事実として主務省令で定める事実がある場合には、百分の十五。以下この款(第九十六条の四十第四項を除く。)において「保有基準割合」という。)以上の数の対象議決権を取得し、又は保有してはならない。ただし、商品取引所又は金融商品取引所が取得し、又は保有する場合は、この限りでない。
Article 96-28 (1) It is prohibited for any person to acquire or hold a number of subject voting rights constituting twenty percent or more (or fifteen percent or more, if a fact has occurred that is specified by order of the competent ministry as something that is presumed to have a material influence on decisions about financial and operational policies; hereinafter referred to as "threshold holding ratio" in this subsection (excluding Article 96-40, paragraph (4))) of all shareholders' voting rights in a commodity exchange holding company; provided, however, that this does not apply if a commodity exchange or a financial instruments exchange acquires or holds subject voting rights.
2 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主務省令で定める場合において、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。
(2) If the number of subject voting rights that the relevant person holds does not increase or in any other case specified by Order of the competent ministry, the provisions of the main clause of the preceding paragraph do not apply to a person acquiring or holding a number of subject voting rights in a commodity exchange holding company which is equal to or greater than the threshold holding ratio of all shareholders' voting rights.
3 前項の場合において、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主務省令で定める事項を、遅滞なく、主務大臣に届け出なければならない。
(3) In the case referred to in the preceding paragraph, a person that comes to acquire or hold a number of subject voting rights in a commodity exchange holding company that is equal to or greater than the threshold holding ratio of all shareholders' voting rights (hereinafter referred to as a "specified holder" in this Article) must notify the competent minister without delay that that person has become a specified holder, and of other particulars specified by order of the competent ministry.
4 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、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九十六条の三十一第一項の認可を受けたときは、この限りでない。
(4) In the case referred to in paragraph (2), a specified holder must take the necessary measures to become the holder of a number of subject voting rights in a commodity exchange holding company which is less than the threshold holding ratio within three months from the day on which that person becomes a specified holder; provided, however, that this does not apply if the specified holder is a local government, etc. and the local government, etc. obtains the authorization referred to in Article 96-31, paragraph (1).
5 前各項の規定の適用に関し必要な事項は、政令で定める。
(5) Necessary particulars relevant to the application of the provisions of the preceding paragraphs are specified by Cabinet Order.
(対象議決権保有届出書の提出)
(Submission of a Statement of Holding Subject Voting Rights)
第九十六条の二十九 商品取引所持株会社の総株主の議決権の百分の五を超える対象議決権の保有者(以下この条において「対象議決権保有者」という。)となつた者は、主務省令で定めるところにより、対象議決権保有割合(対象議決権保有者の保有する当該対象議決権の数を当該商品取引所持株会社の総株主の議決権の数で除して得た割合をいう。)、保有の目的その他主務省令で定める事項を記載した対象議決権保有届出書を、遅滞なく、主務大臣に提出しなければならない。
Article 96-29 A person that becomes the holder of subject voting rights exceeding five percent of all shareholders' voting rights in a commodity exchange holding company (hereinafter referred to as "holder of subject voting rights" in this Article) must submit a statement of holding subject voting rights to the competent minister, pursuant to the provisions of order of the competent ministry and without delay, in which the holder states the subject voting rights holding rate (meaning the rate arrived at by dividing the number of subject voting rights held by the holder of subject voting rights by the number representing all shareholders' voting rights in the commodity exchange holding company), the purpose of the holding, and other particulars specified by order of the competent ministry.
(対象議決権保有届出書の提出者に対する報告徴収及び立入検査)
(Collection of Reports and On-site Inspection of a Person Submitting a Statement of Holding Subject Voting Rights)
第九十六条の三十 主務大臣は、この法律の施行のため必要があると認めるときは、前条の対象議決権保有届出書の提出者に対し、その業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ、又はその職員に、その者の事務所若しくは営業所に立ち入り、帳簿、書類その他の物件の検査(当該対象議決権保有届出書の記載に関し必要な検査に限る。)をさせることができる。
Article 96-30 (1) Whenever the competent minister finds it to be necessary for the enforcement of this Act, the minister may order the person submitting a statement of holding subject voting rights pursuant to the provisions of the preceding Article to submit reports or materials that should serve as a reference with respect to its business or property, and may have ministry officials enter such a person's office or business office to inspect its books and documents or any other article (but only as is necessary in connection with the entries in the statement of holding subject voting rights).
2 第八十六条の三第二項及び第三項の規定は、前項の規定による立入検査について準用する。
(2) The provisions of Article 86-3, paragraph (2) and paragraph (3) apply mutatis mutandis to an on-site inspection as referred to in the preceding paragraph.
(主要株主に係る認可等)
(Approval as a Major Shareholder)
第九十六条の三十一 地方公共団体等は、第九十六条の二十八第一項本文の規定にかかわらず、主務省令で定めるところにより、主務大臣の認可を受けて、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。
Article 96-31 (1) Notwithstanding the provisions of the main clause of Article 96-28, paragraph (1), with the authorization of the competent minister, a local government, etc. may acquire or hold a number of subject voting rights that is equal to or greater than the threshold holding ratio, but no greater than 50 percent of all shareholders voting rights in a commodity exchange holding company, pursuant to the provisions of order of the competent ministry.
2 前項の認可を受けた地方公共団体等は、同項及び第九十六条の二十八第一項本文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主務省令で定める場合には、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。
(2) Notwithstanding the provisions of the preceding paragraph and the main clause of Article 96-28, paragraph (1), if the number of subject voting rights that it holds does not increase or in any other case specified by Order of the competent ministry, a local government, etc. that has obtained the authorization referred to in the preceding paragraph may acquire or hold subject voting rights exceeding 50 percent of all shareholders' voting rights in a commodity exchange holding company.
3 前項の場合において、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、特定保有団体等となつた日から三月以内に、商品取引所持株会社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。
(3) In the case referred to in the preceding paragraph, a local government, etc. that comes to acquire or hold subject voting rights exceeding 50 percent of all shareholders' voting rights in a commodity exchange holding company (hereinafter referred to as a "specified holding entity, etc." in this Article) must take the necessary measures to become the holder of a number of subject voting rights which constitutes 50 percent or less of all shareholders' voting rights in the commodity exchange holding company, within three months from the day on which it becomes a specified holding entity, etc.
4 第九十六条の十九第三項及び第五項の規定は、特定保有団体等について準用する。この場合において、同条第三項中「前項」とあるのは「第九十六条の三十一第二項」と、同条第五項中「前項」とあるのは「第九十六条の三十一第三項」と読み替えるものとする。
(4) The provisions of Article 96-19, paragraph (3) and paragraph (5) apply mutatis mutandis to a specified holding entity, etc. In this case, the phrase "the preceding paragraph" in paragraph (3) of that Article is deemed to be replaced with "Article 96-31, paragraph (2)" and the phrase "the preceding paragraph" in paragraph (5) of that Article is deemed to be replaced with "Article 96-31, paragraph (3)".
5 第三条第二項及び第三項の規定は、第一項の認可について準用する。
(5) The provisions of Article 3, paragraph (2) and paragraph (3) apply mutatis mutandis to the authorization referred to in paragraph (1).
(主要株主に係る認可基準)
(Criteria for Authorization as a Major Shareholder)
第九十六条の三十二 主務大臣は、前条第一項の認可の申請があつた場合においては、その申請が次に掲げる基準に適合するかどうかを審査しなければならない。
Article 96-32 (1) Whenever an application is filed for the authorization referred to in paragraph (1) of the preceding Article, the competent minister must examine whether the application conforms to the following criteria:
一 認可申請者がその対象議決権を行使することにより、商品取引所持株会社の子会社である株式会社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。
(i) the applicant for authorization's exercise of the subject voting rights is not likely to impair the sound and appropriate operation of the business of an incorporated commodity exchange that is the subsidiary company of the commodity exchange holding company; and
二 認可申請者が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。
(ii) the applicant for authorization has a sufficient understanding of the public nature of the business of a commodity exchange.
2 第九十六条の二十第二項の規定は、前条第一項の認可について準用する。この場合において、第九十六条の二十第二項中「前項」とあるのは、「第九十六条の三十二第一項」と読み替えるものとする。
(2) The provisions of Article 96-20, paragraph (2) apply mutatis mutandis to the authorization referred to in paragraph (1) of the preceding Article. In this case, the term "the preceding paragraph" in Article 96-20, paragraph (2) is deemed to be replaced with "Article 96-32, paragraph (1)".
(主要株主に対する報告徴収及び立入検査)
(Collection of Reports and On-Site Inspection of a Major Shareholder)
第九十六条の三十三 主務大臣は、この法律の施行のため必要があると認めるときは、商品取引所持株会社の主要株主(第九十六条の三十一第一項の認可を受けた者をいう。以下この款において同じ。)に対し、当該商品取引所持株会社若しくはその子会社である株式会社商品取引所の業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ、又はその職員に、当該主要株主の事務所若しくは営業所に立ち入り、帳簿、書類その他の物件の検査(当該商品取引所持株会社又はその子会社である株式会社商品取引所の業務又は財産に関し必要な検査に限る。)をさせることができる。
Article 96-33 (1) Whenever the competent minister finds it to be necessary for the enforcement of this Act, the minister may order the major shareholder of a commodity exchange holding company (meaning a person that has obtained the authorization referred to in Article 96-31, paragraph (1); hereinafter the same applies in this subsection) to submit reports or materials that should serve as a reference with respect to the business or assets of the commodity exchange holding company or an incorporated commodity exchange that is the subsidiary company of the commodity exchange holding company, and may have ministry officials enter the office or business office of such a major shareholder to inspect its books and documents or any other article (but only as is necessary in connection with the business or assets of the commodity exchange holding company or of an incorporated commodity exchange that is its subsidiary company).
2 前項の規定は、商品取引所持株会社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保有する金融商品取引所について準用する。
(2) The provisions of the preceding paragraph apply mutatis mutandis to a financial instruments exchange that holds a number of subject voting rights in a commodity exchange holding company which is equal to or greater than the threshold holding ratio, but no greater than 50 percent.
3 第八十六条の三第二項及び第三項の規定は、第一項(前項において準用する場合を含む。)の規定による立入検査について準用する。
(3) The provisions of Article 86-3, paragraph (2) and paragraph (3) apply mutatis mutandis to an on-site inspection under paragraph (1) (including as applied mutatis mutandis pursuant to the preceding paragraph).
(主要株主に対する監督上の処分)
(Supervisory Measures for Major Shareholders)
第九十六条の三十四 主務大臣は、商品取引所持株会社の主要株主がこの法律等に違反したとき、又は主要株主の行為が当該商品取引所持株会社の子会社である株式会社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あると認めるときは、当該主要株主に対し、第九十六条の三十一第一項の認可を取り消し、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。
Article 96-34 (1) If the major shareholder of a commodity exchange holding company violates this Act, etc., or if it is found that the act of a major shareholder is likely to impair the sound and appropriate operation of the business of an incorporated commodity exchange that is the subsidiary company of that commodity exchange holding company, the competent minister may rescind its Article 96-31, paragraph (1) authorization, or may order the major shareholder to otherwise take measures that are necessary from a supervisory perspective.
2 前項の規定により第九十六条の三十一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、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。
(2) A person whose Article 96-31, paragraph (1) authorization is rescinded pursuant to the provisions of the preceding paragraph must take the necessary measures to become the holder of a number of subject voting rights in a commodity exchange holding company which is less than the threshold holding ratio, within three months from the date of the rescission of that authorization.
3 第九十六条の二十二第三項の規定は第一項の規定による処分について、同条第四項の規定は第一項の規定による認可の取消しに係る聴聞について準用する。
(3) The provisions of Article 96-22, paragraph (3) apply mutatis mutandis to a disposition under paragraph (1), and the provisions of paragraph (4) of that Article apply mutatis mutandis to a hearing on the rescission of authorization under paragraph (1).
4 第一項の規定は商品取引所持株会社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保有する商品取引所及び金融商品取引所について、第九十六条の二十二第三項の規定はこの項において準用する第一項の規定による処分について準用する。
(4) The provisions of paragraph (1) apply mutatis mutandis to a commodity exchange or financial instruments exchange that holds a number of subject voting rights in a commodity exchange holding company that is equal to or greater than the threshold holding ratio, but no greater than 50 percent; and the provisions of Article 96-22, paragraph (3) apply mutatis mutandis to the disposition under paragraph (1) as applied mutatis mutandis pursuant to this paragraph.
(主要株主に係る認可の失効)
(Expiration of Authorization as a Major Shareholder)
第九十六条の三十五 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、第九十六条の三十一第一項の認可は、その効力を失う。
Article 96-35 (1) If the major shareholder of a commodity exchange holding company comes to fall under one of the following items, the authorization referred to in Article 96-31, paragraph (1) ceases to be valid:
一 認可を受けた日から六月以内に保有基準割合以上の数の対象議決権の保有者とならなかつたとき。
(i) it fails to become the holder of a number of subject voting rights which is equal to or greater than the threshold holding ratio within six months from the date of obtaining authorization;
二 保有基準割合未満の数の対象議決権の保有者となつたとき。
(ii) it becomes the holder of a number of subject voting rights that is less than the threshold holding ratio;
三 商品取引所又は金融商品取引所となつたとき。
(iii) it becomes a commodity exchange or a financial instruments exchange.
2 前項の規定により認可が失効したとき(同項第三号に係る場合にあつては、金融商品取引所となつたときに限る。)は、主要株主であつた者は、遅滞なく、その旨を主務大臣に届け出なければならない。
(2) If authorization ceases to be valid pursuant to the provisions of the preceding paragraph (in a case under item (iii) of that paragraph, this is limited to if the major shareholder becomes a financial instruments exchange), the person that was formerly the major shareholder must notify the competent minister of this without delay.
(業務の範囲)
(Scope of Business)
第九十六条の三十六 商品取引所持株会社は、子会社である株式会社商品取引所及び商品取引所関連会社の経営管理を行うこと並びにこれらに附帯する業務のほか、他の業務を行うことができない。
Article 96-36 (1) A commodity exchange holding company may not conduct any business other than the management and administration of an incorporated commodity exchange and of the commodity exchange-affiliated companies which are its subsidiary companies and other business incidental thereto.
2 商品取引所持株会社は、その業務を行うに当たつては、子会社である株式会社商品取引所の業務の公共性に対する信頼及び健全かつ適切な運営を損なうことのないよう、子会社である株式会社商品取引所又は株式会社商品取引所及び商品取引所関連会社の適切な経営管理に努めなければならない。
(2) A commodity exchange holding company, in performing its business, must endeavor to ensure appropriate business management of the incorporated commodity exchange that is its subsidiary company or of the incorporated commodity exchange and commodity exchange-affiliated companies that are its subsidiary companies, so as not to impair the confidence in the public nature of the incorporated commodity exchange that is its subsidiary company, and in its sound and appropriate operation.
(子会社の範囲)
(Scope of Subsidiary Companies)
第九十六条の三十七 商品取引所持株会社は、商品市場開設業務及びこれに附帯する業務を行う会社以外の会社を子会社としてはならない。ただし、主務省令で定めるところにより、主務大臣の認可を受けた場合は、商品市場開設業務に関連する業務及びこれに附帯する業務を行う会社、算定割当量に係る取引を行う市場の開設の業務及びこれに附帯する業務を行う会社、取引所金融商品市場の開設の業務及びこれに附帯する業務を行う会社又は取引所金融商品市場の開設に関連する業務及びこれに附帯する業務を行う会社を子会社とすることができる。
Article 96-37 (1) A commodity exchange holding company must not have a company that engages in business other than the business of opening a commodity market and business incidental thereto as its subsidiary company; provided, however, that a commodity exchange holding company that obtains the authorization of the competent minister pursuant to order of the competent ministry may have as its subsidiary company a company engaging in business that is connected with the business of opening a commodity market and business incidental thereto; a company engaging in the business of operating a market for trading carbon dioxide equivalent quotas and business incidental thereto; a company engaging in the business of opening a financial instruments exchange market and business incidental thereto; or a company engaging in business that is connected with the business of a financial instruments exchange market and business incidental thereto.
2 第三条第二項から第四項までの規定は、前項ただし書の認可について準用する。この場合において、同条第四項中「業務を行う」とあるのは「会社を子会社とする」と、「商品市場開設業務」とあるのは「商品取引所の商品市場開設業務」と読み替えるものとする。
(2) The provisions of Article 3, paragraphs (2) through (4) apply mutatis mutandis to the authorization prescribed in the proviso to the preceding paragraph. In this case, the phrase "the applicant's engagement in business to which the application pertains" in paragraph (4) of that Article is deemed to be replaced with "the applicant having the company to which the application pertains as its subsidiary company", and the phrase "business of the opening a commodity market" in that paragraph is deemed to be replaced with "business of the opening a commodity exchange of a commodity market".
(認可の取消し)
(Rescission of Authorization)
第九十六条の三十八 主務大臣は、商品取引所持株会社が第九十六条の二十五第一項又は第三項ただし書の認可を受けた当時既に第九十六条の二十七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。
Article 96-38 If a commodity exchange holding company is discovered to have fallen under one of the categories in the items of Article 96-27, paragraph (2) at the time it obtained the authorization referred to in Article 96-25, paragraph (1) or in the proviso to paragraph (3), the competent minister may rescind its authorization.
(報告徴収及び立入検査)
(Collection of Reports and On-Site Inspections)
第九十六条の三十九 主務大臣は、この法律の施行のため必要があると認めるときは、商品取引所持株会社若しくはその子会社に対し、当該商品取引所持株会社の業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ、又はその職員に、当該商品取引所持株会社若しくは当該子会社の事務所若しくは営業所に立ち入り、帳簿、書類その他の物件の検査(当該子会社にあつては、当該商品取引所持株会社の業務又は財産に関し必要な検査に限る。)をさせることができる。
Article 96-39 (1) Whenever the competent minister finds it to be necessary for the enforcement of this Act, the minister may order a commodity exchange holding company or its subsidiary company to submit reports or materials that should serve as a reference with respect to the business or assets of that commodity exchange holding company, and may have ministry officials enter the office or business office of a commodity exchange holding company or its subsidiary company to inspect its books and documents or any other article (but may only have the relevant officials inspect such a subsidiary company as is necessary in connection with the business or assets of the commodity exchange holding company).
2 第八十六条の三第二項及び第三項の規定は、前項の規定による立入検査について準用する。
(2) The provisions of Article 86-3, paragraph (2) and paragraph (3) apply mutatis mutandis to an on-site inspection under the preceding paragraph.
(監督上の処分)
(Supervisory Measures)
第九十六条の四十 主務大臣は、商品取引所持株会社がこの法律等に違反したとき、商品取引所持株会社の行為がその子会社である株式会社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あると認めるとき、又は商品取引所持株会社の子会社の行為が当該商品取引所持株会社の子会社である株式会社商品取引所の業務の健全な運営を損なうおそれがあるにもかかわらず、当該行為の是正のため必要な措置をとることを怠つたときは、当該商品取引所持株会社に対し、第九十六条の二十五第一項若しくは第三項ただし書又は第九十六条の三十七第一項ただし書の認可を取り消し、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。
Article 96-40 (1) If a commodity exchange holding company violates this Act, etc., if it is found that the act of a commodity exchange holding company is likely to impair the sound and appropriate operation of the business of an incorporated commodity exchange which is its subsidiary company, or if a commodity exchange holding company fails to take the necessary measures to correct the act of its subsidiary company despite it being likely that such an act will impair the sound operation of the business of an incorporated commodity exchange which is a subsidiary company of that commodity exchange holding company, the competent minister may rescind the commodity exchange holding company's Article 96-25, paragraph (1) authorization, the authorization referred to in the proviso to Article 96-25, paragraph (3), or the authorization referred to in the proviso to Article 96-37, paragraph (1), or may order the commodity exchange holding company to otherwise take measures that are necessary from a supervisory perspective.
2 主務大臣は、商品取引所持株会社の役員がこの法律等に違反したときは、当該商品取引所持株会社に対し、当該役員の解任を命ずることができる。
(2) If the officer of a commodity exchange holding company violates this Act, etc., the competent minister may order the commodity exchange holding company to dismiss that officer.
3 第一項の規定により第九十六条の二十五第一項又は第三項ただし書の認可を取り消された商品取引所持株会社は、速やかに、当該株式会社商品取引所を子会社とする会社でなくなるために必要な措置をとらなければならない。
(3) A commodity exchange holding company that has had the authorization referred to in Article 96-25, paragraph (1) or in the proviso of paragraph (3) of that Article rescinded pursuant to the provisions of paragraph (1) must promptly take the necessary measures for it to cease to be a company that has an incorporated commodity exchange as its subsidiary company.
4 前項の措置がとられた場合において、当該措置をとつた者がなお株式会社商品取引所の保有基準割合以上の数の対象議決権の保有者であるときは、当該株式会社商品取引所を子会社とする会社でなくなつた日を第八十六条第四項の特定保有者となつた日とみなして、同項の規定を適用する。
(4) If the measures referred to in the preceding paragraph are taken but the person that takes those measures remains the holder of a number of subject voting rights in an incorporated commodity exchange which is equal to or greater than the threshold holding ratio, the date on which that person ceases to be a company that has that incorporated commodity exchange as its subsidiary company is deemed to be the date on which it becomes a specified holder as referred to in that paragraph, and the provisions of Article 86, paragraph (4) apply.
5 第九十六条の二十二第三項の規定は第一項又は第二項の規定による処分について、同条第四項の規定は第一項又は第二項の規定による認可の取消し又は役員の解任の命令に係る聴聞について準用する。
(5) The provisions of Article 96-22, paragraph (3) apply mutatis mutandis to a disposition under paragraph (1) or paragraph (2), and the provisions of paragraph (4) of that Article apply mutatis mutandis to a hearing on the rescission of authorization or an order to dismiss an officer under paragraph (1) or paragraph (2).
(認可の失効)
(Expiration of Authorization)
第九十六条の四十一 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、第九十六条の二十五第一項又は第三項ただし書の認可は、その効力を失う。
Article 96-41 (1) If a commodity exchange holding company comes to fall under one of the following items, the authorization referred to in Article 96-25, paragraph (1) or in the proviso to paragraph (3) of that Article ceases to be valid:
一 株式会社商品取引所を子会社とする会社でなくなつたとき(当該株式会社商品取引所の議決権の保有の態様その他の事情を勘案して主務省令で定める場合を除く。)。
(i) it ceases to be a company that has an incorporated commodity exchange as its subsidiary company (excluding cases that are specified by order of the competent ministry in consideration of the manner in which the voting rights in that incorporated commodity exchange are acquired or held, or any other relevant circumstances);
二 解散したとき。
(ii) it is dissolved;
三 設立、合併(当該合併により設立される会社が商品取引所持株会社であるものに限る。)又は新設分割(当該新設分割により設立された会社が商品取引所持株会社であるものに限る。)を無効とする判決が確定したとき。
(iii) a judgment invalidating its incorporation, merger (but only if the company incorporated in the merger is a commodity exchange holding company), or incorporation-type split (but only if the company incorporated in the incorporation-type split is a commodity exchange holding company) becomes final and binding;
四 認可を受けた日から六月以内に株式会社商品取引所を子会社とする会社とならなかつたとき。
(iv) it fails to become a company that has an incorporated commodity exchange as its subsidiary company within six months from the date on which it obtains authorization.
2 前項の規定により認可が失効したときは、商品取引所持株会社であつた者は、遅滞なく、その旨を主務大臣に届け出なければならない。
(2) If an authorization ceases to be valid pursuant to the provisions of the preceding paragraph, the person that was the commodity exchange holding company must notify the competent minister of this without delay.
(対象議決権に係る規定の準用)
(Application Mutatis Mutandis of Provisions on Subject Voting Rights)
第九十六条の四十二 第八十六条第五項の規定は、第九十六条の二十五第二項、同条第四項において準用する第九十六条の十九第三項及び第五項、第九十六条の二十八第一項から第四項まで、第九十六条の二十九、第九十六条の三十一第一項から第三項まで、同条第四項において準用する第九十六条の十九第三項及び第五項、第九十六条の三十二第一項、第九十六条の三十三第二項、第九十六条の三十四第二項及び第四項、第九十六条の三十五第一項並びに第九十六条の四十第四項の規定を適用する場合について準用する。
Article 96-42 The provisions of Article 86, paragraph (5) apply mutatis mutandis when Article 96-25, paragraph (2); Article 96-19, paragraph (3) and paragraph (5) as applied mutatis mutandis pursuant to paragraph (4) of that Article; Article 96-28, paragraphs (1) through (4); Article 96-29; Article 96-31, paragraphs (1) through (3); Article 96-19, paragraph (3) and paragraph (5) as applied mutatis mutandis pursuant to paragraph (4) of that Article; Article 96-32, paragraph (1); Article 96-33, paragraph (2); Article 96-34, paragraph (2) and paragraph (4); Article 96-35, paragraph (1); and Article 96-40, paragraph (4) are applicable.
(監督上の処分等に係る規定の準用)
(Application Mutatis Mutandis of Provisions on Supervisory Measures)
第九十六条の四十三 第九十六条の三十六第二項及び第九十六条の四十第一項の規定は株式会社商品取引所を子会社とする商品取引所及び商品取引所持株会社を子会社とする商品取引所について、第九十六条の三十六第二項、第九十六条の三十九及び第九十六条の四十第一項の規定は株式会社商品取引所を子会社とする金融商品取引所及び金融商品取引所持株会社並びに商品取引所持株会社を子会社とする金融商品取引所について、第九十六条の二十二第三項の規定はこの項において準用する第九十六条の四十第一項の規定による処分について、それぞれ準用する。
Article 96-43 The provisions of Article 96-36, paragraph (2) and Article 96-40, paragraph (1) apply mutatis mutandis to a commodity exchange that has an incorporated commodity exchange as its subsidiary company or to a commodity exchange that has a commodity exchange holding company as its subsidiary company; the provisions of Article 96-36, paragraph (2), Article 96-39, and Article 96-40, paragraph (1) apply mutatis mutandis to a financial instruments exchange or financial instruments exchange holding company that has an incorporated commodity exchange as its subsidiary company or to a financial instruments exchange that has a commodity exchange holding company as its subsidiary company; and the provisions of Article 96-22, paragraph (3) apply mutatis mutandis to a disposition under Article 96-40, paragraph (1) as applied mutatis mutandis pursuant to this Article.
第四節 商品市場における取引
Section 4 Transactions on a Commodity Market
(取引資格)
(Trading Eligibility)
第九十七条 会員商品取引所の開設する商品市場における取引は、当該会員商品取引所の会員でなければすることができない。
Article 97 (1) Transactions on a commodity market operated by a member commodity exchange may only be effected by a member of that member commodity exchange.
2 株式会社商品取引所の開設する商品市場における取引は、当該商品市場における取引参加者でなければすることができない。
(2) Transactions on a commodity market operated by an incorporated commodity exchange may only be effected by a trading participant of the relevant commodity market.
3 前二項の規定は、第一項の会員又は前項の取引参加者から委託を受けて商品清算取引を行う場合には、適用しない。
(3) The provisions of the preceding two paragraphs do not apply if a person carries out a commodity clearing transaction with which the person is entrusted by the member referred to in paragraph (1) or the trading participant referred to in the preceding paragraph.
(相互決済結了取引取決めに係る取引資格)
(Trading Eligibility in Respect of an Agreement on Intermarket Linkage)
第九十八条 前条の規定にかかわらず、商品取引所は、定款(株式会社商品取引所にあつては、業務規程。次条第一項、第百条、第百一条第一項、第百九条第一項、第百十三条第一項(第百十四条において準用する場合を含む。)及び第百十四条において同じ。)で定めるところにより、当該商品取引所と相互決済結了取引取決めを締結した他の商品取引所(商品取引所に相当する外国の施設を含む。次項において同じ。)の会員等に、当該相互決済結了取引取決めに基づいて取引の決済を結了させるための取引を行う目的の範囲内において、当該商品取引所の商品市場における取引をすることができる資格を与えることができる。
Article 98 (1) Notwithstanding the provisions of the preceding Article, a commodity exchange, pursuant to the provisions of its articles of incorporation (or pursuant to the operational rules, if it is an incorporated commodity exchange; the same applies in paragraph (1) of the following Article; Article 100; Article 101, paragraph (1); Article 109, paragraph (1); Article 113, paragraph (1) (including as applied pursuant to Article 114); and Article 114), may accord the member, etc. of another commodity exchange (including a foreign facility equivalent to a commodity exchange; the same applies in the following paragraph) with which that commodity exchange has concluded an agreement on intermarket linkage, the eligibility for carrying out transactions on a commodity market of that commodity exchange, inasmuch as the objective of executing trades in order to enable the completion of settlement for transactions pursuant to that agreement on intermarket linkage is concerned.
2 前項に規定する相互決済結了取引取決めとは、当該商品取引所及び他の商品取引所が、それぞれ、他の商品取引所の会員等又は当該商品取引所の会員等に、他の商品取引所の商品市場(商品市場に相当する外国の市場を含む。以下この項において同じ。)又は当該商品取引所の商品市場において決済を結了していない取引について、当該商品取引所の商品市場又は他の商品取引所の商品市場においてその取引の決済を結了させるための取引をすることを、相互に認めるための取決めをいう。
(2) An agreement on intermarket linkage as prescribed in the preceding paragraph means an agreement under which a commodity exchange and a counterparty commodity exchange mutually recognize that the members, etc. of the counterparty commodity exchange will execute trades on the commodity market of the relevant commodity exchange in order to complete settlement for transactions for which settlement has not been completed on the commodity market (including a market in a foreign state equivalent to a commodity market; hereinafter the same applies in this paragraph) of the counterparty commodity exchange; and that the members, etc. of the relevant commodity exchange will execute trades on the commodity market of the counterparty commodity exchange in order to enable the completion of settlement for transactions for which settlement has not been completed on the commodity market of the relevant commodity exchange.
3 第一項の規定に基づき商品取引所により取引資格を与えられた者は、同項に規定する目的の範囲内において、第百一条第一項から第四項まで、第百三条、第百四条第三項及び第四項、第百八条第一項、第百十三条から第百十五条まで、第百十八条、第百五十七条、第百五十九条第一項、第百六十条第一項、第百六十五条、第百七十九条並びに第百八十八条の規定の適用については、会員等とみなす。この場合において、第百十三条第一項(第百十四条及び第百八十八条において準用する場合を含む。)中「から脱退した」とあるのは「において取引をすることができる資格を喪失した」と、第百六十条第一項及び第百六十五条中「の除名」とあるのは「の取引をすることができる資格の取消し」とする。
(3) A person accorded trading eligibility by a commodity exchange pursuant to the provisions of paragraph (1) is deemed to be a member, etc., inasmuch as the objective prescribed in that paragraph is concerned, with regard to the application of the provisions of Article 101, paragraphs (1) through (4); Article 103; Article 104, paragraphs (3) and (4); Article 108, paragraph (1); Articles 113 through 115; Article 118; Article 157; Article 159, paragraph (1); Article 160, paragraph (1); Article 165; Article 179; and Article 188. In this case, the phrase "withdraws from" in Article 113, paragraph (1) (including as applied mutatis mutandis pursuant to Article 114 and Article 188) is deemed to be replaced with "forfeits the eligibility for effecting transactions on" and the phrase "expel that member" in Article 160, paragraph (1) and Article 165 is deemed to be replaced with "rescind that member's eligibility that allow it to trade".
