投資信託及び投資法人に関する法律施行規則
Regulation for Enforcement of the Act on Investment Trusts and Investment Corporations
平成十二年十一月十七日総理府令第百二十九号
Order of the Prime Minister's Office No. 129 of November 17, 2000
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)及び投資信託及び投資法人に関する法律施行令(平成十二年政令第四百八十号)の規定に基づき、並びに同法及び同令を実施するため、証券投資信託及び証券投資法人に関する法律施行規則(平成十年総理府大蔵省令第三十号)の全部を改正する総理府令を次のように定める。
Pursuant to the provisions of the Act on Investment Trusts and Investment Corporations (Act No. 198 of 1951) and Order for Enforcement of the Act on Investment Trusts and Investment Corporations (Cabinet Order No. 480 of 2000), and in order to enforce that Act and that Order, the Order of the Prime Minister's Office revising the entire Regulation for Enforcement of the Act on Securities Investment Trusts and Securities Investment Corporations (Order of the Prime Minister's Office and Ministry of Finance No. 30 of 1998) is provided as follows.
第一章 総則 (第一条―第五条)
Chapter I General Provisions (Article 1 to Article 5)
第二章 委託者指図型投資信託 (第六条―第七十六条)
Chapter II Investment Trusts Managed under Instructions from the Settlor (Article 6 to Article 76)
第三章 委託者非指図型投資信託 (第七十七条―第九十三条の二)
Chapter III Investment Trusts Managed without Instructions from the Settlor (Article 77 to Article 93-2)
第四章 外国投資信託 (第九十四条―第百二条)
Chapter IV Foreign Investment Trust (Article 94 to Article 102)
第五章 投資法人
Chapter V Investment Corporations
第一節 投資法人 (第百三条―第二百十二条)
Section 1 Investment Corporations (Article 103 to Article 212)
第二節 投資法人の登録等 (第二百十三条―第二百二十条)
Section 2 Registration of Investment Corporations (Article 213 to Article 220)
第三節 投資法人の業務等 (第二百二十条の二―第二百五十三条)
Section 3 Business of Investment Corporations (Article 220-2 to Article 253)
第四節 投資法人の監督 (第二百五十四条―第二百五十八条)
Section 4 Supervision over Investment Corporations (Article 254 to Article 258)
第六章 外国投資法人 (第二百五十九条―第二百六十四条)
Chapter VI Foreign Investment Corporations (Article 259 to Article 264)
第七章 雑則 (第二百六十五条―第二百七十七条)
Chapter VII Miscellaneous Provisions (Article 265 to Article 277)
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「委託者指図型投資信託」、「委託者非指図型投資信託」、「投資信託」、「証券投資信託」、「有価証券」、「デリバティブ取引」、「受益証券」、「公募」、「一般投資家私募」、「投資信託委託会社」、「投資法人」、「登録投資法人」、「投資口」、「投資証券」、「投資主」、「新投資口予約権」、「新投資口予約権証券」、「投資法人債」、「投資法人債券」、「資産運用会社」、「資産保管会社」、「一般事務受託者」、「外国投資信託」又は「外国投資法人」とは、それぞれ投資信託及び投資法人に関する法律(以下「法」という。)第二条に規定する委託者指図型投資信託、委託者非指図型投資信託、投資信託、証券投資信託、有価証券、デリバティブ取引、受益証券、公募、一般投資家私募、投資信託委託会社、投資法人、登録投資法人、投資口、投資証券、投資主、新投資口予約権、新投資口予約権証券、投資法人債、投資法人債券、資産運用会社、資産保管会社、一般事務受託者、外国投資信託又は外国投資法人をいい、「適格機関投資家私募」又は「特定投資家私募」とは、それぞれ法第四条第二項第十二号に規定する適格機関投資家私募又は特定投資家私募をいう。
Article 1 The terms "Investment Trust Managed under Instructions from the Settlor," "Investment Trust Managed without Instructions from the Settlor," "Investment Trust," "Securities Investment Trust," "Securities," "Derivatives Transaction," "Beneficiary Certificate," "Public Offering," "Private Placement with General Investors," "Settlor Company of an Investment Trust," "Investment Corporation," "Registered Investment Corporation," "Investment Equity," "Investment Security," "Investor," "Investment Equity Option," "Investment Equity Option Certificate," "Investment Corporation Bond," "Investment Corporation Bond Certificate," "Asset Management Company," "Asset Custody Company," "Administrative Agent," "Foreign Investment Trust," and "Foreign Investment Corporation" as used in this Order of the Prime Minister's Office means the Investment Trust Managed under Instructions from the Settlor, Investment Trust Managed without Instructions from the Settlor, Investment Trust, Securities Investment Trust, Securities, Derivatives Transaction, Beneficiary Certificate, Public Offering, Offering," "Private Placement with General Investors, Settlor Company of an Investment Trust, Investment Corporation, Registered Investment Corporation, Investment Equity, Investment Security, Investor, Investment Equity Option, Investment Equity Option Certificate, Investment Corporation Bond, Investment Corporation Bond Certificate, Asset Management Company, Asset Custody Company, Administrative Agent, Foreign Investment Trust, and Foreign Investment Corporation defined in Article 2 of the Act on Investment Trusts and Investment Corporations (hereinafter referred to as the "Act") respectively, and the terms "Private Placement with Qualified Institutional Investors" and "Private Placement with Professional Investors" means the Private Placement with Qualified Institutional Investors and Private Placement with Professional Investors prescribed in Article 4, paragraph (2), item (xii) of the Act.
(訳文の添付)
(Attaching of Translations)
第二条 法、投資信託及び投資法人に関する法律施行令(以下「令」という。)又はこの府令の規定により金融庁長官、財務局長若しくは福岡財務支局長(以下「金融庁長官等」という。)に提出し、又は受益者(受益証券を取得しようとする者を含む。次条において同じ。)若しくは投資主に交付し、若しくは提供する書類で、特別の事情により日本語で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、次に掲げる書類(英語で記載されたものに限る。)については、この限りでない。
Article 2 If any document which is to be submitted to the Commissioner of the Financial Services Agency, the Director-General of a Local Finance Bureau, or the Director-General of the Fukuoka Local Finance Branch Bureau (hereinafter collectively referred to as the "Commissioner of the Financial Services Agency, etc."), or to be delivered or submitted to the beneficiaries (including persons who intend to acquire Beneficiary Certificates; the same applies in the following Article) pursuant to the provisions of the Act, the Order for Enforcement of the Act on Investment Trusts and Investment Corporations (hereinafter referred to as the "Order") or this Order of the Prime Minister's Office cannot be written in Japanese due to special circumstances, a translation of such document must be attached thereto; provided, however that this does not apply to the following documents (limited to those written in English):
一 法第五十八条第二項の規定により同条第一項の規定による届出に添付すべき書類
(i) documents to be attached to the notification under Article 58, paragraph (1) of the Act pursuant to paragraph (2) of that Article;
二 第九十七条第二項又は第九十八条第二項の規定により法第五十九条において準用する法第十六条の規定による届出に添付すべき書類
(ii) documents to be attached to the notification under Article 16 of the Act as applied mutatis mutandis pursuant to Article 59 of the Act pursuant to the provisions of Article 97, paragraph (2) and Article 98, paragraph (2);
三 第百一条第二項の規定により法第五十九条において準用する法第十九条の規定による届出に添付すべき書類
(iii) documents to be attached to the notification under Article 19 of the Act as applied mutatis mutandis pursuant to Article 59 of the Act pursuant to Article 101, paragraph (2);
四 法第二百二十条第二項の規定により同条第一項の規定による届出に添付すべき書類
(iv) documents to be attached to the notification under Article 220, paragraph (1) of the Act pursuant to paragraph (2) of that Article;
五 法第二百二十一条第二項において準用する法第二百二十条第二項の規定により法第二百二十一条第一項の規定による届出に添付すべき書類
(v) documents to be attached to the notification under Article 221, paragraph (1) of the Act pursuant Article 220, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 221, paragraph (2) of the Act; and
六 第二百六十四条第二項の規定により法第二百二十二条第一項及び第二項の規定による届出に添付すべき書類
(vi) documents to be attached to the notification under Article 222, paragraphs (1) and (2) of the Act pursuant to Article 264, paragraph (2).
(外国通貨の換算)
(Conversion of a Foreign Currency)
第三条 法、令又はこの府令の規定により作成し、金融庁長官等に提出し、又は受益者若しくは投資主に交付し、若しくは提供する書類中、外国通貨により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換算率を付記しなければならない。ただし、これらを付記することが困難な場合は、この限りでない。
Article 3 If any document which is to be submitted to the Commissioner of the Financial Services Agency, etc. or to be delivered or submitted to beneficiaries or Investors pursuant to the provisions of the Act, the Order, or this Order of the Prime Minister's Office, includes an amount denominated in a foreign currency, the amount converted into Japanese currency from such foreign currency and the standard used for such conversion must be denoted in the document; provided, however, that this does not apply to cases where it is difficult to denote them.
(適格機関投資家を除くための要件等)
(Requirements for Excluding Qualified Institutional Investors)
第四条 令第七条第二項に規定する内閣府令で定める場合は、次に掲げる要件のいずれかに該当する場合とする。
Article 4 The cases specified by Cabinet Office Order as referred to in Article 7, paragraph (2) of the Order are the cases where any of the following requirements are satisfied:
一 当該受益証券に適格機関投資家に譲渡する場合以外の譲渡が禁止される旨の制限(以下この条及び第五条第一項において「転売制限」という。)が付されている旨が当該受益証券に記載され、当該受益証券の取得者に当該受益証券が交付されること。
(i) that a statement to the effect that restriction prohibiting the transfer of the relevant Beneficiary Certificate in cases other the case where transferring to Qualified Institutional Investors (hereinafter referred to as the "Restriction on Resale" in this Article and Article 5, paragraph (1)) is stated on the Beneficiary Certificate and that Beneficiary Certificate is delivered to the acquirer of the Beneficiary Certificate;
二 当該受益証券の取得者に交付される当該受益証券に関する情報を記載した書面において、当該受益証券に転売制限が付されている旨の記載がされていること。
(ii) that a statement to the effect that a Restriction on Resale is imposed on the relevant Beneficiary Certificate is stated in the documents containing the information on the Beneficiary Certificate which are to be delivered to the acquirer of the Beneficiary Certificate;
三 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)の規定により加入者(同法第二条第三項に規定する加入者をいう。第五条第一項第三号において同じ。)が当該受益証券に転売制限が付されていることを知ることができるようにする措置がとられていること。
(iii) that measures which enable the Members (meaning the members as prescribed in Article 2, paragraph (3) of the Act on Book-Entry Transfer of Company Bonds, Shares, etc. (Act No. 75 of 2001); the same applies in Article 5, paragraph (1), item (iii)) to notice that a Restriction on Resale is imposed on the relevant Beneficiary Certificate pursuant to the provisions of that Act; or
四 当該受益証券の発行者が、当該受益証券と同一種類の受益証券(当該受益証券と発行者が同一で、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)第十条の二第一項第十一号イからハまでに掲げる事項が同一である受益証券をいう。以下この条、次条及び第五条第二項第一号において同じ。)であって、金融商品取引法第二十四条第一項各号(同法第二十七条において準用する場合を含む。以下この条及び第五条第二項第一号において同じ。)のいずれかに該当するものを既に発行している者でないこと。
(iv) that the issuer of the relevant Beneficiary Certificate is not a person who has already issued Beneficiary Certificates of the Same Class (meaning Beneficiary Certificates of which the issuer and the particulars set forth in Article 10-2, paragraph (1), item (xi), sub-items (a) through (c) 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) are the same as the relevant Beneficiary Certificate; hereinafter the same applies in this Article, the following Article, and Article 5, paragraph (2), item (i)) as the Beneficiary Certificate, which fall under any of the items of Article 24, paragraph (1) of the Financial Instruments and Exchange Act (including the cases where it is applied mutatis mutandis pursuant to Article 27 of that Act; hereinafter the same applies in this Article and Article 5, paragraph (2), item (i)).
(同一種類の受益証券)
(Beneficiary Certificates of the Same Class)
第四条の二 令第八条第一項第二号及び第三号に規定する当該受益証券と同一種類の受益証券として内閣府令で定めるものは、同一種類の受益証券とする。
Article 4-2 The Beneficiary Certificates specified by Cabinet Office Order as the Beneficiary Certificate of the Same Class as the relevant Beneficiary Certificate as referred to in Article 8, paragraph (1), items (ii) and (iii) of the Order are the Beneficiary Certificates of the Same Class.
(特定投資家の範囲)
(Scope of Professional Investors)
第四条の三 法第二条第九項第二号に規定する特定投資家とみなされる者のうち内閣府令で定める者は、金融商品取引業等に関する内閣府令(平成十九年内閣府令第五十二号)第五十三条第一号に掲げる契約(次項において「有価証券取引契約」という。)に関して金融商品取引法(昭和二十三年法律第二十五号)第三十四条の三第四項(同法第三十四条の四第四項において準用する場合を含む。)又は同法第三十四条の三第六項(同法第三十四条の四第四項において準用する場合を含む。)の規定により特定投資家とみなされる者とする。
Article 4-3 (1) The persons deemed to be professional investors that are specified by Cabinet Office Order as referred to in Article 2, paragraph (9), item (ii) of the Act are the persons deemed to be professional investors pursuant to the provisions of Article 34-3, paragraph (4) of the Financial Instruments and Exchange Act (Act No. 25 of 1948) (including the cases where it is applied mutatis mutandis pursuant to Article 34-4, paragraph (4) of that Act) and Article 34-3, paragraph (6) of that Act (including the cases where it is applied mutatis mutandis pursuant to Article 34-4, paragraph (4) of that Act) with regard to the contracts set forth in Article 53, item (i) of the Cabinet Office Order on Financial Instruments Business, etc. (Cabinet Office Order No. 52 of 2007) (referred to as the "Contract for Transaction of Securities" in the following paragraph).
2 法第二条第九項第二号に規定する特定投資家以外の顧客とみなされる者のうち内閣府令で定める者は、有価証券取引契約に関して金融商品取引法第三十四条の二第五項又は第八項の規定により特定投資家以外の顧客とみなされる者とする。
(2) The persons deemed to be customers other than professional investors, that are specified by Cabinet Office Order as referred to in Article 2, paragraph (9), item (ii) of the Act are the persons deemed to be customers other than professional investors pursuant to the provisions of Article 34-2, paragraph (5) or (8) of the Financial Instruments and Exchange Act with regard to the Contract for Transaction of Securities.
(受益証券の譲渡に関する制限等)
(Restrictions on Transfer of Beneficiary Certificates)
第五条 令第八条第一項第一号に規定する内閣府令で定める方式は、次に掲げる要件のいずれかに該当するものとする。
Article 5 (1) The methods specified by Cabinet Office Order as referred to in Article 8, paragraph (1), item (i) of the Order are those that satisfy any of the following requirements:
一 当該受益証券に転売制限が付されている旨が当該受益証券に記載され、当該受益証券の取得者に当該受益証券が交付されること。
(i) that a statement to the effect that a Restriction on Resale is imposed on the relevant Beneficiary Certificate is stated on the Beneficiary Certificate and that Beneficiary Certificate is delivered to the acquirer of the Beneficiary Certificate;
二 当該受益証券の取得者に交付される当該受益証券に関する情報を記載した書面において、当該受益証券に転売制限が付されている旨の記載がされていること。
(ii) that a statement to the effect that a Restriction on Resale is imposed on the relevant Beneficiary Certificate is stated in the documents containing the information on the Beneficiary Certificate which are to be delivered to the acquirer of the Beneficiary Certificate; or
三 社債、株式等の振替に関する法律の規定により加入者が当該受益証券に転売制限が付されていることを知ることができるようにする措置がとられていること。
(iii) that measures which enable the Members to notice that a Restriction on Resale is imposed on the relevant Beneficiary Certificate pursuant to the provisions of the Act on Transfer of Corporate Bonds, Shares, etc.
2 令第八条第二項第二号に規定する内閣府令で定める要件は、次に掲げる全ての要件を満たすこととする。
(2) The requirements specified by Cabinet Office Order as referred to in Article 8, paragraph (2), item (ii) of the Order are that the relevant case satisfies all of the following requirements:
一 当該受益証券と同一種類の受益証券が、金融商品取引法第二十四条第一項各号に掲げる有価証券のいずれにも該当しないこと。
(i) that the Beneficiary Certificate of the Same Class as the relevant Beneficiary Certificate does not fall under the category of Securities set forth in the items of Article 24, paragraph (1) of the Financial Instruments and Exchange Act; and
二 当該受益証券の発行者と当該受益証券の取得の申込みの勧誘に応じて当該受益証券を取得しようとする者(以下この号において「取得者」という。)との間及び当該取得の申込みの勧誘を行う者と当該取得者との間において、次のイ及びロに掲げる事項(ロに掲げる事項にあっては、当該契約の当事者が定めないこととした事項を除く。)を定めた譲渡に係る契約を締結することを取得の条件として、取得の申込みの勧誘が行われること。
(ii) that a solicitation of an application to acquire Beneficiary Certificates is made where the relevant Beneficiary Certificate is acquired on the condition that a contract on transfer providing the particulars listed in the following sub-items (a) and (b) (in case of the particulars listed in sub-item (b), excluding the particulars that the party of the contract decides not to specify) is concluded between the issuer of the relevant Beneficiary Certificate and the person who intends to acquire the Beneficiary Certificate in response to the solicitation of an application to acquire Beneficiary Certificates (hereinafter such person is referred to as the "Acquirer" in this item), and between the person who makes the solicitation of an application to acquire Beneficiary Certificates and the Acquirer:
イ 当該取得者が当該取得の申込みの勧誘に応じて取得した当該受益証券を特定投資家等(令第八条第二項第二号に規定する特定投資家等をいう。ロにおいて同じ。)以外の者に譲渡を行わないこと。
(a) that the Acquirer who has acquired the relevant Beneficiary Certificate in response to the solicitation of an application to acquire Beneficiary Certificates does not transfer such Beneficiary Certificate to persons other than Professional Investors, etc. (meaning the Professional Investors, etc. as prescribed in Article 8, paragraph (2), item (ii) of the Order; the same applies in sub-item (b));
ロ 次に掲げる場合には、当該取得者が当該取得の申込みの勧誘に応じて取得した当該受益証券を特定投資家等以外の者に譲渡することができること。
(b) that, in the following cases, the Acquirer who has acquired the relevant Beneficiary Certificate in response to the solicitation of an application to acquire Beneficiary Certificates may transfer such Beneficiary Certificate to persons other than Professional Investors, etc.:
(1) 当該受益証券の発行者又はその役員(取締役、監査役、執行役、理事若しくは監事又はこれらに準ずる者をいう。)であり、かつ、当該発行者の総株主等の議決権(金融商品取引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。)の百分の五十を超える議決権(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。)の規定により発行者に対抗することができない株式又は出資に係る議決権を含む。以下この条において「対象議決権」という。)に係る株式若しくは出資を自己若しくは他人の名義をもって所有する者(以下この条において「特定役員」という。)若しくは当該特定役員の被支配法人等(当該発行者を除く。)に対して譲渡する場合
1. cases where the Acquirer transfers the relevant Beneficiary Certificate to the issuer of the Beneficiary Certificate or its Officer(s) (meaning directors, company auditors, executive officer, board members or auditors, or persons equivalent thereto) that is a person who holds the voting rights exceeding 50 percent of the 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 Financial Instruments and Exchange Act; hereinafter the same applies) (the relevant voting rights includes voting rights pertaining to shares or equity that may not be duly asserted against the issuer 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 part pertaining to item (ii)) of that Act); hereinafter referred to as the "Subject Voting Rights" in this Article) of the issuer in its own name or another person's name (hereinafter such Officer is referred to as the "Specified Officer" in this Article), or the Controlled Corporation, etc. of the Specified Officer (excluding the issuer); and
(2) 当該受益証券の発行者の総株主等の議決権の百分の五十を超える対象議決権に係る株式又は出資を自己又は他人の名義をもって所有する会社に対して譲渡する場合
2. cases where the Acquirer transfers the relevant Beneficiary Certificate to a company holding shares or equity pertaining to Subject Voting Rights exceeding 50 percent of the Voting Rights Held by All the Shareholders, etc. of the issuer of the relevant Beneficiary Certificate in its own name or another person's name.
3 特定役員とその被支配法人等が合わせて他の法人等(法人その他の団体をいう。以下この条において同じ。)の総株主等の議決権の百分の五十を超える対象議決権に係る株式又は出資を自己又は他人の名義をもって所有する場合には、当該他の法人等は、当該特定役員の被支配法人等とみなして、前項第二号ロ(1)及びこの項の規定を適用する。
(3) In cases where the Specified Officer and its Controlled Corporation, etc. jointly hold shares or equity pertaining to the Subject Voting Rights exceeding 50 percent of the Voting Rights Held by All the Shareholders, etc. of another Corporation, etc. (meaning a corporation and other organizations; hereinafter the same applies in this Article) in their own name or another person's name, the relevant other Corporation, etc. is deemed to be the Controlled Corporation, etc. of the Specified Officer and the provisions of item (ii), sub-item (b) 1. of the preceding paragraph and this paragraph apply.
4 第二項第二号ロ(1)及び前項の「被支配法人等」とは、特定役員が他の法人等の総株主等の議決権の百分の五十を超える対象議決権に係る株式又は出資を自己又は他人の名義をもって所有する場合における当該他の法人等をいう。
(4) The term "Controlled Corporation, etc." as used in paragraph (2), item (ii), sub-item (b) 1. and the preceding paragraph means, in cases where a Specified Officer holds shares or equity pertaining to Subject Voting Rights exceeding 50 percent of the Voting Rights Held by All the Shareholders, etc. of another Corporation, etc., the relevant other Corporation, etc.
第二章 委託者指図型投資信託
Chapter II Investment Trusts Managed under Instructions from the Settlor
(投資信託約款の内容の届出)
(Notification of the Details of the Basic Terms and Conditions of an Investment Trust)
第六条 法第四条第一項の規定による届出は、次に掲げる事項を記載した届出書を所管金融庁長官等(令第百三十五条第五項の規定により金融庁長官の指定する権限に係る場合にあっては金融庁長官、それ以外の権限に係る場合にあっては金融商品取引業者(法第二条第十一項に規定する金融商品取引業者をいう。第百十二条第八号及び第二百四十四条を除き、以下同じ。)、信託会社等(法第四十七条第一項に規定する信託会社等をいう。以下同じ。)又は投資法人の本店(外国法人にあっては、国内における主たる営業所又は事務所)の所在地を管轄する財務局長(当該所在地が福岡財務支局の管轄区域内にある場合にあっては、福岡財務支局長)をいう。以下同じ。)に提出して行わなければならない。
Article 6 (1) The notification under Article 4, paragraph (1) of the Act must be made by submitting the notification containing the following information to the Commissioner of the Financial Services Agency or Other Competent Official (meaning the Commissioner of the Financial Services Agency in the case of notification related to the authority designated by the Commissioner of the Financial Services Agency pursuant to the provisions of Article 135, paragraph (5) of the Order, and the Director-General of a Local Finance Bureau who has jurisdiction over the location of the head office of a Financial Instruments Business Operator (meaning the Financial Instruments Business Operator as prescribed in Article 2, paragraph (11) of the Act; hereinafter the same applies, except in Article 112, item (viii) and Article 244), trust company or similar institution (meaning the trust company or similar institution as prescribed in Article 47, paragraph (1) of the Act; the same applies hereinafter), or an Investment Corporation (in cases of a foreign corporation, the principal business office or office in Japan) (in cases where the location is within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, the Director-General of the Fukuoka Local Finance Branch Bureau) in the case of notification related to other authority; the same applies hereinafter):
一 当該投資信託約款(法第四条第一項に規定する投資信託約款をいう。以下この章において同じ。)に係る委託者指図型投資信託の名称
(i) the name of the Investment Trust Managed under Instructions from the Settlor pertaining to the relevant Basic Terms and Conditions of the Investment Trust (meaning the Basic Terms and Conditions of the Investment Trust defined in Article 4, paragraph (1) of the Act; hereinafter the same applies in this Chapter);
二 単位型(元本の追加信託をすることができないものをいう。)又は追加型(元本の追加信託をすることができるものをいう。)の別
(ii) whether the relevant Investment Trust is a Unit Type (meaning the type of an Investment Trust where additional amounts may not be added to the principal thereof) or Open Type (meaning the type of an Investment Trust where additional amounts may be added to the principal thereof);
三 証券投資信託にあっては、公社債投資信託(第十三条第二号イに規定する公社債投資信託をいう。以下この号において同じ。)又は株式投資信託(公社債投資信託以外の証券投資信託をいう。)の別
(iii) in cases of a Securities Investment Trust, whether the relevant Securities Investment Trust is a Bond Investment Trust (meaning the Bond Investment Trust prescribed in Article 13, item (ii), sub-item (a); hereinafter the same applies in this item) or Share Investment Trust (meaning Securities Investment Trust other than the Bond Investment Trust);
四 投資の対象とする資産の種類に関する事項として次に掲げる事項
(iv) the following information as those related to the type of assets which are to be the subject of investment:
イ 投資の対象とする特定資産(法第二条第一項に規定する特定資産をいう。以下同じ。)の種類
(a) the type of the Specified Assets (meaning the Specified Assets defined in Article 2, paragraph (1) of the Act; hereinafter the same applies) which are to be the subject of investment; and
ロ 投資の対象とする特定資産以外の資産の種類
(b) the type of the assets other than the Specified Assets, which are to be the subject of investment;
五 投資信託財産(法第三条第二号に規定する投資信託財産をいう。以下この章において同じ。)の運用方針
(v) the investment policy for the Investment Trust Property (meaning the Investment Trust Property defined in Article 3, item (ii) of the Act; hereinafter the same applies in this Chapter);
六 設定予定額又は当初設定予定額
(vi) the planned amount or the initial planned amount;
七 設定日
(vii) establishment date;
八 信託契約期間
(viii) trust agreement period;
九 公募、適格機関投資家私募、特定投資家私募又は一般投資家私募の別
(ix) use of a Public Offering, Private Placement with Qualified Institutional Investors, Private Placement with Professional Investors, or Private Placement with General Investors;
十 募集(金融商品取引法第二条第三項に規定する有価証券の募集をいう。以下この章及び次章において同じ。)又は私募(同項に規定する有価証券の私募をいう。以下同じ。)の期間
(x) the period of the Public Offering (meaning the Public Offering of Securities as defined in Article 2, paragraph (3) of the Financial Instruments and Exchange Act; hereinafter the same applies in this and the following Chapters) or Private Placement (meaning the Private Placement of Securities as defined in that paragraph; the same applies hereinafter);
十一 募集の取扱い(金融商品取引法第二条第八項第九号に規定する有価証券の募集の取扱いをいう。以下同じ。)又は私募の取扱い(同号に規定する有価証券の私募の取扱いをいう。以下同じ。)を行う金融商品取引業者等(同法第三十四条に規定する金融商品取引業者等をいう。以下同じ。)の商号、名称又は氏名
(xi) the trade name or name of the Financial Instruments Business Operator, etc. (meaning the Financial Instruments Business Operator, etc. as prescribed in Article 34 of the Financial Instruments and Exchange Act; the same applies hereinafter) that handles the Dealing in Public Offering (meaning the dealing in Public Offering of Securities provided in Article 2, paragraph (8), item (ix) of that Act; the same applies hereinafter) or Dealing in Private Placement (meaning the dealing in private placement of Securities as provided in that item; the same applies hereinafter);
十二 自ら募集又は私募を行うときは、その旨
(xii) that the Financial Instruments Business Operator carries out Public Offering or Private Placement by itself, if this is the case; and
十三 その他当該投資信託約款に係る委託者指図型投資信託の特徴と認められる事項
(xiii) other particulars found to be the feature of the Investment Trust Managed under Instructions from the Settlor pertaining to the relevant Basic Terms and Conditions of the Investment Trust.
2 前項の届出書には、次に掲げる書類を添付しなければならない。
(2) The following documents must be attached to the notification under the preceding paragraph:
一 投資信託約款の案
(i) a draft of the Basic Terms and Conditions of the Investment Trust; and
二 受託会社(法第九条に規定する受託会社をいう。以下同じ。)の承諾書
(ii) written consent of the Trustee Company (meaning the Trustee Company as defined in Article 9 of the Act; the same applies hereinafter).
(投資信託約款の記載事項)
(Information Required to Be Included in the Basic Terms and Conditions of an Investment Trust)
第七条 法第四条第二項第十八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 information specified by Cabinet Office Order as referred to in Article 4, paragraph (2), item (xviii) of the Act is the following information:
一 委託者の分割による事業の全部若しくは一部の承継又は事業の全部若しくは一部の譲渡に関する事項
(i) information concerning succession of whole or part of business as a result of split of the settlor or transfer of whole or part of business;
二 受託者の辞任及び解任並びに新たな受託者の選任に関する事項
(ii) information concerning the resignation and dismissal of the trustee, as well as the appointment of a new trustee;
三 元本の追加信託をすることができる委託者指図型投資信託における信託の元本の追加に関する事項
(iii) information concerning the addition to the principal of a trust in an Investment Trust Managed under Instructions from the Settlor where additional amounts may be added to its principal;
四 投資信託契約(法第三条に規定する投資信託契約をいう。以下この章において同じ。)の一部解約に関する事項
(iv) information concerning the partial cancellation of an Investment Trust Agreement (meaning the Investment Trust Agreement defined in Article 3 of the Act; hereinafter the same applies in this Chapter);
五 委託者が運用の指図に係る権限を委託(当該委託に係る権限の一部を更に委託するものを含む。次条第八号及び第十三条第一号において同じ。)する場合におけるその委託の内容
(v) in cases where the settlor entrusts the authority to make orders for investment (including the further entrustment of part of the authority subject to the relevant entrustment; the same applies in item (viii) of the following Article and Article 13, item (i)), the details of the entrustment;
六 委託者から運用の指図に係る権限の委託を受けた者が当該権限の一部を更に委託する場合においては、当該者がその運用の指図に係る権限の一部を更に委託する者の商号又は名称(当該者が適格投資家向け投資運用業(金融商品取引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。以下同じ。)を行うことにつき同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。)及び所在の場所
(vi) in cases where the person who has accepted the entrustment of authority to make orders for investment from the settlor further entrusts part of the authority, the trade name or name and location of the person to whom the first-mentioned person further entrusts part of its authority to make orders for investment (including an indication that the first-mentioned person is a Financial Instruments Business Operator registered under Article 29 of the Financial Instruments and Exchange Act for engaging in the Investment Management Business for Qualified Investors (meaning the Investment Management Business for Qualified Investors as prescribed in Article 29-5, paragraph (1) of that Act; hereinafter the same applies), if this is the case);
七 委託者指図型投資信託の併合(法第十六条第二号に規定する委託者指図型投資信託の併合をいう。以下同じ。)に関する事項
(vii) information concerning the Consolidation of Investment Trusts Managed under Instructions from the Settlor (meaning the Consolidation of Investment Trusts Managed under Instructions from the Settlor as prescribed in Article 16, item (ii) of the Act; the same applies hereinafter);
八 受益者代理人があるときは、投資信託契約において、法第十七条第六項(法第二十条第一項において準用する場合を含む。)の規定による議決権及び法第十八条第一項(法第二十条第一項において準用する場合を含む。)の規定による受益権買取請求権を行使する権限を当該受益者代理人の権限としていない旨
(viii) in cases where there is an agent for a beneficiary, a statement to the effect that an authority to exercise voting rights under the provisions of Article 17, paragraph (6) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 20, paragraph (1) of the Act) and the right to demand purchase of beneficial interest under the provisions of Article 18, paragraph (1) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 20, paragraph (1) of the Act) is not included in the authority of the agent for the beneficiary in the Investment Trust Agreement; and
九 法第十八条第一項(法第二十条第一項において準用する場合を含む。)の規定による受益権の買取請求に関する事項
(ix) information concerning the demand for purchase of beneficial interest under the provisions of Article 18, paragraph (1) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 20, paragraph (1) of the Act).
(投資信託約款の記載事項の細目)
(Details of the Information Required to Be Included in the Basic Terms and Conditions of an Investment Trust)
第八条 法第四条第四項に規定する内閣府令で定める細目は、次の各号に掲げる事項の区分に応じ、当該各号に定めるものとする。
Article 8 The details specified by Cabinet Office Order as referred to in Article 4, paragraph (4) of the Act are as follows according to the category of information listed in the respective items:
一 法第四条第二項第五号に掲げる事項 次に掲げる事項
(i) information listed in Article 4, paragraph (2), item (v) of the Act: the following information:
イ 受益証券の記名式又は無記名式への変更及び名義書換手続に関する事項
(a) information related to the changes into a registered form or into a bearer form with regard to Beneficiary Certificates and the procedures for the entry of a name change thereon;
ロ 記名式受益証券の譲渡の対抗要件に関する事項
(b) information related to the requirements to duly assert against third parties for the transfer of registered Beneficiary Certificates; and
ハ 受益証券の再発行及びその費用に関する事項
(c) information related to the reissuance of Beneficiary Certificates and the costs thereof;
二 法第四条第二項第六号に掲げる事項 次に掲げる事項
(ii) information listed in Article 4, paragraph (2), item (vi) of the Act: the following information:
イ 資産運用の基本方針
(a) basic policy for assets investments;
ロ 投資の対象とする資産の種類
(b) type of assets which are to be the subject of investment;
ハ 投資の対象とする資産の保有割合又は保有制限を設ける場合には、その内容(投資の対象とする資産が権利である場合又はその権利の取得に係る取引の種類及び範囲並びに取得制限を設ける場合には、それぞれの内容)
(c) in cases of providing a holding ratio or holding restriction for assets which are to be the subject of investment, the details thereof (in cases where the assets which are to be the subject of investment are rights, or where specifying the type and scope of transactions related to the acquisition of such rights and imposing restrictions for such acquisition, the respective details thereof);
ニ 投資信託財産で取得した資産を貸し付ける場合には、その内容
(d) in cases where loaning the assets acquired by an Investment Trust Property, the details thereof; and
ホ 証券投資信託である場合には、その旨
(e) that the relevant trust is a Securities Investment Trust, if this is the case;
三 法第四条第二項第七号に掲げる事項 運用の指図を行う資産の種類に応じ、それぞれの評価の方法、基準及び基準日に関する事項
(iii) information listed in Article 4, paragraph (2), item (vii) of the Act: in accordance with the type of assets for which the Financial Instruments Business Operator gives orders for investment, the respective method, standard and record date for the appraisal therefor;
四 法第四条第二項第八号に掲げる事項 次に掲げる事項
(iv) information listed in Article 4, paragraph (2), item (viii) of the Act: the following information:
イ 収益分配可能額の算出方法に関する事項
(a) information concerning the method of calculation for the amount of distributable profits;
ロ 収益分配金、償還金及び一部解約金の支払時期、支払方法及び支払場所に関する事項
(b) information concerning the timing, method and place of the payment of the amount of profit distribution, amount of redemption, and amount for partial cancellation;
五 法第四条第二項第九号に掲げる事項 次に掲げる事項
(v) information listed in Article 4, paragraph (2), item (ix) of the Act: the following information:
イ 信託契約の延長事由の説明に関する事項
(a) information concerning the explanation for the grounds for extension of a trust agreement;
ロ 信託契約の解約事由の説明に関する事項
(b) information concerning the explanation for the grounds for cancellation of a trust agreement; and
ハ 委託者の登録取消しその他の場合における取扱いの説明に関する事項
(c) information concerning the explanation for the treatment of the trust agreement in cases of revocation of registration of a settlor or any other case;
六 法第四条第二項第十号に掲げる事項 計算期間及び計算期間の特例に関する事項
(vi) information listed in Article 4, paragraph (2), item (x) of the Act: information concerning the accounting period and special provisions thereon;
七 法第四条第二項第十三号に掲げる事項 借入れの目的、借入限度額及び借入金の使途に関する事項並びに借入先を適格機関投資家に限る場合には、その旨
(vii) information listed in Article 4, paragraph (2), item (xiii) of the Act: information concerning the purpose, maximum amount, and use of the borrowing, and, that lenders for the borrowings are limited to Qualifies Institutional Investors, if this is the case;
八 法第四条第二項第十五号に掲げる事項 委託の報酬の額、支払時期及び支払方法に関する事項
(viii) information listed in Article 4, paragraph (2), item (xv) of the Act: information concerning the amount of remuneration for entrustment, and the timing and method of payment thereof;
九 法第四条第二項第十七号に掲げる事項 次のイ又はロに掲げる公告の方法の区分に応じ、当該イ又はロに定める事項
(ix) information listed in Article 4, paragraph (2), item (xvii) of the Act: information specified in the following sub-item (a) or (b) according to the category of methods of public notice listed in the respective sub-items:
イ 時事に関する事項を掲載する日刊新聞紙に掲載する方法 公告を行う日刊新聞紙名
(a) the method of giving the public notice by publishing in a daily newspaper that publishes information on current affairs: the name of the daily newspaper that gives the public notice; or
ロ 電子公告(法第二十五条第一項第二号に規定する電子公告をいう。) 登記アドレス(電子公告規則(平成十八年法務省令第十四号)第二条第十三号に規定する登記アドレスをいう。第七十九条第九号ロにおいて同じ。)
(b) Electronic Public Notice (meaning the Electronic Public Notice as prescribed in Article 25, paragraph (1), item (ii) of the Act): the Registration Address (meaning the Registration Address defined in Article 2, item (xiii) of the Regulation on Electronic Public Notice (Ministry of Justice Order No. 14 of 2006); the same applies in Article 79, item (iv), sub-item (b)).
(投資信託約款の内容等を記載した書面の記載事項)
(Information Required to Be Given in the Documents Stating the Details of Basic Terms and Conditions of an Investment Trust)
第九条 法第五条第一項(法第五十四条第一項及び第五十九条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項は、次に定める事項とする。
Article 9 The information specified by Cabinet Office Order as referred to in Article 5, paragraph (1) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 54, paragraph (1) and Article 59 of the Act) is the following information:
一 投資信託財産に属する不動産(以下この号において「投資不動産」という。)に関する次に掲げる事項
(i) the following information concerning the real property which belongs to the Investment Trust Property (hereinafter referred to as the "Real Property for Investment" in this item):
イ 地域別、用途別及び賃貸の用又はそれ以外の用の別に区分した投資不動産について、各物件の名称、所在地、用途、面積、構造、所有権又はそれ以外の権利の別及び価格(投資信託約款に定める評価方法及び基準により評価した価格又は鑑定評価額、公示価格、路線価、販売公表価格その他これらに準じて公正と認められる価格をいう。ロ及びヘにおいて同じ。)
(a) with regard to the Real Property for Investment classified by area, by use, and by for lease or non-lease, the name, location, use, area, structure, whether it is held with ownership or other rights, and the Price (meaning the price as appraised by the appraisal method or standard specified in the Basic Terms and Conditions for an Investment Trust, or appraised and estimated value, posted price, road ratings, published selling price, or other price deemed to be fair in accordance thereto hereinafter the same applies in sub-items (b) and (f)), for each property;
ロ 価格の評価方法及び評価者の氏名又は名称
(b) the appraisal method of the Price as well as the name of the appraiser;
ハ 担保の内容
(c) the details of the collateral;
ニ 不動産の状況(不動産の構造、現況その他の投資不動産の価格に重要な影響を及ぼす事項をいう。ホにおいて同じ。)
(d) Status of the Real Property (meaning the structure and current status of the real property, and other information that has a material influence on the Price of the Real Property for Investment; the same applies in sub-item (e));
ホ 不動産の状況に関する第三者による調査結果の概要(行っていない場合には、その旨)及び調査者の氏名又は名称
(e) a summary of the results of the investigation on the status of the real property made by a third party (or that the investigation has not been made, if this is the case) as well as the name of the investigator;
ヘ 各物件の投資比率(当該物件の価格が全ての物件の価格の合計額に占める割合をいう。)
(f) the Investment Ratio (meaning the ratio of the Price of the relevant property to the total of the Prices of all of the property) of each property;
ト 投資不動産に関して賃貸借契約を締結した相手方(以下トにおいて「テナント」という。)がある場合には、次に掲げる事項(やむを得ない事情により記載できないものにあっては、その旨)
(g) in cases where there is a counterparty with whom a lease contract for the relevant Real Property for Investment has been concluded (hereinafter referred to as the "Tenant" in this sub-item (g)), the following information (and that some information cannot be stated due to unavoidable circumstances, if this is the case):
(1) テナントの総数、賃料収入の合計、賃貸面積の合計、賃貸可能面積の合計及び過去五年間の一定の日における稼働率(賃貸面積の合計が賃貸可能面積に占める割合をいう。以下同じ。)
1. the total number of Tenants, total lease revenue, total leased area, and total leasable area, as well as the Occupancy Rates (meaning the rate of the total leased area to the leasable area; the same applies hereinafter) on a fixed day over the most recent five years;
(2) 主要な物件(一体として使用されていると認められる土地に係る建物又は施設であって、その賃料収入の合計が全ての投資不動産に係る賃料収入の合計の百分の十以上であるものをいう。)がある場合には、当該主要な物件ごとのテナントの総数、賃料収入の合計、賃貸面積の合計、賃貸可能面積の合計及び過去五年間の一定の日における稼働率
2. in cases where there is a Major Property (meaning buildings and facilities pertaining to one piece of land which are found to be used collectively and for which the total lease revenue consists of 10 percent or more of all the lease revenues of all Real Property for Investment), the total number of Tenants, total lease revenue, total leased area, total leasable area, and Occupancy Rates on a fixed day over the most recent five years of each Major Property; and
(3) 主要なテナント(当該テナントの賃貸面積の合計が全ての投資不動産に係る賃貸面積の合計の百分の十以上であるものをいう。)がある場合には、その名称、業種、年間賃料、賃貸面積、契約満了日、契約更改の方法、敷金又は保証金その他賃貸借契約に関して特記すべき事項
3. in cases where there are Major Tenants (meaning Tenants for which the total leased area is 10 percent or more of the whole leased area of all of the Real Property for Investment), the name and type of business of the Tenant, annual lease, leased area, expiration date of the contract, method for renewing the contract, security deposit, and any other information to be noted with regard to the lease contract therefor;
二 投資再生可能エネルギー発電設備(投資信託財産に属する再生可能エネルギー発電設備(令第三条第十一号に規定する再生可能エネルギー発電設備をいう。以下同じ。)をいう。以下この号において同じ。)に関する次に掲げる事項
(ii) the following information concerning a Renewable Energy Power Generation Facilities for Investment (meaning the Renewable Energy Power Generation Facilities (meaning the Renewable Energy Power Generation Facility as prescribed in Article 3, item (xi) of the Order; the same applies hereinafter) which belongs to the Investment Trust Property; hereinafter the same applies in this item):
イ 設備の区分等(電気事業者による再生可能エネルギー電気の調達に関する特別措置法施行規則(平成二十四年経済産業省令第四十六号)第二条に規定する設備の区分等をいう。以下同じ。)の別、地域別及び賃貸の用又はそれ以外の用の別に区分した投資再生可能エネルギー発電設備について、各再生可能エネルギー発電設備の名称、所在地、構造、所有権又はそれ以外の権利の別及び価格(投資信託約款に定める評価方法及び基準により評価した価格その他これに準じて公正と認められる価格をいう。ロ及びト並びに次号イ及びロにおいて同じ。)
(a) with regard to the Renewable Energy Power Generation Facilities for Investment classified by the Classification, etc. of Facility (meaning the Classification, etc. of Facility as prescribed in Article 2 of the Regulation for Enforcement of the Act on Special Measures Concerning Procurement of Electricity from Renewable Energy Sources by Electricity Utilities (Order of the Ministry of Economy, Trade and Industry No. 46 of 2012); the same applies hereinafter), by area, and by for lease or non-lease: the name, location and structure of each Renewable Energy Power Generation Facilities, whether it is held with ownership or other rights, and its Price (meaning the price as appraised by the appraisal method or standard specified in the Basic Terms and Conditions for an Investment Trust, or any other price deemed to be fair in accordance thereto; hereinafter the same applies in sub-items (b) and (g), and the following item, sub-items (a) and (b));
ロ 価格の評価方法及び評価者の氏名又は名称
(b) the appraisal method of the Price as well as the name of the appraiser;
ハ 担保の内容
(c) the details of the collateral;
ニ 再生可能エネルギー発電設備の状況(次に掲げる場合の区分に応じ、それぞれ次に定める事項をいう。ホにおいて同じ。)
(d) Status of the Renewable Energy Power Generation Facilities (meaning the information specified according to the cases set forth below; the same applies in sub-item (e)):
(1) 投資再生可能エネルギー発電設備が認定発電設備(電気事業者による再生可能エネルギー電気の調達に関する特別措置法(平成二十三年法律第百八号)第三条第二項に規定する認定発電設備をいう。第百三十五条第三号ニにおいて同じ。)に該当する場合 再生可能エネルギー発電設備に係る特定契約(同法第四条第一項に規定する特定契約をいう。以下ニ、第二十二条第三項第八号及び第百三十五条第三号ニにおいて同じ。)の内容(特定供給者(同法第三条第二項に規定する特定供給者をいう。以下この号並びに第百三十五条第三号ニ及びヘにおいて同じ。)の名称、当該特定供給者と特定契約を締結した電気事業者(同法第二条第一項に規定する電気事業者をいう。以下ニ及び第百三十五条第三号ニにおいて同じ。)の名称、調達価格(同法第三条第一項に規定する調達価格をいう。第百三十五条第三号ニにおいて同じ。)、調達期間(同項に規定する調達期間をいう。第百三十五条第三号ニにおいて同じ。)その他当該特定契約に関する重要な事項をいう。)、再生可能エネルギー発電設備の構造、現況その他投資再生可能エネルギー発電設備の価格に重要な影響を及ぼす事項
1. in cases where the Renewable Energy Power Generation Facilities falls within the category of Certified Power Generation Facility (meaning the Certified Power Generation Facility as prescribed in Article 3, paragraph (2) of the Act on Special Measures Concerning Procurement of Electricity from Renewable Energy Sources by Electricity Utilities (Act No. 108 of 2011); the same applies in Article 135, item (iii), sub-item (d)): the details of the Specified Contract (meaning the Specified Contract as prescribed in Article 4, paragraph (1) of that Act; hereinafter the same applies in sub-item (d), Article 22, paragraph (3), item (viii), and Article 135, item (iii), sub-item (d)) relating to the Renewable Energy Power Generation Facilities (meaning the name of the Specified Supplier (meaning the Specified Supplier as prescribed in Article 3, paragraph (2) of that Act; hereinafter the same applies in this item and Article 135, item (iii), sub-items (d) and (f)), the name of the Electricity Utilities (meaning the Electricity Utilities as prescribed in Article 2, paragraph (1) of that Act; hereinafter the same applies in sub-item (d) and Article 135, item (iii), sub-item (d)) which has concluded the Specified Contract with the Specified Supplier, the Procurement Price (meaning the Procurement Price as prescribed in Article 3, paragraph (1) of that Act; the same applies in Article 135, item (iii), sub-item (d)), the Procurement Period (meaning the Procurement Period as prescribed in that paragraph; the same applies in Article 135, item (iii), sub-item (d)), and other important matters concerning the Specified Contract), the structure and current status of the Renewable Energy Power Generation Facilities, and other information that has a material influence on the Price of the Renewable Energy Power Generation Facilities for Investment; and
(2) (1)に掲げる場合以外の場合 再生可能エネルギー発電設備に係る電力受給契約(特定契約に該当するものを除く。以下(2)、第二十二条第三項第八号及び第百三十五条第三号ニにおいて同じ。)の内容(再生可能エネルギー発電設備を用いて再生可能エネルギー電気(電気事業者による再生可能エネルギー電気の調達に関する特別措置法第二条第二項に規定する再生可能エネルギー電気をいう。以下(2)及び第百三十五条第三号ニにおいて同じ。)を発電しようとする者(特定供給者に該当する者を除く。以下(2)及びヘ並びに第百三十五条第三号ニ(2)及びヘにおいて「供給者」という。)の名称、当該供給者と電力受給契約を締結した電気事業者の名称、当該電力受給契約に基づき供給される再生可能エネルギー電気の一キロワット時当たりの価格、契約期間その他当該電力受給契約に関する重要な事項をいう。)、再生可能エネルギー発電設備の構造、現況その他投資再生可能エネルギー発電設備の価格に重要な影響を及ぼす事項
2. in cases other than those set forth in 1.: the details of the Power Purchase Contract regarding the Renewable Energy Power Generation Facilities (excluding a contract falling within the category of Specified Contract; hereinafter the same applies in 2., Article 22, paragraph (3), item (viii), and Article 135, item (iii), sub-item (d)) (meaning the name of the person who intends to produce Electricity from Renewable Energy Sources (meaning the Electricity from Renewable Energy Sources as prescribed in Article 2, paragraph (2) of the Act on Special Measures Concerning Procurement of Electricity from Renewable Energy Sources by Electricity Utilities; hereinafter the same applies in 2. and Article 135, item (iii), sub-item (d)) using the Renewable Energy Power Generation Facilities) (excluding a person who falls within the category of Specified Supplier; hereinafter referred to as the "Supplier" in 2., sub-item (f), and Article 135, item (iii), sub-item (d), 2. and sub-item (f)), the name of the Electricity Utilities which has concluded the Power Purchase Contract with the Supplier, the price of Electricity from Renewable Energy Sources per kilowatt to be supplied under the Power Purchase Contract, the contract term, and other material information concerning the Power Purchase Contract), the structure and current status of the Renewable Energy Power Generation Facilities, and other information that have a material influence on the Price of the Renewable Energy Power Generation Facilities for Investment;
ホ 再生可能エネルギー発電設備の状況に関する第三者による調査結果の概要(行っていない場合には、その旨)及び調査者の氏名又は名称
(e) a summary of the results of the investigation on the status of the Renewable Energy Power Generation Facilities made by a third party (or that the investigation has not been made, if this is the case), as well as the name of the investigator;
ヘ 特定供給者又は供給者に関する事項(事業の内容、財務の状況、収益の状況、再生可能エネルギー発電設備の運営に従事する人員の状況、再生可能エネルギー発電設備の運営の実績その他特定供給者又は供給者の業務遂行能力に関する重要な事項。第百三十五条第三号ヘにおいて同じ。)
(f) the information concerning the Specified Supplier and the Supplier (the business description, financial conditions, earnings conditions, status of personnel engaged in the operation of the Renewable Energy Power Generation Facilities, record of the operation of the Renewable Energy Power Generation Facilities, and other material information concerning the Specified Supplier's or the Supplier's ability to execute business; the same applies in Article 135, item (iii), sub-item (f));
ト 各再生可能エネルギー発電設備の投資比率(当該再生可能エネルギー発電設備の価格が全ての再生可能エネルギー発電設備の価格の合計額に占める割合をいう。)
(g) the Investment Ratio of each Renewable Energy Power Generation Facilities (meaning the ratio of the Price of the relevant Renewable Energy Power Generation Facilities to the total of the Prices of all Renewable Energy Power Generation Facilities); and
チ 投資再生可能エネルギー発電設備に関して賃貸借契約を締結した相手方がある場合には、年間賃料、契約満了日、契約更改の方法、保証金その他賃貸借契約に関して特記すべき事項
(h) in cases where there is a counterparty with whom a lease contract for the Renewable Energy Power Generation Facilities for Investment has been concluded, the annual lease, expiration date of the contract, method for renewing the contract, security deposit, and any other information to be noted with regard to the lease contract;
三 投資公共施設等運営権(投資信託財産に属する公共施設等運営権(令第三条第十二号に規定する公共施設等運営権をいう。以下同じ。)をいう。以下この号において同じ。)に関する次に掲げる事項
(iii) the following information concerning a Right to Operate Public Facility, etc. for Investment (meaning the Right to Operate Public Facility, etc. (meaning the Right to Operate Public Facility, etc. as prescribed in Article 3, item (xii) of the Order; hereinafter the same applies) which belongs to the Investment Trust Property; hereinafter the same applies in this item):
イ 公共施設等(民間資金等の活用による公共施設等の整備等の促進に関する法律(平成十一年法律第百十七号)第二条第一項に規定する公共施設等をいう。以下同じ。)の種類の別及び地域別に区分した投資公共施設等運営権に係る公共施設等について、各公共施設等の名称、立地、運営等(運営及び維持管理並びにこれらに関する企画をいい、国民に対するサービスの提供を含む。以下同じ。)の内容及び公共施設等の管理者等(同条第三項に規定する公共施設等の管理者等をいう。第百三十五条第四号イ及び第二百四十六条第十項において同じ。)の名称並びに投資公共施設等運営権の存続期間及び価格
(a) with regard to the Public Facility, etc. (meaning the Public Facility, etc. as prescribed in Article 2, paragraph (1) of the Act on Promotion of Private Finance Initiative (Act No. 117 of 1999); hereinafter the same applies) covered by the Right to Operate Public Facility, etc. for Investment, classified by type of Public Facility, etc. and by area: the name, location, Operation, etc. (meaning operation and maintenance as well as planning therefor, and including the provision of services to citizens; hereinafter the same applies) of each Public Facility, etc., and the name of the Administrator, etc. of Public Facility, etc. (meaning the Administrator, etc. of Public Facility, etc. as prescribed in paragraph (3) of that Article; the same applies in Article 135, item (iv), sub-item (a) and Article 246, paragraph (10)), as well as the duration and Price of the Right to Operate Public Facility, etc. for Investment;
ロ 価格の評価方法及び評価者の氏名又は名称
(b) the appraisal method of the Price as well as the name of the appraiser;
ハ 担保の内容
(c) the details of the collateral;
ニ 公共施設等運営権の状況(公共施設等の運営等に係る委託契約の内容(契約の相手方、契約期間、年間委託費その他当該契約に関して特記すべき事項をいう。第百三十五条第四号ニにおいて同じ。)、年間運営事業収入の実績、公共施設等の現況その他投資公共施設等運営権の価格に重要な影響を及ぼす事項をいう。ホにおいて同じ。)
(d) Status of the Right to Operate Public Facility, etc. (meaning the Details of the Service Contract for the Operation, etc. of the Public Facility, etc. (meaning the counterparty to the contract, contract period, service fee, and other information to be noted with regard to the contract; the same applies in Article 135, item (iv), sub-item (d)), annual revenue from the facility business, current status of the Public Facility, etc., and other information that has a material influence on the Price of the Right to Operate Public Facility, etc. for Investment; the same applies in sub-item (e));
ホ 公共施設等運営権の状況に関する第三者による調査結果の概要(行っていない場合には、その旨)及び調査者の氏名又は名称
(e) a summary of the results of the investigation on the status of the Right to Operate Public Facility, etc. made by a third party (or that the investigation has not been made, if this is the case), as well as the name of the investigator; and
ヘ 公共施設等の運営等に係る委託契約の相手方に関する事項(事業の内容、財務の状況、収益の状況、当該公共施設等の運営等に従事する人員の状況、公共施設等の運営等の実績その他当該契約の相手方の業務遂行能力に関する重要な事項。第百三十五条第四号ヘにおいて同じ。)
(f) information Concerning the Counterparty to the Service Contract for the Operation, etc. of the Public Facility, etc. (the business description, financial conditions, earnings conditions, status of personnel engaged in the Operation, etc. of the Public Facility, etc., record of the Operation, etc. of the Public Facility, etc., and other material information concerning the counterparty's ability to execute business; the same applies in Article 135, item (iv), sub-item (f)).
(投資信託約款の内容等を記載した書面の交付を要しない場合)
(Cases Where Delivery of Documents Stating the Details of Basic Terms and Conditions for an Investment Trust Is Not Required)
第十条 法第五条第一項ただし書(法第五十四条第一項及び第五十九条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場合は、次に掲げる場合とする。
Article 10 The cases specified by Cabinet Office Order as referred to in the proviso to Article 5, paragraph (1) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 54, paragraph (1) and Article 59 of the Act) are the following cases:
一 受益証券の取得の申込みの勧誘が適格機関投資家私募により行われる場合
(i) cases where the solicitation of an application to acquire Beneficiary Certificates is made through Private Placement with Qualified Institutional Investors;
二 受益証券の取得の申込みの勧誘が特定投資家私募により行われる場合であって、その締結する投資信託契約に係る投資信託約款の内容及び前条に規定する事項に係る情報が金融商品取引法第二十七条の三十三に規定する特定証券等情報として同法第二十七条の三十一第二項又は第四項の規定により提供され、又は公表される場合
(ii) cases where the solicitation of an application to acquire Beneficiary Certificates is made through Private Placement with Professional Investors, and the information on the details of the Basic Terms and Conditions for an Investment Trust pertaining to the Investment Trust Agreement to be concluded thereby and on the matters prescribed in the preceding Article, is provided or publicized under the provisions of Article 27-31, paragraph (2) or (4) of the Financial Instruments and Exchange Act as the Specified Information on Securities, etc. prescribed in Article 27-33 of that Act;
三 受益証券を取得しようとする者が現に当該受益証券に係る委託者指図型投資信託(法第五十四条第一項において準用する場合にあっては委託者非指図型投資信託、法第五十九条において準用する場合にあっては外国投資信託)の受益証券を所有している場合
(iii) cases where the person who intends to acquire the Beneficiary Certificate actually holds the Beneficiary Certificate of an Investment Trust Managed under Instructions from the Settlor (an Investment Trust Managed without Instructions from the Settlor in the case where applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act, and a Foreign Investment Trust in the case where applied mutatis mutandis pursuant to Article 59 of the Act) related to the Beneficiary Certificate; and
四 受益証券を取得しようとする者の同居者が既に当該受益証券に係る法第五条第一項(法第五十四条第一項及び第五十九条において準用する場合を含む。)の規定による書面の交付を受け、又は確実に交付を受けると見込まれる場合であって、当該受益証券を取得しようとする者が当該書面の交付を受けないことについて同意したとき(当該受益証券を取得する時までにその同意した者から当該書面の交付の請求があった場合を除く。)。
(iv) cases where a person living with the person who intends to acquire the Beneficiary Certificate has already received the delivery of documents under Article 5, paragraph 1 of the Act (including the case where it is applied mutatis mutandis pursuant to Article 54, paragraph (1) and Article 59 of the Act) or is certainly expected to receive the delivery, and the person who intends to acquire the Beneficiary Certificate has consented not to receive the delivery of the documents (excluding cases where the consenting person requests the delivery of the documents by the time when such Beneficiary Certificate is to be acquired).
