ja-jp	第百五十六条の二十の十二　内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、外国金融商品取引清算機関、その清算参加者若しくは当該外国金融商品取引清算機関から業務の委託を受けた者に対し当該外国金融商品取引清算機関の金融商品債務引受業に係る業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ、又は当該職員に当該外国金融商品取引清算機関若しくは当該外国金融商品取引清算機関から業務の委託を受けた者の金融商品債務引受業に係る業務若しくは財産の状況若しくは帳簿書類その他の物件の検査（当該外国金融商品取引清算機関から業務の委託を受けた者にあつては、当該外国金融商品取引清算機関の金融商品債務引受業に係る業務又は財産に関し必要な検査に限る。）をさせることができる。
en-us	Article 156-20-12 Whenever the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister may order a Foreign Financial Instruments Clearing Organization, its Clearing Member, or the person that a Foreign Financial Instruments Clearing Organization has entrusted with its business, to submit reports or materials that should serve as a reference with regard to business or assets linked to the Financial Instruments Debt Assumption Services of the Foreign Financial Instruments Clearing Organization, and may have the relevant officials inspect the state of the business or assets, or the books and documents or any other articles, of a Foreign Financial Instruments Clearing Organization or the person that a Foreign Financial Instruments Clearing Organization has entrusted with its business (but may only have the relevant officials inspect the person that a Foreign Financial Instruments Clearing Organization has entrusted with its business as is necessary in connection with the business or assets linked to the Financial Instruments Debt Assumption Services of the Foreign Financial Instruments Clearing Organization).

ja-jp	（業務改善命令）
en-us	(Business Improvement Orders)

ja-jp	第百五十六条の二十の十三　内閣総理大臣は、外国金融商品取引清算機関の金融商品債務引受業に係る業務の運営又は財産の状況に関し、公益又は投資者保護のため必要かつ適当であると認めるときは、その必要の限度において、当該外国金融商品取引清算機関に対し、業務の内容若しくは方法の変更その他業務の運営又は財産の状況の改善に必要な措置をとるべきことを命ずることができる。
en-us	Article 156-20-13 If the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors as concerns a Foreign Financial Instruments Clearing Organization's business operations or the state of its assets as relates to Financial Instruments Debt Assumption Services, the Prime Minister, within the scope of this necessity, may order the Foreign Financial Instruments Clearing Organization to change the its business outline or its business methods, or to otherwise take measures that are necessary for improving its business operations or the state of its assets.

ja-jp	（免許の取消し等）
en-us	(Rescission of Licenses)

ja-jp	第百五十六条の二十の十四　内閣総理大臣は、外国金融商品取引清算機関がその免許を受けた当時既に第百五十六条の二十の四第二項各号のいずれかに該当していたことが判明したときは、その免許を取り消すことができる。
en-us	Article 156-20-14 (1) If a Foreign Financial Instruments Clearing Organization is discovered to have fallen under one of the categories in the items of Article 156-20-4, paragraph (2) at the time it was licensed, the Prime Minister may rescind the license.

ja-jp	２　内閣総理大臣は、外国金融商品取引清算機関が法令又は法令に基づく行政官庁の処分に違反したときは、第百五十六条の二十の二の免許を取り消し、六月以内の期間を定めてその業務の全部若しくは一部の停止を命じ、又はその国内における代表者（国内に事務所がある場合にあつては、当該事務所に駐在する役員を含む。）の解任を命ずることができる。
en-us	(2) If a Foreign Financial Instruments Clearing Organization violates a law or regulation or a disposition by a government agency which is based on a law or regulation, the Prime Minister may rescind the license referred to in Article 156-20-2, order the suspension of all or a part of its business activities during a fixed period of no longer than six months, or order the dismissal of its domestic representative (if a Foreign Financial Instruments Clearing Organization has a domestic office, this includes any officer stationed there).

ja-jp	（金融商品債務引受業の廃止の認可）
en-us	(Authorization to Discontinue Financial Instruments Debt Assumption Services)

ja-jp	第百五十六条の二十の十五　外国金融商品取引清算機関は、金融商品債務引受業を廃止しようとする場合には、内閣総理大臣の認可を受けなければならない。
en-us	Article 156-20-15 A Foreign Financial Instruments Clearing Organization must obtain the authorization of the Prime Minister if it seeks to discontinue Financial Instruments Debt Assumption Service.

ja-jp	第三節　金融商品取引清算機関と他の金融商品取引清算機関等との連携
en-us	Section 3 Coordination between a Financial Instruments Clearing Organization and Other Financial Instruments Clearing Organizations, etc.

ja-jp	（他の金融商品取引清算機関等と連携する場合の認可）
en-us	(Authorization When Coordinating with Other Financial Instruments Clearing Organizations, etc.)

ja-jp	第百五十六条の二十の十六　金融商品取引清算機関は、内閣総理大臣の認可を受けて、連携清算機関等（他の金融商品取引清算機関、外国金融商品取引清算機関又は外国の法令に準拠して設立された法人で外国において金融商品債務引受業と同種類の業務を行う者をいう。以下同じ。）と連携金融商品債務引受業務（第百五十六条の六十二第一号に掲げる取引以外の対象取引に係る清算参加者の債務を第三者に負担させ、当該対象取引に係る清算参加者の相手方の債務は自らが負担する行為として内閣府令で定める行為を業として行うことをいう。以下同じ。）に関する契約を締結して連携金融商品債務引受業務を行うことができる。
en-us	Article 156-20-16 (1) With the authorization of the Prime Minister, a Financial Instruments Clearing Organization may conclude a contract for collaborative Financial Instruments Debt Assumption Services (meaning the performance, in the course of trade, of an act specified by Cabinet Office Ordinance as the act of having a third party bear the obligations of a Clearing Member in connection with a subject transaction that is other than a transaction set forth in Article 156-62, item (i), and personally bearing the obligations of the other party to the subject transaction with that Clearing Member; the same applies hereinafter) with a collaborating Clearing Organization, etc. (meaning other Financial Instruments Clearing Organization, Foreign Financial Instruments Clearing Organization, or corporation incorporated based on foreign laws and regulations that performs services of the same type as Financial Instruments Debt Assumption Services; hereinafter the same applies) and perform collaborative Financial Instruments Debt Assumption Services .

ja-jp	２　前項の認可は、金融商品取引清算機関が連携金融商品債務引受業務に関する契約を締結する連携清算機関等ごとに受けなければならない。
en-us	(2) A Financial Instruments Clearing Organization must receive the authorization referred to in the preceding paragraph for each collaborating Clearing Organization, etc. with which it concludes a contract for collaborative Financial Instruments Debt Assumption Services.

ja-jp	３　前二節の規定にかかわらず、第一項の認可を受けた金融商品取引清算機関（以下この節において「認可金融商品取引清算機関」という。）と連携金融商品債務引受業務に関する契約を締結した連携清算機関等（金融商品取引清算機関又は外国金融商品取引清算機関以外の者に限る。）は、当該連携金融商品債務引受業務に係る金融商品債務引受業を行うことができる。
en-us	(3) Notwithstanding the provisions of the preceding two Sections, a Financial Instruments Clearing Organization that has obtained the authorization referred to in paragraph (1) (hereinafter referred to as an "Authorized Financial Instruments Clearing Organization" in this Section) and a collaborating Clearing Organization, etc. that has concluded a contract for collaborative Financial Instruments Debt Assumption Services (limited to one other than a Financial Instruments Clearing Organization or Foreign Financial Instruments Clearing Organization) may perform Financial Instruments Debt Assumption Services that are connected with those collaborative Financial Instruments Debt Assumption Services.

ja-jp	４　第三十条の二の規定は、第一項の認可について準用する。
en-us	(4) The provisions of Article 30-2 apply mutatis mutandis to the authorization referred to in paragraph (1).

ja-jp	（認可の申請）
en-us	(Application for Authorization)

ja-jp	第百五十六条の二十の十七　前条第一項の認可を受けようとする金融商品取引清算機関は、次に掲げる事項を記載した認可申請書を内閣総理大臣に提出しなければならない。
en-us	Article 156-20-17 (1) A Financial Instruments Clearing Organization seeking the authorization referred to in paragraph (1) of the preceding Article must submit a written application for authorization to the Prime Minister, in which it states the following particulars:

ja-jp	一　商号
en-us	(i) its trade name;

ja-jp	二　連携清算機関等の商号又は名称
en-us	(ii) the trade name or name of the collaborating Clearing Organization, etc.;

ja-jp	三　連携清算機関等が金融商品取引清算機関又は外国金融商品取引清算機関以外の者であるときは、次に掲げる事項
en-us	(iii) if the collaborating Clearing Organization, etc. is neither a Financial Instruments Clearing Organization nor a Foreign Financial Instruments Clearing Organization, the following matters:

ja-jp	イ　連携清算機関等の資本金の額又は出資の総額
en-us	(a) the amount of stated capital or total amount of contributions of the collaborating Clearing Organization, etc.;

ja-jp	ロ　連携清算機関等の本店又は主たる事務所の所在の場所
en-us	(b) the location of the head office or principal office of the collaborating Clearing Organization, etc.;

ja-jp	ハ　国内に連携清算機関等の事務所があるときは、その所在の場所
en-us	(c) if an office of the collaborating Clearing Organization, etc. is in Japan, its location; and

ja-jp	ニ　連携清算機関等の役員の役職名及び氏名
en-us	(d) the titles and names of the officers of the collaborating Clearing Organization, etc.

ja-jp	四　連携金融商品債務引受業務の対象とする債務の起因となる取引
en-us	(iv) the transactions giving rise to obligations that are subject to collaborative Financial Instruments Debt Assumption Services; and

ja-jp	五　連携金融商品債務引受業務の方法に関する事項
en-us	(v) the particulars of the business method for collaborative Financial Instruments Debt Assumption Services.

ja-jp	２　前項の認可申請書には、次に掲げる書類を添付しなければならない。
en-us	(2) The following documents must accompany the written application for authorization referred to in the preceding paragraph:

ja-jp	一　連携金融商品債務引受業務に係る契約書（以下「連携契約書」という。）の写し
en-us	(i) a copy of the contract for collaborative Financial Instruments Debt Assumption Services (hereinafter referred to as the "Collaboration Agreement");

ja-jp	二　連携金融商品債務引受業務の内容及び方法として内閣府令で定めるものを記載した書類
en-us	(ii) a document stating the things specified by Cabinet Office Ordinance as constituting the business outline and business methods for collaborative Financial Instruments Debt Assumption Services;

ja-jp	三　連携清算機関等が金融商品取引清算機関又は外国金融商品取引清算機関以外の者であるときは、次に掲げる書類
en-us	(iii) if the collaborating Clearing Organization, etc. is neither a Financial Instruments Clearing Organization nor a Foreign Financial Instruments Clearing Organization, the following matters:

ja-jp	イ　連携清算機関等が次条第二項第一号から第四号までに掲げる要件に該当しない旨を誓約する書面
en-us	(a) a document pledging that the collaborating Clearing Organization, etc. does not fall under the purview of the requirement set forth in paragraph (2), items (i) to (iv) inclusive of the following Article;

ja-jp	ロ　連携清算機関等の定款及び業務方法書（これに準ずるものを含み、連携金融商品債務引受業務に係るものに限る。以下この節において同じ。）
en-us	(b) the articles of incorporation and business rules of the collaborating Clearing Organization, etc. (including anything equivalent to these, and limited to those that are related to collaborative Financial Instruments Debt Assumption Services; hereinafter the same applies in this Section);

ja-jp	ハ　連携清算機関等の業務（連携金融商品債務引受業務に係るものに限る。）の内容及び方法として内閣府令で定めるものを記載した書類
en-us	(c) a document stating the things specified by Cabinet Office Ordinance as constituting the business outline and business methods of the collaborating Clearing Organization, etc. (limited to business related to collaborative Financial Instruments Debt Assumption Services);

ja-jp	ニ　連携清算機関等の貸借対照表及び損益計算書
en-us	(d) the balance sheet and profit and loss statement of the collaborating Clearing Organization, etc.; and

ja-jp	ホ　連携清算機関等の収支の見込みを記載した書類
en-us	(e) documents stating the expected income and expenditures of the collaborating Clearing Organization, etc.

ja-jp	四　未決済債務等（第百五十六条の二十の十九第一項に規定する未決済債務等をいう。次条第一項第五号において同じ。）の決済を行うために必要な担保の徴求の方法その他の当該決済の仕組み及び当該決済の業務を行うための設備、人員その他の体制の概要を記載した書類
en-us	(iv) a document outlining the method of securing the collateral needed to settle outstanding obligations (meaning outstanding obligations as prescribed in Article 156-20-19, paragraph (1); hereinafter the same applies in paragraph (1), item (v) of the following Article) and other arrangements for settling them, and outlining the facilities, staff, and other systems for performing such settlement operations; and

ja-jp	五　前各号に掲げるもののほか、内閣府令で定める書類
en-us	(v) in addition to what is set forth in the preceding items, documents specified by Cabinet Office Ordinance.

ja-jp	３　前項の場合において、定款若しくは貸借対照表が電磁的記録で作成されているとき、又は損益計算書について書面に代えて電磁的記録の作成がされているときは、書類に代えて電磁的記録（内閣府令で定めるものに限る。）を添付することができる。
en-us	(3) In the case referred to in the preceding paragraph, if the articles of incorporation or balance sheet has been prepared as an electronic or magnetic record or an electronic or magnetic record has been prepared for a profit and loss statement in lieu of a written document, the electronic or magnetic record (limited to those specified by Cabinet Office Ordinance) may accompany the written application for authorization in lieu of the written document.

ja-jp	（認可審査基準）
en-us	(Examination Criteria for Authorization)

ja-jp	第百五十六条の二十の十八　内閣総理大臣は、前条第一項の規定による認可の申請があつた場合においては、その申請が次に掲げる基準に適合するかどうかを審査しなければならない。
en-us	Article 156-20-18 (1) Whenever an application for authorization under the provisions of paragraph (1) of the preceding Article is filed, the Prime Minister shall examine whether the application conforms to the following criteria:

ja-jp	一　連携清算機関等（金融商品取引清算機関又は外国金融商品取引清算機関以外の者に限る。次項及び次条において同じ。）がその本店又は主たる事務所が所在する国において第百五十六条の二の免許と同種類の免許又はこれに類する許可その他の行政処分を受けた者であること。
en-us	(i) the collaborating Clearing Organization, etc. (limited to one other than a Financial Instruments Clearing Organization or Foreign Financial Instruments Clearing Organization; hereinafter the same applies in the following paragraph and the following Article) has obtained the same kind of license as that referred to in Article 156-2 or permission or any other administrative disposition similar to such a license in the state where its head office or principal office is located;

ja-jp	二　連携清算機関等の定款及び業務方法書並びに連携契約書の規定が法令に適合し、かつ、認可申請者及び連携清算機関等の定款及び業務方法書並びに連携契約書の規定が連携金融商品債務引受業務及び連携清算機関等の業務（連携金融商品債務引受業務に係るものに限る。）を適正かつ確実に遂行するために十分であること
en-us	(ii) the provisions of the articles of incorporation and business rules of the collaborating Clearing Organization, etc., as well as the provisions of the Collaboration Agreement, conform to laws and regulations; and the provisions of the articles of incorporation and business rules of the applicant for authorization and the collaborating Clearing Organization, etc., as well as the provisions of the Collaboration Agreement, are sufficient to allow collaborative Financial Instruments Debt Assumption Services and business of the collaborating Clearing Organization, etc. (limited to business related to collaborative Financial Instruments Debt Assumption Services) to be performed properly and reliably;

ja-jp	三　認可申請者及び連携清算機関等が、連携金融商品債務引受業務及び連携清算機関等の業務（連携金融商品債務引受業務に係るものに限る。）を健全に遂行するに足りる財産的基礎を有し、かつ、連携金融商品債務引受業務に係る収支の見込みが良好であること。
en-us	(iii) the applicant for authorization and the collaborating Clearing Organization, etc. have a sufficient financial basis to soundly perform collaborative Financial Instruments Debt Assumption Services and conduct the business of the collaborating Clearing Organization, etc. (limited to those related to collaborative Financial Instruments Debt Assumption Services) and have good prospects in terms of expected income and expenditures in connection with collaborative Financial Instruments Debt Assumption Services;

ja-jp	四　認可申請者及び連携清算機関等が、その人的構成に照らして、連携金融商品債務引受業務及び連携清算機関等の業務（連携金融商品債務引受業務に係るものに限る。）を適正かつ確実に遂行することができる知識及び経験を有し、かつ、十分な社会的信用を有すること。
en-us	(iv) in light of their personnel structures, the applicant for authorization and the collaborating Clearing Organization, etc. have sufficient knowledge and experience to perform collaborative Financial Instruments Debt Assumption Services and to conduct the business of the collaborating Clearing Organization, etc. (limited to business related to collaborative Financial Instruments Debt Assumption Services) properly and reliably, and have sufficient social credibility;

ja-jp	五　未決済債務等の決済に充当する担保の適切な徴求、当該決済が円滑に行われるための信頼性の高い設備の運用その他当該決済が適正かつ確実に行われるための仕組み及び体制が十分に整備されていること。
en-us	(v) there is an adequately developed structure and system for properly securing collateral to allocate for settling outstanding obligations, for managing highly reliable facilities in order to facilitate such settlement, and for otherwise executing such settlement properly and reliably;

ja-jp	六　定款若しくは業務方法書又は連携契約書において、認可申請者が負担した対象取引に係る清算参加者の相手方の債務を確実に履行することが定められていること。
en-us	(vi) the articles of incorporation, business rules, or Collaboration Agreement stipulates that the applicant for authorization will reliably perform the obligations of the other party to a subject transaction by a Clearing Member that the applicant for authorization bears; and

ja-jp	七　認可申請者が連携金融商品債務引受業務を行うことにより、金融商品債務引受業を適正かつ確実に行うにつき支障を生ずるおそれがないこと。
en-us	(vii) it is unlikely that the applicant for authorization's engagement in collaborative Financial Instruments Debt Assumption Services will compromise its proper and reliable operation of Financial Instruments Debt Assumption Services.

ja-jp	２　内閣総理大臣は、前項の規定により審査した結果、その申請が同項の基準に適合していると認めたときは、次の各号のいずれかに該当する場合を除いて、その認可を与えなければならない。
en-us	(2) If, as a result of having conducted an examination pursuant to the provisions of the preceding paragraph, the Prime Minister finds that an application conforms to the criteria in that paragraph, the Prime Minister shall grant the authorization, except in a case that falls under one of the following items:

ja-jp	一　連携清算機関等が外国の法令に準拠し、当該外国において金融商品債務引受業と同種類の業務を開始してから政令で定める期間を経過するまでの者であるとき（政令で定める場合に該当するときを除く。）。
en-us	(i) the collaborating Clearing Organization, etc. is a person that has not yet had the period specified by Cabinet Order pass since it commenced the same kind of business as Financial Instruments Debt Assumption Services in a foreign state based on a foreign law or regulation (unless this falls under a case specified by Cabinet Order);

ja-jp	二　連携清算機関等がこの法律又はこの法律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つた日から五年を経過するまでの者であるとき。
en-us	(ii) the collaborating Clearing Organization, etc. is a person that has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of this Act or for violating the provisions of a foreign law or regulation that is equivalent to this Act, and five years have yet to pass since the day on which the person finished serving the sentence or ceased to be subject to its enforcement;

ja-jp	三　連携清算機関等が第百五十六条の二十の十四第一項若しくは第二項の規定により免許を取り消され、第五十二条第一項、第五十三条第三項、第五十七条の六第三項、第六十六条の二十第一項若しくは第六十六条の四十二第一項の規定により登録を取り消され、第六十条の八第一項の規定により許可を取り消され、若しくは第百六条の七第一項、第百六条の二十一第一項、第百六条の二十八第一項、第百五十五条の六、第百五十五条の十第一項若しくは第百五十六条の五の九第一項の規定により認可を取り消され、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受けている同種類の免許若しくは登録（当該免許又は登録に類する許可その他の行政処分を含む。）を取り消され、その取消しの日から五年を経過するまでの者であるとき。
en-us	(iii) the collaborating Clearing Organization, etc. is a person that has had its license rescinded pursuant to the provisions of Article 156-20-14, paragraph (1) or (2); has had its registration rescinded pursuant to the provision of Article 52, paragraph (1), Article 53, paragraph (3), Article 57-6, paragraph (3), Article 66-20, paragraph (1), or Article 66-42, paragraph (1); has had its permission rescinded pursuant to the provisions of Article 160-8, paragraph (1); or has had its authorization rescinded pursuant to the provisions of Article 106-7, paragraph (1), Article 106-21, paragraph (1), Article 106-28, paragraph (1), Article 155-6, Article 155-10, paragraph (1), or Article 156-5-9, paragraph (1); or is a person that had obtained a license or registration of the same kind in a foreign state pursuant to the provisions of a foreign law or regulation that is equivalent to this Act (including permission or any other administrative disposition similar to such a license or registration), but that has had that license or registration rescinded; and five years have yet to pass since the date of the rescission;

ja-jp	四　連携清算機関等の役員のうちに第八十二条第二項第三号イからへまでのいずれかに該当する者があるとき。
en-us	(iv) the collaborating Clearing Organization, etc. has a person falling under one of the categories in Article 82, paragraph (2), item (iii), sub-items (a) to (f) inclusive as an officer;

ja-jp	五　連携清算機関等の本店又は主たる事務所の所在する国のこの法律に相当する外国の法令を執行する当局の第百八十九条第二項第一号に規定する保証又はこれに準ずると認められるものがないとき。
en-us	(v) the authority responsible for the enforcement of the foreign law or regulation that is equivalent to this Act in the state where the head office or principal office of the collaborating Clearing Organization, etc. is located has not given the assurance prescribed in Article 189, paragraph (2), item (i) or done anything else that is found to be equivalent to such assurance; or

ja-jp	六　認可申請書又はこれに添付すべき書類若しくは電磁的記録のうちに重要な事項について虚偽の記載又は記録があるとき。
en-us	(vi) the application for authorization or a document or electronic or magnetic record that is required to accompany it contains a false statement or false record with regard to an important particular.

ja-jp	（特別清算手続等が開始されたときの手続等）
en-us	(Procedures at the Commencement of Special Liquidation Proceedings)

ja-jp	第百五十六条の二十の十九　連携清算機関等が業務方法書で未決済債務等（清算参加者が行つた対象取引の相手方から金融商品債務引受業として引受け、更改その他の方法により負担した当該対象取引に基づく債務、当該清算参加者から当該対象取引に基づく債務を負担した対価として当該清算参加者に対して取得した債権（当該債務と同一の内容を有するものに限る。）及び担保をいう。以下この項において同じ。）について差引計算の方法、担保の充当の方法その他の決済の方法を定めている場合において、清算参加者に特別清算手続、破産手続、再生手続又は更生手続が開始されたときは、これらの手続の関係において、未決済債務等に関する連携清算機関等又は当該清算参加者が有する請求権の額の算定その他の決済の方法は、当該業務方法書の定めに従うものとする。
en-us	Article 156-20-19 (1) If a collaborating Clearing Organization, etc. makes provisions in its business rules for the method of netting off outstanding obligations (meaning obligations which have arisen out of subject transactions effected by a Clearing Member and which the collaborating Clearing Organization, etc. has taken over from the other parties to those subject transactions or has novated or in any other way borne as Financial Instruments Debt Assumption Services; claims (limited to claims with the same contents as such obligations) that the collaborating Clearing Organization, etc. has acquired against a Clearing Member as the value of the obligations which have arisen out of subject transactions and which the collaborating Clearing Organization, etc. has borne for the Clearing Member; and collateral; hereinafter the same applies in this paragraph), the method of allocating collateral to cover outstanding obligations, or other means of settling outstanding obligations, and special liquidation proceedings, bankruptcy proceedings, rehabilitation proceedings, or reorganization proceedings have been commenced for a Clearing Member, the calculation of the amount of the claim that the collaborating Clearing Organization, etc. or the Clearing Member has in terms of the outstanding obligations and other means of settlement in relation to these proceedings, are to be in accordance with the provisions of the business rules.

ja-jp	２　破産手続、再生手続又は更生手続において、連携清算機関等が有する前項に規定する請求権は破産債権、再生債権又は更生債権とし、清算参加者が有する同項に規定する請求権は破産財団、再生債務者財産又は更生会社財産若しくは更生協同組織金融機関財産に属する財産とする。
en-us	(2) In bankruptcy proceedings, rehabilitation proceedings, or reorganization proceedings, the claims provided for in the preceding paragraph which a collaborating Clearing Organization, etc. has are bankruptcy claims, rehabilitation claims, or reorganization claims, and the claims provided for in that paragraph which a Clearing Member has are the property that is part of the bankruptcy estate, rehabilitation debtor's assets, the property of the corporation in need of reorganization, or the property of the cooperative financial institution in need of reorganization.

ja-jp	（認可の取消し）
en-us	(Rescission of Authorization)

ja-jp	第百五十六条の二十の二十　内閣総理大臣は、第百五十六条の二十の十六第一項の認可について、認可金融商品取引清算機関が当該認可を受けた当時既に第百五十六条の二十の十八第二項第六号に該当していたこと又は当該認可に係る連携清算機関等が同項第一号から第五号までのいずれかに該当していたことが判明したときは、当該認可を取り消すことができる。
en-us	Article 156-20-20 If an Authorized Financial Instruments Clearing Organization is discovered to have fallen under Article 156-20-18, paragraph (2), item (vi) at the time it obtained the authorization referred to in Article 156-20-16, paragraph (1), or it the collaborating Clearing Organization, etc. subject to that authorization is discovered to have fallen under one of the categories in items (i) to (v) inclusive of that paragraph, the Prime Minister may rescind that authorization.

ja-jp	（変更の認可等）
en-us	(Authorization of Changes)

ja-jp	第百五十六条の二十の二十一　認可金融商品取引清算機関は、第百五十六条の二十の十七第一項第四号若しくは第五号に掲げる事項又は同条第二項第一号若しくは第二号に掲げる書類に記載した事項を変更しようとするときは、内閣総理大臣の認可を受けなければならない。
en-us	Article 156-20-21 (1) An Authorized Financial Instruments Clearing Organization must obtain the authorization of the Prime Minister if it seeks to change a particular set forth in Article 156-20-17, paragraph (1), item (iv) or (v) or a particular stated in a document set forth in item (i) or (ii) of paragraph (2) of that Article.

ja-jp	２　認可金融商品取引清算機関は、第百五十六条の二十の十七第一項第二号若しくは第三号に掲げる事項又は同条第二項第三号ロ若しくはハに掲げる書類に記載した事項に変更があつたときは、内閣府令で定めるところにより、その旨を内閣総理大臣に届け出なければならない。
en-us	(2) If a particular set forth in Article 156-20-17, paragraph (1), item (ii) or (iii), or a particular stated in a document set forth in paragraph (2), item (iii), sub-item (b) or (c) of that Article changes, the Authorized Financial Instruments Clearing Organization must notify the Prime Minister of this, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	３　認可金融商品取引清算機関が連携金融商品債務引受業務を廃止したときは、第百五十六条の二十の十六第一項の認可は、その効力を失う。この場合において、当該認可金融商品取引清算機関は、内閣府令で定めるところにより、その旨を内閣総理大臣に届け出なければならない。
en-us	(3) If an Authorized Financial Instruments Clearing Organization discontinues collaborative Financial Instruments Debt Assumption Services, the authorization referred to in Article 156-20-16, paragraph (1) ceases to be valid. In such a case, the Authorized Financial Instruments Clearing Organization must notify the Prime Minister of this, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	（認可金融商品取引清算機関に対する監督上の処分）
en-us	(Supervisory Measures for Authorized Financial Instruments Clearing Organizations)

ja-jp	第百五十六条の二十の二十二　内閣総理大臣は、認可金融商品取引清算機関又は認可に係る連携清算機関等が次の各号のいずれかに該当する場合において、公益又は投資者保護のため必要かつ適当であると認めるときは、当該認可金融商品取引清算機関の第百五十六条の二十の十六第一項の認可を取り消し、六月以内の期間を定めてその連携金融商品債務引受業務の全部若しくは一部の停止を命じ、又はその連携金融商品債務引受業務の変更若しくは一部の禁止を命ずることができる。
en-us	Article 156-20-22 If an Authorized Financial Instruments Clearing Organization or the collaborating Clearing Organization, etc. subject to the authorization falls under one of the following items and the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister may rescind the Authorized Financial Instruments Clearing Organization's Article 156-20-16, paragraph (1) authorization, order the suspension of all or a part of its collaborative Financial Instruments Debt Assumption Services during a fixed period of no longer than six months, order a change in its collaborative Financial Instruments Debt Assumption Services, or issue an order prohibiting a part of its collaborative Financial Instruments Debt Assumption Services:

ja-jp	一　認可金融商品取引清算機関が次のいずれかに該当するとき。
en-us	(i) the Authorized Financial Instruments Clearing Organization falls under one of the following:

ja-jp	イ　第百五十六条の二十の十八第一項各号（第一号を除く。）に掲げる基準に適合しなくなつたとき。
en-us	(a) it becomes unable to satisfy a criterion set forth in one of the items of Article 156-20-18, paragraph (1) (excluding item (i));

ja-jp	ロ　認可に付した条件に違反したとき。
en-us	(b) it violates the conditions attached to authorization; or

ja-jp	ハ　法令若しくは法令に基づく行政官庁の処分又は当該認可金融商品取引清算機関の業務方法書若しくは連携契約書に違反したとき。
en-us	(c) it violates a law or regulation, a disposition by a government agency which is based on a law or regulation, the Authorized Financial Instruments Clearing Organization's business rules, or the Collaboration Agreement.

ja-jp	二　認可に係る連携清算機関等が次のいずれかに該当するとき。
en-us	(ii) the collaborating Clearing Organization, etc. subject to authorization falls under one of the following:

ja-jp	イ　第百五十六条の二十の十八第一項第一号から第五号までに掲げる基準に適合しなくなつたとき。
en-us	(a) it becomes unable to satisfy a criterion set forth in one of Article 156-20-18, paragraph (1), items (i) to (v) inclusive;

ja-jp	ロ　第百五十六条の二十の十八第二項第二号から第五号までのいずれかに該当することとなつたとき。
en-us	(b) it comes to fall under one of the categories in Article 156-20-18, paragraph (2), items (ii) to (v) inclusive,;

ja-jp	ハ　法令若しくは法令に基づく行政官庁の処分又は当該連携清算機関等の業務方法書若しくは連携契約書に違反したとき。
en-us	(c) it violates a law or regulation, a disposition by a government agency which is based on a law or regulation, or the business rules of the collaborating Clearing Organization, etc., or the Collaboration Agreement.

ja-jp	第四節　雑則
en-us	Section 4 Miscellaneous Provisions

ja-jp	（日本銀行からの意見聴取）
en-us	(Hearing of Opinions from the Bank of Japan)

ja-jp	第百五十六条の二十の二十三　内閣総理大臣は、この章の規定に基づく処分を行うために必要があると認めるときは、日本銀行に対し、意見を求めることができる。
en-us	Article 156-20-23 If the Prime Minister finds it to be necessary in order to reach a disposition based on the provisions of this Chapter, the Prime Minister may seek the opinion of the Bank of Japan.

ja-jp	（有価証券等清算取次ぎについての適用）
en-us	(Application to Brokerage for the Clearing of Securities)

ja-jp	第百五十六条の二十一　有価証券等清算取次ぎについては、有価証券等清算取次ぎを委託した顧客を当該有価証券等清算取次ぎに係る対象取引を行う者とみなして、第百十六条（第百三十二条において準用する場合を含む。）及び第百十九条第一項から第三項までの規定を適用する。
en-us	Article 156-21 (1) In Brokerage for the Clearing of Securities, etc., the customer that entrusts a person with Brokerage for the Clearing of Securities, etc. is deemed to be the person conducting the subject transaction that is connected with the Brokerage for the Clearing of Securities, etc., and the provisions of Article 116 (including as applied mutatis mutandis pursuant to Article 132) and Article 119, paragraphs (1) to (3) inclusive apply.

ja-jp	２　市場デリバティブ取引に係る有価証券等清算取次ぎの委託の取次ぎについては、有価証券等清算取次ぎを委託した顧客を当該市場デリバティブ取引の取次ぎを行う者とみなして、第百十九条第一項から第三項までの規定を適用する。
en-us	(2) In the brokerage of a person's entrustment with Brokerage for the Clearing of Securities, etc. in connection with a Market Transaction of Derivatives, the customer that entrusts a person with the Brokerage for the Clearing of Securities, etc. is deemed to be the person conducting the brokerage for the Market Transaction of Derivatives, and the provisions of Article 119, paragraphs (1) to (3) inclusive apply.

ja-jp	（内閣府令への委任）
en-us	(Delegation to Cabinet Office Ordinance)

ja-jp	第百五十六条の二十二　第百五十六条の二から前条までの規定を実施するための手続その他必要な事項は、内閣府令で定める。
en-us	Article 156-22 Procedures for the implementation of the provisions of Articles 156-2 to the preceding Article inclusive and particulars that are otherwise necessary for their implementation are specified by Cabinet Office Ordinance.

ja-jp	第五章の四　証券金融会社
en-us	Chapter V-4 Securities Finance Company

ja-jp	（最低資本金の額）
en-us	(Minimum Amount of Stated Capital)

ja-jp	第百五十六条の二十三　証券金融会社は、資本金の額が次条第一項に規定する業務を行うため必要かつ適当なものとして政令で定める金額以上の株式会社でなければならない。
en-us	Article 156-23 A Securities Finance Company must be a stock company whose amount of stated capital exceeds the amount that is specified by Cabinet Order as being necessary and appropriate in order for it to perform the business prescribed in paragraph (1) of the following Article.

ja-jp	（免許及び免許の申請）
en-us	(Licenses and License Applications)

ja-jp	第百五十六条の二十四　金融商品取引所の会員等又は認可金融商品取引業協会の協会員に対し、金融商品取引業者が顧客に信用を供与して行う有価証券の売買その他の取引（以下「信用取引」という。）その他政令で定める取引の決済に必要な金銭又は有価証券を、当該金融商品取引所が開設する取引所金融商品市場又は当該認可金融商品取引業協会が開設する店頭売買有価証券市場の決済機構を利用して貸し付ける業務を行おうとする者は、内閣総理大臣の免許を受けなければならない。
en-us	Article 156-24 (1) A person seeking use the clearing framework of a Financial Instruments Exchange Market operated by a Financial Instruments Exchange or the clearing framework of a Over-the-Counter Securities Market operated by an Authorized Financial Instruments Business Association, to engage in the business of lending, to the Members, etc. of that Financial Instruments Exchange or to the association members of that Authorized Financial Instruments Business Association, the money or Securities that are needed for the settlement of purchase and sales and other transactions of Securities that a Financial Services Provider effects by granting credit to a customer (hereinafter referred to as a "Margin Transaction") or for the settlement of a transaction specified by Cabinet Order, must be licensed by the Prime Minister.