(会員等の純資産額)
(Amount of Net Assets of a Member)
第九十九条 商品取引所は、その定款をもつて、商品市場ごとに、主務省令で定めるところにより、当該商品市場において取引をする会員等の純資産額の最低額を定めなければならない。ただし、当該商品市場において第百五条第二号又は第三号に掲げる方法による決済を行う場合については、この限りでない。
Article 99 (1) A commodity exchange must specify, for each commodity market, the minimum amount of net assets of a member, etc. trading on that commodity market in its articles of incorporation, pursuant to the provisions of order of the competent ministry; provided, however, that this does not apply if settlement is done by the method set forth in Article 105, item (ii) or (iii) on that commodity market.
2 商品取引所は、前項の規定により会員等の純資産額の最低額を定めるときは、二以上の商品市場において、又は他の商品取引所の商品市場において取引をする会員等の純資産額の最低額が他の会員等の純資産額の最低額より多い額となるようにしなければならない。
(2) In setting the minimum amount of net assets of a member, etc. pursuant to the provisions of the preceding paragraph, a commodity exchange must specify the minimum amount of net assets of a member, etc. trading on two or more commodity markets or on the commodity market of another commodity exchange to be higher than the minimum amount of net assets of other members, etc.
3 会員等の純資産額が前二項の規定による最低額を下回ることとなつたときは、商品取引所は、遅滞なく、その者の商品市場における取引を停止し、かつ、その旨を主務大臣に報告しなければならない。
(3) If the net assets of a member, etc. fall below the minimum amount prescribed in the preceding two paragraphs, the commodity exchange must suspend that person's transactions on the commodity market and report this to the competent minister without delay.
4 前項の場合において、当該会員等の商品市場における取引の停止をした日から六月以内にその者の純資産額が第一項又は第二項の規定による最低額以上になつたときは、商品取引所は、遅滞なく、前項の規定による取引の停止を解除し、かつ、その旨を主務大臣に報告しなければならない。
(4) In the case referred to in the preceding paragraph, if the net assets of the member, etc. reach or exceed the minimum amount prescribed in paragraph (1) or (2) within six months from the day of the suspension of that person's transactions on the commodity market, the commodity exchange must cancel the suspension of transactions under the preceding paragraph and report this to the competent minister without delay.
5 第三項の場合において、会員又は取引参加者の純資産額が前項に規定する期間内に第一項又は第二項の規定による最低額以上とならなかつたときは、商品取引所は、遅滞なく、当該会員の除名又は当該取引参加者の取引資格の取消しを行わなければならない。
(5) In the case referred to in paragraph (3), if the net assets of the member or trading participant does not reach the minimum amount prescribed in paragraph (1) or (2) within the period prescribed in the preceding paragraph, the commodity exchange must expel the member or rescind the trading participant's trading eligibility without delay.
6 商品取引所は、第三項の規定によりその取引を停止したとき、又は前項の規定により会員の除名若しくは取引参加者の取引資格の取消しを行つたときは、その理由を示し、遅滞なく、その旨を本人に通知しなければならない。
(6) If a commodity exchange suspends transactions pursuant to the provisions of paragraph (3) or expels a member or rescinds a trading participant's trading eligibility pursuant to the provisions of the preceding paragraph, the commodity exchange must notify that person of this without delay, indicating the reason therefor.
7 第一項から第五項までの純資産額は、資産の合計金額から負債の合計金額を控除した額とし、主務省令で定めるところにより計算しなければならない。
(7) The amount of net assets set forth in paragraphs (1) through (5) must be arrived at by deducting the total amount of debts from the total amount of assets, and must be calculated pursuant to the provisions of order of the competent ministry.
(会員等の数)
(Number of Members)
第百条 商品取引所は、その定款をもつて、商品市場ごとに、当該商品市場において取引をする会員等の数又は委託を受けて当該商品市場において取引をする会員等の数の最高限度を設定することができる。
Article 100 For each commodity market, a commodity exchange may set an upper limit to the number of members, etc. trading on that commodity market, or the number of members, etc. that are entrusted to trade on that commodity market, by stipulating that limit in its articles of incorporation.
(信認金)
(Guarantee Funds)
第百一条 会員等は、定款で定めるところにより、商品取引所に対し、当該会員等が取引をする商品市場ごとに信認金を預託しなければならない。
Article 101 (1) A member, etc. must deposit guarantee funds with the commodity exchange for each commodity market on which the member, etc. trades, pursuant to the provisions of the articles of incorporation.
2 会員等は、前項の信認金を預託した後でなければ、商品市場において取引をしてはならない。
(2) A member, etc. must not trade on a commodity market until it has deposited the guarantee funds referred to in the preceding paragraph.
3 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。
(3) Securities (meaning national government bond certificates, local government bond certificates, bond certificates issued by a corporation pursuant to special laws, corporate bond certificates and share certificates traded on a financial instruments exchange market, and other securities specified by Cabinet Order) may be allocated for use as guarantee funds.
4 前項の有価証券の充用価格は、時価を参酌して主務省令で定めるところにより算出した価格を超えてはならない。
(4) The allocation value of the securities referred to in the preceding paragraph must not exceed the value calculated pursuant to the provisions of order of the competent ministry in consideration of the current market price.
5 商品先物取引業者である会員等に対して商品市場における取引を委託した者(次項及び第百八条第二項において「取引委託者」という。)は、その委託により生じた債権に関し、当該商品市場についての当該会員等の信認金について、他の債権者に先立つて弁済を受ける権利を有する。
(5) A person that entrusts a member, etc. that is a commodity derivative broker with transactions on a commodity market (referred to as the "entrusting party" in the following paragraph and Article 108, paragraph (2)) has the right to receive payment from the guarantee funds of the member, etc. of that commodity market for a claim arising from that entrustment, in preference over other creditors.
6 前項の優先弁済を受ける権利が互いに競合するときは、会員等でない取引委託者の有する権利は、会員等である取引委託者の有する権利に対し優先する。
(6) If rights to receive preferential payment as referred to in the preceding paragraph conflict with each other, the right of an entrusting party that is not a member, etc. takes precedence over the right of an entrusting party that is a member, etc.
7 商品取引所は、商品取引債務引受業を行うことにより取得した会員等に対する債権と当該会員等に対する信認金に係る債務を相殺してはならない。
(7) A commodity exchange must not set off a claim against a member, etc. that it acquires by performing commodity transaction debt assumption services, against its obligations to that member, etc. in connection with guarantee funds.
(業務規程)
(Operational Rules)
第百二条 商品取引所は、その業務規程において、その開設する商品市場ごとに、当該商品市場における次に掲げる事項(会員商品取引所にあつては、第一号から第三号まで及び第五号に掲げる事項を除く。)に関する細則を定めなければならない。
Article 102 (1) A commodity exchange must establish detailed regulations in respect of the following matters (excluding the matters listed in items (i) through (iii) and (v) if it is a member commodity exchange) in connection with the commodity markets it operates, for each of its commodity markets, in its operational rules:
一 取引参加者に関する事項
(i) the particulars of its trading participants;
二 信認金に関する事項
(ii) the particulars of guarantee funds;
三 取引証拠金に関する事項
(iii) the particulars of clearing margins;
四 商品市場における取引の対象とする商品たる物品、商品指数又はオプション(実物オプション及び特定スワップオプションを含む。)
(iv) the goods that constitute the commodities, commodity indices, or options (including spot options and specified swap options) underlying the transactions on the commodity market;
五 上場商品又は上場商品指数ごとの取引の種類
(v) the types of transaction for each listed commodity or listed commodity index;
六 取引の期限
(vi) expiration times in trading;
七 取引の開始及び終了
(vii) the start and end of a transaction;
八 取引の停止
(viii) the suspension of a transaction
九 取引の契約の締結及びその制限に関する事項
(ix) the particulars of the conclusion of transaction contracts and restraint thereof;
十 受渡しその他の決済の方法
(x) delivery or other means of settlement;
十一 前各号に掲げる事項のほか、取引に関し必要な事項
(xi) necessary particulars relevant to transactions, other than the particulars set forth in the preceding items.
2 前項第九号に掲げる事項については、商品取引所は相場の変動又は決済を結了していない取引の数量を制限する措置を講ずることができる旨を定めなければならない。
(2) With respect to the particulars set forth in item (ix) of the preceding paragraph, a commodity exchange must specify that it may take measures to limit fluctuations in the quotations or the volume of transactions for which settlement has not been completed.
3 株式会社商品取引所の業務規程には、第一項各号に掲げる事項のほか、株式会社商品取引所としての存続期間、商品市場の開設期限又は範囲変更期間(商品市場(第百五十六条第五項第二号に規定する期限付商品市場を除く。)における上場商品又は上場商品指数の範囲の変更(廃止又は範囲の縮小を除く。同条において同じ。)が行われる期間をいう。以下この項及び同条において同じ。)を定めたときは、その存続期間、開設期限又は範囲変更期間を記載し、又は記録するものとする。
(3) If an entity's term of existence as an incorporated commodity exchange, the operative term, or the term for a change of scope (meaning the period during which the scope of a listed commodity or a listed commodity index on a commodity market (excluding a fixed-term commodity market as prescribed in Article 156, paragraph (5), item (ii)) can be changed (excluding by discontinuation or by narrowing the scope; the same applies in Article 156); hereinafter the same applies in this paragraph and Article 156) of a commodity market has been set, the term of existence, operative term, or term for a change of scope is to be included or recorded in the operational rules of the incorporated commodity exchange, beyond the particulars set forth in one of the items of paragraph (1).
(取引証拠金)
(Clearing Margin)
第百三条 商品取引所は、商品市場における取引(第百五条第一号に掲げる方法による決済を行う商品市場における取引に限り、第二条第十項第一号ニに掲げるものを除く。以下この条において同じ。)について、主務省令で定めるところにより、次の各号に掲げる場合の区分に応じ、当該各号に定める者から、取引証拠金の預託を受けなければならない。
Article 103 (1) A commodity exchange must receive a deposit of a clearing margin from the person prescribed in the relevant of the following items for the category set forth in that item, in connection with transactions on a commodity market (limited to transactions on a commodity market for which settlement is completed by the means set forth in Article 105, item (i), and excluding transactions as set forth in Article 2, paragraph (10), item (i) (d); hereinafter the same applies in this Article) pursuant to the provisions of Order of the competent ministry:
一 会員等が自己の計算において商品市場における取引を行う場合又は会員等がその受託した商品市場における取引(次項の規定に基づき委託証拠金の預託を受けて受託したものに限る。)を行う場合 当該会員等
(i) a member, etc. effects a transaction on a commodity market on its own account, or effects a transaction on a commodity market with which it has been entrusted (limited to transactions with which it becomes entrusted after receiving a deposit of customer margin based on the provisions of the following paragraph): that member, etc.;
二 会員等がその受託した商品市場における取引(その委託の取次ぎを受託した者(以下この条において「取次者」という。)から受託したものを除く。)を行う場合(前号に掲げる場合を除く。) 当該取引の委託者(会員等に対して商品市場における取引を委託した者であつて取次者でないものをいう。次項において同じ。)
(ii) a member, etc. effects a transaction on a commodity market with which it has been entrusted (excluding a transaction with which it has been entrusted by a person that has undertaken to brokerage that entrustment (hereinafter referred to as a "brokerage" in this Article)) (other than in a case as set forth in the preceding item): the person entrusting the member, etc. with that transaction (meaning the person that entrusts the member, etc. with the transaction on the commodity market, and which is not a brokerage; the same applies in the following paragraph);
三 会員等がその受託した商品市場における取引(第三項の規定に基づき取次証拠金の預託を受けている取次者から受託したものに限る。)を行う場合(第一号に掲げる場合を除く。) 当該取次者
(iii) a member, etc. effects a transaction on a commodity market with which it has been entrusted (limited to a transaction with which it has been entrusted by a brokerage that has received a deposit of an intermediation margin based on the provisions of paragraph (3)) (other than in a case set forth in item (i)): the brokerage;
四 会員等がその受託した商品市場における取引(取次者から受託したものに限る。)を行う場合(第一号及び前号に掲げる場合を除く。) 当該取引の委託の取次ぎの委託をした者(以下この条において「取次委託者」という。)
(iv) a member, etc. effects a transaction on a commodity market with which it has been entrusted (limited a transaction with which it has been entrusted by a brokerage) (other than in a case set forth in item (i) and the preceding item): the person that requested a person to brokerage the entrustment of that transaction (hereinafter referred to as the "person requesting brokerage" in this Article).
2 会員等は、商品市場における取引の受託について、主務省令で定めるところにより、委託者又は取次者(当該取引が、次項の規定に基づく取次証拠金の預託を取次委託者から受けていない取次者から受託したものである場合にあつては、取次委託者)の承諾を得て、その者をして、当該会員等に委託証拠金を預託させることができる。
(2) In becoming entrusted with a transaction on a commodity market, a member, etc. may have the consignor or the brokerage (or the person requesting brokerage, if the transaction is one with which the member, etc. has been entrusted by a brokerage that has not received deposit of an intermediation margin based on the provisions of the following paragraph from the person requesting brokerage) deposit a customer margin with the member, etc. by gaining the consent of such person, pursuant to the provisions of order of the competent ministry.
3 取次者は、商品市場における取引の委託の取次ぎの受託について、主務省令で定めるところにより、取次委託者の承諾を得て、その者をして、当該取次者に取次証拠金を預託させることができる。
(3) In undertaking a request to brokerage the entrustment of a transaction on a commodity market, a brokerage may have the person requesting brokerage deposit an intermediation margin with the brokerage, with the consent of that person.
4 商品取引所は、主務省令で定めるところにより、第一項の規定に基づき預託を受けた取引証拠金を管理しなければならない。
(4) A commodity exchange must manage clearing margin deposited based on the provisions of paragraph (1), pursuant to the provisions of order of the competent ministry.
5 第一項の取引証拠金、第二項の委託証拠金及び第三項の取次証拠金は、第百一条第三項に規定する有価証券又は当該商品取引所若しくは他の商品取引所の開設する商品市場における取引の決済のため受渡しの目的物とすることができる当該商品市場の上場商品の保管を証する倉荷証券をもつて、これに充てることができる。
(5) The securities prescribed in Article 101, paragraph (3) or a warehouse receipt certifying retention of a listed commodity that is listed on a commodity market and that can be made the subject of delivery in order to settle a transaction on a commodity market operated by the relevant commodity exchange or by another commodity exchange may be allocated for use as the clearing margin referred to in paragraph (1), the customer margin referred to in paragraph (2), or the intermediation margin referred to in paragraph (3).
6 第百一条第四項の規定は、前項の有価証券又は倉荷証券の充用価格について準用する。
(6) The provisions of Article 101, paragraph (4) apply mutatis mutandis to the allocation value of the securities or warehouse receipt referred to in the preceding paragraph.
7 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(以下この項及び第十項において「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。
(7) In the case referred to in paragraph (2) or (3), the member, etc. referred to in paragraph (2) or the brokerage referred to in paragraph (3) (hereinafter referred to as the "member, etc. or brokerage" in this paragraph and paragraph (10)), with the approval of the competent minister and pursuant to the provisions of order of the competent ministry, may conclude a contract with a bank or other financial institution specified by order 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 its behalf as instructed by the commodity exchange, and notify the commodity exchange of this.
8 第一項第一号に掲げる場合(会員等が自己の計算において商品市場における取引を行う場合に限る。)又は同項第二号若しくは第四号に掲げる場合において、同項第一号に定める会員等、同項第二号に定める取引の委託者又は同項第四号に定める取次委託者(以下この条において「会員等、取引の委託者又は取次委託者」という。)は、主務省令で定めるところにより、銀行等と当該会員等、取引の委託者又は取次委託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。
(8) In the case referred to in paragraph (1), item (i) (limited to one in which a member, etc. effects a transaction on a commodity market on its own account) or in the case referred to in item (ii) or item (iv) of that paragraph, the member, etc. prescribed in item (i) of that paragraph, the person entrusting the relevant party with the transaction on the commodity market which is prescribed in item (ii) of that paragraph, or the person requesting brokerage that is prescribed in item (iv) of that paragraph (hereinafter referred to as a "member, etc., person entrusting the member, etc. with the transaction, or person requesting brokerage" in this Article), pursuant to the provisions of order of the competent ministry, may conclude a contract with a bank, etc. to have an amount corresponding to the required clearing margin deposited with the commodity exchange on its behalf as instructed by the commodity exchange, and notify the commodity exchange of this.
9 前二項の場合において、当該商品取引所は、当該契約の効力の存する間に限り、当該契約において当該商品取引所に預託されることとなつている金額に相当する取引証拠金の全部又は一部については、その預託を猶予することができる。
(9) In a case referred to in one of the preceding two paragraphs, the commodity exchange may allow a grace period for the depositing of the whole or a part of the clearing margin corresponding to the amount of money to be deposited with the commodity exchange under the relevant contract, but only as long as the contract remains in effect.
10 商品取引所は、商品市場における取引の公正を確保し、又は委託者を保護するため必要があると認めるときは、会員等又は取次者と第七項の契約を締結した銀行等又は当該会員等又は取次者に対し、所要の取引証拠金に相当する金額又は前項の規定により預託を猶予した取引証拠金を当該商品取引所に預託すべき旨を指示しなければならない。
(10) If a commodity exchange finds it to be necessary for ensuring the fairness of transactions on a commodity market or for the protection of consignors, it must instruct a bank, etc. that has concluded a contract as referred to in paragraph (7) with a member, etc. or brokerage, or instruct that member, etc. or brokerage, to deposit an amount of money with the commodity exchange which is equivalent to the required clearing margin or the clearing margin for which it has given a grace period pursuant to the provisions of the preceding paragraph.
11 商品取引所は、商品市場における取引の公正を確保するため必要があると認めるときは、会員等、取引の委託者又は取次委託者と第八項の契約を締結した銀行等又は当該会員等、取引の委託者又は取次委託者に対し、所要の取引証拠金に相当する金額又は第九項の規定により預託を猶予した取引証拠金を当該商品取引所に預託すべき旨を指示しなければならない。
(11) If a commodity exchange finds it to be necessary for ensuring the fairness of transactions on a commodity market, it must instruct a bank, etc. that has concluded a contract as referred to in paragraph (8) with a member, etc., person entrusting a member, etc. with a transaction, or person requesting brokerage or instruct the relevant member, etc., person entrusting the member, etc. with a transaction, or person requesting brokerage, to deposit an amount of money with the commodity exchange which is equivalent to the required clearing margin or the clearing margin for which it has given a grace period pursuant to the provisions of paragraph (9).
(上場商品の格付)
(Grading of a Listed Commodity)
第百四条 上場商品の格付の方法、格付表その他格付に関する事項は、業務規程で定めなければならない。
Article 104 (1) The method of grading, the grade table, and other particulars relevant to the grading of a listed commodity must be specified by the operational rules.
2 前項の場合において、商品市場における取引のために、当該上場商品の等級について定められた国定規格があるときは、商品取引所は、これに従わなければならない。
(2) In the case referred to in the preceding paragraph, if a set national standard exists for the grading of a listed commodity for transactions on a commodity market, the commodity exchange must comply with such standard.
3 会員等は、商品取引所が業務規程で定めるところにより行う格付に従わなければならない。
(3) A member, etc. must comply with the grading done by a commodity exchange pursuant to the provisions of the operational rules.
4 商品取引所は、格付人を選任する必要がある場合においては、当該商品取引所の会員等以外の者のうちから選任しなければならない。
(4) If it is necessary to appoint a grader, a commodity exchange must appoint the grader from among persons other than the members, etc. of the commodity exchange.
5 前項の格付人は、商品取引所の使用人としなければならない。ただし、主務大臣の承認を受けたときは、この限りでない。
(5) The grader referred to in the preceding paragraph must be the employee of the commodity exchange; provided, however, that this does not apply if the approval of the competent minister is obtained.
(取引の決済)
(Settlement of Transactions)
第百五条 商品市場における取引の決済は、定款で定めるところにより、商品市場ごとに、次の各号のいずれかに掲げる方法により行わなければならない。
Article 105 Settlement of transactions on commodity markets must be effected, for each commodity market, by one of the means set forth in the following items, pursuant to the provisions of the articles of incorporation:
一 商品取引所を経て行う方法
(i) through the commodity exchange;
二 商品取引所が第百七十三条第一項の承認を受けてその開設する商品市場における取引に基づく債務の引受けを行う方法
(ii) by the commodity exchange taking over the obligations arising from transactions on a commodity market that it operates, with the approval referred to in Article 173, paragraph (1);
三 商品取引清算機関が商品市場における取引に基づく債務の引受けを行う方法(前号に掲げる方法を除く。)
(iii) by a commodity clearing organization taking over the obligations arising from transactions on a commodity market (other than the means set forth in the preceding item).
(取引の決済の繰延べの禁止)
(Prohibition against Deferring the Settlement of Transactions)
第百六条 商品市場における取引は、商品取引所の格付の遅延その他商品取引所(前条第三号に掲げる方法による決済を行う商品市場にあつては、当該商品市場について商品取引債務引受業を行う商品取引清算機関を含む。)につき生じた事由による場合を除くほか、その履行期を繰り延べて決済してはならない。
Article 106 Transactions on a commodity market must not be settled by deferring the time of performance, unless the deferment is caused by a delay in grading by the commodity exchange or another cause attributable to the commodity exchange (including a commodity clearing organization that performs commodity transaction debt assumption services for the commodity market, in the case of a commodity market where settlement is done by the means set forth in item (iii) of the preceding Article).
(取引の臨時的開始等の届出)
(Notification of the Irregular or Temporary Start of Trading)
第百七条 商品取引所は、商品市場ごとに、商品市場を開設することができることとなつた日以後最初にその取引を行つたとき、及び臨時に取引を開始し、若しくは終了し、又はその停止をし、若しくはその停止を解除したときは、遅滞なく、その旨を主務大臣に届け出なければならない。
Article 107 When a commodity exchange has effected transactions for the first time after the day on which it became possible to open the commodity market, or if it irregularly or temporarily opened, closed, or suspended trading or cancelled such a suspension, the commodity exchange must notify the competent minister to that effect without delay, for each commodity market.
(債務不履行による損害賠償)
(Damages Due to Default)
第百八条 会員等(第百五条第二号又は第三号に掲げる方法による決済を行う場合にあつては、清算参加者である会員等に限る。以下この条において同じ。)が商品市場における取引に基づく債務の不履行により他の会員等又は商品取引清算機関に損害を与えたときは、その損害を受けた会員等又は商品取引清算機関は、その損害を与えた会員等の当該取引に係る商品市場についての信認金及び当該取引についての取引証拠金(自己の計算による取引についてのものに限る。)について、他の債権者に先立つて弁済を受ける権利を有する。
Article 108 (1) If a member, etc. (limited to a member, etc. that is a clearing member, if settlement is done by the means set forth in Article 105, item (ii) or (iii); hereinafter the same applies in this Article) causes damage to another member, etc. or to a commodity clearing organization as a result of defaulting on an obligation arising from a transaction on a commodity market, the damaged member, etc. or commodity clearing organization has the right to receive payment out of the guarantee funds associated with the commodity market for the transactions by the member, etc. that has caused the damage, and out of the clearing margin for those transactions (limited to the margin for transactions on the member's, etc. own account), in preference over other creditors.
2 第百一条第五項の規定による取引委託者が優先弁済を受ける権利は、前項の規定にかかわらず、同項の信認金についての会員等又は商品取引清算機関の権利に対して優先する。
(2) Notwithstanding the provisions of the preceding paragraph, the right of a entrusting party to receive preferential payment under Article 101, paragraph (5) takes precedence over the right of a member, etc. or commodity clearing organization in respect of the guarantee funds referred to in that paragraph.
(特別担保金)
(Special Security Deposits)
第百九条 第百五条第一号に掲げる方法による決済を行う場合において、商品取引所は、定款で定めるところにより、会員等をして、当該会員等が取引をする商品市場ごとに特別担保金を預託させることができる。
Article 109 (1) If settlement is done by the means set forth in Article 105, item (i), the commodity exchange may have a member, etc. deposit a special security deposit for each commodity market on which the member, etc. trades, pursuant to the provisions of its articles of incorporation.
2 会員等は、商品市場における取引に基づく債務の不履行による債権に関し、前条第一項の規定により同項に規定する信認金及び取引証拠金について弁済を受け、なお不足があるときは、当該取引の相手方たる会員等の当該商品市場についての特別担保金について、他の債権者に先立つて弁済を受ける権利を有する。
(2) A member, etc. has the right to receive payment, in association with a claim based on a party's default on an obligation arising from a transaction on a commodity market, from out of the guarantee funds or clearing margin prescribed in paragraph (1) of the preceding Article pursuant to the provisions of the that paragraph, and if this amount is still insufficient, to receive payment in preference over other creditors out of the special security deposit of the member, etc. that is the counterparty to the relevant transaction for that commodity market .
3 会員等は、前項の規定により同項の特別担保金について弁済を受け、なお不足があるときは、他の会員等の当該商品市場についての特別担保金について、その特別担保金の額に応じて、他の債権者に先立つて弁済を受ける権利を有する。ただし、その不足する額に、その会員等の当該商品市場についての特別担保金の額の同項に規定する取引の相手方たる会員等以外の会員等の当該商品市場についての特別担保金の総額に対する割合を乗じて得た額をその不足する額から控除した残額の範囲内に限る。
(3) If a member, etc. receives payment out of a special security deposit pursuant to the provisions of the preceding paragraph, and the amount is still insufficient, the member, etc. has the right to receive payment out of other members', etc. special security deposits for that commodity market, in preference over other creditors and in proportion to the amount of its special security deposit; provided, however, that this is limited to the amount that remains after the shortfall is multiplied by a percentage representing the amount of that member's, etc. special security deposit for the relevant commodity market in proportion to the total amount of special security deposits, for that commodity market, of member's, etc. other than the member, etc. that was the counterparty to the transactions prescribed in the preceding paragraph, and the product of this is deducted from the shortfall.
4 前項の規定による弁済があつたときは、同項に規定する他の会員等は、第二項に規定する取引の相手方たる会員等に対し、求償権を有する。
(4) If a payment under the preceding paragraph is made, the other members, etc. prescribed in that paragraph have the right to claim reimbursement from the member, etc. that was the counterparty to the transactions prescribed in paragraph (2).
(信認金等の運用方法)
(How Guarantee Funds are Managed)
第百十条 商品取引所は、国債の保有その他主務省令で定める方法によるほか、信認金又は特別担保金として預託を受けたものを運用することができない。
Article 110 A commodity exchange may not manage guarantee funds or special security deposits that have been deposited with it except through holding national government bonds and in other ways specified by order of the competent ministry.
(総取引高等の公表)
(Disclosure of Total Transaction Volume)
第百十一条 商品取引所は、主務省令で定めるところにより、その開設する商品市場における次に掲げる事項について、速やかに、その会員等に通知し、公表しなければならない。
Article 111 A commodity exchange must promptly notify its members, etc. of and disclose the following particulars in respect of a commodity market it operates, pursuant to order of the competent ministry:
一 毎日の総取引高
(i) the daily total transaction volume;
二 取引の成立した対価の額又は約定価格若しくは約定数値(以下「約定価格等」という。)であつて主務省令で定めるもの
(ii) the amount of consideration for which a transaction is closed, or the contract price or agreed figure (hereinafter referred to as the "contract price, etc.") which is specified by order of the competent ministry.
(相場、取引高等の報告)
(Reporting of Quotations and Transaction Volume)
第百十二条 商品取引所は、主務省令で定めるところにより、その開設する商品市場における次に掲げる事項について、主務大臣に報告しなければならない。
Article 112 A commodity exchange must report the following particulars in respect of a commodity market it operates to the competent minister, pursuant to the provisions of order of the competent ministry:
一 毎日及び毎月の相場及び取引高その他の主務省令で定める事項
(i) daily and monthly quotations, transaction volumes, and other particulars specified by order of the competent ministry;
二 一の会員等の自己の計算による取引であつて決済を結了していないものの毎日の数量が商品市場ごとに主務省令で定める数量を超えている場合その他その商品市場における取引の状況が主務省令で定める要件に該当している場合における当該会員等の名称、当該数量その他の主務省令で定める事項
(ii) if the daily volume of unsettled trades made by a single member, etc. on its own account exceeds the volume that is specified by order of the competent ministry for each commodity market, or if the state of Transactions on a commodity market comes under the purview of a requirement specified by order of the competent ministry, the name of the member, etc., the relevant volume, and other particulars specified by order of the competent ministry.
(脱退前又は取引資格の喪失前にした取引の決済の結了)
(Completing Settlement for Trades Executed Prior to Withdrawal or Forfeiture of Trading Eligibility)
第百十三条 会員が会員商品取引所から脱退した場合又は取引参加者が株式会社商品取引所の取引資格を喪失した場合において、その会員又は取引参加者が商品市場における取引の決済を結了していないときは、第三十七条第一項若しくは第二項、第四十条又は第八十三条の規定により承継する者がある場合を除き、商品取引所は、定款で定めるところにより、本人若しくはその決済が結了していない取引に係る権利及び義務を承継した者(以下この条において「承継者」という。)又は他の会員等(当該商品市場において取引をすることができる他の会員等に限る。以下この条において同じ。)をして当該取引の決済を結了させなければならない。
Article 113 (1) If a member withdraws from a member commodity exchange or a trading participant forfeits trading eligibility in an incorporated commodity exchange, but the member or trading participant has not completed settlement for a transaction on a commodity market, the commodity exchange must have that person or the person that succeeds to the rights and obligations linked with those unsettled transactions (hereinafter referred to as the "successor" in this Article) or another member, etc. (limited to another member, etc. who is qualified to trade on the relevant commodity market; hereinafter the same applies in this Article) complete settlement for those transactions, pursuant to the provisions of the articles of incorporation, unless there is a person that succeeds to those rights and obligations pursuant to the provisions of Article 37, paragraph (1) or (2); Article 40; or Article 83.
2 前項の場合においては、本人又はその承継者(会員又は取引参加者であるものを除く。)は、当該取引の決済を結了する目的の範囲内において、会員又は取引参加者とみなす。
(2) In the case referred to in the preceding paragraph, the person or its successor (other than a successor that is a member or trading participant) is deemed to be a member or trading participant, inasmuch as the task of completing settlement for those transactions is concerned.
3 第一項の規定により商品取引所が他の会員等をして当該取引の決済を結了させるときは、本人又はその承継者と当該会員等との間には委任契約が成立しているものとみなす。
(3) If a commodity exchange has another member, etc. complete settlement for transactions pursuant to the provisions of paragraph (1), an entrustment contract is deemed to be established between the relevant person or its successor and that member, etc.
(取引の停止の場合における取引の決済の結了)
(Completion of Settlement of Transactions in the Case of Suspension of Transactions)
第百十四条 前条の規定は、会員等の商品市場における取引がこの法律又は商品取引所の定款で定めるところにより停止された場合に準用する。
Article 114 The provisions of the preceding Article apply mutatis mutandis if a member's, etc. transactions on a commodity market are suspended pursuant to the provisions of this Act or the articles of incorporation of the commodity exchange.
(帳簿の区分経理及び保存)
(Separate Accounting in the Books and Archiving)
第百十五条 会員等は、主務省令で定めるところにより、商品市場における取引について、その他の取引と帳簿上区分して経理し、かつ、帳簿その他業務に関する書類を保存しておかなければならない。
Article 115 A member, etc. must keep its accounting for transactions on a commodity market separate from that for other transactions on its books and archive its books and business documents pursuant to the provisions of order of the competent ministry.