(情報通信の技術を利用する方法)
(Method of Using Information and Communications Technology)
第十一条 法第五条第二項(法第十三条第二項(法第五十四条第一項において準用する場合を含む。)、第十四条第五項(法第五十四条第一項及び第五十九条において準用する場合を含む。)、第五十四条第一項、第五十九条並びに第二百三条第三項及び第四項において準用する場合を含む。第一号において同じ。)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 11 (1) The means of using an information and communications technology as specified by Cabinet Office Order as referred to in Article 5, paragraph (2) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 13, paragraph (2) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act), Article 14, paragraph (5) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 54, paragraph (1) and Article 59 of the Act), Article 54, paragraph (1), Article 59, and Article 203, paragraphs (3) and (4) of the Act; the same applies in item (i)) are the following methods:
一 電子情報処理組織を使用する方法のうちイからニまでに掲げるもの
(i) the methods using an Electronic Data Processing System that are listed in sub-items (a) through (d):
イ 提供者等(提供者(令第十条第一項に規定する提供者をいう。以下イ及び次条第一号において同じ。)又は提供者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、これを法第五条第二項に規定する事項を提供する相手方(以下この条において「提供先」という。)若しくは提供者の用に供する者をいう。以下この条において同じ。)の使用に係る電子計算機と提供先等(提供先及び提供先との契約により顧客ファイル(専ら当該提供先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、提供先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(法第五条第二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提供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) the method of transmitting the information required to be given in the documents (hereinafter referred to as the "Information Required to Be Given" in this Article) via a telecommunications line that links the computer used by the Provider, etc. (meaning the Provider (meaning the Provider as defined in Article 10, paragraph (1) of the Order; hereinafter the same applies in this sub-item (a) and item (i) of the following Article), or a person who keeps a file on the computer managed by the same person under the contract concluded with the Provider and provides the file for the use of the other party to whom the information prescribed in Article 5, paragraph (2) of the Act is to be provided (hereinafter referred to as the "Recipient" in this Article) or for the use of the Provider; hereinafter the same applies in this Article) and a computer used by the Recipient, etc. (meaning a Recipient or a person who keeps the Customer File (meaning a file to be used exclusively by the Recipient; hereinafter the same applies in this Article) in a computer managed by the same person, under the contract concluded with a Recipient; hereinafter the same applies in this Article), and recording the Information Required to Be Given in the Customer File stored on the computer used by the Recipient, etc. (in cases where the Recipient gives consent to receive the provision of the Information Required to Be Given by the means provided in Article 5, paragraph (2) of the Act or notifies to the effect that the Recipient, etc. will not receive the provision of the Information Required to Be Given by such means, the method of recording to that effect in a file stored on the computer used by the Provider, etc. that provides the matters prescribed in that paragraph);
ロ 提供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提供先の閲覧に供し、提供先等の使用に係る電子計算機に備えられた当該提供先の顧客ファイルに当該記載事項を記録する方法(法第五条第二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、提供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) the method of offering the Information Required to Be Given which is recorded in a file stored on the computer used by the Provider, etc. to the Recipient for inspection via a telecommunications line and recording the Information Required to Be Given in the Recipient's Customer File which is stored on the computer used by the Recipient, etc. (in cases where the Recipient gives consent to receive the provision of the Information Required to Be Given by the means provided in Article 5, paragraph (2) of the Act or notifies to the effect that the Recipient, etc. will not receive the provision of the Information Required to Be Given by such means, the method of recording to that effect in a file stored on the computer used by the Provider, etc.);
ハ 提供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提供先の閲覧に供する方法
(c) the method of offering the Information Required to Be Given which is recorded in the Customer File stored on the computer used by the Provider, etc. to the Recipient for inspection via a telecommunications line; or
ニ 閲覧ファイル(提供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、同時に複数の提供先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。次項において同じ。)に記録された記載事項を電気通信回線を通じて提供先の閲覧に供する方法
(d) the method of offering the Information Required to Be Given which is recorded in an Inspection File (meaning a file stored on the computer used by the Provider, etc. which is for recording the Information Required to Be Given therein to offer them to two or more Recipients for inspection at the same time; the same applies in the following paragraph) to the Recipient for inspection via a 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) the method of delivering a file containing the Information Required to Be Given that has been prepared using media which can securely record certain information by 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 specified in the items of the preceding paragraph must conform to the following standards:
一 提供先が閲覧ファイル又は顧客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 is one that enables the Recipient to prepare documents by outputting the records in the Inspection File or the Customer File;
二 前項第一号イ、ハ又はニに掲げる方法(提供先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提供先に対し通知するものであること。ただし、提供先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) that with regard to the methods specified in item (i), sub-items (a), (c), and (d) of the preceding paragraph (excluding the method of recording the Information Required to Be Given in the Customer File stored on the computer used by the Recipient), the method is one in which the Recipient is notified that the Information Required to Be Given is to be recorded or have been recorded in the Customer File or the Inspection File; provided, however, that this does not apply to cases where it is confirmed that the Recipient has inspected the Information Required to Be Given;
三 前項第一号ハ又はニに掲げる方法にあっては、次のいずれかに該当すること。
(iii) that with regard to the method specified in item (i), sub-item (c) or (d) of the preceding paragraph, the method is any of the following;
イ 記載事項を提供先の閲覧に供した日以後五年間(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、提供先の承諾(令第十条第一項に規定する方法による承諾をいう。)を得て前項第一号イ若しくはロ若しくは第二号に掲げる方法により提供する場合又は提供先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。
(a) that the method is one in which the following information cannot be deleted or altered until five years have elapsed from the day on which the Information Required to Be Given was offered to the Recipient for inspection (if any complaints related to the Information Required to Be Given that have been raised during the time before the expiration date of such period, from such a time until either the expiration date of such period or until the day on which such complaint has been settled, whichever comes later); provided, however, that in cases where the Information Required to Be Given which is made available for inspection are to be delivered in writing, where the information is delivered by the method listed in item (i), sub-item (a) or (b) of the preceding paragraph or item (ii) of the preceding paragraph with the Consent (meaning the consent by the method prescribed in Article 10, paragraph (1) of the Order) of the Recipient, or where there are instructions by the Recipient to delete the Information Required to Be Given, the Information Required to Be Given may be deleted:
(1) 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
1. with regard to the method prescribed in item (i), sub-item (c) of the preceding paragraph, the Information Required to Be Given which is recorded in the Customer File; and
(2) 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
2. with regard to the method prescribed in item (i), sub-item (d) of the preceding paragraph, the Information Required to Be Given which is recorded in the Inspection File;
ロ 法第五条第二項(法第十四条第五項(法第五十四条第一項及び第五十九条において準用する場合を含む。)、第五十四条第一項及び第五十九条において準用する場合を含む。)の規定により記載事項を提供する場合にあっては、当該記載事項を提供先の閲覧に供した日以後五年間(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)、提供先から当該記載事項の交付の請求があった場合に、書面又は前項第一号イ若しくは第二号に掲げる方法により当該記載事項を直ちに交付するものであること。
(b) that, in cases where the Information Required to Be Given is to be provided pursuant to the provisions of Article 5, paragraph (2) (including the cases where it is applied mutatis mutandis pursuant to Article 14, paragraph (5) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 54, paragraph (1) and Article 59 of the Act), Article 54, paragraph (1) and Article 59 of the Act), the method is one in which the Information Required to Be Given is immediately delivered in writing or by the methods listed in item (i), sub-item (a) or item (ii) of the preceding paragraph, in cases where requests for the delivery of the Information Required to Be Given has been made by the Recipient within five years from the day on which the Information Required to Be Given has been offered to the Recipient for inspection (if any complaints related to the Information Required to Be Given that has been raised during the time before the expiration date of such period, from such a time until either the expiration date of such period or until the day on which such complaint has been settled, whichever comes later);
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) that with regard to the method prescribed in item (i), sub-item (d) of the preceding paragraph, the method conforms to the following requirements:
イ 提供先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 the method is one in which the information necessary for the Recipient to inspect the Inspection File is recorded in the Customer File;
ロ 前号イに掲げる基準に該当する場合にあっては、同号イに規定する期間を経過するまでの間において、イの規定により提供先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提供先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, in cases where the relevant method satisfies the requirement set forth in sub-item (a) of the preceding item, the method is one in which the Customer File recording the information necessary for a Recipient to inspect the Inspection File pursuant to the provisions of sub-item (a) and the Inspection File are maintained as connectable via a telecommunications line until the period as prescribed in sub-item (a) of the preceding item elapses; provided, however, that this does not apply to cases where a Recipient who has been given access to the files makes a notification that it is not necessary to maintain such connection.
3 第一項第一号の「電子情報処理組織」とは、提供者等の使用に係る電子計算機と、顧客ファイルを備えた提供先等又は提供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 term "Electronic Data Processing System" as used in paragraph (1), item (i) means an electronic data processing system that links the computer used by the Provider, etc. and the computer used by the Recipient, etc. or by the Provider, etc. on which the Customer File is stored via a telecommunications line.
(電磁的方法の種類及び内容)
(Types and Details of the Electronic or Magnetic Means)
第十二条 令第十条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 12 The types and details of the method to be indicated under the provisions of Article 10, paragraph (1) of the Order are the following matters:
一 前条第一項各号に規定する方法のうち提供者が使用するもの
(i) among the methods prescribed in the items of paragraph (1) of the preceding Article, the one to be used by the Provider; and
二 ファイルへの記録の方式
(ii) the method of recording the matters in the file.
(受益証券の記載事項)
(Information Required to Be Included on Beneficiary Certificates)
第十三条 法第六条第六項第十一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 13 The information specified by Cabinet Office Order as referred to in Article 6, paragraph (6), item (xi) of the Act is the following information:
一 委託者が運用の指図に係る権限を委託する場合におけるその委託の内容
(i) in cases where the settlor entrusts the authority to make orders for investment, the details of such entrustment;
二 証券投資信託のうち、次に掲げるもの以外については、投資信託約款に定める買取り又は償還の価額が当該信託の元本を下回ることとなる場合においても当該価額を超える価額によって買取り又は償還を行うことはない旨の表示
(ii) with regard to Securities Investment Trusts which are those other than the following, an indication to the effect that even if the value of purchase or redemption provided in the Basic Terms and Conditions for an Investment Trust falls below the principal of the relevant trust, purchase or redemption is not made at a value exceeding the first-mentioned value:
イ 公社債投資信託(有価証券(金融商品取引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各号に掲げる権利を除く。)については次に掲げるものに限り投資として運用すること(国債証券又は外国国債証券に係る金融商品取引法第二条第二十四項第五号に掲げる標準物についての同法第二十八条第八項第三号に掲げる取引を行うことを含む。)とされている証券投資信託をいう。第二十五条第二号において同じ。)
(a) Bond Investment Trust (only for the Securities (excluding rights listed in the items of Article 2, paragraph (2) of the Financial Instruments and Exchange Act deemed as Securities pursuant to the provisions of that paragraph) listed in the following, meaning a Securities Investment Trust created to be invested (including the transaction listed in Article 28, paragraph (8), item (iii) of the Financial Instruments and Exchange Act concerning standardized instruments set forth in Article 2, paragraph (24), item (v) of that Act which are related to national government bonds or foreign government bonds); the same applies in Article 25, item (ii)):
(1) 金融商品取引法第二条第一項第一号から第五号までに掲げる有価証券
1. the Securities set forth in Article 2, paragraph (1), items (i) through (v) of the Financial Instruments and Exchange Act;
(2) 金融商品取引法第二条第一項第十一号に規定する投資法人債券及び外国投資証券で投資法人債券に類する証券
2. the Investment Corporation Bond Certificates set forth in Article 2, paragraph (1), item (xi) of the Financial Instruments and Exchange Act, and Foreign Investment Securities set forth in that item which are securities similar to the Investment Corporation Bond Certificates;
(3) 金融商品取引法第二条第一項第十四号に規定する有価証券で、銀行、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)第一条の九各号に掲げる金融機関又は信託会社の貸付債権を信託する信託(当該信託に係る契約の際における受益者が委託者であるものに限る。)又は指定金銭信託に係るもの
3. the Securities set forth in Article 2, paragraph (1), item (xiv) of the Financial Instruments and Exchange Act which are related to a trust in which loan claims of a bank, 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), financial institutions listed in the items of Article 1-9 of the Order for Enforcement of the Financial Instruments and Exchange Act (Cabinet Order No. 321 of 1965), or a trust company are entrusted (limited to a trust in which the beneficiary at the time of conclusion of the contract for the trust is the settlor) or designated money trust;
(4) 金融商品取引法第二条第一項第十五号に掲げる有価証券
4. the Securities set forth in Article 2, paragraph (1), item (xv) of the Financial Instruments and Exchange Act;
(5) 金融商品取引法第二条第一項第十六号に掲げる有価証券
5. the Securities set forth in Article 2, paragraph (1), item (xvi) of the Financial Instruments and Exchange Act;
(6) 金融商品取引法第二条第一項第十七号に掲げる有価証券で(1)又は(3)から(5)までに掲げる有価証券の性質を有するもの
6. the Securities set forth in Article 2, paragraph (1), item (xvii) of the Financial Instruments and Exchange Act, which have the nature of the Securities set forth in the above 1. or 3. through 5.;
(7) 金融商品取引法第二条第一項第十八号に掲げる有価証券
7. the Securities set forth in Article 2, paragraph (1), item (xviii) of the Financial Instruments and Exchange Act; and
(8) 金融商品取引法施行令第一条第一号に掲げる有価証券
8. the Securities set forth in Article 1, item (i) of the Order for Enforcement of the Financial Instruments and Exchange Act;
ロ 親投資信託(その受益権を他の投資信託の受託者に取得させることを目的とする投資信託をいう。)
(b) a Mother Fund (meaning an Investment Trust created for the purpose of having its beneficial interest acquired by the trustees of another Investment Trust).
(受益権原簿記載事項)
(Information Required to Be Included in Beneficial Interest Holder Register)
第十四条 法第六条第七項において準用する信託法(平成十八年法律第百八号)第百八十六条第一号に規定する内閣府令で定める事項は、委託者指図型投資信託の名称とする。
Article 14 (1) The information specified by Cabinet Office Order as referred to in Article 186, item (i) of the Trust Act (Act No. 108 of 2006) as applied mutatis mutandis pursuant to Article 6, paragraph (7) of the Act is the name of the Investment Trust Managed under Instructions from the Settlor.
2 法第六条第七項において準用する信託法第百八十六条第五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 information specified by Cabinet Office Order as referred to in Article 186, item (v) of the Trust Act as applied mutatis mutandis pursuant to Article 6, paragraph (7) of the Act is the following information:
一 受益証券の消却の日、券種、発行枚数及び発行口数、消却枚数及び消却口数並びに残存枚数及び残存口数
(i) the day of cancellation, kind, number of issuance and number of units of issuance, and number of cancellation and number of units of cancellation as well as the number of remaining and number of units of remaining, of the beneficiary certificates;
二 信託監督人があるときは、次に掲げる事項
(ii) when there is a trust supervisor, the following information:
イ 商号、名称又は氏名及び所在の場所又は住所
(a) the trade name, name, and location or address;
ロ 信託法第百三十二条第一項ただし書又は第二項ただし書の定めがあるときは、当該定めの内容
(b) when there are provisions as prescribed in the proviso to Article 132, paragraph (1) of the Trust Act or the proviso to paragraph (2) of that Article, the details of such provisions;
三 受益者代理人があるときは、次に掲げる事項
(iii) when there is an agent for a beneficiary, the following information:
イ 商号、名称又は氏名及び所在の場所又は住所
(a) the trade name, name, and location or address;
ロ 信託法第百三十九条第一項ただし書又は第三項ただし書の定めがあるときは、当該定めの内容
(b) when there are provisions as prescribed in the proviso to Article 139, paragraph (1) of the Trust Act or the proviso to paragraph (3) of that Article, the details of such provisions;
四 信託法第百八十八条に規定する受益権原簿管理人を定めたときは、その商号、名称又は氏名及び所在の場所又は住所
(iv) when an administrator of a beneficial interest holder register as prescribed in Article 188 of the Trust Act has been specified, the trade name, name, and location or address thereof; and
五 前各号に掲げるもののほか、投資信託約款の記載事項
(v) beyond what is listed in the preceding items, the information required to be included in the Basic Terms and Conditions for an Investment Trust.
(電磁的記録に記録された事項を表示する方法)
(Method of Indicating Information Recorded in an Electronic or Magnetic Record)
第十五条 法第六条第七項において準用する信託法第百九十条第二項第二号に規定する内閣府令で定める方法は、同号の電磁的記録(法第十七条第十項に規定する電磁的記録をいう。以下同じ。)に記録された事項を紙面又は映像面に表示する方法とする。
Article 15 The method specified by Cabinet Office Order as referred to in Article 190, paragraph (2), item (ii) of the Trust Act as applied mutatis mutandis pursuant to Article 6, paragraph (7) of the Act is the method of indicating the information recorded in an Electronic or Magnetic Record (meaning the Electronic or Magnetic Record as prescribed in Article 17, paragraph (10) of the Act; the same applies hereinafter) under that item on paper or on a computer screen.
(受益者の請求によらない受益権原簿記載事項の記載等)
(Inclusion of Information Required to Be Included in Beneficial Interest Holder Register Not by the Request of Beneficiaries)
第十六条 法第六条第七項において準用する信託法第百九十七条第一項各号に掲げる場合には、委託者指図型投資信託の委託者は、当該各号の受益権の受益者に係る受益権原簿記載事項を受益権原簿に記載し、又は記録しなければならない。
Article 16 In the cases listed in the items of Article 197, paragraph (1) of the Trust Act as applied mutatis mutandis pursuant to Article 6, paragraph (7) of the Act, a settlor of an Investment Trust Managed under Instructions from the Settlor must include or record the information required to be included in the beneficial interest holder register related to the beneficiaries of the beneficial interest set forth in those items.
(受益権原簿記載事項の記載等の請求)
(Request of Inclusion of Information Required to Be Included in Beneficial Interest Holder Register)
第十七条 法第六条第七項において準用する信託法第百九十八条第二項に規定する内閣府令で定める場合は、受益権取得者(委託者指図型投資信託の受益権を委託者指図型投資信託の委託者以外の者から取得した者(当該委託者を除く。)をいう。)が受益証券を提示して請求をした場合とする。
Article 17 The cases specified by Cabinet Office Order as referred to in Article 198, paragraph (2) of the Trust Act as applied mutatis mutandis pursuant to Article 6, paragraph (7) of the Act are the case where a Beneficial Interest Acquirer (meaning a person who has acquired the beneficial interest of an Investment Trust Managed under Instructions from the Settlor from a person other than the settlor of an Investment Trust Managed under Instructions from the Settlor (excluding the relevant settlor)) makes the request by presenting the Beneficiary Certificate.
(電子署名)
(Electronic Signature)
第十八条 法第六条第七項において準用する信託法第二百二条第三項に規定する内閣府令で定める署名又は記名押印に代わる措置は、電子署名とする。
Article 18 (1) The measures in lieu of signing or affixing names and seals specified by Cabinet Office Order as referred to in Article 202, paragraph (3) of the Trust Act as applied mutatis mutandis pursuant to Article 6, paragraph (7) of the Act are Electronic Signature.
2 前項に規定する「電子署名」とは、電磁的記録に記録することができる情報について行われる措置であって、次の要件のいずれにも該当するものをいう。
(2) The term "Electronic Signature" as used in the preceding paragraph means measures implemented for information which can be recorded in an Electronic or Magnetic Record, that satisfy all of the following requirements:
一 当該情報が当該措置を行った者の作成に係るものであることを示すためのものであること。
(i) that the measure is for indication that the relevant information has been prepared by the person who implemented the relevant measure; and
二 当該情報について改変が行われていないかどうかを確認することができるものであること。
(ii) that the measure is one that enables to confirm as to whether the relevant information has been altered or not.
(金銭信託以外の委託者指図型投資信託の禁止の適用除外)
(Exclusion from Application of Prohibition on Investment Trusts Managed under Instructions from the Settlor Which Is Other Than a Money Trust)
第十九条 令第十二条第一号に規定する内閣府令で定める指標は、当該指標に係る投資信託の受益証券をその開設する取引所金融商品市場(金融商品取引法第二条第十七項に規定する取引所金融商品市場をいう。以下同じ。)に上場しようとする金融商品取引所(同法第二条第十六項に規定する金融商品取引所をいう。以下同じ。)又はその開設する店頭売買有価証券市場(同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。以下同じ。)において売買を行わせようとする認可金融商品取引業協会(同法第二条第十三項に規定する認可金融商品取引業協会をいう。以下同じ。)が、その規則で定めるところにより、次に掲げる要件の全てを満たすものとして指定しているものとする。
Article 19 (1) The indicators specified by Cabinet Office Order as referred to in Article 12, item (i) of the Order are those designated by the Financial Instruments Exchange (meaning the Financial Instruments Exchange defined in Article 2, paragraph (16) of the Financial Instruments and Exchange Act; the same applies hereinafter) which intends to list the Beneficiary Certificate of an Investment Trust related to the relevant indicator on the Financial Instruments Exchange Market (meaning the Financial Instruments Exchange Market defined in Article 2, paragraph (17) of that Act; the same applies hereinafter) established thereby, or by the Authorized Financial Instruments Firms Association (meaning the Authorized Financial Instruments Firms Association defined in Article 2, paragraph (13) of that Act; the same applies hereinafter) which intends to have such Beneficiary Certificate sold and purchased on the Over-the-Counter Securities Market (meaning the Over-the-Counter Securities Market defined in Article 67, paragraph (2) of that Act; the same applies hereinafter) as those satisfying all of the following requirements, pursuant to the provisions of their rules:
一 指標の算出方法が客観的なものであり、かつ、公正を欠くものでないこと。
(i) that the calculation method of the indicator is objective and does not lack fairness;
二 有価証券(金融商品取引法第百六十三条第一項に規定する特定有価証券等に限る。)の価格に係る指標にあっては、多数の銘柄の価格の水準を総合的に表すものであること。
(ii) that, in the case of indicator related to the price of Securities (limited to the Specified Securities, etc. defined in Article 163, paragraph (1) of the Financial Instruments and Exchange Act), the indicator is one that comprehensively shows the price level of a number of issues of Securities;
三 有価証券その他の資産の価格に係る指標で、その構成銘柄(当該有価証券その他の資産の銘柄又は種類をいう。以下同じ。)の変更があり得るものにあっては、変更の基準及び方法が公正を欠くものでないこと。
(iii) that, in the case of an indicator related to the price of Securities or other assets, and for which there is a possibility of changes to the Constituents (meaning the issue, or class or type of the relevant Securities or other assets; the same applies hereinafter) thereof, the requirement for and method of the changes does not lack fairness;
四 指標及びその算出方法が公表されているものであること。
(iv) that the indicator and the calculation method thereof are publicized;
五 有価証券その他の資産の価格に係る指標にあっては、その構成銘柄(その変更があり得る場合には、その基準及び方法を含む。)が公表されているものであること。
(v) that, in the case of indicator related to the price of Securities or other assets, the Constituents (in cases where a possibility of changes thereto exists, including the criteria and method thereof) thereof is publicized; and
六 有価証券又は商品(商品先物取引法(昭和二十五年法律第二百三十九号)第二条第一項に規定する商品をいう。以下同じ。)の価格に係る指標にあっては、当該投資信託の投資信託財産の一口当たりの純資産額の変動率を当該指標の変動率に一致させるために必要な有価証券又は商品の売買が円滑に行われると見込まれる銘柄又は種類で構成されているものであること(その構成銘柄の有価証券又は商品に対する投資として運用する場合に限る。)。
(vi) that, in the case of an indicator related to the price of Securities or Commodities (meaning the commodity as defined in Article 2, paragraph (1) of the Commodity Derivatives Act (Act No. 239 of 1950); the same applies hereinafter), the relevant indicator is composed of issues or classes for which a smooth sale and purchase of Securities or Commodities that is necessary to make the volatility of the amount of net assets per unit of Investment Trust Property of the relevant Investment Trust correspond to the volatility of the relevant indicator is expected (limited to cases where the relevant Investment Trust is invested into the Securities or Commodity that are the Constituents of the indicator).
2 令第十二条第一号及び第二号に規定する内閣府令で定める投資信託は、その受益証券の内容に照らして、当該受益証券の市場価格が連動対象指標(その投資信託財産の一口当たりの純資産額の変動率をその変動率に一致させようとする指標をいう。第九十四条及び第二百五十九条第一号において同じ。)の変動を適正に反映して形成されるために十分な流通性を確保する措置その他の措置が必要なものであって当該措置が講じられていないもの以外のものとする。
(2) The Investment Trusts specified by Cabinet Office Order as referred to in Article 12, items (i) and (ii) of the Order are, in light of the contents of the Beneficiary Certificate thereof, those other than the Investment Trust for which measures to ensure sufficient liquidity that is necessary for having the market price of the Beneficiary Certificate formed by properly reflecting the fluctuations in the Underlying Indicator (meaning an indicator for having the volatility of the amount of net assets per unit of the Investment Trust Property correspond to its volatility; the same applies in Article 94 and Article 259, item (i)) or any other measures are necessary but has not been taken.
3 令第十二条第一号イ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。
(3) The assets specified by Cabinet Office Order as referred to in Article 12, item (i), sub-item (a) of the Order are as follows:
一 次に掲げる有価証券又は金融商品取引法第二条第一項第二十号に掲げる有価証券(次に掲げる有価証券に該当するものを除く。)であって次に掲げる有価証券に係る権利を表示するもの
(i) the following Securities, or the Securities listed in Article 2, paragraph (1), item (xx) of the Financial Instruments and Exchange Act (excluding those falling under the category of Securities listed in the following sub-items) which indicate the rights pertaining to the following Securities:
イ 金融商品取引所又は外国金融商品市場(金融商品取引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。以下同じ。)に上場されている有価証券
(a) the Securities listed on a Financial Instruments Exchange or a Foreign Financial Instruments Market (meaning the Foreign Financial Instruments Market defined in Article 2, paragraph (8), item (iii), sub-item (b) of the Financial Instruments and Exchange Act; the same applies hereinafter);
ロ 店頭売買有価証券(金融商品取引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。以下同じ。)
(b) Over-the-Counter Traded Securities (meaning the Over-the-Counter Traded Securities defined in Article 2, paragraph (8), item (x) of the Financial Instruments and Exchange Act; the same applies hereinafter);
ハ イ又はロに掲げる有価証券以外の有価証券で次に掲げるもの
(c) the Securities other than those listed in sub-item (a) or (b), which are as follows:
(1) 金融商品取引法第二条第一項第一号から第五号までに掲げる有価証券(同項第十七号に掲げる有価証券でこれらの有価証券の性質を有するものを含む。)
1. the Securities set forth in Article 2, paragraph (1), items (i) through (v) of the Financial Instruments and Exchange Act (including the Securities set forth in item (xvii) of that paragraph which have the nature of those Securities);
(2) 金融商品取引法第二条第一項第九号に掲げる有価証券(同項第十七号に掲げる有価証券で当該有価証券の性質を有するものを含む。)のうち、その価格が認可金融商品取引業協会又は外国において設立されているこれと類似の性質を有する団体の定める規則に基づいて公表されているもの
2. among the Securities set forth in Article 2, paragraph (1), item (ix) of the Financial Instruments and Exchange Act (including the Securities set forth in item (xvii) of that paragraph which have the nature of those Securities), those of which the price is publicized based on the rules of an Authorized Financial Instruments Firms Association or an organization incorporated in a foreign state which has a nature similar thereto; and
(3) 金融商品取引法第二条第一項第十号、第十一号又は第十九号に掲げる有価証券
3. the Securities set forth in Article 2, paragraph (1), item (x), (xi) or (xix) of the Financial Instruments and Exchange Act;
二 商品市場(商品先物取引法第二条第九項に規定する商品市場をいう。以下同じ。)又は外国商品市場(同条第十二項に規定する外国商品市場をいう。以下同じ。)において上場されている商品(当該商品市場又は外国商品市場において当該商品及びその対価の授受を約する売買取引を行うことができるものに限る。)
(ii) a Commodity listed on a Commodity Market (meaning the Commodity Market defined in Article 2, paragraph (9) of the Commodity Derivatives Act; the same applies hereinafter) or Foreign Commodity Market (meaning Foreign Commodity Market defined in paragraph (12) of that Article; the same applies hereinafter) (limited to a Commodity for which a sale and purchase transactions promising the delivery and receipt of the Commodity or the consideration therefor may be conducted on the Commodity Market or Foreign Commodity Market).
4 令第十二条第一号イに規定する受益証券とその投資信託財産に属する有価証券又は商品との交換は、次に掲げる要件の全てを満たして行うものとする。
(4) The exchange of Beneficiary Certificates with Securities or a Commodity belonging to the Investment Trust Property thereof as referred to in Article 12, item (i), sub-item (a) of the Order is to be made by satisfying all of the following requirements:
一 当該投資信託財産に属する有価証券は、評価額をもって、それに相当する一定口数の受益証券と交換するものであること。ただし、次のイに掲げる場合には当該イに定める部分に限り受益証券をもって返還することができ、次のロに掲げる場合には当該ロに定める部分に限り金銭を交付することができる。
(i) that the Securities belonging to the relevant Investment Trust Property are to be exchanged with a certain number of units of Beneficiary Certificates equivalent thereto, based on the Appraised Value of such Securities; provide, however, that in the cases listed in the following sub-item (a), only the part prescribed therein may be returned by Beneficiary Certificates and in the cases listed in the following sub-item (b), money may be delivered only for the part prescribed therein:
イ 当該有価証券又は商品の評価額が当該一定口数の受益証券の評価額に満たない場合 その差額に相当する部分
(a) in cases where the Appraised Value of the relevant Securities or Commodity is less than the Appraised Value of the relevant Certain Number of Units of Beneficiary Certificates: the part equivalent to the difference thereof; or
ロ 当該有価証券に、その配当落ち又は権利落ち後、当該配当を受け又は当該権利を取得することができる者が確定する日に交換の申込みに応じて受益証券の受渡しが行われることとなる有価証券(株券又は投資証券に限る。以下ロにおいて同じ。)が含まれる場合 当該受益証券の受渡しが行われることとなる有価証券の評価額に相当する部分
(b) in cases where the relevant Securities include Securities for which Beneficiary Certificates are to be transferred in response to the application for exchange after they have become ex-dividends or ex-rights on the day on which the person who is entitled to such dividends or rights is fixed (limited to share certificates or Investment Securities; hereinafter the same applies in sub-item (b)): the part equivalent to the Appraised Value of the Securities for which Beneficiary Certificates are to be transferred;
二 受益者より交換の請求があった場合には、当該投資信託の委託者は受託者に対し、当該請求に係る受益証券と、その投資信託財産に属する有価証券のうち、当該投資信託財産に対する持分に相当するものとの交換を行うよう指図すること。
(ii) that, in cases where the beneficiary requests the exchange, the settlor of the relevant Investment Trust orders the trustee to exchange the Beneficiary Certificate subject to the request with the Securities belonging to the Investment Trust Property thereof which are equivalent to the equity in the Investment Trust Property.
5 令第十二条第二号ロに定める受益証券の取得は、次に掲げる要件の全てを満たして行うものとする。
(5) The acquisition of Beneficiary Certificates provided in Article 12, item (ii), sub-item (b) of the Order is to be made by satisfying all of the following requirements:
一 その運用の対象とする各銘柄又は種類の有価証券又は商品の数の構成比率に相当する比率により構成される各銘柄又は種類の有価証券又は商品(以下「各銘柄の有価証券等」という。)として運用の指図を行う投資信託委託会社が指定するものに相当する一定口数の受益証券(以下この項及び次項において「一定口数の受益証券」という。)を単位として取得するものであること。ただし、次のイ又はロに掲げる場合には、当該イ又はロに定める金銭をもって取得することができる。
(i) that the acquisition of Beneficiary Certificates is to be made by the certain number of units of Beneficiary Certificates (hereinafter referred to as the "Certain Number of Units of Beneficiary Certificates" in this paragraph and the following paragraph) equivalent to the Beneficiary Certificates designated by a Settlor Company of an Investment Trust which gives orders for investment, as the Securities or Commodity of each issue or class composed of the ratio equivalent to the composition ratio of the number of each issue or class of the Securities or Commodity which are to be the subject of the investment (hereinafter referred to as "Securities of Each Issue, etc."); provided, however, that in the cases listed in the following sub-item (a) or (b), the acquisition of the Beneficiary Certificates may be made by the money prescribed respectively therein:
イ 当該各銘柄の有価証券等に、その配当落ち又は権利落ち後、当該配当を受け又は当該権利を取得することができる者が確定する日又はその前営業日に取得の申込みに応じて受益証券の受渡しが行われることとなる有価証券(株券又は投資証券に限る。以下イにおいて同じ。)が含まれる場合 当該受益証券の受渡しが行われることとなる有価証券に相当する金銭(評価額により算出したものに限る。)及び当該有価証券を当該投資信託財産において取得するために必要な経費に相当する金銭
(a) in cases where the relevant Securities of Each Issue, etc. include Securities for which Beneficiary Certificates are to be transferred in response to the application for acquisition after they have become ex-dividends or ex-rights on the day on which the person who is entitled to such dividends or rights is fixed or on the immediately preceding business day (limited to share certificates or Investment Securities; hereinafter the same applies in sub-item (a)): money equivalent to the Securities for which Beneficiary Certificates are to be transferred (limited to those calculated by the Appraised Value) and money equivalent to the expenses necessary for acquiring the Securities for the relevant Investment Trust Property; and
ロ 当該各銘柄の有価証券等に、その募集に応じる者が発行した株式又はその親会社(会社法(平成十七年法律第八十六号)第二条第四号に規定する親会社をいう。次項第一号イにおいて同じ。)が発行した株式が含まれる場合 当該株式に相当する金銭(評価額により算出したものに限る。)及び当該株式を当該投資信託財産において取得するため必要な経費に相当する金銭
(b) in cases where the relevant Securities of Each Issue, etc. includes shares issued by a person who responds to the Public Offering or shares issued by its Parent Company (meaning the Parent Company defined in Article 2, item (iv) of the Companies Act (Act No. 86 of 2005); the same applies in item (i), sub-item (a) of the following paragraph): money equivalent to such shares (limited to those calculated by the Appraised Value) and money equivalent to the expenses necessary for acquiring the shares for the relevant Investment Trust Property;
二 当該各銘柄の有価証券等について、評価額をもって、それに相当する一定口数の受益証券を取得するものであること。ただし、当該各銘柄の有価証券等の評価額が取得する当該一定口数の受益証券の評価額に満たない場合には、その差額に相当する部分に限り金銭をもって充当することができる。
(ii) that, with regard to the relevant Securities of Each Issue, etc., the acquisition of Beneficiary Certificates are to be made by acquiring the Certain Number of Units of Beneficiary Certificates equivalent thereto, based on the Appraised Value thereof; provided, however, that in cases where the Appraised Value of the Securities of Each Issue, etc. are less than the Appraised Value of the Certain Number of Units of Beneficiary Certificates, only the part equivalent to the difference therein may be appropriated by money.
6 令第十二条第二号ハに規定する受益証券とその投資信託財産に属する有価証券又は商品との交換は、次に掲げる要件の全てを満たして行うものとする。
(6) The exchange of Beneficiary Certificates with the Securities or Commodity belonging to the Investment Trust Property thereof as provided in Article 12, item (ii), sub-item (c) of the Order is to be made by satisfying all of the following requirements:
一 当該投資信託財産に属する有価証券又は商品は、評価額をもって、それに相当する一定口数の受益証券と交換するものであること。ただし、次のイ又はロに掲げる場合には当該イ又はロのそれぞれに定める部分に限っては、受益証券をもって返還することができ、次のハに掲げる場合には当該ハに定める部分に限っては、金銭を交付することができる。
(i) that the Securities or Commodity belonging to the relevant Investment Trust Property are to be exchanged with a Certain Number of Units of Beneficiary Certificates equivalent thereto, based on the Appraised Value thereof; provided, however, that in the cases listed in the following sub-item (a) or (b), only the parts prescribed respectively therein may be returned by Beneficiary Certificates and in the cases listed in the following sub-item (c), money may be delivered only for the part prescribed therein:
イ 当該投資信託財産に属する有価証券にその交換を行う受益者が発行した株式又はその親会社が発行した株式が含まれる場合 当該株式に相当する部分
(a) cases where the Securities belonging to the relevant Investment Trust Property includes shares issued by the beneficiary which conducts the exchange thereof or shares issued by the Parent Company thereof: the part equivalent to the relevant shares; or
ロ 当該有価証券又は商品の評価額が当該一定口数の受益証券の評価額に満たない場合 その差額に相当する部分
(b) cases where the Appraised Value of the relevant Securities or Commodity is less than the Appraised Value of the relevant Certain Number of Units of Beneficiary Certificates: the part equivalent to the difference therein;
ハ 当該有価証券に、その配当落ち又は権利落ち後、当該配当を受け又は当該権利を取得することができる者が確定する日に交換の申込みに応じて受益証券の受渡しが行われることとなる有価証券(株券又は投資証券に限る。以下ハにおいて同じ。)が含まれる場合 当該受益証券の受渡しが行われることとなる有価証券の評価額に相当する部分
(c) in cases where the relevant Securities include Securities for which Beneficiary Certificates are to be transferred in response to the application for exchange after they have become ex-dividends or ex-rights on the day on which the person who is entitled to such dividends or rights is fixed (limited to share certificates or Investment Securities; hereinafter the same applies in sub-item (c)): the part equivalent to the Appraised Value of the Securities for which Beneficiary Certificates are to be transferred;
二 受益者より交換の請求があった場合には、当該投資信託の委託者は受託者に対し、当該請求に係る受益証券と、その投資信託財産に属する有価証券又は商品のうち、当該投資信託財産に対する持分に相当するものとの交換を行うよう指図すること。
(ii) that, in cases where the beneficiary requests the exchange, the settlor of the relevant Investment Trust orders the trustee to exchange the Beneficiary Certificate subject to the request with the Securities or Commodity belonging to the Investment Trust Property which are equivalent to the equity in the Investment Trust Property.
7 令第十二条第四号イに定める受益証券の取得は、金銭の額とその運用の対象とする上場有価証券等(同条第一号イに規定する上場有価証券等をいう。次項において同じ。)の評価額との合計額をもって、それに相当する一定口数の受益証券を取得するものであることとする。
(7) The acquisition of Beneficiary Certificates provided in Article 12, item (iv), sub-item (a) of the Order is to be made by acquiring the Certain Number of Units of Beneficiary Certificates equivalent to money and the Listed Securities, etc. (meaning the Listed Securities, etc. defined in the item (i), sub-item (a) of that Article; the same applies in the following paragraph) which are to be the subject of the investment, based on the sum of the amount of money and the Appraised Value of such Listed Securities, etc.
8 令第十二条第四号ロに定める受益証券とその投資信託財産に属する金銭又は上場有価証券等との交換は、次に掲げる要件の全てを満たして行うものとする。
(8) The exchange of Beneficiary Certificates with money or Listed Securities, etc. belonging to the Investment Trust Property thereof as referred to in Article 12, item (iv), sub-item (b) of the Order is to be made by satisfying all of the following requirements:
一 当該投資信託財産に属する金銭の額と上場有価証券等の評価額との合計額をもって、それに相当する一定口数の受益証券と交換するものであること。
(i) that money or Listed Securities, etc. belonging to the relevant Investment Trust Property are to be exchanged with a Certain Number of Units of Beneficiary Certificates equivalent thereto, based on the sum of the amount of money and the Appraised Value of such Listed Securities, etc.; and
二 受益者より交換の請求があった場合には、当該投資信託の委託者は受託者に対し、当該請求に係る受益証券と、その投資信託財産に属する金銭又は上場有価証券等のうち、当該投資信託財産に対する持分に相当するものとの交換を行うよう指図すること。
(ii) that, in cases where the beneficiary requests the exchange, the settlor of the relevant Investment Trust orders the trustee to exchange the Beneficiary Certificates subject to the request with money or Listed Securities, etc. belonging to the Investment Trust Property thereof which are equivalent to the equity in the Investment Trust Property.
9 前五項に規定する評価額とは、投資信託約款において定める時点における公表されている最終価格に基づき算出した価額又はこれに準ずるものとして合理的な方法により算出した価額をいう。
(9) The term "Appraised Value" as used in the preceding five paragraphs is the value calculated based on the closing price publicized at the time specified in the Basic Terms and Conditions for an Investment Trust or the value calculated by a reasonable method equivalent thereto.
10 令第十二条第三号に定める投資信託の受益権の取得は、次に掲げる要件の全てを満たして行うものとする。
(10) The acquisition of beneficial interest of an Investment Trust provided in Article 12, item (iii) of the Order is to be made by satisfying all of the following requirements:
一 当該投資信託の委託者は、当該投資信託の受益権の取得に用いる有価証券又は商品について前日の公表されている最終価格に基づき算出した価額又はこれに準ずるものとして合理的な方法により算出した価額をもって、それに相当する口数の当該投資信託の受益証券の取得を指図するものであること。
(i) that the settlor of the relevant Investment Trust is to, with the value calculated based on the closing price publicized on the immediately preceding day with regard to the Securities or Commodity used for the acquisition of beneficial interest of the Investment Trust or the value calculated by the reasonable method equivalent thereto, give orders for acquisition of the number of units of Beneficiary Certificates of the Investment Trust equivalent to such value;
二 当該投資信託とその受益権を取得しようとする他の投資信託において、それぞれの投資信託約款における法第四条第二項第六号に規定する運用に関する事項が同一性を有するものであること。
(ii) that the relevant Investment Trust and another Investment Trust which intends to acquire the beneficial interest of the relevant Investment Trust is identical in the information concerning the investment as referred to in Article 4, paragraph (2), item (vi) of the Act in their Basic Terms and Conditions for the Investment Trust.
(同一の法人の発行する株式の取得割合)
(Acquisition Ratio of Shares Issued by One Corporation)
第二十条 法第九条第二号(法第五十四条第一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率は、百分の五十とする。
Article 20 The ratio specified by Cabinet Office Order as referred to in Article 9, item (ii) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act) is fifty-hundredths.
(指図行使すべき株主権等)
(Shareholders' Rights to Be Exercised by Order)
第二十一条 法第十条第一項に規定する内閣府令で定める株主の権利は、会社法第百十六条第一項、第二百十条、第二百四十一条第二項、第二百四十七条、第七百八十五条第一項、第七百九十七条第一項及び第八百六条第一項に基づく株主の権利並びに同法第八百二十八条第一項の規定に基づき同項第四号から第十二号までに掲げる行為の無効を主張する権利とする。
Article 21 (1) The rights of shareholders specified by Cabinet Office Order as referred to in Article 10, paragraph (1) of the Act are the rights of shareholder based on the provisions of Article 116, paragraph (1), Article 210, Article 241, paragraph (2), Article 247, Article 785, paragraph (1), Article 797, paragraph (1),and Article 806, paragraph (1) of the Companies Act and the rights to assert invalidity of the acts listed in Article 828, paragraph (1), items (iv) through (xii) of that Act based on that paragraph.
2 令第十四条第一号に規定する内閣府令で定める投資主の権利は、法第百四十一条第一項、第百四十九条の三第一項、第百四十九条の八第一項、第百四十九条の十三第一項及び第八十四条第一項において準用する会社法第二百十条の規定に基づく権利並びに法第八十八条の二十三第一項において準用する会社法第八百二十八条第一項(第四号に係る部分に限る。)、第百四十二条第六項において準用する会社法第八百二十八条第一項(第五号に係る部分に限る。)及び法第百五十条において準用する会社法第八百二十八条第一項(第七号及び第八号に係る部分に限る。)の規定に基づき同項第四号、第五号、第七号及び第八号に掲げる行為の無効を主張する権利とする。
(2) The rights of Investors specified by Cabinet Office Order as referred to in Article 14, item (i) of the Order are the rights based on the provisions of Article 141, paragraph (1), Article 149-3, paragraph (1), Article 149-8, paragraph (1), Article 149-13, paragraph (1) of the Act, and Article 210 of the Companies Act as applied mutatis mutandis pursuant to Article 84, paragraph (1) of the Act and the right to assert the invalidity of the acts listed in Article 828, paragraph (1), items (iv), (v), (vii), and (viii) of the Companies Act based on the provisions of Article 828, paragraph (1) of the Companies Act (limited to the part pertaining to item (iv)) as applied mutatis mutandis pursuant to Article 88-23, paragraph (1) of the Act, the provisions of Article 828, paragraph (1) of the Companies Act (limited to the part pertaining to item (v)) as applied mutatis mutandis pursuant to Article 142, paragraph (6), and the provisions of Article 828, paragraph (1) of the Companies Act (limited to the part pertaining to items (vii) and (viii)) as applied mutatis mutandis pursuant to Article 150 of the Act.
3 令第十四条第二号に規定する内閣府令で定める優先出資者の権利は、協同組織金融機関の優先出資に関する法律第二十二条第五項(第一号及び第二号に係る部分に限る。)及び同法第十四条第一項において準用する会社法第二百十条の規定に基づく権利とする。
(3) The rights of preferred equity investors specified by Cabinet Office Order as referred to in Article 14, item (ii) of the Order are the rights based on the provisions of Article 22, paragraph (5) of the Act on Preferred Equity Investment by Cooperative Structured Financial Institutions (limited to the parts pertaining to items (i) and (ii)), and the provisions of Article 210 of the Companies Act as applied mutatis mutandis pursuant to Article 14, paragraph (1) of the Act on Preferred Equity Investment by Cooperative Structured Financial Institutions.
4 令第十四条第三号に規定する内閣府令で定める優先出資社員の権利は、資産の流動化に関する法律(平成十年法律第百五号。以下「資産流動化法」という。)第百五十三条第一項及び資産流動化法第四十二条第五項において準用する会社法第二百十条の規定に基づく権利並びに資産流動化法第百十二条において準用する会社法第八百二十八条第一項(第五号に係る部分に限る。)の規定に基づき同号に掲げる行為の無効を主張する権利とする。
(4) The rights of preferred equity members specified by Cabinet Office Order as referred to in Article 14, item (iii) of the Order are the rights based on the provisions of Article 153, paragraph (1) of the Act on Securitization of Assets (Act No. 105 of 1998; hereinafter referred to as the "Asset Securitization Act"), and the provisions of Article 210 of the Companies Act as applied mutatis mutandis pursuant to Article 42, paragraph (5) of the Asset Securitization Act, as well as the rights to assert the invalidity of the acts listed in Article 828, paragraph (1), item (v) of the Companies Act based on that paragraph (limited to the part pertaining to item (v)) as applied mutatis mutandis pursuant to Article 112 of the Asset Securitization Act.
(特定資産に係る不動産の鑑定評価)
(Appraisal of Real Property Pertaining to Specified Assets)
第二十一条の二 法第十一条第一項の規定による不動産の鑑定評価は、不動産鑑定士であって次に掲げる者以外のものに行わせるものとする。
Article 21-2 An appraisal of real property under Article 11, paragraph (1) of the Act is to be assigned to a real estate appraiser who does not fall under any of the following:
一 当該投資信託委託会社の利害関係人等(法第十一条第一項に規定する利害関係人等をいう。)
(i) an interested person or other close affiliate of the Settlor Company of the relevant Investment Trust (meaning the interested person or other close affiliate as prescribed in Article 11, paragraph (1) of the Act);
二 受託会社の利害関係人等(令第十八条に規定する利害関係人等をいう。)
(ii) an interested person or other close affiliate of the Trustee Company (meaning the interested person or other close affiliate as prescribed in Article 18 of the Order);
三 当該投資信託委託会社又は受託会社の役員(役員が法人であるときは、その社員。第八十五条の二第二号及び第二百四十四条の二第三号において同じ。)又は使用人
(iii) an officer of the Settlor Company of the relevant Investment Trust or the Trustee Company (if an officer is a corporation, its employee; the same applies in Article 85-2, item (ii) and Article 244-2, item (iii)) or employee of the same; or
四 不動産の鑑定評価に関する法律(昭和三十八年法律第百五十二号)の規定により、法第十一条第一項の規定による不動産の鑑定評価に係る業務をすることができない者
(iv) a person who is, pursuant to the provisions of the Act on Real Estate Appraisal (Act No. 152 of 1963), unqualified to engage in the business concerning an appraisal of real property under Article 11, paragraph (1) of the Act.
(指定資産等)
(Designated Assets)
第二十二条 法第十一条第二項(法第五十四条第一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資産は、次に掲げるものとする。
Article 22 (1) The assets specified by Cabinet Office Order as referred to in Article 11, paragraph (2) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act) are as follows:
一 次に掲げる有価証券及び金融商品取引法第二条第一項第二十号に掲げる有価証券(次に掲げる有価証券に該当するものを除く。)であって次に掲げる有価証券に係る権利を表示するもの
(i) the following Securities, and the Securities set forth in Article 2, paragraph (1), item (xx) of the Financial Instruments and Exchange Act (excluding those falling under the category of Securities listed in the following sub-items) which indicate the rights pertaining to the following Securities:
イ 金融商品取引所又は外国金融商品市場に上場されている有価証券
(a) the Securities listed on a Financial Instruments Exchange or Foreign Financial Instruments Market;
ロ 店頭売買有価証券
(b) Over-the-Counter Traded Securities;
ハ イ及びロに掲げる有価証券以外の有価証券で、次に掲げるもの
(c) the Securities other than those listed in sub-items (a) and (b), which are as follows:
(1) 金融商品取引法第二条第一項第一号から第五号まで、第十二号、第十三号及び第十五号に掲げる有価証券(同項第十七号に掲げる有価証券でこれらの有価証券の性質を有するものを含む。)
1. the Securities set forth in Article 2, paragraph (1), items (i) through (v), (xii), (xiii), (xv) of the Financial Instruments and Exchange Act (including the Securities set forth in item (xvii) of that paragraph which have the nature of those Securities);
(2) 金融商品取引法第二条第一項第九号に掲げる有価証券(同項第十七号に掲げる有価証券で当該有価証券の性質を有するものを含む。)のうち、その価格が認可金融商品取引業協会又は外国において設立されているこれと類似の性質を有する団体の定める規則に基づいて公表されているもの
2. among the Securities set forth in Article 2, paragraph (1), item (ix) of the Financial Instruments and Exchange Act (including the Securities set forth in item (xvii) of that paragraph which have the nature of those Securities), those of which the price is publicized based on the rules of an Authorized Financial Instruments Firms Association or an organization incorporated in a foreign state which has a nature similar thereto;
(3) 金融商品取引法第二条第一項第十号、第十一号及び第十九号に掲げる有価証券
3. the Securities set forth in Article 2, paragraph (1), item (x), (xi) or (xix) of the Financial Instruments and Exchange Act; and
(4) 金融商品取引法施行令第一条第一号に掲げる有価証券
4. the Securities set forth in Article 1, item (i) of the Order for Enforcement of the Financial Instruments and Exchange Act;
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)第六条の規定により元本の補填の契約をした金銭信託の受益権(前号に掲げるものに該当するものを除く。)
(ii) a beneficial interest of a money trust for which a contract for compensating the principal is concluded pursuant to the provisions of Article 6 of the Act on Engagement in Trust Business by a Financial Institution (Act No. 43 of 1943) (excluding those falling under the category listed in the preceding item);
三 市場デリバティブ取引(金融商品取引法第二条第二十一項に規定する市場デリバティブ取引をいう。)に係る権利
(iii) rights pertaining to Market Transactions of Derivatives (meaning the Market Transactions of Derivatives defined in Article 2, paragraph (21) of the Financial Instruments and Exchange Act);
四 店頭デリバティブ取引(金融商品取引法第二条第二十二項に規定する店頭デリバティブ取引をいい、当該取引に係る条件が金融商品取引所の規則又は金融商品取引清算機関(同条第二十九項に規定する金融商品取引清算機関をいう。)の業務方法書に定める取引に係る条件と同様のものに限る。)に係る権利
(iv) rights pertaining to Over-the-Counter Derivatives Transactions (meaning the Over-the-Counter Derivatives Transactions referred to in Article 2, paragraph (22) of the Financial Instruments and Exchange Act; limited to those whose terms and conditions are the same as the terms and conditions of transactions prescribed in the rules of a Financial Instruments Exchange or the business rules of a Financial Instruments Clearing Organization (meaning the Financial Instruments Clearing Organization defined in paragraph(29) of that Article));
五 外国市場デリバティブ取引(金融商品取引法第二条第二十三項に規定する外国市場デリバティブ取引をいう。)に係る権利
(v) rights pertaining to Foreign Market Derivatives Transactions (meaning the Foreign Market Derivatives Transactions defined in Article 2, paragraph (23) of the Financial Instruments and Exchange Act);
六 金銭債権(令第三条第七号に掲げるものをいい、コールローンに係るもの、譲渡性預金証書をもって表示されるもの又は銀行若しくは第百十二条第一号から第七号までに掲げる金融機関への預金若しくは貯金に係るものに限る。)
(vi) Monetary Claim (meaning those listed in Article 3, item (vii) of the Order, and limited to those pertaining to call loans, those indicated by negotiable certificates of deposit, and those pertaining to deposits or savings made to a bank or the financial institutions listed in Article 112, items (i) through (vii));
七 商品市場又は外国商品市場において上場されている商品(当該商品市場又は外国商品市場において当該商品及びその対価の授受を約する売買取引を行うことができるものに限る。)
(vii) a Commodity listed on a Commodity Market or Foreign Commodity Market (limited to a Commodity for which a sale and purchase transaction promising the delivery and receipt of the Commodity or the consideration therefor may be conducted on the Commodity Market or Foreign Commodity Market); and
八 商品投資取引(令第三条第十号イに規定する商品投資取引をいい、商品市場又は外国商品市場において行う取引に限る。以下同じ。)に係る権利
(viii) rights pertaining to Transactions of Commodities Investment, etc. (meaning the Transactions of Commodities Investment, etc. as prescribed in Article 3, item (x), sub-item (a) of the Order, and limited to transactions made on a Commodity Market or Foreign Commodity Market; the same applies hereinafter).
2 法第十一条第二項(法第五十四条第一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行為は、次に掲げる行為とする。
(2) The acts specified by Cabinet Office Order as referred to in Article 11, paragraph (2) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act) are the following acts:
一 有価証券(令第十六条の二第二号並びに前項第一号及び第二号に掲げるものを除く。次項第一号において同じ。)の取得及び譲渡並びに貸借
(i) acquisition and transfer as well as lending and borrowing of Securities (excluding those listed in Article 16-2, item (ii) of the Order and items (i) and (ii) of the preceding paragraph; the same applies in item (i) of the following paragraph);
二 店頭デリバティブ取引(金融商品取引法第二条第二十二項に規定する店頭デリバティブ取引をいい、前項第四号に掲げるものを除く。次項第二号において同じ。)
(ii) Over-the-Counter Transactions of Derivatives (meaning the Over-the-Counter Transactions of Derivatives referred to in Article 2, paragraph (22) of the Financial Instruments and Exchange Act and excluding those listed in item (iv) of the preceding paragraph; the same applies in item (ii) of the following paragraph);
三 約束手形(令第三条第六号に掲げるものをいう。以下同じ。)の取得及び譲渡
(iii) acquisition and transfer of Promissory Notes (meaning those listed in Article 3, item (vi) of the Order; the same applies hereinafter);
四 金銭債権(令第三条第七号に掲げるものをいい、前項第六号に掲げるものを除く。次項第四号において同じ。)の取得及び譲渡
(iv) acquisition and transfer of Monetary Claims (meaning those listed in Article 3, item (vii) of the Order, and excluding those listed in item (vi) of the preceding paragraph; the same applies in item (iv) of the following paragraph);
五 匿名組合出資持分(令第三条第八号に規定する匿名組合出資持分をいう。以下同じ。)の取得及び譲渡
(v) acquisition and transfer of Equity in Investment in a Silent Partnership (meaning the Equity in Investment in a Silent Partnership defined in Article 3, item (viii) of the Order; the same applies hereinafter);
六 商品(前項第七号に掲げるものを除く。次項第六号において同じ。)の取得及び譲渡並びに貸借
(vi) acquisition and transfer of Commodities (excluding those listed in item (vii) of the preceding paragraph; the same applies in item (vi) of the following paragraph);
七 商品投資等取引(令第三条第十号に規定する商品投資等取引をいい、前項第八号に掲げる商品投資取引を除く。次項第七号において同じ。)
(vii) Transactions Related to Commodities Investment, etc. (meaning the Transactions Related to Commodities Investment, etc. as prescribed in Article 3, item (x) of the Order and excluding the Transactions Related to Commodities Investment set forth in item (viii) of the preceding paragraph; the same applies in item (vii) of the following paragraph);
八 再生可能エネルギー発電設備の取得及び譲渡
(viii) acquisition and transfer of a Renewable Energy Power Generation Facilities; and
九 公共施設等運営権の取得及び譲渡
(ix) acquisition and transfer of a Right to Operate Public Facility, etc.
3 法第十一条第二項(法第五十四条第一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項は、次の各号に掲げる特定資産の区分に応じ、当該各号に定める事項とする。
(3) The matters specified by Cabinet Office Order as referred to in Article 11, paragraph (2) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act) are the matters specified in the following matters according to the category of Specified Assets set forth in the respective items:
一 有価証券 銘柄、数量、信託に係る信託財産を特定するために必要な事項その他当該有価証券の内容に関すること。
(i) Securities: matters necessary to specify the issue, volume, and trust property pertaining to the trust and other matters related to the contents of the Security;
二 店頭デリバティブ取引に係る権利 取引の相手方の名称、銘柄、約定数値(金融商品取引法第二条第二十一項第二号に規定する約定数値をいう。第二百四十六条第一項第二号ハにおいて同じ。)、金融商品(同法第二条第二十四項に規定する金融商品をいう。)又は金融指標(同条第二十五項に規定する金融指標をいう。)の種類、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。第七号において同じ。)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。同号において同じ。)の別、権利行使価格、権利行使期間、取引期間その他の当該店頭デリバティブ取引の内容に関すること。
(ii) rights pertaining to Over-the-Counter Transactions of Derivatives: the name of the counterparty to the transaction, issue, the Agreed Figure (meaning the Agreed Figure defined in Article 2, paragraph (21), item (ii) of the Financial Instruments and Exchange Act; the same applies in Article 246, paragraph (1), item (ii), sub-item (c)), kind of Financial Instrument (meaning the Financial Instruments defined in Article 2, paragraph (24) of that Act) or Financial Indicator (meaning the Financial Indicator defined in paragraph (25) of that Article), information as to whether it is a Put Option (meaning Options whereby the party acquires the position as a seller by the exercise of rights; the same applies in item (vii)) or a Call Option (meaning Options whereby the party acquires the position as a buyer by the exercise of rights; the same applies in item (vii)), the exercise price, exercise period, transaction period and other matters related to the contents of the relevant Over-the-Counter Transactions of Derivatives;
三 約束手形 約束手形上の債務者、保証の設定状況その他の当該約束手形の内容に関すること。
(iii) Promissory Notes: the obligor on the Promissory Note, the state of establishment of the guarantee, and other matters related to the contents of the relevant Promissory Note;
四 金銭債権 金銭債権の種類、債権者及び債務者の氏名及び住所、担保の設定状況その他の当該金銭債権の内容に関すること。
(iv) Monetary Claims: the type of monetary claim, the names and addresses of the creditor and debtor, the state of establishment of the collateral, and other matters related to the contents of the relevant Monetary Claims;
五 匿名組合出資持分 匿名組合契約に係る営業財産に関する前各号、第八号及び第九号に掲げる事項並びに当該匿名組合契約の内容及び営業者に関すること。
(v) Equity in Investment in a Silent Partnership: the matters listed in the preceding items, item (viii) and item (ix) related the business property of the Silent Partnership Agreement as well as the matters related to the contents of the Silent Partnership Agreement and the business operator thereof;
六 商品 種類、数量その他当該商品の内容に関すること。
(vi) Commodity: the type, volume, and other matters related to the contents of the relevant Commodity;
七 商品投資等取引に係る権利 取引の相手方の名称、銘柄、約定価格(商品先物取引法第二条第三項第二号に規定する約定価格をいう。第二百四十六条第六項において同じ。)又は約定数値(同法第二条第三項第三号に規定する約定数値をいう。第二百四十六条第六項において同じ。)、商品又は商品指数(第二条第二項に規定する商品指数をいう。第二百四十六条第六項第一号において同じ。)の種類、プット又はコールの別、権利行使価格、権利行使期間、取引期間その他の当該商品投資等取引の内容に関すること。
(vii) rights pertaining to Transactions Related to Commodities Investment, etc.: the name of the counterparty to the transaction, issue, Contract Price (meaning the Contract Price defined in Article 2, paragraph (3), item (ii) of the Commodity Derivatives Act; the same applies in Article 246, paragraph (6)) or Agreed Figure (meaning the Agreed Figure defined in Article 2, paragraph (3), item (iii) of that Act; the same applies in Article 246, paragraph (6)), types of Commodity or Commodity Index (meaning the Commodity Index defined in Article 2, paragraph (2) of that Act; the same applies in Article 246, paragraph (6), item (i)), information on as to whether it is a Put Option or Call Option, exercise price, exercise period, transaction period and other matters related to the contents of the Transactions Related to Commodities Investment, etc.;
八 再生可能エネルギー発電設備 取引の相手方の名称、当該再生可能エネルギー発電設備の用に供する土地の所在及び地番、当該再生可能エネルギー発電設備の設備の区分等その他当該再生可能エネルギー発電設備の内容に関すること並びに当該再生可能エネルギー発電設備に係る特定契約又は電力受給契約の内容に関すること。
(viii) a Renewable Energy Power Generation Facilities: the name of the counterparty to the transaction, location and parcel number of the land used for the Renewable Energy Power Generation Facilities, Classification, etc., of the Renewable Energy Power Generation Facilities, and other details of the Renewable Energy Power Generation Facilities, as well as the details of the Specified Contract or Power Purchase Contract relevant to the Renewable Energy Power Generation Facilities; and
九 公共施設等運営権 取引の相手方の名称、当該公共施設等運営権に係る公共施設等の所在及び地番その他当該公共施設等の内容に関すること並びに当該公共施設等の運営等に係る委託契約の内容に関すること。
(ix) a Right to Operate Public Facility, etc.: the name of the counterparty to the transaction, location and parcel number of the Public Facility, etc. covered by the Right to Operate Public Facility, etc., and other details of the Public Facility, etc., as well as the details of the service contract for the Operation, etc. of the Public Facility, etc.
(利益相反のおそれがある場合の受益者等への書面の交付)
(Deliver of Documents to Beneficiaries When Conflict of Interests Is Likely to Occur)
第二十三条 法第十三条第一項に規定する同項各号に掲げる取引に係る書面の交付は、次に掲げる事項について記載した書面により行わなければならない。
Article 23 (1) The delivery of documents in relation to the transactions listed in the items of Article 13, paragraph (1) of the Act as referred to in that paragraph must be made by the documents containing the following information:
一 当該取引に係る委託者指図型投資信託の名称
(i) the name of the Investment Trust Managed under Instructions from the Settlor related to the relevant transaction;
二 書面の交付を行う理由(当該取引の相手方と当該投資信託委託会社の関係を含む。)
(ii) the reasons for delivering the document (including the relationship between the counterparty to the relevant transactions and the relevant Settlor Company of an Investment Trust);
三 取引を行った理由
(iii) the reasons for conducting the transaction;
四 取引の内容(取引を行った特定資産の種類、銘柄(その他の特定資産を特定するために必要な事項)、数及び取引価格、取引の方法並びに取引を行った年月日)
(iv) the details of the transaction (type, issue (other information necessary for specifying the Specified Assets), and number of the Specified Assets for which a transaction has been conducted, as well as the price and method of transaction, and the date on which the transaction was conducted);
五 法第十一条第一項の鑑定評価又は同条第二項の調査の結果
(v) the results of the appraisal under Article 11, paragraph (1) of the Act or the investigation under paragraph (2) of that Article;
六 当該書面の交付年月日
(vi) the date of delivery of the document; and
七 その他参考になる事項
(vii) other information that will serve as a reference.
