ja-jp	（契約締結前の書面の交付）
en-us	(Delivery of Documents Prior to the Conclusion of a Contract)

ja-jp	第三十七条の三　金融商品取引業者等は、金融商品取引契約を締結しようとするときは、内閣府令で定めるところにより、あらかじめ、顧客に対し、次に掲げる事項を記載した書面を交付しなければならない。ただし、投資者の保護に支障を生ずることがない場合として内閣府令で定める場合は、この限りでない。
en-us	Article 37-3 (1) If a Financial Services Provider, etc. seeks to conclude a Financial Instruments Transaction Contract, it must deliver a document stating the following particulars to the customer in advance, pursuant to the provisions of Cabinet Office Ordinance; provided, however, that this does not apply in cases specified by Cabinet Office Ordinance as those in which its not doing so does not compromise the protection of investors:

ja-jp	一　当該金融商品取引業者等の商号、名称又は氏名及び住所
en-us	(i) the trade name or name and address of the Financial Services Provider, etc.;

ja-jp	二　金融商品取引業者等である旨及び当該金融商品取引業者等の登録番号
en-us	(ii) an indication that it is a Financial Services Provider, etc., and its registration number;

ja-jp	三　当該金融商品取引契約の概要
en-us	(iii) an outline of the relevant Financial Instruments Transaction Contract;

ja-jp	四　手数料、報酬その他の当該金融商品取引契約に関して顧客が支払うべき対価に関する事項であつて内閣府令で定めるもの
en-us	(iv) the particulars specified by Cabinet Office Ordinance with regard to any fees, remuneration, or other consideration payable by the customer in connection with the Financial Instruments Transaction Contract;

ja-jp	五　顧客が行う金融商品取引行為について金利、通貨の価格、金融商品市場における相場その他の指標に係る変動により損失が生ずることとなるおそれがあるときは、その旨
en-us	(v) an indication of any risk that a loss will be incurred due to fluctuations in the money rate, the value of currencies, quotations on the Financial Instruments Market, and other indicators, in connection with an act that constitutes a Financial Instruments transaction carried out by the customer;

ja-jp	六　前号の損失の額が顧客が預託すべき委託証拠金その他の保証金その他内閣府令で定めるものの額を上回るおそれがあるときは、その旨
en-us	(vi) an indication of any risk that the amount of the loss set forth in the preceding item will exceed the amount of customer margin or any other security deposit specified by Cabinet Office Ordinance that is payable by the customer; and

ja-jp	七　前各号に掲げるもののほか、金融商品取引業の内容に関する事項であつて、顧客の判断に影響を及ぼすこととなる重要なものとして内閣府令で定める事項
en-us	(vii) the particulars of the contents of the relevant Financial Instruments Business other than what is set forth in the preceding items, which are specified by Cabinet Office Ordinance as material particulars that may have an impact on customers' judgment.

ja-jp	２　第三十四条の二第四項の規定は、前項の規定による書面の交付について準用する。
en-us	(2) The provisions of Article 34-2, paragraph (4) apply mutatis mutandis to the delivery of a document under the preceding paragraph.

ja-jp	３　金融商品取引業者等は、第二条第二項の規定により有価証券とみなされる同項各号に掲げる権利に係る金融商品取引契約の締結の勧誘（募集若しくは売出し又は募集若しくは売出しの取扱いであつて、政令で定めるものに限る。）を行う場合には、あらかじめ、当該金融商品取引契約に係る第一項の書面の内容を内閣総理大臣に届け出なければならない。ただし、投資者の保護に支障を生ずることがない場合として内閣府令で定める場合は、この限りでない。
en-us	(3) Before soliciting (limited to a Public Offering or Secondary Distribution, or dealings in a Public Offering or Secondary Distribution specified by Cabinet Order) the conclusion of a Financial Instruments Transaction Contract for any of the rights set forth in the items of Article 2, paragraph (2) that are deemed to be Securities under that paragraph, a Financial Services Provider, etc. must notify the Prime Minister of the contents of the document set forth in paragraph (1) regarding said Financial Instruments Transaction Contract; provided, however, that this does not apply in cases specified by Cabinet Office Ordinance as those in which its not doing so does not compromise the protection of investors.

ja-jp	（契約締結時等の書面の交付）
en-us	(Delivery of Documents upon the Conclusion of a Contract)

ja-jp	第三十七条の四　金融商品取引業者等は、金融商品取引契約が成立したときその他内閣府令で定めるときは、遅滞なく、内閣府令で定めるところにより、書面を作成し、これを顧客に交付しなければならない。ただし、その金融商品取引契約の内容その他の事情を勘案し、当該書面を顧客に交付しなくても公益又は投資者保護のため支障を生ずることがないと認められるものとして内閣府令で定める場合は、この限りでない。
en-us	Article 37-4 (1) When a Financial Services Provider, etc. effects a Financial Instruments Transaction Contract or when otherwise specified by Cabinet Office Ordinance, the Financial Services Provider, etc. shall prepare a document and deliver it to the customer, without delay and pursuant to the provisions of Cabinet Office Ordinance; provided, however, that this does not apply in the cases that are specified by Cabinet Office Ordinance as those in which, in consideration of the contents of the Financial Instruments Transaction Contract and other circumstances, it is found that even if the document is not delivered to the customer, this does not compromise the public interest or the protection of investors.

ja-jp	２　第三十四条の二第四項の規定は、前項の規定による書面の交付について準用する。
en-us	(2) The provisions of Article 34-2, paragraph (4) apply mutatis mutandis to the delivery of a document under the preceding paragraph.

ja-jp	（保証金の受領に係る書面の交付）
en-us	(Delivery of Documents in Connection with the Receipt of a Security Deposit)

ja-jp	第三十七条の五　金融商品取引業者等は、その行う金融商品取引業に関して顧客が預託すべき保証金（内閣府令で定めるものに限る。）を受領したときは、顧客に対し、直ちに、内閣府令で定めるところにより、その旨を記載した書面を交付しなければならない。
en-us	Article 37-5 (1) Whenever a Financial Services Provider, etc. receives a security deposit that is payable by the customer (limited to those specified by Cabinet Office Ordinance) in connection the Financial Instruments Business that it conducts, it must immediately deliver a document stating this to the customer, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	２　第三十四条の二第四項の規定は、前項の規定による書面の交付について準用する。
en-us	(2) The provisions of Article 34-2, paragraph (4) apply mutatis mutandis to the delivery of a document under the preceding paragraph.