ja-jp	２　前項の免許を受けようとする株式会社は、次に掲げる事項を記載した申請書を内閣総理大臣に提出しなければならない。
en-us	(2) A stock company seeking the license referred to in the preceding paragraph must submit a written application to the Prime Minister, in which it states the following particulars:

ja-jp	一　商号及び資本金の額
en-us	(i) its trade name and amount of stated capital;

ja-jp	二　本店、支店その他の営業所の名称及び所在の場所
en-us	(ii) the names and locations of its head office, branch offices, and other business offices; and

ja-jp	三　役員の氏名又は名称
en-us	(iii) the names of its officers.

ja-jp	３　前項の申請書には、定款、業務の内容及び方法を記載した書面その他内閣府令で定める書類を添付しなければならない。
en-us	(3) The articles of incorporation, documents giving a business outline and stating the business methods, and other documents specified by Cabinet Office Ordinance must accompany the written application referred to in the preceding paragraph.

ja-jp	４　第八十一条第三項の規定は、前項の定款について準用する。
en-us	(4) The provisions of Article 81, paragraph (3) apply mutatis mutandis to the articles of incorporation referred to in the preceding paragraph.

ja-jp	（免許審査基準）
en-us	(Licensing Examination Criteria)

ja-jp	第百五十六条の二十五　内閣総理大臣は、前条第二項の規定による申請書の提出があつた場合において、その申請者の人的構成、信用状態及び資金調達の能力に照らし、その申請者が証券金融会社としての業務を行うにつき十分な適格性を有するものであるかどうかを審査しなければならない。
en-us	Article 156-25 (1) Whenever a written application under the provisions of paragraph (2) of the preceding Article is submitted, the Prime Minister shall examine whether the applicant is sufficiently qualified to conduct business as a Securities Finance Company, in light of its personnel structure, credit status, and capacity for fund procurement.

ja-jp	２　内閣総理大臣は、前項の規定により審査した結果、その申請が同項の基準に適合していると認めたときは、次の各号のいずれかに該当する場合を除いて、その免許を与えなければならない。
en-us	(2) If, as a result of having conducted an examination pursuant to the provisions of the preceding paragraph, the Prime Minister finds that an application conforms to the criteria in that paragraph, the Prime Minister shall grant the license, except in a case that falls under one of the following items:

ja-jp	一　免許申請者が資本金の額が第百五十六条の二十三の政令で定める金額以上の株式会社でないとき。
en-us	(i) the license applicant is not a stock company with a stated capital exceeding the amount specified by Cabinet Order which is referred to in Article 156-23;

ja-jp	二　免許申請者が株式会社（次に掲げる機関を置くものに限る。）でないとき。
en-us	(ii) the license applicant is not a stock company (meaning a stock company that has the following organs):

ja-jp	イ　取締役会
en-us	(a) a board of directors; or

ja-jp	ロ　監査役又は委員会
en-us	(b) a company auditor or committees.

ja-jp	三　免許申請者が第二十九条の四第一項第一号ロに該当する者であるとき。
en-us	(iii) the license applicant is a person that falls under Article 29-4, paragraph (1), item (i), sub-item (b);

ja-jp	四　免許申請者が第百四十八条、第百五十二条第一項の規定により第八十条第一項の免許を取り消され、第百五十六条の十七第一項若しくは第二項の規定により第百五十六条の二の免許を取り消され、若しくは次条において準用する第百四十八条若しくは第百五十六条の三十二第一項の規定により前条第一項の免許を取り消され、又は第五十二条第一項、第五十三条第三項、第五十四条若しくは第五十七条の六第三項の規定により第二十九条の登録を取り消され、第六十六条の二十第一項の規定により第六十六条の登録を取り消され、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受けている同種類の免許若しくは登録（当該免許又は登録に類する許可その他の行政処分を含む。）を取り消され、若しくは第六十六条の四十二第一項の規定により第六十六条の二十七の登録を取り消され、その取消しの日から五年を経過するまでの会社であるとき。
en-us	(iv) the license applicant is a company that has had the license referred to in Article 80, paragraph (1) rescinded pursuant to the provisions of Article 148 or Article 152, paragraph (1); has had the license referred to in Article 156-2 rescinded pursuant to the provisions of Article 156-17, paragraph (1) or (2); has had the license referred to in paragraph (1) of the preceding Article rescinded pursuant to the provisions of Article 148 or Article 156-32, paragraph (1) as applied mutatis mutandis pursuant to the following Article; has had the registration referred to in Article 29 rescinded pursuant to the provisions of Article 52, paragraph (1), Article 53, paragraph (3), Article 54, or Article 57-6, paragraph (3); has had the registration referred to in Article 66 rescinded pursuant to the provisions of Article 66-20, paragraph (1); or the license applicant is a company that had obtained a license or registration of the same kind in a foreign state pursuant to the provisions of a foreign law or regulation that is equivalent to this Act (including permission or any other administrative disposition similar to such a license or registration), but that has had that license or registration rescinded or is a company that has had the registration referred to in Article 66-27 rescinded pursuant to the provisions of Article 66-42, paragraph (1); and five years have yet to pass since the date of the rescission;

ja-jp	五　免許申請者の取締役、会計参与、監査役又は執行役のうちに第八十二条第二項第三号イ、ロ又はホのいずれかに該当する者のある会社であるとき。
en-us	(v) the license applicant is a company that has a person falling under one of the categories in Article 82, paragraph (2), item (iii), sub-items (a), (b) and (e) as a director, accounting advisor, company auditor, or executive officer; or

ja-jp	六　免許申請書又はこれに添付すべき書類若しくは電磁的記録のうちに重要な事項について虚偽の記載又は記録があるとき。
en-us	(vi) the license application or a document or electronic or magnetic record that is required to accompany it contains a false statement or false record about a material particular.

ja-jp	（免許の拒否等の準用）
en-us	(Mutatis Mutandis Application of Provisions for Refusal of a License)

ja-jp	第百五十六条の二十六　第八十三条及び第百四十八条の規定は、証券金融会社の免許について準用する。この場合において、同条中「第八十二条第二項各号のいずれか」とあるのは、「第百五十六条の二十五第二項各号のいずれか」と読み替えるものとする。
en-us	Article 156-26 The provisions of Articles 83 and 148 apply mutatis mutandis to the license of a Securities Finance Company. In this case, in Article 148, the phrase "one of the categories in the items of Article 82, paragraph (2)" is deemed to be replaced with "one of the categories in the items of Article 156-25, paragraph (2)".

ja-jp	（兼業の制限）
en-us	(Restriction on Concurrent Business)

ja-jp	第百五十六条の二十七　証券金融会社は、第百五十六条の二十四第一項に規定する業務の遂行を妨げない限度において、当該業務のほか、次に掲げる業務を行うことができる。
en-us	Article 156-27 (1) A Securities Finance Company may conduct the following business in addition to the business prescribed in Article 156-24, paragraph (1), to the extent that such concurrent business does not obstruct the execution of the business prescribed in that paragraph:

ja-jp	一　有価証券の貸借（第百五十六条の二十四第一項に規定する業務を除く。）又は有価証券の貸借の媒介若しくは代理
en-us	(i) the lending and borrowing of Securities (excluding the business prescribed in Article 156-24, paragraph (1)), or intermediation or agency for the lending and borrowing of Securities;

ja-jp	二　金融商品取引業者に対する金銭の貸付け（第百五十六条の二十四第一項に規定する業務を除く。）
en-us	(ii) the lending of money to Financial Services Providers (excluding business prescribed in Article 156-24, paragraph (1));

ja-jp	三　金融商品取引業者の顧客に対する金銭の貸付け
en-us	(iii) the lending of money to the customers of Financial Services Providers; and

ja-jp	四　その他内閣府令で定める業務
en-us	(iv) other business specified by Cabinet Office Ordinance.

ja-jp	２　証券金融会社は、前項各号の業務を行おうとするときは、内閣府令で定めるところにより、その旨を内閣総理大臣に届け出なければならない。
en-us	(2) If a Securities Finance Company seeks to conduct business prescribed in one of the items of the preceding paragraph, it must notify the Prime Minister of this pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	３　証券金融会社は、第一項及び第百五十六条の二十四第一項の規定により行う業務のほか、内閣総理大臣の承認を受けた業務を行うことができる。
en-us	(3) A Securities Finance Company may conduct business for which it has obtained the approval of the Prime Minister, in addition to business prescribed in paragraph (1) of this Article and Article 156-24, paragraph (1).

ja-jp	４　内閣総理大臣は、前項の承認を受けようとする証券金融会社がある場合において、当該証券金融会社がその承認を受けようとする業務を兼ねて行うことが第百五十六条の二十四第一項に規定する業務の遂行を妨げるものであると認めるときは、当該証券金融会社に通知して当該職員に審問を行わせた後、前項の承認を与えないことができる。
en-us	(4) If a Securities Finance Company seeks the approval referred to in the preceding paragraph but the Prime Minister finds that the Securities Finance Company's concurrent engagement in the business for which it seeks approval would impede its execution of the business prescribed in Article 156-24, paragraph (1), the Prime Minister may refuse to grant the approval referred to in the preceding paragraph, after notifying the Securities Finance Company and having the relevant official conduct a hearing.

ja-jp	（業務の内容の変更等の認可等）
en-us	(Authorization of Changes to a Business Outline)

ja-jp	第百五十六条の二十八　証券金融会社は、第百五十六条の二十四第一項に規定する業務の内容若しくは方法を変更しようとするとき、又は資本金の額を減少しようとするときは、内閣総理大臣の認可を受けなければならない。
en-us	Article 156-28 (1) A Securities Finance Company must obtain the authorization of the Prime Minister if it seeks to change the business outline or business methods for business prescribed in Article 156-24, paragraph (1), or to reduce its stated capital.

ja-jp	２　証券金融会社は、金銭若しくは有価証券の貸付け（第百五十六条の二十四第一項に規定する業務に係るものに限る。）の条件を決定若しくは変更しようとするとき、資本金の額を増加しようとするとき、又は商号を変更しようとするときは、内閣府令で定めるところにより、内閣総理大臣に届け出なければならない。
en-us	(2) A Securities Finance Company shall notify the Prime Minister pursuant to the provisions of Cabinet Office Ordinance if it seeks to set or change the conditions for lending money or Securities (limited to lendings in connection with the business prescribed in Article 156-24, paragraph (1)), to increase its stated capital, or to change its trade name.

ja-jp	３　証券金融会社は、次の各号のいずれかに該当することとなったときは、内閣府令で定めるところにより、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
en-us	(3) If a Securities Finance Company comes to fall under one of the following items, it must notify the Prime Minister of this without delay, pursuant to the provisions of Cabinet Office Ordinance:

ja-jp	一　第百五十六条の二十四第二項第二号又は第三号に掲げる事項に変更があつたとき。
en-us	(i) a particular set forth in Article 156-24, paragraph (2), item (ii) or (iii) changes;

ja-jp	二　前条第二項の届出に係る業務を廃止したとき。
en-us	(ii) it discontinues the business to which the notification referred to in paragraph (2) of the preceding Article pertains; or

ja-jp	三　前条第三項の承認に係る業務を廃止したとき。
en-us	(iii) it discontinues the business to which the approval referred to in paragraph (3) of the preceding Article pertains.

ja-jp	（業務の方法等の変更命令等）
en-us	(Order for a Change of Business Methods)

ja-jp	第百五十六条の二十九　内閣総理大臣は、証券金融会社の金銭又は有価証券の貸付け（第百五十六条の二十四第一項に規定する業務に係るものに限る。）の方法又は条件について、これらが一般の経済状況にかんがみて適正を欠くに至つたと認められる場合又は取引所金融商品市場若しくは店頭売買有価証券市場に不健全な取引の傾向がある場合において、取引所金融商品市場若しくは店頭売買有価証券市場における売買を公正にし、又は有価証券の流通を円滑にするために特に必要があると認めるときは、その変更を命ずることができる。この場合においては、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
en-us	Article 156-29 The Prime Minister may order a change of methods by which or conditions under which a Securities Finance Company lends money or Securities (limited to lending connected with the business prescribed in Article 156-24, paragraph (1)), if those methods or conditions are found to have become inappropriate in light of general economic conditions or the transactions on the Financial Instruments Exchange Market or Over-the-Counter Securities Market tend to be unsound, and the Prime Minister finds it to be particularly necessary for facilitating fair purchase and sales on the Financial Instruments Exchange Market or Over-the-Counter Securities Market as well as for achieving a smooth distribution of Securities. In such a case, irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act, the Prime Minister must conduct a hearing.

ja-jp	（代表取締役等の適格性等）
en-us	(Eligibility as a Representative Director)

ja-jp	第百五十六条の三十　証券金融会社の代表取締役又は代表執行役は、金融商品取引業者の役員及び使用人以外の者でなければならない。
en-us	Article 156-30 (1) The representative director or representative executive officer of a Securities Finance Company must be a person that is not the officer or employee of a Financial Services Provider.

ja-jp	２　会社法第三百三十一条第二項ただし書（同法第三百三十五条第一項において準用する場合を含む。）、第三百三十二条第二項（同法第三百三十四条第一項において準用する場合を含む。）、第三百三十六条第二項及び第四百二条第五項ただし書の規定は、証券金融会社については、適用しない。
en-us	(2) The provisions of the proviso to Article 331, paragraph (2) of the Companies Act (including as applied mutatis mutandis pursuant to Article 335, paragraph (1) of that Act) and of Article 332, paragraph (2) (including as applied mutatis mutandis pursuant to Article 334, paragraph (1) of that Act); Article 336, paragraph (2); and the proviso to Article 402, paragraph (5) of that Act do not apply to a Securities Finance Company.

ja-jp	（取締役等の兼職制限等）
en-us	(Restriction on the Concurrent Holding of Positions by Directors)

ja-jp	第百五十六条の三十一　第八十二条第二項第三号イ、ロ又はホのいずれかに該当する者は、証券金融会社の取締役、会計参与、監査役又は執行役となることができない。
en-us	Article 156-31 (1) A person that falls under one of the categories in Article 82, paragraph (2), item (iii), sub-items (a), (b) or (e) may not become the director, accounting advisor, company auditor, or executive officer of a Securities Finance Company.

ja-jp	２　証券金融会社の役員が前項に規定する者に該当することとなったときは、その職を失う。
en-us	(2) The officer of a Securities Finance Company loses that position if that officer comes to fall under a category of person provided for in the preceding paragraph.

ja-jp	３　内閣総理大臣は、不正の手段により証券金融会社の役員となった者があることが判明したとき、又は証券金融会社若しくはその役員が法令若しくは法令に基づいてする行政官庁の処分に違反したときは、当該証券金融会社に対し、その役員の解任を命ずることができる。
en-us	(3) If the Prime Minister discovers that a person has become the officer of a Securities Finance Company by wrongful means, or if a Securities Finance Company or its officer violates a law or regulation or a disposition by a government agency which is based on a law or regulation, the Prime Minister may order the Securities Finance Company to dismiss that officer.

ja-jp	（指定紛争解決機関との契約締結義務等）
en-us	(Obligation to Conclude a Contract with a Designated Dispute Resolution Organization)

ja-jp	第百五十六条の三十一の二　証券金融会社であつて第百五十六条の二十七第一項第一号、第三号又は第四号の業務を行う者は、次の各号に掲げる場合の区分に応じ、当該各号に定める措置を講じなければならない。
en-us	Article 156-31-2 (1) A Securities Finance Company that conducts the business referred to in Article 156-27, paragraph (1), item (i), (iii), or (iv) must take the measures specified in the relevant of the following items for the category of cases set forth in that item:

ja-jp	一　指定証券金融会社紛争解決機関（指定紛争解決機関であつてその紛争解決等業務の種別が特定証券金融会社業務（第百五十六条の三十八第七項に規定する特定証券金融会社業務をいう。以下この項において同じ。）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　一の指定証券金融会社紛争解決機関との間で特定証券金融会社業務に係る手続実施基本契約を締結する措置
en-us	(i) if there is a Designated Dispute Resolution Organization for Securities Finance Companies (meaning a Designated Dispute Resolution Organization for which the Category of Dispute Resolution Services is the Specified Services of a Securities Finance Company (meaning the Specified Services of a Securities Finance Company as defined in Article 156-38, paragraph (7); hereinafter the same applies in this paragraph); hereinafter the same applies in this Article): measures to conclude a Basic Contract for the Implementation of Dispute Resolution Procedures in connection with the Specified Services of a Securities Finance Company with a single Designated Dispute Resolution Organization for Securities Finance Companies; or

ja-jp	二　指定証券金融会社紛争解決機関が存在しない場合　特定証券金融会社業務に関する苦情処理措置及び紛争解決措置
en-us	(ii) if there is no Designated Dispute Resolution Organization for Securities Finance Companies: complaint processing measures and dispute resolution measures in connection with the Specified Services of a Securities Finance Company.

ja-jp	２　証券金融会社は、前項の規定により手続実施基本契約を締結する措置を講じた場合には、当該手続実施基本契約の相手方である指定証券金融会社紛争解決機関の商号又は名称を公表しなければならない。
en-us	(2) If a Securities Finance Company takes measures to conclude a Basic Contract for the Implementation of Dispute Resolution Procedures pursuant to the provisions of the preceding paragraph, it shall publicly announce the trade name or name of the Designated Dispute Resolution Organization for Securities Finance Companies that is the other party to the Basic Contract for the Implementation of Dispute Resolution Procedures.

ja-jp	３　第一項の規定は、次の各号に掲げる場合の区分に応じ、当該各号に定める期間においては、適用しない。
en-us	(3) The provisions of paragraph (1) do not apply to the period specified in the relevant of the following items for the category of cases set forth in that item:

ja-jp	一　第一項第一号に掲げる場合に該当していた場合において、同項第二号に掲げる場合に該当することとなつたとき　第百五十六条の六十第一項の規定による紛争解決等業務の廃止の認可又は第百五十六条の六十一第一項の規定による指定の取消しの時に、同号に定める措置を講ずるために必要な期間として内閣総理大臣が定める期間
en-us	(i) a case that formerly fell under the category of case set forth in paragraph (1), item (i), which has come to fall under the category of case set forth in item (ii) of that paragraph: the period that the Prime Minister specifies as the period necessary for taking the measures set forth in paragraph (1), item (ii) at the time of granting the authorization to discontinue Dispute Resolution Services, etc. under Article 156-60, paragraph (1) or at the time of rescinding the designation under Article 156-61, paragraph (1);

ja-jp	二　第一項第一号に掲げる場合に該当していた場合において、同号の一の指定証券金融会社紛争解決機関の紛争解決等業務の廃止が第百五十六条の六十第一項の規定により認可されたとき、又は同号の一の指定証券金融会社紛争解決機関の第百五十六条の三十九第一項の規定による指定が第百五十六条の六十一第一項の規定により取り消されたとき（前号に掲げる場合を除く。）　その認可又は取消しの時に、第一項第一号に定める措置を講ずるために必要な期間として内閣総理大臣が定める期間
en-us	(ii) a case that formerly fell under the category of case set forth in paragraph (1), item (i), in which the discontinuation of the Dispute Resolution Services, etc. of a single Designated Dispute Resolution Organization for Securities Finance Companies under that item has been authorized pursuant to Article 156-60, paragraph (1) or the designation under Article 156-39, paragraph (1) of a single Designated Dispute Resolution Organization for Securities Finance Companies under that item has been rescinded pursuant to Article 156-61, paragraph (1) (excluding a case set forth in the preceding item): the period specified by the Prime Minister as the period necessary for taking the measures set forth in paragraph (1), item (i) at the time of granting that authorization or making such rescission; or

ja-jp	三　第一項第二号に掲げる場合に該当していた場合において、同項第一号に掲げる場合に該当することとなつたとき　第百五十六条の三十九第一項の規定による指定の時に、同号に定める措置を講ずるために必要な期間として内閣総理大臣が定める期間
en-us	(iii) a case that formerly fell under the category of case set forth in paragraph (1), item (ii), which has come to fall under the category of case set forth in item (i) of that paragraph: the period specified by the Prime Minister as the period necessary for taking the measures set forth in that item at the time of the designation under Article 156-39, paragraph (1).

ja-jp	（監督上の処分等）
en-us	(Supervisory Measures)

ja-jp	第百五十六条の三十二　内閣総理大臣は、証券金融会社が、法令又は法令に基づいてする行政官庁の処分に違反したときは、その免許を取り消し、又は六月以内の期間を定めてその業務の全部若しくは一部の停止を命ずることができる。
en-us	Article 156-32 (1) If a Securities Finance Company violates a law or regulation or a disposition by a government agency which is based on a law or regulation, the Prime Minister may rescind its license or order the suspension of all or a part of its business activities during a fixed period of no longer than six months.

ja-jp	２　内閣総理大臣は、前項の規定により業務の停止を命じようとするときは、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
en-us	(2) Irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act, before seeking to order the suspension of business pursuant to the provisions of the preceding paragraph, the Prime Minister must conduct a hearing.

ja-jp	（業務改善命令等）
en-us	(Business Improvement Orders)

ja-jp	第百五十六条の三十三　内閣総理大臣は、第百五十六条の二十九の規定による命令のほか、証券金融会社の業務の運営又は財産の状況に関し、公益又は投資者保護のため必要かつ適当であると認めるときは、その必要の限度において、当該証券金融会社に対し、業務の内容若しくは方法の変更その他業務の運営又は財産の状況の改善に必要な措置をとるべきことを命ずることができる。
en-us	Article 156-33 (1) In addition to issuing an order under Article 156-29, if the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors as concerns a Securities Finance Company's business operations or the state of its assets, the Prime Minister, within the scope of this necessity, may order the Securities Finance Company to change its business outline or business methods, or to otherwise take measures that are necessary for improving its business operations or the state of its assets.

ja-jp	２　内閣総理大臣は、前項の規定による命令をしようとするときは、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
en-us	(2) Irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act, before seeking to issue an order under the provisions of the preceding paragraph, the Prime Minister must conduct a hearing.

ja-jp	（報告の徴取及び検査）
en-us	(Collection of Reports and Inspections)

ja-jp	第百五十六条の三十四　内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、証券金融会社若しくは当該証券金融会社から業務の委託を受けた者に対し、当該証券金融会社の業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ、又は当該職員に、当該証券金融会社若しくは当該証券金融会社から業務の委託を受けた者の業務若しくは財産の状況若しくは帳簿書類その他の物件の検査（当該証券金融会社から業務の委託を受けた者にあっては、当該証券金融会社の業務又は財産に関し必要なものに限る。）をさせることができる。
en-us	Article 156-34 Whenever the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister may order a Securities Finance Company or the person that a Securities Finance Company has entrusted with its business to submit reports or materials that should serve as a reference with regard to the business or assets of the Securities Finance Company, and may have the relevant officials inspect the state of the business or assets, or the books and documents or any other articles, of a Securities Finance Company or the person that a Securities Finance Company has entrusted with its business (but may only have the relevant officials inspect the person that a Securities Finance Company has entrusted with its business as is necessary in connection with the business or assets of the Securities Finance Company).

ja-jp	（事業報告書の提出）
en-us	(Submission of Business Report)

ja-jp	第百五十六条の三十五　証券金融会社は、事業年度ごとに、内閣府令で定めるところにより、事業報告書を作成し、毎事業年度経過後三月以内に、これを内閣総理大臣に提出しなければならない。
en-us	Article 156-35 Each business year, pursuant to the provisions of Cabinet Office Ordinance, a Securities Finance Company shall prepare a business report and submit it to the Prime Minister within three months after the end of the business year.

ja-jp	（廃業等の認可）
en-us	(Authorization for Business Discontinuance)

ja-jp	第百五十六条の三十六　次に掲げる事項は、内閣総理大臣の認可を受けなければ、その効力を生じない。
en-us	Article 156-36 The following particulars do not become effective without the authorization of the Prime Minister:

ja-jp	一　証券金融会社の業務（第百五十六条の二十四第一項に規定する業務に限る。）の廃止又は解散の決議
en-us	(i) a resolution to discontinue the business of a Securities Finance Company (limited to the business prescribed in Article 156-24, paragraph (1)), or a resolution to dissolve a Securities Finance Company; and

ja-jp	二　証券金融会社を当事者とする合併、分割又は事業の全部若しくは一部の譲渡若しくは譲受け
en-us	(ii) a merger, company split, or transfer or acquisition of all or a part of business operations, to which a Securities Finance Company is the party.

ja-jp	（内閣府令への委任）
en-us	(Delegation to Cabinet Office Ordinance)

ja-jp	第百五十六条の三十七　第百五十六条の二十三から前条までの規定を実施するための手続その他必要な事項は、内閣府令で定める。
en-us	Article 156-37 Procedures for the implementation of the provisions of Article 156-23 to the preceding Article inclusive and particulars that are otherwise necessary for their implementation are specified by Cabinet Office Ordinance.

ja-jp	第五章の五　指定紛争解決機関
en-us	Chapter V-5 Designated Dispute Resolution Organizations

ja-jp	第一節　総則
en-us	Section 1 General Provisions

ja-jp	第百五十六条の三十八　この章において「指定紛争解決機関」とは、次条第一項の規定による指定を受けた者をいう。
en-us	Article 156-38 (1) The term "Designated Dispute Resolution Organization" as used in this Chapter means a person that has obtained the designation under paragraph (1) of the following Article.

ja-jp	２　この章において「特定第一種金融商品取引業務」とは、金融商品取引業者が行う第二十八条第一項各号に掲げる行為に係る業務及び第三十五条第一項の規定により行う業務並びに当該金融商品取引業者のために金融商品仲介業者が行う第二条第十一項第一号から第三号までに掲げる行為に係る業務をいう。
en-us	(2) The term "Specified Type I Financial Instruments Transaction Services" as used in this Chapter means services that a Financial Services Provider performs in connection with the acts set forth in the items of Article 28, paragraph (1) and services it performs pursuant to Article 35, paragraph (1), as well as services that a Financial Instruments Intermediary provides on behalf of a Financial Services Provider, in connection with the acts set forth in Article 2, paragraph (11), items (i) to (iii) inclusive.

ja-jp	３　この章において「特定第二種金融商品取引業務」とは、金融商品取引業者が行う第二十八条第二項各号に掲げる行為に係る業務（第六十三条第一項第一号に掲げる行為に係る業務を除く。）及びこれに付随する業務をいう。
en-us	(3) The term "Specified Type II Financial Instruments Transaction Services" as used in this Chapter means services that a Financial Services Provider performs in connection with the acts set forth in the items of Article 28, paragraph (2) (excluding services in connection with the acts set forth in Article 63, paragraph (1), item (i)) and services incidental thereto.

ja-jp	４　この章において「特定投資助言・代理業務」とは、金融商品取引業者が行う第二十八条第三項各号に掲げる行為に係る業務及びこれに付随する業務をいう。
en-us	(4) The term "Specified Investment Advisory and Agency Services" as used in this Chapter means services that a Financial Services Provider performs in connection with the acts set forth in the items of Article 28, paragraph (3), and services incidental thereto.

ja-jp	５　この章において「特定投資運用業務」とは、金融商品取引業者が行う第二十八条第四項各号に掲げる行為に係る業務（第六十三条第一項第二号に掲げる行為に係る業務を除く。）及び第三十五条第一項の規定により行う業務並びに当該金融商品取引業者のために金融商品仲介業者が行う第二条第十一項第四号に掲げる行為に係る業務をいう。
en-us	(5) The term "Specified Investment Management" as used in this Chapter means services that a Financial Services Provider performs in connection with the acts set forth in the items of Article 28, paragraph (4) (excluding services in connection with the acts set forth in Article 63, paragraph (1), item (ii)) and services it performs pursuant to Article 35, paragraph (1), as well as services that a Financial Instruments Intermediary performs on behalf of a Financial Services Provider, in connection with the acts set forth in Article 2, paragraph (11), item (iv) .

ja-jp	６　この章において「特定登録金融機関業務」とは、登録金融機関が行う第三十三条の二の登録に係る業務及びこれに付随する業務、当該登録金融機関のために特定金融商品取引業務（第三十三条の八第二項に規定する特定金融商品取引業務をいう。以下この項において同じ。）を行う者が行う特定金融商品取引業務並びに当該登録金融機関のために金融商品仲介業者が行う第二条第十一項第一号から第四号までに掲げる行為に係る業務をいう。
en-us	(6) The term "Specified Services of a Registered Financial Institution" as used in this Chapter means services that a registered financial institution performs in connection with the registration under Article 33-2 and services incidental thereto, the Specified Financial Instruments Transaction Services (meaning Specified Financial Instruments Transaction Services defined in Article 33-8, paragraph (2); hereinafter the same applies in this paragraph) that a person performing Specified Financial Instruments Transaction Services for that registered financial institution performs, as well as services that a Financial Instruments Intermediary performs on behalf of the registered financial institution, in connection with the acts set forth in Article 2, paragraph (11), items (i) to (iv) inclusive.

ja-jp	７　この章において「特定証券金融会社業務」とは、証券金融会社が第百五十六条の二十七第一項第一号、第三号及び第四号の規定により行う業務をいう。
en-us	(7) The term "Specified Services of a Securities Finance Company" as used in this Chapter means services that a Securities Finance Company performs pursuant to the provisions of Article 156-27, paragraph (1), items (i), (iii) and (iv).

ja-jp	８　この章において「金融商品取引業等業務」とは、特定第一種金融商品取引業務、特定第二種金融商品取引業務、特定投資助言・代理業務、特定投資運用業務、特定登録金融機関業務又は特定証券金融会社業務をいう。
en-us	(8) The term "Financial Instruments Transaction Services" as used in this Chapter means Specified Type I Financial Instruments Transaction Services, Specified Type II Financial Instruments Transaction Services, Specified Investment Advisory and Agency Services, Specified Investment Management, the Specified Services of a Registered Financial Institution, or the Specified Services of a Securities Finance Company.

ja-jp	９　この章において「苦情処理手続」とは、金融商品取引業等業務関連苦情（金融商品取引業等業務に関する苦情をいう。第百五十六条の四十四、第百五十六条の四十五及び第百五十六条の四十九において同じ。）を処理する手続をいう。
en-us	(9) The term "Complaint Processing Procedures" as used in this Chapter means procedures for processing complaints related to Financial Instruments Transaction Services (meaning the complaints about Financial Instruments Transaction Services; the same applies in Article 156-44, Article 156-45 and Article 156-49).

ja-jp	１０　この章において「紛争解決手続」とは、金融商品取引業等業務関連紛争（金融商品取引業等業務に関する紛争で当事者が和解をすることができるものをいう。第百五十六条の四十四、第百五十六条の四十五及び第百五十六条の五十から第百五十六条の五十二までにおいて同じ。）について訴訟手続によらずに解決を図る手続をいう。
en-us	(10) The term "Dispute Resolution Procedures" as used in this Chapter means procedures to resolve disputes related to Financial Instruments Transaction Services (meaning disputes concerning Financial Instruments Transaction Services which can be settled between the parties; the same applies in Article 156-44, Article 156-45 and Articles 156-50 to 156-52 inclusive) without using court proceedings.

ja-jp	１１　この章において「紛争解決等業務」とは、苦情処理手続及び紛争解決手続に係る業務並びにこれに付随する業務をいう。
en-us	(11) The term "Dispute Resolution Services, etc." as used in this Chapter means to the services involved in Complaint Processing Procedures and Dispute Resolution Procedures, as well as services incidental thereto.

ja-jp	１２　この章において「紛争解決等業務の種別」とは、紛争解決等業務に係る特定第一種金融商品取引業務、特定第二種金融商品取引業務、特定投資助言・代理業務、特定投資運用業務、特定登録金融機関業務及び特定証券金融会社業務の種別をいう。
en-us	(12) The term "Category of Dispute Resolution Services" as used in this Chapter means whether Dispute Resolution Services, etc. are connected with Specified Type I Financial Instruments Transaction Services, Specified Type II Financial Instruments Transaction Services, Specified Investment Advisory and Agency Services, Specified Investment Management, the Specified Services of a Registered Financial Institution, or the Specified Services of a Securities Finance Company.

ja-jp	１３　この章において「手続実施基本契約」とは、紛争解決等業務の実施に関し指定紛争解決機関と金融商品取引関係業者（金融商品取引業者等又は証券金融会社をいう。次条、第百五十六条の四十二第二項、第百五十六条の四十四及び第百五十六条の五十六第一号において同じ。）との間で締結される契約をいう。
en-us	(13) The term "Basic Contract for the Implementation of Dispute Resolution Procedures" as used in this Chapter means a contract concluded between a Designated Dispute Resolution Organization and a person or firm involved in Financial Instruments Transactions (meaning a Financial Services Provider, etc. or a Securities Finance Company; the same applies in the following Article, Article 156-42, paragraph (2), Article 156-44, and Article 156-56, item (i)) with regard to the implementation of Dispute Resolution Services, etc.

ja-jp	（紛争解決等業務を行う者の指定）
en-us	(Designation of a Person to Conduct Dispute Resolution Services, etc.)

