金融商品取引業等に関する内閣府令
Cabinet Office Order on Financial Instruments Business, etc.
平成十九年八月六日内閣府令第五十二号
Cabinet Office Order No. 52 of August 6, 2007
金融商品取引法(昭和二十三年法律第二十五号)及び金融商品取引法施行令(昭和四十年政令第三百二十一号)の規定に基づき、並びに同法及び同令を実施するため、金融商品取引業等に関する内閣府令を次のように定める。
Pursuant to the provisions of the Financial Instruments and Exchange Act (Act No. 25 of 1948) and the Order for Enforcement of the Financial Instruments and Exchange Act (Cabinet Order No. 321 of 1965), and for the purpose of the enforcement of that Act and Cabinet Order, the Cabinet Office Order on Financial Instruments Business, etc. is enacted as follows:
第一章 総則 (第一条―第三条)
Chapter I General Provisions (Articles 1 - 3)
第二章 金融商品取引業者等
Chapter II Financial Instruments Business Operators, etc.
第一節 総則
Section 1 General Provisions
第一款 通則 (第四条・第四条の二)
Subsection 1 General Rules (Articles 4 and 4-2)
第二款 金融商品取引業者 (第五条―第三十五条)
Subsection 2 Financial Instruments Business Operators (Articles 5 - 35)
第三款 主要株主 (第三十六条―第三十九条)
Subsection 3 Major Shareholders (Articles 36 - 39)
第四款 登録金融機関 (第四十条―第五十二条)
Subsection 4 Registered Financial Institutions (Articles 40 - 52)
第五款 特定投資家 (第五十三条―第六十四条の三)
Subsection 5 Professional Investors (Articles 53 - 64-3)
第二節 業務
Section 2 Business
第一款 通則 (第六十五条―第百二十五条の六)
Subsection 1 General Rules (Articles 65 - 125-6)
第二款 投資助言業務及び投資運用業に関する特則 (第百二十六条―第百三十五条)
Subsection 2 Special Provisions Concerning Investment Advisory Business and Investment Management Business (Articles 126 - 135)
第三款 有価証券等管理業務に関する特則 (第百三十六条―第百四十六条)
Subsection 3 Special Provisions Concerning Securities, etc. Management Business (Articles 136 - 146)
第四款 弊害防止措置等 (第百四十七条―第百五十五条)
Subsection 4 Preventive Measures against Adverse Effects (Articles 147 - 155)
第五款 雑則 (第百五十六条)
Subsection 5 Miscellaneous Provisions (Article 156)
第三節 経理
Section 3 Accounting
第一款 第一種金融商品取引業を行う金融商品取引業者 (第百五十七条―第百八十条)
Subsection 1 Financial Instruments Business Operators Engaged in Type I Financial Instruments Business (Articles 157 - 180)
第二款 第一種金融商品取引業を行わない金融商品取引業者 (第百八十一条―第百八十三条)
Subsection 2 Financial Instruments Business Operators not Engaged in Type I Financial Instruments Business (Articles 181 - 183)
第三款 登録金融機関 (第百八十四条―第百八十九条)
Subsection 3 Registered Financial Institutions (Articles 184 - 189)
第四款 外国法人等に対する特例 (第百九十条―第百九十七条)
Subsection 4 Special Provisions Concerning Foreign Juridical Persons, etc. (Articles 190 - 197)
第四節 監督 (第百九十八条―第二百八条)
Section 4 Supervision (Articles 198 - 208)
第四節の二 特別金融商品取引業者等に関する特則
Section 4-2 Special Provisions Concerning Special Financial Instruments Business Operators, etc.
第一款 特別金融商品取引業者 (第二百八条の二―第二百八条の十七)
Subsection 1 Special Financial Instruments Business Operators (Articles 208-2 – 208-17)
第二款 指定親会社 (第二百八条の十八―第二百八条の三十四)
Subsection 2 Designated Parent Companies (Articles 208-18 – 208-34)
第三款 雑則 (第二百八条の三十五)
Subsection 3 Miscellaneous Provisions (Article 208-35)
第五節 外国業者に関する特例
Section 5 Special Provisions Concerning Foreign Business Operators
第一款 外国証券業者 (第二百八条の三十六―第二百十四条)
Subsection 1 Foreign Securities Service Providers (Articles 208-36 - 214)
第二款 引受業務の一部の許可 (第二百十五条―第二百十七条)
Subsection 2 Permission of Part of Underwriting Business (Articles 215 - 217)
第三款 取引所取引業務の許可 (第二百十八条―第二百三十二条)
Subsection 3 Permission of Transaction-at-Exchange Operation (Articles 218 - 232)
第四款 情報収集のための施設の設置 (第二百三十三条)
Subsection 4 Establishment of an Institution for Collecting Information (Article 233)
第六節 適格機関投資家等特例業務に関する特例 (第二百三十四条―第二百四十六条)
Section 6 Special Provisions Concerning Specially Permitted Businesses for Qualified Institutional Investors, etc. (Articles 234 - 246)
第七節 外務員 (第二百四十七条―第二百五十六条)
Section 7 Sales Representatives (Articles 247 - 256)
第三章 金融商品仲介業者
Chapter III Financial Instruments Intermediary Service Providers
第一節 総則 (第二百五十七条―第二百六十四条)
Section 1 General Provisions (Articles 257 - 264)
第二節 業務 (第二百六十五条―第二百八十一条)
Section 2 Business (Articles 265 - 281)
第三節 経理 (第二百八十二条―第二百八十五条)
Section 3 Accounting (Articles 282 - 285)
第四節 監督 (第二百八十六条)
Section 4 Supervision (Article 286)
第五節 雑則 (第二百八十七条―第二百九十四条)
Section 5 Miscellaneous Provisions (Articles 287 - 294)
第四章 信用格付業者
Chapter IV Credit Rating Agencies
第一節 総則 (第二百九十五条―第三百五条)
Section 1 General Provisions (Articles 295 - 305)
第二節 業務 (第三百六条―第三百十四条)
Section 2 Businesses (Articles 306 - 314)
第三節 経理 (第三百十五条―第三百二十条)
Section 3 Accounting (Articles 315 - 320)
第四節 監督 (第三百二十一条―第三百二十五条)
Section 4 Supervision (Articles 321 - 325)
第五章 雑則 (第三百二十六条―第三百二十八条)
Chapter V Miscellaneous Provisions (Articles 326 - 328)
附 則
Supplementary Provisions
第一章 総則
Chapter I General Provisions
(定義)
(Definitions)
第一条 この府令において「有価証券」、「有価証券の募集」、「有価証券の私募」、「有価証券の売出し」、「発行者」、「引受人」、「有価証券届出書」、「金融商品取引業」、「金融商品取引業者」、「目論見書」、「金融商品仲介業」、「金融商品仲介業者」、「認可金融商品取引業協会」、「金融商品市場」、「金融商品取引所」、「取引所金融商品市場」、「取引参加者」、「デリバティブ取引」、「市場デリバティブ取引」、「店頭デリバティブ取引」、「外国市場デリバティブ取引」、「金融商品」、「金融指標」、「外国金融商品取引所」、「有価証券等清算取次ぎ」、「金融商品債務引受業」、「金融商品取引清算機関」、「外国金融商品取引清算機関」、「証券金融会社」、「特定投資家」、「信用格付」、「信用格付業」又は「信用格付業者」とは、それぞれ金融商品取引法(以下「法」という。)第二条に規定する有価証券、有価証券の募集、有価証券の私募、有価証券の売出し、発行者、引受人、有価証券届出書、金融商品取引業、金融商品取引業者、目論見書、金融商品仲介業、金融商品仲介業者、認可金融商品取引業協会、金融商品市場、金融商品取引所、取引所金融商品市場、取引参加者、デリバティブ取引、市場デリバティブ取引、店頭デリバティブ取引、外国市場デリバティブ取引、金融商品、金融指標、外国金融商品取引所、有価証券等清算取次ぎ、金融商品債務引受業、金融商品取引清算機関、外国金融商品取引清算機関、証券金融会社、特定投資家、信用格付、信用格付業又は信用格付業者をいう。
Article 1 (1) As used in this Cabinet Office Order, the terms "Securities", "Public Offering of Securities", "Private Placement of Securities", "Secondary Distribution of Securities", "Issuer", "Underwriter", "Registration Statement," "Financial Instruments Business", "Financial Instruments Business Operator", "Prospectus", "Financial Instruments Intermediary Service", "Financial Instruments Intermediary Service Provider", "Authorized Financial Instruments Firms Association", "Financial Instruments Market", "Financial Instruments Exchange", "Financial Instruments Exchange Market", "Trading Participant", "Derivative Transactions", "Market Transactions of Derivatives", "Over-the-Counter Transactions of Derivatives", "Foreign Market Derivatives Transactions", "Financial Instruments", "Financial Indicator", "Foreign Financial Instruments Exchange", "Brokerage for Clearing of Securities, etc.", "Financial Instruments Obligation Assumption Service", "Financial Instruments Clearing Organization", "Foreign Financial Instruments Clearing Organizations," "Securities Finance Company", "Professional Investor", "Credit Rating", "Credit Rating Business" or "Credit Rating Agency" respectively mean the Securities, Public Offering of Securities, Private Placement of Securities, Secondary Distribution of Securities, Issuer, Underwriter, Registration Statement, Financial Instruments Business, Financial Instruments Business Operator, Prospectus, Financial Instruments Intermediary Service, Financial Instruments Intermediary Service Provider, Authorized Financial Instruments Firms Association, Financial Instruments Market, Financial Instruments Exchange, Financial Instruments Exchange Market, Trading Participant, Derivative Transactions, Market Transactions of Derivatives, Over-the-Counter Transactions of Derivatives, Foreign Market Derivatives Transactions, Financial Instruments, Financial Indicator, Foreign Financial Instruments Exchange, Brokerage for Clearing of Securities, etc., Financial Instruments Obligation Assumption Service, Financial Instruments Clearing Organization, Foreign Financial Instruments Clearing Organizations, Securities Finance Company, Professional Investor, Credit Rating, Credit Rating Business or Credit Rating Agency as defined in Article 2 of the Financial Instruments and Exchange Act (hereinafter referred to as "the Act").
2 この府令において「第一種金融商品取引業」、「第二種金融商品取引業」、「投資助言・代理業」、「投資運用業」、「有価証券等管理業務」、「投資助言業務」、「有価証券の元引受け」又は「有価証券関連業」とは、それぞれ法第二十八条に規定する第一種金融商品取引業、第二種金融商品取引業、投資助言・代理業、投資運用業、有価証券等管理業務、投資助言業務、有価証券の元引受け又は有価証券関連業をいう。
(2) As used in this Cabinet Office Order, each of the terms "Type I Financial Instruments Business", "Type II Financial Instruments Business", "Investment Advisory and Agency Business", "Investment Management Business", "Securities, etc. Management Business", "Investment Advisory Business", "Wholesale Underwriting of Securities", or "Securities-Related Business" respectively means a Type I Financial Instruments Business, Type II Financial Instruments Business, Investment Advisory and Agency Business, Investment Management Business, Securities, etc. Management Business, Investment Advisory Business, Wholesale Underwriting of Securities, or Securities-Related Business as defined in Article 28 of the Act.
3 この府令(第十六号に掲げる用語にあっては、第百九十九条第十三号、第二百一条第二十四号、第二百二条第十八号、次章第四節の二及び別紙様式第十七号の二から別紙様式第十七号の六までを除く。)において、次の各号に掲げる用語の意義は、当該各号に定めるところによる。
(3) In this Cabinet Office Order (in cases of the terms listed in item (xvi), excluding Article 199 (xiii), Article 201 (xxiv), Article 202 (xviii), Section 4-2 of the following Chapter, and Appended Forms No. 17-2 through No.17-6), the meanings of the terms listed in the following items are as prescribed respectively in those items:
一 オプション 法第二条第一項第十九号に規定するオプションをいう。
(i) Options: the Options defined in Article 2, paragraph (1), item (xix) of the Act.
二 出資対象事業 法第二条第二項第五号に規定する出資対象事業をいう。
(ii) Invested Business: the Invested Business defined in Article 2, paragraph (2), item (v) of the Act.
三 適格機関投資家 法第二条第三項第一号に規定する適格機関投資家をいう。
(iii) Qualified Institutional Investors: the Qualified Institutional Investors defined in Article 2, paragraph (3), item (i) of the Act.
三の二 特定投資家向け売付け勧誘等 法第二条第六項に規定する特定投資家向け売付け勧誘等をいう。
(iii)-2 Solicitation for Selling, etc. Only for Professional Investors: the Solicitation for Selling, etc. Only for Professional Investors defined in Article 2, paragraph (6) of the Act.
四 外国金融商品市場 法第二条第八項第三号ロに規定する外国金融商品市場をいう。
(iv) Foreign Financial Instruments Market: the Foreign Financial Instruments Market defined in Article 2, paragraph (8) item (iii), sub-item (b) of the Act.
五 店頭デリバティブ取引等 法第二条第八項第四号に規定する店頭デリバティブ取引等をいう。
(v) Over-the-Counter Transactions of Derivatives, etc.: the Over-the-Counter Transactions of Derivatives, etc. defined in Article 2, paragraph (8), sub-item (iv) of the Act.
六 有価証券の引受け 法第二条第八項第六号に規定する有価証券の引受けをいう。
(vi) Underwriting of Securities: the Underwriting of Securities defined in Article 2, paragraph (8), sub-item (vi) of the Act.
七 店頭売買有価証券 法第二条第八項第十号ハに規定する店頭売買有価証券をいう。
(vii) Over-the-Counter Traded Securities: the Over-the-Counter Traded Securities defined in Article 2, paragraph (8), item (x), sub-item (c) of the Act.
八 投資顧問契約 法第二条第八項第十一号に規定する投資顧問契約をいう。
(viii) Investment Advisory Contract: the Investment Advisory Contract defined in Article 2, paragraph (8), item (xi) of the Act.
九 投資一任契約 法第二条第八項第十二号ロに規定する投資一任契約をいう。
(ix) Discretionary Investment Contract: the Discretionary Investment Contract defined in Article 2, paragraph (8), item (xii), sub-item (b) of the Act.
十 登録金融機関 法第二条第十一項に規定する登録金融機関をいう。
(x) Registered Financial Institution: the Registered Financial Institution defined in Article 2, paragraph (11) of the Act.
十の二 特定投資家向け有価証券 法第四条第三項に規定する特定投資家向け有価証券をいう。
(x)-2 Securities for Professional Investors: the Securities for Professional Investors defined in Article 4, paragraph (3) of the Act.
十の三 特定投資家向け取得勧誘 法第四条第三項第一号に規定する特定投資家向け取得勧誘をいう。
(x)-3 Solicitation for Acquisition Only for Professional Investors: the Solicitation for Acquisition Only for Professional Investors defined in Article 4, paragraph (3), item (i) of the Act.
十一 役員 法第二十一条第一項第一号に規定する役員をいう。
(xi) Officer: the Officer defined in Article 21, paragraph (1), item (i) of the Act.
十二 有価証券関連デリバティブ取引 法第二十八条第八項第六号に規定する有価証券関連デリバティブ取引をいう。
(xii) Transactions of Securities-Related Derivatives: the Transactions of Securities-Related Derivatives defined in Article 28, paragraph (8), item (vi) of the Act.
十二の二 適格投資家向け投資運用業 法第二十九条の五第一項に規定する適格投資家向け投資運用業をいう。
(xii)-2 Investment Management Business for Qualified Investors: the Investment Management Business for Qualified Investors defined in Article 29-5, item (i) of the Act.
十二の三 適格投資家 法第二十九条の五第三項に規定する適格投資家をいう。
(xii)-3 Qualified Investor: the Qualified Investor defined in Article 29-5, item (iii) of the Act.
十三 親銀行等 法第三十一条の四第三項に規定する親銀行等をいう。
(xiii) Parent Bank, etc.: the Parent Bank, etc. defined in Article 31-4, paragraph (3) of the Act.
十四 親法人等 法第三十一条の四第三項に規定する親法人等をいう。
(xiv) Parent Juridical Person, etc.: the Parent Juridical Person, etc. defined in Article 31-4, paragraph (3) of the Act.
十五 子銀行等 法第三十一条の四第四項に規定する子銀行等をいう。
(xv) Subsidiary Bank, etc.: the Subsidiary Bank, etc. defined in Article 31-4, paragraph (4) of the Act.
十六 子法人等 法第三十一条の四第四項に規定する子法人等をいう。
(xvi) Subsidiary Juridical Person, etc.: the Subsidiary Juridical Person, etc. defined in Article 31-4, paragraph (4) of the Act.
十七 デリバティブ取引等 法第三十三条第三項に規定するデリバティブ取引等をいう。
(xvii) Derivative Transactions, etc.: the Derivative Transactions, etc. defined in Article 33, paragraph (3) of the Act.
十八 有価証券関連デリバティブ取引等 法第三十三条第三項に規定する有価証券関連デリバティブ取引等をいう。
(xviii) Transactions of Securities-Related Derivatives, etc.: the Transactions of Securities-Related Derivatives, etc. defined in Article 33, paragraph (3) of the Act.
十九 市場デリバティブ取引等 法第三十三条第三項第一号に規定する市場デリバティブ取引等をいう。
(xix) Market Transactions of Derivatives, etc.: the Market Transactions of Derivatives, etc. defined in Article 33, paragraph (3), item (i) of the Act.
二十 外国市場デリバティブ取引等 法第三十三条第三項第三号に規定する外国市場デリバティブ取引等をいう。
(xx) Foreign Market Derivatives Transactions, etc.: the Foreign Market Derivatives Transactions, etc. defined in Article 33, paragraph (3) item (iii) of the Act.
二十一 登録金融機関業務 法第三十三条の五第一項第三号に規定する登録金融機関業務をいう。
(xxi) Registered Financial Institution Business: the Registered Financial Institution Business defined in Article 33-5, paragraph (1), item (iii) of the Act.
二十二 金融商品取引業者等 法第三十四条に規定する金融商品取引業者等をいう。
(xxii) Financial Instruments Business Operator, etc.: the Financial Instruments Business Operator, etc. defined in Article 34 of the Act.
二十三 金融商品取引行為 法第三十四条に規定する金融商品取引行為をいう。
(xxiii) Acts of Financial Instruments Transaction: the Acts of Financial Instruments Transaction defined in Article 34 of the Act.
二十四 金融商品取引契約 法第三十四条に規定する金融商品取引契約をいう。
(xxiv) Contract for Financial Instruments Transaction: the Contract for Financial Instruments Transaction defined in Article 34 of the Act.
二十五 運用財産 法第三十五条第一項第十五号に規定する運用財産をいう。
(xxv) Investment Property: the Investment Property defined in Article 35, paragraph (1), item (xv) of the Act.
二十六 有価証券の売買その他の取引等 法第四十一条の二第四号に規定する有価証券の売買その他の取引等をいう。
(xxvi) Purchase and Sale or Other Transactions of Securities, etc.: the Purchase and Sale or Other Transactions of Securities, etc. defined in Article 41-2, item (iv) of the Act.
二十七 権利者 法第四十二条第一項に規定する権利者をいう。
(xxvii) Right Holders: the Right Holders defined in Article 42, paragraph (1) of the Act.
二十八 自己資本規制比率 法第四十六条の六第一項に規定する自己資本規制比率をいう。
(xxviii) Capital Adequacy Ratio: the Capital Adequacy Ratio defined in Article 46-6, paragraph (1) of the Act.
二十九 金融商品取引業等 法第五十条第一項第一号に規定する金融商品取引業等をいう。
(xxix) Financial Instruments Business, etc.: the Financial Instruments Business, etc. defined in Article 50, paragraph (1), item (i) of the Act.
二十九の二 特別金融商品取引業者 法第五十七条の二第二項に規定する特別金融商品取引業者をいう。
(xxix)-2 Special Financial Instruments Business Operators: the Special Financial Instruments Business Operators defined in Article 57-2, paragraph (2) of the Act.
二十九の三 対象特別金融商品取引業者 法第五十七条の十二第三項に規定する対象特別金融商品取引業者をいう。
(xxix)-3 Subject Special Financial Instruments Business Operator: the Subject Special Financial Instruments Business Operator defined in Article 57-12, paragraph (3) of the Act.
二十九の四 指定親会社 法第五十七条の十二第三項に規定する指定親会社をいう。
(xxix)-4 Designated Parent Company: the Designated Parent Company defined in Article 57-12, paragraph (3) of the Act.
二十九の五 最終指定親会社 法第五十七条の十二第三項に規定する最終指定親会社をいう。
(xxix)-5 Highest Designated Parent Company: the Highest Designated Parent Company defined in Article 57-12, paragraph (3) of the Act.
三十 外国証券業者 法第五十八条に規定する外国証券業者をいう。
(xxx) Foreign Securities Service Provider: the Foreign Securities Service Provider defined in Article 58 of the Act.
三十一 取引所取引許可業者 法第六十条の四第一項に規定する取引所取引許可業者をいう。
(xxxi) Authorized Transaction-at-Exchange Operator: the Authorized Transaction-at-Exchange Operator defined in Article 60-4, paragraph (1) of the Act.
三十二 適格機関投資家等 法第六十三条第一項第一号に規定する適格機関投資家等をいう。
(xxxii) Qualified Institutional Investors, etc.: the Qualified Institutional Investors, etc. defined in Article 63, paragraph (1), item (i) of the Act.
三十三 適格機関投資家等特例業務 法第六十三条第二項に規定する適格機関投資家等特例業務をいう。
(xxxiii) Specially Permitted Businesses for Qualified Institutional Investor, etc.: the Specially Permitted Businesses for Qualified Institutional Investor, etc. defined in Article 63, paragraph (2) of the Act.
三十四 特例業務届出者 法第六十三条第三項に規定する特例業務届出者をいう。
(xxxiv) Specially Permitted Business Notifying Person: the Specially Permitted Business Notifying Person defined in Article 63, paragraph (3) of the Act.
三十五 外務員 法第六十四条第一項に規定する外務員をいう。
(xxxv) Sales Representative: the Sales Representative defined in Article 64, paragraph (1) of the Act.
三十六 所属金融商品取引業者等 法第六十六条の二第一項第四号に規定する所属金融商品取引業者等をいう。
(xxxvi) Entrusting Financial Instruments Business Operators, etc.: the Entrusting Financial Instruments Business Operators, etc. defined in Article 66-2, paragraph (1), sub-item (iv) of the Act.
三十七 金融商品仲介行為 法第六十六条の十一に規定する金融商品仲介行為をいう。
(xxxvii) Acts of Financial Instruments Intermediation: the Acts of Financial Instruments Intermediation defined in Article 66-11 of the Act.
三十八 店頭売買有価証券市場 法第六十七条第二項に規定する店頭売買有価証券市場をいう。
(xxxviii) Over-the-Counter Securities Market: the Over-the-Counter Securities Market defined in Article 67, paragraph (2) of the Act.
三十九 取扱有価証券 法第六十七条の十八第四号に規定する取扱有価証券をいう。
(xxxix) Tradable Securities: the Tradable Securities defined in Article 67-18, item (iv) of the Act.
四十 認定金融商品取引業協会 法第七十八条第二項に規定する認定金融商品取引業協会をいう。
(xl) Certified Financial Instruments Business Association: the Certified Financial Instruments Business Association defined in Article 78, paragraph (2) of the Act.
四十一 認定投資者保護団体 法第七十九条の十第一項に規定する認定投資者保護団体をいう。
(xli) Certified Investor Protection Organization: the Certified Investor Protection Organization defined in Article 79-10, paragraph (1) of the Act.
四十二 投資者保護基金 法第七十九条の二十一に規定する投資者保護基金をいう。
(xlii) Investor Protection Fund: the Investor Protection Fund defined in Article 79-21 of the Act.
四十三 連携金融商品債務引受業務 法第百五十六条の二十の十六第一項に規定する連携金融商品債務引受業務をいう。
(xliii) Collaborative Financial Instruments Obligation Assumption Services: the Collaborative Financial Instruments Obligation Assumption Services defined in Article 156-20-16, paragraph (1) of the Act.
四十四 連携清算機関等 法第百五十六条の二十の十六第一項に規定する連携清算機関等をいう。
(xliv) Collaborating Clearing Organization, etc.: the collaborating Clearing Organization, etc. defined in Article 156-20-16, paragraph (1) of the Act.
四十五 信用取引 法第百五十六条の二十四第一項に規定する信用取引をいう。
(xlv) Margin Transaction: the Margin Transaction defined in Article 156-24, paragraph (1) of the Act.
四十六 指定紛争解決機関 法第百五十六条の三十八第一項に規定する指定紛争解決機関をいう。
(xlvi) Designated Dispute Resolution Organization: the Designated Dispute Resolution Organization defined in Article 156-38, paragraph (1) of the Act.
四十七 紛争解決手続 法第百五十六条の三十八第十項に規定する紛争解決手続をいう。
(xlvii) Dispute Resolution Procedures: the Dispute Resolution Procedures defined in Article 156-38, paragraph (10) of the Act.
四十八 紛争解決等業務の種別 法第百五十六条の三十八第十二項に規定する紛争解決等業務の種別をいう。
(xlviii) Category for Business of Dispute Resolution, etc.: the Category for Business of Dispute Resolution, etc. defined in Article 156-38, paragraph (12) of the Act.
四十九 手続実施基本契約 法第百五十六条の三十八第十三項に規定する手続実施基本契約をいう。
(xlix) Basic Contract for Implementation of Dispute Resolution Procedures: the Basic Contract for Implementation of Dispute Resolution Procedures defined in Article 156-38, paragraph (13) of the Act.
五十 金融商品取引関係業者 法第百五十六条の三十八第十三項に規定する金融商品取引関係業者をいう。
(l) Business Operator Involved in Financial Instruments Transactions: the Business Operator Involved in Financial Instruments Transactions defined in Article 156-38, paragraph (13) of the Act.
4 この府令において、次の各号に掲げる用語の意義は、当該各号に定めるところによる。
(4) As used this Cabinet Office Order, the meanings of the terms listed in the following items are as prescribed respectively in those items:
一 本店等 本店その他の主たる営業所又は事務所(外国法人又は外国に住所を有する個人にあっては、国内における主たる営業所又は事務所)をいう。
(i) Head Office, etc.: the head office or any other principal business office or principal office (in the case of a foreign juridical person or an individual domiciled in a foreign state, meaning the principal business office or principal office in Japan).
二 固定化されていない自己資本の額 基本的項目の額(第百七十六条第一項第一号から第六号までに掲げるものの額の合計額をいう。以下同じ。)及び補完的項目の額(同項第七号に掲げるものの額をいう。以下同じ。)の合計額から、控除資産の額(第百七十七条第一項各号に掲げるものの額の合計額をいう。以下同じ。)を控除した額をいう。
(ii) Amount of Non-fixed Equity Capital: the total of the Amount of Basic Items (meaning the total of the amount of each item listed in Article 176, paragraph (1), items (i) through (vi); the same applies hereinafter) and the Amount of Supplementary Items (meaning the amount of the items listed in item (vii) of that paragraph; the same applies hereinafter), less the Amount of Deductible Assets (meaning the total amount of each of the items listed in the items of Article 177, paragraph (1); the same applies hereinafter);
三 管轄財務局長等 金融商品取引業者、登録金融機関若しくは金融商品仲介業者が現に受けている登録又は取引所取引許可業者が現に受けている許可をした財務局長又は福岡財務支局長をいう。
(iii) Competent Director-General of Local Finance Bureau, etc.: the Director-General of a Local Finance Bureau or the Director-General of the Fukuoka Local Finance Branch Bureau, who has granted a registration which is currently in effect to any Financial Instruments Business Operator, Registered Financial Institution or Financial Instruments Intermediary Service Provider, or a permission which is currently in effect to any Authorized Transaction-at-Exchange Operator.
四 所管金融庁長官等 特別金融商品取引業者及び金融商品取引法施行令(以下「令」という。)第四十二条第二項又は第四十三条第二項の規定により金融庁長官の指定を受けた者にあっては金融庁長官、それ以外の者にあっては管轄財務局長等をいう。
(iv) Commissioner of Financial Services Agency or Other Competent Official: the Special Financial Instruments Business Operators and the Commissioner of the Financial Service Agency, in case of a person designated by the Commissioner of the Financial Services Agency under Article 42, paragraph (2) or Article 43, paragraph (2) of the Order for Enforcement of the Financial Instruments and Exchange Act (hereinafter referred to as the "Cabinet Order"); or the Competent Director-General of Local Finance Bureau, etc., in case of any person other than the aforementioned person.
五 組合契約 民法(明治二十九年法律第八十九号)第六百六十七条第一項に規定する組合契約をいう。
(v) Partnership Contract: a partnership contract defined in Article 667, paragraph (1) of the Civil Code (Act No. 89 of 1896).
六 匿名組合契約 商法(明治三十二年法律第四十八号)第五百三十五条に規定する匿名組合契約をいう。
(vi) Silent Partnership Contract: a silent partnership contract defined in Article 535 of the Commercial Code (Act No. 48 of 1899).
七 投資事業有限責任組合契約 投資事業有限責任組合契約に関する法律(平成十年法律第九十号)第三条第一項に規定する投資事業有限責任組合契約をいう。
(vii) Limited Partnership Agreement for Investment: a limited partnership agreement for investment defined in Article 3, paragraph (1) of the Limited Partnership Act for Investment (Act No. 90 of 1998).
八 有限責任事業組合契約 有限責任事業組合契約に関する法律(平成十七年法律第四十号)第三条第一項に規定する有限責任事業組合契約をいう。
(viii) Limited Liability Partnership Agreement: a limited liability partnership agreement defined in Article 3, paragraph (1) of the Limited Liability Partnership Act (Act No. 40 of 2005).
九 私設取引システム運営業務 法第二条第八項第十号に掲げる行為に係る業務をいう。
(ix) Proprietary Trading System Operation: a business operation relevant to the acts specified in Article 2, paragraph (8), item (x) of the Act.
十 協同組織金融機関 協同組織金融機関の優先出資に関する法律(平成五年法律第四十四号)第二条第一項に規定する協同組織金融機関をいう。
(x) Cooperative Structured Financial Institution: a cooperative structured financial institution defined in Article 2, paragraph (1) of the Act on Preferred Equity Investment by Cooperative Structured Financial Institutions (Act No. 44 of 1993).
十一 発行日取引 金融商品取引法第百六十一条の二に規定する取引及びその保証金に関する内閣府令(昭和二十八年大蔵省令第七十五号)第一条第二項に規定する発行日取引をいう。
(xi) When-Issued Transaction: a when-issued transaction defined in Article 1, paragraph (2) of the "Cabinet Office Order on Transactions under Article 161-2 of the Financial Instruments and Exchange Act and Deposits Related Thereto" (Order of the Ministry of Finance No. 75 of 1953);
十二 非公開情報 発行者である会社の運営、業務若しくは財産に関する公表されていない重要な情報であって顧客の投資判断(法第二条第八項第十一号ロに規定する投資判断をいう。以下同じ。)に影響を及ぼすと認められるもの又は自己若しくはその親法人等若しくは子法人等の役員(役員が法人であるときは、その職務を行うべき社員を含む。)若しくは使用人が職務上知り得た顧客の有価証券の売買その他の取引等に係る注文の動向その他の特別の情報をいう。
(xii) Non-Disclosure Information: undisclosed material information on the operation, business or properties of a company which is an Issuer, which is found to have an impact on customers' Investment Decisions (meaning the Investment Decisions defined in Article 2, paragraph (8), item (xi), sub-item (b) of the Act; the same applies hereinafter), or information on ordering trends in the customers' Purchase and Sale or Other Transactions of Securities, etc. and any other special information which may come to knowledge of any the Officers (in the case where an Officer is a juridical person, including executive members thereof) or employees of the party itself or its Parent Juridical Person, etc. or Subsidiary Juridical Person, etc. in the course of duties.
十三 非公開融資等情報 融資業務(事業のための融資に係る業務をいう。以下この号、第百二十三条第一項第十九号及び第百五十条第五号において同じ。)若しくは金融機関代理業務(第六十八条第十三号に規定する金融機関代理業のうち事業のための資金の貸付け又は手形の割引を内容とする契約の締結の代理又は媒介に係る業務をいう。以下同じ。)に従事する役員(外国法人にあっては、国内における代表者を含む。次章第五節を除き、以下同じ。)若しくは使用人が職務上知り得たその顧客の行う事業に係る公表されていない情報その他の特別な情報であって金融商品取引業若しくは金融商品仲介業務(金融商品仲介行為を行う業務をいう。以下同じ。)に従事する役員若しくは使用人が勧誘する有価証券(法第三十三条第二項第一号に掲げる有価証券並びに法第二条第一項第十七号に掲げる有価証券であって同項第一号及び第二号の性質を有する有価証券を除く。以下この号において同じ。)に係る顧客の投資判断に影響を及ぼすと認められるもの又は金融商品取引業若しくは金融商品仲介業務に従事する役員若しくは使用人が職務上知り得たその顧客の有価証券の売買その他の取引等に係る注文の動向その他の特別の情報であって当該有価証券の発行者に係る融資業務若しくは金融機関代理業務に重要な影響を及ぼすと認められるものをいう。
(xiii) Non-Disclosure Loan Information, etc.: undisclosed information on the customer's business or any other special information which may come to knowledge of any of the Officers (in the case of a foreign juridical person, including its representative person in Japan; the same applies hereinafter except in Section 5 of the following Chapter) or employees engaged in a Loan Business (meaning a service related to loans for business; hereinafter the same applies in this item, Article 123, paragraph (1), item (xix) and Article 150, item (v)) or a Financial Institution Agency Service Operation (meaning a service pertaining to agency or intermediation for the conclusion of contracts for loans or discounting negotiable instrument for business, from among the Financial Institution Agency Service prescribed in Article 68, item (xiii); the same applies hereinafter) in the course of duties, which is found to have an impact on the customer's Investment Decisions in respect of the Securities (excluding the Securities specified in Article 33, paragraph (2), item (i) of the Act and also excluding the Securities specified in Article 2, paragraph (1), item (xvii) of the Act which have the natures prescribed in items (i) and (ii) of that paragraph; hereinafter the same applies in this item) solicited by Officers or employees engaged in a Financial Instruments Business or Financial Instruments Intermediary Service Operation (meaning a service operation to conduct Acts of Financial Instruments Intermediation; the same applies hereinafter); or information on ordering trends in the customers' Purchase and Sale or Other Transactions of Securities, etc. or any other special information which may come to knowledge of any of the Officers or employees engaged in a Financial Instruments Business or Financial Instruments Intermediary Service Operation in the course of duties, which is found to have a material impact on the Loan Business or the Financial Institution Agency Service Operation pertaining to the Issuer of the Securities.
十四 法人関係情報 法第百六十三条第一項に規定する上場会社等の運営、業務又は財産に関する公表されていない重要な情報であって顧客の投資判断に影響を及ぼすと認められるもの並びに法第二十七条の二第一項に規定する公開買付け(同項本文の規定の適用を受ける場合に限る。)、これに準ずる株券等(同項に規定する株券等をいう。)の買集め及び法第二十七条の二十二の二第一項に規定する公開買付け(同項本文の規定の適用を受ける場合に限る。)の実施又は中止の決定(法第百六十七条第二項ただし書に規定する基準に該当するものを除く。)に係る公表されていない情報をいう。
(xiv) Corporate Information: undisclosed important information on the operation, business or properties of Listed Companies, etc. set forth in Article 163, paragraph (1) of the Act, which is found to have an impact on customers' Investment Decisions; and undisclosed information on a decision about the launch or suspension (excluding those corresponding to standards prescribed in the proviso to Article 167, paragraph (2) of the Act) of a Tender Offer as prescribed in Article 27-2, paragraph (1) of the Act (limited to the cases where the provisions of the main clause of that paragraph applies), the buying-up equivalent thereto in regard to the Share Certificates, etc. (meaning the Share Certificates, etc. prescribed in that paragraph), and a Tender Offer as prescribed in Article 27-22-2, paragraph (1) of the Act (limited to the cases where the provisions of the main clause of that paragraph applies).
(訳文の添付)
(Attachment of Japanese Translation)
第二条 法(第三章から第三章の三まで及び第百八十八条(金融商品取引業者等、指定親会社、金融商品仲介業者又は信用格付業者に係るものに限る。)に限る。次条において同じ。)、令(第四章から第四章の三までに限る。次条において同じ。)又はこの府令(第二百三十六条及び第二百三十九条から第二百四十三条までを除く。)の規定により金融庁長官、財務局長又は福岡財務支局長(以下「金融庁長官等」という。)に提出する書類で、特別の事情により日本語をもって記載することができないものがあるときは、その訳文を付さなければならない。ただし、当該書類が定款又は株主総会若しくは役員会等(第二百二十一条第一号に規定する役員会等をいう。)の議事録であって、かつ、英語で記載されたものであるときは、その概要の訳文を付すことをもって足りるものとする。
Article 2 In cases where, due to any special circumstance, there is any document to be submitted to the Commissioner of Financial Services Agency, Director-General of a Local Finance Bureau or Director-General of the Fukuoka Local Finance Branch Bureau (hereinafter referred to as the "Commissioner of Financial Services Agency or Other Official") pursuant to the provisions of the Act (limited to Chapter III through Chapter III-3 and Article 188 of the Act (limited to the provisions pertaining to Financial Instruments Business Operators, etc., Designated Parent Company, Financial Instruments Intermediary Service Providers or Credit Rating Agencies; the same applies in the following Article)), the Cabinet Order (limited to Chapters IV through IV-3; the same applies in the following Article) or this Cabinet Office Order (excluding Article 236 and Articles 239 through 243) that cannot be prepared in Japanese, a Japanese translation thereof must be attached thereto; provided, however, that if the documents to be submitted is the articles of incorporation, or the minutes of a shareholders meeting or a Board of Officers, etc. (meaning a Board of Officers, etc. as prescribed in Article 221, item (i)) prepared in English, attaching a Japanese translation of the outline thereof is to be sufficient.
(外国通貨の換算)
(Conversion of Foreign Currency)
第三条 法、令又はこの府令の規定により金融庁長官等に提出する書類中、外国通貨をもって金額を表示するものがあるときは、当該金額を本邦通貨に換算した金額及びその換算に用いた標準を付記しなければならない。
Article 3 In cases where the documents to be submitted to the Commissioner of Financial Services Agency or Other Official under the Act, the Cabinet Order or this Cabinet Office Order contains any document indicating the amount in a foreign currency, a supplementary note on the amount after conversion into the Japanese currency and the criteria used for such conversion must be stated therein.
第二章 金融商品取引業者等
Chapter II Financial Instruments Business Operators, etc.
第一節 総則
Section 1 General Provisions
第一款 通則
Subsection 1 General Rules
(幹事会社となる有価証券の元引受け)
(Wholesale Underwriting of Securities Constituting a Managing Underwriter)
第四条 令第十五条に規定する内閣府令で定めるものは、元引受契約(同条に規定する元引受契約をいう。以下この条及び第百四十七条第三号において同じ。)の締結に際し、有価証券の発行者又は所有者と当該元引受契約の内容を確定するための協議を行うものであって、次に掲げるもの以外のものとする。
Article 4 The Wholesale Underwriting of Securities to be specified by Cabinet Office Order as referred to in Article 15 of the Cabinet Order is the wholesale underwriting for which discussions with the Issuer or owner of the Securities are to be held upon the execution of the Wholesale Underwriting Contract (meaning the Wholesale Underwriting Contract defined in that Article; hereinafter the same applies in this Article and Article 147, item (iii)), in order to fix the contents thereof, other than the following wholesale underwriting:
一 当該元引受契約に係る有価証券の発行価額又は有価証券の売出し若しくは特定投資家向け売付け勧誘等の価額の総額(当該元引受契約が令第十五条第三号に掲げる契約である場合にあっては、同号に規定する新株予約権の行使に際して払い込むべき金額の合計額を含む。)のうち金融商品取引業者等及び外国証券業者の行う有価証券の引受けに係る部分の金額(以下この条において「引受総額」という。)が百億円を超える場合において他の者(資本金の額、基金の総額又は出資の総額が三十億円以上である者に限る。)と共同して当該協議を行うものであって、当該引受総額のうち自己の行う有価証券の引受けに係る部分の金額が百億円以下であるもの
(i) the Wholesale Underwriting of Securities for which the discussion is to be held jointly with another party (limited to a party whose amount of stated capital, total amount of funds or total amount of contribution is not less than three billion yen), in the case where, out of either of the total issue value of the Securities under the Wholesale Underwriting Contract or of the total value of the Secondary Distribution of Securities or the Solicitation for Selling, etc. Only for Professional Investors (in cases where such Wholesale Underwriting Contract is the contract listed in Article 15, item (iii) of the Cabinet Order, including the total amount to be paid upon the exercise of the share options prescribed in that item), the amount of the portion pertaining to the Underwriting of Securities by Financial Instruments Business Operators, etc. and Foreign Securities Service Providers (hereinafter referred to as the "Total Amount of Underwriting" in this Article) exceeds ten billion yen, provided that the amount of the portion pertaining to the Underwriting of Securities by the such party out of the Total Amount of Underwriting is ten billion yen or less; and
二 引受総額が百億円以下である場合において当該協議を行うもの
(ii) cases where the Total Amount of Underwriting is ten billion yen or less, and about which the discussion is held.
(新株予約権証券に準ずる有価証券等)
(Securities, etc. Equivalent to Share Option Certificates)
第四条の二 法第二十八条第七項第三号に規定する内閣府令で定める有価証券は、次に掲げる有価証券とする。
Article 4-2 (1) Securities provided for by Cabinet Office Order as prescribed in Article 28, paragraph (7), item (iii) of the Act are the following Securities:
一 新株予約権付社債券
(i) bonds with share options; and
二 外国の者の発行する証券又は証書で新株予約権証券又は新株予約権付社債券の性質を有するもの
(ii) securities or certificates issued by a foreign person, and which have the nature of share option certificates or bonds with share options.
2 法第二十八条第七項第三号に規定する内閣府令で定める権利は、外国の者に対する権利で新株予約権の性質を有するものとする。
(2) The right provided for by Cabinet Office Order as prescribed in Article 28, paragraph (7), item (iii) of the Act is the right for a foreign person and have the nature of share options.
第二款 金融商品取引業者
Subsection 2 Financial Instruments Business Operators
(登録の申請)
(Application for Registration)
第五条 法第二十九条の登録を受けようとする者は、別紙様式第一号により作成した法第二十九条の二第一項の登録申請書に、当該登録申請書の写し及び同条第二項又は第三項の規定により当該登録申請書に添付すべき書類又は電磁的記録(法第十三条第五項に規定する電磁的記録をいう。以下同じ。)を添付して、その者の本店等の所在地を管轄する財務局長(当該所在地が福岡財務支局の管轄区域内にある場合にあっては福岡財務支局長、国内に営業所又は事務所を有しない場合にあっては関東財務局長)に提出しなければならない。
Article 5 A person who intends to obtain the registration under Article 29 of the Act must submit to the Director-General of a Local Finance Bureau having jurisdiction over the location of such person's Head Office, etc. (in cases where such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the Director-General thereof; or in cases where the person has no business office or other office in Japan, to the Director-General of the Kanto Finance Bureau) a written application for registration under Article 29-2, paragraph (1) of the Act prepared in accordance with Appended Form No. 1, attaching a copy thereof and the documents or an Electromagnetic Record (meaning an Electromagnetic Record as defined in Article 13, paragraph (5) of the Act; the same applies hereinafter) to be attached thereto pursuant to the provisions of Article 29-2, paragraph (2) or (3) of the Act.
(登録の申請に係る使用人)
(Employees to be Stated in Application for Registration)
第六条 令第十五条の四第一号に規定する内閣府令で定める者は、部長、次長、課長その他いかなる名称を有する者であるかを問わず、同号に規定する業務を統括する者の権限を代行し得る地位にある者とする。
Article 6 (1) The person to be specified by Cabinet Office Order as referred to in Article 15-4, item (i) of the Cabinet Order is a person who holds position whereby the person may exercise authority on behalf of a supervisor of the operation as prescribed in that item, such as a general manager, vice-chief, section manager or any other person, irrespective of the job title.
2 令第十五条の四第二号に規定する内閣府令で定める者は、金融商品の価値等(法第二条第八項第十一号ロに規定する金融商品の価値等をいう。以下同じ。)の分析に基づく投資判断を行う者とする。
(2) The person to be specified by Cabinet Office Order as referred to in Article 15-4, item (ii) of the Cabinet Order is a person who makes Investment Decisions based on analysis of the Values, etc. of Financial Instruments (meaning the Values, etc. of Financial Instruments defined in Article 2, paragraph (8), item (xi), sub-item (b) of the Act; the same applies hereinafter).
(登録申請書の記載事項)
(Matters to be Stated in Written Application for Registration)
第七条 法第二十九条の二第一項第八号に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 7 The matters to be specified by Cabinet Office Order as referred to in Article 29-2, paragraph (1), item (viii) of the Act are the matters listed in the following:
一 法第三十七条の七第一項第一号イ、第二号イ、第三号イ又は第四号イに定める業務に係る手続実施基本契約を締結する措置を講ずる当該手続実施基本契約の相手方である指定紛争解決機関の商号又は名称並びに加入する金融商品取引業協会(認可金融商品取引業協会又は認定金融商品取引業協会をいう。以下同じ。)及び対象事業者(法第七十九条の十一第一項に規定する対象事業者をいう。以下同じ。)となる認定投資者保護団体の名称
(i) the trade name or name of the Designated Dispute Resolution Organization with whom a Basic Contract for Implementation of Dispute Procedures is concluded for the purpose of taking the measures to conclude such Contract for Implementation of Dispute Procedures pertaining to the business specified in Article 37-7, paragraph (1), item (i), sub-item (a), item (ii), sub-item (a), item (iii), sub-item (a) or item (iv), sub-item (a) of the Act and the name of the Financial Instruments Firms Association (meaning the Authorized Financial Instruments Firms Association or Certified Financial Instruments Business Association; the same applies hereinafter) of which the registration applicant intends to become a member; and the name of the Certified Investor Protection Organization of which the registration applicant intends to become a Target Business Operator (meaning a Target Business Operator as defined in Article 79-11, paragraph (1) of the Act; the same applies hereinafter);
二 会員又は取引参加者(以下「会員等」という。)となる金融商品取引所の名称又は商号
(ii) the name or trade name of the Financial Instruments Exchange of which the registration applicant intends to become a Member or Trading Participant (hereinafter referred to as the "Members, etc.");
三 有価証券関連業を行う場合には、次に掲げる事項
(iii) in cases where the registration applicant intends to conduct a Securities-Related Business, the following matters:
イ その旨
(a) to that effect; and
ロ 第一種金融商品取引業を行う場合には、加入する投資者保護基金の名称
(b) in cases where the registration applicant intends to conduct a Type I Financial Instruments Business, the name of the Investor Protection Fund of which the registration applicant intends to become a member.
四 商品投資関連業務(令第三十七条第二項に規定する商品投資関連業務をいう。以下同じ。)を行う場合には、次に掲げる事項
(iv) in cases where the registration applicant intends to conduct a Business Related to Commodities Investment (meaning the Business Related to Commodities Investment defined in Article 37, paragraph (2) of the Cabinet Order; the same applies hereinafter), the following matters:
イ その旨
(a) to that effect; and
ロ その行う商品投資関連業務が令第三十七条第一項第二号ロに掲げる物品又は農林水産関係商品等(商品投資に係る事業の規制に関する法律施行令(平成四年政令第四十五号)第十一条第二項第一号に規定する農林水産関係商品等をいう。第四十四条第六号ロにおいて同じ。)のみに係るものである場合には、その旨
(b) in cases where the Business Related to Commodities Investment to be conducted by the registration applicant only pertains to the goods specified in Article 37, paragraph (1), item (ii), sub-item (b) of the Cabinet Order or the Agriculture, Forestry and Fisheries Goods (meaning the Goods, etc. Related to Agriculture, Forestry and Fishery defined in Article 11, paragraph (2), item (i) of the Order for Enforcement of Act on Control for Business Pertaining to Commodity Investment (Cabinet Order No. 45 of 1992); the same applies in Article 44, item (vi), sub-item (b)), to that effect;
ハ その行う商品投資関連業務が令第三十七条第一項第二号ハからホまでに掲げる物品又は経済産業関係商品等(商品投資に係る事業の規制に関する法律施行令第十一条第一項ただし書に規定する経済産業関係商品等をいう。第四十四条第六号ハにおいて同じ。)のみに係るものである場合には、その旨
(c) in cases where the Business Related to Commodities Investment to be conducted by the registration applicant only pertains to the goods listed in Article 37, paragraph (1), item (ii), sub-items (c) through (e) of the Cabinet Order or the Economy, Trade and Industry Goods, etc. (meaning the Economy, Trade and Industry Goods, etc. defined in the proviso to Article 11, paragraph (1) of the Order for Enforcement of Act on Control for Business Pertaining to Commodity Investment; the same applies in Article 44, item (vi), sub-item (c)), to that effect;
ニ 競走用馬投資関連業務(次のいずれかに掲げる権利に係る法第百九十四条の六第一項各号に掲げる行為を行う業務をいう。以下同じ。)を行う場合には、その旨
(d) in cases where the registration applicant intends to conduct a Business Related to Investment in Racehorses (meaning a business to conduct the acts listed in the items of Article 194-6, paragraph (1) of the Act, in regard to any of the rights listed in the following; the same applies hereinafter), to that effect;
(1) 匿名組合契約に基づく権利であって、当該権利を有する者から出資を受けた金銭(令第一条の三第一号から第三号までに掲げるものを含む。)の全部を充てて競走用馬(競馬法(昭和二十三年法律第百五十八号)第十四条(同法第二十二条において準用する場合を含む。)の登録を受け、又は受けようとするものに限る。以下同じ。)を取得し、当該競走用馬を、(2)に掲げる権利に係る匿名組合契約に基づきその相手方(特定の一の者に限る。)に出資し、競走(同法第一条第五項に規定する中央競馬又は地方競馬の競走に限る。(2)において同じ。)に出走させることを目的とするもの
1. a right under a Silent Partnership Contract, the purpose of which is to acquire racehorses (limited to the racehorses that are or will be registered under Article 14 of the Horse Racing Act (Act No. 158 of 1948) (including the cases where it is applied mutatis mutandis pursuant to Article 22 of that Act); the same applies hereinafter), using all the monies (including the things similar to money as listed in Article 1-3, items (i) through (iii) of the Cabinet Order) invested by the holders of such right, to invest such racehorses to the counterparty (limited to a specific party) under the Silent Partnership Contract pertaining to the right specified in 2. below, and to run such racehorses in races (limited to races held by the Japan Racing Association or the National Association of Racing as prescribed in Article 1, paragraph (5) of the Horse Racing Act; the same applies in 2. below);
(2) 匿名組合契約に基づく権利であって、当該権利を有する(1)に掲げる権利に係る匿名組合契約の営業者(特定の一の者に限る。)から出資を受けた競走用馬を競走に出走させることを目的とするもの
2. a right under a Silent Partnership Contract, the purpose of which is to run a racehorse invested in by the proprietor (limited to a specific party) under the Silent Partnership Contract which pertains to the right specified in 1. above, who is entitled to such right.
五 法第百九十四条の六第二項各号に掲げる行為を業として行う場合には、その旨
(v) in cases where the registration applicant intends to conduct any of the acts listed in the items of Article 194-6, paragraph (2) of the Act in the course of trade, to that effect;
六 不動産信託受益権等売買等業務(宅地(宅地建物取引業法(昭和二十七年法律第百七十六号)第二条第一号に掲げる宅地をいう。以下同じ。)若しくは建物に係る法第二条第二項第一号に掲げる権利(以下「不動産信託受益権」という。)又は組合契約、匿名組合契約若しくは投資事業有限責任組合契約に基づく権利のうち当該権利に係る出資対象事業が主として不動産信託受益権に対する投資を行うものの売買その他の取引に係る業務をいう。以下同じ。)を行う場合には、その旨
(vi) in cases where the registration applicant intends to conduct Business of Transaction, etc. of Beneficial Interest in Real Property Trust (meaning a business related to the purchase and sale or any other transaction of the rights specified in Article 2, paragraph (2), item (i) of the Act which relate to Building Lots (meaning Building Lots as defined in Article 2, item (i) of the Building Lots and Buildings Transaction Business Act (Act No. 176 of 1952); the same applies hereinafter) or buildings (hereinafter referred to as the "Beneficial Interest in Real Property Trust"), or a business related to the purchase and sale of or any other transaction of the rights under a Partnership Contract, Silent Partnership Contract or Limited Partnership Agreement for Investment whose Invested Business is primarily intended for investment in a Beneficial Interest in Real Property Trust; the same applies hereinafter), to that effect;
七 不動産関連特定投資運用業(投資運用業(法第二条第八項第十二号イに掲げる契約に係る同号に掲げる行為及び同項第十四号に掲げる行為を行う業務を除く。)のうち、不動産信託受益権又は組合契約、匿名組合契約若しくは投資事業有限責任組合契約に基づく権利のうち当該権利に係る出資対象事業が主として不動産信託受益権に対する投資を行うものを投資の対象とするものをいう。以下同じ。)を行う場合には、その旨
(vii) in cases where the registration applicant intends to conduct a Specified Investment Management Business Related to Real Property (meaning an Investment Management Business (excluding a business to conduct the act specified in Article 2, paragraph (8) item (xii) of the Act pertaining to the contract specified in sub-item (a) of that item, or to conduct the act specified in item (xiv) of that paragraph) intended for investment in a Beneficial Interest in Real Property Trust, or in the rights under a Partnership Contract, Silent Partnership Contract or Limited Partnership Agreement for Investment whose Invested Business is primarily intended for investment in a Beneficial Interest in Real Property Trust; the same applies hereinafter), to that effect;
八 特定引受行為(金融商品取引法第二条に規定する定義に関する内閣府令(平成五年大蔵省令第十四号)第十六条第一項第五号に掲げる行為をいう。)を行う場合には、その旨
(viii) in cases where the registration applicant intends to conduct Specific Underwriting (meaning the act specified in Article 16, paragraph (1), item (v) of the Cabinet Office Order on Definitions under Article 2 of the Financial Instruments and Exchange Act (Order of the Ministry of Finance No. 14 of 1993)), to that effect; and
九 特定有価証券等管理行為(金融商品取引法第二条に規定する定義に関する内閣府令第十六条第一項第十四号に掲げる行為をいう。第百八十一条第一項第二号ロにおいて同じ。)を行う場合には、その旨
(ix) in cases where the registration applicant intends to conduct an Act of Management of Specified Securities, etc. (meaning the act specified in Article 16, paragraph (1), item (xiv) of the Cabinet Office Order on Definitions under Article 2 of the Financial Instruments and Exchange Act; the same applies in Article 181, paragraph (1), item (ii), sub-item (b)), to that effect.
十 本店等の名称及び所在地
(x) the names and locations of its head office, etc.
(業務の内容及び方法)
(Contents and Methods of Business)
第八条 法第二十九条の二第二項第二号に規定する内閣府令で定めるものは、次に掲げるものとする。
Article 8 The contents and method of business to be specified by Cabinet Office Order as referred to in Article 29-2, paragraph (2), item (ii) of the Act are as follows:
一 業務運営に関する基本原則
(i) the basic principles of business operation;
二 業務執行の方法
(ii) the method of execution of business;
三 業務分掌の方法
(iii) the method of allocation of business operations;
四 業として行う金融商品取引行為の種類
(iv) the types of Acts of Financial Instruments Transaction to be conducted in the course of trade;
五 苦情の解決のための体制(法第三十七条の七第一項第一号ロ、第二号ロ、第三号ロ又は第四号ロに定める業務に関する苦情処理措置及び紛争解決措置の内容を含む。)
(v) the system for handling complaints (including the contents of the Complaint Processing Measures and Dispute Resolution Measures concerning the business specified in Article 37-7, paragraph (1), item (i), sub-item (b), item (ii), sub-item (b), item (iii), sub-item (b) or item (iv), sub-item (b) of the Act);
六 第一種金融商品取引業を行う場合には、次に掲げる事項
(vi) in cases where the registration applicant intends to conduct a Type I Financial Instruments Business, the following matters:
イ 取り扱う有価証券及び業として行うデリバティブ取引の種類
(a) the types of the Securities to be handled, and the types of the Derivative Transactions to be conducted in the course of trade;
ロ 損失の危険の管理方法に関する次に掲げる事項
(b) the following matters in regard to methods of risk management concerning loss:
(1) 損失の危険相当額(第百七十八条第一項第一号に規定する市場リスク相当額、同項第二号に規定する取引先リスク相当額及び同項第三号に規定する基礎的リスク相当額を含む。以下この号において同じ。)の算定方法
1. the method of calculating the Value of Loss Risk Equivalent (including the Market Risk Equivalent defined in Article 178, paragraph (1), item (i), the Counterparty Risk Equivalent defined in item (ii) of that paragraph and the Basic Risk Equivalent defined in item (iii) of that paragraph; hereinafter the same applies in this item);
(2) 損失の危険相当額の限度枠の設定及び適用方法
2. the method of establishment and application of a ceiling on the Value of Loss Risk Equivalent;
(3) 損失の危険相当額の算定及び限度枠の管理を行う部署の名称及び体制
3. the name and structure of the section in charge of calculating the Value of Loss Risk Equivalent and managing of the ceiling thereof;
(4) 損失の危険相当額の算定の基礎となる資料の作成及び保存の方法
4. the method of preparation and preservation of materials which would serve as the basis of the calculation of the Value of Loss Risk Equivalent;
(5) 損失の危険相当額及びその限度枠の適用状況について、検査を行う頻度、部署の名称及び体制
5. the frequency of inspection of the Value of Loss Risk Equivalent and the status of the application of the ceiling thereof, and the name and structure of the section in charge of such inspection;
(6) その他損失の危険の管理に関する重要な事項
6. any other important matters related to the risk management concerning loss.
ハ 法第二条第八項第四号に掲げる行為に係る業務を行う場合には、次に掲げる事項
(c) in cases where the registration applicant intends to conduct a business in relation to the act specified in Article 2, paragraph (8), item (iv) of the Act, the following matters:
(1) 当該業務を管理する責任者の氏名及び役職名
1. the name and job title of the person responsible for the management of the business;
(2) 当該業務を行う部署の名称及び組織の体制
2. the name and organizational structure of the section in charge of the business;
(3) 当該業務に係る顧客との取引開始基準
3. the Conditions for Starting Transactions with the customers pertaining to the business;
(4) 当該業務に係る損失の危険相当額の算定方法及び算定の頻度(取引所金融商品市場における相場、金利、通貨の価格その他の指標の変動により発生し得る損失の危険、取引の相手方の契約不履行その他の理由により発生し得る損失の危険及びこれらの理由以外の理由により発生し得る損失の危険ごとに記載すること。)
4. the method and frequency of calculating the Value of Loss Risk Equivalent pertaining to the business (such information is itemized by the risk of loss which may accrue due to fluctuations in indicators such as quotations on the Financial Instruments Exchange Market, interest rates or value of currencies, the risk of loss which may accrue due to a default in the performance of contracts by counterparties to the transactions and on any other reason, and the risk or loss which may accrue due to reasons other than on the aforementioned reasons).
(5) 当該業務に係る損失の危険相当額の限度枠の設定及び適用方法並びに取引の種類及び顧客の属性別の当該限度枠の設定及び適用方法
5. the method of the establishment and application of a ceiling on the Value of Loss Risk Equivalent pertaining to the business; and the method of the establishment and application for such ceiling classified in accordance with the types of transactions and categories of the customers;
(6) 当該業務に係る損失の危険相当額の算定及び限度枠の管理を行う部署の名称及び体制
6. the name and structure of the section in charge of calculating the Value of Loss Risk Equivalent pertaining to the business, and management of the ceiling thereof;
(7) 当該業務に係る損失の危険相当額及びその限度枠の適用状況について、代表権を有する取締役又は執行役(外国法人にあっては、国内における営業所若しくは事務所に駐在する取締役若しくは執行役若しくはこれらに準ずる者又は国内における代表者)に報告する頻度
7. the frequency of reporting the Value of Loss Risk Equivalent pertaining to the business and the status of the application of the ceiling thereof to directors or executive officers with authority of representation (in the case of a foreign juridical person, its directors, executive officers or any other person holding a position equivalent thereto who are stationed at a business office or other office in Japan, or its representative person in Japan);
(8) 当該業務に係る損失の危険相当額の算定の基礎となる資料の作成及び保存の方法
8. the method of the preparation and preservation of material which would serve as the basis of the calculation of the Value of Loss Risk Equivalent pertaining to the business;
(9) 当該業務の執行並びに損失の危険相当額及びその限度枠の適用状況について、検査を行う頻度、部署の名称及び体制
9. the frequency of inspection on the execution of the business, the Value of Loss Risk Equivalent and the status of the application of the ceiling thereof, and the name and structure of the section in charge of such inspection; and
(10) その他当該業務に係る損失の危険の管理に関する重要な事項
10. any other important matter related to the risk management concerning loss pertaining to the business.
ニ 有価証券の元引受けに係る業務を行う場合には、次に掲げる事項
(d) in cases where the registration applicant intends to conduct a business pertaining to the Wholesale Underwriting of Securities, the following matters:
(1) 当該業務を管理する責任者の氏名及び役職名
1. the name and title of the person responsible for the management of the business;
(2) 当該業務を行う部署の名称及び組織の体制
2. the name and organizational structure of the section in charge of the business;
(3) 当該業務に係る損失の危険相当額の算定方法
3. the method of calculating the Value of Loss Risk Equivalent pertaining to the business;
(4) 当該業務に係る損失の危険相当額の限度枠の設定及び適用方法
4. the method of the establishment and application of a ceiling on the Value of Loss Risk Equivalent pertaining to the business;
(5) 当該業務に係る損失の危険相当額の算定及び限度枠の管理を行う部署の名称及び体制
5. the name and structure of the section in charge of the calculation of the Value of Loss Risk Equivalent pertaining to the business, and management of the ceiling thereof;
(6) 当該業務の執行並びに損失の危険相当額及びその限度枠の適用状況について、検査を行う頻度、部署の名称及び体制
6. the frequency of inspection on the execution of the business, the Value of Loss Risk Equivalent and status of the application of the ceiling thereof, and the name and structure of the section in charge of such inspection; and
(7) その他当該業務に係る損失の危険の管理に関する重要な事項
7. any other important matter related to the risk management concerning loss pertaining to the business;
ホ 有価証券等管理業務を行う場合には、法第四十三条の二又は第四十三条の三の規定による管理の方法
(e) in cases where the registration applicant intends to conduct a Securities, etc. Management Business, the management methods set forth in Article 43-2 or Article 43-3 of the Act;
ヘ 有価証券関連業を行う場合には、第七十条の三第一項各号に掲げる措置に関する次に掲げる事項
(f) in cases where the registration applicant intends to conduct a Securities-Related Business, the following matters concerning the measures listed in the respective items of Article 70-3, paragraph (1):
(1) 当該措置の実施の方法
1. the method for carrying out such measures; and
(2) 当該措置の実施を所掌する組織及びその人員の配置
2. the organization in charge of carrying out such measures and the positions of the personnel therefor; and
ト 第百二十三条第一項第十八号ホ及び第二十四号ニ並びに第百五十三条第一項第七号ト及びリに規定する場合において情報を受領し、又は提供するときは、電子情報処理組織の保守及び管理に関する業務並びに同条第三項に規定する内部管理に関する業務に関する次に掲げる事項
(g) in cases where the registration applicant intends to receive or supply information in the cases referred to in Article 123, paragraph (1), item (xviii), sub-item (e) and item (xxiv), sub-item (d), and Article 153, paragraph (1), item (vii), sub-items (g) and (i), the following matters concerning affairs related to the maintenance and management of an Electronic data processing system and concerning affairs related to Internal Management Affairs prescribed in paragraph (3) of that Article:
(1) 当該情報を受領し、又は提供する登録金融機関又は親法人等若しくは子法人等の商号又は名称
1. the trade name or name of the Registered Financial Institution, Parent Juridical Person, etc. or Subsidiary Juridical Person, etc. who receives or supplies said information;
(2) 業務執行の方法
2. the method for execution of the affairs; and
(3) 当該業務を所掌する組織及びその人員の配置
3. the organization in charge of such affairs and the positions of the personnel therefor;
七 第二種金融商品取引業を行う場合には、次に掲げる事項
(vii) in cases where the registration applicant intends to conduct a Type II Financial Instruments Business, the following matters:
イ 取り扱う有価証券及び業として行うデリバティブ取引の種類
(a) the type of the Securities to be handled, and the type of the Derivative Transactions to be conducted in the course of trade;
ロ 法第二条第二項第一号又は第二号に掲げる権利を取り扱うときは、当該権利に係る信託財産の種類
(b) in cases where the registration applicant intends to handle the rights specified in Article 2, paragraph (2), item (i) or (ii) of the Act, the type of the trust property pertaining to such rights;
ハ 法第二条第二項第五号又は第六号に掲げる権利を取り扱うときは、当該権利に係る出資対象事業の概要
(c) in cases where the registration applicant intends to handle the rights specified in Article 2, paragraph (2), item (v) or (vi) of the Act, the outline of the Invested Business pertaining to said rights; and
ニ 法第二十九条の五第二項に規定する業務を行う場合には、その旨
(d) in cases of implementing the operations defined in Article 29-5, paragraph (2) of the Act, to that effect.