2 投資信託委託会社は、法第十三条第一項各号に掲げる取引が行われたときは、遅滞なく、前項各号に掲げる事項を記載した書面を交付しなければならない。
(2) When the transactions listed in the items of Article 13, paragraph (1) of the Act has been conducted, a Settlor Company of an Investment Trust must deliver the documents containing the information listed in the items of the preceding paragraph without delay.
3 投資信託委託会社は、投資信託財産についてその受益証券の取得の申込みの勧誘が公募の方法により行われた場合にあっては、第一項各号に掲げる事項を記載した書面を作成し、これを法第十三条第一項に規定する受益者(令第十九条第一項に規定する者を除く。以下この項において同じ。)に交付することに代えて、法第十三条第一項各号に掲げる取引が行われた後、遅滞なく、当該事項を公告し、かつ、当該事項を記載した当該取引が行われた後最初に到来する作成期日(法第十四条第一項に規定する作成期日をいう。第二十五条の三及び第二百四十八条第三項において同じ。)に係る法第十四条第一項に規定する運用報告書を法第十三条第一項に規定する受益者に対して交付することができる。
(3) In cases where solicitation of applications to acquire Beneficiary Certificates pertaining to the Investment Trust Property is done by Public Offering, a Settlor Company of an Investment Trust may, in lieu of preparing a document containing the information listed in the items of paragraph (1) and delivering it to the beneficiaries provided in Article 13, paragraph (1) of the Act (excluding those provided in Article 19, paragraph (1) of the Order; hereinafter the same applies in this paragraph), give public notice of the information promptly after any of the transactions listed in the items of Article 13, paragraph (1) of the Act has been carried out and deliver the investment report provided in Article 14, paragraph (1) of the Act containing the information pertaining to the first Preparation Date (meaning the Preparation Date defined in Article 14, paragraph (1) of the Act; hereinafter the same applies in Article 25-3 and Article 248, paragraph (3)) arrived after the transaction is carried out to the beneficiaries provided in Article 13, paragraph (1) of the Act.
(利益相反のおそれがある場合の書面の交付を要する顧客等)
(Customers to Whom Documents Are Required to Be Delivered When Conflict of Interest Is Likely to Occur)
第二十四条 令第十九条第四項第五号に規定する内閣府令で定める顧客は、次に掲げるものとする。
Article 24 (1) The customers specified by Cabinet Office Order as referred to in Article 19, paragraph (4), item (v) of the Order are as follows:
一 投資信託委託会社が投資信託財産の宅地又は建物の売買又は貸借の代理又は媒介を行う場合における取引の相手方
(i) the counterparty to the transactions in cases where the Settlor Company of an Investment Trust conducts sale or purchase of housing land or building of the Investment Trust Property, or provides agent or intermediary service therefor;
二 投資信託委託会社が投資信託財産の特定資産に係る投資に関し助言を行う場合において、当該助言に基づき行われる当該特定資産の取引の相手方
(ii) in cases where the Settlor Company of an Investment Trust gives advice with regard to the investment related to the Specified Assets of an Investment Trust Property, the counterparty to the transaction of the Specified Assets to be conducted based on the advice.
2 令第十九条第五項第一号に規定する内閣府令で定める有価証券は、第二十二条第一項第一号及び第二号に掲げるもの以外の有価証券とする。
(2) The Securities specified by Cabinet Office Order as referred to in Article 19, paragraph (5), item (i) of the Order are Securities other than those set forth in Article 22, paragraph (1), items (i) and (ii).
3 令第十九条第五項第四号に規定する内閣府令で定める金融機関は、第百十二条第一号から第七号までに掲げるものとする。
(3) The financial institutions specified by Cabinet Office Order as referred to in Article 19, paragraph (5), item (iv) of the Order are those set forth in Article 112, items (i) through (vii).
4 令第十九条第五項第六号に規定する内閣府令で定める商品は、第二十二条第一項第七号に掲げるもの以外の商品とする。
(4) The Commodities specified by Cabinet Office Order as referred to in Article 19, paragraph (5), item (vi) of the Order are Commodities other than those set forth in Article 22, paragraph (1), item (vii).
5 令第十九条第五項第七号に規定する内閣府令で定める取引は、第二十二条第一項第八号に掲げる取引以外の商品投資等取引(令第三条第十号に規定する商品投資等取引をいう。以下同じ。)とする。
(5) The transactions specified by Cabinet Office Order as referred to in Article 19, paragraph (5), item (vii) of the Order are Transactions Related to Commodities Investment, etc. (meaning the Transactions Related to Commodities Investment, etc. as prescribed in Article 3, item (x) of the Order; the same applies hereinafter) other than the transactions set forth in Article 22, paragraph (1), item (viii).
(運用報告書の交付を要しない場合)
(Cases Where Delivery of Investment Reports Is Not Required)
第二十五条 法第十四条第一項第三号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 25 The cases specified by Cabinet Office Order as referred to in Article 14, paragraph (1), item (iii) of the Act are the following cases:
一 受益証券が金融商品取引所に上場されている場合(受益証券が金融商品取引法第二条第三十三項に規定する特定上場有価証券である場合を除く。)
(i) cases where the Beneficiary Certificates are listed on a Financial Instruments Exchange (excluding cases where the Beneficiary Certificates are Specified Listed Securities defined in Article 2, paragraph (33) of the Financial Instruments and Exchange Act);
二 計算期間が一日の投資信託財産であって、かつ、投資信託約款において次に掲げる事項のすべてを定めている公社債投資信託に係るものである場合
(ii) cases where the relevant Investment Trust Property is one of which the accounting period is one day, and is related to the Bond Investment Trust which specifies all of the following matters in the Basic Terms and Conditions for an Investment Trust:
イ 投資信託財産の運用の対象となる資産は、次に掲げる資産(以下この号において「有価証券等」という。)とすること。
(a) that the assets which are to be the subject of investment of the Investment Trust Property are the following assets (hereinafter referred to as the "Securities, etc." in this item):
(1) 第十三条第二号イ(1)から(4)まで、(7)及び(8)に掲げるもの
1. the Securities set forth in Article 13, item (ii), sub-item (a) 1. through 4., 7., and 8.;
(2) 金融商品取引法第二条第一項第十七号に掲げる有価証券で第十三条第二号イ(1)、(3)又は(4)に掲げる有価証券の性質を有するもの
2. the Securities set forth in Article 2, paragraph (1), item (xvii) of the Financial Instruments and Exchange Act which have the nature of the Securities set forth in Article 13, item (ii), sub-item (a) 1., 3., or 4.;
(3) 銀行、協同組織金融機関の優先出資に関する法律第二条第一項に規定する協同組織金融機関及び金融商品取引法施行令第一条の九各号に掲げる金融機関又は信託会社の貸付債権を信託する信託(当該信託に係る契約の際における受益者が委託者であるものに限る。)の受益権
3. a beneficial interest of a trust in which Monetary Claims of a bank, Cooperative Structured Financial Institution defined in Article 2, paragraph (1) of the Act on Preferred Equity Investment by Cooperative Structured Financial Institutions, and financial institutions listed in the items of Article 1-9 of the Order for Enforcement of the Financial Instruments and Exchange Act, or a Trust Company is entrusted (limited to a trust in which the beneficiary at the time of conclusion of the contract for the trust is the settlor);
(4) 外国の者に対する権利で(3)に掲げるものの性質を有するもの
4. rights which are claimable against a foreign national which have the nature of the beneficial interest listed in 3. above;
(5) 指定金銭信託
5. designated money trust;
(6) 預金
6. deposits;
(7) 手形((1)に該当するものを除く。)
7. negotiable instrument (excluding those falling under the category of Securities listed in 1. above); or
(8) コールローン
8. call loans;
ロ 投資信託財産の運用の対象となる有価証券等は、償還又は満期までの期間(ハにおいて「残存期間」という。)が一年を超えないものであること。
(b) that the Securities, etc. which are to be the subject of investment of the Investment Trust Property are those for which the period until the redemption or maturity (referred to as the "Remaining Period" in sub-item (c)) is no longer than one year;
ハ 投資信託財産に組み入れる有価証券等の平均残存期間(一の有価証券等の残存期間に当該有価証券等の組入額を乗じて得た額の合計額を、当該有価証券等の組入額の合計額で除して得た期間をいう。)が九十日を超えないこと。
(c) that the Average Remaining Period (meaning the period obtained by dividing the total of the amounts obtained by multiplying the remaining period of each Security, etc. by its amount to be incorporated, by the total amount to be incorporated of the relevant Securities, etc.) of the Securities, etc. which are to be incorporated into the Investment Trust Property does not exceed 90 days;
ニ 投資信託財産の総額のうちに一の法人その他の団体(ホにおいて「法人等」という。)が発行し、又は取り扱う有価証券等(国債証券、政府保証債(その元本の償還及び利息の支払について政府が保証する債券をいう。)及び返済までの期間(貸付けを行う受託会社が休業している日を除く。)が五日以内のコールローン(ホ及びトにおいて「特定コールローン」という。)を除く。)の当該総額の計算の基礎となった価額の占める割合が、百分の五以下であること。
(d) that, with regard to the value of the Securities, etc. (excluding national government bonds, Government Guaranteed Bonds (meaning bond certificates for which the government guarantees the redemption of the principal and the payment of interest thereof), and call loans of which the period of repayment (excluding days on which the trustee company providing loans is closed) is within five days (such call loans are referred to as the "Specified Call Loans" in sub-item (e))) issued or handled by a single corporation or other organizations (collectively referred to as the "Corporation, etc." in the following sub-item (e)) which has been the basis for the calculation of the total amount of Investment Trust Property, the ratio of such value to the total amount is five-hundredths or less;
ホ 投資信託財産の総額のうちに一の法人等が取り扱う特定コールローンの当該総額の計算の基礎となった価額の占める割合が、百分の二十五以下であること。
(e) that, with regard to the value of the Specified Call Loan handled by a single Corporation, etc. which has been the basis for the calculation of the total amount of the Investment Trust Property, the ratio of such value to the total amount is twenty-five-hundredths or less;
三 受益証券が特定投資家向け有価証券(金融商品取引法第四条第三項に規定する特定投資家向け有価証券をいう。第八十八条第二号において同じ。)に該当する場合であって、運用報告書に記載すべき事項に係る情報が金融商品取引法第二十七条の三十二第一項に規定する発行者情報として同項又は同条第二項の規定により提供され、又は公表される場合(投資信託約款において運用報告書の交付に代えて当該情報の提供又は公表が行われる旨を定めている場合に限る。)
(iii) cases where the Beneficiary Certificate falls under the category of Securities for Professional Investors (meaning the Securities for Professional Investors defined in Article 4, paragraph (3) of the Financial Instruments and Exchange Act; the same applies in Article 88, item (ii)), and the information related to the information required to be given in the investment reports are provided or publicized under Article 27-32, paragraph (1) or (2) of the Financial Instruments and Exchange Act as the Issuer's Information defined in paragraph (1) of that Article (limited to cases where it is provided to the effect that provision or publication of the information is made in lieu of the delivery of investment reports in the Basic Terms and Conditions for an Investment Trust).
(電磁的方法)
(Electronic or Magnetic Means)
第二十五条の二 法第十四条第二項(法第五十四条第一項及び第五十九条において準用する場合を含む。第一号イにおいて同じ。)に規定する電子情報処理組織を使用する方法その他の情報通信の技術を利用する方法であって内閣府令で定めるものは、次に掲げるものとする。
Article 25-2 (1) The methods using an Electronic Data Processing System and other information and communications technology as specified by Cabinet Office Order as referred to in Article 14, paragraph (2) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 54, Paragraph (1) and Article 59 of the Act; hereinafter the same applies in item (i), sub-item (a)) are the following methods:
一 電子情報処理組織を使用する方法のうちイからニまでに掲げるもの
(i) the methods using an Electronic Data Processing System that are listed in sub-items (a) through (d):
イ 提供者等(提供者(法第十四条第二項により同条第一項の運用報告書に記載すべき事項(以下この条において「記載事項」という。)を提供しようとする者をいう。以下この条において同じ。)又は提供者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、これを提供先(記載事項を提供する相手方をいう。以下この条において同じ。)若しくは提供者の用に供する者をいう。以下この条において同じ。)の使用に係る電子計算機と提供先等(提供先及び提供先との契約により顧客ファイル(専ら当該提供先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記載事項を送信し、提供先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
(a) the method of transmitting the information required to be given via a telecommunications line that links the computer used by the Provider, etc. (meaning the Provider (meaning a person who is to provide the matters to be stated in the investment reports (hereinafter referred to as "Information Required to Be Given" in this Article) referred to in Article 14, paragraph (1) of the Act pursuant to the provisions of paragraph (2) of that Article; hereinafter the same applies in this article), or a person who keeps a file on the computer managed by the same person under the contract concluded with the Provider and provides the file for the use of the Recipient (meaning the other party to whom the Information Required to Be Given is to be provided; hereinafter the same applies in this Article) or for the use of the Provider; hereinafter the same applies in this Article) and a computer used by the Recipient, etc. (meaning a Recipient or a person who keeps the Customer File (meaning a file to be used exclusively by the Recipient; hereinafter the same applies in this Article) in a computer managed by the same person, under the contract concluded with a Recipient; hereinafter the same applies in this Article), and recording the Information Required to Be Given in the Customer File stored on the computer used by the Recipient, etc.;
ロ 提供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提供先の閲覧に供し、提供先等の使用に係る電子計算機に備えられた当該提供先の顧客ファイルに当該記載事項を記録する方法
(b) the method of offering the Information Required to Be Given which is recorded in a file stored on the computer used by the Provider, etc. to the Recipient for inspection via a telecommunications line and recording the Information Required to Be Given in the Recipient's Customer File which is stored on the computer used by the Recipient, etc.;
ハ 提供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提供先の閲覧に供する方法
(c) the method of offering the Information Required to Be Given which is recorded in the Customer File stored on the computer used by the Provider, etc. to the Recipient for inspection via a telecommunications line; or
ニ 閲覧ファイル(提供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、同時に複数の提供先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。次項において同じ。)に記録された記載事項を電気通信回線を通じて提供先の閲覧に供する方法
(d) the method of offering the Information Required to Be Given which is recorded in an Inspection File (meaning a file stored on the computer used by the Provider, etc. which is for recording the Information Required to Be Given therein to offer them to two or more Recipients for inspection at the same time; the same applies in the following paragraph) to the Recipient for inspection via a 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) the method of delivering a file containing the Information Required to Be Given that has been prepared using media which can securely record certain information by 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 specified in the items of the preceding paragraph must conform to the following standards:
一 提供先が閲覧ファイル又は顧客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 is one that enables the Recipient to prepare documents by outputting the records in the Inspection File or the Customer File;
二 前項第一号イ、ハ又はニに掲げる方法(提供先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提供先に対し通知するものであること。ただし、提供先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) that with regard to the methods specified in item (i), sub-items (a), (c), and (d) of the preceding paragraph (excluding the method of recording the Information Required to Be Given in the Customer File stored on the computer used by the Recipient), the method is one in which the Recipient is notified that the Information Required to Be Given is to be recorded or have been recorded in the Customer File or the Inspection File; provided, however, that this does not apply to cases where it is confirmed that the Recipient has inspected the Information Required to Be Given;
三 前項第一号ハ又はニに掲げる方法にあっては、次のいずれかに該当すること。
(iii) that with regard to the method specified in item (i), sub-item (c) or (d) of the preceding paragraph, the method is any of the following:
イ 記載事項を提供先の閲覧に供した日以後五年間(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、前項第一号イ若しくはロ 若しくは第二号に掲げる方法により提供する場合又は提供先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。
(a) that the method is one in which the following matters cannot be deleted or altered until five years have elapsed from the day on which the Information Required to Be Given was offered to the Recipient for inspection (if any complaints related to the Information Required to Be Given that has been raised during the time before the expiration date of such period, from such a time until either the expiration date of such period or until the day on which such complaint has been settled, whichever comes later); provided, however, that in cases where the Information Required to Be Given which is made available for inspection are to be delivered in writing, cases where the information is delivered by the method listed in item (i), sub-item (a) or (b) of the preceding paragraph or item (ii) of the preceding paragraph, or where there are instructions by the Recipient to delete the Information Required to Be Given, the Information Required to Be Given may be deleted:
(1) 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
1. with regard to the method prescribed in item (i), sub-item (c) of the preceding paragraph, the Information Required to Be Given which is recorded in the Customer File; and
(2) 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
2. with regard to the method prescribed in item (i), sub-item (d) of the preceding paragraph, the Information Required to Be Given which is recorded in the Inspection File;
ロ 記載事項を提供先の閲覧に供した日以後五年間(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)、提供先から当該記載事項の交付の請求があった場合に、書面又は前項第一号イ若しくは第二号に掲げる方法により当該記載事項を直ちに交付するものであること。
(b) that the method is one in which the Information Required to Be Given is immediately delivered in writing or by the methods listed in item (i), sub-item (a) or item (ii) of the preceding paragraph, in cases where requests for the delivery of the Information Required to Be Given have been made by the Recipient within five years from the day on which the Information Required to Be Given has been offered to the Recipient for inspection (if any complaints related to the Information Required to Be Given that have been raised during the time before the expiration date of such period, from such a time until either the expiration date of such period or until the day on which such complaint has been settled, whichever comes later);
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) that with regard to the method prescribed in item (i), sub-item (d) of the preceding paragraph, the method conforms to the following requirements:
イ 提供先が閲覧ファイルを閲覧するために必要な情報が当該提供先に対し書面により通知され、又は顧客ファイルに記録されるものであること。
(a) that the method is one in which the information necessary for the Recipient to inspect the Inspection File is notified to the Recipient in writing or recorded in the Customer File; and
ロ 前号イに掲げる基準に該当する場合にあっては、同号イに規定する期間を経過するまでの間において、提供先が閲覧ファイルを閲覧するために使用する電子計算機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提供先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, in cases where the relevant method satisfies the requirement set forth in sub-item (a) of the preceding item, the method is one in which the computer used by a Recipient to inspect the Inspection File and the Inspection File are maintained as connectable via a telecommunications line until the period as prescribed in sub-item (a) of the preceding item elapses; provided, however, that this does not apply to cases where a Recipient who has been given access to the files makes a notification that it is not necessary to maintain such connection.
3 第一項第一号の「電子情報処理組織」とは、提供者等の使用に係る電子計算機と、顧客ファイルを備えた提供先等又は提供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 term "Electronic Data Processing System" as used in paragraph (1), item (i) means an electronic data processing system that links the computer used by the Provider, etc. and the computer used by the Recipient, etc. or by the Provider, etc. on which the Customer File is stored via a telecommunications line.
(運用報告書に記載すべき事項のうち重要なものを記載した書面の交付)
(Delivery of a Document Including Material Information That Is Required to Be Given in the Investment Report)
第二十五条の三 法第十四条第四項(法第五十四条第一項及び第五十九条において準用する場合を含む。)の規定による法第十四条第一項(法第五十四条第一項及び第五十九条において準用する場合を含む。)の運用報告書に記載すべき事項のうち重要なものを記載した書面の作成及び交付は、当該運用報告書に係る作成期日ごとに行うものとする。
Article 25-3 The preparation and the delivery of a document including material information among the Information Required to Be Given in the investment report as prescribed in Article 14, paragraph (1) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 54, paragraph (1) and Article 59 of the Act) pursuant to the provisions of Article 14, paragraph (4) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 54, paragraph (1) and Article 59 of the Act) are to be done on each Preparation Date pertaining to the investment report.
(投資信託財産に関する帳簿書類)
(Books and Documents Concerning Investment Trust Property)
第二十六条 法第十五条第一項の規定により投資信託委託会社が作成すべき帳簿書類は、次に掲げるものとする。
Article 26 (1) The books and documents to be prepared by a Settlor Company of an Investment Trust pursuant to the provisions of Article 15, paragraph (1) of the Act are as follows:
一 信託勘定元帳
(i) a trust account ledger;
二 分配収益明細簿
(ii) the book on the description of distributed profits;
三 投資信託財産明細簿
(iii) the book on the description of Investment Trust Property;
四 不動産の収益状況明細表
(iv) the description of profit from real property;
五 再生可能エネルギー発電設備の収益状況明細表
(v) the description of profit from the Renewable Energy Power Generation Facilities;
六 公共施設等運営権の収益状況明細表
(vi) the description of profit from the Right to Operate Public Facility, etc.;
七 繰延資産の償却状況表
(vii) a table of the status of amortization of deferred assets;
八 受益権原簿
(viii) beneficial interest holder register;
九 受益証券基準価額帳
(ix) the book of the constant value of Beneficiary Certificates;
十 投資信託財産運用指図書
(x) written instructions for investment in Investment Trust Property;
十一 一部解約価額帳(投資信託約款において、基準価額以外の価額をもって一部解約に応じることとしている委託者指図型投資信託の場合に限る。)
(xi) the book of value for partial cancellation (limited to the case of an Investment Trust Managed under Instructions from the Settlor which is to accept the partial cancellation by the value other than the constant value); and
十二 特定資産の価格等の調査結果等に関する書類
(xii) documents concerning the results of the investigation, etc. of the value, etc. of the Specified Assets.
2 前項各号に掲げる帳簿書類は、別表第一により作成し、当該投資信託財産の計算期間の終了後又は信託契約期間の終了後十年間これを保存しなければならない。
(2) The books and documents listed in the items of the preceding paragraph must be prepared using Appended Table No. 1, and preserved for ten years after the end of the accounting period of the Investment Trust Property or after the end of the trust agreement period.
3 外国法人である投資信託委託会社にあっては、第一項各号に掲げる帳簿書類は、国内における主たる営業所又は事務所が作成し、これを保存しなければならない。
(3) In cases of a Settlor Company of an Investment Trust which is a foreign corporation, the books and documents listed in the items of paragraph (1) must be prepared and preserved by the principal business office or office in Japan.
(投資信託約款の変更内容の届出)
(Notification of Details of Revisions to Basic Terms and Conditions of Investment Trusts)
第二十七条 法第十六条(第一号に係る部分に限る。)の規定による届出は、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 27 (1) The notification under Article 16 of the Act (limited to the part pertaining to item (i)) must be made by submitting the notification containing the following particulars to the Commissioner of the Financial Services Agency or Other Competent Official:
一 当該投資信託約款に係る委託者指図型投資信託の名称
(i) the name of the Investment Trust Managed under Instructions from the Settlor pertaining to the relevant Basic Terms and Conditions for an Investment Trust;
二 投資信託約款の変更の内容及び理由
(ii) the details of and reasons for the revisions to the Basic Terms and Conditions for an Investment Trust;
三 投資信託約款の変更がその効力を生ずる日
(iii) the day on which the revisions to the Basic Terms and Conditions for an Investment Trust becomes effective;
四 投資信託約款の変更の中止に関する条件を定めるときは、その条件
(iv) when conditions for cancellation of revisions to Basic Terms and Conditions for an Investment Trust are to be provided, such conditions; and
五 書面による決議を行うときは、法第十七条第一項第一号及び第三号に掲げる事項並びに第三十一条第二号から第七号までに掲げる事項
(v) when a written resolution is to be adopted, the particulars listed in Article 17, paragraph (1), items (i) and (iii) of the Act and the particulars listed in Article 31, items (ii) through (vii).
2 前項の届出書には、次に掲げる書類を添付しなければならない。
(2) The following documents must be attached to the notification under the preceding paragraph:
一 投資信託約款の変更の案
(i) a draft of the revisions to the Basic Terms and Conditions for an Investment Trust;
二 受託会社の同意書
(ii) a written consent of the trustee company;
三 書面による決議を行うときは、次に掲げるもの
(iii) when a written resolution is to be adopted, the following documents:
イ 法第十七条第五項の規定による公告をする場合にあっては、当該公告の内容を記載した書面
(a) in cases where giving the public notice under Article 17, paragraph (5) of the Act, the documents stating the contents of the public notice; and
ロ 第三十三条に規定する書面決議参考書類
(b) the Reference Documents for a Written Resolution defined in Article 33.
(委託者指図型投資信託の併合の届出)
(Notification of Consolidation of Investment Trusts Managed under Instructions from the Settlor)
第二十八条 法第十六条(第二号に係る部分に限る。)の規定による届出は、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 28 (1) The notification under Article 16 of the Act (limited to the part pertaining to item (ii)) must be made by submitting the notification containing the following particulars to the Commissioner of the Financial Services Agency or Other Competent Official:
一 当該委託者指図型投資信託の併合に係る各委託者指図型投資信託の名称
(i) the name of each Investment Trust Managed under Instructions from the Settlor pertaining to the consolidation of the relevant Investment Trusts Managed under Instructions from the Settlor;
二 委託者指図型投資信託の併合後の委託者指図型投資信託の名称
(ii) the name of the Investment Trust Managed under Instructions from the Settlor after the consolidation of Investment Trusts Managed under Instructions from the Settlor;
三 委託者指図型投資信託の併合の内容及び理由
(iii) the contents of and reasons for the consolidation of Investment Trusts Managed under Instructions from the Settlor;
四 委託者指図型投資信託の併合がその効力を生ずる日
(iv) the day on which the consolidation of Investment Trusts Managed under Instructions from the Settlor becomes effective;
五 委託者指図型投資信託の併合の中止に関する条件を定めるときは、その条件
(v) when conditions for the termination of consolidation of Investment Trusts Managed under Instructions from the Settlor are to be provided, such conditions; and
六 書面による決議を行うときは、法第十七条第一項第一号及び第三号に掲げる事項並びに第三十一条第二号から第七号までに掲げる事項
(vi) when a written resolution is to be adopted, the particulars listed in Article 17, paragraph (1) of the Act, items (i) and (iii) and the particulars listed in Article 31, items (ii) through (vii).
2 前項の届出書には、次に掲げる書類を添付しなければならない。
(2) The following documents must be attached to the notification under the preceding paragraph:
一 委託者指図型投資信託の併合後の投資信託約款の案
(i) a draft of the Basic Terms and Conditions for an Investment Trust after the consolidation of Investment Trusts Managed under Instructions from the Settlor;
二 受託会社の同意書
(ii) a written consent of the trustee company;
三 書面による決議を行うときは、次に掲げるもの
(iii) when a written resolution is to be adopted, the following documents:
イ 法第十七条第五項の規定による公告をする場合にあっては、当該公告の内容を記載した書面
(a) in cases where giving the public notice under Article 17, paragraph (5) of the Act, the documents stating the contents of the public notice; and
ロ 第三十三条に規定する書面決議参考書類
(b) the Reference Documents for a Written Resolution defined in Article 33.
(投資信託約款の重大な内容の変更)
(Material Revisions to the Details of the Basic Terms and Conditions for an Investment Trust)
第二十九条 法第十七条第一項に規定する投資信託約款の変更の内容が重大なものとして内閣府令で定めるものは、法第四条第二項第一号、第二号、第五号から第十一号まで及び第十三号から第十五号までに掲げる事項並びに第七条各号に掲げる事項の変更であって、当該投資信託約款に係る委託者指図型投資信託の商品としての基本的な性格を変更させることとなるものとする。
Article 29 The revisions to the details of the Basic Terms and Conditions for an Investment Trust specified by Cabinet Office Order as being material as referred to in Article 17, paragraph (1) of the Act are the revisions to the information listed in Article 4, paragraph (2), items (i), (ii), (v) through (xi) and (xiii) through (xv) of the Act and the items of Article 7, so as to change the basic characteristics as a financial instrument of the Investment Trust Managed under Instructions from the Settlor related to the relevant Basic Terms and Conditions for an Investment Trust.
(受益者の利益に及ぼす影響が軽微な委託者指図型投資信託の併合)
(Consolidation of Investment Trusts Managed under Instructions from the Settlor That Has Only a Minor Influence on Beneficiaries' Interests)
第二十九条の二 法第十七条第一項に規定する委託者指図型投資信託の併合が受益者の利益に及ぼす影響が軽微なものとして内閣府令で定めるものは、次に掲げる要件の全てに該当する委託者指図型投資信託の併合とする。
Article 29-2 (1) The cases which fall under those specified by Cabinet Office Order where the consolidation of Investment Trusts Managed under Instructions from the Settlor has only a minor influence on beneficiaries' interests as provided in Article 17, paragraph (1) of the Act are the cases where the consolidation of Investment Trusts Managed under Instructions from the Settlor satisfies all of the following requirements:
一 当該併合後の委託者指図型投資信託に属することとなる財産が当該併合前の投資信託約款に記載された投資信託財産の運用方針に反しないと認められること。
(i) that the property that is to belong to the Investment Trust Managed under Instructions from the Settlor after the consolidation is found not to contradict the investment policy for Investment Trust Property that is stated in the Basic Terms and Conditions of an Investment Trust before the consolidation;
二 当該併合の前後で当該委託者指図型投資信託の商品としての基本的な性格に相違がないこと。
(ii) that there is no change in the basic characteristics as a financial instrument of the Investment Trust Managed under Instructions from the Settlor before and after the consolidation; and
三 当該委託者指図型投資信託の投資信託財産の純資産総額が併合をする他の委託者指図型投資信託の投資信託財産の純資産総額の五倍以上であること。ただし、当該委託者指図型投資信託の投資信託財産と当該他の委託者指図型投資信託の投資信託財産の内容が実質的に同一であると認められる場合はこの限りでない。
(iii) that the total amount of net assets of the Investment Trust Property of the Investment Trust Managed under Instructions from the Settlor is at least five times as much as the total amount of net assets of the Investment Trust Property of the other Investment Trust Managed under Instructions from the Settlor which is to effect the consolidation; provided, however, that this does not apply to cases where the Investment Trust Property of the Investment Trust Managed under Instructions from the Settlor is found to be substantially identical to the Investment Trust Property of the relevant other Investment Trust Managed under Instructions from the Settlor.
2 前項第三号の純資産総額は、当該併合を決定した日(当該決定により当該決定をした日と異なる日において算定の基準となる時(当該決定をした日後から当該併合の効力が生ずる時の直前までの間に限る。)を定めた場合にあっては、当該時)において算定する。
(2) The total amount of net assets referred to in item (iii) of the preceding paragraph is calculated on the day on which the consolidation is decided (in cases where another record date for calculation that is different from the day of the decision is specified by the decision (limited to any day falling within the period after the day on which the decision is made until immediately before the consolidation becomes effective), such other day)).
(電磁的方法)
(Electronic or Magnetic Means)
第三十条 法第十七条第一項第三号(法第二十条第一項及び第五十四条第一項において準用する場合を含む。)に規定する電子情報処理組織を使用する方法その他の情報通信の技術を利用する方法であって内閣府令で定めるものは、次に掲げる方法とする。
Article 30 (1) The methods using an electronic data processing system and other information and communications technology as specified by Cabinet Office Order as referred to in Article 17, paragraph (1), item (iii) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 20, paragraph (1) and Article 54, paragraph (1) of the Act) are the following methods:
一 電子情報処理組織を使用する方法のうち、送信者の使用に係る電子計算機と受信者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
(i) among the method using an electronic data processing system, the method of transmitting information via a telecommunications line that links the computer used by the sender and the computer used by the recipient and recording such information in the file stored on the computers used by the recipient;
二 磁気ディスクその他これに準ずる方法により一定の情報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情報を記録したものを交付する方法
(ii) the method of delivering a file containing the information that has been prepared using media which can securely record certain information by magnetic disks, or any other means equivalent thereto.
2 前項各号に掲げる方法は、受信者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 set forth in the items of the preceding paragraph must be one that enables the recipient to prepare documents by outputting the records in the file.
(書面による決議の決定事項)
(Particulars Decided for a Written Resolution)
第三十一条 法第十七条第一項第四号(法第二十条第一項及び第五十四条第一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項は、次に掲げる事項とする。
Article 31 The particulars specified by Cabinet Office Order as referred to in Article 17, paragraph (1), item (iv) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 20, paragraph (1) and Article 54, paragraph (1) of the Act) are the following particulars:
一 第三十三条に規定する書面決議参考書類に記載すべき事項
(i) the particulars to be stated in the Reference Documents for a Written Resolution defined in Article 33;
二 書面による議決権の行使の期限(書面による決議の日以前の時であって、法第十七条第二項(法第二十条第一項及び第五十四条第一項において準用する場合を含む。第五号イにおいて同じ。)の規定による通知を発した日から二週間を経過した日以後の時に限る。)
(ii) the time limit for exercising voting rights in writing (limited to the time which is before the day of written resolution but after the day on which two weeks have passed from the day when the notice under Article 17, paragraph (2) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 20, paragraph (1) and Article 54, paragraph (1) of the Act; the same applies in item (v), sub-item (a)) was sent);
三 一の受益者が同一の議案につき重複して議決権を行使した場合において、当該同一の議案に対する議決権の行使の内容が異なるものであるときにおける当該受益者の議決権の行使の取扱いに関する事項を定めるときは、その事項
(iii) in cases where a single beneficiary has redundantly exercised its voting right for a single proposal, and the facts of the exercise of voting right for the single proposal differ, if particulars concerning the handling of such exercise of voting right by the beneficiary are provided, such particulars;
四 第三十六条第一項第一号の欄に記載がない議決権行使書面(法第十七条第九項(法第二十条第一項及び第五十四条第一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。)において準用する信託法第百十条第一項に規定する議決権行使書面をいう。以下同じ。)が投資信託委託会社若しくは信託会社等に提出され、又は法第十七条第九項において準用する信託法第百十六条第一項の規定により電磁的方法により投資信託委託会社若しくは信託会社等に提供された事項のうちに当該欄に記載すべきものがない場合における各議案についての賛成、反対又は棄権のいずれかの意思の表示があったものとする取扱いを定めるときは、その取扱いの内容
(iv) in cases where a Voting Form (meaning the Voting Form defined in Article 110, paragraph (1) of the Trust Act as applied mutatis mutandis pursuant to Article 17, paragraph (9) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 20, paragraph (1) and Article 54, paragraph (1) of the Act; hereinafter the same applies in this Article); the same applies hereinafter) lacking an entry in the column under Article 36, paragraph (1), item (i) has been submitted to a Settlor Company of an Investment Trust or a trust company or similar institution, or where the particulars provided to the Settlor Company of an Investment Trust or trust company or similar institution by Electronic or Magnetic Means pursuant to the provisions of Article 116, paragraph (1) of the Trust Act as applied mutatis mutandis pursuant to Article 17, paragraph (9) of the Act lacks the matters to be stated in that column, if the handling of such Voting Form or matters as to whether it is an indication of manifestation of agreement, dissent, or abstention for each proposal is provided, the details of such handling;
五 法第十七条第一項第三号(法第二十条第一項及び第五十四条第一項において準用する場合を含む。)に掲げる事項を定めたときは、次に掲げる事項
(v) in cases where the particulars listed in Article 17, paragraph (1), item (iii) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 20, paragraph (1) and Article 54, paragraph (1) of the Act) are specified, the following particulars:
イ 電磁的方法による議決権の行使の期限(書面による決議の日以前の時であって、法第十七条第二項の規定による通知を発した日から二週間を経過した日以後の時に限る。)
(a) the time limit for exercising voting rights by Electronic or Magnetic Means (limited to the time which is before the day of written resolution but after the day on which two weeks have passed from the day when the notice under Article 17, paragraph (2) of the Act was sent);
ロ 法第十七条第三項(法第二十条第一項及び第五十四条第一項において準用する場合を含む。)の承諾をした受益者に対しては、当該受益者の第三十六条第二項の請求があった時に法第十七条第九項において準用する信託法第百十条第一項の規定による議決権行使書面の交付(当該交付に代えて行う同条第二項の規定による電磁的方法による提供を含む。)をすることとするときは、その旨
(b) with regard to beneficiaries who have given the consent under Article 17, paragraph (3) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 20, paragraph (1) and Article 54, paragraph (1) of the Act), that Voting Forms under Article 110, paragraph (1) of the Trust Act as applied mutatis mutandis pursuant to Article 17, paragraph (9) of the Act are to be delivered (including the provision of Voting Forms by Electronic or Magnetic Means under Article 110, paragraph (2) of the Trust Act made in lieu of the delivery thereof) when requested by such beneficiaries under Article 36, paragraph (2), if this is the case;
六 法第十七条第九項において準用する信託法第百十七条第一項の規定による通知の方法を定めるときは、その方法
(vi) when the method of notice under Article 117, paragraph (1) of the Trust Act as applied mutatis mutandis pursuant to Article 17, paragraph (9) of the Act is to be specified, such method;
七 法第十八条第一項(法第二十条第一項において準用する場合を含む。)の規定による受益権の買取請求の内容及び手続に関する事項(法第十八条第二項(法第二十条第一項において準用する場合を含む。次号において同じ。)に規定する委託者指図型投資信託に該当する場合を除く。)
(vii) particulars concerning the details and procedures for the purchase demand of beneficial interest under the provisions of Article 18, paragraph (1) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 20, paragraph (1) of the Act) (excluding the cases falling under the Investment Trust Managed under Instructions from the Settlor provided in Article 18, paragraph (2) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 20, paragraph (1) of the Act; the same applies in the following item));
八 法第十八条第二項に規定する委託者指図型投資信託にあっては、前号に規定する買取請求をすることができない旨
(viii) in the case of an Investment Trust Managed under Instructions from the Settlor provided in Article 18, paragraph (2) of the Act, a statement to the effect that the purchase demand provided in the preceding item cannot be made.
第三十二条 令第二十条第一項又は第二十二条第一項の規定により示すべき電磁的方法の種類及び内容は、次に掲げるものとする。
Article 32 The types and details of the Electronic or Magnetic Means to be indicated pursuant to the provisions of Article 20, paragraph (1) or Article 22, paragraph (1) of the Order are as follows:
一 次に掲げる方法のうち、送信者が使用するもの
(i) among the following methods, those used by the sender:
イ 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
(a) the methods using an electronic data processing system which are as follows:
(1) 送信者の使用に係る電子計算機と受信者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
1. the method of transmitting information via a telecommunications line that links the computer used by the sender and the computer used by the recipient and recording such information in the file stored on the computer used by the recipient;
(2) 送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された情報の内容を電気通信回線を通じて情報の提供を受ける者の閲覧に供し、当該情報の提供を受ける者の使用に係る電子計算機に備えられたファイルに当該情報を記録する方法
2. the method of offering the details of the information which are recorded in a file stored on the computer used by the sender to the person who receives the provision of the information for inspection via a telecommunications line, and recording the information in the file stored on the computer used by the person who receives the provision of the information;
ロ 磁気ディスクその他これに準ずる方法により一定の情報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情報を記録したものを交付する方法
(b) the method of delivering a file containing the information that has been prepared using media which can securely record certain information by magnetic disks, or any other means equivalent thereto;
二 ファイルへの記録の方式
(ii) the method of recording the information in the file.
(書面決議参考書類)
(Reference Documents for a Written Resolution)
第三十三条 法第十七条第九項(法第二十条第一項及び第五十四条第一項において準用する場合を含む。)において準用する信託法第百十条第一項の規定により交付すべき議決権の行使について参考となるべき事項を記載した書類(以下「書面決議参考書類」という。)に記載すべき事項は、次条、第三十五条、第四十二条、第九十二条及び第九十三条の定めるところによるほか、受益者の議決権の行使について参考となると認める事項を記載することができる。
Article 33 Beyond what is provided for in the following Article, Article 35, Article 42, Article 92, and Article 93, the information required to be given in the documents containing the information that will serve as a reference with regard to the exercise of voting rights, which are to be delivered pursuant to the provisions of Article 110, paragraph (1) of the Trust Act as applied mutatis mutandis pursuant to Article 17, paragraph (9) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 20, paragraph (1) and Article 54, paragraph (1) of the Act) may include the information which is found to serve as a reference with regard to the exercise of voting rights by beneficiaries.
(投資信託約款の変更に関する議案)
(Proposals for the Revisions to the Basic Terms and Conditions for an Investment Trust)
第三十四条 投資信託約款の変更に関する議案に係る書面決議参考書類には、次に掲げる事項を記載しなければならない。
Article 34 The following information must be given in the Reference Documents for a Written Resolution related to the proposal for the revisions to the Basic Terms and Conditions for an Investment Trust:
一 投資信託約款の変更の案
(i) a draft of the revisions to the Basic Terms and Conditions for an Investment Trust;
二 投資信託約款で定められた受益権の内容に変更を加え、又は受益権の価値に重大な影響を与えるおそれがあるときは、その変更又は影響の内容及び相当性に関する事項
(ii) when changes are to be made to the details of the beneficial interest specified in the Basic Terms and Conditions for an Investment Trust, or where it is likely that the changes have a material impact on the value of the beneficial interest, the information related to the contents and appropriateness of such changes or impact;
三 投資信託約款の変更がその効力を生ずる日
(iii) the day on which the revisions to the Basic Terms and Conditions for an Investment Trust becomes effective;
四 投資信託約款の変更の中止に関する条件を定めるときは、その条件
(iv) when conditions for cancellation of revisions to Basic Terms and Conditions for an Investment Trust are to be provided, such conditions;
五 投資信託約款の変更をする理由
(v) the reasons for revising the Basic Terms and Conditions for an Investment Trust; and
六 投資信託約款の変更に関する事項について受益者の不利益となる事実
(vi) the facts that may be disadvantageous to beneficiaries with regard to the information concerning revising the Basic Terms and Conditions for an Investment Trust.
(委託者指図型投資信託の併合に関する議案)
(Proposals for the Consolidation of Investment Trusts Managed under Instructions from the Settlor)
第三十五条 委託者指図型投資信託の併合に関する議案に係る書面決議参考書類には、次に掲げる事項を記載しなければならない。
Article 35 The following information must be given in the Reference Documents for a Written Resolution related to the proposal for the consolidation of Investment Trusts Managed under Instructions from the Settlor:
一 委託者指図型投資信託の併合後の投資信託約款の内容
(i) the details of the Basic Terms and Conditions for an Investment Trust after the consolidation of Investment Trusts Managed under Instructions from the Settlor;
二 投資信託約款において定める受益権の内容に変更があるときは、その内容及び変更の理由
(ii) in cases where changes are to be made to the details of the beneficial interest specified in the Basic Terms and Conditions for an Investment Trust, the details thereof and the reasons for the changes;
三 委託者指図型投資信託の併合に際して受益者に対し金銭その他の財産を交付するときは、次に掲げる事項
(iii) in cases money and other property are to be delivered to the beneficiaries upon the consolidation of Investment Trusts Managed under Instructions from the Settlor, the following information:
イ 当該財産の内容及びその価額並びにこれらの事項の定めの相当性に関する事項
(a) the details and value of the relevant property, as well as the information concerning the adequacy of the provisions for such information;
ロ 受益者に対して交付する金銭その他の財産の割当てに関する事項及び当該事項の定めの相当性に関する事項
(b) the information concerning money or any other property to be delivered to beneficiaries, and information concerning the adequacy of the provisions for such information;
四 委託者指図型投資信託の併合がその効力を生ずる日
(iv) the day on which the consolidation of Investment Trusts Managed under Instructions from the Settlor becomes effective;
五 委託者指図型投資信託の併合の中止に関する条件を定めるときは、その条件
(v) when conditions for cancellation of consolidation of Investment Trusts Managed under Instructions from the Settlor are to be provided, such conditions;
六 委託者指図型投資信託の併合をする他の委託者指図型投資信託についての次に掲げる事項その他の当該他の委託者指図型投資信託を特定するために必要な事項
(vi) the following information concerning the other Investment Trust Managed under Instructions from the Settlor which is to effect the consolidation of Investment Trusts Managed under Instructions from the Settlor, and any other information necessary for specifying the other Investment Trust Managed under Instructions from the Settlor:
イ 委託者及び受託者の商号又は名称及び住所
(a) the trade names or names and addresses of the settlor and trustee;
ロ 投資信託契約の締結日
(b) the day of conclusion of the Investment Trust Agreement; and
ハ 投資信託約款の内容
(c) the details of the Basic Terms and Conditions for an Investment Trust;
七 委託者指図型投資信託の併合をする各委託者指図型投資信託において直前に作成された財産状況開示資料等(信託法第三十七条第二項の規定により作成する同項の書類又は電磁的記録をいう。以下同じ。)の内容(財産状況開示資料等を作成すべき時期が到来していないときは、その旨)
(vii) the contents of the Property Status Disclosure Materials, etc. (meaning the documents or Electronic or Magnetic Records under Article 37, paragraph (2) of the Trust Act to be prepared pursuant to the provisions of that paragraph; the same applies hereinafter) which have been prepared immediately before the consolidation of Investment Trusts Managed under Instructions from the Settlor, by each Investment Trust Managed under Instructions from the Settlor which effects the consolidation (or that the time at which the Property Status Disclosure Materials, etc. should be prepared has yet to arrive, if this is the case);
八 委託者指図型投資信託の併合をする各委託者指図型投資信託について、財産状況開示資料等を作成した後(財産状況開示資料等を作成すべき時期が到来していない場合にあっては、委託者指図型投資信託が設定された後)に、重要な投資信託財産に属する財産の処分、重大な信託財産責任負担債務の負担その他の投資信託財産の状況に重要な影響を与える事象が生じたときは、その内容
(viii) with regard to each Investment Trust Managed under Instructions from the Settlor which effects the consolidation of Investment Trusts Managed under Instructions from the Settlor, when a disposition of property belonging to an important Investment Trust Property, or assumption of a material Obligation Assumed by the Trustee under the Trust Property has been made, or any other event that may have a significant influence on the status of the Investment Trust Property has occurred after preparing the Property Status Disclosure Materials, etc. (in cases where the time at which the Property Status Disclosure Materials, etc. should be prepared has yet to arrive, after the time when the Investment Trust Managed under Instructions from the Settlor has been established), the details thereof;
九 委託者指図型投資信託の併合をする理由
(ix) the reasons for effecting a consolidation of Investment Trusts Managed under Instructions from the Settlor; and
十 委託者指図型投資信託の併合に関する事項について受益者の不利益となる事実
(x) the information that may be disadvantageous to beneficiaries with regard to the matters concerning the consolidation of Investment Trusts Managed under Instructions from the Settlor.
(議決権行使書面)
(Voting Forms)
第三十六条 法第十七条第九項(法第二十条第一項及び第五十四条第一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。)において準用する信託法第百十条第一項の規定により交付すべき議決権行使書面に記載すべき事項又は法第十七条第九項において準用する信託法第百十一条第一項若しくは第二項の規定により電磁的方法により提供すべき議決権行使書面に記載すべき事項は、次に掲げる事項とする。
Article 36 (1) The information required to be included in the Voting Forms which is to be delivered pursuant to the provisions of Article 110, paragraph (1) of the Trust Act as applied mutatis mutandis pursuant to Article 17, paragraph (9) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 20, paragraph (1) and Article 54, paragraph (1) of the Act; hereinafter the same applies in this Article), or the information required to be included in the Voting Forms which is to be provided by Electronic or Magnetic Means pursuant to the provisions of Article 111, paragraph (1) or (2) of the Trust Act as applied mutatis mutandis pursuant to Article 17, paragraph (9) of the Act is the following information:
一 各議案についての賛否(棄権の欄を設ける場合にあっては、棄権を含む。)を記載する欄
(i) a column in which the agreement or dissent (in cases of providing a column for abstention, including abstention) for each proposal is to be stated;
二 第三十一条第三号に掲げる事項を定めたときは、当該事項
(ii) when the particulars listed in Article 31, item (iii) are provided, such particulars;
三 第三十一条第四号に掲げる事項を定めたときは、同号の取扱いの内容
(iii) when the particulars listed in Article 31, item (iv) are provided, the details of the handling prescribed in that item;
四 議決権の行使の期限
(iv) the time limit for exercising voting rights; and
五 議決権を行使すべき受益者の氏名又は名称及び当該受益者が行使することができる議決権の数又は割合
(v) the names of the beneficiaries who are to exercise the voting rights as well as the number or ratio of voting rights exercisable by such beneficiaries.
2 法第十七条第一項第三号(法第二十条第一項及び第五十四条第一項において準用する場合を含む。)に掲げる事項を定めた場合において、第三十一条第五号ロに掲げる事項を定めたときは、投資信託委託会社又は信託会社等は、法第十七条第三項(法第二十条第一項及び第五十四条第一項において準用する場合を含む。)の承諾をした受益者が請求をした時に、当該受益者に対して、法第十七条第九項において準用する信託法第百十条第一項の規定による議決権行使書面の交付(当該交付に代えて行う同条第二項の規定による電磁的方法による提供を含む。)をしなければならない。
(2) In cases where specifying the particulars listed in Article 17, paragraph (1), item (iii) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 20, paragraph (1) and Article 54, paragraph (1) of the Act), when the particulars listed in Article 31, item (v), sub-item (b) are provided, a Settlor Company of an Investment Trust or a trust company or similar institution must deliver the Voting Forms under Article 110, paragraph (1) of the Trust Act as applied mutatis mutandis pursuant to Article 17, paragraph (9) of the Act (including the provision of Voting Forms by Electronic or Magnetic Means under Article 110, paragraph (2) of the Trust Act made in lieu of the delivery) to the beneficiary who has given the consent under Article 17, paragraph (3) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 20, paragraph (1) and Article 54, paragraph (1) of the Act) when requested by such beneficiary.
(書面による議決権行使の期限)
(Time Limit for Exercising Voting Rights in Writing)
第三十七条 法第十七条第九項(法第二十条第一項及び第五十四条第一項において準用する場合を含む。)において準用する信託法第百十五条第二項に規定する内閣府令で定める時は、第三十一条第二号の行使の期限とする。
Article 37 The time specified by Cabinet Office Order as referred to in Article 115, paragraph (2) of the Trust Act as applied mutatis mutandis pursuant to Article 17, paragraph (9) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 20, paragraph (1) and Article 54, paragraph (1) of the Act) is the time limit for exercising voting rights provided in Article 31, item (ii).
(電磁的方法による議決権行使の期限)
(Time Limit for Exercising Voting Rights by Electronic or Magnetic Means)
第三十八条 法第十七条第九項(法第二十条第一項及び第五十四条第一項において準用する場合を含む。)において準用する信託法第百十六条第一項に規定する内閣府令で定める時は、第三十一条第五号イの行使の期限とする。
Article 38 The time specified by Cabinet Office Order as referred to in Article 116, paragraph (1) of the Trust Act as applied mutatis mutandis pursuant to Article 17, paragraph (9) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 20, paragraph (1) and Article 54, paragraph (1) of the Act) is the time limit for exercising voting rights provided in Article 31, item (v), sub-item (a).
(書面による決議の議事録)
(Minutes of a Written Resolution)
第三十九条 法第十七条第九項(法第二十条第一項及び第五十四条第一項において準用する場合を含む。)において準用する信託法第百二十条の規定による書面による決議の議事録の作成については、この条の定めるところによる。
Article 39 (1) The preparation of written resolution under Article 120 of the Trust Act as applied mutatis mutandis pursuant to Article 17, paragraph (9) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 20, paragraph (1) and Article 54, paragraph (1) of the Act) is as provided in this Article.
2 書面による決議の議事録は、書面又は電磁的記録をもって作成しなければならない。
(2) The minutes of a written resolution must be prepared in writing or in the form of an Electronic or Magnetic Record.
3 書面による決議の議事録は、次に掲げる事項を内容とするものでなければならない。
(3) The minutes of a written resolution must include the following particulars:
一 書面による決議が行われた日
(i) the day on which the written resolution was adopted;
二 書面による決議の結果
(ii) the result of the written resolution; and
三 議事録の作成に係る職務を行った者の氏名又は名称
(iii) the name of the person who carried out the duties pertaining to the preparation of minutes.
(電磁的記録)
(Electronic or Magnetic Records)
第四十条 法第十七条第十項(法第二十条第一項及び第五十四条第一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、磁気ディスクその他これに準ずる方法により一定の情報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情報を記録したものとする。
Article 40 The Electronic or Magnetic Record specified by Cabinet Office Order as referred to in Article 17, paragraph (10) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 20, paragraph (1) and Article 54, paragraph (1) of the Act) is that recording information in a file that has been prepared using media which can securely record certain information by magnetic disks, or any other means equivalent thereto.
(反対受益者の受益権買取請求を適用しない委託者指図型投資信託)
(Investment Trusts Managed under Instructions from the Settlor to Which Dissenting Beneficiaries' Demand for the Purchase of Their Beneficial Interest Does Not Apply)
第四十条の二 法第十八条第二項に規定する受益者の保護に欠けるおそれがないものとして内閣府令で定めるものは、受益者が受益権について投資信託の元本の全部又は一部の償還を請求したときは、投資信託委託会社が投資信託契約の一部の解約をすることにより当該請求に応じ、当該受益権の公正な価格が当該受益者に償還されることとなる委託者指図型投資信託とする。
Article 40-2 Those specified by Cabinet Office Order as those in which it is unlikely that the protection of beneficiaries will be compromised as provided in Article 18, paragraph (2) of the Act are those Investment Trusts Managed under Instructions from the Settlor wherein a request made by a beneficiary for redemption of the whole or part of the principal of the investment trust with respect to the beneficial interest during the trust agreement period is responded to by the partial cancellation of the Investment Trust Agreement by a Settlor Company of an Investment Trust and such redemption is granted to the beneficiary at a fair price of the beneficiary interest.
(投資信託契約の解約の届出)
(Notification of Cancellation of an Investment Trust Agreement)
第四十一条 法第十九条の規定による届出は、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 41 (1) The notification under Article 19 of the Act must be made by submitting a notification containing the following information to the Commissioner of the Financial Services Agency or Other Competent Official:
一 当該投資信託契約に係る委託者指図型投資信託の名称
(i) the name of the Investment Trust Managed under Instructions from the Settlor pertaining to the relevant Investment Trust Agreement;
二 投資信託契約の解約の理由
(ii) the reasons for the cancellation of the Investment Trust Agreement;
三 投資信託契約の解約がその効力を生ずる日
(iii) the day on which the cancellation of the Investment Trust Agreement becomes effective;
四 投資信託契約の解約の中止に関する条件を定めるときは、その条件
(iv) when conditions for suspension of cancellation of an Investment Trust Agreement are to be provided, such conditions; and
五 書面による決議を行うときは、法第二十条第一項において準用する法第十七条第一項第一号及び第三号に掲げる事項並びに第三十一条第二号から第七号までに掲げる事項
(v) when a written resolution is to be adopted, the particulars listed in Article 17, paragraph (1), items (i) and (iii) of the Act as applied mutatis mutandis pursuant to Article 20, paragraph (1) of the Act and the particulars listed in Article 31, items (ii) through (vii).
2 前項の届出書には、次に掲げる書類を添付しなければならない。
(2) The following documents must be attached to the notification under the preceding paragraph:
一 受託会社の同意書
(i) a written consent of the trustee company;
二 書面による決議を行うときは、次に掲げるもの
(ii) when a written resolution is to be adopted, the following documents:
イ 法第二十条第一項において準用する法第十七条第五項の規定による公告をする場合にあっては、当該公告の内容を記載した書面
(a) in cases of giving the public notice under Article 17, paragraph (5) of the Act as applied mutatis mutandis pursuant to Article 20, paragraph (1) of the Act, a document stating the contents of the public notice; and
ロ 第三十三条に規定する書面決議参考書類
(b) the Reference Documents for a Written Resolution defined in Article 33.
(投資信託契約の解約に関する議案)
(Proposal for the Cancellation of an Investment Trust Agreement)
第四十二条 投資信託契約の解約に関する議案に係る書面決議参考書類には、次に掲げる事項を記載しなければならない。
Article 42 The following information must be given in the Reference Documents for a Written Resolution related to the proposal for the cancellation of an Investment Trust Agreement:
一 投資信託契約の解約の相当性に関する事項
(i) information concerning the adequacy of the cancellation of an Investment Trust Agreement;
二 投資信託契約の解約がその効力を生ずる日
(ii) the day on which the cancellation of an Investment Trust Agreement becomes effective;
三 投資信託契約の解約の中止に関する条件を定めるときは、その条件
(iii) when conditions for suspension of cancellation of an Investment Trust Agreement are to be provided, such conditions;
四 直前に作成された財産状況開示資料等の内容(財産状況開示資料等を作成すべき時期が到来していないときは、その旨)
(iv) the details of the Property Status Disclosure Materials, etc. prepared immediately before the cancellation (or that the time at which the Property Status Disclosure Materials, etc. should be prepared has yet to arrive, if this is the case);
五 財産状況開示資料等を作成した後(財産状況開示資料等を作成すべき時期が到来していない場合にあっては、委託者指図型投資信託が設定された後)に、重要な投資信託財産に属する財産の処分、重大な信託財産責任負担債務の負担その他の投資信託財産の状況に重要な影響を与える事象が生じたときは、その内容
(v) when a disposition of property belonging to an important Investment Trust Property or assumption of a material Obligation Assumed by the Trustee under the Trust Property has been made, or any other event that may have a significant influence on the status of Investment Trust Property has occurred after the preparation of the Property Status Disclosure Materials, etc. (in cases where the time at which the Property Status Disclosure Materials, etc. should be prepared has yet to arrive, after the time when the Investment Trust Managed under Instructions from the Settlor has been established), the details thereof;
六 投資信託契約の解約の理由
(vi) the reasons for canceling the Investment Trust Agreement; and
七 投資信託契約の解約に関する事項について受益者の不利益となる事実
(vii) the facts that will be disadvantageous to beneficiaries with regard to the information concerning the cancellation of an Investment Trust Agreement.
(投資信託契約の解約の届出が不要な場合等)
(Cases Where a Notification for Cancellation of an Investment Trust Agreement Is Not Required)
第四十三条 法第二十条第二項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 43 The cases specified by Cabinet Office Order as referred to in Article 20, paragraph (2) of the Act are the following cases:
一 投資信託契約の解約をしようとする投資信託財産の状態に照らし、真にやむを得ない事情が生じている場合であって、法第二十条第一項において準用する法第十七条の規定による投資信託契約の解約の手続を行うことが困難な場合
(i) cases where a truly unavoidable circumstance has occurred in light of the status of the Investment Trust Property for which the Investment Trust Agreement is intended to be cancelled, and where it is difficult to carry out the procedures for the cancellation of the Investment Trust Agreement under Article 17 of the Act as applied mutatis mutandis pursuant to Article 20, paragraph (1) of the Act;
二 一定の条件を満たした場合には投資信託契約の解約を行う旨があらかじめ投資信託約款に定められている場合であって、当該一定の条件を満たして行われる投資信託契約の解約である場合
(ii) cases where it is provided for, in advance, in the Basic Terms and Conditions for an Investment Trust to the effect that the Investment Trust Agreement is cancelled when certain conditions are met, and such cancellation of the Investment Trust Agreement is made by satisfying the certain conditions.
(投資信託契約の存続の承認の申請)
(Application for Approval of Continuance of an Investment Trust Agreement)
第四十四条 法第二十三条第四項の規定による承認を受けようとする投資信託委託会社は、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 44 (1) A Settlor Company of an Investment Trust which intends to obtain the approval under Article 23, paragraph (4) of the Act must submit a written application for approval containing the following information to the Commissioner of the Financial Services Agency or Other Competent Official:
一 当該投資信託契約に係る委託者指図型投資信託の名称
(i) the name of the Investment Trust Managed under Instructions from the Settlor pertaining to the relevant Investment Trust Agreement;
二 投資信託契約の存続の理由
(ii) the reasons for continuing the Investment Trust Agreement; and
三 投資信託契約の存続期間
(iii) the duration period of the Investment Trust Agreement.
2 前項の承認申請書には、当該投資信託契約に係る投資信託財産の運用状況を記載した書類を添付しなければならない。
(2) The documents stating the investment status of the Investment Trust Property pertaining to the relevant Investment Trust Agreement must be attached to the application under the preceding paragraph.