(仮装取引、なれ合い取引等の禁止)
(Prohibition on Wash Trading and Accommodation Trading)
第百十六条 何人も、次に掲げる行為をしてはならない。
Article 116 It is prohibited for any person to perform the following acts:
一 商品市場における取引に関し、上場商品の所有権の移転を目的としない売買取引をすること。
(i) effecting a purchase and sale transaction that constitutes a transaction on a commodity market, without the intention of transferring ownership of the listed commodity;
二 商品市場における取引に関し、仮装の取引をし、又は偽つて自己の名を用いないで取引をすること。
(ii) engaging in wash trading that constitutes a transaction on a commodity market, or engaging in trading that constitutes a transaction on a commodity market while deceptively avoiding the use of one's own name;
三 商品市場における取引に関し、自己のする取引の申込みと同時期に、それと同一の対価の額又は約定価格等において、他人が当該取引を成立させることのできる申込みをすることをあらかじめその者と通謀の上、当該取引の申込みをすること。
(iii) making an offer for a trade that constitutes a transaction on a commodity market after colluding with another person in advance to offer to effect a trade for one's self at the same time that the person makes an offer that will allow that trade to be completed for an identical amount of consideration or at an identical contract price, etc.;
四 商品市場における取引に関し、単独で又は他人と共同して、当該商品市場における取引が繁盛であると誤解させるべき一連の取引又は当該商品市場における相場を変動させるべき一連の取引をすること。
(iv) executing a series of trades that constitute transactions on a commodity market and that could mislead people into believing that transactions on a commodity market are thriving or that could change the quotations on that commodity market, either independently or jointly with another person;
五 前各号のいずれかに掲げる行為の委託をし、又はその受託をし、若しくはその委託の取次ぎを受託すること。
(v) entrusting or becoming entrusted with one of the acts listed in the preceding items, or undertaking a request to brokerage such entrustment;
六 商品市場における取引をする場合に、当該商品市場における相場を変動させる目的をもつて、商品市場外で上場商品構成物品又は上場商品指数対象物品の売買その他の取引をすること。
(vi) effecting transactions on a commodity market and making a purchase and sale or other transaction of listed commodities component products or listed commodity index component products or other transactions of the commodity market with the intention of causing quotations on the commodity market to fluctuate;
七 商品市場における取引に関し、商品市場における相場が自己又は他人の市場操作によつて変動すべき旨を流布すること。
(vii) spreading unconfirmed information to the effect that quotations on a commodity market will fluctuate due to one's own or another party's market manipulation in connection with transactions on a commodity market, ;
八 商品市場における取引をする場合に、重要な事項について虚偽の表示又は誤解を生ぜしむべき表示を故意にすること。
(viii) carrying out transactions on a commodity market and intentionally making a false representation about a material particular or a representation about a material particular that is likely to be misleading.
(仮装取引等をした者の損害賠償責任)
(Compensatory Liability of a Person Engaging in Wash Trading)
第百十七条 前条の規定に違反した者は、当該違反行為により形成された対価の額又は約定価格等により当該商品市場における取引又はその委託をした者が当該取引又は委託につき受けた損害を賠償する責めに任ずる。
Article 117 (1) A person that violates the provisions of the preceding Article is liable to compensate for damages that a person effecting a transaction on the relevant commodity market, or a person entrusting a person with the same, incurs in effecting, or entrusting, a transaction that is based on an amount of consideration or contract price, etc. that is formed due to that violation.
2 前項の規定による賠償の請求権は、請求権者が前条の規定に違反する行為があつたことを知つた時から一年間又は当該行為があつた時から三年間これを行わないときは、時効によつて消滅する。
(2) A claim for damages under the preceding paragraph extinguishes by prescription if not exercised within one year from when the claimant learns that an act in violation of the provisions of the preceding Article has taken place or within three years from when the act takes place.
(会員等の取引の制限等)
(Restriction on Transactions by a Member)
第百十八条 主務大臣は、商品市場において、買占め、売崩しその他の方法により過当な数量の取引が行われ若しくは行われるおそれがあり、又は不当な対価の額若しくは約定価格等が形成され若しくは形成されるおそれがある場合において、商品市場における秩序を維持し、かつ、公益を保護するため必要があると認めるときは、次の各号に掲げる者に対して、当該各号に定める事項を命ずることができる。
Article 118 If an excessive volume of transactions are being effected or are likely to be effected through cornering, bear raids, or any other method, or an unfair amount of consideration or contract price, etc. is being formed or is likely to be formed on a commodity market, and the competent minister finds it to be necessary in order to maintain order on the commodity market and to protect the public interest, the minister may issue the orders specified in the relevant of the following items to the persons set forth in that item:
一 会員等 商品市場における取引又はその受託の制限
(i) a member, etc.: restrictions on transactions on a commodity market or on becoming entrusted with the transactions;
二 商品取引所 当該商品取引所の開設する商品市場における相場の変動又は決済を結了していない取引の数量を制限する措置を講ずること、取引証拠金の額の変更その他商品市場における取引の公正を確保するための事項として主務省令で定める事項
(ii) a commodity exchange: to take measures to limit fluctuations in the quotations or volume of unsettled transactions on a commodity market that the commodity exchange operates, to change the amount of clearing margins, or to do one of the things specified by order of the competent ministry as something that ensures the fairness of transactions on a commodity market;
三 商品取引清算機関 取引証拠金の額の変更その他商品市場における取引の公正を確保するための事項として主務省令で定める事項
(iii) a commodity clearing organization: to change the amount of clearing margin or to do one of the things specified by order of the competent ministry as something that ensures the fairness of transactions on a commodity market.
(受託契約準則)
(Brokerage Contract Rules)
第百十九条 商品取引所は、その受託契約準則において、次に掲げる事項に関する細則を定めなければならない。
Article 119 A commodity exchange must establish detailed regulations in respect of the following particulars in its brokerage contract rules:
一 商品市場における取引等(商品清算取引を除く。第三号において同じ。)の受託の条件
(i) requirements for becoming entrusted with transactions on a commodity market, etc. (excluding commodity clearing transactions; the same applies in item (iii));
二 受渡しその他の決済の方法
(ii) delivery and other means of settlement;
三 前二号に掲げる事項のほか、商品市場における取引等の受託に関し必要な事項
(iii) necessary particulars relevant to becoming entrusted with transactions on a commodity market, etc., other than the particulars set forth in the preceding two items.
(紛争の処理)
(Dispute Resolution)
第百二十条 商品取引所は、当該商品取引所の商品市場における取引に関して会員等の間、商品先物取引業者の間又は商品先物取引業者と委託者との間に生じた紛争について当事者である会員等、商品先物取引業者又は委託者から仲介の申出があつたときは、紛争処理規程で定めるところにより、仲介を行うものとする。
Article 120 (1) Whenever a commodity exchange receives an application for mediation from a member, etc., commodity derivative broker , or consignor that is party to a dispute arising between members, etc., between commodity derivative broker, or between a commodity derivative broker and an consignor in connection with a transaction on that commodity exchange's commodity market, the commodity exchange is to mediate pursuant to the provisions of its dispute resolution rules.
2 商品取引所は、その紛争処理規程において、次に掲げる事項に関する細則を定めなければならない。
(2) A commodity exchange must establish detailed regulations in respect of the following particulars in its dispute resolution rules:
一 仲介の申出手続
(i) the process for applying for mediation;
二 仲介の方法
(ii) the mediation method;
三 前二号に掲げる事項のほか、仲介に関し必要な事項
(iii) necessary particulars relevant to mediation, other than the particulars set forth in the preceding two items.
第五節 組織変更
Section 5 Organizational Conversion
(会員商品取引所から株式会社商品取引所への組織変更)
(Organizational Conversion from a Member Commodity Exchange to an Incorporated Commodity Exchange)
第百二十一条 会員商品取引所は、その組織を変更して株式会社商品取引所になることができる。
Article 121 A member commodity exchange may become an incorporated commodity exchange through an organizational conversion.
(組織変更計画)
(Organizational Conversion Plan)
第百二十二条 会員商品取引所は、前条の組織変更(以下この節において「組織変更」という。)をするには、組織変更計画を作成して、会員総会の決議によつて、その承認を受けなければならない。
Article 122 (1) In order to implement the organizational conversion referred to in the preceding Article (hereinafter referred to as "organizational conversion" in this section), a member commodity exchange must prepare an organizational conversion plan and have it approved by general meeting resolution.
2 第六十一条の規定は、前項の決議について準用する。
(2) The provisions of Article 61 apply mutatis mutandis to the resolution referred to in the preceding paragraph.
3 第一項の会員総会の招集は、組織変更計画の要領及び組織変更後の株式会社(以下「組織変更後株式会社商品取引所」という。)の定款を示してしなければならない。
(3) To call the general meeting referred to in paragraph (1) an outline of the organizational conversion plan and the articles of incorporation of the stock company after the organizational conversion (hereinafter referred to as the "incorporated commodity exchange after organizational conversion") must be presented.
4 会員商品取引所が組織変更をする場合には、当該会員商品取引所は、組織変更計画において、次に掲げる事項を定めなければならない。
(4) If a member commodity exchange implements an organizational conversion, that member commodity exchange must provide for the following matters in its organizational conversion plan:
一 組織変更後株式会社商品取引所の目的、商号、本店の所在地及び発行可能株式総数
(i) the purpose, trade name, location of the head office, and total number of authorized shares of the incorporated commodity exchange after organizational conversion;
二 前号に掲げるもののほか、組織変更後株式会社商品取引所の定款で定める事項
(ii) matters beyond those set forth in the preceding item, which are specified by the articles of establishment of the incorporated commodity exchange after organizational conversion;
三 組織変更後株式会社商品取引所の取締役の氏名及び会計監査人の氏名又は名称
(iii) the names of directors and name of the accounting auditor of the incorporated commodity exchange after organizational conversion;
四 次に掲げる場合の区分に応じ、次に定める事項
(iv) the particulars prescribed in the relevant of the following for the category of cases set forth therein:
イ 組織変更後株式会社商品取引所が会計参与設置会社である場合 組織変更後株式会社商品取引所の会計参与の氏名又は名称
(a) if the incorporated commodity exchange after organizational conversion will be a company with an accounting advisor: the name of the accounting advisor of the incorporated commodity exchange after organizational conversion;
ロ 組織変更後株式会社商品取引所が監査役設置会社(監査役の監査の範囲を会計に関するものに限定する旨の定款の定めがある株式会社を含む。)である場合 組織変更後株式会社商品取引所の監査役の氏名
(b) if the incorporated commodity exchange after organizational conversion will be a company with company auditors (including a stock company whose articles of incorporation provide that the scope of audits by a company auditor is limited to accounting matters): the names of the company auditors of the incorporated commodity exchange after organizational conversion.
五 組織変更をする会員商品取引所の会員が組織変更に際して取得する組織変更後株式会社商品取引所の株式の数(組織変更後株式会社商品取引所が種類株式発行会社である場合にあつては、株式の種類及び種類ごとの数)又はその数の算定方法
(v) the number of shares in the incorporated commodity exchange after organizational conversion which the members of the member commodity exchange implementing the organizational conversion will acquire upon organizational conversion (if the incorporated commodity exchange after organizational conversion will be a company with class shares, the classes of shares and the number of shares in each class) or the method of calculating it;
六 組織変更をする会員商品取引所の会員に対する前号の株式の割当てに関する事項
(vi) the particulars of the allotment of the shares referred to in the preceding item to members of the member commodity exchange implementing the organizational conversion;
七 組織変更後株式会社商品取引所が組織変更に際して組織変更をする会員商品取引所の会員に対してその持分に代わる金銭を交付するときは、その額又はその算定方法
(vii) if, upon organizational conversion, the incorporated commodity exchange after organizational conversion will deliver money to members of the member commodity exchange implementing the organizational conversion to replace their equity interest, the amount of money or the method of calculating it;
八 前号に規定する場合には、組織変更をする会員商品取引所の会員に対する同号の金銭の割当てに関する事項
(viii) in the case prescribed in the preceding item, the particulars of the allotment of money referred to in that item to members of the member commodity exchange implementing the organizational conversion;
九 組織変更後株式会社商品取引所の資本金及び準備金の額に関する事項
(ix) the particulars of the amount of stated capital and reserves of the incorporated commodity exchange after organizational conversion;
十 組織変更がその効力を生ずべき日(以下この節において「効力発生日」という。)
(x) the day on which the organizational conversion will come into effect (hereinafter referred to as the "effective date" in this Section);
十一 前各号に掲げる事項のほか、主務省令で定める事項
(xi) the particulars specified by order of the competent ministry, beyond what is set forth in the preceding items.
(組織変更計画に関する書面等の備置き及び閲覧等)
(Keeping and Inspection of Organizational Conversion Plan Documents)
第百二十三条 組織変更をする会員商品取引所は、前条第一項の会員総会の会議開催日の十日前から組織変更の効力が生ずる日の前日までの間、組織変更計画の内容その他主務省令で定める事項を記載し、又は記録した書面又は電磁的記録を主たる事務所に備え置かなければならない。
Article 123 (1) During the period from 10 days prior to the day of the general meeting referred to in paragraph (1) of the preceding Article until the day preceding that on which the organizational conversion comes into effect, a member commodity exchange implementing an organizational conversion must keep the documents or electronic or magnetic records that state or contain a record of the details of the organizational conversion plan and the particulars specified by order of the competent ministry, at its principal office.
2 組織変更をする会員商品取引所の会員及び債権者は、会員商品取引所に対して、その事業時間内は、いつでも、次に掲げる請求をすることができる。ただし、第二号又は第四号に掲げる請求をするには、当該組織変更をする会員商品取引所の定めた費用を支払わなければならない。
(2) The member or creditor of a member commodity exchange implementing an organizational conversion may make the following requests of the member commodity exchange at any time during its business hours; provided, however, that in making the request set forth in item (ii) or (iv), the member or creditor must pay the cost stipulated by the member commodity exchange implementing the organizational conversion:
一 前項の書面の閲覧の請求
(i) a request to inspect a document referred to in the preceding paragraph;
二 前項の書面の謄本又は抄本の交付の請求
(ii) a request to be issued a certified copy or extract of a document referred to in the preceding paragraph;
三 前項の電磁的記録に記録された事項を主務省令で定める方法により表示したものの閲覧の請求
(iii) a request to inspect something that shows the particulars that have been recorded in an electronic or magnetic record referred to in the preceding paragraph, through the means specified by order of the competent ministry;
四 前項の電磁的記録に記録された事項を電磁的方法であつて主務省令で定めるものにより提供することの請求又はその事項を記載した書面の交付の請求
(iv) a request to be provided with the particulars recorded in an electronic or magnetic record referred to in the preceding paragraph by an electronic or magnetic means specified by order of the competent ministry, or a request to be issued a document that states those particulars.
3 組織変更をする会員商品取引所は、前項の規定による請求があつたときは、正当な理由がないのにこれを拒んではならない。
(3) If a member commodity exchange implementing an organizational conversion has had a request as under the preceding paragraph, it must not refuse that request without legitimate grounds.
(債権者の異議)
(Objection by a Creditor)
第百二十四条 組織変更をする会員商品取引所の債権者は、当該会員商品取引所に対し、組織変更について異議を述べることができる。
Article 124 (1) The creditor of a member commodity exchange implementing an organizational conversion may state an objection to the member commodity exchange with regard to the organizational conversion.
2 組織変更をする会員商品取引所は、次に掲げる事項を官報に公告し、かつ、知れている債権者には、各別にこれを催告しなければならない。ただし、第二号の期間は、一月を下ることができない。
(2) A member commodity exchange implementing an organizational conversion must issue public notice of the following particulars in the official gazette, and must issue a notice of those particulars to its known creditors individually; provided, however, that the period referred to in item (ii) may not be shorter than one month:
一 組織変更をする旨
(i) that an organizational conversion will be implemented;
二 債権者が一定の期間内に異議を述べることができる旨
(ii) that creditors may state an objection within a specified period.
3 前項の規定にかかわらず、組織変更をする会員商品取引所が同項の規定による公告を、官報のほか、第十一条第六項の規定による定款の定めに従い、同項第二号又は第三号に掲げる公告方法によりするときは、前項の規定による各別の催告は、することを要しない。
(3) Notwithstanding the provisions of the preceding paragraph, if a member commodity exchange implementing an organizational conversion issues the public notice prescribed in the same paragraph both in the official gazette and by the means of public notice set forth in Article 11, paragraph (6), item (ii) or (iii), in accordance with the provisions of the articles of incorporation under the same paragraph, the member commodity exchange is not required to give the individual notice under the preceding paragraph.
4 債権者が第二項第二号の期間内に異議を述べなかつたときは、当該債権者は、当該組織変更について承認をしたものとみなす。
(4) If a creditor does not state an objection within the period referred to in paragraph (2), item (ii), the creditor is deemed to accept the organizational conversion.
5 債権者が第二項第二号の期間内に異議を述べたときは、組織変更をする会員商品取引所は、当該債権者に対し、弁済し、若しくは相当の担保を提供し、又は当該債権者に弁済を受けさせることを目的として信託会社等(信託会社及び信託業務を営む金融機関(金融機関の信託業務の兼営等に関する法律(昭和十八年法律第四十三号)第一条第一項の認可を受けた金融機関をいう。)をいう。以下同じ。)に相当の財産を信託しなければならない。ただし、当該組織変更をしても当該債権者を害するおそれがないときは、この限りでない。
(5) If a creditor states an objection within the period referred to in paragraph (2), item (ii), the member commodity exchange implementing the organizational conversion must pay its debt or provide suitable collateral to the creditor, or must deposit suitable property with a trust company, etc. (meaning a trust company or a financial institution engaged in trust business (meaning a financial institution that has obtained the approval set forth in Article 1, paragraph (1) of the Act on the Provision of Trust Services by Financial Institutions (Act No. 43 of 1943)); the same applies hereinafter) for the purpose of allowing the creditor to receive payment for the debt; provided, however, that this does not apply if the organizational conversion is not likely to harm the creditor.
(組織変更手続の経過等の書面等の備置き及び閲覧等)
(Keeping and Inspection of Documents on the Progress of the Organizational Conversion Process)
第百二十五条 組織変更後株式会社商品取引所は、組織変更の効力が生じた日から六月間、第百二十三条第一項の書面又は電磁的記録及び前条の規定による手続の経過その他の組織変更に関する事項として主務省令で定める事項を記載し、又は記録した書面又は電磁的記録を本店に備え置かなければならない。
Article 125 (1) During the period of six months from the day on which an organizational conversion comes into effect, the incorporated commodity exchange after organizational conversion must keep the documents or electronic or magnetic records referred to in Article 123, paragraph (1) and documents or electronic or magnetic records stating or containing a record of the progress of the process under the preceding Articles and other particulars specified by order of the competent ministry as pertinent to the organizational conversion, at its head office.
2 組織変更後株式会社商品取引所の株主及び債権者は、組織変更後株式会社商品取引所に対して、その営業時間内は、いつでも、次に掲げる請求をすることができる。ただし、第二号又は第四号に掲げる請求をするには、当該組織変更後株式会社商品取引所の定めた費用を支払わなければならない。
(2) The shareholder or creditor of an incorporated commodity exchange after organizational conversion may make the following requests of the incorporated commodity exchange at any time during its business hours; provided, however, that in making the request set forth in item (ii) or (iv), the shareholder or creditor must pay the cost stipulated by the member commodity exchange implementing the organizational conversion:
一 前項の書面の閲覧の請求
(i) a request to inspect a document referred to in the preceding paragraph;
二 前項の書面の謄本又は抄本の交付の請求
(ii) a request to be issued a certified copy or extract of a document referred to in the preceding paragraph;
三 前項の電磁的記録に記録された事項を主務省令で定める方法により表示したものの閲覧の請求
(iii) a request to inspect something that shows the particulars that have been recorded in an electronic or magnetic record referred to in the preceding paragraph, through a means specified by order of the competent ministry;
四 前項の電磁的記録に記録された事項を電磁的方法であつて主務省令で定めるものにより提供することの請求又はその事項を記載した書面の交付の請求
(iv) a request to be provided with the particulars that have been recorded in an electronic or magnetic record referred to in the preceding paragraph by an electronic or magnetic means specified by order of the competent ministry, or a request to be issued a document that states those particulars.
3 組織変更後株式会社商品取引所は、前項の規定による請求があつたときは、正当な理由がないのにこれを拒んではならない。
(3) If an incorporated commodity exchange after organizational conversion has had a request as under the preceding paragraph, it must not refuse that request without legitimate grounds.
(会員への株式の割当て)
(Allotment of Shares to a Member)
第百二十六条 会員商品取引所の会員は、組織変更計画の定めるところにより、組織変更後株式会社商品取引所の株式又は金銭の割当てを受けるものとする。
Article 126 (1) The member of a member commodity exchange is to receive an allotment of shares in the incorporated commodity exchange after organizational conversion or an allotment of money, pursuant to the provisions of the organizational conversion plan.
2 会社法第二百三十四条第一項から第五項まで、第八百六十八条第一項、第八百六十九条、第八百七十一条、第八百七十四条(第四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、前項の規定により株式又は金銭の割当てを受け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。
(2) The provisions of Article 234, paragraphs (1) through (5) of the Companies Act and of Article 868, paragraph (1), Article 869, Article 871, Article 874 (limited to the part that involves item (iv)), Article 875, and Article 876 of that Act apply mutatis mutandis if shares of or money are allotted pursuant to the provisions of the preceding paragraph. The necessary technical replacement of terms for such a case is specified by Cabinet Order.
(資本金として計上すべき額)
(Amount Required to be Reported as Stated Capital)
第百二十七条 組織変更後株式会社商品取引所の資本金として計上すべき額については、主務省令で定める。
Article 127 The amount that is required to be reported as the stated capital of an incorporated commodity exchange after organizational conversion is specified by order of the competent ministry.
(資本準備金として計上すべき額等)
(Amount Required to be Reported as Capital Reserves)
第百二十八条 組織変更に際して資本準備金として計上すべき額その他組織変更に際しての計算に関し必要な事項は、主務省令で定める。
Article 128 The amount that is required to be reported as the capital reserves at the time of organizational conversion and necessary particulars otherwise relevant to the accounting at the time of organizational conversion are specified by order of the competent ministry.
(組織変更における株式の発行)
(Issuance of Shares upon Organizational Conversion)
第百二十九条 会員商品取引所は、第百二十六条第一項の規定による株式の割当てを行うほか、組織変更に際して、組織変更後株式会社商品取引所の株式を発行することができる。この場合においては、組織変更計画において、次に掲げる事項を定めなければならない。
Article 129 At the time of an organizational conversion, a member commodity exchange may issue shares in the incorporated commodity exchange after organizational conversion, beyond allotting shares under Article 126, paragraph (1). In such a case, it must specify the following particulars in the organizational conversion plan:
一 この条の規定により発行する株式(以下この節において「組織変更時発行株式」という。)の数(種類株式発行会社にあつては、組織変更時発行株式の種類及び数。以下この節において同じ。)
(i) the number of shares issued pursuant to the provisions of this Article (hereinafter referred to as the "shares issued upon organizational conversion" in this Section) (if it is a company with class shares, the classes and the number of shares issued upon organizational conversion; hereinafter the same applies in this Section);
二 組織変更時発行株式の払込金額(組織変更時発行株式一株と引換えに払い込む金銭又は給付する金銭以外の財産の額をいう。以下この節において同じ。)又はその算定方法
(ii) the amount to be paid in for the shares issued upon organizational conversion (meaning the amount of money to be paid in or property other than money to be delivered in exchange for a single share issued upon organizational conversion; hereinafter the same applies in this Section) or the method of calculating it;
三 金銭以外の財産を出資の目的とするときは、その旨並びに当該財産の内容及び価額
(iii) if property other than money will be the subject of contribution, an indication of this, as well as a description and the value of such property;
四 組織変更時発行株式と引換えにする金銭の払込み又は前号の財産の給付の期日
(iv) the date for the payment of money the delivery of the property referred to in the preceding item, in exchange for a shares issued upon organizational conversion;
五 増加する資本金及び資本準備金に関する事項
(v) the particulars of the increased stated capital or capital reserves.
(組織変更時発行株式の申込み等)
(Offers Involving Shares Issued upon Organizational Conversion)
第百三十条 会員商品取引所は、組織変更時発行株式の引受けの申込みをしようとする者に対し、次に掲げる事項を通知しなければならない。
Article 130 (1) A member commodity exchange must notify a person that seeks to make an offer to subscribe for shares issued upon organizational conversion of the following particulars:
一 組織変更後株式会社商品取引所の商号
(i) the trade name of the incorporated commodity exchange after organizational conversion;
二 前条各号に掲げる事項
(ii) the particulars set forth in the items of the preceding Article;
三 金銭の払込みをすべきときは、払込みの取扱いの場所
(iii) if money is to be paid in, the place handling payments;
四 前三号に掲げるもののほか、主務省令で定める事項
(iv) particulars beyond what is set forth in the preceding three items, which are specified by order of the competent ministry.
2 組織変更時発行株式の引受けの申込みをする者は、次に掲げる事項を記載した書面を会員商品取引所に交付しなければならない。
(2) A person making an offer to subscribe for shares issued upon organizational conversion must deliver a document to the member commodity exchange, in which the person states the following particulars:
一 申込みをする者の氏名又は名称及び住所
(i) the name and address of the person offering to subscribe;
二 引き受けようとする組織変更時発行株式の数
(ii) the number of the shares issued upon organizational conversion for which the person seeks to subscribe.
3 前項の申込みをする者は、同項の書面の交付に代えて、政令で定めるところにより、会員商品取引所の承諾を得て、同項の書面に記載すべき事項を電磁的方法により提供することができる。この場合において、当該申込みをした者は、同項の書面を交付したものとみなす。
(3) With the consent of the member commodity exchange and pursuant to the provisions of Cabinet Order, in lieu of delivering the document referred to in the preceding paragraph, a person making the offer referred to in that paragraph may provide a member commodity exchange with the particulars that are required to be stated in the document referred to in that paragraph by electronic or magnetic means. In doing this, the person making the offer is deemed to have delivered the document referred to in that paragraph.
4 会員商品取引所は、第一項各号に掲げる事項について変更があつたときは、直ちに、その旨及び当該変更があつた事項を第二項の申込みをした者(以下この節において「申込者」という。)に通知しなければならない。
(4) If a particular set forth in one of the items of paragraph (1) changes, the member commodity exchange must immediately notify any person that has made the offer referred to in paragraph (2) (hereinafter referred to as an "offeror" in this Section) of this and about the particular that has changed.
5 会員商品取引所が申込者に対してする通知又は催告は、第二項第一号の住所(当該申込者が別に通知又は催告を受ける場所又は連絡先を当該会員商品取引所に通知した場合にあつては、その場所又は連絡先)にあてて発すれば足りる。
(5) It is sufficient for a notice or demand that a member commodity exchange issues to an offeror to be sent to the address referred to in paragraph (2), item (i) (or, if the offeror notifies the member commodity exchange of another place or contact address for receiving notices or demands, such a place or contact address).
6 前項の通知又は催告は、その通知又は催告が通常到達すべきであつた時に、到達したものとみなす。
(6) The notice or demand referred to in the preceding paragraph is deemed to have arrived at the time that such a notice or demand would normally arrive.
(組織変更時発行株式の割当て)
(Allotment of Shares Issued upon Organizational Conversion)
第百三十一条 会員商品取引所は、申込者の中から組織変更時発行株式の割当てを受ける者を定め、かつ、その者に割り当てる組織変更時発行株式の数を定めなければならない。この場合において、会員商品取引所は、当該申込者に割り当てる組織変更時発行株式の数を、前条第二項第二号の数よりも減少することができる。
Article 131 (1) A member commodity exchange must decide which persons among the offerors the shares issued upon organizational conversion will be allotted to, and decide the number of the shares issued upon organizational conversion that will be allotted to the persons. In doing this, the member commodity exchange may reduce the number of shares issued upon organizational conversion that it will allot to such offerors to below the number referred to in paragraph (2), item (ii) of the preceding Article.
2 会員商品取引所は、第百二十九条第四号の期日の前日までに、申込者に対し、当該申込者に割り当てる組織変更時発行株式の数を通知しなければならない。
(2) A member commodity exchange must notify an offeror of the number of shares issued upon organizational conversion that will be allotted to the offeror by the day preceding the date referred to in Article 129, item (iv).
(組織変更時発行株式の引受け)
(Subscription for Shares Issued upon Organizational Conversion)
第百三十一条の二 申込者は、会員商品取引所の割り当てた組織変更時発行株式の数について組織変更時発行株式の引受人となる。
Article 131-2 An Offeror becomes a subscriber for shares issued upon organizational conversion, in respect of the number of shares issued upon organizational conversion allotted to that offeror by the member commodity exchange.
(出資の履行)
(Contribution)
第百三十一条の三 組織変更時発行株式の引受人(第百二十九条第三号の財産(以下この節において「現物出資財産」という。)を給付する者を除く。)は、同条第四号の期日に、会員商品取引所が定めた銀行等(会社法第三十四条第二項に規定する銀行等をいう。)の払込みの取扱いの場所において、それぞれの組織変更時発行株式の払込金額の全額を払い込まなければならない。
Article 131-3 (1) On the date referred to in Article 129, item (iv), a subscriber for shares issued upon organizational conversion (excluding a person delivering the property referred to in Article 129, item (iii) (hereinafter referred to as "property contributed in kind")) must pay the full amount of the amount to be paid in for each share issued upon organizational conversion, at the bank, etc. (meaning a bank, etc. provided for in Article 34, paragraph (2) of the Companies Act) that the member commodity exchange specifies which constitutes the place handling payments.
2 組織変更時発行株式の引受人(現物出資財産を給付する者に限る。)は、第百二十九条第四号の期日に、それぞれの組織変更時発行株式の払込金額の全額に相当する現物出資財産を給付しなければならない。
(2) On the date referred to in Article 129, item (iv), a subscriber for shares issued upon organizational conversion (limited to a person who delivers the property contributed in kind) must deliver property contributed in kind that is equivalent to the full amount to be paid in for each share issued upon organizational conversion.
3 組織変更時発行株式の引受人は、第一項の規定による払込み又は前項の規定による給付(以下この節において「出資の履行」という。)をする債務と会員商品取引所に対する債権とを相殺することができない。
(3) A subscriber for shares issued upon organizational conversion may not set off its obligation to make the payment under paragraph (1) or to effect the delivery under the preceding paragraph (hereinafter referred to as the "contribution" in this Section) against a claim that the subscriber has against the member commodity exchange.
4 出資の履行をすることにより組織変更時発行株式の株主となる権利の譲渡は、組織変更後株式会社商品取引所に対抗することができない。
(4) The transfer of the right to become the shareholder of shares issued upon organizational conversion through the making of the contribution may not be asserted against the incorporated commodity exchange after organizational conversion.
5 組織変更時発行株式の引受人は、出資の履行をしないときは、当該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を失う。
(5) If a subscriber for shares issued upon organizational conversion fails to make the contribution, it loses the right to become the shareholder of shares issued upon organizational conversion through the making of such a contribution.
(株主となる時期)
(Timing of Becoming a Shareholder)
第百三十一条の四 組織変更時発行株式の引受人は、組織変更の効力が生じた日に、出資の履行をした組織変更時発行株式の株主となる。
Article 131-4 A subscriber for shares issued upon organizational conversion becomes the shareholder of the shares issued upon organizational conversion for which the subscriber has made a contribution, on the day on which the organizational conversion comes into effect.