八 投資助言・代理業を行う場合には、次に掲げる事項
(viii) in cases where the registration applicant intends to conduct an Investment Advisory and Agency Business, the following matters:
イ 投資助言・代理業の種別(法第二条第八項第十一号及び第十三号に掲げる行為に係る業務の種別をいう。)
(a) the types of the Investment Advisory and Agency Business (meaning the types of business pertaining to the acts specified in Article 2, paragraph (8), item (xi) and (xiii) of the Act);
ロ 助言を行う有価証券及びデリバティブ取引に係る権利の種類
(b) the type of the Securities and rights pertaining to Derivative Transactions regarding which the registration applicant intends to give advice;
ハ 法第二条第二項第一号又は第二号に掲げる権利に関し助言を行うときは、当該権利に係る信託財産の種類
(c) in cases where the registration applicant intends to give advice in relation to the rights specified in Article 2, paragraph (2), item (i) or (ii) of the Act, the type of trust property pertaining to such rights;
ニ 法第二条第二項第五号又は第六号に掲げる権利に関し助言を行うときは、当該権利に係る出資対象事業の概要
(d) in cases where the registration applicant intends to give advice in relation to the rights specified in Article 2, paragraph (2), item (v) or (vi) of the Act, the outline of the Invested Business pertaining to such rights;
九 投資運用業を行う場合には、次に掲げる事項
(ix) in cases where the registration applicant intends to conduct an Investment Management Business, the following matters:
イ 投資運用業の種別(法第二条第八項第十二号イに掲げる契約に係る同号に掲げる行為、同号ロに掲げる契約に係る同号に掲げる行為、同項第十四号に掲げる行為及び同項第十五号イからハまでに掲げる権利に係る同号に掲げる行為に係る業務の種別をいい、適格投資家向け投資運用業を行う場合には、その旨を含む。)
(a) the types of the Investment Management Business (meaning the types of business pertaining to the act specified in Article 2, paragraph (8), item (xii) of the Act which pertains to the contract specified in sub-item (a) of that item, the act specified in that item which pertains to the contract specified in sub-item (b) of that item, the act specified in item (xiv) of that paragraph, and the act specified in item (xv) of that paragraph which pertains to any of the rights listed in sub-items (a) through (c) of that item; in cases of engaging in an Investment Management Business for Qualified Investors, including to that effect).
ロ 投資の対象とする有価証券及びデリバティブ取引に係る権利の種類
(b) the type of the Securities and type of the rights pertaining to the Derivative Transactions for which the investment is to be made;
ハ 法第二条第二項第一号又は第二号に掲げる権利を投資の対象とするときは、当該権利に係る信託財産の種類
(c) in cases where any of the rights specified in Article 2, paragraph (2), item (i) or (ii) of the Act is to become the subject of investment, the type of trust property pertaining to such right;
ニ 法第二条第二項第五号又は第六号に掲げる権利を投資の対象とするときは、当該権利に係る出資対象事業の概要
(d) in cases where any of the rights specified in Article 2, paragraph (2), item (v) or (vi) of the Act is to become the subject of investment, the outline of the Invested Business pertaining to such right; and
ホ 有価証券又はデリバティブ取引に係る権利以外の資産を投資の対象とするときは、当該資産の種類
(e) in cases where the any asset other than the Securities or the rights pertaining to the Derivative Transactions is to become the subject of investment, the type of such assets.
(登録申請書の添付書類)
(Documents to be Attached to Written Application for Registration)
第九条 法第二十九条の二第二項第二号に規定する内閣府令で定める書類は、次に掲げる書類とする。
Article 9 The documents to be specified by Cabinet Office Order as referred to in Article 29-2, paragraph (2), item (ii) of the Act are as follows:
一 業務に係る人的構成及び組織等の業務執行体制を記載した書面
(i) the documents stating the registration applicant's business execution system, such as its personnel structure and the organizational structure pertaining to the business;
二 法人であるときは、次に掲げる書類
(ii) in cases where the registration applicant is a juridical person, the following documents:
イ 役員(相談役、顧問その他いかなる名称を有する者であるかを問わず、当該法人に対し取締役、執行役又はこれらに準ずる者と同等以上の支配力を有するものと認められる者を含む。以下この号、第十三条第一号、第二号及び第四号、第四十七条第一項第二号、第四十九条第一号、第二号及び第四号、第百九十九条第二号、第二百一条第九号、第二百二条第八号、第二百八条の二十第二号から第五号まで、第二百八条の二十二第二号ハ、第二百八条の三十一第一項第四号及び第二項第四号並びに第二百八条の三十二第二号において同じ。)及び令第十五条の四に規定する使用人(第四十七条第一項第二号、第五十一条第一項第四号及び第九十一条第一項第四号を除き、以下「重要な使用人」という。)の履歴書(役員が法人であるときは、当該役員の沿革を記載した書面)
(a) the resumes of the Officers (including those who are found to have the same or a higher authority over the juridical person as directors, executive officers or any persons holding position equivalent thereto, irrespective of their job title such as advisor, consultant or others; hereinafter the same applies in this item, Article 13, item (i), (ii) and (iv), Article 47, paragraph (1), item (ii), Article 49, item (i), (ii) and (iv), Article 199, item (ii), Article 201, item (ix), Article 202, item (viii), Article 208-20, items (ii) through (v), Article 208-22, item (ii), sub-item (c), Article 208-31, paragraph (1), item (iv), and paragraph (2), item (iv), and Article 208-32, item (ii)) (in cases where an Officer is a juridical person, the document describing the background of said Officer); and the resumes of the employees defined in Article 15-4 of the Cabinet Order (hereinafter referred to as the "Major Employees", except in Article 47, paragraph (1), item (ii), Article 51, paragraph (1), item (iv) and Article 91, paragraph (1), item (iv));
ロ 役員及び重要な使用人の住民票の抄本(役員が法人であるときは、当該役員の登記事項証明書)又はこれに代わる書面
(b) the extracts of the certificates of residence of the Officers and the Major Employees (in cases where an Officer is a juridical person, the certificate of registered matters of said Officer), or any document in lieu thereof;
ハ 役員及び重要な使用人が法第二十九条の四第一項第二号イ及びロに該当しない旨の官公署の証明書又はこれに代わる書面
(c) the certificate issued by the public agency evidencing that none of the Officers or Major Employees falls under Article 29-4, paragraph (1), item (ii), sub-item (a) or (b) of the Act, or any other document in lieu thereof;
ニ 役員及び重要な使用人が法第二十九条の四第一項第二号ハからトまでのいずれにも該当しない者であることを当該役員及び重要な使用人が誓約する書面
(d) the document in which each of the Officers and the Major Employees pledges that they do not fall under any of Article 29-4, paragraph (1), item (ii), sub-items (c) through (g) of the Act;
三 個人であるときは、次に掲げる書類
(iii) in cases where the registration applicant is an individual, the following documents:
イ 登録申請者及び重要な使用人の履歴書
(a) the resumes of the registration applicant and the Major Employees;
ロ 登録申請者及び重要な使用人の住民票の抄本又はこれに代わる書面
(b) the extracts of the certificates of residence of the registration applicant and the Major Employees, or any other documents in lieu thereof;
ハ 登録申請者及び重要な使用人が法第二十九条の四第一項第二号イ及びロに該当しない旨の官公署の証明書又はこれに代わる書面
(c) the certificate issued by a public agency evidencing that none of the registration applicant or the Major Employees falls under Article 29-4, paragraph (1), item (ii), sub-item (a) or (b) of the Act, or any other document in lieu thereof; and
ニ 重要な使用人が法第二十九条の四第一項第二号ハからトまでのいずれにも該当しない者であることを当該重要な使用人が誓約する書面
(d) the document in which each of the Major Employees pledges that they do not fall under any of Article 29-4, paragraph (1) item (ii), sub-items (c) through (g) of the Act;
四 特定関係者(親法人等、子法人等及び持株会社(法第二十九条の四第一項第五号ニに規定する持株会社をいう。第百九十八条を除き、以下同じ。)をいい、第一種金融商品取引業を行う場合には、関係会社(第百七十七条第六項に規定する関係会社をいう。ヘにおいて同じ。)を含む。ホにおいて同じ。)の状況として次に掲げる事項を記載した書類
(iv) the document stating the status of the Persons in Specified Relationships (meaning the Parent Juridical Person, etc., Subsidiary Juridical Person, etc. and Holding Company (meaning the Holding Company defined in Article 29-4, paragraph (1), item (v), sub-item (d) of the Act; the same applies hereinafter except in Article 198); and in cases where the registration applicant intends to conduct a Type I Financial Instruments Business, Associated Company (meaning a Related Company as prescribed in Article 177, paragraph (6); the same applies in sub-item (f)); the same applies in sub-item (e)), as listed in the following items:
イ 商号又は名称
(a) the trade name or name;
ロ 資本金の額、基金の総額又は出資の総額
(b) the amount of stated capital, the total amount of funds or the total amount of investment;
ハ 本店又は主たる事務所の所在地
(c) the location of the head office or principal office;
ニ 事業の種類
(d) the type of business;
ホ 登録申請者と特定関係者との間の資本関係、人的関係及び最近一年間の業務上の関係
(e) the capital relationship and personal relationship between the registration applicant and the Persons in Specified Relationship, as well as their business relationship over the past year;
ヘ 親法人等、子法人等又は持株会社(第一種金融商品取引業を行う場合には、親法人等、子法人等、持株会社又は関係会社)のいずれに該当するかの別
(f) information as to whether the Persons in Specified Relationship falls under the category of Parent Juridical Person, etc., Subsidiary Juridical Person, etc., or Holding Company (in cases where the registration applicant intends to conduct a Type I Financial Instruments Business, information as to whether the Persons in Specified Relationship falls under the category of Parent Juridical Person, Subsidiary Juridical Person, etc., Holding Company or Associated Company);
五 競走用馬に係る商品投資関連業務を行う場合には、第十三条第三号に掲げる基準に該当しないことを証する書面
(v) in cases where the registration applicant intends to conduct a Business Related to Commodities Investment which pertains to racehorses, a document evidencing that the registration applicant does not fall under the criteria specified in Article 13, item (iii);
六 不動産信託受益権等売買等業務を行う場合には、第十三条第四号に掲げる基準に該当しないことを証する書面
(vi) in cases where the registration applicant intends to conduct a Business of Transaction, etc. of Beneficial Interest in Real Property Trust, a document evidencing that the registration applicant does not fall under the criteria specified in Article 13, item (iv); and
七 不動産関連特定投資運用業を行う場合における業務遂行能力に関する事項を記載した書面
(vii) a document stating the matters related to the registration applicant's ability to carry out the business, in cases where the registration applicant intends to conduct a Specified Investment Management Business Related to Real Property.
第十条 法第二十九条の二第二項第三号に規定する内閣府令で定める書類は、次に掲げる書類とする。
Article 10 (1) The documents to be specified by Cabinet Office Order as referred to in Article 29-2, paragraph (2), item (iii) of the Act are as follows:
一 最終の貸借対照表(関連する注記を含む。)及び損益計算書(関連する注記を含む。)
(i) the latest balance sheet (including notes in reference thereto) and the latest profit and loss statement (including notes in reference thereto);
二 第一種金融商品取引業又は投資運用業を行う場合には、次に掲げる書類
(ii) in cases where the registration applicant intends to conduct a Type I Financial Instruments Business or Investment Management Business, the following documents:
イ 純財産額(法第二十九条の四第一項第五号ロに規定する純財産額をいう。以下同じ。)を算出した書面
(a) a document stating the calculated Net Assets (meaning the Net Assets prescribed in Article 29-4, paragraph (1), item (v), sub-item (b) of the Act; the same applies hereinafter);
ロ 主要株主(法第二十九条の四第二項に規定する主要株主をいう。以下この号、第三十八条の二、第三十八条の五、第百九十九条第十一号ハ、第二百一条第二十号、第二百二条第五号ロ及び第十六号、第二百八条の三十一第一項第十一号及び第二項第八号並びに第二百八条の三十二第九号において同じ。)の商号、名称又は氏名及び本店又は主たる事務所の所在地(個人にあっては、住所又は居所)並びに当該主要株主が保有する対象議決権(法第二十九条の四第二項に規定する対象議決権をいい、同条第四項の規定により保有しているものとみなされるものを含む。)の数を記載した書面
(b) a document stating the Major Shareholders' (meaning the Major Shareholders defined in Article 29-4, paragraph (2) of the Act; hereinafter the same applies in this item, Article 38-2, Article 38-5, Article 199, item (xi), sub-item (c), Article 201 item (xx), Article 202, item (v), sub-item (b), and item (xvi), Article 208-31, paragraph (1), item (xi) and paragraph (2), item (viii), and Article 208-32, item (ix)) trade names or names, and the locations of their head offices or principal offices (in cases where a Major Shareholder is an individual, the domicile or residence), as well as the number of the Subject Voting Rights held by the Major Shareholders (meaning the Subject Voting Rights defined in Article 29-4, paragraph (2) of the Act, and including those deemed to be held pursuant to the provisions of paragraph (4) of that Article);
ハ 外国法人であるときは、主要株主に準ずる者について法第二十九条の四第一項第五号ヘに規定する確認が行われていることを証する書面又はこれに準ずる書面
(c) in cases of a foreign juridical person, a document evidencing that a confirmation under Article 29-4, paragraph (1) item (v), sub-item (f) of the Act has been made with regard to a person equivalent to a Major Shareholder, or any document equivalent thereto;
三 第一種金融商品取引業を行う場合には、次に掲げる書類
(iii) in cases where the registration applicant intends to conduct a Type I Financial Instruments Business, the following documents:
イ 外国法人であるときは、外国の法令に準拠し、当該外国において第一種金融商品取引業と同種類の業務を行っている者(令第十五条の八に規定する者を含む。)であることを証する書面
(a) in cases where the registration applicant is a foreign juridical person, a document evidencing that the registration applicant is a person conducting the same type of business as the Type I Financial Instruments Business in a foreign state in accordance with the laws and regulations of said foreign state (including a person prescribed in Article 15-8 of the Cabinet Order);
ロ 法第二十九条の四第一項第六号イに規定する比率を算出した書面
(b) a document stating the calculated ratio prescribed in Article 29-4, paragraph (1), item (vi), sub-item (a) of the Act;
ハ 法第二条第八項第四号に掲げる行為に係る業務を行う場合又は有価証券の元引受けに係る業務を行う場合には、次に掲げる書類
(c) in cases where the registration applicant intends to conduct any business pertaining to the act specified in Article 2, paragraph (8), item (iv) of the Act or any business pertaining to the Wholesale Underwriting of Securities, the following documents:
(1) 当該業務を管理する責任者の履歴書
1. the resume of the person in charge of the management of the business;
(2) 当該業務に関する社内規則
2. the internal rules regarding the business; and
(3) 当該業務に関し顧客と取引を行う際に使用する契約書類
3. the contracts to be used in transactions with customers in connection with the business.
2 前項第一号に掲げる書類を添付する場合において、貸借対照表(関連する注記を含む。)が電磁的記録で作成されているとき、又は損益計算書(関連する注記を含む。)について書面に代えて電磁的記録の作成がされているときは、書類に代えて電磁的記録(次条に定めるものに限る。)を添付することができる。
(2) In cases where the registration applicant attaches the documents specified in item (i) of the preceding paragraph, if the balance sheet (including notes in reference thereto) has been prepared by means of an Electromagnetic Record, or if a profit and loss statement (including notes in reference thereto) has been prepared by means of an Electromagnetic Record, instead of as written documents, such registration applicant may attach the Electromagnetic Record (limited to those specified in the following Article) in lieu of documents.
(電磁的記録)
(Electromagnetic Record)
第十一条 法第二十九条の二第三項及び第三十三条の三第三項に規定する内閣府令で定める電磁的記録は、工業標準化法(昭和二十四年法律第百八十五号)に基づく日本工業規格(以下「日本工業規格」という。)X六二二三に適合する九十ミリメートルフレキシブルディスクカートリッジに該当する構造の磁気ディスクとする。
Article 11 (1) The Electromagnetic Record to be specified by Cabinet Office Order as referred to in Article 29-2, paragraph (3) and Article 33-3, paragraph (3) of the Act is a 90mm flexible magnetic disk cartridge which complies with the X6223 of the Japanese Industrial Standards under the Industrial Standardization Act (Act No. 185 of 1949) (hereinafter referred to as the "JIS").
2 前項の電磁的記録への記録は、次に掲げる方式に従ってしなければならない。
(2) Entry onto an Electromagnetic Record as set forth in the preceding paragraph must be completed in accordance with the following methods:
一 トラックフォーマットについては、日本工業規格X六二二五に規定する方式
(i) with regard to the track format, the method designated by the JIS X6225; and
二 ボリューム及びファイル構成については、日本工業規格X〇六〇五に規定する方式
(ii) with regard to volume and file configuration, the method designated by the JIS X0605.
3 第一項の電磁的記録には、日本工業規格X六二二三に規定するラベル領域に、次に掲げる事項を記載した書面をはり付けなければならない。
(3) With regard to the Electromagnetic Record set forth in paragraph (1), a document containing the following matters must be affixed to the label area specified by the JIS X6223:
一 登録申請者の商号又は名称
(i) the trade name or name of the registration applicant; and
二 申請年月日
(ii) the date of application.
(金融商品取引業者登録簿の縦覧)
(Public Inspection of Registry of Financial Instruments Business Operators)
第十二条 管轄財務局長等は、その登録をした金融商品取引業者に係る金融商品取引業者登録簿を当該金融商品取引業者の本店等の所在地を管轄する財務局(当該所在地が福岡財務支局の管轄区域内にある場合にあっては福岡財務支局、国内に営業所又は事務所を有しない場合にあっては関東財務局)に備え置き、公衆の縦覧に供するものとする。
Article 12 A Competent Director-General of Local Finance Bureau, etc. is to keep the registry of Financial Instruments Business Operators containing information on the Financial Business Operators to which such person has granted registrations, at the local finance bureau having jurisdiction over the location of the relevant Financial Instruments Business Operator's Head Office, etc. (in cases where such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, at the Fukuoka Local Finance Branch Bureau; or in cases where the Financial Instruments Business Operator has no business office or other office in Japan, at the Kanto Finance Bureau), and make it available for public inspection.
(人的構成の審査基準)
(Criteria for Examination of Personnel Structure)
第十三条 法第二十九条の四第一項第一号ニ(法第三十一条第五項において準用する場合を含む。)に規定する金融商品取引業を適確に遂行するに足りる人的構成を有しない者であるかどうかの審査をするときは、登録申請者が次に掲げるいずれかの基準に該当するかどうかを審査するものとする。
Article 13 When conducting an examination under Article 29-4, paragraph (1), item (i), sub-item (d) of the Act (including cases where it is applied mutatis mutandis pursuant to Article 31, paragraph (5) of the Act) as to whether the registration applicant lacks a personnel structure sufficient to conduct a Financial Instruments Business in an appropriate manner, it is to be examined whether the registration applicant falls under any of the following criteria:
一 その行う業務に関する十分な知識及び経験を有する役員又は使用人の確保の状況並びに組織体制に照らし、当該業務を適正に遂行することができないと認められること。
(i) that the registration applicant is found not to be able to conduct the business in a proper manner, considering status of securing Officers or employees having sufficient knowledge and experience for conducting the business as well as its organizational structure;
二 役員又は使用人のうちに、経歴、暴力団員による不当な行為の防止等に関する法律(平成三年法律第七十七号)第二条第二号に規定する暴力団又は同条第六号に規定する暴力団員との関係その他の事情に照らして業務の運営に不適切な資質を有する者があることにより、金融商品取引業の信用を失墜させるおそれがあると認められること。
(ii) that the registration applicant is found to be likely to cause a loss of confidence in a Financial Instruments Business, on the grounds of having any Officer or employee with qualities unfit for the operation of the business in light of such Officer's or employee's career, relationship with the Organized Crime Group set forth in Article 2, item (ii) of the Act on Prevention of Illegal Acts by Organized Crime Group Members (Act No. 77 of 1991) or relationship with the Organized Crime Group Members set forth item (vi) of that Article or any other circumstances;
三 競走用馬に係る商品投資関連業務を行う場合には、次に掲げる要件に該当しないこと。
(iii) that, in cases where the registration applicant intends to conduct a Business Related to Commodities Investment pertaining to racehorses, such registration applicant does not fall under the following requirements:
イ あらかじめ日本中央競馬会又は地方競馬全国協会による指導を受けていること。
(a) that the registration applicant has been given guidance in advance by the Japan Racing Association or the National Association of Racing;
ロ その行う商品投資関連業務が第七条第四号ニ(1)に掲げる権利に係る競走用馬投資関連業務又は同号ニ(2)に掲げる権利に係る競走用馬投資関連業務のいずれかのみに該当すること。
(b) that the Business Related to Commodities Investment to be conducted by the registration applicant only falls under either the Business Related to Investment in Racehorses pertaining to the rights specified in Article 7, item (iv), sub-item (d)1. or the Business Related to Investment in Racehorses pertaining to the rights specified in Article 7, item (iv), sub-item (d)2.;
ハ 第七条第四号ニ(2)に掲げる権利に係る競走用馬投資関連業務を行う場合には、競馬法第十三条第一項(同法第二十二条において準用する場合を含む。)の登録を受けていること。
(c) that, in cases where the registration applicant intends to conduct a Business Related to Investment in Racehorses pertaining to the rights specified in Article 7, item (iv), sub-item (d)2., such registration applicant has obtained a registration under Article 13, paragraph (1) of the Horse Racing Act (including the cases where it is applied mutatis mutandis pursuant to Article 22 of that Act).
四 不動産信託受益権等売買等業務を行う場合には、次に掲げる要件に該当しないこと。
(iv) that, in cases where the registration applicant intends to conduct a Business of Transaction, etc. of Beneficial Interest in Real Property Trust, such registration applicant does not fall under the following requirements:
イ 宅地又は建物の取引に関する専門的知識及び経験を有する役員又は使用人を次に掲げる部門にそれぞれ配置していること。
(a) that the registration applicant has assigned its Officers or employees having expert knowledge of and experience in transactions related to Building Lots or buildings to each of the following sections:
(1) 不動産信託受益権等売買等業務の統括に係る部門
1. the section in charge of supervising the Business of Transaction, etc. of Beneficial Interest in Real Property Trust;
(2) 内部監査に係る部門
2. the section in charge of the internal audit;
(3) 法令等(法令、法令に基づく行政官庁の処分又は定款その他の規則をいう。第四十四条第一号イ、第四十九条第四号イ(3)、第百九十九条第七号及び第十三号イ、第二百条第六号、第二百八条の三十一第一項第八号イ並びに第二百二十三条第十号において同じ。)を遵守させるための指導に関する業務に係る部門
3. the section in charge of the affairs related to instructions for ensuring compliance with the Laws and Regulations, etc. (meaning the laws and regulations, disposition of administrative agencies issued under the laws and regulations, or other rules such as the articles of incorporation; the same applies in Article 44, item (i), sub-item (a), Article 49, item (iv), sub-item (a)3., Article 199, item (vii) and item (xiii) sub-item (a), Article 200, item (vi), Article 208-31, paragraph (1), item (viii), sub-item (a), and Article 223, item (x));
ロ 不動産信託受益権等売買等業務を行う役員又は使用人が、第八十五条第一項各号に掲げる事項について、顧客の知識、経験、財産の状況及び金融商品取引契約を締結する目的に照らして当該顧客に理解されるために必要な方法及び程度による説明をするために必要な宅地又は建物の取引に関する専門的知識及び経験を有していること。
(b) that the Officers or the employees who are to conduct the Business of Transaction, etc. of Beneficial Interest in Real Property Trust have sufficient expert knowledge of and experience in transactions of Building Lots or buildings which enable them to provide necessary explanations so that a customer is able to understand the matters specified in the items of Article 85, paragraph (1), in a manner and to the extent as may be required in light of the customer's knowledge, experience and conditions of property and in light of the purpose of the conclusion of a Contract for Financial Instruments Transaction.
五 不動産関連特定投資運用業を行う場合には、金融庁長官の定める要件に該当しないこと。
(v) that, in cases where the registration applicant intends to conduct a Specified Investment Management Business Related to Real Property, such registration applicant does not fall under the requirements specified by the Commissioner of the Financial Services Agency.
(純財産額の算出)
(Calculation of Net Assets)
第十四条 法第二十九条の四第一項第五号ロ(法第三十一条第五項において準用する場合を含む。)の規定により算出する純財産額は、貸借対照表の資産の部に計上されるべき金額の合計額から負債の部に計上されるべき金額の合計額(次に掲げるものの金額の合計額を除く。)を控除して計算しなければならない。
Article 14 (1) The Net Assets to be calculated under Article 29-4, paragraph (1), item (v), sub-item (b) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 31, paragraph (5) of the Act) must be obtained by deducting the total amount to be inserted into the liabilities section of a balance sheet (excluding the total of the amounts set forth in the following items) from the total amount to be inserted into the assets section thereof:
一 金融商品取引責任準備金
(i) the Financial Instruments Transaction Liability Reserve;
二 他に行っている事業に関し法令の規定により負債の部に計上することが義務付けられている引当金又は準備金のうち利益留保性の引当金又は準備金の性質を有するものがある場合には、当該引当金又は準備金
(ii) in cases where, in connection with any other business conducted by the registration applicant, such applicant has any allowance or reserve funds which are required to be inserted into the liabilities section under the laws and regulations and which may be characterized as retained earnings, such allowance or reserve funds;
2 前項の資産及び負債の評価は、計算を行う日において、一般に公正妥当と認められる企業会計の基準に従って評価した価額によらなければならない。
(2) The appraisal of assets and liabilities set forth in the preceding paragraph must be made based on the value appraised in accordance with corporate accounting standards generally accepted as fair and appropriate as of the date of such calculation.
3 前項の場合において、次の各号に掲げる場合に該当するときは、当該各号に定める金額を評価額とする。
(3) In the case referred to in the preceding paragraph and in the case of falling under any of the following items, the amount prescribed in each of the relevant items is treated as the appraisal value:
一 金銭債権又は市場価格のない債券について取立不能のおそれがある場合 取立不能見込額を控除した金額
(i) in cases where any monetary claim, or bond certificate without a market price is likely to become uncollectible: the amount after the deduction of the estimate of the uncollectible amount.
二 市場価格のない株式についてその発行会社の資産状態が著しく悪化した場合 相当の減額をした金額
(ii) in cases where, with regard to shares without a market price, the status of the assets of the company issuing such shares has deteriorated substantially: the amount after an appropriate reduction.
三 前二号以外の流動資産の時価が帳簿価額より著しく低い場合であって、その価額が帳簿価額まで回復することが困難と見られる場合 当該時価
(iii) in cases where the market value of the current assets other than those specified in the preceding two items is substantially lower than the book value thereof, and where it is found unlikely that such value will recover to the level of the book value: such market value.
四 第一号又は第二号以外の固定資産について償却不足があり、又は予測することのできない減損が生じた場合 償却不足額を控除し、又は相当の減額をした金額
(iv) in cases where, with regard to the fixed assets other than those specified in item (i) or (ii), any underdepreciation or unpredictable impairment has arisen: the amount after deduction of the underdepreciation, or an amount after an appropriate reduction.
五 繰延資産について償却不足がある場合 償却不足額を控除した金額
(v) in cases where any underdepreciation with regard to deferred assets has arisen: the amount after deduction of the underdepreciation.
(会社の財務及び業務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)
(Facts Estimated to Have Material Influence on Decision of Company's Financial and Operational Policies)
第十五条 法第二十九条の四第二項(法第三十一条第五項において準用する場合を含む。)に規定する内閣府令で定める事実は、次に掲げる事実とする。
Article 15 The facts to be specified by Cabinet Office Order as referred to in Article 29-4, paragraph (2) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 31, paragraph (5) of the Act) are as follows:
一 役員若しくは使用人である者又はこれらであった者であって会社の財務及び営業又は事業の方針の決定に関して影響を与えることができるものが、当該会社の取締役若しくは執行役又はこれらに準ずる役職に就任していること。
(i) that any Officer or employee, or person who has formerly held such positions, who would have an influence on the decision on the company's financial policies and operational or business policies, has assumed the position of the company's director, executive officer or any other position equivalent thereto;
二 会社に対して重要な融資を行っていること。
(ii) that any important loan has been extended to the company;
三 会社に対して重要な技術を提供していること。
(iii) that any important technology is furnished to the company;
四 会社との間に重要な営業上又は事業上の取引があること。
(iv) that there exists any important operational or business transactions with the company;
五 その他会社の財務及び営業又は事業の方針の決定に対して重要な影響を与えることができることが推測される事実が存在すること。
(v) that there exists any other fact implying a material influence on decisions on the company's financial policies and operational or business policies.
(保有の態様その他の事情を勘案して保有する議決権から除く議決権)
(Voting Rights Excluded from Voting Rights Held Considering Manner of Holding or Other Circumstances)
第十六条 法第二十九条の四第二項(法第三十一条第五項において準用する場合を含む。)に規定する内閣府令で定めるものは、次に掲げるものとする。
Article 16 The voting rights to be specified by Cabinet Office Order as referred to in Article 29-4, paragraph (2) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 31, paragraph (5) of the Act) are as follows:
一 信託業(信託業法(平成十六年法律第百五十四号)第二条第一項に規定する信託業をいう。)を営む者が信託財産として保有する議決権(当該者が行使することができる権限又は行使について指図を行うことができる権限を有するものを除く。)
(i) the voting rights held by a person engaged in the Trust Business (meaning the Trust Business defined in Article 2, paragraph (1) of the Trust Business Act (Act No. 154 of 2004)) as the trust property (excluding the voting rights regarding which that person has been granted the authority to exercise, or the authority to give instruction as to the exercise thereof);
二 法人の代表権を有する者又は法人の代理権を有する支配人が、当該代表権又は代理権に基づき、議決権を行使することができる権限若しくは議決権の行使について指図を行うことができる権限又は投資を行うのに必要な権限を有する場合における当該法人の所有する株式又は持分に係る議決権
(ii) the voting rights pertaining to the shares or equity owned by a juridical person, in cases where a person having the authority of representation for such juridical person or a manager having the authority to act as agent therefor has been granted the authority to exercise the voting rights or to give instruction as to the exercise thereof or the authority required for making an investment, based on such authority of representation or authority to act as agent;
三 会社の役員又は従業員が当該会社の他の役員又は従業員と共同して当該会社の株式の取得(一定の計画に従い、個別の投資判断に基づかず、継続的に行われ、各役員又は従業員の一回当たりの拠出金額が百万円に満たないものに限る。)をした場合(当該会社が会社法(平成十七年法律第八十六号)第百五十六条第一項(同法第百六十五条第三項の規定により読み替えて適用する場合を含む。)の規定に基づき取得した株式以外の株式を取得したときは、金融商品取引業者に委託して行った場合に限る。)において当該取得をした会社の株式を信託された者が所有する当該会社の株式に係る議決権(当該信託された者が行使することができる権限又は行使について指図を行うことができる権限を有するものを除く。)
(iii) the voting rights pertaining to the company's shares owned by a person entrusted with such company's shares acquired (excluding the voting rights regarding which the person so entrusted has been granted the authority to exercise or the authority to give instruction as to the exercise thereof), in cases where an Officer or employee of the company has acquired the company's shares jointly with another Officer or employee of the company (limited to the acquisition under a certain program wherein the shares are continuously acquired without depending on the individual's Investment Decisions, and wherein the amount to be contributed by each of the Officers or employees on each occasion is less than one million yen) (in the case of acquisition of any share other than those acquired by the company pursuant to the provisions of Article 156, paragraph (1) of the Companies Act (Act No. 86 of 2005) (including the cases where it is applied by replacing certain terms under Article 165, paragraph (3) of that Act), the above is limited to the case where such acquisition was conducted based on an entrustment to a Financial Instruments Business Operator);
四 相続人が相続財産として所有する株式又は持分(当該相続人(共同相続の場合を除く。)が単純承認(単純承認をしたものとみなされる場合を含む。)若しくは限定承認をした日までのもの又は当該相続財産の共同相続人が遺産分割を了していないものに限る。)に係る議決権
(iv) the voting rights pertaining to shares or equity owned by heirs as their inherited property (limited to the shares or equity owned prior to the day when the heir (excluding the case of a joint inheritance) gave an unqualified acceptance (including the cases where an unqualified acceptance is deemed to have been given) or a qualified acceptance, or the shares or equity which the coheirs of such inherited property have not yet divided);
五 有価証券関連業を行う者が有価証券の引受けに係る業務により所有する株式(当該株式の払込期日(有価証券の売出し又は特定投資家向け売付け勧誘等の場合にあっては、受渡期日)の翌日(当該者が法第二条第六項第三号に掲げるものを行う場合にあっては、同号に規定する行使しない新株予約権に係る新株予約権証券を取得した日から起算して五日(日曜日及び令第十四条の五に規定する休日の日数は、算入しない。)を経過した日)以後に所有するものを除く。)に係る議決権
(v) the voting rights pertaining to the shares owned by a person engaged in a Securities-Related Business in the course of a business pertaining to the Underwriting of Securities (excluding shares owned on or after the day immediately following the payment date for said shares (or on or after the day immediately following the delivery date for said shares, in cases of the Secondary Distribution of Securities or Solicitation for Selling, etc. Only for Professional Investors) (in cases where the person in question implements the items listed in Article 2, paragraph (6), item (iii) of the Act, the day when five days (Sunday and the number of holidays defined in Article 14-5 of the Cabinet Order do not be included in the five days) elapse from the day when the share option certificates pertaining to unexercised share options as defined in that item are acquired)); and
六 銀行等保有株式取得機構が保有する議決権
(vi) the voting rights held by the Banks' Shareholding Purchase Corporation.
(適格投資家向け投資運用業を行う金融商品取引業者が行う取得勧誘に係る有価証券の譲渡に係る契約の内容)
(Content of Contract for the Transfer of Securities related to Solicitation for Acquisition by Financial Instruments Business Operators who Engage in Investment Management Business for Qualified Investors)
第十六条の二 令第十五条の十の四に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 16-2 The matters provided for by Cabinet Office Order as defined in Article 15-10-4 of the Cabinet Order are the following matters:
一 当該取得しようとする者が当該取得勧誘(法第二条第三項に規定する取得勧誘をいう。次号において同じ。)に応じて取得した当該有価証券を適格投資家以外の者に譲渡しないこと。
(i) The person who intends to acquire does not transfer the Securities that were acquired in response to said Solicitation for Acquisition (meaning the Solicitation for Acquisition defined in Article 2, paragraph (3) of the Act; the same applies in the following item) to persons other than Qualified Investors; and
二 当該取得しようとする者が当該取得勧誘に応じて取得した当該有価証券を譲渡する場合には、その相手方に対し、当該有価証券の売付け勧誘等(法第二条第四項に規定する売付け勧誘等をいう。以下この号において同じ。)を行う者と当該売付け勧誘等に応じて当該有価証券の買付けを行おうとする者との間において、当該買付けを行おうとする者が買い付けた当該有価証券を適格投資家以外の者に譲渡を行わない旨を定めた譲渡に係る契約を締結することが買付けの条件とされていることを告知すべきこと。
(ii) in cases where a person who intends to acquire, transfers said Securities acquired in response to said Solicitation for Acquisition, it should be notified to the other party that it is a condition for purchase between a person who implements the Solicitation for Selling, etc. of said Securities (meaning the Solicitation for Selling, etc. defined in Article 2, paragraph (4) of the Act; hereinafter the same applies in this item) and a person who intends to purchase said Securities in response to the Solicitation for Selling, etc., to conclude a contract pertaining the transfer for which it is stipulated that the person who intends to purchase does not transfer said purchased Securities to a person other than Qualified Investors.
(特定投資家に準ずる者)
(Persons equivalent to Professional Investors)
第十六条の三 法第二十九条の五第三項に規定する内閣府令で定める者は、次に掲げる者とする。
Article 16-3 The persons provided for by the Cabinet Office Order defined in Article 29-5, paragraph (3) of the Act are the following persons:
一 取引の状況その他の事情から合理的に判断して、その保有する資産(第六十二条第二号イからトまでに掲げるものに限る。以下この条において同じ。)の合計額が百億円以上であると見込まれる存続厚生年金基金(厚生年金保険法(昭和二十九年法律第百十五号)第百三十六条の三第四項に規定する年金給付等積立金の管理及び運用の体制が整備され、かつ、同法第百七十六条第二項の規定による届出がされているものに限る。)及び企業年金基金
(i) judging reasonably from the status of the transactions or any other circumstances, the surviving employee's pension fund (limited to one for which management and investment system of pension benefit funds defined in Article 136-3, paragraph (4) of the Social Pension Insurance Act (Act No. 115 of 1954) has been developed and the notification defined in Article 136-3, paragraph (4) of that Act is submitted) and corporate pension funds, of those which the total amount of assets (limited to those listed in Article 62, item (ii), sub-items (a) through (g); hereinafter the same applies in this Article) is likely to be ten billion yen or more;
二 次に掲げる要件のいずれかに該当する法人(存続厚生年金基金及び企業年金基金を除き、ロに該当するものにあっては、業務執行組合員等(組合契約を締結して組合の業務の執行を委任された組合員、匿名組合契約を締結した営業者又は有限責任事業組合契約を締結して組合の重要な業務の執行の決定に関与し、かつ、当該業務を自ら執行する組合員をいう。ロにおいて同じ。)として取引を行う場合に限る。)
(ii) a juridical person that corresponds to any of the following requirements (excluding the surviving employee's pension fund and corporate pension funds; in cases of a juridical person that corresponds to (b), limited to cases where it transacts as an Operating Partner, etc. (meaning a partner who has concluded a partnership contract and is designated for the execution of operations of the partnership, a proprietor of a business who has concluded a silent partnership agreement, or a partner who has concluded a Limited Liability Partnership Agreement, is involved in the decision-making on the execution of the important business of the partnership, and personally executes such business; the same applies in sub-item (b) )):
イ 取引の状況その他の事情から合理的に判断して、当該法人が保有する資産の合計額が三億円以上であると見込まれること。
(a) judging reasonably from the status of the transactions or any other circumstances, the total amount of the assets held by said juridical person is likely to be 300 million yen or more; or
ロ 当該法人が業務執行組合員等であって、取引の状況その他の事情から合理的に判断して、当該組合契約、匿名組合契約又は有限責任事業組合契約に係る出資対象事業により業務執行組合員等として当該法人が保有する資産の合計額が三億円以上であると見込まれること(イに該当する場合を除く。)。
(b) the juridical person is an Operating Partner, etc. and the total amount of assets held by said juridical person as an Operating Partner, etc. is likely to be 300 million yen or more by the Invested Business pertaining to the partnership contract, silent partnership agreement, or limited liability partnership agreement, judging reasonably from the status of the transactions or any other circumstances (excluding cases where the juridical person corresponds to sub-item (a)).
三 次に掲げる要件のいずれかに該当する個人(ロに該当するものにあっては、業務執行組合員等(組合契約を締結して組合の業務の執行を委任された組合員、匿名組合契約を締結した営業者若しくは有限責任事業組合契約を締結して組合の重要な業務の執行の決定に関与し、かつ、当該業務を自ら執行する組合員又は外国の法令に基づくこれらに類する者をいう。ロにおいて同じ。)として取引を行う場合に限る。)
(iii) an individual who corresponds to any of the following requirements (in cases of an individual who corresponds to sub-item (b), limited to cases where the individual transacts as an Operating Partner, etc. (meaning a partner who has concluded a partnership contract and is designated for the execution of operations of the partnership, a proprietor of a business who has concluded a silent partnership agreement or a partner who has concluded a Limited Liability Partnership Agreement, is involved in the decision-making on the execution of the important business of the partnership, and personally executes such business, and a person equivalent thereto based on foreign laws and regulations; the same applies in sub-item (b) )):
イ 次に掲げる全ての要件に該当すること。
(a) all of the following requirements are satisfied:
(1) 取引の状況その他の事情から合理的に判断して、当該個人が保有する資産の合計額が三億円以上であると見込まれること。
1. judging reasonably from the status of the transactions or any other circumstances, the total amount of the assets held by said individual is likely to be 300 million yen or more; and
(2) 当該個人が金融商品取引業者等に有価証券の取引又はデリバティブ取引を行うための口座を開設した日から起算して一年を経過していること。
2. one year has elapsed from the day when said individual opened an account with a Financial Instruments Business Operators, etc. for Securities transactions or Derivatives Transactions.
ロ 当該個人が業務執行組合員等であって、取引の状況その他の事情から合理的に判断して、当該組合契約、匿名組合契約若しくは有限責任事業組合契約又は外国の法令に基づくこれらに類する契約に係る出資対象事業により業務執行組合員等として当該個人が保有する資産の合計額が三億円以上であると見込まれること(イに該当する場合を除く。)。
(b) the individual is an Operating Partner, etc. and the total amount of assets held by said individual as an Operating Partner, etc. is likely to be 300 million yen or more for the Invested Business pertaining to the partnership contract, silent partnership agreement or limited liability partnership agreement, or agreement equivalent thereto based on foreign laws and regulations, judging reasonably from the status of the transactions or any other circumstances, (excluding cases where the individual corresponds to sub-tem (a)).
(適格投資家から除かれる者)
(Persons Excluded from Qualified Investors)
第十六条の四 法第二十九条の五第四項第三号に規定する内閣府令で定める者は、その発行する法第二条第一項第五号、第九号若しくは第十五号に掲げる有価証券若しくは同項第十七号に掲げる有価証券(同項第五号、第九号又は第十五号に掲げる有価証券の性質を有するものに限る。)に表示される権利又は同条第二項第三号若しくは第四号に掲げる権利(その取得の対価の額を超えて財産の給付を受けることがないことを内容とする権利を除く。)を適格投資家以外の者が取得している特別目的会社(第三十三条第二項に規定する特別目的会社をいう。)とする。
Article 16-4 The person provided for by Cabinet Office Order defined in Article 29-5, paragraph (4), item (iii) of the Act is a Special Purpose Company (meaning a Special Purpose Company as defined in Article 33, paragraph (2)), for which a person other than Qualified Investors has acquired the right indicated on Securities, which are issued by the person listed in Article 2, paragraph (1) items (v)I, (ix), or (xv) of the Act or Securities listed n item (xvii) of that paragraph (limited to those that have the nature of Securities listed in items (v), (ix), or (xv) of that paragraph) or the right listed in paragraph (2), item (iii) or item (iv) of that Article (excluding the right with which the delivery of the property cannot be received over the amount receivable of the acquisition).
(認可に係る業務の内容及び方法)
(Contents and Method of Business to be Authorized)
第十七条 法第三十条の三第二項に規定する内閣府令で定めるものは、次に掲げるものとする。
Article 17 The matters to be specified by Cabinet Office Order as referred to in Article 30-3, paragraph (2) of the Act are as follows:
一 私設取引システム運営業務において行う取引の種類
(i) the types of transactions to be conducted under the Proprietary Trading System Operation;
二 私設取引システム運営業務を管理する責任者の氏名及び役職名
(ii) the name and job title of the person responsible for the management of the Proprietary Trading System Operation;
三 私設取引システム運営業務を行う部署(私設取引システム運営業務の一部を他の者に委託する場合にあっては、その者を含む。)の名称及び組織の体制
(iii) the name and organizational structure of the section in charge of the Proprietary Trading System Operation (in the case where a part of the Proprietary Trading System Operation is to be entrusted to any other person, including such person);
四 私設取引システム運営業務において取り扱う有価証券の種類、銘柄及び取引の最低単位
(iv) the types, issues and minimum transaction units of the Securities to be handled under the Proprietary Trading System Operation;
五 私設取引システム運営業務に係る顧客との取引開始基準及び顧客の管理方法
(v) the Conditions for Starting Transactions with customers pertaining to the Proprietary Trading System Operation, and the methods of management of customers;
六 売買価格の決定方法
(vi) the method of determination of the purchase and sale price;
七 気配、売買価格その他の価格情報の公表方法
(vii) the method of publication of the price information such as quotes, purchase and sale price and others;
八 私設取引システム運営業務において使用する電子情報処理組織の概要、設置場所、容量及び保守の方法並びに当該電子情報処理組織に異常が発生した場合の対処方法
(viii) the outline, location, volume and maintenance method of the electronic data processing system to be used for the Proprietary Trading System Operation, and the method of handling of the cases where there occurs any malfunction of such electronic data processing system;
九 私設取引システム運営業務に係る有価証券の受渡しその他の決済の方法及び顧客の契約不履行が生じた場合の対処方法
(ix) the method of transfer or other settlement procedures for the Securities related to the Proprietary Trading System Operation, and the method of handling of the cases where there arises any customer's default in the performance of a contract;
十 私設取引システム運営業務に係る取引記録の作成及び保存の方法
(x) the method for the preparation and preservation of the transaction records for the Proprietary Trading System Operation;
十一 私設取引システム運営業務の執行状況について、検査を行う頻度、部署の名称及び体制
(xi) the frequency of the inspection on the status of the execution of the Proprietary Trading System Operation, and the name and structure of the section in charge of such inspection; and
十二 その他私設取引システム運営業務に係る損失の危険の管理又は取引の公正の確保に関する重要な事項
(xii) any other important matter related to the risk management concerning loss or to assurance of fairness of the transactions, in regard to the Proprietary Trading System Operation.
(認可申請書の添付書類)
(Documents to be Attached to Written Application for Authorization)
第十八条 法第三十条の三第二項に規定する内閣府令で定める書類は、次に掲げる書類とする。
Article 18 The documents to be specified by Cabinet Office Order as referred to in Article 30-3, paragraph (2) of the Act are as follows:
一 私設取引システム運営業務を管理する責任者の履歴書
(i) the resume of a person responsible for the management of the Proprietary Trading System Operation;
二 私設取引システム運営業務に関する社内規則
(ii) the internal rules regarding the Proprietary Trading System Operation;
三 私設取引システム運営業務に関し顧客と取引を行う際に使用する契約書類
(iii) the contracts to be used for transactions with customers, in connection with the Proprietary Trading System Operation; and
四 前条第八号に掲げるものに関する認可申請者と特別の利害関係のない者の評価書
(iv) the appraisal statement on matters specified in item (viii) of the preceding Article, which is prepared by a person having no special interest in the authorization applicant.
(審査等の対象となる業務の内容及び方法)
(Contents and Method of Business to be Examined)
第十九条 法第三十条の四第五号及び第三十一条第六項に規定する内閣府令で定める業務の内容及び方法は、次に掲げるものとする。
Article 19 The contents and method of business to be specified by Cabinet Office Order as referred to in Article 30-4, item (v) and Article 31, paragraph (6) of the Act are as follows:
一 第十七条第五号、第八号及び第十号に掲げるもの
(i) the matters specified in Article 17, item (v), (viii) or (x); and
二 その他私設取引システム運営業務に係る取引の公正の確保に関する重要な事項
(ii) any other important matters related to the assurance of the fairness of transactions to be conducted under the Proprietary Trading System Operation.
(登録申請書記載事項の変更の届出)
(Notification of Change to Matters Specified in Written Application for Registration)
第二十条 法第三十一条第一項の規定により届出を行う金融商品取引業者は、変更の内容、変更年月日及び変更の理由を記載した届出書に、別紙様式第一号により作成した変更後の内容を記載した書面及び当該書面の写し並びに次の各号に掲げる場合の区分に応じ当該各号に定める書類を添付して、所管金融庁長官等に提出しなければならない。ただし、やむを得ない事由があるときは、当該各号に定める書類は、当該届出書の提出後遅滞なく提出すれば足りる。
Article 20 (1) A Financial Instruments Business Operator which intends to file the notification under Article 31, paragraph (1) of the Act must submit to the Commissioner of Financial Services Agency or Other Competent Official a written notification stating the particulars and date of and reason for the change, attaching a document stating the particulars after such change prepared in accordance with Appended Form No. 1, a copy thereof and the documents specified in the following items in accordance with the categories of the cases respectively set forth therein; provided, however, that the documents specified in each of the following items may be filed without delay after submission of the notification, if any unavoidable ground exists.
一 法第二十九条の二第一項第一号に掲げる事項について変更があった場合 当該変更に係る事項を記載した登記事項証明書(個人であるときは、住民票の抄本)又はこれに代わる書面
(i) in cases where there has been any change to the matters specified in Article 29-2, paragraph (1), item (i) of the Act: the certificate of the registered matters (in cases of an individual, an extract copy of the certificate of residence) containing the particulars so changed, or any other document in lieu thereof;
二 法第二十九条の二第一項第二号に掲げる事項について変更があった場合 当該変更に係る事項を記載した登記事項証明書又はこれに代わる書面
(ii) in cases where there has been any change to the matters specified in Article 29-2, paragraph (1), item (ii) of the Act: the certificate of the registered matters containing the particulars so changed, or any other document in lieu thereof;
三 法第二十九条の二第一項第三号又は第四号に掲げる事項について変更があった場合 次に掲げる書類
(iii) in cases where there has been any change to the matters specified in Article 29-2, paragraph (1), item (iii) or (iv) of the Act: the following documents:
イ 業務に係る人的構成及び組織等の業務執行体制を記載した書面
(a) a document stating the systems for business execution, such as the personnel structure and the organization pertaining to the business;
ロ 役員に変更があった場合には、当該変更に係る事項を記載した登記事項証明書又はこれに代わる書面
(b) in cases where there has been any change to Officers, the certificate of the registered matters containing the particulars so changed, or any other document in lieu thereof;
ハ 新たに役員又は重要な使用人となった者に係る次に掲げる書類
(c) the following documents in relation to a person who has newly assumed the position of Officer or Major Employee:
(1) 履歴書(役員が法人であるときは、当該役員の沿革を記載した書面)
1. the resumes (in cases where the Officer is a juridical person, the document containing the background of said Officer);
(2) 住民票の抄本(役員が法人であるときは、当該役員の登記事項証明書)又はこれに代わる書面
2. the extracts of the certificates of residence (in cases where the Officer is a juridical person, the certificate of the registered matters of said Officer), or any other document in lieu thereof;
(3) 法第二十九条の四第一項第二号イ及びロに該当しない旨の官公署の証明書又はこれに代わる書面
3. the certificate issued by public agency evidencing that none of the Officers or employees falls under Article 29-4, paragraph (1), item (ii), sub-item (a) or (b) of the Act, or any other document in lieu thereof;
(4) 法第二十九条の四第一項第二号ハからトまでのいずれにも該当しない者であることを当該役員又は重要な使用人が誓約する書面
4. the documents in which each of the Officers and Major Employees pledges that they do not fall under any of Article 29-4, paragraph (1), item (ii), sub-items (c) through (g) of the Act;
四 法第二十九条の二第一項第六号に掲げる事項について変更があった場合(営業所又は事務所の廃止をした場合に限る。) 当該変更に伴う顧客勘定の処理の内容を記載した書面
(iv) in cases where there has been any change to the matters specified in Article 29-2, paragraph (1), item (vi) of the Act (limited to the cases where the business office or other office has been abolished): a document containing the details of the treatment of a customer's account incidental to such change;
五 第七条第四号ニに掲げる事項について変更があった場合(競走用馬投資関連業務を行うこととなった場合に限る。) 第十三条第三号に掲げる基準に該当しないことを証する書面
(v) in cases where there has been any change to the matters specified in Article 7, item (iv), sub-item (d) (limited to the cases where the Financial Instruments Business Operator has come to be engaged in the Business Related to Investment in Racehorses): a document evidencing that it does not fall under the criteria specified in Article 13, item (iii);
六 第七条第六号に掲げる事項について変更があった場合(不動産信託受益権等売買等業務を行うこととなった場合に限る。) 第十三条第四号に掲げる基準に該当しないことを証する書面
(vi) in cases where there has been any change to the matters specified in Article 7, item (vi) (limited to the cases where the Financial Instruments Business Operator has come to be engaged in the Business of Transaction, etc. of Beneficial Interest in Real Property Trust): a document evidencing that it does not fall under the criteria specified in Article 13, item (iv);
七 第七条第七号に掲げる事項について変更があった場合(不動産関連特定投資運用業を行うこととなった場合に限る。) 不動産関連特定投資運用業を行う場合における業務遂行能力に関する事項を記載した書面
(vii) in cases where there has been any change to the matters specified in Article 7, item (vii) (limited to the cases where the Financial Instruments Business Operator has come to be engaged in the Specified Investment Management Business Related to Real Property): a document containing the matters related to the ability to execute the business in cases of conducting the Specified Investment Management Business Related to Real Property;
2 所管金融庁長官等は、金融商品取引業者から管轄財務局長等の管轄する区域を超えて本店等の所在地を変更したことの届出を受理した場合には、届出書及び金融商品取引業者登録簿のうち当該金融商品取引業者に係る部分その他の書類を、当該届出に係る変更後の本店等の所在地を管轄する財務局長(当該所在地が福岡財務支局の管轄区域内にある場合にあっては福岡財務支局長、国内に営業所又は事務所を有しない場合にあっては関東財務局長)に送付し、又は送付させるものとする。
(2) In cases where the Commissioner of Financial Services Agency or Other Competent Official has received from any Financial Instruments Business Operator a notification on the relocation of the Head Office, etc. filed beyond the jurisdictional district of the Competent Finance Bureau Commissioner, etc., the commissioner or official is to send or instruct to send the written notification, the portion of the registry of Financial Instruments Business Operators pertaining to said Financial Instruments Business Operator and any other documents to the Director-General of a Local Finance Bureau having jurisdiction over the relocated address of the Head Office, etc. notified thereunder (in cases where such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the Director-General thereof; or in cases where the Financial Instruments Business Operator has no business office or other office in Japan, to the Director-General of the Kanto Finance Bureau).
3 前項の規定による書類の送付を受けた財務局長又は福岡財務支局長は、当該金融商品取引業者に係る事項を金融商品取引業者登録簿に登録するものとする。
(3) The Director-General of a Local Finance Bureau or the Director-General of the Fukuoka Local Finance Branch Bureau who has received the documents sent pursuant to the provisions of the preceding paragraph is to register the matters related to the Financial Instruments Business Operator in the registry of Financial Instruments Business Operators.
(業務の内容又は方法の変更の届出)
(Notification on Change of Contents or Method of Business)
第二十一条 法第三十一条第三項の規定により届出を行う金融商品取引業者は、変更の内容、変更年月日及び変更の理由を記載した届出書に、第八条各号に掲げるもの(内容に変更のあるものに限る。)を記載した書類を添付して、所管金融庁長官等に提出しなければならない。
Article 21 A Financial Instruments Business Operator which intends to file the notification under Article 31, paragraph (3) of the Act must submit to the Commissioner of Financial Services Agency or Other Competent Official a written notification stating the particulars and date of and reason for the change, attaching a document stating the matters specified in the items of Article 8 (limited to those matters whose details have been changed).
(変更登録の申請)
(Application of Registration of Change)
第二十二条 法第三十一条第四項の変更登録を受けようとする金融商品取引業者は、別紙様式第一号により作成した変更登録申請書に、当該変更登録申請書の写しを添付して、所管金融庁長官等に提出しなければならない。
Article 22 (1) A Financial Instruments Business Operator which intends to obtain the registration of change under Article 31, paragraph (4) of the Act must submit to the Commissioner of Financial Services Agency or Other Competent Official a written application for a registration of change prepared in accordance with Appended Form No. 1, attaching a copy thereof.
2 前項の変更登録申請書には、変更の内容及び理由を記載した書面並びに次に掲げる書類(新たに行おうとする業務に係るものに限る。)を添付しなければならない。
(2) A document stating the particulars of and reason for the change as well as the following documents (limited to the documents pertaining to the business to be newly conducted) must be attached to a written application for a registration of change set forth in the preceding paragraph:
一 法第二十九条の四第一項各号(第一号から第三号まで及び第五号ハを除く。)のいずれにも該当しないことを誓約する書面
(i) a document in which the Financial Instruments Business Operator pledges that it does not fall under any of the items of Article 29-4, paragraph (1) of the Act (excluding items (i) through (iii), and sub-item (c) of item (v));
二 第八条各号に掲げるものを記載した書類
(ii) a document stating the matters specified in the items of Article 8; and
三 第九条各号及び第十条第一項各号に掲げる書類
(iii) a document as specified in the items of Article 9 and the items of Article 10, paragraph (1).
3 第十条第二項の規定は、前項第三号に掲げる書類(同条第一項第一号に掲げるものに限る。)を添付する場合について準用する。
(3) The provisions of Article 10, paragraph (2) apply mutatis mutandis to the case where any of the documents specified in item (iii) of the preceding paragraph (limited to those specified in item (i), paragraph (1) of that Article) is to be attached.
(変更の認可の申請)
(Application for Authorization of Change)
第二十三条 法第三十一条第六項の認可を受けようとする金融商品取引業者は、次に掲げる事項を記載した認可申請書を所管金融庁長官等に提出しなければならない。
Article 23 (1) A Financial Instruments Business Operator which intends to obtain the authorization under Article 31, paragraph (6) of the Act must submit to the Commissioner of Financial Services Agency or Other Competent Official a written application for authorization stating the following matters:
一 商号
(i) the trade name;
二 登録年月日及び登録番号
(ii) the registration date and registration number; and
三 変更の内容及び理由
(iii) the particulars and reasons for change.
2 前項の認可申請書には、第十七条各号に掲げるもの(内容に変更のあるものに限る。)を記載した書類及び第十八条各号に掲げる書類(内容に変更のあるものに限る。)を添付しなければならない。
(2) The document stating the matters specified in the items of Article 17 (limited to the those matters whose details have been changed) and the documents specified in the items of Article 18 (limited to those matters whose details have been changed) must be attached to a written application for authorization set forth in the preceding paragraph.
(変更の認可の基準)
(Criteria for Authorization of Change)
第二十四条 所管金融庁長官等は、法第三十一条第六項の認可をしようとするときは、法第三十条の四第一号及び第五号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 24 When the Commissioner of Financial Services Agency or Other Competent Official intends to grant the authorization under Article 31, paragraph (6) of the Act, the commissioner or official must examine whether the applicant complies with the criteria specified in Article 30-4, item (i) or (v) of the Act.
(営業保証金の供託の届出等)
(Notification of Deposit for Operation, etc.)
第二十五条 法第三十一条の二第一項、第四項又は第八項の規定により供託をした者は、別紙様式第二号により作成した供託届出書に、当該供託に係る供託書正本を添付して、所管金融庁長官等に提出しなければならない。
Article 25 (1) A person who has completed making a deposit pursuant to the provisions of Article 31-2, paragraph (1), (4) or (8) of the Act must submit to a Commissioner of Financial Services Agency or Other Competent Official a written notification of deposit prepared in accordance with Appended Form No. 2, attaching the original of the certificate of deposit relevant to such deposit.
2 金融商品取引業者(第二種金融商品取引業を行う個人及び投資助言・代理業のみを行う者に限る。第二十七条及び第二十八条において同じ。)が既に供託している供託物の差替えを行う場合は、差替えのために新たに供託をした後、その旨を記載した届出書に、差替え後の供託に係る供託書正本を添付して、所管金融庁長官等に提出しなければならない。
(2) In cases where a Financial Instruments Business Operator (limited to an individual engaged in a Type II Financial Instruments Business or a person engaged only in an Investment Advisory and Agency Business; the same applies in Article 27 and Article 28) intends to replace the items already deposited, such Financial Instruments Business Operator must, after having completed the new deposit of the replacement items, submit to the Commissioner of Financial Services Agency or Other Competent Official a written notification stating to that effect, attaching the original of the certificate of deposit relevant to the replacement deposit.
3 所管金融庁長官等は、前二項の供託書正本を受理したときは、保管証書をその供託者に交付しなければならない。
(3) When the Commissioner of Financial Services Agency or Other Competent Official receives the original copy of the deposit certificate set forth in the preceding two paragraphs, the commissioner or official must deliver a custody certificate to the depositor.
(営業保証金に代わる契約の相手方)
(Counterparties to Contracts in Lieu of Deposit for Operation)
第二十六条 令第十五条の十三に規定する内閣府令で定める金融機関は、協同組織金融機関及び株式会社商工組合中央金庫とする。
Article 26 The financial institutions to be specified by Cabinet Office Order as referred to in Article 15-13 of the Cabinet Order are a Cooperative Structured Financial Institution and the Shoko Chukin Bank Limited.
(営業保証金に代わる契約の締結の届出等)
(Notification of Conclusion, etc. of Contracts in Lieu of Deposit for Operation)
第二十七条 金融商品取引業者は、法第三十一条の二第三項の契約を締結したときは、別紙様式第三号により作成した保証契約締結届出書に契約書の写しを添付して所管金融庁長官等に届け出るとともに、契約書正本を提示しなければならない。
Article 27 (1) When any Financial Instruments Business Operator concludes a contract under Article 31-2, paragraph (3) of the Act, it must submit to the Commissioner of Financial Services Agency or Other Competent Official a written notification of the conclusion of a guarantee contract prepared in accordance with Appended Form No. 3 with a copy of the contract attached thereto, and must present the original of the contract.
2 金融商品取引業者は、営業保証金に代わる契約の変更又は解除を行おうとする場合は、別紙様式第四号により作成した保証契約変更承認申請書又は別紙様式第五号により作成した保証契約解除承認申請書により、所管金融庁長官等に承認を申請しなければならない。
(2) When a Financial Instruments Business Operator intends to effect any change or cancellation of a contract in lieu of deposit for operation, it must file an application for approval thereon with the Commissioner of Financial Services Agency or Other Competent Official, by submitting a written application for approval of change of guarantee contract prepared in accordance with Appended Form No. 4 or a written application for approval of cancellation of guarantee contract prepared in accordance with Appended Form No. 5.
3 所管金融庁長官等は、前項の規定による承認の申請があったときは、当該承認の申請をした金融商品取引業者が営業保証金に代わる契約を変更し、又は解除することが投資者の保護に欠けるおそれがないものであるかどうかを審査するものとする。
(3) When an application for approval under the preceding paragraph is filed, the Commissioner of Financial Services Agency or Other Competent Official is to examine whether the change or cancellation of the contract in lieu of deposit for operation by the Financial Instruments Business Operator which has filed the application for approval does not threaten to hider the protection of the investors.
4 金融商品取引業者は、所管金融庁長官等の承認に基づき営業保証金に代わる契約の変更又は解除をしたときは、別紙様式第六号により作成した保証契約変更届出書に変更後の契約書の写しを添付し、又は別紙様式第七号により作成した保証契約解除届出書に契約を解除した事実を証する書面を添付して当該所管金融庁長官等に届け出るとともに、契約の変更の場合には、変更後の契約書正本を提示しなければならない。
(4) When a Financial Instruments Business Operator effects any change or cancellation of the contract in lieu of a deposit for operation based on approval granted by the Commissioner of Financial Services Agency or Other Competent Official, it must submit to the Commissioner of Financial Services Agency or Other Competent Official a written notification of a change of guarantee contract prepared in accordance with Appended Form No. 6 attaching a copy of the changed contract, or a written notification of the cancellation of a guarantee contract prepared in accordance with Appended Form No. 7 attaching a document evidencing the fact of the cancellation of the contract; and in addition, in the case of the change of the contract, the Financial Instruments Business Operator must present the original of the changed contract.
(営業保証金の追加供託の起算日)
(Commencement Day for Counting of Time Limit for Additional Deposit for Operation)
第二十八条 法第三十一条の二第八項に規定する内閣府令で定める日は、営業保証金の額が不足した理由につき、次の各号に掲げる場合の区分に応じ、当該各号に定める日とする。
Article 28 The day to be specified by Cabinet Office Order as referred to in Article 31-2, paragraph (8) of the Act is the day specified in the following items, in accordance with the reasons for a deficiency in the amount of the deposit for operation respectively set forth therein:
一 金融商品取引業者が令第十五条の十三第三号の承認(次号において「承認」という。)を受けて法第三十一条の二第三項の契約(以下この号及び次号において「契約」という。)の内容を変更したことにより、同条第十項に規定する供託した営業保証金の額(同条第三項に規定する契約金額を含む。)が令第十五条の十二に定める額に不足した場合 当該契約の内容を変更した日
(i) in cases where the Financial Instruments Business Operator has changed any of the terms of the contract under Article 31-2, paragraph (3) of the Act (hereinafter referred to as the "Contract" in this and the following item) with an approval under Article 15-13, item (iii) of the Cabinet Order (hereinafter referred to as the "Approval" in the following item), as a result of which the amount of deposit for operation deposited as set forth in Article 31-2, paragraph (10) of the Act (including the Contract Amount set forth in paragraph (3) of that Article) has become less than the amount set forth in Article 15-12 of the Cabinet Order: the day when the term of the Contract was changed;
二 金融商品取引業者が承認を受けて契約を解除した場合 当該契約を解除した日
(ii) in cases where the Financial Instruments Business Operator has cancelled the Contract with the Approval: the day of the cancellation of the Contract;
三 令第十五条の十四の権利の実行の手続が行われた場合 金融商品取引業者が金融商品取引業者営業保証金規則(平成十九年内閣府・法務省令第三号)第十一条第三項の支払委託書の写しの送付を受けた日
(iii) in cases where the procedures for execution of the right as set forth in Article 15-14 of the Cabinet Order is implemented: the day when the Financial Instruments Business Operator received a copy of the payment entrustment document sent pursuant to the provisions of Article 11, paragraph (3) of the Regulation on Security Deposits by Financial Instruments Business Operators (Order of the Cabinet Office and the Ministry of Justice No. 3 of 2007);
四 令第十五条の十四の権利の実行の手続を行うため所管金融庁長官等が供託されている有価証券(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)第二百七十八条第一項に規定する振替債を含む。)の換価を行い、換価代金から換価の費用を控除した額を供託した場合 金融商品取引業者が金融商品取引業者営業保証金規則第十二条第四項の規定による通知を受けた日
(iv) in cases where, for the purpose of implementing procedures for the execution of the rights as set forth in Article 15-14 of the Cabinet Order, the Commissioner of Financial Services Agency or Other Competent Official has realized the deposited Securities (including the book-entry transferred bond set forth in Article 278, paragraph (1) of the Act on Transfer of Corporate Bonds, Shares, etc. (Act No. 75 of 2001)), and has deposited the realized amount after deducting the realization expenses: the day on which the Financial Instruments Business Operator has received a notice under Article 12, paragraph (4) of the Regulation on Security Deposits by Financial Instruments Business Operators; or
五 金融商品取引業者(投資助言・代理業のみを行う個人に限る。)が第二種金融商品取引業を行う者として法第三十一条第四項の変更登録を受けた場合 当該変更登録を受けた日
(v) in cases where a Financial Instruments Business Operator (limited to an individual only engaged in an Investment Advisory and Agency Business) has obtained a registration of change under Article 31, paragraph (4) of the Act, as a person engaged in a Type II Financial Instruments Business: the day when such operator obtained the registration of change.