第四十五条 削除
Article 45 Deleted
第四十六条 削除
Article 46 Deleted
第四十七条 削除
Article 47 Deleted
第四十八条 削除
Article 48 Deleted
第四十九条 削除
Article 49 Deleted
第五十条 削除
Article 50 Deleted
第五十一条 削除
Article 51 Deleted
第五十二条 削除
Article 52 Deleted
第五十三条 削除
Article 53 Deleted
第五十四条 削除
Article 54 Deleted
第五十五条 削除
Article 55 Deleted
第五十六条 削除
Article 56 Deleted
第五十七条 削除
Article 57 Deleted
第五十八条 削除
Article 58 Deleted
第五十九条 削除
Article 59 Deleted
第六十条 削除
Article 60 Deleted
第六十一条 削除
Article 61 Deleted
第六十二条 削除
Article 62 Deleted
第六十三条 削除
Article 63 Deleted
第六十四条 削除
Article 64 Deleted
第六十五条 削除
Article 65 Deleted
第六十六条 削除
Article 66 Deleted
第六十七条 削除
Article 67 Deleted
第六十八条 削除
Article 68 Deleted
第六十九条 削除
Article 69 Deleted
第七十条 削除
Article 70 Deleted
第七十一条 削除
Article 71 Deleted
第七十二条 削除
Article 72 Deleted
第七十三条 削除
Article 73 Deleted
第七十四条 削除
Article 74 Deleted
第七十五条 削除
Article 75 Deleted
第七十六条 削除
Article 76 Deleted
第三章 委託者非指図型投資信託
Chapter III Investment Trusts Managed without Instructions from the Settlor
(投資信託約款の内容の届出)
(Notification of the Details of the Basic Terms and Conditions for an Investment Trust)
第七十七条 法第四十九条第一項の規定による届出は、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 77 (1) The notification under Article 49, paragraph (1) of the Act must be made by submitting the notification containing the following information to the Commissioner of the Financial Services Agency or Other Competent Official:
一 当該投資信託約款(法第四十九条第一項に規定する投資信託約款をいう。以下この章において同じ。)に係る委託者非指図型投資信託の名称
(i) the name of the Investment Trust Managed without Instructions from the Settlor pertaining to the relevant Basic Terms and Conditions for an Investment Trust (meaning the Basic Terms and Conditions for an Investment Trust defined in Article 49, paragraph (1) of the Act; hereinafter the same applies in this Chapter);
二 単位型(合同して運用する信託の元本の総額を増加できないものをいう。)又は追加型(合同して運用する信託の元本の総額を増加できるものをいう。)の別
(ii) whether the relevant Investment Trust is a Unit Type (meaning the type of an Investment Trust where the total amount of principal of a trust which is to be jointly invested may not be increased) or Open Type (meaning the type of an Investment Trust where the total amount of the principal of a trust which is to be jointly invested may not be increased);
三 投資の対象とする資産の種類に関する事項として次に掲げる事項
(iii) the following information as those related to the type of assets which are to be the subject of investment:
イ 投資の対象とする特定資産の種類
(a) the type of Specified Assets which are to be the subject of investment; and
ロ 投資の対象とする特定資産以外の資産の種類
(b) the type of assets other than the Specified Assets, which are to be the subject of investment;
四 投資信託財産(法第四十八条に規定する投資信託財産をいう。以下この章において同じ。)の運用方針
(iv) the investment policy for the Investment Trust Property (meaning the Investment Trust Property defined in Article 48 of the Act; hereinafter the same applies in this Chapter);
五 合同して運用する信託の元本の設定予定額又は当初設定予定額
(v) the planned principal of a trust which is to be invested jointly or the initial planned principal;
六 設定日
(vi) the establishment date;
七 信託契約期間
(vii) the trust agreement period;
八 公募、適格機関投資家私募、特定投資家私募又は一般投資家私募の別
(viii) use of a Public Offering, Private Placement with Qualified Institutional Investors, Private Placement with Professional Investors, or Private Placement with General Investors;
九 募集又は私募の期間
(ix) the period of Public Offering or Private Placement;
十 募集の取扱い又は私募の取扱いを行う金融商品取引業者等の商号、名称又は氏名
(x) the trade name or name of the Financial Instruments Business Operator, etc. that handles the dealing in Public Offering or Private Placement;
十一 自ら募集又は私募を行うときは、その旨
(xi) that the trust company or similar institution. carries out Public Offering or Private Placement by itself, if this is the case; and
十二 その他当該投資信託約款に係る委託者非指図型投資信託の特徴と認められる事項
(xii) other information found to be the feature of the Investment Trust Managed without Instructions from the Settlor pertaining to the relevant Basic Terms and Conditions for an Investment Trust.
2 前項の届出書には、投資信託約款の案を添付しなければならない。
(2) A draft of the Basic Terms and Conditions for an Investment Trust must be attached to the notification under the preceding paragraph.
(投資信託約款の記載事項)
(Information Required to Be Included in the Basic Terms and Conditions for an Investment Trust)
第七十八条 法第四十九条第二項第十九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 78 The information specified by Cabinet Office Order as referred to in Article 49, paragraph (2), item (xix) of the Act is the following information:
一 受託者の辞任及び解任並びに新たな受託者の選任に関する事項
(i) information concerning the resignation and dismissal of the trustee, as well as the appointment of a new trustee;
二 合同して運用する信託の元本の総額を増加できる委託者非指図型投資信託における信託の元本の追加に関する事項
(ii) information concerning the addition to the principal of a trust in Investment Trusts Managed without Instructions from the Settlor in which the total amount of the principal of a trust which is to be jointly invested may be increased and;
三 投資信託契約(法第四十七条第一項に規定する投資信託契約をいう。以下この章において同じ。)の解約に関する事項
(iii) information concerning the cancellation of an Investment Trust Agreement (meaning the Investment Trust Agreement defined in Article 47, paragraph (1) of the Act; hereinafter the same applies in this Chapter);
四 受託者が運用に係る権限を委託(当該委託に係る権限の一部を更に委託するものを含む。次条第八号及び第八十条第一号において同じ。)する場合におけるその委託の内容
(iv) in cases where the trustee entrusts the authority to make orders for investment (including the further entrustment of part of the authority subject to the relevant entrustment; the same applies in item (viii) of the following Article and Article 80, item (i)), the details of the entrustment;
五 受託者から運用に係る権限の委託を受けた者が当該権限の一部を更に委託する場合においては、当該者がその運用の指図に係る権限の一部を更に委託する者の商号又は名称(当該者が適格投資家向け投資運用業を行うことにつき金融商品取引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。)及び所在の場所
(v) in cases where the person who accepted the entrustment of authority to make orders for investment from the trustee further entrusts part of the authority, the trade name or name and location of the person to whom the first-mentioned person further entrusts part of its authority to make orders for investment (including an indication that the first-mentioned person is a Financial Instruments Business Operator registered under Article 29 of the Financial Instruments and Exchange Act for engaging in the Investment Management Business for Qualified Investors, if this is the case);
六 委託者非指図型投資信託の併合(法第五十四条第一項において準用する法第十六条第二号に規定する委託者非指図型投資信託の併合をいう。以下同じ。)に関する事項
(vi) information concerning the Consolidation of Investment Trusts Managed without Instructions from the Settlor (meaning the Consolidation of Investment Trusts Managed without Instructions from the Settlor as prescribed in Article 16, item (ii) of the Act as applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act; the same applies hereinafter);
七 受益者代理人があるときは、投資信託契約において、法第五十四条第一項において準用する法第十七条第六項の規定による議決権及び法第五十四条第一項において準用する法第十八条第一項の規定による受益権買取請求権を行使する権限を当該受益者代理人の権限としていない旨
(vii) in cases where there is an agent for a beneficiary, a statement to the effect that the authority to exercise voting rights under Article 17, paragraph (6) of the Act as applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act, and the right to demand purchase of beneficial interest under Article 18, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act is not included in the authority of the agent for the beneficiary in the Investment Trust Agreement; and
八 法第五十四条第一項において準用する法第十八条第一項の規定による受益権の買取請求に関する事項
(viii) information concerning the demand for purchase of beneficial interest under Article 18, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act.
(投資信託約款の記載事項の細目)
(Details of the Information Required to Be Included in the Basic Terms and Conditions for an Investment Trust)
第七十九条 法第四十九条第四項に規定する内閣府令で定める細目は、次の各号に掲げる事項の区分に応じ、当該各号に定めるものとする。
Article 79 The details specified by Cabinet Office Order as referred to in Article 49, paragraph (4) of the Act are those specified in the following items according to the category of information listed in the respective items:
一 法第四十九条第二項第三号に掲げる事項 次に掲げる事項
(i) information listed in Article 49, paragraph (2), item (iii) of the Act: the following information:
イ 受益証券の記名式又は無記名式への変更及び名義書換手続に関する事項
(a) information concerning the changes into a registered form or into a bearer form with regard to Beneficiary Certificates and the procedures for the entry of a name change thereon;
ロ 記名式受益証券の譲渡の対抗要件に関する事項
(b) information related to the requirements to duly assert against third parties for the transfer of registered Beneficiary Certificates; and
ハ 受益証券の再発行及びその費用に関する事項
(c) information concerning the reissuance of Beneficiary Certificates and the cost therefor;
二 法第四十九条第二項第五号に掲げる事項 次に掲げる事項
(ii) the information listed in Article 49, paragraph (2), item (v) of the Act: the following information:
イ 資産運用の基本方針
(a) basic policy for assets investments;
ロ 投資の対象とする資産の種類
(b) the type of assets which are to be the subject of investment;
ハ 投資の対象とする資産の保有割合又は保有制限を設ける場合には、その内容(投資の対象とする資産が権利である場合又はその権利の取得に係る取引の種類及び範囲並びに取得制限を設ける場合には、それぞれの内容)
(c) in cases of providing a holding ratio or holding restriction for assets which are to be the subject of investment, the details thereof (in cases where the assets which are to be the subject of investment are rights, or where specifying the type and scope of transactions pertaining to the acquisition of such right and imposing restrictions for such acquisition, the respective details thereof);
ニ 投資信託財産で取得した資産を貸し付ける場合には、その内容
(d) in cases where loaning the assets acquired by an Investment Trust Property, the details thereof; and
三 法第四十九条第二項第六号に掲げる事項 運用を行う資産の種類に応じ、それぞれの評価の方法、基準及び基準日に関する事項
(iii) information listed in Article 49, paragraph (2), item (vi) of the Act: in accordance with the type of assets to be invested, the respective method, standard and record date for the appraisal therefor;
四 法第四十九条第二項第七号に掲げる事項 次に掲げる事項
(iv) information listed in Article 49, paragraph (2), item (vii) of the Act: the following information:
イ 収益分配可能額の算出方法に関する事項
(a) information concerning the method of calculation for the amount of distributable profits;
ロ 収益分配金、償還金及び一部解約金の支払時期、支払方法及び支払場所に関する事項
(b) information concerning the timing, method and place of the payment of the amount of profit distribution, amount of redemption, and amount for partial cancellation;
五 法第四十九条第二項第十号に掲げる事項 次に掲げる事項
(v) information listed in Article 49, paragraph (2), item (x) of the Act: the following information:
イ 信託契約の延長事由の説明に関する事項
(a) information concerning the explanation for the grounds for extension of a trust agreement;
ロ 信託契約の解約事由の説明に関する事項
(b) information concerning the explanation for the grounds for cancellation of a trust agreement; and
ハ 受託者の認可取消しその他の場合における取扱いの説明に関する事項
(c) information concerning the explanation of handling of rescission of authorization of a trustee or of any other case;
六 法第四十九条第二項第十一号に掲げる事項 計算期間及び計算期間の特例に関する事項
(vi) information listed in Article 49, paragraph (2), item (xi) of the Act: information related to the accounting period and special provisions thereon;
七 法第四十九条第二項第十四号に掲げる事項 借入れの目的、借入限度額及び借入金の使途に関する事項並びに借入先を適格機関投資家に限る場合には、その旨
(vii) information listed in Article 49, paragraph (2), item (xiv) of the Act: information concerning the purpose, maximum amount, and use of the borrowing, and, that the lenders for the borrowings are limited to Qualified Institutional Investors, if this is the case;
八 法第四十九条第二項第十六号に掲げる事項 委託の報酬の額、支払時期及び支払方法に関する事項
(viii) information listed in Article 49, paragraph (2), item (xvi) of the Act: information concerning the amount of remuneration for entrustment, and the timing and method of payment thereof;
九 法第四十九条第二項第十八号に掲げる事項 次のイ又はロに掲げる公告の方法の区分に応じ、当該イ又はロに定める事項
(ix) information listed in Article 49, paragraph (2), item (xviii) of the Act: information specified in the following sub-item (a) or (b) according to the category of methods of public notice listed in the respective sub-items:
イ 時事に関する事項を掲載する日刊新聞紙に掲載する方法 公告を行う日刊新聞紙名
(a) the method of giving the public notice by publishing in a daily newspaper that publishes information on current affairs: the name of the daily newspaper that gives the public notice; or
ロ 電子公告(法第五十七条第二号に規定する電子公告をいう。) 登記アドレス
(b) Electronic Public Notice (meaning the Electronic Public Notice as prescribed in Article 57, item (ii) of the Act): the Registration Address.
(受益証券の記載事項)
(Information Required to Be Included on Beneficiary Certificates)
第八十条 法第五十条第二項第十一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 80 The information specified by Cabinet Office Order as referred to in Article 50, paragraph (2), item (xi) of the Act is the following information:
一 受託者が運用に係る権限を委託する場合におけるその委託の内容
(i) in cases where the trustee entrusts the authority to make orders for investment, the details of such entrustment;
二 投資信託約款に定める買取り又は償還の価額が当該信託の元本を下回ることとなる場合においても当該価額を超える価額によって買取り又は償還を行うことはない旨の表示
(ii) an indication to the effect that even if the value of purchase or redemption provided in the Basic Terms and Conditions for an Investment Trust falls below the principal of the relevant trust, purchase or redemption is not made at a value exceeding the first-mentioned value.
(受益権原簿記載事項)
(Information Required to Be Included in Beneficial Interest Holder Register)
第八十一条 法第五十条第四項において準用する信託法第百八十六条第一号に規定する内閣府令で定める事項は、委託者非指図型投資信託の名称とする。
Article 81 (1) The information specified by Cabinet Office Order as referred to in Article 186, item (i) of the Trust Act as applied mutatis mutandis pursuant to Article 50, paragraph (4) of the Act is the name of the Investment Trust Managed without Instructions from the Settlor.
2 法第五十条第四項において準用する信託法第百八十六条第五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 information specified by Cabinet Office Order as referred to in Article 186, item (v) of the Trust Act as applied mutatis mutandis pursuant to Article 50, paragraph (4) of the Act is the following information:
一 当該委託者非指図型投資信託の受託者の商号又は名称及び所在の場所
(i) the trade name or name, and location of the trustee of the relevant Investment Trust Managed without Instructions from the Settlor;
二 信託監督人があるときは、次に掲げる事項
(ii) when there is a trust supervisor, the following information:
イ 商号、名称又は氏名及び所在の場所又は住所
(a) the trade name or name, and location or address;
ロ 信託法第百三十二条第一項ただし書又は第二項ただし書の定めがあるときは、当該定めの内容
(b) when there are provisions as prescribed in the proviso to Article 132, paragraph (1) of the Trust Act or the proviso to paragraph (2) of that Article, the details of such provisions;
三 受益者代理人があるときは、次に掲げる事項
(iii) when there is an agent for a beneficiary, the following information:
イ 商号、名称又は氏名及び所在の場所又は住所
(a) the trade name, name, and location or address;
ロ 信託法第百三十九条第一項ただし書又は第三項ただし書の定めがあるときは、当該定めの内容
(b) when there are provisions as prescribed in the proviso to Article 139, paragraph (1) of the Trust Act or the proviso to paragraph (2) of that Article, the details of such provisions;
四 信託法第百八十八条に規定する受益権原簿管理人を定めたときは、その商号、名称又は氏名及び所在の場所又は住所
(iv) when an administrator of a beneficial interest holder register as prescribed in Article 188 of the Trust Act has been specified, the trade name, name, and location or address thereof; and
五 前各号に掲げるもののほか、投資信託約款の記載事項
(v) beyond what is listed in the preceding items, information required to be included in the Basic Terms and Conditions for an Investment Trust.
(電磁的記録に記録された事項を表示する方法)
(Method of Indicating Information Recorded in an Electronic or Magnetic Record)
第八十二条 法第五十条第四項において準用する信託法第百九十条第二項第二号に規定する内閣府令で定める方法は、同号の電磁的記録に記録された事項を紙面又は映像面に表示する方法とする。
Article 82 The method specified by Cabinet Office Order as referred to in Article 190, paragraph (2), item (ii) of the Trust Act as applied mutatis mutandis pursuant to Article 50, paragraph (4) of the Act is the method of indicating the information recorded in an Electronic or Magnetic Record under that item on paper or on a computer screen.
(受益者の請求によらない受益権原簿記載事項の記載等)
(Inclusion of Information Required to Be Included in Beneficial Interest Holder Register Not by the Request of Beneficiaries)
第八十三条 法第五十条第四項において準用する信託法第百九十七条第一項各号に掲げる場合には、委託者非指図型投資信託の受託者は、受益権原簿記載事項として、当該受益権が固有財産に属するか、他の投資信託財産に属するか、当該委託者非指図型投資信託の投資信託財産に属するかの別をも記載し、又は記録しなければならない。
Article 83 In the cases listed in the items of Article 197, paragraph (1) of the Trust Act as applied mutatis mutandis pursuant to Article 50, paragraph (4) of the Act, a trustee of an Investment Trust Managed without Instructions from the Settlor must state or record as to whether the relevant beneficial interest belong to its own property, another Investment Trust Property, or an Investment Trust Property of the Investment Trust Managed without Instructions from the Settlor as the information required to be included in the beneficial interest holder register.
(受益権原簿記載事項の記載等の請求)
(Request of Inclusion of Information Required to Be Included in Beneficial Interest Holder Register)
第八十四条 法第五十条第四項において準用する信託法第百九十八条第二項に規定する内閣府令で定める場合は、受益権取得者(委託者非指図型投資信託の受益権を委託者非指図型投資信託の受託者以外の者から取得した者(当該受託者を除く。)をいう。)が受益証券を提示して請求をした場合とする。
Article 84 The cases specified by Cabinet Office Order as referred to in Article 198, paragraph (2) of the Trust Act as applied mutatis mutandis pursuant to Article 50 paragraph (4) of the Act are the case where a Beneficial Interest Acquirer (meaning a person who has acquired the beneficial interest of an Investment Trust Managed without Instructions from the Settlor from a person other than the trustee of an Investment Trust Managed without Instructions from the Settlor (the trustee is excluded from the first-mentioned person)) makes the request by presenting the Beneficiary Certificate.
(電子署名)
(Electronic Signature)
第八十五条 法第五十条第四項において準用する信託法第二百二条第三項に規定する内閣府令で定める署名又は記名押印に代わる措置は、電子署名とする。
Article 85 (1) The measures in lieu of signing or affixing names and seals specified by Cabinet Office Order as referred to in Article 202, paragraph (3) of the Trust Act as applied mutatis mutandis pursuant to Article 50, paragraph (4) of the Act are Electronic Signature.
2 前項に規定する「電子署名」とは、電磁的記録に記録することができる情報について行われる措置であって、次の要件のいずれにも該当するものをいう。
(2) The term "Electronic Signature" as used in the preceding paragraph means measures implemented for information which can be recorded in an Electronic or Magnetic Record, that satisfy all of the following requirements:
一 当該情報が当該措置を行った者の作成に係るものであることを示すためのものであること。
(i) that the measure is for indication that the information has been prepared by the person who implemented the measures; and
二 当該情報について改変が行われていないかどうかを確認することができるものであること。
(ii) that the measure is one that enables to confirm as to whether the information has been altered or not.
(特定資産に係る不動産の鑑定評価)
(Appraisal of Real Property Pertaining to Specified Assets)
第八十五条の二 法第五十四条第一項において準用する方第十一条第一項の規定による不動産の鑑定評価は、不動産鑑定士であって次に掲げる者以外のものに行わせるものとする。
Article 85-2 An appraisal of real property under Article 11, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act is to be assigned to a real estate appraiser who does not fall under any of the following:
一 当該信託会社等の利害関係人等(法第五十四条第一項において準用する法第十一条第一項に規定する利害関係人等をいう。)
(i) an interested person or other close affiliate of the relevant trust company or similar institution (meaning the interested person or other close affiliate as prescribed in Article 11, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act);
二 当該信託会社等の役員又は使用人
(ii) an officer or employee of the relevant trust company or similar institution; or
三 不動産の鑑定評価に関する法律の規定により、法第五十四条第一項において準用する法第十一条第一項の規定による不動産の鑑定評価に係る業務をすることができない者
(iii) a person who is, pursuant to the provisions of the Act on Real Estate Appraisal, unqualified to engage in the business concerning an appraisal of real property under Article 11, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act.
(利益相反のおそれがある場合の受益者等への書面の交付)
(Deliver of Documents to Beneficiaries When Conflict of Interests Is Likely to Occur)
第八十六条 法第五十四条第一項において準用する法第十三条第一項に規定する同項各号に掲げる取引に係る書面の交付は、次に掲げる事項について記載した書面により行わなければならない。
Article 86 (1) The delivery of documents in relation to the transactions listed in the items of Article 13, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act must be made by the documents containing the following information:
一 当該取引に係る委託者非指図型投資信託の名称
(i) the name of the Investment Trust Managed without Instructions from the Settlor pertaining to the relevant transaction;
二 書面の交付を行う理由(当該取引の相手方と当該信託会社等の関係を含む。)
(ii) the reasons for delivering the document (including the relationship between the counterparty to the relevant transactions and the relevant trust company or similar institution);
三 取引を行った理由
(iii) the reasons for conducting the transaction;
四 取引の内容(取引を行った特定資産の種類、銘柄(その他の特定資産を特定するために必要な事項)、数及び取引価格、取引の方法並びに取引を行った年月日)
(iv) the details of the transaction (the type, issue (other information necessary for specifying the Specified Assets), and number of the Specified Assets for which a transaction has been conducted, as well as the price and method of transaction, and the date on which the transaction was conducted);
五 法第五十四条第一項において準用する法第十一条第一項の鑑定評価又は同条第二項の調査の結果
(v) the results of the appraisal under Article 11, paragraph (1) of the Act or the investigation under paragraph (2) of that Article, as applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act;
六 当該書面の交付年月日
(vi) the date of delivery of the document; and
七 その他参考になる事項
(vii) other information that will serve as a reference.
2 信託会社等は、法第五十四条第一項において準用する法第十三条第一項各号に掲げる取引が行われたときは、遅滞なく、前項各号に掲げる事項を記載した書面を交付しなければならない。
(2) When the transactions listed in the items of Article 13, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act has been conducted, a trust company or similar institution must deliver the documents containing the information listed in the items of the preceding paragraph without delay.
(利益相反のおそれがある場合の書面の交付を要する顧客)
(Customers to Whom Documents Are Required to Be Delivered When Conflict of Interest Is Likely to Occur)
第八十七条 令第二十九条第四号に規定する内閣府令で定める顧客は、次に掲げるものとする。
Article 87 The customers specified by Cabinet Office Order as referred to in Article 29, item (iv) of the Order are as follows:
一 信託会社等が投資信託財産の宅地又は建物の売買又は貸借の代理又は媒介を行う場合における取引の相手方
(i) the counterparty to the transactions in cases where the trust company or similar institution conducts sale or purchase of housing lands or buildings of the Investment Trust Property, or provides an agent or intermediary service therefor;
二 信託会社等が投資信託財産の特定資産に係る投資に関し助言を行う場合において、当該助言に基づき行われる当該特定資産の取引の相手方
(ii) in cases where the trust company or similar institution gives advice with regard to the investment related to the Specified Assets of an Investment Trust Property, the counterparty to the transaction of the Specified Assets to be conducted based on the advice.
(運用報告書の交付を要しない場合)
(Cases Where Delivery of Investment Reports Is Not Required)
第八十八条 法第五十四条第一項において準用する法第十四条第一項第三号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 88 The cases specified by Cabinet Office Order as referred to in Article 14, paragraph (1), item (iii) of the Act as applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act are the following cases:
一 受益証券が金融商品取引所に上場されている場合(受益証券が金融商品取引法第二条第三十三項に規定する特定上場有価証券である場合を除く。)
(i) cases where the Beneficiary Certificate is listed on a Financial Instruments Exchange (excluding cases where the Beneficiary Certificate falls under the category of Specified Listed Securities defined in Article 2, paragraph (33) of the Financial Instruments and Exchange Act);
二 受益証券が特定投資家向け有価証券に該当する場合であって、運用報告書に記載すべき事項に係る情報が金融商品取引法第二十七条の三十二第一項に規定する発行者情報として同項又は同条第二項の規定により提供され、又は公表される場合(投資信託約款において運用報告書の交付に代えて当該情報の提供又は公表が行われる旨を定めている場合に限る。)
(ii) cases where the Beneficiary Certificate falls under the category of Securities for Professional Investors, and the information related to the particulars required to be given in the investment reports is provided or publicized under Article 27-32, paragraph (1) or (2) of the Financial Instruments and Exchange Act as the Issuer's Information defined in paragraph (1) of that Article (limited to cases where it is provided to the effect that provision or publication of the information is made in lieu of the delivery of investment reports in the Basic Terms and Conditions for an Investment Trust).
(投資信託約款の変更内容の届出)
(Notification of the Details of Revisions to Basic Terms and Conditions of Investment Trusts)
第八十九条 法第五十四条第一項において準用する法第十六条(第一号に係る部分に限る。)の規定による届出は、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 89 (1) The notification under Article 16 of the Act (limited to the part pertaining to item (i)) as applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act must be made by submitting the notification containing the following information to the Commissioner of the Financial Services Agency or Other Competent Official:
一 当該投資信託約款に係る委託者非指図型投資信託の名称
(i) the name of the Investment Trust Managed without Instructions from the Settlor pertaining to the relevant Basic Terms and Conditions for an Investment Trust;
二 投資信託約款の変更の内容及び理由
(ii) the details of and reasons for the revisions to the Basic Terms and Conditions for an Investment Trust;
三 投資信託約款の変更がその効力を生ずる日
(iii) the day on which the revisions to the Basic Terms and Conditions for an Investment Trust becomes effective;
四 投資信託約款の変更の中止に関する条件を定めるときは、その条件
(iv) when conditions for cancellation of revisions to Basic Terms and Conditions for an Investment Trust are to be provided, such conditions; and
五 書面による決議を行うときは、法第五十四条第一項において準用する法第十七条第一項第一号及び第三号に掲げる事項並びに第三十一条第二号から第七号までに掲げる事項
(v) when a written resolution is to be adopted, the particulars listed in Article 17, paragraph (1), items (i) and (iii) of the Act as applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act, and the particulars listed in Article 31, items (ii) through (vii).
2 前項の届出書には、次に掲げる書類を添付しなければならない。
(2) The following documents must be attached to the notification under the preceding paragraph:
一 投資信託約款の変更の案
(i) a draft of the revisions to the Basic Terms and Conditions for an Investment Trust;
二 書面による決議を行うときは、次に掲げるもの
(ii) when a written resolution is to be adopted, the following documents:
イ 法第五十四条第一項において準用する法第十七条第五項の規定による公告をする場合にあっては、当該公告の内容を記載した書面
(a) in cases where giving the public notice under Article 17, paragraph (5) of the Act as applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act, the documents stating the contents of the public notice; and
ロ 第三十三条に規定する書面決議参考書類
(b) the Reference Documents for a Written Resolution defined in Article 33.
(委託者非指図型投資信託の併合の届出)
(Notification of Consolidation of Investment Trusts Managed without Instructions from the Settlor)
第九十条 法第五十四条第一項において準用する法第十六条(第二号に係る部分に限る。)の規定による届出は、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 90 (1) The notification under Article 16 of the Act (limited to the part pertaining to item (ii)) as applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act must be made by submitting the notification containing the following information to the Commissioner of the Financial Services Agency or Other Competent Official:
一 当該委託者非指図型投資信託の併合に係る各委託者非指図型投資信託の名称
(i) the name of each Investment Trust Managed without Instructions from the Settlor pertaining to the consolidation of the relevant Investment Trusts Managed without Instructions from the Settlor;
二 委託者非指図型投資信託の併合後の委託者非指図型投資信託の名称
(ii) the name of the Investment Trust Managed without Instructions from the Settlor after the consolidation of Investment Trusts Managed without Instructions from the Settlor;
三 委託者非指図型投資信託の併合の内容及び理由
(iii) the contents of and reasons for the consolidation of Investment Trusts Managed without Instructions from the Settlor;
四 委託者非指図型投資信託の併合がその効力を生ずる日
(iv) the day on which the consolidation of Investment Trusts Managed without Instructions from the Settlor becomes effective;
五 委託者非指図型投資信託の併合の中止に関する条件を定めるときは、その条件
(v) when conditions for cancellation of the consolidation of Investment Trusts Managed without Instructions from the Settlor are to be provided, such conditions; and
六 書面による決議を行うときは、法第五十四条第一項において準用する法第十七条第一項第一号及び第三号に掲げる事項並びに第三十一条第二号から第七号までに掲げる事項
(vi) when a written resolution is to be adopted, the particulars listed in Article 17, paragraph (1), items (i) and (iii) of the Act as applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act, and the particulars listed in Article 31, items (ii) through (vii).
2 前項の届出書には、次に掲げる書類を添付しなければならない。
(2) The following documents must be attached to the notification under the preceding paragraph:
一 委託者非指図型投資信託の併合後の投資信託約款の案
(i) a draft of the Basic Terms and Conditions for an Investment Trust after the consolidation of Investment Trusts Managed without Instructions from the Settlor;
二 書面による決議を行うときは、次に掲げるもの
(ii) when a written resolution is to be adopted, the following documents:
イ 法第五十四条第一項において準用する法第十七条第五項の規定による公告をする場合にあっては、当該公告の内容を記載した書面
(a) in cases where giving the public notice under Article 17, paragraph (5) of the Act as applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act, the documents stating the contents of the public notice; and
ロ 第三十三条に規定する書面決議参考書類
(b) the Reference Documents for a Written Resolution defined in Article 33.
(投資信託約款の重大な内容の変更)
(Material Revisions to the Details of the Basic Terms and Conditions for an Investment Trust)
第九十一条 法第五十四条第一項において準用する法第十七条第一項に規定する投資信託約款の変更の内容が重大なものとして内閣府令で定めるものは、法第四十九条第二項第一号、第三号から第十二号まで及び第十四号から第十六号までに掲げる事項並びに第七十八条各号に掲げる事項の変更であって、当該投資信託約款に係る委託者非指図型投資信託の商品としての基本的な性格を変更させることとなるものとする。
Article 91 The revision to the details of the Basic Terms and Conditions for an Investment Trust specified by Cabinet Office Order as being material as referred to in Article 17, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act are the revisions to the information listed in Article 49, paragraph (2), items (i), (iii) through (xii) and (xiv) through (xvi) of the Act, and the information listed the items of Article 78, so as to change the basic characteristics as a financial instrument of the Investment Trust Managed without Instructions from the Settlor related to the relevant Basic Terms and Conditions for an Investment Trust.
(受益者の利益に及ぼす影響が軽微な委託者非指図型投資信託の併合)
(Consolidation of Investment Trusts Managed without Instructions from the Settlor That Has Only a Minor Influence on Beneficiaries' Interests)
第九十一条の二 法第五十四条第一項において準用する法第十七条第一項に規定する委託者非指図型投資信託の併合が受益者の利益に及ぼす影響が軽微なものとして内閣府令で定めるものは、次に掲げる要件の全てに該当する委託者非指図型投資信託の併合とする。
Article 91-2 (1) The cases which fall under those specified by Cabinet Office Order where the consolidation of Investment Trusts Managed without Instructions from the Settlor has only a minor influence on beneficiaries' interests as provided in Article 17, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 54, paragraph (1) of the Act are the cases where the consolidation of Investment Trusts Managed without Instructions from the Settlor satisfies all of the following requirements:
一 当該併合後の委託者非指図型投資信託に属することとなる財産が当該併合前の投資信託約款に記載された投資信託財産の運用方針に反しないと認められること。
(i) that the property that is to belong to the Investment Trust Managed without Instructions from the Settlor after the consolidation is found not to contradict the investment policy for Investment Trust Property that is stated in the Basic Terms and Conditions of an Investment Trust before the consolidation;
二 当該併合の前後で当該委託者非指図型投資信託の商品としての基本的な性格に相違がないこと。
(ii) that there is no change in the basic characteristics as a financial instrument of the Investment Trust Managed without Instructions from the Settlor before and after the consolidation; and
三 当該委託者非指図型投資信託の投資信託財産の純資産総額が併合をする他の委託者非指図型投資信託の投資信託財産の純資産総額の五倍以上であること。ただし、当該委託者非指図型投資信託の投資信託財産と当該他の委託者非指図型投資信託の投資信託財産の内容が実質的に同一であると認められる場合はこの限りでない。
(iii) that the total amount of net assets of the Investment Trust Property of the Investment Trust Managed without Instructions from the Settlor is at least five times as much as the total amount of net assets of the Investment Trust Property of the other Investment Trust Managed without Instructions from the Settlor which is to effect the consolidation; provided, however, that this does not apply to cases where the Investment Trust Property of the Investment Trust Managed without Instructions from the Settlor is found to be substantially identical to the Investment Trust Property of the relevant other Investment Trust Managed without Instructions from the Settlor.
2 前項第三号の純資産総額は、当該併合を決定した日(当該決定により当該決定をした日と異なる日において算定の基準となる時(当該決定をした日後から当該併合の効力が生ずる時の直前までの間に限る。)を定めた場合にあっては、当該時)において算定する。
(2) The total amount of net assets referred to in item (iii) of the preceding paragraph is calculated on the day on which the consolidation is decided (in cases where another record date for calculation that is different from the day of the decision is specified by the decision (limited to any day falling within the period after the day on which the decision is made until immediately before the consolidation becomes effective), such other day)).
(投資信託約款の変更に関する議案)
(Proposals for the Revisions to the Basic Terms and Conditions for an Investment Trust)
第九十二条 投資信託約款の変更に関する議案に係る書面決議参考書類には、次に掲げる事項を記載しなければならない。
Article 92 The following information must be given in the Reference Documents for a Written Resolution related to the proposal for the revisions to the Basic Terms and Conditions for an Investment Trust:
一 投資信託約款の変更の案
(i) a draft of the revisions to the Basic Terms and Conditions for an Investment Trust;
二 投資信託約款で定められた受益権の内容に変更を加え、又は受益権の価値に重大な影響を与えるおそれがあるときは、その変更又は影響の内容及び相当性に関する事項
(ii) when changes are to be made to the details of the beneficial interest specified in the Basic Terms and Conditions for an Investment Trust, or where it is likely that the changes have a material impact on the value of the beneficial interest, the information related to the details and appropriateness of such changes or impact;
三 投資信託約款の変更がその効力を生ずる日
(iii) the day on which the revisions to the Basic Terms and Conditions for an Investment Trust become effective;
四 投資信託約款の変更の中止に関する条件を定めるときは、その条件
(iv) when conditions for cancellation of revisions to Basic Terms and Conditions for an Investment Trust are to be provided, such conditions; and
五 投資信託約款の変更をする理由
(v) the reasons for revising the Basic Terms and Conditions for an Investment Trust; and
六 投資信託約款の変更に関する事項について受益者の不利益となる事実
(vi) the facts that may be disadvantageous to beneficiaries with regard to the information concerning revising the Basic Terms and Conditions for an Investment Trust.
(委託者非指図型投資信託の併合に関する議案)
(Proposals for the Consolidation of Investment Trusts Managed without Instructions from the Settlor)
第九十三条 委託者非指図型投資信託の併合に関する議案に係る書面決議参考書類には、次に掲げる事項を記載しなければならない。
Article 93 The following information must be given in the Reference Documents for a Written Resolution related to the proposal for the consolidation of Investment Trusts Managed without Instructions from the Settlor:
一 委託者非指図型投資信託の併合後の投資信託約款の内容
(i) the details of the Basic Terms and Conditions for an Investment Trust after the consolidation of Investment Trusts Managed without Instructions from the Settlor;
二 投資信託約款において定める受益権の内容に変更があるときは、その内容及び変更の理由
(ii) in cases where changes are to be made to the details of the beneficial interest specified in the Basic Terms and Conditions for an Investment Trust, the details thereof and the reasons for the changes;
三 委託者非指図型投資信託の併合に際して受益者に対し金銭その他の財産を交付するときは、次に掲げる事項
(iii) in cases money and other property are to be delivered to the beneficiaries upon the consolidation of Investment Trusts Managed without Instructions from the Settlor, the following information:
イ 当該財産の内容及びその価額並びにこれらの事項の定めの相当性に関する事項
(a) the details and value of the relevant property, as well as the information concerning the adequacy of the provisions for such information;
ロ 受益者に対して交付する金銭その他の財産の割当てに関する事項及び当該事項の定めの相当性に関する事項
(b) information concerning money or any other property to be delivered to beneficiaries, and the information concerning the adequacy of the provisions for such information;
四 委託者非指図型投資信託の併合がその効力を生ずる日
(iv) the day on which the consolidation of Investment Trusts Managed without Instructions from the Settlor becomes effective;
五 委託者非指図型投資信託の併合の中止に関する条件を定めるときは、その条件
(v) when conditions for cancellation of consolidation of Investment Trusts Managed without Instructions from the Settlor are to be provided, such conditions;
六 委託者非指図型投資信託の併合をする他の委託者非指図型投資信託についての次に掲げる事項その他の当該他の委託者非指図型投資信託を特定するために必要な事項
(vi) the following information concerning the other Investment Trust Managed without Instructions from the Settlor which is to effect the consolidation of Investment Trusts Managed without Instructions from the Settlor, and any other information necessary for specifying the other Investment Trust Managed without Instructions from the Settlor:
イ 受託者の商号又は名称及び住所
(a) the trade name or name and address of the trustee;
ロ 投資信託契約の締結日
(b) the day of conclusion of the Investment Trust Agreement; and
ハ 投資信託約款の内容
(c) the details of the Basic Terms and Conditions for an Investment Trust;
七 委託者非指図型投資信託の併合をする各委託者非指図型投資信託において直前に作成された財産状況開示資料等の内容(財産状況開示資料等を作成すべき時期が到来していないときは、その旨)
(vii) the contents of the Property Status Disclosure Materials, etc. which have been prepared immediately before the consolidation of Investment Trusts Managed without Instructions from the Settlor by each Investment Trust Managed without Instructions from the Settlor which effects the consolidation (or that the time at which the Property Status Disclosure Materials, etc. should be prepared has yet to arrive, if this is the case);
八 委託者非指図型投資信託の併合をする各委託者非指図型投資信託について、財産状況開示資料等を作成した後(財産状況開示資料等を作成すべき時期が到来していない場合にあっては、委託者非指図型投資信託が設定された後)に、重要な投資信託財産に属する財産の処分、重大な信託財産責任負担債務の負担その他の投資信託財産の状況に重要な影響を与える事象が生じたときは、その内容
(viii) with regard to each Investment Trust Managed without Instructions from the Settlor which effects the consolidation of Investment Trusts Managed without Instructions from the Settlor, when a disposition of property belonging to an important Investment Trust Property, or assumption of a material Obligation Assumed by the Trustee under the Trust Property has been made, or any other event that may have a significant influence on the status of the Investment Trust Property has occurred after preparing the Property Status Disclosure Materials, etc. (in cases where the time at which the Property Status Disclosure Materials, etc. should be prepared has yet to arrive, after the time when the Investment Trust Managed without Instructions from the Settlor has been established), the details thereof;
九 委託者非指図型投資信託の併合をする理由
(ix) the reasons for effecting a consolidation of Investment Trusts Managed without Instructions from the Settlor; and
十 委託者非指図型投資信託の併合に関する事項について受益者の不利益となる事実
(x) the facts that may be disadvantageous to beneficiaries with regard to the information concerning the consolidation of Investment Trusts Managed without Instructions from the Settlor.
(反対受益者の受益権買取請求を適用しない委託者非指図型投資信託)
(Investment Trusts Managed without Instructions from the Settlor to Which Dissenting Beneficiaries' Demand for the Purchase of Their Beneficial Interest Does Not Apply)
第九十三条の二 法第五十四条第一項において準用する法第十八条第二項に規定する受益者の保護に欠けるおそれがないものとして内閣府令で定めるものは、委託者が投資信託契約の一部の解約をすることができ、それにより当該受益権の公正な価格が当該受益者に償還されることとなる委託者非指図型投資信託とする。
Article 93-2 Those specified by Cabinet Office Order as those in which it is unlikely that the protection of beneficiaries will be compromised as provided in Article 18, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 54, paragraph (1) are those Investment Trusts Managed without Instructions from the Settlor wherein a settlor may cancel part of the Investment Trust Agreement and redemption is thereby granted to the beneficiary at a fair price of the beneficiary interest.
第四章 外国投資信託
Chapter IV Foreign Investment Trust
(外国投資信託の届出を要しない受益証券の範囲)
(Scope of Beneficiary Certificates for Which a Notification of a Foreign Investment Trust Is Not Required)
第九十四条 令第三十条第二号に規定する内閣府令で定める外国投資信託の受益証券は、令第十二条第二号に掲げる投資信託(連動対象指標の構成銘柄の株式に対する投資として運用するものに限る。)に類する外国投資信託の受益証券とする。
Article 94 The Beneficiary Certificates of a Foreign Investment Trust specified by Cabinet Office Order as referred to in Article 30, item (ii) of the Order are Beneficiary Certificates of a Foreign Investment Trust that is similar to the Investment Trust listed in Article 12, item (ii) of the Order (limited to Investment Trusts invested in shares included in the Constituents of the Underlying Indicator).
(外国投資信託の届出を要しない行為)
(Acts for Which a Notification of a Foreign Investment Trust Is Not Required)
第九十四条の二 令第三十条第三号に規定する内閣府令で定める行為は、第一種金融商品取引業(金融商品取引法第二十八条第一項に規定する第一種金融商品取引業をいう。以下この条及び第二百五十九条の二において同じ。)を行う者が適格機関投資家を相手方とし、又は適格機関投資家のために行う外国金融商品市場に上場されている外国投資信託の受益証券(前条に規定するものを除く。以下この条において同じ。)に係る次に掲げる行為とする。
Article 94-2 The acts specified by Cabinet Office Order as referred to in Article 30, item (iii) of the Order are the following acts related to the Beneficiary Certificate of a Foreign Investment Trust (excluding those provided in the preceding Article; hereinafter the same applies in this Article) which is listed on a Foreign Financial Instruments Market, conducted by a person engaged in Type I Financial Instruments Business (meaning the Type I Financial Instruments Business as prescribed in Article 28, paragraph (1) of the Financial Instruments and Exchange Act; hereinafter the same applies in this Article and Article 259-2) with a Qualified Institutional Investor as the other party thereof, or on behalf of the Qualified Institutional Investor:
一 外国金融商品市場における売買の媒介、取次ぎ又は代理(外国金融商品市場における買付けの媒介、取次ぎ又は代理にあっては、外国金融商品市場において売付けをし、又は当該第一種金融商品取引業を行う者に売却する場合以外の場合には当該外国投資信託の受益証券の売却を行わないことを当該適格機関投資家が約することを条件として行うものに限る。)
(i) an intermediary, brokerage or agency service for the sale and purchase on a Foreign Financial Instruments Market (in cases of intermediary, brokerage or agency service for purchase on a Foreign Financial Instruments Market, limited to the intermediary, brokerage or agency service provided on the condition that the Qualified Institutional Investor promises not to make sales of the Beneficiary Certificates of the Foreign Investment Trust in cases other than the case where sold on a Foreign Financial Instruments Market or sold to the relevant person engaged in Type I Financial Instruments Business);
二 外国金融商品市場における売買の委託の媒介、取次ぎ又は代理(外国金融商品市場における買付けの委託の媒介、取次ぎ又は代理にあっては、外国金融商品市場において売付けをし、又は当該第一種金融商品取引業を行う者に売却する場合以外の場合には当該外国投資信託の受益証券の売却を行わないことを当該適格機関投資家が約することを条件として行うものに限る。)
(ii) an intermediary, brokerage, or agency service for the entrustment of sale and purchase on a Foreign Financial Instruments Market (in cases of intermediary, brokerage or agency service for the entrustment of purchase on a Foreign Financial Instruments Market, limited to the intermediary, brokerage or agency service provided on the condition that the Qualified Institutional Investor promises not to make sales of the Beneficiary Certificate of the Foreign Investment Trust in cases other than the case where sold on a Foreign Financial Instruments Market or sold to the relevant person engaged in Type I Financial Instruments Business);
三 売付け又は買付けの媒介、取次ぎ若しくは代理(第一号に掲げるものを除き、外国金融商品市場において売付けをし、又は当該第一種金融商品取引業を行う者に売却する場合以外の場合には当該外国投資信託の受益証券の売却を行わないことを当該適格機関投資家が約することを条件として行うものに限る。)
(iii) an intermediary, brokerage, or agency service for sales or purchases (except for those listed in item (i), limited to the intermediary, brokerage or agency service provided on the condition that the Qualified Institutional Investor promises not to make sales of the Beneficiary Certificate of the Foreign Investment Trust in cases other than the case where selling on a Foreign Financial Instruments Market or to the relevant person engaged in Type I Financial Instruments Business);
四 その行う前三号に掲げる行為により当該外国投資信託の受益証券を取得した者からの買付け
(iv) purchase from the person who has acquired the Beneficiary Certificate of the Foreign Investment Trust through the acts listed in the preceding three items conducted by the person engaged in Type I Financial Instruments Business.
(外国投資信託の受益証券の発行者の代理人)
(Agent of an Issuer of Beneficiary Certificates of a Foreign Investment Trust)
第九十五条 外国投資信託の受益証券の発行者は、法第五十八条第一項又は法第五十九条において準用する法第十六条若しくは第十九条の規定による届出を行う場合には、国内に住所を有する者であって当該届出に関する一切の行為につき当該発行者を代理する権限を有するものを定めなければならない。
Article 95 In cases where an issuer of Beneficiary Certificate of a Foreign Investment Trust makes the notification under Article 58, paragraph (1) of the Act, or the provisions of Article 16 and Article 19 of the Act as applied mutatis mutandis pursuant to Article 59 of the Act, such issuer must specify a person who has an address in Japan and who has the authority to represent the issuer for any acts concerning the notification.
(外国投資信託の届出等)
(Notification of a Foreign Investment Trust)
第九十六条 法第五十八条第一項の規定による届出は、別紙様式第一号により作成した外国投資信託に関する届出書を金融庁長官に提出して行わなければならない。
Article 96 (1) The notification under Article 58, paragraph (1) of the Act must be made by submitting the notification concerning a Foreign Investment Trust that has been prepared using appended form No. 1 to the Commissioner of the Financial Services Agency.
2 法第五十八条第一項第五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 information specified by Cabinet Office Order as referred to in Article 58, paragraph (1), item (v) of the Act is the following information:
一 委託者(委託者指図型投資信託に類するものの場合に限る。)の分割による事業の全部若しくは一部の承継又は事業の全部若しくは一部の譲渡に関する事項
(i) information concerning whole or part of succession of the business as a result of split of the settlor (limited to cases where the relevant Foreign Investment Trust is one similar to an Investment Trust Managed under Instructions from the Settlor), or whole or part of transfer of business by the settlor;
二 受託者の辞任及び解任並びに新たな受託者の選任に関する事項
(ii) information concerning the resignation and dismissal of the trustee, as well as the appointment of a new trustee;
三 委託者が運用の指図に係る権限を他の者に委託する場合(委託者指図型投資信託に類するものの場合に限る。)又は受託者が運用に係る権限を他の者に委託する場合(委託者非指図型投資信託に類するものの場合に限る。)におけるその委託の内容
(iii) in cases where the settlor entrusts the authority to make orders for investment to other persons (limited to cases where the relevant Foreign Investment Trust is one similar to an Investment Trust Managed under Instructions from the Settlor), or where the trustee entrusts the authority to make orders for investment to other persons (limited to cases where the relevant Foreign Investment Trust is one similar to an Investment Trust Managed without Instructions from the Settlor) the details of the entrustment;
四 国内において法第五十八条第一項に規定する募集の取扱い等を行う金融商品取引業者等の名称
(iv) the name of the Financial Instruments Business Operator, etc. that handles the Dealing of Public Offering, etc. as prescribed in Article 58, paragraph (1) of the Act in Japan.
3 法第五十八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。
(3) The documents specified by Cabinet Office Order as referred to in Article 58, paragraph (2) of the Act are the following documents:
一 当該外国投資信託に関する届出書に記載された代表者が当該外国投資信託に係る法第五十八条第一項の規定による届出に関し正当な権限を有する者であることを証する書面
(i) a document proving that the representative person stated in the notification concerning the relevant Foreign Investment Trust is a person who has legitimate authority with regard to the notification under Article 58, paragraph (1) of the Act;
二 当該外国投資信託の受益証券の発行者が、国内に住所を有する者に、当該外国投資信託に係る法第五十八条第一項の規定による届出に関する一切の行為につき当該発行者を代理する権限を付与したことを証する書面
(ii) a document proving that the issuer of the Beneficiary Certificate of the relevant Foreign Investment Trust has granted a person who has an address in Japan the authority to represent the issuer for any acts concerning the notification under Article 58, paragraph (1) of the Act for the Foreign Investment Trust;
三 当該外国投資信託が設定された国の法令に基づき、当該外国投資信託の設定について承認、認可、許可、届出又はこれらに相当するものが行われている場合には、その承認書、認可書、許可書、届出書又はこれらに相当する書面の写し
(iii) in cases where an approval, authorization, permission, notification or the equivalent thereto has been made with regard to the establishment of the relevant Foreign Investment Trust based on laws and regulations of the State in which the Foreign Investment Trust was established, a copy of the written approval, written authorization, written permission, notification or documents equivalent thereto;
四 当該外国投資信託の設定が適法であることについての法律専門家の法律意見書及び当該意見書に掲げられた関係法令の関係条文
(iv) a legal opinion letter by legal experts stating that the establishment of the relevant Foreign Investment Trust is legal as well as relevant provisions of the relevant laws and regulations set forth in the legal opinion letter; and
五 当該外国投資信託の運用(その指図を含む。以下この号において同じ。)に係る権限を有する者が、当該権限を他の者に委託して当該外国投資信託の運用を行わせている場合には、その委託に関する内容を明らかにした書面
(v) in cases where a person who has the authority for the investment of the relevant Foreign Investment Trust (including the orders therefor; hereinafter the same applies in this item) has entrusted the authority to another person and has such person invest the Foreign Investment Trust, a document disclosing the contents of the entrustment.
(外国投資信託約款等の変更内容の届出)
(Notification of the Details of the Revisions to the Basic Terms and Conditions for a Foreign Investment Trust, etc.)
第九十七条 法第五十九条において準用する法第十六条(第一号に係る部分に限る。)の規定による届出は、次に掲げる事項を記載した届出書を金融庁長官に提出して行わなければならない。
Article 97 (1) The notification under Article 16 of the Act (limited to the part pertaining to item (i)) as applied mutatis mutandis pursuant to Article 59 of the Act must be made by submitting the notification containing the following information to the Commissioner of the Financial Services Agency:
一 当該外国投資信託の信託約款又はこれに類する書類(以下「外国投資信託約款等」という。)に係る外国投資信託の名称
(i) the name of the Foreign Investment Trust pertaining to the relevant Basic Terms and Conditions for a Foreign Investment Trust or documents similar thereto (hereinafter referred to as the "Basic Terms and Conditions for a Foreign Investment Trust, etc.");
二 外国投資信託約款等の変更の内容及び理由
(ii) the details and reasons for the revisions to the Basic Terms and Conditions for a Foreign Investment Trust, etc.;
三 外国投資信託約款等の変更がその効力を生ずる日
(iii) the day on which the revisions to the Basic Terms and Conditions for a Foreign Investment Trust, etc. becomes effective.
2 前項の届出書には、次に掲げる書類を添付しなければならない。
(2) The following documents must be attached to the notification under the preceding paragraph:
一 外国投資信託約款等の変更の案
(i) a draft of the revisions to the Basic Terms and Conditions for a Foreign Investment Trust, etc.;
二 委託者指図型投資信託に類するものの場合には、受託者の同意書又はこれに代わる書類
(ii) in cases where the relevant Foreign Investment Trust is similar to an Investment Trust Managed under Instructions from the Settlor, a written consent of the trustee company or substitute documents therefor;
三 法第五十九条において準用する法第十七条第五項の規定による公告をする場合にあっては、当該公告の内容を記載した書面
(iii) in cases where giving the public notice under Article 17, paragraph (5) of the Act as applied mutatis mutandis pursuant to Article 59 of the Act, the documents stating the contents of the public notice; and
四 外国投資信託約款等の変更に関する前条第三項第一号から第四号までに係る書類に準ずる書類
(iv) documents equivalent to the documents related to the provisions of paragraph (3), items (i) through (iv) of the preceding Article related to the revisions to the Basic Terms and Conditions for a Foreign Investment Trust, etc.
(外国投資信託の併合の届出)
(Notification of Consolidation of Foreign Investment Trusts)
第九十八条 法第五十九条において準用する法第十六条(第二号に係る部分に限る。)の規定による届出は、次に掲げる事項を記載した届出書を金融庁長官に提出して行わなければならない。
Article 98 (1) The notification under Article 16 of the Act (limited to the part pertaining to item (ii)) as applied mutatis mutandis pursuant to Article 59 of the Act must be made by submitting the notification containing the following information to the Commissioner of the Financial Services Agency:
一 当該外国投資信託の併合(法第五十九条において準用する法第十六条第二号に規定する外国投資信託の併合をいう。以下この章において同じ。)に係る各外国投資信託の名称
(i) the name of each Foreign Investment Trust pertaining to the Consolidation of Foreign Investment Trusts (meaning the consolidation of Foreign Investment Trusts as prescribed in Article 16, item (ii) of the Act as applied mutatis mutandis pursuant to Article 59 of the Act; hereinafter the same applies in this Chapter);
二 外国投資信託の併合後の外国投資信託の名称
(ii) the name of the Foreign Investment Trust after the consolidation of Foreign Investment Trusts;
三 外国投資信託の併合の内容及び理由
(iii) the contents of and reasons for the consolidation of Foreign Investment Trusts;
四 外国投資信託の併合がその効力を生ずる日
(iv) the day on which the consolidation of Foreign Investment Trusts becomes effective.
2 前項の届出書には、次に掲げる書類を添付しなければならない。
(2) The following documents must be attached to the notification under the preceding paragraph:
一 外国投資信託の併合後の外国投資信託約款等の案
(i) a draft of the Basic Terms and Conditions for a Foreign Investment Trust, etc. after the consolidation of Foreign Investment Trusts;
二 委託者指図型投資信託に類するものの場合には、受託者の同意書又はこれに代わる書類
(ii) in cases where the relevant Foreign Investment Trust is similar to an Investment Trust Managed under Instructions from the Settlor, a written consent of the trustee company or substitute documents therefor;
三 法第五十九条において準用する法第十七条第五項の規定による公告をする場合にあっては、当該公告の内容を記載した書面
(iii) in cases where giving the public notice under Article 17, paragraph (5) of the Act as applied mutatis mutandis pursuant to Article 59 of the Act, the documents stating the contents of the public notice; and
四 外国投資信託の併合に関する第九十六条第三項第一号から第四号までに係る書類に準ずる書類
(iv) documents equivalent to the documents related to the provisions of Article 96, paragraph (3), items (i) through (iv) concerning the consolidation of Foreign Investment Trusts.
(外国投資信託約款等の重大な内容の変更)
(Material Revisions to the Details of the Basic Terms and Conditions for a Foreign Investment Trust, etc.)
第九十九条 法第五十九条において準用する法第十七条第一項に規定する外国投資信託約款等の変更の内容が重大なものとして内閣府令で定めるものは、当該外国投資信託約款等の記載事項の変更であって、当該外国投資信託約款等に係る外国投資信託の商品としての基本的な性格を変更させることとなるものとする。
Article 99 The revisions to the details of the Basic Terms and Conditions for an Foreign Investment Trust specified by Cabinet Office Order as being material as referred to in Article 17, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 59 of the Act are the revisions to the information required to be included in the relevant Basic Terms and Conditions for a Foreign Investment Trust, etc., so as to change the basic characteristics as a financial instrument of the Foreign Investment Trust related to the Basic Terms and Conditions for a Foreign Investment Trust, etc.
(受益者の利益に及ぼす影響が軽微な外国投資信託の併合)
(Consolidation of Foreign Investment Trusts That Has Only a Minor Influence on Beneficiaries' Interests)
第九十九条の二 法第五十九条において準用する法第十七条第一項に規定する外国投資信託の併合が受益者の利益に及ぼす影響が軽微なものとして内閣府令で定めるものは、次に掲げる要件の全てに該当する外国投資信託の併合とする。
Article 99-2 (1) The cases which fall under those specified by Cabinet Office Order where the consolidation of Foreign Investment Trusts has only a minor influence on beneficiaries' interests as provided in Article 17, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 59 of the Act are the cases where the consolidation of Foreign Investment Trusts satisfies all of the following requirements:
一 当該併合後の外国投資信託に属することとなる財産が当該併合前の外国投資信託約款等に記載された外国投資信託の信託財産の運用方針に反しないと認められること。
(i) that the property that is to belong to the Foreign Investment Trust after the consolidation is found not to contradict the investment policy for Trust Property of the Foreign Investment Trust that is stated in the Basic Terms and Conditions for a Foreign Investment Trust, etc. before the consolidation;
二 当該併合の前後で当該外国投資信託の商品としての基本的な性格に相違がないこと。
(ii) that there is no change in the basic characteristics as a financial instrument of the Foreign Investment Trust before and after the consolidation; and
三 当該外国投資信託の信託財産の純資産総額が併合をする他の外国投資信託の信託財産の純資産総額の五倍以上であること。ただし、当該外国投資信託の信託財産と当該他の外国投資信託の信託財産の内容が実質的に同一であると認められる場合はこの限りでない。
(iii) that the total amount of net assets of the Trust Property of the Foreign Investment Trust is at least five times as much as the total amount of net assets of the Trust Property of the other Foreign Investment Trust which is to effect the consolidation; provided, however, that this does not apply to cases where the Trust Property of the Foreign Investment Trust is found to be substantially identical to the Trust Property of the relevant other Foreign Investment Trust.
2 前項第三号の純資産総額は、当該併合を決定した日(当該決定により当該決定をした日と異なる日において算定の基準となる時(当該決定をした日後から当該併合の効力が生ずる時の直前までの間に限る。)を定めた場合にあっては、当該時)において算定する。
(2) The total amount of net assets referred to in item (iii) of the preceding paragraph is calculated on the day on which the consolidation is decided (in cases where another record date for calculation that is different from the day of the decision is specified by the decision (limited to any day falling within the period after the day on which the decision is made until immediately before the consolidation becomes effective), such other day)).