ja-jp	第百五十六条の三十九　内閣総理大臣は、次に掲げる要件を備える者を、その申請により、紛争解決等業務を行う者として、指定することができる。
en-us	Article 156-39 (1) At the application of a person satisfying the following requirements, the Prime Minister may designate that person as a person that conducts Dispute Resolution Services, etc.:

ja-jp	一　法人（法人でない団体で代表者又は管理人の定めのあるものを含み、外国の法令に準拠して設立された法人その他の外国の団体を除く。第四号ニにおいて同じ。）であること。
en-us	(i) it is a corporation (including an organization without legal personality for which a representative or administrator has been designated and excluding a corporation incorporated based on foreign laws and regulations and any other foreign organizations; the same applies in item (iv), sub-item (d));

ja-jp	二　第百五十六条の六十一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、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つ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を取り消され、その取消しの日から五年を経過しない者でないこと。
en-us	(ii) it does not fall under the category of a person that has had a designation under this paragraph rescinded pursuant to Article 156-61, paragraph (1) and not yet had five years pass since the date of the rescission, nor does it fall under the category of a person that has had the designation under the provisions of other Acts which is specified by Cabinet Order as involving business equivalent to Dispute Resolution Services, etc. rescinded, and not yet had five years pass since the date of the rescission;

ja-jp	三　この法律若しくは弁護士法（昭和二十四年法律第二百五号）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つた日から五年を経過しない者でないこと。
en-us	(iii) it does not fall under the category of a person that has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of this Act or the Attorney Act (Act No. 205 of 1949) or for violating the provisions of a foreign law or regulation that is equivalent to one of these Acts, and not yet had five years pass since the day on which it finished serving the sentence or ceased to be subject to its enforcement;

ja-jp	四　役員（法人でない団体で代表者又は管理人の定めのあるものの代表者又は管理人を含む。以下この章において同じ。）のうちに、次のいずれかに該当する者がないこと。
en-us	(iv) it has no officer (including the representative or administrator of an organization without legal personality for which a representative or administrator has been designated; hereinafter the same applies in this Chapter) that falls under one of the following categories of persons:

ja-jp	イ　成年被後見人若しくは被保佐人又は外国の法令上これらと同様に取り扱われている者
en-us	(a) an adult ward or a person under curatorship, or a person that is treated in the same manner under foreign laws and regulations;

ja-jp	ロ　破産者で復権を得ないもの又は外国の法令上これと同様に取り扱われている者
en-us	(b) a bankrupt that has not obtained a restoration of rights, or a person that is treated in the same manner under foreign laws and regulations;

ja-jp	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つた日から五年を経過しない者
en-us	(c) a person that has been sentenced to imprisonment or a heavier punishment (including an equivalent sentence under foreign laws and regulations), if five years have not yet passed since the day on which the person finished serving the sentence or ceased to be subject to its enforcement;

ja-jp	ニ　第百五十六条の六十一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、その取消しの日前三十日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。）であつ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つ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、その取消しの日前三十日以内にその法人の役員であつた者でその取消しの日から五年を経過しない者
en-us	(d) a person that, during the 30 days prior to the date of rescission, was the officer (including a person treated in the same manner under foreign laws and regulations; the same applies in this sub-item (d)) of a corporation, in a case in which a designation under this paragraph has been rescinded pursuant to the provisions of Article 156-61, paragraph (1) or an administrative disposition which is similar to such a designation and which a corporation has received in a foreign state pursuant to the provisions of a foreign law or regulation that is equivalent to this Act, has been rescinded, and five years have not yet passed since the date of rescission; or a person that, during the 30 days prior to the date of rescission, was the officer of a corporation, in a case in which a designation under the provisions of other Acts, which is specified by Cabinet Order as being for business equivalent to Dispute Resolution Services, etc., has been rescinded or an administrative disposition which is similar to that designation, which is specified by Cabinet Order, and which a corporation has been issued in a foreign state pursuant to the provisions of a foreign law or regulation that is equivalent to one of those other Acts, has been rescinded, and five years have not yet passed since the date of the rescission; or

ja-jp	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つた日から五年を経過しない者
en-us	(e) a person that has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of this Act or the Attorney Act, or for violating the provisions of a foreign law or regulation that is equivalent to one of these Acts, if five years have not yet passed since the day on which the person finished serving the sentence or ceased to be subject to its enforcement.

ja-jp	五　紛争解決等業務を適確に実施するに足りる経理的及び技術的な基礎を有すること。
en-us	(v) it has a sufficient financial and technical basis to perform Dispute Resolution Services, etc. in an appropriate manner;

ja-jp	六　役員又は職員の構成が紛争解決等業務の公正な実施に支障を及ぼすおそれがないものであること。
en-us	(vi) the composition of its officers and employees is unlikely to compromise the fair implementation of Dispute Resolution Services, etc.;

ja-jp	七　紛争解決等業務の実施に関する規程（以下「業務規程」という。）が法令に適合し、かつ、この法律の定めるところにより紛争解決等業務を公正かつ適確に実施するために十分であると認められること。
en-us	(vii) its rules for implementing Dispute Resolution Services, etc. (hereinafter referred to as the "Operational Rules") conform to laws and regulations and are found to be sufficient for allowing it to implement Dispute Resolution Services, etc. fairly and appropriately pursuant to the provisions of this Act; and

ja-jp	八　次項の規定により意見を聴取した結果、手続実施基本契約の解除に関する事項その他の手続実施基本契約の内容（第百五十六条の四十四第二項各号に掲げる事項を除く。）その他の業務規程の内容（同条第三項の規定によりその内容とするものでなければならないこととされる事項並びに同条第四項各号及び第五項第一号に掲げる基準に適合するために必要な事項を除く。）について異議（合理的な理由が付されたものに限る。）を述べた金融商品取引関係業者の数の金融商品取引関係業者の総数に占める割合が政令で定める割合以下の割合となつたこと。
en-us	(viii) the result of the hearing of opinions held pursuant to the following paragraph is that the proportion of the number of persons and firms involved in Financial Instruments Transactions that have stated an objection to the particulars of the cancellation of the Basic Contract for the Implementation of Dispute Resolution Procedures, other contents of the Basic Contract for the Implementation of Dispute Resolution Procedures (excluding the matters set forth in the items of Article 156-44, paragraph (2)), and other contents of the Operational Rules (excluding the matters that are to constitute the content of those rules pursuant to paragraph (3) of that Article and the particulars that are necessary for conforming to the criteria set forth in the items of paragraph (4) of that Article and paragraph (5), item (i)) (limited to objections for which there are reasonable grounds), to the total number of persons an firms involved in Financial Instruments Transactions, is less than the proportion specified by Cabinet Order.

ja-jp	２　前項の申請をしようとする者は、あらかじめ、内閣府令で定めるところにより、金融商品取引関係業者に対し、業務規程の内容を説明し、これについて異議がないかどうかの意見（異議がある場合には、その理由を含む。）を聴取し、及びその結果を記載した書類を作成しなければならない。
en-us	(2) A person seeking to file the application referred to in the preceding paragraph shall explain the contents of the Operational Rules to persons an firms involved in Financial Instruments Transactions, hear opinions as to whether there are any objections to these (if there are objections, this includes the grounds for them) and prepare documents stating the results of this, in advance and pursuant to the provisions of Cabinet Office Ordinance,.

ja-jp	３　内閣総理大臣は、第一項の規定による指定をしようとするときは、同項第五号から第七号までに掲げる要件（紛争解決手続の業務に係る部分に限り、同号に掲げる要件にあつては、第百五十六条の四十四第四項各号及び第五項各号に掲げる基準に係るものに限る。）に該当していることについて、あらかじめ、法務大臣に協議しなければならない。
en-us	(3) Before seeking to make a designation under paragraph (1), the Prime Minister shall consult the Minister of Justice with regard to the relevant person satisfying the requirements set forth in items (v) to (vii) inclusive of that paragraph (limited to the part related to the operation of Dispute Resolution Procedures, and with regard to the requirements set forth in item (vii), limited to the requirements involving the criteria set forth in the items of Article 156-44, paragraph (4) and the items of paragraph (5) of that Article).

ja-jp	４　第一項の規定による指定は、紛争解決等業務の種別ごとに行うものとし、同項第八号の割合は、当該紛争解決等業務の種別ごとに算定するものとする。
en-us	(4) A designation under paragraph (1) is to be made for each Category of Dispute Resolution Services, and the proportion under item (viii) of that item is to be calculated for each Category of Dispute Resolution Services.

ja-jp	５　内閣総理大臣は、第一項の規定による指定をしたときは、指定紛争解決機関の商号又は名称及び主たる営業所又は事務所の所在地、当該指定に係る紛争解決等業務の種別並びに当該指定をした日を官報で公示しなければならない。
en-us	(5) Upon making a designation under paragraph (1), the Prime Minister shall make a public notice of the trade name or name and the location of the principal business office or office of the Designated Dispute Resolution Organization and the Category of Dispute Resolution Services under designation, as well as the day on which the Prime Minister made the designation, in the official gazette.

ja-jp	（指定の申請）
en-us	(Application for Designation)

ja-jp	第百五十六条の四十　前条第一項の規定による指定を受けようとする者は、次に掲げる事項を記載した指定申請書を内閣総理大臣に提出しなければならない。
en-us	Article 156-40 (1) A person seeking designation under paragraph (1) of the preceding Article must submit a written application for designation to the Prime Minister, in which it states the following particulars:

ja-jp	一　指定を受けようとする紛争解決等業務の種別
en-us	(i) the Category of Dispute Resolution Services for which it seeks designation;

ja-jp	二　商号又は名称
en-us	(ii) its trade name or name;

ja-jp	三　主たる営業所又は事務所その他紛争解決等業務を行う営業所又は事務所の名称及び所在地
en-us	(iii) the name and location of its principal business office or office or any other business offices or offices for Dispute Resolution Services, etc.; and

ja-jp	四　役員の氏名又は商号若しくは名称
en-us	(iv) the names or trade names of its officers.

ja-jp	２　前項の指定申請書には、次に掲げる書類を添付しなければならない。
en-us	(2) The following documents must accompany the written application for designation referred to in the preceding paragraph:

ja-jp	一　前条第一項第三号及び第四号に掲げる要件に該当することを誓約する書面
en-us	(i) a document pledging that the applicant satisfies the requirements set forth in items (iii) and (iv) of paragraph (1) of the preceding Article;

ja-jp	二　定款及び法人の登記事項証明書（これらに準ずるものを含む。）
en-us	(ii) the articles of incorporation and the corporation's certificate of registered information (including anything equivalent to these);

ja-jp	三　業務規程
en-us	(iii) the Operational Rules;

ja-jp	四　組織に関する事項を記載した書類
en-us	(iv) documents stating matters relevant to the organization;

ja-jp	五　財産目録、貸借対照表その他の紛争解決等業務を行うために必要な経理的な基礎を有することを明らかにする書類であつて内閣府令で定めるもの
en-us	(v) an inventory of assets, balance sheet, and any other documents clarifying that the applicant has the necessary financial basis for conducting Dispute Resolution Services, etc. which are specified by Cabinet Office Ordinance;

ja-jp	六　前条第二項に規定する書類その他同条第一項第八号に掲げる要件に該当することを証する書類として内閣府令で定めるもの
en-us	(vi) the documents prescribed in paragraph (2) of the preceding Article and any other documents specified by Cabinet Office Ordinance as evidencing that the applicant satisfies the requirements set forth in item (viii) of paragraph (1) of that Article; and

ja-jp	七　その他内閣府令で定める書類
en-us	(vii) other documents specified by Cabinet Office Ordinance.

ja-jp	３　前項の場合において、定款、財産目録又は貸借対照表が電磁的記録で作成されているときは、書類に代えて当該電磁的記録を添付することができる。
en-us	(3) In the case referred to in the preceding paragraph, if the articles of incorporation, inventory of assets, or balance sheet has been prepared as an electronic or magnetic record, such electronic or magnetic record may accompany the written application for designation in lieu of the written document.

ja-jp	（秘密保持義務等）
en-us	(Duty of Confidentiality)

ja-jp	第百五十六条の四十一　指定紛争解決機関の紛争解決委員（第百五十六条の五十第二項の規定により選任された紛争解決委員をいう。次項、次条第二項並びに第百五十六条の四十四第二項及び第四項において同じ。）若しくは役員若しくは職員又はこれらの職にあつた者は、紛争解決等業務に関して知り得た秘密を漏らし、又は自己の利益のために使用してはならない。
en-us	Article 156-41 (1) It is prohibited for a Dispute Resolution Mediator (meaning a Dispute Resolution Mediator appointed pursuant to Article 156-50, paragraph (2); the same applies in the following paragraph, paragraph (2) of the following Article, and Article 156-44, paragraphs (2) and (4)), the officer or employee of a Designated Dispute Resolution Organization, or a person that has held one of these positions, to divulge or use for personal benefit any secret learned in connection with Dispute Resolution Services, etc.

ja-jp	２　指定紛争解決機関の紛争解決委員又は役員若しくは職員で紛争解決等業務に従事する者は、刑法その他の罰則の適用については、法令により公務に従事する職員とみなす。
en-us	(2) With regard to the application of the Penal Code and other penal provisions, the Dispute Resolution Mediator or officer or employee of a Designated Dispute Resolution Organization is deemed to be an official engaged in public service pursuant to laws and regulations.

ja-jp	第二節　業務
en-us	Section 2 Services

ja-jp	（指定紛争解決機関の業務）
en-us	(Services of a Designated Dispute Resolution Organization)

ja-jp	第百五十六条の四十二　指定紛争解決機関は、この法律及び業務規程の定めるところにより、紛争解決等業務を行うものとする。
en-us	Article 156-42 (1) A Designated Dispute Resolution Organization is to perform Dispute Resolution Services, etc. pursuant to the provisions of this Act and the Operational Rules.

ja-jp	２　指定紛争解決機関（紛争解決委員を含む。）は、当事者である加入金融商品取引関係業者（手続実施基本契約を締結した相手方である金融商品取引関係業者をいう。以下この章において同じ。）若しくはその顧客（顧客以外の第四十二条第一項に規定する権利者を含む。以下この章において同じ。）又はこれらの者以外の者との手続実施基本契約その他の契約で定めるところにより、紛争解決等業務を行うことに関し、負担金又は料金その他の報酬を受けることができる。
en-us	(2) A Designated Dispute Resolution Organization (including a Dispute Resolution Mediator) may receive dues, fees, or any other remuneration for performing Dispute Resolution Services, etc., pursuant to the Basic Contract for the Implementation of Dispute Resolution Procedures or any other contract concluded with a member person or firm involved in Financial Instruments Transactions (meaning a person or firm involved in Financial Instruments Transactions with which a Basic Contract for the Implementation of Dispute Resolution Procedures has been concluded; hereinafter the same applies in this Chapter) that is a party to procedures or with its customer (including a rights holder prescribed in Article 42, paragraph (1) other than a customer; hereinafter the same applies in this Chapter) or concluded with a person other than such persons.

ja-jp	（苦情処理手続又は紛争解決手続の業務の委託）
en-us	(Entrustment of the Operation of Complaint Processing Procedures or Dispute Resolution Procedures)

ja-jp	第百五十六条の四十三　指定紛争解決機関は、他の指定紛争解決機関又は他の法律の規定による指定であつ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を受けた者（第百五十六条の五十第四項及び第五項において「受託紛争解決機関」という。）以外の者に対して、苦情処理手続又は紛争解決手続の業務を委託してはならない。
en-us	Article 156-43 A Designated Dispute Resolution Organization must not entrust a person other than another Designated Dispute Resolution Organization or a person that has obtained designation under the provisions of another Act which is specified by Cabinet Order as being for services equivalent to Dispute Resolution Services, etc. (such other Designated Dispute Resolution Organization or person is referred to as an "Entrusted Dispute Resolution Organization" in Article 165-50, paragraph (4) or (5)) with the operation of Complaint Processing Procedures or Dispute Resolution Procedures.

ja-jp	第百五十六条の四十四　指定紛争解決機関は、次に掲げる事項に関する業務規程を定めなければならない。
en-us	Article 156-44 (1) A Designated Dispute Resolution Organization must establish Operational Rules in respect of the following matters:

ja-jp	一　手続実施基本契約の内容に関する事項
en-us	(i) matters relevant to the contents of the Basic Contract for the Implementation of Dispute Resolution Procedures;

ja-jp	二　手続実施基本契約の締結に関する事項
en-us	(ii) matters relevant to the conclusion of a Basic Contract for Implementation of Dispute Resolution Procedures;

ja-jp	三　紛争解決等業務の実施に関する事項
en-us	(iii) matters relevant to the implementation of Dispute Resolution Services, etc.;

ja-jp	四　紛争解決等業務に要する費用について加入金融商品取引関係業者が負担する負担金に関する事項
en-us	(iv) matters relevant to the dues that a member person or firm involved in Financial Instruments Transactions incurs for the cost required for Dispute Resolution Services, etc.;

ja-jp	五　当事者である加入金融商品取引関係業者又はその顧客（以下この章において単に「当事者」という。）から紛争解決等業務の実施に関する料金を徴収する場合にあつては、当該料金に関する事項
en-us	(v) if it collects fees for implementing Dispute Resolution Services, etc. from the member person or firm involved in Financial Instruments Transactions which is a party to its services or from its customer (hereinafter, such a member person or firm or customer is simply referred to as a "Party" in this Chapter), matters relevant to those fees;

ja-jp	六　他の指定紛争解決機関その他相談、苦情の処理又は紛争の解決を実施する国の機関、地方公共団体、民間事業者その他の者との連携に関する事項
en-us	(vi) matters relevant to coordination with other Designated Dispute Resolution Organizations, national organs, local governments, private firms, or any other persons processing complaints or implementing dispute resolution;

ja-jp	七　紛争解決等業務に関する苦情の処理に関する事項
en-us	(vii) matters relevant to the processing of complaints about Dispute Resolution Services, etc.; and

ja-jp	八　前各号に掲げるもののほか、紛争解決等業務の実施に必要な事項として内閣府令で定めるもの
en-us	(viii) matters specified by Cabinet Office Ordinance as being necessary for the implementation of Dispute Resolution Services, etc., other than what is set forth in the preceding items.

ja-jp	２　前項第一号の手続実施基本契約は、次に掲げる事項を内容とするものでなければならない。
en-us	(2) The Basic Contract for the Implementation of Dispute Resolution Procedures referred to in item (i) of the preceding paragraph must have the following matters as its content:

ja-jp	一　指定紛争解決機関は、加入金融商品取引関係業者の顧客からの金融商品取引業等業務関連苦情の解決の申立て又は当事者からの紛争解決手続の申立てに基づき苦情処理手続又は紛争解決手続を開始すること。
en-us	(i) that the Designated Dispute Resolution Organization commences Complaint Processing Procedures based on an application for the resolution of a complaint related to Financial Instruments Transaction Services from the customer of a member person or firm involved in Financial Instruments Transactions, and commences Dispute Resolution Procedures based on an application for Dispute Resolution Procedures from a Party;

ja-jp	二　指定紛争解決機関又は紛争解決委員は、苦情処理手続を開始し、又は加入金融商品取引関係業者の顧客からの申立てに基づき紛争解決手続を開始した場合において、加入金融商品取引関係業者にこれらの手続に応じるよう求めることができ、当該加入金融商品取引関係業者は、その求めがあつたときは、正当な理由なくこれを拒んではならないこと。
en-us	(ii) that when the Designated Dispute Resolution Organization or Dispute Resolution Mediator commences Complaint Processing Procedures, or when one of them commences Dispute Resolution Procedures based on an application from the customer of a member person or firm involved in Financial Instruments Transactions, the Designated Dispute Resolution Organization or Dispute Resolution Mediator may request the member person or firm involved in Financial Instruments Transactions to comply with these procedures, and that the member person or firm involved in Financial Instruments Transactions must not refuse such a request without just cause for doing so;

ja-jp	三　指定紛争解決機関又は紛争解決委員は、苦情処理手続又は紛争解決手続において、加入金融商品取引関係業者に対し、報告又は帳簿書類その他の物件の提出を求めることができ、当該加入金融商品取引関係業者は、その求めがあつたときは、正当な理由なくこれを拒んではならないこと。
en-us	(iii) that the Designated Dispute Resolution Organization or Dispute Resolution Mediator may request a member person or firm involved in Financial Instruments Transactions to make a report or to submit books and documents or any other articles in the course of Complaint Processing Procedures or Dispute Resolution Procedures, and that the member person or firm involved in Financial Instruments Transactions must not refuse such a request without just cause for doing so;

ja-jp	四　紛争解決委員は、紛争解決手続において、金融商品取引業等業務関連紛争の解決に必要な和解案を作成し、当事者に対し、その受諾を勧告することができること。
en-us	(iv) that the Dispute Resolution Mediator may prepare the settlement proposal that is needed for resolving a dispute related to Financial Instruments Transaction Services in the course of Dispute Resolution Procedures, and recommend that the Parties accept it;

ja-jp	五　紛争解決委員は、紛争解決手続において、前号の和解案の受諾の勧告によつては当事者間に和解が成立する見込みがない場合において、事案の性質、当事者の意向、当事者の手続追行の状況その他の事情に照らして相当であると認めるときは、金融商品取引業等業務関連紛争の解決のために必要な特別調停案を作成し、理由を付して当事者に提示することができること。
en-us	(v) that, if there is no prospect of reaching a settlement between the Parties by recommending that they accept the settlement proposal referred to in the preceding item, and the Dispute Resolution Mediator finds it to be reasonable in light of the nature of the case, the intentions of the Parties, the Parties' pursuance of the procedures, or any other circumstances, the Dispute Resolution Mediator may prepare the Special Conciliation Proposal that is needed for resolving the dispute related to Financial Instruments Transaction Services and present it to the Parties, giving them the reason for this;

ja-jp	六　加入金融商品取引関係業者は、訴訟が係属している請求を目的とする紛争解決手続が開始された場合には、当該訴訟が係属している旨、当該訴訟における請求の理由及び当該訴訟の程度を指定紛争解決機関に報告しなければならないこと。
en-us	(vi) that, if Dispute Resolution Procedures are commenced for a claim in pending litigation, the member person or firm involved in Financial Instruments Transactions must report to the Designated Dispute Resolution Organization indicating that litigation is pending, the grounds for the claim under litigation, and the progress of the litigation;

ja-jp	七　加入金融商品取引関係業者は、紛争解決手続の目的となつた請求に係る訴訟が提起された場合には、当該訴訟が提起された旨及び当該訴訟における請求の理由を指定紛争解決機関に報告しなければならないこと。
en-us	(vii) that, if litigation is filed in connection with a claim that is subject to Dispute Resolution Procedures, the member person or firm involved in Financial Instruments Transactions must report to the Designated Dispute Resolution Organization indicating that litigation has been filed and the grounds for the claim under litigation;

ja-jp	八　前二号に規定する場合のほか、加入金融商品取引関係業者は、紛争解決手続の目的となつた請求に係る訴訟に関し、当該訴訟の程度その他の事項の報告を求められた場合には、当該事項を指定紛争解決機関に報告しなければならないこと。
en-us	(viii) that, in addition to what is provided for in the preceding two items, if a member person or firm involved in Financial Instruments Transactions is requested to report the progress of litigation connected to a claim that is subject to Dispute Resolution Procedures or any other matter, it must report that matter to the Designated Dispute Resolution Organization;

ja-jp	九　加入金融商品取引関係業者は、第六号若しくは第七号の訴訟が裁判所に係属しなくなつた場合又はその訴訟について裁判が確定した場合には、その旨及びその内容を指定紛争解決機関に報告しなければならないこと。
en-us	(ix) that, if the litigation referred to in item (vi) or (viii) comes to be no longer pending before the court, or if the judicial decision on the litigation becomes final and binding, the member person or firm involved in Financial Instruments Transactions must report this to the Designated Dispute Resolution Organization and give the details thereof;

ja-jp	十　加入金融商品取引関係業者は、その顧客に対し指定紛争解決機関による紛争解決等業務の実施について周知するため、必要な情報の提供その他の措置を講じなければならないこと。
en-us	(x) that a member person or firm involved in Financial Instruments Transactions must provide the necessary information or take other measures that are necessary for informing its customers of the implementation of Dispute Resolution Services, etc. by the Designated Dispute Resolution Organization; and

ja-jp	十一　前各号に掲げるもののほか、金融商品取引業等業務関連苦情の処理又は金融商品取引業等業務関連紛争の解決の促進のために必要であるものとして内閣府令で定める事項
en-us	(xi) in addition to what is provided for in the preceding items, matters specified by Cabinet Office Ordinance as necessary for facilitating the processing of complaints related to Financial Instruments Transaction Services or the resolution of disputes related to Financial Instruments Transaction Services.

ja-jp	３　第一項第二号の手続実施基本契約の締結に関する事項に関する業務規程は、金融商品取引関係業者から手続実施基本契約の締結の申込みがあつた場合には、当該金融商品取引関係業者が手続実施基本契約に係る債務その他の紛争解決等業務の実施に関する義務を履行することが確実でないと見込まれるときを除き、これを拒否してはならないことを内容とするものでなければならない。
en-us	(3) The Operational Rules with regard to the matters related to the conclusion of the Basic Contract for the Implementation of Dispute Resolution Procedures referred to in paragraph (1), item (ii) must have as their contents that, if the Designated Dispute Resolution Organization receives an offer to conclude a Basic Contract for the Implementation of Dispute Resolution Procedures from a member person or firm involved in Financial Instruments Transactions, unless the member person or firm involved in Financial Instruments Transactions' performance of the obligations connected with the Basic Contract for the Implementation of Dispute Resolution Procedures or any other obligations connected with the implementation of Dispute Resolution Services, etc. is expected to be unreliable, the Designated Dispute Resolution Organization must not refuse the offer.

ja-jp	４　第一項第三号に掲げる事項に関する業務規程は、次に掲げる基準に適合するものでなければならない。
en-us	(4) The Operational Rules with regard to the matters set forth in paragraph (1), item (iii), must conform to the following criteria:

ja-jp	一　苦情処理手続と紛争解決手続との連携を確保するための措置が講じられていること。
en-us	(i) measures have been taken to ensure coordination between Complaint Processing Procedures and Dispute Resolution Procedures;

ja-jp	二　紛争解決委員の選任の方法及び紛争解決委員が金融商品取引業等業務関連紛争の当事者と利害関係を有することその他の紛争解決手続の公正な実施を妨げるおそれがある事由がある場合において、当該紛争解決委員を排除するための方法を定めていること。
en-us	(ii) the Operational Rules establish the method for appointing a Dispute Resolution Mediator and for excluding a Dispute Resolution Mediator if that mediator has an interest in the Party to a dispute related to Financial Instruments Transaction Services or if there are any other circumstances that are likely to hinder the fair implementation of Dispute Resolution Procedures;

ja-jp	三　指定紛争解決機関の実質的支配者等（指定紛争解決機関の株式の所有、指定紛争解決機関に対する融資その他の事由を通じて指定紛争解決機関の事業を実質的に支配し、又はその事業に重要な影響を与える関係にあるものとして内閣府令で定める者をいう。）又は指定紛争解決機関の子会社等（指定紛争解決機関が株式の所有その他の事由を通じてその事業を実質的に支配する関係にあるものとして内閣府令で定める者をいう。）を金融商品取引業等業務関連紛争の当事者とする金融商品取引業等業務関連紛争について紛争解決手続の業務を行うこととしている指定紛争解決機関にあつては、当該実質的支配者等若しくは当該子会社等又は指定紛争解決機関が紛争解決委員に対して不当な影響を及ぼすことを排除するための措置が講じられていること。
en-us	(iii) if the Designated Dispute Resolution Organization has decided to carry out operations for Dispute Resolution Procedures in a dispute related to Financial Instruments Transaction Services to which its substantial controller, etc. (meaning a person specified by Cabinet Office Ordinance as one that is related to the Designated Dispute Resolution Organization in such a way as to substantially control the business of the Designated Dispute Resolution Organization or to have a material influence on its business due to its holding of shares in the Designated Dispute Resolution Organization, its financing of the Designated Dispute Resolution Organization, or any other circumstance) or its Subsidiary Company, etc. (meaning a person specified by Cabinet Office Ordinance as one to which the Designated Dispute Resolution Organization is related in such a way as to substantially control its business due the holding of its shares or any other circumstance) is a Party, measures have been taken to prevent the substantial controller, etc., Subsidiary Company, etc., or Designated Dispute Resolution Organization from exercising undue influence on the Dispute Resolution Mediator;

ja-jp	四　紛争解決委員が弁護士でない場合（司法書士法（昭和二十五年法律第百九十七号）第三条第一項第七号に規定する紛争について行う紛争解決手続において、紛争解決委員が同条第二項に規定する司法書士である場合を除く。）において、紛争解決手続の実施に当たり法令の解釈適用に関し専門的知識を必要とするときに、弁護士の助言を受けることができるようにするための措置を定めていること。
en-us	(iv) the Operational Rules establish measures for receiving the advice of an attorney-at-law when the Dispute Resolution Mediator is not an attorney-at-law (unless the Dispute Resolution Mediator is a judicial scrivener as prescribed in Article 3, paragraph (2) of the Judicial Scriveners Act (Act No. 197 of 1950), and the Dispute Resolution Procedures are carried out for a dispute set forth in Article 3, paragraph (1), item (vii) of that Act) and the implementation of Dispute Resolution Procedures necessitates expert knowledge with regard to the interpretation and application of laws and regulations;

ja-jp	五　紛争解決手続の実施に際して行う通知について相当な方法を定めていること。
en-us	(v) the Operational Rules establish an appropriate means of giving notice upon implementing Dispute Resolution Procedures;

ja-jp	六　紛争解決手続の開始から終了に至るまでの標準的な手続の進行について定めていること。
en-us	(vi) the Operational Rules establish a standard operation process from the commencement to the termination of Dispute Resolution Procedures;

ja-jp	七　加入金融商品取引関係業者の顧客が指定紛争解決機関に対し金融商品取引業等業務関連苦情の解決の申立てをする場合又は金融商品取引業等業務関連紛争の当事者が指定紛争解決機関に対し紛争解決手続の申立てをする場合の要件及び方式を定めていること。
en-us	(vii) the Operational Rules establish the requirements and formalities for the customer of a member person or firm involved in Financial Instruments Transactions to file an application for the resolution of a complaint related to Financial Instruments Transaction Services with the Designated Dispute Resolution Organization, or for a Party to a dispute related to Financial Instruments Transaction Services to file an application for Dispute Resolution Procedures with the Designated Dispute Resolution Organization;

ja-jp	八　指定紛争解決機関が加入金融商品取引関係業者から紛争解決手続の申立てを受けた場合において、金融商品取引業等業務関連紛争の他方の当事者となる当該加入金融商品取引関係業者の顧客に対し、速やかにその旨を通知するとともに、当該顧客がこれに応じて紛争解決手続の実施を依頼するか否かを確認するための手続を定めていること。
en-us	(viii) the Operational Rules establish procedures for the Designated Dispute Resolution Organization to promptly notify the customer of a member person or firm involved in Financial Instruments Transactions which is to be the other Party to a dispute related to Financial Instruments Transaction Services whenever it receives an application for Dispute Resolution Procedures from a member person or firm involved in Financial Instruments Transactions, as well as for confirming with the customer whether or not it requests the implementation of Dispute Resolution Procedures in response to this;

ja-jp	九　指定紛争解決機関が加入金融商品取引関係業者の顧客から第七号の紛争解決手続の申立てを受けた場合において、金融商品取引業等業務関連紛争の他方の当事者となる当該加入金融商品取引関係業者に対し、速やかにその旨を通知する手続を定めていること。
en-us	(ix) the Operational Rules establish procedures for the Designated Dispute Resolution Organization to promptly notify the member person or firm involved in Financial Instruments Transactions which is to be the other Party to a dispute related to Financial Instruments Transaction Services whenever it receives an application for Dispute Resolution Procedures as referred to in item (vii) from the customer of the member person or firm involved in Financial Instruments Transactions;

ja-jp	十　紛争解決手続において提出された帳簿書類その他の物件の保管、返還その他の取扱いの方法を定めていること。
en-us	(x) the Operational Rules establish the way of retaining, returning, and otherwise handling books and documents and any other articles submitted in the course of Dispute Resolution Procedures;

ja-jp	十一　紛争解決手続において陳述される意見又は提出され、若しくは提示される帳簿書類その他の物件に含まれる金融商品取引業等業務関連紛争の当事者又は第三者の秘密について、当該秘密の性質に応じてこれを適切に保持するための取扱いの方法を定めていること。第百五十六条の五十第九項に規定する手続実施記録に記載されているこれらの秘密についても、同様とする。
en-us	(xi) the Operational Rules establish a method for properly keeping the confidential information of the Parties to a dispute related to Financial Instruments Transaction s Services and of any third party, that is included in an opinion stated or books and documents or any other article submitted or presented in the course of Dispute Resolution Procedures, in accordance with the nature of the confidential information; the same applies to confidential information stated in the dispute resolution procedures record referred to in Article 156-50, paragraph (9);

ja-jp	十二　金融商品取引業等業務関連紛争の当事者が紛争解決手続を終了させるための要件及び方式を定めていること。
en-us	(xii) the Operational Rules establish the requirements and formalities for the Parties to a dispute related to Financial Instruments Transaction Services to terminate the Dispute Resolution Procedures;

ja-jp	十三　紛争解決委員が紛争解決手続によつては金融商品取引業等業務関連紛争の当事者間に和解が成立する見込みがないと判断したときは、速やかに当該紛争解決手続を終了し、その旨を金融商品取引業等業務関連紛争の当事者に通知することを定めていること。
en-us	(xiii) the Operational Rules stipulate that if the Dispute Resolution Mediator judges there to be no prospect of reaching a settlement between the Parties to the dispute related to Financial Instruments Transaction Services through Dispute Resolution Procedures, the Dispute Resolution Mediator will promptly terminate the Dispute Resolution Procedures and notify the Parties to the dispute related to Financial Instruments Transaction Services of the same; and

ja-jp	十四　指定紛争解決機関の紛争解決委員、役員及び職員について、これらの者が紛争解決等業務に関して知り得た秘密を確実に保持するための措置を定めていること。
en-us	(xiv) the Operational Rules establish measures for the Dispute Resolution Mediators and the officers and employees of the Designated Dispute Resolution Organization to reliably retain any confidential information learned in the course of Dispute Resolution Services, etc.

ja-jp	５　第一項第四号及び第五号に掲げる事項に関する業務規程は、次に掲げる基準に適合するものでなければならない。
en-us	(5) The Operational Rules with regard to the matters set forth in paragraph (1), items (iv) and (v) must conform to the following criteria:

ja-jp	一　第一項第四号に規定する負担金及び同項第五号に規定する料金の額又は算定方法及び支払方法（次号において「負担金額等」という。）を定めていること。
en-us	(i) the Operational Rules establish the amount of the dues provided for in paragraph (1), item (iv), the fees referred to in item (v) of that paragraph, or the method of calculating them, as well as the method of payment for the same (collectively referred to as the "Amount of Dues, etc." in the following item); and

ja-jp	二　負担金額等が著しく不当なものでないこと。
en-us	(ii) the Amount of Dues, etc. are not such as to be extremely unreasonable.