(引受けの無効又は取消しの制限)
(Restriction on the Invalidation or Rescission of a Subscription)
第百三十一条の五 民法(明治二十九年法律第八十九号)第九十三条ただし書及び第九十四条第一項の規定は、組織変更時発行株式の引受けの申込み及び割当てに係る意思表示については、適用しない。
Article 131-5 (1) The provisions of the proviso of Article 93 and Article 94, paragraph (1) of the Civil Code (Act No. 89 of 1896) do not apply to the manifestation of an intention involving an offer to subscribe for shares issued upon organizational conversion or the allotment of such shares.
2 組織変更時発行株式の引受人は、組織変更の効力が生じた日から一年を経過した後又はその株式について権利を行使した後は、錯誤を理由として組織変更時発行株式の引受けの無効を主張し、又は詐欺若しくは強迫を理由として組織変更時発行株式の引受けの取消しをすることができない。
(2) Once one year has passed since the day on which an organizational conversion comes into effect or once the subscriber for shares issued upon organizational conversion exercises a right in respect of those shares, the subscriber may not assert the invalidity of its subscription for shares issued upon organizational conversion on the basis of a mistake, nor may the subscriber rescind the subscription for the shares issued upon organizational conversion on the grounds of fraud or duress.
(金銭以外の財産を出資の目的とする場合についての会社法の準用)
(Application Mutatis Mutandis of the Companies Act When Property Other than Money is the Subject of Contribution)
第百三十一条の六 会社法第二百七条、第二百十二条(第一項第一号を除く。)、第二百十三条(第一項第一号及び第三号を除く。)、第八百六十八条第一項、第八百七十条第一項(第一号及び第四号に係る部分に限る。)、第八百七十一条、第八百七十二条(第四号に係る部分に限る。)、第八百七十四条(第一号に係る部分に限る。)、第八百七十五条及び第八百七十六条の規定は、第百二十九条第三号に規定する場合について準用する。この場合において、同法第二百七条第一項、第七項及び第九項第二号から第五号まで並びに第二百十二条第一項第二号及び第二項中「第百九十九条第一項第三号」とあるのは「商品取引所法第百二十九条第三号」と、同法第二百七条第四項、第六項及び第九項第三号並びに第二百十三条第一項第二号中「法務省令」とあるのは「主務省令」と、同法第二百七条第八項及び第二百十二条第二項中「申込み又は第二百五条の契約」とあるのは「申込み」と、同法第二百七条第十項第一号中「取締役、会計参与、監査役若しくは執行役」とあるのは「会員商品取引所の理事長、理事若しくは監事」と、同法第二百十二条第一項第二号中「第二百九条」とあるのは「商品取引所法第百三十一条の四」と、同法第八百七十条第一項第四号中「第百九十九条第一項第三号又は第二百三十六条第一項第三号」とあるのは「商品取引所法第百二十九条第三号」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 131-6 The provisions of Article 207 of the Companies Act and of Article 212 (excluding paragraph (1), item (i)); Article 213 (excluding paragraph (1), items (i) and (iii)); Article 868, paragraph (1); Article 870 (limited to the part that involves items (ii) and (vii)); Article 871; Article 872 (limited to the part that involves item (iv)); Article 874 (limited to the part that involves item (i)); Article 875; and Article 876 of that Act apply mutatis mutandis in a case as provided in Article 129, item (iii). In this case, in Article 207, paragraph (1), paragraph (7) and paragraph (9), items (ii) through (v) and Article 212, paragraph (1), item (ii) and paragraph (2) of that Act, the phrase "Article 199, paragraph (1), item (iii)" is deemed to be replaced with "Article 129, item (iii) of the commodity exchange Act"; in Article 207, paragraph (4), paragraph (6), and paragraph (9), item (iii) and Article 213, paragraph (1), item (ii) of that Act, the phrase "Order of the Ministry of Justice" is deemed to be replaced with "Order of the competent ministry"; in Article 207, paragraph (8) and Article 212, paragraph (2) of that Act, the phrase "subscription for an offered share or a contract under Article 205" is deemed to be replaced with "subscription for an offered share"; in Article 207, paragraph (10), item (i) of that Act, the phrase "A director, accounting advisor, corporate auditor or executive officer" is deemed to be replaced with "The president, director, or auditor of a member commodity exchange"; in Article 212, paragraph (1), item (ii) of that Act, the phrase "Article 209" is deemed to be replaced with "Article 131-4 of the commodity exchange Act"; in Article 870, item (vii) of that Act, the phrase "Article 199, paragraph (1), item (iii) or Article 236, paragraph (1), item (iii)" is deemed to be replaced with "Article 129, item (iii) of the commodity exchange Act"; and other necessary technical replacement of terms is specified by Cabinet Order.
(組織変更の認可)
(Authorization for Organizational Conversion)
第百三十二条 組織変更は、主務大臣の認可を受けなければ、その効力を生じない。
Article 132 (1) An organizational conversion does not come into effect without the authorization of the competent minister.
2 前項の認可を受けようとする者は、組織変更後株式会社商品取引所について第七十九条第一項第一号から第三号まで、第五号及び第六号に掲げる事項を記載した申請書を主務大臣に提出しなければならない。
(2) A person seeking the authorization referred to in the preceding paragraph must submit a written application to the competent minister in which it states the particulars set forth in Article 79, paragraph (1), items (i) through (iii), item (v) and item (vi) with respect to the incorporated commodity exchange after organizational conversion.
3 前項の申請書には、組織変更計画の内容を記載した書面、組織変更後株式会社商品取引所の定款、業務規程、受託契約準則、紛争処理規程及び市場取引監視委員会規程その他主務省令で定める書面を添付しなければならない。
(3) A document detailing the content of the organizational conversion plan as well as the articles of incorporation, operational rules, brokerage contract rules, dispute resolution rules, and market transactions surveillance committee rules of the incorporated commodity exchange after organizational conversion, and other documents specified by order of the competent ministry must accompany the written application referred to in the preceding paragraph.
(認可基準)
(Criteria for Authorization)
第百三十三条 主務大臣は、前条第一項の認可の申請が次に掲げる基準に適合していると認めるときは、認可をしなければならない。
Article 133 (1) If the competent minister finds that an application for the authorization referred to in paragraph (1) of the preceding Article conforms to the following criteria, the prime minister must give authorization:
一 組織変更後株式会社商品取引所の資本金の額が第八十条第一項第一号の政令で定める金額以上であること。
(i) the amount of stated capital of the incorporated commodity exchange after organizational conversion will be equal to or greater than the amount specified by Cabinet Order which is referred to in Article 80, paragraph (1), item (i);
二 組織変更後株式会社商品取引所の定款、業務規程、受託契約準則、紛争処理規程及び市場取引監視委員会規程の規定が法令に違反せず、かつ、定款、業務規程、受託契約準則、紛争処理規程又は市場取引監視委員会規程に規定する取引の方法又は管理、取引参加者の資格、取引参加者の数の最高限度を定めた場合におけるその最高限度、特別担保金の預託義務を定めた場合におけるその預託に関する事項その他の事項が適当であつて、商品市場における取引の公正を確保し、及び委託者を保護するため十分であること。
(ii) the provisions of the articles of incorporation, operational rules, brokerage contract rules, dispute resolution rules, and market transactions surveillance committee rules of the incorporated commodity exchange after organizational conversion do not violate laws and regulations, and the transaction method or management of transactions; eligibility of trading participants; maximum number of trading participants, if specified; particulars of deposits, if the obligation to make a special security deposit is stipulated; and other particulars prescribed in the articles of incorporation, operational rules, brokerage contract rules, dispute resolution rules, and market transactions surveillance committee rules are appropriate and sufficient for ensuring the fairness of transactions on the commodity market and for protecting consignors;
三 組織変更後株式会社商品取引所が商品市場を適切に運営するに足りる人的構成を有するものであること。
(iii) the incorporated commodity exchange after organizational conversion will have a sufficient personnel structure to appropriately manage the commodity market;
四 組織変更後株式会社商品取引所が株式会社商品取引所としてこの法律の規定に適合するように組織されるものであること。
(iv) the incorporated commodity exchange after organizational conversion will be organized as an incorporated commodity exchange in a manner that conforms to the provisions of this Act.
2 主務大臣は、前条第一項の認可の申請が次の各号のいずれかに該当する場合には、前項の規定にかかわらず、同条第一項の認可をしてはならない。
(2) Notwithstanding the provisions of the preceding paragraph, if an application for the authorization referred to in paragraph (1) of the preceding Article falls under one of the following items, the competent minister must not give the authorization referred to in that paragraph:
一 組織変更後株式会社商品取引所の役員のうちに第十五条第二項第一号イからルまでのいずれかに該当する者があるとき。
(i) the incorporated commodity exchange after organizational conversion would have a person falling under one of the categories in Article 15, paragraph (2), item (i) (a) through (k) as an officer;
二 申請書又はこれに添付すべき書面のうちに重要な事項について虚偽の記載があるとき。
(ii) the application or a document that is required to accompany it contains a false statement about a material particular.
3 第十五条第五項から第九項までの規定は、前条第一項の認可について準用する。
(3) The provisions of Article 15, paragraphs (5) through (9) apply mutatis mutandis to the authorization referred to in paragraph (1) of the preceding Article.
4 前条第一項の認可を受けて組織変更が行われた株式会社は、当該組織変更の時に、第七十八条の許可を受けたものとみなす。
(4) A stock company that has undergone an organizational conversion with the authorization referred to in paragraph (1) of the preceding Article is deemed to have received the license referred to in Article 78 at the time of organizational conversion.
5 組織変更をする会員商品取引所が開設していた商品市場において取引をしていた会員であつて、組織変更後株式会社商品取引所が開設する当該商品市場と同一の商品市場(同一の上場商品又は上場商品指数について同一の取引の方法により取引を行う商品市場をいう。第百四十九条第二項及び第四項において同じ。)において取引をしようとする者は、組織変更の時に、その商品市場における第八十二条第一項の取引資格を与えられたものとみなす。
(5) A member that has been trading on a commodity market operated by a member commodity exchange implementing organizational conversion, and that seeks to trade on a commodity market operated by the incorporated commodity exchange after organizational conversion which is the same as that commodity market (meaning a commodity market on which transactions are carried out for the same listed commodity or listed commodity index by the same method of transaction; the same applies in Article 149, paragraphs (2) and (4)) is deemed to have been granted the trading eligibility referred to in Article 82, paragraph (1) for that commodity market at the time of organizational conversion.
(登記)
(Registration)
第百三十四条 会員商品取引所が組織変更をしたときは、組織変更の効力が生じた日から、その主たる事務所及び本店の所在地においては二週間以内に、その従たる事務所及び支店の所在地においては三週間以内に、組織変更をする会員商品取引所については解散の登記を、組織変更後株式会社商品取引所の本店については設立の登記を、組織変更後株式会社商品取引所の支店については会社法第九百三十条第二項各号に掲げる事項の登記をしなければならない。
Article 134 (1) Once a member commodity exchange implements an organizational conversion, it must file for a registration of dissolution as regards the member commodity exchange implementing the organizational conversion; file for a registration of incorporation as regards the head office of the incorporated commodity exchange after the organizational conversion; and file for the registration of the particulars set forth in the items of Article 930, paragraph (2) of the Companies Act as regards the branch offices of the incorporated commodity exchange after the organizational conversion; and these filings must be done within two weeks from the day on which the organizational conversion comes into effect, in connection with the principal office and head office locations, and within three weeks from that day, in connection with the secondary office and branch office locations.
2 前項の設立の登記の申請書には、商業登記法第十八条、第十九条及び第四十六条に定める書面のほか、次に掲げる書面を添付しなければならない。
(2) Beyond the documents specified in Article 18, Article 19, and Article 46 of the Commercial Registration Act, the following documents must accompany a written application for the registration of incorporation referred to in the preceding paragraph:
一 組織変更計画書
(i) the organizational conversion plan;
二 定款
(ii) the articles of incorporation;
三 組織変更をする会員商品取引所の組織変更会員総会の議事録
(iii) the minutes of the general meeting concerning the organizational conversion of the member commodity exchange implementing the organizational conversion;
四 組織変更後株式会社商品取引所の取締役(組織変更後株式会社商品取引所が監査役設置会社(監査役の監査を会計に関するものに限定する旨の定款の定めがある株式会社を含む。)である場合にあつては、取締役及び監査役)が就任を承諾したことを証する書面
(iv) a document evidencing that the officers of the incorporated commodity exchange after the organizational conversion (or, if the incorporated commodity exchange after organizational conversion will be a company with company auditors (including a stock company whose articles of incorporation provide that audits by company auditors are limited to accounting matters), the officers and company auditors) have accepted those positions;
五 組織変更時における組織変更前の会員商品取引所に現に存する純資産額を証する書面
(v) a document evidencing the amount of net assets the pre-organizational conversion member commodity exchange has as of the time of the organizational conversion;
六 組織変更後株式会社商品取引所の会計参与又は会計監査人を定めたときは、商業登記法第五十四条第二項各号に掲げる書面
(vi) if an accounting advisor or accounting auditor has been appointed for the incorporated commodity exchange after organizational conversion, the documents set forth in the items of Article 54, paragraph (2) of the Commercial Registration Act;
七 株主名簿管理人を置いたときは、その者との契約を証する書面
(vii) if an administrator of the shareholder register has been appointed, a document evidencing the contract with that person;
八 第百二十四条第二項の規定による公告及び催告(同条第三項の規定により公告を官報のほか時事に関する事項を掲載する日刊新聞紙に掲載する方法又は電子公告によつてした場合にあつては、これらの方法による公告)をしたこと並びに異議を述べた債権者があるときは、当該債権者に対し、弁済し、若しくは相当の担保を提供し、若しくは当該債権者に弁済を受けさせることを目的として相当の財産を信託したこと又は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ことを証する書面
(viii) a document evidencing that the public notice under Article 124, paragraph (2) (or, if public notice is issued both in the official gazette and by publication in a daily newspaper that publishes the particulars of current events or electronic public notice pursuant to the provisions of the paragraph (3) of that Article, public notice through such means) has been issued, and, if a creditor has stated an objection, a document evidencing that the debt has been repaid or suitable collateral has been provided to the creditor, that suitable property has been deposited in trust for the purpose of allowing the creditor to receive payment for the debt, or that the organizational conversion is unlikely to harm the creditor;
九 第百二十九条の規定により組織変更に際して株式を発行したときは、次に掲げる書面
(ix) if shares have been issued upon organizational conversion pursuant to the provisions of Article 129, the following documents:
イ 株式の引受けの申込みを証する書面
(a) a document evidencing offers to subscribe for shares;
ロ 金銭を出資の目的とするときは、第百三十一条の三第一項の規定による払込みがあつたことを証する書面
(b) if money is the subject of contributions, a document evidencing that the payments under Article 131-3, paragraph (1) have been made;
ハ 金銭以外の財産を出資の目的とするときは、次に掲げる書面
(c) if property other than money is the subject of contribution, the following documents:
(1) 検査役が選任されたときは、検査役の調査報告を記載した書面及びその附属書類
1. if an inspector has been appointed, a document containing the investigation report by the inspector and the annexed documents to the same;
(2) 第百三十一条の六において準用する会社法第二百七条第九項第三号に掲げる場合には、有価証券の市場価格を証する書面
2. in a case set forth in Article 207, paragraph (9), item (iii) of the Companies Act as applied mutatis mutandis pursuant to Article 131-6, a document evidencing the market price of the securities;
(3) 第百三十一条の六において準用する会社法第二百七条第九項第四号に掲げる場合には、同号に規定する証明を記載した書面及びその附属書類
3. in a case set forth in Article 207, paragraph (9), item (iv) of the Companies Act as applied mutatis mutandis pursuant to Article 131-6, a document containing the verification prescribed in that item and the annexed documents thereto;
(4) 第百三十一条の六において準用する会社法第二百七条第九項第五号に掲げる場合には、同号の金銭債権について記載された会計帳簿
4. in a case set forth in Article 207, paragraph (9), item (v) of the Companies Act as applied mutatis mutandis pursuant to Article 131-6, the account book in which the monetary claim set forth in that item has been entered.
ニ 検査役の報告に関する裁判があつたときは、その謄本
(d) if a judicial decision has been reached in connection with a report by an inspector, a certified copy of that judicial decision.
3 商業登記法第七十六条及び第七十八条の規定は、第一項の会員商品取引所の組織変更の登記について準用する。
(3) The provisions of Article 76 and Article 78 of the Commercial Registration Act apply mutatis mutandis to the registration referred to in paragraph (1) of the organizational conversion of a member commodity exchange.
(組織変更の効力の発生等)
(The Coming into Effect of an Organizational Conversion)
第百三十五条 組織変更をする会員商品取引所は、効力発生日又は第百三十二条第一項の主務大臣の認可を受けた日のいずれか遅い日に、株式会社商品取引所となる。
Article 135 (1) A member commodity exchange implementing an organizational conversion becomes a incorporated commodity exchange on the effective date or on the day on which it obtains the authorization of the competent minister which is referred to in Article 132, paragraph (1), whichever comes later.
2 組織変更をする会員商品取引所は、組織変更の効力が生じた日に、第百二十二条第四項第一号及び第二号に掲げる事項についての定めに従い、当該事項に係る定款の変更をしたものとみなす。
(2) A member commodity exchange implementing an organizational conversion is deemed to have changed its articles of incorporation in respect of the particulars set forth in Article 122, paragraph (4), items (i) and (ii), in accordance with the provisions about those particulars, on the day on which the organizational conversion comes into effect.
3 組織変更をする会員商品取引所の会員は、組織変更の効力が生じた日に、第百二十二条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。
(3) The member of a member commodity exchange implementing an organizational conversion becomes the shareholder of the shares referred to in Article 122, paragraph (4), item (v), in accordance with the provisions about the particulars set forth in item (vi) of that paragraph, on the day on which the organizational conversion comes into effect.
4 前三項の規定は、第百二十四条の規定による手続が終了していない場合又は組織変更を中止した場合には、適用しない。
(4) The provisions of the preceding three paragraphs do not apply if the process under Article 124 is not complete or if the organizational conversion is suspended.
第百三十六条 削除
Article 136 Deleted.
(組織変更の無効の訴え)
(Action to Invalidate an Organizational Conversion)
第百三十七条 会社法第八百二十八条第一項(第六号に係る部分に限る。)及び第二項(第六号に係る部分に限る。)、第八百三十四条(第六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、第八百四十六条並びに第九百三十七条第三項(第一号に係る部分に限る。)の規定は、組織変更の無効の訴えについて準用する。この場合において、同項中「各会社の本店」とあるのは、「株式会社商品取引所の本店及び支店並びに会員商品取引所の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。
Article 137 The provisions of Article 828, paragraph (1) (limited to the part that involves item (vi)) and paragraph (2) of the Companies Act (limited to the part that involves item (vi)) and of Article 834 (limited to the part that involves item (vi)); Article 835, paragraph (1); Articles 836 through 839; Article 846; and Article 937, paragraph (3) (limited to the part that involves item (i)) of that Act apply mutatis mutandis to an action to invalidate an organizational conversion. In this case, in that paragraph, the phrase "the head office of each company" is deemed to be replaced with "the head office and branch offices of the incorporated commodity exchange and the principal office and secondary offices of the member commodity exchange".
(政令への委任)
(Delegation to Cabinet Order)
第百三十八条 この法律に定めるもののほか、商品取引所の組織変更に関し必要な事項は、政令で定める。
Article 138 Beyond what is provided for in this Act, necessary particulars relevant to the organizational conversion of a commodity exchange are specified by Cabinet Order.
第六節 合併
Section 6 Mergers
第一款 総則
Subsection 1 General Provisions
第百三十九条 会員商品取引所は、他の会員商品取引所又は株式会社商品取引所と合併をすることができる。この場合においては、合併をする商品取引所は、合併契約を締結しなければならない。
Article 139 (1) A member commodity exchange may merge with another member commodity exchange or with an incorporated commodity exchange. In such a case, the commodity exchanges effecting the merger must conclude a merger agreement.
2 会員商品取引所が吸収合併(商品取引所が他の商品取引所とする合併であつて、合併により消滅する商品取引所(以下この節において「吸収合併消滅商品取引所」という。)の権利義務の全部を合併後存続する商品取引所(以下この節において「吸収合併存続商品取引所」という。)に承継させるものをいう。以下同じ。)又は新設合併(二以上の商品取引所がする合併であつて、合併により消滅する商品取引所(以下この節において「新設合併消滅商品取引所」という。)の権利義務の全部を合併により設立する商品取引所(以下この節において「新設合併設立商品取引所」という。)に承継させるものをいう。以下同じ。)をする場合には、吸収合併存続商品取引所又は新設合併設立商品取引所は、次の各号に掲げる場合の区分に応じ、当該各号に定める者でなければならない。
(2) If a member commodity exchange effects an absorption-type merger (meaning the merger of one commodity exchange with another commodity exchange, in which the commodity exchange surviving the merger (hereinafter referred to as the "commodity exchange surviving the absorption-type merger" in this Section) succeeds to all of the rights and obligations of the commodity exchange that disappears in the merger (hereinafter referred to as the "commodity exchange dissolved in an absorption-type merger" in this Section); the same applies hereinafter) or a consolidation-type merger (meaning the merger of two or more commodity exchanges, in which the commodity exchange incorporated in the merger (hereinafter referred to as the "commodity exchange incorporated in the consolidation-type merger" in this Section) succeeds to all of the rights and obligations of the commodity exchanges dissolved as a result of the merger (hereinafter referred to as the "commodity exchange dissolved in the consolidation-type merger" in this Section); the same applies hereinafter), the commodity exchange surviving the absorption-type merger or the commodity exchange incorporated in the consolidation-type merger must be the entity prescribed in the relevant of the following items for the category set forth in that item:
一 会員商品取引所と会員商品取引所とが合併する場合 会員商品取引所
(i) a merger between a member commodity exchange and a member commodity exchange: a member commodity exchange;
二 会員商品取引所と株式会社商品取引所とが合併する場合 株式会社商品取引所
(ii) a merger between a member commodity exchange and an incorporated commodity exchange: an incorporated commodity exchange.
第二款 会員商品取引所と会員商品取引所との合併
Subsection 2 Mergers between a member commodity exchange and a member commodity exchange
(会員商品取引所と会員商品取引所との吸収合併契約)
(Absorption-Type Merger Agreements between a Member Commodity Exchange and a Member Commodity Exchange)
第百四十条 会員商品取引所と会員商品取引所とが吸収合併をする場合には、吸収合併契約において、次に掲げる事項を定めなければならない。
Article 140 If a member commodity exchange and a member commodity exchange effect an absorption-type merger, the following particulars must be specified in the absorption-type merger agreement:
一 会員商品取引所である吸収合併存続商品取引所(以下この節において「吸収合併存続会員商品取引所」という。)及び会員商品取引所である吸収合併消滅商品取引所(以下この節において「吸収合併消滅会員商品取引所」という。)の名称及び住所
(i) the name and address of the member commodity exchange that constitutes the commodity exchange surviving the absorption-type merger (hereinafter referred to as the "member commodity exchange surviving the absorption-type merger" in this Section) and the name and address of the member commodity exchange that constitutes the commodity exchange dissolved in the absorption-type merger (hereinafter referred to as the "member commodity exchange dissolved in the absorption-type merger" in this Section);
二 吸収合併がその効力を生ずべき日(以下この節において「効力発生日」という。)
(ii) the day on which the absorption-type merger comes into effect (hereinafter referred to as the "effective date" in this Section);
三 前二号に掲げる事項のほか、主務省令で定める事項
(iii) particulars specified by order of the competent ministry other than those listed in the preceding two items.
(会員商品取引所と会員商品取引所との新設合併契約)
(Consolidation-Type Merger Agreements between a Member Commodity Exchange and a Member Commodity Exchange)
第百四十一条 会員商品取引所と会員商品取引所とが新設合併をする場合には、新設合併契約において、次に掲げる事項を定めなければならない。
Article 141 If a member commodity exchange and a member commodity exchange effect a consolidation-type merger, the following particulars must be specified in the consolidation-type merger agreement:
一 会員商品取引所である新設合併消滅商品取引所(以下この節において「新設合併消滅会員商品取引所」という。)の名称及び住所
(i) the names and addresses of the member commodity exchanges that constitute the commodity exchanges dissolved in the consolidation-type merger (hereinafter each such exchange is referred to as a "member commodity exchange dissolved in the consolidation-type merger" in this Section);
二 会員商品取引所である新設合併設立商品取引所(以下この節において「新設合併設立会員商品取引所」という。)の目的、名称及び主たる事務所の所在地
(ii) the purpose, name, and location of the principal office of the member commodity exchange that constitutes the commodity exchange incorporated in the consolidation-type merger (hereinafter referred to as the "member commodity exchange incorporated in the consolidation-type merger" in this Section)
三 前号に掲げるもののほか、新設合併設立会員商品取引所の定款で定める事項
(iii) particulars specified by the articles of incorporation of the member commodity exchange incorporated in the consolidation-type merger, other than what is set forth in the preceding item;
四 新設合併設立会員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
(iv) the names of the persons that will become the president, officers, and auditors at the time of the incorporation of the member commodity exchange incorporated in the consolidation-type merger;
五 前各号に掲げる事項のほか、主務省令で定める事項
(v) particulars specified by order of the competent ministry, other than those set forth in the preceding items.
第三款 会員商品取引所と株式会社商品取引所との合併
Subsection 3 Mergers between a Member Commodity Exchange and an Incorporated Commodity Exchange
(会員商品取引所と株式会社商品取引所との吸収合併契約)
(Absorption-Type Merger Agreement between a Member Commodity Exchange and an Incorporated Commodity Exchange)
第百四十二条 会員商品取引所と株式会社商品取引所とが吸収合併をする場合には、吸収合併契約において、次に掲げる事項を定めなければならない。
Article 142 If a member commodity exchange and an incorporated commodity exchange effect an absorption-type merger, the following particulars must be specified in the absorption-type merger agreement:
一 株式会社商品取引所である吸収合併存続商品取引所(以下この節において「吸収合併存続株式会社商品取引所」という。)の商号及び住所並びに吸収合併消滅会員商品取引所の名称及び住所
(i) the trade name and address of the incorporated commodity exchange that constitutes the commodity exchange surviving the absorption-type merger (hereinafter referred to as the "incorporated commodity exchange surviving the absorption-type merger" in this Section) and the name and address of the incorporated commodity exchange that constitutes the member commodity exchange dissolved in the absorption-type merger;
二 吸収合併存続株式会社商品取引所が吸収合併に際して吸収合併消滅会員商品取引所の会員に対してその持分に代わる株式等(株式又は金銭をいう。以下同じ。)を交付するときは、当該株式等についての次に掲げる事項
(ii) if, at the time of the absorption-type merger, the incorporated commodity exchange surviving the absorption-type merger will deliver shares, etc. (meaning shares or money; the same applies hereinafter) to the members of the member commodity exchange dissolved in the absorption-type merger to replace their equity interest, the following matters in connection with those shares, etc.:
イ 当該株式等が吸収合併存続株式会社商品取引所の株式であるときは、当該株式の数(種類株式発行会社にあつては、株式の種類及び種類ごとの数)又はその数の算定方法並びに当該吸収合併存続株式会社商品取引所の資本金及び準備金の額に関する事項
(a) if the shares, etc. are shares in the incorporated commodity exchange surviving the absorption-type merger, the number of them (or, for a company issuing class shares, the classes of shares and the number of shares in each class) or the method of calculating their number, and the particulars of the amount of stated capital and reserves of the incorporated commodity exchange surviving the absorption-type merger;
ロ 当該株式等が金銭であるときは、当該金銭の額又はその算定方法
(b) if the shares, etc. are money, the amount of that money or the method of calculating it.
三 前号に規定する場合には、吸収合併消滅会員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
(iii) in the case prescribed in the preceding item, the particulars of the allotment of the shares, etc. referred to in that item to members of the member commodity exchange dissolved in the absorption-type merger;
四 効力発生日
(iv) the effective date;
五 前各号に掲げる事項のほか、主務省令で定める事項
(v) particulars specified by order of the competent ministry, other than those set forth in the preceding items.
(会員商品取引所と株式会社商品取引所との新設合併契約)
(Consolidation-type Merger Agreements between a Member Commodity Exchange and an Incorporated Commodity Exchange)
第百四十三条 会員商品取引所と株式会社商品取引所とが新設合併をする場合には、新設合併契約において、次に掲げる事項を定めなければならない。
Article 143 (1) If a member commodity exchange and an incorporated commodity exchange effect a consolidation-type merger, the following particulars must be specified in the consolidation-type merger agreement:
一 新設合併消滅会員商品取引所の名称及び住所並びに株式会社商品取引所である新設合併消滅商品取引所(以下この節において「新設合併消滅株式会社商品取引所」という。)の商号及び住所
(i) the name and address of the member commodity exchanges dissolved in the consolidation-type merger and the trade name and address of the incorporated commodity exchange that constitutes the commodity exchange dissolved in the consolidation-type merger (hereinafter referred to as the "incorporated commodity exchange dissolved in the consolidation-type merger" in this Section);
二 株式会社商品取引所である新設合併設立商品取引所(以下この節において「新設合併設立株式会社商品取引所」という。)の目的、商号、本店の所在地及び発行可能株式総数
(ii) the purpose, trade name, location of the head office, and total number of authorized shares of the incorporated commodity exchange that constitutes the commodity exchange incorporated in the consolidation-type merger (hereinafter referred to as the "incorporated commodity exchange incorporated in the consolidation-type merger" in this Section);
三 前号に掲げるもののほか、新設合併設立株式会社商品取引所の定款で定める事項
(iii) particulars specified in the articles of establishment of the incorporated commodity exchange incorporated in the consolidation-type merger, other than what is set forth in the preceding item;
四 新設合併設立株式会社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
(iv) the name of the persons that will become directors at the time of the establishment of the incorporated commodity exchange incorporated in the consolidation-type merger, and the name of the person that will become the accounting auditor at the time of its incorporation;
五 次に掲げる場合の区分に応じ、次に定める事項
(v) the matters prescribed in the relevant of the following for the category of case set forth therein:
イ 新設合併設立株式会社商品取引所が会計参与設置会社である場合 新設合併設立株式会社商品取引所の設立に際して会計参与となる者の氏名又は名称
(a) if the incorporated commodity exchange incorporated in the consolidation-type merger will be a company with an accounting advisor: the name of the person that will become the accounting advisor at the time of the establishment of the incorporated commodity exchange incorporated in the consolidation-type merger;
ロ 新設合併設立株式会社商品取引所が監査役設置会社(監査役の監査の範囲を会計に関するものに限定する旨の定款の定めがある株式会社を含む。)である場合 新設合併設立株式会社商品取引所の設立に際して監査役となる者の氏名
(b) if the incorporated commodity exchange incorporated in the consolidation-type merger will be a company with a company auditor (including a stock company whose articles of incorporation provide that the scope of audits by a company auditor is limited to accounting matters): the name of the person that will become the company auditor at the time of the establishment of the incorporated commodity exchange incorporated in the consolidation-type merger.