(重大な約款の変更等の決定事項)
(Information Decided for Material Revisions to the Basic Terms and Conditions)
第百条 法第五十九条において準用する法第十七条第一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 100 The information specified by Cabinet Office Order as referred to in Article 17, paragraph (1), item (iv) of the Act as applied mutatis mutandis pursuant to Article 59 of the Act is the following information:
一 外国投資信託の信託約款を変更しようとする場合
(i) in cases of revising the Basic Terms and Conditions for an Investment Trust for a Foreign Investment Trust:
イ 変更後の外国投資信託約款等
(a) the Basic Terms and Conditions for a Foreign Investment Trust, etc. after revision;
ロ 外国投資信託約款等で定められた受益権の内容に変更を加え、又は受益権の価値に重大な影響を与えるおそれがあるときは、その変更又は影響の内容及び相当性に関する事項
(b) when the details of the beneficial interest provided in the Basic Terms and Conditions for a Foreign Investment Trust, etc. are to be changed, or it is likely that the changes have a material impact on the value of the beneficial interest, the information related to the details and appropriateness of such changes or impact;
ハ 外国投資信託約款等の変更がその効力を生ずる日
(c) the day on which the revisions to the Basic Terms and Conditions for a Foreign Investment Trust, etc. become effective;
ニ 外国投資信託約款等の変更をする理由
(d) the reasons for revising the Basic Terms and Conditions for a Foreign Investment Trust, etc.; and
ホ 外国投資信託約款等の変更に関する事項について受益者の不利益となる事実
(e) the facts that may be disadvantageous to beneficiaries with regard to the information related to the revisions to the Basic Terms and Conditions for a Foreign Investment Trust, etc.;
二 外国投資信託の併合をしようとする場合
(ii) in cases of consolidating Foreign Investment Trusts:
イ 外国投資信託の併合後の外国投資信託約款等の内容
(a) the details of the Basic Terms and Conditions for a Foreign Investment Trust, etc. after the consolidation of Foreign Investment Trusts;
ロ 外国投資信託約款等において定める受益権の内容に変更があるときは、その内容及び変更の理由
(b) in cases where changes are to be made to the details of the beneficial interest specified in the Basic Terms and Conditions for a Foreign Investment Trust, etc., the details thereof and the reasons for the changes;
ハ 外国投資信託の併合に際して受益者に対し金銭その他の財産を交付するときは、次に掲げる事項
(c) in cases money and other property are to be delivered to the beneficiaries upon the consolidation of Foreign Investment Trusts, the following information:
(1) 当該財産の内容及びその価額並びにこれらの事項の定めの相当性に関する事項
1. the details and value of the relevant property, as well as the information concerning the adequacy of the provisions for such information;
(2) 受益者に対して交付する金銭その他の財産の割当てに関する事項及び当該事項の定めの相当性に関する事項
2. information concerning money or any other property to be delivered to beneficiaries and the information concerning the adequacy of the provisions for such information;
ニ 外国投資信託の併合がその効力を生ずる日
(d) the day on which the consolidation of Foreign Investment Trusts becomes effective;
ホ 外国投資信託の併合をする他の外国投資信託についての次に掲げる事項その他の当該他の外国投資信託を特定するために必要な事項
(e) the following information concerning the other Foreign Investment Trust Operated which is to effect the consolidation of Foreign Investment Trusts, and any other information necessary for specifying the other Foreign Investment Trust:
(1) 委託者及び受託者の氏名又は名称及び住所
1. the trade name or name and address of the settlor and trustee;
(2) 外国投資信託の信託契約の締結日
2. the day of conclusion of a Trust Agreement for a Foreign Investment Trust; and
(3) 外国投資信託約款等の内容
3. the details of the Basic Terms and Conditions for a Foreign Investment Trust, etc.;
ヘ 外国投資信託の併合をする各外国投資信託において直前に作成された財産状況開示資料等(これに準ずる書面又は電磁的記録を含む。以下この条及び第百二条において同じ。)の内容(財産状況開示資料等を作成すべき時期が到来していないときは、その旨)
(f) the contents of the Property Status Disclosure Materials, etc. (including documents equivalent thereto or Electronic or Magnetic Records; hereinafter the same applies in this Article and Article 102) which have been prepared immediately before the consolidation of Foreign Investment Trusts by each Foreign Investment Trust which effects the consolidation (or that the time at which the Property Status Disclosure Materials, etc. should be prepared has yet to arrive, if this is the case);
ト 外国投資信託の併合をする各外国投資信託について、財産状況開示資料等を作成した後(財産状況開示資料等を作成すべき時期が到来していない場合にあっては、外国投資信託が設定された後)に、重要な外国投資信託の信託財産に属する財産の処分、重大な信託財産責任負担債務の負担その他の外国投資信託の信託財産の状況に重要な影響を与える事象が生じたときは、その内容
(g) with regard to each Foreign Investment Trust which effects the consolidation of Foreign Investment Trusts, when a disposition of property belonging to an important Trust Property of a Foreign Investment, or assumption of a material Obligation Assumed by the Trustee under the Trust Property has been made, or any other event that may have a significant influence on the status of the Trust Property of a Foreign Investment Trust has occurred after preparing the Property Status Disclosure Materials, etc. (in cases where the time at which the Property Status Disclosure Materials, etc. should be prepared has yet to arrive, after the time when the Foreign Investment Trust has been established), the details thereof;
チ 外国投資信託の併合をする理由
(h) the reasons for effecting a consolidation of Foreign Investment Trusts; and
リ 外国投資信託の併合に関する事項について受益者の不利益となる事実
(i) the facts that may be disadvantageous to beneficiaries with regard to the information concerning the consolidation of Foreign Investment Trusts.
(外国投資信託の信託契約の解約の届出)
(Notification of Cancellation of a Trust Agreement for a Foreign Investment Trust)
第百一条 法第五十九条において準用する法第十九条の規定による届出は、次に掲げる事項を記載した届出書を金融庁長官に提出して行わなければならない。
Article 101 (1) The notification under Article 19 of the Act as applied mutatis mutandis pursuant to Article 59 of the Act must be made by submitting a notification containing the following information to the Commissioner of the Financial Services Agency:
一 外国投資信託の名称
(i) the name of the Foreign Investment Trust;
二 外国投資信託の信託契約の解約の理由
(ii) the reasons for the cancellation of the Trust Agreement for a Foreign Investment Trust; and
三 外国投資信託の信託契約の解約がその効力を生ずる日
(iii) the day on which the cancellation of the Trust Agreement for a Foreign Investment Trust becomes effective.
2 前項の届出書には、次に掲げる書類を添付しなければならない。
(2) The following documents must be attached to the notification under the preceding paragraph:
一 委託者指図型投資信託に類するものの場合には、受託者の同意書又はこれに代わる書類
(i) in cases where the relevant Foreign Investment Trust is one similar to an Investment Trust Managed under Instructions from the Settlor, a written consent of the trustee or substitute documents therefor;
二 法第五十九条において準用する法第二十条第一項において準用する法第十七条第五項の規定による公告をする場合にあっては、当該公告の内容を記載した書面
(ii) in cases of giving the public notice under Article 17, paragraph (5) of the Act as applied mutatis mutandis pursuant to Article 20, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 59 of the Act, a document stating the contents of the public notice; and
三 外国投資信託の信託契約の解約に関する第九十六条第三項第一号から第四号までに係る書類に準ずる書類
(iii) documents equivalent to the documents related to the provisions of Article 96, paragraph (3), items (i) through (iv) with regard to the cancellation of the Trust Agreement for a Foreign Investment Trust.
(外国投資信託の信託契約の解約の決定事項)
(Information Decided for Cancellation of a Trust Agreement for a Foreign Investment Trust)
第百二条 法第五十九条において準用する法第二十条第一項において準用する法第十七条第一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 102 The information specified by Cabinet Office Order as referred to in Article 17, paragraph (1), item (iv) of the Act as applied mutatis mutandis pursuant to Article 20, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 59 of the Act is the following information:
一 外国投資信託の信託契約の解約の相当性に関する事項
(i) information concerning the adequacy of the cancellation of a Trust Agreement for a Foreign Investment Trust;
二 外国投資信託の信託契約の解約がその効力を生ずる日
(ii) the day on which the cancellation of a Trust Agreement for a Foreign Investment Trust becomes effective;
三 直前に作成された財産状況開示資料等の内容(財産状況開示資料等を作成すべき時期が到来していないときは、その旨)
(iii) the details of the Property Status Disclosure Materials, etc. prepared immediately before the cancellation (or that the time at which the Property Status Disclosure Materials, etc. should be prepared has yet to arrive, if this is the case);
四 財産状況開示資料等を作成した後(財産状況開示資料等を作成すべき時期が到来していない場合にあっては、外国投資信託が設定された後)に、重要な外国投資信託の信託財産に属する財産の処分、重大な信託財産責任負担債務の負担その他の外国投資信託の信託財産の状況に重要な影響を与える事象が生じたときは、その内容
(iv) when a disposition of property belonging to an important Trust Property of a Foreign Investment Trust or assumption of a material Obligation Assumed by the Trustee under the Trust Property has been made, or any other event that may have a significant influence on the status of Trust Property of a Foreign Investment Trust has occurred after the preparation of the Property Status Disclosure Materials, etc. (in cases where the time at which the Property Status Disclosure Materials, etc. should be prepared has yet to arrive, after the time when the Foreign Investment Trust has been established), the details thereof;
五 外国投資信託の信託契約の解約の理由
(v) the reasons for canceling the Trust Agreement for a Foreign Investment Trust; and
六 外国投資信託の信託契約の解約に関する事項について受益者の不利益となる事実
(vi) information that may be disadvantageous to beneficiaries with regard to the matters concerning the cancellation of a Trust Agreement for a Foreign Investment Trust.
第五章 投資法人
Chapter V Investment Corporations
第一節 投資法人
Section 1 Investment Corporations
(電磁的記録)
(Electronic or Magnetic Records)
第百三条 法第六十六条第二項に規定する内閣府令で定める電磁的記録は、磁気ディスクその他これに準ずる方法により一定の情報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情報を記録したものとする。
Article 103 The Electronic or Magnetic Record specified by Cabinet Office Order as referred to in Article 66, paragraph (2) of the Act is that recording information in a file that has been prepared using media which can securely record certain information by magnetic disks, or any other means equivalent thereto.
(電子署名)
(Electronic Signature)
第百四条 次に掲げる規定に規定する内閣府令で定める署名又は記名押印に代わる措置は、電子署名とする。
Article 104 (1) The measures in lieu of signing or affixing names and seals specified by Cabinet Office Order as referred to in the following provisions are Electronic Signature:
一 法第六十六条第二項
(i) Article 66, paragraph (2) of the Act;
二 法第百十五条第一項において準用する会社法第三百六十九条第四項
(ii) Article 369, paragraph (4) of the Companies Act as applied mutatis mutandis pursuant to Article 115, paragraph (1) of the Act;
三 法第百三十九条の七において準用する会社法第六百八十二条第三項
(iii) Article 682, paragraph (3) of the Companies Act as applied mutatis mutandis pursuant to Article 139-7 of the Act;
四 法第百三十九条の七において準用する会社法第六百九十五条第三項
(iv) Article 695, paragraph (3) of the Companies Act as applied mutatis mutandis pursuant to Article 139-7 of the Act; and
五 法第百五十四条の三第二項において準用する会社法第三百六十九条第四項
(v) Article 369, paragraph (4) of the Companies Act as applied mutatis mutandis pursuant to Article 154-3, paragraph (2) of the Act.
2 前項に規定する電子署名とは、電磁的記録(法第六十六条第二項に規定する電磁的記録をいう。以下同じ。)に記録することができる情報について行われる措置であって、次の要件のいずれにも該当するものをいう。
(2) The Electronic Signature as referred to in the preceding paragraph is a measure taken for the information which may be recorded in an Electronic or Magnetic Record (meaning the Electronic or Magnetic Record as prescribed in Article 66, paragraph (2) of the Act; the same applies hereinafter), that satisfy all of the following requirements:
一 当該情報が当該措置を行った者の作成に係るものであることを示すためのものであること。
(i) the measure is one for indicating that the relevant information has been prepared by the person who has taken the measure; and
二 当該情報について改変が行われていないかどうかを確認することができるものであること。
(ii) the measure is one that enables to confirm as to whether the relevant information has been altered or not.
(規約の記載事項の細目)
(Details of the Information Required to Be Included in the Certificate of Incorporation)
第百五条 法第六十七条第五項に規定する内閣府令で定める細目は、次の各号に掲げる事項の区分に応じ、当該各号に定めるものとする。
Article 105 The details specified by Cabinet Office Order as referred to in Article 67, paragraph (5) of the Act are those specified in the following items according to the category of information listed in the respective items:
一 法第六十七条第一項第七号に掲げる事項 次に掲げるもの
(i) information listed in Article 67, paragraph (1), item (vii) of the Act: the following:
イ 資産運用の基本方針
(a) the basic policy for assets investments;
ロ 資産運用の対象とする特定資産の種類、目的及び範囲
(b) the type, purpose, and scope of the Specified Assets which are the subject of assets investments;
ハ 資産運用の対象とする特定資産以外の資産の種類
(c) the type of assets other than Specified Assets which are the subject of assets investments;
ニ 資産運用の対象とする資産について、その種類、銘柄若しくは通貨ごとの保有額若しくは保有割合に係る制限又は取得できる銘柄の範囲に係る制限その他の運用に制限を設ける場合にあっては、その内容
(d) with regard to the assets which are the subject of the assets investments, in cases of imposing limitation on the amount for holding the assets for each type, issue or currency, or on the holding ratio thereof, limitation for the scope of issue of assets which may be acquired, or any other limitation on investments, the details thereof;
ホ 資産を主として有価証券(金融商品取引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各号に掲げる権利を除く。以下ホにおいて同じ。)に対する投資として運用すること(有価証券についての同法第二十八条第八項第六号に規定する有価証券関連デリバティブ取引を行うことを含む。)を目的とする場合は、その旨
(e) that the Investment Corporation has the purpose of investing the assets mainly into Securities (excluding rights listed in the items of Article 2, paragraph (2) of the Financial Instruments and Exchange Act deemed as Securities pursuant to that paragraph; hereinafter the same applies in this sub-item (e)) (including the Transactions of Securities-Related Derivatives defined in Article 28, paragraph (8), item (vi) of that Act conducted for Securities), if this is the case;
ヘ 資産を主として不動産等資産(不動産、不動産の賃借権、地上権、再生可能エネルギー発電設備、公共施設等運営権、これらの資産のみを信託する信託の受益権又は第二百二十一条の二第一項に規定する法人(以下「海外不動産保有法人」という。)の発行済株式(当該発行済株式(当該海外不動産保有法人が有する自己の株式を除く。)の総数に第二百二十一条に規定する率を乗じて得た数を超えて取得する当該発行済株式に限る。)をいう。)に対する投資として運用することを目的とする場合は、その旨
(f) that the Investment Corporation has the purpose of investing the assets mainly into real property and other assets (meaning real property, rights of lease of real property, superficies rights, Renewable Energy Power Generation Facilities or Right to Operate Public Facility, etc., beneficial interests of trusts in which only these assets are entrusted, or Issued Shares of a corporation provided in Article 221-2, paragraph (1) (hereinafter referred to as "Foreign Real Property Holding Corporation") (limited to cases where the number of the Issued Shares to be acquired exceeds the number obtained by multiplying the total number of the Issued Shares (excluding shares in the Foreign Real Property Holding Corporation owned by that Foreign Real Property Holding Corporation itself) by the rate specified in Article 221)), if this is the case;
ト 組入資産の貸付けを行う場合は、その目的及び範囲
(g) in cases of loaning incorporated assets, the purpose thereof as well as the scope; and
チ 令第百十六条の二に定める場合において、海外不動産保有法人の発行済株式又は出資(当該海外不動産保有法人が有する自己の株式又は出資を除く。)の総数又は総額に第二百二十一条に規定する率を乗じて得た数又は額を超えて当該発行済株式又は出資を取得する場合には、その旨
(h) that, in the cases referred to in Article 116-2 of the Order, the number or the amount of Issued Shares or equity in a Foreign Real Property Holding Corporation to be acquired exceeds the number or the amount obtained by multiplying the total number or the total amount of the Issued Shares or equity (excluding shares or equity in the Foreign Real Property Holding Corporation owned by that Foreign Real Property Holding Corporation itself) by the rate specified in Article 221, if this is the case;
二 法第六十七条第一項第八号に掲げる事項 次に掲げる資産の区分に応じ、それぞれ次に定めるもの
(ii) information listed in Article 67, paragraph (1), item (viii) of the Act; the following according the category of assets listed in the following sub-items:
イ 有価証券 公表されている最終価格に基づき算出した価額又はこれに準ずるものとして合理的な方法により算出した価額による旨
(a) Securities: a statement to the effect that the investment is made at the value calculated based on the publicized closing price, or the value calculated by a reasonable method as being equivalent thereto; and
ロ 有価証券以外の資産 当該資産の種類ごとに、公正妥当な資産の評価の方法
(b) assets other than Securities: the fair and appropriate method for appraisal of assets for each type of the relevant assets;
三 法第六十七条第一項第九号に掲げる事項 次に掲げるもの
(iii) information listed in Article 67, paragraph (1), item (ix) of the Act: the following:
イ 投資主に分配する金銭の総額の計算方法
(a) the method of calculation of the total amount of money to be distributed to Investors;
ロ 利益(法第百三十六条第一項に規定する利益をいう。)を超えて金銭の分配をする場合は、その旨及び分配に充てるべき金額の計算方法
(b) in cases of distributing money in excess of Profits (meaning the Profits as prescribed in Article 136, paragraph (1) of the Act), an indication of this and the method of calculating the money to be allocated for distribution; and
ハ その他金銭の分配の方針として特に定めた事項
(c) other information especially specified as the policy of distribution of money;
四 法第六十七条第一項第十二号に掲げる事項 執行役員、監督役員及び会計監査人のそれぞれについて、その報酬の具体的な金額又はその計算方法及び支払の時期
(iv) the matters listed in Article 67, paragraph (1), item (xii) of the Act: with regard to executive managing officers, supervisory officers and a financial auditor, the concrete amount of remuneration, the method of calculation thereof, and the timing of payment provided respectively;
五 法第六十七条第一項第十三号に掲げる事項 資産運用会社に対する資産運用報酬の具体的な金額又はその計算方法及び支払の時期
(v) information listed in Article 67, paragraph (1), item (xiii) of the Act: the concrete amount of asset investment fees to be paid to an Asset Management Company and the method of calculation and timing of payment thereof;
六 法第六十七条第一項第十四号に掲げる事項 成立時の一般事務受託者、資産運用会社及び資産保管会社となるべき者の全てについて、それぞれ次に掲げるもの
(vi) information listed in Article 67, paragraph (1), item (xiv) of the Act: the following listed respectively for all of the persons who are to become the Administrative Agent, Asset Management Company, and Asset Custody Company at the time of establishment of the Investment Corporation:
イ 氏名又は名称(当該資産運用会社となるべき者が適格投資家向け投資運用業を行うことにつき金融商品取引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。)及び住所
(a) the names (including an indication that the relevant person who is to become the Asset Management Company is a Financial Instruments Business Operator registered under Article 29 of the Financial Instruments and Exchange Act for engaging in the Investment Management Business for Qualified Investors, if this is the case) and addresses;
ロ これらの者との間の契約において定めるべき事項のうち、委託すべき業務の内容、契約期間及び当該期間中の解約に関する事項、契約の内容の変更に関する事項、これらの者に支払う報酬又は手数料の額(具体的な金額又はその計算方法)並びにその支払の時期及び方法その他重要な事項(成立時において資産運用会社となるべき者と締結すべき契約に、資産の運用に係る権限の一部の再委託に関する規定を設ける場合においては、当該規定の内容(資産の運用に係る権限の一部を適格投資家向け投資運用業を行うことにつき金融商品取引法第二十九条の登録を受けた金融商品取引業者に再委託することを内容とするものであるときは、その旨を含む。)を含む。)
(b) among the information to be specified in the contract to be concluded with the above-mentioned persons, the contents of the business to be entrusted, contract period, information concerning the cancellation of contract during the period, information related to the changes to the contents of the contract, the amount of remuneration of fees to be paid to the persons (the concrete amount or the method of calculation thereof), the timing for the payment thereof, and any other material information (in cases where provisions concerning the partial re-entrustment of the authority for assets investments are stipulated in the contract to be concluded with the person who is to become an Asset Custody Company at the time of establishment, including the details of the provisions (including an indication that it is stipulated in the contract that the authority for asset investments is partially re-entrusted to a Financial Instruments Business Operator registered under Article 29 of the Financial Instruments and Exchange Act for engaging in the Investment Management Business for Qualified Investors, if this is the case));
七 法第六十七条第一項第十五号に掲げる事項 次に掲げるもの
(vii) information listed in Article 67, paragraph (1), item (xv) of the Act: the following:
イ 借入れの目的、借入金の限度額及び借入金の使途に関する事項並びに借入先を適格機関投資家に限る場合はその旨
(a) information concerning the purpose, maximum amount, and use of the borrowing, and that the lenders for the borrowing are limited to Qualified Institutional Investors, if this is the case; and
ロ 投資法人債の発行目的、投資法人債発行の限度額及び投資法人債の発行により調達した資金の使途に関する事項
(b) information concerning the purpose of issuing Investment Corporation Bonds, the maximum amount for issuing Investment Corporation Bonds, the use of funds procured from the issuance of Investment Corporation Bonds.
(電磁的記録に記録された事項を表示する方法)
(Method of Indicating Information Recorded in an Electronic or Magnetic Record)
第百六条 次に掲げる規定に規定する内閣府令で定める方法は、次に掲げる規定の電磁的記録に記録された事項を紙面又は映像面に表示する方法とする。
Article 106 The method specified by Cabinet Office Order as referred to in the following provisions is the method of indicating the information recorded in the Electronic or Magnetic Record under the following provisions on paper or on a computer screen:
一 法第六十七条第七項において準用する会社法第三十一条第二項第三号
(i) Article 31, paragraph (2), item (iii) of the Companies Act as applied mutatis mutandis pursuant to Article 67, paragraph (7) of the Act;
二 法第七十三条第四項において準用する会社法第七十四条第七項第二号
(ii) Article 74, paragraph (7), item (ii) of the Companies Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act;
三 法第七十三条第四項において準用する会社法第七十六条第五項
(iii) Article 76, paragraph (5) of the Companies Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act;
四 法第七十三条第四項において準用する会社法第八十一条第三項第二号
(iv) Article 81, paragraph (3), item (ii) of the Companies Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act;
五 法第七十三条第四項において準用する会社法第八十二条第三項第二号
(v) Article 82, paragraph (3), item (ii) of the Companies Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act;
六 法第七十七条の三第三項において準用する会社法第百二十五条第二項第二号
(vi) Article 125, paragraph (2), item (ii) of the Companies Act as applied mutatis mutandis pursuant to Article 77-3, paragraph (3) of the Act;
七 法第八十一条の二第二項において準用する会社法第百八十二条の二第二項第三号
(vii) Article 182-2, paragraph (2), item (iii) of the Companies Act as applied mutatis mutandis pursuant to Article 81-2, paragraph (2) of the Act;
八 法第八十一条の二第二項において準用する会社法第百八十二条の六第三項第三号
(viii) Article 182-6, paragraph (3), item (iii) of the Companies Act as applied mutatis mutandis pursuant to Article 81-2, paragraph (2) of the Act;
九 法第八十八条の五第二項において準用する会社法第二百五十二条第二項第二号
(ix) Article 252, paragraph (2), item (ii) of the Companies Act as applied mutatis mutandis pursuant to Article 88-5, paragraph (2) of the Act;
十 法第九十二条の二第五項
(x) Article 92-2, paragraph (5) of the Act;
十一 法第九十四条第一項において準用する会社法第三百十条第七項第二号
(xi) Article 310, paragraph (7), item (ii) of the Companies Act as applied mutatis mutandis pursuant to Article 94, paragraph (1) of the Act;
十二 法第九十四条第一項において準用する会社法第三百十八条第四項第二号
(xii) Article 318, paragraph (4), item (ii) of the Companies Act as applied mutatis mutandis pursuant to Article 94, paragraph (1) of the Act;
十三 法第百十五条第一項において準用する会社法第三百七十一条第二項第二号
(xiii) Article 371, paragraph (2), item (ii) of the Companies Act as applied mutatis mutandis pursuant to Article 115, paragraph (1) of the Act;
十四 法第百十五条の二第四項において準用する会社法第三百九十六条第二項第二号
(xiv) Article 396, paragraph (2), item (ii) of the Companies Act as applied mutatis mutandis pursuant to Article 115-2, paragraph (4) of the Act;
十五 法第百二十八条の三第一項第二号
(xv) Article 128-3, paragraph (1), item (ii) of the Act;
十六 法第百三十二条第二項において準用する会社法第四百四十二条第三項第三号
(xvi) Article 442, paragraph (3), item (iii) of the Companies Act as applied mutatis mutandis pursuant to Article 132, paragraph (2) of the Act;
十七 法第百三十九条の七において準用する会社法第六百八十四条第二項第二号
(xvii) Article 684, paragraph (2), item (ii) of the Companies Act as applied mutatis mutandis pursuant to Article 139-7 of the Act;
十八 法第百三十九条の十第二項において準用する会社法第七百三十一条第三項第二号
(xviii) Article 731, paragraph (3), item (ii) of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act;
十九 法第百四十九条第二項第三号(法第百四十九条の六第二項、第百四十九条の十第三項、第百四十九条の十一第二項又は第百四十九条の十六第三項において準用する場合を含む。)
(xix) Article 149, paragraph (2), item (iii) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 149-6, paragraph (2), Article 149-10, paragraph (3), Article 149-11, paragraph (2), or Article 149-16, paragraph (3) of the Act); and
二十 法第百五十四条の三第二項において準用する会社法第三百七十一条第二項第二号
(xx) Article 371, paragraph (2), item (ii) of the Companies Act as applied mutatis mutandis pursuant to Article 154-3, paragraph (2) of the Act.
(投資法人の設立の届出)
(Notification of Incorporation of an Investment Corporation)
第百七条 設立企画人は、法第六十九条第一項の規定による届出をしようとするときは、別紙様式第二号により作成した投資法人設立届出書の正本及び副本二通を、設立しようとする投資法人の本店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 107 When making the notification under Article 69, paragraph (1) of the Act, an organizer must submit an original copy and two duplicate copies of the notification of incorporation of an Investment Corporation prepared using appended form No. 2 to the Director-General of a Local Finance Bureau who has jurisdiction over the location of the head office of the Investment Corporation intended to be incorporated (in cases where the location is within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, the Director-General of the Fukuoka Local Finance Branch Bureau).
(投資法人設立届出書の添付書類)
(Documents to Be Attached to the Notification of Incorporation of an Investment Corporation)
第百八条 前条の投資法人設立届出書には、法第六十九条第二項に規定する規約を、三通(規約が電磁的記録で作成されているときは、次条に定める電磁的記録一部)添付しなければならない。
Article 108 (1) Three copies of the certificate of incorporation referred to in Article 69, paragraph (2) of the Act (in cases where the certificate of incorporation is prepared in the form of an Electronic or Magnetic Record, one set of Electronic or Magnetic Record prescribed in the following Article) must be attached to the notification of incorporation of an Investment Corporation under the preceding Article.
2 法第六十九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(官公署が証明する書類の場合には、申請の日前三月以内に作成されたものに限る。)とする。
(2) The documents specified by Cabinet Office Order as referred to in Article 69, paragraph (2) of the Act are the following documents (in cases of documents certified by public agencies, limited to those prepared within three months before the date of application):
一 設立企画人(法人である場合には、その法人の役員及び設立企画人としての職務を行う使用人。第四号において同じ。)及び設立時執行役員(法第六十九条第一項に規定する設立時執行役員をいう。以下同じ。)の候補者の住民票の抄本(当該設立企画人又は設立時執行役員の候補者が外国人であり、かつ、国内に居住している場合には、在留カード(出入国管理及び難民認定法(昭和二十六年政令第三百十九号)第十九条の三に規定する在留カードをいう。第二百十五条第四号において同じ。)の写し、特別永住者証明書(日本国との平和条約に基づき日本の国籍を離脱した者等の出入国管理に関する特例法(平成三年法律第七十一号)第七条第一項に規定する特別永住者証明書をいう。第二百十五条第四号において同じ。)の写し又は住民票の抄本)若しくは登記事項証明書又はこれらに代わる書面
(i) extracts of the residence certificates of the organizer(s) (in cases where the organizer is a corporation, the officer of the corporation as well as the employee who carries out the duties as an organizer; the same applies in item (iv)) and the candidate(s) for an Executive Managing Officer at Incorporation (meaning the Executive Managing Officer at Incorporation as prescribed in Article 69, paragraph (1) of the Act; the same applies hereinafter) (in cases where the relevant organizer(s) or candidate for the Executive Managing Officer at Incorporation is a foreign national and has a residence in Japan, a copy of the Residence Card (meaning the Residence Card as prescribed in Article 19-3 of the Immigration Control and Refugee Recognition Act (Cabinet Order No. 319 of 1951); the same applies in Article 215, item (iv)), a copy of the Special Permanent Resident Certificate (meaning the Special Permanent Resident Certificate as prescribed in Article 7, paragraph (1) of the Special Act on the Immigration Control of, Inter Alia, Those Who Have Lost Japanese Nationality Pursuant to the Treaty of Peace with Japan (Act No. 71 of 1991); the same applies in Article 215, item (iv)), or an extract of the residence certificate), or the certificate of registered information thereof, or substitute documents therefor;
二 設立企画人(法人である場合を除く。次号及び第六号において同じ。)及び設立時執行役員の候補者が法第九十八条第二号及び第三号に該当しない旨の官公署の証明書(当該設立企画人又は設立時執行役員の候補者が外国人である場合を除く。)
(ii) a certificate issued by a public agency providing to the effect that the organizer(s) (excluding cases where the organizer is a corporation; the same applies in the following item and item (vi)) and candidate(s) for an Executive Managing Officer at Incorporation does not fall under the category of persons listed in Article 98, items (ii) and (iii) of the Act (excluding cases where the relevant organizer(s) or candidate(s) for an Executive Managing Officer at Incorporation is a foreign national);
三 別紙様式第三号により作成した設立企画人及び設立時執行役員の候補者が法第九十八条第四号及び第五号(当該設立企画人又は設立時執行役員の候補者が外国人である場合には、同条第二号から第五号まで)のいずれにも該当しないことを誓約する書面
(iii) a document pledging that the organizer(s) or candidate(s) for an Executive Managing Officer at Incorporation does not fall under any of the category of persons listed in Article 98, items (iv) and (v) of the Act (in cases where the relevant organizer(s) or candidate(s) for an Executive Managing Officer at Incorporation is a foreign national, items (ii) through (v) of that Article) which has been prepared using appended form No. 3;
四 別紙様式第四号又は第五号により作成した設立企画人及び設立時執行役員の候補者の履歴書又は沿革
(iv) a resume(s) or history of the organizer(s) and candidate(s) for an Executive Managing Officer at Incorporation which has been prepared using appended form No. 4 or No. 5;
五 設立企画人が法人である場合にあっては、別紙様式第六号により作成した当該法人の主要な株主又は出資者の氏名又は名称、その保有する議決権の数等を記載した書面並びに定款及び登記事項証明書又はこれらに代わる書面
(v) in cases where the organizer is a corporation, a document stating the names of the major shareholders or equity investors of the corporation, the number of voting rights held thereby, and other matters which has been prepared using appended form No. 6, as well as the articles of incorporation and certificate of registered information of the corporation, or substitute documents therefor;
六 設立企画人が法第六十六条第三項第二号に掲げる者(令第五十四条第二項第一号に掲げる者を除く。)である場合にあっては、別紙様式第七号により作成した当該者に該当することを証明する書面及びその根拠となる書類
(vi) in cases where the organizer is a person listed in Article 66, paragraph (3), item (ii) of the Act (excluding those listed in Article 54, paragraph (2), item (i) of the Order), a document proving that the organizer is such person which has been prepared using appended form No. 7, and documents which form the basis therefor; and
七 設立企画人が複数ある場合において、これらの者のうち特定の者が投資法人の設立に係る届出を行う場合には、当該特定の者が当該届出に関する一切の行為につき他の設立企画人から権限を与えられていることを証明する書面
(vii) in cases where there are two or more organizers, when a specific person among such organizers makes the notification for the incorporation of an Investment Corporation, a document proving that the specific person has been granted by other organizers with the authority for any acts concerning the notification.
(投資法人設立届出書に添付すべき電磁的記録)
(Electronic or Magnetic Record to Be Attached to the Notification of Incorporation of an Investment Corporation)
第百八条の二 法第六十九条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カートリッジに該当する構造の磁気ディスクとする。
Article 108-2 (1) The Electronic or Magnetic Record specified by Cabinet Office Order as referred to in Article 69, paragraph (3) of the Act is a 90mm flexible magnetic disk cartridge in conformity with Japanese Industrial Standards (hereinafter referred to as "JIS") X6223 under the Industrial Standardization Act (Act No. 185 of 1949).
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 of information to the Electronic or Magnetic Record under the preceding paragraph must be completed in accordance with the following specification:
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 specification designated by 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 the volume and file configuration, the specification designated by 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 Electronic or Magnetic Record set forth in paragraph (1), a document containing the following information must be affixed to the label area specified by JIS X6223:
一 申請者の商号
(i) the trade name of the applicant; and
二 申請年月日
(ii) the application filing date.
(投資法人設立に係る届出の受理)
(Acceptance of Notification for Incorporation of Investment Corporations)
第百九条 財務局長又は福岡財務支局長(以下「財務局長等」という。)は、投資法人設立届出書を受理したときは、投資法人設立届出書の副本及び規約各一通(規約が電磁的記録で作成されているときは、当該電磁的記録に記録された事項を記載した書面一通)に受理印を押して受理番号を記入した上で、当該副本及び規約を届出者に還付しなければならない。
Article 109 When the Director-General of a Local Finance Bureau or the Director-General of the Fukuoka Local Finance Branch Bureau (hereinafter collectively referred to as the "Director-General of a Local Finance Bureau, etc.") accepts a notification of incorporation of an Investment Corporation, the Director-General must, after affixing the seal of acceptance on each one duplicate copy of the notification of incorporation of an Investment Corporation and certificate of incorporation (in cases where the certificate of incorporation is prepared in the form of an Electronic or Magnetic Record, one set of the documents stating the information recorded in the Electronic or Magnetic Record), and entering the acceptance number therein, return the duplicate copy and certificate of incorporation to the person who submitted the notification.
(投資法人が成立しなかった場合の届出)
(Notification In Cases of Failure of Establishment of an Investment Corporation)
第百十条 投資法人が成立しなかった場合には、設立企画人は、速やかに、別紙様式第八号により作成した投資法人の不成立に関する届出書を、当該投資法人に係る投資法人設立届出書を受理した財務局長等に提出しなければならない。
Article 110 (1) In cases where an Investment Corporation has failed to be established, an organizer(s) must immediately submit a notification concerning the failure of establishment of an Investment Corporation which has been prepared using appended form No. 8 to the Director-General of the Local Finance Bureau, etc., who has accepted the notification of incorporation of an Investment Corporation for the relevant Investment Corporation.
2 設立企画人は、前項の規定による届出をしようとするときは、当該投資法人が成立しなかった理由を明らかにする書面を添付しなければならない。
(2) When making the notification under the preceding paragraph, an organizer must attach a document clarifying the reasons for the failure of establishment of the Investment Corporation.
(申込みをしようとする者に対して通知すべき事項)
(Information to Be Notified to Persons Who Intend to File Applications)
第百十一条 法第七十一条第一項第十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 111 The information specified by Cabinet Office Order as referred to in Article 71, paragraph (1), item (x) of the Act is the following information:
一 設立時執行役員の候補者の生年月日、略歴及びその者が当該投資法人の設立時執行役員に就任した場合において投資法人の計算に関する規則(平成十八年内閣府令第四十七号)第七十四条第六号に定める重要な兼職に該当する事実があることとなるときは、その事実
(i) the dates of birth and careers of the candidates for an Executive Managing Officer at Incorporation, and, in cases where such person has assumed the office of the Executive Managing Officer at Incorporation of the relevant Investment Corporation and there are facts pertaining to such candidates which fall under a concurrent holding of important posts as provided in Article 74, item (vi) of the Regulation on Accountings of Investment Corporations (Cabinet Office Order No. 47 of 2006), such facts;
二 設立時執行役員の候補者と成立時に法第百八十八条第一項第四号に規定する委託契約(以下「資産運用委託契約」という。)を締結すべき者との利害関係の有無及び利害関係があるときは、その内容
(ii) a statement as to whether the candidate for an Executive Managing Officer at Incorporation has any special interest with the person with whom an entrustment contract referred to in Article 188, paragraph (1), item (iv) of the Act (hereinafter referred to as the "Entrustment Contract for Assets Investment") is to be concluded at the time of establishment, and the details thereof, if any;
三 設立時監督役員(法第七十一条第一項第六号に規定する設立時監督役員をいう。以下同じ。)の候補者の生年月日、略歴及びその者が当該投資法人の設立時監督役員に就任した場合において投資法人の計算に関する規則第七十四条第六号に定める重要な兼職に該当する事実があることとなるときは、その事実
(iii) the dates of birth and careers of the candidates for Supervisory Officers at Incorporation (meaning the Supervisory Officers at Incorporation as prescribed in Article 71, paragraph (1), item (vi) of the Act; the same applies hereinafter), and in cases where such person has assumed the office of the Supervisory Officers at Incorporation of the relevant Investment Corporation and there are facts pertaining to such candidates which fall under a concurrent holding of important posts as provided in Article 74, item (v) of the Regulation on Accountings of Investment Corporations, such facts;
四 設立時会計監査人(法第七十一条第一項第六号に規定する設立時会計監査人をいう。以下同じ。)の候補者について、その者が公認会計士であるときは、生年月日、略歴及び所属する事務所の所在場所、その者が監査法人であるときは、主たる事務所の所在場所及び沿革
(iv) with regard to candidates for a Financial Auditor at Incorporation (meaning the Financial Auditor at Incorporation as prescribed in Article 71, paragraph (1), item (vi) of the Act; the same applies hereinafter), in cases where such candidates are a certified public accountant, the date of birth and career thereof, as well as the location of the office to which the candidates belong, and in cases where such candidates are an auditing firm, the location of the principal office and the history thereof;
五 設立時募集投資口(法第七十条の二第一項に規定する設立時募集投資口をいう。以下同じ。)の引受けの申込みに際して、当該申込みをした者が支払う手数料の有無及び支払う手数料があるときは、その内容
(v) information on as to whether there are any fees to be paid by the person who filed an application for subscription of investment equity for subscription at incorporation (meaning the investment equity for subscription at incorporation as prescribed in Article 70-2, paragraph (1) of the Act; the same applies hereinafter), and the details thereof, if any;
六 当該設立時募集投資口に係る投資証券の募集が、金融商品取引法第二条第三項第一号に掲げる場合に該当するものにあっては、その旨
(vi) that the Public Offering of Investment Securities related to the relevant investment equity for subscription at incorporation falls under the case set forth in Article 2, paragraph (3), item (i) of the Financial Instruments and Exchange Act, if this is the case; and
七 規約に定められた事項(法第七十一条第一項第一号から第九号まで及び前各号に掲げる事項を除く。)であって、設立企画人に対して設立時募集投資口の引受けの申込みをしようとする者が当該者に対して通知することを請求した事項
(vii) information specified in the certificate of incorporation (excluding the information set forth in Article 71, paragraph (1), items (i) through (ix) of the Act and the preceding items), which are those for which the person who intends to file an application to subscribe the investment equity for subscription at incorporation request the organizer to notify the person.
(払込取扱機関)
(Institution for Payments)
第百十二条 法第七十一条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 112 The institutions specified by Cabinet Office Order as referred to in Article 71, paragraph (2) of the Act are as follows:
一 農業協同組合法(昭和二十二年法律第百三十二号)第十条第一項第三号の事業を行う農業協同組合又は農業協同組合連合会
(i) the agricultural cooperatives or federations of agricultural cooperatives engaged in the business under Article 10, paragraph (1), item (iii) of the Agricultural Cooperatives Act (Act No. 132 of 1947);
二 水産業協同組合法(昭和二十三年法律第二百四十二号)第十一条第一項第四号、第八十七条第一項第四号、第九十三条第一項第二号又は第九十七条第一項第二号の事業を行う漁業協同組合、漁業協同組合連合会、水産加工業協同組合又は水産加工業協同組合連合会
(ii) the fisheries cooperatives, federations of fisheries cooperatives, fishery processing cooperatives, or federations of fishery processing cooperatives engaged in the business under Article 11, paragraph (1), item (iv), Article 87, paragraph (1), item (iv), Article 93, paragraph (1), item (ii) or Article 97, paragraph (1), item (ii) of the Fisheries Cooperatives Act (Act No. 242 of 1948);
三 信用協同組合又は中小企業等協同組合法(昭和二十四年法律第百八十一号)第九条の九第一項第一号の事業を行う協同組合連合会
(iii) the credit cooperatives, or the federation of cooperatives engaged in the business set forth in Article 9-9, paragraph (1), item (i) of the Small and Medium-Sized Enterprise Cooperatives Act (Act No. 181 of 1949);
四 信用金庫又は信用金庫連合会
(iv) Shinkin Banks or federation of Shinkin Banks;
五 労働金庫又は労働金庫連合会
(v) labor banks or federation of labor banks;
六 農林中央金庫
(vi) Norin Chukin Bank;
七 金融商品取引業者(金融商品取引法第二条第九項に規定する金融商品取引業者をいい、同法第二十八条第五項に規定する有価証券等管理業務を行う者に限る。)
(vii) a Financial Instruments Business Operator (meaning the Financial Instruments Business Operator as defined in Article 2, paragraph (9) of the Financial Instruments and Exchange Act, and limited to those engaged in the Securities, etc. Management Business defined in Article 28, paragraph (5) of that Act); and
八 株式会社商工組合中央金庫
(viii) Shoko Chukin Bank Limited.
(申込みをしようとする者に対する通知事項の細目)
(Details of the Information to Be Notified to Persons Who Intend to File Applications)
第百十三条 法第七十一条第三項に規定する内閣府令で定める細目は、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 113 The details specified by Cabinet Office Order as referred to in Article 71, paragraph (3) of the Act are those specified in the following items according to the category of persons listed in the respective items:
一 設立時執行役員の候補者 氏名及び住所並びに当該候補者が次に掲げる者の一又は二以上に該当する場合には、次に掲げる区分に応じ、それぞれ次に定めるもの
(i) a candidate for an Executive Managing Officer at Incorporation: the name, and in cases where the relevant candidate falls under the category of persons listed in the following sub-items, the matters according to the category listed in the respective sub-items:
イ 設立企画人の親族(配偶者並びに二親等以内の血族及び姻族に限る。以下同じ。) 当該設立企画人の氏名及び親族関係の内容
(a) a relative(s) of the organizer (limited to the spouse thereof and the relatives by blood or affinity within the second degree of kinship; the same applies hereinafter): the name of the organizer as well as the details of the family relationship;
ロ 設立企画人が法人である場合におけるその役員又は使用人(以下この条において「役員等」という。) 当該設立企画人の名称並びに当該設立企画人における最終役職名及びその在職期間
(b) in cases where the organizer is a corporation, the officer or employee thereof (hereinafter collectively referred to as the "Officer, etc." in this Article): the name of the relevant organizer as well as the final title and the period of assuming the office at the corporation which is the organizer;
ハ 設立企画人が法人である場合におけるその主要株主(総株主等の議決権の百分の十以上の議決権に係る株式又は出資を自己又は他人(仮設人を含む。)の名義をもって所有している株主又は出資者をいう。) 当該設立企画人の名称及び保有している議決権の数
(c) in cases where the organizer is a corporation, the Major Shareholder (meaning shareholders or equity investors who hold shares or equity pertaining to voting rights of 10 percent or more of the Voting Rights Held by All the Shareholders, etc. in their own name or another person's name (including a fictitious name)) thereof: the name of the relevant organizer as well as the number of voting rights held thereby;
ニ 設立企画人の親会社(法人の総株主等の議決権の過半数を保有している株式会社をいう。以下ニにおいて同じ。)の役員等 当該設立企画人及び当該設立企画人の親会社の名称並びに当該親会社における最終役職名及びその在職期間
(d) the Officers, etc. of the Parent Company (meaning a stock company which holds a majority of Voting Rights Held by All the Shareholders, etc. of the corporation; hereinafter the same applies in sub-item (d)) of the organizer: the name of the relevant organizer and the Parent Company thereof as well as the final title and period of assuming office at the Parent Company;
ホ 設立企画人の子会社(法人がその総株主の議決権(法第百条第三号に規定する議決権をいう。)の過半数を保有する株式会社をいう。以下同じ。)の役員等 当該設立企画人及び当該設立企画人の子会社の名称並びに当該子会社における最終役職名及びその在職期間
(e) the Officers, etc. of a Subsidiary Company (meaning a stock company whose majority of Voting Rights (meaning the voting rights referred to in Article 100, item (iii) of the Act) of all shareholders are held by a corporation; the same applies hereinafter): the name of the relevant organizer and the Subsidiary Company thereof as well as the final title and period of assuming office at the Subsidiary Company; and
二 設立時監督役員及び設立時会計監査人の候補者 氏名又は名称及び住所
(ii) candidates for Supervisory Officers at Incorporation or a Financial Auditor at Incorporation: the names and addresses.
(電磁的方法)
(Electronic or Magnetic Means)
第百十四条 法第七十一条第五項に規定する電子情報処理組織を使用する方法その他の情報通信の技術を利用する方法であって内閣府令で定めるものは、次に掲げる方法とする。
Article 114 (1) The method using an electronic data processing system and other information and communications technology as specified by Cabinet Office Order as referred to in Article 71, paragraph (5) of the Act is the following means:
一 電子情報処理組織を使用する方法のうちイ又はロに掲げるもの
(i) the method using an Electronic Data Processing System that are listed in sub-item (a) or sub-item (d):
イ 送信者の使用に係る電子計算機と受信者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) the method of transmitting information via a telecommunications line that links the computer used by the sender and the computer used by the recipient and recording such information in the file stored on the computer used by the recipient; or
ロ 送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された情報の内容を電気通信回線を通じて情報の提供を受ける者の閲覧に供し、当該情報の提供を受ける者の使用に係る電子計算機に備えられたファイルに当該情報を記録する方法
(b) the method of offering the details of the information which are recorded in a file stored on the computer used by the sender to the person who receives the provision of the information for inspection via a telecommunications line and recording the information in the file stored on the computer used by the person who receives the provision of the information;
二 磁気ディスクその他これに準ずる方法により一定の情報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情報を記録したものを交付する方法
(ii) the method of delivering a file containing the information that has been prepared using media which can securely record certain information by magnetic disks, or any other means equivalent thereto.
2 前項各号に掲げる方法は、受信者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 one that enables the recipient to prepare documents by outputting the records in the file.
第百十五条 令第五十九条第一項又は第七十九条第一項の規定により示すべき電磁的方法の種類及び内容は、次に掲げるものとする。
Article 115 The types and details of the Electronic or Magnetic Means to be indicated pursuant to the provisions of Article 59, paragraph (1) or Article 79, paragraph (1) of the Order are as follows:
一 次に掲げる方法のうち、送信者が使用するもの
(i) among the following methods, those used by the sender:
イ 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
(a) the methods using an electronic data processing system which are as follows:
(1) 送信者の使用に係る電子計算機と受信者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
1. the method of transmitting information via a telecommunications line that links the computer used by the sender and the computer used by the recipient and recording such information in the file stored on the computers used by the recipient;
(2) 送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された情報の内容を電気通信回線を通じて情報の提供を受ける者の閲覧に供し、当該情報の提供を受ける者の使用に係る電子計算機に備えられたファイルに当該情報を記録する方法
2. the method of offering the details of the information which are recorded in a file stored on the computer used by the sender to the person who receives the provision of the information for inspection via a telecommunications line and recording the information in the files stored on the computer used by the person who receives the provision of the information;
ロ 磁気ディスクその他これに準ずる方法により一定の情報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情報を記録したものを交付する方法
(b) the method of delivering a file containing the information that has been prepared using media which can securely record certain information by magnetic disks, or any other means equivalent thereto; and
二 ファイルへの記録の方式
(ii) the method of recording the information in the file.
(設立時執行役員等による調査の対象事項)
(Subject Matters of the Investigation by Executive Managing Officers at Incorporation)
第百十六条 法第七十三条第一項第三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 116 The particulars specified by Cabinet Office Order as referred to in Article 73, paragraph (1), item (iii) of the Act are the following particulars:
一 法第六十七条第一項第十二号、第十三号、第十七号及び第十八号に掲げる金額又は基準が、投資法人の財産の状態に照らし著しく不当である事項
(i) particulars in which the amount or criteria listed in Article 67, paragraph (1), items (xii), (xiii), (xvii) and (xviii) of the Act is extremely unreasonable in light of the status of property of the Investment Corporation;
二 投資法人の一般事務受託者として不適当な者を成立時の一般事務受託者とし、当該投資法人の適切な運営及び投資主の保護に欠けることとなるおそれがある事項
(ii) particulars which are likely to cause a person who is inappropriate for an Administrative Agent of an Investment Corporation to become an Administrative Agent at the establishment thereof, and which are likely to result in inappropriate operation of the Investment Corporation and insufficient protection of Investors; and
三 法第百九十条第一項第一号に該当する事項
(iii) particulars falling under Article 190, paragraph (1), item (i) of the Act.
(招集の決定事項)
(Information Decided for a Calling)
第百十七条 法第七十三条第四項において準用する法第九十条の二第一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 117 The information specified by Cabinet Office Order as referred to in Article 90-2, paragraph (1), item (iv) of the Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act is the following information:
一 次条第一項の規定により創立総会参考書類(法第七十三条第四項において読み替えて準用する法第九十一条第四項に規定する創立総会参考書類をいう。以下同じ。)に記載すべき事項
(i) information required to be given in the Reference Documents for an Organizational Meeting (meaning the Reference Documents for an Organizational Meeting as prescribed in Article 91, paragraph (4) of the Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act following the deemed replacement of terms; the same applies hereinafter) pursuant to the provisions of paragraph (1) of the following Article;
二 書面による議決権の行使の期限(創立総会(法第七十三条第三項に規定する創立総会をいう。以下同じ。)の日時以前の時であって、同条第四項において準用する法第九十一条第一項本文の規定による通知を発した日から二週間を経過した日以後の時に限る。)
(ii) the time limit for exercising voting rights in writing (limited to the time which is before the date of the Organizational Meeting (meaning the Organizational Meeting defined in Article 73, paragraph (3) of the Act; the same applies hereinafter) but on or after the day on which two weeks have passed from the day when the notice under the main clause of Article 91, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act has been sent);
三 第百十九条第一項第二号の取扱いを定めるときは、その取扱いの内容
(iii) when the handling provided in Article 119, paragraph (1), item (ii) is to be specified, the details of the handling;
四 一の設立時投資主(法第七十三条第三項に規定する設立時投資主をいう。以下同じ。)が同一の議案につき同条第四項において準用する会社法第七十五条第一項(法第七十三条第四項において準用する法第九十条の二第一項第三号に掲げる事項を定めた場合にあっては、法第七十三条第四項において準用する会社法第七十五条第一項又は第七十六条第一項)の規定により重複して議決権を行使した場合において、当該同一の議案に対する議決権の行使の内容が異なるものであるときにおける当該設立時投資主の議決権の行使の取扱いに関する事項を定めるときは、その事項
(iv) in cases where a single Investor at Incorporation (meaning the Investor at Incorporation as prescribed in Article 73, paragraph (3) of the Act; the same applies hereinafter) has redundantly exercised its voting right for a single proposal pursuant to the provisions of Article 75, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act (in cases where the particulars listed in Article 90-2, paragraph (1), item (iii) of the Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act are provided for, the provisions of Article 75, paragraph (1) or Article 76, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act) and the facts of the exercise of voting right for the single proposal differ, if particulars concerning the handling of such exercise of voting right by the Investor at Incorporation are provided, such particulars;
五 法第七十三条第四項において準用する法第九十条の二第一項第三号に掲げる事項を定めたときは、次に掲げる事項
(v) when the particulars listed in Article 90-2, paragraph (1), item (iii) of the Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act are specified, the following particulars:
イ 電磁的方法(法第七十一条第五項に規定する電磁的方法をいう。以下同じ。)による議決権の行使の期限(創立総会の日時以前の時であって、法第七十三条第四項において準用する法第九十一条第一項本文の規定による通知を発した日から二週間を経過した日以後の時に限る。)
(a) the time limit for exercising voting rights by Electronic or Magnetic Means (meaning the Electronic or Magnetic Means as prescribed in Article 71, paragraph (5) of the Act; the same applies hereinafter) (limited to the time which is before the date of the Organizational Meeting but on or after the day on which two weeks have passed from the day when the notice under the main clause of Article 91, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act has been sent);
ロ 法第七十三条第四項において準用する法第九十一条第二項の承諾をした設立時投資主の請求があった時に当該設立時投資主に対して同条第四項の規定による議決権行使書面(同項に規定する議決権行使書面をいう。第百十九条において同じ。)の交付(当該交付に代えて行う法第七十三条第四項において準用する法第九十一条第五項の規定による電磁的方法による提供を含む。)をすることとするときは、その旨
(b) that Voting Forms (meaning the Voting Forms as prescribed in Article 91, paragraph (4) of the Act; the same applies in Article 119) are to be delivered under that paragraph (including the provision of Voting Forms by Electronic or Magnetic Means under Article 91, paragraph (5) of the Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act made in lieu of the delivery thereof) to the Investors at Incorporation who have given the consent under Article 91, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act when requested by such Investors at Incorporation, if this is the case.
(創立総会参考書類)
(Reference Documents for an Organizational Meeting)
第百十八条 法第七十三条第四項において準用する法第九十一条第四項の規定により交付すべき創立総会参考書類に記載すべき事項は、次に掲げる事項とする。
Article 118 (1) The information required to be given in the Reference Documents for an Organizational Meeting which are to be delivered pursuant to the provisions of Article 91, paragraph (4) of the Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act is the following information:
一 議案及び提案の理由
(i) the proposal and reasons for submitting the proposal;
二 議案が設立時執行役員の選任に関する議案であるときは、当該設立時執行役員についての第百四十三条に規定する事項
(ii) when the relevant proposal is a proposal for the appointment of an Executive Managing Officer at Incorporation, information specified in Article 143 for Executive Managing Officers at Incorporation;
三 議案が設立時監督役員の選任に関する議案であるときは、当該設立時監督役員についての第百四十四条に規定する事項
(iii) when the relevant proposal is a proposal for the appointment of a Supervisory Officer at Incorporation, information specified in Article 144 for Supervisory Officers at Incorporation;
四 議案が設立時会計監査人の選任に関する議案であるときは、当該設立時会計監査人についての第百四十五条に規定する事項
(iv) when the relevant proposal is a proposal for the appointment of a Financial Auditor at Incorporation, information specified in Article 145 for the Financial Auditor at Incorporation;
五 議案が設立時役員等(設立時執行役員、設立時監督役員及び設立時会計監査人をいう。次条第一項第一号において同じ。)の解任に関する議案であるときは、解任の理由
(v) when the relevant proposal is a proposal for the dismissal of an Officer, etc. at Incorporation (meaning Executive Managing Officers at Incorporation, Supervisory Officers at Incorporation and a Financial Auditor at Incorporation; the same applies in paragraph (1), item (i) of the following Article), reasons for dismissal;
六 前各号に掲げるもののほか、設立時投資主の議決権の行使について参考となると認める事項
(vi) beyond what is listed in the preceding items, information found to serve as a reference with regard to the exercise of voting rights by Investors at Incorporation.
2 法第七十三条第四項において準用する法第九十条の二第一項第三号に掲げる事項を定めた設立企画人が行った創立総会参考書類の交付(当該交付に代えて行う電磁的方法による提供を含む。)は、法第七十三条第四項において準用する法第九十一条第四項の規定による創立総会参考書類の交付とする。
(2) The delivery of Reference Documents for an Organizational Meeting made by an organizer who provided the particulars listed in Article 90-2, paragraph (1), item (iii) of the Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act (including the provision of Reference Documents for an Organizational Meeting by Electronic or Magnetic Means made in lieu of the delivery thereof) is the delivery of Reference Documents for an Organizational Meeting under Article 91, paragraph (4) of the Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act.
(議決権行使書面)
(Voting Forms)
第百十九条 法第七十三条第四項において準用する法第九十一条第四項の規定により交付すべき議決権行使書面に記載すべき事項又は法第七十三条第四項において準用する法第九十一条第六項若しくは第七項の規定により電磁的方法により提供すべき議決権行使書面に記載すべき事項は、次に掲げる事項とする。
Article 119 (1) The information required to be included in Voting Forms which are to be delivered pursuant to the provisions of Article 91, paragraph (4) of the Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act and the information required to be included in Voting Forms which are to be provided by Electronic or Magnetic Means pursuant to the provisions of Article 91, paragraph (6) or (7) of the Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act is the following information:
一 各議案(次のイ又はロに掲げる場合にあっては、当該イ又はロに定めるもの)についての賛否(棄権の欄を設ける場合にあっては、棄権を含む。)を記載する欄
(i) a column in which the agreement or dissent (in cases of providing a column for abstention, including abstention) for each proposal is to be stated (in the cases set forth in the following sub-items (a) and (b), those specified in the respective sub-item):
イ 二以上の設立時役員等の選任に関する議案である場合 各候補者の選任
(a) in cases of a proposal for the appointment of two or more Officers, etc. at Incorporation: the appointment of each candidate;
ロ 二以上の設立時役員等の解任に関する議案である場合 各設立時役員等の解任
(b) in cases of a proposal for the dismissal of two or more Officers, etc. at Incorporation: the dismissal of each Officer, etc. at Incorporation;
二 第百十七条第三号に掲げる事項を定めたときは、前号の欄に記載がない議決権行使書面が設立企画人に提出された場合における各議案についての賛成、反対又は棄権のいずれかの意思の表示があったものとする取扱いの内容
(ii) in cases where the information listed in Article 117, item (iii) is specified, when a Voting Form lacking an entry in the column under the preceding item has been submitted to an organizer, the details of the handling of such Voting Form as to whether it is an indication of manifestation of agreement, dissent, or abstention, for each proposal;
三 第百十七条第四号に掲げる事項を定めたときは、当該事項
(iii) in cases where the information listed in Article 117, item (iv) of the Act are specified, such information;
四 議決権の行使の期限
(iv) the time limit for exercising the voting rights;
五 議決権を行使すべき設立時投資主の氏名又は名称及び行使することができる議決権の数(次のイ又はロに掲げる場合にあっては、当該イ又はロに定める事項を含む。)
(v) the names of the Investors at Incorporation who are to exercise voting rights as well as the number of exercisable voting rights (in the cases set forth in the following sub-items (a) and (b), including the information specified in the respective sub-item):
イ 議案ごとに当該設立時投資主が行使することができる議決権の数が異なる場合 議案ごとの議決権の数
(a) cases where the number of voting rights exercisable by the relevant Investor at Incorporation differs for each proposal: the number of voting rights for each proposal;
ロ 一部の議案につき議決権を行使することができない場合 議決権を行使することができる議案又は議決権を行使することができない議案
(b) cases where voting rights may not be exercised for some of the proposals: proposals in which voting rights may be exercised or those in which may not.
2 第百十七条第五号ロに掲げる事項を定めた場合には、設立企画人は、法第七十三条第四項において準用する法第九十一条第二項の承諾をした設立時投資主の請求があった時に、当該設立時投資主に対して、同条第四項の規定による議決権行使書面の交付(当該交付に代えて行う同条第五項の規定による電磁的方法による提供を含む。)をしなければならない。
(2) In cases where the information listed in Article 117, item (v), sub-item (b) are provided for, an organizer must, when requested by the Investors at Incorporation who has given the consent under Article 91, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act, deliver Voting Forms under Article 91, paragraph (4) of the Act (including the provision of Voting Forms by Electronic or Magnetic Means under Article 91, paragraph (5) of the Act made in lieu of the delivery thereof) to such Investors at Incorporation.
(実質的に支配することが可能となる関係)
(Relationship That Enables a Substantial Control)
第百二十条 法第七十三条第四項において準用する会社法第七十二条第一項本文に規定する内閣府令で定める設立時投資主は、成立後の投資法人(当該投資法人の子法人(法第七十七条の二第一項に規定する子法人をいう。以下同じ。)を含む。)が、当該成立後の投資法人の投資主となる設立時投資主である会社等(会社(外国会社を含む。)、組合(外国における組合に相当するものを含む。)その他これらに準ずる事業体をいう。以下この条及び第百六十条第一項において同じ。)の議決権(会社法第三百八条第一項その他これに準ずる同法以外の法令(外国の法令を含む。)の規定により行使することができないとされる議決権を含み、同法第四百二十三条第一項に規定する役員等(会計監査人を除く。)の選任及び定款の変更に関する議案(これらの議案に相当するものを含む。)の全部につき株主総会(これに相当するものを含む。)において議決権を行使することができない株式(これに相当するものを含む。)に係る議決権を除く。)の総数の四分の一以上を有することとなる場合における当該成立後の投資法人の投資主となる設立時投資主である会社等(当該設立時投資主であるもの以外の者が当該創立総会の議案につき議決権を行使することができない場合(当該議案を決議する場合に限る。)における当該設立時投資主を除く。)とする。
Article 120 The Investors at Incorporation specified by Cabinet Office Order as referred to in the main clause of Article 72, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act are, in cases where the Investment Corporation after establishment (including the Subsidiary Corporation of the relevant Investment Corporation (meaning the Subsidiary Corporation as prescribed in Article 77-2, paragraph (1) of the Act; the same applies hereinafter)) comes to hold one quarter or more of the total number of voting rights (including voting rights which are not allowed to be exercised pursuant to the provisions of Article 308, paragraph (1) of the Companies Act or any other equivalent laws and regulations (including laws and regulations of a foreign state) which are other than that Act, and excluding voting rights pertaining to shares (including those equivalent thereto) for which the voting rights may not be exercised for all the proposals for the appointment of the officers, etc. (excluding a financial auditor) prescribed in Article 423, paragraph (1) of that Act and the changes to the articles of incorporation (including those equivalent to these proposals) at a shareholders meeting (including those equivalent thereto)) of the Company, etc. (meaning the company (including a foreign company), partnership (including those equivalent to partnerships in a foreign state), or any other business entity; hereinafter the same applies in this Article and Article 160, paragraph (1)) which is an Investor at Incorporation and becomes an Investor of the Investment Corporation after establishment, the Company, etc. which is an Investor at Incorporation and becomes an Investor of the Investment Corporation after establishment (in cases where persons other than the relevant Investors at Incorporation may not exercise voting rights for the proposals for the Organizational Meeting (limited to cases where such proposals are to be resolved), such Investors at Incorporation are excluded).
(書面による議決権行使の期限)
(Time Limit for Exercising Voting Rights in Writing)
第百二十一条 法第七十三条第四項において準用する会社法第七十五条第一項に規定する内閣府令で定める時は、第百十七条第二号の行使の期限とする。
Article 121 The time specified by Cabinet Office Order as referred to in Article 75, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act is the time limit for exercising voting rights provided in Article 117, item (ii).
