イ銀行（銀行法第二条第一項に規定する銀行をいう。第十五条第二号ニ（２）及び第六号並びに第十七条第一項において同じ。）

(a)a bank (meaning a bank as defined in Article 2, paragraph (1) of the Banking Act; the same applies in Article 15, item (ii), (d), 2, and item (vi), and Article 17, paragraph (1));

ロ長期信用銀行（長期信用銀行法（昭和二十七年法律第百八十七号）第二条に規定する長期信用銀行をいう。第十五条第二号ニ（７）において同じ。）

(b)a long-term credit bank (meaning a long-term credit bank as defined in Article 2 of the Long Term Credit Bank Act (Act No. 187 of 1952); the same applies in Article 15, item (ii), (d), 7);

ハ信用金庫

(c)a shinkin bank;

ニ信用金庫連合会

(d)a federation of shinkin banks;

ホ労働金庫

(e)a labor bank;

ヘ労働金庫連合会

(f)a federation of labor banks;

ト信用協同組合

(g)a credit cooperative;

チ協同組合連合会（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ものに限る。第十五条第二号ニ（５）において同じ。）

(h)a federation of cooperatives (limited to a federation engaging in the business prescribed in Article 9-9, paragraph (1), item (i) of the Small and Medium-Sized Enterprise Cooperatives Act (Act No. 181 of 1949); the same applies in Article 15, item (ii), (d), 5);

リ農業協同組合（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ものに限る。第十五条第二号ニ（３）において同じ。）

(i)an agricultural cooperative (limited to a cooperative engaging in the business prescribed in Article 10, paragraph (1), item (iii) of the Agricultural Cooperatives Act (Act No. 132 of 1947); the same applies in Article 15, item (ii), (d), 3);

ヌ農業協同組合連合会（農業協同組合法第十条第一項第三号の事業を行うものに限る。第十五条第二号ニ（３）において同じ。）

(j)a federation of agricultural cooperatives (limited to a federation engaging in the business prescribed in Article 10, paragraph (1), item (iii) of the Agricultural Cooperatives Act; the same applies in Article 15, item (ii), (d), 3);

ル漁業協同組合（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の事業を行うものに限る。第十五条第二号ニ（４）において同じ。）

(k)a fisheries cooperative (limited to a cooperative engaging in the business prescribed in Article 11, paragraph (1), item (iv) of the Fisheries Cooperative Act (Act No. 242 of 1948); the same applies in Article 15, item (ii), (d), 4);

ヲ漁業協同組合連合会（水産業協同組合法第八十七条第一項第四号の事業を行うものに限る。第十五条第二号ニ（４）において同じ。）

(l)a federation of fisheries cooperatives (limited to a federation engaging in the business prescribed in Article 87, paragraph (1), item (iv) of the Fisheries Cooperative Act; the same applies in Article 15, item (ii), (d), 4);

ワ水産加工業協同組合（水産業協同組合法第九十三条第一項第二号の事業を行うものに限る。第十五条第二号ニ（４）において同じ。）

(m)a fishery processing cooperative (limited to a cooperative engaging in the business prescribed in Article 93, paragraph (1), item (ii) of the Fisheries Cooperative Act; the same applies in Article 15, item (ii), (d), 4);

カ水産加工業協同組合連合会（水産業協同組合法第九十七条第一項第二号の事業を行うものに限る。第十五条第二号ニ（４）において同じ。）

(n)a federation of fishery processing cooperatives (limited to a federation engaging in the business prescribed in Article 97, paragraph (1), item (ii) of the Fisheries Cooperative Act; the same applies in Article 15, item (ii), (d), 4); or

ヨ農林中央金庫

(o)the Norinchukin Bank;

イ第一種金融商品取引業（金融商品取引法第二十九条の四の二第十項に規定する第一種少額電子募集取扱業務を除く。）又は投資運用業（同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除く。）を行う金融商品取引業者

(a)a financial instruments business operator engaging in type-I financial instruments business (excluding the type-I small amount electronic public offering service prescribed in Article 29-4-2, paragraph (10) of the Financial Instruments and Exchange Act) or investment management business (excluding investment management business for qualified investors prescribed in Article 29-5, paragraph (1) of that Act); or

ロ金融商品取引法第二条第十一項に規定する登録金融機関

(b)registered financial institution as defined in Article 2, paragraph (11) of the Financial Instruments and Exchange Act;

イ金融サービス仲介業者であった者が第三十八条第一項の規定により第十二条の登録を取り消された場合又はこの法律に相当する外国の法令の規定により当該外国において同種類の登録（当該登録に類する許可その他の行政処分を含む。次号ニ（１）において同じ。）を受けていた者が当該同種類の登録を取り消された場合において、その取消しの日から五年を経過しないもの

(a)in cases where a person who had been a financial service intermediary had its registration as set forth in Article 12 rescinded pursuant to the provisions of Article 38, paragraph (1) or where a person who had obtained the same type of registration (including permission or other administrative dispositions similar to the registration; the same applies in (d), 1 of the following item) in a foreign state had its registration rescinded under the laws and regulations of the foreign state equivalent to this Act, a person for whom five years have not elapsed from the date of rescission;

ロ銀行主要株主（銀行法第二条第十項に規定する銀行主要株主をいう。次号ニ（２）において同じ。）であった者が同法第五十二条の十五第一項の規定により同法第五十二条の九第一項若しくは第二項ただし書の認可を取り消された場合、銀行持株会社（同法第二条第十三項に規定する銀行持株会社をいう。同号ニ（２）において同じ。）であった者が同法第五十二条の三十四第一項の規定により同法第五十二条の十七第一項若しくは第三項ただし書の認可を取り消された場合若しくは銀行代理業者であった者が同法第五十二条の五十六第一項の規定により同法第五十二条の三十六第一項の許可を取り消された場合又は同法に相当する外国の法令の規定により当該外国においてこれらと同種類の認可若しくは許可（当該認可又は許可に類する登録その他の行政処分を含む。）を受けていた者が当該同種類の認可若しくは許可を取り消された場合において、その取消しの日から五年を経過しないもの

(b)in cases where a person who had been a bank's major shareholder (meaning a bank's major shareholder as defined in Article 2, paragraph (10) of the Banking Act; the same applies in (d), 2 of the following item) had its authorization as set forth in Article 52-9, paragraph (1) or the proviso to paragraph (2) of the Banking Act rescinded pursuant to the provisions of Article 52-15, paragraph (1) of the Banking Act, where a person who had been a bank holding company (meaning a bank holding company as defined in Article 2, paragraph (13) of the Banking Act; the same applies in (d) 2 of the item) had its authorization as set forth in Article 52-17, paragraph (1) or the proviso to paragraph (3) of the Banking Act rescinded pursuant to the provisions of Article 52-34, paragraph (1) of the Banking Act, or where a person who had been a bank agent had its permission as set forth in Article 52-36, paragraph (1) of the Banking Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act, or where a person who had obtained the same type of authorization or permission (including a registration or other administrative disposition similar to the authorization or permission) in a foreign state had its authorization or permission rescinded under the laws and regulations of the foreign state equivalent to the Banking Act, a person for whom five years have not elapsed from the date of rescission;

ハ特定信用事業代理業者（農業協同組合法第九十二条の二第三項に規定する特定信用事業代理業者をいう。次号ニ（３）において同じ。）であった者が同法第九十二条の四第一項において読み替えて準用する銀行法第五十二条の五十六第一項の規定により農業協同組合法第九十二条の二第一項の許可を取り消された場合又は同法に相当する外国の法令の規定により当該外国において同種類の許可（当該許可に類する登録その他の行政処分を含む。同号ニ（３）において同じ。）を受けていた者が当該同種類の許可を取り消された場合において、その取消しの日から五年を経過しないもの

(c)in cases where a person who had been a specified credit business agent (meaning a specified credit business agent prescribed in Article 92-2, paragraph (3) of the Agricultural Cooperatives Act; the same applies in (d), 3 of the following item) had its license as set forth in Article 92-2, paragraph (1) of the Agricultural Cooperatives Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to the provisions of Article 92-4, paragraph (1) of the Agricultural Cooperatives Act following the deemed replacement of terms or where a person who had obtained the same type of permission (including registration or other administrative disposition similar to the permission; the same applies in (d), 3 of the following item) in a foreign state had its permission rescinded under the laws and regulations of the foreign state equivalent to the Agricultural Cooperatives Act, a person for whom five years have not elapsed from the date of rescission;

ニ特定信用事業代理業者（水産業協同組合法第百六条第三項に規定する特定信用事業代理業者をいう。次号ニ（４）において同じ。）であった者が同法第百八条第一項において読み替えて準用する銀行法第五十二条の五十六第一項の規定により水産業協同組合法第百六条第一項の許可を取り消された場合又は同法に相当する外国の法令の規定により当該外国において同種類の許可（当該許可に類する登録その他の行政処分を含む。同号ニ（４）において同じ。）を受けていた者が当該同種類の許可を取り消された場合において、その取消しの日から五年を経過しないもの

(d)in cases where a person who had been a specified credit business agent (meaning a specified credit business agent prescribed in Article 106, paragraph (3) of the Fisheries Cooperative Act; the same applies in (d), 4 of the following item) had its permission as set forth in Article 106, paragraph (1) of the Fisheries Cooperative Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to the provisions of Article 108, paragraph (1) of the Fisheries Cooperative Act following the deemed replacement of terms or where a person who had obtained the same type of permission (including registration or other administrative disposition similar to the permission; the same applies in (d), 4 of the following item) in a foreign state had its license rescinded under the laws and regulations of the foreign state equivalent to the Fisheries Cooperative Act, a person for whom five years have not elapsed from the date of rescission;

ホ信用協同組合代理業者（協同組合による金融事業に関する法律（昭和二十四年法律第百八十三号）第六条の三第三項に規定する信用協同組合代理業者をいう。次号ニ（５）において同じ。）であった者が同法第六条の五第一項において読み替えて準用する銀行法第五十二条の五十六第一項の規定により協同組合による金融事業に関する法律第六条の三第一項の許可を取り消された場合又は同法に相当する外国の法令の規定により当該外国において同種類の許可（当該許可に類する登録その他の行政処分を含む。同号ニ（５）において同じ。）を受けていた者が当該同種類の許可を取り消された場合において、その取消しの日から五年を経過しないもの

(e)in cases where a person who had been a credit cooperative agent (meaning a credit cooperative agent prescribed in Article 6-3, paragraph (3) of the Act on Financial Businesses by Cooperative (Act No. 183 of 1949); the same applies in (d), 5 of the following item) had its permission set forth in Article 6-3, paragraph (1) of the Act on Financial Businesses by Cooperative rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to the provisions of Article 6-5, paragraph (1) of the Act on Financial Businesses by Cooperative following the deemed replacement of terms or where a person who had obtained the same type of permission in a foreign state (including registration or other administrative disposition similar to the permission; the same applies in (d), 5 of the following item) had its permission rescinded under the laws and regulations of the foreign state equivalent to the Act on Financial Businesses by Cooperative, a person for whom five years have not elapsed from the date of rescission;

