保険会社等営業保証金規則(平成十六年内閣府・法務省令第五号)
Regulation on Security Deposits by Insurance Companies(Order of the Cabinet Office and the Ministry of Justice No. 5 of 2004)
最終更新:平成二十年内閣府・法務省令第二号
Last Version: Order of the Cabinet Office and the Ministry of Justice No. 2 of 2008
TOC
History
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▶Main Provision
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August 11, 2017
- Last Version: Order of the Cabinet Office and the Ministry of Justice No. 2 of 2008
- Translated Date: March 31, 2016
- Dictionary Version: 10.0
保険会社等営業保証金規則
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Regulation on Security Deposits by Insurance Companies
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平成十六年十二月二十八日内閣府・法務省令第五号
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Order of the Cabinet Office and the Ministry of Justice No. 5 of December 28, 2004
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Pursuant to the provisions of Article 11, paragraph (11) of the Trust Business Act (Act No. 154 of 2004) as applied mutatis mutandis pursuant to Article 99, paragraph (8) of the Insurance Business Act (Act No. 105 of 1995), the Regulation on Security Deposits by Insurance Companies is hereby enacted as follows.
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(申立ての手続)
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(Procedures for Filing a Petition)
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Article 1A person who intends to file a petition for the fulfillment of the right prescribed in Article 13-4, paragraph (1) of the Order for Enforcement of the Insurance Business Act (Cabinet Order No. 425 of 1995; hereinafter referred to as the "Order") must submit to the Commissioner of the Financial Services Agency a petition prepared using Form No. 1 by attaching a document proving that the person has the right prescribed in Article 11, paragraph (6) of the Trust Business Act as applied mutatis mutandis pursuant to Article 99, paragraph (8) of the Insurance Business Act (hereinafter referred to as the "Act") (including the cases where applied mutatis mutandis pursuant to Article 199 of the Act (including the cases where applied mutatis mutandis pursuant to the provisions of Article 240 of the Act; the same applies hereinafter); the same applies hereinafter) (such right is hereinafter referred to as the "Right").
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(申出の手続)
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(Procedures for Reporting)
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第二条令第十三条の四第二項に規定する権利の申出をしようとする者は、様式第二による申出書に権利を有することを証する書面を添えて、金融庁長官に提出しなければならない。
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Article 2A person who intends to report the Right prescribed in Article 13-4, paragraph (2) of the Order must submit to the Commissioner of the Financial Services Agency a written report using Form No. 2 by attaching a document proving that the person has such Right.
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(仮配当表)
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(Provisional Distribution List)
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第三条令第十三条の四第四項の規定による権利の調査のため、金融庁長官は、同条第二項の期間が経過した後、遅滞なく、仮配当表を作成し、これを公示し、かつ、供託者(供託者が法第九十九条第八項において準用する信託業法第十一条第四項の命令により同条第三項の契約に基づき保険会社等(保険金信託業務を行う生命保険会社(法第二条第三項に規定する生命保険会社をいう。第十五条第一項において同じ。)又は外国生命保険会社等(法第二条第八項に規定する外国生命保険会社等(法第二百四十条の規定により外国生命保険会社等とみなされる法二百十九条第一項の免許を受けた特定法人の引受社員を含む。以下同じ。)をいう。以下同じ。)のために法第九十九条第八項において準用する信託業法第十一条第一項の営業保証金の全部を供託している場合にあっては、当該保険会社等を含む。次条第二項及び第七条において同じ。)に通知しなければならない。
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Article 3In order to assess the Right under Article 13-4, paragraph (4) of the Order, the Commissioner of the Financial Services Agency must, without delay after the expiration of the period prescribed in paragraph (2) of the same Article, prepare a provisional distribution list, give public notice thereof, and notify the depositor (if, pursuant to the order referred to in Article 11, paragraph (4) of the Trust Business Act as applied mutatis mutandis pursuant to Article 99, paragraph (8) of the Act and under the contract referred to in paragraph (3) of the same Article, the depositor has deposited the entire business security deposit referred to in Article 11, paragraph (1) of the Trust Business Act as applied mutatis mutandis pursuant to Article 99, paragraph (8) of the Act for an Insurance Company, etc. (meaning a Life Insurance Company (meaning a Life Insurance Company prescribed in Article 2, paragraph (3) of the Act; the same applies in Article 15, paragraph (1)) or a Foreign Life Insurance Company, etc. (meaning a Foreign Life Insurance Company, etc. prescribed in Article 2, paragraph (8) of the Act (including an Underwriting Member of a Specified Juridical Person, which has obtained a business license referred to in Article 219, paragraph (1) of the Act and is deemed to be a Foreign Life Insurance Company, etc. pursuant to the provisions of Article 240 of the Act; the same applies hereinafter); the same applies hereinafter), which provide Insurance-Proceed Trust Services), including the Insurance Company, etc.; the same applies in paragraph (2) of the following Article and Article 7) thereof.