六 新設合併設立株式会社商品取引所が新設合併に際して新設合併消滅会員商品取引所の会員又は新設合併消滅株式会社商品取引所の株主に対して交付するその持分又は株式に代わる当該新設合併設立株式会社商品取引所の株式の数(種類株式発行会社にあつては、株式の種類及び種類ごとの数)又はその数の算定方法並びに当該新設合併設立株式会社商品取引所の資本金及び準備金の額に関する事項
(vi) the number of shares in the incorporated commodity exchange incorporated in the consolidation-type merger (for a company with class shares, the classes of shares and the number of shares in each class) that the incorporated commodity exchange incorporated in the consolidation-type merger will deliver to members of the member commodity exchange dissolved in the consolidation-type merger or shareholders of the incorporated commodity exchange dissolved in the consolidation-type merger to replace their equity interest or shares, at the time of the consolidation-type merger, or the method of calculating that number, and the particulars of the amount of stated capital and reserves of the incorporated commodity exchange incorporated in the consolidation-type merger;
七 新設合併消滅会員商品取引所の会員又は新設合併消滅株式会社商品取引所の株主(新設合併消滅商品取引所を除く。)に対する前号の株式の割当てに関する事項
(vii) the particulars of the allotment of the shares referred to in the preceding item to members of the member commodity exchange dissolved in the consolidation-type merger and shareholders of the incorporated commodity exchange dissolved in the consolidation-type merger (meaning shareholders other than the commodity exchange dissolved in the consolidation-type merger);
八 新設合併消滅株式会社商品取引所が新株予約権を発行しているときは、新設合併設立株式会社商品取引所が新設合併に際して当該新株予約権の新株予約権者に対して交付する当該新株予約権に代わる当該新設合併設立株式会社商品取引所の新株予約権又は金銭についての次に掲げる事項
(viii) if the incorporated commodity exchange dissolved in the consolidation-type merger has issued share options, the following matters as regards share options in the incorporated commodity exchange incorporated in the consolidation-type merger or the money that the incorporated commodity exchange incorporated in the consolidation-type merger will deliver to the holders of share options in the incorporated commodity exchange dissolved in the consolidation-type merger at the time of the consolidation-type merger to replace their share options:
イ 当該新設合併消滅株式会社商品取引所の新株予約権の新株予約権者に対して新設合併設立株式会社商品取引所の新株予約権を交付するときは、当該新株予約権の内容及び数又はその算定方法
(a) if it will issue share options in the incorporated commodity exchange incorporated in the consolidation-type merger to the holders of share options in the incorporated commodity exchange dissolved in the consolidation-type merger, the content and number of share options or the method of calculating it;
ロ イに規定する場合において、イの新設合併消滅株式会社商品取引所の新株予約権が新株予約権付社債に付された新株予約権であるときは、新設合併設立株式会社商品取引所が当該新株予約権付社債についての社債に係る債務を承継する旨並びにその承継に係る社債の種類及び種類ごとの各社債の金額の合計額又はその算定方法
(b) in the case prescribed in (a), if share options in the incorporated commodity exchange dissolved in the consolidation-type merger which are referred to in (a) are the share options that are attached to bonds with share options, the fact that the incorporated commodity exchange incorporated in the consolidation-type merger will succeed to the obligations connected with bonds in respect of those bonds with share options, the classes of bonds subject to the succession, and the total amounts of the bonds in each class or the method of calculating such amounts;
ハ 当該新設合併消滅株式会社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
(c) if it will deliver money to the holders of share options in the incorporated commodity exchange dissolved in the consolidation-type merger, the amount that money or the method of calculating it.
九 前号に規定する場合には、新設合併消滅株式会社商品取引所の新株予約権の新株予約権者に対する同号の新設合併設立株式会社商品取引所の新株予約権又は金銭の割当てに関する事項
(ix) in the case prescribed in the preceding item, the particulars of the allotment of share options in the incorporated commodity exchange incorporated in the consolidation-type ,merger or of the money referred to in the same item to the holders of share options in the incorporated commodity exchange dissolved in the consolidation-type merger.
2 前項に規定する場合において、新設合併消滅株式会社商品取引所の全部又は一部が種類株式発行会社であるときは、新設合併消滅株式会社商品取引所の発行する種類の株式の内容に応じ、同項第七号に掲げる事項(新設合併消滅株式会社商品取引所の株主に係る事項に限る。次項において同じ。)として次に掲げる事項を定めることができる。
(2) In a case prescribed in the preceding paragraph, if the whole or a part of the incorporated commodity exchange dissolved in the consolidation-type merger is a company with class shares, the following particulars may be specified as the particulars set forth in item (vii) of that paragraph (limited to particulars of the shareholders of the incorporated commodity exchange dissolved in the consolidation-type merger; the same applies in the following paragraph) in accordance with the features of the classes of shares issued by the incorporated commodity exchange dissolved in the consolidation-type merger:
一 ある種類の株式の株主に対して新設合併設立株式会社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
(i) it will not allot shares in the incorporated commodity exchange incorporated in the consolidation-type merger to shareholders of certain classes of shares, an indication of this and the relevant classes of shares;
二 前号に掲げる事項のほか、新設合併設立株式会社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
(ii) if it will handle the allotment of shares in the incorporated commodity exchange incorporated in the consolidation-type merger differently for each class of shares but other than as is set forth in the preceding item, an indication of this and the details of the differential handling.
3 第一項に規定する場合には、同項第七号に掲げる事項についての定めは、新設合併消滅株式会社商品取引所の株主(新設合併消滅商品取引所及び前項第一号の種類の株式の株主を除く。)の有する株式の数(前項第二号に掲げる事項についての定めがある場合にあつては、各種類の株式の数)に応じて新設合併設立株式会社商品取引所の株式を交付することを内容とするものでなければならない。
(3) in a case prescribed in paragraph (1), the provisions with regard to the particulars set forth in item (vii) of that paragraph must prescribe that shares in the incorporated commodity exchange incorporated in the consolidation-type merger will be issued in proportion to the number of shares (if the particulars set forth in item (ii) of the preceding paragraph are provided for, the number of shares in each class) held by the shareholders of the incorporated commodity exchange dissolved in the consolidation-type merger (meaning shareholders other than the commodity exchanges dissolved in the consolidation-type merger and shareholders in the classes of shares referred to in item (i) of the preceding paragraph).
第四款 会員商品取引所の合併の手続
Subsection 4 Merger Procedures for Member Commodity Exchanges
(吸収合併消滅会員商品取引所の手続)
(Procedures for a Member Commodity Exchange Dissolved in an Absorption-Type Merger)
第百四十四条 吸収合併消滅会員商品取引所は、第四項の会員総会の日の十日前の日から吸収合併の効力が生ずる日までの間、吸収合併契約の内容その他主務省令で定める事項を記載し、又は記録した書面又は電磁的記録を主たる事務所に備え置かなければならない。
Article 144 (1) During the period from 10 days prior to the day of the general meeting referred to in paragraph (4) until the day on which the absorption-type merger comes into effect, the member commodity exchange dissolved in an absorption-type merger must keep documents or electronic or magnetic records that state or contain a record of the details of the absorption-type merger agreement and the particulars specified by order of the competent ministry, at its principal office.
2 吸収合併消滅会員商品取引所の会員及び債権者は、吸収合併消滅会員商品取引所に対して、その事業時間内は、いつでも、次に掲げる請求をすることができる。ただし、第二号又は第四号に掲げる請求をするには、当該吸収合併消滅会員商品取引所の定めた費用を支払わなければならない。
(2) The member or creditor of a member commodity exchange dissolved in an absorption-type merger may make the following requests of the member commodity exchange dissolved in the absorption-type merger at any time during its business hours; provided, however, that in making the request set forth in item (ii) or (iv), the member or creditor must pay the cost stipulated by the member commodity exchange dissolved in the absorption-type merger:
一 前項の書面の閲覧の請求
(i) a request to inspect a document referred to in the preceding paragraph;
二 前項の書面の謄本又は抄本の交付の請求
(ii) a request to be issued a certified copy or extract of a document referred to in the preceding paragraph;
三 前項の電磁的記録に記録された事項を主務省令で定める方法により表示したものの閲覧の請求
(iii) a request to inspect something that shows the particulars that have been recorded in an electronic or magnetic record referred to in the preceding paragraph, through a means specified by order of the competent ministry;
四 前項の電磁的記録に記録された事項を電磁的方法であつて主務省令で定めるものにより提供することの請求又はその事項を記載した書面の交付の請求
(iv) a request to be provided with the particulars that have been recorded in an electronic or magnetic record referred to in the preceding paragraph by an electronic or magnetic means specified by order of the competent ministry, or a request to be issued a document that states those particulars.
3 吸収合併消滅会員商品取引所は、前項の規定による請求があつたときは、正当な理由がないのにこれを拒んではならない。
(3) If a member commodity exchange dissolved in an absorption-type merger has had a request as under the preceding paragraph, it must not refuse that request without legitimate grounds.
4 吸収合併消滅会員商品取引所は、効力発生日の前日までに、会員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。
(4) A member commodity exchange dissolved in an absorption-type merger must gain approval for the absorption-type merger agreement by general meeting resolution by the day preceding the effective date.
5 第百二十四条の規定は、吸収合併消滅会員商品取引所について準用する。
(5) The provisions of Article 124 apply mutatis mutandis to a member commodity exchange dissolved in an absorption-type merger.
6 吸収合併消滅会員商品取引所は、吸収合併存続商品取引所との合意により、効力発生日を変更することができる。
(6) A member commodity exchange dissolved in an absorption-type merger may change the effective date by agreement with the commodity exchange surviving the absorption-type merger.
7 前項の場合には、吸収合併消滅会員商品取引所は、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。
(7) In the case referred to in the preceding paragraph, the member commodity exchange dissolved in the absorption-type merger must issue public notice of the new effective date by the day preceding the old effective date (or, if the new effective date comes before the old effective date, by the day immediately preceding the new effective date).
8 第六項の規定により効力発生日を変更したときは、変更後の効力発生日を効力発生日とみなして、この節の規定を適用する。
(8) If the effective date is changed pursuant to the provisions of paragraph (6), the new effective date is deemed to be the effective date and the provisions of this Section apply.
(吸収合併存続会員商品取引所の手続)
(Procedures for a Member Commodity Exchange Surviving an Absorption-Type Merger)
第百四十四条の二 吸収合併存続会員商品取引所は、次項の会員総会の日の十日前の日から吸収合併の効力が生じた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主務省令で定める事項を記載し、又は記録した書面又は電磁的記録を主たる事務所に備え置かなければならない。
Article 144-2 (1) During the period from 10 days prior to the day of the general meeting referred to in the following paragraph until the day on which six months have passed from the day the absorption-type merger comes into effect, a member commodity exchange surviving an absorption-type merger must keep documents or electronic or magnetic records that state or contain a record of the details of the absorption-type merger agreement and the particulars specified by Order of the competent ministry, at its principal office.
2 吸収合併存続会員商品取引所は、効力発生日の前日までに、会員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。
(2) A member commodity exchange surviving an absorption-type merger must obtain approval for the absorption-type merger agreement by general meeting resolution by the day preceding the effective date.
3 第百二十四条の規定は、吸収合併存続会員商品取引所について準用する。
(3) The provisions of Article 124 apply mutatis mutandis to a member commodity exchange surviving an absorption-type merger.
4 吸収合併存続会員商品取引所は、吸収合併の効力が生じた日後遅滞なく、吸収合併により吸収合併存続会員商品取引所が承継した吸収合併消滅会員商品取引所の権利義務その他の吸収合併に関する事項として主務省令で定める事項を記載し、又は記録した書面又は電磁的記録を作成しなければならない。
(4) A member commodity exchange surviving an absorption-type merger must create a document or an electronic or magnetic record that states or contains a record of the particulars of the rights and obligations of the member commodity exchange dissolved in the absorption-type merger to which the member commodity exchange surviving the absorption-type merger has succeeded as a result of the absorption-type merger, and that state or contain a record of other particulars specified by Order of the competent ministry as pertinent to the absorption-type merger, without delay after the day on which the absorption-type merger comes into effect.
5 吸収合併存続会員商品取引所は、吸収合併の効力が生じた日から六月間、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。
(5) During a six-month period beginning from the day on which an absorption-type merger comes into effect, the member commodity exchange surviving the absorption-type merger must keep the document or electronic or magnetic record referred to in the preceding paragraph at its principal office.
6 吸収合併存続会員商品取引所の会員及び債権者は、吸収合併存続会員商品取引所に対して、その事業時間内は、いつでも、次に掲げる請求をすることができる。ただし、第二号又は第四号に掲げる請求をするには、当該吸収合併存続会員商品取引所の定めた費用を支払わなければならない。
(6) The member or creditor of a member commodity exchange surviving an absorption-type merger may make the following request of the member commodity exchange surviving the absorption-type merger at any time during its business hours; provided, however, that in making the request set forth in item (ii) or (iv), the member or creditor must pay the cost stipulated by the member commodity exchange surviving the absorption-type merger:
一 第一項又は前項の書面の閲覧の請求
(i) a request to inspect a document referred to in paragraph (1) or the preceding paragraph;
二 第一項又は前項の書面の謄本又は抄本の交付の請求
(ii) a request to be issued a certified copy or extract of a document referred to in paragraph (1) or the preceding paragraph;
三 第一項又は前項の電磁的記録に記録された事項を主務省令で定める方法により表示したものの閲覧の請求
(iii) a request to inspect something that shows the particulars that have been recorded in an electronic or magnetic record referred to in paragraph (1) or the preceding paragraph, through a means specified by Order of the competent ministry;
四 第一項又は前項の電磁的記録に記録された事項を電磁的方法であつて主務省令で定めるものにより提供することの請求又はその事項を記載した書面の交付の請求
(iv) a request to be provided with the particulars that have been recorded in an electronic or magnetic record referred to in paragraph (1) or the preceding paragraph by an electronic or magnetic means specified by Order of the competent ministry, or a request to be issued a document that states those particulars.
7 吸収合併存続会員商品取引所は、前項の規定による請求があつたときは、正当な理由がないのにこれを拒んではならない。
(7) If a member commodity exchange surviving an absorption-type merger has had a request as under the preceding paragraph, it must not refuse that request without legitimate grounds.
(新設合併消滅会員商品取引所の手続)
(Procedures for a Member Commodity Exchange Dissolved in a Consolidation-Type Merger)
第百四十四条の三 新設合併消滅会員商品取引所は、第四項の会員総会の日の十日前の日から新設合併設立商品取引所の成立の日までの間、新設合併契約の内容その他主務省令で定める事項を記載し、又は記録した書面又は電磁的記録を主たる事務所に備え置かなければならない。
Article 144-3 (1) During the period from 10 days prior to the day of the general meeting set forth in paragraph (4) until the day of the establishment of the commodity exchange incorporated in the consolidation-type merger, a member commodity exchange dissolved in the consolidation-type merger must keep documents or electronic or magnetic records that state or contain a record of the details of the consolidation-type merger agreement and the particulars specified by Order of the competent ministry, at its principal office.
2 新設合併消滅会員商品取引所の会員及び債権者は、新設合併消滅会員商品取引所に対して、その事業時間内は、いつでも、次に掲げる請求をすることができる。ただし、第二号又は第四号に掲げる請求をするには、当該新設合併消滅会員商品取引所の定めた費用を支払わなければならない。
(2) The member or creditor of a member commodity exchange dissolved in a consolidation-type merger may make the following requests of a member commodity exchange dissolved in the consolidation-type merger at any time during its business hours; provided, however, that in making the request set forth in item (ii) or (iv), the member or creditor must pay the cost stipulated by the member commodity exchange dissolved in the consolidation-type merger:
一 前項の書面の閲覧の請求
(i) a request to inspect a document referred to in the preceding paragraph;
二 前項の書面の謄本又は抄本の交付の請求
(ii) a request to be issued a certified copy or extract of a document referred to in the preceding paragraph;
三 前項の電磁的記録に記録された事項を主務省令で定める方法により表示したものの閲覧の請求
(iii) a request to inspect something that shows the particulars that have been recorded in an electronic or magnetic record referred to in the preceding paragraph, through a means specified by Order of the competent ministry;
四 前項の電磁的記録に記録された事項を電磁的方法であつて主務省令で定めるものにより提供することの請求又はその事項を記載した書面の交付の請求
(iv) a request to be provided with the particulars that have been recorded in an electronic or magnetic record referred to in the preceding paragraph by an electronic or magnetic means specified by Order of the competent ministry, or a request to be issued a document that states those particulars.
3 新設合併消滅会員商品取引所は、前項の規定による請求があつたときは、正当な理由がないのにこれを拒んではならない。
(3) If a member commodity exchange dissolved in a consolidation-type merger has had a request as under the preceding paragraph, it must not refuse that request without legitimate grounds.
4 新設合併消滅会員商品取引所は、会員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。
(4) A member commodity exchange dissolved in a consolidation-type merger must obtain approval for the consolidation-type merger agreement by general meeting resolution.
5 第百二十四条の規定は、新設合併消滅会員商品取引所について準用する。
(5) The provisions of Article 124 apply mutatis mutandis to a member commodity exchange dissolved in a consolidation-type merger.
(新設合併設立会員商品取引所の手続)
(Procedures for a Member Commodity Exchange Incorporated in a Consolidation-Type Merger)
第百四十四条の四 第二節第一款(第七条、第八条、第十一条第二項、第四項及び第五項前段、第十六条第一項、第十九条、第二十条第二項、第二十一条から第二十五条まで並びに第二十七条を除く。)の規定は、新設合併設立会員商品取引所の設立については、適用しない。
Article 144-4 (1) The provisions of Section 2, Subsection 1 (excluding Article 7; Article 8; Article 11, paragraph (2), paragraph (4), and the first sentence of paragraph (5); Article 16, paragraph (1); Article 19; Article 20, paragraph (2); Articles 21 through 25; and Article 27) do not apply to the incorporation of the member commodity exchange incorporated in a consolidation-type merger.
2 新設合併設立会員商品取引所の定款は、新設合併消滅会員商品取引所が作成する。
(2) The articles of incorporation of a member commodity exchange incorporated in a consolidation-type merger are created by the member commodity exchanges dissolved in the consolidation-type merger.
3 新設合併設立会員商品取引所は、その成立の日後遅滞なく、新設合併により新設合併設立会員商品取引所が承継した新設合併消滅会員商品取引所の権利義務その他の新設合併に関する事項として主務省令で定める事項を記載し、又は記録した書面又は電磁的記録を作成しなければならない。
(3) A member commodity exchange incorporated in a consolidation-type merger must create a document or an electronic or magnetic record that states or contains a record of the of the rights and obligations of the member commodity exchanges dissolved in the consolidation-type merger to which the member commodity exchange incorporated in the consolidation-type merger will succeed as a result of the consolidation-type merger, and of other particulars specified by Order of the competent ministry as matters pertinent to the consolidation-type merger, without delay after the day of its incorporation.
4 新設合併設立会員商品取引所は、その成立の日から六月間、前項の書面又は電磁的記録及び新設合併契約の内容その他主務省令で定める事項を記載し、又は記録した書面又は電磁的記録をその主たる事務所に備え置かなければならない。
(4) During the six-month period beginning from its incorporation, a member commodity exchange incorporated in a consolidation-type merger must keep the documents or electronic or magnetic records referred to in the preceding paragraph and documents or electronic or magnetic records that state or contain a record of the details of the consolidation-type merger agreement and the particulars specified by Order of the competent ministry, at its principal office.
5 新設合併設立会員商品取引所の会員及び債権者は、新設合併設立会員商品取引所に対して、その事業時間内は、いつでも、次に掲げる請求をすることができる。ただし、第二号又は第四号に掲げる請求をするには、当該新設合併設立会員商品取引所の定めた費用を支払わなければならない。
(5) The member or creditor of a member commodity exchange incorporated in a consolidation-type merger may make the following requests of the member commodity exchange incorporated in the consolidation-type merger at any time during its business hours; provided, however, that in making the request set forth in item (ii) or (iv), the member or creditor must pay the cost stipulated by the member commodity exchange incorporated in the consolidation-type merger:
一 前項の書面の閲覧の請求
(i) a request to inspect a document referred to in the preceding paragraph;
二 前項の書面の謄本又は抄本の交付の請求
(ii) a request to be issued a certified copy or extract of a document referred to in the preceding paragraph;
三 前項の電磁的記録に記録された事項を主務省令で定める方法により表示したものの閲覧の請求
(iii) a request to inspect something that shows the particulars that have been recorded in an electronic or magnetic record referred to in the preceding paragraph, through a means specified by Order of the competent ministry;
四 前項の電磁的記録に記録された事項を電磁的方法であつて主務省令で定めるものにより提供することの請求又はその事項を記載した書面の交付の請求
(iv) a request to be provided with the particulars that have been recorded in an electronic or magnetic record referred to in the preceding paragraph by an electronic or magnetic means specified by Order of the competent ministry, or a request to be issued a document that states those particulars.
6 新設合併設立会員商品取引所は、前項の規定による請求があつたときは、正当な理由がないのにこれを拒んではならない。
(6) If a member commodity exchange incorporated in a consolidation-type merger has had a request as under the preceding paragraph, it must not refuse that request without legitimate grounds.
第五款 株式会社商品取引所の合併の手続
Subsection 5 Merger Procedures for Incorporated Commodity Exchanges
第一目 吸収合併存続株式会社商品取引所の手続
Division 1 Procedures for the Incorporated Commodity Exchange Surviving an Absorption-Type Merger
(吸収合併契約に関する書面等の備置き及び閲覧等)
(The Keeping and Inspection of Absorption-type Merger Agreement Documents)
第百四十四条の五 吸収合併存続株式会社商品取引所(会員商品取引所と株式会社商品取引所とが吸収合併をする場合における当該吸収合併存続株式会社商品取引所に限る。以下この目において同じ。)は、次に掲げる日のいずれか早い日から吸収合併の効力が生じた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主務省令で定める事項を記載し、又は記録した書面又は電磁的記録をその本店に備え置かなければならない。
Article 144-5 (1) During the period from one of the following days, whichever comes the earliest, until the day on which six months have elapsed since the day on which the absorption-type merger comes into effect, the incorporated commodity exchange surviving an absorption-type merger (limited to the incorporated commodity exchange surviving an absorption-type merger in an absorption-type merger between a member commodity exchange and an incorporated commodity exchange; hereinafter the same applies in this Division) must keep documents electronic or magnetic records that state or contain a record of the details of the absorption-type merger agreement and the particulars specified by Order of the competent ministry, at its head office:
一 吸収合併契約について株主総会(種類株主総会を含む。)の決議によつてその承認を受けなければならないときは、当該株主総会の日の二週間前の日
(i) if approval for the absorption-type merger agreement must be obtained by a shareholders resolution (including a class shareholders resolution): the day two weeks prior to the day of the relevant shareholders meeting;
二 第百四十四条の八第一項の規定による通知の日又は同条第二項の公告の日のいずれか早い日
(ii) the day of the notice under Article 144-8, paragraph (1) or the day of the public notice referred to in paragraph (2) of that Article, whichever comes earlier;
三 第百四十四条の十第二項の規定による公告の日又は同項の規定による催告の日のいずれか早い日
(iii) the day of the public notice under Article 144-10, paragraph (2) or the day of the notice under the same paragraph, whichever comes earlier.
2 吸収合併存続株式会社商品取引所の株主及び債権者は、吸収合併存続株式会社商品取引所に対して、その営業時間内は、いつでも、次に掲げる請求をすることができる。ただし、第二号又は第四号に掲げる請求をするには、当該吸収合併存続株式会社商品取引所の定めた費用を支払わなければならない。
(2) The shareholder or creditor of an incorporated commodity exchange surviving an absorption-type merger may make the following requests of the incorporated commodity exchange surviving the absorption-type merger at any time during its business hours; provided, however, that in making the request set forth in item (ii) or (iv), the shareholder or creditor must pay the cost stipulated by the incorporated commodity exchange surviving the absorption-type merger:
一 前項の書面の閲覧の請求
(i) a request to inspect a document referred to in the preceding paragraph;
二 前項の書面の謄本又は抄本の交付の請求
(ii) a request to be issued a certified copy or extract of a document referred to in the preceding paragraph;
三 前項の電磁的記録に記録された事項を主務省令で定める方法により表示したものの閲覧の請求
(iii) a request to inspect something that shows the particulars that have been recorded in an electronic or magnetic record referred to in the preceding paragraph, through a means specified by Order of the competent ministry;
四 前項の電磁的記録に記録された事項を電磁的方法であつて主務省令で定めるものにより提供することの請求又はその事項を記載した書面の交付の請求
(iv) a request to be provided with the particulars that have been recorded in an electronic or magnetic record referred to in the preceding paragraph by an electronic or magnetic means specified by Order of the competent ministry or a request to be issued a document that states those particulars.
3 吸収合併存続株式会社商品取引所は、前項の規定による請求があつたときは、正当な理由がないのにこれを拒んではならない。
(3) If an incorporated commodity exchange surviving an absorption-type merger has had a request as under the preceding paragraph, it must not refuse that request without legitimate grounds.
(吸収合併契約の承認等)
(Approval of Absorption-Type Merger Agreements)
第百四十四条の六 吸収合併存続株式会社商品取引所は、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。
Article 144-6 (1) An incorporated commodity exchange surviving an absorption-type merger must obtain approval for the absorption-type merger agreement by resolution at a shareholders meeting by the day preceding the effective date.
2 次に掲げる場合には、取締役は、前項の株主総会において、その旨を説明しなければならない。
(2) In the following cases, the directors must explain that such is the case at the shareholders meeting set forth in the preceding paragraph:
一 吸収合併存続株式会社商品取引所が承継する吸収合併消滅会員商品取引所の債務の額として主務省令で定める額(次号において「承継債務額」という。)が吸収合併存続株式会社商品取引所が承継する吸収合併消滅会員商品取引所の資産の額として主務省令で定める額(同号において「承継資産額」という。)を超える場合
(i) the amount specified by Order of the competent ministry as the amount of liabilities of the member commodity exchange dissolved in the absorption-type merger to which the incorporated commodity exchange surviving the absorption-type merger will succeed (referred to as the "liabilities assumed" in the following item) exceeds the amount specified by Order of the competent ministry as the amount of assets of the member commodity exchange dissolved in the absorption-type merger to which the incorporated commodity exchange surviving the absorption-type merger will succeed (referred to as the "assets assumed" in the same item);
二 吸収合併存続株式会社商品取引所が吸収合併消滅会員商品取引所の会員に対して交付する金銭の額が承継資産額から承継債務額を控除して得た額を超える場合
(ii) the amount of money to be delivered to members of the member commodity exchange dissolved in the absorption-type merger by the incorporated commodity exchange surviving the absorption-type merger exceeds the amount arrived at by deducting the liabilities assumed from the assets assumed.
3 承継する吸収合併消滅会員商品取引所の資産に吸収合併存続株式会社商品取引所の株式が含まれる場合には、取締役は、第一項の株主総会において、当該株式に関する事項を説明しなければならない。
(3) If the assets of the member commodity exchange dissolved in an absorption-type merger to be succeeded to include shares in the incorporated commodity exchange surviving the absorption-type merger, the directors must explain matters relevant to those shares at the shareholders meeting set forth in paragraph (1).
4 吸収合併存続株式会社商品取引所が種類株式発行会社である場合において、吸収合併消滅会員商品取引所の会員に対して交付する株式等が吸収合併存続株式会社商品取引所の株式であるときは、吸収合併は、第百四十二条第二号イの種類の株式(譲渡制限株式であつて、会社法第百九十九条第四項の定款の定めがないものに限る。)の種類株主を構成員とする種類株主総会(当該種類株主に係る株式の種類が二以上ある場合にあつては、当該二以上の株式の種類別に区分された種類株主を構成員とする各種類株主総会)の決議がなければ、その効力を生じない。ただし、当該種類株主総会において議決権を行使することができる株主が存しない場合は、この限りでない。
(4) If the incorporated commodity exchange surviving an absorption-type merger is a company with class shares, and the shares, etc. that will be delivered to members of the member commodity exchange dissolved in the absorption-type merger are shares in the incorporated commodity exchange surviving the absorption-type merger, the absorption-type merger does not come into effect without a resolution at a class shareholders meeting consisting of class shareholders for the classes of shares set forth in Article 142, item (ii) (a) (limited to shares with a restriction on transfer for which there are no provisions in the articles of incorporation as set forth in Article 199, paragraph (4) of the Companies Act) (or, if there are two or more classes of shares associated with such class shareholders, without the resolutions of each group of class shareholders whose constituent members are the class shareholders in each separate class of those two or more classes of shares); provided, however, that this does not apply if no shareholder is entitled to exercise a voting right at the relevant class shareholders meeting.
5 第一項の株主総会の決議は、当該株主総会において議決権を行使することができる株主の議決権の過半数(三分の一以上の割合を定款で定めた場合にあつては、その割合以上)を有する株主が出席し、出席した当該株主の議決権の三分の二(これを上回る割合を定款で定めた場合にあつては、その割合)以上に当たる多数をもつて行わなければならない。この場合においては、当該決議の要件に加えて、一定の数以上の株主の賛成を要する旨その他の要件を定款で定めることを妨げない。
(5) The shareholders resolution set forth in paragraph (1) must be effected with at least a two-thirds majority (or, if a larger proportion is specified by the articles of incorporation, such a proportion) of the votes of the attending shareholders, at a meeting where shareholders holding over half (or, if a proportion of one-third or more is specified by the articles of incorporation, at least such a proportion) of the voting rights of the shareholders that are entitled to exercise voting rights at the relevant shareholders meeting are present. In such a case, the incorporated commodity exchange surviving the absorption-type merger is not precluded from setting provisions in its articles of incorporation requiring at least a certain number of affirmative votes from the shareholders or other requirements, beyond the requirement for such a resolution.
6 前項の規定は、第四項の種類株主総会について準用する。
(6) The provisions of the preceding paragraph apply mutatis mutandis to the class shareholders meeting referred to in paragraph (4).
(吸収合併契約等の承認を要しない場合等)
(When Approval for an Absorption-Type Merger Agreement is not Required)
第百四十四条の七 前条第一項から第三項までの規定は、第一号に掲げる額の第二号に掲げる額に対する割合が五分の一(これを下回る割合を吸収合併存続株式会社商品取引所の定款で定めた場合にあつては、その割合)を超えない場合には、適用しない。ただし、同条第二項各号に掲げる場合又は吸収合併消滅会員商品取引所の会員に対して交付する株式等の全部又は一部が吸収合併存続株式会社商品取引所の譲渡制限株式である場合であつて、吸収合併存続株式会社商品取引所が公開会社(会社法第二条第五号に規定する公開会社をいう。以下この節において同じ。)でないときは、この限りでない。
Article 144-7 (1) The provisions of paragraphs (1) through (3) of the preceding Article do not apply if the proportion of the amount set forth in item (i) to the amount set forth in item (ii) does not exceed one-fifth (or, if a smaller proportion is specified by the articles of establishment of the incorporated commodity exchange surviving an absorption-type merger, such a proportion); provided, however, that this does not apply in the cases set forth the items of paragraph (2) of that Article or if the whole or a part of the shares, etc. delivered to members of the member commodity exchange dissolved in the absorption-type merger are shares with a restriction on transfer in the incorporated commodity exchange surviving the Absorption-Type Merger and the incorporated commodity exchange surviving the Absorption-Type Merger is a public company (meaning a public company as prescribed in Article 2, item (v) of the Companies Act; hereinafter the same applies in this Section).
一 次に掲げる額の合計額
(i) the total of the following amounts:
イ 吸収合併消滅会員商品取引所の会員に対して交付する吸収合併存続株式会社商品取引所の株式の数に一株当たり純資産額(会社法第百四十一条第二項に規定する一株当たり純資産額をいう。)を乗じて得た額
(a) the amount arrived at by multiplying the number of shares in the incorporated commodity exchange surviving the absorption-type merger that will be delivered to members of the member commodity exchange dissolved in the absorption-type merger by the amount of net assets per share (meaning the amount of net assets per share as prescribed in Article 141, paragraph (2) of the Companies Act);
ロ 吸収合併消滅会員商品取引所の会員に対して交付する金銭の額の合計額
(b) the total of the amounts of money that will be delivered to members of the member commodity exchange dissolved in the absorption-type merger.