ja-jp	（書面による解除）
en-us	(Written Cancellation)

ja-jp	第三十七条の六　金融商品取引業者等と金融商品取引契約（当該金融商品取引契約の内容その他の事情を勘案して政令で定めるものに限る。）を締結した顧客は、内閣府令で定める場合を除き、第三十七条の四第一項の書面を受領した日から起算して政令で定める日数を経過するまでの間、書面により当該金融商品取引契約の解除を行うことができる。
en-us	Article 37-6 (1) Except as otherwise specified by Cabinet Office Ordinance, a customer that has concluded a Financial Instruments Transaction Contract (limited to one that is specified by Cabinet Order in consideration of the contents of such a Financial Instruments Transaction Contract and other circumstances) with a Financial Services Provider, etc. may cancel said Financial Instruments Transaction Contract in writing, until the number of days specified by Cabinet Order has elapsed since the day on which the customer received the document set forth in Article 37-4, paragraph (1).

ja-jp	２　前項の規定による金融商品取引契約の解除は、当該金融商品取引契約の解除を行う旨の書面を発した時に、その効力を生ずる。
en-us	(2) The cancellation of a Financial Instruments Transaction Contract under the preceding paragraph takes effect when a document indicating that the Financial Instruments Transaction Contract is cancelled is issued.

ja-jp	３　金融商品取引業者等は、第一項の規定による金融商品取引契約の解除があつた場合には、当該金融商品取引契約の解除までの期間に相当する手数料、報酬その他の当該金融商品取引契約に関して顧客が支払うべき対価（次項において「対価」という。）の額として内閣府令で定める金額を超えて当該金融商品取引契約の解除に伴う損害賠償又は違約金の支払を請求することができない。
en-us	(3) If a Financial Instruments Transaction Contract becomes subject to a cancelation under paragraph (1), the Financial Services Provider, etc. may not request the customer to pay damages or a penalty for the cancellation of that Financial Instruments Transaction Contract beyond the amount specified by Cabinet Office Ordinance as the amount of fees, remuneration, or other consideration payable by the customer with regard to that Financial Instruments Transaction Contract (referred to as a "Consideration" in the following paragraph) for the period until the cancellation of that Financial Instruments Transaction Contract.

ja-jp	４　金融商品取引業者等は、第一項の規定による金融商品取引契約の解除があつた場合において、当該金融商品取引契約に係る対価の前払を受けているときは、これを顧客に返還しなければならない。ただし、前項の内閣府令で定める金額については、この限りでない。
en-us	(4) If a Financial Instruments Transaction Contract becomes subject to a cancellation under paragraph (1), the Financial Services Provider, etc. shall refund any Consideration paid in advance for the relevant Financial Instruments Transaction Contract to the customer that paid it; provided, however, that this does not apply to the amount specified by Cabinet Office Ordinance as prescribed in the preceding paragraph.

ja-jp	５　前各項の規定に反する特約で顧客に不利なものは、無効とする。
en-us	(5) Any special provision that is contrary to the provisions of the preceding paragraphs and disadvantageous to a customer is void.

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	第三十七条の七　金融商品取引業者等は、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 37-7 (1) A Financial Services Provider, etc. must take the measures specified in the relevant of the following items for the category of cases set forth in said item:

ja-jp	一　当該金融商品取引業者等（登録金融機関を除く。次号から第四号までにおいて同じ。）が第一種金融商品取引業を行う者である場合　次のイ又はロに掲げる場合の区分に応じ、当該イ又はロに定める措置
en-us	(i) if the Financial Services Provider, etc. (excluding a registered financial institution; the same applies in the following item to item (iv) inclusive) engages in Type I Financial Instruments Business: the measures specified in the relevant of the following sub-items (a) and (b) for the category of cases set forth in each sub-item:

ja-jp	イ　指定第一種紛争解決機関（指定紛争解決機関（第百五十六条の三十八第一項に規定する指定紛争解決機関をいう。以下この章及び第五章の四において同じ。）であつてその紛争解決等業務の種別（同条第十二項に規定する紛争解決等業務の種別をいう。以下この章及び第五章の四において同じ。）が特定第一種金融商品取引業務（同条第二項に規定する特定第一種金融商品取引業務をいう。以下この号において同じ。）であるものをいう。以下この号及び第三項第二号において同じ。）が存在する場合　一の指定第一種紛争解決機関との間で特定第一種金融商品取引業務に係る手続実施基本契約（同条第十三項に規定する手続実施基本契約をいう。以下この章及び第五章の四において同じ。）を締結する措置
en-us	(a) if there is a Designated Type I Dispute Resolution Organization (meaning a Designated Dispute Resolution Organization (meaning a Designated Dispute Resolution Organization as defined in Article 156-38, paragraph (1); hereinafter the same applies in this Chapter and Chapter V-4) for which the Category of Dispute Resolution Services (meaning the Category of Dispute Resolution Services as defined in paragraph (12) of that Article; hereinafter the same applies in this Chapter and Chapter V-4) is Specified Type I Financial Instruments Transaction Services (meaning Specified Type I Financial Instruments Transaction Services as defined in paragraph (2) of that Article; hereinafter the same applies in this item); hereinafter the same applies in this item and paragraph (3), item (ii)): measures to conclude a Basic Contract for the Implementation of Dispute Resolution Procedures (meaning a Basic Contract for the Implementation of Dispute Resolution Procedures as defined in paragraph (13) of that Article; hereinafter the same applies in this Chapter and Chapter V-4) in connection with Specified Type I Financial Instruments Transaction Services with a single Designated Type I Dispute Resolution Organization);

ja-jp	ロ　指定第一種紛争解決機関が存在しない場合　特定第一種金融商品取引業務に関する苦情処理措置（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。ロにおいて同じ。）からの苦情の処理の業務に従事する使用人その他の従業者に対する助言若しくは指導を第百五十六条の五十第三項第三号に掲げる者に行わせること又はこれに準ずるものとして内閣府令で定める措置をいう。以下この章及び第五章の四において同じ。）及び紛争解決措置（顧客との紛争の解決を認証紛争解決手続（裁判外紛争解決手続の利用の促進に関する法律（平成十六年法律第百五十一号）第二条第三号に規定する認証紛争解決手続をいう。）により図ること又はこれに準ずるものとして内閣府令で定める措置をいう。以下この章及び第五章の四において同じ。）
en-us	(b) if there is no Designated Type I Dispute Resolution Organization: complaint processing measures (meaning measures to have the person set forth in Article 156-50, paragraph (3), item (iii) provide advice or guidance to the employee or any other workers engaged in the business of processing complaints from customers (including the rights holders provided for in Article 42, paragraph (1) that are other than customers; the same applies in this sub-item (b)) or any other measures specified by Cabinet Office Ordinance as being equivalent thereto; hereinafter the same applies in this Chapter and Chapter V-4)) and dispute resolution measures (meaning measures to resolve disputes with customers through Certified Dispute Resolution Procedures (meaning Certified Dispute Resolution Procedures as defined in Article 2, item (iii) of the Act on Promotion of Use of Alternative Dispute Resolution (Act No. 151 of 2004)) or any other measures specified by Cabinet Office Ordinance as being equivalent thereto) in connection with Specified Type I Financial Instruments Transaction Services.