(電磁的方法による議決権行使の期限)
(Time Limit for Exercising Voting Rights by Electronic or Magnetic Means)
第百二十二条 法第七十三条第四項において準用する会社法第七十六条第一項に規定する内閣府令で定める時は、第百十七条第五号イの行使の期限とする。
Article 122 The time specified by Cabinet Office Order as referred to in Article 76, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act is the time limit for exercising voting rights provided in Article 117, item (v), sub-item (a).
(設立企画人の説明義務)
(Accountability of Organizers)
第百二十三条 法第七十三条第四項において準用する会社法第七十八条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 123 The cases specified by Cabinet Office Order as referred to in Article 78 of the Companies Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act are the following cases:
一 設立時投資主が説明を求めた事項について説明をするために調査をすることが必要である場合(次に掲げる場合を除く。)
(i) cases where it is necessary to carry out an investigation to explain the information for which the Investors at Incorporation required an explanation (excluding the following cases):
イ 当該設立時投資主が創立総会の日より相当の期間前に当該事項を設立企画人に対して通知した場合
(a) cases where the relevant Investor at Incorporation has notified the organizer of the relevant information at a reasonable period prior to the day of an organizational meeting;
ロ 当該事項について説明をするために必要な調査が著しく容易である場合
(b) cases where the investigation necessary for explaining the relevant information is extremely easy;
二 設立時投資主が説明を求めた事項について説明をすることにより成立後の投資法人その他の者(当該設立時投資主を除く。)の権利を侵害することとなる場合
(ii) cases where explaining the information for which the Investor at Incorporation has required an explanation results in infringement of rights of the Investment Corporation after establishment or any other person (excluding the Investor at Incorporation);
三 設立時投資主が当該創立総会において実質的に同一の事項について繰り返して説明を求める場合
(iii) cases where an Investor at Incorporation requires an explanation for information substantially same as the relevant information at the relevant organizational meeting, in a repetitive manner; and
四 前三号に掲げる場合のほか、設立時投資主が説明を求めた事項について説明をしないことにつき正当な事由がある場合
(iv) beyond what is listed in the preceding three items, cases where there are justifiable grounds for not explaining the information for which an Investor at Incorporation has required an explanation.
(創立総会の議事録)
(Minutes of an Organizational Meeting)
第百二十四条 法第七十三条第四項において準用する会社法第八十一条第一項の規定による創立総会の議事録の作成については、この条の定めるところによる。
Article 124 (1) The preparation of minutes of an organizational meeting under Article 81, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act is as provided in this Article.
2 創立総会の議事録は、書面又は電磁的記録をもって作成しなければならない。
(2) The minutes of an organizational meeting must be prepared in writing or in the form of an Electronic or Magnetic Record.
3 創立総会の議事録は、次に掲げる事項を内容とするものでなければならない。
(3) The minutes of an organizational meeting must include the following information:
一 創立総会が開催された日時及び場所
(i) the date and time on which and the place where the organizational meeting was held;
二 創立総会の議事の経過の要領及びその結果
(ii) the outline and results of the proceedings at the organizational meeting;
三 創立総会に出席した設立企画人、設立時執行役員、設立時監督役員又は設立時会計監査人の氏名又は名称
(iii) the names of the organizers, Executive Managing Officers at Incorporation, Supervisory Officers at Incorporation, or a Financial Auditor at Incorporation that attended the organizational meeting;
四 創立総会の議長が存するときは、議長の氏名
(iv) when a chairperson of the organizational meeting is in place, the name of the chairperson; and
五 議事録の作成に係る職務を行った設立企画人の氏名又は名称
(v) the name(s) of the organizer(s) who performed the duties concerning the preparation of minutes.
4 次の各号に掲げる場合には、創立総会の議事録は、当該各号に定める事項を内容とするものとする。
(4) In the following cases, the minutes of an organizational meeting are to provide the information specified in the respective items:
一 法第七十三条第四項において準用する会社法第八十二条第一項の規定により創立総会の決議があったものとみなされた場合 次に掲げる事項
(i) cases where a resolution of an organizational meeting is deemed to have been adopted pursuant to the provisions of Article 82, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act: the following information:
イ 創立総会の決議があったものとみなされた事項の内容
(a) the details of the information for which a resolution of an organizational meeting is deemed to have been adopted;
ロ イの事項の提案をした者の氏名又は名称
(b) the name of the person who submitted the proposal of the information prescribed in sub-item (a);
ハ 創立総会の決議があったものとみなされた日
(c) the day on which a resolution of an organizational meeting is deemed to have been adopted; and
ニ 議事録の作成に係る職務を行った設立企画人の氏名又は名称
(d) the names of the organizers who performed the duties concerning the preparation of minutes;
二 法第七十三条第四項において準用する会社法第八十三条の規定により創立総会への報告があったものとみなされた場合 次に掲げる事項
(ii) cases where a report to an organizational meeting is deemed to have been made pursuant to the provisions of Article 83 of the Companies Act as applied mutatis mutandis pursuant to Article 73, paragraph (4) of the Act: the following information:
イ 創立総会への報告があったものとみなされた事項の内容
(a) the details of the information for which a report to the organizational meeting is deemed to have been made;
ロ 創立総会への報告があったものとみなされた日
(b) the day on which the report to an organizational meeting was deemed to have been made; and
ハ 議事録の作成に係る職務を行った設立企画人の氏名又は名称
(c) the name(s) of the organizer(s) who performed the duties concerning the preparation of minutes.
(投資主による責任追及等の訴えの提起の請求方法)
(Method for Investors to Claim for Filing an Action Pursuing the Liability)
第百二十五条 法第七十五条第七項、第七十七条の二第六項、第八十四条第四項、第八十八条の十七第四項、第百十六条、第百十九条第三項、第百二十七条第二項及び第百五十四条の七において準用する会社法第八百四十七条第一項の内閣府令で定める方法は、次に掲げる事項を記載した書面の提出又は当該事項の電磁的方法による提供とする。
Article 125 The methods specified by Cabinet Office Order as referred to in Article 847, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 75, paragraph (7), Article 77-2, paragraph (6), Article 84, paragraph (4), Article 88-17, paragraph (4), Article 116, Article 119, paragraph (3), Article 127, paragraph (2), and Article 154-7 of the Act are the submission of documents containing the following information, or the provision of the information by Electronic or Magnetic Means:
一 被告となるべき者
(i) a person who is to become a defendant; and
二 請求の趣旨及び請求を特定するのに必要な事実
(ii) the object of the claim and facts necessary to identify the claim.
(投資法人が責任追及等の訴えを提起しない理由の通知方法)
(Method for Investment Corporations to Notify the Reasons for Not Filing an Action Pursuing the Liability)
第百二十六条 法第七十五条第七項、第七十七条の二第六項、第八十四条第四項、第八十八条の十七第四項、第百十六条、第百十九条第三項、第百二十七条第二項及び第百五十四条の七において準用する会社法第八百四十七条第四項の内閣府令で定める方法は、次に掲げる事項を記載した書面の提出又は当該事項の電磁的方法による提供とする。
Article 126 The methods specified by Cabinet Office Order as referred to in Article 847, paragraph (4) of the Companies Act as applied mutatis mutandis pursuant to Article 75, paragraph (7), Article 77-2, paragraph (6), Article 84, paragraph (4), Article 88-17, paragraph (4), Article 116, Article 119, paragraph (3), Article 127, paragraph (2), and Article 154-7 of the Act are the submission of the documents containing the following information or the provision of the information by Electronic or Magnetic Means:
一 投資法人が行った調査の内容(次号の判断の基礎とした資料を含む。)
(i) the contents of the investigation conducted by an Investment Corporation (including materials on which the judgment set forth in the following item was based);
二 法第七十五条第七項、第七十七条の二第六項、第八十四条第四項、第八十八条の十七第四項、第百十六条、第百十九条第三項、第百二十七条第二項及び第百五十四条の七において準用する会社法第八百四十七条第一項の規定による請求に係る訴えについての前条第一号に掲げる者の責任又は義務の有無についての判断及びその理由
(ii) judgment with regard to any liability or obligation of a person set forth in item (i) of the preceding Article related to the action pertaining to the claim under Article 847, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 75, paragraph (7), Article 77-2, paragraph (6), Article 84, paragraph (4), Article 88-17, paragraph (4), Article 116, Article 119, paragraph (3), Article 127, paragraph (2), and Article 154-7 of the Act, and the reasons therefor;
三 前号の者に責任又は義務があると判断した場合において、法第七十五条第七項、第百十六条、第百十九条第三項及び第百五十四条の七において準用する会社法第八百四十七条第一項の責任を追及する訴え、法第七十七条の二第三項の利益の返還を求める訴え又は法第百二十七条第一項、法第八十四条第一項において準用する会社法第二百十二条第一項(第二号を除く。)若しくは第二百十三条の二(第一項第二号を除く。)若しくは法第八十八条の十七第三項において準用する会社法第二百八十六条の二(第一項第一号及び第三号を除く。)の規定による支払を求める訴えを提起しないときは、その理由
(iii) in cases where the person referred to in the preceding item has been judged to have liability or obligation, when an action pursuing the liability set forth in Article 847, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 75, paragraph (7), Article 116, Article 119, paragraph (3) and Article 154-7 of the Act, an action seeking the return of benefits under Article 77-2, paragraph (3) of the Act, or an action seeking the payment under Article 127, paragraph (1) of the Act, Article 212, paragraph (1) (excluding item (ii)) or Article 213-2 (excluding paragraph (1), item (ii)) of the Companies Act as applied mutatis mutandis pursuant to Article 84, paragraph (1) of the Act, or Article 286-2 (excluding paragraph (1), item (i) and item (iii)) of the Companies Act as applied mutatis mutandis pursuant to Article 88-17, paragraph (3) of the Act is not filed, the reasons therefor.
(利益の供与に関して責任をとるべき執行役員等)
(Executive Managing Officers to Be Held Liable with Regard to Providing Benefits)
第百二十七条 法第七十七条の二第四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 127 The persons specified by Cabinet Office Order as referred to in Article 77-2, paragraph (4) of the Act are the following persons:
一 利益の供与(法第七十七条の二第一項に規定する利益の供与をいう。以下この条において同じ。)に関する職務を行った執行役員
(i) the executive managing officers who performed the duties involved in providing benefits (meaning providing benefits as referred to in Article 77-2, paragraph (1) of the Act; hereinafter the same applies in this Article);
二 利益の供与が役員会の決議に基づいて行われたときは、次に掲げる者
(ii) in cases where benefits are provided based on a resolution of a board of officers meeting, the following persons:
イ 当該役員会の決議に賛成した執行役員及び監督役員
(a) the executive managing officers and supervisory officers who agreed to the relevant resolution of the board of officers meeting; or
ロ 当該役員会に当該利益の供与に関する議案を提案した執行役員
(b) the executive managing officers who submitted proposals concerning providing the benefits to the board of officers meeting; and
三 利益の供与が投資主総会の決議に基づいて行われたときは、次に掲げる者
(iii) in cases where benefits are provided based on a resolution of an Investors' meeting, the following persons:
イ 当該投資主総会に当該利益の供与に関する議案を提案した執行役員
(a) the executive managing officers who submitted proposals concerning providing the benefits to the Investors' meeting;
ロ イの議案の提案が役員会の決議に基づいて行われたときは、当該役員会の決議に賛成した執行役員及び監督役員
(b) in cases where the submission of the proposal prescribed in sub-item (a) had been made based on the resolution of a board of officers meeting, the executive managing officers of supervisory officers who agreed to the resolution of the board of officers meeting; or
ハ 当該投資主総会において当該利益の供与に関する事項について説明をした執行役員及び監督役員
(c) the executive managing officers or supervisory officers who explained the information related to providing the benefits at the relevant Investors' meeting.
(投資主名簿記載事項の記載等の請求)
(Request of Inclusion of the Information Required to Be Included in Investor Register)
第百二十八条 法第七十九条第三項において準用する会社法第百三十三条第二項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 128 The cases specified by Cabinet Office Order as referred to in Article 133, paragraph (2) of the Companies Act as applied mutatis mutandis pursuant to Article 79, paragraph (3) of the Act are the following cases:
一 投資口取得者(法第七十九条第三項において読み替えて準用する会社法第百三十三条第一項に規定する投資口取得者をいう。次号において同じ。)が投資証券を提示して請求をしたとき。
(i) when the Acquirer of Investment Equity (meaning the Acquirer of Investment Equity as prescribed in Article 133, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 79, paragraph (3) of the Act following the deemed replacement of terms; the same applies in the following item) has made the demand by presenting the Investment Securities; and
二 投資口取得者が法第八十八条第一項又は第百四十九条の十七第一項の規定による売却に係る投資口を取得した者である場合において、当該売却に係る代金の全部を支払ったことを証する書面その他の資料を提供して請求をしたとき。
(ii) in cases where the Acquirer of Investment Equity is a person who has acquired the Investment Equity subject to sales under the provisions of Article 88, paragraph (1) or Article 149-17, paragraph (1) of the Act, when the Acquirer of Investment Equity has made the demand by providing the documents certifying that the Acquirer has paid the whole purchase money for the sales or any other materials.
(投資主との合意により自己の投資口を取得することができる投資法人が運用の目的とする資産)
(Assets Which Are the Subjects of Investment by an Investment Corporation Which Can Acquire Its Own Investment Equity by an Agreement with Its Investors)
第百二十八条の二 令第六十九条の二に規定する不動産その他の内閣府令で定める資産は、第百五条第一号ヘに規定する不動産等資産とする。
Article 128-2 Real property and other assets specified by Cabinet Office Order as provided in Article 69-2 of the Order are the real property and other assets provided in Article 105, item (1), sub-item (f).
(自己の投資口を取得することができる場合)
(Cases Where Investment Corporations May Acquire Its Own Investment Equity)
第百二十九条 法第八十条第一項第四号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 129 The cases specified by Cabinet Office Order as referred to in Article 80, paragraph (1), item (iv) of the Act are the following cases:
一 当該投資法人の投資口を無償で取得する場合
(i) cases where the relevant Investment Corporation acquires its own Investment Equity without consideration;
二 当該投資法人が有する他の法人等の株式(持分その他これに準ずるものを含む。次号において同じ。)につき当該他の法人等が行う剰余金の配当又は残余財産の分配(これらに相当する行為を含む。)により当該投資法人の投資口の交付を受ける場合
(ii) cases where the relevant Investment Corporation receives the delivery of its own Investment Equity as a result of the distribution of dividend of surplus or distribution of residual assets (including acts equivalent thereto) made by another Corporation, etc. with regard to its shares held by the Investment Corporation (including equity and anything equivalent thereto; the same applies in the following item);
三 当該投資法人が有する他の法人等の株式につき当該他の法人等が行う次に掲げる行為に際して当該株式と引換えに当該投資法人の投資口の交付を受ける場合
(iii) cases where the relevant Investment Corporation receives the delivery of its own Investment Equity in exchange of the shares of another Corporation, etc. held by the Investment Corporation upon the following acts conducted by the relevant other Corporation, etc. with regard to the relevant shares:
イ 組織の変更
(a) changes of organization;
ロ 合併
(b) merger; or
ハ 株式交換(会社法以外の法令(外国の法令を含む。)に基づく株式交換に相当する行為を含む。)
(c) share exchange (including acts equivalent to share exchange based on laws and regulations (including laws and regulations of a foreign state) other than the Companies Act);
四 その権利の実行に当たり目的を達成するために当該投資法人の投資口を取得することが必要かつ不可欠である場合(法第八十条第一項第二号及び第三号並びに前三号に掲げる場合を除く。)
(iv) cases where it is necessary and indispensable for the relevant Investment Corporation to acquire its own Investment Equity to achieve the purpose in exercising its rights (excluding the cases set forth in Article 80, paragraph (1), items (ii) and (iii) of the Act and the preceding three items).
(自己投資口の処分の方法)
(Method for Disposal of Own Investment Equity)
第百三十条 法第八十条第三項(法第八十一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処分の方法は、次の各号に掲げる投資口の区分に応じ、当該各号に定める方法とする。
Article 130 The methods for disposal specified by Cabinet Office Order as referred to in Article 80, paragraph (3) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 81, paragraph (5) of the Act) are the methods specified in the following items according to the category of Investment Equity listed in the respective items:
一 その投資証券が金融商品取引所に上場されている有価証券である投資口 取引所金融商品市場において行う取引による売却
(i) Investment Equity of which the Investment Securities are Securities listed on a Financial Instruments Exchange: sales in the transactions conducted on a Financial Instruments Exchange Market;
二 その投資証券が店頭売買有価証券である投資口 店頭売買有価証券市場において行う取引による売却
(ii) Investment Equity of which the Investment Securities are Over-the-Counter Traded Securities: sales in the transaction conducted on an Over-the-Counter Securities Market; and
三 前二号に掲げる投資口以外の投資口 当該投資口を発行する投資法人の純資産の額に照らして公正妥当な金額による売却
(iii) Investment Equity other than those listed in the preceding two items: sales at a fair and reasonable price in light of the amount of net assets of the Investment Corporation which issues the relevant Investment Equity.
(子法人による親法人投資口の取得)
(Acquisition of Investment Equity in a Parent Corporation by a Subsidiary Corporation)
第百三十一条 法第八十一条第二項第二号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 131 The cases specified by Cabinet Office Order e as referred to in Article 81, paragraph (2), item (ii) of the Act are the following cases:
一 親法人投資口(法第八十一条第一項に規定する親法人投資口をいう。以下この条において同じ。)を無償で取得する場合
(i) cases where the relevant Subsidiary Corporation acquires the Investment Equity in a Parent Corporation (meaning the Investment Equity in a Parent Corporation defined in Article 81, paragraph (1) of the Act; hereinafter the same applies in this Article) without consideration;
二 その有する他の法人等の株式(持分その他これに準ずるものを含む。次号において同じ。)につき当該他の法人等が行う剰余金の配当又は残余財産の分配(これらに相当する行為を含む。)により親法人投資口の交付を受ける場合
(ii) cases where the relevant Subsidiary Corporation receives the delivery of the Investment Equity in the Parent Corporation as a result of the distribution of dividend of surplus or distribution of residual assets (including acts equivalent thereto) made by another Corporation, etc. with regard to its shares held by the Subsidiary Corporation (including equity and anything equivalent thereto; the same applies in the following item);
三 その有する他の法人等の株式につき当該他の法人等が行う次に掲げる行為に際して当該株式と引換えに当該親法人投資口の交付を受ける場合
(iii) cases where the relevant Subsidiary Corporation receives the delivery of the Investment Equity in the Parent Corporation in exchange of the shares of another Corporation, etc. held by the Subsidiary Corporation upon the following acts conducted by the relevant other Corporation, etc. with regard to the relevant shares:
イ 組織の変更
(a) changes of organization;
ロ 合併
(b) merger;
ハ 株式交換(会社法以外の法令(外国の法令を含む。)に基づく株式交換に相当する行為を含む。)
(c) share exchange (including acts equivalent to share exchange based on laws and regulations (including laws and regulations of a foreign state) other than the Companies Act);
ニ 株式移転(会社法以外の法令(外国の法令を含む。)に基づく株式移転に相当する行為を含む。)
(d) share transfer (including acts equivalent to shares transfer based on laws and regulations (including laws and regulations of a foreign state) other than the Companies Act);
四 その権利の実行に当たり目的を達成するために親法人投資口を取得することが必要かつ不可欠である場合(法第八十一条第二項第一号及び前三号に掲げる場合を除く。)
(iv) cases where it is necessary and indispensable for the relevant Subsidiary Corporation to acquire the Investment Equity in the Parent Corporation to achieve the purpose in exercising its rights (excluding the cases set forth in Article 81, paragraph (2), items (i) of the Act and the preceding three items).
(投資口の併合に関する事前開示事項)
(Information Subject to Prior Disclosure Concerning Consolidation of Investment Equity)
第百三十一条の二 法第八十一条の二第二項において準用する会社法第百八十二条の二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 131-2 Information specified by Cabinet Office Order as prescribed in Article 182-2, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 81-2, paragraph (2) of the Act is the following information:
一 次に掲げる事項その他の法第八十一条の二第二項において準用する会社法第百八十条第二項第一号に掲げる事項についての定めの相当性に関する事項
(i) information concerning the adequacy of the provisions for the following information and other information listed in Article 180, paragraph (2), item (i) of the Companies Act as applied mutatis mutandis pursuant to Article 81-2, paragraph (2) of the Act:
イ 投資口の併合をする投資法人に支配投資主(投資法人の計算に関する規則第六十二条第六号に規定する支配投資主をいう。)がある場合には、当該投資法人の投資主(当該支配投資主を除く。)の利益を害さないように留意した事項(当該事項がない場合にあっては、その旨)
(a) in cases where there is a Controlling Investor (meaning the Controlling Investor provided in Article 62, item (vi) of the Regulation on Accountings of Investment Corporations) for the Investment Corporation intending to consolidate its Investment Equity, information heeded not to harm the interests of the Investors of the Investment Corporation (excluding the Controlling Investor) (or that the information does not exist, if this is the case); and
ロ 法第八十八条の規定により一口に満たない端数の処理をすることが見込まれる場合における当該処理の方法に関する事項、当該処理により投資主に交付することが見込まれる金銭の額及び当該額の相当性に関する事項
(b) in cases where fractions that are less than one unit are expected to be processed pursuant to the provisions of Article 88 of the Act, information concerning the method of the processing, the amount of money to be delivered to the Investors as a result of the processing, and the adequacy of the amount;
二 投資口の併合をする投資法人(清算投資法人(法第百五十条の三に規定する清算投資法人をいう。以下同じ。)を除く。以下この号において同じ。)についての次に掲げる事項
(ii) the following information concerning the Investment Corporation (excluding Investment Corporations in Liquidation (meaning the Investment Corporation in Liquidation provided in Article 150-3 of the Act; the same applies hereinafter); hereinafter the same applies in this item) intending to consolidate its Investment Equity:
イ 当該投資法人において最終営業期間(各営業期間(法第百二十九条第二項に規定する営業期間をいう。以下同じ。)に係る計算書類(同項に規定する計算書類をいう。以下同じ。)、資産運用報告及び金銭の分配に係る計算書並びにこれらの附属明細書につき法第百三十一条第二項の承認を受けた場合における当該各営業期間のうち最も遅いものをいう。以下同じ。)の末日(最終営業期間がない場合にあっては、当該投資法人の成立の日)後に重要な財産の処分、重大な債務の負担その他の投資法人の財産の状況に重要な影響を与える事象が生じたときは、その内容(備置開始日(法第八十一条の二第二項において準用する会社法第百八十二条の二第一項第一号に規定する日をいう。次号において同じ。)後投資口の併合がその効力を生ずる日までの間に新たな最終営業期間が存することとなる場合にあっては、当該新たな最終営業期間の末日後に生じた事象の内容に限る。)
(a) in cases where the disposition of important property or the assumption of a material obligation has been made, or any other event that may have a significant influence on the status of the property of the Investment Corporation has occurred after the last day of the Latest Business Period (meaning, in cases where the approval under Article 131, paragraph (2) of the Act is obtained for the Financial Statements (meaning the financial statements as prescribed in Article 129, paragraph (2) of the Act; the same applies hereinafter), asset investment reports, and statements related to the distribution of money, as well as the annexed detailed statements thereof for each Business Period (meaning the Business Period provided in that paragraph; the same applies hereinafter), the latest among such each Business Period; the same applies hereinafter) (in cases where there is no Latest Business Period, the day of establishment of the Investment Corporation), the details thereof (in cases where the Latest Business Period is to be replaced with a New Latest Business Period during the period from the Day of Commencement of Keeping Documents (meaning the day provided in Article 182-2, paragraph (1), item (i) of the Companies Act as applied mutatis mutandis pursuant to Article 81-2, paragraph (2) of the Act; the same applies in the following item) by the day on which the consolidation of Investment Equity becomes effective, limited to the details of events occurred after the last day of the New Latest Business Period); and
ロ 当該投資法人において最終営業期間がないときは、当該投資法人の成立の日における貸借対照表
(b) in cases where there is no Latest Business Period in regard to the Investment Corporation, the balance sheet as of the day of establishment of the Investment Corporation;
三 備置開始日後投資口の併合がその効力を生ずる日までの間に、前二号に掲げる事項に変更が生じたときは、変更後の当該事項
(iii) in cases where any changes to the information listed in the preceding two items have occurred during the period from the Day of Commencement of Keeping Documents by the day on which the consolidation of Investment Equity becomes effective, the information after the change.
(投資口の併合に関する事後開示事項)
(Information Subject to Ex-Post Facto Disclosure Concerning Consolidation of Investment Equity)
第百三十一条の三 法第八十一条の二第二項において準用する会社法第百八十二条の六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 131-3 Information specified by Cabinet Office Order as prescribed in Article 182-6, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 81-2, paragraph (2) of the Act is the following information:
一 投資口の併合が効力を生じた日
(i) the day on which the consolidation of the Investment Equity has become effective;
二 法第八十一条の二第二項において準用する会社法第百八十二条の三の規定による請求に係る手続の経過
(ii) the progress of the procedure in regard to the request provided in Article 182-3 of the Companies Act as applied mutatis mutandis pursuant to Article 81-2, paragraph (2) of the Act;
三 法第八十八条の規定による手続の経過
(iii) the progress of the procedure provided in Article 88 of the Act;
四 投資口の併合が効力を生じた時における発行済投資口の総口数
(iv) the total number of units of Issued Investment Equity on the day on which the consolidation of the Investment Equity has become effective; and
五 前各号に掲げるもののほか、投資口の併合に関する重要な事項
(v) beyond those listed in the preceding items, material information concerning the consolidation of the Investment Equity.
(投資口の分割に関する規約の記載事項)
(Particulars Required to Be Included in the Certificate of Incorporation in Relation to Split of Investment Equity)
第百三十二条 法第八十一条の四第二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 132 The particulars specified by Cabinet Office Order as referred to in Article 81-4, paragraph (2), item (iv) of the Act are the following particulars:
一 投資口の分割により投資口の口数に一口に満たない端数が生ずる場合における当該端数の部分の処理の方法に関する事項
(i) in cases where a fraction less than one unit of Investment Equity is produced in the number of units of Investment Equity as a result of split of Investment Equity, particulars concerning the method of processing such fraction;
二 前号の処理を経て法第八十一条の四第二項第三号に規定する投資主に交付される金銭の取扱いに関する事項
(ii) particulars concerning the handling of money to be delivered to the Investors referred to in Article 81-4, paragraph (2), item (iii) of the Act through the processing under the preceding item;
三 前号の金銭を新たに発行する投資口と引換えにする金銭の払込みに充てることにより、同号の投資主に当該新たに発行する投資口を取得させることとするときは、その旨及びその投資口の発行に関する事項
(iii) when having the Investors under the preceding item acquire Investment Equity to be newly issued by appropriating the money under that item for the payment of money to be made in exchange of the Investment Equity to be newly issued, an indication of this and particulars concerning the issuance of such Investment Equity;
四 その他法第八十一条の四第一項の規定による投資口の分割に関する事項
(iv) other particulars concerning the split of Investment Equity under the provisions of Article 81-4, paragraph (1) of the Act.
(投資口の分割の通知)
(Notice of Split of Investment Equity)
第百三十三条 法第八十一条の四第三項に規定する内閣府令で定める期間は、当該投資法人の営業期間とし、当該営業期間が六月を超える投資法人にあっては、六月とする。
Article 133 (1) The period specified by Cabinet Office Order as referred to in Article 81-4, paragraph (3) of the Act is the Business Period of the relevant Investment Corporation, and for Investment Corporations whose Business Period is six months or more, six months.
2 法第八十一条の四第三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。
(2) The information specified by Cabinet Office Order as referred to in Article 81-4, paragraph (3) of the Act is the following information:
一 法第八十一条の四第二項第三号に規定する投資主に対し、前項の期間中になされた投資口の分割により生じた投資口の口数の一口に満たない端数の部分に相当するものとして交付されるべき金銭の額
(i) the amount of money to be delivered to the Investors referred to in Article 81-4, paragraph (2), item (iii) of the Act as those equivalent to the fraction of less than one unit of the Investment Equity produced as a result of split of Investment Equity which had been effected during the period under the preceding paragraph;
二 前条第三号に掲げる事項を規約で定めた投資法人にあっては、前号の投資主が前項の期間中に取得した投資口の総口数並びに当該投資口の発行の日及び払込金額(法第八十二条第一項第二号に規定する払込金額をいう。次条において同じ。)
(ii) with regard to Investment Corporations that have provided the particulars listed in item (iii) of the preceding Article in its certificate of incorporation, the total number of units of Investment Equity acquired by the Investors under the preceding item during the period under the preceding paragraph as well as the day of issuance of and the amount to be paid in (meaning the amount to be paid in as prescribed in Article 82, paragraph (1), item (ii) of the Act; the same applies in the following Article) for the Investment Equity; and
三 第一号の投資主が前項の期間の末日において保有する投資口の総口数
(iii) the total number of units of Investment Equity held by the Investors under item (i) as of the last day of the period prescribed in the preceding paragraph.
(払込金額の公示の方法)
(Method of Public Notice of the Amount to Be Paid in)
第百三十四条 法第八十二条第四項の規定による払込金額の公示は、当該払込金額が適用される募集投資口(法第八十二条第一項に規定する募集投資口をいう。以下同じ。)と引換えにする金銭の払込みの期日の前日までに、次の各号のいずれかの方法により行わなければならない。
Article 134 (1) The public notice of the amount to be paid in under the provisions of Article 82, paragraph (4) of the Act must be made by any of the following methods by the day immediately preceding the due date for the payment of money to be made in exchange for the Investment Equity for Subscription (meaning the Investment Equity for Subscription provided in Article 82, paragraph (1) of the Act; the same applies hereinafter) to which the amount to be paid in is applied:
一 国内において時事に関する事項を総合して報道する日刊新聞紙への掲載
(i) publication in a daily newspaper that collectively report information on current affairs in Japan; or
二 募集投資口を引き受ける者の募集に関する事務を行う全ての一般事務受託者の営業所における掲示
(ii) posting the amount to be paid in at the business offices of all the Administrative Agents that are in charge of the administrative processes related to the solicitation of persons to subscribe for the Investment Equity for Subscription.
2 前項の払込金額の公示は、当該払込金額が適用される募集投資口と引換えにする金銭の払込みの期日を明示してしなければならない。
(2) The public notice of the amount to be paid in under the preceding paragraph must be given by clearly indicating the due date for the payment of money to be made in exchange for the Investment Equity to which the relevant amount to be paid in is applied.
(申込みをしようとする者に対して通知すべき事項)
(Information to Be Notified to Persons Who Intend to File Applications)
第百三十五条 法第八十三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 135 The information specified by Cabinet Office Order as referred to in Article 83, paragraph (1), item (vii) of the Act is the following information:
一 規約に定められた事項(法第八十三条第一項第一号から第六号までに掲げる事項を除く。)であって、当該投資法人に対して募集投資口の引受けの申込みをしようとする者が当該者に対して通知することを請求した事項
(i) information specified in the certificate of incorporation (excluding those listed in Article 83, paragraph (1), items (i) through (vi) of the Act) which are those for which the person who intends to apply for the subscription of Investment Equity for Subscription has requested the relevant Investment Corporation to notify the person;
二 投資法人の資産に属する不動産(以下この号において「投資不動産」という。)に関する次に掲げる事項
(ii) the following information concerning the real property belonging to the assets of an Investment Corporation (hereinafter referred to as the "Real Property for Investment" in this item):
イ 地域別、用途別及び賃貸の用又はそれ以外の用の別に区分した投資不動産について、各物件の名称、所在地、用途、面積、構造、所有権又はそれ以外の権利の別及び価格(規約に定める評価方法及び基準により評価した価格又は鑑定評価額、公示価格、路線価、販売公表価格その他これらに準じて公正と認められる価格をいう。以下この号において同じ。)
(a) with regard to the Real Property for Investment classified by area, by use, and by for lease or non-lease, the name, location, use, area, structure, whether it is held with ownership or other rights, and the Price (meaning the price as appraised by the appraisal method or standard specified in the certificate of incorporation, or appraised and estimated value, posted price, road ratings, published selling price, or other price deemed to be fair in accordance thereto; hereinafter the same applies in this item), for each property;
ロ 価格の評価方法及び評価者の氏名又は名称
(b) the appraisal method of the Price as well as the name of the appraiser;
ハ 担保の内容
(c) details of the collateral;
ニ 不動産の状況(不動産の構造、現況その他の投資不動産の価格に重要な影響を及ぼす事項をいう。ホにおいて同じ。)
(d) Status of the Real Property (meaning the structure and current status of the real property, and other information that have a material influence on the Price of the Real Property for Investment; the same applies in sub-item (e));
ホ 不動産の状況に関する第三者による調査結果の概要(行っていない場合には、その旨)及び調査者の氏名又は名称
(e) a summary of the investigation on the status of the real property made by a third party (or that the investigation has not been made, if this is the case) as well as the name of the investigator;
ヘ 各物件の投資比率(当該物件の価格が全ての物件の価格の合計額に占める割合をいう。)
(f) the Investment Ratio (meaning the ratio of the Price of the relevant property to the total of the Prices of all of the property) of each property;
ト 投資不動産に関して賃貸借契約を締結した相手方(以下トにおいて「テナント」という。)がある場合には、次に掲げる事項(やむを得ない事情により記載できないものにあっては、その旨)
(g) in cases where there is a counterparty with whom a lease contract for the relevant Real Property for Investment has been concluded (such counterparty is hereinafter referred to as the "Tenant" in this sub-item (g)), the following information (and that some information cannot be stated due to unavoidable circumstances, if this is the case):
(1) テナントの総数、賃料収入の合計、賃貸面積の合計、賃貸可能面積の合計及び過去五年間の一定の日における稼働率
1. the total number of Tenants, total lease revenue, total leased area, and total leasable area, as well as Occupancy Rates on a fixed day over the most recent five years;
(2) 主要な物件(一体として使用されていると認められる土地に係る建物又は施設であって、その賃料収入の合計が全ての投資不動産に係る賃料収入の合計の百分の十以上であるものをいう。)がある場合には、当該主要な物件ごとのテナントの総数、賃料収入の合計、賃貸面積の合計、賃貸可能面積の合計及び過去五年間の一定の日における稼働率
2. in cases where there is a Major Property (meaning buildings and facilities pertaining to one piece of land which are found to be used collectively and for which the total lease revenue consists of 10 percent or more of all the lease revenues of all Real Property for Investment), the total number of Tenants, total lease revenue, total leased area, total leasable area, and Occupancy Rates on a fixed day over the most recent five years of each Major Property; and
(3) 主要なテナント(当該テナントの賃貸面積の合計が全ての投資不動産に係る賃貸面積の合計の百分の十以上であるものをいう。)がある場合には、その名称、業種、年間賃料、賃貸面積、契約満了日、契約更改の方法、敷金又は保証金その他賃貸借契約に関して特記すべき事項
3. in cases where there are Major Tenants (meaning Tenants for which the leased area is 10 percent or more of the whole leased area of all of the Real Property for Investment), the name and type of business of the Tenant, annual lease, leased area, expiration date of the contract, method for renewing the contract, security deposit, and any other information to be noted with regard to the lease contract therefor;
三 海外不動産保有法人の発行済株式又は出資を有する場合(当該発行済株式又は出資(当該海外不動産保有法人が有する自己の株式又は出資を除く。)の総数又は総額に第二百二十一条に規定する率を乗じて得た数又は額を超えて当該発行済株式又は出資を有する場合に限る。)には、当該発行済株式又は出資に関する次に掲げる事項
(iii) in cases where the Investment Corporation holds Issued Shares or equity in a Foreign Real Property Holding Corporation (limited to cases where the number or the amount of the Issued Shares or equity in a Foreign Real Property Holding Corporation held exceeds the number or the amount obtained by multiplying the total number or the total amount of the Issued Shares or equity (excluding shares or equity in the Foreign Real Property Holding Corporation owned by that Foreign Real Property Holding Corporation itself) by the rate specified in Article 221), the following information concerning the Issued Shares or equity:
イ 当該海外不動産保有法人に対する投資額
(a) the amount of investment in the Foreign Real Property Holding Corporation;
ロ 当該海外不動産保有法人の組織形態、目的、事業内容及び利益の分配方針
(b) the organizational form, purpose, business contents, and profit distribution policy of the Foreign Real Property Holding Corporation;
ハ 当該投資法人の資産に属する当該海外不動産保有法人の株式又は出資の数又は額の当該海外不動産保有法人の発行済株式又は出資(当該海外不動産保有法人が有する自己の株式又は出資を除く。)の総数又は総額に対する割合
(c) the ratio of the number or the amount of shares or equity in the Foreign Real Property Holding Corporation belonging to the assets of the Investment Corporation to the total number or the total amount of Issued Shares or equity in the Foreign Real Property Holding Corporation (excluding shares or equity in the Foreign Real Property Holding Corporation owned by that Foreign Real Property Holding Corporation itself); and
ニ 当該海外不動産保有法人が所在する国における配当に係る規制の内容
(d) details of the regulations on dividend in the state where the Foreign Real Property Holding Corporation is located;
四 前号に規定する場合において海外不動産保有法人が有する不動産(以下この号において「間接投資不動産」という。)に関する次に掲げる事項
(iv) in the cases referred to in the preceding item, the following information concerning real property held by the Foreign Real Property Holding Corporation (hereinafter referred to as "Real Property for Indirect Investment" in this item):
イ 地域別、用途別及び賃貸の用又はそれ以外の用の別に区分した間接投資不動産について、各物件の名称、所在地、所有者、用途、面積、構造、所有権又はそれ以外の権利の別及び価格(鑑定評価額、公示価格、路線価、販売公表価格その他これらに準じて公正と認められる価格をいう。以下この号において同じ。)
(a) with regard to the Real Property for Indirect Investment classified by geographic area, by use, and by for lease or non-lease, the name, location, owner, use, area, structure, whether it is held with ownership or other rights, and the Price (meaning the appraised and estimated value, posted price, road ratings, published selling price, or other price deemed to be fair in accordance thereto; hereinafter the same applies in this item), for each property;
ロ 価格の評価方法及び評価者の氏名又は名称
(b) the appraisal method of the Price as well as the name of the appraiser;
ハ 担保の内容
(c) the details of the collateral;
ニ 不動産の状況(不動産の構造、現況その他の間接投資不動産の価格に重要な影響を及ぼす事項をいう。ホにおいて同じ。)
(d) status of the real property (meaning the structure and current status of the real property, and other information that have a material influence on the Price of the Real Property for Indirect Investment; the same applies in sub-item (e));
ホ 不動産の状況に関する第三者による調査結果の概要(行っていない場合には、その旨)及び調査者の氏名又は名称
(e) a summary of the results of the investigation on the status of the real property made by a third party (or that the investigation has not been made, if this is the case) as well as the name of the investigator;
ヘ 各物件の投資比率(当該物件の価格が全ての物件の価格の合計額に占める割合をいう。)
(f) the Investment Ratio (meaning the ratio of the Price of the relevant property to the total of the Prices of all of the property) of each property;
ト 間接投資不動産に関して賃貸借契約を締結した相手方(以下トにおいて「テナント」という。)がある場合には、次に掲げる事項(やむを得ない事情により記載できないものにあっては、その旨)
(g) in cases where there is a counterparty with whom a lease contract for the relevant Real Property for Indirect Investment has been concluded (hereinafter referred to as the "Tenant" in this sub-item (g)), the following information (and that some information cannot be stated due to unavoidable circumstances, if this is the case):
(1) テナントの総数、賃料収入の合計、賃貸面積の合計、賃貸可能面積の合計及び過去五年間の一定の日における稼働率
1. the total number of Tenants, total lease revenue, total leased area, and total leasable area, as well as the Occupancy Rates on a fixed day over the most recent five years;
(2) 物件ごとのテナントの総数、賃料収入の合計、賃貸面積の合計、賃貸可能面積の合計及び過去五年間の一定の日における稼働率
2. the total number of Tenants, total lease revenue, total leased area, and total leasable area, as well as the Occupancy Rates on a fixed day over the most recent five years of each property; and
(3) 主要なテナント(当該テナントの賃貸面積の合計が全ての間接投資不動産に係る賃貸面積の合計の百分の十以上であるものをいう。)がある場合には、その名称、業種、年間賃料、賃貸面積、契約満了日、契約更改の方法、敷金又は保証金その他賃貸借契約に関して特記すべき事項
3. in cases where there are Major Tenants (meaning Tenants for which the total leased area is 10 percent or more of the whole leased area of all of the Real Property for Indirect Investment), the name and type of business of the Tenant, annual lease, leased area, expiration date of the contract, method for renewing the contract, security deposit, and any other information to be noted with regard to the lease contract therefor;
五 投資法人の資産に属する再生可能エネルギー発電設備(以下この号において「投資再生可能エネルギー発電設備」という。)に関する次に掲げる事項
(v) the following information concerning a Renewable Energy Power Generation Facility which belongs to the assets of the Investment Corporation (hereinafter referred to as the "Renewable Energy Power Generation Facilities for Investment" in this item):
イ 設備の区分等の別、地域別及び賃貸の用又はそれ以外の用の別に区分した投資再生可能エネルギー発電設備について、各再生可能エネルギー発電設備の名称、所在地、構造、所有権又はそれ以外の権利の別及び価格(規約に定める評価方法及び基準により評価した価格その他これに準じて公正と認められる価格をいう。ロ及びト並びに次号イ及びロにおいて同じ。)
(a) with regard to the Renewable Energy Power Generation Facilities for Investment classified by the Classification, etc. of Facilities, by area, and by for lease or non-lease: the name, location and structure of each Renewable Energy Power Generation Facilities, whether it is held with ownership or other rights, and its Price (meaning the price as appraised by the appraisal method or standard specified in the certificate of incorporation, or any other price deemed to be fair in accordance thereto; hereinafter the same applies in sub-items (b) and (g), and the following item, sub-items (a) and (b));
ロ 価格の評価方法及び評価者の氏名又は名称
(b) the appraisal method of the Price as well as the name of the appraiser;
ハ 担保の内容
(c) the details of the collateral;
ニ 再生可能エネルギー発電設備の状況(次に掲げる場合の区分に応じ、それぞれ次に定める事項をいう。ホにおいて同じ。)
(d) Status of the Renewable Energy Power Generation Facilities (meaning the information specified according to the cases set forth below; the same applies in sub-item (e)):
(1) 投資再生可能エネルギー発電設備が認定発電設備に該当する場合 再生可能エネルギー発電設備に係る特定契約の内容(特定供給者の名称、当該特定供給者と特定契約を締結した電気事業者の名称、調達価格、調達期間その他当該特定契約に関する重要な事項をいう。)、再生可能エネルギー発電設備の構造、現況その他投資再生可能エネルギー発電設備の価格に重要な影響を及ぼす事項
1. in cases where the Renewable Energy Power Generation Facilities falls under the category of Certified Power Generation Facility: the details of the Specified Contract (meaning the name of the Specified Supplier, the name of the Electricity Utilities which has concluded the Specified Contract with the Specified Supplier, the Procurement Price, the Procurement Period, and other material information concerning the Specified Contract), the structure and current status of the Renewable Energy Power Generation Facilities, and other information that have a material influence on the Price of the Renewable Energy Power Generation Facilities for Investment; and
(2) (1)に掲げる場合以外の場合 再生可能エネルギー発電設備に係る電力受給契約の内容(供給者の名称、当該供給者と電力受給契約を締結した電気事業者の名称、当該電力受給契約に基づき供給される再生可能エネルギー電気の一キロワット時当たりの価格、契約期間その他当該電力受給契約に関する重要な事項をいう。)、再生可能エネルギー発電設備の構造、現況その他投資再生可能エネルギー発電設備の価格に重要な影響を及ぼす事項
2. in cases other than those set forth in 1.: the details of the Power Purchase Contract regarding the Renewable Energy Power Generation Facilities (meaning the name of the Supplier, the name of the Electricity Utilities which has concluded the Power Purchase Contract with the Supplier, the price of Electricity from Renewable Energy Sources per kilowatt to be supplied under the Power Purchase Contract, the contract period, and other material information concerning the Power Purchase Contract), the structure and current status of the Renewable Energy Power Generation Facilities, and other information that have a material influence on the Price of the Renewable Energy Power Generation Facilities for Investment;
ホ 再生可能エネルギー発電設備の状況に関する第三者による調査結果の概要(行っていない場合には、その旨)及び調査者の氏名又は名称
(e) a summary of the results of the investigation on the status of the Renewable Energy Power Generation Facilities made by a third party (or that the investigation has not been made, if this is the case), as well as the name of the investigator;
ヘ 特定供給者又は供給者に関する事項
(f) information Concerning the Specified Supplier and the Supplier;
ト 各再生可能エネルギー発電設備の投資比率(当該再生可能エネルギー発電設備の価格が全ての再生可能エネルギー発電設備の価格の合計額に占める割合をいう。)
(g) the Investment Ratio of each Renewable Energy Power Generation Facilities (meaning the ratio of the Price of the relevant Renewable Energy Power Generation Facilities to the total of the Prices of all Renewable Energy Power Generation Facilities); and
チ 投資再生可能エネルギー発電設備に関して賃貸借契約を締結した相手方がある場合には、年間賃料、契約満了日、契約更改の方法、保証金その他賃貸借契約に関して特記すべき事項
(h) in cases where there is a counterparty with whom a lease contract for the Renewable Energy Power Generation Facilities for Investment has been concluded, the annual lease, expiration date of the contract, method for renewing the contract, security deposit, and any other information to be noted with regard to the lease contract;
六 投資法人の資産に属する公共施設等運営権(以下この号において「投資公共施設等運営権」という。)に関する次に掲げる事項
(vi) the following information concerning a Right to Operate Public Facility, etc. which belongs to the assets of the Investment Corporation (hereinafter referred to as the "Right to Operate Public Facility, etc. for Investment" in this item):
イ 公共施設等の種類の別及び地域別に区分した投資公共施設等運営権に係る公共施設等について各公共施設等の名称、立地、運営等の内容及び公共施設等の管理者等の名称並びに投資公共施設等運営権の存続期間及び価格
(a) with regard to the Public Facility, etc. covered by the Right to Operate Public Facility, etc. for Investment, classified by type of Public Facility, etc. and by area: the name, location, and details of the Operation, etc. the name of the Administrator, etc. of Public Facility, etc. of each Public Facility, etc., as well as the duration and Price of the Right to Operate Public Facility, etc. for Investment;
ロ 価格の評価方法及び評価者の氏名又は名称
(b) the appraisal method of the Price as well as the name of the appraiser;
ハ 担保の内容
(c) the details of the collateral;
ニ 公共施設等運営権の状況(公共施設等の運営等に係る委託契約の内容、年間運営事業収入の実績、公共施設等の現況その他投資公共施設等運営権の価格に重要な影響を及ぼす事項をいう。ホにおいて同じ。)
(d) Status of the Right to Operate Public Facility, etc. (meaning the details of the entrustment contract for the Operation, etc. of the Public Facility, etc., annual revenue from the facility business, current status of the Public Facility, etc., and other information that have a material influence on the Price of the Right to Operate Public Facility, etc. for Investment; the same applies in sub-item (e));
ホ 公共施設等運営権の状況に関する第三者による調査結果の概要(行っていない場合には、その旨)及び調査者の氏名又は名称
(e) a summary of the results of the investigation on the Status of the Right to Operate Public Facility, etc. made by a third party (or that the investigation has not been made, if this is the case), as well as the name of the investigator; and
ヘ 公共施設等の運営等に係る委託契約の相手方に関する事項
(f) information concerning the Counterparty to the entrustment contract for the Operation, etc. of the Public Facility, etc.
(資産運用委託契約の概要として記載する内容)
(Contents to Be Stated as an Outline of an Entrustment Contract for Assets Investment)
第百三十六条 法第八十三条第二項に規定する内閣府令で定める細目は、全ての資産運用会社につき、それぞれ次に掲げるものとする。
Article 136 The details specified by Cabinet Office Order as referred to in Article 83, paragraph (2) of the Act are as follows with regard to all Asset Management Companies:
一 名称(当該資産運用会社が適格投資家向け投資運用業を行うことにつき金融商品取引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。)及び住所
(i) the name (including an indication that the relevant Asset Management Company is a Financial Instruments Business Operator registered under Article 29 of the Financial Instruments and Exchange Act for engaging in the Investment Management Business for Qualified Investors, if this is the case) and address; and
二 それらの者との間の契約において定める事項のうち、委託すべき業務の内容、契約期間及び当該期間中の解約に関する事項、契約の変更に関する事項、それらの者に支払う報酬又は手数料の額(具体的な金額又はその計算方法)並びにその支払の時期及び方法その他重要な事項(これらの者との間の契約に、資産の運用に係る権限の一部の再委託に関する規定を設ける場合においては、当該規定の内容(資産の運用に係る権限の一部を適格投資家向け投資運用業を行うことにつき金融商品取引法第二十九条の登録を受けた金融商品取引業者に再委託することを内容とするものであるときは、その旨を含む。)を含む。)
(ii) among the information specified in the contracts concluded with the Asset Management Companies, information concerning the contents of the business to be entrusted, contract period, and cancellation of the contract during the period, information related to the changes to the contract, the amount of remuneration or fees to be paid to such Asset Management Companies (the concrete amount or the method of calculation thereof), the timing for the payment thereof, and any other material information (in cases where stipulating provisions concerning the partial re-entrustment of the authority for assets investments in the contract to be concluded with such Asset Management Companies, including the details of the provisions (including an indication that it is stipulated in the contract that the authority for asset investments is partially re-entrusted to a Financial Instruments Business Operator registered under Article 29 of the Financial Instruments and Exchange Act for engaging in the Investment Management Business for Qualified Investors, if this is the case)).
(申込みをしようとする者に対する通知を要しない場合)
(Cases Where Notice to Persons Who Intend to File Applications Is Not Required)
第百三十七条 法第八十三条第五項に規定する内閣府令で定める場合は、次に掲げる場合であって、投資法人が同条第一項の申込みをしようとする者に対して同項各号に掲げる事項を提供している場合とする。
Article 137 The cases specified by Cabinet Office Order as referred to in Article 83, paragraph (5) of the Act are the following cases where an Investment Corporation has provided the persons who intend to file applications under paragraph (1) of that Article with the information listed in the items of that paragraph:
一 当該投資法人が金融商品取引法の規定に基づき目論見書に記載すべき事項を電磁的方法により提供している場合
(i) cases where the relevant Investment Corporation has provided the information to be stated in the prospectus pursuant to the provisions of the Financial Instruments and Exchange Act by Electronic or Magnetic Means; or
二 当該投資法人が外国の法令に基づき目論見書その他これに相当する書面その他の資料を提供している場合
(ii) cases where the relevant Investment Corporation has provided the prospectus, documents equivalent thereto, or any other materials under laws and regulations of a foreign state.
(出資の履行の仮装に関して責任をとるべき執行役員等)
(Executive Managing Officers to Be Held Liable with Regard to Falsifying Performance of Contribution)
第百三十七条の二 法第八十四条第一項において準用する会社法第二百十三条の三第一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 137-2 The persons specified by Cabinet Office Order as referred to in Article 213-3 paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 84, paragraph (1) of the Act are the following persons:
一 出資の履行(法第八十四条第一項において準用する会社法第二百八条第三項に規定する出資の履行をいう。次号において同じ。)の仮装に関する職務を行った執行役員
(i) the executive managing officers who performed the duties concerning falsifying a Performance of Contribution (meaning the Performance of Contribution provided in Article 208, paragraph (3) of the Companies Act as applied mutatis mutandis pursuant to Article 84, paragraph (1) of the Act; the same applies in the following item);
二 出資の履行の仮装が役員会の決議に基づいて行われたときは、次に掲げる者
(ii) in cases where the Performance of Contribution has been falsified based on a resolution of a board of officers meeting, the following persons:
イ 当該役員会の決議に賛成した執行役員及び監督役員
(a) the executive managing officers and supervisory officers who agreed to the relevant resolution of the board of officers meeting; and
ロ 当該役員会に当該出資の履行の仮装に関する議案を提案した執行役員
(b) the executive managing officers who submitted proposals concerning falsifying the Performance of Contribution, to the board of officers meeting.
(投資口の端数処理の方法)
(Method of Processing Fractions of Investment Equity)
第百三十八条 法第八十八条第一項に規定する内閣府令で定める方法は、次の各号に掲げる投資口の区分に応じ、当該各号に定める方法とする。
Article 138 The methods specified by Cabinet Office Order as referred to in Article 88, paragraph (1) of the Act are the methods specified in the following items according to the category of Investment Equity listed in the respective items:
一 その投資証券が金融商品取引所に上場されている有価証券である投資口 取引所金融商品市場において行う取引による売却
(i) Investment Equity of which the Investment Securities are Securities listed on a Financial Instruments Exchange: sales through the transactions conducted on a Financial Instruments Exchange Market;
二 その投資証券が店頭売買有価証券である投資口 店頭売買有価証券市場において行う取引による売却
(ii) Investment Equity of which the Investment Securities are Over-the-Counter Traded Securities: sales through the transactions conducted on an Over-the-Counter Securities Market; and
三 前二号に掲げる投資口以外の投資口 当該投資口を発行する投資法人の純資産の額に照らして公正妥当な金額による売却
(iii) Investment Equity other than those listed in the preceding two items: sales at a fair and reasonable price in light of the amount of net assets of the Investment Corporation which issues the relevant Investment Equity.
(投資口の端数払戻しの場合の控除方法)
(Method of Deduction in Cases of Refunding the Fractions of Investment Equity)
第百三十九条 法第八十八条第二項(法第百四十九条の十七第二項において準用する場合を含む。)又は第百二十四条第一項の規定により投資口の払戻しをした投資法人は、払戻しの直前における一口当たり出資総額に払戻しをした投資口の口数を乗じて得た額を出資総額から、払戻しの直前における一口当たり出資剰余金の額に払戻しをした投資口の口数を乗じて得た額を出資剰余金の額から、それぞれ控除しなければならない。
Article 139 (1) The Investment Corporation that refunded Investment Equity pursuant to the provisions of Article 88, paragraph (2) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 149-17, paragraph (2) of the Act) or Article 124, paragraph (1) of the Act must deduct the amount obtained by multiplying the Total Amount of Investment Per Unit as of the time immediately prior to the refund by the number of units of Investment Equity refunded from the total amount of investment, and must deduct the amount obtained by multiplying the Amount of Investment Surplus Per Unit as of the time immediately prior to the refund by the number of units of Investment Equity refunded from the Amount of Investment Surplus, respectively.
2 前項の一口当たり出資総額とは、出資総額を発行済投資口(法第七十七条の二第一項に規定する発行済投資口をいう。以下この条において同じ。)の総口数で除して得た額をいい、前項の一口当たり出資剰余金の額とは、出資剰余金の額を発行済投資口の総口数で除して得た額をいう。
(2) The term "Total Amount of Investment Per Unit" as used in the preceding paragraph means the amount obtained by dividing the total amount of investment by the total number of units of Issued Investment Equity (meaning the Issued Investment Equity as prescribed in Article 77-2, paragraph (1) of the Act; hereinafter the same applies in this Article), and the term "Amount of Investment Surplus Per Unit" as used in the preceding paragraph is the amount obtained by dividing the amount of investment surplus by the total number of units of Issued Investment Equity.
3 法第百二十四条第一項の規定により投資口の払戻しをした投資法人は、その投資主名簿に、当該投資口につき払戻しをした旨、払戻しをした年月日及び払戻金額を記載し、又は記録し、かつ、当該投資口を有していた投資主の有する投資口の口数及び発行済投資口の総口数に係る記載又は記録の変更をしなければならない。
(3) The Investment Corporation that refunded Investment Equity pursuant to the provisions of Article 124, paragraph (1) of the Act must include or record in its investor register a statement to the effect that it has made refund with regard to the relevant Investment Equity, the date on which the refund was made, and the refunded amount, and must change the statement or records on the number of units of Investment Equity held by the Investors who held the relevant Investment Equity, and on the total number of units of Issued Investment Equity.
(新投資口予約権原簿記載事項の記載等の請求)
(Request of Inclusion of the Information Required to Be Included in the Investment Equity Options Register)
第百三十九条の二 法第八十八条の八第四項において準用する会社法第二百六十条第二項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 139-2 (1) The cases specified by Cabinet Office Order as referred to in Article 260 paragraph (2) of the Companies Act as applied mutatis mutandis pursuant to Article 88-8, paragraph (4) of the Act are the following cases:
一 新投資口予約権を当該新投資口予約権を発行した投資法人以外の者から取得した者(当該投資法人を除く。以下この条において「新投資口予約権取得者」という。)が、新投資口予約権者として新投資口予約権原簿に記載若しくは記録がされた者又はその一般承継人に対して当該新投資口予約権取得者の取得した新投資口予約権に係る法第八十八条の八第四項において準用する会社法第二百六十条第一項の規定による請求をすべきことを命ずる確定判決を得た場合において、当該確定判決の内容を証する書面その他の資料を提供して請求をしたとき。
(i) in cases where the person who acquired Investment Equity Options from persons other than the Investment Corporation that issued the Investment Equity Options (excluding the Investment Corporation; hereinafter referred to as "Acquirer of Investment Equity Options" in this Article) has received a final and binding judgment ordering the Acquirer of Investment Equity Options to make the request under Article 260, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 88-8, paragraph (4) of the Act related to the Investment Equity Options acquired by the Acquirer of Investment Equity Options against the person who has been stated or recorded in the Investment Equity Options Register as a holder of Investment Equity Options or the general successor thereof, when the Acquirer of Investment Equity Options has made the request by providing a document evidencing the contents of the final and binding judgment or any other materials;
二 新投資口予約権取得者が前号の確定判決と同一の効力を有するものの内容を証する書面その他の資料を提供して請求をしたとき。
(ii) when the Acquirer of Investment Equity Options has made the request by providing a document evidencing the contents of a decision having the same effect as the final and binding judgment under the preceding item or any other materials;
三 新投資口予約権取得者が一般承継により当該投資法人の新投資口予約権を取得した者である場合において、当該一般承継を証する書面その他の資料を提供して請求をしたとき。
(iii) in cases where the Acquirer of Investment Equity Options is a person who has acquired the Investment Equity Options of the relevant Investment Corporation by general succession, when such Acquirer of Investment Equity Options has made the request by providing a document evidencing the general succession or any other materials; and
四 新投資口予約権取得者が当該投資法人の新投資口予約権を競売により取得した者である場合において、当該競売により取得したことを証する書面その他の資料を提供して請求をしたとき。
(iv) in cases where the Acquirer of Investment Equity Options is a person who has acquired the Investment Equity Options of the relevant Investment Corporation by auction, when such Acquirer of Investment Equity Options has made the request by providing a document evidencing that the acquisition was made by auction, or any other materials.
2 前項の規定にかかわらず、新投資口予約権取得者が取得した新投資口予約権が証券発行新投資口予約権(法第八十八条の五第一項第二号ニに規定する証券発行新投資口予約権をいう。)である場合には、法第八十八条の八第四項において準用する会社法第二百六十条第二項に規定する内閣府令で定める場合は、新投資口予約権取得者が新投資口予約権証券を提示して請求をした場合とする。
(2) Notwithstanding the provisions of the preceding paragraph, in cases where the Investment Equity Options acquired by the Acquirer of Investment Equity Options are investment equity options for which certificates are issued (meaning the investment equity options for which certificates are issued provided in Article 88-5, paragraph (1), item (ii), sub-item (d) of the Act), the cases specified by Cabinet Office Order as referred to in Article 260, paragraph (2) of the Companies Act as applied mutatis mutandis pursuant to Article 88-8, paragraph (4) of the Act are the cases where the Acquirer of Investment Equity Options has made the request by presenting the Investment Equity Option Certificate.
(新投資口予約権に係る払込みの仮装に関して責任をとるべき執行役員等)
(Executive Managing Officers to Be Held Liable with Regard to Falsifying Payment for Investment Equity Options)
第百三十九条の三 法第八十八条の十七第三項において準用する会社法第二百八十六条の三第一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 139-3 Persons specified by Cabinet Office Order as prescribed in Article 286-3, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 88-17, paragraph (3) of the Act are the following persons:
一 払込み(法第八十八条の十七第三項において準用する会社法第二百八十六条の二第一項第二号の払込みをいう。次号において同じ。)の仮装に関する職務を行った執行役員
(i) the executive managing officers who performed the duties concerning falsifying a payment (meaning the payment provided in Article 286-2, paragraph (1), item (ii) of the Companies Act as applied mutatis mutandis pursuant to Article 88-17, paragraph (3) of the Act; the same applies in the following item);
二 払込みの仮装が役員会の決議に基づいて行われたときは、次に掲げる者
(ii) in cases where the payment has been falsified based on a resolution of a board of officers meeting, the following persons:
イ 当該役員会の決議に賛成した執行役員及び監督役員
(a) the executive managing officers and supervisory officers who agreed to the relevant resolution of the board of officers meeting; and
ロ 当該役員会に当該払込みの仮装に関する議案を提案した執行役員
(b) the executive managing officers who submitted proposals concerning falsifying the payment, to the board of officers meeting.