ヘ信用金庫代理業者（信用金庫法（昭和二十六年法律第二百三十八号）第八十五条の二第三項に規定する信用金庫代理業者をいう。次号ニ（６）において同じ。）であった者が同法第八十九条第五項において読み替えて準用する銀行法第五十二条の五十六第一項の規定により信用金庫法第八十五条の二第一項の許可を取り消された場合又は同法に相当する外国の法令の規定により当該外国において同種類の許可（当該許可に類する登録その他の行政処分を含む。）を受けていた者が当該同種類の許可を取り消された場合において、その取消しの日から五年を経過しないもの

(f)in cases where a person who had been a shinkin bank agent (meaning a shinkin bank agent prescribed in Article 85-2, paragraph (3) of the Shinkin Bank Act (Act No. 238 of 1951); the same applies in (d), 6 of the following item) had its permission as set forth in Article 85-2, paragraph (1) of the Shinkin Bank Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to the provisions of Article 89, paragraph (5) of the Shinkin Bank Act following the deemed replacement of terms or where a person who had obtained the same type of permission in a foreign state (including registration or other administrative disposition similar to the permission) had its permission rescinded under the laws and regulations of the foreign state equivalent to the Shinkin Bank Act, a person for whom five years have not elapsed from the date of rescission;

ト長期信用銀行主要株主（長期信用銀行法第十六条の二の二第五項に規定する長期信用銀行主要株主をいう。次号ニ（７）において同じ。）であった者が同法第十七条において準用する銀行法第五十二条の十五第一項の規定により長期信用銀行法第十六条の二の二第一項若しくは第二項ただし書の認可を取り消された場合、長期信用銀行持株会社（同法第十六条の四第一項に規定する長期信用銀行持株会社をいう。同号ニ（７）において同じ。）であった者が同法第十七条において準用する銀行法第五十二条の三十四第一項の規定により長期信用銀行法第十六条の二の四第一項若しくは第三項ただし書の認可を取り消された場合若しくは長期信用銀行代理業者（同法第十六条の五第三項に規定する長期信用銀行代理業者をいう。同号ニ（７）において同じ。）であった者が同法第十七条において準用する銀行法第五十二条の五十六第一項の規定により長期信用銀行法第十六条の五第一項の許可を取り消された場合又は同法に相当する外国の法令の規定により当該外国においてこれらと同種類の認可若しくは許可（当該認可又は許可に類する登録その他の行政処分を含む。）を受けていた者が当該同種類の認可若しくは許可を取り消された場合において、その取消しの日から五年を経過しないもの

(g)in cases where a person who had been a major shareholder of long-term credit bank (meaning a major shareholder of long-term credit bank prescribed in Article 16-2-2, paragraph (5) of the Long Term Credit Bank Act; the same applies in (d), 7 of the following item) had its authorization as set forth in Article 16-2-2, paragraph (1) or the proviso to paragraph (2) of the Long Term Credit Bank Act rescinded pursuant to the provisions of Article 52-15, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to the provisions of Article 17 of the Long Term Credit Bank Act, where a person who had been a long-term credit bank holding company (meaning a long-term credit bank holding company prescribed in Article 16-4, paragraph (1) of the Long Term Credit Bank Act; the same applies in (d), 7 of the following item) had its authorization as set forth in Article 16-2-4, paragraph (1) or the proviso to paragraph (3) of the Long Term Credit Bank Act rescinded pursuant to the provisions of Article 52-34, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to the provisions of Article 17 of the Long Term Credit Bank Act, or where a person who had been a long-term credit bank agent (meaning a long-term credit bank agent prescribed in Article 16-5, paragraph (3) of the Long Term Credit Bank Act; the same applies in (d), 7 of the following item) had its permission as set forth in Article 16-5, paragraph (1) of the Long Term Credit Bank Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to the provisions of Article 17 of the Long Term Credit Bank Act, or where a person who had obtained the same type of authorization or license in a foreign state (including a registration or other administrative disposition similar to the authorization or permission) had its authorization or permission rescinded under the laws and regulations of the foreign state equivalent to the Long Term Credit Bank Act, a person for whom five years have not elapsed from the date of rescission;

チ労働金庫代理業者（労働金庫法（昭和二十八年法律第二百二十七号）第八十九条の三第三項に規定する労働金庫代理業者をいう。次号ニ（８）において同じ。）であった者が同法第九十四条第三項において読み替えて準用する銀行法第五十二条の五十六第一項の規定により労働金庫法第八十九条の三第一項の許可を取り消された場合又は同法に相当する外国の法令の規定により当該外国において同種類の許可（当該許可に類する登録その他の行政処分を含む。）を受けていた者が当該同種類の許可を取り消された場合において、その取消しの日から五年を経過しないもの

(h)in cases where a person who had been a labor bank agent (meaning a labor bank agent prescribed in Article 89-3, paragraph (3) of the Labor Bank Act (Act No. 227 of 1953); the same applies in (d), 8 of the following item) had its permission as set forth in Article 89-3, paragraph (1) of the Labor Bank Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to the provisions of Article 94, paragraph (3) of the Labor Bank Act following the deemed replacement of terms or where a person who had obtained the same type of permission in a foreign state (including registration or other administrative disposition similar to the permission) had its permission rescinded under the laws and regulations of the foreign state equivalent to the Labor Bank Act, a person for whom five years have not elapsed from the date of rescission;

リ農林中央金庫代理業者（農林中央金庫法（平成十三年法律第九十三号）第九十五条の二第三項に規定する農林中央金庫代理業者をいう。次号ニ（９）において同じ。）であった者が同法第九十五条の四第一項において読み替えて準用する銀行法第五十二条の五十六第一項の規定により農林中央金庫法第九十五条の二第一項の許可を取り消された場合又は同法に相当する外国の法令の規定により当該外国において同種類の許可（当該許可に類する登録その他の行政処分を含む。同号ニ（９）において同じ。）を受けていた者が当該同種類の許可を取り消された場合において、その取消しの日から五年を経過しないもの

(i)in cases where a person who had been a Norinchukin Bank agent (meaning a Norinchukin Bank agent prescribed in Article 95-2, paragraph (3) of the Norinchukin Bank Act (Act No. 93 of 2001); the same applies in (d), 9 of the following item) had its permission as set forth in Article 95-2, paragraph (1) of the Norinchukin Bank Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to the provisions of Article 95-4, paragraph (1) of the Norinchukin Bank Act following the deemed replacement of terms or where a person who had obtained the same type of permission (including registration or other administrative disposition similar to the permission; the same applies in (d), 9 of the following item) in a foreign state had its permission rescinded under the laws and regulations of the foreign state equivalent to the Norinchukin Bank Act, a person for whom five years have not elapsed from the date of rescission;

ヌ特定保険募集人であった者が保険業法第三百七条第一項の規定により同法第二百七十六条の登録を取り消された場合若しくは保険仲立人であった者が同項の規定により同法第二百八十六条の登録を取り消された場合又は同法に相当する外国の法令の規定により当該外国においてこれらと同種類の登録（当該登録に類する許可その他の行政処分を含む。次号ニ（１０）において同じ。）を受けていた者が当該同種類の登録を取り消された場合において、その取消しの日から五年を経過しないもの

(j)in cases where a person who had been a specified insurance agent had its registration as set forth in Article 276 of the Insurance Business Act rescinded pursuant to the provisions of Article 307, paragraph (1) of the Insurance Business Act or where a person who had been an insurance broker had its registration as set forth in Article 286 of the Insurance Business Act rescinded pursuant to the provisions of that paragraph, or where a person who had obtained the same type of registration (including permission and other administrative disposition similar to the registration; the same applies in (d), 10 of the following item) in a foreign state had its registration rescinded under the laws and regulations of the foreign state equivalent to the Insurance Business Act, a person for whom five years have not elapsed from the date of rescission;

ル金融商品取引業者であった者が金融商品取引法第五十二条第一項、第五十三条第三項若しくは第五十七条の六第三項の規定により同法第二十九条の登録を取り消された場合、取引所取引許可業者（同法第六十条の四第一項に規定する取引所取引許可業者をいう。次号ニ（１１）において同じ。）であった者が同法第六十条の八第一項の規定により同法第六十条第一項の許可を取り消された場合、電子店頭デリバティブ取引等許可業者（同法第六十条の十四第二項に規定する電子店頭デリバティブ取引等許可業者をいう。同号ニ（１１）において同じ。）であった者が同法第六十条の十四第二項において準用する同法第六十条の八第一項の規定により同法第六十条の十四第一項の許可を取り消された場合、特例業務届出者（同法第六十三条第五項に規定する特例業務届出者をいう。同号ニ（１１）において同じ。）であった者が同法第六十三条の五第三項の規定により適格機関投資家等特例業務（同法第六十三条第二項に規定する適格機関投資家等特例業務をいう。ル及び同号ニ（１１）において同じ。）の廃止を命ぜられた場合、同法第六十三条の三第一項の規定による届出をした者であった者が同条第二項において読み替えて準用する同法第六十三条の五第三項の規定により適格機関投資家等特例業務の廃止を命ぜられた場合、金融商品仲介業者であった者が同法第六十六条の二十第一項の規定により同法第六十六条の登録を取り消された場合、信用格付業者（同法第二条第三十六項に規定する信用格付業者をいう。同号ニ（１１）において同じ。）であった者が同法第六十六条の四十二第一項の規定により同法第六十六条の二十七の登録を取り消された場合若しくは高速取引行為者（同法第二条第四十二項に規定する高速取引行為者をいう。同号ニ（１１）において同じ。）であった者が同法第六十六条の六十三第一項の規定により同法第六十六条の五十の登録を取り消された場合又は同法に相当する外国の法令の規定により当該外国においてこれらと同種類の登録若しくは許可（当該登録又は許可に類する認可その他の行政処分を含む。同号ニ（１１）において同じ。）を受けていた者が当該同種類の登録若しくは許可を取り消された場合若しくは適格機関投資家等特例業務と同種類の業務を行っていた者が当該業務の廃止を命ぜられた場合において、その取消し又は命令の日から五年を経過しないもの

