信託兼営金融機関営業保証金規則(平成十六年内閣府・法務省令第四号)
Regulation on Security Deposits by Financial Institutions Engaged in Trust Business(Cabinet Office and Ministry of Justice Order No. 4 of 2004)
最終更新:平成二十一年内閣府・法務省令第一号
Last Version: Cabinet Office and Ministry of Justice Order No. 1 of 2009
TOC
History
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▶Main Provision
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February 21, 2018
- Last Version: Cabinet Office and Ministry of Justice Order No. 1 of 2009
- Translated Date: June 30, 2017
- Dictionary Version: 11.0
信託兼営金融機関営業保証金規則
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Regulation on Security Deposits by Financial Institutions Engaged in Trust Business
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平成十六年十二月二十八日内閣府・法務省令第四号
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Cabinet Office and Ministry of Justice Order No. 4 of December 28, 2004
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金融機関の信託業務の兼営等に関する法律(昭和十八年法律第四十三号)第四条第一項において準用する信託業法(平成十六年法律第百五十四号)第十一条第十一項の規定に基づき、信託兼営金融機関営業保証金規則を次のように定める。
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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 4, paragraph (1) of the Act on Engagement in Trust Business Activities by Financial Institutions (Act No. 43 of 1943), the Regulation on Security Deposits by Financial Institutions Engaged in Trust Business 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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第一条金融機関の信託業務の兼営等に関する法律施行令(平成五年政令第三十一号。以下「令」という。)第六条第一項に規定する権利の実行の申立てをしようとする者は、様式第一による申立書に金融機関の信託業務の兼営等に関する法律(以下「法」という。)第二条第一項において準用する信託業法第十一条第六項の権利(以下「権利」という。)を有することを証する書面を添えて、信託業務を営む金融機関(令第十八条第一項に定める金融庁長官の指定する信託業務を営む金融機関を除く。)の場合にあっては本店等(令第七条第一項第一号に規定する本店等をいう。第二条及び第十五条において同じ。)の所在地を管轄する財務局長(財務支局長を含む。以下同じ。)に、令第十八条第一項に定める金融庁長官の指定する信託業務を営む金融機関の場合にあっては金融庁長官にそれぞれ提出しなければならない。
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Article 1A person who intends to file a petition for the enforcement of the right as prescribed in Article 6, paragraph (1) of the Enforcement Order of the Act on Engagement in Trust Business Activities by Financial Institutions (Cabinet Order No. 31 of 1993; hereinafter referred to as the "Order") must submit a written petition by Form 1, together with a document proving that that person holds the right (hereinafter, said right is referred to as the "Right") set forth in Article 11, paragraph (6) of the Trust Business Act as applied mutatis mutandis pursuant to Article 2, paragraph (1) of the Act on Engagement in Trust Business Activities by Financial Institutions (hereinafter referred to as the "Act"), respectively, to the Director General of the Local Finance Bureau (including the Director General of the Local Finance Branch Bureau; the same applies hereinafter) that has jurisdiction over the location of the head office, etc. (meaning the head office, etc. prescribed in Article 7, paragraph (1), item (i) of the Order; the same applies in Article 2 and Article 15) when that person is a financial institution engaged in trust business (excluding the financial institutions engaged in trust business designated by the Commissioner of the Financial Services Agency as prescribed in Article 18, paragraph (1) of the Order), or to the Commissioner of the Financial Services Agency when that person is a financial institution engaged in trust business designated by the Commissioner of the Financial Services Agency as prescribed in Article 18, paragraph (1) of the Order.
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(申出の手続)
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(Procedures for Reporting the Right)
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第二条令第六条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、金融庁長官又は信託業務を営む金融機関(令第十八条第一項に定める金融庁長官の指定する信託業務を営む金融機関を除く。)の本店等の所在地を管轄する財務局長(以下「金融庁長官等」という。)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 as prescribed in Article 6, paragraph (2) of the Order must submit a written report by Form 2, together with a document proving that that person holds the Right, to the Commissioner of the Financial Services Agency or the Director General of the Local Finance Bureau that has jurisdiction over the location of the head office, etc. of the financial institution engaged in trust business (excluding the financial institutions engaged in trust business designated by the Commissioner of the Financial Services Agency as prescribed in Article 18, paragraph (1) of the Order) (hereinafter referred to as the "Commissioner of the Financial Services Agency, etc.").