ja-jp	二　当該金融商品取引業者等が第二種金融商品取引業を行う者である場合　次のイ又はロに掲げる場合の区分に応じ、当該イ又はロに定める措置
en-us	(ii) if the Financial Services Provider, etc. engages in Type II Financial Instruments Business: the measures specified in the relevant of the following sub-items (a) and (b) for the category of cases set forth in each sub-item:

ja-jp	イ　指定第二種紛争解決機関（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第二種金融商品取引業務（第百五十六条の三十八第三項に規定する特定第二種金融商品取引業務をいう。以下この号において同じ。）であるものをいう。以下この号及び第三項第二号において同じ。）が存在する場合　一の指定第二種紛争解決機関との間で特定第二種金融商品取引業務に係る手続実施基本契約を締結する措置
en-us	(a) if there is a Designated Type II Dispute Resolution Organization (meaning a Designated Dispute Resolution Organization for which the Category of Dispute Resolution Services is Specified Type II Financial Instruments Transaction Services (meaning Specified Type II Financial Instruments Transaction Services defined in Article 156-38, paragraph (3); hereinafter the same applies in this item); hereinafter the same applies in this item and paragraph (3), item (ii)): measures to conclude a Basic Contract for the Implementation of Dispute Resolution Procedures in connection with Specified Type II Financial Instruments Transaction Services with a single Designated Type II Dispute Resolution Organization;

ja-jp	ロ　指定第二種紛争解決機関が存在しない場合　特定第二種金融商品取引業務に関する苦情処理措置及び紛争解決措置
en-us	(b) if there is no Designated Type II Dispute Resolution Organization: complaint processing measures and dispute resolution measures in connection with Specified Type II Financial Instruments Transaction Services;

ja-jp	三　当該金融商品取引業者等が投資助言・代理業を行う者である場合　次のイ又はロに掲げる場合の区分に応じ、当該イ又はロに定める措置
en-us	(iii) if the Financial Services Provider, etc. engages in Investment Advisory and Agency Services: the measures specified in the relevant of the following sub-items (a) and (b) for the category of cases set forth in each sub-item:

ja-jp	イ　指定投資助言・代理紛争解決機関（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投資助言・代理業務（第百五十六条の三十八第四項に規定する特定投資助言・代理業務をいう。以下この号において同じ。）であるものをいう。以下この号及び第三項第二号において同じ。）が存在する場合　一の指定投資助言・代理紛争解決機関との間で特定投資助言・代理業務に係る手続実施基本契約を締結する措置
en-us	(a) if there is a Designated Investment Advisory and Agency Services Dispute Resolution Organization (meaning a Designated Dispute Resolution Organization for which the Category of Dispute Resolution Services is Specified Investment Advisory and Agency Services (meaning Specified Investment Advisory and Agency Services as defined in Article 156-38, paragraph (4); hereinafter the same applies in this item); hereinafter the same applies in this item and paragraph (3), item (ii)): measures to conclude a Basic Contract for the Implementation of Dispute Resolution Procedures in connection with Specified Investment Advisory and Agency Services with a single Designated Investment Advisory and Agency Services Dispute Resolution Organization:

ja-jp	ロ　指定投資助言・代理紛争解決機関が存在しない場合　特定投資助言・代理業務に関する苦情処理措置及び紛争解決措置
en-us	(b) if there is no Designated Investment Advisory and Agency Services Dispute Resolution Organization: complaint processing measures and dispute resolution measures in connection with Specified Investment Advisory and Agency Services;

ja-jp	四　当該金融商品取引業者等が投資運用業を行う者である場合　次のイ又はロに掲げる場合の区分に応じ、当該イ又はロに定める措置
en-us	(iv) if the Financial Services Provider, etc. engages in Investment Management: the measures specified in the relevant of the following sub-items (a) and (b) for the category of cases set forth in each sub-item:

ja-jp	イ　指定投資運用紛争解決機関（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投資運用業務（第百五十六条の三十八第五項に規定する特定投資運用業務をいう。以下この号において同じ。）であるものをいう。以下この号及び第三項第二号において同じ。）が存在する場合　一の指定投資運用紛争解決機関との間で特定投資運用業務に係る手続実施基本契約を締結する措置
en-us	(a) if there is a Designated Investment Management Dispute Resolution Organization (meaning a Designated Dispute Resolution Organization for which the Category of Dispute Resolution Services is Specified Investment Management (meaning Specified Investment Management as defined in Article 156-38, paragraph (5); hereinafter the same applies in this item); hereinafter the same applies in this item and paragraph (3), item (ii)): measures to conclude a Basic Contract for the Implementation of Dispute Resolution Procedures in connection with Specified Investment Management with a single Designated Investment Management Dispute Resolution Organization;

ja-jp	ロ　指定投資運用紛争解決機関が存在しない場合　特定投資運用業務に関する苦情処理措置及び紛争解決措置
en-us	(b) if there is no Designated Investment Management Dispute Resolution Organization: complaint processing measures and dispute resolution measures in connection with Specified Investment Management;

ja-jp	五　当該金融商品取引業者等が登録金融機関である場合　次のイ又はロに掲げる場合の区分に応じ、当該イ又はロに定める措置
en-us	(v) if the Financial Services Provider, etc. is a registered financial institution: the measures specified in the relevant of the following sub-items (a) and (b) for the category of cases set forth in said sub-item:

ja-jp	イ　指定登録金融機関紛争解決機関（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登録金融機関業務（第百五十六条の三十八第六項に規定する特定登録金融機関業務をいう。以下この号において同じ。）であるものをいう。以下この号及び第三項第二号において同じ。）が存在する場合　一の指定登録金融機関紛争解決機関との間で特定登録金融機関業務に係る手続実施基本契約を締結する措置
en-us	(a) if there is a Designated Dispute Resolution Organization for registered financial institutions (meaning a Designated Dispute Resolution Organization for which the Category of Dispute Resolution Services is the Specified Services of a Registered Financial Institution (meaning Specified Services of a Registered Financial Institution as defined in Article 156-38, paragraph (6); hereinafter the same applies in this item); hereinafter the same applies in this item and paragraph (3), item (ii)): measures to conclude a Basic Contract for the Implementation of Dispute Resolution Procedures in connection with the Specified Services of a Registered Financial Institution with a single Designated Dispute Resolution Organization for registered financial institutions;

ja-jp	ロ　指定登録金融機関紛争解決機関が存在しない場合　特定登録金融機関業務に関する苦情処理措置及び紛争解決措置
en-us	(b) if there is no Designated Registered Financial Institutions Dispute Resolution Organization: complaint processing measures and dispute resolution measures in connection with the Specified Services of a Registered Financial Institution.