二 吸収合併存続株式会社商品取引所の純資産額として主務省令で定める方法により算定される額
(ii) the amount calculated in the way specified by Order of the competent ministry as the amount of net assets of the incorporated commodity exchange surviving the absorption-type merger.
2 前項本文に規定する場合において、主務省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。
(2) In a case prescribed in the main clause of the preceding paragraph, if shareholders holding the number of shares specified by Order of the competent ministry (limited to shares in respect of which voting rights may be exercised at the shareholders meeting set forth in paragraph (1) of the preceding Article) notify the incorporated commodity exchange surviving an absorption-type merger that they are against the absorption-type merger within two weeks from the day of the notice under paragraph (1) of the following Article or within two weeks from the day of the public notice under paragraph (2) of that Article, the incorporated commodity exchange surviving the absorption-type merger must obtain approval for the absorption-type merger agreement by resolution at a shareholders meeting, by the day preceding the effective date.
3 前条第五項の規定は、前項の株主総会について準用する。
(3) The provisions of paragraph (5) of the preceding Article apply mutatis mutandis to the shareholders meeting referred to in the preceding paragraph.
(株主に対する通知)
(Notifying Shareholders)
第百四十四条の八 吸収合併存続株式会社商品取引所は、効力発生日の二十日前までに、その株主に対し、吸収合併をする旨並びに吸収合併消滅会員商品取引所の名称及び住所(第百四十四条の六第三項に規定する場合にあつては、同項の株式に関する事項を含む。)を通知しなければならない。
Article 144-8 (1) The incorporated commodity exchange surviving an absorption-type merger must notify its shareholders that the absorption-type merger will be effected and indicate the name and address of the member commodity exchange dissolved in the absorption-type merger (including the particulars of the shares referred to in Article 144-6, paragraph (3), in the case prescribed in that paragraph) by 20 days prior to the effective date.
2 次に掲げる場合には、前項の規定による通知は、公告をもつてこれに代えることができる。
(2) In the following cases, public notice may be substituted for the notice under the preceding paragraph:
一 吸収合併存続株式会社商品取引所が公開会社である場合
(i) the incorporated commodity exchange surviving the absorption-type merger is a public company;
二 吸収合併存続株式会社商品取引所が第百四十四条の六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
(ii) the incorporated commodity exchange surviving the absorption-type merger has obtained approval for the absorption-type merger agreement by the resolution at the shareholders meeting referred to in Article 144-6, paragraph (1).
3 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商品取引所が同法第九百三十九条第一項第三号に掲げる方法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。
(3) The provisions of Article 940, paragraph (1) (limited to the part that involves item (i)) and paragraph (3) of the Companies Act apply mutatis mutandis if the incorporated commodity exchange surviving an absorption-type merger issues the public notice referred to in the preceding paragraph by the means set forth in Article 939, paragraph (1), item (iii) of the Companies Act. The necessary technical replacement of terms for such a case is specified by Cabinet Order.
(株式買取請求)
(Demanding a Share Buyout)
第百四十四条の九 吸収合併をする場合には、反対株主は、吸収合併存続株式会社商品取引所に対し、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。
Article 144-9 (1) If an absorption-type merger is effected, a dissenting shareholder may demand that the incorporated commodity exchange surviving the absorption-type merger buy out its shares at a fair price.
2 前項に規定する「反対株主」とは、次の各号に掲げる場合における当該各号に定める株主をいう。
(2) The "dissenting shareholder" prescribed in the preceding paragraph means a shareholder as prescribed in the relevant of the following items for the case set forth in that item:
一 吸収合併をするために株主総会(種類株主総会を含む。)の決議を要する場合 次に掲げる株主
(i) a shareholders resolution (including a class shareholders resolution) is required in order for the absorption-type merger to be effected: the following shareholders:
イ 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) a shareholder that notifies the incorporated commodity exchange surviving the absorption-type merger that it is against the absorption-type merger prior to the shareholders meeting, and that opposes the absorption-type merger at that shareholders meeting (limited to a shareholder that is entitled to exercise a voting right at that shareholders meeting);
ロ 当該株主総会において議決権を行使することができない株主
(b) a shareholder that is not entitled to exercise a voting right at the shareholders meeting.
二 前号に規定する場合以外の場合 すべての株主
(ii) cases other than that prescribed in the preceding item: all shareholders.
3 会社法第七百九十七条第五項から第七項まで、第七百九十八条、第八百六十八条第一項、第八百七十条第二項(第二号に係る部分に限る。)、第八百七十条の二、第八百七十一条本文、第八百七十二条(第五号に係る部分に限る。)、第八百七十二条の二、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、第一項の規定による請求について準用する。この場合において、必要な技術的読替えは、政令で定める。
(3) The provisions of Article 797, paragraphs (5) through (7); Article 798; Article 868, paragraph (1); Article 870 (limited to the part that involves item (iv)); the main clause of Article 871; Article 872 (limited to the part that involves item (iv)); the main clause of Article 873; Article 875; and Article 876 apply mutatis mutandis to a demand under paragraph (1). The necessary technical replacement of terms for such a case is specified by Cabinet Order.
(債権者の異議)
(Objection of the Creditors)
第百四十四条の十 吸収合併存続株式会社商品取引所の債権者は、吸収合併存続株式会社商品取引所に対し、吸収合併について異議を述べることができる。
Article 144-10 (1) The creditor of an incorporated commodity exchange surviving an absorption-type merger may state an objection to the incorporated commodity exchange surviving the absorption-type merger with regard to the absorption-type merger.
2 吸収合併存続株式会社商品取引所は、次に掲げる事項を官報に公告し、かつ、知れている債権者(社債管理者(会社法第七百二条の社債管理者をいう。以下この条において同じ。)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。
(2) The incorporated commodity exchange surviving an absorption-type merger must issue public notice of the following particulars in the official gazette and must issue a notice of those particulars to its known creditors (including to the bond administrator (meaning the bond administrator referred to in Article 702 of the Companies Act) if there is a bond administrator) individually; provided, however, that the period referred to in item (iv) may not be less than one month:
一 吸収合併をする旨
(i) that an absorption-type merger will be effected;
二 吸収合併消滅会員商品取引所の名称及び住所
(ii) the name and address of the member commodity exchange dissolved in the absorption-type merger;
三 吸収合併存続株式会社商品取引所の計算書類に関する事項として主務省令で定めるもの
(iii) the particulars specified by Order of the competent ministry as pertinent to the financial statements of the incorporated commodity exchange surviving the absorption-type merger;
四 債権者が一定の期間内に異議を述べることができる旨
(iv) that a creditor may state an objection within a specified period.
3 前項の規定にかかわらず、吸収合併存続株式会社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、同項第二号又は第三号に掲げる方法によりするときは、前項の規定による各別の催告は、することを要しない。
(3) Notwithstanding the provisions of the preceding paragraph, if the incorporated commodity exchange surviving an absorption-type merger issues the public notice under that paragraph both in the official gazette and by the means set forth in Article 939, paragraph (1), item (ii) or (iii) of the Companies Act in accordance with the provisions of the articles of incorporation under the same paragraph, the incorporated commodity exchange surviving the absorption-type merger is not required to issue the individual notice under the preceding paragraph.
4 債権者が第二項第四号の期間内に異議を述べなかつたときは、当該債権者は、当該吸収合併について承認をしたものとみなす。
(4) If a creditor does not state an objection within the period referred to in paragraph (2), item (iv), the creditor is deemed to accept the absorption-type merger.
5 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。
(5) If a creditor states an objection within the period referred to in paragraph (2), item (iv), the incorporated commodity exchange surviving the absorption-type merger must pay its debt or provide suitable collateral to the creditor, or must deposit suitable property with a trust company, etc. for the purpose of allowing the creditor to receive payment for the debt; provided, however, that this does not apply if the absorption-type merger is unlikely to harm the creditor.
6 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商品取引所が同法第九百三十九条第一項第三号に掲げる方法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。
(6) The provisions of Article 940, paragraph (1) (limited to the part that involves item (iii)) and paragraph (3) of the Companies Act applies mutatis mutandis if the incorporated commodity exchange surviving an absorption-type merger issues the public notice under paragraph (2) by the means set forth in Article 939, paragraph (1), item (iii) of the Companies Act. The necessary technical replacement of terms for such a case specified by Cabinet Order.
7 第一項の規定により社債権者が異議を述べるには、社債権者集会の決議によらなければならない。この場合においては、裁判所は、利害関係人の申立てにより、社債権者のために異議を述べることができる期間を伸長することができる。
(7) The statement of an objection by the bondholders pursuant to the provisions of paragraph (1) must be based on a bondholder resolution. In such a case, the court may extend the period for stating an objection for the bondholders, at the motion of an interested person.
8 前項の規定にかかわらず、社債管理者は、社債権者のために異議を述べることができる。ただし、会社法第七百二条の規定による委託に係る契約に別段の定めがある場合は、この限りでない。
(8) Notwithstanding the provisions of the preceding paragraph, the bond administrator may state an objection on behalf of the bondholders; provided, however, that this does not apply if otherwise provided in a contract for the entrustment under Article 702 of the Companies Act.
9 会社法第八百六十八条第三項、第八百七十条第一項(第八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。)、第八百七十五条及び第八百七十六条の規定は、第七項の申立てに係る事件について準用する。
(9) The provisions of Article 868, paragraph (3) of the Companies Act and of Article 870, paragraph (1) (limited to the part that involves item (viii)); the main clause of Article 871; Article 872 (limited to the part that involves item (iv)); Article 875; and Article 876 of that Act apply mutatis mutandis to a case involving a motion under paragraph (7).
(吸収合併等に関する書面等の備置き及び閲覧等)
(The Keeping and Inspection of Absorption-Type Merger Documents)
第百四十四条の十一 吸収合併存続株式会社商品取引所は、吸収合併の効力が生じた日後遅滞なく、吸収合併により吸収合併存続株式会社商品取引所が承継した吸収合併消滅会員商品取引所の権利義務その他の吸収合併に関する事項として主務省令で定める事項を記載し、又は記録した書面又は電磁的記録を作成しなければならない。
Article 144-11 (1) The incorporated commodity exchange surviving an absorption-type merger must prepare documents or electronic or magnetic records in which it states or records the particulars of the rights and obligations of the member commodity exchange dissolved in the absorption-type merger to which the incorporated commodity exchange surviving the absorption-type merger has succeeded as a result of the absorption-type merger, and of the particulars specified by order of the competent ministry as pertinent to the absorption-type merger, without delay after the day on which the absorption-type merger comes into effect.
2 吸収合併存続株式会社商品取引所は、吸収合併の効力が生じた日から六月間、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。
(2) During the six-month period beginning from the day on which an absorption-type merger comes into effect, the incorporated commodity exchange surviving the absorption-type merger must keep the documents or electronic or magnetic records referred to in the preceding paragraph at its head office.
3 吸収合併存続株式会社商品取引所の株主及び債権者は、吸収合併存続株式会社商品取引所に対して、その営業時間内は、いつでも、次に掲げる請求をすることができる。ただし、第二号又は第四号に掲げる請求をするには、当該吸収合併存続株式会社商品取引所の定めた費用を支払わなければならない。
(3) The member or creditor of an incorporated commodity exchange surviving an absorption-type merger may make the following requests of the incorporated commodity exchange surviving the absorption-type merger at any time during its business hours; provided, however, that in making the request set forth in item (ii) or (iv), the member or creditor must pay the cost stipulated by the incorporated commodity exchange surviving the absorption-type merger:
一 前項の書面の閲覧の請求
(i) a request to inspect a document referred to in the preceding paragraph;
二 前項の書面の謄本又は抄本の交付の請求
(ii) a request to be issued a certified copy or extract of a document referred to in the preceding paragraph;
三 前項の電磁的記録に記録された事項を主務省令で定める方法により表示したものの閲覧の請求
(iii) a request to inspect something that shows the particulars that have been recorded in an electronic or magnetic record referred to in the preceding paragraph, through a means specified by order of the competent ministry;
四 前項の電磁的記録に記録された事項を電磁的方法であつて主務省令で定めるものにより提供することの請求又はその事項を記載した書面の交付の請求
(iv) a request to be provided with the particulars that have been recorded in an electronic or magnetic record referred to in the preceding paragraph by an electronic or magnetic means specified by order of the competent ministry, or a request to be issued a document that states those particulars.
4 吸収合併存続株式会社商品取引所は、前項の規定による請求があつたときは、正当な理由がないのにこれを拒んではならない。
(4) If an incorporated commodity exchange surviving an absorption-type merger has had a request as under the preceding paragraph, it must not refuse that request without legitimate grounds.
第二目 新設合併消滅株式会社商品取引所の手続
Division 2 Procedures for an Incorporated Commodity Exchange Dissolved in a Consolidation-Type Merger
(新設合併契約に関する書面等の備置き及び閲覧等)
(The Keeping and Inspection of Consolidation-Type Merger Agreement Documents)
第百四十四条の十二 新設合併消滅株式会社商品取引所(会員商品取引所と株式会社商品取引所とが新設合併をする場合における当該新設合併消滅株式会社商品取引所に限る。以下この目において同じ。)は、次に掲げる日のいずれか早い日から新設合併設立株式会社商品取引所の成立の日までの間、新設合併契約の内容その他主務省令で定める事項を記載し、又は記録した書面又は電磁的記録をその本店に備え置かなければならない。
Article 144-12 (1) During the period from one of the following days, whichever comes the earliest, until the day on which the consolidation-type merger comes into effect, the incorporated commodity exchange dissolved in a consolidation-type merger (limited to the incorporated commodity exchange dissolved in the consolidation-type merger in a consolidation-type merger effected between a member commodity exchange and an incorporated commodity exchange; hereinafter the same applies in this Division) must keep documents or electronic or magnetic records that state or contain a record of the consolidation-type merger agreement and the particulars specified by order of the competent ministry, at its head office:
一 次条第一項の株主総会の日の二週間前の日
(i) the day two weeks prior to the shareholders meeting referred to in paragraph (1) of the following Article;
二 新設合併契約について種類株主総会の決議によつてその承認を受けなければならないときは、当該種類株主総会の日の二週間前の日
(ii) if approval for the consolidation-type merger agreement must be obtained by a class shareholders resolution, the day two weeks prior to the day of the relevant class shareholders meeting;
三 第百四十四条の十四第一項の規定による通知の日又は同条第二項の公告の日のいずれか早い日
(iii) the day of the notice under in Article 144-14, paragraph (1) or the day of the public notice referred to in paragraph (2) of that Article, whichever comes earlier;
四 第百四十四条の十七において準用する第百四十四条の十第二項の規定による公告の日又は同項の規定による催告の日のいずれか早い日
(iv) the day of the public notice under Article 144-10, paragraph (2) or the day of the notice under that paragraph as applied mutatis mutandis pursuant to Article 144-17, whichever comes earlier.
2 新設合併消滅株式会社商品取引所の株主及び債権者は、新設合併消滅株式会社商品取引所に対して、その営業時間内は、いつでも、次に掲げる請求をすることができる。ただし、第二号又は第四号に掲げる請求をするには、当該新設合併消滅株式会社商品取引所の定めた費用を支払わなければならない。
(2) The shareholder or creditor of an incorporated commodity exchange dissolved in a consolidation-type merger may make the following requests of the incorporated commodity exchange dissolved in the consolidation-type merger at any time during its business hours; provided, however, that in making the request set forth in item (ii) or (iv), the shareholder or creditor must pay the cost stipulated by the incorporated commodity exchange dissolved in the consolidation-type merger:
一 前項の書面の閲覧の請求
(i) a request to inspect a document referred to in the preceding paragraph;
二 前項の書面の謄本又は抄本の交付の請求
(ii) a request to be issued a certified copy or extract of a document referred to in the preceding paragraph;
三 前項の電磁的記録に記録された事項を主務省令で定める方法により表示したものの閲覧の請求
(iii) a request to inspect something that shows the particulars that have been recorded in an electronic or magnetic record referred to in the preceding paragraph, through a means specified by order of the competent ministry;
四 前項の電磁的記録に記録された事項を電磁的方法であつて主務省令で定めるものにより提供することの請求又はその事項を記載した書面の交付の請求
(iv) a request to be provided with the particulars that have been recorded in an electronic or magnetic record referred to in the preceding paragraph by an electronic or magnetic means specified by order of the competent ministry, or a request to be issued a document that states those particulars.
3 新設合併消滅株式会社商品取引所は、前項の規定による請求があつたときは、正当な理由がないのにこれを拒んではならない。
(3) If the incorporated commodity exchange dissolved in a consolidation-type merger has had a request as under the preceding paragraph, it must not refuse that request without legitimate grounds.
(新設合併契約の承認)
(Approval of a Consolidation-Type Merger Agreement)
第百四十四条の十三 新設合併消滅株式会社商品取引所は、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。
Article 144-13 (1) The incorporated commodity exchange dissolved in a consolidation-type merger must obtain approval for the consolidation-type merger agreement by a shareholders resolution.
2 前項の株主総会の決議は、当該株主総会において議決権を行使することができる株主の議決権の過半数(三分の一以上の割合を定款で定めた場合にあつては、その割合以上)を有する株主が出席し、出席した当該株主の議決権の三分の二(これを上回る割合を定款で定めた場合にあつては、その割合)以上に当たる多数をもつて行わなければならない。この場合においては、当該決議の要件に加えて、一定の数以上の株主の賛成を要する旨その他の要件を定款で定めることを妨げない。
(2) The shareholders resolution referred to in the preceding paragraph must be effected with at least a two-thirds majority (or, if a larger proportion is specified in the articles of incorporation, such a proportion) of the votes of attending shareholders, at a meeting where shareholders holding over half (or, if a proportion of one-third or more is specified in the articles of incorporation, at least such a proportion) of the voting rights of shareholders that are entitled to exercise a voting right at that shareholders meeting are present. In such a case, the incorporated commodity exchange dissolved in the consolidation-type merger is not precluded from setting provisions in its articles of incorporation requiring at least a certain number of affirmative votes from the shareholders or other requirements, beyond the requirement for such a resolution.
3 前項の規定にかかわらず、新設合併消滅株式会社商品取引所が公開会社である場合において、当該新設合併消滅株式会社商品取引所の株主に対して交付する新設合併設立株式会社商品取引所の株式の全部又は一部が譲渡制限株式であるときは、第一項の株主総会(種類株式発行会社の株主総会を除く。)の決議は、会社法第三百九条第三項に定める決議によらなければならない。
(3) Notwithstanding the provisions of the preceding paragraph, if the incorporated commodity exchange dissolved in a consolidation-type merger is a public company and the whole or a part of the shares in the incorporated commodity exchange incorporated in the consolidation-type merger that will be delivered to shareholders of the incorporated commodity exchange dissolved in the consolidation-type merger are shares with a restriction on transfer, the shareholders resolution referred to in paragraph (1) (excluding a shareholders resolution at a company with class shares) must be a resolution as specified in Article 309, paragraph (3) of the Companies Act.
4 新設合併消滅株式会社商品取引所が種類株式発行会社である場合において、新設合併消滅株式会社商品取引所の株主に対して交付する新設合併設立株式会社商品取引所の株式の全部又は一部が譲渡制限株式であるときは、当該新設合併は、当該譲渡制限株式の割当てを受ける種類の株式(譲渡制限株式を除く。)の種類株主を構成員とする種類株主総会(当該種類株主に係る株式の種類が二以上ある場合にあつては、当該二以上の株式の種類別に区分された種類株主を構成員とする各種類株主総会)の決議がなければ、その効力を生じない。ただし、当該種類株主総会において議決権を行使することができる株主が存しない場合は、この限りでない。
(4) If the incorporated commodity exchange dissolved in a consolidation-type merger is a company with class shares and the whole or a part of shares in the incorporated commodity exchange incorporated in the consolidation-type merger that will be delivered to shareholders of the incorporated commodity exchange dissolved in the consolidation-type merger are shares with a restriction on transfer, the consolidation-type merger does not come into effect without a resolution at a class shareholders meeting consisting of the class shareholders for the class of shares (other than shares with a restriction on transfer) that is subject to the allotment of shares with a restriction on transfer (or, if there are two or more classes of shares associated with such class shareholders, without the resolutions of each group of class shareholders whose constituent members are the class shareholders in each separate class of those two or more classes of shares); provided, however, that this does not apply if no shareholder is entitled to exercise a voting right at the relevant class shareholders meeting.
5 前項の種類株主総会の決議は、当該種類株主総会において議決権を行使することができる株主の半数以上(これを上回る割合を定款で定めた場合にあつては、その割合以上)であつて、当該株主の議決権の三分の二(これを上回る割合を定款で定めた場合にあつては、その割合)以上に当たる多数をもつて行わなければならない。
(5) The class shareholders resolution referred to in the preceding paragraph must be effected with a majority that constitutes at least two-thirds (or, if a higher proportion is specified in the articles of incorporation, such a proportion) of the votes of at least half (or, if a higher proportion is specified in the articles of incorporation, such a proportion) of the number of shareholders that are entitled to exercise voting rights at the relevant class shareholders meeting.
(株主等に対する通知)
(Notifying Shareholders)
第百四十四条の十四 新設合併消滅株式会社商品取引所は、前条第一項の株主総会の決議の日から二週間以内に、その株主及び登録株式質権者(会社法第百四十九条第一項に規定する登録株式質権者をいう。)並びにその新株予約権者及び登録新株予約権質権者(同法第二百七十条第一項に規定する登録新株予約権質権者をいう。)に対し、新設合併をする旨並びに他の新設合併消滅商品取引所及び新設合併設立株式会社商品取引所の名称又は商号及び住所を通知しなければならない。
Article 144-14 (1) The incorporated commodity exchange dissolved in a consolidation-type merger must notify its shareholders and registered pledgees of its shares (meaning registered pledgees of shares as prescribed in Article 149, paragraph (1) of the Companies Act) as well as holders of its share options and registered pledgees of its share option (meaning registered pledgees of share option prescribed in Article 270, paragraph (1) of that Act) that the consolidation-type merger will be effected, indicating the name or trade name and address of the other commodity exchange dissolved in the consolidation-type merger and of the incorporated commodity exchange incorporated in the consolidation-type merger, within two weeks from the day of the shareholders meeting resolution referred to in paragraph (1) of the preceding Article.
2 前項の規定による通知は、公告をもつてこれに代えることができる。
(2) Public notice may be substituted for the notice under the preceding paragraph.
3 会社法第九百四十条第一項(第四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商品取引所が同法第九百三十九条第一項第三号に掲げる方法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。
(3) The provisions of Article 940, paragraph (1) (limited to the part that involves item (iv)) and paragraph (3) of the Companies Act apply mutatis mutandis if the incorporated commodity exchange dissolved in a consolidation-type merger issues the public notice referred to in the preceding paragraph by the means set forth in Article 939, paragraph (1), item (iii) of the Companies Act. The necessary technical replacement of terms for such a case is specified by Cabinet Order.
(株式買取請求)
(Requesting a Share Buyout)
第百四十四条の十五 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。
Article 144-15 (1) If a consolidation-type merger is effected, the following shareholders may request that an incorporated commodity exchange dissolved in the consolidation-type merger buy out their shares at a fair price:
一 新設合併契約を承認するための株主総会(種類株主総会を含む。)に先立つて当該新設合併に反対する旨を当該新設合併消滅株式会社商品取引所に対し通知し、かつ、当該株主総会において当該新設合併に反対した株主(当該株主総会において議決権を行使することができるものに限る。)
(i) a shareholder that notifies the incorporated commodity exchange dissolved in the consolidation-type merger that it is against the consolidation-type merger prior to the shareholders meeting (including a class shareholders meeting) for approving the consolidation-type merger agreement, and that opposes the consolidation-type merger at that shareholders meeting (limited to a shareholder that is entitled to exercise a voting right at that shareholders meeting);
二 当該株主総会において議決権を行使することができない株主
(ii) a shareholder that is not entitled to exercise a voting right at the relevant shareholders meeting.
2 会社法第八百六条第五項から第七項まで、第八百七条、第八百六十八条第一項、第八百七十条第二項(第二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(第五号に係る部分に限る。)、第八百七十二条の二、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、前項の規定による請求について準用する。この場合において、必要な技術的読替えは、政令で定める。
(2) The provisions of Article 806, paragraphs (5) through (7) of the Companies Act and of Article 807; Article 868, paragraph (1); Article 870 (limited to the part that involves item (iv)); the main clause of Article 871; Article 872 (limited to the part that involves item (iv)); the main clause of Article 873; Article 875; and Article 876 of that Act apply mutatis mutandis to a demand under the preceding paragraph. The necessary technical replacement of terms for such a case is specified by Cabinet Order.
(新株予約権買取請求)
(Demanding a Share Option Buyout)
第百四十四条の十六 新設合併をする場合には、新設合併消滅株式会社商品取引所の新株予約権の新株予約権者は、新設合併消滅株式会社商品取引所に対し、自己の有する新株予約権を公正な価格で買い取ることを請求することができる。
Article 144-16 (1) If a consolidation-type merger is effected, the holder of a share option in the incorporated commodity exchange dissolved in the consolidation-type merger may demand that the incorporated commodity exchange dissolved in the consolidation-type merger buy out that share option at a fair price.
2 会社法第八百八条第五項から第七項まで、第八百九条、第八百六十八条第一項、第八百七十条(第四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、前項の規定による請求について準用する。この場合において、必要な技術的読替えは、政令で定める。
(2) The provisions of Article 808, paragraphs (5) through (7) of the Companies Act and of Article 809; Article 868, paragraph (1); Article 870 (limited to the part that involves item (iv)); the main clause of Article 871; Article 872 (limited to the part that involves item (iv)); the main clause of Article 873; Article 875; and Article 876 of that Act apply mutatis mutandis to a demand under the preceding paragraph. The necessary technical replacement of terms for such a case is specified by Cabinet Order.
(準用規定)
(Provisions Applied Mutatis Mutandis)
第百四十四条の十七 第百四十四条の十の規定は、新設合併消滅株式会社商品取引所について準用する。
Article 144-17 The provisions of Article 144-10 apply mutatis mutandis to the incorporated commodity exchange dissolved in a consolidation-type merger.
第三目 新設合併設立株式会社商品取引所の手続
Division 3 Procedures for the Incorporated Commodity Exchange Incorporated in a Consolidation-Type Merger
(株式会社商品取引所の設立の特則)
(Special Provisions on the Establishment of an Incorporated Commodity Exchange)
第百四十四条の十八 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、第三十九条及び第四十七条から第四十九条までを除く。)の規定は、新設合併設立株式会社商品取引所(会員商品取引所と株式会社商品取引所とが新設合併をする場合における当該新設合併設立株式会社商品取引所に限る。以下この目において同じ。)の設立については、適用しない。
Article 144-18 (1) The provisions of Part II, Chapter I of the Companies Act (excluding Article 27 (excluding items (iv) and (v)), Article 29, Article 31, Article 39, and Articles 47 through 49) do not apply to the establishment of the incorporated commodity exchange incorporated in a consolidation-type merger (limited to the incorporated commodity exchange incorporated in the consolidation-type merger in a consolidation-type merger between a member commodity exchange and a incorporated commodity exchange; hereinafter the same applies in this Division).
2 新設合併設立株式会社商品取引所の定款は、新設合併消滅商品取引所が作成する。
(2) The articles of incorporation of the incorporated commodity exchange incorporated in a consolidation-type merger are created by the commodity exchanges dissolved in the consolidation-type merger.
(新設合併契約に関する書面等の備置き及び閲覧等)
(The Keeping and Inspection of Consolidation-Type Merger Agreement Documents)
第百四十四条の十九 新設合併設立株式会社商品取引所は、その成立の日後遅滞なく、新設合併により新設合併設立株式会社商品取引所が承継した新設合併消滅商品取引所の権利義務その他の新設合併に関する事項として主務省令で定める事項を記載し、又は記録した書面又は電磁的記録を作成しなければならない。
Article 144-19 (1) The incorporated commodity exchange incorporated in a consolidation-type merger must prepare documents or electronic or magnetic records in which it states or records the particulars of the rights and obligations of the commodity exchanges dissolved in the consolidation-type merger to which the incorporated commodity exchange incorporated in the consolidation-type merger will succeed as a result of the consolidation-type merger and any other particulars specified by order of the competent ministry as pertinent to the consolidation-type merger, without delay after the day of its incorporation.
2 新設合併設立株式会社商品取引所は、その成立の日から六月間、前項の書面又は電磁的記録及び新設合併契約の内容その他主務省令で定める事項を記載し、又は記録した書面又は電磁的記録をその本店に備え置かなければならない。
(2) During the six-month period beginning from its incorporation, the incorporated commodity exchange incorporated in a consolidation-type merger keep the documents or electronic or magnetic records referred to in the preceding paragraph and documents or electronic or magnetic records that state or contain a record of the details of the consolidation-type merger agreement and the particulars specified by order of the competent ministry, at its head office.
3 新設合併設立株式会社商品取引所の株主及び債権者は、新設合併設立株式会社商品取引所に対して、その営業時間内は、いつでも、次に掲げる請求をすることができる。ただし、第二号又は第四号に掲げる請求をするには、当該新設合併設立株式会社商品取引所の定めた費用を支払わなければならない。
(3) The shareholder or creditor of the incorporated commodity exchange incorporated in a consolidation-type merger may make the following requests of the incorporated commodity exchange incorporated in the consolidation-type merger at any time during its business hours; provided, however, that in making the request set forth in item (ii) or (iv), the shareholder or creditor must pay the cost stipulated by the incorporated commodity exchange incorporated in the consolidation-type merger:
一 前項の書面の閲覧の請求
(i) a request to inspect a document referred to in the preceding paragraph;
二 前項の書面の謄本又は抄本の交付の請求
(ii) a request to be issued a certified copy or extract of a document referred to in the preceding paragraph;
三 前項の電磁的記録に記録された事項を主務省令で定める方法により表示したものの閲覧の請求
(iii) a request to inspect something that shows the particulars that have been recorded in an electronic or magnetic record referred to in the preceding paragraph, through a means specified by order of the competent ministry;
四 前項の電磁的記録に記録された事項を電磁的方法であつて主務省令で定めるものにより提供することの請求又はその事項を記載した書面の交付の請求
(iv) a request to be provided with the particulars that have been recorded in an electronic or magnetic record referred to in the preceding paragraph by an electronic or magnetic means specified by order of the competent ministry or a request to be issued a document that states those particulars.
4 新設合併設立株式会社商品取引所は、前項の規定による請求があつたときは、正当な理由がないのにこれを拒んではならない。
(4) If the incorporated commodity exchange incorporated in a consolidation-type merger has had a request as under the preceding paragraph, it must not refuse that request without legitimate grounds.
第六款 合併の効力の発生等
Subsection 6 The Coming into Effect of a Merger
(合併の認可)
(Authorization for a Merger)
第百四十五条 商品取引所を全部又は一部の当事者とする合併(合併後存続する者又は合併により設立される者が商品取引所であるものに限る。)は、主務大臣の認可を受けなければ、その効力を生じない。
Article 145 (1) A merger in which commodity exchanges constitute all or part of the parties (limited to a merger in which the person surviving the merger or the person incorporated in the merger is a commodity exchange) does not come into effect without the authorization of the competent minister.