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(仮配当表)
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(Provisional Distribution List)
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Article 3In order to make an examination into the Rights pursuant to the provisions of Article 6, paragraph (4) of the Order, the Commissioner of the Financial Services Agency, etc. must, without delay after the expiration of the period set forth in paragraph (2) of the Article, prepare a provisional distribution list, give public notice thereof, and also give a notice thereof to the depositor (if, pursuant to the order set forth in Article 11, paragraph (4) of the Trust Business Act as applied mutatis mutandis pursuant to Article 2, paragraph (1) of the Act and under the contract set forth in paragraph (3) of the Article, the depositor has deposited the entire security deposit set forth in Article 11, paragraph (1) of the Trust Business Act as applied mutatis mutandis pursuant to Article 2, paragraph (1) of the Act for a financial institution that has obtained the authorization set forth in Article 1, paragraph (1) of the Act (hereinafter referred to as the "Financial Institution Engaged in Trust Business"), including that Financial Institution Engaged in Trust Business; the same applies in paragraph (2) of the following Article and Article 7).
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(意見聴取会)
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(Hearing Session)
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第四条令第六条第四項の規定による権利の調査の手続は、金融庁長官等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 an examination into the Rights pursuant to the provisions of Article 6, paragraph (4) of the Order are to be implemented through a hearing session in which an official designated by the Commissioner of the Financial Services Agency, etc. presides as the chairperson.
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(2)When a person who has filed a petition pursuant to the provisions of Article 6, 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 set forth in Article 6, 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, that person may submit an affidavit, on which that person has affixed signature and seal, 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)official 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 present;
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五その他の出席者の氏名
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(v)names of 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 affidavit is 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 is produced, a statement to that effect and a list of the evidence;
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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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第十条信託兼営金融機関に係る営業保証金のうちに、法第二条第一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信託兼営金融機関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、金融庁長官等は、まず当該信託兼営金融機関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 security deposit pertaining to a Financial Institution Engaged in Trust Business includes a security deposit from a person who has concluded a contract set forth in Article 11, paragraph (3) of the Trust Business Act as applied mutatis mutandis pursuant to Article 2, paragraph (1) of the Act with that Financial Institution Engaged in Trust Business, the Commissioner of the Financial Services Agency, etc. must first conduct a distribution with regard to the security deposit deposited by that Financial Institution Engaged in Trust Business.
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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等は、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)For the purpose of conducting a distribution, the Commissioner of the Financial Services Agency, etc. must send a payment entrustment document prepared using Form 27, Form 28, or Form 28-2 of the Deposit Regulation (Ministry of Justice Order No. 2 of 1959) to the official depository and deliver certificates prepared using Form 29 of the Deposit Regulation to the 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 2, paragraph (1) of the Act, the Right is deemed to have been enforced as set forth in Article 11, paragraph (6) of the Trust Business Act as applied mutatis mutandis pursuant to Article 2, paragraph (1) of the Act when the period prescribed in Article 6, 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等は、令第六条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, etc. intends to receive the return of securities (including Japanese Government Bonds for which the ownership of the right is to be determined based on the statement or record in the book-entry account pursuant to the provisions of the Act on Book-Entry of Corporate Bonds and Shares (Act No. 75 of 2001) (hereinafter referred to as "Book-Entry Transfer Japanese Government Bonds"); the same applies hereinafter) in order to realize them pursuant to the provisions of Article 6, paragraph (7) of the Order, the Commissioner, etc. 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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第十三条信託兼営金融機関若しくはその承継人又は当該信託兼営金融機関のために営業保証金を供託した者が、令第七条の規定により金融庁長官等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等に提出しなければならない。
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Article 13(1)A Financial Institution Engaged in Trust Business or its successor, or a person who has deposited a security deposit for that Financial Institution Engaged in Trust Business, which intends to obtain the approval of the Commissioner of the Financial Services Agency, etc. pursuant to the provisions of Article 7 of the Order, must submit to the Commissioner of the Financial Services Agency, etc. a written application for approval by Form 4 that states 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 (or the issue, price, etc. in the case of Book-Entry Transfer Japanese Government Bonds).