(k)in cases where a person who had been a financial instruments business operator had its registration as set forth in Article 29 of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 52, paragraph (1), Article 53, paragraph (3), or Article 57-6, paragraph (3) of the Financial Instruments and Exchange Act, where a person who had been an authorized firm for on-exchange transactions (meaning an authorized firm for on-exchange transactions prescribed in Article 60-4, paragraph (1) of the Financial Instruments and Exchange Act; the same applies in (d), 11 of the following item) had its permission as set forth in Article 60, paragraph (1) of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 60-8, paragraph (1) of the Financial Instruments and Exchange Act, where a person who had been an authorized electronic over-the-counter derivatives transactions, etc. business operator (meaning an authorized electronic over-the-counter derivatives transactions, etc. business operator prescribed in Article 60-14, paragraph (2) of the Financial Instruments and Exchange Act; the same applies in (d), 11 of the following item) had its permission as set forth in Article 60-14, paragraph (1) of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 60-8, paragraph (1) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 60-14, paragraph (2) of the Financial Instruments and Exchange Act, where a person who had been a notifier of specially permitted services (meaning a notifier of specially permitted services prescribed in Article 63, paragraph (5) of the Financial Instruments and Exchange Act; the same applies in (d), 11 of the following item) was ordered to discontinue the specially permitted services for qualified institutional investors, etc. (meaning specially permitted services for qualified institutional investors, etc. prescribed in Article 63, paragraph (2) of the Financial Instruments and Exchange Act; the same applies in (k) of this item and (d), 11 of the following item), where a person who had given a notification pursuant to the provisions of Article 63-3, paragraph (1) of the Financial Instruments and Exchange Act was ordered to discontinue the specially permitted services for qualified institutional investors, etc. pursuant to the provisions of Article 63-5, paragraph (3) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 63-3, paragraph (2) following the deemed replacement of terms, where a person who had been a financial instruments intermediary service provider had its registration as set forth in Article 66 of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 66-20, paragraph (1) of the Financial Instruments and Exchange Act, where a person who had been a credit rating institution (meaning a credit rating institution prescribed in Article 2, paragraph (36) of the Financial Instruments and Exchange Act; the same applies in (d), 11 of the following item) had its registration as set forth in Article 66-27 of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 66-42, paragraph (1) of the Financial Instruments and Exchange Act, or where a person who had been a high-speed trader (meaning a high-speed trader as defined in Article 2, paragraph (42) of the Financial Instruments and Exchange Act; the same applies in (d), 11 of the following item) had its registration as set forth in Article 66-50 of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 66-63, paragraph (1) of the Financial Instruments and Exchange Act, or where a person who had obtained the same type of registration or permission (including authorization or other administrative disposition equivalent to the registration or permission; the same applies in (d), 11 of the following item) in a foreign state had its registration or permission rescinded, or where a person that engages in business operations in the same category as specially permitted services for qualified institutional investors, etc. in a foreign state was ordered to discontinue the business operations under the laws and regulations of the foreign state equivalent to the Financial Instruments and Exchange Act, a person for whom five years have not elapsed from the date of rescission or order;

ヲ貸金業者であった者が貸金業法第六条第一項の規定により同法第三条第一項の登録の更新を拒否された場合若しくは同法第二十四条の六の四第一項、第二十四条の六の五第一項若しくは第二十四条の六の六第一項（第一号に係る部分に限る。）の規定により同法第三条第一項の登録を取り消された場合又は同法に相当する外国の法令の規定により当該外国において同種類の登録（当該登録に類する許可その他の行政処分を含む。次号ニ（１２）において同じ。）を受けていた者が当該同種類の登録の更新を拒否された場合若しくは当該同種類の登録を取り消された場合において、その取消しの日（更新の拒否の場合にあっては、当該更新の拒否の処分がなされた日。同号ニ（１２）において同じ。）から五年を経過しないもの

(l)in cases where a person who had been a money lender had its renewal of registration as set forth in Article 3, paragraph (1) of the Money Lending Business Act rejected pursuant to the provisions of Article 6, paragraph (1) of the Money Lending Business Act or had its registration as set forth in Article 3, paragraph (1) of the Money Lending Business Act rescinded pursuant to the provisions of Article 24-6-4, paragraph (1), Article 24-6-5, paragraph (1), or Article 24-6-6, paragraph (1) (limited to the part related to item (i)) of the Money Lending Business Act, or where a person who had obtained the same type of registration (including permission or other administrative disposition similar to the registration; the same applies in (d), 12 of the following item) in a foreign state had its renewal of the registration rejected or its registration rescinded under the laws and regulations of the foreign state equivalent to the Money Lending Business Act, a person for whom five years have not elapsed from the date of rescission (in cases of rejection of renewal, the date when the disposition for the rejection of renewal was taken; the same applies in (d), 12 of the following item);

ワこの法律、担保付社債信託法（明治三十八年法律第五十二号）、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）、農業協同組合法、金融商品取引法、水産業協同組合法、中小企業等協同組合法、協同組合による金融事業に関する法律、商品先物取引法（昭和二十五年法律第二百三十九号）、投資信託及び投資法人に関する法律（昭和二十六年法律第百九十八号）、信用金庫法、宅地建物取引業法（昭和二十七年法律第百七十六号）、長期信用銀行法、労働金庫法、出資の受入れ、預り金及び金利等の取締りに関する法律（昭和二十九年法律第百九十五号）、割賦販売法（昭和三十六年法律第百五十九号）、銀行法、貸金業法、特定商品等の預託等取引契約に関する法律（昭和六十一年法律第六十二号）、商品投資に係る事業の規制に関する法律（平成三年法律第六十六号）、暴力団員による不当な行為の防止等に関する法律（平成三年法律第七十七号）（第三十二条の三第七項及び第三十二条の十一第一項を除く。）、不動産特定共同事業法、保険業法、資産の流動化に関する法律（平成十年法律第百五号）、金融業者の貸付業務のための社債の発行等に関する法律（平成十一年法律第三十二号）、農林中央金庫法若しくは信託業法（平成十六年法律第百五十四号）その他政令で定める法律若しくはこれらに相当する外国の法令の規定に違反し、貸付けの契約（貸金業法第二条第三項に規定する貸付けの契約をいう。）の締結若しくは当該契約に基づく債権の取立てに当たり物価統制令（昭和二十一年勅令第百十八号）第十二条の規定に違反し、又は刑法（明治四十年法律第四十五号）若しくは暴力行為等処罰に関する法律（大正十五年法律第六十号）の罪を犯し、罰金の刑（これに相当する外国の法令による刑を含む。）に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなった日から五年を経過しない者

(m)a person that violated the provisions of this Act, the Secured Bonds Trust Act (Act No. 52 of 1905), the Act on Engagement in Trust Business by Financial Institutions (Act No. 43 of 1943), the Agricultural Cooperatives Act, the Financial Instruments and Exchange Act, the Fisheries Cooperative Act, the Small and Medium-Sized Enterprise Cooperatives Act, the Act on Financial Businesses by Cooperative, the Commodity Futures Act (Act No. 239 of 1950), the Act on Investment Trusts and Investment Corporations (Act No. 198 of 1951), the Shinkin Bank Act, the Real Estate Brokerage Act (Act No. 176 of 1952), the Long Term Credit Bank Act, the Labor Bank Act, the Act Regulating the Receipt of Contributions, Receipt of Deposits and Interest Rates (Act No. 195 of 1954), the Installment Sales Act (Act No. 159 of 1961), the Banking Act, the Money Lending Business Act, the Act on the Deposit Transaction Agreements of Specified Commodities (Act No. 62 of 1986), the Act on Regulation of Commodity Investment (Act No. 66 of 1991), the Act on Prevention of Unjust Acts by Organized Crime Group Members (Act No. 77 of 1991) (excluding Article 32-3, paragraph (7) and Article 32-11, paragraph (1)), the Act on Specified Joint Real Estate Ventures, the Insurance Business Act, the Act on Securitization of Assets (Act No. 105 of 1998), the Act on Issuance, etc. of Bonds for Financial Corporations' Loan Business (Act No. 32 of 1999), the Norinchukin Bank Act, the Trust Business Act (Act No. 154 of 2004), or other laws specified by Cabinet Order or the laws and regulations of a foreign state equivalent thereto, that violated the provisions of Article 12 of the Prices Control Order (Imperial Order No. 118 of 1946) upon conclusion of a contract for a loan (meaning a contract for a loan as prescribed in the provisions of Article 2, paragraph (3) of the Money Lending Business Act) or upon collection of claims based on the contract, or that committed a crime as set forth in the Penal Code (Act No. 45 of 1907) or the Act on Punishment of Physical Violence and Others (Act no. 60 of 1926) and that had been sentenced to a fine (including punishment pursuant to the laws and regulations of a foreign state equivalent thereto), for whom five years have not elapsed from the day on which the person finished serving the sentence or ceased to be subject to the sentence;

カ金融サービス仲介業務に関し不正又は不誠実な行為をするおそれがあると認めるに足りる相当の理由がある者として内閣府令で定める者

(n)a person specified by Cabinet Office Order as a person for whom there are reasonable grounds to find that the person is likely to commit a wrongful or dishonest act in relation to the financial service intermediary service business operations;

ヨ他に行っている事業が公益に反すると認められる者

(o)a person whose other business is found to be contrary to the public interest;

タ金融サービス仲介業を適確に遂行するに足りる能力を有しない者

(p)a person that does not have sufficient capacity to perform financial service intermediary business properly;

レ電子金融サービス仲介業務を行う場合にあっては、当該電子金融サービス仲介業務を適正かつ確実に遂行する体制の整備が行われていない者

(q)in cases of engaging in electronic financial service intermediary business operations, a person that has not developed a system to perform the electronic financial service intermediary business operations appropriately and reliably; and

ソ認定金融サービス仲介業協会等（認定金融サービス仲介業協会又は業務の種別ごとにこれに類するものとして内閣府令で定めるもの（第十三条第一項の規定による登録申請書に記載した業務の種別に係るものに限る。）をいう。ソにおいて同じ。）に加入しない者であって、認定金融サービス仲介業協会等の定款その他の規則（金融サービス仲介業務の適正を確保すること又は顧客の保護に関するものに限る。）に準ずる内容の社内規則（当該者又はその役員（相談役、顧問その他いかなる名称を有する者であるかを問わず、法人に対し取締役、会計参与、監査役、執行役、業務を執行する社員、理事若しくは監事又はこれらに準ずる者と同等以上の支配力を有するものと認められる者として内閣府令で定める者を含む。第五号イ及びロを除き、以下この条、第十八条第一項第二号ロ、第三十八条第三項並びに第五十一条第一項第四号及び第六号において同じ。）若しくは使用人が遵守すべき規則をいう。）を作成していないもの又は当該社内規則を遵守するための体制を整備していないもの

(r)a person that has not joined a certified financial service intermediary business association, etc. (meaning a certified financial service intermediary business association or what is provided for by Cabinet Office Order as similar thereto for each category of business operations (limited to what is related to each category of business operations stated in the application form for registration pursuant to the provisions of Article 13, paragraph (1)); the same applies in (r) of this item) that has not created internal rules (meaning rules for compliance by the person, its officers (including those that are provided for by Cabinet Office Order as persons found to have the same or a higher authority over a corporation as directors, accounting advisors, company auditors, executive officers, members that execute the operation, board members, or inspectors, or any persons holding positions equivalent thereto, irrespective of their job title as advisor, consultant, or any other job title; hereinafter the same applies in this Article, Article 18, paragraph (1), item (ii), (b), Article 38, paragraph (3), and Article 51, paragraph (1), items (iv) and (vi), excluding item (v), (a) and (b)) or employees) equivalent to the articles of incorporation or other rules (limited to rules related to ensuring the appropriateness of financial service intermediary business operations or to the protection of customers) of a certified financial service intermediary business association, etc., or that has not developed a system to comply with the internal rules;

イ心身の故障により金融サービス仲介業を適正に行うことができない者として内閣府令で定める者

(a)a person who is provided for by Cabinet Office Order as a person that cannot perform financial service intermediary business appropriately due to mental or physical disorder;