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(意見聴取会)
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(Hearing Session)
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第四条令第十三条の四第四項の規定による権利の調査の手続は、金融庁長官の指名する職員が議長として主宰する意見聴取会によって行う。
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Article 4(1)The procedures for the assessment of the Right under Article 13-4, paragraph (4) of the Order are conducted through a hearing session over which an official designated by the Commissioner of the Financial Services Agency presides as the chairperson.
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(2)If a person who has filed a petition under Article 13-4, paragraph (1) of the Order (referred to as a "Petitioner" in Article 16, paragraph (2)), a person who has reported the Right within the period prescribed in Article 13-4, paragraph (2) of the Order, or the representative person of the depositor (hereinafter collectively referred to as "Relevant Persons") is unable to attend the hearing session due to illness or any other compelling reason, such person may submit a written statement, which they have signed and sealed, in lieu of making a statement at the hearing session.
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一意見聴取会の事案の表示
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(i)indication of the case concerning the hearing session;
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二意見聴取会の期日及び場所
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(ii)date and place of the hearing session;
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三議長の職名及び氏名
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(iii)job title and name of the chairperson;
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四出席した関係人の氏名及び住所
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(iv)names and domiciles of the Relevant Persons who were present;
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五その他の出席者の氏名
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(v)names of any other persons present;
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六陳述された意見の要旨
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(vi)gist of the opinions stated;
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七口述書が提出された場合にあっては、その旨及びその要旨
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(vii)if any written statement has been submitted, a statement to that effect and the gist thereof;
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八証拠が提示された場合にあっては、その旨及び証拠の標目
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(viii)if any evidence has been produced, a statement to that effect and a list of the evidence; and
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九その他議長が必要と認める事項
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(ix)other matters found to be necessary by the chairperson.
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(配当の実施)
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(Distribution)
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第十条保険会社等に係る営業保証金のうちに、法第九十九条第八項において準用する信託業法第十一条第三項の契約を当該保険会社等と締結している者が供託した営業保証金がある場合には、金融庁長官は、まず当該保険会社等が供託した営業保証金につき配当を実施しなければならない。
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Article 10When the business security deposit pertaining to an Insurance Company, etc. includes a business security deposit deposited by a person who has concluded the contract referred to in Article 11, paragraph (3) of the Trust Business Act as applied mutatis mutandis pursuant to Article 99, paragraph (8) of the Act with the Insurance Company, etc., the Commissioner of the Financial Services Agency must first distribute the business security deposit deposited by the Insurance Company, etc.
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(配当の手続)
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(Procedures for Distribution)
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第十一条金融庁長官は、配当の実施のため、供託規則(昭和三十四年法務省令第二号)第二十七号書式、第二十八号書式又は第二十八号の二書式により作成した支払委託書を供託所に送付するとともに、配当を受けるべき者に供託規則第二十九号書式により作成した証明書を交付しなければならない。
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Article 11(1)The Commissioner of the Financial Services Agency must, for the purpose of implementing distribution, send a payment instruction document prepared using Form No. 27, Form No. 28 or Form No. 28-2 of the Deposit Regulation (Ministry of Justice Order No. 2 of 1959) to the official depository and deliver certificates prepared using Form No. 29 of the Deposit Regulation to persons who are to receive the distribution.