(営業保証金に充てることができる有価証券の種類)
(Types of Securities Which May be Substituted for Deposit for Operation)
第二十九条 法第三十一条の二第九項に規定する内閣府令で定める有価証券は、次に掲げるものとする。この場合において、次に掲げる有価証券に表示されるべき権利の帰属が、社債、株式等の振替に関する法律の規定による振替口座簿の記載又は記録により定まるものとされるときは、当該権利は当該有価証券とみなす。
Article 29 The Securities to be specified by Cabinet Office Order as referred to in Article 31-2, paragraph (9) of the Act are as follows. In this case, if the attribution of any right to be indicated on any of the following Securities is to be determined based on statement or record of a book-entry transfer account book as referred to in the Act on Transfer of Corporate Bonds, Shares, etc., such right is deemed to be the Securities.
一 国債証券
(i) national government bond securities;
二 地方債証券
(ii) municipal bond securities;
三 政府保証債券(法第二条第一項第三号に掲げる有価証券のうち政府が元本の償還及び利息の支払について保証しているものをいう。第六十五条第一号ハにおいて同じ。)
(iii) government guaranteed bond certificates (meaning the Securities specified in Article 2, paragraph (1), item (iii) of the Act, for which the government guarantees redemption of principal and interest payments; hereinafter the same applies in Article 65, item (i), sub-item (c));
四 金融庁長官が指定した社債券その他の債券(記名式のもの及び割引の方法により発行されるもの並びに前号に掲げるものを除く。)
(iv) corporate bond certificates or any other bond certificates designated by the Commissioner of the Financial Services Agency (excluding a registered bond certificate and a bond certificates issued by way of discounting, and also excluding the bonds certificates specified in the preceding item).
(営業保証金に充てることができる有価証券の価額)
(Value of Securities Which May be Substituted for Deposit for Operation)
第三十条 法第三十一条の二第九項の規定により有価証券を営業保証金に充てる場合における当該有価証券の価額は、次の各号に掲げる有価証券の区分に応じ、当該各号に定める額とする。
Article 30 (1) The value of the Securities in cases where the Securities are to be substituted for the Deposit for Operation pursuant to the provisions of Article 31-2, paragraph (9) of the Act is the amount specified in the following items, in accordance with the categories of the Securities respectively set forth therein:
一 前条第一号に掲げる有価証券 額面金額(その権利の帰属が社債、株式等の振替に関する法律の規定による振替口座簿の記載又は記録により定まるものとされるものにあっては、振替口座簿に記載又は記録された金額。以下この条において同じ。)
(i) the Securities specified in item (i) of the preceding Article: the face value thereof (in cases where the attribution of the right pertaining to such Securities is to be determined in accordance with the statement or record of the book-entry transfer account book as referred to in the Act on Transfer of Corporate Bonds, Shares, etc., the amount stated or recorded in the book-entry transfer account book; hereinafter the same applies in this Article);
二 前条第二号に掲げる有価証券 額面金額百円につき九十円として計算した額
(ii) the Securities specified in item (ii) of the preceding Article: the amount calculated by discounting the face value of 100 yen to 90 yen;
三 前条第三号に掲げる有価証券 額面金額百円につき九十五円として計算した額
(iii) the Securities specified in item (iii) of the preceding Article: the amount calculated by discounting the face value of 100 yen to 95 yen;
四 前条第四号に掲げる有価証券 額面金額百円につき八十円として計算した額
(iv) the Securities specified in item (iv) of the preceding Article: the amount calculated by discounting the face value of 100 yen to 80 yen.
2 割引の方法により発行した有価証券については、その発行価額に次の算式により算出した額を加えた額を額面金額とみなして、前項の規定を適用する。
(2) With regard to the Securities issued by way of discounting, the issue value after adding the amount calculated in accordance with the following formula is deemed to be the face value thereof, and the provisions of the preceding paragraph apply.
 ((額面金額―発行価額)÷発行の日から償還の日までの年数)×発行の日から供託の日までの年数
 ((face value - issue value) / the number of years from the date of issuance to the date of redemption) x the number of years from the date of issuance to the date of deposit
3 前項の算式による計算において、発行の日から償還の日までの年数及び発行の日から供託の日までの年数について生じた一年未満の端数並びに額面金額と発行価額との差額を発行の日から償還の日までの年数で除して得た金額について生じた一円未満の端数は、切り捨てる。
(3) For the purpose of calculation in accordance with the formula set forth in the preceding paragraph, if any fraction of less than one year arises with regard to the number of years from the date of issuance and the date of redemption and the number of years from the date of issuance to the date of deposit, or if any fraction of less than one yen arises with regard to the amount obtained by dividing the difference between face value and issue value by the number of years from the date of issuance to the date of redemption, such fraction is rounded down.
(兼職の届出)
(Notification of Concurrent Holding of Officers' Positions)
第三十一条 法第三十一条の四第一項及び第二項の規定による届出(これらの規定に規定する退任した場合に係るものを除く。)は、次に掲げる事項を記載した届出書を所管金融庁長官等に提出して行わなければならない。
Article 31 (1) A notification under Article 31-4, paragraphs (1) and (2) of the Act (excluding the notification to be filed in the case of a resignation as set forth in those provisions) must be filed by submitting a written notification stating the following matters to the Commissioner of Financial Services Agency or Other Competent Official:
一 氏名
(i) the person's name;
二 金融商品取引業者の商号
(ii) the trade name of the Financial Instruments Business Operator;
三 金融商品取引業者における役職名
(iii) the title of the position assumed at the Financial Instruments Business Operator;
四 兼職先の商号
(iv) the trade name of the other company at which the person concurrently assumes the position of Officer;
五 兼職先における役職名及び代表権の有無
(v) the title of the position assumed at the company of which the person concurrently assumes the position, and information as to whether such person has been granted the authority of representation; and
六 就任年月日及び任期
(vi) the date of assumption of office, and the term of office.
2 前項の場合において、同項第四号又は第五号に掲げる事項に変更があったときは、次に掲げる事項を記載した兼職変更届出書を所管金融庁長官等に提出しなければならない。
(2) In the case referred to in the preceding paragraph, if any change to the matters specified in item (iv) or (v) of that paragraph arises, a written notification of the change of a concurrently held position stating the following matters must be submitted to the Commissioner of Financial Services Agency or Other Competent Official:
一 氏名
(i) the person's name;
二 金融商品取引業者の商号
(ii) the trade name of the Financial Instruments Business Operator;
三 金融商品取引業者における役職名
(iii) the title of the position assumed at the Financial Instruments Business Operator;
四 変更の内容
(iv) the particulars of the change; and
五 変更年月日
(v) the date of the change.
3 法第三十一条の四第一項及び第二項の規定による届出(これらの規定に規定する退任した場合に係るものに限る。)は、次に掲げる事項を記載した届出書を所管金融庁長官等に提出して行わなければならない。
(3) A notification under Article 31-4, paragraphs (1) and (2) of the Act (limited to the notification to be filed in the case of a resignation as set forth in those provisions) must be filed by submitting a written notification stating the following matters to the Commissioner of Financial Services Agency or Other Competent Official:
一 氏名
(i) the person's name;
二 金融商品取引業者の商号
(ii) the trade name of the Financial Instruments Business Operator;
三 金融商品取引業者における役職名
(iii) the title of the position assumed at the Financial Instruments Business Operator;
四 兼職をしていた会社の商号
(iv) the trade name of the company at which the person concurrently held the position of Officer;
五 兼職をしていた会社における役職名及び代表権の有無
(v) the title of the position assumed at the company of which the person concurrently held the position, and information as to whether such person had been granted the authority of representation; and
六 退任年月日
(vi) the date of resignation.
(親法人等及び子法人等から除かれる者)
(Persons Excluded from Definition of Parent Juridical Person, etc. and Subsidiary Juridical Person)
第三十二条 令第十五条の十六第一項及び第二項に規定する内閣府令で定める者は、次に掲げる者とする。
Article 32 The person to be specified by Cabinet Office Order as referred to in Article 15-16, paragraph (1) and (2) of the Cabinet Order is as follows:
一 専ら次に掲げるいずれかの者の金融商品取引業等又は金融商品仲介業の遂行のための業務を行っている者
(i) a person solely engaged in a business for the execution of the Financial Instruments Business, etc. or the Financial Instruments Intermediary Service of any of the following parties:
イ 自己
(a) the party itself; or
ロ 自己及びその親法人等又は子法人等
(b) the party itself, and its Parent Juridical Person, etc. or Subsidiary Juridical Person, etc.
二 専ら次に掲げるいずれかの者の業務(金融商品取引業等及び金融商品仲介業を除く。)の遂行のための業務(非公開情報(発行者又は自己の行う金融商品取引業等若しくは金融商品仲介業の顧客に関するものに限る。)に関連するものを除く。)を行っている者
(ii) a person solely engaged in a business (excluding a business related to the Non-Disclosure Information (limited to information which relates to customers of a Financial Instruments Business, etc. or a Financial Instruments Intermediary Service conducted by the Issuer or by the party itself)) related to the execution of the business of any of the following parties (excluding a Financial Instruments Business, etc. and a Financial Instruments Intermediary Service):
イ 自己
(a) the party itself; or
ロ 自己及びその親法人等又は子法人等
(b) the party itself, and its Parent Juridical Person, etc. or Subsidiary Juridical Person, etc.
三 外国の法人その他の団体であって、国内に営業所、事務所その他これらに準ずるものを有していない者
(iii) a juridical person or any other organization of a foreign state which has no business office, office or any other establishment equivalent thereto in Japan.
(親会社等となる者)
(Persons Which Fall Under Category of Parent Company, etc.)
第三十三条 令第十五条の十六第三項に規定する内閣府令で定めるものは、次に掲げる会社等(同項に規定する会社等をいう。以下この条から第三十五条までにおいて同じ。)とする。ただし、財務上又は営業上若しくは事業上の関係からみて他の会社等の意思決定機関(同項に規定する意思決定機関をいう。第二号ホにおいて同じ。)を支配していないことが明らかであると認められるときは、この限りでない。
Article 33 (1) The companies to be specified by Cabinet Office Order as referred to in Article 15-16, paragraph (3) of the Cabinet Order are the following Companies, etc. (meaning the Companies, etc. prescribed in that paragraph; hereinafter the same applies in this Article through Article 35); provided, however, that this does not apply to the case where it is clearly found that the company does not have control over the Decision-Making Body (meaning the Decision-Making Body specified in that paragraph; the same applies in sub-item (e) of item (ii)) of other Company, etc., in light of the financial, operational or business relationship therewith.
一 他の会社等(破産手続開始の決定、再生手続開始の決定又は更生手続開始の決定を受けた他の会社等その他これらに準ずる他の会社等であって、有効な支配従属関係が存在しないと認められるものを除く。以下この項において同じ。)の議決権の過半数を自己の計算において保有している会社等
(i) a Company, etc. which, on its own account, holds the majority of voting rights in another Company, etc. (excluding another Company, etc. which has been subject to an order for the commencement of bankruptcy proceedings, an order for the commencement of rehabilitation proceedings or an order for the commencement of reorganization proceedings or any other Company, etc. equivalent thereto, regarding which it is found that no effective controlling interest exists; hereinafter the same applies in this paragraph);
二 他の会社等の議決権の百分の四十以上、百分の五十以下を自己の計算において保有している会社等であって、次に掲げるいずれかの要件に該当するもの
(ii) a Company, etc. which, on its own account, holds 40 percent or more but 50 percent or less of the voting rights in another Company, etc., and which falls under any of the following requirements:
イ 当該会社等が自己の計算において保有している議決権と当該会社等と出資、人事、資金、技術、取引等において緊密な関係があることにより当該会社等の意思と同一の内容の議決権を行使すると認められる者及び当該会社等の意思と同一の内容の議決権を行使することに同意している者が保有している議決権とを合わせて、当該他の会社等の議決権の過半数を占めていること。
(a) that the voting rights held by the Company, etc. on its own account, and by the voting rights held by any person having a close relationship with the Company, etc. in terms of equity, personnel affairs, funding, technology, business transactions, etc. and therefore being likely to exercise the voting rights in concert with the intention of the Company, etc. and by any person having consented to exercise the voting rights in concert with the intention of the Company, etc. consist a majority of the voting rights in such other Company, etc.;
ロ 当該会社等の役員若しくは使用人である者又はこれらであった者であって当該会社等が当該他の会社等の財務及び営業又は事業の方針の決定に関して影響を与えることができるものが、当該他の会社等の取締役会その他これに準ずる機関の構成員の過半数を占めていること。
(b) that the officers or employees of the Company, etc. or persons formerly in such positions, who would have an influence on the decision of such other Company, etc. with regard to its financial policies and operational or business policies consist a majority of the members of the board of directors or any other organ equivalent thereto of such other Company, etc.;
ハ 当該会社等と当該他の会社等との間に当該他の会社等の重要な財務及び営業又は事業の方針の決定を支配する契約等が存在すること。
(c) that there exist a contract, etc. concluded between the Company, etc. and such other Company, etc. which provides for control over decision of such other Company, etc. with regard to any important financial, operational or business policies;
ニ 当該他の会社等の資金調達額(貸借対照表の負債の部に計上されているものに限る。)の総額の過半について当該会社等が融資(債務の保証及び担保の提供を含む。ニ及び次条第二号ロにおいて同じ。)を行っていること(当該会社等と出資、人事、資金、技術、取引等において緊密な関係のある者が行う融資の額を合わせて資金調達額の総額の過半となる場合を含む。)。
(d) that the Company, etc. has financed (including a provision of a guarantee of obligation and a provision of securities; the same applies in sub-item (d) and Article 34, item (ii), sub-item (b)) more than half of the total amount of funds procured by such other Company, etc. (limited to the amount inserted into the liability section of the balance sheet) (including the cases where the amount financed by the Company, etc., and the amount financed by a person with a close relationship with the Company, etc. in terms of equity, personnel affairs, funding, technology, business transactions, etc. constitutes more than half of the total amount of the funds procured); or
ホ その他当該会社等が当該他の会社等の意思決定機関を支配していることが推測される事実が存在すること。
(e) that there exists any other fact implying that the Company, etc. controls the Decision-Making Body of such other Company, etc.;
三 会社等が自己の計算において保有している議決権と当該会社等と出資、人事、資金、技術、取引等において緊密な関係があることにより当該会社等の意思と同一の内容の議決権を行使すると認められる者及び当該会社等の意思と同一の内容の議決権を行使することに同意している者が保有している議決権とを合わせて、他の会社等の議決権の過半数を占めている場合(当該会社等が自己の計算において議決権を保有していない場合を含む。)における当該会社等であって、前号ロからホまでに掲げるいずれかの要件に該当するもの
(iii) the Company, etc. which falls under any of the requirements specified in sub-items (b) through (e) of the preceding item, in the case where the voting rights held by the Company, etc. on its own account, and by the voting rights held by any person having a close relationship with the Company, etc. in terms of equity, personnel affairs, funding, technology, business transactions, etc. and therefore being likely to exercise its voting rights in concert with the intention of the Company, etc. and by any person having consented to exercise the voting rights in concert with the intention of the Company, etc. consist a majority of the voting rights in another Company, etc. (including the case where the Company, etc. does not hold voting rights on its own account).
2 特別目的会社(資産の流動化に関する法律(平成十年法律第百五号)第二条第三項に規定する特定目的会社及び事業内容の変更が制限されているこれと同様の事業を営む事業体をいう。以下同じ。)については、適正な価額で譲り受けた資産から生ずる収益を当該特別目的会社が発行する証券の所有者(同条第十二項に規定する特定借入れに係る債権者を含む。)に享受させることを目的として設立されており、当該特別目的会社の事業がその目的に従って適切に遂行されているときは、当該特別目的会社に資産を譲渡した会社等(以下この項において「譲渡会社等」という。)から独立しているものと認め、前項の規定にかかわらず、譲渡会社等の子会社等(令第十五条の十六第三項に規定する子会社等をいう。次条において同じ。)に該当しないものと推定する。
(2) Notwithstanding the provisions of the preceding paragraph, with regard to a Special Purpose Company (meaning a specific purpose defined in Article 2, paragraph (3) of the Act on Securitization of Assets (Act No. 105 of 1998) and an entity conducting the business equivalent thereto with a restriction on the change of business contents; the same applies hereinafter), if the purpose of the incorporation thereof is to make the owners of the securities it issues (including the creditors of the specific borrowing defined in paragraph (12) in that Article) enjoy the profit generating from assets that have been transferred to said Special Purpose Company at a fair value, and if the business thereof is properly implemented in compliance with such purpose, such Special Purpose Company is regarded as being independent of the Companies, etc. which transferred the assets to it (hereinafter referred to as the "Transferor Company, etc." in this paragraph), and is presumed not to fall under the category of a Subsidiary Company, etc. (meaning the Subsidiary Company, etc. specified in Article 15-16, paragraph (3) of the Cabinet Order; the same applies in the following Article) of the Transferor Company, etc.
(関連会社等となる者)
(Persons Falling Under Category of Affiliated Companies, etc.)
第三十四条 令第十五条の十六第四項に規定する内閣府令で定めるものは、次に掲げるものとする。ただし、財務上又は営業上若しくは事業上の関係からみて会社等(当該会社等の子会社等を含む。)が子会社等以外の他の会社等の財務及び営業又は事業の方針の決定に対して重要な影響を与えることができないことが明らかであると認められるときは、この限りでない。
Article 34 The Affiliated Companies, etc. to be specified by Cabinet Office Order as referred to in Article 15-16, paragraph (4) of the Cabinet Order are as follows; provided, however, that this does not apply to the cases where it is clearly found that the Company, etc. (including a Subsidiary Company, etc. of such Company, etc.) is unable to have any material impact on the decision on the financial policies and operational or business policies of another Company etc. except for a Subsidiary Company, etc., in light of its financial, operational or business relationship therewith:
一 会社等(当該会社等の子会社等を含む。)が子会社等以外の他の会社等(破産手続開始の決定、再生手続開始の決定又は更生手続開始の決定を受けた子会社等以外の他の会社等その他これらに準ずる子会社等以外の他の会社等であって、当該会社等がその財務及び営業又は事業の方針の決定に対して重要な影響を与えることができないと認められるものを除く。以下この条において同じ。)の議決権の百分の二十以上を自己の計算において保有している場合における当該子会社等以外の他の会社等
(i) the other Company, etc. except for a Subsidiary Company, etc., in cases where a Company, etc. (including a Subsidiary Company, etc. of such Company, etc.) holds on its own account 20 percent or more of the voting rights in such other Company, etc. except for a Subsidiary Company, etc. (excluding another Company, etc. except for a Subsidiary Company, etc. which has been subject to an order for the commencement of bankruptcy proceedings, order for the commencement of rehabilitation proceedings or order for the commencement of reorganization proceedings, or another Company, etc. except for a Subsidiary Company, etc. equivalent thereto, in which case it is found that the Company, etc. would not be able to give any material impact on the decision on its financial policies and operational or business policies; hereinafter the same applies in this Article);
二 会社等(当該会社等の子会社等を含む。)が子会社等以外の他の会社等の議決権の百分の十五以上、百分の二十未満を自己の計算において保有している場合における当該子会社等以外の他の会社等であって、次に掲げるいずれかの要件に該当するもの
(ii) the other Company, etc. except for a Subsidiary Company, etc. which falls under any of the following requirements, in the case where the Company, etc. (including a Subsidiary Company, etc. of such Company, etc.) holds on its own account 15 percent or more but less than 20 percent of the voting rights in another Company, etc. except for a Subsidiary Company, etc.:
イ 当該会社等の役員若しくは使用人である者又はこれらであった者であって当該会社等がその財務及び営業又は事業の方針の決定に関して影響を与えることができるものが、その取締役若しくは執行役又はこれらに準ずる役職に就任していること。
(a) that any Officer or employee of the Company, etc. or any person formerly in such a position who is able to give an impact on decision of its financial policies and operational or business policies of has assumed the position of its director, executive officer or any other position;
ロ 当該会社等から重要な融資を受けていること。
(b) that any important loan has been granted by the Company, etc.;
ハ 当該会社等から重要な技術の提供を受けていること。
(c) that any important technology is furnished by the Company, etc.;
ニ 当該会社等との間に重要な販売、仕入れその他の営業上又は事業上の取引があること。
(d) that there exists any important operational or business transaction with the Company, etc. in regard to distribution, purchasing or others; or
ホ その他当該会社等がその財務及び営業又は事業の方針の決定に対して重要な影響を与えることができることが推測される事実が存在すること。
(e) that there exists any other fact implying that the Company, etc. is able to have a material impact on the decision on its financial, operational or business policies;
三 会社等(当該会社等の子会社等を含む。)が自己の計算において保有している議決権と当該会社等と出資、人事、資金、技術、取引等において緊密な関係があることにより当該会社等の意思と同一の内容の議決権を行使すると認められる者及び当該会社等の意思と同一の内容の議決権を行使することに同意している者が保有している議決権とを合わせて、子会社等以外の他の会社等の議決権の百分の二十以上を占めている場合(当該会社等が自己の計算において議決権を保有していない場合を含む。)における当該子会社等以外の他の会社等であって、前号イからホまでに掲げるいずれかの要件に該当するもの
(iii) the other Company, etc. except for a Subsidiary Company, etc. which falls under any of the requirements listed in sub-items (a) through (e) of the preceding item, in the case where 20 percent or more of the voting rights in such other Company except for a Subsidiary Company, etc. is constituted by the voting rights held by the Company, etc. (including a Subsidiary Company, etc. of such Company, etc.) on its own account, and by the voting rights held by any person having a close relationship with the Company, etc. in terms of equity, personnel affairs, funding, technology, business transactions, etc. and therefore is likely to exercise the voting rights in concert with the intention of the Company, etc. and by any person having consented to exercise the voting rights in concert with the intention of the Company, etc. (including the case where the Company, etc. does not hold voting rights on its own account).
(議決権の保有の判定)
(Criteria for Determination of Holding of Voting Rights)
第三十五条 令第十五条の十六第五項に規定する議決権の保有の判定に当たって、保有する議決権には、他人(仮設人を含む。第二百三条第一項において同じ。)の名義によって保有する議決権及び次に掲げる場合における株式又は出資(以下この条において「株式等」という。)に係る議決権を含むものとする。
Article 35 (1) For the purpose of the determination of the holding of voting rights as set forth in Article 15-16, paragraph (5) of the Cabinet Order, the voting rights held are to include the voting rights held under the name of any other person (or under a fictitious name; the same applies in Article 203, paragraph (1)), and the voting rights pertaining to shares or equity in any of the following cases (hereinafter referred to as the "Shares, etc." in this Article):
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、会社等の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する場合
(i) the cases where a person has been granted the authority to exercise the voting rights in the Company, etc. or the authority to give instructions as to the exercise thereof, under the provisions of a contract such as a monetary trust agreement or the laws;
二 令第十五条の十に定める特別の関係にある者が会社等の議決権を保有する場合
(ii) the cases where any person in special relationship as set forth in Article 15-10 of the Cabinet Order holds the voting rights in the Company, etc.;
三 社債、株式等の振替に関する法律第百四十七条第一項又は第百四十八条第一項(これらの規定を同法第二百二十八条第一項、第二百三十五条第一項、第二百三十九条第一項及び第二百七十六条(第二号に係る部分に限る。)において準用する場合を含む。)の規定によりその保有する株式等(この項の規定により令第十五条の十六第一項第四号の特定個人株主が保有する議決権に含むものとされる議決権に係る株式等を含む。)を発行者に対抗することができない場合
(iii) in cases where, pursuant to the provisions of Article 147, paragraph (1) or Article 148, paragraph (1) of the Act on Transfer of Corporate Bonds, Shares, etc. (including the cases where these provisions are applied mutatis mutandis pursuant to Article 228, paragraph (1), Article 235, paragraph (1), Article 239, paragraph (1) and Article 276 (limited to the parts pertaining to item (ii)) of that Act), a person may not assert the Shares, etc. held by such person (including the Shares, etc. pertaining to the voting rights which, pursuant to the provisions of this paragraph, are to be included in the voting rights held by the Specified Individual Shareholder set forth in Article 15-16, paragraph (1), item (iv) of the Cabinet Order) against the Issuer thereof;
2 前項の保有する議決権からは、同項の規定にかかわらず、次に掲げる株式等に係る議決権を除くものとする。
(2) Notwithstanding the provisions of the preceding paragraph, the voting rights held as set forth in that paragraph are not to include the voting rights pertaining to the following Shares, etc.:
一 法人の代表権を有する者又は法人の代理権を有する支配人が、当該代表権又は代理権に基づき、議決権を行使することができる権限若しくは議決権の行使について指図を行うことができる権限又は投資を行うのに必要な権限を有する場合における当該法人の所有する株式等
(i) the Shares, etc. owned by a juridical person, in cases where a person having the authority of representation for such juridical person or a manager having the authority to act as agent therefor has been granted the authority to exercise the voting rights or to give instruction as to the exercise thereof or the authority required for making an investment, based on such authority of representation or authority to act as agent;
二 相続人が相続財産として所有する株式等(当該相続人(共同相続の場合を除く。)が単純承認(単純承認をしたものとみなされる場合を含む。)若しくは限定承認をした日までのもの又は当該相続財産の共同相続人が遺産分割を了していないものに限る。)
(ii) the Shares, etc. owned by heirs as their inherited property (limited to the Shares, etc. owned prior to the day when the heir (excluding the case of a joint inheritance) gave an unqualified acceptance (including the cases where an unqualified acceptance is deemed to have been given) or a qualified acceptance, or the Shares, etc. which the coheirs of such inherited property have not yet divided).
第三款 主要株主
Subsection 3 Major Shareholders
(対象議決権保有届出書の提出)
(Submission of Notification of Holding Subject Voting Rights)
第三十六条 法第三十二条第一項の規定により同項の対象議決権保有届出書を提出する者は、別紙様式第八号により作成した対象議決権保有届出書に、当該対象議決権保有届出書の写し及び同条第二項の規定により当該対象議決権保有届出書に添付すべき書類を添付して、居住者(外国為替及び外国貿易法(昭和二十四年法律第二百二十八号)第六条第一項第五号前段に規定する居住者をいう。以下この款において同じ。)にあってはその本店等の所在地(個人である場合にあっては、その住所又は居所)を管轄する財務局長(当該所在地が福岡財務支局の管轄区域内にある場合にあっては、福岡財務支局長)に、非居住者(同法第六条第一項第六号に規定する非居住者をいう。以下この款及び第二百八条において同じ。)にあっては関東財務局長に提出しなければならない。
Article 36 A person who submits a notification of holding Subject Voting Rights as set forth in Article 32, paragraph (1) of the Act pursuant to that paragraph must submit such notification prepared in accordance with Appended Form No. 8, attaching a copy thereof as well as the documents to be attached thereto under paragraph (2) of that Article, to the Director-General of a Local Finance Bureau having jurisdiction over the location of the Head Office, etc. (in the case of an individual, the domicile or residence) (or, in cases where such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the Director-General thereof), in the case of a Resident (meaning the resident set forth in the first sentence of Article 6, paragraph (1), item (v) of the Foreign Exchange and Foreign Trade Act (Act No. 228 of 1949); hereinafter the same applies in this Subsection); or, to the Director-General of the Kanto Finance Bureau, in the case of a Non-Resident (meaning a non-resident as set forth in Article 6, paragraph (1), item (vi) of that Act; hereinafter the same applies in this Subsection and in Article 208).
(対象議決権保有届出書の記載事項等)
(Matters to be Specified in Notification of Holding Subject Voting Rights)
第三十七条 法第三十二条第一項に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 37 (1) The matters to be specified by Cabinet Office Order as referred to in Article 32, paragraph (1) of the Act are as follows:
一 商号、名称又は氏名
(i) the trade name or name;
二 本店又は主たる事務所の所在地(個人にあっては、住所又は居所)
(ii) the location of the head office or principal office (in the case of an individual, the domicile or residence);
三 法人であるときは、代表者の氏名
(iii) in the case of a juridical person, the name of its representative; and
四 保有する議決権の数
(iv) the number of voting rights held.
2 法第三十二条第一項の総株主等の議決権の数は、対象議決権(法第二十九条の四第二項に規定する対象議決権をいう。)を保有することとなった日の総株主等の議決権(法第二十九条の四第二項に規定する総株主等の議決権をいう。以下同じ。)の数とする。ただし、当該総株主等の議決権の数を知ることが困難な場合には、直近の有価証券報告書等(法第二十四条第一項に規定する有価証券報告書、法第二十四条の四の七第一項に規定する四半期報告書又は法第二十四条の五第一項に規定する半期報告書をいう。以下この項において同じ。)に記載された総株主等の議決権の数(有価証券報告書等が提出されていない場合にあっては、商業登記簿その他の書類の記載内容により計算された総株主等の議決権の数)とすることができる。
(2) The number of Voting Rights Held by All the Shareholders, etc. set forth in Article 32, paragraph (1) of the Act is the number of Voting Rights Held by All the Shareholders, etc. (meaning the Voting Rights Held by All the Shareholders, etc. as prescribed in Article 29-4, paragraph (2) of the Act; the same applies hereinafter) as of the day when the person comes to hold the Subject Voting Rights (meaning the Subject Voting Rights prescribed in Article 29-4, paragraph (2) of the Act); provided, however, that if it is difficult to identify the number of Voting Rights Held by All the Shareholders, etc., the number of Voting Rights Held by All the Shareholders, etc. stated in the latest Annual Securities Report, etc. (meaning the Annual Securities Report prescribed in Article 24, paragraph (1) of the Act, the Quarterly Securities Report prescribed in Article 24-4-7, paragraph (1) of the Act or the Semiannual Securities Report prescribed in Article 24-5, paragraph (1) of the Act; hereinafter the same applies in this paragraph) (in the cases where the Annual Securities Reports, etc. have not been submitted, the number of the Voting Rights Held by All the Shareholders, etc. calculated based on the particulars contained in the commercial registry or any other document) may be stated.
(対象議決権保有届出書の添付書類)
(Documents to be Attached to Notification of Holding Subject Voting Rights)
第三十八条 法第三十二条第二項に規定する内閣府令で定める書類は、次に掲げる書類とする。
Article 38 The documents to be specified by Cabinet Office Order as referred to in Article 32, paragraph (2) of the Act are as follows:
一 個人であるときは、住民票の抄本(本籍の記載のあるものに限る。)又はこれに代わる書面
(i) in the case of an individual, an extract copy of the certificate of residence (limited to that containing information on the registered domicile), or any other document in lieu thereof; and
二 法人であるときは、登記事項証明書又はこれに代わる書面
(ii) in the case of a juridical person, its certificate of registered matters, or any other document in lieu thereof.
(特定主要株主となった旨の届出)
(Notification about Becoming a Specified Major Shareholder)
第三十八条の二 法第三十二条第三項の規定により届出を行う金融商品取引業者の特定主要株主(同条第四項に規定する特定主要株主をいう。以下この条及び第三十八条の五において同じ。)以外の主要株主は、別紙様式第八号の二により作成した特定主要株主となった旨の届出書に、当該届出書の写しを添付して、居住者にあってはその本店等の所在地(個人である場合にあっては、その住所又は居所)を管轄する財務局長(当該所在地が福岡財務支局の管轄区域内にある場合にあっては、福岡財務支局長)に、非居住者にあっては関東財務局長に提出しなければならない。
Article 38-2 A Major Shareholder other than a Specified Major Shareholder of a Financial Instruments Business Operator who makes notification pursuant to the provisions of Article 32, paragraph (3) of the Act (meaning the Specified Major Shareholder as defined in paragraph (4) of that Article; hereinafter the same applies in this Article and Article 38-5) must submit a notification about becoming a Specified Major Shareholder, which is prepared pursuant to Appended Form No.8-2, attached with a copy of said notification, to the Director-General of a Local Finance Bureau having jurisdiction over the location of such Major Shareholder's Head Office, etc. (in cases of an individual, the address or residence) in the case of a resident (in cases where said location is in the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the Director-General thereof), or to the Director-General of the Kanto Finance Bureau in the case of a Non-Resident.
(親会社等となる者)
(Persons Which Fall Under Category of Parent Company, etc.)
第三十八条の三 令第十五条の十六の二第二項に規定する内閣府令で定めるものは、次に掲げるもの(財務計算に関する書類の内容に影響を与えないものに係る場合におけるものを除く。)とする。
Article 38-3 The companies provided for by Cabinet Office Order defined in Article 15-16-2, paragraph (2) of the Cabinet Order are the following persons (excluding those in cases related to companies that do not have an impact on the content of the documents related to financial accounting):
一 財務諸表等の用語、様式及び作成方法に関する規則(昭和三十八年大蔵省令第五十九号。以下「財務諸表等規則」という。)第八条第三項に規定する親会社
(i) a Parent Company defined in Article 8, paragraph (3) of the Regulation on the Terminology, Forms, and Preparation Methods of Financial Statements, etc. (Order of the Ministry of Finance No. 59 of 1963; hereinafter referred to as the "Regulation on Financial Statements, etc."); and
二 指定国際会計基準(連結財務諸表の用語、様式及び作成方法に関する規則(昭和五十一年大蔵省令第二十八号)第九十三条に規定する指定国際会計基準をいう。以下同じ。)その他外国における公正妥当な企業会計の基準又は慣行において、財務計算に関する書類の作成上前号に掲げるものと同様に取り扱われているもの
(ii) a company that is treated the same as those listed in the preceding item when preparing documents related to financial accounting under the Designated International Accounting Standards (meaning the Designated International Accounting Standards defined in Article 93 of the Regulation on the Terminology, Forms, and Preparation Methods of Consolidated Financial Statements (Order of the Ministry of Finance No. 28 of 1976; the same applies hereinafter)) and other fair and appropriate standards or practices of corporate accounting standards in a foreign state.
(関連会社等となる者)
(Persons Falling Under Category of Affiliated Companies, etc.)
第三十八条の四 令第十五条の十六の二第三項に規定する内閣府令で定めるものは、次に掲げるもの(財務計算に関する書類の内容に影響を与えないものを除く。)とする。
Article 38-4 The Affiliated Companies, etc. provided for by Cabinet Office Order as defined in Article 15-16-2, paragraph (3) of the Cabinet Order are the following companies (excluding companies that have no impact on the content of documents related to financial accounting):
一 財務諸表等規則第八条第五項に規定する関連会社
(i) Affiliated Companies defined in Article 8, paragraph (5) of the Regulation on Financial Statements, etc.; and
二 指定国際会計基準その他外国における公正妥当な企業会計の基準又は慣行において、財務計算に関する書類の作成上前号に掲げるものと同様に取り扱われているもの
(ii) a company that is treated the same as those listed in the preceding item when preparing documents related to financial accounting under the Designated International Accounting Standards and other fair and appropriate standards or practices of corporate accounting standards in a foreign state.
(特定主要株主以外の主要株主となった旨の届出)
(Notification about Becoming a Major Shareholder Other Than a Specified Major Shareholder)
第三十八条の五 法第三十二条の三第二項の規定により届出を行う金融商品取引業者の特定主要株主は、別紙様式第八号の三により作成した特定主要株主以外の主要株主となった旨の届出書に、当該届出書の写しを添付して、居住者にあってはその本店等の所在地(個人である場合にあっては、その住所又は居所)を管轄する財務局長(当該所在地が福岡財務支局の管轄区域内にある場合にあっては、福岡財務支局長)に、非居住者にあっては関東財務局長に提出しなければならない。
Article 38-5 A Specified Major Shareholder of a Financial Instruments Business Operator who makes notification pursuant to the provisions of Article 32-3, paragraph (2) of the Act must submit a notification about becoming a Major Shareholder other than a Specified Major Shareholder, which is prepared pursuant to Appended Form No.8-3, attached with a copy of said notification, to the Director-General of a Local Finance Bureau having jurisdiction over the location of such Major Shareholder's Head Office, etc. (in cases of an individual, the address or residence) in the case of a resident (in cases where said location is in the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the Director-General thereof), or to the Director-General of the Kanto Finance Bureau in the case of a Non-Resident.
(準用)
(Application Mutatis Mutandis)
第三十九条 第三十六条から第三十八条までの規定は、法第三十二条の四において法第三十二条第一項及び第二項の規定を準用する場合について準用する。
Article 39 The provisions of Articles 36 through 38 apply mutatis mutandis to the case where the provisions of Article 32, paragraphs (1) and (2) of the Act is applied mutatis mutandis pursuant to Article 32-4 of the Act.
第四款 登録金融機関
Subsection 4 Registered Financial Institutions
(特定社債券に準ずる有価証券)
(Securities Equivalent to Specified Corporate Bond Certificates)
第四十条 令第十五条の十七第一項第二号に規定する内閣府令で定めるものは、次に掲げる要件のすべてに該当するものとする。
Article 40 The Securities to be specified by Cabinet Office Order as referred to in Article 15-17, paragraph (1), item (ii) of the Cabinet Order are those which satisfy all of the following requirements:
一 その有価証券の発行を目的として設立され、又は運営される法人に直接又は間接に所有者から譲渡される資産(次号において「譲渡資産」という。)が存在すること。
(i) that there exist assets to be assigned directly or indirectly from the owner to a juridical person incorporated or managed for the purpose of the issuance of such Securities (such assets are hereinafter referred to as the "Assigned Assets" in the following item); and
二 前号に規定する法人がその有価証券を発行し、当該有価証券(当該有価証券の借換えのために発行されるものを含む。)上の債務の履行について譲渡資産の管理、運用又は処分を行うことにより得られる金銭を充てること。
(ii) that the juridical person set forth in the preceding item issues such Securities, and appropriates the money generated from the management, investment or disposition of the Assigned Assets for the performance of the obligations arising from such Securities (including the Securities issued for purpose of the refinancing of such Securities).
(短期社債等に準ずる有価証券)
(Securities Equivalent to Short-term Bonds, etc.)
第四十一条 令第十五条の十七第三項に規定する内閣府令で定めるものは、次に掲げるものとする。
Article 41 The Securities to be specified by Cabinet Office Order as referred to in Article 15-17, paragraph (3) of the Cabinet Order are as follows:
一 振替外債(社債、株式等の振替に関する法律第百二十七条において準用する同法第六十六条(第一号を除く。)に規定する振替外債をいう。以下この号において同じ。)のうち、次に掲げる要件のすべてに該当するもの
(i) Book-entry Transfer Foreign Bonds (meaning a Book-entry Transfer Foreign Bond as prescribed in Article 66 (excluding item (i)) of the Act on Transfer of Corporate Bonds, Shares, etc. as applied mutatis mutandis pursuant to Article 127 of that Act; hereinafter the same applies in this item) which satisfy all of the following requirements:
イ 円建てで発行されるものであること。
(a) that the Book-entry Foreign Bonds are yen-denominated;
ロ 各振替外債の金額が一億円を下回らないこと。
(b) that the amount of each Book-entry Transfer Foreign Bond is not less than 100 million yen;
ハ 元本の償還について、振替外債の総額の払込みのあった日から一年未満の日とする確定期限の定めがあり、かつ、分割払の定めがないこと。
(c) that there are provisions setting forth that the fixed due date for the redemption of principal is the day on which less than one year has elapsed from the day of paying-in of the total amount of the Book-entry Transfer Foreign Bonds, and that there are no provisions setting forth that the redemption of principal be made in installments; and
ニ 利息の支払期限を、ハの元本の償還期限と同じ日とする旨の定めがあること。
(d) that there are provisions setting forth that the due date for the interest payment is the same date as the due date for the redemption of principal as set forth in sub-item (c).
二 前条各号に掲げる要件のすべてに該当するもの(前号に掲げるものを除く。)
(ii) the Securities which satisfy all of the requirements listed in the items of the preceding Article (limited to those specified in the preceding item).
(株券等に準ずる有価証券)
(Securities Equivalent to Share Certificates, etc.)
第四十二条 令第十五条の十八第一号に規定する内閣府令で定める有価証券は、社債券であって、株券(優先出資証券(協同組織金融機関の優先出資に関する法律に規定する優先出資証券をいう。以下同じ。)を含む。)、新株予約権証券又は新株予約権付社債券により償還することができる旨の特約が付されているもの(当該社債券の発行会社以外の会社が発行したこれらの有価証券により償還することができる旨の特約が付されているものに限る。)とする。
Article 42 The Securities to be specified by Cabinet Office Order as referred to in Article 15-18, item (i) of the Cabinet Order are the corporate bond certificate with special provisions setting forth that redemption by means of Share Certificates (including Preferred Equity Securities (meaning the Preferred Equity Securities prescribed in the Act on Preferred Equity Investment by Cooperative Structured Financial Institutions; the same applies hereinafter)), share option certificates or bonds with share options may be made (limited to the corporate bond certificates with special provisions setting forth that redemption may be made by means of the aforementioned Securities issued by a company other than the issuer company of such corporate bond certificates).
(登録の申請)
(Application for Registration)
第四十三条 法第三十三条の二の登録を受けようとする者は、別紙様式第九号により作成した法第三十三条の三第一項の登録申請書に、当該登録申請書の写し及び同条第二項又は第三項の規定により当該登録申請書に添付すべき書類又は電磁的記録を添付して、その者の本店等の所在地を管轄する財務局長(当該所在地が福岡財務支局の管轄区域内にある場合にあっては、福岡財務支局長)に提出しなければならない。
Article 43 A person who intends to obtain the registration under Article 33-2 of the Act must submit to the Director-General of a Local Finance Bureau having jurisdiction over the location of such person's Head Office, etc. (in cases where such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the Director-General thereof) a written application for registration set forth in Article 33-3, paragraph (1) of the Act prepared in accordance with Appended Form No. 9, attaching a copy thereof and the documents or Electromagnetic Record to be attached thereto pursuant to the provisions of paragraph (2) or (3) of that Article.
(登録申請書の記載事項)
(Matters to be Stated in Written Application for Registration)
第四十四条 法第三十三条の三第一項第七号に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 44 The matters to be specified by Cabinet Office Order as referred to in Article 33-3, paragraph (1), item (vii) of the Act are as follows:
一 使用人のうち次のいずれかに該当する者があるときは、その者の氏名
(i) in cases where any of the registration applicant's employees falls under any of the following, the name of such employee:
イ 登録金融機関業務に関し、法令等を遵守させるための指導に関する業務を統括する者及び部長、次長、課長その他いかなる名称を有する者であるかを問わず、当該業務を統括する者の権限を代行し得る地位にある者
(a) a person who supervises the affairs related to instructions for ensuring compliance with the Laws and Regulations in regard to the Registered Financial Institution Business; and a person who holds a position whereby the person may exercise the authority on behalf of the person who supervises such affairs, such as a general manager, vice-chief, section manager or any other person, irrespective of the job title;
ロ 投資助言業務又は投資運用業に関し、助言又は運用(その指図を含む。以下同じ。)を行う部門を統括する者及び金融商品の価値等の分析に基づく投資判断を行う者
(b) a person who supervises the section in charge of carrying out advise and investment (including provision of an instruction thereon; the same applies hereinafter) and a person who makes an Investment Decision based on analysis of the Value of Financial Instruments and other factors, in connection with the Investment Advisory Business or Investment Management Business;
二 法第三十七条の七第一項第五号イに定める業務に係る手続実施基本契約を締結する措置を講ずる当該手続実施基本契約の相手方である指定紛争解決機関の商号又は名称並びに加入する金融商品取引業協会及び対象事業者となる認定投資者保護団体の名称
(ii) the trade name or name of the Designated Dispute Resolution Organization with whom a Basic Contract for Implementation of Dispute Procedures is concluded for the purpose of taking the measures to conclude such Contract for Implementation of Dispute Procedures pertaining to the business specified in Article 37-7, paragraph (1), item (v), sub-item (a) of the Act and the name of the Financial Instruments Firms Association of which the registration applicant is to become a member; and the name of the Certified Investor Protection Organization of which the registration applicant is to become a Target Business Operator;
三 会員等となる金融商品取引所の名称又は商号
(iii) the name or trade name of the Financial Instruments Exchange of which the registration applicant is to become a Member, etc.;
四 法第三十三条の二第一号又は第二号に掲げる行為を業として行う場合には、次に掲げる事項
(iv) in cases where the registration applicant intends to conduct any of the acts specified in Article 33-2, item (i) or (ii) of the Act in the course of trade, the following matters:
イ その旨
(a) to that effect;
ロ 法第三十三条第二項第五号に掲げる取引について、同号に定める行為を業として行う場合には、その旨
(b) in cases where the registration applicant intends to conduct in the course of trade the act specified in Article 33, paragraph (2), item (v) of the Act with regard to the transaction specified in that item, to that effect;
五 金融商品仲介業務を行う場合には、委託金融商品取引業者(金融商品仲介業務の委託を受ける第一種金融商品取引業を行う金融商品取引業者をいう。第二百七十五条第一項第二十七号を除き、以下同じ。)の商号
(v) in cases where the registration applicant intends to conduct any Financial Instruments Intermediary Service Operation, the trade name of the Entrustor Financial Instruments Business Operator (meaning the Financial Instruments Business Operator engaged in a Type I Financial Instruments Business from which the registration applicant accepts the entrustment of a Financial Instruments Intermediary Service Operation; the same applies hereinafter except in Article 275, paragraph (1), item (xxvii));
六 商品投資関連業務を行う場合には、次に掲げる事項
(vi) in cases where the registration applicant intends to conduct a Business Related to Commodities Investment, the following matters:
イ その旨
(a) to that effect;
ロ その行う商品投資関連業務が令第三十七条第一項第二号ロに掲げる物品又は農林水産関係商品等のみに係るものである場合には、その旨
(b) in cases where the Business Related to Commodities Investment to be conducted by the registration applicant only pertains to the goods specified in Article 37, paragraph (1), item (ii), sub-item (b) of the Cabinet Order or the Agriculture, Forestry and Fisheries Goods, etc., to that effect;
ハ その行う商品投資関連業務が令第三十七条第一項第二号ハからホまでに掲げる物品又は経済産業関係商品等のみに係るものである場合には、その旨
(c) in cases where the Business Related to Commodities Investment to be conducted by the registration applicant only pertains to the goods specified in Article 37, paragraph (1), item (ii), sub-items (c) through (e) of the Cabinet Order or the Economy, Trade and Industry Goods, etc., to that effect; and
ニ 競走用馬投資関連業務を行う場合には、その旨
(d) in cases where the registration applicant intends to conduct a Business Related to Investment in Racehorses, to that effect;
七 法第百九十四条の六第二項各号に掲げる行為を業として行う場合には、その旨
(vii) in cases where the registration applicant intends to conduct the acts listed in the items of Article 194-6, paragraph (2) of the Act in the course of trade, to that effect;
八 不動産信託受益権等売買等業務を行う場合には、その旨
(viii) in cases where the registration applicant intends to conduct a Business of Transaction, etc. of Beneficial Interest in Real Property Trust, to that effect; and
九 不動産関連特定投資運用業を行う場合には、その旨
(ix) in cases where the registration applicant intends to conduct a Specified Investment Management Business Related to Real Property, to that effect.
十 本店等の名称及び所在地
(x) the names and locations of its head office, etc.
(業務の内容及び方法)
(Contents and Methods of Business)
第四十五条 法第三十三条の三第二項第二号に規定する内閣府令で定めるものは、次に掲げるものとする。
Article 45 The contents and methods of a business to be specified by Cabinet Office Order as referred to in Article 33-3, paragraph (2), item (ii) of the Act are as follows:
一 業務運営に関する基本原則
(i) the basic principles of business operation;
二 業務執行の方法
(ii) the method of execution of business;
三 業務分掌の方法
(iii) the method of allocation of business operation;
四 業として行う金融商品取引行為の種類
(iv) types of Acts of Financial Instruments Transaction to be conducted in the course of trade;
五 苦情の解決のための体制(法第三十七条の七第一項第五号ロに定める業務に関する苦情処理措置及び紛争解決措置の内容を含む。)
(v) the system for handling complaints (including the contents of the Complaint Processing Measures and Dispute Resolution Measures concerning the business specified in Article 37-7, paragraph (1), item (v), sub-item (b) of the Act);
六 法第三十三条の二各号に掲げる行為を業として行う場合には、次に掲げる事項
(vi) in the cases where the registration applicant intends to conduct any of the acts listed in the items of Article 33-2 of the Act in the course of trade, the following matters:
イ 取り扱う有価証券及び業として行うデリバティブ取引の種類
(a) the types of the Securities to be handled, and the type of the Derivative Transactions to be conducted in the course of trade;
ロ 法第二条第二項第一号又は第二号に掲げる権利を取り扱うときは、当該権利に係る信託財産の種類
(b) in cases where the registration applicant intends to handle the rights specified in Article 2, paragraph (2), item (i) or (ii) of the Act, the type of the trust property pertaining to such rights;
ハ 法第二条第二項第五号又は第六号に掲げる権利を取り扱うときは、当該権利に係る出資対象事業の概要
(c) in cases where the applicant intends to handle the rights specified in Article 2, paragraph (2), item (v) or (vi) of the Act, the outline of the Invested Business pertaining to such rights;
ニ 損失の危険の管理方法
(d) the method of risk management concerning loss;
ホ 法第三十三条第二項第一号に掲げる有価証券について有価証券の元引受けに係る業務を行う場合には、次に掲げる事項
(e) in cases where the registration applicant intends to conduct a business related to the Wholesale Underwriting of Securities with regard to the Securities specified in Article 33, paragraph (2), item (i) of the Act, the following matters:
(1) 当該業務を管理する責任者の氏名及び役職名
1. the name and title of the person responsible for management of the business;
(2) 当該業務を行う部署の名称及び組織の体制
2. the name and organizational structure of the section in charge of the business;
(3) 当該業務に係る損失の危険相当額の算定方法
3. the method of calculating the Value of Loss Risk Equivalent pertaining to the business;
(4) 当該業務に係る損失の危険相当額の限度枠の設定及び適用方法
4. the method of establishment and application of a ceiling on the Value of Loss Risk Equivalent pertaining to the business;
(5) 当該業務に係る損失の危険相当額の算定及び限度枠の管理を行う部署の名称及び体制
5. the name and structure of the section in charge of calculating the Value of Loss Risk Equivalent pertaining to the business and management of the ceiling thereof;
(6) 当該業務の執行並びに損失の危険相当額及びその限度枠の適用状況について、検査を行う頻度、部署の名称及び体制
6. the frequency of inspection of the execution of the business, the Value of Loss Risk Equivalent and the status of the application of the ceiling thereof, and the name and structure of the section in charge of such inspection; and
(7) その他当該業務に係る損失の危険の管理に関する重要な事項
7. any other important matter related to the risk management concerning loss pertaining to the business.
ヘ 法第三十三条第二項第五号に掲げる取引について同号に定める行為に係る業務を行う場合には、次に掲げる事項
(f) in cases where the registration applicant intends to conduct a business in relation to the act specified in Article 33, paragraph (2), item (v) of the Act in connection with the transaction specified in that item, the following matters:
(1) 当該業務を管理する責任者の氏名及び役職名
1. the name and job title of the person responsible for the management of the business;
(2) 当該業務を行う部署の名称及び組織の体制
2. the name and organizational structure of the section in charge of the business;
(3) 当該業務に係る顧客との取引開始基準
3. the Conditions for Starting Transactions with the customers of the business;
(4) 当該業務に係る損失の危険相当額の算定方法及び算定の頻度(取引所金融商品市場における相場、金利、通貨の価格その他の指標の変動により発生し得る損失の危険、取引の相手方の契約不履行その他の理由により発生し得る損失の危険及びこれらの理由以外の理由により発生し得る損失の危険ごとに記載すること。)
4. the method and frequency of calculating the Value of Loss Risk Equivalent pertaining to the business (such information is itemized by the risk of loss which may accrue due to fluctuations in indicators such as quotations on the Financial Instruments Exchange Market, interest rates or value of currencies, the risk of loss which may accrue due to a default in the performance of contracts by counterparties to the transactions and on any other reason, and the risk or loss which may accrue due to reasons other than on the aforementioned reasons).
(5) 当該業務に係る損失の危険相当額の限度枠の設定及び適用方法並びに取引の種類及び顧客の属性別の当該限度枠の設定及び適用方法
5. the method of the establishment and application of a ceiling on the Value of Loss Risk Equivalent pertaining to the business; and the method of the establishment and application for such ceiling classified in accordance with the types of transactions and categories of the customers;
(6) 当該業務に係る損失の危険相当額の算定及び限度枠の管理を行う部署の名称及び体制
6. the name and structure of the section in charge of calculating the Value of Loss Risk Equivalent pertaining to the business and management of the ceiling thereof;
(7) 当該業務に係る損失の危険相当額及びその限度枠の適用状況について、代表権を有する取締役若しくは執行役又は理事(外国法人にあっては、国内における営業所若しくは事務所に駐在する取締役若しくは執行役若しくはこれらに準ずる者又は国内における代表者)に報告する頻度
7. the frequency of reporting the Value of Loss Risk Equivalent pertaining to the business and the status of the application of the ceiling thereof to directors or executive officers with the authority of representation or board members (in the case of a foreign juridical person, its directors, executive officers or any other person holding a position equivalent thereto who is stationed at the business office or other office in Japan, or its representative person in Japan);
(8) 当該業務に係る損失の危険相当額の算定の基礎となる資料の作成及び保存の方法
8. the method of the preparation and preservation of material which would serves as the basis of the calculation of the Value of Loss Risk Equivalent pertaining to the business;
(9) 当該業務の執行並びに損失の危険相当額及びその限度枠の適用状況について、検査を行う頻度、部署の名称及び体制
9. the frequency of inspection of the execution of the business, the Value of Loss Risk Equivalent and the status of the application of the ceiling thereof, and the name and structure of the section in charge of such inspection; and
(10) その他当該業務に係る損失の危険の管理に関する重要な事項
10. any other important matter related to the risk management concerning loss pertaining to the business;
七 投資助言・代理業を行う場合には、第八条第八号イからニまでに掲げる事項
(vii) in cases where the registration applicant intends to conduct an Investment Advisory and Agency Business, the matters listed in Article 8, item (viii), sub-items (a) through (d);
八 投資運用業を行う場合には、第八条第九号イからホまでに掲げる事項
(viii) in cases where the registration applicant intends to conduct an Investment Management Business, the matters listed in Article 8, item (ix), sub-items (a) through (e);
九 有価証券等管理業務を行う場合には、法第四十三条の二又は第四十三条の三の規定による管理の方法
(ix) in cases where the registration applicant intends to conduct a Securities, etc. Management Business, the management methods under Article 43-2 or Article 43-3 of the Act;
十 第七十条の三第一項各号に掲げる措置に関する次に掲げる事項
(x) the following matters concerning the measures listed in the respective items of Article 70-3, paragraph (1):
イ 当該措置の実施の方法
(a) the method for carrying out such measures; and
ロ 当該措置の実施を所掌する組織及びその人員の配置
(b) the organization in charge of carrying out such measures and the positions of personnel therefor;
十一 第百二十三条第一項第十八号ホ及び第二十四号ニに規定する場合において情報を受領し、又は提供するときは、電子情報処理組織の保守及び管理に関する業務並びに第百五十三条第三項に規定する内部管理に関する業務に関する次に掲げる事項
(xi) in cases where the registration applicant intends to receive or supply information in the cases referred to in Article 123, paragraph (1), item (xviii), sub-item (e) and item (xxiv), sub-item (d), the following matters concerning affairs related to the maintenance and management of Electronic Data Processing Systems and concerning affairs related to Internal Management Affairs prescribed in Article 153, paragraph (3):
イ 当該情報を受領し、又は提供する委託金融商品取引業者の商号又は名称
(a) the trade name or name of the Entrustor Financial Instruments Business Operator who receives or supplies said information;
ロ 業務執行の方法
(b) the method for execution of the affairs; and
ハ 当該業務を所掌する組織及びその人員の配置
(c) the organization in charge of such affairs and the positions of the personnel therefor; and
十二 第百五十四条第四号ト、リ及びヌに規定する場合において情報を提供するときは、当該情報を受領する親法人等又は子法人等の商号又は名称
(xii) in cases where the registration applicant intends to supply information in the case referred to in Article 154, item (iv), sub-items (g), (i) and (j), the trade name or name of the Parent Juridical Person, etc. or Subsidiary Juridical Person, etc. who receives such information.
(登録申請書の添付書類)
(Documents to be Attached to Written Application for Registration)
第四十六条 法第三十三条の三第二項第三号に規定する内閣府令で定めるものは、関係会社(親法人等、子法人等又は持株会社をいう。第五号において同じ。)の状況として次に掲げる事項とする。
Article 46 The conditions to be specified by Cabinet Office Order as referred to in Article 33-3, paragraph (2), item (iii) of the Act are the status of the Associated Company (meaning a Parent Juridical Person, etc., a Subsidiary Juridical Person, etc. or a Holding Company; the same applies in item (v)), as listed in the following items:
一 商号又は名称
(i) the trade name or name;
二 資本金の額、基金の総額又は出資の総額
(ii) the amount of stated capital, the total amount of funds or the total amount of investment;
三 本店又は主たる事務所の所在地
(iii) the location of the head office or principal office;
四 事業の種類
(iv) the type of business;
五 登録申請者と関係会社との間の資本関係、人的関係及び最近一年間の業務上の関係
(v) the capital relationship and personal relationship between the registration applicant and the Associated Company, as well as their business relationship in the past year; and
六 親法人等、子法人等又は持株会社のいずれに該当するかの別
(vi) information as to whether the Associated Company falls under the category of Parent Juridical Person, etc., Subsidiary Juridical Person, etc. or the Holding Company.
第四十七条 法第三十三条の三第二項第四号に規定する内閣府令で定める書類は、次に掲げる書類とする。
Article 47 (1) The documents to be specified by Cabinet Office Order as referred to in Article 33-3, paragraph (2), item (iv) of the Act are as follows:
一 業務に係る人的構成及び組織等の業務執行体制を記載した書面
(i) documents stating the registration applicant's business execution system, such as its personnel structure and the organizational structure pertaining to the business;
二 登録金融機関業務を担当する役員及び重要な使用人(第四十四条第一号イ又はロのいずれかに該当する使用人をいう。第五十一条第一項第四号において同じ。)の履歴書(役員が法人であるときは、当該役員の沿革を記載した書面)
(ii) the resumes of the Officers and Major Employees (meaning an employee who falls under any of Article 44, item (i), sub-item (a) or (b); the same applies in Article 51, paragraph (1), item (iv)) in charge of the Registered Financial Institution Business (in cases where the Officer is a juridical person, the document containing the background of such Officer);
三 競走用馬に係る商品投資関連業務を行う場合には、第四十九条第三号に掲げる基準に該当しないことを証する書面
(iii) in cases where the registration applicant intends to conduct a Business Related to Commodities Investment pertaining to racehorses, a document evidencing that the registration applicant does not fall under the criteria specified in Article 49, item (iii);
四 不動産信託受益権等売買等業務を行う場合には、第四十九条第四号に掲げる基準に該当しないことを証する書面
(iv) in cases where the registration applicant intends to conduct a Business of Transaction, etc. of Beneficial Interest in Real Property Trust, a document evidencing that the registration applicant does not fall under the criteria specified in Article 49, item (iv);
五 不動産関連特定投資運用業を行う場合における業務遂行能力に関する事項を記載した書面
(v) a document stating the matters related to the registration applicant's ability to carry out the business, in cases where the registration applicant intends to conduct a Specified Investment Management Business Related to Real Property;
六 貸借対照表に関連する注記及び損益計算書に関連する注記
(vi) the notes in reference to the balance sheet and the notes in reference to the profit and loss statement;
七 法第三十三条第二項第一号に掲げる有価証券について有価証券の元引受けに係る業務を行う場合又は同項第五号に掲げる取引について同号に定める行為に係る業務を行う場合には、次に掲げる書類
(vii) in cases where the registration applicant intends to conduct a business pertaining to the Wholesale Underwriting of Securities in regard to the Securities specified in Article 33, paragraph (2), item (i) of the Act, or the business pertaining to the act specified in item (v) of that paragraph with regard to the transaction specified in that item, the following documents:
イ 当該業務を管理する責任者の履歴書
(a) the resume of the person responsible for the management of the business;
ロ 当該業務に関する社内規則
(b) the internal rules regarding the business;
ハ 当該業務に関し顧客と取引を行う際に使用する契約書類
(c) the contracts to be used in transactions with customers in connection with the business; and
八 金融商品仲介業務を行う場合には、次に掲げる書類
(viii) in cases where the registration applicant intends to conduct a Financial Instruments Intermediary Service Operation, the following documents:
イ 委託金融商品取引業者との間の金融商品仲介業務の委託契約に係る契約書の写し
(a) a copy of the contract for the entrustment of a Financial Instruments Intermediary Service Operation concluded with the Entrustor Financial Instruments Business Operator; and
ロ 金融商品取引業協会に加入していないときは、金融商品仲介業務に関する社内規則
(b) in cases where the registration applicant is not a member of the Financial Instruments Firms Association, its internal rule regarding Financial Instruments Intermediary Service Operation.
2 前項第六号に掲げる書類を添付する場合において、貸借対照表に関連する注記又は損益計算書に関連する注記が電磁的記録で作成されているときは、書類に代えて電磁的記録(第十一条に定めるものに限る。)を添付することができる。
(2) In cases where the registration applicant intends to attach the document specified in item (vi) of the preceding paragraph, if the notes in reference to the balance sheet or the notes in reference to the profit and loss statement have been prepared by means of an Electromagnetic Record, such registration applicant may attach the Electromagnetic Record (limited to the record specified in Article 11) in lieu of documents.
(金融機関登録簿の縦覧)
(Public Inspection of Registry of Registered Financial Institutions)
第四十八条 管轄財務局長等は、その登録をした登録金融機関に係る金融機関登録簿を当該登録金融機関の本店等の所在地を管轄する財務局(当該所在地が福岡財務支局の管轄区域内にある場合にあっては、福岡財務支局)に備え置き、公衆の縦覧に供するものとする。
Article 48 The Competent Director-General of Local Finance Bureau, etc. is to keep the Registry of Registered Financial Institutions containing information on the Registered Financial Institutions to which such person has granted registrations, at the local finance bureau having jurisdiction over the location of the relevant Registered Financial Institution's Head Office, etc. (in cases where such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, at the Fukuoka Local Finance Branch Bureau), and make it available for public inspection.