ロ破産手続開始の決定を受けて復権を得ない者又は外国の法令上これと同様に取り扱われている者

(b)a person who has become subject to an order to commence bankruptcy proceedings and has not been released from bankruptcy restrictions, or a person who is treated in the same manner under foreign laws and regulations;

ハ禁錮以上の刑（これに相当する外国の法令による刑を含む。）に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなった日から五年を経過しない者

(c)a person who has been sentenced to imprisonment without work or a heavier sentence (including any equivalent punishment under a foreign law or regulation), and for whom five years have not elapsed from the day on which the person finished serving the sentence or ceased to be subject to the sentence; or

ニ次のいずれかに該当する者

(d)a person who falls under any of the following cases:

（１）金融サービス仲介業者であった法人が第三十八条第一項の規定により第十二条の登録を取り消された場合又はこの法律に相当する外国の法令の規定により当該外国において同種類の登録を受けていた法人が当該同種類の登録を取り消された場合において、その取消しの日前三十日以内にこれらの法人の役員であった者でその取消しの日から五年を経過しないもの

1.in cases where a corporation that had been a financial service intermediary had its registration as set forth in Article 12 rescinded pursuant to the provisions of Article 38, paragraph (1) or where a corporation that had obtained the same type of registration in a foreign state had its registration rescinded under the laws and regulations of the foreign state equivalent to this Act, a person who was an officer of these corporations within thirty days prior to the date of rescission and for whom five years have not elapsed from the date of rescission;

（２）銀行であった法人が銀行法第二十七条若しくは第二十八条の規定により同法第四条第一項の免許を取り消された場合、銀行主要株主であった法人が同法第五十二条の十五第一項の規定により同法第五十二条の九第一項若しくは第二項ただし書の認可を取り消された場合、銀行持株会社であった法人が同法第五十二条の三十四第一項の規定により同法第五十二条の十七第一項若しくは第三項ただし書の認可を取り消された場合若しくは銀行代理業者であった法人が同法第五十二条の五十六第一項の規定により同法第五十二条の三十六第一項の許可を取り消された場合又は同法に相当する外国の法令の規定により当該外国においてこれらと同種類の免許、認可若しくは許可（当該免許、認可又は許可に類する登録その他の行政処分を含む。）を受けていた者が当該同種類の免許、認可若しくは許可を取り消された場合において、その取消しの日前三十日以内にこれらの法人の役員であった者でその取消しの日から五年を経過しないもの

2.in cases where a corporation that had been a bank had its license as set forth in Article 4, paragraph (1) of the Banking Act rescinded pursuant to the provisions of Article 27 or Article 28 of the Banking Act, where a corporation that had been a major shareholder of the bank had its authorization as set forth in Article 52-9, paragraph (1) or proviso to paragraph (2) of the Banking Act rescinded pursuant to the provisions of Article 52-15, paragraph (1) of the Baking Act, where a corporation that had been a bank holding company had its authorization as set forth in Article 52-17, paragraph (1) or the proviso to paragraph (3) of the Banking Act rescinded pursuant to the provisions of Article 52-34, paragraph (1) of the Banking Act, or where a corporation that had been a bank agent had its permission as set forth in Article 52-36, paragraph (1) of the Banking Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act, or where a corporation that had obtained the same type of license, authorization, or permission (including registration or other administrative disposition similar to the license, authorization, or permission) in a foreign state had its license, authorization, or permission rescinded under the laws and regulations of the foreign state equivalent to the Banking Act, a person who was an officer of these corporations within thirty days prior to the date of rescission and for whom five years have not elapsed from the date of rescission;

（３）特定信用事業代理業者であった法人が農業協同組合法第九十二条の四第一項において読み替えて準用する銀行法第五十二条の五十六第一項の規定により農業協同組合法第九十二条の二第一項の許可を取り消された場合若しくは同法に相当する外国の法令の規定により当該外国において同種類の許可を受けていた者が当該同種類の許可を取り消された場合又は農業協同組合若しくは農業協同組合連合会であった法人が同法第九十五条の二の規定により解散を命ぜられた場合若しくは外国の法令上これらに相当する法人が当該外国の法令の規定により解散を命ぜられた場合において、その取消し又は命令の日前三十日以内にこれらの法人の役員であった者でその取消し又は命令の日から五年を経過しないもの

3.in cases where a corporation that had been a specified credit business agent had its permission as set forth in Article 92-2, paragraph (1) of the Agricultural Cooperatives Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to Article 92-4, paragraph (1) of the Agricultural Cooperatives Act following the deemed replacement of terms or where a corporation had obtained the same type of permission in a foreign state had its permission rescinded under the laws and regulations of the foreign state equivalent to the Agricultural Cooperatives Act, or where a corporation that had been an agricultural cooperative or a federation of agricultural cooperatives was ordered to dissolve pursuant to the provisions of Article 95-2 of the Agricultural Cooperatives Act or where a corporation equivalent thereto under laws and regulations of a foreign state was ordered to dissolve under the laws and regulations of the foreign state, a person who was an officer of these corporations within thirty days prior to the date of rescission or order and for whom five years have not elapsed from the date of rescission or order;

（４）特定信用事業代理業者であった法人が水産業協同組合法第百八条第一項において読み替えて準用する銀行法第五十二条の五十六第一項の規定により水産業協同組合法第百六条第一項の許可を取り消された場合若しくは同法に相当する外国の法令の規定により当該外国において同種類の許可を受けていた者が当該同種類の許可を取り消された場合又は漁業協同組合、漁業協同組合連合会、水産加工業協同組合若しくは水産加工業協同組合連合会であった法人が同法第百二十四条の二の規定により解散を命ぜられた場合若しくは外国の法令上これらに相当する法人が当該外国の法令の規定により解散を命ぜられた場合において、その取消し又は命令の日前三十日以内にこれらの法人の役員であった者でその取消し又は命令の日から五年を経過しないもの

4.in cases where a corporation that had been a specified credit business agent had its permission as set forth in Article 106, paragraph (1) of the Fisheries Cooperative Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to Article 108, paragraph (1) of the Fisheries Cooperative Act following the deemed replacement of terms or where a corporation that had obtained the same type of permission in a foreign state had its permission rescinded under the laws and regulations of the foreign state equivalent to the Fisheries Cooperative Act, or where a corporation that had been a fisheries cooperative, federation of fisheries cooperatives, a fishery processing cooperative, or federation of fishery processing cooperatives was ordered to dissolve pursuant to the provisions of Article 124-2 of the Fisheries Cooperative Act or where a corporation equivalent thereto under laws and regulations of a foreign state was ordered to dissolve under the laws and regulations of the foreign state, a person who was an officer of these corporations within thirty days prior to the date of rescission or order and for whom five years have not elapsed from the date of rescission or order;

（５）信用協同組合若しくは協同組合連合会であった法人が中小企業等協同組合法第百六条第二項若しくは協同組合による金融事業に関する法律第六条第一項において読み替えて準用する銀行法第二十七条若しくは第二十八条の規定により解散を命ぜられた場合若しくは外国の法令上これらに相当する法人が当該外国の法令の規定により解散を命ぜられた場合又は信用協同組合代理業者であった法人が協同組合による金融事業に関する法律第六条の五第一項において読み替えて準用する銀行法第五十二条の五十六第一項の規定により協同組合による金融事業に関する法律第六条の三第一項の許可を取り消された場合若しくは同法に相当する外国の法令の規定により当該外国において同種類の許可を受けていた者が当該同種類の許可を取り消された場合において、その命令又は取消しの日前三十日以内にこれらの法人の役員であった者でその命令又は取消しの日から五年を経過しないもの

5.in cases where a corporation that had been a credit cooperative or federation of cooperatives was ordered to dissolve pursuant to the provisions of Article 27 or Article 28 of the Banking Act as applied mutatis mutandis pursuant to Article 106, paragraph (2) of the Small and Medium-Sized Enterprise Cooperatives Act or Article 6, paragraph (1) of the Act on Financial Businesses by Cooperative following the deemed replacement of terms or where a corporation equivalent thereto under laws and regulations of a foreign state was ordered to dissolve pursuant to the provisions of the laws and regulations of the foreign state, or where a corporation that had been a credit cooperative agent had its permission set forth in Article 6-3, paragraph (1) of the Act on Financial Businesses by Cooperative rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to Article 6-5, paragraph (1) of the Act on Financial Businesses by Cooperative following the deemed replacement of terms or where a corporation that had obtained the same type of permission in a foreign state had its permission rescinded under the laws and regulations of the foreign state equivalent to the Act on Financial Businesses by Cooperative, a person who was an officer of these corporations within thirty days prior to the date of rescission or order and for whom five years have not elapsed from the date of rescission or order;

（６）信用金庫若しくは信用金庫連合会であった法人が信用金庫法第八十九条第一項において準用する銀行法第二十七条若しくは第二十八条の規定により信用金庫法第四条の免許を取り消された場合若しくは信用金庫代理業者であった法人が同法第八十九条第五項において読み替えて準用する銀行法第五十二条の五十六第一項の規定により信用金庫法第八十五条の二第一項の許可を取り消された場合又は同法に相当する外国の法令の規定により当該外国においてこれらと同種類の免許若しくは許可（当該免許又は許可に類する登録その他の行政処分を含む。）を受けていた者が当該同種類の免許若しくは許可を取り消された場合において、その取消しの日前三十日以内にこれらの法人の役員であった者でその取消しの日から五年を経過しないもの

6.in cases where a corporation that had been a shinkin bank or federation of shinkin banks had its license as set forth in Article 4 of the Shinkin Bank Act rescinded pursuant to the provisions of Article 27 or Article 28 of the Banking Act as applied mutatis mutandis pursuant to Article 89, paragraph (1) of the Shinkin Bank Act or where a corporation that had been a shinkin bank agent had its permission as set forth in Article 85-2, paragraph (1) of the Shinkin Bank Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis to the provisions of Article 89, paragraph (5) of the Shinkin Bank Act following the deemed replacement of terms, or where a corporation that had obtained the same type of license or permission (including registration or other administrative disposition similar to the license or permission) in a foreign state had its license or permission rescinded under the laws and regulations of the foreign state equivalent to the Shinkin Bank Act, a person who was an officer of these corporations within thirty days prior to the date of rescission and for whom five years have not elapsed from the date of rescission;

（７）長期信用銀行であった法人が長期信用銀行法第十七条において準用する銀行法第二十七条若しくは第二十八条の規定により長期信用銀行法第四条第一項の免許を取り消された場合、長期信用銀行主要株主であった法人が同法第十七条において準用する銀行法第五十二条の十五第一項の規定により長期信用銀行法第十六条の二の二第一項若しくは第二項ただし書の認可を取り消された場合、長期信用銀行持株会社であった法人が同法第十七条において準用する銀行法第五十二条の三十四第一項の規定により長期信用銀行法第十六条の二の四第一項若しくは第三項ただし書の認可を取り消された場合若しくは長期信用銀行代理業者であった者が同法第十七条において準用する銀行法第五十二条の五十六第一項の規定により長期信用銀行法第十六条の五第一項の許可を取り消された場合又は同法に相当する外国の法令の規定により当該外国においてこれらと同種類の免許、認可若しくは許可（当該免許、認可又は許可に類する登録その他の行政処分を含む。）を受けていた者が当該同種類の免許、認可若しくは許可を取り消された場合において、その取消しの日前三十日以内にこれらの法人の役員であった者でその取消しの日から五年を経過しないもの