ja-jp	６　第二項第五号の「特別調停案」とは、和解案であつて、次に掲げる場合を除き、加入金融商品取引関係業者が受諾しなければならないものをいう。
en-us	(6) The term "Special Conciliation Proposal" as used in paragraph (2), item (v) means a settlement proposal that the member person or firm involved in Financial Instruments Transactions must accept except in one of the following cases:

ja-jp	一　当事者である加入金融商品取引関係業者の顧客（以下この項において単に「顧客」という。）が当該和解案を受諾しないとき。
en-us	(i) the customer of the member person or firm involved in Financial Instruments Transactions that is a Party (hereinafter simply referred to as the "Customer" in this paragraph) does not accept the settlement proposal;

ja-jp	二　当該和解案の提示の時において当該紛争解決手続の目的となつた請求に係る訴訟が提起されていない場合において、顧客が当該和解案を受諾したことを加入金融商品取引関係業者が知つた日から一月を経過する日までに当該請求に係る訴訟が提起され、かつ、同日までに当該訴訟が取り下げられないとき。
en-us	(ii) at the time the settlement proposal is presented, litigation has not been filed in connection with a claim subject to the Dispute Resolution Procedures, but by one month after the day on which the member person or firm involved in Financial Instruments Transactions learns that the Customer accepts the settlement proposal, litigation has been filed in connection with such a claim and not withdrawn;

ja-jp	三　当該和解案の提示の時において当該紛争解決手続の目的となつた請求に係る訴訟が提起されている場合において、顧客が当該和解案を受諾したことを加入金融商品取引関係業者が知つた日から一月を経過する日までに当該訴訟が取り下げられないとき。
en-us	(iii) at the time the settlement proposal is presented, litigation has been filed in connection with a claim subject to the Dispute Resolution Procedures, and by one month after the day on which the member person or firm involved in Financial Instruments Transactions learns that the Customer accepts the settlement proposal, that litigation has not been withdrawn; or

ja-jp	四　顧客が当該和解案を受諾したことを加入金融商品取引関係業者が知つた日から一月を経過する日までに、当該紛争解決手続が行われている金融商品取引業等業務関連紛争について、当事者間において仲裁法（平成十五年法律第百三十八号）第二条第一項に規定する仲裁合意がされ、又は当該和解案によらずに和解若しくは調停が成立したとき。
en-us	(iv) by one month after the day on which the member person or firm involved in Financial Instruments Transactions learns that the Customer accepts the settlement proposal, an arbitration agreement provided for in Article 2, paragraph (1) of the Arbitration Act (Act No. 138 of 2003) is entered into or a settlement or conciliation other than through the relevant settlement proposal is reached between the Parties with regard to the dispute related to Financial Instruments Transaction Services for which the Dispute Resolution Procedures have been implemented.

ja-jp	７　業務規程の変更は、内閣総理大臣の認可を受けなければ、その効力を生じない。
en-us	(7) Changes to the Operational Rules do not become effective without the authorization of the Prime Minister.

ja-jp	８　内閣総理大臣は、前項の規定による認可をしようとするときは、当該認可に係る業務規程が第四項各号及び第五項各号に掲げる基準（紛争解決手続の業務に係る部分に限る。）に適合していることについて、あらかじめ、法務大臣に協議しなければならない。
en-us	(8) Before seeking to grant the authorization under the preceding paragraph, the Prime Minister must consult the Minister of Justice as to whether the Operational Rules subject to that authorization conform to the criteria set forth in the items of paragraph (4) and the items of paragraph (5) (limited to the part related to the operation of Dispute Resolution Procedures).

ja-jp	（手続実施基本契約の不履行の事実の公表等）
en-us	(Disclosure of the Fact of a Breach of a Basic Contract for the Implementation of Dispute Resolution Procedures)

ja-jp	第百五十六条の四十五　指定紛争解決機関は、手続実施基本契約により加入金融商品取引関係業者が負担する義務の不履行が生じた場合において、当該加入金融商品取引関係業者の意見を聴き、当該不履行につき正当な理由がないと認めるときは、遅滞なく、当該加入金融商品取引関係業者の商号、名称又は氏名及び当該不履行の事実を公表するとともに、内閣総理大臣に報告しなければならない。
en-us	Article 156-45 (1) If the obligations that a member business operator involved in Financial Instruments Transactions bears pursuant to a Basic Contract for the Implementation of Dispute Resolution Procedures are breached, and the Designated Dispute Resolution Organization hears the opinion of the member person or firm involved in Financial Instruments Transactions and finds there to be no legitimate reason for the breach, the Designated Dispute Resolution Organization shall disclose the trade name or name of the member person or firm involved in Financial Instruments Transactions and the fact of the breach to the public, as well as reporting it to the Prime Minister, without delay.

ja-jp	２　指定紛争解決機関は、金融商品取引業等業務関連苦情及び金融商品取引業等業務関連紛争を未然に防止し、並びに金融商品取引業等業務関連苦情の処理及び金融商品取引業等業務関連紛争の解決を促進するため、加入金融商品取引関係業者その他の者に対し、情報の提供、相談その他の援助を行うよう努めなければならない。
en-us	(2) A Designated Dispute Resolution Organization must endeavor to provide information, consultation, and other support to member person or firms involved in Financial Instruments Transactions and to other persons, in order to preemptively prevent complaints related to Financial Instruments Transaction Services and disputes related to Financial Instruments Transaction Services, and to facilitate the processing of complaints related to Financial Instruments Transaction Services and the resolution of disputes related to Financial Instruments Transaction Services.

ja-jp	（暴力団員等の使用の禁止）
en-us	(Prohibition on the Employment of a Member of an Organized Crime Group)

ja-jp	第百五十六条の四十六　指定紛争解決機関は、暴力団員等（暴力団員による不当な行為の防止等に関する法律第二条第六号に規定する暴力団員（以下この条において「暴力団員」という。）又は暴力団員でなくなつた日から五年を経過しない者をいう。）を紛争解決等業務に従事させ、又は紛争解決等業務の補助者として使用してはならない。
en-us	Article 156-46 A Designated Dispute Resolution Organization must not allow the member, etc. of an organized crime group (meaning a Member of an Organized Crime Group as defined in Article 2, item (vi) of the Act to Prevent Illegal Activities by Members of Organized Crime Groups (hereinafter referred to as the "Member of an Organized Crime Group" in this Article) or a person that has not yet had five years pass since the day on which that person ceased to be the Member of an Organized Crime Group) to engage in Dispute Resolution Services, etc., nor may it use such a person as an assistant in Dispute Resolution Services, etc.

ja-jp	（差別的取扱いの禁止）
en-us	(Prohibition on Differential Treatment)

ja-jp	第百五十六条の四十七　指定紛争解決機関は、特定の加入金融商品取引関係業者に対し不当な差別的取扱いをしてはならない。
en-us	Article 156-47 A Designated Dispute Resolution Organization must not subject any particular member person or firm involved in Financial Instruments Transactions to unfairly differential treatment.

ja-jp	（記録の保存）
en-us	(Archiving Records)

ja-jp	第百五十六条の四十八　指定紛争解決機関は、第百五十六条の五十第九項の規定によるもののほか、内閣府令で定めるところにより、紛争解決等業務に関する記録を作成し、これを保存しなければならない。
en-us	Article 156-48 A Designated Dispute Resolution Organization shall prepare and archive records of its Dispute Resolution Services, etc. pursuant to the provisions of Cabinet Office Ordinance, in addition to the records under the provisions of Article 156-50, paragraph (9).

ja-jp	（指定紛争解決機関による苦情処理手続）
en-us	(Complaint Processing Procedures by a Designated Dispute Resolution Organization)

ja-jp	第百五十六条の四十九　指定紛争解決機関は、加入金融商品取引関係業者の顧客から金融商品取引業等業務関連苦情について解決の申立てがあつたときは、その相談に応じ、当該顧客に必要な助言をし、当該金融商品取引業等業務関連苦情に係る事情を調査するとともに、当該加入金融商品取引関係業者に対し、当該金融商品取引業等業務関連苦情の内容を通知してその迅速な処理を求めなければならない。
en-us	Article 156-49 If the customer of a member person or firm involved in Financial Instruments Transactions files an application for the resolution of a complaint related to Financial Instruments Transaction Services, in addition to providing the customer with the necessary advice and investigating the circumstances to which the complaint related to Financial Instruments Transaction Services pertains based on its consultation with the customer, the Designated Dispute Resolution Organization must notify the member person or firm involved in Financial Instruments Transactions of the substance and content of the complaint related to Financial Instruments Transaction Services, and request that the member person or firm involved in Financial Instruments Transactions process the complaint expeditiously.

ja-jp	（指定紛争解決機関による紛争解決手続）
en-us	(Dispute Resolution Procedures by a Designated Dispute Resolution Organization)

ja-jp	第百五十六条の五十　加入金融商品取引関係業者に係る金融商品取引業等業務関連紛争の解決を図るため、当事者は、当該加入金融商品取引関係業者が手続実施基本契約を締結した指定紛争解決機関に対し、紛争解決手続の申立てをすることができる。
en-us	Article 156-50 (1) The Party to a dispute related to Financial Instruments Transaction Services may file an application for Dispute Resolution Procedures with the Designated Dispute Resolution Organization with which the member person or firm involved in Financial Instruments Transactions has concluded a Basic Contract for the Implementation of Dispute Resolution Procedures, for the purpose of resolving the dispute related to the Financial Instruments Transaction Services of the member person or firm involved in Financial Instruments Transactions.

ja-jp	２　指定紛争解決機関は、前項の申立てを受けたときは、紛争解決委員を選任するものとする。
en-us	(2) When a Designated Dispute Resolution Organization receives the application referred to in the preceding paragraph, it is to appoint Dispute Resolution Mediators.

ja-jp	３　紛争解決委員は、人格が高潔で識見の高い者であつて、次の各号のいずれかに該当する者（第一項の申立てに係る当事者と利害関係を有する者を除く。）のうちから選任されるものとする。この場合において、紛争解決委員のうち少なくとも一人は、第一号又は第三号（当該申立てが司法書士法第三条第一項第七号に規定する紛争に係るものである場合にあつては、第一号、第三号又は第四号）のいずれかに該当する者でなければならない。
en-us	(3) Dispute Resolution Mediators are to be appointed from among persons of the highest moral character that fall under one of the following items (excluding any person that has an interest in a Party connected with the application referred to in paragraph (1)). In such a case, at least one of the Dispute Resolution Mediators must be a person that falls under item (i) or (iii) (or in item (i), (iii) or (iv), if the application pertains to a dispute provided for in Article 3, paragraph (1), item (vii) of the Judicial Scrivener Act):

ja-jp	一　弁護士であつてその職務に従事した期間が通算して五年以上である者
en-us	(i) an attorney-at-law who has been practicing for five years or more in total;

ja-jp	二　金融商品取引業等業務に従事した期間が通算して十年以上である者
en-us	(ii) a person that has engaged in Financial Instruments Transaction Services for ten years or more in total;

ja-jp	三　消費生活に関する消費者と事業者との間に生じた苦情に係る相談その他の消費生活に関する事項について専門的な知識経験を有する者として内閣府令で定める者
en-us	(iii) a person provided for by Cabinet Office Ordinance as having specialized knowledge of and experience in consulting on complaints that arise between consumers and person or firms in business with regard to consumer affairs or on any other consumer affairs matters;

ja-jp	四　当該申立てが司法書士法第三条第一項第七号に規定する紛争に係るものである場合にあつては、同条第二項に規定する司法書士であつて同項に規定する簡裁訴訟代理等関係業務に従事した期間が通算して五年以上である者
en-us	(iv) if the application pertains to a dispute prescribed in Article 3, paragraph (1), item (vii) of the Judicial Scriveners Act, a judicial scrivener as prescribed in paragraph (2) of that Article that has engaged in summary court legal representation services, etc. as defined in that paragraph for five years or more in total; or

ja-jp	五　前各号に掲げる者に準ずる者として内閣府令で定める者
en-us	(v) a person specified by Cabinet Office Ordinance as being equivalent to a person set forth in one of the preceding items.

ja-jp	４　指定紛争解決機関は、第一項の申立てを第二項の規定により選任した紛争解決委員（以下この条及び次条第一項において単に「紛争解決委員」という。）による紛争解決手続に付するものとする。ただし、紛争解決委員は、当該申立てに係る当事者である加入金融商品取引関係業者の顧客が当該金融商品取引業等業務関連紛争を適切に解決するに足りる能力を有する者であると認められることその他の事由により紛争解決手続を行うのに適当でないと認めるとき、又は当事者が不当な目的でみだりに第一項の申立てをしたと認めるときは、紛争解決手続を実施しないものとし、紛争解決委員が当該申立てを受託紛争解決機関における紛争解決手続に相当する手続に付することが適当と認めるときは、指定紛争解決機関は、受託紛争解決機関に紛争解決手続の業務を委託するものとする。
en-us	(4) A Designated Dispute Resolution Organization is to send the application referred to in paragraph (1) into Dispute Resolution Procedures by the Dispute Resolution Mediators appointed pursuant to paragraph (2) (hereinafter simply referred to as "Dispute Resolution Mediators" in this Article and paragraph (1) of the following Article); provided, however, that if the Dispute Resolution Mediators find that it is not appropriate to carry out Dispute Resolution Procedures due to it being found that the customer of the member person or firm involved in Financial Instruments Transactions that is a Party under that application has sufficient ability to properly resolve the dispute related to Financial Instruments Transaction Services or due to any other grounds, or if the Dispute Resolution Mediators find that a Party has filed the application referred to in paragraph (1) for unjust purposes and without due cause, they are not to implement Dispute Resolution Procedures, and if the Dispute Resolution Mediators find it to be appropriate to send the application into procedures equivalent to Dispute Resolution Procedures at an Entrusted Dispute Resolution Organization, the Designated Dispute Resolution Organization is to entrust the operation of Dispute Resolution Procedures to an Entrusted Dispute Resolution Organization.

ja-jp	５　前項ただし書の規定により紛争解決委員が紛争解決手続を実施しないこととしたとき、又は受託紛争解決機関に業務を委託することとしたときは、指定紛争解決機関は、第一項の申立てをした者に対し、その旨を理由を付して通知するものとする。
en-us	(5) If the Dispute Resolution Mediators decide not to implement Dispute Resolution Procedures pursuant to the proviso to the preceding paragraph, or if they decide to entrust the operation to an Entrusted Dispute Resolution Organization, the Designated Dispute Resolution Organization is to notify the person that filed the application referred to in paragraph (1), indicating that they have done so and giving the reason.

ja-jp	６　紛争解決委員は、当事者若しくは参考人から意見を聴取し、若しくは報告書の提出を求め、又は当事者から参考となるべき帳簿書類その他の物件の提出を求め、和解案を作成して、その受諾を勧告し、又は特別調停（第百五十六条の四十四第六項に規定する特別調停案を提示することをいう。）をすることができる。
en-us	(6) A Dispute Resolution Mediator may hear the opinions of the Parties and witnesses, request them to submit written reports, request the Parties to submit books and documents or other articles that should serve as a reference, prepare the settlement proposal that is needed to resolve the case and recommend that the Parties accept it, or implement a special conciliation (meaning presenting the Special Conciliation Proposal provided for in Article 56-44, paragraph (6)).

ja-jp	７　紛争解決手続は、公開しない。ただし、紛争解決委員は、当事者の同意を得て、相当と認める者の傍聴を許すことができる。
en-us	(7) Dispute Resolution Procedures are not open to the public; provided, however, that a Dispute Resolution Mediator may allow the attendance of a person that is considered to be appropriate, with the consent of the Parties.

ja-jp	８　指定紛争解決機関は、紛争解決手続の開始に先立ち、当事者である加入金融商品取引関係業者の顧客に対し、内閣府令で定めるところにより、次に掲げる事項について、これを記載した書面を交付し、又はこれを記録した電磁的記録を提供して説明をしなければならない。
en-us	(8) Prior to the commencement of Dispute Resolution Procedures and pursuant to the provisions of Cabinet Office Ordinance, a Designated Dispute Resolution Organization must deliver a document that states the following particulars or provide an electronic or magnetic record in which these have been recorded to the customer of the member person or firm involved in Financial Instruments Transactions that is a Party to the dispute, and give an explanation of the same:

ja-jp	一　当該顧客が支払う料金に関する事項
en-us	(i) the particulars of the fees to be paid by the customer;

ja-jp	二　第百五十六条の四十四第四項第六号に規定する紛争解決手続の開始から終了に至るまでの標準的な手続の進行
en-us	(ii) the standard operation process from the commencement to the termination of Dispute Resolution Procedures, as provided in Article 156-44, paragraph (4), item (vi); and

ja-jp	三　前二号に掲げるもののほか、内閣府令で定める事項
en-us	(iii) in addition to what is set forth in the preceding two items, matters specified by Cabinet Office Ordinance.

ja-jp	９　指定紛争解決機関は、内閣府令で定めるところにより、その実施した紛争解決手続に関し、次に掲げる事項を記載した手続実施記録を作成し、保存しなければならない。
en-us	(9) A Designated Dispute Resolution Organization shall prepare and archive a dispute resolution procedures record detailing the following matters with regard to the Dispute Resolution Procedures it implemented, pursuant to the provisions of Cabinet Office Ordinance:

ja-jp	一　金融商品取引業等業務関連紛争の当事者が紛争解決手続の申立てをした年月日
en-us	(i) the date on which the Party to the dispute related to Financial Instruments Transaction Services filed the application for Dispute Resolution Procedures;

ja-jp	二　金融商品取引業等業務関連紛争の当事者及びその代理人の氏名、商号又は名称
en-us	(ii) the name or trade name of the Parties to the dispute related to Financial Instruments Transaction Services and the agents thereof;

ja-jp	三　紛争解決委員の氏名
en-us	(iii) the names of the Dispute Resolution Mediators;

ja-jp	四　紛争解決手続の実施の経緯
en-us	(iv) the particulars of the Dispute Resolution Procedures;

ja-jp	五　紛争解決手続の結果（紛争解決手続の終了の理由及びその年月日を含む。）
en-us	(v) the results of the Dispute Resolution Procedures (including the reasons for the termination of Dispute Resolution Procedures and the date thereof); and

ja-jp	六　前各号に掲げるもののほか、実施した紛争解決手続の内容を明らかにするために必要な事項であつて内閣府令で定めるもの
en-us	(vi) the particulars necessary for clarifying the contents of the implemented Dispute Resolution Procedures which are specified by Cabinet Office Ordinance, other than what is set forth in the preceding items.

ja-jp	（時効の中断）
en-us	(Interruption of Prescription)

ja-jp	第百五十六条の五十一　紛争解決手続によつては金融商品取引業等業務関連紛争の当事者間に和解が成立する見込みがないことを理由に紛争解決委員が当該紛争解決手続を終了した場合において、当該紛争解決手続の申立てをした当該金融商品取引業等業務関連紛争の当事者がその旨の通知を受けた日から一月以内に当該紛争解決手続の目的となつた請求について訴えを提起したときは、時効の中断に関しては、当該紛争解決手続における請求の時に、訴えの提起があつたものとみなす。
en-us	Article 156-51 (1) If the Dispute Resolution Mediators terminate Dispute Resolution Procedures on the grounds that there is no prospect of reaching a settlement between the Parties to a dispute related to Financial Instruments Transaction Services through Dispute Resolution Procedures, and the Party to the dispute related to Financial Instruments Transaction Services which filed the application for Dispute Resolution Procedures files an action on a claim that was subject to the Dispute Resolution Procedures within one month from the day on which that Party receives notice of the termination, the action is deemed to have been filed at the time that the claim was filed in Dispute Resolution Procedures in terms of the interruption of prescription.

ja-jp	２　指定紛争解決機関の紛争解決等業務の廃止が第百五十六条の六十第一項の規定により認可され、又は第百五十六条の三十九第一項の規定による指定が第百五十六条の六十一第一項の規定により取り消され、かつ、その認可又は取消しの日に紛争解決手続が実施されていた金融商品取引業等業務関連紛争がある場合において、当該紛争解決手続の申立てをした当該金融商品取引業等業務関連紛争の当事者が第百五十六条の六十第三項若しくは第百五十六条の六十一第三項の規定による通知を受けた日又は当該認可若しくは取消しを知つた日のいずれか早い日から一月以内に当該紛争解決手続の目的となつた請求について訴えを提起したときも、前項と同様とする。
en-us	(2) The provisions of the preceding paragraph also apply if the discontinuation of Dispute Resolution Services, etc. by a Designated Dispute Resolution Organization is authorized pursuant to Article 156-60, paragraph (1) or if the designation under Article 156-39, paragraph (1) is rescinded pursuant to Article 156-61, paragraph (1) and there is a dispute related to Financial Instruments Transaction Services for which Dispute Resolution Procedures have been implemented as of the day of authorization or rescission, and the Party to the dispute related to Financial Instruments Transaction Services which has filed the application for Dispute Resolution Procedures files an action on a claim that was subject to those Dispute Resolution Procedures within one month from the day on which the Party receives the notice under Article 156-60, paragraph (3) or Article 156-61, paragraph (3), or within one month from the day on which the Party comes to know of the authorization or rescission, whichever comes earlier.

ja-jp	（訴訟手続の中止）
en-us	(Suspension of Court Proceedings)

ja-jp	第百五十六条の五十二　金融商品取引業等業務関連紛争について当該金融商品取引業等業務関連紛争の当事者間に訴訟が係属する場合において、次の各号のいずれかに掲げる事由があり、かつ、当該金融商品取引業等業務関連紛争の当事者の共同の申立てがあるときは、受訴裁判所は、四月以内の期間を定めて訴訟手続を中止する旨の決定をすることができる。
en-us	Article 156-52 (1) If litigation is pending with regard to a dispute related to Financial Instruments Transaction Services between the Parties to a dispute related to Financial Instruments Transaction Services, and if any of the following grounds exist and the Parties to the dispute related to Financial Instruments Transaction Services file a joint petition, the court in charge of the case may decide to suspend the court proceedings for a fixed period of no longer than four months:

ja-jp	一　当該金融商品取引業等業務関連紛争について、当該金融商品取引業等業務関連紛争の当事者間において紛争解決手続が実施されていること。
en-us	(i) Dispute Resolution Procedures have been implemented for a dispute related to Financial Instruments Transaction Services, between the Parties to the relevant dispute related to Financial Instruments Transaction Services; and

ja-jp	二　前号の場合のほか、当該金融商品取引業等業務関連紛争の当事者間に紛争解決手続によつて当該金融商品取引業等業務関連紛争の解決を図る旨の合意があること。
en-us	(ii) in addition to the case referred to in the preceding item, the Parties to the dispute related to Financial Instruments Transaction Services reach an agreement to endeavor to resolve the dispute related to Financial Instruments Transaction Services through Dispute Resolution Procedures.

ja-jp	２　受訴裁判所は、いつでも前項の決定を取り消すことができる。
en-us	(2) The court in charge of the case may rescind the decision referred to in the preceding paragraph at any time.

ja-jp	３　第一項の申立てを却下する決定及び前項の規定により第一項の決定を取り消す決定に対しては、不服を申し立てることができない。
en-us	(3) No appeal may be entered against a decision dismissing the petition referred to in paragraph (1) or a decision rescinding the decision referred to in paragraph (1).

ja-jp	（加入金融商品取引関係業者の名簿の縦覧）
en-us	(Public Inspection of the Register of Member Persons and Firms Involved in Financial Instruments Transactions)

ja-jp	第百五十六条の五十三　指定紛争解決機関は、加入金融商品取引関係業者の名簿を公衆の縦覧に供しなければならない。
en-us	Article 156-53 A Designated Dispute Resolution Organization must make the register of member persons and firms involved in Financial Instruments Transactions available for public inspection.

ja-jp	（名称の使用制限）
en-us	(Restriction on the Use of Names)

ja-jp	第百五十六条の五十四　指定紛争解決機関でない者（銀行法第五十二条の六十二第一項の規定による指定を受けた者その他これに類する者として政令で定めるものを除く。）は、その名称又は商号中に、指定紛争解決機関と誤認されるおそれのある文字を用いてはならない。
en-us	Article 156-54 A person that is not a Designated Dispute Resolution Organization (other than a person that has obtained the designation under Article 52-62, paragraph (1) of the Banking Act or any other person specified by Cabinet Order as being similar thereto) must not use a term in its name or trade name which could give rise to the misconception that it is a Designated Dispute Resolution Organization.

ja-jp	第三節　監督
en-us	Section 3 Supervision

ja-jp	（変更の届出）
en-us	(Notification of a Change)

ja-jp	第百五十六条の五十五　指定紛争解決機関は、第百五十六条の四十第一項第二号から第四号までのいずれかに掲げる事項に変更があつたときは、その旨を内閣総理大臣に届け出なければならない。
en-us	Article 156-55 (1) If a particular set forth in Article 156-40, paragraph (1), item (ii) to (iv) inclusive changes, the Designated Dispute Resolution Organization must notify the Prime Minister of this.

ja-jp	２　内閣総理大臣は、前項の規定により指定紛争解決機関の商号若しくは名称又は主たる営業所若しくは事務所の所在地の変更の届出があつたときは、その旨を官報で公示しなければならない。
en-us	(2) If the Prime Minister is notified of a change in the trade name or name of a Designated Dispute Resolution Organization or in the location of its principal business office or office, the Prime Minister must give public notice of this in the official gazette.

ja-jp	（手続実施基本契約の締結等の届出）
en-us	(Notification of the Conclusion of a Basic Contract for the Implementation of Dispute Resolution Procedures)

ja-jp	第百五十六条の五十六　指定紛争解決機関は、次の各号のいずれかに該当するときは、内閣府令で定めるところにより、その旨を内閣総理大臣に届け出なければならない。
en-us	Article 156-56 If a Designated Dispute Resolution Organization falls under one of the following items, it must notify the Prime Minister of this pursuant to the provisions of Cabinet Office Ordinance:

ja-jp	一　金融商品取引関係業者と手続実施基本契約を締結したとき、又は当該手続実施基本契約を終了したとき。
en-us	(i) it concludes a Basic Contract for the Implementation of Dispute Resolution Procedures with a person or firm involved in Financial Instruments Transactions, or it terminates such a Basic Contract for the Implementation of Dispute Resolution Procedures; and

ja-jp	二　前号に掲げるもののほか、内閣府令で定めるとき。
en-us	(ii) cases other than what is set forth in the preceding item, which are specified by Cabinet Office Ordinance.

ja-jp	（業務に関する報告書の提出）
en-us	(Submission of Business Reports)

ja-jp	第百五十六条の五十七　指定紛争解決機関は、事業年度ごとに、当該事業年度に係る紛争解決等業務に関する報告書を作成し、内閣総理大臣に提出しなければならない。
en-us	Article 156-57 (1) Each business year, a Designated Dispute Resolution Organization shall prepare a report on the Dispute Resolution Services, etc. in that business year and submit it to the Prime Minister.

ja-jp	２　前項の報告書に関する記載事項、提出期日その他必要な事項は、内閣府令で定める。
en-us	(2) The particulars for inclusion in the report referred to the preceding paragraph, the submission date, and other necessary particulars are specified by Cabinet Office Ordinance.

ja-jp	（報告の徴取及び立入検査）
en-us	(Collection of Reports and On-Site Inspections)

ja-jp	第百五十六条の五十八　内閣総理大臣は、紛争解決等業務の公正かつ適確な遂行のため必要があると認めるときは、指定紛争解決機関に対し、その業務に関し報告若しくは資料の提出を命じ、又は当該職員に、指定紛争解決機関の営業所若しくは事務所その他の施設に立ち入らせ、当該指定紛争解決機関の業務の状況に関し質問させ、若しくは帳簿書類その他の物件を検査させることができる。
en-us	Article 156-58 (1) If the Prime Minister finds it to be necessary for the fair and appropriate execution of Dispute Resolution Services, etc., the Prime Minister may order a Designated Dispute Resolution Organization to make reports or submit materials relevant to its business, and may have the relevant officials enter the business office, office, or any other facilities of the Designated Dispute Resolution Organization to ask questions about the state of the business of the Designated Dispute Resolution Organization or to inspect its books and documents or any other articles.

ja-jp	２　内閣総理大臣は、紛争解決等業務の公正かつ適確な遂行のため特に必要があると認めるときは、その必要の限度において、指定紛争解決機関の加入金融商品取引関係業者若しくは当該指定紛争解決機関から業務の委託を受けた者に対し、当該指定紛争解決機関の業務に関し参考となるべき報告若しくは資料の提出を命じ、又は当該職員に、これらの者の営業所若しくは事務所その他の施設に立ち入らせ、当該指定紛争解決機関の業務の状況に関し質問させ、若しくはこれらの者の帳簿書類その他の物件を検査させることができる。
en-us	(2) If the Prime Minister finds it to be particularly necessary for the fair and appropriate execution of Dispute Resolution Services, etc., the Prime Minister, within the scope of this necessity, may order a Designated Dispute Resolution Organization's member person or firm involved in Financial Instruments Transactions or the person that a Designated Dispute Resolution Organization has entrusted with its business, to make reports or submit materials, and may have the relevant officials enter the business office, office, or any other facilities of such persons, ask questions about the state of the business of the Designated Dispute Resolution Organization, or inspect their books and documents or any other articles.

ja-jp	（業務改善命令）
en-us	(Business Improvement Orders)

ja-jp	第百五十六条の五十九　内閣総理大臣は、指定紛争解決機関の紛争解決等業務の運営に関し、紛争解決等業務の公正かつ適確な遂行を確保するため必要があると認めるときは、その必要の限度において、当該指定紛争解決機関に対して、その業務の運営の改善に必要な措置を命ずることができる。
en-us	Article 156-59 (1) If the Prime Minister finds it to be necessary for ensuring the fair and appropriate execution of Dispute Resolution Services, etc. as concerns a Designated Dispute Resolution Organization's operation of Dispute Resolution Services, etc., the Prime Minister, within the scope of this necessity, may order the Designated Dispute Resolution Organization to take measures that are necessary for improving its business operations.

ja-jp	２　内閣総理大臣は、指定紛争解決機関が次の各号のいずれかに該当する場合において、前項の規定による命令をしようとするときは、あらかじめ、法務大臣に協議しなければならない。
en-us	(2) If a Designated Dispute Resolution Organization falls under one of the following items, the Prime Minister must consult with the Minister of Justice before seeking to give the order under the preceding paragraph:

ja-jp	一　第百五十六条の三十九第一項第五号から第七号までに掲げる要件（紛争解決手続の業務に係る部分に限り、同号に掲げる要件にあつては、第百五十六条の四十四第四項各号及び第五項各号に掲げる基準に係るものに限る。以下この号において同じ。）に該当しないこととなつた場合又は第百五十六条の三十九第一項第五号から第七号までに掲げる要件に該当しないこととなるおそれがあると認められる場合
en-us	(i) it comes to no longer satisfy the requirements set forth in Article 156-39, paragraph (1), items (v) to (vii) inclusive (limited to the part that involves the operation of Dispute Resolution Procedures, the requirement set forth in item (vii) of that paragraph involving the criteria set forth in the items of Article 156-44, paragraph (4) or the items of paragraph (5) of that Article; hereinafter the same applies in this item), or it is found to be likely that it will come to no longer satisfy the requirements set forth in Article 156-39, paragraph (1), items (v) to (vii) inclusive; or

ja-jp	二　第百五十六条の四十二、第百五十六条の四十三、第百五十六条の四十六又は第百五十六条の五十の規定に違反した場合（その違反行為が紛争解決手続の業務に係るものである場合に限る。）
en-us	(ii) it violates the provisions of Article 156-42, Article 156-43, Article 156-46, or Article 156-50 (but only if such violation is related to the operation of Dispute Resolution Procedures).

ja-jp	（紛争解決等業務の休廃止）
en-us	(Suspension or Discontinuation of Dispute Resolution Services, etc.)

ja-jp	第百五十六条の六十　指定紛争解決機関は、紛争解決等業務の全部若しくは一部の休止（次項に規定する理由によるものを除く。）をし、又は廃止をしようとするときは、内閣総理大臣の認可を受けなければならない。
en-us	Article 156-60 (1) A Designated Dispute Resolution Organization must obtain the authorization of the Prime Minister if it seeks to suspend (excluding suspension on the grounds prescribed in the following paragraph) or discontinue the whole or part of the Dispute Resolution Services, etc.

ja-jp	２　指定紛争解決機関が、天災その他のやむを得ない理由により紛争解決等業務の全部又は一部の休止をした場合には、直ちにその旨を、理由を付して内閣総理大臣に届け出なければならない。指定紛争解決機関が当該休止をした当該紛争解決等業務の全部又は一部を再開するときも、同様とする。
en-us	(2) If a Designated Dispute Resolution Organization suspends all or part of its Dispute Resolution Services, etc. due to a natural disaster or for any other compelling reason, it must immediately notify the Prime Minister of this, indicating that it has done so and giving the reason. The same applies when the Designated Dispute Resolution Organization recommences all or a part of the Dispute Resolution Services, etc. so suspended.

ja-jp	３　第一項の規定による休止若しくは廃止の認可を受け、又は前項の休止をした指定紛争解決機関は、当該休止又は廃止の日から二週間以内に、当該休止又は廃止の日に苦情処理手続又は紛争解決手続（他の指定紛争解決機関又は他の法律の規定による指定であつ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を受けた者（以下この項において「委託紛争解決機関」という。）から業務の委託を受けている場合における当該委託に係る当該委託紛争解決機関の苦情を処理する手続又は紛争の解決を図る手続を含む。次条第三項において同じ。）が実施されていた当事者、当該当事者以外の加入金融商品取引関係業者及び他の指定紛争解決機関に当該休止又は廃止をした旨を通知しなければならない。指定紛争解決機関が当該休止をした当該紛争解決等業務の全部又は一部を再開するときも、同様とする。
en-us	(3) A Designated Dispute Resolution Organization that obtains the authorization for suspension or discontinuation under paragraph (1) or that implements the suspension referred to in the preceding paragraph must notify a Party for which Complaint Processing Procedures or Dispute Resolution Procedures have been implemented as of the day of the suspension or discontinuation (if the Designated Dispute Resolution Organization has been entrusted with business by another Designated Dispute Resolution Organization or by a person that has obtained a designation under the provisions of other Acts which is specified by Cabinet Order as being connected with business equivalent to Dispute Resolution Services, etc. (hereinafter collectively referred to as an "Entrusting Dispute Resolution Organization" in this paragraph), this includes procedures for processing complaints for the Entrusting Dispute Resolution Organization in connection with that entrustment and procedures for resolving disputes that have been implemented as of the day of the suspension or discontinuation; the same applies in paragraph (3) of the following Article), the member persons and firms involved in Financial Instruments Transactions that are not Parties, and other Designated Dispute Resolution Organizations, of the suspension or discontinuation, within two weeks from the day of the suspension or discontinuation. The same applies if the Designated Dispute Resolution Organization recommences all or a part of Dispute Resolution Services, etc. so suspended.

ja-jp	（指定の取消し等）
en-us	(Rescission of a Designation)

ja-jp	第百五十六条の六十一　内閣総理大臣は、指定紛争解決機関が次の各号のいずれかに該当するときは、第百五十六条の三十九第一項の規定による指定を取り消し、又は六月以内の期間を定めて、その業務の全部若しくは一部の停止を命ずることができる。
en-us	Article 156-61 (1) If a Designated Dispute Resolution Organization falls under one of the following items, the Prime Minister may rescind the designation under Article 156-39, paragraph (1) or order the suspension of all or a part of its business activities during a fixed period of no longer than six months:

ja-jp	一　第百五十六条の三十九第一項第二号から第七号までに掲げる要件に該当しないこととなつたとき、又は指定を受けた時点において同項各号のいずれかに該当していなかつたことが判明したとき。
en-us	(i) it comes to no longer satisfy the requirements set forth in Article 156-39, paragraph (1), items (ii) to (vii) inclusive, or it is discovered not to have fallen under one of the items of that paragraph at the time it obtained the designation;

ja-jp	二　不正の手段により第百五十六条の三十九第一項の規定による指定を受けたとき。
en-us	(ii) it has obtained the designation under Article 156-39, paragraph (1) by wrongful means; or

ja-jp	三　法令又は法令に基づく処分に違反したとき。
en-us	(iii) it violates a law or regulation or a disposition based on a law or regulation.