(人的構成の審査基準)
(Criteria for Examination of Personnel Structure)
第四十九条 法第三十三条の五第一項第三号に規定する登録金融機関業務を適確に遂行するに足りる人的構成を有しない者であるかどうかの審査をするときは、登録申請者が次に掲げるいずれかの基準に該当するかどうかを審査するものとする。
Article 49 When conducting an examination under Article 33-5, paragraph (1), item (iii) of the Act as to whether the registration applicant lacks a personnel structure sufficient to conduct a Registered Financial Institution Business in the appropriate manner, it is to be examined whether the registration applicant falls under any of the following criteria:
一 その行う業務に関する十分な知識及び経験を有する役員又は使用人の確保の状況並びに組織体制に照らし、当該業務を適正に遂行することができないと認められること。
(i) that the registration applicant is found not to be able to conduct the business in a proper manner, considering status of securing Officers or employees having sufficient knowledge and experience for conducting the business as well as its organizational structure;
二 役員又は使用人のうちに、経歴、暴力団員による不当な行為の防止等に関する法律第二条第二号に規定する暴力団又は同条第六号に規定する暴力団員との関係その他の事情に照らして業務の運営に不適切な資質を有する者があることにより、登録金融機関業務の信用を失墜させるおそれがあると認められること。
(ii) that the registration applicant is found to be likely to cause a loss of confidence in a Registered Financial Institution Business, on the grounds of having any Officer or employee with qualities unfit for the operation of the business in light of such Officer's or employee's career, relationship with the Organized Crime Group set forth in Article 2, item (ii) of the Act on Prevention of Illegal Acts by Organized Crime Group Members or relationship with the Organized Crime Group Members set forth item (vi) of that Article or any other circumstances;
三 競走用馬に係る商品投資関連業務を行う場合には、次に掲げる要件に該当しないこと。
(iii) that, in cases where the registration applicant intends to conduct a Business Related to Commodities Investment for racehorses, such registration applicant does not fall under any of the following requirements:
イ あらかじめ日本中央競馬会又は地方競馬全国協会による指導を受けていること。
(a) that the registration applicant has been given guidance in advance by the Japan Racing Association or the National Association of Racing;
ロ その行う商品投資関連業務が第七条第四号ニ(1)に掲げる権利に係る競走用馬投資関連業務又は同号ニ(2)に掲げる権利に係る競走用馬投資関連業務のいずれかのみに該当すること。
(b) that the Business Related to Commodities Investment to be conducted by the registration applicant only falls under either of the Business Related to Investment in Racehorses pertaining to the rights specified in Article 7, item (iv), sub-item (d)1. or the Business Related to Investment in Racehorses pertaining to the rights specified in Article 7, item (iv), sub-item (d)2.;
ハ 第七条第四号ニ(2)に掲げる権利に係る競走用馬投資関連業務を行う場合には、競馬法第十三条第一項(同法第二十二条において準用する場合を含む。)の登録を受けていること。
(c) that, in cases where the registration applicant intends to conduct a Business Related to Investment in Racehorses pertaining to the rights specified in Article 7, item (iv), sub-item (d)2., such registration applicant has obtained a registration under Article 13, paragraph (1) of the Horse Racing Act (including the cases where it is applied mutatis mutandis pursuant to Article 22 of that Act);
四 不動産信託受益権等売買等業務を行う場合には、次に掲げる要件に該当しないこと。
(iv) that, in cases where the registration applicant intends to conduct a Business of Transaction, etc. of Beneficial Interest in Real Property Trust, such registration applicant does not fall under the following requirements:
イ 宅地又は建物の取引に関する専門的知識及び経験を有する役員又は使用人を次に掲げる部門にそれぞれ配置していること。
(a) that the registration applicant has assigned its Officers or employees having expert knowledge of and experience in the transaction related to Building Lots or buildings to each of the following sections:
(1) 不動産信託受益権等売買等業務の統括に係る部門
1. the section in charge of supervising the Business of Transaction, etc. of Beneficial Interest in Real Property Trust;
(2) 内部監査に係る部門
2. the section in charge of the internal audit; and
(3) 法令等を遵守させるための指導に関する業務に係る部門
3. the section in charge of affairs related to instructions for ensuring compliance with the Laws and Regulations, etc.
ロ 不動産信託受益権等売買等業務を行う役員又は使用人が、第八十五条第一項各号に掲げる事項について、顧客の知識、経験、財産の状況及び金融商品取引契約を締結する目的に照らして当該顧客に理解されるために必要な方法及び程度による説明をするために必要な宅地又は建物の取引に関する専門的知識及び経験を有していること。
(b) that the Officers or the employees who are to conduct the Business of Transaction, etc. of Beneficial Interest in Real Property Trust have sufficient expert knowledge of and experience in transactions of Building Lots or buildings which enable them to provide explanations so that a customer is able to understand the matters specified in the items of Article 85, paragraph (1), in a manner and to the extent as may be required in light of the customer's knowledge, experience and conditions of property and in light of the purpose of the conclusion of a Contract for Financial Instruments Transaction.
五 不動産関連特定投資運用業を行う場合には、金融庁長官の定める要件に該当しないこと。
(v) that, in cases where the registration applicant intends to conduct a Specified Investment Management Business Related to Real Property, such registration applicant does not fall under the requirements specified by the Commissioner of the Financial Services Agency.
(有価証券に係る店頭デリバティブ取引についての登録の条件)
(Conditions for Registration of Over-the-Counter Transactions of Derivatives Pertaining to Securities)
第五十条 法第三十三条の五第二項に規定する内閣府令で定める条件は、次に掲げる条件とする。
Article 50 The conditions to be specified by Cabinet Office Order as referred to in Article 33-5, paragraph (2) of the Act are as follows:
一 登録金融機関である銀行、保険会社(保険業法(平成七年法律第百五号)第二条第二項に規定する保険会社をいい、同条第七項に規定する外国保険会社等を含む。以下同じ。)、信用金庫連合会、農林中央金庫又は株式会社商工組合中央金庫にあっては、業として株券関連店頭デリバティブ取引(株券の価格又は株価指数(株券の価格に基づき算出される指数をいう。第四号において同じ。)の変動によりその時価が変動する法第三十三条第二項第五号に掲げる取引をいう。以下この条において同じ。)を行う場合には、当該株券関連店頭デリバティブ取引を特定取引勘定(銀行法施行規則(昭和五十七年大蔵省令第十号)第十三条の六の三第一項、長期信用銀行法施行規則(昭和五十七年大蔵省令第十三号)第十二条の四の三第一項、保険業法施行規則(平成八年大蔵省令第五号)第五十三条の六の二第一項、信用金庫法施行規則(昭和五十七年大蔵省令第十五号)第百七条第一項、農林中央金庫法施行規則(平成十三年内閣府・農林水産省令第十六号)第六十五条第一項又は経済産業省・財務省・内閣府関係株式会社商工組合中央金庫法施行規則(平成二十年内閣府・財務省・経済産業省令第一号)第十八条第一項に規定する特定取引勘定(銀行法(昭和五十六年法律第五十九号)第四十七条第二項に規定する外国銀行支店又は保険業法第二条第七項に規定する外国保険会社等にあっては、特定取引勘定に類する勘定)をいう。以下この条において同じ。)において経理すること。
(i) that, in cases where any bank, insurance company (meaning an insurance company as prescribed in Article 2, paragraph (2) of the Insurance Business Act (Act No. 105 of 1995) and including a Foreign Insurance Company, etc. as prescribed in paragraph (7) of that Article; the same applies hereinafter), federation of shinkin banks, the Norinchukin Bank or the Shoko Chukin Bank Limited, which falls under the category of Registered Financial Institution, conducts Over-the-Counter Transactions of Derivatives Related to Share Certificates (meaning the transaction specified in Article 33, paragraph (2), item (v) of the Act wherein the market value fluctuates depending on the fluctuation of price of share certificates or Stock Price Index (meaning the index calculated based on the price of share certificates; the same applies in item (iv)); hereinafter the same applies in this Article) in the course of trade, the accounting for such Over-the-Counter Transactions of Derivatives Related to Share Certificates is managed in a Specified Transaction Account (meaning the Specified Transaction Account prescribed in Article 13-6-3, paragraph (1) of the Regulation for Enforcement of Banking Act (Order of the Ministry of Finance No. 10 of 1982), Article 12-4-3, paragraph (1) of the Regulation for Enforcement of Long Term Credit Bank Act (Order of the Ministry of Finance No. 13 of 1982), Article 53-6-2, paragraph (1) of the Regulation for Enforcement of Insurance Business Act (Order of the Ministry of Finance No. 5 of 1996), Article 107, paragraph (1) of the Regulation for Enforcement of the Shinkin Bank Act (Order of the Ministry of Finance No. 15 of 1982), Article 65, paragraph (1) of the Regulation for Enforcement of the Norinchukin Bank Act (Order of the Cabinet Office and the Ministry of Agriculture, Forestry and Fisheries No. 16 of 2001) or Article 18, paragraph (1) of the Regulation for Enforcement of The Shoko Chukin Bank Limited Act Relevant to the Ministry of Economy, Trade and Industry, the Ministry of Finance and the Cabinet Office (Order of the Cabinet Office, the Ministry of Finance and the Ministry of Economy, Trade and Industry No. 1 of 2008) (in case of a Branch Office of a Foreign Bank prescribed in Article 47, paragraph (2) of the Banking Act (Act No. 59 of 1981) or a Foreign Insurance Company, etc. prescribed in Article 2, paragraph (7) of the Insurance Business Act, an account similar to a Specified Transaction Account); hereinafter the same applies in this Article);
二 前号に規定する登録金融機関以外の登録金融機関にあっては、業として株券関連店頭デリバティブ取引を行う場合には、当該株券関連店頭デリバティブ取引を特定取引勘定に準ずる勘定において経理すること。
(ii) that, in the case where any Registered Financial Institution other than that specified in the preceding item intends to conduct Over-the-Counter Transactions of Derivatives Related to Share Certificates in the course of trade, the accounting for such Over-the-Counter Transactions of Derivatives Related to Share Certificates is managed in an account equivalent to the Specified Transaction Account;
三 前二号の規定にかかわらず、業として株券関連店頭デリバティブ取引を行う登録金融機関は、次に掲げる条件のすべてに該当する株券関連店頭デリバティブ取引のみを特定取引勘定(前号に規定する登録金融機関にあっては、特定取引勘定に準ずる勘定)以外の勘定において経理することができること。
(iii) that, notwithstanding the provisions of the preceding two items, a Registered Financial Institution which conducts Over-the-Counter Transactions of Derivatives Related to Share Certificates in the course of trade may manage only the Over-the-Counter Transactions of Derivatives Related to Share Certificates which satisfy all of the following requirements in an account other than the Specified Transaction Account (in the case of a Registered Financial Institution as set forth in the preceding item, an account other than an account equivalent to the Specified Transaction Account):
イ 当該株券関連店頭デリバティブ取引の相手方が、法第二十八条第八項第四号に掲げる取引若しくはその媒介、取次ぎ(有価証券等清算取次ぎを除く。)若しくは代理を業として行う金融商品取引業者又は法第三十三条第二項第五号に掲げる取引について同号に定める行為を業として行う登録金融機関であること。
(a) that the counterparty to the Over-the-Counter Transactions of Derivatives Related to Share Certificates is a Financial Instruments Business Operator conducting the transaction specified in Article 28, paragraph (8), item (iv) of the Act, or an intermediary, brokerage (excluding Brokerage for Clearing of Securities, etc.) or agency service therefor in the course of trade, or is a Registered Financial Institution conducting the act specified in Article 33, paragraph (2), item (v) of the Act in regard to the transaction set forth in that item in the course of trade; and
ロ 当該株券関連店頭デリバティブ取引の相手方が、当該株券関連店頭デリバティブ取引を特定取引勘定(金融商品取引業者にあっては特定取引勘定と同種類の勘定、前号に規定する登録金融機関にあっては特定取引勘定に準ずる勘定)において経理すること。
(b) that the counterparty to the Over-the-Counter Transactions of Derivatives Related to Share Certificates manages the accounting for such Over-the-Counter Transactions of Derivatives Related to Share Certificates in the Specified Transaction Account (in the case of a Financial Instruments Business Operator, in the same type of account as the Specified Transaction Account; or in the case of a Registered Financial Institution set forth in the preceding item, in an account equivalent to the Specified Transaction Account);
四 登録金融機関は、業として株券関連店頭デリバティブ取引を行った場合には、当該株券関連店頭デリバティブ取引に係る株券の価格又は株価指数の変動により生じ得る損失を有効に減少させるための取引(特定取引勘定(第二号に規定する登録金融機関にあっては、特定取引勘定に準ずる勘定。以下この号において同じ。)において経理するものに限る。)を直ちに行うことにより、当該株券関連店頭デリバティブ取引に係る株券の価格又は株価指数の変動により生じ得る特定取引勘定における損失の額を可能な限り抑制するものとすること。
(iv) that, in cases where a Registered Financial Institution conducts any Over-the-Counter Transactions of Derivatives Related to Share Certificates in the course of trade, it is to, to the maximum extent possible, mitigate the amount of loss in the Specified Transaction Account which may accrue from a fluctuation in the price of share certificates or Stock Price Index pertaining to such Over-the-Counter Transactions of Derivatives Related to Share Certificates, by immediately effecting a transaction (limited to a transaction managed in the Specified Transaction Account (in case of a Registered Financial Institution prescribed in item (ii), in an account equivalent to the Specified Transaction Account; hereinafter the same applies in this item)) which would effectively reduce the loss arising from a fluctuation in the price of share certificates or Stock Price Index pertaining to such Over-the-Counter Transactions of Derivatives Related to Share Certificates.
(登録申請書記載事項の変更の届出)
(Notification of Change to Matters Stated in Written Application for Registration)
第五十一条 法第三十三条の六第一項の規定により届出を行う登録金融機関は、変更の内容、変更年月日及び変更の理由を記載した届出書に、別紙様式第九号により作成した変更後の内容を記載した書面及び当該書面の写し並びに次の各号に掲げる場合の区分に応じ当該各号に定める書類を添付して、所管金融庁長官等に提出しなければならない。ただし、やむを得ない事由があるときは、当該各号に定める書類は、当該届出書の提出後遅滞なく提出すれば足りる。
Article 51 (1) A Registered Financial Institution which intends to file the notification under Article 33-6, paragraph (1) of the Act must submit to the Commissioner of Financial Services Agency or Other Competent Official a written notification stating the particulars and date of and reasons for the change, attaching a document stating the particulars after such change prepared in accordance with Appended Form No. 9, a copy thereof and a document specified in the following items in accordance the categories of documents respectively set forth therein; provided, however, the documents specified in each of the following items may be submitted without delay after submission of the written notification, if any unavoidable ground exists:
一 法第三十三条の三第一項第一号又は第二号に掲げる事項について変更があった場合 当該変更に係る事項を記載した登記事項証明書又はこれに代わる書面
(i) in cases where there has been any change to the matters specified in Article 33-3, paragraph (1), item (i) or (ii) of the Act: the certificate of the registered matters containing the particulars so changed, or any other document in lieu thereof;
二 法第三十三条の三第一項第三号又は第四号に掲げる事項について変更があった場合 次に掲げる書類
(ii) in cases where there has been any change to the matters specified in Article 33-3, paragraph (1), item (iii) or (iv) of the Act: the following documents:
イ 業務に係る人的構成及び組織等の業務執行体制を記載した書面
(a) the documents stating the Registered Financial Institution's business execution system, such as its personnel structure and the organizational structure pertaining to the business;
ロ 当該変更に係る事項を記載した登記事項証明書又はこれに代わる書面
(b) the certificate of the registered matters containing the particulars so changed, or any other document in lieu thereof; and
ハ 新たに役員(登録金融機関業務を担当する者及び会計参与に限る。)となった者の履歴書(役員が法人であるときは、当該役員の沿革を記載した書面)
(c) the resume of the person who has newly assumed the position of Officer (limited to an Officer in charge of Registered Financial Institution Business and an accounting advisor) (in cases where the Officer is a juridical person, the document containing the background of said Officer);
三 法第三十三条の三第一項第五号に掲げる事項について変更があった場合(営業所又は事務所の廃止をした場合に限る。) 当該変更に伴う顧客勘定の処理の内容を記載した書面
(iii) in cases where there has been any change to the matters specified in Article 33-3, paragraph (1), item (v) of the Act (limited to the cases where the business office or any other office was abolished): a document containing the details of the treatment of a customer's account incidental to such change;
四 第四十四条第一号に掲げる事項について変更があった場合 新たに重要な使用人となった者の履歴書
(iv) in cases where there is a change to the matters specified in Article 44, item (i): the resume of the person who newly assumes the position of a Major Employee;
五 第四十四条第五号に掲げる事項について変更があった場合(新たに金融商品仲介業務の委託を受けることとなった場合に限る。) 次に掲げる書類
(v) in cases where there is a change to the matters specified in Article 44, item (v) (limited to the cases where the Registered Financial Institution has come to newly accept the entrustment of a Financial Instruments Intermediary Service Operation): the following documents:
イ 当該金融商品仲介業務の委託契約に係る契約書の写し
(a) a copy of the contract for the entrustment of such Financial Instruments Intermediary Service Operation; and
ロ 金融商品取引業協会に加入していないときは、金融商品仲介業務に関する社内規則
(b) in cases where the Registered Financial Institution is not a member of a Financial Instruments Firms Association, the internal rule regarding Financial Instruments Intermediary Service Operation;
六 第四十四条第六号ニに掲げる事項について変更があった場合(競走用馬投資関連業務を行うこととなった場合に限る。) 第四十九条第三号に掲げる基準に該当しないことを証する書面
(vi) in cases where there is a change to the matters specified in Article 44, item (vi), sub-item (d) (limited to the cases where the Registered Financial Institution has come to conduct a Business Related to Investment in Racehorses): a document evidencing that the Registered Financial Institution does not fall under the criteria specified in Article 49, item (iii);
七 第四十四条第八号に掲げる事項について変更があった場合(不動産信託受益権等売買等業務を行うこととなった場合に限る。) 第四十九条第四号に掲げる基準に該当しないことを証する書面
(vii) in cases where there is a change to the matters specified in Article 44, item (viii) (limited to the cases where the Registered Financial Institution has come to conduct a Business of Transaction, etc. of Beneficial Interest in Real Property Trust): a document evidencing that the Registered Financial Institution does not fall under the criteria specified in Article 49, item (iv); and
八 第四十四条第九号に掲げる事項について変更があった場合(不動産関連特定投資運用業を行うこととなった場合に限る。) 不動産関連特定投資運用業を行う場合における業務遂行能力に関する事項を記載した書面
(viii) in cases where there is a change to the matters specified in Article 44, item (ix) (limited to the cases where the Registered Financial Institution has come to conduct a Specified Investment Management Business Related to Real Property): a document containing matters related to its ability to execute the business when a Specified Investment Management Business Related to Real Property is to be conducted.
2 所管金融庁長官等は、登録金融機関から管轄財務局長等の管轄する区域を超えて本店等の所在地を変更したことの届出を受理した場合には、届出書及び金融機関登録簿のうち当該登録金融機関に係る部分その他の書類を、当該届出に係る変更後の本店等の所在地を管轄する財務局長(当該所在地が福岡財務支局の管轄区域内にある場合にあっては、福岡財務支局長)に送付し、又は送付させるものとする。
(2) In cases where the Commissioner of Financial Services Agency or Other Competent Official has received from any Registered Financial Institution a notification on the relocation of the Head Office, etc. filed beyond the jurisdictional district of the Competent Finance Bureau Commissioner, etc., the commissioner or official is to send or instruct to send the written notification, the portion of the registry of Registered Financial Institutions pertaining to the relevant Registered Financial Institution and any other documents to the Director-General of a Local Finance Bureau having jurisdiction over the relocated address of the Head Office, etc. notified thereunder (in cases where such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the Director-General thereof).
3 前項の規定による書類の送付を受けた財務局長又は福岡財務支局長は、当該登録金融機関に係る事項を金融機関登録簿に登録するものとする。
(3) The Director-General of a Local Finance Bureau or the Director-General of the Fukuoka Local Finance Branch Bureau who has received the documents sent pursuant to the provisions of the preceding paragraph is to register the matters related to the Registered Financial Institution in the registry of Registered Financial Institutions.
(業務の内容又は方法の変更の届出)
(Notification on Change of Contents and Method of Business)
第五十二条 法第三十三条の六第三項の規定により届出を行う登録金融機関は、変更の内容、変更年月日及び変更の理由を記載した届出書に、第四十五条各号に掲げるもの(内容に変更のあるものに限る。)を記載した書類を添付して、所管金融庁長官等に提出しなければならない。
Article 52 A Registered Financial Institution which intends to file the notification under Article 33-6, paragraph (3) of the Act must submit to the Commissioner of Financial Services Agency or Other Competent Official a written notification stating the particulars and date of and reasons for the change, attaching a document stating the matters specified in the items of Article 45 (limited to those matters whose details have been changed).
第五款 特定投資家
Subsection 5 Professional Investors
(契約の種類)
(Kind of Contract)
第五十三条 法第三十四条に規定する内閣府令で定めるものは、次に掲げるものとする。
Article 53 The kind of contract to be specified by Cabinet Office Order as referred to in Article 34 of the Act is as follows:
一 有価証券についての法第二条第八項第一号から第十号までに掲げる行為、当該行為に関して行う同項第十六号に掲げる行為又は同項第十七号に掲げる行為を行うことを内容とする契約
(i) a contract for conducting the acts listed in Article 2, paragraph (8), items (i) through (x) of the Act, the acts specified in item (xvi) of that paragraph to be conducted with regard to any of such acts, or the act specified in item (xvii) of that paragraph, in relation to the Securities;
二 デリバティブ取引についての法第二条第八項第一号から第五号までに掲げる行為、当該行為に関して行う同項第十六号に掲げる行為又は同項第十七号に掲げる行為を行うことを内容とする契約
(ii) a contract for conducting the acts listed in Article 2, paragraph (8), items (i) through (v) of the Act, the acts specified in item (xvi) of that paragraph to be conducted with regard to any of such acts, or the act specified in item (xvii) of that paragraph, in relation to Derivative Transactions;
三 投資顧問契約及び法第二条第八項第十三号に掲げる行為(投資顧問契約に係るものに限る。)を行うことを内容とする契約
(iii) an Investment Advisory Contract, and a contract for conducting the act specified in Article 2, paragraph (8), item (xiii) of the Act (limited to the act pertaining to an Investment Advisory Contract); and
四 投資一任契約及び法第二条第八項第十三号に掲げる行為(投資一任契約に係るものに限る。)を行うことを内容とする契約
(iv) a Discretionary Investment Contract, and a contract for conducting the act specified in Article 2, paragraph (8), item (xiii) of the Act (limited to the act pertaining to a Discretionary Investment Contract).
第五十四条 削除
Article 54 deleted
(申出をした特定投資家に交付する書面の記載事項)
(Matters to be Stated in Document to be Delivered to Professional Investor Who Made Request)
第五十五条 法第三十四条の二第三項第四号に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 55 The matters to be specified by Cabinet Office Order as referred to in Article 34-2, paragraph (3), item (iv) of the Act are as follows:
一 申出者(法第三十四条の二第三項に規定する申出者をいう。次号において同じ。)は、同条第二項の規定による承諾を行った金融商品取引業者等のみから対象契約(同項に規定する対象契約をいう。同号及び第五十七条の二において同じ。)に関して特定投資家以外の顧客として取り扱われることになる旨
(i) that the Applicant (meaning an Applicant prescribed in Article 34-2, paragraph (3) of the Act; the same applies in the following item) will be treated as a customer other than a Professional Investor with regard to the Subject Contract (meaning a Subject Contract prescribed in that paragraph; the same applies in that item and Article 57-2), only by the Financial Instruments Business Operator, etc. which has accepted the request pursuant to the provisions of paragraph (2) of that Article;
二 金融商品取引業者等が対象契約に基づき申出者を代理して他の金融商品取引業者等との間で承諾日(法第三十四条の二第三項第一号に規定する承諾日をいう。)以後に締結する金融商品取引契約については、当該他の金融商品取引業者等からも特定投資家以外の顧客として取り扱われる旨
(ii) that, with regard to any Contract for Financial Instruments Transaction which the Financial Instruments Business Operator, etc., on behalf of the Applicant, concludes with another Financial Instruments Business Operator, etc. on or after the Date of Acceptance (meaning the Date of Acceptance prescribed in Article 34-2, paragraph (3), item (i) of the Act) pursuant to the Subject Contract, such Applicant is also treated as a customer other than a Professional Investor by such other Financial Instruments Business Operator, etc.; and
(情報通信の技術を利用した提供)
(Provision by Use of Information and Communications Technology)
第五十六条 法第三十四条の二第四項(法第三十四条の三第十二項(法第三十四条の四第六項において準用する場合を含む。)、第三十四条の四第三項、第三十七条の三第二項、第三十七条の四第二項、第三十七条の五第二項、第四十条の二第六項、第四十条の五第三項及び第四十二条の七第二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。)に規定する内閣府令で定めるものは、次に掲げるもの(以下「電磁的方法」という。)とする。
Article 56 (1) The methods to be specified by Cabinet Office Order as referred to in Article 34-2, paragraph (4) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 34-3, paragraph (12) (including the cases where it is applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act), Article 34-4, paragraph (3), Article 37-3, paragraph (2), Article 37-4, paragraph (2), Article 37-5, paragraph (2), Article 40-2, paragraph (6), Article 40-5, paragraph (3) and Article 42-7, paragraph (2) of the Act; hereinafter the same applies in this Article) are the following methods (hereinafter referred to as the "Electromagnetic Means"):
一 電子情報処理組織を使用する方法のうち次に掲げるもの
(i) the methods using an Electronic Data Processing System, as set forth by the following items:
イ 金融商品取引業者等(法第三十四条の二第四項に規定する事項の提供を行う金融商品取引業者等との契約によりファイルを自己の管理する電子計算機に備え置き、これを当該事項を提供する相手方(以下この条において「顧客」という。)又は当該金融商品取引業者等の用に供する者を含む。以下この条において同じ。)の使用に係る電子計算機と顧客等(顧客及び顧客との契約により顧客ファイル(専ら顧客の用に供せられるファイルをいう。以下この条において同じ。)を自己の管理する電子計算機に備え置く者をいう。以下この条において同じ。)の使用に係る電子計算機とを接続する電気通信回線を通じて書面に記載すべき事項(以下この条において「記載事項」という。)を送信し、顧客等の使用に係る電子計算機に備えられた顧客ファイルに記録する方法(同項に規定する方法による提供を受ける旨の承諾又は受けない旨の申出をする場合にあっては、同項に規定する事項の提供を行う金融商品取引業者等の使用に係る電子計算機に備えられたファイルにその旨を記録する方法)
(a) to transmit information to be contained in a document (hereinafter referred to as the "Information" in this Article) via telecommunications line connecting the computers used by a Financial Instruments Business Operator, etc. (including a person who, pursuant to the contract with a Financial Instruments Business Operator, etc. providing information set forth in Article 34-2, paragraph (4) of the Act, stores files onto a computer managed by such person, and make such files available for the party to which such information is provided (hereinafter referred to as the "Customers" in this Article) or for such Financial Instruments Business Operator, etc.; hereinafter the same applies in this Article) and the computers used by the Customers, etc. (meaning a Customer, and a person who, pursuant to a contract with the Customer, stores the Customer File (meaning the file solely made available to the Customers; hereinafter the same applies in this Article) onto a computer managed by such person; hereinafter the same applies in this Article), and to record the Information into the Customer File stored onto the computer used by the Customers, etc. (in cases where the Applicant acknowledges the provision of information by the method specified in Article 34-2, paragraph (4) of the Act or where the Applicant notifies to the effect that the Applicant will not receive information by such means, the method by which to record such acknowledgment or notice into a file stored on the computer used by the Financial Instruments Business Operator, etc. which provides the information set forth in that paragraph);
ロ 金融商品取引業者等の使用に係る電子計算機に備えられたファイルに記録された記載事項を電気通信回線を通じて顧客の閲覧に供し、顧客等の使用に係る電子計算機に備えられた当該顧客の顧客ファイルに当該記載事項を記録する方法(法第三十四条の二第四項に規定する方法による提供を受ける旨の承諾又は受けない旨の申出をする場合にあっては、金融商品取引業者等の使用に係る電子計算機に備えられたファイルにその旨を記録する方法)
(b) to make the Information recorded into the files stored on a computer used by a Financial Instruments Business Operator, etc. available for a Customer's inspection via telecommunications line, and to record the Information into the Customer File of the relevant Customer stored on the computer used by such Customer, etc. (or, in cases where the Applicant acknowledges the provision of information by the method specified in Article 34-2, paragraph (4) of the Act or where the Applicant notifies to the effect that the Applicant will not receive information by such means, to record such acknowledgment or notice into a file stored on the computer used by the Financial Instruments Business Operator, etc.);
ハ 金融商品取引業者等の使用に係る電子計算機に備えられた顧客ファイルに記録された記載事項を電気通信回線を通じて顧客の閲覧に供する方法
(c) to make the Information recorded into the Customer Files stored on the computer used by a Financial Instruments Business Operator, etc. available for a Customer's inspection via telecommunications line; and
ニ 閲覧ファイル(金融商品取引業者等の使用に係る電子計算機に備えられたファイルであって、同時に複数の顧客の閲覧に供するため記載事項を記録させるファイルをいう。以下この条において同じ。)に記録された記載事項を電気通信回線を通じて顧客の閲覧に供する方法
(d) to make the Information recorded into the Inspection File (meaning a file stored on a computer used by a Financial Instruments Business Operator, etc. with which to record the Information for the purpose of making them available for public inspection by multiple Customers at the same time; hereinafter the same applies in this Article) available for a Customer's inspection via telecommunications line;
二 磁気ディスク、シー・ディー・ロムその他これらに準ずる方法により一定の事項を確実に記録しておくことができる物をもって調製するファイルに記載事項を記録したものを交付する方法
(ii) to deliver the file storing the Information, which is prepared by the use of any object which can securely record certain information by means of magnetic disks, CD-ROMs or any other means equivalent thereto.
2 前項各号に掲げる方法は、次に掲げる基準に適合するものでなければならない。
(2) The methods listed in the items of the preceding paragraph must conform to the following criteria:
一 顧客が顧客ファイル又は閲覧ファイルへの記録を出力することにより書面を作成できるものであること。
(i) that the method enables a Customer to prepare a document by way of outputting information recorded on the Customer File or Inspection File;
二 前項第一号イ、ハ又はニに掲げる方法(顧客の使用に係る電子計算機に備えられた顧客ファイルに記載事項を記録する方法を除く。)にあっては、記載事項を顧客ファイル又は閲覧ファイルに記録する旨又は記録した旨を顧客に対し通知するものであること。ただし、顧客が当該記載事項を閲覧していたことを確認したときはこの限りでない。
(ii) in the case of the method listed in sub-item (a), (c) or (d) of item (i) of the preceding paragraph (excluding the method to record the Information into the Customer File stored on a computer used by a Customer), that the Customer is informed of the fact that the Information will be or have been recorded into the Customer File or the Inspection File; provided, however, that this does not apply to the cases where it is confirmed that the Customer has inspected the Information;
三 前項第一号ハ又はニに掲げる方法にあっては、記載事項に掲げられた取引を最後に行った日以後五年間(当該期間が終了する日までの間に当該記載事項に係る苦情の申出があったときは、当該期間が終了する日又は当該苦情が解決した日のいずれか遅い日までの間)次に掲げる事項を消去し又は改変することができないものであること。ただし、閲覧に供している記載事項を書面により交付する場合、顧客の承諾(令第十五条の二十二に規定する方法による承諾をいう。)を得て前項第一号イ、ロ若しくは同項第二号に掲げる方法により提供する場合又は顧客による当該記載事項に係る消去の指図がある場合は、当該記載事項を消去することができる。
(iii) in the case of the method listed in sub-item (c) or (d) of item (i) of the preceding paragraph, that the following matters cannot be deleted or altered for the period until five years have elapsed from the day when the transaction referred to in the Information was finally conducted (if any complaint related to the Information has been raised within the period before the expiration date of such period, for the period until either the expiration date of such period or the day when such complaint was settled, whichever comes later); provided, however, that the Information may be deleted in cases where the Information which have been made available for inspection are delivered in writing, where such Information are provided by the methods listed in sub-item (a) or (b) of item (i) of the preceding paragraph or in item (ii) of the preceding paragraph with the Customer's consent (meaning consent given by the method specified in Article 15-22 of the Cabinet Order), or where the Customer has instructed that the Information should be deleted:
イ 前項第一号ハに掲げる方法については、顧客ファイルに記録された記載事項
(a) in the case of the method specified in sub-item (c) of item (i) of the preceding paragraph, the Information recorded in the Customer File; and
ロ 前項第一号ニに掲げる方法については、閲覧ファイルに記録された記載事項
(b) in the case of the method specified in sub-item (d) of item (i) of the preceding paragraph, the Information recorded in the Inspection File;
四 前項第一号ニに掲げる方法にあっては、次に掲げる基準に適合するものであること。
(iv) in the case of the method specified in sub-item (d) of item (i) of the preceding paragraph, that it conforms to the following requirements:
イ 顧客が閲覧ファイルを閲覧するために必要な情報を顧客ファイルに記録するものであること。
(a) that information necessary for a Customer's inspection of the Inspection File is recorded into the Customer File; and
ロ 前号に規定する期間を経過するまでの間において、イの規定により顧客が閲覧ファイルを閲覧するために必要な情報を記録した顧客ファイルと当該閲覧ファイルとを電気通信回線を通じて接続可能な状態を維持させること。ただし、閲覧の提供を受けた顧客が接続可能な状態を維持させることについて不要である旨通知した場合は、この限りでない。
(b) that, before the elapse of the period set forth in the preceding item, the Customer File recording the information necessary for the Customer's inspection of the Inspection File as set forth in sub-item (a) and such Inspection File are kept connectible via telecommunications line; provided, however, that this does not apply to the cases where the Customer who has been given access to the files has notified to the effect that such connectibility need not be maintained.
3 第一項第一号の「電子情報処理組織」とは、金融商品取引業者等の使用に係る電子計算機と、顧客ファイルを備えた顧客等又は金融商品取引業者等の使用に係る電子計算機とを電気通信回線で接続した電子情報処理組織をいう。
(3) The "Electronic data processing system" as used in item (i) of paragraph (1) means an electronic data processing system connecting a computer used by a Financial Instruments Business Operator, etc. and a computer storing Customer Files used by a Customer, etc. or Financial Instruments Business Operator, etc., via telecommunications line.
(電磁的方法の種類及び内容)
(Types and Contents of Electromagnetic Means)
第五十七条 令第十五条の二十二第一項及び第十五条の二十三第一項の規定により示すべき方法の種類及び内容は、次に掲げる事項とする。
Article 57 The types and contents of the methods to be specified as set forth in Article 15-22, paragraph (1) and Article 15-23, paragraph (1) of the Cabinet Order are as follows:
一 前条第一項各号又は第五十七条の三第一項各号に掲げる方法のうち金融商品取引業者等が使用するもの
(i) the methods listed in the items of paragraph (1) of the preceding Article or the items of Article 57-3, paragraph (1), which are to be used by the Financial Instruments Business Operator, etc.; and
二 ファイルへの記録の方式
(ii) the format for recording information into a file.
(特定投資家への復帰申出をした者が同意を行う書面の記載事項)
(Matters to Be Stated in Document Indicating Consent by Person That Made Request for Reinstatement as Professional Investor)
第五十七条の二 法第三十四条の二第十一項に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 57-2 The matters to be specified by Cabinet Office Order as referred to in Article 34-2, paragraph (11) of the Act are as follows:
一 法第三十四条の二第十一項の規定による承諾をする日(以下この条において「承諾日」という。)
(i) the day when the acceptance under the provisions of Article 34-2, paragraph (11) of the Act is to be given (hereinafter referred to as the "Date of Acceptance" in this Article);
二 対象契約の属する契約の種類(法第三十四条に規定する契約の種類をいう。以下この款において同じ。)
(ii) the Kind of Contract to which the Subject Contract belongs (meaning the Kind of Contract prescribed in Article 34 of the Act; hereinafter the same applies in this Subsection);
三 復帰申出者(法第三十四条の二第十一項に規定する復帰申出者をいう。以下この条において同じ。)が次に掲げる事項を理解している旨
(iii) a statement to the effect that the Applicant for Reinstatement (meaning an Applicant for Reinstatement prescribed in Article 34-2, paragraph (11) of the Act; hereinafter the same applies in this Article) understands the following matters:
イ 法第四十五条各号に掲げる規定は、対象契約に関して復帰申出者が当該各号に定める者である場合(同条ただし書に規定する場合を除く。)には適用されない旨
(a) that the provisions listed in the items of Article 45 of the Act do not apply where the Applicant for Reinstatement is any of the persons specified respectively in those items with regard to the Subject Contract (excluding the cases specified in the proviso to that Article);
ロ 対象契約に関して特定投資家として取り扱われることがその知識、経験及び財産の状況に照らして適当ではない者が特定投資家として取り扱われる場合には、当該者の保護に欠けることとなるおそれがある旨
(b) that if a person who, in light of the knowledge, experience and state of property of the person, is deemed inappropriate to be treated as a Professional Investor with regard to the Subject Contracts is treated as a Professional Investor, the protection of such person might be impaired;
四 承諾日以後に対象契約の締結の勧誘又は締結をする場合において、復帰申出者を再び特定投資家として取り扱う旨
(iv) that the Applicant for Reinstatement will be treated as a Professional Investor again when soliciting the conclusion of, or concluding, the Subject Contract on or after the Date of Acceptance;
五 金融商品取引業者等が対象契約に基づき復帰申出者を代理して他の金融商品取引業者等との間で承諾日以後に締結する金融商品取引契約については、当該他の金融商品取引業者等からも再び特定投資家として取り扱われる旨
(v) that, with regard to any Contract for Financial Instruments Transaction which the Financial Instruments Business Operator, etc., on behalf of the Applicant for Reinstatement, concludes with another Financial Business Operators, etc. on or after the Date of Acceptance pursuant to the Subject Contract, the Applicant for Reinstatement will also be treated as a Professional Investor again by such other Financial Instruments Business Operators, etc.; and
六 復帰申出者は、承諾日以後いつでも、法第三十四条の二第一項の規定による申出ができる旨
(vi) that the Applicant for Reinstatement may make a request under the provisions of Article 34-2, paragraph (1) of the Act at any time on or after the Date of Acceptance.
(情報通信の技術を利用した同意の取得)
(Obtaining Consent Using Information and Communication Technology)
第五十七条の三 法第三十四条の二第十二項(法第三十四条の三第三項(法第三十四条の四第六項において準用する場合を含む。)及び第四十三条の四第二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。)に規定する内閣府令で定めるものは、次に掲げるものとする。
Article 57-3 (1) The methods to be specified by Cabinet Office Order as referred to in Article 34-2, paragraph (12) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 34-3, paragraph (3) (including the cases where it is applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act) and Article 43-4, paragraph (2) of the Act; hereinafter the same applies in this Article) are as follows:
一 電子情報処理組織を使用する方法のうち次に掲げるもの
(i) the methods using an Electronic Data Processing System, as listed in the following:
イ 金融商品取引業者等の使用に係る電子計算機と法第三十四条の二第十二項の規定により同意を得ようとする相手方(以下この条において「顧客」という。)の使用に係る電子計算機とを接続する電気通信回線を通じて送信し、受信者の使用に係る電子計算機に備えられたファイルに記録する方法
(a) to transmit information via telecommunications line connecting a computer used by a Financial Instruments Business Operator, etc. and that used by the other party from whom it seeks consent pursuant to Article 34-2, paragraph (12) of the Act (hereinafter referred to as the "Customer" in this Article), and to record such information in a file stored on a computer used by the recipient; and
ロ 金融商品取引業者等の使用に係る電子計算機に備えられたファイルに記録された顧客の同意に関する事項を電気通信回線を通じて当該顧客の閲覧に供し、当該金融商品取引業者等の使用に係る電子計算機に備えられたファイルに当該顧客の同意に関する事項を記録する方法
(b) to make information related to the Customer's consent recorded into a file stored on a computer used by a Financial Instruments Business Operator, etc. available for the Customer's inspection via telecommunications line, and to record information related to the Customer's consent into a file stored on a computer used by such Financial Instruments Business Operator, etc.;
二 磁気ディスク、シー・ディー・ロムその他これらに準ずる方法により一定の事項を確実に記録しておくことができる物をもって調製するファイルに同意に関する事項を記録したものを得る方法
(ii) to obtain the file storing the information related to a consent, which is prepared by the use of any object which can securely record certain information by means of magnetic disks, CD-ROMs or any other means equivalent thereto.
2 前項各号に掲げる方法は、金融商品取引業者等がファイルへの記録を出力することにより書面を作成することができるものでなければならない。
(2) The methods listed in the items of the preceding paragraph must be the methods enabling a Financial Instruments Business Operator, etc. to prepare a document by way of outputting the information recorded on the files.
3 第一項第一号の「電子情報処理組織」とは、金融商品取引業者等の使用に係る電子計算機と、顧客の使用に係る電子計算機とを電気通信回線で接続した電子情報処理組織をいう。
(3) The "Electronic Data Processing System" as used in item (i) of paragraph (1) means an electronic data processing system connecting a computer used by a Financial Instruments Business Operator, etc. and a computer used by a Customer via telecommunications line.
(特定投資家以外の顧客である法人が特定投資家とみなされる場合の期限日)
(Expiration Date in Cases Where Juridical Person Which is Customer Other Than Professional Investor is Deemed to be Professional Investor)
第五十八条 法第三十四条の三第二項に規定する内閣府令で定める場合は、金融商品取引業者等が一定の日を定め、次に掲げる事項を当該金融商品取引業者等の営業所又は事務所の公衆の見やすい場所への掲示その他の適切な方法により公表している場合とする。
Article 58 (1) The case to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (2) of the Act is the case where a Financial Instruments Business Operator, etc. has designated a certain date and publicized the following matters by posting them at a place easily accessible to the public at its business office or any other office, or by any other appropriate means:
一 当該日
(i) such designated date; and
二 次項に規定する日を期限日(法第三十四条の三第二項第二号に規定する期限日をいう。次条第二項及び第六十条において同じ。)とする旨
(ii) to the effect that the day set forth in the following paragraph is the Expiration Date (meaning the Expiration Date set forth in Article 34-3, paragraph (2), item (ii) of the Act; the same applies in paragraph (2) of the following Article and Article 60).
2 法第三十四条の三第二項に規定する内閣府令で定める日は、金融商品取引業者等が前項の規定により定めた日であって承諾日(同条第二項第一号に規定する承諾日をいう。次条第二項第五号及び第六十条において同じ。)から起算して一年以内の日のうち最も遅い日とする。
(2) The day to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (2) of the Act is the day designated by the Financial Instruments Business Operator, etc. under the preceding paragraph, which is the latest of the days within one year from the Date of Acceptance (meaning the Date of Acceptance prescribed in item (i), paragraph (2) of that Article; the same applies in item (v), paragraph (2) of the following Article and Article 60).
(申出をした特定投資家以外の顧客である法人が同意を行う書面の記載事項)
(Matters to be Specified in Document Indicating Consent by Juridical Person Which is Customer Other Than Professional Investors that Made Request)
第五十九条 法第三十四条の三第二項第四号イに規定する内閣府令で定める事項は、法第四十五条各号に掲げる規定は、対象契約(同項第二号に規定する対象契約をいう。次項及び第六十条の二において同じ。)に関して申出者(法第三十四条の三第二項に規定する申出者をいう。次項において同じ。)が当該各号に定める者である場合(法第四十五条ただし書に規定する場合を除く。)には適用されない旨とする。
Article 59 (1) The matters to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (2), item (iv), sub-item (a) of the Act are the fact that the provisions listed in the items of Article 45 of the Act do not apply to the cases where the Applicant (meaning the Applicant prescribed in Article 34-3, paragraph (2) of the Act; the same applies in the following paragraph) falls under any of the persons respectively set forth in such items with regard to the Subject Contract (meaning the Subject Contract prescribed in Article 34-3, paragraph (2), item (ii) of the Act; the same applies in the following paragraph and Article 60-2) (excluding the case specified in the proviso to Article 45 of the Act).
2 法第三十四条の三第二項第七号に規定する内閣府令で定める事項は、次に掲げる事項とする。
(2) The matters to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (2), item (vii) of the Act are as follows:
一 期限日以前に締結した対象契約(投資顧問契約及び投資一任契約を除く。)に関して法令の規定又は契約の定めに基づいて行う行為については、期限日後に行うものであっても、申出者を特定投資家として取り扱う旨
(i) that, in regard to any act related to the Subject Contract (excluding an Investment Advisory Contract and a Discretionary Investment Contract) concluded prior to the Expiration Date, which is to be conducted pursuant to the provisions of laws and regulations or the contract, the Applicant is treated as a Professional Investor, even in the cases where such act is conducted after the Expiration Date;
二 法第三十四条の三第二項に規定する申出に係る契約の種類が第五十三条第三号及び第四号に掲げるものである場合にあっては、対象契約(投資顧問契約及び投資一任契約に限る。)に関して法令の規定又は契約の定めに基づいて行う行為については、期限日以前に行うものに限り、申出者を特定投資家として取り扱う旨
(ii) in cases where the kinds of contract pertaining to the request set forth in Article 34-3, paragraph (2) of the Act falls under any of those specified in Article 53, item (iii) and (iv), the fact that, in regard to any act related to the Subject Contract (limited to an Investment Advisory Contract and a Discretionary Investment Contract), which is to be conducted pursuant to the provisions of laws and regulations or the contract, the Applicant is treated as a Professional Investor only in respect of the act conducted prior to the Expiration Date;
三 申出者は、法第三十四条の三第二項の規定による承諾を行った金融商品取引業者等のみから対象契約に関して特定投資家として取り扱われることになる旨
(iii) that the Applicant will be treated as a Professional Investor with regard to the Subject Contract, only by the Financial Instruments Business Operator, etc. which has accepted the request pursuant to the provisions of Article 34-3, paragraph (2) of the Act;
四 金融商品取引業者等が対象契約に基づき申出者を代理して他の金融商品取引業者等との間で期限日以前に締結する金融商品取引契約については、当該他の金融商品取引業者等からも特定投資家として取り扱われる旨
(iv) that, with regard to any Contract for Financial Instruments Transaction which the Financial Instruments Business Operator, etc., on behalf of the Applicant, concludes with another Financial Instruments Business Operator, etc. prior to the Expiration Date pursuant to the Subject Contract, such Applicant is also treated as a Professional Investor by such other Financial Instruments Business Operator, etc.; and
五 申出者は、承諾日以後いつでも、法第三十四条の三第九項の規定による申出ができる旨
(v) that the Applicant may make a request under the provisions of Article 34-3, paragraph (9) of the Act at any time on or after the Date of Acceptance.
(申出をした特定投資家以外の顧客である法人が更新申出をするために必要な期間)
(Period Necessary for Juridical Person Which is Customer Other Than Professional Investors that Made Request to Make Request for Renewal)
第六十条 法第三十四条の三第七項に規定する内閣府令で定める期間は、十一月(次の各号に掲げる場合にあっては、当該各号に定める期間)とする。
Article 60 (1) The period to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (7) of the Act is eleven months (or, in the following cases, the period set forth in the respective items):
一 承諾日から期限日までの期間が一年に満たない場合(次号に掲げる場合を除く。) 当該期間から一月を控除した期間
(i) when the period between the Date of Acceptance and the Expiration Date is less than one year (excluding the case specified in the following item): that period minus one month; or
二 承諾日から期限日までの期間が一月を超えない場合 一日
(ii) when the period between the Date of Acceptance and the Expiration Date does not exceed one month: one day.
2 法第三十四条の三第八項に規定する場合における前項の規定の適用については、同項各号中「承諾日」とあるのは、「前回の期限日の翌日」とする。
(2) With regard to the application of the provisions of the preceding paragraph in the cases prescribed in Article 34-3, paragraph (8) of the Act, the term "Date of Acceptance" in the items of that paragraph is deemed to be replaced with "day following the previous Expiration Date."
(特定投資家以外の顧客への復帰申出をした法人に交付する書面の記載事項)
(Matters to Be Stated in Document to Deliver to Juridical Person Who Made Request for Reinstatement as Customer Other Than Professional Investor)
第六十条の二 法第三十四条の三第十一項に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 60-2 The matters to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (11) of the Act are as follows:
一 法第三十四条の三第十項の規定による承諾をする日(以下この条において「承諾日」という。)
(i) the day when the acceptance under the provisions of Article 34-3, paragraph (10) of the Act is to be given (hereinafter referred to as the "Date of Acceptance" in this Article);
二 対象契約の属する契約の種類
(ii) the Kind of Contract to which the Subject Contract belongs;
三 承諾日以後に対象契約の締結の勧誘又は締結をする場合において、法第三十四条の三第九項の規定による申出をした法人(次号において「復帰申出者」という。)を再び特定投資家以外の顧客として取り扱う旨
(iii) that the juridical person that made a request under the provisions of Article 34-3, paragraph (9) of the Act (hereinafter referred to as the "Applicant for Reinstatement" in the following item) will be treated as a customer other than a Professional Investor again when soliciting the conclusion of, or concluding, the Subject Contract on or after the Date of Acceptance; and
四 金融商品取引業者等が対象契約に基づき復帰申出者を代理して他の金融商品取引業者等との間で承諾日以後に締結する金融商品取引契約については、当該他の金融商品取引業者等からも再び特定投資家以外の顧客として取り扱われる旨
(iv) that, with regard to any Contract for Financial Instruments Transaction which the Financial Instruments Business Operator, etc., on behalf of the Applicant for Reinstatement, concludes with another Financial Business Operator, etc. on or after the Date of Acceptance pursuant to the Subject Contract, the Applicant for Reinstatement will also be treated as a customer other than a Professional Investor again by such other Financial Instruments Business Operator, etc.
(特定投資家として取り扱うよう申し出ることができる営業者等)
(Proprietors, etc. Who may Make Request Treatment as Professional Investor)
第六十一条 法第三十四条の四第一項第一号に規定する内閣府令で定めるものは、次に掲げる要件のいずれかに該当するものとする。
Article 61 (1) The excluded individual to be specified by Cabinet Office Order as referred to in Article 34-4, paragraph (1), item (i) of the Act is that who satisfies any of the following requirements:
一 法第三十四条の四第一項の規定による申出を行うことについてすべての匿名組合員の同意を得ていないこと。
(i) that the individual has not obtained the consent from all of the silent partners on making a request under Article 34-4, paragraph (1) of the Act; or
二 その締結した匿名組合契約に基づく出資の合計額が三億円未満であること。
(ii) that the total amount of the equity investment under the Silent Partnership Contract which the individual concluded is less than 300 million yen.
2 法第三十四条の四第一項第一号に規定する内閣府令で定める個人は、次に掲げる者とする。
(2) The individuals to be specified by Cabinet Office Order as referred to in Article 34-4, paragraph (1), item (i) of the Act are as follows:
一 組合契約を締結して組合の業務の執行を委任された組合員である個人(次に掲げる要件のすべてに該当する者に限る。)
(i) an individual who has concluded a Partnership Contract and has become a partner delegated to manage the business of the partnership (limited to an individual who satisfies all of the following requirements):
イ 法第三十四条の四第一項の規定による申出を行うことについて他のすべての組合員の同意を得ていること。
(a) that the individual has obtained the consent from all of the other partners on making a request under Article 34-4, paragraph (1) of the Act; and
ロ 当該組合契約に基づく出資の合計額が三億円以上であること。
(b) that the total amount of the equity investment under the Partnership Contract is not less than 300 million yen.
二 有限責任事業組合契約を締結して組合の重要な業務の執行の決定に関与し、かつ、当該業務を自ら執行する組合員である個人(次に掲げる要件のすべてに該当する者に限る。)
(ii) an individual who has concluded a Limited Liability Partnership Agreement, is involved in the decision-making on the execution of the important business of the partnership, and is a partner personally executing such business (limited to an individual who satisfies all of the following requirements):
イ 法第三十四条の四第一項の規定による申出を行うことについて他のすべての組合員の同意を得ていること。
(a) that the individual has obtained the consent from all of the other partners on making a request under Article 34-4, paragraph (1) of the Act; and
ロ 当該有限責任事業組合契約に基づく出資の合計額が三億円以上であること。
(b) that the total amount of the equity investment under the Limited Liability Partnership Agreement is 300 million yen or more.
(特定投資家として取り扱うよう申し出ることができる個人)
(Individual Who May Request Treatment as Professional Investor)
第六十二条 法第三十四条の四第一項第二号に規定する内閣府令で定める要件は、次に掲げる要件の全てに該当することとする。
Article 62 The requirements to be specified by Cabinet Office Order as referred to in Article 34-4, paragraph (1), item (ii) of the Act are the fulfillment of all of the following:
一 取引の状況その他の事情から合理的に判断して、承諾日(法第三十四条の四第六項において準用する法第三十四条の三第二項第一号に規定する承諾日をいう。次号、次条第二項、第六十四条第二項第五号及び第六十四条の二において同じ。)における申出者(法第三十四条の四第二項に規定する申出者をいう。以下この条及び第六十四条において同じ。)の資産の合計額から負債の合計額を控除した額が三億円以上になると見込まれること。
(i) that, judging reasonably from the status of the transactions or any other circumstances, the total amount of the assets of the Applicant (meaning the Applicant prescribed in Article 34-4, paragraph (2) of the Act; hereinafter the same applies in this Article and Article 64) as of the Date of Acceptance (meaning the Date of Acceptance prescribed in Article 34-3, paragraph (2), item (i) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act; the same applies in the following item, paragraph (2) of the following Article, and Article 64, paragraph (2), item (v) and Article 64-2), less the total amount of its liabilities as of that date is likely to be 300 million yen or more;
二 取引の状況その他の事情から合理的に判断して、承諾日における申出者の資産(次に掲げるものに限る。)の合計額が三億円以上になると見込まれること。
(ii) that, judging reasonably from the status of the transactions or any other circumstances, the total amount of the Applicant's assets (limited to the assets listed in the following) as of the Date of Acceptance is likely to be 300 million yen or more:
イ 有価証券(ホに掲げるもの及びヘに掲げるもの(不動産特定共同事業法(平成六年法律第七十七号)第二条第七項に規定する特例事業者と締結したものに限る。)を除く。)
(a) Securities (excluding the Securities specified in sub-items (e) and (f) (limited to contracts that are concluded with a special enterprise operator as defined in Article 2, paragraph (2) of the Real Estate Specified Joint Enterprise Act (Act No. 77 of 1994)));
ロ デリバティブ取引に係る権利
(b) rights pertaining to a Derivative Transaction;
ハ 農業協同組合法(昭和二十二年法律第百三十二号)第十一条の二の四に規定する特定貯金等、水産業協同組合法(昭和二十三年法律第二百四十二号)第十一条の九に規定する特定貯金等、協同組合による金融事業に関する法律(昭和二十四年法律第百八十三号)第六条の五の二に規定する特定預金等、信用金庫法(昭和二十六年法律第二百三十八号)第八十九条の二に規定する特定預金等、長期信用銀行法(昭和二十七年法律第百八十七号)第十七条の二に規定する特定預金等、労働金庫法(昭和二十八年法律第二百二十七号)第九十四条の二に規定する特定預金等、銀行法第十三条の四に規定する特定預金等、農林中央金庫法(平成十三年法律第九十三号)第五十九条の三に規定する特定預金等及び株式会社商工組合中央金庫法(平成十九年法律第七十四号)第二十九条に規定する特定預金等
(c) Specified Deposits, etc. as prescribed in Article 11-2-4 of the Agricultural Co-operatives Act (Act No. 132 of 1947), Specified Deposits, etc. as prescribed in Article 11-9 of the Fishery Cooperatives Act (Act No. 242 of 1948), Specified Deposits, etc. as prescribed in Article 6-5-2 of the Act on Financial Businesses by Cooperative (Act No. 183 of 1949), Specified Deposits, etc. as prescribed in Article 89-2 of the Shinkin Bank Act (Act No. 238 of 1951), Specified Deposits, etc. as prescribed in Article 17-2 of the Long Term Credit Bank Act (Act No. 187 of 1952), Specified Deposits, etc. as prescribed in Article 94-2 of the Labor Bank Act (Act No. 227 of 1953), Specified Deposits, etc. as prescribed in Article 13-4 the Banking Act, Specified Deposits, etc. as prescribed in Article 59-3 of the Norinchukin Bank Act (Act No. 93 of 2001) and Specified Deposits, etc. as prescribed in Article 29 of the Shoko Chukin Bank Limited Act (Act No. 74 of 2007);
ニ 農業協同組合法第十一条の十の三に規定する特定共済契約、消費生活協同組合法(昭和二十三年法律第二百号)第十二条の三第一項に規定する特定共済契約、水産業協同組合法第十五条の七に規定する特定共済契約、中小企業等協同組合法(昭和二十四年法律第百八十一号)第九条の七の五第二項に規定する特定共済契約及び保険業法第三百条の二に規定する特定保険契約に基づく保険金、共済金、返戻金その他の給付金に係る権利
(d) the rights pertaining to benefits such as insurance proceeds, mutual aid benefits and refunds payable under a Specified Mutual Aid Contract as prescribed in Article 11-10-3 of the Agricultural Cooperatives Act, a Specified Mutual Aid Contract as prescribed in Article 12-3, paragraph (1) of the Consumer Cooperatives Act (Act No. 200 of 1948), a Specified Mutual Aid Contract as prescribed in Article 15-7 of the Fisheries Cooperatives Act, a Specified Mutual Aid Contract as prescribed in Article 9-7-5, paragraph (2) of the Small and Medium-Sized Enterprise Cooperatives Act (Act No. 181 of 1949) and a Specified Insurance Contract as prescribed in Article 300-2 of the Insurance Business Act;
ホ 信託業法第二十四条の二に規定する特定信託契約に係る信託受益権
(e) beneficial interest in a trust pertaining to a Specific Trust Agreement as prescribed in Article 24-2 of the Trust Business Act;
ヘ 不動産特定共同事業法第二条第三項に規定する不動産特定共同事業契約に基づく権利
(f) rights under a Real Estate Specified Joint Enterprise Contract as prescribed in Article 2, paragraph (3) of the Real Estate Specified Joint Enterprise Act; and
ト 商品市場における取引(商品先物取引法(昭和二十五年法律第二百三十九号)第二条第十項に規定する商品市場における取引をいう。)、外国商品市場取引(同条第十三項に規定する外国商品市場取引をいう。第六十七条第一号において同じ。)及び店頭商品デリバティブ取引(同法第二条第十四項に規定する店頭商品デリバティブ取引をいう。第六十七条第二号において同じ。)に係る権利
(g) rights pertaining to Transactions on a Commodity Market (meaning the Transactions on a Commodity Market defined in Article 2, paragraph (10) of the Commodity Futures Trading Act (Act No. 239 of 1950)), ; Foreign Commodity Market Transaction (meaning the Foreign Commodity Market Transaction defined in paragraph (13) of that Article; the same applies in Article 67, item (i)), and Over-the-Counter Commodity Derivatives Transactions (meaning the Over-the-Counter Commodity Derivatives Transactions defined in Article 2, paragraph (14) of that Act; the same applies in Article 67, item (ii)).
三 申出者が最初に当該金融商品取引業者等との間で法第三十四条の四第一項の規定による申出に係る契約の種類に属する金融商品取引契約を締結した日から起算して一年を経過していること。
(iii) that one year has elapsed from the day when the Applicant concluded with the Financial Instruments Business Operator, etc. a Contract for a Financial Instruments Transaction which is of the type pertaining to the request under Article 34-4, paragraph (1) of the Act for the first time.
(特定投資家以外の顧客である個人が特定投資家とみなされる場合の期限日)
(Expiration Date of Period When Individual Who is Customer Other Than Professional Investor is Deemed to be Professional Investor)
第六十三条 法第三十四条の四第六項において準用する法第三十四条の三第二項に規定する内閣府令で定める場合は、金融商品取引業者等が一定の日を定め、次に掲げる事項を当該金融商品取引業者等の営業所又は事務所の公衆の見やすい場所への掲示その他の適切な方法により公表している場合とする。
Article 63 (1) The case to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act is the case where a Financial Instruments Business Operator, etc. has designated a certain date and publicized the following matters by posting them at a place accessible to the public at its business office or any other office, or by any other appropriate means:
一 当該日
(i) such designated date; and
二 次項に規定する日を期限日(法第三十四条の四第六項において準用する法第三十四条の三第二項第二号に規定する期限日をいう。次条第二項及び第六十四条の二において同じ。)とする旨
(ii) to the effect that the day set forth in the following paragraph is the Expiration Date (meaning the Expiration Date set forth in Article 34-3, paragraph (2), item (ii) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act; the same applies in paragraph (2) of the following Article and Article 64-2).
2 法第三十四条の四第六項において準用する法第三十四条の三第二項に規定する内閣府令で定める日は、金融商品取引業者等が前項の規定により定めた日であって承諾日から起算して一年以内の日のうち最も遅い日とする。
(2) The day to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act is the day designated by the Financial Instruments Business Operator, etc. under the preceding paragraph, which is the latest of the day within one year from the Date of Acceptance.
(申出をした特定投資家以外の顧客である個人が同意を行う書面の記載事項)
(Matters to be Stated in Document Indicating Consent by Individual Who is Customer Other Than Professional Investors that Made Request)
第六十四条 法第三十四条の四第六項において準用する法第三十四条の三第二項第四号イに規定する内閣府令で定める事項は、法第四十五条各号に掲げる規定は、対象契約(同項第二号に規定する対象契約をいう。次項及び第六十四条の三において同じ。)に関して申出者が当該各号に定める者である場合(法第四十五条ただし書に規定する場合を除く。)には適用されない旨とする。
Article 64 (1) The matters to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (2), item (iv), sub-item (a) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act are the fact that the provisions listed in the items of Article 45 do not apply to the cases where the Applicant falls under any of the persons set forth respectively in such items in regard to the Subject Contract (meaning the Subject Contract prescribed in Article 34-3, paragraph (2), item (ii) of the Act; the same applies in the following paragraph and Article 64-3) (excluding the case specified in the proviso to Article 45 of the Act).
2 法第三十四条の四第六項において準用する法第三十四条の三第二項第七号に規定する内閣府令で定める事項は、次に掲げる事項とする。
(2) The matters to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (2), item (vii) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act are as follows:
一 期限日以前に締結した対象契約(投資顧問契約及び投資一任契約を除く。)に関して法令の規定又は契約の定めに基づいて行う行為については、期限日後に行うものであっても、申出者を特定投資家として取り扱う旨
(i) that, with regard to any act related to the Subject Contract (excluding an Investment Advisory Contract and a Discretionary Investment Contract) concluded prior to the Expiration Date, which is to be conducted pursuant to the provisions of laws and regulations or the contract, the Applicant is treated as a Professional Investor, even in the cases where such act is conducted after the Expiration Date;
二 法第三十四条の四第六項において準用する法第三十四条の三第二項に規定する申出に係る契約の種類が第五十三条第三号及び第四号に掲げるものである場合にあっては、対象契約(投資顧問契約及び投資一任契約に限る。)に関して法令の規定又は契約の定めに基づいて行う行為については、期限日以前に行うものに限り、申出者を特定投資家として取り扱う旨
(ii) in cases where the kind of contract pertaining to the request set forth in Article 34-3, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act falls under any of the kinds specified in Article 53, item (iii) and (iv), to the effect that, with regard to any act related to the Subject Contract (limited to an Investment Advisory Contract and a Discretionary Investment Contract), which is to be conducted pursuant to the provisions of laws and regulations or the contract, the Applicant is treated as a Professional Investor only with regard to an act conducted prior to the Expiration Date;
三 申出者は、法第三十四条の四第六項において準用する法第三十四条の三第二項の規定による承諾を行った金融商品取引業者等のみから対象契約に関して特定投資家として取り扱われることになる旨
(iii) that the Applicant is treated as a Professional Investor in regard to the Subject Contract, only by the Financial Instruments Business Operator, etc. which has accepted the request pursuant to the provisions of Article 34-3, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act;
四 金融商品取引業者等が対象契約に基づき申出者を代理して他の金融商品取引業者等との間で期限日以前に締結する金融商品取引契約については、当該他の金融商品取引業者等からも特定投資家として取り扱われる旨
(iv) that, with regard to any Contract for Financial Instruments Transaction which the Financial Instruments Business Operator, etc., on behalf of the Applicant, concludes with another Financial Instruments Business Operator, etc. prior to the Expiration Date pursuant to the Subject Contract, such Applicant is also treated as a Professional Investor by such other Financial Instruments Business Operator, etc.; and
五 申出者は、承諾日以後いつでも、法第三十四条の四第四項の規定による申出ができる旨
(v) that the Applicant may make a request under the provisions of Article 34-4, paragraph (4) of the Act at any time on or after the Date of Acceptance.
(申出をした特定投資家以外の顧客である個人が更新申出をするために必要な期間)
(Period Necessary for Individual Who is Customer Other Than Professional Investors that Made Request to Make Request for Renewal)
第六十四条の二 法第三十四条の四第六項において準用する法第三十四条の三第七項に規定する内閣府令で定める期間は、十一月(次の各号に掲げる場合にあっては、当該各号に定める期間)とする。
Article 64-2 (1) The period to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (7) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act is eleven months (or, in the following cases, the period set forth in the respective items):
一 承諾日から期限日までの期間が一年に満たない場合(次号に掲げる場合を除く。) 当該期間から一月を控除した期間
(i) when the period between the Date of Acceptance and the Expiration Date is less than one year (excluding the case specified in the following item): that period minus one month; or
二 承諾日から期限日までの期間が一月を超えない場合 一日
(ii) when the period between the Date of Acceptance and the Expiration Date does not exceed one month: one day.
2 法第三十四条の四第六項において準用する法第三十四条の三第八項に規定する場合における前項の規定の適用については、同項各号中「承諾日」とあるのは、「前回の期限日の翌日」とする。
(2) With regard to the application of the provisions of the preceding paragraph in the cases prescribed in Article 34-3, paragraph (8) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act, the term "Date of Acceptance" in the items of that paragraph is deemed to be replaced with "day following the previous Expiration Date."
(特定投資家以外の顧客への復帰申出をした個人に交付する書面の記載事項)
(Matters to Be Stated in Document to Deliver to Individual Who Made Request for Reinstatement as Customer Other Than Professional Investor)
第六十四条の三 法第三十四条の四第六項において準用する法第三十四条の三第十一項に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 64-3 The matters to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (11) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act are as follows:
一 法第三十四条の四第五項の規定による承諾をする日(以下この条において「承諾日」という。)
(i) the day when the acceptance under the provisions of Article 34-4, paragraph (5) of the Act is to be given (hereinafter referred to as the "Date of Acceptance" in this Article);
二 対象契約の属する契約の種類
(ii) the Kind of Contract to which the Subject Contract belongs;
三 承諾日以後に対象契約の締結の勧誘又は締結をする場合において、法第三十四条の四第四項の規定による申出をした個人(次号において「復帰申出者」という。)を再び特定投資家以外の顧客として取り扱う旨
(iii) that the juridical person that made a request under the provisions of Article 34-4, paragraph (4) of the Act (hereinafter referred to as the "Applicant for Reinstatement" in the following item) will be treated as a customer other than a Professional Investor again when soliciting the conclusion of, or concluding, the Subject Contract on or after the Date of Acceptance; and
四 金融商品取引業者等が対象契約に基づき復帰申出者を代理して他の金融商品取引業者等との間で承諾日以後に締結する金融商品取引契約については、当該他の金融商品取引業者等からも再び特定投資家以外の顧客として取り扱われる旨
(iv) that, with regard to any Contract for Financial Instruments Transaction which the Financial Instruments Business Operator, etc., on behalf of the Applicant for Reinstatement, concludes with another Financial Business Operator, etc. on or after the Date of Acceptance pursuant to the Subject Contract, the Applicant for Reinstatement will also be treated as a customer other than a Professional Investor again by such other Financial Instruments Business Operator, etc.