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(2)With regard to the application of Article 11, paragraph (8) of the Trust Business Act as applied mutatis mutandis pursuant to Article 99, paragraph (8) of the Act, the Right referred to in Article 11, paragraph (6) of the Trust Business Act as applied mutatis mutandis pursuant to Article 99, paragraph (8) of the Act is deemed to have been fulfilled if the period prescribed in Article 13-4, paragraph (6) of the Order has elapsed.
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(有価証券の換価)
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(Realization of Securities)
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第十二条金融庁長官は、令第十三条の四第七項の規定により有価証券(その権利の帰属が社債、株式等の振替に関する法律(平成十三年法律第七十五号)の規定による振替口座簿の記載又は記録により定まるものとされる国債(以下「振替国債」という。)を含む。以下同じ。)を換価するためその還付を受けようとするときは、供託物払渡請求書二通を供託所に提出しなければならない。
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Article 12(1)When the Commissioner of the Financial Services Agency intends to receive the return of securities (including a Japanese government bond where the ownership of the right for the bond is based on the entry or record in the book-entry account under the Act on Book-Entry Transfer of Corporate Bonds, Shares, etc. (Act No. 75 of 2001) (hereinafter referred to as "Book-Entry Japanese Government Bonds"); the same applies hereinafter) in order to realize them pursuant to the provisions of Article 13-4, paragraph (7) of the Order, the Commissioner must submit to the official depository two copies of the written request for paying out of deposited property.
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(営業保証金の取戻し)
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(Recovery of the Security Deposit)
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第十三条保険会社等若しくはその承継人又は当該保険会社等のために営業保証金を供託した者が、令第十三条の五の規定により金融庁長官の承認を受けようとするときは、その事由及び取戻しをしようとする供託金の額又は取戻しをしようとする供託有価証券の名称、枚数、総額面等(振替国債については、銘柄、金額等)を記載した様式第四の承認申請書を金融庁長官に提出しなければならない。
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Article 13(1)An Insurance Company, etc. or its successor or a person who has deposited the security deposit for the Insurance Company, etc. must, when intending to obtain the approval of the Commissioner of the Financial Services Agency pursuant to the provisions of Article 13-5 of the Order, submit to the Commissioner of the Financial Services Agency a written application for approval prepared using Form No. 4, stating the grounds therefor and the amount of the deposit to be recovered or the name, quantity, total face value, etc. of the deposited securities to be recovered (the issue, price, etc. are stated in the case of Book-Entry Japanese Government Bonds).
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(2)If the written application for approval referred to in the preceding paragraph has been submitted (excluding cases in which the written application for approval referred to in the preceding paragraph has been submitted if the case prescribed in Article 13-5, paragraph (1), item (i) of the Order has become applicable; hereinafter the same applies in this paragraph), the Commissioner of the Financial Services Agency must give public notice of the fact that the person who has the Right is to report the Right within a certain period of not less than the respective periods prescribed in the following items according to the cases set forth therein, and is to be excluded from the distribution procedures if the person fails to make the report within the period:
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一令第十三条の五第一項の規定による承認の申請があった場合六月
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(i)if an application for approval under Article 13-5, paragraph (1) of the Order has been filed:six months;
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二令第十三条の五第二項の規定による承認の申請があった場合一月
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(ii)if an application for approval under Article 13-5, paragraph (2) of the Order has been filed:one month.
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(4)If the report has been made within the period referred to in paragraph (2), the Commissioner of the Financial Services Agency must conduct the procedures to pay out the security deposit to the person in accordance with the provisions of Article 13-4, paragraphs (4) through (6) and Article 3 through the preceding Article of the Order.