ja-jp	２　内閣総理大臣は、指定紛争解決機関が次の各号のいずれかに該当する場合において、前項の規定による処分又は命令をしようとするときは、あらかじめ、法務大臣に協議しなければならない。
en-us	(2) If a Designated Dispute Resolution Organization falls under one of the following items, the Prime Minister must consult with the Minister of Justice before seeking to issue a disposition or order under the preceding paragraph:

ja-jp	一　第百五十六条の三十九第一項第五号から第七号までに掲げる要件（紛争解決手続の業務に係る部分に限り、同号に掲げる要件にあつては、第百五十六条の四十四第四項各号及び第五項各号に掲げる基準に係るものに限る。以下この号において同じ。）に該当しないこととなつた場合又は第百五十六条の三十九第一項の規定による指定を受けた時点において同項第五号から第七号までに掲げる要件に該当していなかつたことが判明した場合
en-us	(i) it comes to no longer satisfy the requirements set forth in Article 156-39, paragraph (1), items (v) to (vii) inclusive (limited to the part that involves the operation of Dispute Resolution Procedures; the requirement set forth in item (vii) of that paragraph is limited to that which is related to the criteria set forth in the items of Article 156-44, paragraph (4) or the items of paragraph (5) of that Article; hereinafter the same applies in this item), or it is discovered not to have satisfied the requirements set forth in Article 156-39, paragraph (1), items (v) to (vii) inclusive at the time it obtained the designation under Article 156-29, paragraph (1); or

ja-jp	二　第百五十六条の四十二、第百五十六条の四十三、第百五十六条の四十六又は第百五十六条の五十の規定に違反した場合（その違反行為が紛争解決手続の業務に係るものである場合に限る。）
en-us	(ii) it violates the provisions of Article 156-42, Article 156-43, Article 156-46, or Article 156-50 (but only if that violation is related to the operation of Dispute Resolution Procedures).

ja-jp	３　第一項の規定により第百五十六条の三十九第一項の規定による指定の取消しの処分を受け、又はその業務の全部若しくは一部の停止の命令を受けた者は、当該処分又は命令の日から二週間以内に、当該処分又は命令の日に苦情処理手続又は紛争解決手続が実施されていた当事者、当該当事者以外の加入金融商品取引関係業者及び他の指定紛争解決機関に当該処分又は命令を受けた旨を通知しなければならない。
en-us	(3) A person that is issued a disposition for the rescission of a designation under Article 156-39, paragraph (1) or an order for the suspension of all or a part of its business activities pursuant to the provisions of paragraph (1) must notify a Party for which Complaint Processing Procedures or Dispute Resolution Procedures have been implemented as of the day of that disposition or order, the member persons and firms involved in Financial Instruments Transactions that are not Parties, and other Designated Dispute Resolution Organizations, that it has been issued the disposition or order, within two weeks from the day of the disposition or order.

ja-jp	４　内閣総理大臣は、第一項の規定により第百五十六条の三十九第一項の規定による指定を取り消したときは、その旨を官報で公示しなければならない。
en-us	(4) If the Prime Minister rescinds a designation under Article 156-39, paragraph (1) pursuant to the provisions of paragraph (1), the Prime Minister must give public notice of this in the official gazette.

ja-jp	第五章の六　取引情報蓄積機関等
en-us	Chapter V-6 Trade Repositories

ja-jp	第一節　清算集中
en-us	Section 1 Centralization of Clearing

ja-jp	第百五十六条の六十二　金融商品取引業者等は、次の各号に掲げる取引を行う場合には、当該取引に基づく自己及び相手方の債務をそれぞれ当該各号に定める者に負担させなければならない。
en-us	Article 156-62 If a Financial Services Provider, etc. conducts a transaction set forth in one of the following items, it must have the person prescribed in the relevant item bear its obligations and the counterparty's obligations from that transaction:

ja-jp	一　店頭デリバティブ取引その他の取引のうち、取引高その他の取引の状況に照らして、その取引に基づく債務の不履行が我が国の資本市場に重大な影響を及ぼすおそれがあるものであつて、その特性にかんがみ、我が国において清算する必要があるものとして内閣府令で定める取引　金融商品取引清算機関
en-us	(i) the Over-the-Counter Derivatives Transactions and other transactions specified by Cabinet Office Ordinance as those which, in light of the transaction volume and other conditions of the transaction, if defaulted on, the default could have a material impact on Japan's capital market, and which, in consideration of the character of the transaction, need to be cleared in Japan: a Financial Instruments Clearing Organization

ja-jp	二　店頭デリバティブ取引その他の取引のうち、取引高その他の取引の状況に照らして、その取引に基づく債務の不履行が我が国の資本市場に重大な影響を及ぼすおそれがあるものとして内閣府令で定める取引（前号に掲げる取引を除く。）　金融商品取引清算機関（当該金融商品取引清算機関が連携金融商品債務引受業務を行う場合には、連携清算機関等を含む。）又は外国金融商品取引清算機関
en-us	(ii) the Over-the-Counter Derivatives Transactions and other transactions specified by Cabinet Office Ordinance as those which, in light of the transaction volume and other conditions of the transaction, if defaulted on, the default could have a material impact on Japan's capital market (other than a transaction set forth in the preceding item): a Financial Instruments Clearing Organization (if the Financial Instruments Clearing Organization provides collaborative Financial Instruments Debt Assumption Services, this includes the collaborating Clearing Organization, etc. ) or Foreign Financial Instruments Clearing Organization

ja-jp	第二節　取引情報の保存及び報告等
en-us	Section 2 Archiving and Reporting Trade Data

ja-jp	（金融商品取引清算機関等による取引情報の保存及び報告）
en-us	(The Archiving and Reporting of Trade Data by a Financial Instruments Clearing Organization, etc.)

ja-jp	第百五十六条の六十三　金融商品取引清算機関等（金融商品取引清算機関又は外国金融商品取引清算機関をいう。以下この節において同じ。）は、内閣府令で定めるところにより、清算集中等取引情報（前条各号に掲げる取引その他取引の状況等を勘案して内閣府令で定める取引に関する情報のうち、当該金融商品取引清算機関等が当該取引に基づく債務を負担した取引に係るものをいう。以下この節において同じ。）について内閣府令で定める事項に関する記録を作成し、これを保存しなければならない。
en-us	Article 156-63 (1) A Financial Instruments Clearing Organization, etc. (meaning a Financial Instruments Clearing Organization or Foreign Financial Instruments Clearing Organization; hereinafter the same applies in this Section) must prepare and archive records of the particulars specified by Cabinet Office Ordinance as regards data on centrally cleared trades (meaning data on the transactions set forth in the items of the preceding Article and other transactions that are specified by Cabinet Office Ordinance in consideration of the conditions of the transaction, in which the Financial Instruments Clearing Organization, etc. bears the obligations; hereinafter the same applies in this Section), pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	２　金融商品取引清算機関等は、内閣府令で定めるところにより、その保存する清算集中等取引情報を内閣総理大臣に報告しなければならない。
en-us	(2) A Financial Instruments Clearing Organization, etc. must report the data on centrally cleared trades it archives to the Prime Minister, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	（金融商品取引業者等による取引情報の保存及び報告）
en-us	(The Archiving and Reporting of Trade Data by a Financial Services Provider, etc.)

ja-jp	第百五十六条の六十四　金融商品取引業者等は、内閣府令で定めるところにより、取引情報（投資者保護のため、その取引の状況を明らかにする必要があるものとして内閣府令で定める取引に関する情報（清算集中等取引情報を除く。）をいう。以下この章において同じ。）について内閣府令で定める事項に関する記録を作成し、これを保存しなければならない。
en-us	Article 156-64 (1) A Financial Services Provider, etc. must prepare and archive records on the particulars specified by Cabinet Office Ordinance as regards trade data (meaning data on the transactions specified by Cabinet Office Ordinance as those whose conditions need to be clarified for purposes of investor protection (excluding data on centrally cleared trades); hereinafter the same applies in this Chapter), pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	２　金融商品取引業者等は、内閣府令で定めるところにより、その保存する取引情報を内閣総理大臣に報告しなければならない。
en-us	(2) A Financial Services Provider, etc. must report the trade data it archives to the Prime Minister, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	３　前二項の規定は、金融商品取引業者等が、内閣府令で定めるところにより、取引情報蓄積機関（第百五十六条の六十七第一項の規定による指定を受けた者をいう。以下同じ。）又は指定外国取引情報蓄積機関（外国において取引情報蓄積業務（取引情報の収集及び保存に関する業務をいう。以下同じ。）に類する業務を行う者のうち、内閣総理大臣がその者の収集及び保存に係る取引情報を取得することが見込まれる者として内閣総理大臣が指定する者をいう。）に対し、取引情報を提供した場合には、適用しない。
en-us	(3) The provisions of the preceding two paragraphs do not apply to cases in which a Financial Services Provider, etc. provides trade data to a trade repository (meaning a person that has obtained the designation under the provisions of Article 156-67, paragraph (1); the same applies hereinafter) or a designated foreign trade repository (meaning a person that performs services similar to trade repository services (meaning services involving the collection and archiving of trade data; the same applies hereinafter) in a foreign state, and which the Prime Minister designates as a person from which the Prime Minister expects to obtain the trade data that the person collects and archives), pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	（取引情報蓄積機関による取引情報の保存及び報告）
en-us	(The Archiving and Reporting of Trade Data by Trade Repositories)

ja-jp	第百五十六条の六十五　取引情報蓄積機関は、内閣府令で定めるところにより、取引情報のうち、取引情報蓄積業務の対象とする取引に係るものについて内閣府令で定める事項に関する記録を作成し、これを保存しなければならない。
en-us	Article 156-65 (1) A trade repository shall prepare and archive records of the particulars specified by Cabinet Office Ordinance as regards trade data about transactions subject to trade repository services, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	２　取引情報蓄積機関は、内閣府令で定めるところにより、その保存する取引情報を内閣総理大臣に報告しなければならない。
en-us	(2) A trade repository shall report the trade data it archives to the Prime Minister, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	（取引情報の公表）
en-us	(Disclosure of Trade Data)

ja-jp	第百五十六条の六十六　内閣総理大臣は、第百五十六条の六十三第二項、第百五十六条の六十四第二項及び前条第二項の規定による報告の対象となつている取引について、その規模その他当該取引の概要を明らかにするために必要な事項を公表するものとする。
en-us	Article 156-66 (1) The Prime Minister is to disclose the scale of the transactions that are subject to reporting under the provisions of Article 156-63, paragraph (2), Article 156-64, paragraph (2) and paragraph (2) of the preceding Article, and particulars that are otherwise necessary for giving a clear outline of such transactions.

ja-jp	２　内閣総理大臣は、必要があると認めるときは、金融商品取引清算機関等又は取引情報蓄積機関に対し、その保存する清算集中等取引情報又は取引情報の対象となつている取引について、その規模その他当該取引の概要を明らかにするために必要と認められる事項を公表することを命ずることができる。
en-us	(2) If the Prime Minister finds it to be necessary, the Prime Minister may order a Financial Instruments Clearing Organization, etc. or a trade repository to disclose the data on centrally cleared trades it archives or the scale of transactions that are the subject of trade data and particulars that are otherwise necessary for giving a clear outline of such transactions.

ja-jp	第三節　取引情報蓄積機関
en-us	Section 3 Trade Repositories

ja-jp	（取引情報蓄積業務を行う者の指定）
en-us	(Designation of an Entity to Perform Trade Repository Services)

ja-jp	第百五十六条の六十七　内閣総理大臣は、次に掲げる要件を備える者を、その申請により、この節の定めるところにより取引情報蓄積業務を行う者として、指定することができる。
en-us	Article 156-67 (1) At the application of an entity satisfying the following requirements, the Prime Minister may designate that entity as an entity that performs trade repository services pursuant to the provisions of this Section:

ja-jp	一　法人（法人でない団体で代表者又は管理人の定めのあるものを含み、外国の法令に準拠して設立された法人その他の外国の団体を除く。）であること。
en-us	(i) it is a corporation (including an organization without legal personality for which a representative or administrator has been designated and excluding a corporation incorporated based on foreign laws and regulations or any other foreign organization);

ja-jp	二　第百五十六条の八十三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、その取消しの日から五年を経過しない者でないこと。
en-us	(ii) it does not fall under the category of an entity that has had a designation under this paragraph rescinded pursuant to Article 156-83, paragraph (1) and not yet had five years pass since the date of the rescission;

ja-jp	三　この法律又はこの法律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つた日から五年を経過しない者でないこと。
en-us	(iii) it does not fall under the category of an entity that has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of this Act or for violating the provisions of a foreign law or regulation that is equivalent to this Act and not yet had five years pass since the day on which it finished serving the sentence or ceased to be subject to its enforcement;

ja-jp	四　役員（法人でない団体で代表者又は管理人の定めのあるものの代表者又は管理人を含む。以下この節において同じ。）のうちに、次のいずれかに該当する者がないこと。
en-us	(iv) it has no officer (including the representative or administrator of an organization without legal personality for which a representative or administrator has been designated; hereinafter the same applies in this Section) that falls under one of the following categories of persons:

ja-jp	イ　成年被後見人若しくは被保佐人又は外国の法令上これらと同様に取り扱われている者
en-us	(a) an adult ward or a person under curatorship, or a person that is treated in the same manner under foreign laws and regulations;

ja-jp	ロ　破産者で復権を得ないもの又は外国の法令上これと同様に取り扱われている者
en-us	(b) a bankrupt that has not obtained a restoration of rights, or a person that is treated in the same manner under foreign laws and regulations;

ja-jp	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つた日から五年を経過しない者
en-us	(c) a person that has been sentenced to imprisonment or a heavier punishment (including an equivalent sentence under foreign laws and regulations), if five years have not yet passed since the day on which the person finished serving the sentence or ceased to be subject to its enforcement;

ja-jp	ニ　第百五十六条の八十三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、その取消しの日前三十日以内にその法人（法人でない団体で代表者又は管理人の定めのあるもの及び外国の法令に準拠して設立された法人その他の外国の団体を含む。）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。ホにおいて同じ。）であつた者でその取消しの日から五年を経過しない者
en-us	(d) a person that, during the 30 days prior to the date of rescission, was the officer (including a person treated in the same manner under foreign laws and regulations; the same applies in this sub-item (e)) of a corporation (including an organization without legal personality for which a representative or administrator has been designated and a corporation incorporated based on foreign laws and regulations or any other foreign organization), in a case in which the designation under this paragraph has been rescinded pursuant to the provisions of Article 156-83, paragraph (1) or in a case in which an administrative disposition that is similar to such a designation and that has been issued in a foreign state pursuant to the provisions of a foreign law or regulation that is equivalent to this Act, has been rescinded; if five years have not yet passed since the date of the rescission;

ja-jp	ホ　第百五十六条の八十三第一項の規定又はこの法律に相当する外国の法令の規定により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
en-us	(e) a person falling under the category of an officer whose dismissal has been ordered pursuant to the provisions of Article 156-83, paragraph (1) or the provisions of a foreign law or regulation that is equivalent to this Act, if five years have not yet passed since the day of the disposition; or

ja-jp	ヘ　この法律又はこの法律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つた日から五年を経過しない者
en-us	(f) a person that has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of this Act or for violating the provisions of a foreign law or regulation that is equivalent to this Act, if five years have not yet passed since the day on which the person finished serving the sentence or ceased to be subject to its enforcement.

ja-jp	五　取引情報蓄積業務を健全に遂行するに足りる財産的基礎を有し、かつ、取引情報蓄積業務に係る収支の見込みが良好であると認められること。
en-us	(v) the relevant entity has a sufficient financial basis to soundly perform trade repository services, and has good prospects in terms of expected income and expenditures in connection with the trade repository services; and

ja-jp	六　その人的構成に照らして、取引情報蓄積業務を適正かつ確実に遂行することができる知識及び経験を有し、かつ、十分な社会的信用を有すると認められること。
en-us	(vi) in light of its personnel structure, the relevant entity is found to have sufficient knowledge and experience for conducting trade repository services properly and reliably, and to have sufficient social credibility.

ja-jp	２　内閣総理大臣は、前項の規定による指定をしたときは、取引情報蓄積機関の商号又は名称及び主たる営業所又は事務所の所在地並びに当該指定をした日を官報で公示しなければならない。
en-us	(2) Upon making a designation under the preceding paragraph, the Prime Minister must make public notice of the trade name or name and the location of the principal business office or office of the trade repository, and of the day on which the Prime Minister made that designation, in the official gazette.

ja-jp	（指定の申請）
en-us	(Application for Designation)

ja-jp	第百五十六条の六十八　前条第一項の規定による指定を受けようとする者は、次に掲げる事項を記載した指定申請書を内閣総理大臣に提出しなければならない。
en-us	Article 156-68 (1) An entity seeking designation under paragraph (1) of the preceding Article must submit a written application for designation to the Prime Minister, in which it states the following particulars:

ja-jp	一　商号又は名称
en-us	(i) its trade name or name;

ja-jp	二　主たる営業所又は事務所その他取引情報蓄積業務を行う営業所又は事務所の名称及び所在地
en-us	(ii) the name and location of its principal business office or office and any other business offices or offices for trade repository services;

ja-jp	三　役員の氏名又は商号若しくは名称
en-us	(iii) the names or trade names of its officers;

ja-jp	四　取引情報蓄積業務の対象とする取引
en-us	(iv) transactions subject to trade repository services; and

ja-jp	五　取引情報蓄積業務及び取引情報蓄積業務に付随する業務以外の業務を行うときは、その業務の内容
en-us	(v) if the entity conducts business other than trade repository services and business incidental to trade repository services, the outline of that business.

ja-jp	２　前項の指定申請書には、次に掲げる書類を添付しなければならない。
en-us	(2) The following documents must accompany the written application for designation referred to in the preceding paragraph:

ja-jp	一　前条第一項第三号及び第四号に掲げる要件に該当することを誓約する書面
en-us	(i) a document pledging that the applicant satisfies the requirements set forth in items (iii) and (iv) of paragraph (1) of the preceding Article;

ja-jp	二　定款及び法人の登記事項証明書（これらに準ずるものを含む。）
en-us	(ii) the articles of incorporation and certificate of registered matters of the corporation (including those equivalent thereto);

ja-jp	三　業務規程
en-us	(iii) its Operational Rules;

ja-jp	四　財産目録、貸借対照表及び損益計算書又は収支計算書並びに事業報告書
en-us	(iv) an inventory of assets, balance sheet, profit and loss statement or income statement, and business report;

ja-jp	五　収支の見込みを記載した書類
en-us	(v) documents stating expected income and expenditures; and

ja-jp	六　前各号に掲げるもののほか、内閣府令で定める書類
en-us	(vi) documents other than what is set forth in the preceding items, which are specified by Cabinet Office Ordinance.

ja-jp	３　前項の場合において、定款、財産目録、貸借対照表、損益計算書若しくは収支計算書又は事業報告書が電磁的記録で作成されているときは、書類に代えて当該電磁的記録を添付することができる。
en-us	(3) In the case referred to in the preceding paragraph, if the articles of incorporation, inventory of assets, balance sheet, profit and loss statement or income statement, or business report has been prepared as an electronic or magnetic record, such electronic or magnetic record may accompany the written application for designation in lieu of the written document.

ja-jp	（取引情報蓄積機関の役員の兼職の制限）
en-us	(Restriction on the Concurrent Holding of Positions by the Officers of a Trade Repository)

ja-jp	第百五十六条の六十九　取引情報蓄積機関の代表者及び常務に従事する役員は、内閣総理大臣の認可を受けた場合を除くほか、金融商品取引業者等その他の内閣府令で定める法人の代表者となり、若しくは常務に従事し、又は金融商品取引業その他の内閣府令で定める事業を営んではならない。
en-us	Article 156-69 Unless the representative of a trade repository or an officer engaging in its day-to-day business obtains the authorization of the Prime Minister to do so, it is prohibited for that representative or officer to become the representative of a Financial Services Provider, etc. or other corporation specified by Cabinet Office Ordinance or engage in its day-to-day business, or for that representative or officer to engage in Financial Instruments Business or any other business specified by Cabinet Office Ordinance.

ja-jp	（秘密保持義務）
en-us	(Duty of Confidentiality)

ja-jp	第百五十六条の七十　取引情報蓄積機関の役員若しくは職員又はこれらの職にあつた者は、取引情報蓄積業務に関して知り得た秘密を漏らし、又は盗用してはならない。
en-us	Article 156-70 It is prohibited for the officer or employee of a trade repository or a person that has held one of these positions to divulge or misappropriate any secret learned in connection with trade repository services.

ja-jp	（取引情報蓄積機関の業務）
en-us	(The Services of a Trade Repository)

ja-jp	第百五十六条の七十一　取引情報蓄積機関は、この節の規定及び業務規程の定めるところにより、取引情報蓄積業務を行うものとする。
en-us	Article 156-71 A trade repository is to conduct trade repository services pursuant to the provisions of this Section and its Operational Rules.

ja-jp	（兼業の制限）
en-us	(Restriction on Concurrent Business)

ja-jp	第百五十六条の七十二　取引情報蓄積機関は、取引情報蓄積業務及び取引情報蓄積業務に付随する業務のほか、他の業務を行うことができない。ただし、当該取引情報蓄積機関が取引情報蓄積業務を適正かつ確実に行うにつき支障を生ずるおそれがないと認められる業務について、内閣府令で定めるところにより、内閣総理大臣の承認を受けたときは、この限りでない。
en-us	Article 156-72 (1) A trade repository may not conduct business other than trade repository services and business incidental thereto; provided, however, that this does not apply if the trade repository has obtained the approval of the Prime Minister, pursuant to the provisions of Cabinet Office Ordinance, for business that is found to be unlikely to compromise the trade repository's ability to properly and reliably conduct trade repository services.

ja-jp	２　取引情報蓄積機関は、前項ただし書の承認を受けた業務を廃止したときは、当該承認は、その効力を失う。この場合において、取引情報蓄積機関は、内閣府令で定めるところにより、その旨を内閣総理大臣に届け出なければならない。
en-us	(2) If a trade repository discontinues business for which it has obtained the approval referred to in the proviso to the preceding paragraph, that approval ceases to be valid. In such a case, the trade repository must notify the Prime Minister of this pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	３　第百五十六条の六十八第一項の指定申請書に申請者が取引情報蓄積業務及び取引情報蓄積業務に付随する業務以外の業務を行う旨の記載がある場合において、当該申請者が第百五十六条の六十七第一項の規定による指定を受けたときは、当該業務を行うことにつき第一項ただし書の承認を受けたものとみなす。
en-us	(3) If the written application for designation referred to in Article 156-68, paragraph (1) states that the applicant will conduct business other than trade repository services and business incidental thereto, and the applicant has received a designation under the provisions of Article 156-67, paragraph (1), the applicant is deemed to have obtained the approval referred to in the proviso to paragraph (1) for conducting that business.

ja-jp	（取引情報蓄積業務の一部の委託）
en-us	(Entrustment of Part of Trade Repository Services)

ja-jp	第百五十六条の七十三　取引情報蓄積機関は、内閣府令で定めるところにより、取引情報蓄積業務の一部を、内閣総理大臣の承認を受けて、他の者に委託することができる。
en-us	Article 156-73 (1) A trade repository may entrust a part of trade repository services to another party with the approval of the Prime Minister, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	２　前項の規定による委託を受けた者は、当該委託を受けた取引情報蓄積業務の一部を、当該委託をした取引情報蓄積機関の同意を得て、更に他の者に委託することができる。
en-us	(2) A person that takes on an entrustment under the provisions of the preceding paragraph may further entrust a part of the trade repository services with which it is entrusted, with the consent of the entrusting trade repository.

ja-jp	３　前項の規定による委託を受けた者は、当該委託を受けた取引情報蓄積業務の一部を、同項に規定する委託を受けた者及び同項の取引情報蓄積機関の同意を得て、更に他の者に委託することができる。
en-us	(3) A person that takes on an entrustment under the provisions of the preceding paragraph may further entrust a part of the trade repository services with which it is entrusted, with the consent of the person taking on the entrustment provided for in that paragraph and the trade repository referred to in that paragraph.

ja-jp	（業務規程の認可）
en-us	(Approval of the Operational Rules)

ja-jp	第百五十六条の七十四　取引情報蓄積機関は、取引情報蓄積業務に係る次に掲げる事項に関する業務規程を定め、内閣総理大臣の認可を受けなければならない。これを変更しようとするときも、同様とする。
en-us	Article 156-74 (1) A trade repository must establish Operational Rules in respect of the following matters relevant to its trade repository services and obtain the authorization of the Prime Minister for them. The same applies if the trade repository seeks to change the Operational Rules:

ja-jp	一　取引情報の提供を受けることを内容とする契約（以下「取引情報収集契約」という。）の金融商品取引業者等との締結に関する取引情報蓄積業務の対象とする取引に関する事項
en-us	(i) matters relevant to the transactions that are subject to trade repository services in connection with the conclusion of a contract with a Financial Services Provider, etc. to be provided with trade data (hereinafter referred to as "Contract for Trade Data Collection");

ja-jp	二　取引情報蓄積業務の対象とする取引に関する事項
en-us	(ii) matters relevant to the transactions that are subject to trade repository services;

ja-jp	三　取引情報の収集及び保存に関する事項
en-us	(iii) matters relevant to the collection and archiving of trade data;

ja-jp	四　取引情報の漏えい、滅失又はき損の防止その他の取引情報の安全管理に関する事項
en-us	(iv) matters relevant to preventing the improper disclosure, loss, or damage of trade data, and other matters relevant to the secure management of trade data;

ja-jp	五　取引情報の正確性の確保に関する事項
en-us	(v) matters relevant to ensuring the accuracy of trade data;

ja-jp	六　料金に関する事項
en-us	(vi) matters relevant to fees;

ja-jp	七　取引情報蓄積業務の一部を他の者に委託する場合におけるその委託した業務の適正かつ確実な遂行を確保するための措置に関する事項
en-us	(vii) if it entrusts a part of trade repository services to another party, matters relevant to the measures for ensuring that the entrusted business is performed properly and reliably; and

ja-jp	八　前各号に掲げるもののほか、取引情報蓄積業務の実施に必要な事項として内閣府令で定める事項
en-us	(viii) matters specified by Cabinet Office Ordinance as being necessary for the implementation of trade repository services, other than what is set forth in the preceding items.

ja-jp	２　前項第六号に掲げる事項に関する業務規程は、取引情報蓄積業務に関する料金が能率的な業務運営の下における適正な原価に照らし公正妥当なものであることを内容とするものでなければならない。
en-us	(2) The Operational Rules on the matters set forth in item (vi) of the preceding paragraph must have as their content that the fees for trade repository services are to be fair and proper in light of reasonable costs under efficient business operations.

ja-jp	３　内閣総理大臣は、第一項の認可をした業務規程が取引情報蓄積業務の適正かつ確実な実施上不適当となつたと認めるときは、取引情報蓄積機関に対し、その業務規程を変更すべきことを命ずることができる。
en-us	(3) If the Prime Minister finds that Operational Rules for which the Prime Minister has given the approval referred to in paragraph (1) have become inappropriate from the perspective of the proper and reliable implementation of trade repository services, the Prime Minister may order the trade repository to change those Operational Rules.

ja-jp	（差別的取扱いの禁止）
en-us	(Prohibition on Differential Treatment)

ja-jp	第百五十六条の七十五　取引情報蓄積機関は、特定の金融商品取引業者等に対し不当な差別的取扱いをしてはならない。
en-us	Article 156-75 A trade repository must not subject any particular Financial Services Provider, etc. to unfairly differential treatment.

ja-jp	（名称の使用制限）
en-us	(Restriction on the Use of Names)

ja-jp	第百五十六条の七十六　取引情報蓄積機関でない者は、その名称又は商号中に、取引情報蓄積機関と誤認されるおそれのある文字を用いてはならない。
en-us	Article 156-76 A person that is not a trade repository must not use a term in its name or trade name which could give rise to the misconception that it is a trade repository.

ja-jp	（変更の届出）
en-us	(Notification of a Change)

ja-jp	第百五十六条の七十七　取引情報蓄積機関は、第百五十六条の六十八第一項第一号から第三号までのいずれかに掲げる事項に変更があつたときは、その旨を内閣総理大臣に届け出なければならない。
en-us	Article 156-77 (1) If a particular set forth in Article 156-68, paragraph (1), items (i) to (iii) inclusive changes, the trade repository must notify the Prime Minister of this.

ja-jp	２　内閣総理大臣は、前項の規定により取引情報蓄積機関の商号若しくは名称又は主たる営業所若しくは事務所の所在地の変更の届出があつたときは、その旨を官報で公示しなければならない。
en-us	(2) If the Prime Minister is notified of a change in the trade name or name of a trade repository or in the location of its principal business office or office pursuant to the provisions of the preceding paragraph, the Prime Minister must give public notice of this in the official gazette.

ja-jp	（兼業承認を受けた業務の開始等に関する届出）
en-us	(Notification of the Commencement of Approved Concurrent Business)

ja-jp	第百五十六条の七十八　取引情報蓄積機関は、第百五十六条の七十二第一項ただし書の承認を受けた業務を開始したときは、内閣府令で定めるところにより、その旨を内閣総理大臣に届け出なければならない。
en-us	Article 156-78 (1) When a trade repository commences business for which it has obtained the approval referred to in the proviso to paragraph (1) of Article 156-72, it must notify the Prime Minister of this pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	２　第百五十六条の六十九の認可を受けた取引情報蓄積機関の代表者及び常務に従事する役員が当該認可を受けた法人の代表者となり、若しくは常務に従事し、又は当該認可を受けた事業を開始したときは、内閣府令で定めるところにより、その旨を内閣総理大臣に届け出なければならない。
en-us	(2) When the representative or an officer engaged in the day-to-day business of a trade repository who has been granted the authorization referred to in Article 156-69 becomes the representative of the corporation for which that authorization has been granted or comes to engage in that corporation's day-to-day business, or when such a representative or officer commences the business for which that authorization has been granted, the representative or officer shall notify the Prime Minister of this pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	３　取引情報蓄積機関は、定款（これに準ずるものを含む。）を変更したときその他内閣府令で定めるときは、内閣府令で定めるところにより、その旨を内閣総理大臣に届け出なければならない。
en-us	(3) If a trade repository changes the articles of incorporation (including anything equivalent to these) or when specified by Cabinet Office Ordinance, the trade repository must notify the Prime Minister of this, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	（業務及び財産に関する報告書の提出）
en-us	(Submission of Business and Asset Reports)

ja-jp	第百五十六条の七十九　取引情報蓄積機関は、事業年度ごとに、当該事業年度に係る業務及び財産に関する報告書を作成し、内閣総理大臣に提出しなければならない。
en-us	Article 156-79 (1) Each business year, a trade repository shall prepare a report on its business and assets in the relevant business year and submit it to the Prime Minister.

ja-jp	２　前項の報告書の記載事項、提出期日その他同項の報告書の作成及び提出に関し必要な事項は、内閣府令で定める。
en-us	(2) The particulars for inclusion in the report referred to in the preceding paragraph, the submission date, and other necessary particulars relevant to the preparation and submission of such a report, are specified by Cabinet Office Ordinance.

ja-jp	（報告の徴取及び検査）
en-us	(Collection of Reports and Inspections)

ja-jp	第百五十六条の八十　内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、取引情報蓄積機関、当該取引情報蓄積機関と取引情報収集契約を締結した者若しくは第百五十六条の七十三各項の規定による委託を受けた者に対し当該取引情報蓄積機関の業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ、又は当該職員に当該取引情報蓄積機関若しくは同条各項の規定による委託を受けた者の業務若しくは財産の状況若しくは帳簿書類その他の物件の検査（同条各項の規定による委託を受けた者にあつては、当該取引情報蓄積機関の業務又は財産に関し必要な検査に限る。）をさせることができる。
en-us	Article 156-80 Whenever the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister may order a trade repository, a person that has concluded a Contract for Trade Data Collection with a trade repository, or a person that has taken on the entrustment under the provisions of the paragraphs of Article 156-73, to submit reports or materials that should serve as a reference with regard to the business or assets of the trade repository, and may have the relevant officials inspect the state of the business or assets, or the books and documents or any other articles, of a trade repository or a person that has taken on the entrustment under the provisions of the paragraphs of that Article (but may only have the relevant officials inspect a person that has taken on the entrustment under the provisions of the paragraphs of that Article as is necessary in connection with the business or assets of the trade repository).

ja-jp	（業務改善命令）
en-us	(Business Improvement Orders)

ja-jp	第百五十六条の八十一　内閣総理大臣は、取引情報蓄積機関の取引情報蓄積業務の運営又は財産の状況に関し、公益又は投資者保護のため必要かつ適当であると認めるときは、その必要の限度において、当該取引情報蓄積機関に対し、その業務の運営又は財産の状況の改善に必要な措置をとるべきことを命ずることができる。
en-us	Article 156-81 If the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors as concerns a trade repository's operation of trade repository services or the state of its assets, the Prime Minister, within the scope of this necessity, may order the trade repository to take measures that are necessary for improving its business operations or the state of its assets.

ja-jp	（取引情報蓄積業務の休廃止）
en-us	(Suspension or Discontinuation of Trade Repository Services)

ja-jp	第百五十六条の八十二　取引情報蓄積機関は、取引情報蓄積業務の全部若しくは一部の休止（次項に規定する理由によるものを除く。）をし、又は取引情報蓄積業務の廃止をしようとするときは、内閣総理大臣の認可を受けなければならない。
en-us	Article 156-82 (1) A trade repository must obtain the authorization of the Prime Minister if it seeks to suspend (excluding a suspension on the grounds prescribed in the following paragraph) the whole or part of its trade repository services or to discontinue its trade repository services.

ja-jp	２　取引情報蓄積機関が、天災その他のやむを得ない理由により取引情報蓄積業務の全部又は一部を休止した場合には、直ちにその旨を、理由を付して内閣総理大臣に届け出るとともに、当該取引情報蓄積機関と取引情報収集契約を締結している者に通知しなければならない。取引情報蓄積機関がその休止した当該取引情報蓄積業務の全部又は一部を再開するときも、同様とする。
en-us	(2) If a trade repository suspends all or part of its trade repository services due to a natural disaster or for any other compelling reason, it must immediately notify the Prime Minister of this, indicating that it has done so and giving the reason, as well as notifying persons with which the trade repository has concluded a Contract for Trade Data Collection. The same applies when the trade repository recommences all or part of the trade repository services so suspended.