第二節 業務
Section 2 Business
第一款 通則
Subsection 1 General Rules
(保護預り有価証券を担保とする金銭の貸付け)
(Money Loan Secured by Securities in Safe Custody)
第六十五条 法第三十五条第一項第三号に規定する内閣府令で定めるものは、次の各号のいずれかに該当するものとする。
Article 65 The money loan to be specified by Cabinet Office Order as referred to in Article 35, paragraph (1), item (iii) of the Act is the money loan which falls under any of the following items:
一 顧客から保護預りをしている有価証券が次に掲げるいずれかの有価証券(当該保護預りをした顧客の所有するものに限る。)であって、当該顧客が当該有価証券を引き続き所有するために必要なものとして当該有価証券を担保として行う金銭の貸付けのうち、当該顧客に貸し付ける金額が当該有価証券を担保として既に貸し付けている金銭の額と合計して五百万円(当該貸付けの時における当該有価証券の時価の範囲内に限る。次号において同じ。)を超えないもの
(i) a money loan that may be necessary for a customer in maintaining the ownership in the Securities specified in the following sub-items deposited by a customer for safe custody (limited to the Securities owned by the customer which has made such deposit for safety custody), which is secured by such Securities, and in which case the total of the amount to be loaned to the customer and the amount of loan already extended as secured by such Securities does not exceed five million yen (limited to the amount within the range of market price of the Securities as of the time of such loan; the same applies in the next item):
イ 国債証券
(a) national government bond securities;
ロ 地方債証券
(b) municipal bond securities;
ハ 政府保証債券
(c) government guaranteed bond certificates;
ニ 社債券
(d) corporate bond certificates;
ホ 株券
(e) share certificates;
ヘ 投資信託及び投資法人に関する法律(昭和二十六年法律第百九十八号)に規定する投資信託又は外国投資信託の受益証券
(f) Beneficiary Certificates of an Investment Trust or a Foreign Investment Trust as prescribed in the Act on Investment Trust and Investment Corporations (Act No. 198 of 1951);
ト 投資信託及び投資法人に関する法律に規定する投資証券若しくは投資法人債券又は外国投資証券
(g) Investment Securities, Investment Corporation Bond Certificates or Foreign Investment Securities as prescribed in the Act on Investment Trust and Investment Corporations;
チ 外国又は外国法人の発行する証券又は証書でイからホまでに掲げる有価証券の性質を有するもの
(h) securities or certificates issued by a foreign state or a foreign juridical person, which have the natures of the Securities listed in sub-items (a) through (e);
二 顧客から保護預りをしている有価証券が投資信託の受益証券のうち次に掲げるいずれかのもの(当該保護預りをした顧客の所有するものに限る。)であって、当該有価証券に係る解約を請求した顧客に対し、解約に係る金銭が支払われるまでの間に当該有価証券を担保として行うその解約に係る金銭の額に相当する額の金銭の貸付けのうち、当該顧客に貸し付ける金額が当該有価証券を担保として既に貸し付けている金銭の額と合計して五百万円を超えないもの
(ii) in cases where the Securities deposited by a customer for safe custody fall under the category of any of the following Beneficiary Certificates pertaining to an Investment Trust (limited to the Securities owned by the customer who has made the deposit for safety custody), a money loan secured by such Securities in the amount equivalent to a cancellation money for such Securities, which is to be granted prior to the payment of the cancellation money to the customer who has requested the cancellation of such Securities, and in which case the total of the amount to be loaned to the customer and the amount of loan already granted as secured by such Securities does not exceed five million yen:
イ 公社債投資信託(投資信託及び投資法人に関する法律施行規則(平成十二年総理府令第百二十九号)第十三条第二号イに規定する公社債投資信託をいう。ハ、第八十条第一項第五号ト、第百十条第一項第一号ハ及び第百二十五条の四第一項第三号を除き、以下同じ。)のうち、主たる投資対象を短期の公社債(前号イからニまでに掲げる有価証券(外国又は外国法人の発行する証券又は証書で同様の性質を有するものを含む。)をいう。)、預金、金銭信託及びコール・ローン等の金融資産とするものであって、次に掲げる要件のすべてに該当するものの受益証券
(a) Beneficiary Certificates of a Bond Investment Trust (meaning the Bond Investment Trust prescribed in Article 13, item (ii), sub-item (a) of the Regulation for Enforcement of the Act on Investment Trust and Investment Corporations (Order of the Prime Minister's Office No. 129 of 2000); the same applies hereinafter except in sub-item (c), Article 80, paragraph (1), item (v), sub-item (g), Article 110, paragraph (1), item (i), sub-item (c) and Article 125-4, paragraph (1), item (iii)) which satisfy all of the following requirements and whose primary investment targets comprise financial assets such as short-term public or corporate bonds (meaning the Securities listed in sub-items (a) through (d) of the preceding item (including securities or certificates issued by a foreign state or a foreign juridical person which have a similar nature thereto)), deposits, money trusts and call loans:
(1) 信託期間に制限のないものであること。
1. that the term of the trust is unlimited;
(2) 毎日決算を行い元本を超える額を分配し、その分配金が月末に再投資されるものであること。
2. that the account is settled and the amount in excess of the principal is distributed every day, and that the dividend thereof is to be reinvested at the end of each month;
(3) 解約を常時行うことができるものであること。
3. that the Bond Investment Trust is cancellable at any time; and
(4) 解約金の支払いが当日又はその翌営業日に行われるものであること。
4. that the cancellation money is payable on the day of cancellation or on the business day immediately after such day;
ロ 投資信託のうち、主たる投資対象を中期の利付国債、預金、金銭信託及びコール・ローン等の金融資産とするものであって、イの(1)から(4)までに掲げる要件のすべてに該当するものの受益証券
(b) Beneficiary Certificates of an Investment Trust which satisfy all of the requirements listed in 1. to 4. of sub-item (a) and whose primary investment targets comprise financial assets such as medium-term interest-bearing government bonds, deposits, money trusts and call loans; and
ハ 投資信託及び投資法人に関する法律施行規則第二十五条第二号に規定する公社債投資信託(計算期間が一日のものに限る。)の受益証券
(c) Beneficiary Certificates of the Bond Investment Trust prescribed in Article 25, item (ii) of the Regulation for Enforcement of the Act on Investment Trust and Investment Corporations (limited to the Bond Investment Trust of which accounting period is one day).
(累積投資契約の締結)
(Conclusion of Contract for Cumulative Investment)
第六十六条 法第三十五条第一項第七号に規定する内閣府令で定めるものは、次の各号に掲げる要件のすべてに該当する契約の締結とする。
Article 66 The conclusion to be specified by Cabinet Office Order as referred to in Article 35, paragraph (1), item (vii) of the Act is the conclusion of a contract which satisfies all of the requirements listed in the following items:
一 有価証券の買付けの方法として、当該有価証券の種類及び買付けのための預り金の充当方法を定めていること。
(i) that the contract provides for, as a method of purchases of Securities, the types of the Securities and the method for the appropriation of a deposit for making purchases;
二 預り金の管理の方法として、顧客からの払込金及び顧客が寄託している有価証券の果実並びに償還金の受入れに基づいて発生した金融商品取引業者の預り金を累積投資預り金として他の預り金と区分して経理することを定めていること。
(ii) that the contract provides, as a method for the management of deposits, that the fruits derived from the money paid and Securities deposited by the customer, and the money which the Financial Instruments Business Operator's keeps custody due to acceptance of redemption are treated as the Cumulative Investment Deposit, and that accounting of such Cumulative Investment Deposit is managed separately from any other deposit;
三 他の顧客又は金融商品取引業者と共同で買い付ける場合には、顧客が買い付けた有価証券につき回記号及び番号が特定されたときに、当該顧客が単独で当該有価証券の所有権を有することが確定することを定めていること。
(iii) that the contract provides that, in the case of the joint purchase with another customer or Financial Instruments Business Operator, it is certain that the customer gains sole ownership in the Securities purchased by such customer when the code and number thereof are identified;
四 有価証券の管理の方法として、預託を受けた有価証券(金融商品取引業者と顧客が共有しているものに限る。)が他の有価証券と分別して管理されるものであること。
(iv) that the contract provides, as a method for the management of Securities, that the deposited Securities (limited to those co-owned by the Financial Instruments Business Operator and the customer) are managed separately from any other Securities; and
五 顧客から申出があったときには解約するものであること。
(v) that the contract may be cancelled if the customer so requests.
(指標に係る変動等を利用して行う取引)
(Transaction Conducted by Using Fluctuations, etc. in Indicators)
第六十七条 法第三十五条第二項第二号に規定する内閣府令で定めるものは、次に掲げるものとする。
Article 67 The transactions to be specified by Cabinet Office Order as referred to in Article 35, paragraph (2), item (ii) of the Act are as follows:
一 外国商品市場取引
(i) Foreign Commodity Market Transaction; and
二 店頭商品デリバティブ取引
(ii) Over-the-Counter Commodity Derivatives Transactions.
(届出業務)
(Business Subject to Notification)
第六十八条 法第三十五条第二項第七号に規定する内閣府令で定める業務は、次に掲げる業務とする。
Article 68 The business to be specified by Cabinet Office Order as referred to in Article 35, paragraph (2), item (vii) of the Act is as follows:
一 金地金の売買又はその媒介、取次ぎ若しくは代理に係る業務
(i) business pertaining to purchase and sale of gold bullion, or an intermediary, brokerage or agency service therefor;
二 組合契約の締結又はその媒介、取次ぎ若しくは代理に係る業務
(ii) business pertaining to conclusion of a Partnership Contract, or an intermediary, brokerage or agency service therefor;
三 匿名組合契約の締結又はその媒介、取次ぎ若しくは代理に係る業務
(iii) business pertaining to conclusion of a Silent Partnership Contract, or an intermediary, brokerage or agency service therefor;
四 貸出参加契約(金融機関等貸出債権に係る権利義務関係を移転させずに、原貸出債権に係る経済的利益及び損失の危険を原債権者から第三者に移転させる契約をいう。)の締結又はその媒介、取次ぎ若しくは代理に係る業務
(iv) business pertaining to conclusion of a Loan Participation Contract (meaning a contract wherein the economic profit and risk of loss originating from a loan claim of a financial institution, etc. is transferred from the original creditor thereof to a third party, instead of transferring any right and obligation arising from the original loan), or an intermediary, brokerage or agency service therefor;
五 保険業法第二条第二十六項に規定する保険募集に係る業務
(v) business pertaining to insurance solicitation as prescribed in Article 2, paragraph (26) of the Insurance Business Act;
六 自ら所有する不動産の賃貸に係る業務
(vi) business pertaining to lease of real properties owned by a Financial Instruments Business Operator itself;
七 物品賃貸業
(vii) goods leasing business;
八 他の事業者の業務に関する電子計算機のプログラムの作成又は販売を行う業務及び計算受託業務
(viii) business pertaining to creation and sale of computer programs for the business of any other business operator, and a business to accept the entrustment of computing service;
九 確定拠出年金法(平成十三年法律第八十八号)第二条第七項に規定する確定拠出年金運営管理業
(ix) business of management of the defined contribution pension prescribed in Article 2, paragraph (7) of the Defined Contribution Pension Act (Act No. 88 of 2001);
十 国民年金基金連合会から確定拠出年金法第六十一条第一項の規定による委託を受けて同項第一号、第二号又は第五号に掲げる事務(第五号に掲げる事務にあっては、同法第七十三条において準用する同法第二十二条の措置に関する事務又は同法第二条第三項に規定する個人型年金に係る届出の受理に関する事務に限る。)を行う業務
(x) business of carrying out the affairs listed in Article 61, paragraph (1), item (i), (ii) or (v) of the Defined Contribution Pension Act (with regard to the affair specified in item (v), limited to the affairs related to the measures set forth in Article 22 of that Act as applied mutatis mutandis pursuant to Article 73 of that Act or the affairs related to the acceptance of a notification on pensions for individuals as prescribed in Article 2, paragraph (3) of that Act), based on an entrustment from the National Pension Fund Association pursuant to the provisions of Article 61, paragraph (1) of that Act;
十一 信託業法第二条第八項に規定する信託契約代理業
(xi) Trust Agreement Agency Business prescribed in Article 2, paragraph (8) of the Trust Business Act;
十二 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)第一条第一項第四号に掲げる業務若しくは同項第六号に掲げる業務のうち遺言の執行に関するもの又は同号若しくは同項第七号(イを除く。)に掲げる業務のうち遺産の整理に関するものに係る契約の締結の媒介(信託業務を営む金融機関(同項の認可を受けた金融機関をいう。以下同じ。)のために行うものに限る。)に係る業務
(xii) an intermediary service for a conclusion of a contract for the business specified in Article 1, paragraph (1), item (iv) of the Act on Provision, etc. of Trust Business by Financial Institutions (Act No. 43 of 1943), a contract for the business specified in item (vi) of that paragraph which relates to the execution of a will, or a contract for the business specified in that item or item (vii) of that paragraph (excluding sub-item (a)) which relates to the arrangement of an estate (limited to intermediary services provided for a financial institution engaged in trust business (meaning a financial institution authorized under that paragraph; the same applies hereinafter));
十三 金融機関代理業(銀行法第二条第十四項に規定する銀行代理業、長期信用銀行法第十六条の五第二項に規定する長期信用銀行代理業、信用金庫法第八十五条の二第二項に規定する信用金庫代理業、協同組合による金融事業に関する法律第六条の三第二項に規定する信用協同組合代理業、労働金庫法第八十九条の三第二項に規定する労働金庫代理業、農業協同組合法第九十二条の二第二項に規定する特定信用事業代理業、水産業協同組合法第百二十一条の二第二項に規定する特定信用事業代理業及び農林中央金庫法第九十五条の二第二項に規定する農林中央金庫代理業をいう。以下同じ。)
(xiii) Financial Institution Agency Service (meaning the Bank Agency Service prescribed in Article 2, paragraph (14) of the Banking Act, the Long Term Credit Bank Agency Service prescribed in Article 16-5, paragraph (2) of the Long-Term Credit Bank Act, the Shinkin Bank Agency Service prescribed in Article 85-2, paragraph (2) of the Shinkin Bank Act, the Credit Cooperative Agency Service prescribed in Article 6-3, paragraph (2) of the Act on Financial Businesses by Cooperative, the Labor Bank Agency Service prescribed in Article 89-3, paragraph (2) of the Labor Bank Act, the Specific Credit Business Agency Service prescribed in Article 92-2, paragraph (2) of the Agricultural Cooperatives Act, the Specific Credit Business Agency Service prescribed in Article 121-2, paragraph (2) of the Fishery Cooperatives Act and the Norinchukin Bank Agency Service prescribed in Article 95-2, paragraph (2) of the Norinchukin Bank Act; the same applies hereinafter);
十四 不動産の管理業務
(xiv) real property management business;
十五 不動産に係る投資に関し助言を行う業務
(xv) advisory business related to real property investment;
十六 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その他これに類似するものをいう。次号において同じ。)の取得若しくは譲渡に関する契約の締結又はその媒介、取次ぎ若しくは代理を行う業務
(xvi) business of a conclusion of a contract on the acquisition or transfer of Carbon Dioxide Equivalent Quotas (meaning the carbon dioxide equivalent quotas prescribed in Article 2, paragraph (6) of the Act on Promotion of Global Warming Countermeasures (Act No. 117 of 1998) or any other subject-matter similar thereto; the same applies in the following item), or an intermediary, brokerage or agency service therefor;
十七 次に掲げる取引又はその媒介、取次ぎ若しくは代理を行う業務
(xvii) business of conducting any of the following transactions, or an intermediary, brokerage or agency service therefor:
イ 当事者が数量を定めた算定割当量について当該当事者間で取り決めた算定割当量の相場に基づき金銭の支払を相互に約する取引その他これに類似する取引
(a) a transaction wherein the parties mutually promise to pay money with regard to the Carbon Dioxide Equivalent Quotas of which quantities are fixed by the parties, based on a quotation for the Carbon Dioxide Equivalent Quotas fixed by the parties, or any other transaction similar thereto; and
ロ 当事者の一方の意思表示により当事者間において前号の契約に係る取引及びイ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その他これに類似する取引
(b) a transaction wherein the parties thereto promise that one of the parties thereto grants to the other party the right to effect a transaction pertaining to the contract specified in the preceding item and a transaction specified in sub-item (a) between the parties upon the other party's manifestation of intention and the other party pays money in consideration for such right, or any other transaction similar thereto.
十八 投資法人(投資信託及び投資法人に関する法律第二条第十二項に規定する投資法人をいう。以下同じ。)から同法第百十七条第一項の規定による委託を受けて同項第四号に掲げる事務を行う業務又は特別目的会社から委託を受けてその機関の運営に関する事務を行う業務
(xviii) business of conducting the affairs specified in Article 117, paragraph (1), item (iv) of the Act on Investment Trust and Investment Corporations, based on an entrustment by an Investment Corporation (meaning an Investment Corporation prescribed in Article 2, paragraph (12) of that Act; the same applies hereinafter) pursuant to the provisions of Article 117, paragraph (1) of that Act; or the business of conducting the affairs related to the management of an organ of a Special Purpose Company, based on entrustment by such Special Purpose Company;
十九 有価証券又はデリバティブ取引に係る権利以外の資産に対する投資として、他人のため金銭その他の財産の運用を行う業務(法第三十五条第二項第一号、第二号、第五号の二及び第六号に掲げる業務に該当するものを除く。)
(xix) business of investing money or other properties for other person, as an investment in assets other than Securities or rights pertaining to a Derivative Transaction (excluding the business which falls under any of the categories of business listed in Article 35, paragraph (2), item (i), (ii), (v)-2 and (vi) of the Act);
二十 債務の保証又は引受けに係る契約の締結又はその媒介、取次ぎ若しくは代理に係る業務
(xx) business of concluding a contract for a guarantee or assumption of an obligation, or an intermediary, brokerage or agency service therefor;
二十一 その行う業務に係る顧客に対し他の事業者のあっせん又は紹介を行う業務
(xxi) business of making an arrangement with or introducing another business operator, to customers of its business;
二十二 他の事業者の業務に関する広告又は宣伝を行う業務
(xxii) business of creating any advertisement or promotion in regard to the business of any other business operator;
二十三 資金決済に関する法律(平成二十一年法律第五十九号)第二条第二項に規定する資金移動業
(xxiii) funds transfer business prescribed in Article 2, paragraph (2) of the Act on Funds Settlement (Act No. 59 of 2009); and
二十四 法第三十五条第二項第一号から第六号まで又は前各号に掲げる業務に附帯する業務
(xxiv) business incidental to those listed in Article 35, paragraph (2), items (i) through (vi) of the Act or in the preceding items.
(その他業務に係る届出)
(Notification of Additional Business)
第六十九条 法第三十五条第三項又は第六項の規定により届出を行う金融商品取引業者は、当該届出に係る業務の種類並びに当該業務の開始又は廃止の年月日及び理由を記載した届出書に、次の各号に掲げる場合の区分に応じ、当該各号に定める書類を添付して、所管金融庁長官等に提出しなければならない。
Article 69 A Financial Instruments Business Operator which intends to file a notification under Article 35, paragraph (3) or (6) of the Act must submit to the Commissioner of Financial Services Agency or Other Competent Official a written notification stating the type of business to be notified as well as the date of and reason for the commencement or discontinuance of such business, attaching a document specified in the following items in accordance the categories of documents set forth respectively therein:
一 当該業務を開始した場合 次に掲げる事項を記載した書類
(i) in the case of the commencement of the business: a document stating the following matters:
イ 当該業務の方法
(a) the business methods;
ロ 当該業務の損失の危険の管理方法
(b) the method of the risk management concerning loss arising from the business; and
ハ 当該業務を行う部署の名称及び人員配置
(c) the name of the section in charge of the business and the positions of the personnel;
二 当該業務を廃止した場合 当該業務の廃止に伴う顧客勘定の処理の方法を記載した書面
(ii) in the case of the discontinuance of the business: a document stating the method of the treatment of customers' accounts incidental to the discontinuance of such business.
(その他業務の承認申請)
(Applications for Approval of Additional Business)
第七十条 法第三十五条第四項の承認を受けようとする金融商品取引業者は、次に掲げる事項を記載した承認申請書を所管金融庁長官等に提出しなければならない。
Article 70 (1) A Financial Instruments Business Operator which intends to obtain the approval under Article 35, paragraph (4) of the Act must submit to the Commissioner of Financial Services Agency or Other Competent Official a written application for approval stating the following matters:
一 商号
(i) the trade name;
二 登録年月日及び登録番号
(ii) the registration date and registration number;
三 承認を受けようとする業務の種類
(iii) the type of business for which approval is sought; and
四 当該業務の開始予定年月日
(iv) the scheduled date for the commencement of the business.
2 前項の承認申請書には、次に掲げる事項を記載した書類を添付しなければならない。
(2) A document stating the following matters must be attached to a written application for approval as set forth in the preceding paragraph:
一 当該業務の内容及び方法
(i) the content of the business and business methods;
二 当該業務に係る損失の危険の管理方法に関する次に掲げる事項
(ii) the following matters in relation to the method of risk management concerning risk of loss pertaining to the business:
イ 当該業務に係る損失の危険相当額(第一種金融商品取引業を行う者にあっては、第百七十八条第一項第一号に規定する市場リスク相当額及び同項第二号に規定する取引先リスク相当額を含む。以下この号において同じ。)の算定方法
(a) the method of calculating the Value of Loss Risk Equivalent pertaining to the business (in the case of a person engaged in a Type I Financial Instruments Business, including the Market Risk Equivalent defined in Article 178, paragraph (1), item (i) and the Counterparty Risk Equivalent defined in item (ii) of that paragraph; hereinafter the same applies in this item);
ロ 当該業務に係る損失の危険相当額の限度枠の設定及び適用方法
(b) the method of the establishment and application of a ceiling on the Value of Loss Risk Equivalent pertaining to the business;
ハ 当該業務に係る損失の危険相当額の算定及び限度枠の管理を行う部署の名称及び体制
(c) the name and structure of the section in charge of the calculation of the Value of Loss Risk Equivalent pertaining to the business and the management of the ceiling thereof;
ニ 当該業務に係る損失の危険相当額の算定の基礎となる資料の作成及び保存の方法
(d) the method of preparation and preservation of materials which would serve as the basis of the calculation of the Value of Loss Risk Equivalent pertaining to the business;
ホ 当該業務に係る損失の危険相当額及びその限度枠の適用状況について、検査を行う頻度、部署の名称及び体制
(e) the frequency of inspection of the Value of Loss Risk Equivalent pertaining to the business and the status of the application of the ceiling thereof, and the name and structure of the section in charge of such inspection; and
ヘ その他当該業務に係る損失の危険の管理に関する重要な事項
(f) any other important matter related to the risk management concerning loss pertaining to the business.
三 当該業務を所掌する組織及び人員配置
(iii) the organizational structure for executing the business and the positions of the personnel therefor;
四 当該業務の運営に関する社内規則
(iv) the internal rules regarding the management of the business.
(金融商品関連業務の範囲)
(Range of Financial Instruments Related Business)
第七十条の二 法第三十六条第二項に規定する内閣府令で定める業務は、次の各号に掲げる場合の区分に応じ、当該各号に定める業務とする。
Article 70-2 The businesses to be specified by Cabinet Office Order as referred to in Article 36, paragraph (2) of the Act are the businesses specified in the following items according to the category of cases set forth in the respective items:
一 特定金融商品取引業者等(法第三十六条第三項に規定する特定金融商品取引業者等をいう。以下同じ。)が令第十五条の二十七第一号に掲げる者である場合 次のイ及びロに掲げる業務
(i) when a Specified Financial Instruments Business Operator, etc. (meaning a Specified Financial Instruments Business Operator, etc. prescribed in Article 36, paragraph (3) of the Act; the same applies hereinafter) is a person listed in Article 15-27, item (i) of the Cabinet Order: the businesses listed in sub-items (a) and (b) below:
イ 金融商品取引業又は登録金融機関業務
(a) Financial Instruments Business or Registered Financial Institution Business; and
ロ 法第三十五条第一項に規定する金融商品取引業に付随する業務(当該特定金融商品取引業者等の子金融機関等(法第三十六条第五項に規定する子金融機関等をいう。以下同じ。)が行う当該業務に相当する業務を含む。)
(b) a business incidental to Financial Instruments Business prescribed in Article 35, paragraph (1) of the Act (including a business conducted by a Subsidiary Financial Institution, etc. of such Specified Financial Instruments Business Operator, etc. (meaning a Subsidiary Financial Institution, etc. prescribed in Article 36, paragraph (5) of the Act; the same applies hereinafter) that is equivalent to such business); and
二 特定金融商品取引業者等が令第十五条の二十七第二号に掲げる者である場合 次のイ及びロに掲げる業務
(ii) when a Specified Financial Instruments Business Operator, etc. is a person listed in Article 15-27, item (ii) of the Cabinet Order: the businesses listed in sub-items (a) and (b) below:
イ 金融商品取引業又は登録金融機関業務
(a) Financial Instruments Business or Registered Financial Institution Business; and
ロ 法第三十五条第一項に規定する金融商品取引業に付随する業務
(b) a business incidental to Financial Instruments Business prescribed in Article 35, paragraph (1) of the Act.
(顧客の利益が不当に害されることのないよう必要な措置)
(Measures Required So That Interests of Customer Would Not Be Unjustly Impaired)
第七十条の三 特定金融商品取引業者等は、当該特定金融商品取引業者等又はその親金融機関等(法第三十六条第四項に規定する親金融機関等をいう。以下同じ。)若しくは子金融機関等が行う取引に伴い、当該特定金融商品取引業者等又はその子金融機関等が行う金融商品関連業務(同条第二項に規定する金融商品関連業務をいう。以下同じ。)に係る顧客の利益が不当に害されることのないよう、次に掲げる措置を講じなければならない。
Article 70-3 (1) A Specified Financial Instruments Business Operator, etc. must take the following measures so that, as a result of any transaction it or its Parent Financial Institution, etc. (meaning a Parent Financial Institution, etc. prescribed in Article 36, paragraph (4) of the Act; the same applies hereinafter) or Subsidiary Financial Institution, etc. conducts, the interests of a customer pertaining to Financial Instruments Related Business (meaning a Financial Instruments Related Business prescribed in paragraph (2) of that Article; the same applies hereinafter) conducted by said Specified Financial Instruments Business Operator, etc. or its Subsidiary Financial Institution etc. would not be unjustly impaired:
一 対象取引を適切な方法により特定するための体制の整備
(i) the establishment of a system for identifying a subject transaction in an appropriate manner;
二 次に掲げる方法その他の方法により当該顧客の保護を適正に確保するための体制の整備
(ii) the establishment of a system for ensuring in an appropriate manner the protection of such customer by following means and any other means:
イ 対象取引を行う部門と当該顧客との取引を行う部門を分離する方法
(a) means of separating the section conducting the subject transaction and the section conducting a transaction with such customer;
ロ 対象取引又は当該顧客との取引の条件又は方法を変更する方法
(b) means of changing the terms or method of the subject transaction or the transaction with such customer;
ハ 対象取引又は当該顧客との取引を中止する方法
(c) means of discontinuing the subject transaction or the transaction with such customer; and
ニ 対象取引に伴い、当該顧客の利益が不当に害されるおそれがあることについて、当該顧客に適切に開示する方法
(d) means of disclosing in an appropriate fashion that as a result of the subject transaction, the interests of such customer might be unjustly impaired;
三 前二号に掲げる措置の実施の方針の策定及びその概要の適切な方法による公表
(iii) the formulation of policies for implementing the measures listed in the preceding two items and the publication of an overview thereof by an appropriate means; and
四 次に掲げる記録の保存
(iv) the storage of the following records:
イ 第一号の体制の下で実施した対象取引の特定に係る記録
(a) the records pertaining to the identification of subject transactions performed under the system under item (i); and
ロ 第二号の体制の下で実施した顧客の保護を適正に確保するための措置に係る記録
(b) the records pertaining to the measures for ensuring in an appropriate manner the protection of customers performed under the system under item (ii).
2 前項第四号に規定する記録は、その作成の日から五年間保存しなければならない。
(2) The records prescribed in item (iv) of the preceding paragraph must be preserved for five years after the preparation thereof.
3 第一項の「対象取引」とは、特定金融商品取引業者等又はその親金融機関等若しくは子金融機関等が行う取引に伴い、当該特定金融商品取引業者等又はその子金融機関等が行う金融商品関連業務に係る顧客の利益が不当に害されるおそれがある場合における当該取引をいう。
(3) A "subject transaction" under paragraph (1) means a transaction conducted by a Specified Financial Instruments Business Operator, etc. or its Parent Financial Institution, etc., or Subsidiary Financial Institution, etc., as a result of which the interests of a customer pertaining to Financial Instruments Related Business conducted by such Specified Financial Instruments Business Operator, etc. or its Subsidiary Financial Institution, etc. might be unjustly impaired.
(掲示すべき標識の様式)
(Forms of Signs to be Posted)
第七十一条 法第三十六条の二第一項に規定する内閣府令で定める様式は、次の各号に掲げる者の区分に応じ、当該各号に定めるものとする。
Article 71 The forms to be specified by Cabinet Office Order as referred to in Article 36-2, paragraph (1) of the Act are the forms specified in the following items, in accordance with the categories of the persons respectively set forth therein:
一 金融商品取引業者 別紙様式第十号
(i) Financial Instruments Business Operator: Appended Form No. 10; or
二 登録金融機関 別紙様式第十一号
(ii) Registered Financial Institution: Appended Form 11.
(広告類似行為)
(Acts Similar to Advertising)
第七十二条 法第三十七条各項に規定する内閣府令で定める行為は、郵便、信書便(民間事業者による信書の送達に関する法律(平成十四年法律第九十九号)第二条第六項に規定する一般信書便事業者又は同条第九項に規定する特定信書便事業者の提供する同条第二項に規定する信書便をいう。第二百六十六条において同じ。)、ファクシミリ装置を用いて送信する方法、電子メール(特定電子メールの送信の適正化等に関する法律(平成十四年法律第二十六号)第二条第一号に規定する電子メールをいう。第二百六十六条において同じ。)を送信する方法、ビラ又はパンフレットを配布する方法その他の方法(次に掲げるものを除く。)により多数の者に対して同様の内容で行う情報の提供とする。
Article 72 The acts to be specified by Cabinet Office Order as referred to in the paragraphs of Article 37 of the Act are the provision of identical information to many persons, by means of postal mail, Correspondences Delivery (meaning a correspondence delivery as prescribed in Article 2, paragraph (2) of the Act on Correspondence Delivery by Private Business Operators (Act No. 99 of 2002) that is provided by a general correspondence delivery operator as prescribed in paragraph (6) of that Article or by a specified correspondence delivery operator as prescribed in paragraph (9) of that Article; the same applies in Article 266), transmission by facsimile devices, transmission by Electronic Mails (meaning the electronic mail prescribed in Article 2, item (i) of the Act on Regulation of Transmission of Specified Electronic Mail (Act No. 26 of 2002); the same applies in Article 266), distribution of leaflets or pamphlets or by any other means (excluding those listed in the following):
一 法令又は法令に基づく行政官庁の処分に基づき作成された書類を配布する方法
(i) distribution of documents prepared in accordance with laws or regulations, or in accordance with the dispositions rendered by administrative agencies under the laws and regulations;
二 個別の企業の分析及び評価に関する資料であって、金融商品取引契約の締結の勧誘に使用しないものを配布する方法
(ii) distribution of materials on the analysis and appraisal of the respective companies not intended to be used for solicitation for the conclusion of a Contract for Financial Instruments Transaction;
三 次に掲げるすべての事項のみが表示されている景品その他の物品(ロからニまでに掲げる事項について明瞭かつ正確に表示されているものに限る。)を提供する方法(当該事項のうち景品その他の物品に表示されていない事項がある場合にあっては、当該景品その他の物品と当該事項が表示されている他の物品とを一体のものとして提供する方法を含む。)
(iii) provision of premiums or any other goods only indicating all of the following information (limited to premiums or goods clearly and accurately indicating the information listed in sub-items (b) through (d)) (if any of the following information is not indicated on the premiums or other goods, such provision includes the case of provision of such premiums or other goods incorporating other goods indicating such information as an integral part thereof):
イ 次に掲げるいずれかのものの名称、銘柄又は通称
(a) the name, issue or alias of any of the following:
(1) 金融商品取引契約又はその種類
1. the Contract for Financial Instruments Transaction or the types thereof;
(2) 有価証券又はその種類
2. the Securities or the types thereof;
(3) 出資対象事業又はその種類
3. the Invested Business or the types thereof; or
(4) (1)から(3)までに掲げる事項に準ずる事項
4. the information equivalent to those listed in 1. through 3.;
ロ この号に規定する方法により多数の者に対して同様の内容で行う情報の提供をする金融商品取引業者等の商号、名称若しくは氏名又はこれらの通称
(b) the trade name, name or alias of the Financial Instruments Business Operator, etc. which provides identical information to many persons by the means specified in this item;
ハ 令第十六条第二項第一号に掲げる事項(当該事項の文字又は数字が当該事項以外の事項の文字又は数字のうち最も大きなものと著しく異ならない大きさで表示されているものに限る。)
(c) the matters specified in Article 16, paragraph (2), item (i) of the Cabinet Order (limited to the case where the letters or numerical characters representing such matter are indicated in a size which does not differ substantially from the size of the largest letters or numerical characters representing matters other than such matters);
ニ 次に掲げるいずれかの書面の内容を十分に読むべき旨
(d) a notice to the effect that the recipient thereof should read any of the following documents comprehensively:
(1) 法第三十七条の三第一項に規定する書面(以下「契約締結前交付書面」という。)
1. the document prescribed in Article 37-3, paragraph (1) of the Act (hereinafter referred to as the "Document for Delivery Prior to Conclusion of Contract");
(2) 第八十条第一項第一号に規定する上場有価証券等書面
2. the Explanatory Document on Listed Securities, etc. prescribed in Article 80, paragraph (1), item (i);
(3) 第八十条第一項第三号に規定する目論見書(同号の規定により当該目論見書と一体のものとして交付される書面がある場合には、当該目論見書及び当該書面)
3. the Prospectus prescribed in Article 80, paragraph (1), item (iii) (if there is any document to be delivered as an integral part of such Prospectus pursuant to the provisions of that item;, such Prospectus and such document); and
(4) 第八十条第一項第四号ロに規定する契約変更書面
4. the Explanatory Document on Change to Contract Information prescribed in Article 80, paragraph (1), item (iv), sub-item (b).
(金融商品取引業の内容についての広告等の表示方法)
(Method of Indication of Advertisement, etc. on Contents of Financial Instruments Business)
第七十三条 金融商品取引業者等がその行う金融商品取引業(登録金融機関にあっては、登録金融機関業務。次項及び第三項において同じ。)の内容について広告又は前条に規定する行為(以下この款において「広告等」という。)をするときは、法第三十七条第一項各号に掲げる事項について明瞭かつ正確に表示しなければならない。
Article 73 (1) In cases where a Financial Instruments Business Operator, etc. intends to make an advertisement or to conduct any other acts specified in the preceding Article (hereinafter referred to as the "Advertisement, etc." in this Subsection) with regard to the contents of its Financial Instruments Business (in the case of a Registered Financial Institution, its Registered Financial Institution Business; the same applies in the following paragraph and paragraph (3)), it must clearly and accurately indicate the matters listed in the items of Article 37, paragraph (1) of the Act.
2 金融商品取引業者等がその行う金融商品取引業の内容について広告等をするときは、令第十六条第一項第四号及び第五号に掲げる事項の文字又は数字を当該事項以外の事項の文字又は数字のうち最も大きなものと著しく異ならない大きさで表示するものとする。
(2) In cases where a Financial Instruments Business Operator, etc. intends to make an Advertisement, etc. in regard to the contents of its Financial Instruments Business, it is to indicate the letters or numerical characters representing the matters specified in Article 16, paragraph (1), items (iv) and (v) of the Cabinet Order in a size which does not differ substantially from the size of the largest letters or numerical characters representing matters other than such matters.
3 金融商品取引業者等がその行う金融商品取引業の内容について基幹放送事業者(放送法(昭和二十五年法律第百三十二号)第二条第二十三号に規定する基幹放送事業者をいい、日本放送協会及び放送大学学園(放送大学学園法(平成十四年法律第百五十六号)第三条に規定する放送大学学園をいう。)を除く。以下同じ。)の放送設備により放送をさせる方法又は第七十七条第一項各号に掲げる方法(音声により放送をさせる方法を除く。)により広告をするときは、前項の規定にかかわらず、令第十六条第二項第一号に掲げる事項の文字又は数字を当該事項以外の事項の文字又は数字のうち最も大きなものと著しく異ならない大きさで表示するものとする。
(3) Notwithstanding the provisions of the preceding paragraph, in cases where a Financial Instruments Business Operator, etc. intends to make any advertisement of the contents of its Financial Instruments Business by means of having broadcast through the use of broadcasting facilities of a Basic Broadcaster (meaning the Basic Broadcaster prescribed in Article 2, item (xxiii) of the Broadcast Act (Act No. 132 of 1950) and excluding the Japan Broadcasting Corporation and the Open University of Japan (meaning the Open University of Japan defined in Article 3 of the Act on the Open University of Japan (Act No. 156 of 2002); the same applies hereinafter) or by any of the means listed in the items of Article 77, paragraph (1) (excluding the means of sound broadcasting), it is to indicate the letters or numerical characters representing the matters specified in Article 16, paragraph (2), item (i) of the Cabinet Order in a size which does not differ substantially from the size of the largest letters or numerical characters representing matters other than such matters.
(顧客が支払うべき対価に関する事項)
(Matters Related to Consideration Payable by Customers)
第七十四条 令第十六条第一項第一号に規定する内閣府令で定めるものは、手数料、報酬、費用その他いかなる名称によるかを問わず、金融商品取引契約に関して顧客が支払うべき対価(有価証券の価格又は保証金等の額(同項第三号に規定する保証金等の額をいう。第二百六十八条第一項において同じ。)を除く。以下この款において「手数料等」という。)の種類ごとの金額若しくはその上限額又はこれらの計算方法(当該金融商品取引契約に係る有価証券の価格、令第十六条第一項第三号に規定するデリバティブ取引等の額若しくは運用財産の額に対する割合又は金融商品取引行為を行うことにより生じた利益に対する割合を含む。以下この項において同じ。)の概要及び当該金額の合計額若しくはその上限額又はこれらの計算方法の概要とする。ただし、これらの表示をすることができない場合にあっては、その旨及びその理由とする。
Article 74 (1) The matters to be specified by Cabinet Office Order as referred to in Article 16, paragraph (1), item (i) of the Cabinet Order are the amount of the consideration payable by customers in relation to a Contract for Financial Instruments Transaction irrespective of its name such as fees, remuneration, expenses or others (excluding the price of the Securities or the Amount of Security Deposit, etc. (meaning the Amount of Security Deposit, etc. prescribed in item (iii) of that paragraph; the same applies in Article 268, paragraph (1); hereinafter referred to as the "Fees, etc." in this Subsection)) itemized by the types of such consideration or the upper limit thereof, or the outline of the method of calculation thereof (including the ratio to the price of the Securities, the amount of the Derivative Transactions, etc. prescribed in Article 16, paragraph (1), item (iii) of the Cabinet Order or the amount of Investment Properties, which pertains to the Contract for Financial Instruments Transaction, or the ratio to the profit generating from the Acts of Financial Instruments Transaction; hereinafter the same applies in this paragraph); and the total of such amount or upper limit thereof, or the outline of the method of calculation thereof; provided, however, that in cases where these details cannot be indicated, such fact and the reason therefor are indicated.
2 前項の金融商品取引契約が法第二条第一項第十号若しくは第十一号に掲げる有価証券に表示されるべき権利又は同条第二項第五号若しくは第六号に掲げる権利(以下この条及び第二百六十八条において「投資信託受益権等」という。)の取得に係るものであって、当該投資信託受益権等に係る財産が他の投資信託受益権等(以下この条において「出資対象投資信託受益権等」という。)に対して出資され、又は拠出されるものである場合には、前項の手数料等には、当該出資対象投資信託受益権等に係る信託報酬その他の手数料等を含むものとする。
(2) In cases where the Contract for Financial Instruments Transaction set forth in the preceding paragraph pertains to the acquisition of rights to be indicated on the Securities specified in Article 2, paragraph (1), item (x) or (xi) of the Act or of the rights specified in item (v) or (vi) of paragraph (2) of that Article (hereinafter referred to as the "Investment Trust Beneficial Interests, etc." in this Article and Article 268), and where the properties pertaining to such Investment Trust Beneficial Interests, etc. is to be invested or contributed in another Investment Trust Beneficial Interests, etc. (such other Investment Trust Beneficial Interests, etc. are hereinafter referred to as the "Target Investment Trust Beneficial Interests, etc." in this Article), the Fees, etc. set forth in the preceding paragraph are to include a trust fee and any other Fees, etc. pertaining to such Target Investment Trust Beneficial Interests, etc.
3 前項の出資対象投資信託受益権等に係る財産が他の投資信託受益権等に対して出資され、又は拠出される場合には、当該他の投資信託受益権等を出資対象投資信託受益権等とみなして、前二項の規定を適用する。
(3) In cases where the property pertaining to the Target Investment Trust Beneficial Interests, etc. set forth in the preceding paragraph are to be invested or contributed in another Investment Trust Beneficial Interests, etc., such other Investment Trust Beneficial Interests, etc. are deemed to be a Target Investment Trust Beneficial Interests, etc., and the provisions of the preceding two paragraphs apply.
4 前項の規定は、同項(この項において準用する場合を含む。)の規定により出資対象投資信託受益権等とみなされた投資信託受益権等に係る財産が他の投資信託受益権等に対して出資され、又は拠出される場合について準用する。
(4) The provisions of the preceding paragraph apply mutatis mutandis to cases where the property pertaining to the Investment Trust Beneficial Interests, etc. which is deemed to be a Target Investment Trust Beneficial Interests, etc. pursuant to the provisions of that paragraph (including the cases where it is applied mutatis mutandis pursuant to this paragraph) is to be invested or contributed in another Investment Trust Beneficial Interests, etc.
(売付けの価格と買付けの価格に相当する事項)
(Matters Equivalent to Sale Price and Purchase Price)
第七十五条 令第十六条第一項第六号に規定する内閣府令で定める事項は、次の各号に掲げる取引の区分に応じ、当該各号に定める事項とする。
Article 75 The matters to be specified by Cabinet Office Order as referred to in Article 16, paragraph (1), item (vi) of the Cabinet Order are the matters listed in the following items, in accordance with the categories of the transactions respectively set forth therein:
一 法第二条第二十二項第二号に掲げる取引 現実数値(同条第二十一項第二号に規定する現実数値をいう。以下同じ。)が約定数値(同号に規定する約定数値をいう。以下同じ。)を上回った場合に金銭を支払う立場の当事者となる取引の約定数値と当該金銭を受領する立場の当事者となる取引の約定数値又はこれらに類似するもの
(i) the transaction specified in Article 2, paragraph (22), item (ii) of the Act: the Agreed Figure under the transactions wherein the person becomes the party paying money when the Actual Figure (meaning the Actual Figure prescribed in item (ii), paragraph (21) of that Article; the same applies hereinafter) exceeds the Agreed Figure (meaning the Agreed Figure prescribed in that item; the same applies hereinafter), and the Agreed Figure under the transactions wherein the person becomes the party receiving such money, or any other figures similar thereto;
二 法第二条第二十二項第三号又は第四号に掲げる取引 同項第三号又は第四号に規定する権利を付与する立場の当事者となる取引の当該権利の対価の額と当該権利を取得する立場の当事者となる取引の当該権利の対価の額
(ii) the transaction specified in Article 2, paragraph (22), item (iii) or (iv) of the Act: the amount of consideration for the rights in regard to the transaction wherein the person becomes the party granting the rights specified in item (iii) or (iv) of that paragraph, and the amount of consideration for the rights in regard the transaction wherein the person becomes the party acquiring such rights;
三 法第二条第二十二項第五号に掲げる取引 金融商品(同条第二十四項第三号に掲げるものを除く。)の利率等(同条第二十一項第四号に規定する利率等をいう。以下同じ。)若しくは金融指標が約定した期間に上昇した場合に金銭を支払う立場の当事者となる取引における約定した期間の開始時の当該金融商品の利率等若しくは金融指標と当該金融商品の利率等若しくは金融指標が約定した期間に上昇した場合に金銭を受領する立場の当事者となる取引における約定した期間の開始時の当該金融商品の利率等若しくは金融指標又はこれらに類似するもの
(iii) the transaction specified in Article 2, paragraph (22), item (v) of the Act: the Interest Rates, etc. (meaning the interest rates, etc. prescribed in item (iv) of paragraph (21) of that Article; the same applies hereinafter) of the Financial Instruments (excluding that specified in item (iii) of paragraph (24) of that Article) or the Financial Indicator as of the time of the commencement of the agreed period for the transaction wherein the person becomes the party paying money when the Interest Rates, etc. or the Financial Indicators of the Financial Instruments rise within the agreed period, and the Interest Rates, etc. of the Financial Instruments or the Financial Indicators as of the time of the commencement of the agreed period for the transaction wherein the person becomes the party receiving money when the Interest Rates, etc. of the Financial Instruments or the Financial Indicator rise within the agreed period, or any other figures similar thereto; and
四 法第二条第二十二項第六号に掲げる取引 同号に規定する事由が発生した場合において金銭を支払う立場の当事者となる取引の条件と金銭を受領する立場の当事者となる取引の条件又はこれらに類似するもの
(iv) the transaction specified in Article 2, paragraph (22), item (vi) of the Act: the conditions of the transaction wherein the person becomes the party paying money in the case of the occurrence of any event specified in that item, and the conditions of the transaction wherein the person becomes the party receiving money in such case, or any other conditions similar thereto.
(顧客の判断に影響を及ぼす重要事項)
(Important Matters Which May Have Impact on Customers' Decision)
第七十六条 令第十六条第一項第七号に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 76 The matters to be specified by Cabinet Office Order as referred to in Article 16, paragraph (1), item (vii) of the Cabinet Order are as follows:
一 当該金融商品取引契約に関する重要な事項について顧客の不利益となる事実
(i) the facts regarding important matters on the Contract for Financial Instruments Transaction, which would be disadvantageous to the customer; and
二 当該金融商品取引業者等が金融商品取引業協会に加入している場合にあっては、その旨及び当該金融商品取引業協会の名称
(ii) in cases where the Financial Instruments Business Operator, etc. is a member of a Financial Instruments Firms Association, such fact and the name of such Financial Instruments Firms Association.
(基幹放送事業者の放送設備により放送をさせる方法に準ずる方法等)
(Method Equivalent to Broadcasting Using Broadcasting Facilities of Basic Broadcaster)
第七十七条 令第十六条第二項に規定する内閣府令で定める方法は、次に掲げるものとする。
Article 77 (1) The methods to be specified by Cabinet Office Order as referred to in Article 16, paragraph (2) of the Cabinet Order are as follows:
一 一般放送事業者(放送法第二条第二十五号に規定する一般放送事業者をいう。第二百七十条第一項第一号において同じ。)の放送設備により放送をさせる方法
(i) to broadcast using the broadcasting facilities of Private Broadcaster (meaning the Private Broadcaster defined in Article 2, item (xxv) of the Broadcast Act; the same applies in article 270, paragraph (1), item (i)):
二 金融商品取引業者等又は当該金融商品取引業者等が行う広告等に係る業務の委託を受けた者の使用に係る電子計算機に備えられたファイルに記録された情報の内容(基幹放送事業者の放送設備により放送をさせる方法又は前号に掲げる方法により提供される事項と同一のものに限る。)を電気通信回線を利用して顧客に閲覧させる方法
(ii) to make available for the customer's inspection the contents of the information recorded into the files stored on the computer used by a Financial Instruments Business Operator, etc. or by a person who has accepted entrustment of the service of an Advertisement, etc. to be made by the Financial Instruments Business Operator, etc. (limited to information identical to that provided by means of broadcasting using the broadcasting facilities of a Basic Broadcaster or by the means specified in the preceding item) via telecommunications line; or
三 常時又は一定の期間継続して屋内又は屋外で公衆に表示させる方法であって、看板、立看板、はり紙及びはり札並びに広告塔、広告板、建物その他の工作物等に掲出させ、又は表示させるもの並びにこれらに類するもの
(iii) to expose to the public an indoor or outdoor advertisement regularly or continuously for a fixed period, by means of posting or indicating it on signboards, standing signboards, bills, notices, advertising towers, billboards, buildings or any other structures, or any other methods similar thereto.
2 令第十六条第二項第二号に規定する内閣府令で定める事項は、第七十二条第三号ニに掲げる事項とする。
(2) The matters to be specified by Cabinet Office Order as referred to in Article 16, paragraph (2), item (ii) of the Cabinet Order are the matters specified in Article 72, item (iii), sub-item (d).
(誇大広告をしてはならない事項)
(Matters Prohibited from Misleading Advertisement)
第七十八条 法第三十七条第二項に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 78 The matters to be specified by Cabinet Office Order as referred to in Article 37, paragraph (2) of the Act are as follows:
一 金融商品取引契約の解除に関する事項(法第三十七条の六第一項から第四項までの規定に関する事項を含む。)
(i) the matters related to cancellation of a Contract for a Financial Instruments Transaction (including matters related to the provisions of Article 37-6, paragraphs (1) through (4) of the Act);
二 金融商品取引契約に係る損失の全部若しくは一部の負担又は利益の保証に関する事項
(ii) the matters related to the sharing of all or part of the losses or a guarantee of profit, in connection with a Contract for a Financial Instruments Transaction;
三 金融商品取引契約に係る損害賠償額の予定(違約金を含む。)に関する事項
(iii) the matters related to agreement for liquidated damages (including penalties) pertaining to the Contract for Financial Instruments Transaction;
四 金融商品取引契約に係る金融商品市場又は金融商品市場に類似する市場で外国に所在するものに関する事項
(iv) the matters related to the Financial Instruments Market or any other market similar thereto located in a foreign state, which pertains to the Contract for Financial Instruments Transaction;
五 金融商品取引業者等の資力又は信用に関する事項
(v) the matters related to the financial resources or credit of the Financial Instruments Business Operator, etc.;
六 金融商品取引業者等の金融商品取引業(登録金融機関にあっては、登録金融機関業務)の実績に関する事項
(vi) the matters related to the performance of the Financial Instruments Business conducted by the Financial Instruments Business Operator, etc. (in the case of a Registered Financial Institution, the performance of the Registered Financial Institution Business conducted by the Registered Financial Institution);
七 金融商品取引契約に関して顧客が支払うべき手数料等の額又はその計算方法、支払の方法及び時期並びに支払先に関する事項
(vii) the matters related to the amount of the Fees, etc. payable by customers in connection with a Contract for Financial Instruments Transaction or the method of calculation therefor, and the method and timing of the payment of such Fees, etc. and the payee of such Fees, etc.;
八 抵当証券等(法第二条第一項第十六号に掲げる有価証券又は同項第十七号に掲げる有価証券(同項第十六号に掲げる性質を有するものに限る。)をいう。以下同じ。)の売買その他の取引について広告等をする場合にあっては、次に掲げる事項
(viii) in cases of an Advertisement, etc. for the purchase and sale or any other transaction of the Mortgage Securities, etc. (meaning the Securities specified in Article 2, paragraph (1), item (xvi) of the Act, or the Securities specified in item (xvii) of that paragraph (limited to those which have the nature specified in item (xvi) of that paragraph); the same applies hereinafter), the following matters:
イ 抵当証券等に記載された債権の元本及び利息の支払の確実性又は保証に関する事項
(a) the matters related to the certainty or guarantee of the payment of principal and interests of the claims specified in the Mortgage Securities, etc.;
ロ 金融商品取引業者等に対する推薦に関する事項
(b) the matters related to recommendation regarding a Financial Instruments Business Operator, etc.;
ハ 利息に関する事項
(c) the matters related to interest; and
ニ 抵当証券等に記載された抵当権の目的に関する事項
(d) the matters related to the collateral on which the mortgage has been created, as stated in the Mortgage Securities, etc.;
九 投資顧問契約について広告等をする場合にあっては、助言の内容及び方法に関する事項
(ix) in cases of an Advertisement, etc. regarding an Investment Advisory Contract, the matters related to the contents and methods of advice;
十 投資一任契約又は法第二条第八項第十五号に掲げる行為を行うことを内容とする契約について広告等をする場合にあっては、投資判断の内容及び方法に関する事項
(x) in cases of an Advertisement, etc. of a Discretionary Investment Contract or a contract for conducting acts specified in Article 2, paragraph (8), item (xv) of the Act, the matters related to the contents and method of making the Investment Decisions; and
十一 第七条第四号ニ(1)に掲げる権利に係る募集又は私募について広告等をする場合にあっては、競走用馬の血統及び飼養管理の状況に関する事項
(xi) in cases of an Advertisement, etc. regarding the public offering or private placement of the rights specified in Article 7, item (iv), sub-item (d)1., the matters related to bloodlines of the racehorses and the status of the management of the breeding thereof.
(契約締結前交付書面の記載方法)
(Method of Statement of Document for Delivery Prior to Conclusion of Contract)
第七十九条 契約締結前交付書面には、法第三十七条の三第一項各号に掲げる事項を日本工業規格Z八三〇五に規定する八ポイント以上の大きさの文字及び数字を用いて明瞭かつ正確に記載しなければならない。
Article 79 (1) The matters listed in the items of Article 37-3, paragraph (1) of the Act must be stated unambiguously and accurately in the Document for Delivery Prior to Conclusion of Contract by using letters, characters and numerals larger than 8-point as provided in the JIS Z8305.
2 前項の規定にかかわらず、契約締結前交付書面には、次に掲げる事項を枠の中に日本工業規格Z八三〇五に規定する十二ポイント以上の大きさの文字及び数字を用いて明瞭かつ正確に記載し、かつ、次項に規定する事項の次に記載するものとする。
(2) Notwithstanding the provisions of the preceding paragraph, the matters listed in the following items are to be stated unambiguously and accurately after the matters required to be stated under the following paragraph in the frame of the Document for Delivery Prior to Conclusion of Contract by using letters, characters and numerals larger than 12-point as provided in the JIS Z8305:
一 法第三十七条の三第一項第四号に掲げる事項の概要並びに同項第五号及び第六号並びに第八十二条第三号から第六号までに掲げる事項
(i) an outline of the matters listed in Article 37-3, paragraph (1), item (iv) of the Act, and the matters listed in Article 37-3, paragraph (1), item (v) and (vi) of the Act and Article 82, items (iii) through (vi) of this Cabinet Office Order;
二 金融商品取引契約が店頭デリバティブ取引契約(令第十六条の四第一項イからハまでに掲げる取引(以下「店頭金融先物取引」という。)に係る同号に掲げる契約又は同項第二号に掲げる契約(第百十六条第一項第三号イ及びロに掲げる取引に係るものを除く。)をいう。以下同じ。)であるときは、第九十四条第一項第一号及び第四号に掲げる事項
(ii) in cases where the Contract for Financial Instruments Transaction is a contract for Over-the-Counter Derivatives Transactions (meaning contracts listed in Article 16-4, paragraph (1), sub-items (a) through (c) of the Cabinet Order pertaining to the translations listed in those items (hereinafter referred to as the "Over-the-Counter Transactions of Financial Futures") or contracts listed in item (ii) of that paragraph (excluding contracts pertaining to transactions listed in Article 116, paragraph (1), item (iii), sub-items (a) and (b)); the same applies hereinafter), the matters listed in Article 94, paragraph (1), item (i) and (iv); and
三 第八十二条第九号に掲げる事項
(iii) the matter listed in Article 82, item (ix).
3 金融商品取引業者等は、契約締結前交付書面には、第八十二条第一号に掲げる事項、第九十二条の二第一項第三号に掲げる事項(その締結しようとする金融商品取引契約が、出資対象事業持分(法第二条第二項第五号又は第六号に掲げる権利をいう。以下同じ。)のうち当該出資対象事業持分に係る出資対象事業が主として有価証券又はデリバティブ取引に係る権利に対する投資を行う事業以外の事業であるものの売買その他の取引に係るものである場合に限る。)及び法第三十七条の三第一項各号に掲げる事項のうち顧客の判断に影響を及ぼすこととなる特に重要なものを、日本工業規格Z八三〇五に規定する十二ポイント以上の大きさの文字及び数字を用いて当該契約締結前交付書面の最初に平易に記載するものとする。
(3) A Financial Instruments Business Operator, etc. is to, when preparing the Document for Delivery Prior to Conclusion of Contract, state plainly the matter listed in Article 82, item (i), the matters listed in Article 92-2, paragraph (1), item (iii) (limited to cases where the Financial Instruments Transaction Contract to be concluded pertains to the purchase and sale and other transactions of the right of the Equity of Invested Business (meaning the right listed in Article 2, paragraph (2), item (v) or (vi) of the Act; the same applies hereinafter), of which Invested Business pertaining to said Equity of Invested Business is the business other than a business which invests primarily in the rights pertaining to Securities or derivative transactions), and particularly important matters that may have an impact on customers' judgment among the matters listed in the items of Article 37-3, paragraph (1) of the Act at the beginning of the Document for Delivery Prior to Conclusion of Contract by using letters, characters and numerals larger than 12-point as provided in the JIS Z8305.
(契約締結前交付書面の交付を要しない場合)
(Exemption from Requirement of Delivery of Document for Delivery Prior to Conclusion of Contract)
第八十条 法第三十七条の三第一項ただし書に規定する内閣府令で定める場合は、次に掲げる場合とする。
Article 80 (1) The matters to be specified by Cabinet Office Order as referred to in the proviso to Article 37-3, paragraph (1) of the Act are as follows:
一 金融商品取引所に上場されている有価証券、店頭売買有価証券(法第二条第一項第十九号に掲げる有価証券及び金融庁長官の指定する有価証券を除く。)、金融商品取引所に類似するもので外国に所在するものに上場されている有価証券又は店頭売買有価証券市場に類似する市場で外国に所在するものにおいて取引されている有価証券(金融庁長官の指定する有価証券を除く。)の売買その他の取引(デリバティブ取引に該当するもの並びに信用取引及び発行日取引又はこれらに類似する取引を除く。以下「上場有価証券等売買等」という。)に係る金融商品取引契約の締結前一年以内に当該顧客に対し当該金融商品取引契約について法第三十七条の三第一項第一号から第五号まで並びに第八十二条第一号、第三号、第五号、第十一号、第十四号及び第十五号に掲げる事項を、前条に規定する方法に準ずる方法により記載した書面(以下「上場有価証券等書面」という。)を交付している場合
(i) the cases where, with regard to the purchase and sale or any other transaction of Securities listed on a Financial Instruments Exchange Market, Over-the-Counter Traded Securities (excluding the Securities specified in Article 2, paragraph (1), item (xix) of the Act and the Securities designated by the Commissioner of the Financial Services Agency), Securities listed on an exchange located in a foreign state which is similar to a Financial Instruments Exchange, or Securities traded on a market located in a foreign state which is similar to the Over-the Counter Securities Market (excluding the Securities designated by the Commissioner of the Financial Services Agency) (the above excludes transactions which fall under the category of Derivative Transactions, and also excludes margin transactions, When-Issued Transaction or any other transaction similar to those transactions; hereinafter collectively referred to as the "Purchase and Sale, etc. of Listed Securities, etc."), a Financial Instruments Business Operator, etc., within one year prior to the conclusion of the Contract for a Financial Instruments Transaction pertaining to the transaction, had delivered to the customer a document on the Contract for Financial Instruments Transaction containing the matters set forth in Article 37-3, paragraph (1), items (i) through (v) of the Act and Article 82, item (i), (iii), (v), (xi), (xiv) and (xv) of this Cabinet Office Order prepared in accordance with the methods equivalent to those specified in the preceding Article (hereinafter referred to as the "Explanatory Document on Listed Securities, etc.");
二 有価証券の売買(法第二条第八項第一号に規定する有価証券の売買をいう。以下同じ。)その他の取引又はデリバティブ取引等に係る金融商品取引契約の締結前一年以内に当該顧客に対し当該金融商品取引契約と同種の内容の金融商品取引契約に係る契約締結前交付書面を交付している場合
(ii) in cases where, within one year prior to the conclusion of the Contract for Financial Instruments Transaction pertaining to the Purchase and Sale of Securities (meaning the purchase and sale of Securities prescribed in Article 2, paragraph (8), item (i) of the Act; the same applies hereinafter), any other type of transaction of Securities, or Derivative Transactions, etc., a Financial Instruments Business Operator, etc. has delivered to the customer a Document for Delivery Prior to Conclusion of Contract related to any other Contract for Financial Instruments Transaction which is in substance identical to the first-mentioned Contract for Financial Instruments Transaction;
三 当該顧客に対し目論見書(前条に規定する方法に準ずる方法により当該契約締結前交付書面に記載すべき事項のすべてが記載されているものに限る。)を交付している場合(目論見書に当該事項のすべてが記載されていない場合にあっては、当該目論見書及び当該事項のうち当該目論見書に記載されていない事項のすべてが記載されている書面を一体のものとして交付している場合を含む。)又は法第十五条第二項第二号に掲げる場合
(iii) in cases where the Financial Instruments Business Operator, etc. has delivered to the customer a Prospectus (limited to a Prospectus containing all of the matters to be stated in the Document for Delivery Prior to Conclusion of Contract, as prepared in accordance with the methods equivalent to those specified in the preceding Article) (if the Prospectus does not contain all of such matters, including the cases where a document stating all of the matters not contained therein has been delivered as an integral part of such Prospectus), or in the cases specified in Article 15, paragraph (2), item (ii) of the Act;
四 既に成立している金融商品取引契約の一部の変更をすることを内容とする金融商品取引契約を締結しようとする場合においては、次に掲げるとき。
(iv) where the Financial Instruments Business Operator, etc. intends to conclude a Contract for Financial Instruments Transaction for the purpose of effecting a partial change to any term of a Contract for Financial Instruments Transaction already in effect, the following cases:
イ 当該変更に既に成立している当該金融商品取引契約に係る契約締結前交付書面の記載事項に変更すべきものがないとき。
(a) where such partial change does not result in a change to the matters to be stated in the Document for Delivery Prior to Conclusion of Contract pertaining to the Contract for Financial Instruments Transaction already in effect; or
ロ 当該変更に伴い既に成立している金融商品取引契約に係る契約締結前交付書面の記載事項に変更すべきものがある場合にあっては、当該顧客に対し当該変更すべき記載事項を記載した書面(以下「契約変更書面」という。)を交付しているとき。
(b) if such partial change results in a change to the matters to be stated in the Document for Delivery Prior to Conclusion of Contract pertaining to the Contract for Financial Instruments Transaction already in effect, the cases where the Financial Instruments Business Operator, etc. has delivered to the customer a document stating the matters subject to such change (hereinafter referred to as the "Explanatory Document on Change to Contract Information").