7.in cases where a corporation that had been a long-term credit bank had its license as set forth in Article 4, paragraph (1) of the Long Term Credit Bank Act rescinded pursuant to the provisions of Article 27 or Article 28 of the Banking Act as applied mutatis mutandis pursuant to Article 17 of the Long Term Credit Bank Act, where a corporation that had been a major shareholder of a long-term credit bank had its authorization as set forth in Article 16-2-2, paragraph (1) or the proviso to paragraph (2) of the Long Term Credit Bank Act rescinded pursuant to the provisions of Article 52-15, paragraph (1) of the Banking Act as applied mutatis mutandis to Article 17 of the Long Term Credit Bank Act, where a corporation that had been a long-term credit bank holding company had its authorization as set forth in Article 16-2-4, paragraph (1) or proviso to paragraph (3) of the Long Term Credit Bank Act rescinded pursuant to the provisions of Article 52-34, paragraph (1) of the Banking Act as applied mutatis mutandis to Article 17 of the Long Term Credit Bank Act, or where a corporation that had been a long-term credit bank agent had its permission set forth in Article 16-5, paragraph (1) of the Long Term Credit Bank Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to Article 17 of the Long Term Credit Bank Act, or where a corporation that had obtained the same type of license, authorization, or permission (including registration or other administrative disposition similar to the license, authorization, or permission) in a foreign state had its license, authorization, or permission rescinded under the laws and regulations of the foreign state equivalent to the Long Term Credit Bank Act, a person who was an officer of these corporations within thirty days prior to the date of rescission and for whom five years have not elapsed from the date of rescission;

（８）労働金庫若しくは労働金庫連合会であった法人が労働金庫法第九十五条の規定により同法第六条の免許を取り消された場合若しくは労働金庫代理業者であった法人が同法第九十四条第三項において読み替えて準用する銀行法第五十二条の五十六第一項の規定により労働金庫法第八十九条の三第一項の許可を取り消された場合又は同法に相当する外国の法令の規定により当該外国においてこれらと同種類の免許若しくは許可（当該免許又は許可に類する登録その他の行政処分を含む。）を受けていた者が当該同種類の免許若しくは許可を取り消された場合において、その取消しの日前三十日以内にこれらの法人の役員であった者でその取消しの日から五年を経過しないもの

8.in cases where a corporation that had been a labor bank or a federation of labor banks had its license as set forth in Article 6 of the Labor Bank Act rescinded pursuant to the provisions of Article 95 of the Labor Bank Act or where a corporation that had been a labor bank agent had its permission as set forth in Article 89-3, paragraph (1) of the Labor Bank Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to Article 94, paragraph (3) of the Labor Bank Act following the deemed replacement of terms, or where a corporation that had obtained the same type of license or permission in a foreign state (including registration or other administrative disposition similar to the license or permission) had its license or permission rescinded under the laws and regulations of the foreign state equivalent to the Labor Bank Act, a person who was an officer of these corporations within thirty days prior to the date of rescission and for whom five years have not elapsed from the date of rescission;

（９）農林中央金庫であった法人が農林中央金庫法第八十六条の規定により解散を命ぜられた場合若しくは外国の法令上これに相当する法人が当該外国の法令の規定により解散を命ぜられた場合又は農林中央金庫代理業者であった法人が同法第九十五条の四第一項において読み替えて準用する銀行法第五十二条の五十六第一項の規定により農林中央金庫法第九十五条の二第一項の許可を取り消された場合若しくは同法に相当する外国の法令の規定により当該外国において同種類の許可を受けていた者が当該同種類の許可を取り消された場合において、その命令又は取消しの日前三十日以内にこれらの法人の役員（経営管理委員を含む。）であった者でその命令又は取消しの日から五年を経過しないもの

9.in cases where a corporation that had been the Norinchukin Bank was ordered to dissolve pursuant to the provisions of Article 86 of the Norinchukin Bank Act or where a corporation equivalent thereto under laws and regulations of a foreign state was ordered to dissolve under the laws and regulations of the foreign state, or where a corporation that had been a Norinchukin Bank agent had its permission as set forth in Article 95-2, paragraph (1) of the Norinchukin Bank Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to Article 95-4, paragraph (1) of the Norinchukin Bank Act following the deemed replacement of terms or where a corporation that had obtained the same type of permission in a foreign state had its permission rescinded under the laws and regulations of the foreign state equivalent to the Norinchukin Bank Act, a person who was an officer (including management supervisory committee members) of these corporations within thirty days prior to the date of rescission or order and for whom five years have not elapsed from the date of rescission or order;

（１０）特定保険募集人であった法人が保険業法第三百七条第一項の規定により同法第二百七十六条の登録を取り消された場合若しくは保険仲立人であった法人が同項の規定により同法第二百八十六条の登録を取り消された場合又は同法に相当する外国の法令の規定により当該外国においてこれらと同種類の登録を受けていた法人が当該同種類の登録を取り消された場合において、その取消しの日前三十日以内にこれらの法人の役員であった者でその取消しの日から五年を経過しないもの

10.in cases where a corporation that had been a specified insurance agent had its registration as set forth in Article 276 of the Insurance Business Act rescinded pursuant to the provisions of Article 307, paragraph (1) of the Insurance Business Act or where a corporation that had been an insurance broker had its registration as set forth in Article 286 of the Insurance Business Act rescinded pursuant to the provisions of Article 307, paragraph (1) of the Insurance Business Act, or where a corporation that had obtained the same type of registration in a foreign state had its registration rescinded under the laws and regulations of the foreign state, a person who was an officer of these corporations within thirty days prior to the date of rescission and for whom five years have not elapsed from the date of rescission;

（１１）金融商品取引業者であった法人が金融商品取引法第五十二条第一項、第五十三条第三項若しくは第五十七条の六第三項の規定により同法第二十九条の登録を取り消された場合、取引所取引許可業者であった法人が同法第六十条の八第一項の規定により同法第六十条第一項の許可を取り消された場合、電子店頭デリバティブ取引等許可業者であった法人が同法第六十条の十四第二項において準用する同法第六十条の八第一項の規定により同法第六十条の十四第一項の許可を取り消された場合、特例業務届出者であった法人が同法第六十三条の五第三項の規定により適格機関投資家等特例業務の廃止を命ぜられた場合、同法第六十三条の三第一項の規定による届出をした者であった法人が同条第二項において読み替えて準用する同法第六十三条の五第三項の規定により適格機関投資家等特例業務の廃止を命ぜられた場合、金融商品仲介業者であった法人が同法第六十六条の二十第一項の規定により同法第六十六条の登録を取り消された場合、信用格付業者であった法人が同法第六十六条の四十二第一項の規定により同法第六十六条の二十七の登録を取り消された場合若しくは高速取引行為者であった法人が同法第六十六条の六十三第一項の規定により同法第六十六条の五十の登録を取り消された場合又は同法に相当する外国の法令の規定により当該外国においてこれらと同種類の登録若しくは許可を受けていた法人が当該同種類の登録若しくは許可を取り消された場合若しくは適格機関投資家等特例業務と同種類の業務を行っていた法人が当該業務の廃止を命ぜられた場合において、その取消し又は命令の日前三十日以内にこれらの法人の役員であった者でその取消し又は命令の日から五年を経過しないもの

11.in cases where a corporation that had been a financial instruments business operator had its registration as set forth in Article 29 of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 52, paragraph (1), Article 53, paragraph (3), or Article 57-6, paragraph (3) of the Financial Instruments and Exchange Act, where a corporation that had been an authorized firm for on-exchange transactions had its permission as set forth in Article 60-14, paragraph (1) of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 60-8, paragraph (1) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 60-14, paragraph (1) of the Financial Instruments and Exchange Act, where a corporation that had been an authorized electronic over-the-counter derivatives transactions, etc. business operator had its permission as set forth in Article 60-14, paragraph (1) of the Act rescinded pursuant to the provisions of Article 60-8, paragraph (1) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 60-14, paragraph (2) of the Financial Instruments and Exchange Act, where a corporation that had been a notifier of specially permitted services was ordered to discontinue the specially-permitted business for qualified institutional investors, etc. pursuant to the provisions of Article 63-5, paragraph (3) of the Financial Instruments and Exchange Act, where a corporation that had given notification pursuant to the provisions of Article 63-3, paragraph (1) of the Financial Instruments and Exchange Act was ordered to discontinue the specially-permitted business for qualified institutional investors, etc. pursuant to the provisions of Article 63-5, paragraph (3) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 63-3, paragraph (2) of the Financial Instruments and Exchange Act following the deemed replacement of terms, where a corporation that had been a financial instruments intermediary service provider had its registration as set forth in Article 66 of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 66-20, paragraph (1) of the Financial Instruments and Exchange Act, where a corporation that had been a credit rating institution had its registration as set forth in Article 66-27 of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 66-42, paragraph (1) of the Financial Instruments and Exchange Act, or where a corporation that had been a high-speed trader had its registration as set forth in Article 66-50 of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 66-63, paragraph (1) of the Financial Instruments and Exchange Act, or where a corporation that had obtained the same type of registration or permission in a foreign state had its registration or permission rescinded or where a corporation that engaged in the same type of operation as the specially-permitted business for qualified institutional investors, etc. in a foreign state was ordered to discontinue the operation under the laws and regulations of the foreign state equivalent to the Financial Instruments and Exchange Act, a person who was an officer of these corporations within thirty days prior to the date of rescission or order and for whom five years have not elapsed from the date of rescission or order; or

（１２）貸金業者であった法人が貸金業法第六条第一項の規定により同法第三条第一項の登録の更新を拒否された場合若しくは同法第二十四条の六の四第一項、第二十四条の六の五第一項若しくは第二十四条の六の六第一項（第一号に係る部分に限る。）の規定により同法第三条第一項の登録を取り消された場合又は同法に相当する外国の法令の規定により当該外国において同種類の登録を受けていた法人が当該同種類の登録の更新を拒否された場合若しくは当該同種類の登録を取り消された場合において、その取消しの日前三十日以内にこれらの法人の役員であった者でその取消しの日から五年を経過しないもの

12.in cases where a corporation that had been a money lender had its renewal of registration as set forth in Article 3, paragraph (1) of the Money Lending Business Act rejected pursuant to the provisions of Article 6, paragraph (1) of the Money Lending Business Act or its registration as set forth in Article 3, paragraph (1) of the Money Lending Business Act rescinded pursuant to the provisions of Article 24-6-4, paragraph (1), Article 24-6-5, paragraph (1), or Article 24-6-6, paragraph (1) (limited to the part related to item (i)) of the Money Lending Business Act, or where a corporation that had obtained the same type of registration in a foreign state had its renewal of registration rejected or its registration rescinded under the laws and regulations of the foreign state equivalent to the Money Lending Business Act, a person who was an officer of these corporations within thirty days prior to the date of rescission, and for whom five years have not elapsed from the date of rescission.