ja-jp	（指定の取消し等）
en-us	(Rescission of a Designation)

ja-jp	第百五十六条の八十三　内閣総理大臣は、取引情報蓄積機関が次の各号のいずれかに該当するときは、第百五十六条の六十七第一項の規定による指定若しくは第百五十六条の七十二第一項ただし書の承認を取り消し、六月以内の期間を定めて、その業務の全部若しくは一部の停止を命じ、又はその役員の解任を命ずることができる。
en-us	Article 156-83 (1) If a trade repository falls under one of the following items, the Prime Minister may rescind the designation under Article 156-67, paragraph (1) or the approval set forth in the proviso to Article 156-72, paragraph (1), order the suspension of all or a part of its business activities during a fixed period of no longer than six months, or order the dismissal of its officers:

ja-jp	一　第百五十六条の六十七第一項第三号から第六号までに掲げる要件に該当しないこととなつたとき、又は指定を受けた時点において同項各号のいずれかに該当していなかつたことが判明したとき
en-us	(i) it comes to no longer satisfy the requirements set forth in Article 156-67 paragraph (1), items (iii) to (vi) inclusive, or it is discovered not to have fallen under one of the items of that paragraph at the time it obtained the designation;

ja-jp	二　不正の手段により第百五十六条の六十七第一項の規定による指定を受けたとき。
en-us	(ii) it has obtained the designation under Article 156-67, paragraph (1) by wrongful means; or

ja-jp	三　法令又は法令に基づく処分に違反したとき。
en-us	(iii) it violates a law or regulation or a disposition that is based on a law or regulation.

ja-jp	２　内閣総理大臣は、前項の規定により第百五十六条の六十七第一項の規定による指定を取り消したときは、その旨を官報で公示しなければならない。
en-us	(2) If the Prime Minister rescinds a designation under Article 156-67, paragraph (1) pursuant to the provisions of the preceding paragraph, the Prime Minister must make a public notice of this in the official gazette.

ja-jp	（取引情報蓄積業務移転命令）
en-us	(Order to Transfer Trade Repository Services)

ja-jp	第百五十六条の八十四　内閣総理大臣は、取引情報蓄積機関が次の各号のいずれかに該当するときは、当該取引情報蓄積機関に対し、取引情報蓄積業務の全部又は一部を他の取引情報蓄積機関に行わせることを命ずることができる。
en-us	Article 156-84 If a trade repository falls under one of the following items, the Prime Minister may order the trade repository to have all or part of its trade repository services conducted by another trade repository:

ja-jp	一　前条第一項の規定により第百五十六条の六十七第一項の規定による指定を取り消し、又はその業務（取引情報蓄積業務に限る。）の全部若しくは一部の停止を命ずるとき。
en-us	(i) the Prime Minister rescinds its designation under Article 156-67, paragraph (1) rescinded pursuant to the provisions of paragraph (1) of the preceding Article or orders it to suspend all or a part of its business activities (limited to trade repository services);

ja-jp	二　第百五十六条の八十二第一項の認可をするとき。
en-us	(ii) the Prime Minister grants the authorization referred to in Article 156-82, paragraph (1);

ja-jp	三　弁済期にある債務の弁済が取引情報蓄積業務の継続に著しい支障を来すこととなる事態又は破産手続開始の原因となる事実が生ずるおそれがあると認められるとき。
en-us	(iii) it is found to be likely for circumstances to occur in which the payment of debt that is due and payable substantially compromises the continuation of trade repository services, or for a fact to occur that causes the commencement of bankruptcy proceedings; or

ja-jp	四　取引情報蓄積機関が天災その他の事由により取引情報蓄積業務の全部又は一部を実施することが困難となつたとき。
en-us	(iv) it has become difficult for the trade repository to implement all or part of its trade repository services due to a natural disaster or any other reason.

ja-jp	２　内閣総理大臣は、前項の規定による命令をしたときは、その旨を官報で公示しなければならない。
en-us	(2) If the Prime Minister issues an order under the provisions of the preceding paragraph, the Prime Minister must make a public notice of this in the official gazette.

ja-jp	第六章　有価証券の取引等に関する規制
en-us	Chapter VI Regulations on Securities Transactions

ja-jp	（不正行為の禁止）
en-us	(Prohibition of Wrongful Acts)

ja-jp	第百五十七条　何人も、次に掲げる行為をしてはならない。
en-us	Article 157 It is prohibited for any person to engage in the following acts:

ja-jp	一　有価証券の売買その他の取引又はデリバティブ取引等について、不正の手段、計画又は技巧をすること。
en-us	(i) using wrongful means, schemes, or techniques in a purchase and sale or other transaction of Securities or in a Derivatives Transaction, etc.;

ja-jp	二　有価証券の売買その他の取引又はデリバティブ取引等について、重要な事項について虚偽の表示があり、又は誤解を生じさせないために必要な重要な事実の表示が欠けている文書その他の表示を使用して金銭その他の財産を取得すること。
en-us	(ii) acquiring money or other property through the use of a document, or by giving any other indication, that contains a false representation about a material particular or that omits a representation as to a material particular that is necessary to prevent it from being misleading, with regard to the purchase and sale or other transaction of Securities or a Derivatives Transaction, etc.; or

ja-jp	三　有価証券の売買その他の取引又はデリバティブ取引等を誘引する目的をもつて、虚偽の相場を利用すること。
en-us	(iii) using false quotations in order to induce a purchase and sale or other transaction of Securities or a Derivatives Transaction, etc.

ja-jp	（風説の流布、偽計、暴行又は脅迫の禁止）
en-us	(Prohibition on the Spreading of Rumors, the Use of Fraudulent Means, and Assault and Intimidation)

ja-jp	第百五十八条　何人も、有価証券の募集、売出し若しくは売買その他の取引若しくはデリバティブ取引等のため、又は有価証券等（有価証券若しくはオプション又はデリバティブ取引に係る金融商品（有価証券を除く。）若しくは金融指標をいう。第百六十八条第一項、第百七十三条第一項及び第百九十七条第二項において同じ。）の相場の変動を図る目的をもつて、風説を流布し、偽計を用い、又は暴行若しくは脅迫をしてはならない。
en-us	Article 158 It is prohibited for any person to spread rumors, to use fraudulent means, or to commit assault or use intimidation for the purpose of carrying out a Public Offering, Secondary Distribution, purchase and sale or other transaction of Securities, or a Derivatives Transaction, etc. or for the purpose of causing a fluctuation in the market price of a Security, etc. (meaning a Security, an Option, or a Financial Instrument (other than a Security) or Financial Indicator that is connected with a Derivatives Transaction; the same applies in Article 168, paragraph (1), Article 173, paragraph (1) and Article 197, paragraph (2)).

ja-jp	（相場操縦行為等の禁止）
en-us	(Prohibition on Market Manipulation)

ja-jp	第百五十九条　何人も、有価証券の売買（金融商品取引所が上場する有価証券、店頭売買有価証券又は取扱有価証券の売買に限る。以下この条において同じ。）、市場デリバティブ取引又は店頭デリバティブ取引（金融商品取引所が上場する金融商品、店頭売買有価証券、取扱有価証券（これらの価格又は利率等に基づき算出される金融指標を含む。）又は金融商品取引所が上場する金融指標に係るものに限る。以下この条において同じ。）のうちいずれかの取引が繁盛に行われていると他人に誤解させる等これらの取引の状況に関し他人に誤解を生じさせる目的をもつて、次に掲げる行為をしてはならない。
en-us	Article 159 (1) It is prohibited for any person to engage in one of the following acts with the aim of misleading others into believing that purchase and sales of Securities (limited to purchase and sales of Securities that are listed on a Financial Instruments Exchange, Over-the-Counter Traded Securities, or Tradable Securities; hereinafter the same applies in this Article), Market Transactions of Derivatives, or Over-the-Counter Derivatives Transactions (limited to those involving Financial Instruments listed on a Financial Instruments Exchange, Over-the-Counter Traded Securities, or Tradable Securities (including Financial Indicators calculated based on their prices or interest rates) or Financial Indicators that are listed on a Financial Instruments Exchange; hereinafter the same applies in this Article) are thriving, or otherwise misleading others about the state of these transactions:

ja-jp	一　権利の移転を目的としない仮装の有価証券の売買、市場デリバティブ取引（第二条第二十一項第一号に掲げる取引に限る。）又は店頭デリバティブ取引（同条第二十二項第一号に掲げる取引に限る。）をすること。
en-us	(i) conducting a false purchase and sale of Securities, a false Market Transaction of Derivatives (limited to one specified in Article 2, paragraph (21), item (i)), or a false Over-the-Counter Derivatives Transaction (limited to one specified in Article 2, paragraph (22), item (i)) without the intent to transfer the rights;

ja-jp	二　金銭の授受を目的としない仮装の市場デリバティブ取引（第二条第二十一項第二号、第四号及び第五号に掲げる取引に限る。）又は店頭デリバティブ取引（同条第二十二項第二号、第五号及び第六号に掲げる取引に限る。）をすること。
en-us	(ii) conducting a false Market Transaction of Derivatives (limited to one specified in Article 2, paragraph (21), items (ii), (iv), or (v)) or a false Over-the-Counter Derivatives Transaction (limited to one specified in Article 2, paragraph (22), items (ii), (v) and (vi)) without the intent to pay or receive money;

ja-jp	三　オプションの付与又は取得を目的としない仮装の市場デリバティブ取引（第二条第二十一項第三号に掲げる取引に限る。）又は店頭デリバティブ取引（同条第二十二項第三号及び第四号に掲げる取引に限る。）をすること。
en-us	(iii) conducting a false Market Transaction of Derivatives (limited to one specified in Article 2, paragraph (21), item (iii)) or a false Over-the-Counter Derivatives Transaction (limited to one specified in Article 2, paragraph (22), item (iii) or (iv)) without the intent to grant or acquire the Options;

ja-jp	四　自己のする売付け（有価証券以外の金融商品にあつては、第二条第二十一項第一号又は第二十二項第一号に掲げる取引による売付けに限る。）と同時期に、それと同価格において、他人が当該金融商品を買い付けること（有価証券以外の金融商品にあつては、同条第二十一項第一号又は第二十二項第一号に掲げる取引により買い付けることに限る。）をあらかじめその者と通謀の上、当該売付けをすること。
en-us	(iv) selling Financial Instruments (limited to a sale conducted through a transaction set forth in Article 2, paragraph (21), item (i) or paragraph (22), item (i) of that Article, if they are Financial Instruments other than Securities) after colluding in advance with another party that promises to purchase the Financial Instruments at the same price and around the same time as the sale (limited to a purchase conducted through a transaction set forth in Article 2, paragraph (21), item (i) or paragraph (22), item (i) of that Article, if they are Financial Instruments other than Securities);

ja-jp	五　自己のする買付け（有価証券以外の金融商品にあつては、第二条第二十一項第一号又は第二十二項第一号に掲げる取引による買付けに限る。）と同時期に、それと同価格において、他人が当該金融商品を売り付けること（有価証券以外の金融商品にあつては、同条第二十一項第一号又は第二十二項第一号に掲げる取引により売り付けることに限る。）をあらかじめその者と通謀の上、当該買付けをすること。
en-us	(v) purchasing Financial Instruments (limited to a purchase conducted through a transaction set forth in Article 2, paragraph (21), item (i) or paragraph (22), item (i) of that Article, if they are Financial Instruments other than Securities) after colluding in advance with another party that promises to sell the Financial Instruments at the same price and around the same time as the purchase (limited to a sale conducted through a transaction set forth in Article 2, paragraph (21), item (i) or paragraph (22), item (i) of that Article, if they are Financial Instruments other than Securities);

ja-jp	六　市場デリバティブ取引（第二条第二十一項第二号に掲げる取引に限る。）又は店頭デリバティブ取引（同条第二十二項第二号に掲げる取引に限る。）の申込みと同時期に、当該取引の約定数値と同一の約定数値において、他人が当該取引の相手方となることをあらかじめその者と通謀の上、当該取引の申込みをすること。
en-us	(vi) making an offer in connection with a Market Transaction of Derivatives (limited to one set forth in Article 2, paragraph (21), item (ii)) or an Over-the-Counter Derivatives Transaction (limited to one set forth in paragraph (22), item (ii) of that Article) after colluding in advance with another party that promises to become the other party to the transaction at around the same time as the offer and at the same Agreed Figure as in the offered transaction;

ja-jp	七　市場デリバティブ取引（第二条第二十一項第三号に掲げる取引に限る。）又は店頭デリバティブ取引（同条第二十二項第三号及び第四号に掲げる取引に限る。）の申込みと同時期に、当該取引の対価の額と同一の対価の額において、他人が当該取引の相手方となることをあらかじめその者と通謀の上、当該取引の申込みをすること。
en-us	(vii) making an offer in connection with a Market Transaction of Derivatives (limited to one set forth in Article 2, paragraph (21), item (iii)) or an Over-the-Counter Derivatives Transaction (limited to one set forth in paragraph (22), item (iii) or (iv) of that Article) after colluding in advance with another party that promises to become the other party to the transaction at around the same time as the offer and for the same amount of consideration as in the offered transaction;

ja-jp	八　市場デリバティブ取引（第二条第二十一項第四号及び第五号に掲げる取引に限る。）又は店頭デリバティブ取引（同条第二十二項第五号及び第六号に掲げる取引に限る。）の申込みと同時期に、当該取引の条件と同一の条件において、他人が当該取引の相手方となることをあらかじめその者と通謀の上、当該取引の申込みをすること。
en-us	(viii) making an offer in connection with a Market Transaction of Derivatives (limited to one set forth in Article 2, paragraph (21), items (iv) and (v)) or Over-the-Counter Derivatives Transaction (limited to one set forth in paragraph (22), item (v) or (vi) of that Article) after colluding in advance with another party that promises to become the other party to the transaction at around the same time as the offer and with the same conditions as in the offered transaction; or

ja-jp	九　前各号に掲げる行為の委託等又は受託等をすること。
en-us	(ix) entrusting, etc. a person, etc. with an act set forth in the preceding items or becoming entrusted, etc. with such an act.

ja-jp	２　何人も、有価証券の売買、市場デリバティブ取引又は店頭デリバティブ取引（以下この条において「有価証券売買等」という。）のうちいずれかの取引を誘引する目的をもつて、次に掲げる行為をしてはならない。
en-us	(2) It is prohibited for any person to engage in one of the following acts for the purpose of inducing purchase and sales of Securities, Market Transactions of Derivatives, or Over-the-Counter Derivatives Transactions (hereinafter referred to "Purchase and Sales of Securities, etc." in this Article):

ja-jp	一　有価証券売買等が繁盛であると誤解させ、又は取引所金融商品市場における上場金融商品等（金融商品取引所が上場する金融商品、金融指標又はオプションをいう。以下この条において同じ。）若しくは店頭売買有価証券市場における店頭売買有価証券の相場を変動させるべき一連の有価証券売買等又はその申込み、委託等若しくは受託等をすること。
en-us	(i) conducting a series of Purchase and Sales of Securities, etc. that are likely to mislead a person into believing that Purchase and Sales of Securities, etc. are thriving or to cause fluctuations in market prices of listed Financial Instruments, etc. (meaning Financial Instruments, Financial Indicators, or Options listed on a Financial Instruments Exchange Market; hereinafter the same applies in this Article) on a Financial Instruments Exchange Market or prices of Over-the-Counter Traded Securities on an Over-the-Counter Securities Market; offering to conduct such transactions; entrusting, etc. a person with conducting such transactions; or becoming entrusted, etc. with conducting such transactions;

ja-jp	二　取引所金融商品市場における上場金融商品等又は店頭売買有価証券市場における店頭売買有価証券の相場が自己又は他人の操作によつて変動するべき旨を流布すること。
en-us	(ii) spreading a rumor that market prices of listed Financial Instruments, etc. on a Financial Instruments Exchange Market or market prices of Over-the-Counter Traded Securities on an Over-the-Counter Securities Market will fluctuate due to one's own or another party's market manipulation: or

ja-jp	三　有価証券売買等を行うにつき、重要な事項について虚偽であり、又は誤解を生じさせるべき表示を故意にすること。
en-us	(iii) intentionally making a false representation about a material particular or a representation that is likely to mislead, in conducting a Purchase and Sale of Securities, etc.

ja-jp	３　何人も、政令で定めるところに違反して、取引所金融商品市場における上場金融商品等又は店頭売買有価証券市場における店頭売買有価証券の相場をくぎ付けし、固定し、又は安定させる目的をもつて、一連の有価証券売買等又はその申込み、委託等若しくは受託等をしてはならない。
en-us	(3) It is prohibited for any person to effect a series of Purchase and Sales of Securities, etc., to offer to conduct such transactions, to entrust, etc. a person with conducting such transactions, or to become entrusted, etc. with conducting such transactions, for the purpose of pegging, fixing, or stabilizing market prices of listed Financial Instruments, etc. on a Financial Instruments Exchange Market or the market prices of Over-the-Counter Traded Securities on an Over-the-Counter Securities Market, in a way that constitutes a violation of the provisions of Cabinet Order.

ja-jp	（相場操縦行為等による賠償責任）
en-us	(Compensatory Liability for Market Manipulation)

ja-jp	第百六十条　前条の規定に違反した者は、当該違反行為により形成された金融商品、金融指標若しくはオプションに係る価格、約定数値若しくは対価の額により、当該金融商品、金融指標若しくはオプションについて、取引所金融商品市場における有価証券の売買、市場デリバティブ取引、店頭売買有価証券市場における有価証券の売買若しくは取扱有価証券の売買（以下この項において「取引所金融商品市場等における有価証券の売買等」という。）をし、又はその委託をした者が当該取引所金融商品市場等における有価証券の売買等又は委託につき受けた損害を賠償する責任を負う。
en-us	Article 160 (1) A person that violates the provisions of the preceding Article is liable to compensate for damages from purchase and sales of Securities on a Financial Instruments Exchange Market, Market Transactions of Derivatives, purchase and sales of Securities on an Over-the-Counter Securities Market, and purchase and sales of Tradable Securities (hereinafter referred to "Purchase and Sales of Securities, etc. on a Financial Instruments Exchange Market, etc." in this paragraph) in connection with a Financial Instrument, Financial Indicator, or Option whose price, Agreed Figure, or amount receivable the person formed through that violation, which damages are incurred by any person that conducts, or entrusts another person with conducting, such a Purchase and Sale of Securities, etc. on a Financial Instruments Exchange Market, etc. at the so-formed price, Agreed Figure, or amount of compensation.

ja-jp	２　前項の規定による賠償の請求権は、請求権者が前条の規定に違反する行為があつたことを知つた時から一年間又は当該行為があつた時から三年間、これを行わないときは、時効によつて消滅する。
en-us	(2) A claim for compensation under the preceding paragraph extinguishes by prescription if it is not exercised within one year from when the claimant learns that an act that is in violation of the provisions of the preceding Article has taken place or within three years from when the act takes place.

ja-jp	（金融商品取引業者の自己計算取引等の制限）
en-us	(Restriction on Transactions by a Financial Services Provider on Its Own Account)

ja-jp	第百六十一条　内閣総理大臣は、金融商品取引業者等若しくは取引所取引許可業者が自己の計算において行う有価証券の売買を制限し、又は金融商品取引業者等若しくは取引所取引許可業者の行う過当な数量の売買であつて取引所金融商品市場若しくは店頭売買有価証券市場の秩序を害すると認められるものを制限するため、公益又は投資者保護のため必要かつ適当であると認める事項を内閣府令で定めることができる。
en-us	Article 161 (1) The Prime Minister may specify, in Cabinet Office Ordinance, matters that the Prime Minister finds to be necessary and appropriate for ensuring the public interest or the protection of investors, in order to restrict the purchase and sale of the Securities that a Financial Services Provider, etc. or Authorized Operator for On-Exchange Transactions conducts on its own account, or restrict a Financial Services Provider, etc. or Authorized Operator for On-Exchange Transactions from conducting excessive volumes of purchase and sales which are found to be detrimental to the order of the Financial Instruments Exchange Market or the Over-the-Counter Securities Market.

ja-jp	２　前項の規定は、市場デリバティブ取引及び店頭デリバティブ取引について準用する。
en-us	(2) The provision of the preceding paragraph shall apply mutatis mutandis to Market Transactions of Derivatives and Over-the-Counter Derivatives Transactions.

ja-jp	（信用取引等における金銭の預託）
en-us	(Depositing Money for Margin Transactions)

ja-jp	第百六十一条の二　信用取引その他の内閣府令で定める取引については、金融商品取引業者は、内閣府令で定めるところにより、顧客から、当該取引に係る有価証券の時価に内閣総理大臣が有価証券の売買その他の取引の公正を確保することを考慮して定める率を乗じた額を下らない額の金銭の預託を受けなければならない。
en-us	Article 161-2 (1) In a margin transaction or other transaction specified by Cabinet Office Ordinance, a Financial Services Provider, pursuant to the provisions of Cabinet Office Ordinance, must receive money that a customer deposits with it in an amount not less than that arrived at by multiplying the market value of the Securities for which the transaction is to be effected by the rate decided by the Prime Minister with a view to ensuring fairness in purchase and sales and other transactions of Securities.

ja-jp	２　前項の金銭は、内閣府令で定めるところにより、有価証券をもつて充てることができる。
en-us	(2) Securities may serve as the money referred to in the preceding paragraph, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	（空売り及び逆指値注文の禁止）
en-us	(Prohibition of Short Selling and Stop Orders)

ja-jp	第百六十二条　何人も、政令で定めるところに違反して、次に掲げる行為をしてはならない。
en-us	Article 162 (1) It is prohibited for any person to engage the following acts in a way that constitutes a violation of Cabinet Order:

ja-jp	一　有価証券を有しないで若しくは有価証券を借り入れて（これらに準ずる場合として政令で定める場合を含む。）その売付けをすること又は当該売付けの委託等若しくは受託等をすること。
en-us	(i) selling Securities without having them or by borrowing them (including cases specified by Cabinet Order as being equivalent thereto), entrusting, etc. a person with such a sale, or becoming entrusted, etc. with such a sale; or

ja-jp	二　有価証券の相場が委託当時の相場より騰貴して自己の指値以上となつたときには直ちにその買付けをし、又は有価証券の相場が委託当時の相場より下落して自己の指値以下となつたときには直ちにその売付けをすべき旨の委託等をすること。
en-us	(ii) entrusting, etc. a person with making an immediate purchase of Securities if the market price rises above the market price at the time of entrustment to at least the level that the entrusting person indicates, or with making an immediate sale of Securities if the market price falls below the market price at the time of entrustment to at least the level that the entrusting person indicates.

ja-jp	２　前項第二号の規定は、第二条第二十一項第二号及び第三号に規定する取引について準用する。この場合において、同項第二号の取引にあつては前項第二号中「有価証券」とあるのは「約定数値」と、「騰貴して」とあるのは「上昇して」と、「その買付けをし」とあるのは「現実数値が約定数値を上回つた場合に金銭を受領する立場の当事者となる取引をし」と、「下落して」とあるのは「低下して」と、「その売付けをすべき」とあるのは「現実数値が約定数値を下回つた場合に金銭を受領する立場の当事者となる取引をすべき」と、同条第二十一項第三号の取引にあつては前項第二号中「有価証券」とあるのは「オプション」と、「その買付けをし」とあるのは「オプションを取得する立場の当事者となり」と、「その売付けをすべき」とあるのは「オプションを付与する立場の当事者となるべき」と読み替えるものとする。
en-us	(2) The provisions of item (ii) of the preceding paragraph apply mutatis mutandis to transactions specified in Article 2, paragraph (21), items (ii) and (iii). In this case, with regard to a transaction set forth in Article 2, paragraph (21), item (ii), in item (ii) of the preceding paragraph, the term "Securities" is deemed to be replaced with "the Agreed Figure,", the term "rises" is deemed to be replaced with "goes up to", the phrase "purchase of" is deemed to be replaced with "transaction, so that the entrusting person will receive money in the event that the Actual Figure rises above", the term "falls" is deemed to be replaced with "goes down to", and the phrase "sale of" is deemed to be replaced with "transaction, so that the entrusting person will receive money in the event that the Actual Figure falls below"; and with regard to a transaction set forth in Article 2, paragraph (21), item (iii), in item (ii) of the preceding paragraph, the term "Securities" is deemed to be replaced with "Options,", the phrase "purchase of" is deemed to be replaced with "transaction wherein the entrusting party will acquire", and the phrase "sale of" is deemed to be replaced with "transaction wherein the entrusting party will grant".

ja-jp	（上場等株券の発行者である会社が行うその売買に関する規制）
en-us	(Regulation of the Purchase and Sale of Listed or Over-the-Counter Traded Share Certificates by the Company Issuing These Shares)

ja-jp	第百六十二条の二　内閣総理大臣は、金融商品取引所に上場されている株券又は店頭売買有価証券に該当する株券（以下この条において「上場等株券」という。）の発行者である会社が行う会社法第百五十六条第一項（同法第百六十三条及び第百六十五条第三項の規定により読み替えて適用する場合を含む。）若しくは第百九十九条第一項（処分する自己株式を引き受ける者を募集しようとする場合に限る。）の規定又はこれらに相当する外国の法令の規定（当該会社が外国会社である場合に限る。）による上場等株券の売買若しくはその委託等、信託会社等が信託契約に基づいて上場等株券の発行者である会社の計算において行うこれらの取引の委託等又は金融商品取引業者若しくは取引所取引許可業者が行うこれらの取引の受託等その他の内閣府令で定めるものについて、取引所金融商品市場又は店頭売買有価証券市場における上場等株券の相場を操縦する行為を防止するため、上場等株券の取引の公正の確保のため必要かつ適当であると認める事項を内閣府令で定めることができる。
en-us	Article 162-2 The Prime Minister, through Cabinet Office Ordinance, may stipulate the particulars that the Prime Minister finds to be necessary and appropriate for preventing manipulation of the market price of share certificates listed on a Financial Instruments Exchange or share certificates falling under the category of Over-the-Counter Traded Securities (hereinafter such share certificates are collectively referred to as "Listed or Over-the-Counter Traded Share Certificates" in this Article) or for ensuring fairness in transactions of Listed or Over-the-Counter Traded Share Certificates, with regard to a company that issues Listed or Over-the-Counter Traded Share Certificates effecting a purchase and sale of Listed or Over-the-Counter Traded Share Certificates under Article 156, paragraph (1) of the Companies Act (including as it applies through the replacement of certain terms pursuant to the provisions of Article 163 or Article 165, paragraph (3) of that Act), Article 199, paragraph (1) of that Act (but only if the company seeks to solicit persons to subscribe for treasury shares it disposes of), or a foreign law or regulation that is equivalent to these provisions (but only if the company is a foreign company), or entrusting, etc. a person with such a purchase and sale; with regard to a Trust Company, etc., based on a trust contract, becoming entrusted, etc. with effecting such transactions on the account of a company that issues Listed or Over-the-Counter Traded Share Certificates; with regard to a Financial Services Provider or an Authorized Operator for On-Exchange Transactions becoming entrusted, etc. with effecting such transactions; and with regard to anything else that is specified by Cabinet Office Ordinance.

ja-jp	（上場会社等の役員等による特定有価証券等の売買等の報告の提出）
en-us	(Submission of Reports on Purchase and Sales of Specified Securities, etc. by the Officer of a Listed Company, etc.)

ja-jp	第百六十三条　第二条第一項第五号、第七号又は第九号に掲げる有価証券（政令で定めるものを除く。）で金融商品取引所に上場されているもの、店頭売買有価証券又は取扱有価証券に該当するものその他の政令で定める有価証券の発行者（以下この条から第百六十六条までにおいて「上場会社等」という。）の役員及び主要株主（自己又は他人（仮設人を含む。）の名義をもつて総株主等の議決権の百分の十以上の議決権（取得又は保有の態様その他の事情を勘案して内閣府令で定めるものを除く。）を保有している株主をいう。以下この条から第百六十六条までにおいて同じ。）は、自己の計算において当該上場会社等の同項第五号、第七号若しくは第九号に掲げる有価証券（政令で定めるものを除く。）その他の政令で定める有価証券（以下この条から第百六十六条までにおいて「特定有価証券」という。）又は当該上場会社等の特定有価証券に係るオプションを表示する同項第十九号に掲げる有価証券その他の政令で定める有価証券（以下この項において「関連有価証券」という。）に係る買付け等（特定有価証券又は関連有価証券（以下この条から第百六十六条までにおいて「特定有価証券等」という。）の買付けその他の取引で政令で定めるものをいう。以下この条、次条及び第百六十五条の二において同じ。）又は売付け等（特定有価証券等の売付けその他の取引で政令で定めるものをいう。以下この条から第百六十五条の二までにおいて同じ。）をした場合（当該役員又は主要株主が委託者又は受益者である信託の受託者が当該上場会社等の特定有価証券等に係る買付け等又は売付け等をする場合であつて内閣府令で定める場合を含む。以下この条及び次条において同じ。）には、内閣府令で定めるところにより、その売買その他の取引（以下この項、次条及び第百六十五条の二において「売買等」という。）に関する報告書を売買等があつた日の属する月の翌月十五日までに、内閣総理大臣に提出しなければならない。ただし、買付け等又は売付け等の態様その他の事情を勘案して内閣府令で定める場合は、この限りでない。
en-us	Article 163 (1) If an officer or a major shareholder (meaning a shareholder that holds voting rights (excluding the voting rights that are specified by Cabinet Office Ordinance in consideration of the manner in which they are acquired or held and other circumstances) constituting 10 percent or more of all shareholders', etc. voting rights, in that person's own name or in the name of another person (or under a fictitious name); hereinafter the same applies in this Article to Article 166 inclusive) of the Issuer of Securities set forth in Article 2, paragraph (1), item (v), (vii), or (ix) which are listed on a Financial Instruments Exchange or which fall under the category of Over-the-Counter Traded Securities or Tradable Securities (except those specified by Cabinet Order) or of Securities designated by Cabinet Order (hereinafter such an Issuer is referred to as a "Listed Company, etc." in this Article to Article 166 inclusive) makes a purchase, etc. of Securities issued by the Listed Company, etc. which fall under any of the categories of Securities set forth in Article 2, paragraph (1), item (v), (vii), or (ix) (excluding those specified by Cabinet Order) or other Securities specified by Cabinet Order (hereinafter such Securities are referred to as "Specified Securities" in this Article to Article 166 inclusive) or Securities set forth in Article 2, paragraph (1), item (xix) which indicate Options on Specified Securities of the Listed Company, etc. or other Securities specified by Cabinet Order (hereinafter such Securities are referred to as "Related Securities" in this paragraph) (a purchase, etc. means a purchase of Specified Securities or Related Securities (hereinafter these Securities are collectively referred to as "Specified Securities, etc." in this Article to Article 166 inclusive) or any other transaction specified by Cabinet Order; hereinafter the same applies in this Article, the following Article and Article 165-2) or effects the sale, etc. thereof (meaning a sale of Specified Securities, etc. or any other transaction specified by Cabinet Order; hereinafter the same applies in this Article to Article 165-2 inclusive), on its own account (including if the trustee of a trust for which the officer or major shareholder is the settlor or beneficiary makes a purchase, etc. or sale, etc. of the Specified Securities, etc. of the Listed Company, etc. as specified by Cabinet Office Ordinance; hereinafter the same applies in this and the following Articles), the officer or major shareholder, pursuant to the provisions of Cabinet Office Ordinance, must submit a report on the purchase and sale or other transaction (hereinafter referred to as a "Purchase and Sale, etc." in this paragraph, the following Article and Article 165-2) to the Prime Minister by the 15th day of the month following the month that includes the day of the Purchase and Sale, etc.; provided, however, that this does not apply to the cases specified by Cabinet Office Ordinance in consideration of the features of the purchase, etc. or sale, etc. and other circumstances.

ja-jp	２　前項に規定する役員又は主要株主が、当該上場会社等の特定有価証券等に係る買付け等又は売付け等を金融商品取引業者等又は取引所取引許可業者に委託等をして行つた場合においては、同項に規定する報告書は、当該金融商品取引業者等又は取引所取引許可業者を経由して提出するものとする。当該買付け等又は売付け等の相手方が金融商品取引業者等又は取引所取引許可業者であるときも、同様とする。
en-us	(2) If the officer or major shareholder prescribed in the preceding paragraph effects a purchase, etc. or sale, etc. of the Specified Securities, etc. of the Listed Company, etc. by entrusting, etc. a Financial Services Provider, etc. or Authorized Operator for On-Exchange Transactions with doing so, the report prescribed in the preceding paragraph is to be submitted via the Financial Services Provider, etc. or Authorized Operator for On-Exchange Transactions. The same applies if the other party to the purchase, etc. or sale, etc. is a Financial Services Provider, etc. or Authorized Operator for On-Exchange Transactions.

ja-jp	（上場会社等の役員等の短期売買利益の返還）
en-us	(Restitution by the Officer of a Listed Company, etc. of Profits Arising from Short-Term Purchase and Sales)

ja-jp	第百六十四条　上場会社等の役員又は主要株主がその職務又は地位により取得した秘密を不当に利用することを防止するため、その者が当該上場会社等の特定有価証券等について、自己の計算においてそれに係る買付け等をした後六月以内に売付け等をし、又は売付け等をした後六月以内に買付け等をして利益を得た場合においては、当該上場会社等は、その利益を上場会社等に提供すべきことを請求することができる。
en-us	Article 164 (1) In order to prevent wrongful use by the officer or major shareholder of a Listed Company, etc. of any secret information acquired in the course of duty or by virtue of position, a Listed Company, etc. may request an officer or major shareholder that effects a sale, etc. of Specified Securities, etc. of the Listed Company, etc. within six months after having effected a purchase, etc. of them on the officer's or major shareholder's own account, or an officer or major shareholder that effects a purchase, etc. of Specified Securities, etc. of the Listed Company, etc. within six months after having effected the sale, etc. of them on the officer's or major shareholder's own account, to provide the Listed Company, etc. with any profit earned therefrom.

ja-jp	２　当該上場会社等の株主（保険契約者である社員又は出資者を含む。以下この項において同じ。）が上場会社等に対し前項の規定による請求を行うべき旨を要求した日の後六十日以内に上場会社等が同項の規定による請求を行わない場合においては、当該株主は、上場会社等に代位して、その請求を行うことができる。
en-us	(2) If a Listed Company, etc. fails to make a request under the preceding paragraph within 60 days from the day on which a shareholder (including a member that is an insurance policy holder, or an equity investor; hereinafter the same applies in this paragraph) of the Listed Company, etc. demands that the Listed Company, etc. make the request under the preceding paragraph, the shareholder may make the request in subrogation of the Listed Company, etc.