五 当該金融商品取引契約が次に掲げる行為に係るものである場合
(v) where the Contract for Financial Instruments Transaction pertains to any of the following acts:
イ 有価証券の売付け(当該金融商品取引業者等との間で当該有価証券の買付けに係る金融商品取引契約を締結した場合に限る。)
(a) the sale of Securities (limited to the cases where a Contract for Financial Instruments Transaction for the purchase of the Securities has been concluded with the Financial Instruments Business Operator, etc.);
ロ 有価証券の買付けの媒介又は代理(公開買付者(法第二十七条の三第二項(法第二十七条の二十二の二第二項において準用する場合を含む。)に規定する公開買付者をいう。以下同じ。)を相手方として公開買付け(法第二十七条の二第六項(法第二十七条の二十二の二第二項において準用する場合を含む。)に規定する公開買付けをいう。第百十条第一項第二号ト及び第百十一条第二号において同じ。)に係る有価証券の買付けの媒介又は代理を行う場合に限る。)
(b) an intermediary or agency service for the purchase of Securities (limited to the cases where the Financial Instruments Business Operator, etc. provides an intermediary or agency service for the purchase of Securities pertaining to the Tender Offer (meaning the Tender Offer prescribed in Article 27-2, paragraph (6) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act); the same applies in Article 110, paragraph (1), item (ii), sub-item (g) and Article 111, item (ii)) to a Tender Offeror (meaning the Tender Offeror prescribed in Article 27-3, paragraph (2) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act); the same applies hereinafter));
ハ 令第一条の十二に規定する行為
(c) an act set forth in Article 1-12 of the Cabinet Order;
ニ 令第三十三条の十四第三項に規定する反対売買
(d) a reversing trade set forth in Article 33-14, paragraph (3) of the Cabinet Order:
ホ 累積投資契約(金融商品取引業者等が顧客から金銭を預かり、当該金額を対価としてあらかじめ定めた期日において当該顧客に有価証券を継続的に売り付ける契約をいう。以下ホ及び第百十条第一項第一号イにおいて同じ。)による有価証券の買付け又は累積投資契約に基づき定期的にする有価証券の売付け
(e) the purchase of Securities under a Contract for Cumulative Investment (meaning a contract wherein a Financial Instruments Business Operator, etc. receives a money deposit from a customer and sells Securities to that customer continuously on dates designated in advance while receiving a consideration payable out of such money deposit; hereinafter the same applies in sub-item (e) and Article 110, paragraph (1), item (i), sub-item (a)), or the sale of Securities to be conducted on a regular basis under a Contract for Cumulative Investment;
ヘ 顧客が所有する法第二条第一項第十号に掲げる有価証券又は同条第二項第五号若しくは第六号に掲げる権利から生ずる収益金をもって当該有価証券又は当該権利と同一の銘柄を取得させるもの
(f) with regard to the Securities specified in Article 2, paragraph (1), item (x) of the Act owned by a customer or rights specified in item (v) or (vi) of paragraph (2) of that Article, an act to have such customer acquire an issue identical to such Securities or rights, using the earnings generated from those Securities or rights;
ト 法第二条第一項第十号に掲げる有価証券(投資信託及び投資法人に関する法律施行規則第二十五条第二号に規定する公社債投資信託(計算期間が一日のものに限る。)の受益証券に限る。)の売買(当初の買付けを除く。)又は当該有価証券に係る投資信託契約(投資信託及び投資法人に関する法律第三条又は第四十七条第一項に規定する投資信託契約をいう。以下同じ。)の解約
(g) the purchase and sale (excluding the initial purchase) of the Securities specified in Article 2, paragraph (1), item (x) of the Act (limited to the Beneficiary Certificates for Bond Investment Trust prescribed in Article 25, item (ii) the Regulation for Enforcement of the Act on Investment Trust and Investment Corporations (limited to the Bond Investment Trust of which accounting period is one day)), or cancellation of an Investment Trust Agreement (meaning the Investment Trust Agreement prescribed in Article 3 or Article 47, paragraph (1) of the Act on Investment Trust and Investment Corporations; the same applies hereinafter) pertaining to such Securities:
チ 有価証券の引受け
(h) the Underwriting of Securities; or
リ 有価証券の募集若しくは売出しの取扱い若しくは私募の取扱い又は特定投資家向け売付け勧誘等の取扱い(当該金融商品取引契約に係る顧客が当該有価証券の発行者又は所有者である場合に限る。)
(i) dealing in a Public Offering or Secondary Distribution of Securities, dealing in Private Placement of Securities, or dealing in a Solicitation for Selling, etc. Only for Professional Investors (limited to the cases where the customer pertaining to the Contract for Financial Instruments Transaction is the Issuer or owner of such Securities).
2 法第三十四条の二第四項及び令第十五条の二十二の規定並びに第五十六条の規定は、前項第一号の規定による上場有価証券等書面の交付、同項第三号の規定による書面の交付及び同項第四号ロの規定による契約変更書面の交付について準用する。
(2) The provisions of Article 34-2, paragraph (4) of the Act, Article 15-22 of the Cabinet Order and Article 56 of this Cabinet Office Order apply mutatis mutandis to the delivery of an Explanatory Document on Listed Securities, etc. under item (i) of the preceding paragraph, delivery of a document under item (iii) of that paragraph and delivery of an Explanatory Document on Change to Contract Information under sub-item (b), item (iv) of that paragraph.
3 上場有価証券等書面を交付した日(この項の規定により上場有価証券等書面を交付したものとみなされた日を含む。)から一年以内に上場有価証券等売買等に係る金融商品取引契約の締結を行った場合には、当該締結の日において上場有価証券等書面を交付したものとみなして、第一項第一号の規定を適用する。
(3) In cases where, within one year from the day of delivery of the Explanatory Document on Listed Securities, etc. (including the day when the Explanatory Document on Listed Securities, etc. is deemed to have been delivered pursuant to the provisions of this paragraph), a Contract for Financial Instruments Transaction pertaining to the Purchase and Sale, etc. of Listed Securities, etc. has been concluded, such Explanatory Document on Listed Securities, etc. is deemed to have been delivered on the date of the conclusion of the contract, and the provisions of item (i) of paragraph (1) apply.
4 契約締結前交付書面を交付した日(この項の規定により契約締結前交付書面を交付したものとみなされた日を含む。)から一年以内に当該契約締結前交付書面に係る金融商品取引契約と同種の内容の金融商品取引契約(店頭デリバティブ取引契約を除く。)の締結を行った場合には、当該締結の日において契約締結前交付書面を交付したものとみなして、第一項第二号の規定を適用する。
(4) In cases where, within one year from the day of delivery of the Document for Delivery Prior to Conclusion of Contract (including the day when the Document for Delivery Prior to Conclusion of Contract is deemed to have been delivered pursuant to the provisions of this paragraph), a Contract for Financial Instruments Transaction which is in substance identical to that pertaining to such Document for Delivery Prior to Conclusion of Contract (excluding the contract for Over-the-Counter Derivatives Transactions) has been concluded, such Document for Delivery Prior to Conclusion of Contract is deemed to have been delivered on the date of the conclusion of the contract, and the provisions of item (ii) of paragraph (1) apply.
5 法第二条第一項第十号に掲げる有価証券に係る目論見書(第一項第三号の規定により目論見書と一体のものとして交付される書面がある場合には、当該目論見書及び当該書面)に対する第一項第三号の規定の適用については、同号中「前条に規定する方法に準ずる方法により当該」とあるのは、「当該」とする。
(5) With regard to the application of the provisions of item (iii) of paragraph (1), to a Prospectus (if there is any document to be delivered as an integral part of a Prospectus pursuant to the provisions of item (iii) of paragraph (1), such Prospectus and such document) pertaining to any Securities listed in Article 2, paragraph (1), item (x) of the Act, the phrase "Document for Delivery Prior to Conclusion of Contract, as prepared in accordance with the methods equivalent to those specified in the preceding Article" is deemed to be replaced with "Document for Delivery Prior to Conclusion of Contract."
(顧客が支払うべき対価に関する事項)
(Matters Related to Consideration Payable by Customers)
第八十一条 法第三十七条の三第一項第四号に規定する内閣府令で定めるものは、手数料、報酬、費用その他いかなる名称によるかを問わず、金融商品取引契約に関して顧客が支払うべき手数料等の種類ごとの金額若しくはその上限額又はこれらの計算方法(当該金融商品取引契約に係る有価証券の価格、令第十六条第一項第三号に規定するデリバティブ取引等の額若しくは運用財産の額に対する割合又は金融商品取引行為を行うことにより生じた利益に対する割合を含む。以下この項において同じ。)及び当該金額の合計額若しくはその上限額又はこれらの計算方法とする。ただし、これらの記載をすることができない場合にあっては、その旨及びその理由とする。
Article 81 (1) The matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (iv) of the Act are the amount of the consideration payable by customers in relation to a Contract for Financial Instruments Transaction irrespective of its name such as fees, remuneration, expenses or others, as itemized by the types of such consideration or the upper limit thereof, or an outline of the method of calculation thereof (including the ratio to the price of Securities, the amount of the Derivative Transactions, etc. prescribed in Article 16, paragraph (1), item (iii) of the Cabinet Order or the amount of Investment Property, which pertains to the Contract for Financial Instruments Transaction, or the ratio to the profit generating from Acts of Financial Instruments Transaction; hereinafter the same applies in this paragraph); and the total of such amount or upper limit thereof or an outline of the method of calculation thereof; provided, however, that in cases where these details cannot be indicated, such fact and the reason therefor are indicated.
2 第七十四条第二項から第四項までの規定は、前項の手数料等について準用する。
(2) The provisions of paragraphs (2) to (4) of Article 74 apply mutatis mutandis to the Fees, etc. set forth in the preceding paragraph.
(契約締結前交付書面の共通記載事項)
(Matters to be Stated in All Types of Documents for Delivery Prior to Conclusion of Contract)
第八十二条 法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 82 The matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows:
一 当該契約締結前交付書面の内容を十分に読むべき旨
(i) a notice to the effect that the recipient of the Document for Delivery Prior to Conclusion of Contract should read the contents thereof comprehensively;
二 令第十六条第一項第二号に掲げる事項
(ii) the matters specified in Article 16, paragraph (1), item (ii) of the Cabinet Order;
三 顧客が行う金融商品取引行為について金利、通貨の価格、金融商品市場における相場その他の指標に係る変動を直接の原因として損失が生ずることとなるおそれがある場合にあっては、次に掲げる事項
(iii) in cases where any Act of Financial Instruments Transaction to be conducted by the customer bears a risk of the accrual of any loss caused directly by a fluctuation in indicators such as money rate, value of currencies or quotations on the Financial Instruments Market, the following matters:
イ 当該指標
(a) the indicators; and
ロ 当該指標に係る変動により損失が生ずるおそれがある理由
(b) the reasons for the risk of loss which may be caused by any fluctuation in the indicators.
四 前号の損失の額が顧客が預託すべき委託証拠金その他の保証金の額を上回ることとなるおそれ(以下この号において「元本超過損が生ずるおそれ」という。)がある場合にあっては、次に掲げる事項
(iv) in cases where there is a risk that the amount of loss set forth in the preceding item may exceed the amount of any security deposit to be deposited by the customer such as customer margin (such risk is hereinafter referred to as the "Risk of Loss in Excess of Principal" in this item), the following matters:
イ 前号の指標のうち元本超過損が生ずるおそれを生じさせる直接の原因となるもの
(a) the indicator referred to in the preceding item which would be a direct cause of the Risk of Loss in Excess of Principal; and
ロ イに掲げるものに係る変動により元本超過損が生ずるおそれがある理由
(b) the reason of Risk of Loss in Excess of Principal which may be caused by the fluctuation in the indicators set forth in sub-item (a).
五 顧客が行う金融商品取引行為について当該金融商品取引業者等その他の者の業務又は財産の状況の変化を直接の原因として損失が生ずることとなるおそれがある場合にあっては、次に掲げる事項
(v) in cases where the Act of Financial Instruments Transaction to be conducted by the customer bears a risk of the accrual of any loss caused directly by a change to the status of the business or property of the Financial Instruments Business Operator, etc. or any other person, the following matters:
イ 当該者
(a) such person; and
ロ 当該者の業務又は財産の状況の変化により損失が生ずるおそれがある旨及びその理由
(b) the fact that any change to status of such person's business or property may result in an accrual of loss, and the reasons therefor;
六 前号の損失の額が顧客が預託すべき委託証拠金その他の保証金の額を上回ることとなるおそれ(以下この号において「元本超過損が生ずるおそれ」という。)がある場合にあっては、次に掲げる事項
(vi) in cases where there is a risk that the amount of loss set forth in the preceding item may exceed the amount of any security deposit to be deposited by the customer such as customer margin (hereinafter referred to as the "Risk of Loss in Excess of Principal" in this item), the following matters:
イ 前号の者のうち元本超過損が生ずるおそれを生じさせる直接の原因となるもの
(a) the person set forth in the preceding item who would be a direct cause of the Risk of Loss in Excess of Principal; and
ロ イに掲げるものの業務又は財産の状況の変化により元本超過損が生ずるおそれがある旨及びその理由
(b) the fact that any change to status of business or property of the person specified in sub-item (a) may result in Risk of Loss in Excess of Principal, and reasons therefor.
七 当該金融商品取引契約に関する租税の概要
(vii) an outline of the taxation related to the Contract for Financial Instruments Transaction;
八 当該金融商品取引契約の終了の事由がある場合にあっては、その内容
(viii) in cases where there is any ground for termination of the Contract for Financial Instruments Transaction, the details thereof;
九 当該金融商品取引契約への法第三十七条の六の規定の適用の有無
(ix) information as to as to whether the provisions of Article 37-6 of the Act is applicable to the Contract for Financial Instruments Transaction;
十 当該金融商品取引契約が法第三十七条の六の規定が適用されるものである場合にあっては、同条第一項から第四項までの規定に関する事項
(x) in the cases where the provisions of Article 37-6 of the Act is applicable to the Contract for Financial Instruments Transaction, the matters related to the provisions of paragraphs (1) through (4) of that Article;
十一 当該金融商品取引業者等の概要
(xi) an outline of the Financial Instruments Business Operator, etc.;
十二 当該金融商品取引業者等が行う金融商品取引業(登録金融機関にあっては、登録金融機関業務)の内容及び方法の概要
(xii) an outline of contents and methods of the Financial Instruments Business to be conducted by the Financial Instruments Business Operator, etc. (in the case of a Registered Financial Institution, the Registered Financial Institution Business to be conducted by the Registered Financial Institution);
十三 顧客が当該金融商品取引業者等に連絡する方法
(xiii) the method whereby a customer contacts the Financial Instruments Business Operator, etc.; and
十四 当該金融商品取引業者等が加入している金融商品取引業協会及び対象事業者となっている認定投資者保護団体(当該金融商品取引契約が当該認定投資者保護団体の認定業務(法第七十九条の十第一項に規定する認定業務をいう。)の対象となるものである場合における当該認定投資者保護団体に限る。)の有無(加入し、又は対象事業者となっている場合にあっては、その名称)
(xiv) information as to whether the Financial Instruments Business Operator, etc. is a member of any Financial Instruments Firms Association, or whether it is a Target Business Operator of any Certified Investor Protection Organization (limited to such Certified Investor Protection Organization where the Contract for Financial Instruments Transaction is covered by the Certified Businesses (meaning the Certified Businesses prescribed in Article 79-10, paragraph (1) of the Act) of such Certified Investor Protection Organization) (if it is a member or a Target Business Operator of any of these organizations, the name thereof).
十五 次のイ又はロに掲げる場合の区分に応じ、当該イ又はロに定める事項
(xv) according to the categories specified in the following sub-item (a) or (b), the matters specified in the following sub-item (a) or (b):
イ 指定紛争解決機関(当該金融商品取引契約に係る業務をその紛争解決等業務の種別とするものに限る。以下この号において同じ。)が存在する場合 当該金融商品取引業者等が法第三十七条の七第一項第一号イ、第二号イ、第三号イ、第四号イ又は第五号イに定める業務に係る手続実施基本契約を締結する措置を講ずる当該手続実施基本契約の相手方である指定紛争解決機関の商号又は名称
(a) in cases where there is a Designated Dispute Resolution Organization (limited to such organization of which Category for Business of Dispute Resolution, etc. covers the business concerning such Contract for Financial Instruments Transaction; hereinafter the same applies in this item): the trade name or name of the Designated Dispute Resolution Organization with whom the Financial Instruments Business Operator, etc. concludes a Basic Contract for Implementation of Dispute Procedures for the purpose of taking the measures to conclude such Contract for Implementation of Dispute Procedures pertaining to the business specified in Article 37-7, paragraph (1), item (i), sub-item (a), item (ii), sub-item (a), item (iii), sub-item (a), item (iv), sub-item (a) or item (v), sub-item (a) of the Act; or
ロ 指定紛争解決機関が存在しない場合 当該金融商品取引業者等の法第三十七条の七第一項第一号ロ、第二号ロ、第三号ロ、第四号ロ又は第五号ロに定める業務に関する苦情処理措置及び紛争解決措置の内容
(b) in cases where there is no Designated Dispute Resolution Organization: the contents of the Complaint Processing Measures and Dispute Resolution Measures concerning the business specified in Article 37-7, paragraph (1), item (i), sub-item (b), item (ii), sub-item (b), item (iii), sub-item (b), item (iv), sub-item (b) or item (v), sub-item (b) of the Act of the Financial Instruments Business Operator, etc.
(有価証券の売買その他の取引に係る契約締結前交付書面の共通記載事項)
(Matters to be Stated in All Types of Documents for Delivery Prior to Conclusion of Contract pertaining to Purchase and Sale and Other Transactions of Securities)
第八十三条 その締結しようとする金融商品取引契約が有価証券の売買その他の取引に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、前条各号に掲げる事項のほか、次に掲げる事項とする。
Article 83 (1) With regard to the cases where the Contract for Financial Instruments Transaction to be concluded pertains to the purchase and sale or any other transaction of Securities, the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows, in addition to the matters specified in the items of the preceding Article:
一 当該有価証券の譲渡に制限がある場合にあっては、その旨及び当該制限の内容
(i) in cases where the transfer of the Securities is subject to any restriction, to that effect and the details of such restriction; and
二 当該有価証券が取扱有価証券である場合にあっては、当該取扱有価証券の売買の機会に関し顧客の注意を喚起すべき事項
(ii) in cases where the Securities fall under the category of the Tradable Securities, the matters which should be noted by the customer in relation to an opportunity for the purchase and sale of said Tradable Securities.
2 一の有価証券の売買その他の取引について二以上の金融商品取引業者等が法第三十七条の三第一項の規定により顧客に対し契約締結前交付書面を交付しなければならない場合において、いずれか一の金融商品取引業者等が前項各号に掲げる事項を記載した契約締結前交付書面を交付したときは、他の金融商品取引業者等は、同項の規定にかかわらず、契約締結前交付書面に同項各号に掲げる事項を記載することを要しない。
(2) Notwithstanding the provisions of the preceding paragraph, in the cases where two or more Financial Instruments Business Operators, etc. are required to deliver to the customer a Document for Delivery Prior to Conclusion of Contract with regard to the same purchase and sale or any other transaction of Securities pursuant to the provisions of Article 37-3, paragraph (1) of the Act, and where one of such Financial Instruments Business Operators, etc. has delivered to the customer the Document for Delivery Prior to Conclusion of Contract stating the matters set forth in the items of the preceding paragraph, the other Financial Instruments Business Operator, etc. need not include in its Document for Delivery Prior to Conclusion of Contract the matters set forth in the items of the preceding paragraph.
3 その締結しようとする金融商品取引契約が有価証券の売付けの媒介、取次ぎ又は代理に係るものであって、当該金融商品取引契約に係る顧客がこれらの有価証券の発行者又は所有者である場合には、第一項の規定にかかわらず、契約締結前交付書面に同項各号に掲げる事項を記載することを要しない。
(3) Notwithstanding the provisions of paragraph (1), in cases where the Contract for Financial Instruments Transaction to be concluded pertains to an intermediary, brokerage or agency service for the sale of Securities, and where the customer pertaining to such Contract for Financial Instruments Transaction is an Issuer or owner of such Securities, the Financial Instruments Business Operator, etc. need not specify in the Document for Delivery Prior to Conclusion of Contract the matters specified in the items of that paragraph.
(信託受益権等の売買その他の取引に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to be Stated in Document for Delivery Prior to Conclusion of Contract Pertaining to Purchase and Sale or Any Other Transaction of Beneficial Interest in Trust, etc.)
第八十四条 その締結しようとする金融商品取引契約が法第二条第一項第十四号に掲げる有価証券若しくは同項第十七号に掲げる有価証券(同項第十四号に掲げる有価証券の性質を有するものに限る。)又は同条第二項第一号若しくは第二号に掲げる権利(以下「信託受益権等」という。)の売買その他の取引に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、前条第一項に規定する事項のほか、次に掲げる事項とする。
Article 84 (1) With regard to the cases where the Contract for Financial Instruments Transaction to be concluded pertains to the purchase and sale or any other transaction of Securities specified in Article 2, paragraph (1), item (xiv) of the Act, Securities specified in item (xvii) of that paragraph (limited to those which have the nature of the Securities specified in item (xiv) of that paragraph) or the rights specified in item (i) or (ii) of paragraph (2) of that Article (hereinafter collectively referred to as the "Beneficial Interest in Trust, etc."), the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows, in addition to the matters specified in paragraph (1) of the preceding Article:
一 信託財産の種類、信託期間、信託財産の管理又は処分の方法及び信託財産の交付に関する事項
(i) the matters related to the type of the trust property, term of the trust, method for the management or disposition of the trust property and delivery of the trust property;
二 信託財産の管理又は処分の権限を有する者及び権限の内容に関する事項(当該者が適格投資家向け投資運用業を行うことにつき法第二十九条の登録を受けた金融商品取引業者であるときは、その旨を含む。)
(ii) the matters related to the person who has been granted the authority to manage or dispose of the trust property, as well as the details of such authority (in cases where the person is the Financial Instruments Business Operator who is registered pursuant to Article 29 of the Act for engaging in Investment Management Business for Qualified Investors, including to that effect);
三 信託の設定時における第三者による信託財産の評価の有無その他信託財産の評価に関する事項
(iii) information as to whether the trust property was appraised by any third party at the time of the creation of the trust, or any other matters related to the appraisal of the trust property;
四 信託行為において定められる信託受益権等(法第二条第二項の規定により有価証券とみなされる同項第一号又は第二号に掲げる権利に限る。)の譲渡手続に関する事項
(iv) the matters related to procedures for the transfer of the Beneficial Interest in Trust, etc. (limited to the rights specified in Article 2, paragraph (2), item (i) or (ii) of the Act, which are regarded as Securities pursuant to the provisions of that paragraph) as prescribed by the act of trust;
五 取引の種類の別
(v) the type of transaction;
六 売付けの代理若しくは媒介又は募集、私募若しくは売出しの取扱いの場合にあっては、売主又は買主に関する事項
(vi) in the case of an agency or intermediary service for sales, or in case of dealing in a public offering, private placement or secondary distribution, the matters related to the seller or purchaser;
七 信託の目的
(vii) the purpose of the trust;
八 受益者の権利義務に関する次に掲げる事項
(viii) the following matters in relation to the beneficiaries' rights and obligations:
イ 受託者が受益者との間において、信託法(平成十八年法律第百八号)第四十八条第五項(同法第五十四条第四項において準用する場合を含む。)に規定する合意を行う定めがある場合(信託業法第二十九条の三の規定により信託会社が説明する場合を除く。)は、その旨及び当該合意の内容
(a) in cases where there are any provisions providing that the trustee and the beneficiary enter into an agreement as set forth in Article 48, paragraph (5) of the Trust Act (Act No. 108 of 2006) (including the cases where it is applied mutatis mutandis pursuant to Article 54, paragraph (4) of that Act) (excluding the cases where the trust company provides an explanation pursuant to the provisions of Article 29-3 of the Trust Business Act), to that effect and the details of such agreement;
ロ 受益者の意思決定に関する特別の定めがある場合は、その旨及び当該定めの内容
(b) in cases where there are any special provisions on the decision-making of beneficiaries, to that effect and the details thereof;
ハ 信託の変更、併合又は分割に関する特別の定めがある場合は、その旨及び当該定めの内容
(c) in cases where there are any special provisions on the change, consolidation or split of the trust, to that effect and the details thereof;
ニ 信託終了の事由に関する特別の定めがある場合は、その旨及び当該定めの内容
(d) in cases where there are any special provisions on the grounds for the termination of the trust, to that effect and the details thereof;
ホ 信託の合意による終了に関する特別の定めがある場合は、その旨及び当該定めの内容
(e) in cases where there are any special provisions on the termination of the trust based on an agreement, to that effect and the details thereof; and
ヘ 受託者の辞任及び新受託者の選任に関する特別の定めがある場合は、その旨及び当該定めの内容
(f) in cases where there are any provisions on the resignation of a trustee and the appointment of a new trustee, to that effect and the details thereof.
九 信託受益権等の損失の危険に関する次に掲げる事項
(ix) the following matters in relation to the risk of loss of the Beneficial Interest in Trust, etc.:
イ 信託法第二十一条第一項第三号に掲げる権利に係る債務がある場合は、当該債務の総額及び契約ごとの債務の金額その他当該債務の内容に関する事項(当該債務が借入れである場合にあっては、総借入金額並びに契約ごとの借入先の属性、借入金額、返済期限、直前の計算期間の借入残高、計算期間及び借入期間における利率、返済方法、担保の設定に関する事項並びに借入れの目的及び使途を含む。)
(a) in cases where there is any obligation pertaining to the right specified in Article 21, paragraph (1), item (iii) of the Trust Act, the matters related to details of the obligation such as the total amount of the obligation and the amount of obligation per contract (in cases where such obligation is a borrowing, including the total amount of the borrowing, and also including information on the features of the lender, borrowed amount, due date, outstanding balance for the immediately prior Accounting Period, interest rates for the Accounting Period and borrowing period, method of repayment and creation of security, as itemized by the relevant contracts, and aim and purpose of use of such borrowing);
ロ イに掲げるもののほか、信託受益権について損失を生じるおそれのある債務がある場合は、その旨及び当該債務の総額その他の当該債務の状況
(b) in addition to what is provided for in sub-item (a), if there is any obligation which may result in any loss related to the beneficial interest in the trust, to that effect and the status of the obligation such as the total amount thereof;
ハ 信託債権、信託財産に設定された担保権その他当該信託受益権に優先する権利がある場合は、当該権利の内容
(c) in cases where there is any trust claim, security interest created on the trust property or any other rights having priority over the beneficial interest in trust, the details of such rights;
ニ 信託受益権について信用補完が講じられている場合は、その旨及び当該信用補完の内容
(d) in cases where a credit enhancement has been implemented in relation to the beneficial interest in trust, to that effect and the details of such credit enhancement; and
ホ 金融機関の信託業務の兼営等に関する法律第六条の規定に基づき損失の補てん又は利益の補足を約する特約が付されている場合は、その旨及びその内容
(e) in cases where there are special provisions promising to compensate for loss or to supplement profit pursuant to the provisions of Article 6 of the Act on Provision, etc. of Trust Business by Financial Institutions, to that effect and the details thereof;
十 信託財産に関する租税その他の費用に関する事項
(x) the matters related to tax and any other expenses for the trust property;
十一 信託財産の計算期間に関する事項
(xi) the matters related to the Accounting Period of the trust property;
十二 信託財産の管理又は処分の状況の報告に関する事項
(xii) the matters related to reporting of the status of the management or disposition of the trust property;
十三 受託者の氏名又は名称及び公告の方法
(xiii) the name of the trustee, and the method of public notice;
十四 信託財産である金銭を固有財産又は他の信託財産である金銭と合同運用する場合は、その旨及び当該信託財産と固有財産又は他の信託財産との間の損益の分配に係る基準
(xiv) in cases where the money comprising the trust property is to be invested jointly with the money comprising the trustee's own property or the money comprising any other trust property, to that effect and the criteria for the allocation of profit and loss between such trust property, and the trustee's own property or such other trust property;
十五 当該金融商品取引契約が信託法第三条第三号に掲げる方法によってする信託に係る信託受益権等の売買その他の取引に係るものである場合にあっては、次に掲げる事項
(xv) in cases where the Contract for Financial Instruments Transaction pertains to the purchase and sale or any other transaction of the Beneficial Interest in Trust, etc. pertaining to the trust created by the method specified in Article 3 item (iii) of the Trust Act, the following matters:
イ 信託法第三条第三号の公正証書その他の書面又は電磁的記録に記載され、又は記録された事項の内容
(a) the particulars of information stated or recorded in the notarial deed or any other document or Electromagnetic Record as set forth in Article 3 item (iii) of the Trust Act;
ロ 受託者に係る信託業法第五十条の二第一項の登録の有無及び同条第十項の調査の有無
(b) information as to whether the trustee has been registered under Article 50-2, paragraph (1) of the Trust Business Act, and information as to whether the inspection under paragraph (10) of that Article has been conducted;
ハ 信託業法第五十条の二第十項の調査が行われた場合には、当該調査の結果
(c) in cases where the inspection under Article 50-2, paragraph (10) of the Trust Business Act has been conducted, the results thereof; and
ニ 信託業法第五十条の二第十項の調査が行われなかった場合であり、かつ、信託受益権等の売買その他の取引を行う者が当該信託の受託者と同一の者であるものについては、信託業法施行規則(平成十六年内閣府令第百七号)第五十一条の七第一項各号に掲げる事項
(d) in cases where the inspection under Article 50-2, paragraph (10) of the Trust Business Act has not been conducted, and where the person conducting the purchase and sale or any other transactions of the Beneficial Interest in Trust, etc. is the trustee of such trust, the matters listed in the items of Article 51-7, paragraph (1) of the Regulation for Enforcement of the Trust Business Act (Cabinet Office Order No. 107 of 2004).
十六 当該金融商品取引契約が信託法第二条第十二項に規定する限定責任信託に係る信託受益権等の売買その他の取引に係るものである場合にあっては、第一号から第十四号までに掲げるもののほか、次に掲げる事項
(xvi) in cases where the Contract for Financial Instruments Transaction pertains to the purchase and sale or any other transaction of the Beneficial Interest in Trust, etc. pertaining to the Limited Liability Trust prescribed in Article 2, paragraph (12) of the Trust Act, the following matters in addition to those listed in items (i) through (xiv):
イ 限定責任信託の名称
(a) the name of the Limited Liability Trust;
ロ 限定責任信託の事務処理地
(b) the place where the affairs of the Limited Liability Trust are handled; and
ハ 給付可能額及び受益者に対する信託財産に係る給付は当該給付可能額を超えてすることはできない旨
(c) the amount payable, and the fact that the benefit pertaining to the trust property in excess of such payable amount cannot be paid to the beneficiaries.
2 前条第二項の規定は、信託受益権等の売買その他の取引について準用する。この場合において、同項中「前項各号」とあるのは、「第八十四条第一項各号」と読み替えるものとする。
(2) The provisions of paragraph (2) of the preceding Article apply mutatis mutandis to the purchase and sale or any other transaction of the Beneficial Interest in Trust, etc. In such case, the term "the items of the preceding paragraph" in that paragraph is deemed to be replaced with "the items of Article 84, paragraph (1)."
3 前条第三項の規定は、信託受益権等について準用する。この場合において、同項中「第一項」とあるのは、「第八十四条第一項」と読み替えるものとする。
(3) The provisions of paragraph (3) of the preceding Article apply mutatis mutandis to the Beneficial Interest in Trust, etc. In this case, the term "paragraph (1)" of that paragraph is deemed to be replaced with "Article 84, paragraph (1)."
(不動産信託受益権の売買その他の取引に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to be Stated in Document for Delivery Prior to Conclusion of Contract Pertaining to Purchase and Sale or Other Transaction of Beneficial Interest in Real Property Trust)
第八十五条 その締結しようとする金融商品取引契約が不動産信託受益権の売買その他の取引に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、前条第一項に規定する事項のほか、次に掲げる事項とする。ただし、当該不動産信託受益権に係る信託財産が宅地である場合にあっては、第一号から第九号まで及び第十三号に掲げるものに限る。
Article 85 (1) With regard to the cases where the Contract for Financial Instruments Transaction to be concluded pertains to a purchase and sale or any other transaction of Beneficial Interest in Real Property Trust, the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows, in addition to those specified in paragraph (1) of the preceding Article; provided, however, that if the trust property pertaining to the Beneficial Interest in Real Property Trust comprises a Building Lot, such matters are limited to those listed in items (i) through (ix) and in item (xiii):
一 当該不動産信託受益権に係る信託財産の上に存する登記された権利の種類及び内容並びに登記名義人又は登記簿の表題部に記録された所有者の氏名(法人にあっては、その名称)
(i) the types and details of the registered right existing on the trust property pertaining to the Beneficial Interest in Real Property Trust, as well as the name of the registered right holder thereof or the name of the owner recorded in the heading-section of the registry (in the case of a juridical person, the name thereof);
二 当該不動産信託受益権に係る信託財産である宅地又は建物に係る都市計画法(昭和四十三年法律第百号)、建築基準法(昭和二十五年法律第二百一号)その他の法令に基づく制限で宅地建物取引業法施行令(昭和三十九年政令第三百八十三号)第三条の二に規定する制限に関する事項の概要
(ii) an outline of the matters related to restrictions on the Building Lots or building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust as imposed under the City Planning Act (Act No. 100 of 1968), the Building Standards Act (Act No. 201 of 1950) or any other laws and regulations, which are specified in Article 3-2 of the Order for Enforcement of the Building Lots and Buildings Transaction Business Act (Cabinet Order No. 383 of 1964);
三 当該不動産信託受益権に係る信託財産である宅地又は建物に係る私道に関する負担に関する事項
(iii) matters related to the burden of a private road in connection with the Building Lots or building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust;
四 当該不動産信託受益権に係る信託財産である宅地又は建物に係る飲用水、電気及びガスの供給並びに排水のための施設の整備の状況(これらの施設が整備されていない場合においては、その整備の見通し及びその整備についての特別の負担に関する事項)
(iv) the status of the construction or maintenance of the facilities for the supply of drinking water, electricity and gas and the drainage facilities for the Building Lot or building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust (in cases where these facilities have not been constructed or maintained, the matters related to plans for construction or maintenance thereof and special burden therefor);
五 当該不動産信託受益権に係る信託財産である宅地又は建物が宅地の造成又は建築に関する工事の完了前のものであるときは、その完了時における形状、構造その他宅地建物取引業法施行規則(昭和三十二年建設省令第十二号)第十九条の二の四に規定する事項
(v) in cases where the development or construction work of the Building Lot or building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust has not been completed, the matters related to the shape and structure at the time of the completion thereof as well as any other matters specified in Article 19-2-4 of the Regulation for Enforcement of the Building Lots and Buildings Transaction Business Act (Order of the Ministry of Construction No. 12 of 1957);
六 当該不動産信託受益権に係る信託財産である建物が建物の区分所有等に関する法律(昭和三十七年法律第六十九号)第二条第一項に規定する区分所有権の目的であるものであるときは、当該建物を所有するための一棟の建物の敷地に関する権利の種類及び内容、同条第四項に規定する共用部分に関する規約の定めその他の一棟の建物又はその敷地(一団地内に数棟の建物があって、その団地内の土地又はこれに関する権利がそれらの建物の所有者の共有に属する場合には、その土地を含む。)に関する権利及びこれらの管理又は使用に関する事項で宅地建物取引業法施行規則第十九条の二の五各号に掲げるもの
(vi) in cases where the building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust is the subject of the unit ownership prescribed in Article 2, paragraph (1) of the Act on Unit Ownership, etc. of Building (Act No. 69 of 1962), the type and details of the rights related to site of a building for the purpose of ownership of the building, the provisions of a regulation in relation to common elements as specified in paragraph (4) of that Article, the other rights related to a building and its site (in cases where two or more buildings are built in a housing complex, and where the land located within such housing complex or the rights relevant thereto are co-owned by the owners of such buildings, including such land), as well as the matters related to the management or use thereof as set forth in the items of Article 19-2-5 of the Regulation for Enforcement of the Building Lots and Buildings Transaction Business Act;
七 当該不動産信託受益権に係る信託財産である宅地又は建物が宅地造成等規制法(昭和三十六年法律第百九十一号)第二十条第一項により指定された造成宅地防災区域内にあるときは、その旨
(vii) in cases where the Building Lot or building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust is located in the disaster prone developed residential area designated under Article 20, paragraph (1) of the Act on Regulation of Residential Land Development (Act No. 191 of 1961), to that effect;
八 当該不動産信託受益権に係る信託財産である宅地又は建物が土砂災害警戒区域等における土砂災害防止対策の推進に関する法律(平成十二年法律第五十七号)第六条第一項により指定された土砂災害警戒区域内にあるときは、その旨
(viii) in cases where the Building Lot or building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust is located in the sediment disaster prone areas designated under Article 6, paragraph (1) of the Act on Sediment Disaster Countermeasures for Sediment Disaster Prone Areas (Act No. 57 of 2000), to that effect;
九 当該不動産信託受益権に係る信託財産である宅地又は建物が津波防災地域づくりに関する法律(平成二十三年法律第百二十三号)第五十三条第一項により指定された津波災害警戒区域内にあるときは、その旨
(ix) in cases where the Building Lot or building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust is located in the sediment disaster prone areas designated under Article 53, paragraph (1) of the Act on Regional Development for Tsunami Disaster Prevention (Act No. 123 of 2011), to that effect;
十 当該不動産信託受益権に係る信託財産である建物について、石綿の使用の有無の調査の結果が記録されているときは、その内容
(x) in cases where, with regard to the building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust, the results of any investigation as to whether asbestos was used have been recorded, the contents of such record;
十一 当該不動産信託受益権に係る信託財産である建物(昭和五十六年六月一日以降に新築の工事に着手したものを除く。)が建築物の耐震改修の促進に関する法律(平成七年法律第百二十三号)第四条第一項に規定する基本方針のうち同条第二項第三号の技術上の指針となるべき事項に基づいて次に掲げる者が行う耐震診断を受けたものであるときは、その内容
(xi) in cases where the building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust (excluding a building for which construction work was commenced on or after June 1, 1981) has undergone a seismic test implemented by any of the following parties in accordance with the items serving as the technical guidelines as specified in Article 4, paragraph (2), item (iii) of the Act on Promotion of Seismic Retrofitting of Buildings (Act No. 123 of 1995), from among the basic policies specified in Article 4, paragraph (1) of that Act, the details thereof:
イ 建築基準法第七十七条の二十一第一項に規定する指定確認検査機関
(a) a Designated Confirmation and Inspection Agency as prescribed in Article 77-21, paragraph (1) of the Building Standards Act;
ロ 建築士法(昭和二十五年法律第二百二号)第二条第一項に規定する建築士
(b) an architect and building engineer as prescribed in Article 2, paragraph (1) of the Act on Architects and Building Engineers (Act No. 202 of 1950);
ハ 住宅の品質確保の促進等に関する法律(平成十一年法律第八十一号)第五条第一項に規定する登録住宅性能評価機関
(c) a Registered Housing Quality Evaluation Agency as prescribed in Article 5, paragraph (1) of the Housing Quality Assurance Act (Act No. 81 of 1999); or
ニ 地方公共団体
(d) a local government.
十二 当該不動産信託受益権に係る信託財産である建物が住宅の品質確保の促進等に関する法律第五条第一項に規定する住宅性能評価を受けた新築住宅であるときは、その旨
(xii) in cases where the building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust is a newly constructed housing which has undergone the housing quality evaluation test prescribed in Article 5, paragraph (1) of the Housing Quality Assurance Act, to that effect; and
十三 当該不動産信託受益権に係る信託財産である宅地又は建物の瑕疵を担保すべき責任の履行に関し保証保険契約の締結その他の措置で次に掲げるものが講じられているときは、その概要
(xiii) in cases where, in regard to the performance of a defect warranty obligation related to the Building Lot or building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust, any of the measures as specified in any of the following sub-items such as a conclusion of guarantee insurance contract has been taken, the outlines thereof:
イ 当該宅地又は建物の瑕疵を担保すべき責任の履行に関する保証保険契約又は責任保険契約の締結
(a) the conclusion of a guarantee insurance contract or a liability insurance contract for the performance of a defect warranty obligation related to the Building Lot or building;
ロ 当該宅地又は建物の瑕疵を担保すべき責任の履行に関する保証保険又は責任保険を付保することを委託する契約の締結
(b) the conclusion of a contract for the consignment of the establishment of guarantee insurance or liability insurance for the performance of a defect warranty obligation related to the Building Lot or building; or
ハ 当該宅地又は建物の瑕疵を担保すべき責任の履行に関する債務について銀行等が連帯して保証することを委託する契約の締結
(c) the conclusion of a contract for consigning the bank, etc. to jointly and severally guarantee the obligation of the performance of a defect warranty obligation related to the Building Lot or building.
2 第八十三条第二項の規定は、不動産信託受益権の売買その他の取引について準用する。この場合において、同項中「前項各号」とあるのは、「第八十五条第一項各号」と読み替えるものとする。
(2) The provisions of Article 83, paragraph (2) apply mutatis mutandis to the purchase and sale or any other transaction of the Beneficial Interest in Real Property Trust. In such case, the term "items of the preceding paragraph" in that paragraph is deemed to be replaced with "the items of Article 85, paragraph (1)."
3 第八十三条第三項の規定は、不動産信託受益権について準用する。この場合において、同項中「第一項」とあるのは、「第八十五条第一項」と読み替えるものとする。
(3) The provisions of Article 83, paragraph (3) apply mutatis mutandis to the Beneficial Interest in Real Property Trust. In this case, the term "paragraph (1)" in that paragraph is deemed to be replaced with "Article 85, paragraph (1)."
(抵当証券等の売買その他の取引に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to be Stated in Document for Delivery Prior to Conclusion of Contract Pertaining to Purchase and Sale and Other Transactions of Mortgage Securities, etc.)
第八十六条 その締結しようとする金融商品取引契約が抵当証券等の売買その他の取引に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、第八十三条第一項に規定する事項のほか、次に掲げる事項とする。
Article 86 (1) With regard to the cases where the Contract for Financial Instruments Transaction to be concluded pertains to the purchase and sale or any other transaction of Mortgage Securities, etc., the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows, in addition to those specified in Article 83, paragraph (1):
一 元本の単位に関する事項
(i) the matters related to a unit of principal;
二 利息に関する事項
(ii) the matters related to interest;
三 当該抵当証券等に記載された債権の元本及び利息の弁済の受領に関する定めがあるときは、その内容
(iii) in cases where there are any provisions on the receipt of payment of principal and interest of the claims, as stated in the Mortgage Securities, etc., the details thereof;
四 代金の受渡しの方法
(iv) the method of the delivery of the price;
五 元本及び利息の支払の時期、手段その他支払の方法
(v) the timing and means of the payment of principal and interest, or any other payment method;
六 当該抵当証券等に記載された抵当証券法(昭和六年法律第十五号)第十二条第一項各号に掲げる事項
(vi) the matters listed in the items of Article 12, paragraph (1) of the Mortgage Securities Act (Act No. 15 of 1931), as stated in the Mortgage Securities, etc.;
七 当該抵当証券等に係る貸付契約に関する次に掲げる事項
(vii) the following matters in relation to the loan contract pertaining to the Mortgage Securities, etc.:
イ 貸付契約の締結の年月日
(a) the date of the conclusion of the loan contract;
ロ 貸付資金の金額、金利、使途並びに返済の方法及び期限
(b) the amount, interest and purpose of the loaned fund, as well as the method and due date for payment;
ハ 保証人の有無
(c) information as to whether there is any guarantor;
ニ 貸付契約に係る担保物件の概要に関する次に掲げる事項
(d) the following matters with regard to the outline of the collateral pertaining to the loan contract:
(1) 担保設定額
1. the secured amount;
(2) 担保物件の評価をした年月日、評価額並びに評価をした者の商号、名称又は氏名及び連絡先
2. the appraisal date and the appraised value of the collateral, as well the trade name, name or contact information of the appraiser; and
(3) 物件明細
3. the description of the collateral.
ホ ニの担保物件に係る事業計画その他の計画で定める貸付資金の返済計画の概要
(e) an outline of the repayment plan for the loaned fund specified in the business plan or any other plan pertaining to the collateral set forth in sub-item (d); and
ヘ 債務者が法人である場合にあっては、当該法人に関する次に掲げる事項
(f) in cases where the debtor is a juridical person, the following matters in relation to the juridical person:
(1) 設立の年月又は事業を開始した年月
1. the date of incorporation, or the date of the commencement of business;
(2) 主たる事業の種類
2. the type of the primary business;
(3) 当該契約締結前交付書面を交付した日の三月前(当該金融商品取引業者等が外国法人である場合には、六月前)の日を含む事業年度の前事業年度の決算日における資本金の額又は出資の総額並びに貸借対照表及び損益計算書
3. the amount of stated capital or total amount of investment as well as the balance sheet and the profit and loss statement, as of the closing day of the accounts of the business year immediately preceding the business year in which the date three months (in cases where the Financial Instruments Business Operator, etc. is a foreign juridical person, six months) prior to the delivery date of the Document for Delivery Prior to Conclusion of Contract falls;
ト 債務者が当該金融商品取引業者等の関連当事者(財務諸表等規則第八条第十七項に規定する関連当事者をいう。)である場合には、その旨
(g) in cases where the debtor falls under the Party Concerned (meaning the Party Concerned prescribed in Article 8, paragraph (17) of the Regulation on Financial Statements, etc.") of the Financial Instruments Business Operator, etc., to that effect; and
チ 顧客が債務者から債権を取り立てる方法
(h) the method whereby the customer collects the claims from the debtor.
八 当該金融商品取引業者等の資本金の額又は出資の総額及び他の事業を行っている場合には、その事業の種類
(viii) the amount of stated capital or total amount of investment of the Financial Instruments Business Operator, etc., and, in cases where it is engaged in another business, the type of such business;
九 当該金融商品取引業者等に係る法第四十六条の三第一項、第四十七条の二又は第四十八条の二第一項に規定する事業報告書に記載すべき事項
(ix) the matters to be stated in the business report under Article 46-3, paragraph (1), Article 47-2 or Article 48-2, paragraph (1) of the Act, in relation to the Financial Instruments Business Operator, etc.;
十 抵当証券等の元本が政府により保証されたものではない旨
(x) the fact that the principal of the Mortgage Securities, etc. is not guaranteed by the government; and
十一 当該金融商品取引業者等に係る直近の計算書類又は次に掲げるいずれかの事項
(xi) the latest financial statements of the Financial Instruments Business Operator, etc., or any of the following matters in regard to such Financial Instruments Business Operator, etc.:
イ 会社法第三百九十六条第一項後段の会計監査報告の内容
(a) the contents of the accounting audit report set forth in the second sentence of Article 396, paragraph (1) of the Companies Act;
ロ 当該金融商品取引業者等が会計監査人設置会社でない場合において、公認会計士(公認会計士法(昭和二十三年法律第百三号)第十六条の二第五項に規定する外国公認会計士を含む。以下同じ。)又は監査法人の監査を受けているときは、当該監査における監査報告の内容
(b) in cases where the Financial Instruments Business Operator, etc. is not a company with accounting auditors, and where it has been audited by a certified public accountant (including a foreign certified public accountant prescribed in Article 16-2, paragraph (5) of the Certified Public Accountants Act (Act No. 103 of 1948); the same applies hereinafter) or an auditing firm, the details of the report of such auditing; or
ハ 当該金融商品取引業者等が会計監査人設置会社でない場合であって、公認会計士又は監査法人の監査を受けていないときは、公認会計士又は監査法人の監査を受けていない旨及びその理由
(c) in cases where the Financial Instruments Business Operator, etc. is not a company with accounting auditors, and where it has not been audited by a certified public accountant or an auditing firm, the effect that it has not been audited by a certified public accountant or an auditing firm, and reason therefor.
2 第八十三条第二項の規定は、抵当証券等の売買その他の取引について準用する。この場合において、同項中「前項各号」とあるのは、「第八十六条第一項各号」と読み替えるものとする。
(2) The provisions of Article 83, paragraph (2) apply mutatis mutandis to the purchase and sale or any other transaction of the Mortgage Securities, etc. In this case, the term "the items of the preceding paragraph" in that paragraph is deemed to be replaced with "the items of Article 86, paragraph (1)."
3 第八十三条第三項の規定は、抵当証券等について準用する。この場合において、同項中「第一項」とあるのは、「第八十六条第一項」と読み替えるものとする。
(3) The provisions of Article 83, paragraph (3) apply mutatis mutandis to the Mortgage Securities, etc. In this case, the term "paragraph (1)" in that paragraph is deemed to be replaced with "Article 86, paragraph (1)."
(出資対象事業持分の売買その他の取引に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to be Stated in Document for Delivery Prior to Conclusion of Contract Pertaining to Purchase and Sale or Other Transactions of Equity in Invested Business)
第八十七条 その締結しようとする金融商品取引契約が出資対象事業持分の売買その他の取引に係るもの(以下この条において「出資対象事業持分取引契約」という。)である場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、第八十三条第一項に規定する事項のほか、次に掲げる事項とする。
Article 87 (1) With regard to the cases where the Contract for Financial Instruments Transaction to be concluded pertains to the purchase and sale or any other transaction of the Equity in Invested Business (such contract is hereinafter referred to as "Contract for Transaction of Equity in Invested Business" in this Article), the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows, in addition to those specified in Article 83, paragraph (1):
一 出資対象事業持分取引契約に関する次に掲げる事項
(i) the following matters related to the Contract for Transaction of Equity in Invested Business:
イ 出資対象事業持分の名称
(a) the name of the Equity in Invested Business;
ロ 出資対象事業持分の形態
(b) the type of the Equity in Invested Business;
ハ 出資対象事業持分取引契約の締結の申込みに関する事項
(c) the matters related to an application for the conclusion of the Contract for Transaction of Equity in Invested Business;
ニ 出資又は拠出をする金銭の払込みに関する事項
(d) the matters related to the payment of money to be invested or contributed;
ホ 出資対象事業持分に係る契約期間がある場合にあっては、当該契約期間
(e) in cases where the contract term for the Equity in Invested Business has been prescribed, such contract term;
ヘ 出資対象事業持分に係る解約に関する次に掲げる事項
(f) the following matters related to the cancellation of the Equity in Invested Business;
(1) 解約の可否
1. whether the Equity in Invested Business is cancellable;
(2) 解約により行われる出資対象事業持分に係る財産の分配に係る金銭の額の計算方法、支払方法及び支払予定日
2. the calculation method, payment method and scheduled payment date of the money related to the distribution of the properties pertaining to the Equity in Invested Business, which is payable upon cancellation thereof; and
(3) 解約に係る手数料
3. the cancellation fee.
ト 損害賠償額の予定(違約金を含む。)に関する定めがあるときは、その内容
(g) in cases where there is an agreement for agreement for liquidated damages (including penalties), the details thereof;
チ 顧客の権利及び責任の範囲に関する次に掲げる事項
(h) the following matters in connection with the scope of the rights and liabilities of the customer:
(1) 出資対象事業に係る財産に対する顧客の監視権の有無及び顧客が当該監視権を有する場合にあっては、その内容
1. information as to whether the customer has a right to monitor the properties pertaining to the Invested Business and if so, the details of such right;
(2) 出資対象事業に係る財産の所有関係
2. ownership in the properties pertaining to the Invested Business;
(3) 顧客の第三者に対する責任の範囲
3. the scope of the customer's liabilities owed to third parties;
(4) 出資対象事業に係る財産が損失により減じた場合の顧客の損失分担に関する事項
4. the matters related to the allocation of losses to be borne by the customer, in cases of any detriment to the properties pertaining to the Invested Business due to any loss; and
(5) 出資対象事業持分の内容
5. the details of the Equity in Invested Business.
二 出資対象事業の運営に関する次に掲げる事項
(ii) the following matters in relation to the operation of the Invested Business:
イ 出資対象事業の内容及び運営の方針
(a) the contents of the Invested Business and the operation policy therefor;
ロ 組織、内部規則、出資対象事業に関する意思決定に係る手続その他の出資対象事業の運営体制に関する事項
(b) matters related to the operational system for the Invested Business, such as its organizational structure, internal rules and decision-making process for the Invested Business;
ハ 出資対象事業持分の発行者の商号、名称又は氏名、役割及び関係業務の内容
(c) the trade name, name, duty and relevant business of the issuer of the Equity in Invested Business;
ニ 出資対象事業の運営を行う者の商号、名称又は氏名(当該者が適格投資家向け投資運用業を行うことにつき法第二十九条の登録を受けた金融商品取引業者であるときは、その旨を含む。)、役割及び関係業務の内容
(d) the trade name, name, duty and relevant business of the person operating the Invested Business (in cases where the person is a Financial Instruments Business Operator who is registered as set forth in Article 29 of the Act for engaging in Investment Management Business for Qualified Investors, including to that effect);
ホ 出資対象事業が有価証券に対する投資を行う事業であるものである場合にあっては、次に掲げる者の商号、名称又は氏名((2)に掲げる者が適格投資家向け投資運用業を行うことにつき法第二十九条の登録を受けた金融商品取引業者であるときは、その旨を含む。)、役割及び関係業務の内容
(e) in cases where the Invested Business is a business which invests in Securities, the trade name, name, duty and relevant business of the following persons (in cases where the person listed in 2. is a Financial Instruments Business Operator who is registered as set forth in Article 29 of the Act for engaging in Investment Management Business for Qualified Investors, including to that effect):
(1) 当該有価証券(投資の総額に占める割合が大きいものから順次その順位を付し、その第一順位から第三十順位までのものに限る。)の発行者(当該発行者(第七十四条第二項に規定する投資信託受益権等の発行者に限る。)が他の有価証券に対する投資を行う場合における当該他の有価証券は、当該有価証券とみなす。)
1. the Issuers of the Securities (limited to the first to the 30th-ranked Securities, in accordance with the descending order of the proportion to the total amount of investment) (in cases where the Issuer (limited to the Issuer of the Investment Trust Beneficial Interests, etc. prescribed in Article 74, paragraph (2)) makes an investment in other Securities, such other Securities are regarded as the Securities).
(2) 出資対象事業持分の発行者又は(1)に掲げる者から金銭その他の財産の運用又は保管の委託を受ける者(当該者が運用を再委託する者は出資対象事業持分の発行者又は(1)に掲げる者から委託を受ける者とみなす。)
2. the person accepting entrustment of an investment or the custody of money or any other property from the Issuer of the Equity in Invested Business or a person specified in 1. (another person to whom such person re-entrusts an investment is deemed to be the person accepting entrustment from the Issuer of the Equity in Invested Business or the person specified in 1.)
ヘ 出資対象事業から生ずる収益の配当又は出資対象事業に係る財産の分配(以下「配当等」という。)の方針
(f) the policy for the dividend of profit generating from the Investment Business, or the policy for the distribution of properties pertaining to the Invested Business (hereinafter collectively referred to as the "Dividends, etc.");
ト 事業年度、計算期間その他これに類する期間
(g) the business year, Accounting Period or any other period similar thereto;
チ 出資対象事業に係る手数料等の徴収方法及び租税に関する事項
(h) the method for the collection of Fees, etc. pertaining to the Invested Business and the matters related to tax to be imposed thereon; and
リ 法第四十条の三に規定する管理の方法
(i) the management method set forth in Article 40-3 of the Act.
三 出資対象事業の経理に関する次に掲げる事項
(iii) the following matters in relation to the accounting of the Invested Business;
イ 貸借対照表
(a) the balance sheet;
ロ 損益計算書
(b) the profit and loss statement;
ハ 出資対象事業持分の総額
(c) the total amount of the Equity in Invested Business:
ニ 発行済みの出資対象事業持分の総数
(d) the total number of issued Equity in Invested Business;
ホ 配当等に関する次に掲げる事項
(e) the following matters related to the Dividends, etc.:
(1) 配当等の総額
1. the total amount of the Dividends, etc.;
(2) 配当等の支払方法
2. the payment method of the Dividends, etc.;
(3) 出資対象事業に係る財産の分配が第一号ホに掲げる契約期間の末日以前に行われる場合にあっては、当該分配に係る金銭の支払方法
3. in cases where the distribution of the properties pertaining to the Invested Business is to be made prior to the last day of the contract term specified in sub-item (e) of item (i), the payment method of the money pertaining to such distribution; and
(4) 配当等に対する課税方法及び税率
4. the method for and rate of taxation on the Dividends, etc.
ヘ 総資産額、純資産額、営業損益額、経常損益額及び純損益額
(f) the amount of total assets, the Net Assets, the amount of operating profit or loss, the amount of current profit or loss and the amount of net profit or loss;
ト 出資対象事業持分一単位当たりの総資産額、純損益額及び配当等の金額
(g) the amount of total net assets, the amount of net profit or loss and the amount of Dividends, etc. per unit of Equity in Invested Business;
チ 自己資本比率及び自己資本利益率
(h) the capital-to-asset ratio and return on equity;
リ 出資対象事業が有価証券に対する投資を行う事業であるものである場合にあっては、当該有価証券に関する次に掲げる事項
(i) in cases where the Invested Business is a business which invests in Securities, the following matters related to the Securities:
(1) 発行地又は金融商品取引所その他これに準ずるものが所在する地域ごとの銘柄、当該有価証券が株券である場合にあっては、当該株券の発行者の業種、数量、金額(簿価の総額及び時価の総額又は評価額の総額をいう。以下この号において同じ。)並びに当該有価証券が債券である場合にあっては、利率及び償還金額
1. the issues of the Securities itemized by the place of issuance or regions where the Financial Instruments Exchange or any others similar thereto are located; in cases where the category of the Securities is a share certificate, the type of business of the issuer thereof, and the volumes and amount thereof (the amount means the total book value and the total market value or the total appraisal value; hereinafter the same applies in this item); and in cases where the category of the Securities is a bond, the interest rates and the amount of redemption;
(2) (1)の金額の評価方法
2. the method of the appraisal of the amounts specified in 1.; and
(3) (1)の金額がそれぞれ出資対象事業に係る資産の総額に占める割合
3. the proportion of each of the amounts specified in 1. to the total amount of assets pertaining to the Invested Business.
ヌ 出資対象事業が有価証券以外の資産に対する投資を行う事業であるものである場合にあっては、当該資産に関する次に掲げる事項
(j) in cases where the Invested Business is a business which invests in any asset other than Securities, the following matters related to the asset;
(1) 資産の種類ごとの数量及び金額
1. the volumes and amount of asset, as itemized by the type of assets;
(2) (1)の金額の評価方法
2. the method of appraisal of the amounts set forth in 1.; and
(3) (1)の金額がそれぞれ出資対象事業に係る資産の総額に占める割合
3. the proportion of each of the amounts specified in 1. to the total amount of assets pertaining to the Invested Business.
2 第八十三条第二項の規定は、出資対象事業持分の売買その他の取引について準用する。この場合において、同項中「前項各号」とあるのは、「第八十七条第一項各号」と読み替えるものとする。
(2) The provisions of Article 83, paragraph (2) apply mutatis mutandis to the purchase and sale or any other transaction of Equity in Invested Business. In this case, the term "the items of the preceding paragraph" in that paragraph is deemed to be replaced with "the items of Article 87, paragraph (1)."
3 第八十三条第三項の規定は、出資対象事業持分について準用する。この場合において、同項中「第一項」とあるのは、「第八十七条第一項」と読み替えるものとする。
(3) The provisions of Article 83, paragraph (3) apply mutatis mutandis to the Equity in Invested Business. In this case, the term "paragraph (1)" in that paragraph is deemed to be replaced with "the items of Article 87, paragraph (1)."
(外国出資対象事業持分の売買その他の取引に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to be Stated in Document for Delivery Prior to Conclusion of Contract Pertaining to Purchase and Sale or Other Transaction of Equity in Foreign Invested Business)
第八十八条 その締結しようとする金融商品取引契約が法第二条第二項第六号に掲げる権利(以下「外国出資対象事業持分」という。)の売買その他の取引に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、前条第一項に規定する事項のほか、次に掲げる事項とする。
Article 88 (1) With regard to the cases where the Contract for Financial Instruments Transaction to be concluded pertains to the purchase and sale or any other transaction of the right specified in Article 2, paragraph (2), item (vi) of the Act (hereinafter referred to as the "Equity in Foreign Invested Business"), the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows, in addition to those specified in paragraph (1) of the preceding Article:
一 外国出資対象事業持分に係る契約その他の法律行為の準拠法の名称及びその主な内容
(i) the name of the laws governing the contract or any other juridical act pertaining to the Equity in Foreign Invested Business, and the outline thereof;
二 外国出資対象事業持分の発行者が監督を受けている外国の当局の有無並びに当該当局がある場合にあっては、その名称及び当該監督の主な内容
(ii) existence of the authority of the foreign state supervising the Issuer of the Equity in Foreign Invested Business, and in cases where said authority exists, the name and the outline of the supervision;
三 配当等、売却代金その他の送金についての為替管理上の取扱い
(iii) the treatment of remittance of the Dividends, etc., sales proceeds and any other payment, in regard to exchange control;
四 本邦内に住所を有する者であって、裁判上及び裁判外において当該外国出資対象事業持分の発行者を代理する権限を有する者の有無並びに当該者がある場合にあっては、その氏名又は名称及び住所並びに当該権限の内容
(iv) information as to whether there is any person domiciled in Japan who has been granted authority to act as an agent of the Issuer of the Equity in Foreign Invested Business in connection with acts in or out of court, and there is such person, the name and address and the contents of such authority; and
五 当該外国出資対象事業持分に係る契約その他の法律行為に当該外国出資対象事業持分に関する訴訟について管轄権を有する裁判所の定めがある場合にあっては、その名称及び所在地並びに執行の手続
(v) in cases where the contract or any other juridical act pertaining to the Equity in Foreign Invested Business provides for the court to have jurisdiction over an action related to such Equity in Foreign Invested Business, the name and location of such court and the procedure for execution.
2 第八十三条第二項の規定は、外国出資対象事業持分の売買その他の取引について準用する。この場合において、同項中「前項各号」とあるのは、「第八十八条第一項各号」と読み替えるものとする。
(2) The provisions of Article 83, paragraph (2) apply mutatis mutandis to the purchase and sale or any other transaction of the Equity in Foreign Invested Business. In such case, the term "items of the preceding paragraph" is deemed to be replaced with "the items of Article 88, paragraph (1)."
3 第八十三条第三項の規定は、外国出資対象事業持分について準用する。この場合において、同項中「第一項」とあるのは、「第八十八条第一項」と読み替えるものとする。
(3) The provisions of Article 83, paragraph (3) apply mutatis mutandis to the Equity in Foreign Invested Business. In this case, the term "paragraph (1)" in that paragraph is deemed to be replaced with "Article 88, paragraph (1)."
(主として信託受益権等に対する投資を行う事業を出資対象事業とする出資対象事業持分の売買その他の取引に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to be Stated in Document for Delivery Prior to Conclusion of Contract Pertaining to Purchase and Sale or Other Transactions of Equity in Invested Business Whose Invested Business is Business Which Primarily Invests in Beneficial Interest in Trust, etc.)
第八十九条 その締結しようとする金融商品取引契約が、出資対象事業持分のうち当該出資対象事業持分に係る出資対象事業が主として信託受益権等に対する投資を行う事業であるものの売買その他の取引に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、第八十七条第一項に規定する事項(当該金融商品取引契約が外国出資対象事業持分の売買その他の取引に係るものにあっては、前条第一項に規定する事項)のほか、第八十四条第一項各号に掲げる事項とする。
Article 89 (1) With regard to the cases where the Contract for Financial Instruments Transaction to be concluded pertains to a purchase and sale or any other transaction of Equity in Invested Business wherein the Invested Business pertaining to such Equity in Invested Business is a business which primarily invests in Beneficial Interest in Trust, etc., the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are the matters listed in the items of Article 84, paragraph (1), in addition to those specified in Article 87, paragraph (1) (in cases where the Contract for Financial Instruments Transaction pertains to the purchase and sale or any other transaction of Equity in Foreign Invested Business, in addition to those specified in paragraph (1) of the preceding Article).
2 前項の信託受益権等には、同項の出資対象事業が出資対象事業持分に対する投資を行う事業である場合であって当該出資対象事業持分に係る出資対象事業(次項及び第四項において「子出資対象事業」という。)が信託受益権等に対する投資を行う事業であるときにおける当該信託受益権等を含むものとする。
(2) The Beneficial Interest in Trust, etc. set forth in the preceding paragraph is to include the Beneficial Interest in Trust, etc. in cases where the Invested Business set forth in that paragraph is a business which invests in an Equity in Invested Business and the Invested Business pertaining to such Equity in Invested Business (referred to as the "Secondary Invested Business" in the following paragraph and paragraph (4)) is a business which invests in Beneficial Interest in Trust, etc.
3 前項の子出資対象事業が出資対象事業持分に対する投資を行う事業である場合であって、当該出資対象事業持分に係る出資対象事業が信託受益権等に対する投資を行う事業であるときにおける当該出資対象事業は、子出資対象事業とみなして、前二項の規定を適用する。
(3) In cases where the Secondary Invested Business set forth in the preceding paragraph is a business which invests in Equity in Invested Business and the Invested Business pertaining to such Equity in Invested Business is a business which invests in Beneficial Interest in Trust, etc., such Invested Business is deemed to be a Secondary Invested Business, and the provisions of the preceding two paragraphs apply.
4 前項の規定は、同項(この項において準用する場合を含む。)の規定により子出資対象事業とみなされた出資対象事業が出資対象事業持分に対する投資を行う事業である場合であって、当該出資対象事業持分に係る出資対象事業が信託受益権等に対する投資を行う事業であるときについて準用する。
(4) The provisions of the preceding paragraph apply mutatis mutandis to the cases where the Invested Business which is deemed to be the Secondary Invested Business pursuant to the provisions of that paragraph (including the cases where it is applied mutatis mutandis pursuant to this paragraph) is a business which invests in Equity in Invested Business, and where the Invested Business pertaining to such Equity in Invested Business is a business which invests in the Beneficial Interest in Trust, etc.
5 第八十三条第二項の規定は、出資対象事業持分のうち当該出資対象事業持分に係る出資対象事業が主として信託受益権等に対する投資を行う事業であるものの売買その他の取引について準用する。この場合において、同項中「前項各号」とあるのは「第八十四条第一項各号」と、「同項の」とあるのは「第八十九条第一項の」と、「同項各号」とあるのは「第八十四条第一項各号」と読み替えるものとする。
(5) The provisions of Article 83, paragraph (2) apply mutatis mutandis to the purchase and sale or any other transaction of the Equity in Invested Business in the case where the Invested Business pertaining to such Equity in Invested Business is a business which primarily invests in the Beneficial Interest in Trust, etc. In such case, the terms "the items of the preceding paragraph", "in that paragraph" and "the items of that paragraph" are deemed to be replaced with "the items of Article 84, paragraph (1)", "in Article 89, paragraph (1)", and "items of Article 84, paragraph (1)", respectively.