ja-jp	２　金融商品取引業者等は、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) Once a Financial Services Provider has taken measures to conclude a Basic Contract for the Implementation of Dispute Resolution Procedures pursuant to the provisions of the preceding paragraph, it must disclose the trade name or name of the Designated Dispute Resolution Organization that is the counterparty 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 during the period specified in the relevant of the following items for the category of cases set forth in each item:

ja-jp	一　第一項第一号イ、第二号イ、第三号イ、第四号イ又は第五号イに掲げる場合に該当していた場合において、同項第一号ロ、第二号ロ、第三号ロ、第四号ロ又は第五号ロ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、第一項第一号ロ、第二号ロ、第三号ロ、第四号ロ又は第五号ロ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) if a case that fell under a category of cases set forth in paragraph (1), item (i), sub-item (a); item (ii), sub-item (a); item (iii), sub-item (a); item (iv), sub-item (a); or item (v), sub-item (a); has come to fall under a category of cases set forth in item (i), sub-item (b); item (ii), sub-item (b); item (iii), sub-item (b); item (iv), sub-item (b); or item (v), sub-item (b) of that paragraph: the period specified by the Prime Minister as the period needed for taking the measures specified in paragraph (1), item (i), sub-item (b); item (ii), sub-item (b); item (iii), sub-item (b); item (iv), sub-item (b); or item (v), sub-item (b); at the time of granting authorization for the discontinuation of Dispute Resolution Services under Article 156-60, paragraph (1) or at the time of rescinding the designation under Article 156-61, paragraph (1);

ja-jp	二　第一項第一号イ、第二号イ、第三号イ、第四号イ又は第五号イに掲げる場合に該当していた場合において、同項第一号イの一の指定第一種紛争解決機関、同項第二号イの一の指定第二種紛争解決機関、同項第三号イの一の指定投資助言・代理紛争解決機関、同項第四号イの一の指定投資運用紛争解決機関若しくは同項第五号イの一の指定登録金融機関紛争解決機関（以下この号において「指定種別紛争解決機関」と総称する。）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、又は指定種別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、第一項第一号イ、第二号イ、第三号イ、第四号イ又は第五号イ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) if a case formerly fell under a category of cases set forth in paragraph (1), item (i), sub-item (a); item (ii), sub-item (a); item (iii), sub-item (a); item (iv), sub-item (a); or item (v), sub-item (a); but the discontinuation of the Dispute Resolution Services of a single Designated Type I Dispute Resolution Organization under item (i), sub-item (a) of that paragraph; a single Designated Type II Dispute Resolution Organization under item (ii), sub-item (a) of that paragraph; a single Designated Investment Advisory and Agency Services Dispute Resolution Organization under item (iii), sub-item (a) of that paragraph; a single Designated Investment Management Dispute Resolution Organization under item (iv), sub-item (a) of that paragraph; or a single Designated Dispute Resolution Organization for registered financial institutions (hereinafter collectively referred to as the "Designated Dispute Resolution Organization for Each Category of Business" in this item) has been authorized under Article 156-60, paragraph (1) or the designation under Article 156-39, paragraph (1) has been rescinded for the Designated Dispute Resolution Organization for Each Category of Business pursuant to Article 156-61, paragraph (1) (excluding in a case set forth in the preceding item): the period specified by the Prime Minister as the period needed for taking the measures specified in paragraph (1), item (i), sub-item (a); item (ii), sub-item (a); item (iii), sub-item (a); item (iv), sub-item (a); or item (v), sub-item (a); at the time of granting such authorization or at the time of rescinding the designation; and

ja-jp	三　第一項第一号ロ、第二号ロ、第三号ロ、第四号ロ又は第五号ロに掲げる場合に該当していた場合において、同項第一号イ、第二号イ、第三号イ、第四号イ又は第五号イ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、第一項第一号イ、第二号イ、第三号イ、第四号イ又は第五号イ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) if a case formerly fell under a category of cases set forth in paragraph (1), item (i), sub-item (b); item (ii), sub-item (b); item (iii), sub-item (b); item (iv), sub-item (b); or item (v), sub-item (b); but come to fall under the cases set forth in item (i), sub-item (a); item (ii), sub-item (a); item (iii), sub-item (a); item (iv), sub-item (a); or item (v), sub-item (a) of that paragraph: the period specified by the Prime Minister as the period needed for taking the measures specified in paragraph (1), item (i), sub-item (a); item (ii), sub-item (a); item (iii), sub-item (a); item (iv), sub-item (a); or item (v), sub-item (a) at the time of the designation under Article 156-39, paragraph (1).

ja-jp	第三十八条　金融商品取引業者等又はその役員若しくは使用人は、次に掲げる行為をしてはならない。ただし、第四号から第六号までに掲げる行為にあつては、投資者の保護に欠け、取引の公正を害し、又は金融商品取引業の信用を失墜させるおそれのないものとして内閣府令で定めるものを除く。
en-us	Article 38 It is prohibited for a Financial Services Provider, etc. or the officer or employee thereof to engage in any of the following acts; provided, however, that this excludes acts set forth in items (iv) to (vi) inclusive that are specified by Cabinet Office Ordinance as being unlikely to result in insufficient investor protection, harm the fairness of transactions, or cause a loss of confidence in the Financial Instruments Business:

ja-jp	一　金融商品取引契約の締結又はその勧誘に関して、顧客に対し虚偽のことを告げる行為
en-us	(i) providing a customer with false information in connection with the conclusion of a Financial Instruments Transaction Contract or in connection with the solicitation thereof;

ja-jp	二　顧客に対し、不確実な事項について断定的判断を提供し、又は確実であると誤解させるおそれのあることを告げて金融商品取引契約の締結の勧誘をする行為
en-us	(ii) providing a customer with a conclusive assessment of a matter that is uncertain or with information that could mislead the customer into believing that a matter that is uncertain is actually certain, thereby soliciting the customer to conclude a Financial Instruments Transaction Contract;