ja-jp	３　前二項の規定により上場会社等の役員又は主要株主に対して請求する権利は、利益の取得があつた日から二年間行わないときは、消滅する。
en-us	(3) The right to make a request of the officer or major shareholder of a Listed Company, etc. pursuant to the preceding two paragraphs extinguishes by prescription if that right is not exercised within two years from the time the profit is made.

ja-jp	４　内閣総理大臣は、前条の報告書の記載に基づき、上場会社等の役員又は主要株主が第一項の利益を得ていると認める場合において、報告書のうち当該利益に係る部分（以下この条において「利益関係書類」という。）の写しを当該役員又は主要株主に送付し、当該役員又は主要株主から、当該利益関係書類に関し次項に定める期間内に同項の申立てがないときは、当該利益関係書類の写しを当該上場会社等に送付するものとする。ただし、内閣総理大臣が、当該利益関係書類の写しを当該役員若しくは主要株主又は当該上場会社等に送付する前において、第一項の利益が当該上場会社等に提供されたことを知つた場合は、この限りでない。
en-us	(4) If the Prime Minister finds, based on the report referred to in the preceding Article that the officer or major shareholder of a Listed Company, etc. has made the profit referred to in paragraph (1), the Prime Minister is to send a copy of the portion of the report pertaining to the profit (hereinafter referred to as a "Document Related to Profit" in this Article) to the officer or major shareholder, and if there is no filing as referred to in the following paragraph from the officer or major shareholder within the period specified therein with regard to the Document Related to Profit, the Prime Minister is to send a copy of the Document Related to Profit to the Listed Company, etc.; provided, however, that this does not apply if the Prime Minister learns that the profit referred to in paragraph (1) has already been provided to the Listed Company, etc. before the Prime Minister sends the copy of the Document Related to Profit to the officer or major shareholder or to the Listed Company, etc.

ja-jp	５　前項本文の規定により上場会社等の役員又は主要株主に利益関係書類の写しが送付された場合において、当該役員又は主要株主は、当該利益関係書類の写しに記載された内容の売買等を行つていないと認めるときは、当該利益関係書類の写しを受領した日から起算して二十日以内に、内閣総理大臣に、その旨の申立てをすることができる。
en-us	(5) If a copy of a Document Related to Profit is sent to the officer or major shareholder of a Listed Company, etc. pursuant to the main clause of the preceding paragraph, and the officer or major shareholder finds that the officer or major shareholder has not made a Purchase and Sale, etc. as stated in the copy of the Document Related to Profit, the officer or major shareholder may submit a filing indicating this to the Prime Minister within a period not exceeding 20 days from the day on which the officer or major shareholder receives the copy of the Document Related to Profit.

ja-jp	６　前項の規定により、当該役員又は主要株主から当該利益関係書類の写しに記載された内容の売買等を行つていない旨の申立てがあつた場合には、第四項本文の規定の適用については、当該申立てに係る部分は、内閣総理大臣に対する前条第一項の規定による報告書に記載がなかつたものとみなす。
en-us	(6) If a filing indicating that the officer or major shareholder has not made a Purchase and Sale, etc. as stated in the copy of a Document Related to Profit is submitted by the officer or major shareholder pursuant to the preceding paragraph, for the purpose of the application of the main clause of paragraph (4), the portion to which the filing pertains is deemed not to have been included in the report to the Prime Minister under paragraph (1) of the preceding Article.

ja-jp	７　内閣総理大臣は、第四項の規定に基づき上場会社等に利益関係書類の写しを送付した場合には、当該利益関係書類の写しを当該送付の日より起算して三十日を経過した日から第三項に規定する請求権が消滅する日まで（請求権が消滅する日前において内閣総理大臣が第一項の利益が当該上場会社等に提供されたことを知つた場合には、当該知つた日まで）公衆の縦覧に供するものとする。ただし、内閣総理大臣が、当該利益関係書類の写しを公衆の縦覧に供する前において、第一項の利益が当該上場会社等に提供されたことを知つた場合は、この限りでない。
en-us	(7) If the Prime Minister sends a copy of a Document Related to Profit to a Listed Company, etc. based on the provisions of paragraph (4), the Prime Minister is to make the copy of the Document Related to Profit available for public inspection during the period starting from the day on which 30 days have elapsed since the day the copy is sent and ending on the day that the right to a request which is provided for in paragraph (3) extinguishes (or the day that the Prime Minister learns that the profit referred to in paragraph (1) has been provided to the Listed Company, etc., if the Prime Minister learns of this before the right to a request extinguishes); provided, however, that this does not apply if the Prime Minister learns that the profit referred to in paragraph (1) has already been provided to the Listed Company, etc. before the Prime Minister makes the copy of the Document Related to Profit available for public inspection.

ja-jp	８　前各項の規定は、主要株主が買付け等をし、又は売付け等をしたいずれかの時期において主要株主でない場合及び役員又は主要株主の行う買付け等又は売付け等の態様その他の事情を勘案して内閣府令で定める場合においては、適用しない。
en-us	(8) The provisions of the preceding paragraphs do not apply if the major shareholder is not a major shareholder either at the time of effecting the purchase, etc. or at the time of effecting the sale, etc., nor do they apply in cases that are specified by Cabinet Office Ordinance in consideration of the features the purchase, etc. or sale, etc. that an officer or major shareholder effects and other circumstances.

ja-jp	９　第四項において、内閣総理大臣が上場会社等の役員又は主要株主が第一項の利益を得ていると認める場合における当該利益の算定の方法については、内閣府令で定める。
en-us	(9) The method of calculating profit if, as in paragraph (4), the Prime Minister finds the officer or major shareholder of a Listed Company, etc. to have made the profit referred to in paragraph (1), is specified by Cabinet Office Ordinance.

ja-jp	（上場会社等の役員等の禁止行為）
en-us	(Acts Prohibited for the Officer of a Listed Company, etc.)

ja-jp	第百六十五条　上場会社等の役員又は主要株主は、次に掲げる行為をしてはならない。
en-us	Article 165 It is prohibited for the officer or major shareholder of a Listed Company, etc. to engage in the following acts:

ja-jp	一　当該上場会社等の特定有価証券等の売付けその他の取引で政令で定めるもの（以下この条及び次条第十五項において「特定取引」という。）であつて、当該特定取引に係る特定有価証券の額（特定有価証券の売付けについてはその売付けに係る特定有価証券の額を、その他の取引については内閣府令で定める額をいう。）が、その者が有する当該上場会社等の同種の特定有価証券の額として内閣府令で定める額を超えるもの
en-us	(i) selling Specified Securities, etc. of the Listed Company, etc. or effecting other transactions specified by Cabinet Order (hereinafter referred to as "Specified Transactions" in this Article and paragraph (15) of the following Article), in which the amount of Specified Securities subject to the Specified Transactions (meaning the amount of Specified Securities sold in the case of a sale of Specified Securities, or the amount specified by Cabinet Office Ordinance in the case of any other transaction) exceeds the amount specified by Cabinet Office Ordinance as the amount for Specified Securities that are of the same class as the Specified Securities of the Listed Company, etc. that the officer or major shareholder holds; or

ja-jp	二　当該上場会社等の特定有価証券等に係る売付け等（特定取引を除く。）であつて、その売付け等において授受される金銭の額を算出する基礎となる特定有価証券の数量として内閣府令で定める数量が、その者が有する当該上場会社等の同種の特定有価証券の数量として内閣府令で定める数量を超えるもの
en-us	(ii) effecting a sale, etc. of Specified Securities, etc. of the Listed Company, etc. (other than a Specified Transaction), in which the volume of the Specified Securities, etc. specified by Cabinet Office Ordinance as the basis to be used for calculating the amount paid or received in the sale, etc. exceeds the volume specified by Cabinet Office Ordinance as the volume for Specified Securities that are of the same class as the Specified Securities of the Listed Company, etc. that the officer or major shareholder holds.

ja-jp	（特定組合等の財産に属する特定有価証券等の取扱い）
en-us	(Specified Securities etc. Among the Assets of Specified Partnerships, etc.)

ja-jp	第百六十五条の二　組合等（民法第六百六十七条第一項に規定する組合契約によつて成立する組合、投資事業有限責任組合契約に関する法律第二条第二項に規定する投資事業有限責任組合（以下この条において「投資事業有限責任組合」という。）若しくは有限責任事業組合契約に関する法律第二条に規定する有限責任事業組合（以下この条において「有限責任事業組合」という。）又はこれらの組合に類似する団体で政令で定めるものをいう。以下この条において同じ。）のうち当該組合等の財産に属する株式に係る議決権が上場会社等の総株主等の議決権に占める割合が百分の十以上であるもの（以下この条において「特定組合等」という。）については、当該特定組合等の組合員（これに類するものとして内閣府令で定める者を含む。以下この条において同じ。）が当該特定組合等の財産に関して当該上場会社等の特定有価証券等に係る買付け等又は売付け等をした場合（当該特定組合等の組合員の全員が委託者又は受益者である信託の受託者が、当該上場会社等の特定有価証券等に係る買付け等又は売付け等をする場合であつて内閣府令で定める場合を含む。以下この条において同じ。）には、当該買付け等又は売付け等を執行した組合員（これに準ずるものとして内閣府令で定める組合員を含む。以下この条において同じ。）は、内閣府令で定めるところにより、その売買等に関する報告書を売買等があつた日の属する月の翌月十五日までに、内閣総理大臣に提出しなければならない。ただし、買付け等又は売付け等の態様その他の事情を勘案して内閣府令で定める場合は、この限りでない。
en-us	Article 165-2 (1) In a partnership, etc. (meaning a partnership established based on a partnership contract provided for in Article 667, paragraph (1) of the Civil Code, an Investment Limited Partnership provided for in Article 2, paragraph (2) of the Limited Partnership Act for Investment (hereinafter referred to as an "Investment LPS" in this Article), or a Limited Liability Partnership provided for in Article 2 of the Limited Liability Partnership Act (hereinafter referred to as a "Limited Liability Partnership" in this Article), or any similar organization specified by Cabinet Order; hereinafter the same applies in this Article) whose assets include voting rights in respect of shares in a Listed Company, etc. which constitute 10 percent or more of all shareholders', etc. voting rights (hereinafter referred to as a "Specified Partnership, etc." in this Article), if one of the partners in the Specified Partnership, etc. (including a partner specified by Cabinet Office Ordinance as being similar to such a person; hereinafter the same applies in this Article) effects a purchase, etc. or sale, etc. of the Specified Securities, etc. of a Listed Company, etc. which is connected with the assets of the Specified Partnership, etc. (including if the trustee of a trust in which all of the partners in the Specified Partnership, etc. are the settlor or beneficiary effects a purchase, etc. or sale, etc. of the Specified Securities, etc. of a Listed Company, etc. as specified by Cabinet Office Ordinance; hereinafter the same applies in this Article), the partner that effects the purchase, etc. or sale, etc. (including a partner specified by Cabinet Office Ordinance as equivalent to such a person; hereinafter the same applies in this Article) must submit a report on the Purchase and Sale, etc. to the Prime Minister, pursuant to the provisions of Cabinet Office Ordinance, by the 15th day of the month following the month that includes the day of the Purchase and Sale, etc.; provided, however, that this does not apply in the cases that are specified by Cabinet Office Ordinance in consideration of the features the purchase, etc. or sale, etc. and other circumstances.

ja-jp	２　前項に規定する特定組合等の組合員が、当該特定組合等の財産に関して当該上場会社等の特定有価証券等に係る買付け等又は売付け等を金融商品取引業者等又は取引所取引許可業者に委託等をして行つた場合においては、同項に規定する報告書は、当該金融商品取引業者等又は取引所取引許可業者を経由して提出するものとする。当該買付け等又は売付け等の相手方が金融商品取引業者等又は取引所取引許可業者であるときも、同様とする。
en-us	(2) If a partner in a Specified Partnership, etc. prescribed in the preceding paragraph effects a purchase, etc. or sale, etc. of the Specified Securities, etc. of a Listed Company, etc. which is connected with the assets of that Specified Partnership, etc. by entrusting, etc. a Financial Services Provider, etc. or Authorized Operator for On-Exchange Transactions with doing so, the report prescribed in the preceding paragraph is to be submitted via the Financial Services Provider, etc. or Authorized Operator for On-Exchange Transactions. The same applies if the other party to the purchase, etc. or sale, etc. is a Financial Services Provider, etc. or Authorized Operator for On-Exchange Transactions.

ja-jp	３　特定組合等の組合員がその地位により取得した秘密を不当に利用することを防止するため、当該特定組合等の財産に関し、その者が当該上場会社等の特定有価証券等について、それに係る買付け等をした後六月以内に売付け等をし、又は売付け等をした後六月以内に買付け等をして当該特定組合等の財産について利益を生じた場合においては、当該上場会社等は、当該特定組合等の組合員に対し、当該特定組合等の財産をもつてその利益を当該上場会社等に提供すべきことを請求することができる。
en-us	(3) In order to prevent wrongful use by a partner in a Specified Partnership, etc. of any secret information acquired by virtue of position, a Listed Company, etc. may request a partner in a Specified Partnership, etc. that, in connection with the assets of the Specified Partnership, etc., effects a sale, etc. of the Specified Securities, etc. of the Listed Company, etc. within six months after having effected a purchase, etc. of them, or effects a purchase, etc. of the Specified Securities, etc. of the Listed Company, etc. within six months after having effected a sale, etc. of them, to use the assets of the Specified Partnership, etc. to provide the Listed Company, etc. with any profit earned from the sale, etc. or purchase, etc.

ja-jp	４　当該上場会社等が前項の規定により請求した場合においては、当該特定組合等の財産をもつて当該特定組合等の当該請求に係る債務その他の債務を完済することができなかつたときに限り、当該上場会社等は、同項の利益を生じた時における当該特定組合等の各組合員（投資事業有限責任組合の有限責任組合員及び有限責任事業組合の組合員並びにこれらに類する者として内閣府令で定める者を除く。）に対し、当該特定組合等の債務について当該各組合員が負う責任に応じて、当該利益（同項の規定により提供された利益の額を控除した額に限る。）を当該上場会社等に提供すべきことを請求することができる。
en-us	(4) If a Listed Company, etc. makes a request pursuant to the preceding paragraph but the obligation linked to that request and other obligations of the Specified Partnership, etc. cannot be repaid in full using the assets of the Specified Partnership, etc., the Listed Company, etc. may request each person that was a partner in the Specified Partnership, etc., at the time that the profit referred to in that paragraph accrued (excluding limited partners in an Investment LPS and partners in a Limited Liability Partnership and any person specified by Cabinet Office Ordinance as similar to such persons) to provide the Listed Company, etc. with the profit (to the extent of the amount that remains after deducting the amount of the profit already provided to the Listed Company, etc. pursuant to that paragraph) in proportion to the liability of each partner for the obligation of the Specified Partnership, etc.

ja-jp	５　前項に規定する場合において、当該特定組合等の財産に対する強制執行がその効を奏しなかつたときも、同様とする。
en-us	(5) In a case prescribed in the preceding paragraph, the provisions of the preceding paragraph also apply if a compulsory execution against the assets of the Specified Partnerships, etc. does not prove effective.

ja-jp	６　前項の規定は、第三項の利益を生じた時における当該特定組合等の組合員が当該特定組合等の財産が存在し、かつ、その財産に対する強制執行が容易であることを証明したときは、適用しない。
en-us	(6) The preceding paragraph does not apply if a person that was a partner in the Specified Partnership, etc. at the time that the profit referred to in paragraph (3) accrued proves that the Specified Partnership, etc. has sufficient assets against which a compulsory execution may be easily effected.

ja-jp	７　当該上場会社等の株主（保険契約者である社員又は出資者を含む。以下この項において同じ。）が上場会社等に対し第三項から第五項までの規定による請求を行うべき旨を要求した日の後六十日以内に上場会社等がこれらの規定による請求を行わない場合においては、当該株主は、上場会社等に代位して、その請求を行うことができる。
en-us	(7) If a Listed Company, etc. fails to make a request under paragraphs (3) to (5) within 60 days from the day on which a shareholder (including a member that is an insurance policy holder, or an equity investor; hereinafter the same applies in this paragraph) of the Listed Company, etc. has demanded that the Listed Company, etc. make a request under one of these paragraphs, the shareholder may make the request in subrogation of the Listed Company, etc.

ja-jp	８　第三項から第五項まで又は前項の規定により利益の返還を請求する権利は、当該特定組合等の財産について利益が生じた日から二年間行わないときは、消滅する。
en-us	(8) The right to request the restitution of profit pursuant to paragraphs (3) to (5) inclusive or the preceding paragraph extinguishes by prescription if that right is not exercised within two years from the time that a profit accrues to the assets of the Specified Partnership, etc.

ja-jp	９　内閣総理大臣は、第一項の報告書の記載に基づき、当該特定組合等の財産について第三項の利益が生じていると認める場合において、報告書のうち当該利益に係る部分（以下この条において「組合利益関係書類」という。）の写しを、報告書提出組合員（第一項の規定により報告書（直近の買付け等又は売付け等に係るものに限る。）を提出した組合員をいう。）に送付し、当該報告書提出組合員から、当該組合利益関係書類に関し次項に定める期間内に同項の申立てがないときは、当該組合利益関係書類の写しを当該上場会社等に送付するものとする。ただし、内閣総理大臣が、当該組合利益関係書類の写しを当該報告書提出組合員又は当該上場会社等に送付する前において、第三項の利益が当該上場会社等に提供されたことを知つた場合は、この限りでない。
en-us	(9) If the Prime Minister finds, based on the report referred to in paragraph (1), that the profit referred to in paragraph (3) has accrued to the assets of the Specified Partnership, etc., the Prime Minister is to send a copy of the portion of the report pertaining to the profit (hereinafter referred to as a "Document Related to Partnership Profit" in this Article) to the reporting partner (meaning the partner that has submitted the report (limited to a report of the most recent purchase, etc. or sale, etc.) pursuant to paragraph (1)), and if there is no filing as referred to in the following paragraph from the reporting partner within the period specified therein with regard to the Document Related to Partnership Profit, the Prime Minister is to send a copy of the Document Related to Partnership Profit to the Listed Company, etc.; provided, however, that this does not apply if the Prime Minister learns that the profit referred to in paragraph (3) has already been provided to the Listed Company, etc. before the Prime Minister sends the copy of the Document Related to Partnership Profit to the reporting partner or the Listed Company, etc.

ja-jp	１０　前項本文の規定により当該報告書提出組合員に組合利益関係書類の写しが送付された場合において、当該報告書提出組合員は、当該組合利益関係書類の写しに記載された内容の売買等を行つていないと認めるときは、当該組合利益関係書類の写しを受領した日から起算して二十日以内に、内閣総理大臣に、その旨の申立てをすることができる。
en-us	(10) If a copy of a Document Related to Partnership Profit is sent to a reporting partner pursuant to the main clause of the preceding paragraph, and the reporting partner finds that that the reporting partner has not made a Purchase and Sale, etc. as stated in the copy of the Document Related to Partnership Profit, the reporting partner may submit a filing indicating this to the Prime Minister within a period not exceeding 20 days from the day on which the reporting partner receives the copy of the Document Related to Partnership Profit.

ja-jp	１１　前項の規定により、当該報告書提出組合員から当該組合利益関係書類の写しに記載された内容の売買等を行つていない旨の申立てがあつた場合には、第九項本文の規定の適用については、当該申立てに係る部分は、内閣総理大臣に対する第一項の規定による報告書に記載がなかつたものとみなす。
en-us	(11) If a filing indicating that the reporting partner has not made a Purchase and Sale, etc. as stated in the copy of a Document Related to Partnership Profit is submitted by the reporting partner pursuant to the preceding paragraph, for the purpose of the application of the main clause of paragraph (9), the portion to which the filing pertains is deemed not to be included in the report to the Prime Minister under paragraph (1).

ja-jp	１２　内閣総理大臣は、第九項の規定に基づき上場会社等に組合利益関係書類の写しを送付した場合には、当該組合利益関係書類の写しを当該送付の日より起算して三十日を経過した日から第八項に規定する請求権が消滅する日まで（請求権が消滅する日前において内閣総理大臣が第三項の利益が当該上場会社等に提供されたことを知つた場合には、当該知つた日まで）公衆の縦覧に供するものとする。ただし、内閣総理大臣が、当該組合利益関係書類の写しを公衆の縦覧に供する前において第三項の利益が当該上場会社等に提供されたことを知つた場合は、この限りでない。
en-us	(12) If the Prime Minister sends a copy of a Document Related to Partnership Profit to a Listed Company, etc. based on the provisions of paragraph (9), the Prime Minister is to make the copy of the Document Related to Partnership Profit available for public inspection during the period starting from the day on which 30 days have elapsed since the day the copy is sent and ending on the day that the right to a request which is provided for in paragraph (8) extinguishes (or the day that the Prime Minister learns that the profit referred to in paragraph (3) has been provided to the Listed Company, etc., if the Prime Minster learns of this before the right to a request extinguishes); provided, however, that this does not apply if the Prime Minister learns that the profit referred to in paragraph (3) has been provided to the Listed Company, etc. before the Prime Minister makes a copy of the Document Related to Partnership Profit available for public inspection.

ja-jp	１３　第三項から前項までの規定は、特定組合等の財産に関して買付け等をし、又は売付け等をしたいずれかの時期において当該特定組合等が特定組合等でない場合及び特定組合等の財産に関して行われる買付け等又は売付け等の態様その他の事情を勘案して内閣府令で定める場合においては、適用しない。
en-us	(13) The provisions of paragraph (3) to the preceding paragraph inclusive do not apply if a Specified Partnership, etc. was not a Specified Partnership, etc. either at the time at which the purchase, etc. was made in connection with the assets of the Specified Partnership, etc. or at the time the sale, etc. was made in connection with the assets of the Specified Partnership, etc., nor to the cases that are specified by Cabinet Office Ordinance in consideration of the features of the purchase, etc. or sale, etc. that is conducted in connection with the assets of the Specified Partnership, etc. or other circumstances.

ja-jp	１４　第九項において、内閣総理大臣が当該特定組合等の財産について第三項の利益が生じていると認める場合における当該利益の算定の方法については、内閣府令で定める。
en-us	(14) The method of calculating profit if, as in paragraph (9), the Prime Minister finds the profit referred to in paragraph (3) to have accrued to the assets of a Specified Partnership, etc. as provided in paragraph (3), is specified by Cabinet Office Ordinance.

ja-jp	１５　特定組合等の組合員は、当該特定組合等の財産に関して次に掲げる行為をしてはならない。
en-us	(15) A partner in a Specified Partnership, etc. must not engage in the following acts with the assets of the Specified Partnership, etc.:

ja-jp	一　特定取引であつて、当該特定取引に係る特定有価証券の額（特定有価証券の売付けについてはその売付けに係る特定有価証券の額を、その他の取引については内閣府令で定める額をいう。）が、その者が有する当該上場会社等の同種の特定有価証券の額として内閣府令で定める額を超えるもの
en-us	(i) conducting a Specified Transaction, in which the amount of Specified Securities traded in the Specified Transaction (meaning the amount of Specified Securities sold in the case of a sale of Specified Securities, or the amount specified by Cabinet Office Ordinance in the case of any other transaction) exceeds the amount specified by Cabinet Office Ordinance as the amount for Specified Securities that are of the same class as the Specified Securities of the Listed Company, etc. that the partner holds; or

ja-jp	二　当該上場会社等の特定有価証券等に係る売付け等（特定取引を除く。）であつて、その売付け等において授受される金銭の額を算出する基礎となる特定有価証券の数量として内閣府令で定める数量が、その者が有する当該上場会社等の同種の特定有価証券の数量として内閣府令で定める数量を超えるもの
en-us	(ii) effecting a sale, etc. of Specified Securities, etc. of the Listed Company, etc. (other than a Specified Transaction), in which the volume of the Specified Securities, etc. specified by Cabinet Office Ordinance as the basis to be used for calculating the amount paid or received in the sale, etc. exceeds the volume specified by Cabinet Office Ordinance as the volume for Specified Securities that are of the same class as the Specified Securities of the Listed Company, etc. that the partner holds.

ja-jp	１６　前三条の規定は、組合等の財産として上場会社等の株式を所有することにより当該上場会社等の主要株主に該当することとなる主要株主については、適用しない。
en-us	(16) The preceding three Articles do not apply to a major shareholder that comes to fall under the category of a major shareholder of a Listed Company, etc. as a result of obtaining shares in the Listed Company, etc. as a part of the assets of a partnership, etc.

ja-jp	（会社関係者の禁止行為）
en-us	(Acts Prohibited for a Company Insider)

ja-jp	第百六十六条　次の各号に掲げる者（以下この条において「会社関係者」という。）であつて、上場会社等に係る業務等に関する重要事実（当該上場会社等の子会社に係る会社関係者（当該上場会社等に係る会社関係者に該当する者を除く。）については、当該子会社の業務等に関する重要事実であつて、次項第五号から第八号までに規定するものに限る。以下同じ。）を当該各号に定めるところにより知つたものは、当該業務等に関する重要事実の公表がされた後でなければ、当該上場会社等の特定有価証券等に係る売買その他の有償の譲渡若しくは譲受け又はデリバティブ取引（以下この条において「売買等」という。）をしてはならない。当該上場会社等に係る業務等に関する重要事実を次の各号に定めるところにより知つた会社関係者であつて、当該各号に掲げる会社関係者でなくなつた後一年以内のものについても、同様とする。
en-us	Article 166 (1) A person set forth in one of the following items (hereinafter referred to as a "Company Insider" in this Article) that comes to know a material fact about the business of a Listed Company, etc. (in the case of the Company Insider of a Subsidiary Company of the Listed Company, etc. (other than one that falls under the category of a Company Insider of the Listed Company, etc.), this is limited to a material fact about the business of the Subsidiary Company which is set forth in one of items (v) to (viii) inclusive of the following paragraph; the same applies hereinafter) in the manner prescribed in the relevant item must not effect a purchase and sale, or any other transfer or acquisition for value, of Specified Securities, etc. of the Listed Company, etc., nor effect a Derivatives Transaction connected with the same (hereinafter referred to as a "Purchase and Sale, etc." in this Article) before the disclosure of the material fact about its business. The same applies for one year to a Company Insider that comes to know a material fact about the business of a Listed Company, etc. in a manner prescribed in one of the following items even after the person ceases to be the Company Insider as set forth in the relevant item:

ja-jp	一　当該上場会社等（当該上場会社等の親会社及び子会社を含む。以下この項において同じ。）の役員（会計参与が法人であるときは、その社員）、代理人、使用人その他の従業者（以下この条及び次条において「役員等」という。）　その者の職務に関し知つたとき。
en-us	(i) the officer (if the accounting advisor is a corporation, its staff member), agent, employee, or other worker (hereinafter referred to as an "Officer, etc." in this Article and the following Article) of the Listed Company, etc. (including its Parent Company and Subsidiary Companies; hereinafter the same applies in this paragraph): coming to know the material fact in the course of duty;

ja-jp	二　当該上場会社等の会社法第四百三十三条第一項に定める権利を有する株主若しくは優先出資法に規定する普通出資者のうちこれに類する権利を有するものとして内閣府令で定める者又は同条第三項に定める権利を有する社員（これらの株主、普通出資者又は社員が法人（法人でない団体で代表者又は管理人の定めのあるものを含む。以下この条及び次条において同じ。）であるときはその役員等を、これらの株主、普通出資者又は社員が法人以外の者であるときはその代理人又は使用人を含む。）　当該権利の行使に関し知つたとき。
en-us	(ii) a shareholder of the Listed Company, etc. that has the right prescribed in Article 433, paragraph (1) of the Companies Act, an ordinary equity investor in the Listed Company, etc. as prescribed in the Act on Preferred Equity Investment that is specified by Cabinet Office Ordinance as being deemed to have a right similar to such a right, or a member of the Listed Company, etc. that has the right prescribed in Article 433, paragraph (3) of that Act (this includes the Officer, etc. of such a shareholder, ordinary equity investor, or member, if such a shareholder, ordinary equity investor, or member is a corporation (including an organization without legal personality for which a representative or administrator has been designated; hereinafter the same applies in this and the following Articles), and includes the agent or employee of such a shareholder, ordinary equity investor, or member, if such a shareholder, ordinary equity investor, or member is a person other than a corporation): coming to know the material fact in the course of exercising that right;

ja-jp	三　当該上場会社等に対する法令に基づく権限を有する者　当該権限の行使に関し知つたとき。
en-us	(iii) a person that has statutory authority over the Listed Company, etc.: coming to know the material fact in the course of exercising that authority;

ja-jp	四　当該上場会社等と契約を締結している者又は締結の交渉をしている者（その者が法人であるときはその役員等を、その者が法人以外の者であるときはその代理人又は使用人を含む。）であつて、当該上場会社等の役員等以外のもの　当該契約の締結若しくはその交渉又は履行に関し知つたとき。
en-us	(iv) a person other than an Officer, etc. of the Listed Company, etc., that has concluded, or is in negotiations to conclude, a contract with the Listed Company, etc. (including an Officer, etc. of such a person, if such a person is a corporation, and an agent or employee of such a person, if such a person is a person other than a corporation): coming to know the material fact in the course of concluding, negotiating, or performing the contract; and

ja-jp	五　第二号又は前号に掲げる者であつて法人であるものの役員等（その者が役員等である当該法人の他の役員等が、それぞれ第二号又は前号に定めるところにより当該上場会社等に係る業務等に関する重要事実を知つた場合におけるその者に限る。）　その者の職務に関し知つたとき。
en-us	(v) the Officer, etc. of a person set forth in item (ii) or the preceding item that is a corporation (but only the Officer, etc. of a corporation at which another Officer, etc. comes to know a material fact about the business of the Listed Company, etc. pursuant to item (ii) or the preceding item): coming to know the material fact in the course of duty.

ja-jp	２　前項に規定する業務等に関する重要事実とは、次に掲げる事実（第一号、第二号、第五号及び第六号に掲げる事実にあつては、投資者の投資判断に及ぼす影響が軽微なものとして内閣府令で定める基準に該当するものを除く。）をいう。
en-us	(2) The material fact about business that is provided for in the preceding paragraph means one of the following facts (for item (i), (ii), (v), or (vi), this excludes a fact that falls under the criteria specified by Cabinet Office Ordinance as having only a minor influence on investors' investment decisions):

ja-jp	一　当該上場会社等の業務執行を決定する機関が次に掲げる事項を行うことについての決定をしたこと又は当該機関が当該決定（公表がされたものに限る。）に係る事項を行わないことを決定したこと。
en-us	(i) the organ that is responsible for making decisions about the execution of operations at the Listed Company, etc. has decided that the Listed Company, etc. will effect one of the following things, or has decided that the Listed Company, etc. will not effect a thing that was subject to such a decision (limited to a decision that has already been disclosed):

ja-jp	イ　会社法第百九十九条第一項に規定する株式会社の発行する株式若しくはその処分する自己株式を引き受ける者（協同組織金融機関が発行する優先出資を引き受ける者を含む。）の募集（処分する自己株式を引き受ける者の募集をする場合にあつては、これに相当する外国の法令の規定（当該上場会社等が外国会社である場合に限る。以下この条において同じ。）によるものを含む。）又は同法第二百三十八条第一項に規定する募集新株予約権を引き受ける者の募集
en-us	(a) the solicitation, as prescribed in Article 199, paragraph (1) of the Companies Act, of persons to subscribe for the shares that a stock company issues or the treasury shares it disposes of (including solicitation of persons to subscribe for preferred equity investments that a Cooperative Financial Institution issues) (in the case of solicitation for persons to subscribe for treasury shares, this includes solicitation under a foreign law or regulation that is equivalent to this provision of the Companies Act (but only if the Listed Company, etc. is a foreign company; hereinafter the same applies in this Article)), or solicitation, as prescribed in Article 238, paragraph (1) of that Act, of persons to subscribe for share options;

ja-jp	ロ　資本金の額の減少
en-us	(b) a reduction of the stated capital;

ja-jp	ハ　資本準備金又は利益準備金の額の減少
en-us	(c) a reduction of the capital reserves or retained earnings reserves;

ja-jp	ニ　会社法第百五十六条第一項（同法第百六十三条及び第百六十五条第三項の規定により読み替えて適用する場合を含む。）の規定又はこれらに相当する外国の法令の規定（当該上場会社等が外国会社である場合に限る。以下この条において同じ。）による自己の株式の取得
en-us	(d) the acquisition of its own shares as prescribed in Article 156, paragraph (1) of the Companies Act (including as it applies through the replacement of certain terms pursuant to the provisions of Articles 163 and Article 165, paragraph (3) of that Act) or under a foreign law or regulation that is equivalent to these provisions of that Act (but only if the Listed Company, etc. is a foreign company; hereinafter the same applies in this Article);

ja-jp	ホ　株式無償割当て
en-us	(e) the allotment of shares without a contribution;

ja-jp	ヘ　株式（優先出資法に規定する優先出資を含む。）の分割
en-us	(f) a share split (including a split of preferred equity investment as prescribed in the Act on Preferred Equity Investment);

ja-jp	ト　剰余金の配当
en-us	(g) a distribution of surplus;

ja-jp	チ　株式交換
en-us	(h) a share exchange;

ja-jp	リ　株式移転
en-us	(i) a share transfer;

ja-jp	ヌ　合併
en-us	(j) a merger;

ja-jp	ル　会社の分割
en-us	(k) a company split;

ja-jp	ヲ　事業の全部又は一部の譲渡又は譲受け
en-us	(l) the transfer or acquisition of all or a part of business;

ja-jp	ワ　解散（合併による解散を除く。）
en-us	(m) dissolution (other than dissolution as a result of a merger);

ja-jp	カ　新製品又は新技術の企業化
en-us	(n) the commercialization of a new product or new technology; or

ja-jp	ヨ　業務上の提携その他のイからカまでに掲げる事項に準ずる事項として政令で定める事項
en-us	(o) a business alliance or anything else that is specified by Cabinet Order as being equivalent to the things set forth in sub-items (a) to (n) inclusive.

ja-jp	二　当該上場会社等に次に掲げる事実が発生したこと。
en-us	(ii) one of the following facts has arisen at the Listed Company, etc.:

ja-jp	イ　災害に起因する損害又は業務遂行の過程で生じた損害
en-us	(a) damage arising from a disaster or in the performance of its operations;

ja-jp	ロ　主要株主の異動
en-us	(b) any change in its major shareholders;

ja-jp	ハ　特定有価証券又は特定有価証券に係るオプションの上場の廃止又は登録の取消しの原因となる事実
en-us	(c) a fact that may be grounds for the delisting of Specified Securities or Options on Specified Securities, or for the recession of their registration; or

ja-jp	ニ　イからハまでに掲げる事実に準ずる事実として政令で定める事実
en-us	(d) any fact specified by Cabinet Order as being equivalent to the facts set forth in sub-items (a) to (c) inclusive.