ホ次のいずれかに該当する者

(e)a person who falls under any of the following cases:

（１）第三十八条第三項の規定により解任を命ぜられた役員又はこの法律に相当する外国の法令の規定により当該外国において解任を命ぜられた役員でその処分を受けた日から五年を経過しない者

1.an officer whose dismissal was ordered pursuant to the provisions of Article 38, paragraph (3) or an officer whose dismissal was ordered in a foreign state under the laws and regulations of the foreign state equivalent to this Act, and for whom five years have not elapsed from the date of the disposition;

（２）銀行法第二十七条、第五十二条の三十四第一項若しくは第五十二条の五十六第二項の規定により解任を命ぜられた役員又は同法に相当する外国の法令の規定により当該外国において解任を命ぜられた役員でその処分を受けた日から五年を経過しない者

2.an officer whose dismissal was ordered pursuant to the provisions of Article 27, Article 52-34, paragraph (1), or Article 52-56, paragraph (2) of the Banking Act or an officer whose dismissal was ordered in a foreign state under the laws and regulations of the foreign state equivalent to the Banking Act, and for whom five years have not elapsed from the date of the disposition;

（３）農業協同組合法第九十二条の四第一項において読み替えて準用する銀行法第五十二条の五十六第二項の規定により解任を命ぜられた役員若しくは農業協同組合法第九十五条第二項の規定により改選を命ぜられた役員又は同法に相当する外国の法令の規定により当該外国において解任若しくは改選を命ぜられた役員でその処分を受けた日から五年を経過しない者

3.an officer whose dismissal was ordered pursuant to the provisions of Article 52-56, paragraph (2) of the Banking Act as applied mutatis mutandis pursuant to Article 92-4, paragraph (1) of the Agricultural Cooperatives Act following the deemed replacement of terms, an officer whose reelection was ordered pursuant to the provisions of Article 95, paragraph (2) of the Agricultural Cooperatives Act, or an officer who was ordered to be dismissed or re-elected in a foreign state under the laws and regulations of the foreign state equivalent to the Agricultural Cooperatives Act, and for whom five years have not elapsed from the date of the disposition;

（４）水産業協同組合法第百八条第一項において読み替えて準用する銀行法第五十二条の五十六第二項の規定により解任を命ぜられた役員若しくは水産業協同組合法第百二十四条第二項の規定により改選を命ぜられた役員又は同法に相当する外国の法令の規定により当該外国において解任若しくは改選を命ぜられた役員でその処分を受けた日から五年を経過しない者

4.an officer whose dismissal was ordered pursuant to the provisions of Article 52-56, paragraph (2) of the Banking Act as applied mutatis mutandis pursuant to Article 108, paragraph (1) of the Fisheries Cooperative Act following the deemed replacement of terms, an officer whose reelection was ordered pursuant to the provisions of Article 124, paragraph (2) of the Banking Act, or an officer who was ordered to be dismissed or re-elected in a foreign state under the laws and regulations of the foreign state equivalent to the Fisheries Cooperative Act, and for whom five years have not elapsed from the date of the disposition;

（５）協同組合による金融事業に関する法律第六条第一項において読み替えて準用する銀行法第二十七条若しくは協同組合による金融事業に関する法律第六条の五第一項において準用する銀行法第五十二条の五十六第二項の規定により解任を命ぜられた役員又は協同組合による金融事業に関する法律に相当する外国の法令の規定により当該外国において解任を命ぜられた役員でその処分を受けた日から五年を経過しない者

5.an officer whose dismissal was ordered pursuant to the provisions of Article 27 of the Banking Act as applied mutatis mutandis pursuant to Article 6, paragraph (1) of the Act on Financial Businesses by Cooperative following the deemed replacement of terms or pursuant to the provisions of Article 52-56, paragraph (2) of the Banking Act as applied mutatis mutandis pursuant to Article 6-5, paragraph (1) of the Act on Financial Businesses by Cooperative, or an officer whose dismissal was ordered in a foreign state under the laws and regulations of the foreign state equivalent to the Act on Financial Businesses by Cooperative, and for whom five years have not elapsed from the date of the disposition;

（６）信用金庫法第八十九条第一項において準用する銀行法第二十七条若しくは信用金庫法第八十九条第五項において準用する銀行法第五十二条の五十六第二項の規定により解任を命ぜられた役員又は信用金庫法に相当する外国の法令の規定により当該外国において解任を命ぜられた役員でその処分を受けた日から五年を経過しない者

6.an officer whose dismissal was ordered pursuant to the provisions of Article 27 of the Banking Act as applied mutatis mutandis pursuant to Article 89, paragraph (1) of the Shinkin Bank Act or pursuant to the provisions of Article 52-56, paragraph (2) of the Banking Act as applied mutatis mutandis pursuant to Article 89, paragraph (5) of the Shinkin Bank Act, or an officer whose dismissal was ordered in a foreign state under the laws and regulations of the foreign state equivalent to the Shinkin Bank Act, and for whom five years have not elapsed from the date of the disposition;

（７）長期信用銀行法第十七条において準用する銀行法第二十七条、第五十二条の三十四第一項若しくは第五十二条の五十六第二項の規定により解任を命ぜられた役員又は長期信用銀行法に相当する外国の法令の規定により当該外国において解任を命ぜられた役員でその処分を受けた日から五年を経過しない者

7.an officer whose dismissal was ordered pursuant to the provisions of Article 27, Article 52-34, paragraph (1) or Article 52-56, paragraph (2) of the Banking Act as applied mutatis mutandis pursuant to Article 17 of the Long Term Credit Bank Act, or an officer whose dismissal was ordered in a foreign state under the laws and regulations of the foreign state equivalent to the Long Term Credit Bank Act, and for whom five years have not elapsed from the date of the disposition;

（８）労働金庫法第九十五条第一項の規定により改任を命ぜられた役員若しくは同法第九十四条第三項において読み替えて準用する銀行法第五十二条の五十六第二項の規定により解任を命ぜられた役員又は労働金庫法に相当する外国の法令の規定により当該外国において改任若しくは解任を命ぜられた役員でその処分を受けた日から五年を経過しない者

8.an officer whose replacement was ordered pursuant to the provisions of Article 95, paragraph (1) of the Labor Bank Act or an officer whose dismissal was ordered pursuant to the provisions of Article 52-56, paragraph (2) of the Banking Act as applied mutatis mutandis pursuant to Article 94, paragraph (3) of the Labor Bank Act following the deemed replacement of terms, or an officer whose replacement or dismissal was ordered in a foreign state under the laws and regulations of the foreign state equivalent to the Labor Bank Act, and for whom five years have not elapsed from the date of the disposition;

（９）農林中央金庫法第八十六条の規定により解任を命ぜられた役員（経営管理委員を含む。）若しくは同法第九十五条の四第一項において読み替えて準用する銀行法第五十二条の五十六第二項の規定により解任を命ぜられた役員又は農林中央金庫法に相当する外国の法令の規定により当該外国において解任を命ぜられた役員でその処分を受けた日から五年を経過しない者

9.an officer (including a management supervisory committee member) whose dismissal was ordered pursuant to the provisions of Article 86 of the Norinchukin Bank Act or an officer whose dismissal was ordered pursuant to the provisions of Article 52-56, paragraph (2) of the Banking Act as applied mutatis mutandis pursuant to Article 95-4, paragraph (1) of the Norinchukin Bank Act following the deemed replacement of terms, or an officer whose dismissal was ordered in a foreign state under the laws and regulations of the foreign state equivalent to the Norinchukin Bank Act, and for whom five years have not elapsed from the date of the disposition;

（１０）金融商品取引法第五十二条第二項、第六十条の八第二項（同法第六十条の十四第二項において準用する場合を含む。）、第六十六条の二十第二項、第六十六条の四十二第二項若しくは第六十六条の六十三第二項の規定により解任若しくは解職を命ぜられた役員又は同法に相当する外国の法令の規定により当該外国において解任を命ぜられた役員でその処分を受けた日から五年を経過しない者

10.an officer whose dismissal or removal was ordered pursuant to the provisions of Article 52, paragraph (2), Article 60-8, paragraph (2) (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2)), Article 66-20, paragraph (2), Article 66-42, paragraph (2), or Article 66-63, paragraph (2) of the Financial Instruments and Exchange Act or an officer whose dismissal was ordered in a foreign state under the laws and regulations of the foreign state equivalent to the Financial Instruments and Exchange Act, and for whom five years have not elapsed from the date of the disposition; or

（１１）貸金業法第二十四条の六の四第二項の規定により解任を命ぜられた役員又は同法に相当する外国の法令の規定により当該外国において解任を命ぜられた役員でその処分を受けた日から五年を経過しない者

11.an officer whose dismissal was ordered pursuant to the provisions of Article 24-6-4, paragraph (2) of the Money Lending Business Act or an officer whose dismissal was ordered in a foreign state under the laws and regulations of the foreign state equivalent to the Money Lending Business Act, and for whom five years have not elapsed from the date of the disposition;

ヘ前号イからカまでのいずれかに該当する者

(f)a person who falls under any of the sub-items (a) through (n) of the preceding item;

イ前号イからホまでのいずれかに該当する者

(a)a person who falls under any of the sub-items (a) through (e) of the preceding item; or

ロ金融サービス仲介業に関し成年者と同一の行為能力を有しない未成年者でその法定代理人（法定代理人が法人である場合にあっては、その役員を含む。第五号ホにおいて同じ。）が前号イからヘまでのいずれかに該当する者

(b)in cases where a minor does not have the same legal capacity to act as an adult concerning financial service intermediary business and whose statutory agent (in cases where a statutory agent is a corporation, including its officers; the same applies in item (v), (e)) falls under any of the sub-items (a) through (f) of the preceding item;

イ保険会社、外国保険会社等若しくは少額短期保険業者又はこれらの役員若しくは使用人

(a)an insurance company, foreign insurance company, etc. or small amount and short term insurance provider, or officers or employees thereof;

ロ保険募集人（保険業法第二条第二十三項に規定する保険募集人をいう。以下この節において同じ。）（保険会社、外国保険会社等若しくは少額短期保険業者の委託を受け、又は当該委託を受けた者の再委託を受けて、その保険会社、外国保険会社等又は少額短期保険業者のために保険契約の締結の代理又は媒介を行う者を除く。）又は保険仲立人の役員若しくは使用人

(b)an insurance agent (meaning an insurance agent set forth in Article 2, paragraph (23) of the Insurance Business Act; hereinafter the same applies in this Section) (excluding a person that acts as an agent or intermediary for the conclusion of insurance contracts for an insurance company, foreign insurance company, etc. or small amount and short term insurer based on the entrustment by the insurance company, foreign insurance company, etc. or small amount and short term insurer or based on re-entrustment by the person that accepted the entrustment) or an officer or employee of an insurance broker; or