ja-jp	三　顧客に対し、信用格付業者以外の信用格付業を行う者の付与した信用格付（投資者の保護に欠けるおそれが少ないと認められるものとして内閣府令で定めるものを除く。）について、当該信用格付を付与した者が第六十六条の二十七の登録を受けていない者である旨及び当該登録の意義その他の事項として内閣府令で定める事項を告げることなく提供して、金融商品取引契約の締結の勧誘をする行為
en-us	(iii) supplying a customer with a Credit Rating that has been determined by a person engaged in Credit Rating Services other than a Credit Rating Agency (excluding a Credit Rating specified by Cabinet Office Ordinance as one that is found to have little likelihood of resulting in insufficient investor protection), without informing the customer that the person giving the Credit Rating is not registered as referred to in Article 66-27 and without informing the customer of the matters specified by Cabinet Office Ordinance, including the significance of such a registration and any other matters, thereby soliciting the customer to conclude a Financial Instruments Transaction Contract;

ja-jp	四　金融商品取引契約（当該金融商品取引契約の内容その他の事情を勘案し、投資者の保護を図ることが特に必要なものとして政令で定めるものに限る。）の締結の勧誘の要請をしていない顧客に対し、訪問し又は電話をかけて、金融商品取引契約の締結の勧誘をする行為
en-us	(iv) visiting or telephoning a customer that is not asking to be solicited for the conclusion of a Financial Instruments Transaction Contract (limited to one that is specified by Cabinet Order in consideration of the content of the Financial Instruments Transaction Contract and other circumstances, as a contract in connection with which it is particularly necessary to ensure the protection of investors), and soliciting such a customer to conclude a Financial Instruments Transaction Contract;

ja-jp	五　金融商品取引契約（当該金融商品取引契約の内容その他の事情を勘案し、投資者の保護を図ることが必要なものとして政令で定めるものに限る。）の締結につき、その勧誘に先立つて、顧客に対し、その勧誘を受ける意思の有無を確認することをしないで勧誘をする行為
en-us	(v) soliciting a customer to conclude a Financial Instruments Transaction Contract (limited to one that is specified by Cabinet Order in consideration of the contents of the Financial Instruments Transaction Contract and other circumstances, as a contract in connection with which it is necessary to ensure the protection of investors) without obtaining confirmation from the customer, prior to solicitation, regarding whether or not the customer is willing to be solicited;

ja-jp	六　金融商品取引契約（当該金融商品取引契約の内容その他の事情を勘案し、投資者の保護を図ることが必要なものとして政令で定めるものに限る。）の締結の勧誘を受けた顧客が当該金融商品取引契約を締結しない旨の意思（当該勧誘を引き続き受けることを希望しない旨の意思を含む。）を表示したにもかかわらず、当該勧誘を継続する行為
en-us	(vi) continuing to solicit a customer to conclude a Financial Instruments Transaction Contract (limited one that is specified by Cabinet Order in consideration of the content of the Financial Instruments Transaction Contract and other circumstances, as a contract in connection with which it is necessary to ensure the protection of investors) despite the customer having manifested an intention that indicates an unwillingness to conclude such a Financial Instruments Transaction Contract (including the an intention that indicates a wish not to continue to be solicited) after being solicited; and

ja-jp	七　前各号に掲げるもののほか、投資者の保護に欠け、若しくは取引の公正を害し、又は金融商品取引業の信用を失墜させるものとして内閣府令で定める行為
en-us	(vii) acts other than what is set forth in the preceding items, which are specified by Cabinet Office Ordinance as acts that result in insufficient investor protection, harm the fairness of transactions, or cause a loss of confidence in the Financial Instruments Business.

ja-jp	第三十八条の二　金融商品取引業者等は、その行う投資助言・代理業又は投資運用業に関して、次に掲げる行為をしてはならない。
en-us	Article 38-2 A Financial Services Provider, etc. must not engage in any of the following acts in connection with the Investment Advisory and Agency Services or Investment Management it conducts:

ja-jp	一　投資顧問契約、投資一任契約若しくは第二条第八項第十二号イに掲げる契約の締結又は解約に関し、偽計を用い、又は暴行若しくは脅迫をする行為
en-us	(i) using fraudulent means, committing assault, or using intimidation in connection with the conclusion or cancellation of an Investment Advisory Contract, Discretionary Investment Contract, or contract specified in Article 2, paragraph (8), item (xii), sub-item (b); and

ja-jp	二　顧客を勧誘するに際し、顧客に対して、損失の全部又は一部を補てんする旨を約束する行為
en-us	(ii) promising a customer, at the time of solicitation, that any loss that may arise will be compensated in whole or in part.

ja-jp	（損失補てん等の禁止）
en-us	(Prohibition on Compensation of Loss)

ja-jp	第三十九条　金融商品取引業者等は、次に掲げる行為をしてはならない。
en-us	Article 39 (1) A Financial Services Provider, etc. must not engage in any of the following acts:

ja-jp	一　有価証券の売買その他の取引（買戻価格があらかじめ定められている買戻条件付売買その他の政令で定める取引を除く。）又はデリバティブ取引（以下この条において「有価証券売買取引等」という。）につき、当該有価証券又はデリバティブ取引（以下この条において「有価証券等」という。）について顧客（信託会社等（信託会社又は金融機関の信託業務の兼営等に関する法律第一条第一項の認可を受けた金融機関をいう。以下同じ。）が、信託契約に基づいて信託をする者の計算において、有価証券の売買又はデリバティブ取引を行う場合にあつては、当該信託をする者を含む。以下この条において同じ。）に損失が生ずることとなり、又はあらかじめ定めた額の利益が生じないこととなつた場合には自己又は第三者がその全部又は一部を補てんし、又は補足するため当該顧客又は第三者に財産上の利益を提供する旨を、当該顧客又はその指定した者に対し、申し込み、若しくは約束し、又は第三者に申し込ませ、若しくは約束させる行為
en-us	(i) making an offer or promise, or having a third party make an offer or promise, in connection with a purchase and sale or other transaction of Securities (excluding a purchase and sale with a repurchase requirement and a predetermined repurchase price, and other transactions specified by Cabinet Order) or a Derivatives Transaction (hereinafter collectively referred to as a "Purchase and Sale or Other Transaction of Securities, etc." in this Article), to a customer or to a person designated by the customer, that in the event that the customer (if a Trust Company, etc. (meaning a trust company or a financial institution that has obtained the authorization referred to in Article 1, paragraph (1) of the Act on Engagement in Trust Business by a Financial Institution; the same applies hereinafter) conducts the purchase and sale of Securities or a Derivatives Transaction on the account of a person that establishes a trust based a trust contract, this includes the person that establishes the trust; hereinafter the same applies in this Article) incurs a loss from the Securities or Derivatives Transaction (hereinafter collectively referred to as "Securities, etc." in this Article), or in the event that a predetermined amount of profit does not accrue from those Securities, etc., the Financial Services Provider, etc. or a third party will cover the whole or part of the loss or provide the customer or a third party with an economic benefit to supplement its profits;