ja-jp	三　当該上場会社等の売上高、経常利益若しくは純利益（以下この条において「売上高等」という。）若しくは第一号トに規定する配当又は当該上場会社等の属する企業集団の売上高等について、公表がされた直近の予想値（当該予想値がない場合は、公表がされた前事業年度の実績値）に比較して当該上場会社等が新たに算出した予想値又は当事業年度の決算において差異（投資者の投資判断に及ぼす影響が重要なものとして内閣府令で定める基準に該当するものに限る。）が生じたこと。
en-us	(iii) the appearance of a variance in the forecasts that the Listed Company, etc. has newly prepared or in the results in the settlement of accounts for the business year, when compared against the last disclosed forecasts (or disclosed actual figures for the preceding business year, if there are no such forecasts) of net sales, current profits, or net income of the Listed Company, etc. (hereinafter referred to as "Net Sales, etc." in this Article), of the dividends prescribed in item (i), sub-item (g) from the Listed Company, etc., or of the Net Sales, etc. of the corporate group of which the Listed Company, etc. is a part (limited to a variance that falls under the criteria specified by Cabinet Office Ordinance as having a material influence on investors' investment decisions);

ja-jp	四　前三号に掲げる事実を除き、当該上場会社等の運営、業務又は財産に関する重要な事実であつて投資者の投資判断に著しい影響を及ぼすもの
en-us	(iv) a material fact other than one of the facts specified in the preceding three items, which concerns the operations, business, or assets of the Listed Company, etc. and has a significant influence on investors' investment decisions;

ja-jp	五　当該上場会社等の子会社の業務執行を決定する機関が当該子会社について次に掲げる事項を行うことについての決定をしたこと又は当該機関が当該決定（公表がされたものに限る。）に係る事項を行わないことを決定したこと。
en-us	(v) the organ that is responsible for making decisions about the execution of operations at the Subsidiary Company of the Listed Company, etc. has decided that the Subsidiary Company will effect one of the following things, or has decided that the Subsidiary Company will not effect a thing that was subject to such a decision (limited to a decision that has already been disclosed):

ja-jp	イ　株式交換
en-us	(a) a share exchange;

ja-jp	ロ　株式移転
en-us	(b) a share transfer;

ja-jp	ハ　合併
en-us	(c) a merger;

ja-jp	ニ　会社の分割
en-us	(d) a company split;

ja-jp	ホ　事業の全部又は一部の譲渡又は譲受け
en-us	(e) a transfer or acquisition of all or part of business;

ja-jp	ヘ　解散（合併による解散を除く。）
en-us	(f) dissolution (other than dissolution as a result of a merger);

ja-jp	ト　新製品又は新技術の企業化
en-us	(g) the commercialization of a new product or new technology; or

ja-jp	チ　業務上の提携その他のイからトまでに掲げる事項に準ずる事項として政令で定める事項
en-us	(h) a business alliance or any other thing specified by Cabinet Order as being equivalent to one of the things set forth in sub-items (a) to (g) inclusive.

ja-jp	六　当該上場会社等の子会社に次に掲げる事実が発生したこと。
en-us	(vi) one of the following facts has arisen at a Subsidiary Company of the Listed Company, etc.:

ja-jp	イ　災害に起因する損害又は業務遂行の過程で生じた損害
en-us	(a) damage arising from a disaster or in the performance of its operations; or

ja-jp	ロ　イに掲げる事実に準ずる事実として政令で定める事実
en-us	(b) any fact specified by Cabinet Order as being equivalent to the fact specified in sub-item (a).

ja-jp	七　当該上場会社等の子会社（第二条第一項第五号、第七号又は第九号に掲げる有価証券で金融商品取引所に上場されているものの発行者その他の内閣府令で定めるものに限る。）の売上高等について、公表がされた直近の予想値（当該予想値がない場合は、公表がされた前事業年度の実績値）に比較して当該子会社が新たに算出した予想値又は当事業年度の決算において差異（投資者の投資判断に及ぼす影響が重要なものとして内閣府令で定める基準に該当するものに限る。）が生じたこと。
en-us	(vii) the appearance of a variance in the forecasts that a Subsidiary Company (limited to a Subsidiary Company that is the Issuer of Securities specified in Article 2, paragraph (1), item (v), (vii), or (ix) that are listed on a Financial Instruments Exchange, or any other Subsidiary Company specified by Cabinet Office Ordinance) of the Listed Company, etc. has newly prepared or in the results in the settlement of accounts for the business year, when compared against the last disclosed forecasts (or disclosed actual figures for the preceding business year, if there are no such forecasts) of Net Sales, etc. of the Subsidiary Company (limited to a variance that falls under the criteria specified by Cabinet Office Ordinance as having a material influence on investors' investment decisions); or

ja-jp	八　前三号に掲げる事実を除き、当該上場会社等の子会社の運営、業務又は財産に関する重要な事実であつて投資者の投資判断に著しい影響を及ぼすもの
en-us	(viii) a material fact, other than one of the facts specified in the preceding three items, which concerns the operations, business, or assets of a Subsidiary Company of the Listed Company, etc. and has a significant influence on investors' investment decisions.

ja-jp	３　会社関係者（第一項後段に規定する者を含む。以下この項において同じ。）から当該会社関係者が第一項各号に定めるところにより知つた同項に規定する業務等に関する重要事実の伝達を受けた者（同項各号に掲げる者であつて、当該各号に定めるところにより当該業務等に関する重要事実を知つたものを除く。）又は職務上当該伝達を受けた者が所属する法人の他の役員等であつて、その者の職務に関し当該業務等に関する重要事実を知つたものは、当該業務等に関する重要事実の公表がされた後でなければ、当該上場会社等の特定有価証券等に係る売買等をしてはならない。
en-us	(3) It is prohibited for a person that receives information from a Company Insider (including a Company Insider as prescribed in the second sentence of paragraph (1); hereinafter the same applies in this paragraph) regarding a material fact about business provided for in paragraph (1) that the Company Insider comes to know in a manner prescribed in one of the items of that paragraph (other than a person that is set forth in one of the items of that paragraph and that comes to know the material fact about business in the manner prescribed in the relevant item), or for another Officer, etc., at corporation to which the person that receives this information in the course of duty is affiliated, that comes to know the material fact about business in connection with that person's duties, to effect the Purchase and Sale, etc. of Specified Securities, etc. of the Listed Company, etc. before the material fact about business is disclosed.

ja-jp	４　第一項、第二項第一号、第三号、第五号及び第七号並びに前項の公表がされたとは、上場会社等に係る第一項に規定する業務等に関する重要事実、上場会社等の業務執行を決定する機関の決定、上場会社等の売上高等若しくは第二項第一号トに規定する配当、上場会社等の属する企業集団の売上高等、上場会社等の子会社の業務執行を決定する機関の決定又は上場会社等の子会社の売上高等について、当該上場会社等又は当該上場会社等の子会社（子会社については、当該子会社の第一項に規定する業務等に関する重要事実、当該子会社の業務執行を決定する機関の決定又は当該子会社の売上高等に限る。以下この項において同じ。）により多数の者の知り得る状態に置く措置として政令で定める措置がとられたこと又は当該上場会社等若しくは当該上場会社等の子会社が提出した第二十五条第一項に規定する書類（同項第十一号に掲げる書類を除く。）にこれらの事項が記載されている場合において、当該書類が同項の規定により公衆の縦覧に供されたことをいう。
en-us	(4) The disclosure referred to in paragraph (1), paragraph (2), items (i), (iii), (v), and (vii), and the preceding paragraph has been made once measures specified by Cabinet Order as measures for putting information into a format that makes it available to a large number of persons are taken by a Listed Company, etc. or the Subsidiary Company of a Listed Company, etc. in connection with a material fact about the business of the Listed Company that is provided for in paragraph (1), etc.; a decision by the organ that is responsible for making decisions about the execution of operations at the Listed Company, etc.; the Net Sales, etc. of the Listed Company, etc. or dividends from the Listed Company, etc. as prescribed in paragraph (2), item (i), sub-item (g); the Net Sales, etc. of the corporate group of which the Listed Company, etc. is a part; a decision by the organ that is responsible for making decisions about the execution of operations at the Subsidiary Company of the Listed Company, etc.; or the Net Sales, etc. of the Subsidiary Company of the Listed Company, etc. (for a Subsidiary Company, this is limited to a material fact about the business of the Subsidiary Company which is provided for in paragraph (1); a decision by the organ that is responsible for making decisions about the execution of operations at the Subsidiary Company; or the Net Sales, etc. of the Subsidiary Company; hereinafter the same applies in this paragraph); or if these matters are stated in documents specified in Article 25, paragraph (1) (excluding documents specified in Article 25, paragraph (1), item (xi)) that the Listed Company, etc. or the Subsidiary Company of the Listed Company, etc. has submitted, such a disclosure has been made once these documents are made available for public inspection pursuant to Article 25, paragraph (1).

ja-jp	５　第一項及び次条において「親会社」とは、他の会社（協同組織金融機関を含む。以下この項において同じ。）を支配する会社として政令で定めるものをいい、この条において「子会社」とは、他の会社が提出した第五条第一項の規定による届出書、第二十四条第一項の規定による有価証券報告書、第二十四条の四の七第一項若しくは第二項の規定による四半期報告書若しくは第二十四条の五第一項の規定による半期報告書で第二十五条第一項の規定により公衆の縦覧に供されたもの、第二十七条の三十一第二項の規定により公表した特定証券情報又は第二十七条の三十二第一項若しくは第二項の規定により公表した発行者情報のうち、直近のものにおいて、当該他の会社の属する企業集団に属する会社として記載され、又は記録されたものをいう。
en-us	(5) The term "Parent Company" as used in paragraph (1) and the following Article means a company specified by Cabinet Order as one that controls another company (including a Cooperative Financial Institution; hereinafter the same applies in this paragraph), and the term "Subsidiary Company" as used in this Article means a company stated or recorded as belonging to the corporate group that belongs to another company, in the most recent of the statements under Article 5, paragraph (1), Annual Reports under Article 24, paragraph (1), Quarterly Reports under Article 24-4-7, paragraph (1) or (2), or Semiannual Reports under Article 24-5, paragraph (1), which that other company has submitted, and which has been made available for public inspection pursuant to Article 25, paragraph (1); in the latest Specified Information on Securities disclosed pursuant to Article 27-31, paragraph (2); or in the latest Information on the Issuer disclosed pursuant to Article 27-32, paragraph (1) or (2).

ja-jp	６　第一項及び第三項の規定は、次に掲げる場合には、適用しない。
en-us	(6) The provisions of paragraphs (1) and (3) do not apply in the following cases:

ja-jp	一　会社法第二百二条第一項第一号に規定する権利（優先出資法に規定する優先出資の割当てを受ける権利を含む。）を有する者が当該権利を行使することにより株券（優先出資法に規定する優先出資証券を含む。）を取得する場合
en-us	(i) a person with the right prescribed in Article 202, paragraph (1), item (i) of the Companies Act (including the right to be allotted a preferred equity investment prescribed in the Act on Preferred Equity Investment) acquires share certificates (including preferred equity investment certificates as prescribed in the Act on Preferred Equity Investment) by exercising that right;

ja-jp	二　新株予約権を有する者が当該新株予約権を行使することにより株券を取得する場合
en-us	(ii) a person with a share option acquires share certificates by exercising the share option;

ja-jp	二の二　特定有価証券等に係るオプションを取得している者が当該オプションを行使することにより特定有価証券等に係る売買等をする場合
en-us	(ii)-2 a person that has acquired an Option on Specified Securities, etc. effects a Sale and Purchase, etc. of Specified Securities, etc. by exercising the Option;

ja-jp	三　会社法第百十六条第一項、第四百六十九条第一項、第七百八十五条第一項、第七百九十七条第一項若しくは第八百六条第一項の規定による株式の買取りの請求又は法令上の義務に基づき売買等をする場合
en-us	(iii) a purchase of shares is demanded pursuant to the provisions of Article 116, paragraph (1); Article 469, paragraph (1); Article 785, paragraph (1); Article 797, paragraph (1); or Article 806, paragraph (1) of the Companies Act; or a Purchase and Sale, etc. is made based on a statutory obligation

ja-jp	四　当該上場会社等の株券等（第二十七条の二第一項に規定する株券等をいう。）に係る同項に規定する公開買付け（同項本文の規定の適用を受ける場合に限る。）又はこれに準ずる行為として政令で定めるものに対抗するため当該上場会社等の取締役会が決定した要請（委員会設置会社にあつては、執行役の決定した要請を含む。）に基づいて、当該上場会社等の特定有価証券等又は特定有価証券等の売買に係るオプション（当該オプションの行使により当該行使をした者が当該オプションに係る特定有価証券等の売買において買主としての地位を取得するものに限る。）の買付け（オプションにあつては、取得をいう。次号において同じ。）その他の有償の譲受けをする場合
en-us	(iv) a purchase (or acquisition, in the case of an Option; the same applies in the following item) or other acquisition for value of Specified Securities, etc. of a Listed Company, etc. or of an Option for the purchase and sale thereof (limited to an Option that causes the person that exercises it to acquire the position of the buyer in a purchase and sale of the Specified Securities, etc. subject to that Option) is effected as per the request that the board of directors of the Listed Company, etc. have decided to make (including a request that the executive officer has decided to make, if it is a company with committees) in order to cope with a Tender Offer under Article 27-2, paragraph (1) (but only if the main clause of Article 27-2, paragraph (1) applies) or any other act specified by Cabinet Order as being equivalent to such a Tender Offer, for the Share Certificates, etc. (meaning Share Certificates, etc. as defined in Article 27-2, paragraph (1)) of the Listed Company, etc.;

ja-jp	四の二　会社法第百五十六条第一項（同法第百六十三条及び第百六十五条第三項の規定により読み替えて適用する場合を含む。以下この号において同じ。）の規定又はこれらに相当する外国の法令の規定による自己の株式の取得についての当該上場会社等の同法第百五十六条第一項の規定による株主総会若しくは取締役会の決議（委員会設置会社にあつては、執行役の決定を含む。）（同項各号に掲げる事項に係るものに限る。）又はこれらに相当する外国の法令の規定に基づいて行う決議等（以下この号において「株主総会決議等」という。）について第一項に規定する公表（当該株主総会決議等の内容が当該上場会社等の業務執行を決定する機関の決定と同一の内容であり、かつ、当該株主総会決議等の前に当該決定について同項に規定する公表がされている場合の当該公表を含む。）がされた後、当該株主総会決議等に基づいて当該自己の株式に係る株券若しくは株券に係る権利を表示する第二条第一項第二十号に掲げる有価証券その他の政令で定める有価証券（以下この号において「株券等」という。）又は株券等の売買に係るオプション（当該オプションの行使により当該行使をした者が当該オプションに係る株券等の売買において買主としての地位を取得するものに限る。以下この号において同じ。）の買付けをする場合（当該自己の株式の取得についての当該上場会社等の業務執行を決定する機関の決定以外の第一項に規定する業務等に関する重要事実について、同項に規定する公表がされていない場合（当該自己の株式の取得以外の同法第百五十六条第一項の規定又はこれらに相当する外国の法令の規定による自己の株式の取得について、この号の規定に基づいて当該自己の株式に係る株券等又は株券等の売買に係るオプションの買付けをする場合を除く。）を除く。）
en-us	(iv)-2 a purchase of share certificates for the company's own shares, a purchase of Securities specified in Article 2, paragraph (1), item (xx) or other Securities specified by Cabinet Order which indicate rights to such share certificates (hereinafter referred to as "Share Certificates, etc." in this item), or a purchase of an Option for the purchase and sale of such Share Certificates, etc. (limited to an Option that causes the person that exercises it to acquire the position of the buyer in a purchase and sale of the Share Certificates, etc. subject to that Option; hereinafter the same applies in this item), is effected based on a resolution under Article 156, paragraph (1) of the Companies Act (including as it applies through the replacement of certain terms pursuant to the provisions of Articles 163 and Article 165, paragraph (3) of that Act; hereinafter the same applies in this item) by the shareholders or the board of directors of a Listed Company, etc. (including the decision of an executive officer, if it is a company with committees) regarding the company's acquisition of its own shares under Article 156, paragraph (1) of that Act or under the equivalent provisions of a foreign law or regulation (limited to a resolution on a matter set forth in one of the items of Article 156, paragraph (1) of the Companies Act), or is effected based on a resolution or other similar decision equivalent to such a shareholders resolution or board of directors resolution, which is reached based on a foreign law or regulation (such a resolution or decision is hereinafter referred to as a "Shareholder Resolution, etc." in this item), and it is effected following the disclosure provided for in paragraph (1) of such a Shareholder Resolution, etc. (this includes disclosure of a decision by the organ that is responsible for making decisions about the execution of operations at the Listed Company, etc., if the content of the Shareholder Resolution, etc. is the same as the content of that decision, and if that decision is disclosed as prescribed in paragraph (1) before the Shareholder Resolution, etc.) (but not if the disclosure provided for in paragraph (1) has not been made with regard to a material fact other than the decision regarding the company's acquisition of its own shares by the organ that is responsible for making decisions about the execution of operations at the Listed Company, etc., in connection with the operations, etc. provided for in that paragraph (unless it is a purchase, based on the provisions of this item, of Share Certificates, etc., or of an Option for the purchase and share of Share Certificates, etc., which constitute the company's own share certificates, in a company's acquisition of its own shares under Article 156, paragraph (1) of that Act or under the equivalent provisions of a foreign law or regulation, which is other than the relevant acquisition of its own shares));

ja-jp	五　第百五十九条第三項の政令で定めるところにより売買等をする場合
en-us	(v) a Purchase and Sale, etc. is effected pursuant to the provisions of Cabinet Order which are referred to in Article 159, paragraph (3);

ja-jp	六　社債券（新株予約権付社債券を除く。）その他の政令で定める有価証券に係る売買等をする場合（内閣府令で定める場合を除く。）
en-us	(vi) a Purchase and Sale, etc. of corporate bond certificates (excluding corporate bond certificates with share options) or other Securities specified by Cabinet Order is effected (except in a case specified by Cabinet Office Ordinance);

ja-jp	七　第一項又は第三項の規定に該当する者の間において、売買等を取引所金融商品市場又は店頭売買有価証券市場によらないでする場合（当該売買等をする者の双方において、当該売買等に係る特定有価証券等について、更に第一項又は第三項の規定に違反して売買等が行われることとなることを知つている場合を除く。）
en-us	(vii) a Purchase and Sale, etc. is effected between persons falling under the provisions of paragraph (1) or (3), through neither a Financial Instruments Exchange Market nor an Over-the-Counter Securities Market (unless both parties effecting the Purchase and Sale, etc. know that a further Purchase and Sale, etc. of the Specified Securities, etc. linked to that Purchase and Sale, etc. will be effected that is in violation of the provisions of paragraph (1) or (3)); or

ja-jp	八　上場会社等に係る第一項に規定する業務等に関する重要事実を知る前に締結された当該上場会社等の特定有価証券等に係る売買等に関する契約の履行又は上場会社等に係る同項に規定する業務等に関する重要事実を知る前に決定された当該上場会社等の特定有価証券等に係る売買等の計画の実行として売買等をする場合その他これに準ずる特別の事情に基づく売買等であることが明らかな売買等をする場合（内閣府令で定める場合に限る。）
en-us	(viii) a Purchase and Sale, etc. is effected in performance of a contract for the Purchase and Sale, etc. of Specified Securities, etc. of the Listed Company, etc. that is concluded before the relevant person comes to know the material fact about the business of the Listed Company, etc. which is provided for in paragraph (1), or is effected in the implementation of a plan for the Purchase and Sale, etc. of Specified Securities, etc. of the Listed Company, etc. that is decided before the relevant person comes to know the material fact about the business of the Listed Company, etc., or a Purchase and Sale, etc. is effected that is obviously based on other special circumstances equivalent to such a case (limited to a case specified by Cabinet Office Ordinance).

ja-jp	（公開買付者等関係者の禁止行為）
en-us	(Acts Prohibited for Persons Affiliated with the Tender Offeror, etc.)

ja-jp	第百六十七条　次の各号に掲げる者（以下この条において「公開買付者等関係者」という。）であつて、第二十七条の二第一項に規定する株券等で金融商品取引所に上場されているもの、店頭売買有価証券若しくは取扱有価証券に該当するもの（以下この条において「上場等株券等」という。）の同項に規定する公開買付け（同項本文の規定の適用を受ける場合に限る。）若しくはこれに準ずる行為として政令で定めるもの又は上場株券等の第二十七条の二十二の二第一項に規定する公開買付け（以下この条において「公開買付け等」という。）をする者（以下この条において「公開買付者等」という。）の公開買付け等の実施に関する事実又は公開買付け等の中止に関する事実を当該各号に定めるところにより知つたものは、当該公開買付け等の実施に関する事実又は公開買付け等の中止に関する事実の公表がされた後でなければ、公開買付け等の実施に関する事実に係る場合にあつては当該公開買付け等に係る上場等株券等又は上場株券等の発行者である会社の発行する株券若しくは新株予約権付社債券その他の政令で定める有価証券（以下この条において「特定株券等」という。）又は当該特定株券等に係るオプションを表示する第二条第一項第十九号に掲げる有価証券その他の政令で定める有価証券（以下この項において「関連株券等」という。）に係る買付け等（特定株券等又は関連株券等（以下この条において「株券等」という。）の買付けその他の取引で政令で定めるものをいう。以下この条において同じ。）をしてはならず、公開買付け等の中止に関する事実に係る場合にあつては当該公開買付け等に係る株券等に係る売付け等（株券等の売付けその他の取引で政令で定めるものをいう。以下この条において同じ。）をしてはならない。当該公開買付け等の実施に関する事実又は公開買付け等の中止に関する事実を次の各号に定めるところにより知つた公開買付者等関係者であつて、当該各号に掲げる公開買付者等関係者でなくなつた後一年以内のものについても、同様とする。
en-us	Article 167 (1) A person set forth in one of the following items (hereinafter referred to as a "Person Affiliated with the Tender Offeror, etc." in this Article) that comes to know the fact that a Tender Offer, etc. will be launched by the person launching a Tender Offer provided for in Article 27-2, paragraph (1) (but only if the main clause of that paragraph applies) or an act specified as equivalent thereto by Cabinet Order or by the person launching a Tender Offer provided for in Article 27-22-2, paragraph (1) (hereinafter collectively referred to as a "Tender Offer, etc." in this Article) for Share Certificates, etc. provided for in Article 27-2, paragraph (1) that are listed on a Financial Instruments Exchange or that fall under the category of Over-the-Counter Traded Securities or Tradable Securities (hereinafter referred to as "Listed or Other Share Certificates, etc." in this Article) (such a person is hereinafter referred to as the "Tender Offeror, etc." in this Article) or the fact that a Tender Offer, etc. will be suspended by such Tender Offeror, etc. in a manner as prescribed in the relevant item, must not effect a purchase, etc. (meaning a purchase of Specified Share Certificates, etc. as defined below and Related Share Certificates, etc. as defined below (hereinafter collectively referred to as "Share Certificates, etc." in this Article) or other transaction designated by Cabinet Order; hereinafter the same applies in this Article) of the Listed or Other Share Certificates, etc. subject to the Tender Offer, etc., or of share certificates or corporate bond certificates with share options issued by the company issuing those Listed or Other Share Certificates, etc. or other Securities specified by Cabinet Order (hereinafter referred to as "Specified Share Certificates, etc." in this Article), or of Securities set forth in Article 2, paragraph (1), item (xix) that indicate Options on Specified Share Certificates, etc. or other Securities specified by Cabinet Order (hereinafter referred to as "Related Share Certificates, etc." in this paragraph) if the person comes to know the fact that the Tender Offer, etc. will be launched, and must not effect the sale, etc. (meaning the sale of Share Certificates, etc. and other transactions specified by Cabinet Order; hereinafter the same applies in this Article) of Share Certificates, etc. subject to the Tender Offer, etc., if the person comes to know the fact that the Tender Offer, etc. will be suspended, before the fact that the Tender Offer, etc. will be launched or the fact that the Tender Offer, etc. will be suspended is disclosed. The same applies for one year to a Person Affiliated with the Tender Offeror, etc. that comes to know the fact that a Tender Offer, etc. will be launched or the fact that a Tender Offer, etc. will be suspended in a manner prescribed in one of the following items, even after that person ceases to be the Person Affiliated with the Tender Offeror, etc. set forth in the relevant item:

ja-jp	一　当該公開買付者等（その者が法人であるときは、その親会社を含む。以下この項において同じ。）の役員等（当該公開買付者等が法人以外の者であるときは、その代理人又は使用人）　その者の職務に関し知つたとき。
en-us	(i) the Officer, etc. of the Tender Offeror, etc. (including its Parent Company, if the Tender Offeror, etc. is a corporation; hereinafter the same applies in this paragraph) (or, if the Tender Offeror, etc. is a person other than a corporation, its agent or employee): coming to know the relevant fact in the course of duty;

ja-jp	二　当該公開買付者等の会社法第四百三十三条第一項に定める権利を有する株主又は同条第三項に定める権利を有する社員（当該株主又は社員が法人であるときはその役員等を、当該株主又は社員が法人以外の者であるときはその代理人又は使用人を含む。）　当該権利の行使に関し知つたとき。
en-us	(ii) a shareholder of the Tender Offeror, etc. which has the right prescribed in Article 433, paragraph (1) of the Companies Act, or a member of the Tender Offeror, etc. which has the right prescribed in Article 433, paragraph (3) of that Act (including the Officer, etc. of such a shareholder or member, if such a shareholder or member is a corporation, and the agent or employee of such a shareholder or member, if such a shareholder or member is a person other than a corporation): coming to know the relevant fact in the course of exercising that right;

ja-jp	三　当該公開買付者等に対する法令に基づく権限を有する者　当該権限の行使に関し知つたとき。
en-us	(iii) a person that has statutory authority over the Tender Offeror, etc.: coming to know the relevant fact in the course of exercising that authority;

ja-jp	四　当該公開買付者等と契約を締結している者又は締結の交渉をしている者（その者が法人であるときはその役員等を、その者が法人以外の者であるときはその代理人又は使用人を含む。）であつて、当該公開買付者等が法人であるときはその役員等以外のもの、その者が法人以外の者であるときはその代理人又は使用人以外のもの　当該契約の締結若しくはその交渉又は履行に関し知つたとき。
en-us	(iv) a person other than the Officer, etc. of the Tender Offeror, etc., if the Tender Offeror, etc. is a corporation, a person other than the agent or employee of the Tender Offeror, etc., if the Tender Offeror, etc. is a person other than a corporation, which has concluded, or is in negotiations to conclude, a contract with the Tender Offer, etc. (including the Officer, etc. of such a person, if such a person is a corporation, and the agent or employee of such a person, if such a person is a person other than a corporation): coming to know the relevant fact in the course of concluding, negotiating, or performing that contract; or

ja-jp	五　第二号又は前号に掲げる者であつて法人であるものの役員等（その者が役員等である当該法人の他の役員等が、それぞれ第二号又は前号に定めるところにより当該公開買付者等の公開買付け等の実施に関する事実又は公開買付け等の中止に関する事実を知つた場合におけるその者に限る。）　その者の職務に関し知つたとき。
en-us	(v) the Officer, etc. of a person set forth in item (ii) or the preceding item which is a corporation (but only the Officer, etc. of a corporation at which another Officer, etc. comes to know the fact that the Tender Offer, etc. will be launched or the fact that the Tender Offer, etc. will be suspended by the Tender Offeror, etc. pursuant to item (ii) or the preceding item): coming to know the relevant fact in the course of duty.

ja-jp	２　前項に規定する公開買付け等の実施に関する事実又は公開買付け等の中止に関する事実とは、公開買付者等（当該公開買付者等が法人であるときは、その業務執行を決定する機関をいう。以下この項において同じ。）が、それぞれ公開買付け等を行うことについての決定をしたこと又は公開買付者等が当該決定（公表がされたものに限る。）に係る公開買付け等を行わないことを決定したことをいう。ただし、投資者の投資判断に及ぼす影響が軽微なものとして内閣府令で定める基準に該当するものを除く。
en-us	(2) The fact that a Tender Offer, etc. will be launched or the fact that a Tender Offer, etc. will be suspended as provided for in the preceding paragraph means the fact that the Tender Offeror, etc. (or the organ that is responsible for making decisions about the execution of operations at the Tender Offeror, etc., if the Tender Offeror, etc. is a corporation; hereinafter the same applies in this paragraph) has decided to launch a Tender Offer, etc. or that it has decided not to launch a Tender Offer, etc. that it had decided to launch (limited to decisions that have already been disclosed); provided, however, that this does not apply to a fact that falls under the criteria specified by Cabinet Office Ordinance as one that has only a minor influence on investors' investment decisions.

ja-jp	３　公開買付者等関係者（第一項後段に規定する者を含む。以下この項において同じ。）から当該公開買付者等関係者が第一項各号に定めるところにより知つた同項に規定する公開買付け等の実施に関する事実又は公開買付け等の中止に関する事実（以下この条において「公開買付け等事実」という。）の伝達を受けた者（同項各号に掲げる者であつて、当該各号に定めるところにより当該公開買付け等事実を知つたものを除く。）又は職務上当該伝達を受けた者が所属する法人の他の役員等であつて、その者の職務に関し当該公開買付け等事実を知つたものは、当該公開買付け等事実の公表がされた後でなければ、同項に規定する公開買付け等の実施に関する事実に係る場合にあつては当該公開買付け等に係る株券等に係る買付け等をしてはならず、同項に規定する公開買付け等の中止に関する事実に係る場合にあつては当該公開買付け等に係る株券等に係る売付け等をしてはならない。
en-us	(3) It is prohibited for a person that receives information from the Person Affiliated with a Tender Offeror, etc. (including a person prescribed in the second sentence of paragraph (1); hereinafter the same applies in this paragraph) about the fact that a Tender Offer, etc. will be launched or the fact that a Tender Offer, etc. will be suspended (hereinafter referred as to the "Facts of the Tender Offer, etc." in this Article) as provided in that paragraph, which the Person Affiliated with the Tender Offeror, etc. comes to know in a manner prescribed in one of the items of that paragraph (other than a person that is set forth in one of the items of paragraph (1) and that comes to know the Facts of the Tender Offer, etc. in the manner prescribed in the relevant item), or for another Officer, etc., at a corporation to which the person that comes to know the Facts of the Tender Offer, etc. in the course of duty is affiliated, that comes to know the Facts of the Tender Offer, etc. in connection with that person's duties, to effect a purchase, etc. of the Share Certificates, etc. subject to the Tender Offer, etc., if the person has received information about the fact that a Tender Offer, etc. will be launched as provided in that paragraph, and to effect a sale, etc. of the Share Certificates, etc. subject to the Tender Offer, etc., if the person has received information about the fact that a Tender Offer, etc. will be suspended as provided in that paragraph, before the Facts of the Tender Offer, etc. are disclosed.

ja-jp	４　第一項から前項までにおける公表がされたとは、公開買付け等事実について、当該公開買付者等により多数の者の知り得る状態に置く措置として政令で定める措置がとられたこと、第二十七条の三第一項（第二十七条の二十二の二第二項において準用する場合を含む。）の規定による公告若しくは第二十七条の十一第二項（第二十七条の二十二の二第二項において準用する場合を含む。）の規定による公告若しくは公表がされたこと又は第二十七条の十四第一項（第二十七条の二十二の二第二項において準用する場合を含む。以下この項において同じ。）の規定により第二十七条の十四第一項の公開買付届出書若しくは公開買付撤回届出書が公衆の縦覧に供されたことをいう。
en-us	(4) The disclosure referred to in paragraph (1) to the preceding paragraph inclusive has been made once measures specified by Cabinet Order as measures for putting information into a format that makes it available to a large number of persons are taken by the Tender Offeror, etc. with regard to the Facts of the Tender Offer, etc.; once a public notice under Article 27-3, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)) or a public notice or public announcement under Article 27-11, paragraph (2) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)) is issued; or once the Tender Offer Statement or Written Tender Offer Withdrawal Notice referred to in Article 27-14, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2); hereinafter the same applies in this paragraph) is made available for public inspection pursuant to Article 27-14, paragraph (1).

ja-jp	５　第一項及び第三項の規定は、次に掲げる場合には、適用しない。
en-us	(5) The provisions of paragraphs (1) and (3) do not apply in the following cases:

ja-jp	一　会社法第二百二条第一項第一号に規定する権利を有する者が当該権利を行使することにより株券を取得する場合
en-us	(i) a person with the right prescribed in Article 202, paragraph (1), item (i) of the Companies Act acquires share certificates by exercising that right;

ja-jp	二　新株予約権を有する者が当該新株予約権を行使することにより株券を取得する場合
en-us	(ii) a person with a share option acquires share certificates by exercising that share option;

ja-jp	二の二　株券等に係るオプションを取得している者が当該オプションを行使することにより株券等に係る買付け等又は売付け等をする場合
en-us	(ii)-2 a person that has acquired an Option on Share Certificates, etc. effects a purchase, etc. or sale, etc. of Share Certificates, etc. by exercising that Option;

ja-jp	三　会社法第百十六条第一項、第四百六十九条第一項、第七百八十五条第一項、第七百九十七条第一項若しくは第八百六条第一項の規定による株式の買取りの請求又は法令上の義務に基づき株式等に係る買付け等又は売付け等をする場合
en-us	(iii) a purchase of shares is demanded under Article 116, paragraph (1); Article 469, paragraph (1); Article 785, paragraph (1); Article 797, paragraph (1); or Article 806, paragraph (1) of the Companies Act, or a purchase, etc. or sale, etc. of Share Certificates, etc. is made based on statutory obligations;

ja-jp	四　公開買付者等の要請（当該公開買付者等が会社である場合には、その取締役会が決定したもの（委員会設置会社にあつては、執行役の決定したものを含む。）に限る。）に基づいて当該公開買付け等に係る上場等株券等（上場等株券等の売買に係るオプションを含む。以下この号において同じ。）の買付け等をする場合（当該公開買付者等に当該上場等株券等の売付け等をする目的をもつて当該上場等株券等の買付け等をする場合に限る。）
en-us	(iv) a purchase, etc. of the Listed or Other Share Certificates, etc. that are subject to the Tender Offer, etc. (including an Option for the purchase and sale of such Listed or Other Share Certificates, etc.; hereinafter the same applies in this item) is effected as per the request of the Tender Offeror, etc. (limited to a request that the board of directors of the Tender Offeror, etc. have decided to make, if the Tender Offeror, etc. is a company (this includes a request that the executive officer has decided to make, if it is a company with committees)) (but only if the purchase, etc. of the Listed or Other Share Certificates, etc. is effected for the purpose of selling, etc. the Listed or Other Share Certificates, etc. to the Tender Offeror, etc.);