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(5)If the Commissioner of the Financial Services Agency has conducted the procedures referred to in the preceding three paragraphs, or finds that the case prescribed in Article 13-5, paragraph (1), item (i) of the Order has become applicable, the Commissioner must deliver a letter of approval prepared using Form No. 6 to the person who requested the approval referred to in paragraph (1).
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Article 14It is sufficient for a person who intends to recover the security deposit to attach the letter of approval that has been delivered under paragraph (5) of the preceding Article as the document to be attached to a written request for paying out of deposited property pursuant to the provisions of Article 25, paragraph (1) of the Deposit Regulation.
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(営業保証金の保管替え)
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(Transfer of Deposit of the Security Deposit)
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第十五条金銭のみをもって営業保証金を供託している者は、当該営業保証金に係る保険会社等の本店等(令第十三条の五第一項第一号に規定する本店等をいう。以下この条において同じ。)の所在地について変更があったためその最寄りの供託所に変更があり、当該営業保証金を供託している供託所に対し、営業保証金の供託の保管替えを請求しようとするときは、遅滞なく金融庁長官にその旨を届け出なければならない。
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Article 15(1)A person who has deposited the security deposit in the form of money alone must, if, due to a change in the location of the head office, etc. (meaning the head office, etc. prescribed in Article 13-5, paragraph (1), item (i) of the Order; the same applies hereinafter in this Article) of the Insurance Company, etc. pertaining to the security deposit, the official depository nearest thereto has changed and the person intends to request the official depository with which the person has deposited the security deposit to transfer the deposit thereof, notify the Commissioner of the Financial Services Agency to that effect without delay.
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(2)If the notification referred to in the preceding paragraph has been given, the Commissioner of the Financial Services Agency must, excluding cases where the procedures for the fulfillment of the Right prescribed in Article 13-4, paragraph (1) of the Order or the application for approval prescribed in Article 13-5, paragraph (2) is still pending, deliver an authenticated copy of the deposit certificate for the security deposit to the person who has given the notification.
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(3)A person who has given the notification referred to in paragraph (1) must, without delay after receiving delivery of the authenticated copy of the deposit certificate pursuant to the provisions of the preceding paragraph, and upon prepaying the costs, request the official depository with which the person has deposited the security deposit to transfer the deposit of the security deposit to the official depository nearest to the head office, etc. of the Insurance Company, etc. after relocation.
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(4)A person who has requested the transfer of deposit referred to in the preceding paragraph must, without delay after completing the procedures for the transfer of deposit, submit to the Commissioner of the Financial Services Agency a written notification prepared using Form No. 7 by attaching an authenticated copy of the deposit certificate that has been delivered pursuant to the provisions of Article 21-5, paragraph (3) of the Deposit Regulation.
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(5)If the Commissioner of the Financial Services Agency has received an authenticated copy of the deposit certificate attached to the written notification referred to in the preceding paragraph, the Commissioner must deliver a custody certificate to the person who has requested the transfer of deposit.
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(公示)
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(Public Notice)
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第十六条令第十三条の四第二項、第四項及び第五項並びに第三条、第七条及び第十三条第二項に規定する公示は、官報に掲載することによって行う。
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Article 16(1)The public notice prescribed in Article 13-4, paragraphs (2), (4) and (5) of the Order and Articles 3 and 7 and Article 13, paragraph (2) is given through publication in an official gazette.
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(2)The expense for the public notice under the preceding paragraph is borne by the applicant (in the case of the recovery of the security deposit, the person who intends to recover the same) and the person who reported the Right prescribed in Article 13-4, paragraph (2) or Article 13, paragraph (2) of the Order.
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(供託規則の適用)
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(Application of the Deposit Regulation)
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第十七条この規則に定めるもののほか、営業保証金の供託及び払渡しについては、供託規則の手続による。
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Article 17Beyond what is provided for in this Regulation, the procedures under the Deposit Regulation apply to a deposit and the paying out of a security deposit.
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