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(2)When the written application for approval set forth in the preceding paragraph is submitted (excluding cases where the written application for approval set forth in the preceding paragraph is submitted when the case set forth in Article 7, paragraph (1), item (i) of the Order has become applicable), the Commissioner of the Financial Services Agency, etc. must give public notice of the fact that the person should report the Right within a certain period of not less than the periods respectively prescribed in the following items according to the cases set forth therein, and that the person is to be excluded from the distribution procedures if the person fails to make the report within that period:
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一令第七条第一項第二号の規定による承認の申請があった場合六月
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(i)when an application for approval pursuant to the provisions of Article 7, paragraph (1), item (ii) of the Order is filed:six months;
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二令第七条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)when an application for approval pursuant to the provisions of Article 7, paragraph (2) of the Order is filed:one month.
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(4)When the report is made within the period set forth in paragraph (2), the Commissioner of the Financial Services Agency, etc. must take the procedures to pay out the security deposit to the relevant person in accordance with the provisions of Article 6, paragraph (4) to paragraph (6) of the Order and Article 3 to the preceding Article.
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(5)When the Commissioner of the Financial Services Agency, etc. takes the procedures set forth in the preceding three paragraphs or finds that the case set forth in Article 7, paragraph (1), item (i) of the Order has become applicable, the Commissioner, etc. must deliver a written approval by Form 6 to the person who requested the approval set forth in paragraph (1).
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Article 14It is sufficient for a person who intends to recover the security deposit to submit the written approval delivered thereto 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 Place 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信託兼営金融機関の本店等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等にその旨を届け出なければならない。
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Article 15(1)When a person deposits the security deposit in the form of money alone and if the nearest official depository changes due to a change in the location of the head office, etc. of the Financial Institution Engaged in Trust Business pertaining to that security deposit and that person intends to request the official depository to which that person has deposited the security deposit to transfer the place of deposit thereof, that person must submit a notification to that effect to the Commissioner of the Financial Services Agency, etc. without delay.
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(2)When the notification set forth in the preceding paragraph is submitted, the Commissioner of the Financial Services Agency, etc. must deliver an authenticated copy of the deposit certificate for the relevant security deposit to the person who has submitted that notification, except for cases where a petition for the enforcement of the Right is being filed as prescribed in Article 6, paragraph (1) of the Order or an application for approval is being filed as prescribed in Article 7, paragraph (2) of the Order.
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(3)A person who has submitted the notification set forth in paragraph (1) must request the official depository to which that person has deposited the security deposit to transfer the place of deposit thereof to the official depository nearest to the head office, etc. of the Financial Institution Engaged in Trust Business after the change of the location thereof, by prepaying the expense, without delay after receiving the delivery of the authenticated copy of the deposit certificate pursuant to the provisions of the preceding paragraph.
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(4)A person who has requested the transfer of place of deposit set forth in the preceding paragraph must submit to the Commissioner of the Financial Services Agency, etc. a written notification by Form 7, together with an authenticated copy of the deposit certificate delivered thereto pursuant to the provisions of Article 21-5, paragraph (3) of the Deposit Regulation, without delay after completing the relevant procedures for the transfer of place of deposit.
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(5)Having received an authenticated copy of the deposit certificate attached to the written notification set forth in the preceding paragraph, the Commissioner of the Financial Services Agency, etc. must deliver a retention certificate to the person who has requested that transfer of place of deposit.
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(公示)
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(Public Notice)
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第十六条令第六条第二項、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 6, paragraph (2), paragraph (4) and paragraph (5) of the Order and Article 3, Article 7, and Article 13, paragraph (2) is to be given through publication in an official gazette.
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(2)The expense for the public notice pursuant to the provisions of the preceding paragraph is to be borne by the petitioner (in the case of the recovery of a security deposit, the person who intends to recover the same) and the person who has reported the Right as prescribed in Article 6, paragraph (2) of the Order or Article 13, paragraph (2).
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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 the deposit and paying out of a security deposit.
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