2 前項の認可を受けようとする者は、合併後存続する商品取引所又は合併により設立される商品取引所(以下「合併後の商品取引所」という。)について次に掲げる事項(合併後の商品取引所が会員商品取引所である場合にあつては、第二号に掲げるものを除く。)を記載した申請書を主務大臣に提出しなければならない。
(2) A person seeking the authorization referred to in the preceding paragraph must submit a written application to the competent minister in which the person states the following particulars of the commodity exchange surviving the merger or the commodity exchange incorporated in the merger (hereinafter referred to as the "commodity exchange resulting from the merger") (excluding the particulars set forth in item (ii), if the commodity exchange resulting from the merger will be a member commodity exchange):
一 名称又は商号
(i) its name or trade name
二 資本金の額
(ii) the amount of stated capital
三 事務所又は本店、支店その他の営業所の所在地
(iii) the location of its offices or head office, the branch offices, and any other business offices;
四 上場商品又は上場商品指数
(iv) the listed commodity or listed commodity index;
五 役員の氏名又は名称及び住所
(v) the names or trade names and addresses of the officers;
六 会員等の氏名又は商号若しくは名称及び会員等が取引をする商品市場における上場商品又は上場商品指数
(vi) the names or trade names of the members, etc. and the listed commodity or listed commodity index on the commodity market on which the members, etc. will trade.
3 前項の申請書には、合併契約の内容を記載した書面、合併後の商品取引所の定款、業務規程、受託契約準則、紛争処理規程及び市場取引監視委員会規程その他主務省令で定める書面を添付しなければならない。
(3) Documents giving the details of the merger agreement and the articles of incorporation, operational rules, brokerage contract rules, dispute resolution rules, market transactions surveillance committee rules, and documents specified by order of the competent ministry for the commodity exchange resulting from the merger must accompany the written application referred to in the preceding paragraph.
(認可基準)
(Criteria for Authorization)
第百四十六条 主務大臣は、前条第一項の認可の申請が次に掲げる基準(合併後の商品取引所が会員商品取引所である場合にあつては、第一号及び第六号に掲げるものを除く。)に適合していると認めるときは、認可をしなければならない。
Article 146 (1) If the competent minister finds that an application for the authorization referred to in paragraph (1) of the preceding Article conforms to the following criteria (excluding the criteria set forth in items (i) and (vi), if the commodity exchange resulting from the merger is a member commodity exchange), the minister must grant the license:
一 合併後の商品取引所の資本金の額が第八十条第一項第一号の政令で定める金額以上であること。
(i) the amount of stated capital of the commodity exchange resulting from the merger is at least the amount specified by Cabinet Order which is referred to in Article 80, paragraph (1), item (i);
二 申請に係る上場商品又は上場商品指数の先物取引を公正かつ円滑にするために十分な取引量が見込まれることその他上場商品構成物品等の取引の状況に照らし、当該先物取引をする商品取引所が合併により存続すること又は当該先物取引をする商品取引所を合併により設立することが当該上場商品構成物品等の生産及び流通を円滑にするため必要かつ適当であること。
(ii) the volume of transactions is expected to be sufficient for ensuring fair and smooth futures transactions of the listed commodity or listed commodity index to which the application pertains and, in light of the status of transactions of the listed commodity component products, etc., it is necessary and appropriate for the commodity exchange on which such futures transactions are effected to survive the merger, or for a commodity exchange on which such futures transactions are effected to be incorporated in the merger, in order to facilitate the production and distribution of the listed commodity component products, etc.;
三 上場商品に係る商品市場を開設しようとする場合にあつては、上場商品構成物品の売買等を業として行つている者の取引の状況その他の当該上場商品構成物品に係る経済活動の状況に照らして、当該上場商品構成物品を一の商品市場で取引することが適当であることとして政令で定める基準に適合すること。
(iii) if the applicant seeks to open a commodity market for a listed commodity, the situation conforms to the criteria specified by Cabinet Order as a situation in which it is appropriate for the listed commodity to be traded on a single commodity market in light of the trading status of persons effecting purchase and sales, etc. of listed commodity component products in the course of trade, and in light of other circumstances of economic activities pertaining to the listed commodity;
四 二以上の商品指数を一の上場商品指数として商品市場を開設しようとする場合にあつては、当該二以上の商品指数の対象となる物品の大部分が共通していること。
(iv) if the applicant seeks to open a commodity market with two or more commodity indices as a single listed commodity index, the majority of the goods underlying those two or more commodity indices are the same goods;
五 合併後の商品取引所の定款、業務規程、受託契約準則、紛争処理規程及び市場取引監視委員会規程の規定が法令に違反せず、かつ、定款、業務規程、受託契約準則、紛争処理規程又は市場取引監視委員会規程に規定する取引の方法又は管理、会員等の資格、会員等の数の最高限度を定めた場合におけるその最高限度、特別担保金の預託義務を定めた場合におけるその預託に関する事項その他の事項が適当であつて、商品市場における取引の公正を確保し、及び委託者を保護するため十分であること。
(v) the provisions of the articles of incorporation, operational rules, brokerage contract rules, dispute resolution rules, and market transactions surveillance committee rules of the commodity exchange resulting from the merger do not violate laws and regulations, and the transaction method or management of transactions; member, etc. eligibility; maximum number of members, etc., if specified; particulars of deposits, if the obligation to make a special security deposit is stipulated; and other particulars prescribed in the articles of incorporation, operational rules, brokerage contract rules, dispute resolution rules, and market transactions surveillance committee rules are appropriate and sufficient for ensuring the fairness of transactions on the commodity market and for protecting consignors;
六 合併後の商品取引所が商品市場を適切に運営するに足りる人的構成を有するものであること。
(vi) the commodity exchange resulting from the merger will have a sufficient personnel structure to appropriately manage the commodity market;
七 合併後の商品取引所が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。
(vii) the commodity exchange resulting from the merger will be organized in a manner that conforms to the provisions of this Act;
八 合併後の商品取引所において、合併により消滅する商品取引所の開設している商品市場における取引に関する業務の承継が円滑かつ適切に行われる見込みが確実であること。
(viii) it is fully expected that the commodity exchange resulting from the merger will smoothly and appropriately succeed to the business related to transactions on the commodity markets operated by the commodity exchanges that will disappear in the merger.
2 主務大臣は、前条第一項の認可の申請が次の各号のいずれかに該当する場合には、前項の規定にかかわらず、同条第一項の認可をしてはならない。
(2) Notwithstanding the provisions of the preceding paragraph, if an application for the authorization referred to in paragraph (1) of the preceding Article falls under one of the following items, the competent minister must not give the authorization referred to in that paragraph:
一 合併後の商品取引所の役員のうちに第十五条第二項第一号イからルまでのいずれかに該当する者があるとき。
(i) the commodity exchange resulting from the merger has a person falling under one of the categories in Article 15, paragraph (2), item (i) (a) through (k)as an officer;
二 申請書又はこれに添付すべき書類のうちに重要な事項について虚偽の記載があるとき。
(ii) the written application or a document that is required to accompany it contains a false statement about a material particular.
3 主務大臣は、商品取引所の存続期間(株式会社商品取引所にあつては、株式会社商品取引所としての存続期間)又は商品市場の開設期限が定款(株式会社商品取引所にあつては、業務規程)に記載され、又は記録されている前条第一項の認可の申請があつた場合においては、第一項第二号の基準に代えて、申請に係る上場商品又は上場商品指数の先物取引を公正かつ円滑にするために十分な取引量が見込まれないことその他上場商品構成物品等の取引の状況に照らし、当該先物取引をする商品取引所が合併により存続すること又は当該先物取引をする商品取引所を合併により設立することが当該上場商品構成物品等の生産及び流通に著しい支障を及ぼし、又は及ぼすおそれがあることに該当しないことを同号の基準とし、当該基準並びに同項第三号及び第四号の基準の適用は、当該存続期間又は開設期限までの間について判断して行うものとする。
(3) If an application is filed for the authorization referred to in paragraph (1) of the preceding Article and the term of existence of the commodity exchange (if the exchange is a incorporated commodity exchange, its term of existence as a incorporated commodity exchange) or the operative term of the commodity market is stated in the articles of incorporation (or, if the exchange is an Incorporated commodity exchange, in its operational rules), the criterion set forth in paragraph (1), item (ii) is replaced by the criteria that the volume of transactions is not expected to fall short in terms of ensuring fair and smooth futures transactions in the listed commodity or listed commodity index to which the application pertains, and that, in light of the status of transactions of the listed commodity component products, etc., the survival, in the merger, of the commodity exchange on which such futures transactions are effected, or the incorporation, in the merger, of a commodity exchange on which such futures transactions are effected does not and is not likely to cause an extreme hindrance to the production and distribution of the listed commodity component products, etc., and the competent minister must apply such criteria and the criteria referred to in items (iii) and (iv) of that paragraph to reach a judgment with respect to the period up until the end of that term of existence or that operative term.
4 第十五条第五項から第十一項までの規定は、前条第一項の認可について準用する。この場合において、第十五条第十項中「第三号」とあるのは、「第六号」と読み替えるものとする。
(4) The provisions of Article 15, paragraphs (5) through (11) apply mutatis mutandis to the authorization referred to in paragraph (1) of the preceding Article. In this case, the term "item (iii)" in Article 15, paragraph (10) is deemed to be replaced with "item (vi)".
(吸収合併の登記)
(Registration of an Absorption-type Merger)
第百四十七条 会員商品取引所が吸収合併をした場合において、吸収合併存続商品取引所が会員商品取引所であるときは、その効力が生じた日から、その主たる事務所の所在地においては二週間以内に、その従たる事務所の所在地においては三週間以内に、吸収合併消滅商品取引所については解散の登記をし、吸収合併存続商品取引所については変更の登記をしなければならない。ただし、従たる事務所の所在地における変更の登記は、吸収合併存続商品取引所について、第二十四条第二項各号に掲げる事項に変更が生じた場合に限り、するものとする。
Article 147 (1) If a member commodity exchange has effected an absorption-type merger and the commodity exchange surviving the absorption-type merger is a member commodity exchange, it must file for a registration of dissolution as regards the commodity exchange dissolved in the absorption-type merger and file for the registration of a change as regards the commodity exchange surviving the absorption-type merger; and these filings must be made within two weeks from the day on which the absorption-type merger comes into effect in connection with the principal office location, and within three weeks from that day in connection with the secondary office locations; provided, however, that the registration of a change in connection with a secondary office location is to be made only if a particular set forth in one of the items of Article 24, paragraph (2) changes as concerns the commodity exchange surviving the absorption-type merger.
2 会員商品取引所が吸収合併をした場合において、吸収合併存続商品取引所が株式会社商品取引所であるときは、その効力が生じた日から、その主たる事務所及び本店の所在地においては二週間以内に、その従たる事務所及び支店の所在地においては三週間以内に、吸収合併消滅商品取引所については解散の登記をし、吸収合併存続商品取引所については変更の登記をしなければならない。ただし、支店の所在地における変更の登記は、吸収合併存続商品取引所について、会社法第九百三十条第二項各号に掲げる事項に変更が生じた場合に限り、するものとする。
(2) If a member commodity exchange implements an absorption-type merger and the commodity exchange surviving the absorption-type merger is a incorporated commodity exchange, it must file for a registration of dissolution as regards the commodity exchange dissolved in the absorption-type merger and file for the registration of a change as regards the commodity exchange surviving the absorption-type merger; and these filings must be made within two weeks from the day on which the absorption-type merger comes into effect in connection with the principal office and head office locations, and within three weeks from that day in connection with the secondary office and branch office locations; provided, however, that the registration of a change in connection with a branch office location is to be made only if a particular set forth in one of the items of Article 930, paragraph (2) of the Companies Act changes as concerns the commodity exchange surviving the absorption-type merger.
(新設合併の登記)
(Registration of a Consolidation-type Merger)
第百四十七条の二 会員商品取引所が新設合併をする場合において、新設合併設立商品取引所が会員商品取引所であるときは、次の各号に掲げる日のいずれか遅い日から、その主たる事務所の所在地においては二週間以内に、その従たる事務所の所在地においては三週間以内に、新設合併消滅商品取引所については解散の登記をし、新設合併設立商品取引所については設立の登記をしなければならない。この場合における第二十条第二項の適用については、同項中「前項」とあるのは、「新設合併設立商品取引所についての設立」とする。
Article 147-2 (1) If a member commodity exchange effects a consolidation-type merger and the commodity exchange incorporated in the consolidation-type merger is a member commodity exchange, it must file for a registration of dissolution as regards the commodity exchange dissolved in the consolidation-type merger and file a registration of incorporation as regards the commodity exchange incorporated in the consolidation-type merger; and such filings must be made within two weeks from whichever of the following days is the latest in connection with the principal office location, and within three weeks from that day in connection with the secondary office locations. With regard to the application of Article 20, paragraph (2) in such a case, the phrase "referred to in the preceding paragraph" in that paragraph is deemed to be replaced with "of incorporation as regards the commodity exchange incorporated in the consolidation-type merger":
一 第百四十四条の三第四項の会員総会の決議の日
(i) the day of the general meeting resolution referred to Article 144-3, paragraph (4)
二 第百四十四条の三第五項において準用する第百二十四条の規定による手続が終了した日
(ii) the day that the process under Article 124 as applied mutatis mutandis pursuant to Article 144-3, paragraph (5) is complete;
三 新設合併消滅商品取引所が合意により定めた日
(iii) a day set based on the agreement of the commodity exchanges dissolved in the consolidation-type merger;
四 第百四十五条第一項の認可を受けた日
(iv) the day that the authorization referred to in Article 145, paragraph (1) is obtained.
2 会員商品取引所が新設合併をする場合において、新設合併設立商品取引所が株式会社商品取引所であるときは、次の各号に掲げる日のいずれか遅い日から、その主たる事務所及び本店の所在地においては二週間以内に、その従たる事務所及び支店の所在地においては三週間以内に、新設合併消滅商品取引所については解散の登記をし、新設合併設立商品取引所については設立の登記をしなければならない。
(2) If a member commodity exchange effects a consolidation-type merger and the commodity exchange incorporated in the consolidation-type merger is a incorporated commodity exchange, it must file for a registration of dissolution as regards the commodity exchange dissolved in the consolidation-type merger and file for a registration of incorporation as regards the commodity exchange incorporated in the consolidation-type merger; and these filings must be made within two weeks from whichever of the following days is the latest, in connection with the principal office and head office locations, and within three weeks from that day in connection with the secondary office and branch office locations:
一 第百四十四条の十三第一項の株主総会の決議の日
(i) the day of the shareholders resolution referred to in Article 144-13, paragraph (1);
二 新設合併をするために種類株主総会の決議を要するときは、当該決議の日
(ii) if a class shareholders resolution is required for a consolidation-type merger, the day of that resolution;
三 第百四十四条の十四第一項の規定による通知又は同条第二項の公告をした日から二十日を経過した日
(iii) the day on which 20 days have elapsed since the day of the notice under Article 144-14, paragraph (1) or the public notice referred to in paragraph (2) of that Article;
四 第百四十四条の十七において準用する第百四十四条の十の手続が終了した日
(iv) the day on which the process referred to in Article 144-10 as applied mutatis mutandis pursuant to Article 144-17 is complete;
五 前項各号に掲げる日
(v) the days set forth in the items of the preceding paragraph.
(合併の効力の発生等)
(The Coming into Effect of a Merger)
第百四十八条 吸収合併存続商品取引所は、効力発生日又は第百四十五条第一項の主務大臣の認可を受けた日のいずれか遅い日に、吸収合併消滅商品取引所の権利義務(当該商品取引所がその行う事業に関し、行政庁の許可、認可その他の処分に基づいて有する権利義務を含む。第三項において同じ。)を承継する。
Article 148 (1) The commodity exchange surviving an absorption-type merger succeeds to the rights and obligations of a commodity exchange dissolved in the absorption-type merger (including rights and obligations that are connected with the business that a commodity exchange does and that are based on permission, license, authorization, or any other disposition by an administrative agency; the same applies in paragraph (3)) on the effective date or on the day it obtains the authorization of the competent minister referred to in Article 145, paragraph (1), whichever is later.
2 吸収合併消滅商品取引所の吸収合併による解散は、吸収合併の登記の後でなければ、これをもつて第三者に対抗することができない。
(2) The dissolution of the commodity exchange dissolved in an absorption-type merger as a result of that absorption-type merger may not be asserted against a third party until after the registration of the absorption-type merger.
3 新設合併設立商品取引所は、その成立の日に、新設合併消滅商品取引所の権利義務を承継する。
(3) A commodity exchange incorporated in a consolidation-type merger succeeds to the rights and obligations of the commodity exchanges dissolved in the consolidation-type merger on the day of its incorporation.
4 次の各号に掲げる規定に規定する場合には、吸収合併消滅会員商品取引所若しくは新設合併消滅会員商品取引所の会員又は新設合併消滅株式会社商品取引所の株主は、吸収合併の効力が生じた日又は新設合併設立株式会社商品取引所の成立の日に、当該各号に定める事項についての定めに従い、次の各号に掲げる規定の株式の株主となる。
(4) In the cases prescribed in the provisions set forth in the following items, the member of a member commodity exchange dissolved in an absorption-type merger or a member commodity exchange dissolved in a consolidation-type merger, or the shareholder of a incorporated commodity exchange dissolved in a consolidation-type merger becomes a shareholder of the shares stipulated in the provisions set forth in the relevant item in accordance with the rules with regard to the particulars set forth in each item, on the day on which the absorption-type merger comes into effect or the day of the establishment of the incorporated commodity exchange incorporated in the consolidation-type merger:
一 第百四十二条第二号イ 同条第三号に掲げる事項
(i) Article 142, item (ii) (a): the particulars set forth in item (iii) of that Article;
二 第百四十三条第一項第六号 同項第七号に掲げる事項
(ii) Article 143, paragraph (1), item (vi): the particulars set forth in item (vii) of that paragraph.
5 新設合併消滅株式会社商品取引所の新株予約権は、新設合併設立株式会社商品取引所の成立の日に、消滅する。
(5) A share option in an incorporated commodity exchange dissolved in a consolidation-type merger extinguishes on the day of the establishment of the incorporated commodity exchange incorporated in the consolidation-type merger.
第百四十九条 第百四十五条第一項の認可を受けて設立された者は、当該設立の時に、第九条又は第七十八条の許可を受けたものとみなす。
Article 149 (1) A commodity exchange that is incorporated with the authorization referred to in Article 145, paragraph (1) is deemed to have obtained the permission referred to in Article 9 or the license referred to in Article 78 at the time of its incorporation.
2 合併後の商品取引所は、吸収合併消滅商品取引所又は新設合併消滅商品取引所の商品市場において成立した取引であつて決済を結了していないものがあるときは、当該取引に係る商品市場と同一の商品市場(政令で定める同種の商品市場を含む。)を開設する場合を除き、当該取引の決済を結了する目的の範囲内において、吸収合併消滅商品取引所又は新設合併消滅商品取引所の商品市場と同一の商品市場を開設しなければならない。
(2) If there are transactions that have been completed on the commodity market of the commodity exchange dissolved in an absorption-type merger or commodity exchange dissolved in a consolidation-type merger, but not settled, unless the commodity exchange resulting from the merger opens a commodity market identical to the commodity market the that is connected with those transactions (including an identical type of commodity market as specified by Cabinet Order), the commodity exchange resulting from the merger must open a commodity market that is identical to that of the commodity exchange dissolved in the absorption-type merger or commodity exchange dissolved in the consolidation-type merger, inasmuch as the task of completing settlement for those transactions is concerned.
3 第五条第一項の規定は、合併後の商品取引所が前項の規定により商品市場を開設する場合には、適用しない。
(3) The provisions of Article 5, paragraph (1) do not apply if the commodity exchange resulting from a merger opens a commodity market pursuant to the provisions of the preceding paragraph.
4 吸収合併消滅商品取引所又は新設合併消滅商品取引所の商品市場において成立した取引であつて決済を結了していないものは、合併後の商品取引所の当該商品市場と同一の商品市場(政令で定める同種の商品市場を含む。)において同一の条件で成立した取引とみなす。
(4) Transactions that have been completed on the commodity market of the commodity exchange dissolved in an absorption-type merger or commodity exchange dissolved in a consolidation-type merger, but not settled, are deemed to have been completed on the identical commodity market of the commodity exchange resulting from the merger (including an identical type of commodity market as specified by Cabinet Order) under the same conditions.
(一に満たない端数の処理等)
(Dealing with any Fraction Less than the Whole)
第百五十条 会社法第二百三十四条第一項から第五項まで、第八百六十八条第一項、第八百六十九条、第八百七十一条、第八百七十四条(第四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、第百四十二条の吸収合併及び第百四十三条第一項の新設合併について準用する。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 150 The provisions of Article 234, paragraphs (1) through (5) of the Companies Act and of Article 868, paragraph (1); Article 869; Article 871; Article 874 (limited to the part that involves item (iv)); Article 875; and Article 876 of that Act apply mutatis mutandis to the absorption-type merger referred to in Article 142 and to the consolidation-type merger referred to in Article 143, paragraph (1). The necessary technical replacement of terms for such a case is specified by Cabinet Order.
(株券等の提出)
(Submission of Share Certificates)
第百五十一条 会社法第二百十九条第一項(第六号に係る部分に限る。)、第二項及び第三項、第二百二十条並びに第二百九十三条第一項(第三号に係る部分に限る。)及び第二項から第四項までの規定は、新設合併消滅株式会社商品取引所について準用する。この場合において、必要な技術的読替えは、政令で定める。
Article 151 (1) The provisions of Article 219, paragraph (1) (limited to the part that involves item (vi)), paragraph (2), and paragraph (3) of the Companies Act and of Article 220 and Article 293, paragraph (1) (limited to the part that involves item (iii)) and paragraphs (2) through (4) of that Act apply mutatis mutandis to the incorporated commodity exchange dissolved in a consolidation-type merger. The necessary technical replacement of terms for such a case is specified by Cabinet Order.
2 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商品取引所が同法第九百三十九条第一項第三号に掲げる方法により前項において準用する同法第二百十九条第一項又は第二百九十三条第一項の規定による公告をする場合について、同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新設合併消滅株式会社商品取引所が同法第九百三十九条第一項第三号に掲げる方法により前項において準用する同法第二百二十条第一項(前項において準用する同法第二百九十三条第四項において準用する場合を含む。)の規定による公告をする場合について、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。
(2) The provisions of Article 940, paragraph (1) (limited to the part that involves item (i)) and paragraph (3) of the Companies Act apply mutatis mutandis if the incorporated commodity exchange dissolved in a consolidation-type merger issues the public notice under Article 219, paragraph (1) or Article 293, paragraph (1) of that Act as applied mutatis mutandis pursuant to the preceding paragraph by the means set forth in Article 939, paragraph (1), item (iii) of that Act; and the provisions of Article 940, paragraph (1) (limited to the part that involves item (iii)) and paragraph (3) of that Act apply mutatis mutandis if the incorporated commodity exchange dissolved in a consolidation-type merger issues the public notice under Article 220, paragraph (1) of that Act as applied mutatis mutandis pursuant to the preceding paragraph (including as applied mutatis mutandis pursuant to Article 293, paragraph (4) of that Act, pursuant to the preceding paragraph) by the means set forth in Article 939, paragraph (1), item (iii) of that Act. The necessary technical replacement of terms for such a case is specified by Cabinet Order.
商業登記法の準用)
(Application Mutatis Mutandis of the Commercial Registration Act)
第百五十二条 商業登記法第七十九条、第八十条(第二号、第六号、第九号及び第十号を除く。)、第八十一条(第三号、第六号、第九号及び第十号を除く。)、第八十二条及び第八十三条の規定は、第百三十九条第二項第一号に掲げる場合における合併による会員商品取引所の登記について準用する。この場合において、同法第七十九条中「商号及び本店」とあるのは「名称及び主たる事務所」と、同法第八十条第四号中「資本金の額」とあるのは「出資の総額」と、同条第五号及び同法第八十一条第五号中「本店」とあるのは「事務所」と、同法第八十条第七号中「吸収合併消滅会社が持分会社であるときは、総社員の同意(定款に別段の定めがある場合にあつては、その定めによる手続)があつたことを証する書面」とあるのは「吸収合併をする会員商品取引所の合併会員総会の議事録」と、同法第八十一条中「次の書面」とあるのは「次の書面及び代表権を有する者の資格を証する書面」と、同条第七号中「新設合併消滅会社が持分会社であるときは、総社員の同意(定款に別段の定めがある場合にあつては、その定めによる手続)があつたことを証する書面」とあるのは「新設合併消滅会員商品取引所の合併会員総会の議事録」と、同法第八十二条第二項から第四項まで及び第八十三条中「本店」とあるのは「主たる事務所」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。
Article 152 (1) The provisions of Article 79 of the Commercial Registration Act and of Article 80 (excluding items (ii), (vi), (ix), and (x)), Article 81 (excluding items (iii), (vi), (ix), and (x)), Article 82, and Article 83 of that Act apply mutatis mutandis to the registration of a member commodity exchange as the result of a merger in a case as set forth in Article 139, paragraph (2), item (i). In this case, in Article 79 of that Act, the phrase "trade name and the head office" is deemed to be replaced with "name and the principal office"; in Article 80, item (iv) of that Act, the phrase "amount of stated capital" is deemed to be replaced with "total amount of contribution"; in item (v) of that Article and Article 81, item (v) of that Act, the term "head office" is deemed to be replaced with "office"; in Article 80, item (vii) of that Act, the phrase "when a company dissolved in an absorption-type merger is a membership company, a document proving the consent of all members (if special provisions exist in the articles of incorporation, the procedure under such provisions)" is deemed to be replaced with "minutes of the general meeting regarding the merger of the member commodity exchange implementing the absorption-type merger"; in Article 81 of that Act, the phrase "the following documents" is deemed to be replaced with "the following documents and a document evidencing the credentials of the person with the authority for representation"; in item (vii) of that Article, the phrase "when a company dissolved in an incorporation-type merger is a membership company, a document proving the consent of all members (if special provisions exist in the articles of incorporation, the procedure under such provisions)" is deemed to be replaced with "minutes of the general meeting regarding the merger of the member commodity exchange dissolved in the consolidation-type merger"; in Article 82, paragraphs (2) through (4) and Article 83 of that Act, the term "the head office" is deemed to be replaced with "the principal office"; and any other necessary technical replacement of terms is specified by Cabinet Order.
2 商業登記法第七十九条、第八十条(第六号、第九号及び第十号を除く。)及び第八十一条から第八十三条までの規定は、第百三十九条第二項第二号に掲げる場合における合併による会員商品取引所及び株式会社商品取引所の登記について準用する。この場合において、同法第七十九条中「商号及び本店」とあるのは「名称又は商号及び主たる事務所又は本店」と、同法第八十条第五号中「本店」とあるのは「事務所」と、同条第七号中「吸収合併消滅会社が持分会社であるときは、総社員の同意(定款に別段の定めがある場合にあつては、その定めによる手続)があつたことを証する書面」とあるのは「吸収合併消滅会員商品取引所の合併会員総会の議事録」と、同法第八十一条第五号中「本店」とあるのは「本店又は事務所」と、同条第七号中「新設合併消滅会社が持分会社であるときは、総社員の同意(定款に別段の定めがある場合にあつては、その定めによる手続)があつたことを証する書面」とあるのは「新設合併消滅会員商品取引所の合併会員総会の議事録」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。
(2) The provisions of Article 79 of the Commercial Registration Act and of Article 80 (excluding items (vi), (ix), and (x)) and Articles 81 through 83 of that Act apply mutatis mutandis to the registration of a member commodity exchange or incorporated commodity exchange as the result of a merger in a case as set forth in Article 139, paragraph (2), item (ii). In this case, in Article 79 of that Act, the phrase "trade name and the head office" is deemed to be replaced with "name and the principal office or the head office"; in Article 80, item (v) of that Act, the term "head office" is deemed to be replaced with "office"; in item (vii) of that Article, the phrase "when a company dissolved in an absorption-type merger is a membership company, a document proving the consent of all members (if special provisions exist in the articles of incorporation, the procedure under such provisions)" is deemed to be replaced with "the minutes of the general meeting regarding the merger of the member commodity exchange surviving the absorption-type merger"; in Article 81, item (v) of that Act, the term "head office" is deemed to be replaced with "head office or office"; in item (vii) of that Article, the phrase "when a company dissolved in an incorporation-type merger is a membership company, a document proving the consent of all members (if special provisions exist in the articles of incorporation, the procedure under such provisions)" is deemed to be replaced with "the minutes of the general meeting regarding the merger of the member commodity exchange dissolved in the consolidation-type merger"; and any other necessary technical replacement of terms is specified by Cabinet Order.
(合併の無効の訴え)
(Action to Invalidate a Merger)
第百五十三条 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百三十九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、第八百七十条第二項(第五号に係る部分に限る。)、第八百七十条の二、第八百七十一条本文、第八百七十二条(第五号に係る部分に限る。)、第八百七十二条の二、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、同法第九百三十七条第三項中「各会社の本店」とあるのは「各株式会社商品取引所の本店又は各会員商品取引所の主たる事務所」と、同条第四項中「第九百三十条第二項各号」とあるのは「第九百三十条第二項各号又は商品取引所法第二十四条第二項各号」と、「各会社の支店」とあるのは「各株式会社商品取引所の支店又は各会員商品取引所の従たる事務所」と読み替えるものとする。
Article 153 The provisions of Article 828, paragraph (1) (limited to the part that involves item (vii) and item (viii)) and paragraph (2) (limited to the part that involves item (vii) and item (viii)) of the Companies Act and of Article 834 (limited to the part that involves item (vii) and item (viii)); Article 835, paragraph (1); Articles 836 through 839; 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 part that involves item (ii) and item (iii)) and paragraph (4) of that Act apply mutatis mutandis to an action to invalidate a merger under Article 139, paragraph (1); and the provisions of Article 868, paragraph (5) of that Act and of Article 870 (limited to the part that involves item (xv)); the main clause of Article 871; Article 872 (limited to the part that involves item (iv)); the main clause of Article 873; Article 875; and Article 876 of that Act apply mutatis mutandis to a motion under Article 843, paragraph (4) of that Act as applicable mutatis mutandis pursuant to this Article. In this case, in Article 937, paragraph (3) of that Act, the phrase "the head office of each company" is deemed to be replaced with "the head office of each incorporated commodity exchange or the principal office of each member commodity exchange"; and in paragraph (4) of that Article, the phrase "the respective items of Article 930, paragraph (2)" is deemed to be replaced with "the items of Article 930, paragraph (2) of the Companies Act and the items of Article 24, paragraph (2) of the Commodity Exchange Act" and the phrase "the branch offices of each company" in that paragraph is deemed to be replaced with "the branch offices of each incorporated commodity exchange and the secondary offices of each member commodity exchange".
(政令等への委任)
(Delegation to Cabinet Order)
第百五十四条 この法律に定めるもののほか、商品取引所の合併に関し必要な事項は、政令で定める。
Article 154 (1) Beyond what is provided for in this Act, the necessary particulars relevant to the merger of commodity exchanges are specified by Cabinet Order.
2 合併に際して資本準備金として計上すべき額その他合併に際しての計算に関し必要な事項は、主務省令で定める。
(2) The amounts that are required to be reported as capital reserves at the time of a merger and any other necessary particulars relevant to the accounting at the time of a merger are specified by order of the competent ministry.
第七節 監督
Section 7 Supervision
(定款の変更)
(Changing the Articles of Incorporation)
第百五十五条 商品取引所の定款の変更は、主務大臣の認可を受けなければ、その効力を生じない。
Article 155 (1) A change to the articles of incorporation of a commodity exchange does not come into effect without the authorization of the competent minister.