(新投資口予約権の行使により投資口に端数が生ずる場合)
(Cases Where a Fraction Less Than One Unit of Investment Equity Is Produced by the Exercise of Investment Equity Options)
第百三十九条の四 法第八十八条の十九第一号に規定する内閣府令で定める方法は、次に掲げる額のうちいずれか高い額をもって同号に規定する投資口の価格とする方法とする。
Article 139-4 The methods specified by Cabinet Office Order as referred to in Article 88-19, item (i) of the Act are the method whereby the higher of the following amounts are treated as the price of Investment Equity prescribed in that item:
一 新投資口予約権の行使の日(以下この条において「行使日」という。)における当該投資口を取引する市場における最終の価格(当該行使日に売買取引がない場合又は当該行使日が当該市場の休業日に当たる場合にあっては、その後最初になされた売買取引の成立価格)
(i) the closing price of the relevant Investment Equity on the market in which the Investment Equity is traded, as of the date of the exercise of Investment Equity Options (hereinafter referred to as the "Exercise Date" in this Article) (in cases where no sale and purchase transaction has been made on the relevant Exercise Date, or the relevant Exercise Date falls on a non-business day of the relevant market, the concluded price of the first sale and purchase transaction conducted after the relevant Exercise Date); or
二 行使日において当該投資口が公開買付け等(金融商品取引法第二十七条の二第六項(同法第二十七条の二十二の二第二項において準用する場合を含む。)に規定する公開買付け及びこれに相当する外国の法令に基づく制度をいう。第二百四条第一項第二号において同じ。)の対象であるときは、当該行使日における当該公開買付け等に係る契約における当該投資口の価格
(ii) when the relevant Investment Equity is subject to a Tender Offer, etc. (meaning the tender offer as prescribed in Article 27-2, paragraph (6) of the Financial Instruments and Exchange Act (including the cases where it is applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of that Act), and systems equivalent thereto based on laws and regulations of a foreign state; the same applies in Article 204, paragraph (1), item (ii)) as of the Exercise Date, the price of the relevant Investment Equity in the contract for Tender Offer, etc. as of the relevant Exercise Date.
(招集の決定事項)
(Particulars Decided for a Calling)
第百四十条 法第九十条の二第一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(規約に第三号又は第五号から第七号までに掲げる事項についての定めがある場合における当該事項を除く。)とする。
Article 140 The particulars specified by Cabinet Office Order as referred to in Article 90-2, paragraph (1), item (iv) of the Act are the following particulars (in cases where there are provisions on the particulars listed in items (iii) or (v) through (vii) in the certificate of incorporation, such particulars are excluded):
一 法第九十条の二第一項第一号に規定する投資主総会の場所が過去に開催した投資主総会のいずれの場所とも著しく離れた場所であるとき(次に掲げる場合を除く。)は、その場所を決定した理由
(i) when the place of the Investors' meeting as provided in Article 90-2, paragraph (1), item (i) of the Act is extremely far from any of the place at which the past Investors' meetings have been held (excluding the following cases), the reasons for deciding such place:
イ 当該場所が規約で定められたものである場合
(a) cases where the relevant place is a place specified in the certificate of incorporation; and
ロ 当該場所で開催することについて投資主総会に出席しない投資主全員の同意がある場合
(b) cases where the consent of all Investors who do not attend the Investors' meeting are obtained for holding the Investors' meeting at the relevant place;
二 第百四十二条から第百五十四条までの規定により投資主総会参考書類(法第九十一条第四項に規定する投資主総会参考書類をいう。以下同じ。)に記載すべき事項(第百四十二条の二第三号、第百四十九条第三号及び第四号並びに第百五十条第三号に掲げる事項を除く。)
(ii) information required to be given in the Reference Documents for the Investors' Meeting (meaning the Reference Documents for the Investors' Meeting as prescribed in Article 91, paragraph (4) of the Act; the same applies hereinafter) pursuant to the provisions of Article 142 through Article 154 (excluding information listed in Article 142-2, item (iii), Article 149, items (iii) and (iv), and Article 150, item (iii));
三 特定の時(投資主総会の日時以前の時であって、法第九十一条第一項本文の規定により通知を発した日から二週間を経過した日以後の時に限る。)をもって書面による議決権の行使の期限とする旨を定めるときは、その特定の時
(iii) when it is to be provided for that a specific time (limited to the time which is before the date of the Investors' meeting but on or after the day on which two weeks have passed from the day on which the notice has been sent pursuant to the provisions of the main clause of Article 91, paragraph (1) of the Act) is the time limit for exercising the voting rights in writing, such specific time;
四 第百五十四条第一項の措置をとることにより投資主に対して提供する投資主総会参考書類に記載しないものとする事項
(iv) information which is not to be given in the Reference Documents for the Investors' Meeting to be delivered to Investors by taking the measure set forth in Article 154, paragraph (1);
五 第百五十五条第一項第二号の取扱いを定めるときは、その取扱いの内容
(v) when the handling provided in Article 155, paragraph (1), item (ii) is to be specified, the details of the handling;
六 一の投資主が同一の議案につき法第九十二条第一項(法第九十条の二第一項第三号に掲げる事項を定めた場合にあっては、法第九十二条第一項又は第九十二条の二第一項)の規定により重複して議決権を行使した場合において、当該同一の議案に対する議決権の行使の内容が異なるものであるときにおける当該投資主の議決権の行使の取扱いに関する事項を定めるときは、その事項
(vi) in cases where a single Investor has redundantly exercised its voting right for a single proposal pursuant to the provisions of Article 92, paragraph (1) of the Act (in cases where the particulars listed in Article 90-2, paragraph (1), item (iii) of the Act are provided for, the provisions of Article 92, paragraph (1) or Article 92-2, paragraph (1) of the Act) and the facts of the exercise of voting right for the single proposal differ, when particulars concerning the handling of such exercise of voting right by the Investor are provided, such particulars;
七 法第九十条の二第一項第三号に掲げる事項を定めたときは、次に掲げる事項
(vii) when the particulars listed in Article 90-2, paragraph (1), item (iii) of the Act are specified, the following particulars:
イ 特定の時(投資主総会の日時以前の時であって、法第九十一条第一項本文の規定により通知を発した日から二週間を経過した日以後の時に限る。)をもって電磁的方法による議決権の行使の期限とする旨を定めるときは、その特定の時
(a) when it is to be provided for that a specific time (limited to the time which is before the date of the Investors' meeting but on or after the day on which two weeks have passed from the day on which the notice has been sent pursuant to the provisions of the main clause of Article 91, paragraph (1) of the Act) is the time limit for exercising voting rights by Electronic or Magnetic Means, such specific time;
ロ 法第九十一条第二項の承諾をした投資主の請求があった時に当該投資主に対して同条第四項の規定による議決権行使書面(同項に規定する議決権行使書面をいう。第百五十五条において同じ。)の交付(当該交付に代えて行う法第九十一条第五項の規定による電磁的方法による提供を含む。)をすることとするときは、その旨
(b) that Voting Forms (meaning the Voting Forms as prescribed in Article 91, paragraph (4) of the Act; the same applies in Article 155) are to be delivered under that paragraph (including the provision of Voting Forms by Electronic or Magnetic Means under Article 91, paragraph (5) of the Act made in lieu of the delivery thereof) to the Investors who have given the consent under Article 91, paragraph (2) of the Act when requested by such Investors, if this is the case;
八 法第九十四条第一項において準用する会社法第三百十条第一項の規定による代理人による議決権の行使について、代理権(代理人の資格を含む。)を証明する方法、代理人の数その他代理人による議決権の行使に関する事項を定めるとき(規約に当該事項についての定めがある場合を除く。)は、その事項
(viii) when particulars concerning the method of proving the right of representation (including the qualification of agents), the number of agents, and any other particulars related to the exercise of voting rights by the agents are to be provided with regard to the exercise of voting rights by agents under the provisions of Article 310, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 94, paragraph (1) of the Act (excluding cases where there are provisions on such particulars in the certificate of incorporation), such particulars; and
九 法第九十四条第一項において準用する会社法第三百十三条第二項の規定による通知の方法を定めるとき(規約に当該通知の方法についての定めがある場合を除く。)は、その方法
(ix) when the method of notice under the provisions of Article 313, paragraph (2) of the Companies Act as applied mutatis mutandis pursuant to Article 94, paragraph (1) of the Act (excluding cases where there are provisions on the method of notice in the certificate of incorporations), such method.
(投資主総会参考書類)
(Reference Documents for the Investors' Meeting)
第百四十一条 法第九十一条第四項の規定により交付すべき投資主総会参考書類に記載すべき事項については、次条から第百五十四条までに定めるところによる。
Article 141 (1) The information required to be given in the Reference Documents for the Investors' Meeting which are to be delivered pursuant to the provisions of Article 91, paragraph (4) of the Act is to be governed by the provisions of the following Article through Article 154.
2 法第九十条の二第一項第三号に掲げる事項を定めた投資法人が行った投資主総会参考書類の交付(当該交付に代えて行う電磁的方法による提供を含む。)は、法第九十一条第四項の規定による投資主総会参考書類の交付とする。
(2) The delivery of Reference Documents for the Investors' Meeting (including the provision thereof by Electronic or Magnetic Means made in lieu of the delivery) made by an Investment Corporation which has provided the particulars listed in Article 90-2, paragraph (1), item (iii) of the Act, is the delivery of Reference Documents for the Investors' Meeting under Article 91, paragraph (4) of the Act.
3 執行役員は、投資主総会参考書類に記載すべき事項について、招集通知(法第九十一条第一項本文又は第二項の規定による通知をいう。以下この項、次条第五項、第百五十四条第一項並びに第百五十五条第三項及び第四項において同じ。)を発出した日から投資主総会の前日までの間に修正をすべき事情が生じた場合における修正後の事項を投資主に周知させる方法を、当該招集通知と併せて通知することができる。
(3) With regard to the information required to be given in the Reference Documents for the Investors' Meeting, an executive managing officer may, in cases where any circumstance which requires an amendment occurs during the period from the day on which the Notice of Calling (meaning the notice under the main clause of Article 91, paragraph (1) or (2) of the Act; hereinafter the same applies in this paragraph, paragraph (5) of the following Article, Article 154, paragraph (1), and Article 155, paragraphs (3) and (4)) was sent to the day immediately preceding the date of Investors' meeting, notify the method of making public the information after the amendment to the Investors along with the Notice of Calling.
(投資主総会参考書類の一般的記載事項)
(General Information Required to Be Given in the Reference Documents for the Investors' Meeting)
第百四十二条 投資主総会参考書類には、次に掲げる事項を記載しなければならない。
Article 142 (1) The following information must be given in the Reference Documents for the Investors' Meeting:
一 議案
(i) the proposal;
二 提案の理由(議案が執行役員の提出に係るものに限り、投資主総会において一定の事項を説明しなければならない議案の場合における当該説明すべき内容を含む。)
(ii) the reasons for submitting a proposal (only for proposals related to the submission by an executive managing officer, in cases where such proposal is that for which certain information is to be explained at an Investors' meeting, the contents to be explained are included); and
三 議案につき法第百十一条第三項において準用する会社法第三百八十四条の規定により投資主総会に報告すべき調査の結果があるときは、その結果の概要
(iii) when there is a result of the investigation to be reported to the Investors' meeting pursuant to the provisions of Article 384 of the Companies Act as applied mutatis mutandis pursuant to Article 111, paragraph (3) of the Act with regard to the proposal, the outline of such outcome.
2 前項各号に掲げるもののほか、投資主総会参考書類には、法第九十三条第一項の規定による定め(以下この項において「みなし賛成の定め」という。)をした投資法人の投資主総会に提出される議案のうちに相反する趣旨の議案があるときは、当該議案のいずれにもみなし賛成の定めの適用がない旨を記載しなければならない。
(2) Beyond what is listed in the items of the preceding paragraph, when the proposals to be submitted to the Investors' meeting of an Investment Corporation which has included provisions under Article 93, paragraph (1) of the Act (hereinafter referred to as the "Provisions of Deemed Agreement" in this paragraph) includes conflicting proposals, the Reference Documents for the Investors' Meeting must include to the effect that the Provisions of Deemed Agreement are not applied to any of such proposals.
3 投資主総会参考書類には、この条から第百五十四条までに定めるもののほか、投資主の議決権の行使について参考となると認める事項を記載することができる。
(3) Beyond what is provided for in this Article through Article 154, the Reference Documents for the Investors' Meeting may include the information which is found to serve as a reference for the exercise of voting rights by Investors.
4 同一の投資主総会に関して投資主に対して提供する投資主総会参考書類に記載すべき事項のうち、他の書面に記載している事項又は電磁的方法により提供する事項がある場合には、これらの事項は、投資主に対して提供する投資主総会参考書類に記載することを要しない。この場合においては、他の書面に記載している事項又は電磁的方法により提供する事項があることを明らかにしなければならない。
(4) In cases where some of the information required to be given in the Reference Documents for the Investors' Meeting which are to be provided to Investors in relation to a single Investors' meeting is given in other documents or is provided by Electronic or Magnetic Means, such information is not required to be given in the Reference Documents for an Investors' Meeting which are to be provide to Investor. In this case, it must be clearly stated in the Reference Documents for the Investors' Meeting that there is information given in other documents or information provided by Electronic or Magnetic Means.
5 同一の投資主総会に関して投資主に対して提供する招集通知の内容とすべき事項のうち、投資主総会参考書類に記載している事項がある場合には、当該事項は、投資主に対して提供する招集通知の内容とすることを要しない。
(5) In cases where some of the information required to be included in the content of the Notice of Calling which is to be provided to Investors in relation to a single Investors' meeting is given in the Reference Documents for the Investors' Meeting, such information is not required to be included in the contents of the Notice of Calling which is to be provided to the Investors.
(投資口の併合に関する議案)
(Proposals for the Consolidation of Investment Equity)
第百四十二条の二 執行役員が投資口の併合に関する議案を提出する場合には、投資主総会参考書類には、次に掲げる事項を記載しなければならない。
Article 142-2 In cases where an executive managing officer submits a proposal for the consolidation of the Investment Equity, the following information must be given in the Reference Documents for the Investors' Meeting:
一 当該投資口の併合を行う理由
(i) the reasons for effecting the relevant consolidation of the Investment Equity;
二 法第八十一条の二第二項において準用する会社法第百八十条第二項第一号及び第二号に掲げる事項の内容
(ii) contents of the particulars listed in Article 180, paragraph (2), item (i) and item (ii) of the Companies Act as applied mutatis mutandis pursuant to Article 81-2, paragraph (2) of the Act; and
三 法第九十条の二第一項の決定をした日における第百三十一条の二第一号及び第二号に掲げる事項があるときは、当該事項の内容の概要
(iii) in cases where there is information listed in Article 131-2, item (i) and item (ii) as of the day on which the decision under Article 90-2, paragraph (1) of the Act, the summary of contents of such information.
(執行役員の選任に関する議案)
(Proposals for the Appointment of Executive Managing Officers)
第百四十三条 執行役員が執行役員の選任に関する議案を提出する場合には、投資主総会参考書類には、次に掲げる事項を記載しなければならない。
Article 143 (1) In cases where an executive managing officer submits a proposal for the appointment of an executive managing officer, the following information must be given in the Reference Documents for the Investors' Meeting:
一 候補者の氏名、生年月日及び略歴
(i) the name, date of birth, and career of the candidate;
二 候補者の有する当該投資法人の投資口の口数
(ii) the number of units of Investment Equity of the relevant Investment Corporation held by the candidate;
三 候補者が当該投資法人の執行役員に就任した場合において投資法人の計算に関する規則第七十四条第六号に定める重要な兼職に該当する事実があることとなるときは、その事実
(iii) in cases where the candidates assumes the office of the executive managing officer of the relevant Investment Corporation and there are facts pertaining to such candidates which fall under a concurrent holding of important posts as provided in Article 74, item (vi) of the Regulation on Accountings of Investment Corporations, such facts;
四 候補者と投資法人との間に特別の利害関係があるときは、その事実の概要
(iv) in cases where the candidate has any special interest with the Investment Corporation, the summary of such facts;
五 候補者が現に当該投資法人の執行役員であるときは、当該投資法人における地位及び担当
(v) in cases where the candidate is actually an executive managing officer of the relevant Investment Corporation, the position and duty at the Investment Corporation;
六 就任の承諾を得ていないときは、その旨
(vi) that the consent for assuming office has yet to be obtained, if this is the case; and
七 法第九十九条第二項の規定を適用するときは、その旨
(vii) that the provisions of Article 99, paragraph (2) of the Act are applied, if this is the case.
2 前項に規定する場合において、投資法人が他の投資法人の子法人であるときは、投資主総会参考書類には、次に掲げる事項を記載しなければならない。
(2) In the case referred to in the preceding paragraph, when the Investment Corporation is a Subsidiary Corporation of another Investment Corporation, the following information must be given in the Reference Documents for the Investors' Meeting:
一 候補者が現に当該他の投資法人(当該他の投資法人の子法人(当該投資法人を除く。)を含む。以下この項において同じ。)の役員(法第九十六条第一項に規定する役員をいう。第百六十四条及び第二百条を除き、以下この節において同じ。)であるときは、当該他の投資法人における地位及び担当
(i) when the candidate is actually an Officer (meaning the Officer as prescribed in Article 96, paragraph (1) of the Act; except in Article 164 and Article 200, hereinafter the same applies in this Section) of the relevant other Investment Corporation (including a Subsidiary Corporation (excluding the relevant Investment Corporation) of the relevant other Investment Corporation; hereinafter the same applies in this paragraph), the position and duty at the relevant other Investment Corporation;
二 候補者が過去五年間に当該他の投資法人の役員であったことを当該投資法人が知っているときは、当該他の投資法人における地位及び担当
(ii) when the relevant Investment Corporation is aware of the fact that the candidate was an Officer of the relevant other Investment Corporation in the past five years, the position and duty at the relevant other Investment Corporation.
3 議案が、監督役員の全員の同意によって提出されたものであるときは、その旨を記載しなければならない。
(3) When the proposal is one submitted with the consent of all supervisory officers, such fact must be stated therein.
(監督役員の選任に関する議案)
(Proposals for the Appointment of Supervisory Officers)
第百四十四条 執行役員が監督役員の選任に関する議案を提出する場合には、投資主総会参考書類には、次に掲げる事項を記載しなければならない。
Article 144 (1) In cases where an executive managing officer submits a proposal for the appointment of a supervisory officer, the following information must be given in the Reference Documents for the Investors' Meeting:
一 候補者の氏名、生年月日及び略歴
(i) the name, date of birth, and career of the candidate;
二 候補者の有する当該投資法人の投資口の口数
(ii) the number of units of Investment Equity of the relevant Investment Corporation held by the candidate;
三 候補者が当該投資法人の監督役員に就任した場合において投資法人の計算に関する規則第七十四条第六号に定める重要な兼職に該当する事実があることとなるときは、その事実
(iii) in cases where the candidates assumes the office of the supervisory officer of the relevant Investment Corporation and there are facts pertaining to such candidates which fall under a concurrent holding of important posts as provided in Article 74, item (vi) of the Regulation on Accountings of Investment Corporations, such facts;
四 投資法人との間に特別の利害関係があるときは、その事実の概要
(iv) in cases where the candidate has any special interest with the Investment Corporation, the summary of such facts;
五 候補者が現に当該投資法人の監督役員であるときは、当該投資法人における地位
(v) in cases where the candidate is actually a supervisory officer of the relevant Investment Corporation, the position and duty at the Investment Corporation;
六 就任の承諾を得ていないときは、その旨
(vi) that the consent for assuming office has yet to be obtained, if this is the case; and
七 法第百一条第二項において準用する法第九十九条第二項の規定を適用するときは、その旨
(vii) that the provisions of Article 99, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 101, paragraph (2) of the Act are applied, if this is the case.
2 前項に規定する場合において、投資法人が他の投資法人の子法人であるときは、投資主総会参考書類には、次に掲げる事項を記載しなければならない。
(2) In the case referred to in the preceding paragraph, when the Investment Corporation is a Subsidiary Corporation of another Investment Corporation, the following information must be given in the Reference Documents for the Investors' Meeting:
一 候補者が現に当該他の投資法人(当該他の投資法人の子法人(当該投資法人を除く。)を含む。以下この項において同じ。)の役員であるときは、当該他の投資法人における地位及び担当
(i) when the candidate is actually an Officer of the relevant other Investment Corporation (including a Subsidiary Corporation (excluding the relevant Investment Corporation) of the relevant other Investment Corporation; hereinafter the same applies in this paragraph), the position and duty at the relevant other Investment Corporation; and
二 候補者が過去五年間に当該他の投資法人の役員であったことを当該投資法人が知っているときは、当該他の投資法人における地位及び担当
(ii) when the relevant Investment Corporation is aware of the fact that the candidate was an Officer of the relevant other Investment Corporation in the past five years, the position and duty at the relevant other Investment Corporation.
(会計監査人の選任に関する議案)
(Proposals for the Appointment of Financial Auditors)
第百四十五条 執行役員が会計監査人の選任に関する議案を提出する場合には、投資主総会参考書類には、次に掲げる事項を記載しなければならない。
Article 145 In cases where an executive managing officer submits a proposal for the appointment of a financial auditor, the following information must be given in the Reference Documents for the Investors' Meeting:
一 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
(i) information specified in the following sub-item (a) or (b) according to the category of cases set forth in the respective sub-items:
イ 候補者が公認会計士である場合 その氏名、事務所の所在場所、生年月日及び略歴
(a) in cases where the candidate is a certified public accountant: the candidate's name, location of the office, date of birth and career; or
ロ 候補者が監査法人である場合 その名称、主たる事務所の所在場所及び沿革
(b) in cases where the candidate is an auditing firm: its name, location of the principal office, and history;
二 就任の承諾を得ていないときは、その旨
(ii) that the consent for assuming office has yet to be obtained, if this is the case;
三 法第百七条第一項の規定による会計監査人の意見があるときは、その意見の内容の概要
(iii) when there are opinions from a financial auditor under the provisions of Article 107, paragraph (1) of the Act, the summary of the contents of such opinion;
四 候補者と当該投資法人との間で法第百十五条の六第十二項において準用する会社法第四百二十七条第一項の契約を締結しているとき又は当該契約を締結する予定があるときは、その契約の内容の概要
(iv) in cases where the contract under Article 427, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 115-6, paragraph (12) of the Act has been or is scheduled to be concluded between the candidate and the Investment Corporation, the summary of the contents of the contract;
五 当該候補者が現に業務の停止の処分を受け、その停止の期間を経過しない者であるときは、当該処分に係る事項
(v) when the relevant candidate is a person who has actually been subject to a disposition of suspension of business and for whom the period of suspension has yet to elapse, information related to such disposition;
六 当該候補者が過去二年間に業務の停止の処分を受けた者である場合における当該処分に係る事項のうち、当該投資法人が投資主総会参考書類に記載することが適切であるものと判断した事項
(vi) in cases where the relevant candidate is a person who has been subject to a disposition of suspension of business in the past two years, information related to the disposition which are found appropriate to be stated in the Reference Documents for the Investors' Meeting by the relevant Investment Corporation; and
七 当該候補者が次のイ又はロに掲げる区分に応じ、当該イ又はロに定めるものから多額の金銭その他の財産上の利益(これらの者から受ける会計監査人(法以外の法令の規定によるこれに相当するものを含む。)としての報酬、賞与その他の職務執行の対価として投資法人から受ける財産上の利益及び公認会計士法(昭和二十三年法律第百三号)第二条第一項に規定する業務の対価を除く。)を受ける予定があるとき又は過去二年間に受けていたときは、その内容
(vii) when the relevant candidate is expected to receive or have received in the past two years a large amount of money or any other property benefits from the persons specified in the following sub-item (a) or (b) according to the categories specified in the respective sub-items (remunerations, bonuses, or any other property benefits from an Investment Corporation as the consideration for the execution of business to be received from the Investment Corporations, Parent Corporation thereof, Subsidiary Corporation of the Parent Corporation as a financial auditor (including those equivalent thereto under the provisions of laws and regulations other than the Act), and consideration for the services prescribed in Article 2, paragraph (1) of the Certified Public Accountant Acts (Act No. 103 of 1948) are excluded from the above-mentioned property benefits), the details thereof:
イ 当該投資法人に親法人(法第八十一条第一項に規定する親法人をいう。ロにおいて同じ。)がある場合 当該投資法人、当該親法人又は当該親法人の子法人(当該投資法人を除く。)
(a) in cases where there is a Parent Corporation (meaning the Parent Corporation as prescribed in Article 81, paragraph (1) of the Act; hereinafter the same applies in sub-item (b)) of the relevant Investment Corporation, the relevant Investment Corporation, the Parent Corporation, or a Subsidiary Corporation of the Parent Corporation (excluding the relevant Investment Corporation); or
ロ 当該投資法人に親法人がない場合 当該投資法人又は当該投資法人の子法人
(b) in cases where there is no Parent Corporation of the relevant Investment Corporation, the Investment Corporation or a Subsidiary Corporation of the Investment Corporation.
(執行役員の解任に関する議案)
(Proposals for the Dismissal of Executive Managing Officers)
第百四十六条 執行役員が執行役員の解任に関する議案を提出する場合には、投資主総会参考書類には、次に掲げる事項を記載しなければならない。
Article 146 In cases where an executive managing officer submits a proposal for the dismissal of an executive managing officer, the following information must be given in the Reference Documents for the Investors' Meeting:
一 執行役員の氏名
(i) the name of the executive managing officer; and
二 解任の理由
(ii) the reasons for dismissal.
(監督役員の解任に関する議案)
(Proposals for the Dismissal of Supervisory Officers)
第百四十七条 執行役員が監督役員の解任に関する議案を提出する場合には、投資主総会参考書類には、次に掲げる事項を記載しなければならない。
Article 147 In cases where an executive managing officer submits a proposal for the dismissal of a supervisory officer, the following information must be given in the Reference Documents for the Investors' Meeting:
一 監督役員の氏名
(i) the name of the supervisory officer; and
二 解任の理由
(ii) the reasons for dismissal.
(会計監査人の解任又は不再任に関する議案)
(Proposals for the Dismissal or Refusal of Reappointment of Financial Auditors)
第百四十八条 執行役員が会計監査人の解任又は不再任に関する議案を提出する場合には、投資主総会参考書類には、次に掲げる事項を記載しなければならない。
Article 148 In cases where an executive managing officer submits a proposal for the dismissal or refusal of reappointment of a financial auditor, the following information must be given in the Reference Documents for the Investors' Meeting:
一 会計監査人の氏名又は名称
(i) the name of the financial auditor;
二 解任又は不再任の理由
(ii) the reasons for dismissal or refusal of reappointment; and
三 法第百七条第一項の規定による会計監査人の意見があるときは、その意見の内容の概要
(iii) when there are opinions from a financial auditor under the provisions of Article 107, paragraph (1) of the Act, the summary of the contents of such opinion.
(責任免除を受けた役員等に対し退職慰労金等を与える議案等)
(Proposals of Giving Retirement Allowances to Officers, etc. Exempted from Liability)
第百四十八条の二 次の各号に掲げる場合において、執行役員が法第百十五条の六第六項(同条第十一項又は第十二項において読み替えて準用する会社法第四百二十七条第五項において準用する場合を含む。)に規定する承認の決議に関する議案を提出するときは、投資主総会参考書類には、責任を免除し、又は責任を負わないとされた役員等(法第百十五条の六第一項に規定する役員等をいう。第百六十条第一項及び第二百四十四条を除き、以下同じ。)に与える第百六十八条に規定する財産上の利益の内容を記載しなければならない。
Article 148-2 In the cases listed in the following items, when an executive managing officer submits a proposal related to the resolution for the approval prescribed in Article 115-6, paragraph (6) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 427, paragraph (5) of the Companies Act as applied mutatis mutandis pursuant to Article 115-6, paragraph (11) or (12) of the Act following the deemed replacement of terms), the details of the property benefits prescribed in Article 168 which are to be given to officers or similar persons (meaning the officer or similar person provided in Article 115-6, paragraph (1) of the Act; the same applies hereinafter except for Article 160, paragraph (1) and Article 244) exempted from the liability or arranged not to be liable must be given in the Reference Documents for the Investors' Meeting:
一 法第百十五条の六第三項に規定する決議に基づき役員等の責任を免除した場合
(i) cases where the officers or similar persons have been exempted from liability based on the resolution prescribed in Article 115-6, paragraph (3) of the Act;
二 法第百十五条の六第七項の規定により定めた規約に基づき役員等の責任を免除した場合
(ii) cases where the officers or similar persons have been exempted from liability based on the certificate of incorporation provided pursuant to the provisions of Article 115-6, paragraph (7) of the Act; and
三 法第百十五条の六第十二項において読み替えて準用する会社法第四百二十七条第一項の契約によって同項に規定する限度を超える部分について会計監査人が損害を賠償する責任を負わないとされた場合
(iii) cases where it is arranged that a financial auditor is not liable for damages in excess of the limit provided for in Article 427, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 115-6, paragraph (12) of the Act following the deemed replacement of terms under the contract prescribed in Article 427, paragraph (1) of the Companies Act.
(吸収合併契約の承認に関する議案)
(Proposals for the Approval of Absorption-Type Merger Agreement)
第百四十九条 執行役員が吸収合併契約の承認に関する議案を提出する場合には、投資主総会参考書類には、次に掲げる事項を記載しなければならない。
Article 149 In cases where an executive managing officer submits a proposal for the approval of an absorption-type merger agreement, the following information must be given in the Reference Documents for the Investors' Meeting:
一 当該吸収合併(法第百四十七条第一項に規定する吸収合併をいう。以下同じ。)を行う理由
(i) the reasons for effecting the relevant Absorption-Type Merger (meaning the Absorption-Type Merger as prescribed in Article 147, paragraph (1) of the Act; the same applies hereinafter);
二 吸収合併契約の内容の概要
(ii) the outline of the contents of the absorption-type merger agreement;
三 当該投資法人が吸収合併消滅法人(法第百四十七条第一項第一号に規定する吸収合併消滅法人をいう。以下同じ。)である場合において、法第九十条の二第一項の決定をした日における第百九十三条第一項各号(第四号及び第五号を除く。)に掲げる事項があるときは、当該事項の内容の概要
(iii) in cases where the relevant Investment Corporation is a Corporation Disappearing in an Absorption-Type Merger (meaning the Corporation Disappearing in an Absorption-Type Merger as prescribed in Article 147, paragraph (1), item (i) of the Act; the same applies hereinafter), when there are particulars listed in the items (excluding items (iv) and (v)) of Article 193, paragraph (1) as of the day on which the decision under Article 90-2, paragraph (1) of the Act has been made, the summary of contents of such particulars; and
四 当該投資法人が吸収合併存続法人(法第百四十七条第一項第一号に規定する吸収合併存続法人をいう。以下同じ。)である場合において、法第九十条の二第一項の決定をした日における第百九十四条各号(第四号及び第五号を除く。)に掲げる事項があるときは、当該事項の内容の概要
(iv) in cases where the relevant Investment Corporation is a Corporation Surviving an Absorption-Type Merger (meaning the Corporation Surviving an Absorption-Type Merger as prescribed in Article 147, paragraph (1), item (i) of the Act; the same applies hereinafter), when there are particulars listed in the items (excluding items (iv) and (v)) of Article 194 as of the day on which the decision under Article 90-2, paragraph (1) of the Act has been made, the summary of the contents of such particulars.
(新設合併契約の承認に関する議案)
(Proposals for the Approval of Consolidation-Type Merger Agreement)
第百五十条 執行役員が新設合併契約の承認に関する議案を提出する場合には、投資主総会参考書類には、次に掲げる事項を記載しなければならない。
Article 150 In cases where an executive managing officer submits a proposal for the approval of a consolidation-type merger agreement, the following information must be given in the Reference Documents for the Investors' Meeting:
一 当該新設合併(法第百四十八条第一項に規定する新設合併をいう。以下同じ。)を行う理由
(i) the reasons for effecting the relevant Consolidation-Type Merger (meaning the Consolidation-Type Merger as prescribed in Article 148, paragraph (1) of the Act; the same applies hereinafter);
二 新設合併契約の内容の概要
(ii) the summary of the contents of the Consolidation-Type Merger agreement;
三 当該投資法人が新設合併消滅法人(法第百四十八条第一項第一号に規定する新設合併消滅法人をいう。以下同じ。)である場合において、法第九十条の二第一項の決定をした日における第百九十六条各号(第四号及び第五号を除く。)に掲げる事項があるときは、当該事項の内容の概要
(iii) in cases where the relevant Investment Corporation is a Corporation Disappearing in a Consolidation-Type Merger (meaning the Corporation Disappearing in a Consolidation-Type Merger as prescribed in Article 148, paragraph (1), item (i) of the Act; the same applies hereinafter), when there are particulars listed in the items (excluding items (iv) and (v)) of Article 196, as of the day on which the decision under Article 90-2, paragraph (1) of the Act has been made, the summary of contents of such particulars; and
四 新設合併設立法人(法第百四十八条第一項第二号に規定する新設合併設立法人をいう。以下同じ。)の執行役員となる者についての第百四十三条に規定する事項
(iv) information provided in Article 143 with regard to persons to become the executive managing officer of a Corporation Incorporated in a Consolidation-Type Merger (meaning the Corporation Incorporated in a Consolidation-Type Merger as prescribed in Article 148, paragraph (1), item (ii) of the Act; the same applies hereinafter);
五 新設合併設立法人の監督役員となる者についての第百四十四条に規定する事項
(v) information provided in Article 144 with regard to the persons to become the supervisory officers of a Corporation Incorporated in a Consolidation-Type Merger; and
六 新設合併設立法人の会計監査人となる者についての第百四十五条に規定する事項
(vi) information provided in Article 145 with regard to persons to become the financial auditor of a Corporation Incorporated in a Consolidation-Type Merger.
(資産運用委託契約の承認に関する議案)
(Proposals for the Approval of the Entrustment Contract for Assets Investment)
第百五十一条 執行役員が資産運用会社との資産運用委託契約の承認に関する議案を提出する場合には、投資主総会参考書類には、当該資産運用委託契約を締結しようとする資産運用会社(法第二百七条第三項に規定する承認については、資産運用委託契約を締結した資産運用会社)の名称、住所及び沿革並びに当該委託契約書の内容を記載しなければならない。
Article 151 In cases where an executive managing officer submits a proposal for the approval of Entrustment Contract for Assets Investment to be concluded with an Asset Management Company, the name, address, and history of the Asset Management Company with which the Entrustment Contract for Assets Investment is intended to be concluded (with regard to the approval prescribed in Article 207, paragraph (3) of the Act, the Asset Management Company with which an Entrustment Contract for Assets Investment has been concluded), as well as the details of the written entrustment contract must be stated in the Reference Documents for the Investors' Meeting.
(資産運用委託契約の解約に関する議案)
(Proposals for the Cancellation of Entrustment Contract for Asset Management)
第百五十二条 執行役員が資産運用委託契約の解約に関する議案を提出する場合には、投資主総会参考書類には、解約の理由を記載しなければならない。
Article 152 In cases where an executive managing officer submits a proposal for the cancellation of the Entrustment Contract for Assets Investment, the reasons for the cancellation must be stated in the Reference Documents for the Investors' Meeting.
(投資主提案の場合における記載事項)
(Information Required to Be Given in Cases of Proposals Submitted Investors)
第百五十三条 議案が投資主の提出に係るものである場合には、投資主総会参考書類には、次に掲げる事項(第三号から第五号までに掲げる事項が投資主総会参考書類にその全部を記載することが適切でない程度の多数の文字、記号その他のものをもって構成されている場合(投資法人がその全部を記載することが適切であるものとして定めた分量を超える場合を含む。)にあっては、当該事項の概要)を記載しなければならない。
Article 153 (1) In cases where the proposal is that submitted by an Investor, the following information (in cases where the information listed in items (iii) through (v) is composed of a large number of characters, letters, marks or any other thing that are inappropriate to state the whole in the Reference Documents for the Investors' Meeting (including cases where the volume thereof exceeds the volume specified by the Investment Corporation as being appropriate to state the whole), a summary of such information) must be given in the Reference Documents for the Investors' Meeting:
一 議案が投資主の提出に係るものである旨
(i) a statement to the effect that the proposal is that submitted by an Investor;
二 議案に対する役員会の意見があるときは、その意見の内容
(ii) when there are opinions of the board of officers meeting to the proposal, the contents of such opinion;
三 投資主が法第九十四条第一項において準用する会社法第三百五条第一項本文の規定による請求に際して提案の理由(当該提案の理由が明らかに虚偽である場合又は専ら人の名誉を侵害し、若しくは侮辱する目的によるものと認められる場合における当該提案の理由を除く。)を投資法人に対して通知したときは、その理由
(iii) when the Investor has notified the Investment Corporation of the reasons for submitting the proposal (in cases where the reasons for submitting the proposal are clearly false or are found to be based on the sole purpose of infringing or insulting persons' reputation, such reasons for submitting the proposal are excluded) in making the demand under the main clause of Article 305, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 94, paragraph (1) of the Act, such reasons;
四 議案が次のイからハまでに掲げる者の選任に関するものである場合において、投資主が法第九十四条第一項において準用する会社法第三百五条第一項本文の規定による請求に際して当該イからハまでに定める事項(当該事項が明らかに虚偽である場合における当該事項を除く。)を投資法人に対して通知したときは、その内容
(iv) in cases where the proposal is that concerning the appointment of persons listed in the following sub-items (a) through (c), when the Investor has notified the Investment Corporation of the information specified in the respective sub-items (in cases where such information is clearly false, such information is excluded) in making the demand under the main clause of Article 305, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 94, paragraph (1) of the Act, the contents thereof:
イ 執行役員 第百四十三条に規定する事項
(a) executive managing officers: information provided in Article 143;
ロ 監督役員 第百四十四条に規定する事項
(b) supervisory officers: information provided in Article 144; and
ハ 会計監査人 第百四十五条に規定する事項
(c) a financial auditor: information provided in Article 145;
五 議案が投資口の併合に関するものである場合において、投資主が法第九十四条第一項において準用する会社法第三百五条第一項本文の規定による請求に際して第百四十二条の二に規定する事項(当該事項が明らかに虚偽である場合における当該事項を除く。)を投資法人に対して通知したときは、その内容
(v) in cases where the proposal is that concerning the consolidation of the Investment Equity, when the Investor has notified the Investment Corporation of the information specified in Article 142-2 (in cases where such information are clearly false, such information is excluded) in making the demand under the main clause of Article 305, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 94, paragraph (1) of the Act, the contents thereof.
2 二以上の投資主から同一の趣旨の議案が提出されている場合には、投資主総会参考書類には、その議案及びこれに対する役員会の意見の内容は、各別に記載することを要しない。ただし、二以上の投資主から同一の趣旨の提案があった旨を記載しなければならない。
(2) In cases where proposals of the same purport are submitted by two or more Investors, a separate statement for such proposals and the contents of the opinions of the board of officers meeting thereto in the Reference Documents for the Investors' Meeting are not required; provided, however, that, a statement to the effect that proposals of the same purport have been submitted by two or more Investors must be given.
3 二以上の投資主から同一の趣旨の提案の理由が提出されている場合には、投資主総会参考書類には、その提案の理由は、各別に記載することを要しない。
(3) In cases where proposals of the same purport have been submitted by two or more Investors, a separate statement for the reasons for submitting such proposals in the Reference Documents for the Investors' Meeting is not required.
(投資主総会参考書類の記載の特則)
(Special Provisions on the Statement in the Reference Documents for the Investors' Meeting)
第百五十四条 投資主総会参考書類に記載すべき事項(次に掲げるものを除く。)に係る情報を、当該投資主総会に係る招集通知を発出する時から当該投資主総会の日から三月が経過する日までの間、継続して電磁的方法により投資主が提供を受けることができる状態に置く措置(第百十四条第一項第一号ロに掲げる方法のうち、インターネットに接続された自動公衆送信装置(公衆の用に供する電気通信回線に接続することにより、その記録媒体のうち自動公衆送信の用に供する部分に記録され、又は当該装置に入力される情報を自動公衆送信する機能を有する装置をいう。次項において同じ。)を使用する方法によって行われるものに限る。第三項において同じ)をとる場合には、当該事項は、当該事項を記載した投資主総会参考書類を投資主に対して提供したものとみなす。ただし、この項の措置をとる旨の規約の定めがある場合に限る。
Article 154 (1) In cases where the Investment Corporation takes measures (among the methods listed in Article 114, paragraph (1), item (i), sub-item (b), limited to those made by the method using an Automatic Public Transmission Server (meaning the device which, when connected with a telecommunications line provided for the use by the public, has the function to perform the automatic public transmission of information recorded in the recording medium of such device used for the automatic public transmission, or inputted in such device; the same applies in the following paragraph) connected to the Internet; the same applies in paragraph (3)) to make the information related to the information required to be given in the Reference Documents for the Investors' Meeting (excluding the following information) continuously available to the Investors by Electronic or Magnetic Means, for a period from the time when the Notice of Calling pertaining to the relevant Investors' meeting is sent until the day on which three months have elapsed from the day of the Investors' meeting, such information is deemed to have been provided to Investors as the provision of the Reference Documents for the Investors' Meeting containing such information; provided, however, that, it is limited to cases where it is provided for in the certificate of incorporation that measures under this paragraph is to be taken:
一 議案
(i) the proposal;
二 投資法人の計算に関する規則第七十三条第一項第一号から第二十五号まで、第七十四条第一号から第四号まで(会計監査人に係るものを除く。)及び第七十五条第一号に掲げる事項を投資主総会参考書類に記載することとしている場合における当該事項
(ii) in cases where the information listed in the provisions of Article 73, paragraph (1), items (i) through (xxv), Article 74, items (i) through (iv) (excluding those related to a financial auditor), and Article 75, item (i) of the Regulation on Accountings of Investment Corporations is to be given in the Reference Documents for the Investors' Meeting, such information;
三 次項の規定により投資主総会参考書類に記載すべき事項
(iii) information required to be given in the Reference Documents for the Investors' Meeting pursuant to the following paragraph; and
四 投資主総会参考書類に記載すべき事項(前各号に掲げるものを除く。)につきこの項の措置をとることについて監督役員が異議を述べている場合における当該事項
(iv) in cases where any supervisory officer has stated objection to take the measure under this paragraph for the information required to be given in the Reference Documents for the Investors' Meeting (excluding the information listed in the preceding items), such matters.
2 前項の場合には、投資主に対して提供する投資主総会参考書類に、同項の措置をとるために使用する自動公衆送信装置のうち当該措置をとるための用に供する部分をインターネットにおいて識別するための文字、記号その他の符号又はこれらの結合であって、情報の提供を受ける者がその使用に係る電子計算機に入力することによって当該情報の内容を閲覧し、当該電子計算機に備えられたファイルに当該情報を記録することができるものを記載しなければならない。
(2) In the case referred to in the preceding paragraph, the characters, letters, marks or other codes or any combination thereof which are assigned for the identification, on the Internet, of the Automatic Public Transmission Server used to take the measures set forth in that paragraph, and which allow the person who receives the information to inspect the details of such information by the input thereof in the computer used by such person, and to record such information in the file stored on the computer, must be given in the Reference Documents for the Investors' Meeting which are to be provided to Investors.
3 第一項の規定は、同項各号に掲げる事項に係る情報についても、電磁的方法により投資主が提供を受けることができる状態に置く措置をとることを妨げるものではない。
(3) The provisions of paragraph (1) do not preclude the Investment Corporation from taking measures to make the information related to the particulars listed in the items of that paragraph available to the Investors by Electronic or Magnetic Means.
(議決権行使書面)
(Voting Forms)
第百五十五条 法第九十一条第四項の規定により交付すべき議決権行使書面に記載すべき事項又は同条第六項若しくは第七項の規定により電磁的方法により提供すべき議決権行使書面に記載すべき事項は、次に掲げる事項とする。
Article 155 (1) The information required to be included in the Voting Forms which are to be delivered pursuant to the provisions of Article 91, paragraph (4) of the Act, or information required to be included in the Voting Forms which are to be provided by Electronic or Magnetic Means pursuant to the provisions of paragraph (6) or (7) of that Article is the following information:
一 各議案(次のイからハまでに掲げる場合にあっては、当該イからハまでに定めるもの)についての賛否(棄権の欄を設ける場合にあっては、棄権を含む。)を記載する欄
(i) a column in which the agreement or dissent (in cases of providing a column for abstention, including abstention) for each proposal is to be stated (in the cases set forth in the following sub-items (a) and (c), those specified in the respective sub-item):
イ 二以上の役員等の選任に関する議案である場合 各候補者の選任
(a) in cases of a proposal for the appointment of two or more officers or similar persons: the appointment of each candidate;
ロ 二以上の役員等の解任に関する議案である場合 各役員等の解任
(b) in cases of a proposal for the dismissal of two or more officers or similar persons: the dismissal of each officer or similar person;
ハ 二以上の会計監査人の不再任に関する議案である場合 各会計監査人の不再任
(c) in cases of a proposal for the refusal of reappointment of two or more financial auditors: the refusal of each financial auditor;
二 第百四十条第五号に掲げる事項についての定めがあるときは、前号の欄に記載がない議決権行使書面が当該投資法人に提出された場合における各議案についての賛成、反対又は棄権のいずれかの意思の表示があったものとする取扱いの内容
(ii) when there are provisions on the particulars listed in Article 140, item (v), when a Voting Form lacking an entry in the column under the preceding item has been submitted to the relevant Investment Corporation, the details of the handling of such Voting Form as to whether it is an indication of manifestation of agreement, dissent, or abstention, for each proposal;
三 第百四十条第六号に掲げる事項についての定めがあるときは、当該事項
(iii) when there are provisions on the particulars listed in Article 140, item (vi) of the Act, such particulars;
四 議決権の行使の期限
(iv) the time limit for exercising the voting rights;
五 議決権を行使すべき投資主の氏名又は名称及び行使することができる議決権の数(次のイ又はロに掲げる場合にあっては、当該イ又はロに定める事項を含む。)
(v) the names of the Investors who are to exercise voting rights as well as the number of exercisable voting rights (in the cases set forth in the following sub-items (a) and (b), including the information specified in the respective sub-item):
イ 議案ごとに当該投資主が行使することができる議決権の数が異なる場合 議案ごとの議決権の数
(a) cases where the number of voting rights exercisable by the relevant Investor differs for each proposal: the number of voting rights for each proposal;
ロ 一部の議案につき議決権を行使することができない場合 議決権を行使することができる議案又は議決権を行使することができない議案
(b) cases where voting rights may not be exercised for some of the proposals: proposals in which voting rights may be exercised or those in which may not.
2 第百四十条第七号ロに掲げる事項についての定めがある場合には、投資法人は、法第九十一条第二項の承諾をした投資主の請求があった時に、当該投資主に対して、同条第四項の規定による議決権行使書面の交付(当該交付に代えて行う同条第五項の規定による電磁的方法による提供を含む。)をしなければならない。
(2) When there are provisions on the particulars listed in Article 140, item (vii), sub-item (b), an Investment Corporation must, when requested by the Investors who have given the consent under Article 91, paragraph (2) of the Act, deliver Voting Forms under Article 91, paragraph (4) of the Act (including the provision of Voting Forms by Electronic or Magnetic Means under Article 91, paragraph (5) of the Act made in lieu of the delivery thereof) to such Investors.
3 同一の投資主総会に関して投資主に対して提供する招集通知の内容とすべき事項のうち、議決権行使書面に記載している事項がある場合には、当該事項は、招集通知の内容とすることを要しない。
(3) In cases where some of the information to be included in the content of the Notice of Calling which is to be provided to Investors in relation to a single Investors' meeting is included in the Voting Form, such information is not required to be included in the content of the Notice of Calling.
4 同一の投資主総会に関して投資主に対して提供する議決権行使書面に記載すべき事項(第一項第二号から第四号までに掲げる事項に限る。)のうち、招集通知の内容としている事項がある場合には、当該事項は、議決権行使書面に記載することを要しない。
(4) In cases where some of the information required to be included in the Voting Form which is to be provided to Investors in relation to a single Investors' meeting (limited to the information listed in paragraph (1), items (ii) through (iv)) is included in the contents of the Notice of Calling, such information is not required to be stated in the Reference Documents for an Investors' Meeting.
(書面による議決権行使の期限)
(Time Limit for Exercising Voting Rights in Writing)
第百五十六条 法第九十二条第一項に規定する内閣府令で定める時は、投資主総会の日時の直前の営業時間の終了時(第百四十条第三号に掲げる事項についての定めがある場合にあっては、同号の特定の時)とする。
Article 156 The time specified by Cabinet Office Order as referred to in Article 92, paragraph (1) of the Act is at the close of the business hours immediately before the date of the Investors' meeting (in cases where there are provisions on the particulars listed in Article 140, item (iii), the specific time provided in that item).
(電磁的方法による議決権行使の期限)
(Time Limit for Exercising Voting Rights by Electronic or Magnetic Means)
第百五十七条 法第九十二条の二第一項に規定する内閣府令で定める時は、投資主総会の日時の直前の営業時間の終了時(第百四十条第七号イに掲げる事項についての定めがある場合にあっては、同号イの特定の時)とする。
Article 157 The time specified by Cabinet Office Order as referred to in Article 92-2, paragraph (1) of the Act is at the close of the business hours immediately before the date of the Investors' meeting (in cases where there are provisions on the particulars listed in Article 140, item (vii), sub-item (a), the specific time provided in sub-item (a) of that item).
(検査役が提供する電磁的記録)
(Electronic or Magnetic Records Provided by Inspectors)
第百五十八条 次に掲げる規定に規定する内閣府令で定めるものは、磁気ディスク(電磁的記録に限る。)及び次に掲げる規定により電磁的記録の提供を受ける者が定める電磁的記録とする。
Article 158 (1) The Electronic or Magnetic Records specified by Cabinet Office Order as provided in the following provisions are Magnetic Disks (limited to Electronic or Magnetic Records), and the Electronic or Magnetic Records specified by the person who receives the Electronic or Magnetic Record pursuant to the following provisions:
一 法第九十四条第一項において準用する会社法第三百六条第五項
(i) Article 306, paragraph (5) of the Companies Act as applied mutatis mutandis pursuant to Article 94, paragraph (1) of the Act; and
二 法第百十条第二項において準用する会社法第三百五十八条第五項
(ii) Article 358, paragraph (5) of the Companies Act as applied mutatis mutandis pursuant to Article 110, paragraph (2) of the Act.
2 前項に規定する磁気ディスクとは、次のいずれかに該当するものをいう。
(2) The "Magnetic Disks" as referred to in the preceding paragraph means that which falls under any of the following:
一 日本工業規格X六二二三に適合する九〇ミリメートルフレキシブルディスクカートリッジ
(i) a 90mm flexible magnetic disk cartridge in conformity with JIS X6223; or
二 日本工業規格X〇六〇六に適合する一二〇ミリメートル光ディスク
(ii) a 120mm optical disk in conformity with JIS X0606.
(検査役による電磁的記録に記録された事項の提供)
(Provision of the Information Recorded in the Electronic or Magnetic Record by Inspectors)
第百五十九条 次に掲げる規定(以下この条において「検査役提供規定」という。)に規定する内閣府令で定める方法は、電磁的方法のうち、検査役提供規定により当該検査役提供規定の電磁的記録に記録された事項の提供を受ける者が定めるものとする。
Article 159 The methods specified by Cabinet Office Order as provided in the following provisions (hereinafter referred to as the "Provisions for the Inspectors' Provision" in this Article) are the Electronic or Magnetic Means specified by the person who receives the information recorded in the Electronic or Magnetic Record provided in the Provisions for the Inspectors' Provision pursuant to the Provisions for the Inspectors' Provision:
一 法第九十四条第一項において準用する会社法第三百六条第七項
(i) Article 306, paragraph (7) of the Companies Act as applied mutatis mutandis pursuant to Article 94, paragraph (1) of the Act; and
二 法第百十条第二項において準用する会社法第三百五十八条第七項
(ii) Article 358, paragraph (7) of the Companies Act as applied mutatis mutandis pursuant to Article 110, paragraph (2) of the Act.
(実質的に支配することが可能となる関係)
(Relationship That Enables a Substantial Control)
第百六十条 法第九十四条第一項において準用する会社法第三百八条第一項(ただし書を除く。)に規定する内閣府令で定める投資主は、投資法人(当該投資法人の子法人を含む。)が、当該投資法人の投資主である会社等の議決権(会社法第三百八条第一項その他これに準ずる同法以外の法令(外国の法令を含む。)の規定により行使することができないとされる議決権を含み、同法第四百二十三条第一項に規定する役員等(会計監査人を除く。)の選任及び定款の変更に関する議案(これらの議案に相当するものを含む。)の全部につき株主総会(これに相当するものを含む。)において議決権を行使することができない株式(これに相当するものを含む。)に係る議決権を除く。以下この条において「相互保有対象議決権」という。)の総数の四分の一以上を有する場合における当該投資主である会社等(当該投資主であるもの以外の者が当該投資法人の投資主総会の議案につき議決権を行使することができない場合(当該議案を決議する場合に限る。)における当該投資主を除く。)とする。
Article 160 (1) The Investors specified by Cabinet Office Order as referred to in Article 308, paragraph (1) (excluding the proviso) of the Companies Act as applied mutatis mutandis pursuant to Article 94, paragraph (1) of the Act are, in cases where the Investment Corporation (including the Subsidiary Corporation of the relevant Investment Corporation) holds one quarter or more of the total number of voting rights of the Company, etc. which is an Investor of the Investment Corporation (including voting rights which are not allowed to be exercised pursuant to the provisions of Article 308, paragraph (1) of the Companies Act or any other equivalent laws and regulations (including laws and regulations of a foreign state) which are other than that Act, and excluding voting rights pertaining to shares (including those equivalent thereto) of which the voting rights may not be exercised for all the proposals for the appointment of the Officers, etc. (excluding a financial auditor) prescribed in Article 423, paragraph (1) of that Act and the changes to the articles of incorporation (including those equivalent to these proposals) at a shareholders meeting (including those equivalent thereto); hereinafter such voting rights are referred to as "Voting Rights for Mutual Holding" in this Article), the Company, etc. which is an Investor of the Investment Corporation after establishment (in cases where persons other than the relevant Investors may not exercise voting rights for the proposals for the Investors' meeting of the Investment Corporation (limited to cases where such proposals are to be resolved), such Investors are excluded).
2 前項の場合には、投資法人及びその子法人の有する相互保有対象議決権の数並びに相互保有対象議決権の総数(以下この条において「対象議決権数」という。)は、当該投資法人の投資主総会の日における対象議決権数とする。
(2) In the case referred to in the preceding paragraph, the number of Voting Rights for Mutual Holding held by the Investment Corporation and its Subsidiary Corporation and the total number of Voting Rights for Mutual Holding (hereinafter referred to as the "Number of Subject Voting Rights" in this Article) are the Number of Subject Voting Rights held by the Investment Corporation as of the day of Investors' meeting.
3 前項の規定にかかわらず、特定基準日(当該投資主総会において議決権を行使することができる者を定めるための法第七十七条の三第二項に規定する基準日をいう。以下この条において同じ。)を定めた場合には、対象議決権数は、当該特定基準日における対象議決権数とする。ただし、対象議決権数の増加又は減少が生じた場合において、当該増加又は減少により第一項の投資主であるものが有する当該投資法人の投資口につき議決権を行使できることとなること又は議決権を行使できないこととなることを特定基準日から当該投資主総会についての法第九十条の二第一項各号に掲げる事項の全部を決定した日(投資法人が当該日後の日を定めた場合にあっては、その日)までの間に当該投資法人が知った場合には、当該投資法人が知った日における対象議決権数とする。
(3) Notwithstanding the provisions of the preceding paragraph, in cases where a Specific Record Date (meaning the record date defined in Article 77-3, paragraph (2) of the Act for specifying the persons who may exercise their voting rights at the relevant Investors' meeting; hereinafter the same applies in this Article) is provided for, the Number of Subject Voting Rights is the Number of Subject Voting Rights as of the Specific Record Date; provided, however, that, in cases where the Number of Subject Voting Rights has increased or decreased, if the relevant Investment Corporation comes to know that, as a result of such increase or decrease, voting rights may be exercised or may not be exercised with regard to the Investment Equity of the Investment Corporation held by a person who is an Investor under paragraph (1) during the period from the Specific Record Date to the day on which all the particulars listed in the items of Article 90-2, paragraph (1) of the Act concerning the Investors' meeting have been decided, the Number of Subject Voting Rights is that as of the day on which the Investment Corporation came to know such fact.
4 前項の規定にかかわらず、当該投資法人は、当該投資主総会についての法第九十条の二第一項各号に掲げる事項の全部を決定した日(投資法人が当該日後の日を定めた場合にあっては、その日)から当該投資主総会の日までの間に生じた事項(当該投資法人が前項の増加又は減少の事実を知ったことを含む。)を勘案して、対象議決権数を算定することができる。
(4) Notwithstanding the provisions of the preceding paragraph, the relevant Investment Corporation may calculate the Number of Subject Voting Rights by taking into consideration the particulars occurred during the period from the day on which all the particulars listed in the items of Article 90-2, paragraph (1) of the Act concerning the relevant Investors' meeting have been decided (in cases where the Investment Corporation has specified a day after the first-mentioned day, such day) to the day of the Investors' meeting (including the fact that the Investment Corporation came to know the fact of increase or decrease under the preceding paragraph).
(執行役員等の説明義務)
(Accountability of Executive Managing Officers)
第百六十一条 法第九十四条第一項において準用する会社法第三百十四条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 161 The cases specified by Cabinet Office Order as referred to in Article 314 of the Companies Act as applied mutatis mutandis pursuant to Article 94, paragraph (1) of the Act are the following cases:
一 投資主が説明を求めた事項について説明をするために調査をすることが必要である場合(次に掲げる場合を除く。)
(i) cases where it is necessary to carry out an investigation to explain the information for which the Investors required explanation (excluding the following cases):
イ 当該投資主が投資主総会の日より相当の期間前に当該事項を投資法人に対して通知した場合
(a) cases where the relevant Investor has notified the Investment Corporation of the relevant information at a reasonable period prior to the day of an Investors' meeting;
ロ 当該事項について説明をするために必要な調査が著しく容易である場合
(b) cases where the investigation necessary for explaining the relevant information is extremely easy;
二 投資主が説明を求めた事項について説明をすることにより投資法人その他の者(当該投資主を除く。)の権利を侵害することとなる場合
(ii) cases where explaining the information for which the Investor has required an explanation results in infringement of rights of the Investment Corporation or any other person (excluding the Investor);
三 投資主が当該投資主総会において実質的に同一の事項について繰り返して説明を求める場合
(iii) cases where an Investor requires an explanation for matters substantially same as the relevant information at the relevant organizational meeting in a repetitive manner; and
四 前三号に掲げる場合のほか、投資主が説明を求めた事項について説明をしないことにつき正当な理由がある場合
(iv) beyond what is listed in the preceding three items, cases where there are justifiable grounds for not explaining the information for which an Investor has required an explanation.
(投資主総会の議事録)
(Minutes of the Investors' Meeting)
第百六十二条 法第九十四条第一項において準用する会社法第三百十八条第一項の規定による投資主総会の議事録の作成については、この条の定めるところによる。
Article 162 (1) The preparation of minutes of an Investors' meeting under Article 318, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 94, paragraph (1) of the Act is as provided in this Article.
2 投資主総会の議事録は、書面又は電磁的記録をもって作成しなければならない。
(2) The minutes of an Investors' meeting must be prepared in writing or in the form of an Electronic or Magnetic Record.
3 投資主総会の議事録は、次に掲げる事項を内容とするものでなければならない。
(3) The minutes of an Investors' meeting must include the following information:
一 投資主総会が開催された日時及び場所(当該場所に存しない執行役員、監督役員、会計監査人又は投資主が投資主総会に出席をした場合における当該出席の方法を含む。)
(i) the date and time on which and place where the Investors' meeting was held (in cases where executive managing officers, supervisory officers, a financial auditor, or Investors who were not present at the place have attended the Investors' meeting, the method of such attendance is included);
二 投資主総会の議事の経過の要領及びその結果
(ii) the outline and results of the proceedings at the Investors' meeting;
三 次に掲げる規定により投資主総会において述べられた意見又は発言があるときは、その意見又は発言の内容の概要
(iii) when there are any opinions or oral statements stated at the Investors' meeting pursuant to the following provisions, the summary of the contents of such opinions or oral statements:
イ 法第百七条第一項
(a) Article 107, paragraph (1) of the Act;
ロ 法第百七条第二項
(b) Article 107, paragraph (2) of the Act;
ハ 法第百十一条第三項において準用する会社法第三百八十四条
(c) Article 384 of the Companies Act as applied mutatis mutandis pursuant to Article 111, paragraph (3) of the Act;
ニ 法第百十四条第六項
(d) Article 114, paragraph (6) of the Act;
ホ 法第百十五条の四
(e) Article 115-4 of the Act;
四 投資主総会に出席した執行役員、監督役員又は会計監査人の氏名又は名称
(iv) the names of the executive managing officers, supervisory officers, or a financial auditor who attended the Investors' meeting;
五 投資主総会の議長が存するときは、議長の氏名
(v) when a chairperson of the Investors' meeting is in place, the name of the chairperson; and
六 議事録の作成に係る職務を行った執行役員の氏名
(vi) the name(s) of the executive managing officers who performed the duties concerning the preparation of minutes.