ハ保険契約の締結の媒介を行う使用人のうちに次のいずれかに該当する者のある者

(c)there is a person who falls under any of the following persons among the employees engaging in intermediation of the conclusion of insurance contracts:

（１）第二号イからヘまで又はイ若しくはロのいずれかに該当する者

1.a person who falls under any of item (ii), (a) through (f), or either (a) or (b);

（２）登録の申請の日前三年以内に保険媒介業務又は保険募集（保険業法第二条第二十六項に規定する保険募集をいう。第十七条第三項において同じ。）に関し著しく不適当な行為をした者

2.a person who committed a significantly inappropriate act in relation to insurance intermediary business operations or solicitation of insurance (meaning solicitation of insurance as defined in Article 2, paragraph (26) of the Insurance Business Act; the same applies in Article 17, paragraph (3)) within three years prior to the date of application for registration; or

（３）保険募集人（保険会社、外国保険会社等若しくは少額短期保険業者の委託を受け、又は当該委託を受けた者の再委託を受けて、その保険会社、外国保険会社等又は少額短期保険業者のために保険契約の締結の代理又は媒介を行う者に限る。）又は保険仲立人

3.an insurance agent (limited to a person who acts as an agent or intermediary for conclusion of insurance contracts for an insurance company, foreign insurance company, etc. or small amount and short-term insurer based on the entrustment by the insurance company, foreign insurance company, etc. or small amount and short term insurer or based on re-entrustment by the person that accepted the entrustment) or an insurance broker;

ニ法人である場合にあっては、役員のうちにイ、ロ又はハ（２）若しくは（３）のいずれかに該当する者のある者

(d)in cases where the person is a corporation, it has an officer who falls under any of (a), (b), or (c) 2 or 3; or

ホ個人である場合にあっては、金融サービス仲介業に関し成年者と同一の行為能力を有しない未成年者でその法定代理人がイ、ロ又はハ（２）若しくは（３）のいずれかに該当する者

(e)in cases where the person is an individual, a minor who does not have the same legal capacity to act as an adult concerning financial service intermediary business and whose statutory agent falls under any of (a), (b), or (c) 2 or 3;

イ預金等媒介業務銀行代理業者その他政令で定める者

(a)deposit, etc. intermediary business operations:a bank agent or a person specified by Cabinet Order;

ロ保険媒介業務保険募集人又は保険仲立人若しくはその役員若しくは使用人

(b)insurance intermediary business operations:an insurance agent, or an insurance broker, or any officer or employee thereof;

ハ有価証券等仲介業務金融商品取引業者であって第一種金融商品取引業を行うもの又は金融商品仲介業者

(c)securities, etc. intermediary business operations:a financial instruments business operator engaging in type I financial instruments business or a financial instruments intermediary service provider; or

ニ貸金業貸付媒介業務貸金業者

(d)loan intermediary business operations:a money lender; and

イ電子決済等代行業を適正かつ確実に遂行するために必要と認められる内閣府令で定める基準に適合する財産的基礎を有しない者

(a)a person that does not have the financial basis that satisfies the requirements specified by Cabinet Office Order as those found to be necessary for performing electronic payment services in an appropriate and reliable manner; and

ロ次に掲げる処分を受け、その処分の日から五年を経過しない者

(b)a person subject to any of the following dispositions, and for whom five years have not elapsed from the date of the disposition:

（１）銀行法第五十二条の六十一の十七第一項又は第二項の規定による同法第五十二条の六十一の二の登録の取消し

1.a rescission of registration referred to in Article 52-61-2 of the Banking Act pursuant to the provisions of Article 52-61-17, paragraph (1) or (2) of that Act;

（２）農業協同組合法第九十二条の五の九第一項において読み替えて準用する銀行法第五十二条の六十一の十七第一項又は第二項の規定による農業協同組合法第九十二条の五の二第一項の登録の取消し

2.a rescission of registration referred to in Article 92-5-2, paragraph (1) of the Agricultural Cooperatives Act, made pursuant to the provisions of Article 52-61-17, paragraph (1) or (2) of the Banking Act as applied mutatis mutandis pursuant to Article 92-5-9, paragraph (1) of the Agricultural Cooperatives Act following the deemed replacement of terms;

（３）水産業協同組合法第百十七条第一項において読み替えて準用する銀行法第五十二条の六十一の十七第一項又は第二項の規定による水産業協同組合法第百十条第一項の登録の取消し

3.a rescission of registration referred to in Article 110, paragraph (1) of the Fisheries Cooperative Act, made pursuant to the provisions of Article 52-61-17, paragraph (1) or (2) of the Banking Act as applied mutatis mutandis pursuant to Article 117, paragraph (1) of the Fisheries Cooperative Act following the deemed replacement of terms;

（４）協同組合による金融事業に関する法律第六条の五の十第一項において読み替えて準用する銀行法第五十二条の六十一の十七第一項又は第二項の規定による協同組合による金融事業に関する法律第六条の五の二第一項の登録の取消し

4.a rescission of registration referred to in Article 6-5-2, paragraph (1) of the Act on Financial Businesses by Cooperative, made pursuant to the provisions of Article 52-61-17, paragraph (1) or (2) of the Banking Act as applied mutatis mutandis pursuant to Article 6-5-10, paragraph (1) of the Act on Financial Businesses by Cooperative following the deemed replacement of terms;

（５）信用金庫法第八十九条第七項において読み替えて準用する銀行法第五十二条の六十一の十七第一項又は第二項の規定による信用金庫法第八十五条の四第一項の登録の取消し

5.a rescission of registration referred to in Article 85-4, paragraph (1) of the Shinkin Bank Act, made pursuant to the provisions of Article 52-61-17, paragraph (1) or (2) of the Banking Act as applied mutatis mutandis pursuant to Article 89, paragraph (7) of the Shinkin Bank Act following the deemed replacement of terms;

（６）労働金庫法第九十四条第五項において読み替えて準用する銀行法第五十二条の六十一の十七第一項又は第二項の規定による労働金庫法第八十九条の五第一項の登録の取消し

6.a rescission of registration referred to in Article 89-5, paragraph (1) of the Labor Bank Act, made pursuant to the provisions of Article 52-61-17, paragraph (1) or (2) of the Banking Act as applied mutatis mutandis pursuant to Article 94, paragraph (5) of the Labor Bank Act following the deemed replacement of terms;

（７）農林中央金庫法第九十五条の五の十第一項において読み替えて準用する銀行法第五十二条の六十一の十七第一項又は第二項の規定による農林中央金庫法第九十五条の五の二第一項の登録の取消し

7.a rescission of registration referred to in Article 95-5-2, paragraph (1) of the Norinchukin Bank Act, made pursuant to the provisions of Article 52-61-17, paragraph (1) or (2) of the Banking Act as applied mutatis mutandis to Article 95-5-10, paragraph (1) of the Norinchukin Bank Act following the deemed replacement of terms;

（８）株式会社商工組合中央金庫法（平成十九年法律第七十四号）第六十条の十九第一項又は第二項の規定による同法第六十条の三の登録の取消し

8.a rescission of registration referred to in Article 60-3 of the Shoko Chukin Bank Limited Act (Act No. 74 of 2007), made pursuant to the provisions of Article 60-19, paragraph (1) or (2) of that Act; or

（９）銀行法、農業協同組合法、水産業協同組合法、協同組合による金融事業に関する法律、信用金庫法、労働金庫法、農林中央金庫法又は株式会社商工組合中央金庫法に相当する外国の法令の規定により当該外国において受けている（１）から（８）までの登録と同種類の登録（当該登録に類する許可その他の行政処分を含む。）の取消し

9.a rescission of registration of the same type of registration as that referred to in 1 through 8, which the financial service intermediary has obtained in a foreign state under the laws and regulations of the foreign state that are equivalent to the Banking Act, Agricultural Cooperatives Act, Fisheries Cooperative Act, Act on Financial Businesses by Cooperative, Shinkin Bank Act, Labor Bank Act, Norinchukin Bank Act, or Shoko Chukin Bank Limited Act (including permission or other administrative dispositions similar to the registration):

ハ次に掲げる命令を受け、その命令の日から五年を経過しない者

(c)a person that has been issued any of the following orders, and for whom five years have not elapsed from the date of the order:

（１）第三十八条第二項の規定による電子決済等代行業の廃止の命令

1.an order to discontinue electronic payment services, which is issued pursuant to the provisions of Article 38, paragraph (2);

（２）農業協同組合法第九十二条の五の八第四項の規定による同法第九十二条の五の二第二項に規定する特定信用事業電子決済等代行業の廃止の命令

2.an order to discontinue specified electronic payment services for credit business prescribed in Article 92-5-2, paragraph (2) of the Agricultural Cooperatives Act, which is issued pursuant to the provisions of Article 92-5-8, paragraph (4) of that Act;

（３）水産業協同組合法第百十六条第四項の規定による同法第百十条第二項に規定する特定信用事業電子決済等代行業の廃止の命令

3.an order to discontinue specified electronic payment services for credit business prescribed in Article 110, paragraph (2) of the Fisheries Cooperative Act, which is issued pursuant to the provisions of Article 116, paragraph (4) of that Act;

（４）協同組合による金融事業に関する法律第六条の五の九第四項の規定による同法第六条の五の二第二項に規定する信用協同組合電子決済等代行業の廃止の命令

4.an order to discontinue electronic payment services for credit cooperatives prescribed in Article 6-5-2, paragraph (2) of the Act on Financial Businesses by Cooperative, which is issued pursuant to the provisions of Article 6-5-9, paragraph (4) of that Act;

（５）信用金庫法第八十五条の十一第四項の規定による同法第八十五条の四第二項に規定する信用金庫電子決済等代行業の廃止の命令

5.an order to discontinue electronic payment services for shinkin banks prescribed in Article 85-4, paragraph (2) of the Shinkin Bank Act, which is issued pursuant to the provisions of Article 85-11, paragraph (4) of that Act;

（６）労働金庫法第八十九条の十二第四項の規定による同法第八十九条の五第二項に規定する労働金庫電子決済等代行業の廃止の命令

6.an order to discontinue electronic payment services for labor banks prescribed in Article 89-5, paragraph (2) of the Labor Bank Act, which is issued pursuant to the provisions of Article 89-12, paragraph (4) of that Act;

（７）農林中央金庫法第九十五条の五の九第四項の規定による同法第九十五条の五の二第二項に規定する農林中央金庫電子決済等代行業の廃止の命令

7.an order to discontinue electronic payment services for Norinchukin Bank prescribed in Article 95-5-2, paragraph (2) of the Norinchukin Bank Act, which is issued pursuant to the provisions of Article 95-5-9, paragraph (4) of that Act;

（８）株式会社商工組合中央金庫法第六十条の三十二第四項の規定による同法第六十条の二第一項に規定する商工組合中央金庫電子決済等代行業の廃止の命令

8.an order to discontinue electronic payment services for Shoko Chukin Banks prescribed in Article 60-2, paragraph (1) of the Shoko Chukin Bank Limited Act, which is issued pursuant to the provisions of Article 60-32, paragraph (4) of that Act; or