ja-jp	二　有価証券売買取引等につき、自己又は第三者が当該有価証券等について生じた顧客の損失の全部若しくは一部を補てんし、又はこれらについて生じた顧客の利益に追加するため当該顧客又は第三者に財産上の利益を提供する旨を、当該顧客又はその指定した者に対し、申し込み、若しくは約束し、又は第三者に申し込ませ、若しくは約束させる行為
en-us	(ii) making an offer or promise, or having a third party make an offer or promise, in connection with a Purchase and Sale or Other Transaction of Securities, etc., to a customer or to a person designated by the customer, that the Financial Services Provider, etc. or a third party will cover the whole or part of a loss that the customer has incurred in connection with the relevant Securities, etc., or will add to the profits that the customer has accrued in connection with those Securities, etc.; and

ja-jp	三　有価証券売買取引等につき、当該有価証券等について生じた顧客の損失の全部若しくは一部を補てんし、又はこれらについて生じた顧客の利益に追加するため、当該顧客又は第三者に対し、財産上の利益を提供し、又は第三者に提供させる行為
en-us	(iii) providing an economic benefit to a customer or third party, or having a third party provide an economic benefit to a customer or third party, in connection with a Purchase and Sale or Other Transaction of Securities, etc., in order to cover the whole or part of a loss that the customer has incurred in connection with the relevant Securities, etc., or in order to add to the profit that the customer has accrued in connection with those Securities, etc.

ja-jp	２　金融商品取引業者等の顧客は、次に掲げる行為をしてはならない。
en-us	(2) The customer of a Financial Services Provider, etc. must not engage in any of the following acts:

ja-jp	一　有価証券売買取引等につき、金融商品取引業者等又は第三者との間で、前項第一号の約束をし、又は第三者に当該約束をさせる行為（当該約束が自己がし、又は第三者にさせた要求による場合に限る。）
en-us	(i) being party to, or having a third party be party to, the promise referred to in item (i) of the preceding paragraph (but only if that promise is based on a request that the customer makes personally or has a third party make), with the Financial Services Provider, etc. or a third party, in connection with a Purchase and Sale or Other Transaction of Securities, etc.;

ja-jp	二　有価証券売買取引等につき、金融商品取引業者等又は第三者との間で、前項第二号の約束をし、又は第三者に当該約束をさせる行為（当該約束が自己がし、又は第三者にさせた要求による場合に限る。）
en-us	(ii) being party to, or having a third party be party to, the promise referred to in item (ii) of the preceding paragraph (but only if that promise is based on a request that the customer makes personally or has a third party make), with the Financial Services Provider, etc. or a third party in connection with a Purchase and Sale or Other Transaction of Securities, etc.; and

ja-jp	三　有価証券売買取引等につき、金融商品取引業者等又は第三者から、前項第三号の提供に係る財産上の利益を受け、又は第三者に当該財産上の利益を受けさせる行為（前二号の約束による場合であつて当該約束が自己がし、又は第三者にさせた要求によるとき及び当該財産上の利益の提供が自己がし、又は第三者にさせた要求による場合に限る。）
en-us	(iii) receiving an economic benefit that is provided as referred to in item (iii) of the preceding paragraph or having a third party receive such an economic benefit (but only if this is based on a promise referred to in one of the preceding two items, if that promise is based on a request that the customer makes personally or has a third party make, and if the economic benefit is provided based on a request that the customer makes personally or has a third party make) from a Financial Services Provider, etc. or a third party, in connection with a Purchase and Sale or Other Transaction of Securities, etc.

ja-jp	３　第一項の規定は、同項各号の申込み、約束又は提供が事故（金融商品取引業者等又はその役員若しくは使用人の違法又は不当な行為であつて当該金融商品取引業者等とその顧客との間において争いの原因となるものとして内閣府令で定めるものをいう。以下この節及び次節において同じ。）による損失の全部又は一部を補てんするために行うものである場合については、適用しない。ただし、同項第二号の申込み又は約束及び同項第三号の提供にあつては、その補てんに係る損失が事故に起因するものであることにつき、当該金融商品取引業者等があらかじめ内閣総理大臣の確認を受けている場合その他内閣府令で定める場合に限る。
en-us	(3) The provisions of paragraph (1) do not apply if the offer, promise, or provision of an economic benefit as referred to in the items of that paragraph is done in order to cover the whole or a part of a loss incurred due to problematic conduct (meaning illegal or wrongful conduct by a Financial Services Provider, etc. or its officer or employee, which is specified by Cabinet Office Ordinance as a potential cause of a dispute between a Financial Services Provider, etc. and its customer; hereinafter the same applies in this and the following Sections); provided, however, that with regard to the offer or promise referred to in item (ii) of that paragraph or the provision of an economic benefit as referred to in item (iii) of that paragraph, this only applies if the Financial Services Provider, etc. receives confirmation from the Prime Minister in advance that the loss to be covered was incurred due to problematic conduct, or in a case that is otherwise specified by Cabinet Office Ordinance.

ja-jp	４　第二項の規定は、同項第一号又は第二号の約束が事故による損失の全部又は一部を補てんする旨のものである場合及び同項第三号の財産上の利益が事故による損失の全部又は一部を補てんするため提供されたものである場合については、適用しない。
en-us	(4) The provisions of paragraph (2) do not apply if the promise referred to in item (i) or (ii) of that paragraph is a promise to cover the whole or part of a loss incurred due to problematic conduct, or if the economic benefit referred to in item (iii) of that paragraph is provided in order to cover the whole or part of a loss incurred due to problematic conduct.

ja-jp	５　第三項ただし書の確認を受けようとする者は、内閣府令で定めるところにより、その確認を受けようとする事実その他の内閣府令で定める事項を記載した申請書に当該事実を証するために必要な書類として内閣府令で定めるものを添えて内閣総理大臣に提出しなければならない。
en-us	(5) A person seeking to receive the confirmation referred to in the proviso to paragraph (3) must submit a written application stating the fact regarding which confirmation is sought and other particulars specified by Cabinet Office Ordinance to the Prime Minister pursuant to the provisions of Cabinet Office Ordinance, accompanied by a document specified by Cabinet Office Ordinance as being necessary for proving the relevant fact.