(補欠の役員の選任)
(Appointment of Substitute Officers)
第百六十三条 法第九十六条第二項において準用する会社法第三百二十九条第三項の規定による補欠の役員の選任については、この条の定めるところによる。
Article 163 (1) The appointment of substitute officers under Article 329, paragraph (3) of the Companies Act as applied mutatis mutandis pursuant to Article 96, paragraph (2) of the Act is as provided in this Article.
2 法第九十六条第二項において準用する会社法第三百二十九条第三項に規定する決議により補欠の役員を選任する場合には、次に掲げる事項も併せて決定しなければならない。
(2) In cases of appointing substitute officers by a resolution under Article 329, paragraph (3) of the Companies Act as applied mutatis mutandis pursuant to Article 96, paragraph (2) of the Act, the following information must be decided as well:
一 当該候補者が補欠の役員である旨
(i) a statement to the effect that the relevant candidate is a substitute officer;
二 当該候補者を一人又は二人以上の特定の役員の補欠の役員として選任するときは、その旨及び当該特定の役員の氏名
(ii) when appointing the relevant candidate as a substitute officer for one or more specific officers, an indication of this and the name of the specific officer;
三 同一の役員(二以上の役員の補欠として選任した場合にあっては、当該二以上の役員)につき二人以上の補欠の役員を選任するときは、当該補欠の役員相互間の優先順位
(iii) when appointing two or more substitute officers for one officer (in cases of appointing substitute officers for two or more officers, those two or more officers), the priority order among the relevant substitute officers;
四 補欠の役員について、就任前にその選任の取消しを行う場合があるときは、その旨及び取消しを行うための手続
(iv) when the appointment of a substitute officer is to be cancelled before assuming office, an indication of this and procedures for effecting the cancellation.
3 補欠の役員の選任に係る決議が効力を有する期間は、規約に別段の定めがある場合を除き、当該決議後最初に開催する投資主総会の開始の時までとする。ただし、投資主総会の決議によってその期間を短縮することを妨げない。
(3) The period during which the resolution related to the appointment of substitute officers is effective is, unless otherwise provided for in the certificate of incorporation, until the time of commencement of the first Investors' meeting held after such resolution; provided, however, that the foregoing sentence does not preclude the resolution of Investors' meeting from shortening such period.
(監督役員の職務の遂行に支障を来すおそれがある者)
(Persons Who Are Likely to Hinder the Performance of Duties of Supervisory Officers)
第百六十四条 法第百条第六号に規定する監督役員の職務の遂行に支障を来すおそれがある者として内閣府令で定めるものは、次に掲げる者とする。
Article 164 The persons specified by Cabinet Office Order as being likely to hinder the performance of duties of a supervisory officer as referred to in Article 100, item (vi) of the Act are the following persons:
一 当該投資法人の設立企画人又は執行役員であった者
(i) persons who were organizers or executive managing officers of the relevant Investment Corporation;
二 当該投資法人の設立企画人若しくは執行役員又はこれらであった者の親族
(ii) the relatives of the organizers, executive managing officers, or persons who were in such position of the relevant Investment Corporation;
三 当該投資法人の設立企画人等(設立企画人及び設立企画人たる法人の役員又は過去二年以内に役員であった者をいう。以下この条において同じ。)及び執行役員が総株主等の議決権の百分の五十を超える議決権を保有している法人の役員若しくは使用人又はこれらの者のうちの一若しくは二以上であったもの(法第百条第三号に該当する者を除く。)
(iii) an officer or employee of the corporation whose voting rights exceeding 50 percent of the Voting Rights Held by All the Shareholders are held by an Organizer, etc. (meaning the organizer, and officers or persons who was an officer within the past two years of the corporation that is an organizer, hereinafter the same applies in this Article) or executive managing officer of the relevant Investment Corporation, or persons who has held one or more of such position (excluding persons falling under the category of person referred to in Article 100, item (iii) of the Act);
四 当該投資法人の設立企画人等又は執行役員から継続的な報酬を受けている者
(iv) a person who is continuously receiving remuneration from the Organizer, etc. or executive managing officer of the relevant Investment Corporation;
五 当該投資法人の設立企画人等又は執行役員から無償又は通常の取引価格より低い対価による事務所又は資金の提供その他の特別の経済的利益の供与を受けている者
(v) a person who receives the provision of office or funds without charge or for a consideration lower than the ordinary market price or any other special economic benefits from the Organizer, etc. or executive managing officer of the relevant Investment Corporation;
六 当該投資法人の設立企画人たる法人の役員又は過去二年以内に役員であった者及び執行役員が、その取締役、執行役若しくはその代表権を有する取締役若しくは執行役の過半数を占めている法人の役員若しくは使用人又はこれらの者のうちの一若しくは二以上であったもの
(vi) an officer or employee of the corporation whose majority of directors, executive officers, or directors or executive officers who have the right to represent, consists of officers or persons who were officers within the past two years and executive managing officers of the corporation that is an organizer of the relevant Investment Corporation, or a person who has held one or more of such position;
七 当該投資法人の執行役員が、その役員であり若しくは過去二年以内に役員であった法人若しくはその子会社の役員若しくは使用人又はこれらの者のうちの一若しくは二以上であったもの(前号又は法第百条第三号に該当する者を除く。)
(vii) an officer or employee of a corporation for which the executive managing officer of the relevant Investment Corporation is an officer or was an officer within the past two years, or of the Subsidiary Company of the corporation, or a person who has held one or more of such position (excluding persons falling under the category of persons referred to in the preceding item and Article 100, item (iii) of the Act);
八 当該投資法人の発行する投資法人債を引き受ける者の募集の委託を受けた金融商品取引業者等若しくは金融商品仲介業者(金融商品取引法第二条第十二項に規定する金融商品仲介業者をいう。以下この号及び第二百条第八号において同じ。)若しくはこれらの子会社の役員若しくは使用人若しくは個人である金融商品仲介業者又はこれらの者のうちの一若しくは二以上であったもの
(viii) an officer or employee of the Financial Instruments Business Operator, etc. or Financial Instruments Intermediary Service Provider (meaning the Financial Instruments Intermediary Service Provider as prescribed in Article 2, paragraph (12) of the Financial Instruments and Exchange Act; hereinafter the same applies in this item and Article 200, item (viii)) that has been entrusted with the solicitation of persons to subscribe Investment Corporation Bonds issued by the relevant Investment Corporation, or of the Subsidiary Company thereof, a Financial Instruments Intermediary Service Provider that is an individual, or a person who has held one or more of such position; and
九 第三号から前号まで又は法第百条第三号若しくは第五号のいずれかに該当する者の配偶者
(ix) spouse of the person who falls under any of the category of persons prescribed in item (iii) through the preceding item of this Order of the Prime Minister's Office, or Article 100, item (iii) or (v) of the Act.
(監督役員の調査の対象)
(Subject of the Investigation by Supervisory Officers)
第百六十五条 法第百十一条第三項において準用する会社法第三百八十四条に規定する内閣府令で定めるものは、電磁的記録その他の資料とする。
Article 165 The items specified by Cabinet Office Order as referred to in Article 384 of the Companies Act as applied mutatis mutandis pursuant to Article 111, paragraph (3) of the Act are Electronic or Magnetic Records and any other materials.
(役員会の議事録)
(Minutes of the Board of Officers Meeting)
第百六十六条 法第百十五条第一項において準用する会社法第三百六十九条第三項の規定による役員会の議事録の作成については、この条の定めるところによる。
Article 166 (1) The preparation of the minutes of board of officers meeting under Article 369, paragraph (3) of the Companies Act as applied mutatis mutandis pursuant to Article 115, paragraph (1) of the Act is as provided in this Article.
2 役員会の議事録は、書面又は電磁的記録をもって作成しなければならない。
(2) The minutes of a board of officers meeting must be prepared in writing or in the form of an Electronic or Magnetic Record.
3 役員会の議事録は、次に掲げる事項を内容とするものでなければならない。
(3) The minutes of a board of officers meeting must include the following information:
一 役員会が開催された日時及び場所(当該場所に存しない執行役員、監督役員又は会計監査人が役員会に出席をした場合における当該出席の方法を含む。)
(i) the date and time on which and place where the board of officers meeting was held (in cases where executive managing officers, supervisory officers, or a financial auditor who were not present at the place have attended the board of officers meeting, the method of such attendance is included);
二 役員会が次に掲げるいずれかのものに該当するときは、その旨
(ii) that the board of officers meeting fall under any of the following category, if this is the case:
イ 法第百十三条第二項の規定による執行役員の請求を受けて招集されたもの
(a) a board of officers meeting called upon the request of an executive managing officer under Article 113, paragraph (2) of the Act;
ロ 法第百十三条第三項の規定による監督役員の請求を受けて招集されたもの
(b) a board of officers meeting called upon the request of supervisory officers under Article 113, paragraph (3) of the Act; or
ハ 法第百十三条第四項の規定により執行役員又は監督役員が招集したもの
(c) a board of officers meeting called by the executive managing officer or supervisory officer pursuant to the provisions of Article 113, paragraph (4) of the Act;
三 役員会の議事の経過の要領及びその結果
(iii) the outline and results of the proceedings at the board of officers meeting;
四 決議を要する事項について特別の利害関係を有する役員があるときは、当該役員の氏名
(iv) when there are officers with special interest with regard to the matters required to be resolved, the name of such officers;
五 役員会に出席した会計監査人の氏名又は名称
(v) the name(s) of the financial auditor that attended the board of officers meeting; and
六 役員会の議長が存するときは、議長の氏名
(vi) when a chairperson of the board of officers meeting is in place, the name of the chairperson.
(報酬等の額の算定方法)
(Method for Calculating the Amount of Remuneration)
第百六十七条 法第百十五条の六第三項に規定する内閣府令で定める方法により算定される額は、次に掲げる額の合計額とする。
Article 167 The amount calculated by the method specified by Cabinet Office Order as referred to in Article 115-6, paragraph (3) of the Act is the total amount of the following amounts:
一 役員等がその在職中に報酬、賞与その他の職務執行の対価として投資法人から受け、又は受けるべき財産上の利益(次号に定めるものを除く。)の額の営業期間(次のイからハまでに掲げる場合の区分に応じ、当該イからハまでに定める日を含む営業期間及びその前の各営業期間に限る。)ごとの合計額(当該営業期間が一年でない場合にあっては、当該合計額を一年当たりの額に換算した額)のうち最も高い額
(i) among the total amount of property benefits (excluding those specified in the following item) that the officers or similar persons receives or are to receive from an Investment Corporation as a remuneration, bonus or any other consideration for the execution of duties while they are in office for each business period (limited to the business period that includes the day specified in the following sub-items (a) through (c) according to the category of cases listed in the respective sub-items, and each business period immediately prior thereto) (in cases where the relevant business period is not one year, the amount obtained by converting the total amount to an amount per one year), the highest amount:
イ 法第百十五条の六第三項の投資主総会の決議を行った場合 当該投資主総会の決議の日
(a) in cases where a resolution of Investors' meeting under Article 115-6, paragraph (3) of the Act has been adopted: the day of the resolution of the Investors' meeting;
ロ 法第百十五条の六第七項の規定による規約の定めに基づいて責任を免除する旨の役員会の決議を行った場合 当該役員会の決議の日
(b) in cases where a resolution of the board of officers meeting exempting the liability of Officers based on the provisions of the certificate of incorporation under Article 115-6, paragraph (7) of the Act: the day of the resolution of the board of officers meeting; or
ハ 法第百十五条の六第十二項において準用する会社法第四百二十七条第一項の契約を締結した場合 責任の原因となる事実が生じた日(二以上の日がある場合にあっては、最も遅い日)
(c) in cases where the contract under Article 427, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 115-6, paragraph (12) of the Act has been concluded: the day on which the facts which may be the cause for liability occurred (in cases where there are two or more of such day, the latest day);
二 イに掲げる額をロに掲げる数で除して得た額
(ii) the amount obtained by dividing the amount listed in sub-item (a) by the amount listed in sub-item (b):
イ 当該役員等が当該投資法人から受けた退職慰労金及びその性質を有する財産上の利益の額
(a) the amount of retirement allowances or other property benefits with the nature thereof that the relevant officers or similar persons have received from the relevant Investment Corporation;
ロ 当該役員等がその職に就いていた年数(当該役員等が次に掲げるものに該当する場合における次に定める数が当該年数を超えている場合にあっては、当該数)
(b) the period of office of the relevant officers or similar persons in such position (in cases where the relevant officers or similar persons fall under the following category, if the number specified in the following exceed the period of service, such number):
(1) 執行役員又は監督役員 四
1. executive managing officers or supervisory officers: four;
(2) 会計監査人 二
2. a financial auditor: two.
(責任の免除の決議後に受ける退職慰労金等)
(Retirement Allowances, etc. to be Received After the Resolution of Exempting Liability)
第百六十八条 法第百十五条の六第六項(同条第十一項において準用する場合及び同条第十二項において準用する会社法第四百二十七条第五項において読み替えて準用する場合を含む。)に規定する内閣府令で定める財産上の利益とは、退職慰労金及びその性質を有する財産上の利益とする。
Article 168 The property benefits specified by Cabinet Office Order as referred to in Article 115-6, paragraph (6) of the Act (including the cases where it is applied mutatis mutandis pursuant to paragraph (11) of that Article, and the cases where it is applied mutatis mutandis pursuant to Article 427, paragraph (5) of the Companies Act as applied mutatis mutandis pursuant to Article 115-6, paragraph (12) of the Act following the deemed replacement of terms) are retirement allowances or other property benefits with the nature thereof.
(投資法人のその他一般事務)
(Other Administrative Processes of an Investment Corporation)
第百六十九条 法第百十七条第一号に掲げる事務(新投資口予約権無償割当て(法第八十八条の十三に規定する新投資口予約権無償割当てをいう。)に関する事務を除く。)を委託する契約においては、次に掲げる事項を定めなければならない。
Article 169 (1) The following particulars must be provided in the contract for entrusting the administrative processes listed in Article 117, item (i) of the Act (excluding administrative processes concerning the Free Allotment of Investment Equity Options (meaning the Free Allotment of Investment Equity Options provided in Article 88-13 of the Act)):
一 当該事務を受託する一般事務受託者は、顧客の知識、経験、財産の状況及び投資口又は投資法人債を引き受ける目的を十分勘案して、投資口又は投資法人債の引受けの申込みの勧誘を行うべき旨
(i) a statement to the effect that the Administrative Agent entrusted with the relevant administrative processes is to make the solicitation of application to subscribe Investment Equity or Investment Corporation Bonds by sufficiently taking into consideration the customer's knowledge, experience, status of property, and purpose of subscribing the Investment Equity or Investment Corporation Bonds;
二 当該事務を受託する一般事務受託者は、投資口又は投資法人債の引受けの申込みの勧誘を行うに当たり、顧客に対し、次に掲げる事項について説明する義務を負う旨
(ii) a statement to the effect that the Administrative Agent entrusted with the relevant administrative processes is liable to explain the following information to the customer in conducting solicitation of an application to subscribe Investment Equity or Investment Corporation Bonds:
イ 法第七十一条第一項各号、第八十三条第一項各号又は第百三十九条の四第一項各号に掲げる事項の内容
(a) the contents of the information listed in the items of Article 71, paragraph (1), the items of Article 83, paragraph (1), or the items of Article 139-4, paragraph (1) of the Act;
ロ 投資主又は投資法人債権者(法第百三十九条の三第一項第七号に規定する投資法人債権者をいう。以下同じ。)となった場合に有すべき権利
(b) rights to be held when the customer becomes an Investor or Investment Corporation's Bondholder (meaning the Investment Corporation's Bondholder defined in Article 139-3, paragraph (1), item (vii) of the Act; the same applies hereinafter);
ハ 一般事務受託者に対して支払われる手数料その他の費用のうち、投資口若しくは投資法人債の引受けをしようとする者又は投資主若しくは投資法人債権者の直接の負担により支払われるべきものがあるときは、その内容
(c) in cases where the fees or any other costs to be paid to an Administrative Agent include those which are to be paid at the direct expense of the person who intends to subscribe for the Investment Equity or Investment Corporation Bonds, or of the Investor or Investment Corporation's Bondholder, the details thereof; and
ニ 投資口又は投資法人債の価額の変動その他の理由により発生し得る危険の内容
(d) the details of risk that may occur due to the fluctuations in the value of Investment Equity or Investment Corporation, or for any other reasons.
2 法第百十七条第六号に規定する内閣府令で定める事務は、次に掲げる事務とする。
(2) The administrative processes specified by Cabinet Office Order as referred to in Article 117, item (vi) of the Act are the following administrative processes:
一 投資主に対して分配又は払戻しをする金銭の支払に関する事務
(i) the administrative processes related to the payment of money which is to be distributed or refunded to the Investors;
二 法第八十六条第一項に規定する投資法人にあっては、投資口の払戻請求の受付け及び払戻しに関する事務
(ii) with regard to the Investment Corporation set forth in Article 86, paragraph (1) of the Act, the administrative processes related to the acceptance of requests for refund of Investment Equity, and the refund thereof;
三 前二号並びに法第百十七条第二号及び第四号に掲げるもののほか、投資主の権利行使に関する請求その他の投資主からの申出の受付に関する事務
(iii) beyond what is listed in the preceding two items and Article 117, items (ii) and (iv) of the Act, the administrative processes related to the acceptance of requests for the exercise of voting rights by Investors or any other applications from Investors;
四 投資法人債権者に対する利息又は償還金の支払に関する事務
(iv) the administrative processes related to the payment of interests and amount of redemption to the Investment Corporation's Bondholders;
五 前号並びに法第百十七条第二号及び第四号に掲げるもののほか、投資法人債権者の権利行使に関する請求その他の投資法人債権者からの申出の受付に関する事務
(v) beyond what is listed in the preceding item and Article 117, items (ii) and (iv) of the Act, the administrative processes related to the acceptance of requests for the exercise of voting rights by Investment Corporation's Bondholders or any other applications from the Investment Corporation's Bondholders;
五の二 法第百十七条第二号及び第四号に掲げるもののほか、新投資口予約権者の権利行使に関する請求その他の新投資口予約権者からの申出の受付に関する事務
(v)-2 beyond what is listed in Article 117, items (ii) and (iv) of the Act, the administrative processes related to the acceptance of requests for the exercise of voting rights by holders of Investment Equity Options or any other applications from the holders of Investment Equity Options;
五の三 自己の投資口の取得に関する事務(自己の投資口の取得の対価である金銭の支払に関する事務を含む。)
(v)-3 the administrative processes related to the acquisition of its own Investment Equity (including administrative processes related to the payment of money that is the consideration for the acquisition of its own Investment Equity);
六 会計帳簿の作成に関する事務
(vi) the administrative processes related to the preparation of accounting books;
七 納税に関する事務
(vii) the administrative processes related to tax payment; and
八 その他金融庁長官が定める事務
(viii) any other administrative processes specified by the Commissioner of the Financial Services Agency.
3 投資法人は、前項第一号から第三号まで、第五号の三又は法第百十七条第二号(投資主名簿に係るものに限る。)若しくは第四号に掲げる事務を委託する一般事務受託者に係る事務の委託の内容に変更があったときは、その変更の内容(新たな一般事務受託者にこれらの事務を委託したときは、その者の氏名又は名称及び住所並びにその者に委託する事務の内容を含む。)を投資主に通知しなければならない。ただし、軽微な変更であって、法第百二十九条第二項に規定する資産運用報告(当該変更の日の属する営業期間に係る資産運用報告に限る。)に記載するものについては、この限りでない。
(3) When there are any changes to the contents of the entrustment of administrative processes related to the Administrative Agent to which the administrative processes listed in items (i) through (iii), item (v)-3 of the preceding paragraph or Article 117, item (ii) (limited to those related to the investor register) of the Act or item (iv) of that Article are entrusted, an Investment Corporation must notify the details of such change (when such administrative processes are entrusted to a new Administrative Agent, the name and address of the new Administrative Agent, as well as the details of the administrative processes to be entrusted thereto are included) to the Investors; provided, however, that this does not apply to minor changes that are to be stated in the asset investment reports provided in Article 129, paragraph (2) of the Act (limited to asset investment reports pertaining to the Business Period that includes the date of the changes).
4 投資法人は、第二項第四号若しくは第五号又は法第百十七条第二号(投資法人債原簿に係るものに限る。)若しくは第四号に掲げる事務を委託する一般事務受託者に係る事務の委託の内容に変更があったときは、その変更の内容(新たな一般事務受託者にこれらの事務を委託したときは、その者の氏名又は名称及び住所並びにその者に委託する事務の内容を含む。)を当該変更があった種類(法第百三十九条の七において準用する会社法第六百八十一条第一号に規定する種類をいう。)の投資法人債権者に通知しなければならない。
(4) When there are any changes to the contents of the entrustment of administrative processes related to the Administrative Agent to which the administrative processes listed in item (iv) or (v) of paragraph (2), Article 117, item (ii) (limited to those related to the investment corporation bond register) of the Act, and item (iv) of that Article are entrusted, an Investment Corporation must notify the details of the changes (in cases where such administrative processes are entrusted to a new Administrative Agent, the name and address of the new Administrative Agent, as well as the details of the administrative processes to be entrusted thereto are included) to the Investment Corporation's Bondholders of the Class (meaning the Class as prescribed in Article 681, item (i) of the Companies Act as applied mutatis mutandis pursuant to Article 139-7 of the Act) to which the changes were made.
5 投資法人は、第二項第五号の二又は法第百十七条第二号(新投資口予約権原簿に係るものに限る。)若しくは第四号に掲げる事務を委託する一般事務受託者に係る事務の委託の内容に変更があったときは、その変更の内容(新たな一般事務受託者にこれらの事務を委託したときは、その者の氏名又は名称及び住所並びにその者に委託する事務の内容を含む。)を当該変更があった新投資口予約権に係る新投資口予約権者に通知しなければならない。
(5) When there are any changes to the contents of the entrustment of administrative processes related to the Administrative Agent to which the administrative processes listed in item (v)-2 of paragraph (2), Article 117, item (ii) (limited to those related to the Investment Equity Options Register) of the Act, or item (iv) of that Article are entrusted, an Investment Corporation must notify the details of the changes (in cases where such administrative processes are entrusted to a new Administrative Agent, the name and address of the new Administrative Agent, as well as the details of the administrative processes to be entrusted thereto are included) to the holder of Investment Equity Options of the Investment Equity Options to which the changes were made.
(設立時募集投資口を引き受ける者の募集に関する事務の委託契約の締結)
(Conclusion of an Entrustment Contract for Administrative Processes Related to the Solicitation of Persons to Subscribe for Investment Equity for Subscription at Incorporation)
第百七十条 設立時募集投資口を引き受ける者の募集に関する事務に係る委託契約の締結は、設立企画人が行うものとする。
Article 170 The conclusion of an entrustment contract for the administrative processes related to the solicitation of persons to subscribe for investment equity for subscription at incorporation is to be effected by an organizer.
(払戻金額の公示の方法)
(Method of Public Notice of the Refund Amount)
第百七十一条 法第百二十六条の規定による払戻金額の公示は、第百三十四条第一項各号のいずれかの方法により行わなければならない。
Article 171 (1) The public notice of refund amount under the provisions of Article 126 of the Act must be made by any of the method set forth in the items of Article 134, paragraph (1).
2 前項の払戻金額の公示は、当該払戻金額が適用される投資口の払戻しの期間を明示してしなければならない。
(2) The public notice of refund amount under the preceding paragraph must be made by clearly indicating the refund period for the Investment Equity to which the relevant refund amount is applied.
(違法な払戻しに関して責任をとるべき執行役員等)
(Executive Managing Officers to Be Held Liable with Regard to Illegal Refund)
第百七十二条 法第百二十六条の二第一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 172 The persons specified by Cabinet Office Order as referred to in Article 126-2, paragraph (1) of the Act are the following persons:
一 違法な払戻し(法第百二十四条第一項第三号に掲げる場合において、投資法人が行った投資口の払戻しをいう。以下この条において同じ。)に関する職務を行った執行役員
(i) an executive managing officer that performed the duties related to Illegal Refunds (meaning the refunds of Investment Equity made by an Investment Corporation in the cases listed in Article 124, paragraph (1), item (iii) of the Act; hereinafter the same applies in this Article);
二 違法な払戻しが役員会の決議に基づいて行われたときは、次に掲げる者
(ii) when the Illegal Refund has been made based on the resolution of a board of officers meeting, the following persons:
イ 当該役員会の決議に賛成した役員
(a) an officer(s) that agreed to the resolution of the board of officers meeting; and
ロ 当該役員会に当該違法な払戻しに関する議案を提案した執行役員
(b) an executive managing officer that submitted the proposal concerning the illegal refund to the board of officers meeting; and
三 違法な払戻しが投資主総会の決議に基づいて行われたときは、次に掲げる者
(iii) when the illegal refund has been made based on the resolution of an Investors' meeting, the following persons:
イ 当該投資主総会に当該違法な払戻しに関する議案を提案した執行役員
(a) an executive managing officer that submitted the proposal concerning the illegal refund to the Investors' meeting;
ロ イの議案の提案が役員会の決議に基づいて行われたときは、当該役員会の決議に賛成した役員
(b) when the submission of proposal under sub-item (a) has been made based on the resolution of a board of officers meeting, the officer(s) that agreed to the resolution of the board of officers meeting; and
ハ 当該投資主総会において当該違法な払戻しに関する事項について説明をした役員
(c) the officer(s) who explained the information concerning the illegal refund at the relevant Investors' meeting.
(計算書類等の承認の通知に係る電磁的方法)
(Electronic or Magnetic Means for Notice of Approval of Financial Statements)
第百七十三条 法第百三十一条第四項(法第百六十条第二項において準用する場合を含む。)に規定する電子情報処理組織を使用する方法その他の情報通信の技術を利用する方法であって内閣府令で定めるものは、次に掲げる方法とする。
Article 173 (1) The methods using an electronic data processing system and other information and communications technology as specified by Cabinet Office Order as referred to in Article 131, paragraph (4) of the Act (including the cases where it is applied mutatis mutandis pursuant to Article 160, paragraph (2) of the Act) are the following methods:
一 電子情報処理組織を使用する方法のうちイ又はロに掲げるもの
(i) the methods using an electronic data processing system that are listed in sub-item (a) or sub-item (b):
イ 送信者の使用に係る電子計算機と受信者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) the method of transmitting information via a telecommunications line that links the computer used by the sender and the computer used by the recipient and recording such information in the file stored on the computers used by the recipient; or
ロ 送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された情報の内容を電気通信回線を通じて情報の提供を受ける者の閲覧に供し、当該情報の提供を受ける者の使用に係る電子計算機に備えられたファイルに当該情報を記録する方法
(b) the method of offering the details of the information which are recorded in a file stored on the computer used by the sender to the person who receives the provision of the information for inspection via a telecommunications line, and recording the information in the files stored on the computer used by the person who receives the provision of the information;
二 磁気ディスクその他これに準ずる方法により一定の情報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情報を記録したものを交付する方法
(ii) the method of delivering a file containing the information that has been prepared using media which can securely record certain information by magnetic disks, or any other means equivalent thereto.
2 前項各号に掲げる方法は、受信者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 one that enables the recipient to prepare documents by outputting the records in the file.
第百七十四条 令第九十二条第一項の規定により示すべき電子情報処理組織を使用する方法その他の情報通信の技術を利用する方法の種類及び内容は、次に掲げるものとする。
Article 174 The types and details of method using an electronic data processing system and other information and communications technology which are to be indicated pursuant to the provisions of Article 92, paragraph (1) of the Order are as follows:
一 次に掲げる方法のうち、送信者が使用するもの
(i) among the following methods, those used by the sender:
イ 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
(a) the methods using an electronic data processing system which are as follows:
(1) 送信者の使用に係る電子計算機と受信者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
1. the method of transmitting information via a telecommunications line that links the computer used by the sender and the computer used by the recipient and recording such information in the file stored on the computers used by the recipient;
(2) 送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された情報の内容を電気通信回線を通じて情報の提供を受ける者の閲覧に供し、当該情報の提供を受ける者の使用に係る電子計算機に備えられたファイルに当該情報を記録する方法
2. the method of offering the details of the information which are recorded in a file stored on the computer used by the sender to the person who receives the provision of the information for inspection via a telecommunications line and recording the information in the files stored on the computer used by the person who receives the provision of the information;
ロ 磁気ディスクその他これに準ずる方法により一定の情報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情報を記録したものを交付する方法
(b) the method of delivering a file containing the information that has been prepared using media which can securely record certain information by magnetic disks, or any other means equivalent thereto; and
二 ファイルへの記録の方式
(ii) the method of recording the information in the file.
(金銭の分配等に関して責任をとるべき執行役員等)
(Executive Managing Officers to Be Held Liable with Regard to Distribution of Monies)
第百七十五条 法第百三十八条第一項第一号に規定する内閣府令で定めるものは、次に掲げる者とする。
Article 175 (1) The persons specified by Cabinet Office Order as referred to in Article 138, paragraph (1), item (i) of the Act are the following persons:
一 剰余金の配当による金銭等の交付に関する職務を行った執行役員
(i) an executive managing officer who performed the duties related to the delivery of money, etc. in relation to the distribution of dividend of surplus;
二 法第百三十一条第二項の金銭の分配に係る計算書の承認に賛成した役員
(ii) the officer(s) who agreed to the approval of statements related to the distribution of money under Article 131, paragraph (2) of the Act; and
三 分配可能額の計算に関する報告を監督役員又は会計監査人が請求したときは、当該請求に応じて報告をした執行役員
(iii) when a supervisory officer or financial auditor has demanded a report on the calculation of the distributable amount, the executive managing officer that has made the report in response to the demand.
2 法第百三十八条第一項第二号に規定する内閣府令で定めるものは、役員会に議案を提案した執行役員とする。
(2) The executive managing officer specified by Cabinet Office Order as referred to in Article 138, paragraph (1), item (ii) of the Act is an executive managing officer who has submitted a proposal to the board of officers meeting.
3 法第八十条の二第二項の規定により、同条第一項の規定による投資口の取得を金銭の分配とみなして法第百三十八条の規定を適用する場合においては、第一項第一号中「剰余金の配当による金銭等」とあるのは「法第八十条の二第一項の規定による投資口の取得による金銭」と、同項第二号中「法第百三十一条第二項の金銭の分配に係る計算書の承認」とあるのは「法第八十条の二第三項に規定する役員会の決議」と、同項第三号中「分配可能額」とあるのは「投資口の取得可能額」とする。
(3) In cases where the provisions of Article 138 of the Act are applied by deeming the acquisition of Investment Equity under the provisions of Article 80-2, paragraph (1) of the Act to be the distribution of monies pursuant to the provisions of paragraph (2) of that Article, the phrase "money, etc. in relation to the distribution of dividend of surplus" in paragraph (1), item (i) is deemed to be replaced with "money in relation to the acquisition of Investment Equity under the provisions of Article 80-2, paragraph (1) of the Act," the phrase "approval of statements related to the distribution of money under Article 131, paragraph (2) of the Act" in item (ii) of that paragraph is deemed to be replaced with "resolution of the board of officers meeting provided in Article 80-2, paragraph (3) of the Act," and the phrase "distributable amount" in item (iii) of that paragraph is deemed to be replaced with "amount available for the acquisition of Investment Equity."
(募集事項)
(Subscription Requirements)
第百七十六条 法第百三十九条の三第一項第十三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 176 The particulars specified by Cabinet Office Order as referred to in Article 139-3, paragraph (1), item (xiii) of the Act are the following particulars:
一 数回に分けて募集投資法人債(法第百三十九条の三第一項に規定する募集投資法人債をいう。以下同じ。)と引換えに金銭の払込みをさせるときは、その旨及び各払込みの期日における払込金額(同項第十一号に規定する払込金額をいう。次条第四号において同じ。)
(i) when having the payment of money made in exchange for Investment Corporation Bonds for Subscription (meaning the Investment Corporation Bonds for Subscription as prescribed in Article 139-3, paragraph (1) of the Act; the same applies hereinafter) in installments, an indication of this and the amount to be paid in (meaning the amount to be paid in as prescribed in item (xi) of that paragraph; the same applies in item (iv) of the following Article) on the due date for each payment;
二 法第百三十九条の八の規定による委託に係る契約において法に規定する投資法人債管理者の権限以外の権限を定めるときは、その権限の内容
(ii) when the authority other than the authority of the investment corporation bond administrator provided in the Act is to be specified in the contract for entrustment under the provisions of Article 139-8 of the Act; the details of such authority; and
三 法第百三十九条の九第八項において準用する会社法第七百十一条第二項本文に規定するときは、同項本文に規定する事由
(iii) in the case as prescribed in the main clause of Article 711, paragraph (2) of the Companies Act as applied mutatis mutandis pursuant to Article 139-9, paragraph (8) of the Act, the grounds prescribed in the main clause of Article 711, paragraph (2) of the Companies Act.
(投資法人債を引き受ける者の募集に際して役員会が定めるべき事項)
(Particulars to Be Specified by Board of Officers Meeting in Soliciting Persons to Subscribe for Investment Corporation Bonds)
第百七十七条 法第百三十九条の三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 177 The particulars specified by Cabinet Office Order as referred to in Article 139-3, paragraph (2) of the Act are the following particulars:
一 二以上の募集(法第百三十九条の三第一項の募集をいう。以下この条において同じ。)に係る同項各号に掲げる事項の決定を委任するときは、その旨
(i) when entrusting the decision on the particulars listed in the items of Article 139-3, paragraph (1) of the Act related to two or more Solicitation (meaning the solicitation as referred to in Article 139-3, paragraph (1) of the Act; hereinafter the same applies in this Article), an indication of this;
二 募集投資法人債の総額の上限(前号に規定する場合にあっては、各募集に係る募集投資法人債の総額の上限の合計額)
(ii) the maximum amount for the total amount of Investment Corporation Bonds for Subscription (in the case referred to in the preceding item, the total of the maximum amount for the total amount of Investment Corporation Bonds for Subscription for each Solicitation);
三 募集投資法人債の利率の上限その他の利率に関する事項の要綱
(iii) the upper limit of the interest rate of the Investment Corporation Bonds for Subscription and the outline of other particulars related to interest rates; and
四 募集投資法人債の払込金額の総額の最低金額その他の払込金額に関する事項の要綱
(iv) the minimum amount for the total amount to be paid in for the Investment Corporation Bonds for Subscription and the outline of other particulars related to the amount to be paid in.
(申込みをしようとする者に対して通知すべき事項)
(Information to Be Notified to Persons Who Intend to File Applications)
第百七十八条 法第百三十九条の四第一項第七号に規定する内閣府令で定める事項は、投資法人債管理者を定めたときのその名称及び住所とする。
Article 178 The information specified by Cabinet Office Order as referred to in Article 139-4, paragraph (1), item (vii) of the Act is, when an investment corporation bond administrator has been specified, the name and address thereof.
(申込みをしようとする者に対する通知を要しない場合)
(Cases Where Notice to Persons Who Intend to File Applications Is Not Required)
第百七十九条 法第百三十九条の四第四項に規定する内閣府令で定める場合は、次に掲げる場合であって、投資法人が同条第一項の申込みをしようとする者に対して同項各号に掲げる事項を提供している場合とする。
Article 179 The cases specified by Cabinet Office Order as referred to in Article 139-4, paragraph (4) of the Act are the following cases where the Investment Corporation has provided the information listed in the items of paragraph (1) of that Article to persons who intend to file applications under that paragraph:
一 当該投資法人が金融商品取引法の規定に基づき目論見書に記載すべき事項を電磁的方法により提供している場合
(i) cases where the relevant Investment Corporation has provided the information to be given in the prospectus based on the provisions of the Financial Instruments and Exchange Act by Electronic or Magnetic Means; or
二 当該投資法人が外国の法令に基づき目論見書その他これに相当する書面その他の資料を提供している場合
(ii) cases where the relevant Investment Corporation has provided the prospectus, other documents equivalent thereto, or any other materials based on the provisions of laws and regulations of a foreign state.
(投資法人債の種類)
(Class of Investment Corporation Bonds)
第百八十条 法第百三十九条の七において準用する会社法第六百八十一条第一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 180 The particulars specified by Cabinet Office Order as referred to in Article 681, item (i) of the Companies Act as applied mutatis mutandis pursuant to Article 139-7 of the Act are the following particulars:
一 投資法人債の利率
(i) the interest rate of the Investment Corporation Bond;
二 投資法人債の償還の方法及び期限
(ii) the method of and time limit for the redemption of Investment Corporation Bond;
三 利息支払の方法及び期限
(iii) the method of and time limit for the payment of interest;
四 投資法人債券を発行するときは、その旨
(iv) that Investment Corporation Bond Certificates are to be issued, if this is the case;
五 投資法人債権者が法第百三十九条の七において準用する会社法第六百九十八条の規定による請求の全部又は一部をすることができないこととするときは、その旨
(v) that it is to be provided for that Investment Corporation's Bondholders may not make the demand under Article 698 of the Companies Act as applied mutatis mutandis pursuant to Article 139-7 of the Act in whole or in part, if this is the case;
六 投資法人債管理者が投資法人債権者集会の決議によらずに法第百三十九条の九第四項第二号に掲げる行為をすることができることとするときは、その旨
(vi) that it is to be provided for that an investment corporation bond administrator may conduct the acts listed in Article 139-9, paragraph (4), item (ii) of the Act without the resolution of the meeting of Investment Corporation's Bondholders, if this is the case;
七 投資法人債管理者を定めたときは、その名称及び住所並びに法第百三十九条の八の規定による委託に係る契約の内容
(vii) when an investment corporation bond administrator is specified, the name and address thereof as well as the contents of the contract for entrustment under Article 139-8 of the Act;
八 法第百六十六条第二項第八号に規定する投資主名簿等管理人の氏名又は名称及び住所
(viii) the name and address of the administrator of the investor register as prescribed in Article 166, paragraph (2), item (viii) of the Act; and
九 投資法人債が担保付投資法人債であるときは、法第百三十九条の十一において適用する担保付社債信託法(明治三十八年法律第五十二号)第十九条第一項第一号、第十一号及び第十三号に掲げる事項
(ix) when the Investment Corporation Bonds are Secured Investment Corporation Bonds, the particulars listed in the provisions of Article 19, paragraph (1), items (i), (xi), and (xiii) of the Secured Corporate Bonds Trust Act (Act No. 52 of 1905) to be applied pursuant to Article 139-11 of the Act.
(投資法人債原簿記載事項)
(Information Required to Be Included in Investment Corporation Bond Register)
第百八十一条 法第百三十九条の七において準用する会社法第六百八十一条第七号に規定する内閣府令で定める事項は、投資法人債権者が募集投資法人債と引換えにする金銭の払込みをする債務と投資法人に対する債権とを相殺したときの、債権の額及び相殺をした日とする。
Article 181 The particulars specified by Cabinet Office Order as referred to in Article 681, item (vii) of the Companies Act as applied mutatis mutandis pursuant to Article 139-7 of the Act are, when the Investment Corporation's Bondholder sets off its obligations to pay money in exchange for Investment Corporation Bonds for Subscription against its claim against the Investment Corporation, the amount of claim and the day on which the set off was made.
(閲覧権者)
(Persons with Right to Inspect)
第百八十二条 法第百三十九条の七において準用する会社法第六百八十四条第二項に規定する内閣府令で定める者は、投資法人債権者その他の投資法人債発行法人(法第百三十九条の九第六項に規定する投資法人債発行法人をいう。以下同じ。)の債権者及び投資主とする。
Article 182 The persons specified by Cabinet Office Order as referred to in Article 684, paragraph (2) of the Companies Act as applied mutatis mutandis pursuant to Article 139-7 of the Act are Investment Corporation's Bondholders, and creditors and Investors of another corporation issuing the investment corporation bonds (meaning the corporation issuing the investment corporation bonds defined in Article 139-9, paragraph (6) of the Act; the same applies hereinafter).
(投資法人債原簿記載事項の記載等の請求)
(Request of Inclusion of the Information Required to Be Included in the Investment Corporation Bond Register)
第百八十三条 法第百三十九条の七において準用する会社法第六百九十一条第二項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 183 (1) The cases specified by Cabinet Office Order as referred to in Article 691, paragraph (2) of the Companies Act as applied mutatis mutandis pursuant to Article 139-7 of the Act are the following matters:
一 投資法人債取得者(投資法人債を投資法人債発行法人以外の者から取得した者(当該投資法人債発行法人を除く。)をいう。以下この条において同じ。)が、投資法人債権者として投資法人債原簿に記載若しくは記録がされた者又はその一般承継人に対して当該投資法人債取得者の取得した投資法人債に係る法第百三十九条の七において準用する会社法第六百九十一条第一項の規定による請求をすべきことを命ずる確定判決を得た場合において、当該確定判決の内容を証する書面その他の資料を提供して請求をしたとき。
(i) in cases where the Acquirer of Investment Corporation Bonds (meaning the person who acquired Investment Corporation Bonds from persons other than the corporation issuing the investment corporation bonds (excluding the relevant corporation issuing the investment corporation bonds); hereinafter the same applies in this Article) has received a final and binding judgment ordering the Acquirer of Investment Corporation Bonds to make the request under Article 691, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 139-7 of the Act related to the Investment Corporation Bonds acquired by the Acquirer of Investment Corporation Bonds against the person who has been stated or recorded in the Investment Corporation Bond Register as an Investment Corporation's Bondholder or the general successor thereof, when the Acquirer of Investment Corporation Bonds has made the request by providing a document evidencing the contents of the final and binding judgment or any other materials;
二 投資法人債取得者が前号の確定判決と同一の効力を有するものの内容を証する書面その他の資料を提供して請求をしたとき。
(ii) when the Acquirer of Investment Corporation Bonds has made the request by providing a document evidencing the contents of a decision having the same effect as the final and binding judgment under the preceding item or any other materials;
三 投資法人債取得者が一般承継により当該投資法人の投資法人債を取得した者である場合において、当該一般承継を証する書面その他の資料を提供して請求をしたとき。
(iii) in cases where the Acquirer of Investment Corporation Bonds is a person who has acquired the Investment Corporation Bonds of the relevant Investment Corporation by general succession, when such Acquirer of Investment Corporation Bonds has made the request by providing a document evidencing the general succession or any other materials; and
四 投資法人債取得者が当該投資法人の投資法人債を競売により取得した者である場合において、当該競売により取得したことを証する書面その他の資料を提供して請求をしたとき。
(iv) in cases where the Acquirer of Investment Corporation Bonds is a person who has acquired the Investment Corporation Bonds of the relevant Investment Corporation by auction, when such Acquirer of Investment Corporation Bonds has made the request by providing a document evidencing that the acquisition was made by auction, or any other materials.
2 前項の規定にかかわらず、投資法人債取得者が取得した投資法人債が投資法人債券を発行する定めがあるものである場合には、法第百三十九条の七において準用する会社法第六百九十一条第二項に規定する内閣府令で定める場合は、投資法人債取得者が投資法人債券を提示して請求をした場合とする。
(2) Notwithstanding the provisions of the preceding paragraph, in cases where the Investment Corporation Bonds acquired by the Acquirer of Investment Corporation Bonds are those provided for that Investment Corporation Bond Certificates are issued, the cases specified by Cabinet Office Order as referred to in Article 691, paragraph (2) of the Companies Act as applied mutatis mutandis pursuant to Article 139-7 of the Act are the cases where the Acquirer of Investment Corporation Bonds has made the request by presenting the Investment Corporation Bond Certificate.
(投資法人債管理者の資格)
(Qualification of Investment Corporation Bond Administrators)
第百八十四条 法第百三十九条の九第八項において準用する会社法第七百三条第三号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 184 The persons specified by Cabinet Office Order as referred to in Article 703, item (iii) of the Companies Act as applied mutatis mutandis pursuant to Article 139-9, paragraph (8) of the Act are the following persons:
一 担保付社債信託法第三条の免許を受けた者
(i) persons who have obtained the license under Article 3 of the Secured Corporate Bonds Trust Act;
二 農業協同組合法第十条第一項第二号及び第三号の事業を併せ行う農業協同組合又は農業協同組合連合会
(ii) the agricultural cooperatives or federation of agricultural cooperatives that conducts both the businesses set forth in Article 10, paragraph (1), items (ii) and (iii) of the Agricultural Cooperatives Act;
三 信用協同組合又は中小企業等協同組合法第九条の九第一項第一号の事業を行う協同組合連合会
(iii) the credit cooperatives, or the federation of credit cooperatives engaged in the business set forth in Article 9-9, paragraph (1), item (i) of the Small and Medium-Sized Enterprise Cooperatives Act;
四 信用金庫又は信用金庫連合会
(iv) Shinkin Banks or federation of Shinkin Banks;
五 労働金庫連合会
(v) federation of labor banks;
六 長期信用銀行法(昭和五十七年法律第百八十七号)第二条に規定する長期信用銀行
(vi) the long-term credit bank defined in Article 2 of the Long-Term Credit Bank Act (Act No. 187 of 1982);
七 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
(vii) the insurance company defined in Article 2, paragraph (2) of the Insurance Business Act (Act No. 105 of 1995);
八 農林中央金庫
(viii) Norin Chukin Bank; and
九 株式会社商工組合中央金庫
(ix) Shoko Chukin Bank Limited.
(特別の関係)
(Special Relationship)
第百八十五条 法第百三十九条の九第八項において準用する会社法第七百十条第二項第二号(法第百三十九条の九第八項において準用する会社法第七百十二条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特別の関係は、次に掲げる関係とする。
Article 185 (1) The special relationships specified by Cabinet Office Order as referred to in Article 710, paragraph (2), item (ii) of the Companies Act (including the cases where it is applied mutatis mutandis pursuant to Article 712 of the Companies Act as applied mutatis mutandis pursuant to Article 139-9, paragraph (8) of the Act) as applied mutatis mutandis pursuant to Article 139-9, paragraph (8) of the Act are the following relationships:
一 法人の総社員又は総株主の議決権の百分の五十を超える議決権を有する者(以下この条において「支配社員」という。)と当該法人(以下この条において「被支配法人」という。)との関係
(i) the relationship between the person who holds voting rights exceeding 50 percent of the voting rights of all members or shareholders of a corporation (hereinafter referred to as the "Controlling Member" in this Article) and the corporation (hereinafter referred to as the "Controlled Corporation" in this Article); and
二 被支配法人とその支配社員の他の被支配法人との関係
(ii) the relationship between the Controlled Corporation and another Controlled Corporation of the Controlling Member of the first-mentioned Controlled Corporation.
2 支配社員とその被支配法人が合わせて他の法人の総社員又は総株主の議決権の百分の五十を超える議決権を有する場合には、当該他の法人も、当該支配社員の被支配法人とみなして前項の規定を適用する。
(2) In cases where the Controlling Member and its Controlled Corporation jointly holds voting rights exceeding 50 percent of the voting rights of all members or shareholders of another corporation, the relevant other corporation is deemed to be the Controlled Corporation of the Controlling Member and the provisions of the preceding paragraph apply.
(投資法人債権者集会の招集の決定事項)
(Information Decided for Calling a Meeting of Investment Corporation's Bondholders)
第百八十六条 法第百三十九条の十第二項において準用する会社法第七百十九条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 186 The particulars specified by Cabinet Office Order as referred to in Article 719, item (iv) of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act are the following particulars:
一 次条の規定により投資法人債権者集会参考書類(法第百三十九条の十第二項において読み替えて準用する会社法第七百二十一条第一項に規定する投資法人債権者集会参考書類をいう。以下同じ。)に記載すべき事項
(i) information to be given in the Reference Documents for a Meeting of Investment Corporation's Bondholders (meaning the Reference Documents for a Meeting of Investment Corporation's Bondholders as referred to in Article 721, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act following the deemed replacement of terms; the same applies hereinafter) pursuant to the provisions of the following Article;
二 書面による議決権の行使の期限(投資法人債権者集会の日時以前の時であって、法第百三十九条の十第二項において準用する会社法第七百二十条第一項の規定による通知を発した日から二週間を経過した日以後の時に限る。)
(ii) the time limit for exercising voting rights in writing (limited to the time which is before the date of the meeting of Investment Corporation's Bondholders but on or after the day on which two weeks have passed from the day when the notice under Article 720, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act has been sent);
三 一の投資法人債権者が同一の議案につき法第百三十九条の十第二項において準用する会社法第七百二十六条第一項(法第百三十九条の十第二項において準用する会社法第七百十九条第三号に掲げる事項を定めた場合にあっては、法第百三十九条の十第二項において準用する会社法第七百二十六条第一項又は第七百二十七条第一項)の規定により重複して議決権を行使した場合において、当該同一の議案に対する議決権の行使の内容が異なるものであるときにおける当該投資法人債権者の議決権の行使の取扱いに関する事項を定めるときは、その事項
(iii) in cases where a single Investment Corporation's Bondholder has redundantly exercised its voting right for a single proposal pursuant to the provisions of Article 726, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act (in cases where the particulars listed in Article 719, item (iii) of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act are provided for, the provisions of Article 726, paragraph (1) and Article 727, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act) and the facts of the exercise of voting right for the single proposal differ, when particulars concerning the handling of such exercise of voting right by the Investment Corporation's Bondholder are provided, such particulars;
四 第百八十八条第一項第三号の取扱いを定めるときは、その取扱いの内容
(iv) when the handling provided in Article 188, paragraph (1), item (iii) is to be specified, the details of the handling;
五 法第百三十九条の十第二項において準用する会社法第七百十九条第三号に掲げる事項を定めたときは、次に掲げる事項
(v) when the particulars listed in Article 719, item (iii) of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act are specified, the following particulars:
イ 電磁的方法による議決権の行使の期限(投資法人債権者集会の日時以前の時であって、法第百三十九条の十第二項において準用する会社法第七百二十条第一項の規定による通知を発した日から二週間を経過した日以後の時に限る。)
(a) the time limit for exercising voting rights by Electronic or Magnetic Means (limited to the time which is before the date of the meeting of Investment Corporation's Bondholders but on or after the day on which two weeks have passed from the day when the notice under Article 720, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act has been sent);
ロ 法第百三十九条の十第二項において準用する会社法第七百二十条第二項の承諾をした投資法人債権者の請求があった時に当該投資法人債権者に対して法第百三十九条の十第二項において準用する会社法第七百二十一条第一項の規定による議決権行使書面(同項に規定する議決権行使書面をいう。第百八十八条において同じ。)の交付(当該交付に代えて行う法第百三十九条の十第二項において準用する会社法第七百二十一条第二項の規定による電磁的方法による提供を含む。)をすることとするときは、その旨
(b) that Voting Forms (meaning the Voting Forms as prescribed in Article 721, paragraph (1) of the Companies Act; the same applies in Article 188) are to be delivered under that paragraph as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act (including the provision of Voting Forms by Electronic or Magnetic Means under Article 721, paragraph (2) of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act made in lieu of the delivery thereof) to the Investment Corporation's Bondholders that have given the consent under Article 720, paragraph (2) of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act when requested by that Investment Corporation's Bondholders, if this is the case.
(投資法人債権者集会参考書類)
(Reference Documents for a Meeting of Investment Corporation's Bondholders)
第百八十七条 投資法人債権者集会参考書類には、次に掲げる事項を記載しなければならない。
Article 187 (1) The following information must be given in the Reference Documents for a Meeting of Investment Corporation's Bondholders:
一 議案及び提案の理由
(i) the proposal and reasons for submitting the proposal; and
二 議案が代表投資法人債権者の選任に関する議案であるときは、次に掲げる事項
(ii) when the proposal is a proposal for the appointment of the representative bondholder of an investment corporation, the following information:
イ 候補者の氏名又は名称
(a) the name of the candidate;
ロ 候補者の略歴又は沿革
(b) the career or history of the candidate; and
ハ 候補者が投資法人債発行法人又は投資法人債管理者と特別の利害関係があるときは、その事実の概要
(c) when the candidate has any special interest with the corporation issuing the investment corporation bonds or investment corporation bond administrator, the summary of such facts.
2 投資法人債権者集会参考書類には、前項に定めるもののほか、投資法人債権者の議決権の行使について参考となると認める事項を記載することができる。
(2) Beyond what is provided for in the preceding paragraph, the information found to serve as a reference with regard to the exercise of voting rights by Investment Corporation's Bondholders may be given in the Reference Documents for a Meeting of Investment Corporation's Bondholders.
3 同一の投資法人債権者集会に関して投資法人債権者に対して提供する投資法人債権者集会参考書類に記載すべき事項のうち、他の書面に記載している事項又は電磁的方法により提供している事項がある場合には、これらの事項は、投資法人債権者集会参考書類に記載することを要しない。
(3) In cases where some of the information to be given in the Reference Documents for a meeting of Investment Corporation's Bondholders which are to be provided to Investment Corporation's Bondholders in relation to a single meeting of Investment Corporation's Bondholders is given in other documents or is provided by Electronic or Magnetic Means among, such information is not required to be given in the Reference Document for a meeting of Investment Corporation's Bondholders.
4 同一の投資法人債権者集会に関して投資法人債権者に対して提供する招集通知(法第百三十九条の十第二項において準用する会社法第七百二十条第一項又は第二項の規定による通知をいう。以下この項並びに次条第三項及び第四項において同じ。)の内容とすべき事項のうち、投資法人債権者集会参考書類に記載している事項がある場合には、当該事項は、招集通知の内容とすることを要しない。
(4) In cases where some of the information to be included in the contents of the Notice of Calling (meaning the notice under Article 720, paragraph (1) or (2) of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act; hereinafter the same applies in this paragraph and paragraphs (3) and (4) of the following Article) which is to be provided to Investment Corporation's Bondholders in relation to a single meeting of Investment Corporation's Bondholders is given in the Reference Documents for a Meeting of Investment Corporation's Bondholders, such information is not required to be included in the Notice of Calling.
(議決権行使書面)
(Voting Forms)
第百八十八条 法第百三十九条の十第二項において準用する会社法第七百二十一条第一項の規定により交付すべき議決権行使書面に記載すべき事項又は法第百三十九条の十第二項において準用する会社法第七百二十二条第一項若しくは第二項の規定により電磁的方法により提供すべき議決権行使書面に記載すべき事項は、次に掲げる事項とする。
Article 188 (1) The information to be included in the Voting Forms which are to be delivered pursuant to the provisions of Article 721, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act, or the information to be included in the Voting Forms which are to be provided by Electronic or Magnetic Means pursuant to the provisions of Article 722, paragraph (1) or (2) of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act is the following information:
一 各議案についての賛否(棄権の欄を設ける場合にあっては、棄権を含む。)を記載する欄
(i) a column in which the agreement or dissent (in cases of providing a column for abstention, including abstention) for each proposal is to be stated;
二 第百八十六条第三号に掲げる事項を定めたときは、当該事項
(ii) in cases where the particulars listed in Article 186, item (iii) are specified, such particulars;
三 第百八十六条第四号に掲げる事項を定めたときは、第一号の欄に記載がない議決権行使書面が招集者(法第百三十九条の十第二項において準用する会社法第七百十九条に規定する招集者をいう。次項において同じ。)に提出された場合における各議案についての賛成、反対又は棄権のいずれかの意思の表示があったものとする取扱いの内容
(iii) in cases where the particulars listed in Article 186, item (iv) are specified, when a Voting Form lacking an entry in the column under item (i) has been submitted to the Convener (meaning the Convener defined in Article 719 of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act; the same applies in the following paragraph), the details of the handling of such Voting Form as to whether it is an indication of manifestation of agreement, dissent, or abstention, for each proposal;
四 議決権の行使の期限
(iv) the time limit for exercising the voting rights; and
五 議決権を行使すべき投資法人債権者の氏名又は名称及び行使することができる議決権の数
(v) the names of the Investment Corporation's Bondholders that are to exercise voting rights as well as the number of exercisable voting rights.
2 第百八十六条第五号ロに掲げる事項を定めた場合には、招集者は、法第百三十九条の十第二項において準用する会社法第七百二十条第二項の承諾をした投資法人債権者の請求があった時に、当該投資法人債権者に対して、法第百三十九条の十第二項において準用する会社法第七百二十一条第一項の規定による議決権行使書面の交付(当該交付に代えて行う同条第二項の規定による電磁的方法による提供を含む。)をしなければならない。
(2) In cases where the particulars listed in Article 186, item (v), sub-item (b) are provided for, a Convener must, when requested by the Investment Corporation's Bondholders that have given the consent under Article 720, paragraph (2) of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act, deliver Voting Forms under Article 721, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act (including the provision of Voting Forms by Electronic or Magnetic Means under Article 721, paragraph (2) of the Companies Act made in lieu of the delivery thereof) to that Investment Corporation's Bondholders.
3 同一の投資法人債権者集会に関して投資法人債権者に対して提供する議決権行使書面に記載すべき事項(第一項第二号から第四号までに掲げる事項に限る。)のうち、招集通知の内容としている事項がある場合には、当該事項は、投資法人債権者に対して提供する議決権行使書面に記載することを要しない。
(3) In cases where some of the information (limited to the information listed in paragraph (1), items (ii) through (iv)) to be included in the Voting Forms which are to be provided to Investment Corporation's Bondholders in relation to a single meeting of Investment Corporation's Bondholders is included in the Notice of Calling, such information is not required to be stated in the Voting Form which is to be provided to Investment Corporation's Bondholders.
4 同一の投資法人債権者集会に関して投資法人債権者に対して提供する招集通知の内容とすべき事項のうち、議決権行使書面に記載している事項がある場合には、当該事項は、投資法人債権者に対して提供する招集通知の内容とすることを要しない。
(4) In cases where some of the information to be included in the Notice of Calling which is to be provided to Investment Corporation's Bondholders in relation to a single meeting of Investment Corporation's Bondholders is given in the Voting Form, such information is not required to be included in the Notice of Calling which is to be provided to the Investment Corporation's Bondholders.
(書面による議決権行使の期限)
(Time Limit for Exercising Voting Rights in Writing)
第百八十九条 法第百三十九条の十第二項において準用する会社法第七百二十六条第二項に規定する内閣府令で定める時は、第百八十六条第二号の行使の期限とする。
Article 189 The time specified by Cabinet Office Order as referred to in Article 726, paragraph (2) of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act is the time limit for exercising voting rights provided in Article 186, item (ii).
(電磁的方法による議決権行使の期限)
(Time Limit for Exercising Voting Rights by Electronic or Magnetic Means)
第百九十条 法第百三十九条の十第二項において準用する会社法第七百二十七条第一項に規定する内閣府令で定める時は、第百八十六条第五号イの行使の期限とする。
Article 190 The time specified by Cabinet Office Order as referred to in Article 727, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act is the time limit for exercising voting rights provided in Article 186, item (v), sub-item (a).
(投資法人債権者集会の議事録)
(Minutes of a Meeting of Investment Corporation's Bondholders)
第百九十一条 法第百三十九条の十第二項において準用する会社法第七百三十一条第一項の規定による投資法人債権者集会の議事録の作成については、この条の定めるところによる。
Article 191 (1) The preparation of minutes of a meeting of Investment Corporation's Bondholders under Article 731, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act is as provided in this Article.
2 投資法人債権者集会の議事録は、書面又は電磁的記録をもって作成しなければならない。
(2) The minutes of a meeting of Investment Corporation's Bondholders must be prepared in writing or in the form of an Electronic or Magnetic Record.
3 投資法人債権者集会の議事録は、次に掲げる事項を内容とするものでなければならない。
(3) The minutes of a meeting of Investment Corporation's Bondholders must include the following information:
一 投資法人債権者集会が開催された日時及び場所
(i) the date and time on which and the place where the meeting of Investment Corporation's Bondholders was held;
二 投資法人債権者集会の議事の経過の要領及びその結果
(ii) the outline and results of the proceedings of the meeting of Investment Corporation's Bondholders;
三 法第百三十九条の十第二項において準用する会社法第七百二十九条第一項の規定により投資法人債権者集会において述べられた意見があるときは、その意見の内容の概要
(iii) when there are any opinions stated at the meeting of Investment Corporation's Bondholders pursuant to Article 729, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 139-10, paragraph (2) of the Act, the summary of the contents of such opinions;
四 投資法人債権者集会に出席した投資法人債発行法人の代表者又は投資法人債管理者の氏名又は名称
(iv) the names of the representative person of the corporation issuing the investment corporation bonds or investment corporation bond administra