（９）この法律、農業協同組合法、水産業協同組合法、協同組合による金融事業に関する法律、信用金庫法、労働金庫法、農林中央金庫法又は株式会社商工組合中央金庫法に相当する外国の法令の規定による（１）から（８）までの業務と同種類の業務の廃止の命令

9.an order to discontinue business operations that are the same type of business operations as those referred to in 1 through 8 under laws and regulations of a foreign state equivalent to this Act, Agricultural Cooperatives Act, Fisheries Cooperative Act, Act on Financial Businesses by Cooperative, Shinkin Bank Act, Labor Bank Act, Norinchukin Bank Act, or Shoko Chukin Bank Limited Act;

ニ株式会社商工組合中央金庫法その他政令で定める法律又はこれらに相当する外国の法令の規定に違反し、罰金の刑（これに相当する外国の法令による刑を含む。）に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなった日から五年を経過しない者

(d)a person subject to a fine (including any equivalent sentence under laws and regulations of a foreign state) for violating the provisions of the Shoko Chukin Bank Limited Act or any other laws provided for by Cabinet Order, or for violating the provisions of laws and regulations of a foreign state equivalent to those laws, and for whom five years have not elapsed from the day on which the person became subject to that fine or ceased to be subject to its enforcement;

イ外国法人であって日本における代表者を定めていない者

(a)a foreign corporation that has not designated its representative in Japan; and

ロ役員のうちに次のいずれかに該当する者のある者

(b)a corporation whose officers include a person falling under any of the following cases:

（１）法人が前号ロ（１）から（９）までに掲げる処分を受けた場合において、その処分の日前三十日以内にその法人の役員であった者でその処分の日から五年を経過しないもの

1.in cases where a corporation was subject to a disposition set forth in (b), 1 through 9 of the preceding item, a person who was an officer of the corporation within 30 days prior to the date of the disposition, and for whom five years have not elapsed from the date of the disposition;

（２）法人が前号ハ（１）から（９）までに掲げる命令を受けた場合において、その命令の日前三十日以内にその法人の役員であった者でその命令の日から五年を経過しないもの

2.in cases where a corporation was subject to an order set forth in (c), 1 through 9 of the preceding item, a person who was an officer of the corporation within 30 days prior to the date of the order, and for whom five years have not elapsed from the date of the order; or

（３）前号ロからニまでのいずれかに該当する者

3.a person that falls under any of sub-items (b) through (d) of the preceding item; or

イ外国に住所を有する個人であって日本における代理人を定めていない者

(a)a person domiciled in a foreign state who has not designated their agent in Japan; or

ロ前号ロ（１）又は（２）のいずれかに該当する者

(b)a person that falls under any of (b), 1 or 2 of the preceding item;

イ指定預金等媒介紛争解決機関（指定紛争解決機関であってその紛争解決等業務の種別が預金等媒介業務であるものをいう。以下この条において同じ。）が存在する場合一の指定預金等媒介紛争解決機関との間で預金等媒介業務に係る手続実施基本契約を締結する措置

(a)if there is a designated dispute resolution organization for deposit, etc. intermediary business operations (meaning a designated dispute resolution organization for which the category of dispute resolution services is deposit, etc. intermediary business operations; hereinafter the same applies in this Article):measures to conclude a basic contract for the implementation of dispute resolution procedures related to deposit, etc. intermediary business operations with a designated dispute resolution organization for deposit, etc. intermediary business operations; or

ロ指定預金等媒介紛争解決機関が存在しない場合預金等媒介業務に関する苦情処理措置（顧客等からの苦情の処理の業務に従事する使用人その他の従業者に対する助言若しくは指導を第六十二条第三項第三号に掲げる者に行わせること又はこれに準ずるものとして内閣府令で定める措置をいう。以下この項において同じ。）及び紛争解決措置（顧客等との紛争の解決を裁判外紛争解決手続の利用の促進に関する法律（平成十六年法律第百五十一号）第二条第三号に規定する認証紛争解決手続により図ること又はこれに準ずるものとして内閣府令で定める措置をいう。以下この項において同じ。）

(b)if there is no designated dispute resolution organization for deposit, etc. intermediary business operations:complaint processing measures (meaning measures to have the person set forth in Article 62, paragraph (3), item (iii) provide advice or guidance to the employee or any other workers engaging in the business of processing complaints from customers, etc. or any other measures specified by Cabinet Office Order as being equivalent thereto; hereinafter the same applies in this paragraph) and dispute resolution measures (meaning measures to resolve disputes with customers, etc. through certified dispute resolution procedures as defined in Article 2, item (iii) of the Act on Promotion of the Use of Alternative Dispute Resolution (Act No. 151 of 2004) or any other measure specified by Cabinet Office Order as being equivalent thereto; hereinafter the same applies in this paragraph), related to deposit, etc. intermediary business operations;

イ指定保険媒介紛争解決機関（指定紛争解決機関であってその紛争解決等業務の種別が保険媒介業務であるものをいう。以下この条において同じ。）が存在する場合一の指定保険媒介紛争解決機関との間で保険媒介業務に係る手続実施基本契約を締結する措置

(a)if there is a designated dispute resolution organization for insurance intermediary business operations (meaning a designated dispute resolution organization for which the category of dispute resolution services is insurance intermediary business operations; hereinafter the same applies in this Article):measures to conclude a basic contract for the implementation of dispute resolution procedures in connection with insurance intermediary business operations with a designated dispute resolution organization for insurance intermediary business operations; or

ロ指定保険媒介紛争解決機関が存在しない場合保険媒介業務に関する苦情処理措置及び紛争解決措置

(b)if there is no designated dispute resolution organization for insurance intermediary business operations:complaint processing measures and dispute resolution measures related to insurance intermediary business operations;

イ指定有価証券等仲介紛争解決機関（指定紛争解決機関であってその紛争解決等業務の種別が有価証券等仲介業務であるものをいう。以下この条において同じ。）が存在する場合一の指定有価証券等仲介紛争解決機関との間で有価証券等仲介業務に係る手続実施基本契約を締結する措置

(a)if there is a designated dispute resolution organization for securities, etc. intermediary business operations (meaning a designated dispute resolution organization for which the category of dispute resolution services is securities, etc. intermediary business operations; hereinafter the same applies in this Article):measures to conclude a basic contract for the implementation of dispute resolution procedures in connection with securities, etc. intermediary business operations with a designated dispute resolution organization for securities, etc. intermediary business operations ; or

ロ指定有価証券等仲介紛争解決機関が存在しない場合有価証券等仲介業務に関する苦情処理措置及び紛争解決措置

(b)if there is no designated dispute resolution organization for securities, etc. intermediary business operations:complaint processing measures and dispute resolution measures related to securities, etc. intermediary business operations;

イ指定貸金業貸付媒介紛争解決機関（指定紛争解決機関であってその紛争解決等業務の種別が貸金業貸付媒介業務であるものをいう。以下この条において同じ。）が存在する場合一の指定貸金業貸付媒介紛争解決機関との間で貸金業貸付媒介業務に係る手続実施基本契約を締結する措置

(a)if there is a designated dispute resolution organization for loan intermediary business operations (meaning a designated dispute resolution organization for which the category of dispute resolution services is loan intermediary business operations; hereinafter the same applies in this Article):measures to conclude a basic contract for the implementation of dispute resolution procedures in connection with loan intermediary business operations with a designated dispute resolution organization for loan intermediary business operations; or

ロ指定貸金業貸付媒介紛争解決機関が存在しない場合貸金業貸付媒介業務に関する苦情処理措置及び紛争解決措置

(b)if there is no designated dispute resolution organization for loan intermediary business operations:complaint processing measures and dispute resolution measures related to loan intermediary business operations.

イ心身の故障のため紛争解決等業務に係る職務を適正に執行することができない者として内閣府令で定める者

(a)a person specified by Cabinet Office Order as being unable to appropriately perform duties related to dispute resolution services due to mental or physical disorder;

ロ破産手続開始の決定を受けて復権を得ない者又は外国の法令上これと同様に取り扱われている者

(b)a person that is subject to an order to commence bankruptcy proceedings and that has not been released from bankruptcy restrictions, or a person that is treated in the same manner under foreign laws and regulations;

ハ禁錮以上の刑（これに相当する外国の法令による刑を含む。）に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなった日から五年を経過しない者

(c)a person sentenced to imprisonment or a heavier sentence (including any equivalent punishment under foreign laws and regulations), and for whom five years have not elapsed from the day on which the person finished serving the sentence or ceased to be subject to the sentence;

ニ第七十三条第一項の規定によりこの項の規定による指定を取り消された場合若しくはこの法律に相当する外国の法令の規定により当該外国において受けている当該指定に類する行政処分を取り消された場合において、その取消しの日前一月以内にその法人の役員（外国の法令上これと同様に取り扱われている者を含む。ニにおいて同じ。）であった者でその取消しの日から五年を経過しない者又は他の法律の規定による指定であって紛争解決等業務に相当する業務に係るものとして政令で定めるもの若しくは当該他の法律に相当する外国の法令の規定により当該外国において受けている当該政令で定める指定に類する行政処分を取り消された場合において、その取消しの日前一月以内にその法人の役員であった者でその取消しの日から五年を経過しない者

(d)a person that, within one month prior to the date of the rescission, was an officer (including a person who is treated in the same manner under foreign laws and regulations; the same applies in (d)) of a corporation, for which a designation under this paragraph has been rescinded pursuant to the provisions of Article 73, paragraph (1) or an administrative disposition similar to that designation that has been received in a foreign state under the laws and regulations of the foreign state equivalent to this Act, has been rescinded, and for whom five years have not elapsed from the day of the rescission; or a person that, within one month prior to the date of the rescission, was an officer of a corporation, for which a designation pursuant to the provisions of other laws that is specified by Cabinet Order as being equivalent to dispute resolution services, has been rescinded, or an administrative disposition similar to that designation specified by Cabinet Order that has been received in a foreign state under the laws and regulations of the foreign state equivalent to those other laws, has been rescinded, and for whom five years have not elapsed from the day of the rescission; or

ホこの法律若しくは弁護士法又はこれらに相当する外国の法令の規定に違反し、罰金の刑（これに相当する外国の法令による刑を含む。）に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなった日から五年を経過しない者

(e)a person subject to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of this Act or the Attorneys Act, or for violating the provisions of foreign laws and regulations equivalent to those of these laws, and for whom five years have not elapsed from the day on which the person finished serving the sentence or ceased to be subject to the sentence.

イ第十一条第四項第一号から第三号までに掲げる行為

(a)acts set forth in Article 11, paragraph (4), items (i) through (iii); and

ロ次に掲げる行為

(b)the following acts:

（１）売買の媒介の申込みの勧誘

1.the solicitation of offers for intermediation of purchase and sale; and

（２）市場デリバティブ取引又は外国市場デリバティブ取引の委託の勧誘

2.the solicitation of entrustment with market derivatives transactions or foreign market derivatives transactions;