ja-jp	（適合性の原則等）
en-us	(The Principle of Suitability)

ja-jp	第四十条　金融商品取引業者等は、業務の運営の状況が次の各号のいずれかに該当することのないように、その業務を行わなければならない。
en-us	Article 40 A Financial Services Provider, etc. shall conduct its business in such a manner that the state of its business operations does not fall under one of the following items:

ja-jp	一　金融商品取引行為について、顧客の知識、経験、財産の状況及び金融商品取引契約を締結する目的に照らして不適当と認められる勧誘を行つて投資者の保護に欠けることとなつており、又は欠けることとなるおそれがあること。
en-us	(i) its issuance of a solicitation in connection with an act that constitutes a Financial Instruments transaction which is found to be inappropriate in light of customer knowledge, customer experience, the state of customer assets, or the purpose for which a Financial Instruments Transaction Contract is concluded, results in or is likely to result in insufficient investor protection; and

ja-jp	二　前号に掲げるもののほか、業務に関して取得した顧客に関する情報の適正な取扱いを確保するための措置を講じていないと認められる状況、その他業務の運営の状況が公益に反し、又は投資者の保護に支障を生ずるおそれがあるものとして内閣府令で定める状況にあること。
en-us	(ii) beyond what is set forth in the preceding item, the state of business operations is such that the Financial Services Provider, etc. is found not to have taken measures to ensure the appropriate handling of customer information it has obtained in the course of the business, or business operations are otherwise in a state specified by Cabinet Office Ordinance as one that is contrary to the public interest or that is likely to compromise the protection of investors.

ja-jp	（最良執行方針等）
en-us	(Best Execution Policy)

ja-jp	第四十条の二　金融商品取引業者等は、有価証券の売買及びデリバティブ取引（政令で定めるものを除く。以下この条において「有価証券等取引」という。）に関する顧客の注文について、政令で定めるところにより、最良の取引の条件で執行するための方針及び方法（以下この条において「最良執行方針等」という。）を定めなければならない。
en-us	Article 40-2 (1) A Financial Services Provider, etc., pursuant to the provisions of Cabinet Order, must establish a policy and method for executing orders from customers for the purchase and sale of Securities and Derivatives Transactions (excluding those specified by Cabinet Order; hereinafter referred to as "Transactions of Securities, etc." in this Article) under the best terms and conditions (hereinafter referred to as the "Best Execution Policy, etc." in this Article).

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、最良執行方針等を公表しなければならない。
en-us	(2) A Financial Services Provider, etc. must disclose its Best Execution Policy, etc. pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	３　金融商品取引業者等は、最良執行方針等に従い、有価証券等取引に関する注文を執行しなければならない。
en-us	(3) A Financial Services Provider, etc. must execute orders for Transactions of Securities, etc. in accordance with its Best Execution Policy, etc.

ja-jp	４　金融商品取引業者等は、金融商品取引所に上場されている有価証券及び店頭売買有価証券の売買その他の取引で政令で定めるものに関する顧客の注文を受けようとするときは、あらかじめ、顧客に対し、内閣府令で定めるところにより、当該取引に係る最良執行方針等を記載した書面を交付しなければならない。ただし、既に当該書面（当該最良執行方針等を変更した場合にあつては、変更後のものを記載した書面）を交付しているときは、この限りでない。
en-us	(4) Before accepting an order from a customer for a purchase and sale of Securities listed on a Financial Instruments Exchange, purchase and sale of Over-the-Counter Traded Securities, or other transaction specified by Cabinet Order, a Financial Services Provider, etc., pursuant to the provisions of Cabinet Office Ordinance, must deliver a document to the customer stating its Best Execution Policy, etc. for the relevant transaction; provided, however, that this does not apply if it has already delivered such a document (or a document stating the revised policy, if its Best Execution Policy, etc. has been revised).

ja-jp	５　金融商品取引業者等は、有価証券等取引に関する顧客の注文を執行した後、内閣府令で定める期間内に当該顧客から求められたときは、当該注文が最良執行方針等に従つて執行された旨を内閣府令で定めるところにより説明した書面を、内閣府令で定めるところにより、当該顧客に交付しなければならない。
en-us	(5) If a Financial Services Provider, etc. is so requested by a customer within a period specified by Cabinet Office Ordinance after executing the customer's order for a Transaction of Securities, etc., it must deliver a document to the customer, pursuant to the provisions of Cabinet Office Ordinance, which explains, pursuant to the provisions of Cabinet Office Ordinance, that the order has been executed in accordance with its Best Execution Policy, etc.

ja-jp	６　第三十四条の二第四項の規定は、前二項の規定による書面の交付について準用する。
en-us	(6) The provisions of Article 34-2, paragraph (4) apply mutatis mutandis to the delivery of a document under the preceding two paragraphs.

ja-jp	（分別管理が確保されていない場合の売買等の禁止）
en-us	(Prohibition of Purchase and Sale, etc. If Separate Management Is Not Ensured)

ja-jp	第四十条の三　金融商品取引業者等は、第二条第二項第五号若しくは第六号に掲げる権利又は同条第一項第二十一号に掲げる有価証券（政令で定めるものに限る。）若しくは同条第二項第七号に掲げる権利（政令で定めるものに限る。）については、当該権利又は有価証券に関し出資され、又は拠出された金銭（これに類するものとして政令で定めるものを含む。以下この条において同じ。）が、当該金銭を充てて行われる事業を行う者の固有財産その他当該者の行う他の事業に係る財産と分別して管理することが当該権利又は有価証券に係る契約その他の法律行為において確保されているものとして内閣府令で定めるものでなければ、第二条第八項第一号、第二号又は第七号から第九号までに掲げる行為を行つてはならない。
en-us	Article 40-3 With regard to the rights set forth in Article 2, paragraph (2), item (v) or (vi) or the Securities set forth in Article 2, paragraph (1), item (xxi) (limited to those specified by Cabinet Order) or the rights set forth in Article 2, paragraph (2), item (vii) (limited to those specified by Cabinet Order), a Financial Services Provider, etc. must not perform any of the acts set forth in Article 2, paragraph (8), item (i), (ii), or (vii) to (ix) inclusive unless the relevant right or Securities are specified by Cabinet Office Ordinance as those for which a contract or other juridical act involving the right or Securities ensures that the money invested or contributed for the right or Securities (including anything specified by Cabinet Order as being similar to money; hereinafter the same applies in this Article) is managed separately from the assets that belong to the person conducting the relevant business conducts by allocating such money, and is managed separately from any other assets connected with other business conducted by that person.