6 第八十三条第三項の規定は、出資対象事業持分のうち当該出資対象事業持分に係る出資対象事業が主として信託受益権等に対する投資を行う事業であるものについて準用する。この場合において、同項中「第一項」とあるのは、「第八十九条第一項」と読み替えるものとする。
(6) The provisions of Article 83, paragraph (3) apply mutatis mutandis to the Equity in Invested Business in the case where the Invested Business pertaining to such Equity in Invested Business is a business which primarily invests in the Beneficial Interest in Trust, etc. In this case, the term "paragraph (1)" of that paragraph is deemed to be replaced with "Article 89, paragraph (1)."
(組合契約等に基づく権利のうち当該権利に係る出資対象事業が主として不動産信託受益権に対する投資を行うものの売買その他の取引に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to be Stated in Document for Delivery Prior to Conclusion of Contract Pertaining to Purchase and Sale or Other Transaction of Right under Partnership Contract, etc., Wherein Invested Business Pertaining to such Right is Primarily Intended for Investment in Beneficial Interest in Real Property Trust)
第九十条 その締結しようとする金融商品取引契約が、組合契約、匿名組合契約又は投資事業有限責任組合契約に基づく権利のうち当該権利に係る出資対象事業が主として不動産信託受益権に対する投資を行うものの売買その他の取引に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、前条第一項に規定する事項のほか、第八十五条第一項各号に掲げる事項とする。
Article 90 (1) With regard to the cases where the Contract for Financial Instruments Transaction to be concluded pertains to the purchase and sale or any other transaction of a right under a Partnership Contract, a Silent Partnership Contract or a Limited Partnership Agreement for Investment, wherein the Invested Business pertaining to such right is primarily intended for investment in Beneficial Interest in Real Property Trust, the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are the matters listed in the items of Article 85, paragraph (1), in addition to the matters specified in paragraph (1) of the preceding Article.
2 前項の不動産信託受益権には、同項の出資対象事業が出資対象事業持分に対する投資を行う事業である場合であって当該出資対象事業持分に係る出資対象事業(次項及び第四項において「子出資対象事業」という。)が不動産信託受益権に対する投資を行う事業であるときにおける当該不動産信託受益権を含むものとする。
(2) The Beneficial Interest in Real Property Trust set forth in the preceding paragraph is to include the Beneficial Interest in Real Property Trust, in cases where the Invested Business set forth in that paragraph is a business which invests in any Equity in Invested Business, and where the Invested Business pertaining to such Equity in Invested Business (referred to as the "Secondary Invested Business" in the following paragraph and paragraph (4)) is a business which invests in the Beneficial Interest in Real Property Trust.
3 前項の子出資対象事業が出資対象事業持分に対する投資を行う事業である場合であって、当該出資対象事業持分に係る出資対象事業が不動産信託受益権に対する投資を行う事業であるときにおける当該出資対象事業は、子出資対象事業とみなして、前二項の規定を適用する。
(3) In cases where the Secondary Invested Business set forth in the preceding paragraph is a business which invests in Equity in Invested Business, and where the Invested Business pertaining to such Equity in Invested Business is a business which invests in the Beneficial Interest in Real Property Trust, such Invested Business is deemed to be the Secondary Invested Business, and the provisions of the preceding two paragraphs apply.
4 前項の規定は、同項(この項において準用する場合を含む。)の規定により子出資対象事業とみなされた出資対象事業が出資対象事業持分に対する投資を行う事業である場合であって、当該出資対象事業持分に係る出資対象事業が不動産信託受益権に対する投資を行う事業であるときについて準用する。
(4) The provisions of the preceding paragraph apply mutatis mutandis to the cases where the Invested Business which is deemed to be the Secondary Invested Business pursuant to the provisions of that paragraph (including the cases where it is applied mutatis mutandis pursuant to this paragraph) is a business which invests in Equity in Invested Business, and where the Invested Business pertaining to such Equity in Invested Business is a business which invests in the Beneficial Interest in Real Property Trust.
5 第八十三条第二項の規定は、組合契約、匿名組合契約若しくは投資事業有限責任組合契約に基づく権利のうち当該権利に係る出資対象事業が主として不動産信託受益権に対する投資を行うものの売買その他の取引について準用する。この場合において、同項中「前項各号」とあるのは「第八十五条第一項各号」と、「同項の」とあるのは「第九十条第一項の」と、「同項各号」とあるのは「第八十五条第一項各号」と読み替えるものとする。
(5) The provisions of Article 83, paragraph (2) apply mutatis mutandis to the purchase and sale or any other transaction of a right under a Partnership Contract, a Silent Partnership Contract or a Limited Partnership Agreement for Investment in the case where the Invested Business pertaining to such right is primarily intended for investment in the Beneficial Interest in Real Property Trust. In such case, the terms "the items of the preceding paragraph", "in that paragraph" and "the items of that paragraph" are deemed to be replaced with "the items of Article 85, paragraph (1)", "in Article 90, paragraph (1)", and "items of Article 85, paragraph (1)", respectively.
6 第八十三条第三項の規定は、組合契約、匿名組合契約若しくは投資事業有限責任組合契約に基づく権利のうち当該権利に係る出資対象事業が主として不動産信託受益権に対する投資を行うものについて準用する。この場合において、同項中「第一項」とあるのは、「第九十条第一項」と読み替えるものとする。
(6) The provisions of Article 83, paragraph (3) apply mutatis mutandis to the rights under a Partnership Contract, a Silent Partnership Contract or a Limited Partnership Agreement for Investment in the case where the Invested Business pertaining to such rights is primarily intended for investment in the Beneficial Interest in Real Property Trust. In such case, the term "paragraph (1)" in that paragraph is deemed to be replaced with "Article 90, paragraph (1)."
(商品ファンド関連取引に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to be Stated in Document for Delivery Prior to Conclusion of Contract Pertaining to Commodity Fund-Related Transactions)
第九十一条 その締結しようとする金融商品取引契約が、商品ファンド関連受益権の売買その他の取引(以下「商品ファンド関連取引」という。)に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、第八十四条第一項、第八十七条第一項、第八十八条第一項及び第八十九条第一項の規定にかかわらず、第八十三条第一項に規定する事項のほか、次に掲げる事項とする。
Article 91 (1) Notwithstanding the provisions of Article 84, paragraph (1), Article 87, paragraph (1), Article 88, paragraph (1) and Article 89, paragraph (1), in the cases where the Contract for Financial Instruments Transaction to be concluded pertains to the purchase and sale or any other transaction of a Beneficial Interest in Commodity Fund (hereinafter referred to as the "Commodity Fund-Related Transaction"), the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are the following matters, in addition to those specified in Article 83, paragraph (1):
一 商品ファンド(商品ファンド関連受益権を有する者から出資又は拠出を受けた金銭その他の財産をいう。以下この条及び第百九条第五号において同じ。)の運用を行う者(以下この項において「運用業者」という。)及び商品ファンドに関し業務上密接な関係を有する者(以下この項において「関係業者」という。)のうち主要な者であって次に掲げるものの商号、名称又は氏名及び住所並びに代表者がいる場合にあっては、代表者の氏名
(i) the trade name, name and address of the person who makes an investment (hereinafter referred to as an "Investment Manager" in this paragraph) of the Commodity Fund (meaning money or other properties invested or contributed by persons entitled to the Beneficial Interest in Commodity Fund; hereinafter the same applies in this Article and Article 109, item (v)), and of the major parties listed in any of the following from among those having a close business relationship with the Commodity Fund (hereinafter referred to as the "Related Business Operators" in this paragraph); and if any of the aforementioned parties has a representative, the name thereof:
イ 商品ファンドの運用に関与する商品投資顧問業者(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をいう。以下この条において同じ。)及び同法に相当する外国の法令の規定により当該外国において同法第三条の商品投資顧問業の許可と同種の許可又はこれに準ずる処分(第十三号において「許可等」という。)を受けている者
(a) a Commodity Trading Advisor involved in the investment of the Commodity Fund (meaning the commodity trading advisor prescribed in Article 2, paragraph (4) of the Act on Regulation of Business Pertaining to Commodity Investment (Act No. 66 of 1991); hereinafter the same applies in this Article), and a person who has been granted the same type of permission as a commodity investment advisory business permission as set forth in Article 3 of that Act or any other disposition equivalent thereto (referred to as a "Permissions, etc." in item (xiii)) in a foreign state under the laws and regulations of the foreign state corresponding to that Act;
ロ 商品ファンドから出資又は拠出を受ける者(運用業者を除く。)
(b) the person who accepts the investment or contribution from the Commodity Fund (excluding the Investment Manager); and
ハ 運用業者及びロに掲げる者が当該商品ファンドの運用を委託する者
(c) the person to whom the Investment Manager and the person specified in sub-item (b) entrusts the investment of the Commodity Fund.
二 当該金融商品取引業者等及び運用業者の資本金の額又は出資の総額及び主要株主(自己又は他人の名義をもって総株主等の議決権の百分の十以上の議決権を保有している者をいう。第九十五条第一項第一号及び第百五十三条第一項第四号ニ(6)(i)において同じ。)の商号、名称又は氏名並びに当該金融商品取引業者等又は運用業者が他に事業を行っているときは、その種類
(ii) the amount of stated capital or the total amount of the contribution of the Financial Instruments Business Operator, etc. and the Investment Manager; the trade name or name of the Major Shareholder thereof (meaning a person holding ten percent or more of the Voting Rights Held by All the Shareholders, etc. under the name of such person or any other person; the same applies in Article 95, paragraph (1), item (i) and Article 153, paragraph (1), item (iv), sub-item (d), 6, i); and in cases where the Financial Instruments Business Operator, etc. or the Investment Manager conducts any additional business, the type of such business;
三 運用業者の財産の運用開始日が属する事業年度の前事業年度の貸借対照表及び損益計算書又はこれらに代わる書面
(iii) the balance sheet and profit and loss statement for the business year immediately preceding the business year in which the day when the Investment Manager commenced the investment of properties falls, or any other document in lieu thereof;
四 運用業者の役員及び商品ファンドを運用する重要な使用人(部長、次長、課長その他いかなる名称であるかを問わず、商品ファンドの運用について責任を有する者をいう。)の氏名並びに役員が他の法人の常務に従事し、又は事業を営んでいるときは、当該役員の氏名並びに当該他の法人の商号又は名称及び業務又は当該事業の種類
(iv) the names of the Officers of the Investment Manager, and of the Major Employees thereof engaged in investment of the Commodity Fund (meaning a person responsible for investment of the Commodity Fund, such as the general manager, vice-chief, section manager or any other person irrespective of the job title); and if any Officer engages in the ordinary business of any other juridical person or operates a business, the name of such Officer, the trade name or name of such other juridical person or the type of such ordinary business or business;
五 当該金融商品取引契約の種類並びに顧客の権利及び責任の範囲に関する次に掲げる事項
(v) the following matters related to the type of the Contract for Financial Instruments Transaction and the scope of the customer's rights and liabilities:
イ 当該金融商品取引契約の種類
(a) the type of the Contract for Financial Instruments Transaction;
ロ 顧客から出資され、若しくは拠出された財産又は当該商品ファンド関連受益権に係る信託財産に関する顧客の監視権の有無及び顧客が当該監視権を有する場合にあっては、その内容
(b) information as to whether the customer has a right to monitor the properties invested or contributed by the customer or trust properties pertaining to the Beneficial Interest in Commodity Fund, and if so, the details of such right;
ハ 顧客から出資され、若しくは拠出された財産又は当該商品ファンド関連受益権に係る信託財産の所有関係
(c) ownership of the properties invested or contributed by the customer, or of trust properties pertaining to the Beneficial Interest in Commodity Fund;
ニ 顧客の第三者に対する責任の範囲
(d) the scope of the customer's liabilities owed to third parties;
ホ 出資され、若しくは拠出された財産又は当該商品ファンド関連受益権に係る信託財産が損失により減じた場合の顧客の損失分担に関する事項
(e) the matters related to allocation of the losses to be borne by customers, in cases of any detriment to properties invested or contributed by the customer or trust properties pertaining to the Beneficial Interest in Commodity Fund due to any loss; and
ヘ 顧客から出資され、若しくは拠出された財産又は当該商品ファンド関連受益権に係る信託財産に関する収益及び償還金の受領権
(f) the right to receive profit and redemption in regard to properties invested or contributed by the customer or trust properties pertaining to the Beneficial Interest in Commodity Fund;
六 当該金融商品取引契約又は当該商品ファンド関連受益権に係る信託契約に係る法令の概要
(vi) an outline of the laws and regulations applicable to the Contract for Financial Instruments Transaction or to the trust agreement pertaining to the Beneficial Interest in Commodity Fund;
七 顧客から出資され、若しくは拠出された財産又は当該商品ファンド関連受益権に係る信託財産の運用形態に関する次に掲げる事項
(vii) the following matters related to the type of the investment of the properties invested or contributed by the customer or the trust properties pertaining to the Beneficial Interest in Commodity Fund:
イ 元本確保型であるか、又は積極運用型であるかの別
(a) information as to whether the type of investment is principal-protected or aggressive;
ロ 元本確保型である場合にあっては、元本の確保の方法及び確保することができる元本の金額
(b) in cases where the investment is of a principal-protected type, the method of the protection of principal and the amount of principal that may be protected;
ハ 積極運用型である場合にあっては、予想される損失の範囲
(c) in cases where the investment is of an aggressive type, the scope of the losses estimated to be incurred; and
ニ 追加募集の有無
(d) information as to whether any additional offering is to be made.
八 顧客から出資され、若しくは拠出された財産又は当該商品ファンド関連受益権に係る信託財産の投資の内容及び方針に関する次に掲げる事項
(viii) the following matters in relation to the contents and policies of the investment of the properties invested or contributed by the customer or the trust properties pertaining to the Beneficial Interest in Commodity Fund:
イ 地域別、種類別その他の投資の対象に係る分類別の比率の予定が明らかである場合にあっては、当該比率その他の主な投資の対象の内容及び基準に関する事項
(a) in cases where the scheduled ratio classified into categories of investment target such as ratio per region or ratio per type has been determined, such ratio and any other matters on the contents of and the criteria related to the primary investment target;
ロ 法令その他の規則において投資の制限についての定めがある場合にあっては、当該制限の内容及びその根拠
(b) in cases where any restriction on investment is imposed by laws and regulations or any other rules, the details and basis of such restriction;
ハ 借入れ、集中投資、他の商品ファンドへの投資及び流動性に欠ける投資対象への投資の有無並びに投資に関する制限を設ける場合にあっては、当該制限の内容及びその根拠
(c) information as to whether any borrowing, concentrated investment, investment in other Commodity Funds or investment in any investment target lacking liquidity is to be made; and in cases where any restriction on investment is to be imposed, the contents and basis of such restriction;
ニ 繰上償還の有無
(d) information as to whether an accelerated redemption may be made;
ホ 運用開始予定日
(e) the scheduled date for the commencement of the investment;
ヘ 運用終了予定日
(f) the scheduled date for the termination of the investment; and
ト 一年以内で定められた商品ファンドの運用に係る計算期間(以下「計算期間」という。)
(g) the Accounting Period for the investment of the Commodity Fund, which is not longer than one year (hereinafter referred to as the "Accounting Period");
九 商品投資に係る事業の規制に関する法律第二条第一項第一号に掲げる取引(以下この条及び第百九条第四号において「商品先物取引」という。)の投機性、資金運用効率、流動性、商品先物取引法第二条第二十三項に規定する商品先物取引業者の信用、商品投資顧問業者の運用手法その他の商品ファンドを商品先物取引で運用することにより予想される損失発生の要因
(ix) the factors expected to give rise to any loss in connection with the investment of the Commodity Fund by way of the transaction specified in Article 2, paragraph (1), item (i) of the Act on Control for Business Pertaining to Commodity Investment (hereinafter referred to as the "Commodity Futures" in this Article and Article 109, item (iv)), such as its speculative nature, efficiency of fund management, liquidity, credibility of the Commodity Futures Transactions Dealer prescribed in Article 2, paragraph (23) of the Commodity Futures Act, the method of investment adopted by the Commodity Trading Advisor and other factors;
十 顧客への運用状況の報告の方法、頻度及び時期
(x) the method, frequency and timing of reporting the status of the investment to customers; and
十一 商品投資に係る事業の規制に関する法律第二条第五項第三号に掲げる契約を締結する場合にあっては、当該契約により顧客に付与される報告請求権の内容
(xi) in cases where a contract specified in Article 2, paragraph (5), item (iii) of the Act on Control for Business Pertaining to Commodity Investment is to be concluded, the details of the right to demand a report to be granted to the customer under that contract;
十二 運用業者に関する次に掲げる事項
(xii) the following matters in relation to the Investment Manager:
イ 定款上の事業目的
(a) the purpose of the business as set forth in its articles of incorporation;
ロ 設立経緯
(b) the background of the incorporation thereof;
ハ 商号の変更
(c) the change to the trade name;
ニ 運用業者の役員の変更についての監督官庁及び株主等による承認の要否並びに当該承認が必要な場合にあっては、その根拠及び承認手続
(d) information as to whether any change of Officer of the Investment Manager requires the approval of the supervisory government agencies or shareholders, etc., and if such approval is required, the basis thereof as well as the procedures for obtaining such approval;
ホ 定款変更、合併並びに事業譲渡及び事業譲受
(e) the change to its articles of incorporation, consolidation, business transfer and acceptance of transferred business;
ヘ 主要な出資又は拠出の状況
(f) the status of the major investment or contribution; and
ト 訴訟事件その他の重要事項
(g) material events such as lawsuits.
十三 関係業者のうち主要な者に関する次に掲げる事項
(xiii) the following matters in relation to any major Related Business Operator:
イ 関係業者が商品ファンドから出資又は拠出を受ける者である場合にあっては、その資本金の額又は出資の総額
(a) in cases where the Related Business Operator is to accept an investment or contribution from the Commodity Fund, the amount of its stated capital or total amount of investment;
ロ 商品ファンドから新たに出資又は拠出を受けて関係業者となる法人が設立される場合にあっては、当該出資又は拠出の予定額
(b) in cases where a juridical person which is to become a Related Business Operator is to be incorporated based on an investment or contribution to be newly made by the Commodity Fund, the scheduled amount of such investment or contribution;
ハ 商品投資顧問業者及び商品投資に係る事業の規制に関する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同法第三条の許可と同種の許可等を受けている者に係る当該許可等の番号、当該許可等を与えた機関の名称及びその機関が属する国の名称、設立年並びに当該許可等を受けた年
(c) with regard to a Commodity Trading Advisor and a person who has been granted the same type of Permission, etc. as a permission under Article 3 of the Act on Regulation of Business Pertaining to Commodity Investment in a foreign state under the laws and regulations of the foreign state corresponding to that Act, the serial number of such Permission, etc., the name of the agency which has granted such Permission, etc. as well as the name of the state to which such agency belongs, the year of the establishment thereof and the year when such Permission, etc. was granted; and
ニ 商品ファンドの運用に係る業務内容
(d) the contents of the business pertaining to the investment of the Commodity Fund.
十四 運用業者及び関係業者のうち主要な者との資本関係
(xiv) the capital relationship with the Investment Manager and the major Related Business Operators;
十五 商品ファンド関連受益権の募集、私募又は売出しに関する次に掲げる事項
(xv) the following matters in relation to a public offering, private placement or secondary distribution of Beneficial Interest in Commodity Fund:
イ 商品ファンド関連受益権の名称
(a) the name of the Beneficial Interest in Commodity Fund:
ロ 募集、私募又は売出しの予定総額及び予定総口数
(b) the scheduled total amount and the scheduled total unit of the public offering, private placement or secondary distribution;
ハ 募集、私募又は売出しの単位
(c) the unit of the public offering, private placement or secondary distribution;
ニ 申込みの期間、方法及び取扱場所
(d) the period, method and place of handling of the application; and
ホ 払込みの期日及び方法
(e) the payment date and the payment method.
十六 当該商品ファンド関連受益権に係る契約期間に関する事項
(xvi) the matters related to the contract period pertaining to the Beneficial Interest in Commodity Fund;
十七 金融商品取引契約の変更の手続、変更をする旨の開示の方法その他当該金融商品取引契約の変更に関する事項
(xvii) the matters related to a change to the Contract for Financial Instruments Transaction, such as the procedures for the change, the method for the announcement that the change is to take place, and any other matters;
十八 当該金融商品取引契約の解約に関する次に掲げる事項
(xviii) the following matters in relation to the cancellation of the Contract for Financial Instruments Transaction:
イ 解約の可否
(a) information as to whether the Contract for Financial Instruments Transaction is cancellable;
ロ 解約をすることができる場合にあっては、次に掲げる事項
(b) in cases where the Contract for Financial Instruments Transaction is cancellable, the following matters:
(1) 解約の条件及び方法
1. the conditions for and method of the cancellation;
(2) 解約の申込期間
2. the term for the application of the cancellation;
(3) 解約償還金の金額の計算方法及び支払方法
3. the method of calculation of the amount to be redeemed upon cancellation, as well as the payment method thereof;
(4) 解約償還金の支払予定日
4. the scheduled date for the payment of the amount to be redeemed upon cancellation;
(5) 解約に係る手数料
5. the cancellation fee; and
(6) 解約が多発したときは、当初予定していた運用を行うことができなくなるおそれがある旨及び運用自体を行うことができなくなるおそれがある旨
6. to the effect that, if the contracts are cancelled frequently, it may be impossible to make the investment as initially scheduled and it may be impossible to make the investment itself.
十九 当該金融商品取引業者等による買取りの有無並びに買取りをする場合にあっては、その条件及び方法並びに当該買取りに係る買取り金額の計算方法、支払方法及び支払時期
(xix) information as to whether the Financial Instruments Business Operator, etc. conducts a buy-back, and if it conducts a buy-back, the conditions and methods therefor as well the method of calculation of the buy-back price pertaining to such buy-back, and the method and timing of the payment thereof;
二十 損害賠償額の予定(違約金を含む。)に関する定めがあるときは、その内容
(xx) in cases where there is an agreement for agreement for liquidated damages (including penalties), the details thereof;
二十一 当該金融商品取引業者等が顧客から手数料等を徴収する方法
(xxi) the method by which the Financial Instruments Business Operator, etc. collects Fees, etc. from the customers;
二十二 商品ファンドから支払われる商品ファンドの管理に係る手数料等の支払先、計算方法、支払額、支払方法及び支払時期並びに当該支払額が未定の場合にあっては、その旨
(xxii) the payee, calculation method, amount to be paid, payment method and timing of the payment of the Fees, etc. pertaining to the management of the Commodity Fund payable from the Commodity Fund, and if such amount to be paid has not been fixed, to that effect;
二十三 商品ファンドに係る資産評価等に関する次に掲げる事項
(xxiii) the following matters in connection with asset appraisal, etc. pertaining to the Commodity Fund:
イ 一口当たりの純資産額の計算方法及び資産の評価方法
(a) the method of calculation of the Net Asset per unit, and the method of appraisal of the assets per unit;
ロ 計算期間
(b) the Accounting Period; and
ハ 顧客への通知の方法
(c) the method of notification to the customers.
二十四 計算期間に係る商品ファンドの貸借対照表及び損益計算書又はこれらに代わる書面その他の財務計算に関する書類に対する公認会計士又は監査法人の監査を受ける予定の有無及びその予定がある場合にあっては、監査を受ける範囲
(xxiv) information as to whether the Financial Instruments Business Operator, etc. will have a certified public accountant or an auditing firm audit the balance sheet, profit and loss statement, any document in lieu thereof or any other documents on financial calculation of the Commodity Fund pertaining to the Accounting Period, and if so, the scope of such auditing;
二十五 商品ファンドの収益の分配の方法及び方針
(xxv) the method and policy for the distribution of any profit of the Commodity Fund;
二十六 満期時の償還金の金額の計算方法、支払方法及び支払時期
(xxvi) the method of calculation of the amount of redemption payable upon maturity, as well as the method and timing of the payment thereof;
二十七 配当及び償還金に係る租税に関する事項
(xxvii) the matters related to taxation on the dividend and the redemption;
二十八 運用業者が外国法人である場合にあっては、本邦内に住所を有する者であって裁判上及び裁判外において当該運用業者を代理する権限を有するものの有無並びに当該者がある場合にあっては、その商号、名称又は氏名及び住所並びに当該権限の内容
(xxviii) in cases where the Investment Manager is a foreign juridical person, information as to whether there it has any person domiciled in Japan who has been granted authority to act as an agent of the Investment Manager in connection with acts in or out of court, and if so, the trade name, name and the address of such person and the details of such authority;
二十九 当該商品ファンド関連受益権に係る契約その他の法律行為に当該商品ファンド関連受益権に関する訴訟について管轄権を有する裁判所の定めがある場合にあっては、その名称及び所在地
(xxix) in cases where the contract or any other juridical act pertaining to the Beneficial Interest in Commodity Fund provides for the court to have jurisdiction over the action related to such Beneficial Interest in Commodity Fund, the name and location of such court; and
三十 元本の追加運用をすることができる商品ファンドに追加運用するための商品ファンド関連取引に係る金融商品取引契約の締結又はその代理若しくは媒介(以下この号において「締結等」という。)をしようとする場合にあっては、次に掲げる事項
(xxx) in cases where a Contract for Financial Instruments Transaction pertaining to Commodity Fund-Related Transactions intended for making additional investment in a Commodity Fund which accepts additional investment of principal is to be concluded, or where the agency or intermediary services therefor are to be provided (hereinafter referred to as the "Conclusion, etc." in this item), the following matters:
イ 当該締結等の勧誘の開始日の前々月末日における次に掲げる事項ごとの当該商品ファンドに係る資産配分状況
(a) the status of the distribution of assets pertaining to the Commodity Fund as of the last day of the month two months prior to the day of the commencement of solicitation for such Conclusion, etc., classified in accordance with the following categories:
(1) 商品先物取引(貴金属、農産物、エネルギー資源、その他の当該商品先物取引に係る主要な物品ごとの内訳を含む。)
1. Commodity Futures (including a breakdown by the category of major goods pertaining to the Commodity Futures, such as precious metals, agricultural products, energy resources and others);
(2) 商品投資に係る事業の規制に関する法律第二条第一項第二号に規定する商品投資(貴金属、農産物、エネルギー資源その他の当該商品投資に係る主要な物品ごとの内訳を含む。)
2. the Commodities Investment prescribed in Article 2, paragraph (1), item (ii) of the Act on Control for Business Pertaining to Commodity Investment (including a breakdown by the category of major goods pertaining to the Commodities Investment, such as precious metals, agricultural products, energy resources and others);
(3) 商品投資に係る事業の規制に関する法律第二条第一項第三号に規定する商品投資(貴金属、農産物、エネルギー資源その他の当該商品投資に係る主要な物品ごとの内訳を含む。)
3. the Commodities Investment prescribed in Article 2, paragraph (1), item (iii) of the Act on Control for Business Pertaining to Commodity Investment (including a breakdown by the category of major goods pertaining to the Commodities Investment, such as precious metals, agricultural products, energy resources and others);
(4) 令第三十七条第一項第二号イからホまでに掲げる物品の取得(生産を含む。)をし、譲渡をし、使用をし、又は使用させることによる運用(同号イからホまでに掲げる当該運用に係る物品ごとの内訳を含む。)
4. investment by way of acquisition (including production), transfer or use of the goods listed in Article 37, paragraph (1), item (ii), sub-items (a) through (e) of the Cabinet Order or by way of having such goods used (including a breakdown by category of the goods pertaining to such investment as listed in sub-items (a) through (e) of that item);
(5) その他の運用方法(有価証券、譲渡性預金その他の主要な金融商品に対する投資、法第二条第二十一項各号に掲げる取引、同条第二十二項各号に掲げる取引、同条第二十三項に規定する取引その他の主要な運用方法ごとの内訳を含む。)
5. other methods of investment (including a breakdown by category of major investment method, such as an investment in Securities, negotiable deposits and other major financial instruments, a transaction listed in the items of Article 2, paragraph (21) of the Act, a transaction listed in the items of paragraph (22) of that Article, a transaction prescribed in paragraph (23) of that Article and other methods).
ロ 当該勧誘の開始日が属する月の前々月末日において終了している直近十計算期間の各計算期間の末日における純資産額及び配当
(b) the Net Asset and the dividends as of the last day of each of the latest ten Accounting Periods, which ended on the last day of the month two months prior to the month containing the day of the commencement of such solicitation;
ハ 当該勧誘の開始日が属する月の前々月末日において終了している直近十計算期間の各計算期間における募集、私募、売出し又は特定投資家向け売付け勧誘等の金額、解約金額及び償還金額
(c) the amount, the cancellation payment amount and redemption amount related to of the public offering, private placement, secondary distribution or Solicitation for Selling, etc. Only for Professional Investors for each of the latest ten Accounting Periods, which ended on the last day of the month two months prior to the month containing the day of commencement of such solicitation;
ニ 当該勧誘の開始日が属する計算期間の前計算期間に係る商品ファンドの貸借対照表及び損益計算書又はこれらに代わる書面
(d) the balance sheet and the profit and loss statement of the Commodity Fund for the Accounting Period immediately prior to the Accounting Period in which the day of the commencement of the solicitation falls, or any other document in lieu thereof;
ホ ニの商品ファンドから出資又は拠出を受けた者がある場合にあっては、当該商品ファンド及び当該者に係る連結貸借対照表及び連結損益計算書又はこれらに代わる書面であって顧客が当該商品ファンド及び当該者に係る純資産額を理解することができる方法により記載されているもの
(e) in cases where there is any person who has accepted an investment or a contribution from the Commodity Fund set forth in sub-item (d), the consolidated balance sheet and the consolidated profit and loss statement pertaining to such Commodity Fund and such person, or any other document in lieu thereof, which are set out in such a way that the customer may understand the Net Asset of such Commodity Fund or such person; and
ヘ ニ又はホに掲げる書面その他の財務計算に関する書類に対する公認会計士又は監査法人の監査を受けているときは、その範囲(契約締結前交付書面に公認会計士又は監査法人の監査に係る書類が添付されており、かつ、当該書類に監査を受けた範囲が明記されている場合を除く。)
(f) in cases where the document specified in sub-item (d) or (e) or any other documents on the financial calculation has been audited by a certified public accountant or an auditing firm, the scope of such auditing (excluding the cases where a document related to auditing by a certified public accountant or an auditing firm is attached to the Document for Delivery Prior to Conclusion of Contract, and where the scope of such auditing is clearly indicated in such document).
2 第八十三条第二項の規定は、商品ファンド関連取引について準用する。この場合において、同項中「前項各号」とあるのは、「第九十一条第一項各号」と読み替えるものとする。
(2) The provisions of Article 83, paragraph (2) apply mutatis mutandis to a Commodity Fund-Related Transaction. In such case, the term "the items of the preceding paragraphs" in that paragraph is deemed to be replaced with "the items of Article 91, paragraph (1)".
3 第八十三条第三項の規定は、商品ファンド関連受益権について準用する。この場合において、同項中「第一項」とあるのは、「第九十一条第一項」と読み替えるものとする。
(3) The provisions of Article 83, paragraph (3) apply mutatis mutandis to the Beneficial Interest in Commodity Fund. In this case, the term "paragraph (1)" in that paragraph is deemed to be replaced with "Article 91, paragraph (1)".
4 第一項及び前項の「商品ファンド関連受益権」とは、次に掲げるものをいう。
(4) The term the "Beneficial Interest in Commodity Fund" as used in paragraph (1) and the preceding paragraph is as follows:
一 法第二条第一項第十四号に掲げる有価証券若しくは同項第十七号に掲げる有価証券(同項第十四号に掲げる有価証券の性質を有するものに限る。)に表示されるべき権利又は同条第二項第一号若しくは第二号に掲げる権利であって、これらの権利に係る信託財産を主として次に掲げる行為により運用することを目的とする信託の収益の分配及び元本の返還を受ける権利であるもの
(i) the rights to be indicated on the Securities specified in Article 2, paragraph (1), item (xiv) of the Act or on the Securities specified in item (xvii) of that paragraph (limited to those which have the nature of the Securities specified in item (xiv) of that paragraph), or the rights specified in item (i) or (ii) of paragraph (2) of that Article, the purpose of which is to receive the distribution of profits and refund of the principal of trust primarily intended for the investment of the trust property pertaining to such right through investment by means of the following acts:
イ 商品投資に係る事業の規制に関する法律第二条第一項に規定する商品投資
(a) the Commodities Investment prescribed in Article 2, paragraph (1) of the Act on Control for Business Pertaining to Commodities Investment; and
ロ 令第三十七条第一項第二号イからホまでに掲げるいずれかの物品の取得(生産を含む。)をし、譲渡をし、使用をし、又は使用をさせること。
(b) the acquisition (including production), transfer or use of any of the goods listed in Article 37, paragraph (1), item (ii), sub-items (a) through (e) of the Cabinet Order, or having such goods used.
二 法第二条第二項第五号又は第六号に掲げる権利のうち当該権利に係る出資対象事業が前号に規定する権利に対する投資であるもの
(ii) the rights specified in Article 2, paragraph (2), item (v) or (vi) of the Act in the case where the Invested Business pertaining to such rights is an investment in the rights specified in the preceding item; and
三 法第二条第二項第五号又は第六号に掲げる権利のうち当該権利に係る出資対象事業が主として第一号イ又はロに掲げる行為を行う事業であるもの
(iii) the rights specified in Article 2, paragraph (2), item (v) or (vi) of the Act in cases where the Invested Business pertaining to such rights is primarily intended for conducting the act specified in sub-item (a) or (b) of item (i).
(競走用馬投資関連業務に係る取引に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to be Stated in Document for Delivery Prior to Conclusion of Contract Pertaining to Transaction Pertaining to Business Related to Investment in Racehorses)
第九十二条 その締結しようとする金融商品取引契約が競走用馬投資関連業務に係る取引に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、前条第一項に規定する事項のほか、競走用馬の血統及び飼養管理の状況に関する事項とする。
Article 92 (1) With regard to the cases where the Contract for Financial Instruments Transaction to be concluded pertains to a transaction of the Business Related to Investment in Racehorses, the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are the matters related to bloodlines of the racehorses and status of the management of the breeding thereof, in addition to those specified in paragraph (1) of the preceding Article.
2 第八十三条第二項の規定は、競走用馬投資関連業務に係る取引について準用する。この場合において、同項中「前項各号に掲げる事項」とあるのは「競走用馬の血統及び飼養管理の状況に関する事項」と、「同項の」とあるのは「第九十二条第一項の」と、「同項各号に掲げる事項」とあるのは「当該事項」と読み替えるものとする。
(2) The provisions of Article 83, paragraph (2) apply mutatis mutandis to a transaction pertaining to the Business Related to Investment in Racehorses. In this case, the term "the matters listed in the items of the preceding paragraph", "that paragraph", "the matters listed in the items of that paragraph" is deemed to be replaced with "the matters related to bloodlines of the racehorses and status of the management of the breeding thereof", "Article 92, paragraph (1)", and "such matters", respectively.
3 第八十三条第三項の規定は、第七条第四号ニ(1)又は(2)に掲げる権利について準用する。この場合において、同項中「第一項」とあるのは、「第九十二条第一項」と読み替えるものとする。
(3) The provisions of Article 83, paragraph (3) apply mutatis mutandis to the right specified in Article 7, item (iv), sub-item (d)1. or 2. In such case, the term "paragraph (1)" in that paragraph is deemed to be replaced with "Article 92, paragraph (1)."
(事業型出資対象事業持分の売買その他の取引に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to be Stated in Documents for Delivery Prior to Conclusion of a Contract Pertaining to Purchase and Sale or Any Other Transaction of Business-Type Equity of Invested Business)
第九十二条の二 その締結しようとする金融商品取引契約が、出資対象事業持分のうち当該出資対象事業持分に係る出資対象事業が主として有価証券又はデリバティブ取引に係る権利に対する投資を行う事業以外の事業であるもの(以下この条において「事業型出資対象事業持分」という。)の売買その他の取引に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、第八十七条第一項に規定する事項(当該金融商品取引契約が外国出資対象事業持分の売買その他の取引に係るものである場合にあっては第八十八条第一項に規定する事項、当該金融商品取引契約が第九十一条第四項第三号に掲げるものの売買その他の取引に係るものである場合にあっては同条第一項に規定する事項、当該金融商品取引契約が競走用馬投資関連業務に係る取引に係るものである場合にあっては前条第一項に規定する事項)のほか、次に掲げる事項とする。
Article 92-2 (1) The matters provided for by Cabinet Office Order defined in Article 37-3, paragraph (1), item (vii) of the Act in cases where the Financial Instruments Transaction Contract to be concluded pertains to the purchase and sale and other transactions of the right, of which the Invested Business pertaining to the Equity of Invested Business is mainly the business other than a business which invests primarily in the rights pertaining to Securities or derivative transactions from among said Equity of Invested Business (hereinafter referred to as "Business-Type Equity of Invested Business" in this Article) are the following matters in addition to the matters specified in Article 87, paragraph (1) (in cases where the Financial Instruments Transaction Contract is related to the purchase and sale or other transactions of Equity in Foreign Invested Business, the matters specified in Article 88, paragraph (1); in cases where the Financial Instruments Transaction Contract is related to the purchase and sale or other transactions of those listed in Article 91, paragraph (4), item (iii), the matters specified in paragraph (1) of that Article; and in cases where the Financial Instruments Transaction Contract is related to transactions of the Business Related to Investment in Racehorses, the matters specified in paragraph (1) of the preceding Article):
一 事業型出資対象事業持分に関する次のイからハまでに掲げる金銭の管理の方法の区分に応じ当該イからハまでに定める事項
(i) matters specified in the following sub-items (a) through (c) corresponding to the categories of money management methods listed in those sub-items (a) through (c) related to the Business-Type Equity of Invested Business:
イ 第百二十五条第二号イに掲げる方法 次に掲げる事項
(a) the method listed in Article 125, item (ii), sub-item (a): the following matters:
(1) 預託先の商号又は名称
1. the trade name or name of the depository;
(2) 預託に係る営業所又は事務所の名称及び所在地
2. the name and location of the business office or any other office related to the deposit;
(3) 預託の名義
3. the name of the deposit; and
(4) 預託の口座番号その他の当該預託を特定するために必要な事項
4. the account number of the deposit and other necessary matters to specify said deposit.
ロ 第百二十五条第二号ロに掲げる方法 次に掲げる事項
(b) the method listed in Article 125, item (ii), sub-item (b): the following matters:
(1) 預金又は貯金の口座のある銀行等(銀行、協同組織金融機関、株式会社商工組合中央金庫又は外国の法令に準拠し、外国において銀行法第十条第一項第一号に掲げる業務を行う者をいう。)の商号又は名称
1. the trade name or name of a bank, etc. (meaning a bank, Cooperative Financial Institution, the Shoko Chukin Bank Limited, or a person who engages in the operations listed in Article 10, paragraph (1), item (i) of the Banking Act in a foreign state) with which there is a deposit or savings account;
(2) 預金又は貯金の口座に係る営業所又は事務所の名称及び所在地
2. the name and location of the business office or any other office related to deposits or savings;
(3) 預金又は貯金の名義
3. the name of the deposits or savings; and
(4) 預金又は貯金の口座番号その他の当該預金又は貯金を特定するために必要な事項
4. the account number of the deposits or savings and other necessary matters to specify said deposits or savings.
ハ 第百二十五条第二号ハに掲げる方法 次に掲げる事項
(c) the method listed in Article 125, item (ii), sub-item (c): the following matters:
(1) 金銭信託の受託者の商号又は名称
1. the trade name or name of the trustee of the money trust;
(2) 金銭信託に係る営業所又は事務所の名称及び所在地
2. the name and location of the business office or any other office related to the money trust;
(3) 金銭信託の名義
3. the name of the money trust; and
(4) 金銭信託の口座番号その他の当該金銭信託を特定するために必要な事項
4. the account number of the money trust and other necessary matters to specify said money trust.
二 法第四十条の三に規定する管理の実施状況及び当該金融商品取引業者等が当該実施状況の確認を行った方法
(ii) implementation status of the management specified in Article 40-3 and the method with which the Financial Instruments Business Operator, etc. checked the implementation status;
三 事業型出資対象事業持分の売買その他の取引に係る契約の特性及び当該特性を理解した上で投資を行うべきである旨
(iii) characteristics of the contact pertaining to the purchase and sale and other transactions of the Business-Type Equity of Invested Business and the statement that investment should be implemented only after understanding said characteristics;
四 出資対象事業に係る資金の流れに関する次に掲げる事項
(iv) the following matters related to the flow of funds pertaining to the Invested Business: and
イ 事業型出資対象事業持分を有する者から出資又は拠出を受けた金銭その他の財産の使途の具体的な内容及び当該金銭その他の財産の各使途への配分に係る方針
(a) specific content of use of money and other property that is invested or paid by a person who has Business-Type Equity of Invested Business and the distribution policy of the money and other property for each use; and
ロ 事業型出資対象事業持分を有する者から出資又は拠出を受けた金銭その他の財産に係る送金若しくは送付又は管理若しくは保管を行う者の商号又は名称及び役割
(b) the trade name or name and roles of the person who transfers or sends, or manages or keeps money or other properties invested or paid by the person who has Business-Type Equity of Invested Business.
五 事業型出資対象事業持分を有する者から出資又は拠出を受けた金銭その他の財産に係る外部監査の有無及び当該外部監査を受ける場合にあっては、当該外部監査を行う者の氏名又は名称
(v) existence of an external audit pertaining to money and other properties invested or paid by the person who has Business-Type Equity of Invested Business, and in cases of receiving an external audit, the name of the person who implements said external audit.
2 第八十三条第二項の規定は、事業型出資対象事業持分の売買その他の取引について準用する。この場合において、同項中「前項各号」とあるのは、「第九十二条の二第一項各号」と読み替えるものとする。
(2) The provisions of Article 83, paragraph (2) apply mutatis mutandis to the purchase and sale and other transactions of the Business-Type Equity of Invested Business. In this case, the term "each item of the preceding paragraph" as used in that paragraph is deemed to be replaced with "each item of Article 92-2, paragraph (1)."
3 第八十三条第三項の規定は、事業型出資対象事業持分について準用する。この場合において、同項中「第一項」とあるのは、「第九十二条の二第一項」と読み替えるものとする。
(3) The provisions of Article 83, paragraph (3) apply mutatis mutandis to the Business-Type Equity of Invested Business. In this case, the term "paragraph (1)" in that paragraph is deemed to be replaced with "Article 92-2, paragraph (1)."
(デリバティブ取引等に係る契約締結前交付書面の共通記載事項)
(Matters to be Stated in All Types of Document for Delivery Prior to Conclusion of Contract Pertaining to Derivative Transactions, etc.)
第九十三条 その締結しようとする金融商品取引契約がデリバティブ取引等に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、第八十二条各号に掲げる事項のほか、次に掲げる事項とする。
Article 93 (1) With regard to the cases where the Contract for Financial Instruments Transaction to be concluded pertains to Derivative Transactions, etc., the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows, in addition to those specified in the items of Article 82:
一 令第十六条第一項第三号及び第六号に規定する事項
(i) the matters prescribed in Article 16, paragraph (1), item (iii) and (vi) of the Cabinet Order;
二 当該デリバティブ取引等に基づき発生する債務の履行の方法及び当該デリバティブ取引等を決済する方法
(ii) the method of the performance of the obligations arising from the Derivative Transactions, etc., and the method of settlement of such Derivative Transactions, etc.;
三 当該デリバティブ取引等が市場デリバティブ取引等又は外国市場デリバティブ取引等である場合にあっては、これらの取引に係る取引所金融商品市場又は外国金融商品市場を開設する者の商号又は名称
(iii) in cases where the Derivative Transactions, etc., fall under the category of the Market Transactions of Derivatives, etc. or Foreign Market Derivatives Transactions, etc., the trade name or name of the party which establishes the Financial Instruments Exchange Market or the Foreign Financial Instruments Market pertaining to such transactions;
四 顧客が当該デリバティブ取引等に関し預託すべき委託証拠金その他の保証金の種類及び金額の計算方法、当該委託証拠金その他の保証金に充当することができる財産の種類及び充当価格その他これに準ずるもの並びに顧客が当該委託証拠金その他の保証金を預託し、及びその返還を受ける方法
(iv) the types of any security deposit to be deposited by the customer in connection with the Derivative Transactions, etc. such as customer margin, and the method of calculation of the amount thereof; the type of properties which may be appropriated to the customer margin or any other security deposit, and the amount which may be appropriated or any other information equivalent thereto; and the method whereby the customer deposits or restitutes the customer margin or any other security deposit.
五 顧客から手数料等を徴収する方法
(v) the method of the collection of the Fees, etc. from customers;
六 デリバティブ取引又はその受託等(法第四十四条の二第一項第一号に規定する受託等をいう。以下同じ。)に係る手続に関する事項
(vi) the matters related to the procedures pertaining to Derivative Transactions, or the Acceptance of Entrustment, etc. thereof (meaning the Acceptance of Entrustment, etc. set forth in Article 44-2, paragraph (1), item (i) of the Act; the same applies hereinafter); and
七 デリバティブ取引に関する主要な用語及びその他の基礎的な事項
(vii) the major technical terms related to Derivative Transactions or any other basic matters.
2 第八十三条第二項の規定は、デリバティブ取引等について準用する。この場合において、同項中「前項各号」とあるのは、「第九十三条第一項各号」と読み替えるものとする。
(2) The provisions of Article 83, paragraph (2) apply mutatis mutandis to the Derivative Transactions, etc. In this case, the term "the items of the preceding paragraph" in that paragraph is deemed to be replaced with "the items of Article 93, paragraph (1)."
(店頭デリバティブ取引契約に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to be Stated in Document for Delivery Prior to Conclusion of Contract Pertaining to the Contact of Over-the-Counter Derivatives Transactions)
第九十四条 その締結しようとする金融商品取引契約が店頭デリバティブ取引契約に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、前条に規定する事項のほか、次に掲げる事項とする。
Article 94 (1) With regard to the cases where the Contract for Financial Instruments Transaction to be concluded pertains to the contract of Over-the-Counter Derivatives Transactions, the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows, in addition to those specified in the preceding Article:
一 当該金融商品取引業者等が顧客を相手方として行う店頭デリバティブ取引(第百十六条第一項第三号イ及びロに掲げる取引を除く。以下この項、第百十七条第一項第二十六号並びに第百二十三条第一項第二十号及び第二十一号において同じ。)により生じ得る損失の減少を目的として、当該金融商品取引業者等が行う市場デリバティブ取引若しくは外国市場デリバティブ取引又は他の金融商品取引業者等その他の者(以下この号及び次号において「他の業者等」という。)を相手方として行う店頭デリバティブ取引で、当該顧客が行った店頭デリバティブ取引と取引の対象とする金融商品若しくは金融指標及び売買の別その他これらに準ずる事項が同一のもの(以下「カバー取引」という。)を行う場合の当該カバー取引に係る取引所金融商品市場の商号若しくは名称若しくは外国金融商品市場を開設する者の商号若しくは名称を当該外国金融商品市場が開設されている国若しくは地域において使用されている言語により表示したもの及びそれを日本語により翻訳して表示したもの又は店頭デリバティブ取引の相手方となる他の業者等(以下「カバー取引相手方」という。)の商号、名称若しくは氏名及び業務内容並びにこれらの者が外国法人である場合にあっては、監督を受けている外国の当局の名称
(i) in the case where the Financial Instruments Business Operator, etc., for the purpose of reducing any possible loss which may accrue from the Over-the-Counter Derivatives Transactions (excluding transactions listed in Article 116, paragraph (1), item (iii), sub-items (a) and (b); hereinafter the same applies in this paragraph, Article 117, paragraph (1), item (xxvi), Article 123, paragraph (1), items (xx) and (xxi)) to be conducted vis-a-vis a customer, conducts Market Transactions of Derivatives or Foreign Market Derivatives Transactions, or other Over-the-Counter Derivatives Transactions vis-a-vis other Financial Instruments Business Operator, etc. or any other person (hereinafter referred to as the "Counterparty Business Operators, etc." in this and the following items), and where the Financial Instruments or options subject to such Over-the-Counter Derivatives Transactions or Financial Indicators pertaining to such Over-the-Counter Derivatives Transactions, type of transaction (whether it is a purchase or sale transaction) any other particulars equivalent thereto are identical to the Over-the-Counter Derivatives Transactions conducted by the customer (such transaction is hereinafter referred to as the "Cover Deal"): the trade name or name of the Financial Instruments Exchange Market pertaining to such Cover Deal; or the trade name or name of the party which establishes the Foreign Financial Instruments Market pertaining to such Cover Deal, as indicated in the language used in the state or region where such Foreign Financial Instruments Market has been established, as well as the Japanese translation of such indication; or the trade name or name and the business contents of the Counterparty Business Operators, etc. which are the counterparties to the Over-the-Counter Derivatives Transactions (hereinafter referred to as the "Counterparties to Cover Deals"); and if any of the Counterparties to Cover Deals is a foreign juridical person, the name of the competent authority supervising such juridical person;
二 顧客が行う店頭デリバティブ取引で当該金融商品取引業者等が媒介、取次ぎ又は代理を行う場合の当該媒介、取次ぎ又は代理の相手方となる他の業者等(以下この号及び第百四十三条第一項第二号ニにおいて「媒介等相手方」という。)の商号、名称又は氏名及び業務内容並びに当該媒介等相手方が外国法人である場合にあっては、監督を受けている外国の当局の名称
(ii) the trade name, name and the business contents of the Counterparty Business Operator, etc. which is the counterparty to the intermediary, brokerage or agency service, in cases where a Financial Instruments Business Operator, etc. conducts an intermediary, brokerage or agency service for the Over-the-Counter Derivatives Transactions to be conducted by a customer (hereinafter referred to as the "Counterparty to Intermediary Services, etc." in this item and Article 143, paragraph (1), item (ii), sub-item (d)); and in the cases where such Counterparty to Intermediary Services, etc. is a foreign juridical person, the name of the competent authority supervising such counterparty;
三 当該店頭デリバティブ取引契約に係る禁止行為に関する事項
(iii) the matters related to prohibited acts in connection with the contract of Over-the-Counter Derivatives Transactions; and
四 法第四十三条の二第一項若しくは第二項又は第四十三条の三の規定に基づく財産の管理方法及び預託先
(iv) the method for management of the properties under Article 43-2, paragraph (1) or (2) or Article 43-3 of the Act, and the depository thereof.
2 第八十三条第二項の規定は、店頭デリバティブ取引契約について準用する。この場合において、同項中「前項各号」とあるのは、「第九十四条第一項各号」と読み替えるものとする。
(2) The provisions of Article 83, paragraph (2) apply mutatis mutandis to the contract of Over-the-Counter Derivative Transactions. In this case, the term "the items of the preceding paragraph" in that paragraph is deemed to be replaced with "the items of Article 94, paragraph (1)."
(投資顧問契約等に係る契約締結前交付書面の記載事項)
(Matters to be Stated in Document for Delivery Prior to Conclusion of Contract Pertaining to Investment Advisory Contracts, etc.)
第九十五条 その締結しようとする金融商品取引契約が投資顧問契約又は法第二条第八項第十三号に掲げる行為(投資顧問契約に係るものに限る。)を行うことを内容とする契約である場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、第八十二条各号に掲げる事項のほか、次に掲げる事項とする。
Article 95 (1) With regard to the cases where the Contract for Financial Instruments Transaction to be concluded is an Investment Advisory Contract or a contract for conducting of the acts specified in Article 2, paragraph (8), item (xiii) of the Act (limited to the act pertaining to an Investment Advisory Contract), the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows, in addition to those specified in the items of Article 82:
一 当該金融商品取引業者等が法人である場合にあっては、その資本金の額又は出資の総額並びにその役員及び主要株主の商号、名称又は氏名
(i) in the case where the Financial Instruments Business Operator, etc. is a juridical person, the amount of the stated capital, the total amount of investment, and the trade names or names of its Officers and the Major Shareholders;
二 顧客に対する投資顧問契約に基づく助言の業務の用に供する目的で金融商品の価値等の分析又は当該分析に基づく投資判断を行う者(第百六条第一項第六号において「分析者等」という。)の氏名
(ii) the name of the person who conducts the analysis of the Values, etc. of Financial Instruments for the purpose of making it available for the advisory service the customer under the Investment Advisory Contract, or who makes Investment Decisions based on such analysis (referred to as the "Analysts, etc." in Article 106, paragraph (1), item (vi));
三 助言の内容及び方法
(iii) the contents and methods of the advisory service;
四 顧客に対する投資顧問契約に基づく助言の業務を行う者の氏名
(iv) the name of the person who performs the advisory service for customers under the Investment Advisory Contracts;
五 当該金融商品取引契約に法第三十七条の六の規定が適用される場合にあっては、顧客は、金融商品取引契約が成立したとき、又は第九十八条第一項第一号若しくは第二号に掲げるときに作成する法第三十七条の四第一項に規定する書面(以下「契約締結時交付書面」という。)を受領した日(当該契約締結時交付書面の受領に代えて、電磁的方法により当該契約締結時交付書面に記載すべき事項が提供された場合にあっては、次に掲げる場合の区分に応じ、それぞれ次に定める日)から起算して十日を経過するまでの間、書面により当該金融商品取引契約の解除を行うことができる旨
(v) in cases where the provisions of Article 37-6 of the Act is applicable to the Contract for Financial Instruments Transaction, the fact that the customer may, before ten days have elapsed from the day when the customer received the document set forth in Article 37-4, paragraph (1) of the Act to be prepared when the Contract for Financial Instruments Transaction is effected or in the cases set forth in Article 98, paragraph (1), item (i) or (ii) (hereinafter referred to as the "Document for Delivery Upon Conclusion of Contract") (in the cases where, instead of the receipt of the Document for Delivery Upon Conclusion of Contract, any information to be specified therein was provided by Electromagnetic Means, from the day specified in the following sub-items in accordance with the categories of the cases set forth respectively therein), cancel the Contract for Financial Instruments Transaction in writing;
イ 第五十六条第一項第一号に掲げる方法により提供された場合 当該契約締結時交付書面に記載すべき事項が顧客の使用に係る電子計算機に備えられたファイルへ記録された日
(a) in cases where such information has been provided by the methods specified in Article 56, paragraph (1), item (i): the day when the matters to be stated in the Document for Delivery Upon Conclusion of Contract are recorded into the file stored on a computer used by a customer; or
ロ 第五十六条第一項第二号に掲げる方法により提供された場合 同号のファイルを受領した日
(b) in cases where such information has been provided by the methods specified in Article 56, paragraph (1), item (ii): the day of the receipt of the file set forth in that item.
六 法第三十七条の六第一項の規定による当該金融商品取引契約の解除は、金融商品取引契約の解除を行う旨の書面を発した時に、その効力を生じる旨
(vi) the fact that a cancellation of the Contract for Financial Instruments Transaction under Article 37-6, paragraph (1) of the Act comes into effect when a document notifying the cancellation thereof is dispatched;
七 金融商品取引業者等は、その行う投資助言業務に関して、顧客を相手方として又は当該顧客のために法第二条第八項第一号から第四号までに掲げる行為を行ってはならない旨
(vii) to the effect that the Financial Instruments Business Operator, etc. may not, in connection with its Investment Advisory Business, conduct the acts listed in Article 2, paragraph (8), items (i) through (iv) of the Act vis-a-vis or for the customer;
八 金融商品取引業者等は、いかなる名目によるかを問わず、その行う投資助言業務に関して、顧客から金銭若しくは有価証券の預託を受け、又は当該金融商品取引業者等と密接な関係を有する者に顧客の金銭若しくは有価証券を預託させてはならない旨
(viii) to the effect that the Financial Instruments Business Operator, etc. may not, in connection with its Investment Advisory Business, receive any money deposit or Securities from its customers or have such customer deposit the customer's money or Securities to a person having a close relationship with such Financial Instruments Business Operator, etc., irrespective of the grounds therefor; and
九 金融商品取引業者等は、その行う投資助言業務に関して、顧客に対し金銭若しくは有価証券を貸し付け、又は顧客への第三者による金銭若しくは有価証券の貸付けにつき媒介、取次ぎ若しくは代理をしてはならない旨
(ix) to the effect that the Financial Instruments Business Operator, etc. may not, in connection with its Investment Advisory Business, loan money or Securities to its customers, or provide any intermediary, brokerage or agency services for the lending of money or Securities by a third party to such customers.
2 次の各号に掲げる規定は、当該各号に定める場合には、適用しない。
(2) the provisions listed in the following items do not apply to the cases set forth respectively therein:
一 前項第七号の規定 金融商品取引業者等が次に掲げる者である場合
(i) the provisions of item (vii) of the preceding paragraph: in cases where the Financial Instruments Business Operator, etc. falls under the category of the following persons:
イ 第一種金融商品取引業を行う者
(a) a person engaged in a Type I Financial Instruments Business;
ロ 第二種金融商品取引業を行う者
(b) a person engaged in a Type II Financial Instruments Business;
ハ 登録金融機関
(c) a Registered Financial Institution; or
ニ 金融商品仲介業者
(d) a Financial Instruments Intermediary Service Provider.
二 前項第八号の規定 金融商品取引業者等が次に掲げる者である場合
(ii) the provisions of item (viii) of the preceding paragraph: in cases where the Financial Instruments Business Operator, etc. falls under the category of the following persons:
イ 有価証券等管理業務を行う者
(a) a person engaged in a Securities, etc. Management Business; or
ロ 登録金融機関(信託業務を営む金融機関又は預金、貯金若しくは銀行法第二条第四項に規定する定期積金等の受入れを行う金融機関に限る。)
(b) a Registered Financial Institution (limited to a financial institution engaged in a trust business, or a financial institution accepting deposits, savings, or Installment Savings, etc. as prescribed in Article 2, paragraph (4) of the Banking Act);
三 前項第九号の規定 金融商品取引業者等が次に掲げる者である場合
(iii) the provisions of item (ix) of the preceding paragraph: in cases where the Financial Instruments Business Operator, etc. falls under the category of the following persons:
イ 第一種金融商品取引業を行う者
(a) a person engaged in a Type I Financial Instruments Business;
ロ 金融商品仲介業者
(b) a Financial Instruments Intermediary Service Provider; or
ハ 登録金融機関(信託業務を営む金融機関に限る。)
(c) a Registered Financial Institution (limited to a financial institution engaged in a trust business).
3 第八十三条第二項の規定は、投資顧問契約について準用する。この場合において、同項中「前項各号」とあるのは、「第九十五条第一項各号」と読み替えるものとする。
(3) the provisions of Article 83, paragraph (2) apply mutatis mutandis to an Investment Advisory Contract. In this case, the term "the items of the preceding paragraph" in that paragraph is deemed to be replaced with "the items of Article 95, paragraph (1)".
(投資一任契約等に係る契約締結前交付書面の記載事項)
(Matters to be Stated in Document for Delivery Prior to Conclusion of Contract Pertaining to Discretionary Investment Contract, etc.)
第九十六条 その締結しようとする金融商品取引契約が投資一任契約又は法第二条第八項第十三号に掲げる行為(投資一任契約に係るものに限る。第六号において同じ。)を行うことを内容とする契約である場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、第八十二条各号に掲げる事項のほか、次に掲げる事項とする。
Article 96 (1) With regard to the cases where the Contract for Financial Instruments Transaction to be concluded is a Discretionary Investment Contract or a contract for conducting of the acts specified in Article 2, paragraph (8), item (xiii) of the Act (limited to acts pertaining to a Discretionary Investment Contract; the same applies in item (vi)), the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows, in addition to those specified in the items of Article 82:
一 運用の基本方針
(i) basic investment policy;
二 投資一任契約に基づき顧客のために行う当該顧客の資産に係る投資の方法及び取引の種類
(ii) the method of investment pertaining to the customer's assets to be made for the customer under the Discretionary Investment Contract, and the type of the transactions;
三 投資一任契約に基づき顧客のために投資判断を行い、又は当該投資判断を行うとともに、これに基づく投資を行う者の氏名
(iii) the name of a person who makes an Investment Decision, or a person who makes an Investment Decision and makes an investment based thereon, for the customer and pursuant to the Discretionary Investment Contract;
四 投資判断の一任の範囲及び投資の実行に関する事項(権利者のために運用を行う権限の全部又は一部を法第四十二条の三第一項に規定する者に委託(当該委託に係る権限の一部を更に委託するものを含む。)をする場合における当該者の商号又は名称(当該者が適格投資家向け投資運用業を行うことにつき法第二十九条の登録を受けた金融商品取引業者であるときは、その旨を含む。)及び当該委託の概要を含む。)
(iv) the matters related to the scope of the discretionary Investment Decision and the implementation of the investment (including the trade name or name (in cases where the person is a Financial Instruments Business Operator who is registered pursuant to Article 29 of the Act for engaging in Investment Management Business for Qualified Investors, including to that effect), and the basic information of the person to be entrusted, in cases where all or part of the authority for making an investment for the Right Holder is to be entrusted to a person as set forth in Article 42-3, paragraph (1) of the Act (including the cases where a part of the authority so entrusted is to be re-entrusted));
五 投資一任契約に基づき権利者のために運用を行う者が適格投資家向け投資運用業を行うことにつき法第二十九条の登録を受けた金融商品取引業者であるときは、その旨
(v) in cases where a person who manages for the Right Holder based on a Discretionary Investment Contract is the Financial Instruments Business Operator who is registered pursuant to Article 29 of the Act for engaging in Investment Management Business for Qualified Investors, including to that effect; and
六 当該金融商品取引業者等(その締結しようとする金融商品取引契約が法第二条第八項第十三号に掲げる行為を行うことを内容とする契約である場合にあっては、当該行為に係る投資一任契約の相手方となる金融商品取引業者等)の財務又は投資一任契約に係る業務に関する外部監査の有無並びに当該外部監査を受けている場合にあっては、当該外部監査を行った者の氏名又は名称並びに当該外部監査の対象及び結果の概要
(vi) existence of an external audit related to business pertaining to finance of the Financial Instruments Business Operator, etc. (in cases where the Contract for Financial Instruments Transaction to be concluded is a contract for conducting acts listed in Article 2, paragraph (8), item (xiii) of the Act, the Financial Instruments Business Operator, etc. who is a counterparty of the Discretionary Investment Contract pertaining to said act) or a Discretionary Investment Contract, and in cases where said external audit has been implemented, the name of the person who implemented said external audit, the results of said external audit, and the outline of the results.
2 その締結しようとする金融商品取引契約が投資一任契約である場合において、当該投資一任契約の締結後に当該投資一任契約に基づき特定の銘柄の対象有価証券を投資の対象とする方針であるときにおける法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、前項に規定する事項のほか、次に掲げる事項とする。
(2) In cases where the Contract for Financial Instruments Transaction to be concluded is a Discretionary Investment Contract, the matters provided for by Cabinet Office Order specified in Article 37-3 paragraph (1), item (vii) of the Act under the policy to set the Subject Securities of specific issue as subject of investment based on the Discretionary Investment Contract after concluding the Discretionary Investment Contract are the following matters in addition to the matters prescribed in the preceding paragraph:
一 当該対象有価証券の名称、当該対象有価証券の価額の算出方法並びに当該対象有価証券に係る権利を有する者に当該価額を報告する頻度及び方法に関する事項
(i) the name of said Subject Securities, calculation method of the price of said Subject Securities, and matters related to the frequency and method of reporting the price to the person who holds the right pertaining to said Subject Securities;
二 当該対象有価証券の発行者、当該対象有価証券に係る権利を有する者から出資又は拠出を受けた資産(以下この号及び第四号において「ファンド資産」という。)の運用に係る重要な業務を行う者、ファンド資産の保管に係る重要な業務を行う者並びにファンド資産の運用及び保管に係る業務以外の前号に掲げる事項(同号に規定する価額の算出方法又は当該価額を報告する方法に関する事項に限る。)に係る重要な業務を行う者(次号において「ファンド関係者」という。)の商号又は名称、住所又は所在地及びそれらの者の役割分担に関する事項
(ii) the trade name or name, address or residence of the Issuer of the Subject Securities, the person who engages in important operations pertaining to the investment of assets invested or paid by the person who holds the right pertaining to the Subject Securities (hereinafter it is referred to as "Fund Assets" in this item and item (iv)), the person who engages in important operations pertaining to preservation of the Fund Assets, and the person who engages in important operations pertaining to the matters listed in the preceding item other than investment and preservation of Fund Assets (limited to matters related to the calculation method of the price specified in said item or the method to report the price) (it is referred to as "Persons Related to Fund" ) and matters related to the role sharing of those persons;
三 当該金融商品取引業者等とファンド関係者との間の資本関係及び人的関係
(iii) the capital relationship and personal relationship between the Financial Instruments Business Operator, etc. and the Persons Related to the Fund; and
四 ファンド資産に係る外部監査の有無及び当該外部監査を受ける場合にあっては、当該外部監査を行う者の氏名又は名称
(iv) existence of an external audit pertaining to Fund Assets, and in cases where the external audit is implemented, the name of the person who implements said external audit.