2 商品取引所は、前項の認可を受けようとするときは、申請書に主務省令で定める書類を添付して、主務大臣に提出しなければならない。
(2) If a commodity exchange seeks the authorization referred to in the preceding paragraph, it must submit a written application accompanied by the documents specified by order of the competent ministry to the competent minister.
3 主務大臣は、会員商品取引所から第一項の認可の申請があつた場合において、当該申請が次の各号に掲げる区分に応じ、当該各号に定める基準に適合していると認めるときは、認可をしなければならない。
(3) If an application is filed by a member commodity exchange for the authorization referred to in paragraph (1) and the competent minister finds the application to conform to the criteria prescribed in the relevant of the following items for the category set forth in that item, the minister must grant that approval:
一 商品市場の開設に係るもの(次号に掲げるものを除く。) 次に掲げる基準
(i) an application that concerns the operation of a commodity market (other than what is prescribed in the following item): the following criteria:
イ 当該商品市場を開設しようとする会員商品取引所の会員であつて当該商品市場において取引をしようとするもの及び当該会員商品取引所の会員になろうとする者であつて当該商品市場において取引をしようとするもの(その出資の全額の払込みが終了した者に限る。)の合計数が二十人以上であり、かつ、その過半数の者が第十条第二項各号に定める者であること。
(a) the total number of members of the member commodity exchange seeking to open the commodity market which seek to trade on that commodity market, and persons that seek to become members of that member commodity exchange and trade on that commodity market (limited to those that have finished paying the full amount of their contribution) is at least 20 and the majority of them are persons specified in the items of Article 10, paragraph (2);
ロ 第十五条第一項第一号から第四号までに掲げる基準
(b) criteria set forth in Article 15, paragraph (1), items (i) through (iv).
二 期限付商品市場(定款に存続期間が記載され、若しくは記録されている会員商品取引所の商品市場又は定款に開設期限が記載され、若しくは記録されている商品市場をいう。以下この条において同じ。)の開設に係るもの 次に掲げる基準
(ii) an application that concerns the operation of a fixed-term commodity market (meaning the commodity market of a member commodity exchange whose term of existence is stated or recorded in the articles of incorporation, or a commodity market whose operative term is stated or recorded in the articles of incorporation; hereinafter the same applies in this Article); the following criteria:
イ 前号イに掲げる基準
(a) the criteria set forth in (a) of the preceding item;
ロ 申請に係る上場商品又は上場商品指数の先物取引を公正かつ円滑にするために十分な取引量が見込まれないことその他上場商品構成物品等の取引の状況に照らし、当該先物取引をする商品市場を開設することが当該上場商品構成物品等の生産及び流通に著しい支障を及ぼし、又は及ぼすおそれがあることに該当しないこと。
(b) the volume of transactions is not expected to fall short in terms of ensuring fair and smooth futures transactions in the listed commodity or listed commodity index that the application concerns, and, in light of the status of transactions in the goods where the listed commodity, etc., the operation of a commodity market on which such futures transactions are effected does not and is not likely to cause an extreme hindrance to the production or distribution of the listed commodity component products, etc.;
ハ 第十五条第一項第二号から第四号までに掲げる基準
(c) the criteria set forth in Article 15, paragraph (1), items (ii) through (iv).
三 商品市場(期限付商品市場を除く。)における上場商品若しくは上場商品指数の範囲の変更(範囲変更期間が定められているものを除く。)又は会員商品取引所の存続期間、商品市場の開設期限若しくは範囲変更期間の廃止に係るもの 第十五条第一項第一号から第四号までに掲げる基準
(iii) an application that concerns a change in the scope of a listed commodity or listed commodity index (other than a change of scope for which there is a set term) on a commodity market (excluding a fixed-term commodity market) or the abolition of the term of existence of a member commodity exchange, the operative term of a commodity market, or the term for a change of scope; the criteria set forth in Article 15, paragraph (1), items (i) through (iv);
四 商品市場(期限付商品市場を除く。)における上場商品若しくは上場商品指数の範囲の変更(範囲変更期間が定められているものに限る。)、期限付商品市場における上場商品若しくは上場商品指数の範囲の変更又は会員商品取引所の存続期間、商品市場の開設期限若しくは範囲変更期間の変更に係るもの 次に掲げる基準
(iv) an application that concerns a change in the scope of a listed commodity or listed commodity index (but only a change of scope for which there is a set term) on a commodity market (excluding a fixed-term commodity market), or a change in the scope of a listed commodity or a listed commodity index on a fixed-term commodity market, or to a change in the term of existence of a member commodity exchange, the operative term of a commodity market, or the term for a change of scope: the following criteria:
イ 申請に係る上場商品又は上場商品指数の先物取引を公正かつ円滑にするために十分な取引量が見込まれないことその他上場商品構成物品等の取引の状況に照らし、当該上場商品若しくは上場商品指数の範囲の変更又は当該先物取引をする会員商品取引所の存続期間、商品市場の開設期限若しくは範囲変更期間の変更を行うことが当該上場商品構成物品等の生産及び流通に著しい支障を及ぼし、又は及ぼすおそれがあることに該当しないこと。
(a) the volume of transactions is not expected to fall short in terms of ensuring fair and smooth futures transactions in the listed commodity or listed commodity index to which the application pertains, and, in light of the status of transactions of the listed commodity component products, etc., the change in the scope of a listed commodity or a listed commodity index or the change in the term of existence of the member commodity exchange, the operative term of the commodity market, or the change in the term for a change of scope does not and is not likely to cause an extreme hindrance to the production or distribution of the Listed commodity component products, etc.;
ロ 第十五条第一項第二号から第四号までに掲げる基準
(b) the criteria set forth in Article 15, paragraph (1), items (ii) through (iv).
五 前各号に掲げるもの以外のもの 第十五条第一項第四号に掲げる基準
(v) an application other than one set forth in the preceding items: the criteria set forth in Article 15, paragraph (1), item (iv).
4 主務大臣は、株式会社商品取引所から第一項の認可の申請があつた場合において、当該申請が第八十条第一項第六号に掲げる基準に適合していると認めるときは、認可をしなければならない。
(4) If an application is filed by an incorporated commodity exchange for the authorization referred to in paragraph (1) and the competent minister finds that the application conforms to the criteria prescribed in Article 80, paragraph (1), item (vi), the minister must give authorization.
5 主務大臣は、会員商品取引所についての第一項の認可をする場合においては、第三項第二号ロ及びハ(第十五条第一項第四号に係る部分を除く。)並びに第三項第四号イ及びロ(同条第一項第四号に係る部分を除く。)に掲げる基準の適用については、当該基準を適用すべき申請に係る会員商品取引所の存続期間、商品市場の開設期限までの間又は範囲変更期間について判断して行うものとする。
(5) Before giving the authorization referred to in paragraph (1) to a member commodity exchange, the competent minister is to apply the criteria set forth in paragraph (3), item (ii) (b) and (c) (excluding the part that involves Article 15, paragraph (1), item (iv)) and paragraph (3), item (iv) (a) and (b) (excluding the part that involves paragraph (1), item (iv) of that Article) to reach a judgment with respect to the term of existence of the member commodity exchange, the period up until the end of the operative term of the commodity market, or the term for a change of scope.
6 会員商品取引所についての第一項の認可であつて次の各号に掲げる事項に係るものについては、当該各号に定める規定を準用する。
(6) The provisions prescribed in the following items apply mutatis mutandis to the authorization referred to in paragraph (1) for a member commodity exchange, as regards the matter set forth in the relevant item:
一 商品市場の開設若しくは商品市場に関する第十一条第二項第十三号に掲げる事項の変更(次号に掲げるものを除く。)、会員商品取引所の存続期間、商品市場の開設期限若しくは範囲変更期間の廃止又は会員の数の最高限度の設定、変更若しくは廃止 第十五条第五項から第九項までの規定
(i) The operation of a commodity market, a change to a particular set forth in Article 11, paragraph (2), item (xiii) with regard to a commodity market (excluding one set forth in the following item), the abolition of the term of existence of a member commodity exchange, the operative term of a commodity market, or the term for a change of scope, or the incorporation of, a change to, or the abolition of the maximum number of members: the provisions of Article 15, paragraphs (5) through(9);
二 商品市場(期限付商品市場を除く。)における上場商品若しくは上場商品指数の範囲の変更(範囲変更期間が定められているものに限る。)、期限付商品市場の開設若しくは期限付商品市場における上場商品若しくは上場商品指数の範囲の変更又は会員商品取引所の存続期間、商品市場の開設期限若しくは範囲変更期間の変更 第十五条第五項から第十一項までの規定
(ii) a change in the scope of a listed commodity or listed commodity index (but only a change of scope for which there is a set term) on a commodity market (excluding a fixed-term commodity market), the operati of a fixed-term commodity market, or a change in the scope of a listed commodity or a listed commodity index on a fixed-term commodity market, or a change in the term of existence of a member commodity exchange, the operative term of a commodity market, or the term for a change of scope: the provisions of Article 15, paragraphs (5) through (11).
7 主務大臣は、会員商品取引所の存続期間、商品市場の開設期限又は範囲変更期間の廃止に係る第一項の認可に当たつては、当該認可までの間の当該会員商品取引所又は当該商品市場における取引の状況について勘案しなければならない。
(7) In considering the authorization referred to in paragraph (1) in relation to the abolition of the term of existence of a member commodity exchange, the operative term of a commodity market, or the term for a change of scope, the competent minister must take into consideration the status of the member commodity exchange or the status of transactions on the commodity market during the period that the authorization is being considered.
8 主務大臣は、第一項の認可の申請が上場商品又は上場商品指数の範囲の変更に係るものである場合においては、第三百五十二条(第八号に係る部分に限る。)の規定による公示があつた日から三月を経過した後でなければ、同項の認可をしてはならない。
(8) If an application for the authorization referred to in paragraph (1) concerns a change in the scope of a listed commodity or listed commodity index, the competent minister must not give the authorization referred to in that paragraph until after three months have elapsed since the day of the public notice under Article 352 (limited to the part that involves item (viii)).
(業務規程、受託契約準則、紛争処理規程又は市場取引監視委員会規程の変更)
(Changing the Operational Rules, Brokerage Contract Rules, Dispute Resolution Rules, or Market Transactions Surveillance Committee Rules)
第百五十六条 商品取引所の業務規程、受託契約準則、紛争処理規程又は市場取引監視委員会規程の変更は、主務大臣の認可を受けなければ、その効力を生じない。ただし、業務規程の軽微な変更であつて主務省令で定めるものについては、この限りでない。
Article 156 (1) A change to the operational rules, brokerage contract rules, dispute resolution rules, or market transactions surveillance committee rules of a commodity exchange does not come into effect without the authorization of the competent minister; provided, however, that this does not apply to minor changes to its operational rules as provided for by order of the competent ministry.
2 商品取引所は、前項の認可を受けようとするときは、申請書に主務省令で定める書類を添付して、主務大臣に提出しなければならない。
(2) If a commodity exchange seeks the authorization referred to in the preceding paragraph, it must submit a written application accompanied by the documents specified by order of the competent ministry, to the competent minister.
3 商品取引所は、第一項ただし書の主務省令で定める軽微な変更をしたときは、遅滞なく、その旨を主務大臣に届け出なければならない。
(3) If a commodity market makes a minor change as provided for by order of the competent ministry which is referred to in the proviso to paragraph (1), it must notify the competent minister of this without delay.
4 主務大臣は、第一項の認可の申請(株式会社商品取引所の業務規程に係るものを除く。)が次の各号に掲げる区分に応じて当該各号に定める基準に適合していると認めるときは、認可をしなければならない。
(4) If the competent minister finds that an application for the authorization referred to in paragraph (1) (excluding one that concerns the operational rules of an incorporated commodity exchange) conforms to the criteria prescribed in the relevant of the following items for the category set forth in that item, the minister must give authorization:
一 会員商品取引所に係るもの 第十五条第一項第四号に掲げる基準
(i) an application that concerns a member commodity exchange: the criteria set forth in Article 15, paragraph (1), item (iv);
二 株式会社商品取引所に係るもの 第八十条第一項第六号に掲げる基準
(ii) an application that concerns an incorporated commodity exchange: the criteria set forth in Article 80, paragraph (1), item (vi).
5 主務大臣は、第一項の認可の申請が株式会社商品取引所の業務規程に係るものである場合においては、当該申請が次の各号に掲げる区分に応じ、当該各号に定める基準に適合していると認めるときは、認可をしなければならない。
(5) If the competent minister finds that an application for the authorization referred to in paragraph (1) which concerns the operational rules of an incorporated commodity exchange conforms to the criteria prescribed in the relevant of the following items for the category set forth in that item, the minister must give authorization:
一 商品市場の開設に係るもの(次号に掲げるものを除く。) 第八十条第一項第二号から第六号までに掲げる基準
(i) an application that concerns the operation of a commodity market (other than what is set forth in the following item): the criteria set forth in Article 80, paragraph (1), items (ii) through (vi);
二 期限付商品市場(業務規程に存続期間が記載され、若しくは記録されている株式会社商品取引所の商品市場又は業務規程に開設期限が記載され、若しくは記録されている商品市場をいう。以下この条において同じ。)の開設に係るもの 次に掲げる基準
(ii) an application that concerns the operation of a fixed-term commodity market (meaning the commodity market of an incorporated commodity exchange whose term of existence is stated or recorded in its operational rules, or a commodity market whose operative term is stated or recorded in its operational rules; hereinafter the same applies in this Article): the following criteria:
イ 申請に係る上場商品又は上場商品指数の先物取引を公正かつ円滑にするために十分な取引量が見込まれないことその他上場商品構成物品等の取引の状況に照らし、当該先物取引をする商品市場を開設することが当該上場商品構成物品等の生産及び流通に著しい支障を及ぼし、又は及ぼすおそれがあることに該当しないこと。
(a) the volume of transactions is not expected to fall short in terms of ensuring fair and smooth futures transactions in the listed commodity or listed commodity index that the application concerns, and, in light of the status of transactions of the listed commodity component products, etc., the operation of a commodity market on which the futures transactions are effected does not and is not likely to cause an extreme hindrance to the production or distribution of the listed commodity component products, etc.;
ロ 第八十条第一項第二号及び第四号から第六号までに掲げる基準
(b) the criteria set forth in Article 80, paragraph (1), item (ii) and items (iv) through (vi).
三 商品市場(期限付商品市場を除く。)における上場商品若しくは上場商品指数の範囲の変更(範囲変更期間が定められているものを除く。)又は株式会社商品取引所としての存続期間、商品市場の開設期限若しくは範囲変更期間の廃止に係るもの 第八十条第一項第三号から第六号までに掲げる基準
(iii) an application that concerns a change in the scope of a listed commodity or listed commodity index (other than a change of scope for which there is a set term) on a commodity market (other than a fixed-term commodity market), or the abolition of the exchange's term of existence as an incorporated commodity exchange, the operative term of a commodity market, or the term for a change of scope: the criteria set forth in Article 80, paragraph (1), items (iii) through (vi);
四 商品市場(期限付商品市場を除く。)における上場商品若しくは上場商品指数の範囲の変更(範囲変更期間が定められているものに限る。)、期限付商品市場における上場商品若しくは上場商品指数の範囲の変更又は株式会社商品取引所としての存続期間、商品市場の開設期限若しくは範囲変更期間の変更に係るもの 次に掲げる基準
(iv) an application that concerns a change in the scope of a listed commodity or listed commodity index (but only a change of scope for which there is a set term) on the commodity market (other than a fixed-term commodity market), a change in the scope of a listed commodity or listed commodity index on a fixed-term commodity market, or a change in the exchange's term of existence as an incorporated commodity exchange, the operative term of a commodity market, or the term for a change of scope: the following criteria:
イ 申請に係る上場商品又は上場商品指数の先物取引を公正かつ円滑にするために十分な取引量が見込まれないことその他上場商品構成物品等の取引の状況に照らし、当該上場商品若しくは上場商品指数の範囲の変更又は当該先物取引をする株式会社商品取引所としての存続期間、商品市場の開設期限若しくは範囲変更期間の変更を行うことが当該上場商品構成物品等の生産及び流通に著しい支障を及ぼし、又は及ぼすおそれがあることに該当しないこと。
(a) the volume of transactions is not expected to fall short in terms of ensuring fair and smooth futures transactions in the listed commodity or listed commodity index that the application concerns, and, in light of the status of transactions of the listed commodity component products, etc., the change in the scope of the listed commodity or listed commodity index, the change in the exchange's term of existence as an incorporated commodity exchange on which such futures transactions are effected, the change in the operative term of the commodity market, or the change in the term for a change of scope does not and is not likely to cause an extreme hindrance to the production or distribution of the listed commodity component products, etc.;
ロ 第八十条第一項第四号から第六号までに掲げる基準
(b) the criteria set forth in Article 80, paragraph (1), items (iv) through (vi).
五 前各号に掲げるもの以外のもの 第八十条第一項第六号に掲げる基準
(v) an application other than one set forth in the preceding items: the criteria set forth in Article 80, paragraph (1), item (vi).
6 主務大臣は、第一項の認可の申請が株式会社商品取引所の業務規程に係るものである場合においては、前項第二号イ及びロ(第八十条第一項第二号及び第六号に係る部分を除く。)並びに前項第四号イ及びロ(同条第一項第六号に係る部分を除く。)に掲げる基準の適用については、当該基準を適用すべき申請に係る株式会社商品取引所としての存続期間、商品市場の開設期限までの間又は範囲変更期間について判断して行うものとする。
(6) If an application for the authorization referred to in paragraph (1) concerns the operational rules of an incorporated commodity exchange, the competent minister is to apply the criteria set forth in item (ii) (a) and (b) of the preceding paragraph (excluding the part that involves Article 80, paragraph (1), items (ii) and (vi)) and item (iv) (a) and (b) of the preceding paragraph (excluding the part that involves paragraph (1), item (vi) of that Article) to reach a judgment with respect to the exchange's term of existence as an incorporated commodity exchange, the period up until the end of the operative term of the commodity market, or the term for a change of scope.
7 第一項の認可であつて、当該認可が株式会社商品取引所の業務規程に係るものである場合においては、次の各号に掲げる事項に係るものについては、当該各号に定める規定を準用する。
(7) If the authorization referred to in paragraph (1) pertains to the operational rules of an incorporated commodity exchange, the provisions prescribed in the following items apply mutatis mutandis as regards the matter set forth in the relevant item:
一 商品市場の開設若しくは商品市場に関する第百二条第一項第四号、第五号若しくは第十号に掲げる事項の変更(次号に掲げるものを除く。)、株式会社商品取引所としての存続期間、商品市場の開設期限若しくは範囲変更期間の廃止又は株式会社商品取引所の取引参加者の数の最高限度の設定、変更若しくは廃止 第十五条第五項から第九項までの規定
(i) the operation of a commodity market, a change to a particular set forth in Article 102, paragraph (1), items (iv), (v) or (x) with regard to a commodity market (other than one set forth in the following item), the abolition of the exchange's term of existence as an incorporated commodity exchange, the operative term of a commodity market, or the term for a change of scope, or the incorporation of, a change to, or the abolition of the maximum number of trading participants of an incorporated commodity exchange: the provisions of Article 15, paragraphs (5) through (9);
二 商品市場(期限付商品市場を除く。)における上場商品若しくは上場商品指数の範囲の変更(範囲変更期間が定められているものに限る。)、期限付商品市場の開設若しくは期限付商品市場における上場商品若しくは上場商品指数の範囲の変更又は株式会社商品取引所としての存続期間、商品市場の開設期限若しくは範囲変更期間の変更 第十五条第五項から第十一項までの規定
(ii) a change in the scope of a listed commodity or listed commodity index (but only a change of scope for which there is a set term) on a commodity market (other than a fixed-term commodity market), the operation of a fixed-term commodity market, a change in the scope of a listed commodity or listed commodity index on a fixed-term commodity market, or a change in the exchange's term of existence as an incorporated commodity exchange, the operative term of a commodity market, or the term for a change of scope: the provisions of Article 15, paragraphs (5) through (11).
8 主務大臣は、株式会社商品取引所としての存続期間、商品市場の開設期限又は範囲変更期間の廃止に係る第一項の認可に当たつては、当該認可までの間の当該株式会社商品取引所又は当該商品市場における取引の状況について勘案しなければならない。
(8) In considering the authorization referred to in paragraph (1) in relation to the abolition of an exchange's term of existence as an incorporated commodity exchange, the operative term of a commodity market, or the term for a change of scope, the competent minister must take into consideration the status of the incorporated commodity exchange or the status of transactions on the commodity market during the period that the authorization is being considered.
9 主務大臣は、第一項の認可の申請が株式会社商品取引所の上場商品又は上場商品指数の範囲の変更に係るものである場合においては、第三百五十二条(第八号に係る部分に限る。)の規定による公示があつた日から三月を経過した後でなければ、同項の認可をしてはならない。
(9) If an application for the authorization referred to in paragraph (1) concerns a change in the scope of the listed commodity or listed commodity index of an incorporated commodity exchange, the competent minister must not give the authorization referred to in that paragraph until after three months have elapsed since the day of the public notice under Article 352 (limited to the part that involves item (viii)).
(報告徴収及び立入検査)
(Collection of Reports and On-site Inspections)
第百五十七条 主務大臣は、この法律の施行のため必要があると認めるときは、商品取引所、その子会社若しくはその会員等に対し、その業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ、又はその職員に、商品取引所、その子会社若しくはその会員等の事務所若しくは営業所に立ち入り、帳簿、書類その他業務に関係のある物件を検査させることができる。
Article 157 (1) Whenever the competent minister finds it to be necessary for the enforcement of this Act, the minister may order a commodity exchange, its subsidiary company, or its member, etc. to submit reports or materials that should serve as a reference with respect to its business or assets, and may have ministry officials enter into the office or business office of a commodity exchange, its subsidiary company, or its member, etc. to inspect its books and documents or any other article connected with its business.
2 前項の規定により立入検査をした場合において、当該職員は、検査の目的を達成するため、当該会員等が所有し、又は預託を受けた上場商品でその事務所若しくは営業所以外の場所に保管されているものを検査する必要があると認めるときは、当該会員等をして当該上場商品の保管を証する書面をその場所の管理者に提示させてその場所に立ち入り、当該会員等を立ち会わせて当該上場商品を検査することができる。
(2) If an on-site inspection is conducted pursuant to the provisions of the preceding paragraph and an official finds it to be necessary, in order to achieve the purpose of the inspection, to inspect a listed commodity that the member, etc. owns or that has been deposited with the member, etc., and is stored at a place other than the member's, etc. office or business office, the official may have the member, etc. present a document certifying the storage of the listed commodity to the manager of that place, and may enter that place and inspect the listed commodity in the presence of the member, etc.
3 前二項の規定により立入検査をする職員は、その身分を示す証明書を携帯し、関係人にこれを提示しなければならない。
(3) An officials conducting an on-site inspection pursuant to the provisions of the preceding two paragraphs must carry an identification card and present it to the persons concerned.
4 第一項及び第二項の規定による立入検査の権限は、犯罪捜査のために認められたものと解釈してはならない。
(4) The authority for an on-site inspection under paragraph (1) or paragraph (2) must not be interpreted as having been accorded for the purpose of a criminal investigation.
(業務改善命令)
(Business Improvement Orders)
第百五十八条 主務大臣は、商品取引所の業務の運営に関し、公益若しくは取引の信義則の確保のため又は委託者の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、当該商品取引所に対し、定款その他の規則の変更、業務の方法の変更その他業務の運営の改善に必要な措置をとるべきことを命ずることができる。
Article 158 (1) If the competent minister finds it to be necessary and appropriate for ensuring the principle of good faith in transactions or for the protection of consignors as concerns the business operations of a commodity exchange, the minister, within the scope of this necessity, may order the commodity exchange to change its articles of incorporation or other rules, to change its business methods, or to otherwise take the necessary measures to improve its business operations.
2 主務大臣は、前項の規定による命令を行おうとする場合において必要があると認めるときは、参考人の出頭を求めてその意見を聴取し、若しくは参考人にその意見若しくは報告の提出を求め、又は鑑定人に出頭を求めて鑑定をさせることができる。
(2) If the competent minister seeks to issue an order under the preceding paragraph and finds it to be necessary, the minister may ask a consultant to appear so as to hear the opinion of the consultant, ask a consultant to submit an opinion or report, or ask an expert to appear and have the expert give an expert opinion.
(商品取引所に対する監督上の処分)
(Supervisory Measures for Commodity Exchanges)
第百五十九条 主務大臣は、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、公益若しくは取引の信義則の確保のため又は委託者の保護のため必要かつ適当であると認めるときは、当該商品取引所に対し、当該各号に定める処分をすることができる。
Article 159 (1) If a commodity exchange falls under one of the following items and the competent minister finds it to be necessary and appropriate for ensuring the public interest or the principle of good faith in transactions or for the protection of consignors, the minister may reach the disposition set forth in the relevant item against that commodity exchange:
一 この法律等、第三条第一項ただし書若しくは第三条の二第一項ただし書の認可に付された条件若しくは定款その他の規則に違反したとき、又は会員等がこの法律等若しくは当該商品取引所の定款その他の規則に違反した場合において、当該会員等に対しこの法律等若しくは定款その他の規則を遵守させるために当該商品取引所がこの法律、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の行使その他必要な措置をすることを怠つたとき。 第九条若しくは第七十八条の許可を取り消し、又は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ずること。
(i) the commodity exchange violates this Act, etc. violates a condition attached to the authorization referred to in the proviso to Article 3, paragraph (1) or in Article 3-2, or violates its articles of incorporation or other rules, or, even though a member, etc. violates this Act, etc. or the articles of incorporation or other rules of the commodity exchange, the commodity exchange fails to exercise the powers accorded it under this Act, an order based on this Act, or its articles of incorporation or other rules, or fails to take other necessary measures to cause the member, etc. to observe this Act, etc. or its articles of incorporation or other rules: rescinding the permission referred to in Article 9 or the license referred to in Article 78, or ordering the suspension of the whole or a part of its business activities during a fixed period of no longer than one year;
二 正当な理由がないのに商品市場を開設することができることとなつた日から三月以内に全部若しくは一部の商品市場を開設しないとき、引き続き三月以上全部若しくは一部の商品市場における先物取引(上場商品に係る商品市場にあつては第二条第三項第一号又は第二号に掲げる取引、上場商品指数に係る商品市場にあつては同項第三号に掲げる取引に係るものに限る。以下この号において同じ。)を停止したとき、又は全部若しくは一部の商品市場における先物取引が第十五条第一項第一号若しくは第八十条第一項第三号に掲げる基準に適合しなくなつたとき。 第九条若しくは第七十八条の許可又は定款の変更の認可を取り消すこと。
(ii) without legitimate grounds for doing so, the commodity exchange does not begin to operate all or some of its commodity markets within three months from the day on which it is permitted to begin operating those commodity markets; it suspends futures transactions (limited to those that constitute the transactions set forth in Article 2, paragraph (3), item (i) or (ii), in the case of a commodity market for a listed commodity, and limited to those that constitute the transactions set forth in item (iii) of that paragraph, in the case of a commodity market for a listed commodity index; hereinafter the same applies in this item) on all or some of its commodity markets for three months or more; or the futures transactions on all or some of its commodity markets no longer conform to the criteria set forth in Article 15, paragraph (1), item (i) or Article 80, paragraph (1), item (iii): rescinding the permission referred to in Article 9, the license referred to in Article 78, or its authorization to change the articles of incorporation;
三 商品取引所の行為又はその開設する商品市場における取引の状況が公益上有害であると認めるとき。 三月以内の期間を定めてその業務の全部又は一部の停止を命ずること。
(iii) the competent minister finds the conduct of the commodity exchange or the status of the transactions on a commodity market it operates to be harmful to the public interest: ordering the suspension of the whole or a part of its business activities during a fixed period of no longer than three months;
四 商品取引所が第三条第一項ただし書の規定により認可を受けて行う業務が、当該商品取引所の業務の公共性に対する信頼を損なうおそれ若しくは商品市場開設業務及びこれに附帯する業務の健全かつ適切な運営を損なうおそれがあると認めるとき、又は商品取引所が同項ただし書の認可に付された条件に違反したとき。 同項ただし書の認可を取り消すこと。
(iv) the competent minister finds that the business that a commodity exchange conducts under approval obtained pursuant to the proviso of Article 3, paragraph (1) is likely to impair confidence in the public nature of the business of the commodity exchange or the sound and proper administration of the business of opening a commodity market and business incidental thereto, or finds that the commodity exchange violates the conditions attached to the approval referred to in the proviso to the same paragraph: rescinding the permission referred to in the proviso to that paragraph;
五 商品取引所が第三条の二第一項ただし書の規定により認可を受けて保有する子会社の行為が、当該商品取引所の業務の公共性に対する信頼を損なうおそれ若しくは商品市場開設業務及びこれに附帯する業務の健全かつ適切な運営を損なうおそれがあるにもかかわらず、当該行為の是正のため必要な措置をとることを怠つたとき、又は商品取引所が同項ただし書の認可に付された条件に違反したとき。 同項ただし書の認可を取り消すこと。
(v) the competent minister finds that although the conduct of a subsidiary company owned by the commodity exchange with authorization it has obtained pursuant to the proviso of Article 3-2, paragraph (1) is likely to impair confidence in the public nature of the business of the commodity exchange or the sound and proper administration of the business of opening a commodity market and business incidental thereto, the commodity exchange fails to take the necessary measures to correct that conduct, or the competent minister finds that the commodity exchange violates the conditions attached to the approval referred to in the proviso to the same paragraph: rescinding the permission referred to in the proviso to that paragraph.
2 主務大臣は、第九条若しくは第七十八条の許可若しくは第百五十五条第一項若しくは第百五十六条第一項の認可の申請書又はこれらの書面の添付書類の記載事項のうちに、重要な事項について虚偽の記載があり、又は重要な事実の記載が欠けていることを発見したときは、当該許可若しくは認可を取り消し、又は定款、業務規程、受託契約準則、紛争処理規程若しくは市場取引監視委員会規程について当該重要事項に係る部分の変更を命ずることができる。
(2) If the competent minister discovers that the contents of a written application for the permission referred to in Article 9, the license referred to in Article 78, the authorization referred to in Article 155, paragraph (1) or Article 156, paragraph (1), or a document that is required to accompany one of these contains a false statement about a material particular or omits a statement as to a material fact, the minister may rescind that permission, license, or authorization or order it to change the part of its articles of incorporation, operational rules, brokerage contract rules, dispute resolution rules, or market transactions surveillance committee rules that involves that material particular.
3 主務大臣は、不正の手段により商品取引所の役員になつた者のあつたことを発見したとき、又は商品取引所の役員がこの法律等に違反したときは、当該商品取引所に対し、当該役員の解任を命ずることができる。
(3) If the competent minister discovers that a person has become the officer of a commodity exchange by wrongful means or if the officer of a commodity exchange violates this Act, etc., the minister may order the commodity exchange to dismiss that officer.
4 前三項の規定による許可若しくは認可の取消し又は役員の解任の命令に係る聴聞の期日における審理は、公開により行わなければならない。ただし、主務大臣が当該処分の名あて人となるべき者の業務に関する秘密を保つため必要があると認めるとき、又は公益上必要があると認めるときは、この限りでない。
(4) The proceedings taking place on the date for a hearing on the rescission of permission, license, or authorization, or order to dismiss an officer under the preceding three paragraphs must be open to the public; provided, however, that this does not apply if the competent minister finds it to be necessary not to do so in order to maintain the trade secret of the person that could become subject to the disposition or finds it to be necessary not to do so in the public interest.