3 第八十三条第二項の規定は、投資一任契約について準用する。この場合において、同項中「前項各号」とあるのは、「第九十六条第一項各号及び第二項各号」と、「同項の」とあるのは「これらの」と、「同項各号」とあるのは「同条第一項各号及び第二項各号」と読み替えるものとする。
(3) The provisions of Article 83, paragraph (2) apply mutatis mutandis to the Discretionary Investment Contract. In this case, the term "the items of the preceding paragraph" in that paragraph is deemed to be replaced with "the items of Article 96, paragraph (1) and the items of paragraph (2)," the term "of that paragraph" is deemed to be replaced with "these," and the term "each item of that paragraph" is deemed to be replaced with "each item of paragraphs (1) and (2) of that Article" respectively.
4 第二項の「対象有価証券」とは、次に掲げる有価証券(当該有価証券に関して法第四条第七項に規定する開示が行われている場合に該当するものを除く。)をいう。
(4) The "Subject Securities" set forth in paragraph (2) mean the following Securities (excluding those corresponding to cases where the disclosure prescribed in Article 4, paragraph (7) of the Act is implemented in relation to said Securities):
一 法第二条第一項第十号又は第十一号に掲げる有価証券
(i) Securities listed in Article 2, paragraph (1), item (x) or (xi);
二 法第二条第一項第十四号に掲げる有価証券のうち、投資信託の受益証券に類似するもの
(ii) Securities similar to Beneficiary Certificates of Investment Trust from among Securities listed in Article 2, paragraph (1), item (xiv) of the Act;
三 法第二条第一項第十七号に掲げる有価証券のうち、前号に掲げる有価証券の性質を有するもの
(iii) Securities listed in Article 2, paragraph (1), item (xvii) of the Act that have the nature of Securities listed in the preceding item;
四 法第二条第一項第二十号に掲げる有価証券で、前三号に掲げる有価証券に係る権利を表示するもの
(iv) Securities listed in Article 2, paragraph (1), item (xx) of the Act that indicate the rights pertaining to Securities listed in the preceding three items;
五 前各号に掲げる有価証券に表示されるべき権利であって、法第二条第二項の規定により有価証券とみなされるもの
(v) the right to be indicated on the Securities listed in the preceding items that are deemed to be Securities pursuant to the provisions of Article 2, paragraph (2) of the Act; and
六 法第二条第二項の規定により有価証券とみなされる同項第五号又は第六号に掲げる権利
(vi) the rights listed in Article 2, paragraph (2), item (v) or (vi) of the Act that are deemed to be Securities pursuant to the provisions of that paragraph.
(契約締結前交付書面の届出を要しない場合)
(Exemption from Requirement of Notification of Document for Delivery Prior to Conclusion of Contract)
第九十七条 法第三十七条の三第三項ただし書に規定する内閣府令で定める場合は、同項に規定する金融商品取引契約の締結の勧誘に関し法第四条第一項又は第二項の届出がされている場合(その届出の書面に契約締結前交付書面に記載すべき事項のすべてが記載されている場合に限る。)とする。
Article 97 The cases to be specified by Cabinet Office Order as referred to in the proviso to Article 37-3, paragraph (3) of the Act are the cases where, in connection with the solicitation for the conclusion of a Contract for Financial Instruments Transaction set forth in that paragraph, a notification under Article 4, paragraph (1) or (2) of the Act has been filed (limited to cases where such notification document contains all of the matters to be stated in a Document for Delivery Prior to Conclusion of Contract).
(その他書面を交付するとき等)
(Other Occasions Where Delivery of Documents is Required)
第九十八条 法第三十七条の四第一項に規定する内閣府令で定めるときは、次に掲げるときとする。
Article 98 (1) The occasions to be specified by Cabinet Office Order as referred to in Article 37-4, paragraph (1) of the Act are as follows:
一 法第二条第一項第十号に掲げる有価証券に係る投資信託契約又は投資信託及び投資法人に関する法律第二条第二十二項に規定する外国投資信託に係る信託契約の全部又は一部の解約があったとき(法第三十七条の四第一項に規定する金融商品取引契約の成立に該当するときを除く。)。
(i) in cases of the cancellation of all or part of an Investment Trust Agreement pertaining to the Securities prescribed in Article 2, paragraph (1), item (x) of the Act or a trust agreement pertaining to the Foreign Investment Trust prescribed in Article 2, paragraph (22) of the Act on Investment Trust and Investment Corporations (excluding the cases falling under the effectuation of a Contract for Financial Instruments Transaction as set forth in Article 37-4, paragraph (1));
二 投資口(投資信託及び投資法人に関する法律第二条第十四項に規定する投資口をいう。第百二十三条第一項第九号において同じ。)の払戻しがあったとき。
(ii) in cases where any Investment Equity (meaning the Investment Equity prescribed in Article 2, paragraph (14) of the Act on Investment Trust and Investment Corporations; the same applies in Article 123, paragraph (1), item (ix)) has been refunded; and
三 有価証券の売買その他の取引若しくはデリバティブ取引等(有価証券等清算取次ぎを除く。)に係る金融商品取引契約が成立し、又は有価証券若しくは金銭の受渡しを行った場合にあっては、次に掲げるとき。
(iii) in cases where a Contract for Financial Instruments Transaction pertaining to the purchase and sale and any other transaction of Securities or Derivative Transactions, etc. (excluding Brokerage for Clearing of Securities, etc.) was effected, or in cases where the Securities or money were delivered, the following cases:
イ 当該金融商品取引契約が成立し、又は当該受渡しを行った場合にはその都度取引残高報告書(法第三十七条の四第一項の規定によりこの号に掲げるときに作成し、交付する書面をいう。以下同じ。)の交付を受けることについて顧客から請求があったときは、当該金融商品取引契約の成立又は当該受渡しの都度
(a) in cases where the customer has requested that a Report on Outstanding Balance of Transactions (meaning the document prepared and delivered in the case referred to in this item, pursuant to the provisions of Article 37-4, paragraph (1) of the Act; the same applies hereinafter) be delivered for each occasion where the Contract for Financial Instruments Transaction has been effected or such delivery has been made, each occasion where the Contract for Financial Instruments Transaction was effected or such delivery has been made;
ロ 次に掲げる場合にあっては、当該金融商品取引契約が成立し、又は当該受渡しを行った日の属する報告対象期間(一年を三月以下の期間ごとに区分した期間(直近に取引残高報告書を作成した日から一年間当該金融商品取引契約が成立しておらず、又は当該受渡しを行っていない場合であって、金銭又は有価証券の残高があるときにあっては、一年又は一年を一年未満の期間ごとに区分した期間)をいう。以下同じ。)の末日ごと
(b) in the case referred to in the following sub-items, for each last day of the Reporting Period containing the day when the Contract for Financial Instruments Transaction was effected or the delivery was made (the term the "Reporting Period" means the period derived from dividing a one-year term by the terms of three months or shorter (in cases where no Contract for Financial Instruments Transaction was effected or no such delivery was made within one year from the day of preparation of the latest Report on Outstanding Balance of Transactions, and where there is any outstanding monies or Securities, it means a one-year period or the period derived from dividing a one-year term by a term shorter than one year); the same applies hereinafter):
(1) 顧客がイの請求をした顧客以外の者である場合
1. where the customer is not the one who made the request set forth in sub-item (a); or
(2) 第百八条第五項の規定により同条第一項第五号及び第六号に掲げる事項の記載を省略する場合
2. where the statement of the matters specified in Article 108, paragraph (1), item (v) and (vi) is to be omitted pursuant to the provisions of Article 108, paragraph (5).
四 商品ファンド関連取引に係る金融商品取引契約を締結しているとき。
(iv) in cases where a Contract for Financial Instruments Transaction pertaining to Commodity Fund-Related Transactions has been concluded.
2 金融商品取引業者等は、前項第四号に掲げるときは、同号の商品ファンド関連取引に係る商品ファンドの運用に係る計算期間の末日以後遅滞なく、当該商品ファンドの運用の状況について説明した報告書を作成し、交付しなければならない。
(2) In the case referred to in item (iv) of the preceding paragraph, a Financial Instruments Business Operator, etc. must, without delay on or after the last day of the Accounting Period pertaining to the investment of the Commodity Fund related to the Commodity Fund-Related Transactions set forth in that item, prepare and deliver a written report explaining the status of the investment of such Commodity Fund.
(契約締結時交付書面の共通記載事項)
(Matters to be Stated in All Types of Documents for Delivery Prior to Conclusion of Contract)
第九十九条 契約締結時交付書面には、次に掲げる事項を記載しなければならない。
Article 99 (1) The following matters must be contained in a Document for Delivery Upon Conclusion of Contract:
一 当該金融商品取引業者等の商号、名称又は氏名
(i) the trade name or name of the Financial Instruments Business Operator, etc.;
二 当該金融商品取引業者等の営業所又は事務所の名称
(ii) the name of the business office or any other office of the Financial Instruments Business Operator, etc.;
三 当該金融商品取引契約、前条第一項第一号の解約又は同項第二号の払戻しの概要(次条から第百七条までに規定するものを除く。)
(iii) a brief description of the Contract for Financial Instruments Transaction, the cancellation set forth in item (i), paragraph (1) of the preceding Article or the refund set forth in item (ii) of that paragraph (excluding those specified in Article 100 through Article 107);
四 当該金融商品取引契約の成立、前条第一項第一号の解約又は同項第二号の払戻しの年月日
(iv) the date when the Contract for Financial Instruments Transaction is effected, or when the cancellation set forth in item (i) of paragraph (1) of the preceding Article or the refunding set forth in item (ii) of that paragraph is made;
五 当該金融商品取引契約、前条第一項第一号の解約又は同項第二号の払戻しに係る手数料等に関する事項
(v) the matters related to the Fees, etc. pertaining to the Contract for Financial Instruments Transaction, the cancellation set forth in item (i), paragraph (1) of the preceding Article or the refunding set forth in item (ii) of that paragraph;
六 顧客の氏名又は名称
(vi) the name of the customers; and
七 顧客が当該金融商品取引業者等に連絡する方法
(vii) the method whereby the customer contacts the Financial Instruments Business Operator, etc.
2 金融商品取引業者等は、市場デリバティブ取引であって注文・清算分離行為(金融商品取引所の定めるところに従い、会員等が行った市場デリバティブ取引の売付け又は買付け(当該市場デリバティブ取引が次の各号に掲げる取引にあっては、当該各号に定めるもの。以下この項において同じ。)を将来に向かって消滅させ、同時に、当該消滅した市場デリバティブ取引の売付け又は買付けと同一内容の市場デリバティブ取引の売付け又は買付けが他の会員等の名において新たに発生する行為をいう。以下同じ。)が行われた取引に係る金融商品取引契約が成立した場合には、前項第五号の手数料等として、注文執行会員等(注文・清算分離行為が行われたことにより、市場デリバティブ取引の売付け又は買付けがその名において将来に向かって消滅した会員等をいう。以下同じ。)及び清算執行会員等(注文・清算分離行為が行われたことにより、市場デリバティブ取引の売付け又は買付けがその名において新たに発生した会員等をいう。以下同じ。)が顧客から直接受領する手数料等を記載するものとする。
(2) In cases where any Contract for Financial Instruments Transaction pertaining to a Market Transaction of Derivatives for which Give-Up was implemented (the "Give-Up" means an act whereby, in accordance with the conditions provided by a Financial Instruments Exchange, the sale or purchase under a Market Transaction of Derivatives conducted by a Member, etc. (in cases where such Market Transaction of Derivatives falls under the category of a transaction specified in any of the following items, the transactions set forth respectively therein; hereinafter the same applies in this paragraph) are to be extinguished toward the future, and whereby, at the same time, the sale or purchase under a Market Transaction of Derivatives identical to the sale and purchase under a Market Transaction of Derivatives so extinguished is newly effected under the name of another Member, etc.; the same applies hereinafter), a Financial Instruments Business Operator, etc. is to state the Fees, etc. under item (v) of the preceding paragraph which are directly received by Order Executing Member, etc. (meaning the Member, etc. for whom sales or purchases under the Market Transactions of Derivatives were extinguished toward the future under its name through such Give-Up; the same applies hereinafter) and the Clearance Executing Member, etc. (meaning the Member, etc. for whom the sales or purchases of the Market Transactions of Derivatives was newly effected under its name through such Give-Up; the same applies hereinafter) from the customer.
一 法第二条第二十一項第二号に掲げる取引(これに類似する外国市場デリバティブ取引を含む。) 顧客が現実数値が約定数値を上回った場合に金銭を支払う立場の当事者となるもの又は金銭を受領する立場の当事者となるもの
(i) a transaction specified in Article 2, paragraph (21), item (ii) of the Act (including a Foreign Market Derivatives Transaction similar thereto): a transaction wherein the customer becomes a party paying money or a party receiving money when the Actual Figure exceeds the Agreed Figure;
二 法第二条第二十一項第三号に掲げる取引(これに類似する外国市場デリバティブ取引を含む。) 顧客がオプションを付与する立場の当事者となるもの又はオプションを取得する立場の当事者となるもの
(ii) a transaction specified in Article 2, paragraph (21), item (iii) of the Act (including a Foreign Market Derivatives Transaction similar thereto): a transaction wherein the customer becomes a party granting Options or a party acquiring Options;
三 法第二条第二十一項第四号に掲げる取引(これに類似する外国市場デリバティブ取引を含む。) 顧客が相手方と取り決めた金融商品の利率等又は金融指標が約定した期間に上昇した場合に金銭を支払う立場の当事者となるもの又は金銭を受領する立場の当事者となるもの
(iii) a transaction specified in Article 2, paragraph (21), item (iv) of the Act (including a Foreign Market Derivatives Transaction similar thereto): a transaction wherein the customer becomes a party paying money or a party receiving money when the interest rate, etc. of the Financial Instruments or Financial Indicators as agreed between the customer and the counterparty increase in the agreed period; and
四 法第二条第二十一項第五号(これに類似する外国市場デリバティブ取引を含む。) 当事者があらかじめ定めた事由(同号に掲げる事由をいう。)が発生した場合に顧客が金銭を支払う立場の当事者となるもの又は金銭を受領する立場の当事者となるもの
(iv) a transaction specified in Article 2, paragraph (21), item (v) of the Act (including a Foreign Market Derivatives Transaction similar thereto): a transaction wherein the customer becomes a party paying money or a party receiving money when any event agreed by the parties in advance (meaning the events specified in that item) occurs.
(有価証券の売買その他の取引又はデリバティブ取引等に係る契約締結時交付書面の共通記載事項)
(Matters to be Stated in All Types of Document for Delivery Upon Conclusion of Contract pertaining to Purchase and Sale or Other Transaction of Securities or Derivative Transactions, etc.)
第百条 有価証券(抵当証券等を除く。以下この条及び次条において同じ。)の売買その他の取引又はデリバティブ取引等に係る金融商品取引契約が成立したとき、又は第九十八条第一項第一号若しくは第二号に掲げるときに作成する契約締結時交付書面には、前条第一項各号に掲げる事項のほか、次に掲げる事項(当該有価証券の売買その他の取引が法第二条第八項第七号に掲げる行為若しくは令第一条の十二に規定する買取りに係るものである場合又は第九十八条第一項第一号若しくは第二号に掲げるときにあっては、第一号に掲げる事項を除く。)を記載しなければならない。
Article 100 (1) In addition to the matters listed in the items of paragraph (1) of the preceding Article, the following matters must be stated in the Document for Delivery Upon Conclusion of Contract to be prepared when a Contract for Financial Instruments Transaction pertaining to the purchase and sale or any other transaction of Securities (excluding Mortgage Securities, etc.; hereinafter the same applies in this Article and the following Article) or a Derivative Transaction, etc. is effected or in the cases listed in Article 98, paragraph (1), item (i) or (ii) (in cases where the purchase and sale and other transaction of Securities pertains to the action specified in Article 2, paragraph (8), item (vii) of the Act or the purchase specified in Article 1-12 of the Cabinet Order, or in cases listed in Article 98, paragraph (1), item (i) or (ii), the matters specified in item (i) are excluded).
一 自己又は委託の別並びに委託(店頭デリバティブ取引等に係るものに限る。)の場合にあっては、相手方の商号、名称又は氏名及び住所又は所在地
(i) information as to whether itself is dealing or it is a transaction based on entrustment by customer, and in cases of a transaction based on entrustment (limited to those pertaining to Over-the-Counter Transaction of Derivatives, etc.), the trade name or name and address or location of the counterparty; and
二 売付け等(売付けその他の有償の譲渡又は解約若しくは払戻しをいう。第百八条第一項第二号ハにおいて同じ。)又は買付け等(買付けその他の有償の取得をいう。同号ハにおいて同じ。)の別(次のイからニまでに掲げる取引にあっては、それぞれイからニまでに定めるものの別)
(ii) information as to whether the type of transaction is a Sale, etc. (meaning a sale or any other manner of assignment for value, or a cancellation or refunding; the same applies in Article 108, paragraph (1), item (ii), sub-item (c)) or a Purchase, etc. (meaning a purchase or any other manner of acquisition for value; the same applies in sub-item (c) of that item) (with regard to the transactions listed in sub-items (a) through (d) below, information as to the type of such transaction respectively set forth therein):
イ 法第二条第二十一項第二号に掲げる取引(これに類似する外国市場デリバティブ取引を含む。)及び同条第二十二項第二号に掲げる取引 顧客が現実数値が約定数値を上回った場合に金銭を支払う立場の当事者となるもの又は金銭を受領する立場の当事者となるもの
(a) a transaction specified in Article 2, paragraph (21), item (ii) of the Act (including a Foreign Market Derivatives Transaction similar thereto) and a transaction specified in item (ii) of paragraph (22) of that Article: whether it is a transaction wherein the customer becomes a party paying money, or a party receiving money, when the Actual Figure exceeds the Agreed Figure;
ロ 法第二条第二十一項第三号に掲げる取引(これに類似する外国市場デリバティブ取引を含む。)並びに同条第二十二項第三号及び第四号に掲げる取引 顧客がオプションを付与する立場の当事者となるもの又はオプションを取得する立場の当事者となるもの
(b) a transaction specified in Article 2, paragraph (21), item (iii) of the Act (including a Foreign Market Derivatives Transaction similar thereto) and a transaction specified in items (iii) and (iv) of paragraph (22) of that Article: whether it is a transaction wherein the customer becomes a party granting Options, or a party acquiring Options;
ハ 法第二条第二十一項第四号に掲げる取引(これに類似する外国市場デリバティブ取引を含む。)及び同条第二十二項第五号に掲げる取引 顧客が相手方と取り決めた金融商品の利率等又は金融指標が約定した期間に上昇した場合に金銭を支払う立場の当事者となるもの又は金銭を受領する立場の当事者となるもの
(c) a transaction specified in Article 2, paragraph (21), item (iv) of the Act (including a Foreign Market Derivatives Transaction similar thereto) and a transaction specified in item (v) of paragraph (22) of that Article: whether it is a transaction wherein the customer becomes a party paying money, or a party receiving money, when the interest rate, etc. of the Financial Instruments or Financial Indicators as agreed between the customer and the counterparty increase in the agreed period; and
ニ 法第二条第二十一項第五号(これに類似する外国市場デリバティブ取引を含む。)及び同条第二十二項第六号に掲げる取引 当事者があらかじめ定めた事由(同条第二十一項第五号及び第二十二項第六号に掲げるいずれかの事由をいう。)が発生した場合に顧客が金銭を支払う立場の当事者となるもの又は金銭を受領する立場の当事者となるもの
(d) a transaction specified in Article 2, paragraph (21), item (v) of the Act (including a Foreign Market Derivatives Transaction similar thereto) and a transaction specified in item (vi) of paragraph (22) of that Article: whether it is a transaction wherein the customer becomes a party paying money, or a party receiving money, when any event agreed by the parties in advance (meaning the events specified in any of Article 2, paragraph (21), item (v) and paragraph (22), item (vi) of the Act) occurs.
三 銘柄(取引の対象となる金融商品、金融指標その他これらに相当するものを含む。)
(iii) the issues (including Financial Instruments, Financial Indicators which are the subject of transactions or any others equivalent thereto);
四 約定数量(数量がない場合にあっては、件数又は数量に準ずるもの)
(iv) the agreed volumes (in cases where there is no volume, the number of transactions or any other matter equivalent to volumes).
五 単価、対価の額、約定数値その他取引一単位当たりの金額又は数値
(v) the amount or figure per transaction unit, such as the unit price, amount of consideration or Agreed Figure;
六 顧客が支払うこととなる金銭の額及び計算方法
(vi) the amount of money payable by the customer and the method of calculation thereof;
七 取引の種類
(vii) the type of transaction; and
八 前各号に掲げる事項のほか、取引の内容を的確に示すために必要な事項
(viii) in addition to what is listed in the preceding items, the matters necessary for accurately disclosing the details of the transaction.
2 一の有価証券の売買その他の取引又はデリバティブ取引等について二以上の金融商品取引業者等が法第三十七条の四第一項の規定により顧客に対し契約締結時交付書面を交付しなければならない場合において、いずれか一の金融商品取引業者等が前項各号に掲げる事項を記載した契約締結時交付書面を交付したときは、他の金融商品取引業者等は、同項の規定にかかわらず、契約締結時交付書面に同項各号に掲げる事項を記載することを要しない。
(2) Notwithstanding the provisions of the preceding paragraph, in the cases where two or more Financial Instruments Business Operators, etc. are required to deliver to the customer a Document for Delivery Upon Conclusion of Contract in regard to the same purchase and sale or any other transaction of Securities or Derivative Transactions, etc. pursuant to the provisions of Article 37-4, paragraph (1) of the Act, and where one of such Financial Instruments Business Operators, etc. has delivered to the customer the Document for Delivery Upon Conclusion of Contract stating the matters set forth in the items of the preceding paragraph, such other Financial Instruments Business Operator, etc. need not specify in its Document for Delivery Upon Conclusion of Contract the matters set forth in the items of the preceding paragraph.
3 第一項の規定にかかわらず、その成立した金融商品取引契約が国債の入札前取引(国債の発行日前取引(国債の入札予定日、発行予定額、発行予定日及び償還予定日を国が公表した時(以下この項において「国債の入札予定日等公表時」という。)から当該国債の発行日の前日までの間に、当該発行日における発行を停止条件とする当該国債に係る停止条件付売買取引契約を締結し、かつ、当該停止条件付売買取引契約に係る受渡決済を当該発行日以後に行うものをいう。第百八条第一項第六号及び第百六十四条第一項第一号において同じ。)のうち、国債の入札予定日等公表時から当該国債の回号及び表面利率を公表した時までの間において行うものをいう。以下同じ。)に係るものである場合には、当該金融商品取引契約に係る契約締結時交付書面には、第一項第三号、第五号及び第六号に掲げる事項に代えて、国債の入札前取引である旨、償還予定日及び約定利回り(当該国債が変動利付国債である場合にあっては、国が定める基準金利に対するスプレッド)を記載することができる。ただし、当該発行日以前に、当該事項を記載した書面を交付しなければならない。
(3) Notwithstanding the provisions of paragraph (1), in cases where the Contract for Financial Instruments Transaction which has come into effect pertains to a Pre-Auction Trading of Government Bonds (meaning a when-issued transaction of government bonds (meaning a transaction wherein, within the period between the time when the state publishes the scheduled auction date, scheduled issuance amount, scheduled issue date and scheduled redemption date of the government bonds (hereinafter referred to as "Time of Publication of Scheduled Date, etc. for Government Bond Auction" in this paragraph) and the day immediately prior to the issue date of such government bond, a party concludes a contract for the purchase and sale of such government bond which comes into effect subject to the fulfillment of the conditions precedent that such government bonds be issued on the issue date, and wherein the delivery settlement under such contract is performed on or after the issue date; the same applies in Article 108, paragraph (1), item (vi) and Article 164, paragraph (1), item (i)) to be conducted between the Time of Publication of Scheduled Date, etc. for Government Bond Auction and the time of publication of the issue number and coupon rate of such government bond; the same applies hereinafter), the Document for Delivery Upon Conclusion of Contract pertaining to such Contract for Financial Instruments Transaction may contain the effect that the transaction falls under the category of a Pre-Auction Trading of Government Bonds, and the scheduled redemption date and the contracted yield thereof (in cases where the government bonds are floating rate government bonds, spread on the standard interest rates specified by the state), in lieu of the matters specified in items (iii), (v) and (vi) of paragraph (1); provided, however, that a document specifying such matters must be delivered before the issue date.
(有価証券の売買その他の取引又は有価証券関連デリバティブ取引等に係る契約締結時交付書面の記載事項の特則)
(Special Provisions on Matters to be Stated in Document for Delivery Upon Conclusion of Contract Pertaining to Purchase and Sale or Other Transaction of Securities or Transactions of Securities-Related Derivatives, etc.)
第百一条 有価証券の売買その他の取引又は有価証券関連デリバティブ取引等に係る金融商品取引契約が成立したときに作成する契約締結時交付書面には、前条第一項に規定する事項のほか、次に掲げる事項を記載しなければならない。
Article 101 (1) In addition to the matters specified in paragraph (1) of the preceding Article, the following matters must be stated in a Document for Delivery Upon Conclusion of Contract to be prepared when a Contract for Financial Instruments Transaction pertaining to the purchase and sale or any other transaction of Securities or Transactions of Securities-Related Derivatives, etc. is effected:
一 金融商品取引契約が有価証券の売買(有価証券関連デリバティブ取引に該当するものを除く。以下この条において同じ。)に係るものであるときは、次に掲げる事項
(i) in cases where the Contract for Financial Instruments Transaction pertains to the purchase and sale of Securities (excluding a transaction which falls under the category of Transactions of Securities-Related Derivatives, etc.; hereinafter the same applies in this Article), the following matters:
イ 現金取引又は信用取引の別
(a) information as to whether the transaction is a cash transaction or a Margin Transaction; and
ロ 当該金融商品取引契約が信用取引に係るものであるときは、弁済期限及び新規又は決済の別
(b) in cases where a Contract for Financial Instruments Transaction pertains to a Margin Transaction, the due date for payment, and information as to whether it is a new transaction or a settlement transaction;
二 金融商品取引契約が法第二十八条第八項第三号イに掲げる取引又は外国金融商品市場において行う取引であって同号イに掲げる取引と類似の取引に係るものであるときは、次に掲げる事項
(ii) in cases where the Contract for Financial Instruments Transaction pertains to a transaction specified in Article 28, paragraph (8), item (iii), sub-item (a) of the Act, or to a transaction similar to that specified in sub-item (a) of that item conducted on a Foreign Financial Instruments Market, the following matters:
イ 新規又は決済の別
(a) information as to whether it is a new transaction or a settlement transaction; and
ロ 当該金融商品取引契約が金融商品取引所又は外国金融商品市場を開設する者の規則で定める限月間スプレッド取引に係るものであるときは、その旨
(b) in cases where the Contract for Financial Instruments Transaction pertains to a calendar spread transaction as prescribed in the regulations of a party which establishes a Financial Instruments Exchange or a Foreign Financial Instruments Market, to that effect;
三 金融商品取引契約が法第二十八条第八項第三号ロ若しくはハに掲げる取引又は外国金融商品市場において行う取引であって同号ロ若しくはハに掲げる取引と類似の取引に係るものであるときは、新規又は決済の別
(iii) in cases where the Contract for Financial Instruments Transaction pertains to a transaction specified in Article 28, paragraph (8), item (iii), sub-item (b) or (c) of the Act, or to a transaction similar to that specified in sub-item (b) or (c) of that item conducted on a Foreign Financial Instruments Market, information as to whether it is a new transaction or a settlement transaction;
四 金融商品取引契約が法第二十八条第八項第四号イに掲げる取引に係るものであるときは、次に掲げる事項
(iv) in cases where a Contract for Financial Instruments Transaction pertains to a transaction specified in Article 28, paragraph (8), item (iv), sub-item (a) of the Act, the following matters:
イ 新規又は決済の別
(a) information as to whether it is a new transaction or a settlement transaction;
ロ 有価証券及びその対価の授受を約した将来の一定の時期
(b) the certain future timing, as promised by the parties, in relation to the delivery or receipt of Securities and the consideration therefor; and
ハ 差金の授受によって決済する場合にあっては、当該差金の額の計算方法
(c) in cases where the transaction is to be settled by means of the delivery or receipt of the difference, the method of calculation of such difference.
五 金融商品取引契約が法第二十八条第八項第四号ロに掲げる取引に係るものであるときは、次に掲げる事項
(v) in cases where the Contract for Financial Instruments Transaction pertains to a transaction specified in Article 28, paragraph (8), item (iv), sub-item (b) of the Act, the following matters:
イ 授受することとなる金銭の額の計算年月日
(a) the date of the calculation of the amount of money to be delivered or received;
ロ 授受することとなる金銭の額の計算方法
(b) the method of calculation of the amount of money to be delivered or received;
ハ 金銭を授受することとなる年月日
(c) the day when the money will be delivered or received;
ニ イからハまでに掲げる事項のほか、取引の内容を的確に示すために必要な事項であって、これらの事項に準ずるもの
(d) in addition to what is listed in sub-items (a) through (c), the matters equivalent to such matters which are necessary for accurately disclosing the details of the transaction.
六 金融商品取引契約が法第二十八条第八項第四号ハ又はニに掲げる取引に係るものであるときは、オプションの行使により成立する次に掲げる取引の区分に応じ、それぞれ次に定めるもの
(vi) in cases where the Contract for Financial Instruments Transaction pertains to a transaction specified in Article 28, paragraph (8), item (iv), sub-item (c) or (d) of the Act, the matters specified in the following, in accordance with the categories of the transactions effected by exercise of the Options set forth respectively therein:
イ 有価証券の売買 第一号イ及びロに掲げる事項
(a) a purchase and sale of Securities: the matters specified in sub-item (a) or (b) of item (i);
ロ 法第二十八条第八項第四号イに掲げる取引 第四号イからハまでに掲げる事項
(b) a transaction specified in Article 28, paragraph (8), item (iv), sub-item (a) of the Act: the matters specified in sub-items (a) through (c) of item (iv);
ハ 法第二十八条第八項第四号ロに掲げる取引 前号イからニまでに掲げる事項
(c) a transaction specified in Article 28, paragraph (8), item (iv), sub-item (b) of the Act: the matters specified in sub-items (a) through (d) of the preceding item;
ニ 法第二十八条第八項第四号ホに掲げる取引 次号イからトまでに掲げる事項
(d) a transaction specified in Article 28, paragraph (8), item (iv), sub-item (e) of the Act: the matters specified in sub-items (a) through (g) of the following item; and
ホ イからニまでに掲げる取引以外の取引 当該取引の内容を的確に示すために必要な事項
(e) a transaction other than that specified in sub-items (a) through (d): the matters necessary for accurately disclosing the details of the transaction.
七 金融商品取引契約が法第二十八条第八項第四号ホに掲げる取引に係るものであるときは、次に掲げる事項
(vii) in cases where the Contract for Financial Instruments Transaction pertains to a transaction specified in Article 28, paragraph (8), item (iv), sub-item (e) of the Act, the following matters:
イ 元本として定めた金額
(a) the amount fixed as the principal;
ロ 顧客が支払うこととなる金銭の額の計算に係る有価証券指標又は有価証券の銘柄
(b) the Securities Indicator or the Securities issues pertaining to the calculation of the amount of money to be paid by the customer;
ハ 顧客が支払うこととなる金銭の額の計算方法
(c) the method of calculation of the amount of money to be paid by the customer;
ニ 顧客が受領することとなる金銭の額の計算に係る金利、有価証券指標、通貨の種類又は有価証券の銘柄
(d) the interest rate, Securities Indicator, type of currency or Securities issues pertaining to the calculation of the amount of money to be received by the customer;
ホ 顧客が受領することとなる金銭の額の計算方法
(e) the method of calculation of the amount of money to be received by the customer;
ヘ 法第二十八条第八項第四号ホの期間
(f) the period specified in Article 28, paragraph (8), item (iv), sub-item (e) of the Act; and
ト イからヘまでに掲げる事項のほか、取引の内容を的確に示すために必要な事項であって、これらの事項に準ずるもの
(g) in addition to what is listed in sub-items (a) through (f), the matters equivalent to these matters which are necessary for accurately disclosing the details of the transaction.
2 前条第二項の規定は、有価証券の売買その他の取引又は有価証券関連デリバティブ取引等について準用する。この場合において、同項中「前項各号」とあるのは、「第百一条第一項各号」と読み替えるものとする。
(2) The provisions of paragraph (2) of the preceding Article apply mutatis mutandis to a purchase and sale or any other transaction of Securities or Transactions of Securities-Related Derivatives, etc. In such case, the term "the items of the preceding paragraph" in that paragraph is deemed to be replaced with "the items of Article 101, paragraph (1)."
3 第一項の規定にかかわらず、第九十九条第二項に規定する場合には、第一項第二号イ、第三号及び第四号イに掲げる事項の記載を要しない。
(3) Notwithstanding the provisions of paragraph (1), in the case referred to in Article 99, paragraph (2), the matters specified in Article 101, paragraph (1), item (ii), sub-item (a), item (iii) and (iv), sub-item (a) need not be specified.
(デリバティブ取引等に係る契約締結時交付書面の記載事項の特則)
(Special Provisions on Matters to be Stated in Document for Delivery Upon Conclusion of Contract Pertaining to Derivative Transactions, etc.)
第百二条 デリバティブ取引等(有価証券関連デリバティブ取引等(店頭デリバティブ取引契約に係るものを除く。)及び有価証券等清算取次ぎに係るものを除く。次項において同じ。)に係る金融商品取引契約が成立したときに作成する契約締結時交付書面には、第百条第一項に規定する事項(当該金融商品取引契約が有価証券関連デリバティブ取引等(店頭デリバティブ取引契約に係るものに限る。)に係るものである場合にあっては、前条第一項に規定する事項)のほか、次に掲げる事項を記載しなければならない。
Article 102 (1) In addition to the matters specified in Article 100, paragraph (1) (in cases where a Contract for Financial Instruments Transaction is related to Transactions of Securities-Related Derivatives, etc. (limited to those pertaining to the contract for Over-the-Counter Derivatives Transactions), the matters prescribed in paragraph (1) of the preceding Article), the following matters are stated in a Document for Delivery Upon Conclusion of Contract to be prepared when a Contract for Financial Instruments Transaction pertaining to Derivative Transactions, etc. (excluding Transactions of Securities-Related Derivatives, etc. (excluding those pertaining to the contract for Over-the-Counter Derivatives Transactions) and transactions pertaining to Brokerage for Clearing of Securities, etc.; the same applies in following paragraph) is effected:
一 成立したデリバティブ取引に係る委託証拠金その他の保証金の種類及び金額(デリバティブ取引に係る委託証拠金その他の保証金に係る契約を個別のデリバティブ取引ごとに締結していない場合にあっては、その旨及び当該保証金の額の計算方法)
(i) the types and amounts of the customer margin and any other security deposit pertaining to the Derivative Transactions effected (in cases where a contract for a customer margin or any other security deposit pertaining to the Derivative Transactions has not been concluded for each Derivative Transaction, to that effect and the method of calculation of the security deposit);
二 成立したデリバティブ取引に係る委託証拠金その他の保証金を預託すべき相手方
(ii) the party with which the customer margin or any other security deposit pertaining to the Derivative Transactions effected is to be deposited;
三 成立したデリバティブ取引(店頭デリバティブ取引を除く。)に係る取引所金融商品市場又は外国金融商品市場を開設する者の商号又は名称
(iii) the trade name or name of a party which establishes the Financial Instruments Exchange Market or the Foreign Financial Instruments Market pertaining to the Derivative Transactions, etc. so effected (excluding the Over-the-Counter Transactions of Derivatives);
四 成立したデリバティブ取引の期限並びに当該成立したデリバティブ取引が既に成立していたデリバティブ取引を期限前に決済するために行われたときはその旨及び当該既に成立していたデリバティブ取引に係る第百条第一項第五号に掲げる事項
(iv) the time limit of the Derivative Transactions effected, and in cases where the Derivative Transactions so effected has been conducted in settlement of the existing Derivative Transactions before its time limit, to that effect and the matters specified in Article 100, paragraph (1), item (v) in regard to such existing Derivative Transactions;
五 分別管理上の預託先の商号又は名称
(v) the trade name or name of the depository for separate management;
六 金融商品取引契約が法第二条第二十一項第五号又は第二十二項第六号に掲げる取引に係るものである場合にあっては、次に掲げる事項
(vi) in cases where the Contract for Financial Instruments Transaction pertains to a transaction specified in Article 2, paragraph (21), item (v) or, paragraph (22), item (vi) of the Act, the following matters:
イ 当事者があらかじめ定めた事由
(a) the events determined by the parties in advance;
ロ 当事者があらかじめ定めた事由が発生した場合に顧客が受け取り、又は支払うこととなる金銭の額の計算方法
(b) the method of calculation of the amount of money to be received or paid by the customer in cases where any event determined by the parties in advance occurs;
ハ 当事者があらかじめ定めた事由が発生した場合に当事者の間で移転することを約した金融商品、金融商品に係る権利又は金銭債権(金融商品であるもの及び金融商品に係る権利であるものを除く。)
(c) the Financial Instruments, the rights pertaining to the Financial Instruments or a monetary claim (such monetary claim excludes claims which fall under the category of the Financial Instruments or of the rights pertaining thereto) which the parties had promised to transfer between the parties in cases where any event determined by the parties in advance occurs; and
ニ 取引期間
(d) the transaction period.
2 第百条第二項の規定は、デリバティブ取引等について準用する。この場合において、同項中「前項各号」とあるのは、「第百二条第一項各号」と読み替えるものとする。
(2) The provisions of Article 100, paragraph (2) apply mutatis mutandis to Derivative Transactions, etc. In this case, the term "the items of the preceding paragraph" in that paragraph is deemed to be replaced with "the items of Article 102, paragraph (1)."
(抵当証券等の売買その他の取引に係る契約締結時交付書面の記載事項の特則)
(Special Provisions on Matters to be Stated in Document for Delivery Upon Conclusion of Contract Pertaining to Purchase and Sale or Other Transaction of Mortgage Securities, etc.)
第百三条 抵当証券等の売買その他の取引に係る金融商品取引契約が成立したときに作成する契約締結時交付書面には、第九十九条第一項各号に掲げる事項のほか、次に掲げる事項を記載しなければならない。
Article 103 (1) In addition to the matters specified in Article 99, paragraph (1), the following matters must be stated in a Document for Delivery Upon Conclusion of Contract to be prepared when a Contract for Financial Instruments Transaction pertaining to the purchase and sale or any other transaction of Mortgage Securities, etc. is effected:
一 抵当証券等に記載された債権の元本及び利息の弁済の受領に関する定めがあるときは、その内容
(i) in cases where there are any provisions on the receipt of the payment of the principal and interest of the claim, as specified in the Mortgage Securities, etc., the contents thereof;
二 抵当証券法第十二条第一項各号に掲げる事項
(ii) the matters specified in the items of Article 12, paragraph (1) of the Mortgage Securities Act;
三 元本及び利息に関する事項
(iii) the matters related to the principal and interest;
四 元本及び利息の支払日
(iv) the day of the payment of the principal and interest;
五 利息の計算に関する定めがあるときは、その内容
(v) in cases where there are any provisions on the calculation of the interests, the contents thereof;
六 当該抵当証券等に係る貸付契約の契約書の記載事項
(vi) the matters stated in a loan contract pertaining to the Mortgage Securities;
七 不動産鑑定評価書の記載事項
(vii) the matters stated in a real property appraisal report;
八 担保物件に係る事業計画その他の計画において定める貸付資金の返済計画
(viii) the repayment plan of the loan, as specified in the business plan or any other plan pertaining to the collateral;
九 債務者が法人である場合にあっては、当該法人に関する次に掲げる事項
(ix) in cases where the debtor is a juridical person, the following matters in relation to such juridical person:
イ 設立の年月又は事業を開始した年月
(a) the year and month when the juridical person was incorporated or commenced business;
ロ 主たる事業の種類
(b) the type of the principal business conducted; and
ハ 当該契約締結時交付書面を交付した日の三月前(当該金融商品取引業者等が外国法人である場合にあっては、六月前)の日を含む事業年度の前事業年度の貸借対照表及び損益計算書
(c) the balance sheet and profit and loss statement for the business year immediately preceding the business year containing the day three months (six months, in cases where the Financial Instruments Business Operator, etc. is a foreign juridical person) prior to the day when the Document for Delivery Upon Conclusion of Contract was delivered; and
十 顧客が債務者から債権を取り立てる方法
(x) the method whereby the customer collects claims from the debtor.
2 第百条第二項の規定は、抵当証券等の売買その他の取引について準用する。この場合において、同項中「前項各号」とあるのは、「第百三条第一項各号」と読み替えるものとする。
(2) The provisions of Article 100, paragraph (2) apply mutatis mutandis to the purchase and sale or any other transaction of Mortgage Securities, etc. In this case, the term "the items of the preceding paragraph" in that paragraph is deemed to be replaced with "the items of Article 103, paragraph (1)."
(商品ファンド関連取引に係る契約締結時交付書面の記載事項の特則)
(Special Provisions on Matters to be Stated in Document for Delivery Upon Conclusion of Contract Pertaining to Commodity Fund-Related Transactions)
第百四条 商品ファンド関連取引に係る金融商品取引契約が成立したときに作成する契約締結時交付書面には、第百条第一項に規定する事項のほか、次に掲げる事項を記載しなければならない。
Article 104 (1) In addition to the matters specified in Article 100, paragraph (1), the following matters must be stated in a Document for Delivery Upon Conclusion of Contract to be prepared when a Contract for Financial Instruments Transaction pertaining to Commodity Fund-Related Transactions is effected:
一 法第三十七条の三第一項第五号及び第六号に掲げる事項
(i) the matters specified in Article 37-3, paragraph (1), item (v) and (vi) of the Act;
二 第八十三条第一項第一号並びに第九十一条第一項第一号、第五号、第十六号、第十八号ロ(2)及び(4)から(6)まで並びに第二十号に掲げる事項
(ii) the matters specified in Article 83, paragraph (1), item (i), Article 91, paragraph (1), item (i), (v), (xvi), (xviii), sub-item (b)2. and 4. through 6. of that sub-item, and in item (xx) of that paragraph;
三 当該商品ファンド関連受益権に係る第九十一条第四項第一号イ若しくはロに掲げる行為による運用、同項第二号の投資又は同項第三号の事業の内容
(iii) the details of the investment made under the act specified in Article 91, paragraph (4), item (i) sub-item (a) or (b), the investment specified in item (ii) of that paragraph or of the business specified in item (iii) of that paragraph, in connection with the Beneficial Interest in Commodity Fund;
四 商品ファンドの収益の分配の方法
(iv) the method of the distribution of the profit of the Commodity Fund;
五 満期時の償還金の支払方法及び繰上償還がある場合にあっては、当該償還金の支払方法
(v) the method of the payment of the redemption payable upon maturity, and if an accelerated redemption may be made, the method of the payment of such accelerated redemption; and
六 配当及び償還金に対する課税方法及び税率
(vi) the method and rate of taxation imposed on the dividend and the redemption;
2 第百条第二項の規定は、商品ファンド関連取引について準用する。この場合において、同項中「同項各号」とあるのは、「第百四条第一項各号」と読み替えるものとする。
(2) The provisions of Article 100, paragraph (2) apply mutatis mutandis to Commodity Fund-Related Transactions. In this case, the term "the items of that paragraph" in that paragraph is deemed to be replaced with "the items of Article 104, paragraph (1)."
(競走用馬投資関連業務に係る取引に係る契約締結時交付書面の記載事項の特則)
(Special Provisions on Matters to be Stated in Document for Delivery Upon Conclusion of Contract Pertaining to Transaction of Business Related to Investment in Racehorses)
第百五条 競走用馬投資関連業務に係る取引に係る金融商品取引契約が成立したときに作成する契約締結時交付書面には、前条第一項に規定する事項のほか、競走用馬の血統及び飼養管理の状況に関する事項を記載しなければならない。
Article 105 (1) In addition to the matters specified in paragraph (1) of the preceding Article, the matters related to bloodlines of the racehorses and the status of the management of the breeding thereof must be stated in a Document for Delivery Upon Conclusion of Contract to be prepared when a Contract for Financial Instruments Transaction pertaining to a Business Related to Investment in Racehorses is effected.
2 第百条第二項の規定は、競走用馬投資関連業務に係る取引について準用する。この場合において、同項中「前項各号に掲げる事項」とあるのは「競走用馬の血統及び飼養管理の状況に関する事項」と、「同項の」とあるのは「第百五条第一項の」と、「同項各号に掲げる事項」とあるのは「当該事項」と読み替えるものとする。
(2) The provisions of Article 100, paragraph (2) apply mutatis mutandis to a transaction pertaining to a Business Related to Investment in Racehorses. In this case, the terms "the matters listed in the items of the preceding paragraph", "in that paragraph", and "the matters listed in the items of that paragraph" are deemed to be replaced with "the matters related to bloodlines of the racehorses and the status of the management of the breeding thereof", "in Article 105, paragraph (1)", and "such matters", respectively.
(投資顧問契約等に係る契約締結時交付書面の記載事項等)
(Special Provisions on Matters to be Stated in Document for Delivery Upon Conclusion of Contract Pertaining to Investment Advisory Contract, etc.)
第百六条 投資顧問契約又は法第二条第八項第十三号に掲げる行為(投資顧問契約に係るものに限る。)を行うことを内容とする金融商品取引契約が成立したときに作成する契約締結時交付書面には、第九十九条第一項各号に掲げる事項のほか、次に掲げる事項を記載しなければならない。
Article 106 (1) In addition to the matters specified in Article 99, paragraph (1), the following matters must be stated in a Document for Delivery Upon Conclusion of Contract to be prepared when an Investment Advisory Contract or a Contract for Financial Instruments Transaction for the performance of the act specified in Article 2, paragraph (8), item (xiii) of the Act (limited to that pertaining to an Investment Advisory Contract) is effected:
一 助言の内容及び方法
(i) the contents and method of the advice;
二 報酬の額及び支払の時期
(ii) the amount and timing of the payment of the remuneration;
三 契約の解除に関する事項(法第三十七条の六第一項から第四項までの規定に関する事項を含む。)
(iii) the matters related to the cancellation of the contract (including the matters related to the provisions of Article 37-6, paragraphs (1) through (4) of the Act);
四 損害賠償額の予定(違約金を含む。)に関する定めがあるときは、その内容
(iv) in cases where there is an agreement for agreement for liquidated damages (including penalties), the details thereof;
五 契約期間
(v) the contract term;
六 分析者等の氏名
(vi) the name of the Analysts, etc.;
七 顧客に対して投資顧問契約に基づく助言の業務を行う者の氏名
(vii) the name of the person who provides the customer with the advisory services under the Investment Advisory Contract;
八 投資顧問契約により生じた債権に関し、金融商品取引業者に係る営業保証金について、他の債権者に先立ち弁済を受ける権利を有する旨
(viii) to the effect that the customer is entitled to receive, in preference over other creditors, a payment with regard to claims originating from the Investment Advisory Contract, from a deposit for operation furnished by the Financial Instruments Business Operator;
九 第九十五条第一項第七号に掲げる事項
(ix) the matters specified in Article 95, paragraph (1), item (vii);
十 第九十五条第一項第八号に掲げる事項
(x) the matters specified in Article 95, paragraph (1), item (viii); and
十一 第九十五条第一項第九号に掲げる事項
(xi) the matters specified in Article 95, paragraph (1), item (ix).
2 次の各号に掲げる規定は、当該各号に定める場合には、適用しない。
(2) The provisions listed in the following items do not apply to the cases set forth respectively therein:
一 前項第九号の規定 金融商品取引業者等が次に掲げる者である場合
(i) the provisions of item (ix) of the preceding paragraph: the cases where the Financial Instruments Business Operator, etc. falls under the category of any of the following persons:
イ 第一種金融商品取引業を行う者
(a) a person engaged in a Type I Financial Instruments Business;
ロ 第二種金融商品取引業を行う者
(b) a person engaged in a Type II Financial Instruments Business;
ハ 登録金融機関
(c) a Registered Financial Institution; or
ニ 金融商品仲介業者
(d) a Financial Instruments Intermediary Service Provider.
二 前項第十号の規定 金融商品取引業者等が次に掲げる者である場合
(ii) the provisions of item (x) of the preceding paragraph: the cases where the Financial Instruments Business Operator, etc. falls under the category of any of the following persons:
イ 有価証券等管理業務を行う者
(a) a person engaged in a Securities, etc. Management Business; or
ロ 登録金融機関(信託業務を営む金融機関又は預金、貯金若しくは銀行法第二条第四項に規定する定期積金等の受入れを行う金融機関に限る。)
(b) a Registered Financial Institution (limited to a financial institution engaged in a trust business, or a financial institution accepting deposits, savings, or Installment Savings, etc. as prescribed in Article 2, paragraph (4) of the Banking Act);
三 前項第十一号の規定 金融商品取引業者等が次に掲げる者である場合
(iii) the provisions of item (xi) of the preceding paragraph: the cases where the Financial Instruments Business Operator, etc. falls under the category of any of the following persons:
イ 第一種金融商品取引業を行う者
(a) a person engaged in a Type I Financial Instruments Business;
ロ 金融商品仲介業者
(b) a Financial Instruments Intermediary Service Provider; or
ハ 登録金融機関(信託業務を営む金融機関に限る。)
(c) a Registered Financial Institution (limited to a financial institution engaged in a trust business).
3 第百条第二項の規定は、投資顧問契約について準用する。この場合において、同項中「前項各号」とあるのは、「第百六条第一項各号」と読み替えるものとする。
(3) The provisions of Article 100, paragraph (2) apply mutatis mutandis to an Investment Advisory Contract. In this case, the term "the items of the preceding paragraph" in that paragraph is deemed to be replaced with "the items of Article 106, paragraph (1)".
(投資一任契約等に係る契約締結時交付書面の記載事項等)
(Matters to be Stated in Document for Delivery Upon Conclusion of Contract Pertaining to Discretionary Investment Contract, etc.)
第百七条 投資一任契約又は法第二条第八項第十三号に掲げる行為(投資一任契約に係るものに限る。)を行うことを内容とする金融商品取引契約が成立したときに作成する契約締結時交付書面には、第九十九条第一項各号に掲げる事項のほか、次に掲げる事項を記載しなければならない。
Article 107 (1) In addition to the matters listed in the items of Article 99, paragraph (1), the following matters must be stated in a Document for Delivery Upon Conclusion of Contract to be prepared when a Discretionary Investment Contract or a Contract for Financial Instruments Transaction for the performance of the acts specified in Article 2, paragraph (8), item (xiii) of the Act (limited to the act pertaining to a Discretionary Investment Contract) is effected:
一 投資判断の一任の範囲及び投資の実行に関する事項(投資判断及び投資の実行に係る権限の全部又は一部の委託をする場合における当該委託を受けた者の名称(当該者が適格投資家向け投資運用業を行うことにつき法第二十九条の登録を受けた金融商品取引業者であるときは、その旨を含む。)及び当該委託の範囲を含む。)
(i) the matters related to the scope of the discretionary Investment Decision and the implementation of an investment (in cases where all or part of the authority for making the Investment Decisions or the implementation of an investment is to be entrusted to another person, including the name of such entrusted person (in cases where the person is the Financial Instruments Business Operator who is registered pursuant to Article 29 of the Act for engaging in Investment Management Business for Qualified Investors, including to that effect) and the scope of such entrustment);
二 報酬の額及び支払の時期
(ii) the amount and timing of the payment of the remuneration;
三 契約の解除に関する事項
(iii) the matters related to the cancellation of the contract;
四 損害賠償額の予定(違約金を含む。)に関する定めがあるときは、その内容
(iv) in cases where there is an agreement for agreement for liquidated damages (including penalties) the details thereof;
五 契約期間
(v) the contract term;
六 投資一任契約に係る顧客の資産の内容及び金額
(vi) the particulars and amount of the customer's assets pertaining to the Discretionary Investment Contract;
七 投資一任契約に基づき顧客のために投資判断を行い、又は当該投資判断を行うとともに、これに基づく投資を行う者の氏名
(vii) the name of a person who makes an Investment Decision, or a person who makes an Investment Decision and makes an investment based thereon, for the customers and pursuant to the Discretionary Investment Contract; and
八 投資一任契約に基づき顧客のために行う当該顧客の資産に係る投資の方法及び取引の種類
(viii) the method of the investment and the type of the transactions pertaining to the customer's assets which are conducted for the customer under the Discretionary Investment Contract;
九 当該金融商品取引契約が法第二条第八項第十三号に掲げる行為により成立したものである場合にあっては、投資一任契約により生じた債権に関し金融商品取引業者に係る営業保証金について他の債権者に先立ち弁済を受ける権利を有する旨
(ix) in cases where the Contract for Financial Instruments Transaction has been effected through an act specified in Article 2, paragraph (8), item (xiii) of the Act, to the effect that the customer is entitled to receive, in preference over other creditors, payment with regard to claims originating from the Discretionary Investment Contract, from a deposit for operation furnished by the Financial Instruments Business Operator;
十 投資一任契約に基づき権利者のために運用を行う者が適格投資家向け投資運用業を行うことにつき法第二十九条の登録を受けた金融商品取引業者であるときは、その旨
(x) in cases where the person who engages in investment for the Right Holder based on the Discretionary Investment Contract is the Financial Instruments Business Operator who is registered pursuant to Article 29 of the Act for engaging in Investment Management Business for Qualified Investors, to that effect; and
十一 法第四十二条の七第一項の運用報告書を交付する頻度
(xi) frequency to deliver the Investment Report set forth in Article 42-7, paragraph (1) of the Act.
2 第百条第二項の規定は、投資一任契約について準用する。この場合において、同項中「前項各号」とあるのは、「第百七条第一項各号」と読み替えるものとする。
(2) The provisions of Article 100, paragraph (2) apply mutatis mutandis to a Discretionary Investment Contract. In this case, the term "the items of the preceding paragraph" is deemed to be replaced with "the items of Article 107, paragraph (1)".
(取引残高報告書の記載事項等)
(Matters to be Stated in Report on Outstanding Balance of Transactions)
第百八条 取引残高報告書には、次に掲げる事項を記載しなければならない。
Article 108 (1) The following matters must be stated in a Report on Outstanding Balance of Transactions:
一 顧客の氏名又は名称
(i) the name of the customer;
二 第九十八条第一項第三号イの金融商品取引契約又は報告対象期間において成立した金融商品取引契約に係る次に掲げる事項
(ii) the following matters pertaining to the Contract for Financial Instruments Transaction as set forth in Article 98, paragraph (1), item (iii), sub-item (a), or to the Contract for Financial Instruments Transaction effected during the Reporting Period:
イ 約定年月日
(a) the date of the contract;
ロ 有価証券の受渡しの年月日
(b) the date of the delivery of the Securities;
ハ 売付け等又は買付け等の別(次の(1)から(4)までに掲げる取引にあっては、それぞれ(1)から(4)までに定めるものの別)
(c) information as to whether the type of transaction is a Sale, etc. or a Purchase, etc. (with regard to the transactions listed in 1. through 4. below, information as to the type of the transactions respectively set forth therein):
(1) 法第二条第二十一項第二号に掲げる取引(これに類似する外国市場デリバティブ取引を含む。)及び同条第二十二項第二号に掲げる取引 顧客が現実数値が約定数値を上回った場合に金銭を支払う立場の当事者となるもの又は金銭を受領する立場の当事者となるもの
1. a transaction specified in Article 2, paragraph (21), item (ii) of the Act (including Foreign Market Derivatives Transactions similar thereto) and a transaction specified in Article 2, paragraph (22), item (ii) of the Act: whether it is a transaction wherein, when the Actual Figure exceeds the Agreed Figure, the customer becomes a party paying money, or a party receiving money;
(2) 法第二条第二十一項第三号に掲げる取引(これに類似する外国市場デリバティブ取引を含む。)並びに同条第二十二項第三号及び第四号に掲げる取引 顧客がオプションを付与する立場の当事者となるもの又はオプションを取得する立場の当事者となるもの
2. a transaction specified in Article 2, paragraph (21), item (iii) of the Act (including Foreign Market Derivatives Transactions similar thereto), and transactions specified in Article 2, paragraph (22), item (iii) and (iv) of the Act: whether it is a transaction wherein the customer becomes a party granting Options, or a party acquiring Options;
(3) 法第二条第二十一項第四号に掲げる取引(これに類似する外国市場デリバティブ取引を含む。)及び同条第二十二項第五号に掲げる取引 顧客が相手方と取り決めた金融商品の利率等又は金融指標が約定した期間に上昇した場合に金銭を支払う立場の当事者となるもの又は金銭を受領する立場の当事者となるもの
3. a transaction specified in Article 2, paragraph (21), item (iv) of the Act (including Foreign Market Derivatives Transactions similar thereto), and a transaction specified in Article 2, paragraph (22), item (v) of the Act: whether it is a transaction wherein, when the interest rate, etc. of the Financial Instruments or Financial Indicators as agreed between the customer and the counterparty increase in the agreed period, the customer becomes a party paying money, or a party receiving money; and
(4) 法第二条第二十一項第五号(これに類似する外国市場デリバティブ取引を含む。)及び同条第二十二項第六号に掲げる取引 当事者があらかじめ定めた事由(同条第二十一項第五号及び第二十二項第六号に掲げるいずれかの事由をいう。)が発生した場合に顧客が金銭を支払う立場の当事者となるもの又は金銭を受領する立場の当事者となるもの
4. a transaction specified in Article 2, paragraph (21), item (v) of the Act (including Foreign Market Derivatives Transactions similar thereto), and a transaction specified in Article 2, paragraph (22), item (vi) of the Act: whether it is a transaction wherein, when any event agreed by the parties in advance (meaning the events specified in any of item (v) of paragraph (21) of that Article or item (vi) of paragraph (22) of that Article) occurs, the customer becomes a party paying money, or a party receiving money.
ニ 有価証券の種類又はデリバティブ取引の種類
(d) the type of the Securities or Derivative Transactions;
ホ 銘柄(取引の対象となる金融商品若しくは金融指標又は契約書に記載されている契約番号その他取引の対象を特定するものを含む。以下この節において同じ。)
(e) the issues (including the Financial Instruments or Financial Indicators which are the subject of a transaction, the contract number specified in the contract, or any other information identifying the subject of the transaction; hereinafter the same applies in this Section);
ヘ 約定数量(数量がない場合にあっては、件数又は数量に準ずるもの)
(f) the agreed volumes (in cases where there is no volume, the number of the transactions or any other information equivalent to volume).
ト 単価、対価の額、約定数値、選択権料その他取引一単位当たりの金額又は数値
(g) the amount or figure per transaction unit, such as the unit price, amount of consideration, Agreed Figure and option premium;
チ 支払金額(手数料を含む。)
(h) the amount payable (including the amount of fees); and
リ 現金取引又は信用取引の別
(i) information as to whether the transaction is a cash transaction or a Margin Transaction.
三 報告対象期間において行った有価証券の受渡しの年月日並びに当該有価証券の種類及び株数若しくは口数又は券面の総額
(iii) the date of the delivery of the Securities completed during the Reporting Period, as well as the types, the numbers of shares or units, or the total face value of such Securities;
四 報告対象期間において行った金銭の受渡しの年月日及びその金額
(iv) the date of the delivery of the money completed during the Reporting Period, and the amount thereof;
五 報告対象期間の末日における金銭及び有価証券の残高
(v) the outstanding balance of the money and Securities as of the last day of the Reporting Period;
六 報告対象期間の末日における信用取引、発行日取引(国債の発行日前取引を除く。)及びデリバティブ取引の未決済勘定明細及び評価損益
(vi) the description of the unsettled account and the loss or gain on valuation of the Margin Transaction, When-Issued Transaction (excluding When-Issued Transaction of Government Bonds) and Derivative Transactions, as of the last day of the relevant Reporting Period;
七 第二号の金融商品取引契約が信用取引に係るものである場合にあっては、当該信用取引に関する次に掲げる事項
(vii) in cases where a Contract for Financial Instruments Transaction set forth in item (ii) pertains to a Margin Transaction, the following matters in connection with such Margin Transaction:
イ 新規又は決済の別
(a) information as to whether it is a new transaction or a settlement transaction;
ロ 弁済期限
(b) the due date for the payment; and
ハ 信用取引支払利息若しくは信用取引受取利息又は品借料若しくは品貸料
(c) interest payable for the Margin Transaction or interest receivable from the Margin Transaction, or share-borrowing commission or share-lending commission;
八 第二号の金融商品取引契約が法第二十八条第八項第三号イ及びロに規定する取引に係るものである場合にあっては、当該取引に関する新規又は決済の別
(viii) in cases where a Contract for Financial Instruments Transaction set forth in item (ii) pertains to a transaction specified in Article 28, paragraph (8), item (iii), sub-item (a) and (b) of the Act, information as to whether it is a new transaction or a settlement transaction;
九 第二号の金融商品取引契約が法第二十八条第八項第三号ハに規定する取引又は選択権付債券売買(当事者の一方が受渡日を指定できる権利を有する債券売買であって、一定の期間内に当該権利が行使されない場合にあっては、当該選択権付債券売買の契約が解除される取引をいう。以下同じ。)に係るものである場合にあっては、これらに関する次に掲げる事項
(ix) in cases where the Contract for Financial Instruments Transaction set forth in item (ii) pertains to a transaction specified in Article 28, paragraph (8), item (iii), sub-item (c) of the Act or the Trading of Bonds with Options (meaning bond trading wherein one party thereto is entitled to designate the delivery date, and wherein the contract for such Trading of Bonds with Options will be cancelled if such party does not exercise such right within a certain period; the same applies hereinafter), the following matters in connection with such Trading of Bonds with Options:
イ 権利行使期間
(a) the exercise period;
ロ 権利行使価格
(b) the exercise price;
ハ プット(権利の行使により売主としての地位を取得するものをいう。以下同じ。)又はコール(権利の行使により買主としての地位を取得するものをいう。以下同じ。)の別
(c) information as to whether it is a put option (meaning the option whereby a party acquires the position of seller by exercise of rights; the same applies hereinafter) or a call option (meaning the option whereby a party acquires the position of purchaser by exercise of rights; the same applies hereinafter);
ニ 新規、権利行使、転売、買戻し又は相殺の別
(d) information as to whether it is a new transaction, or the exercising of rights, resale, buy-back or set-off; and
ホ 限月
(e) the contract month.
十 第二号の金融商品取引契約が法第二十八条第八項第三号ニに掲げる取引に係るものである場合にあっては、当該取引に関する次に掲げる事項
(x) in cases where the Contract for Financial Instruments Transaction set forth in item (ii) pertains to a transaction specified in Article 28, paragraph (8), item (iii), sub-item (d) of the Act, the following matters in regard to the transaction:
イ 取引期間
(a) the term of the transaction; and
ロ 受渡しの年月日
(b) the delivery date.
十一 第二号の金融商品取引契約が法第二十八条第八項第四号イ又はロに規定する取引に係るものである場合にあっては、当該取引に関する次に掲げる事項
(xi) in cases where the Contract for Financial Instruments Transaction set forth in item (ii) pertains to a transaction specified in Article 28, paragraph (8), item (iv), sub-item (a) or (b) of the Act, the following matters in regard to such transaction;
イ 自己又は委託の別
(a) information as to whether itself is dealing or it is a transaction based on entrustment by the customer;
ロ 期日
(b) the due date; and
ハ 新規、決済又は解除の別
(c) information as to whether it is a new transaction, or a settlement or a cancellation;
十二 第二号の金融商品取引契約が法第二十八条第八項第四号ハ又はニに規定する取引に係るものであるときは、当該取引に関する次に掲げる事項
(xii) in cases where the Contract for Financial Instruments Transaction set forth in item (ii) pertains to a transaction specified in Article 28, paragraph (8), item (iv), sub-item (c) or (d) of the Act, the following matters in connection with such transaction:
イ 自己又は委託の別
(a) information as to whether itself is dealing or it is a transaction based on entrustment by the customer;
ロ 権利行使期間
(b) the exercise period; and
ハ オプションの行使により成立する取引の内容
(c) the details of the transaction to be effected by the exercise of Options.
十三 第二号の金融商品取引契約が法第二十八条第八項第四号ホに規定する取引に係るものであるときは、当該取引に関する次に掲げる事項
(xiii) in cases where the Contract for Financial Instruments Transaction set forth in item (ii) pertains to a transaction specified in Article 28, paragraph (8), item (iv), sub-item (e) of the Act, the following matters in regard to such transaction:
イ 自己又は委託の別
(a) information as to whether the transaction itself is dealing or it is a transaction based on entrustment by the customer;
ロ 取引期間
(b) the term of the transaction; and
ハ 受渡しの年月日
(c) the delivery date.
2 二以上の金融商品取引業者等が顧客に対し前項各号に掲げる事項を記載した取引残高報告書を交付しなければならない場合において、いずれか一の金融商品取引業者等が同項各号に掲げる事項を記載した取引残高報告書を交付したときは、他の金融商品取引業者等は、第九十八条第一項第三号の規定にかかわらず、取引残高報告書を作成し、交付することを要しない。
(2) Notwithstanding the provisions of Article 98, paragraph (1), item (iii), in the cases where two or more Financial Instruments Business Operators, etc. are required to deliver to the customer a Report on Outstanding Balance of Transactions stating the matters listed in the items of the preceding paragraph, if one of such Financial Instruments Business Operators, etc. has delivered to the customer the Report on Outstanding Balance of Transactions stating the matters set forth in the items of the preceding paragraph, the other Financial Instruments Business Operator, etc. need not prepare and deliver the Report on Outstanding Balance of Transactions.
3 第一項の規定にかかわらず、第九十八条第一項第三号イに掲げ