ja-jp	（特定投資家向け有価証券の売買等の制限）
en-us	(Restrictions on the Sale and Purchase, etc. of Securities for Professional Investors)

ja-jp	第四十条の四　金融商品取引業者等は、特定投資家向け有価証券について、一般投資家（特定投資家等、当該特定投資家向け有価証券の発行者その他内閣府令で定める者以外の者をいう。以下この条において同じ。）を相手方とし、又は一般投資家のために、第二条第八項第一号から第四号まで及び第十号に掲げる行為を行つてはならない。ただし、当該特定投資家向け有価証券に関して開示が行われている場合（第四条第七項に規定する開示が行われている場合をいう。次条第一項及び第六十六条の十四の二において同じ。）、一般投資家に対する勧誘に基づかないで一般投資家のために売付けの媒介を行う場合その他投資者の保護に欠けるおそれが少ない場合として内閣府令で定める場合は、この限りでない。
en-us	Article 40-4 A Financial Services Provider, etc. must not perform any of the acts set forth in Article 2, paragraph (8), items (i) to (iv) inclusive and (x) in connection with the Securities for Professional Investors with a general investor (meaning a person other than a Professional Investor, etc. or Issuer of Securities for Professional Investors, or any other person specified by Cabinet Office Ordinance; hereinafter the same applies in this Article); provided, however, that this does not apply in a Case In Which Disclosure Has Been Made (meaning a Case In Which Disclosure Has Been Made as prescribed in Article 4, paragraph (7); the same applies in Article 40-5, paragraph (1) and Article 66-14-2) with regard to the relevant Securities for Professional Investors, nor does it apply in a case in which the Financial Services Provider, etc. intermediates a sale for the general investor without having solicited the general investors, nor does it in any case specified by Cabinet Office Ordinance as one in which there is little likelihood of this resulting in insufficient investor protection.

ja-jp	（特定投資家向け有価証券に関する告知義務）
en-us	(Obligation to Notify in Connection with Securities for Professional Investors)

ja-jp	第四十条の五　金融商品取引業者等は、開示が行われている場合に該当しない特定投資家向け有価証券について、取得勧誘又は売付け勧誘等を行うことなく売付けその他の政令で定める行為を行う場合には、その相手方に対して、内閣府令で定めるところにより、当該特定投資家向け有価証券に関して開示が行われている場合に該当しないことその他の内閣府令で定める事項を告知しなければならない。
en-us	Article 40-5 (1) If a Financial Services Provider, etc. sells Securities for Professional Investors in a case not falling under the category of a Case In Which Disclosure Has Been Made, or performs any other act specified by Cabinet Order in connection with such Securities, without issuing a Solicitation of Offers to Acquire or an Offer to Sell, etc., it must notify the other party to the sale or other act, pursuant to the provisions of Cabinet Office Ordinance and with regard to the Securities for Professional Investors, that the case does not fall under the category of a Case In Which Disclosure Has Been Made, as well as notifying the other party of any other matters that are specified by Cabinet Office Ordinance.

ja-jp	２　金融商品取引業者等は、特定投資家等（第二条第三十一項第一号から第三号までに掲げる者を除く。）から特定投資家向け有価証券取引契約（特定投資家向け有価証券に係る同条第八項第一号から第四号まで又は第十号に掲げる行為を行うことを内容とする契約（同号に掲げる行為による特定投資家向け有価証券の売買（当該行為を行う金融商品取引業者による媒介、取次ぎ又は代理によるものに限る。）を行うことを内容とする契約その他の契約の内容又は相手方の特性を勘案して内閣府令で定めるものを除く。）をいう。以下この項において同じ。）の申込みを初めて受けた場合には、当該申込みに係る特定投資家向け有価証券取引契約を締結するまでに、当該特定投資家等に対し、次に掲げる事項を告知し、かつ、当該事項を記載した書面を交付しなければならない。
en-us	(2) The first time that a Financial Services Provider, etc. receives an offer from a Professional Investor, etc. (excluding a person set forth in Article 2, paragraph (31), items (i) to (iii) inclusive) for a contract for transactions in Securities for Professional Investors (meaning a contract for performing an act set forth in Article 2, paragraph (8), item (i) to (iv) inclusive, or item (x) in connection with Securities for Professional Investors (excluding a contract for effecting a sale and purchase of Securities for Professional Investors through an act set forth in item (x) of that paragraph (this is limited to a sale and purchase effected through the intermediation, brokerage, or agency of the Financial Services Provider that effects the relevant act) or any other contract that is specified by Cabinet Office Ordinance in consideration of the contents of the contract and the characteristics of the counterparty); hereinafter the same applies in this paragraph), it must notify the Professional Investor, etc. of the following matters and deliver a document to the Professional Investor, etc. that states those matters, before it concludes the contract for transactions in Securities for Professional Investors to which the offer pertains:

ja-jp	一　特定投資家向け有価証券に関する情報提供の内容及び取引の特質その他の特定投資家向け有価証券に関し投資者が認識すべき重要な事項として内閣府令で定める事項
en-us	(i) the contents of the information provided in connection with the Securities for Professional Investors, the nature of the transaction, and any other matters specified by Cabinet Office Ordinance as material matters of which an investor must be made aware in connection with Securities for Professional Investors; and

ja-jp	二　特定投資家向け有価証券の取引を行うことがその知識、経験及び財産の状況に照らして適当ではない者が特定投資家向け有価証券の取引を行う場合には、当該者の保護に欠けることとなるおそれがある旨
en-us	(ii) an indication of the risk of insufficient protection involved, if a transaction of Securities for Professional Investors will be conducted by a person whose knowledge or experience, or the state of whose assets, makes it inappropriate for the person to do so;

ja-jp	３　第三十四条の二第四項の規定は、前項の規定による書面の交付について準用する。
en-us	(3) The provisions of Article 34-2, paragraph (4) apply mutatis mutandis to the delivery of the documents set forth in the preceding paragraph.

ja-jp	第二款　投資助言業務に関する特則
en-us	Subsection 2 Special Provisions on Investment Advisory Services

ja-jp	（顧客に対する義務）
en-us	(Duty to Customers)

ja-jp	第四十一条　金融商品取引業者等は、顧客のため忠実に投資助言業務を行わなければならない。
en-us	Article 41 (1) A Financial Services Provider, etc. must work faithfully on behalf of its customers in providing its Investment Advisory Services.

ja-jp	２　金融商品取引業者等は、顧客に対し、善良な管理者の注意をもつて投資助言業務を行わなければならない。
en-us	(2) A Financial Services Provider, etc. must provide its Investment Advisory Services with the due care of a prudent manager toward its customers.

ja-jp	第四十一条の二　金融商品取引業者等は、その行う投資助言業務に関して、次に掲げる行為をしてはならない。
en-us	Article 41-2 A Financial Services Provider, etc. must not perform any of the following acts in connection with the Investment Advisory Services it conducts:

ja-jp	一　顧客相互間において、他の顧客の利益を図るため特定の顧客の利益を害することとなる取引を行うことを内容とした助言を行うこと。
en-us	(i) advising customers to conduct a transaction between or among themselves that would be detrimental to a particular customer's interests in the interest of another customer;

ja-jp	二　特定の金融商品、金融指標又はオプションに関し、顧客の取引に基づく価格、指標、数値又は対価の額の変動を利用して自己又は当該顧客以外の第三者の利益を図る目的をもつて、正当な根拠を有しない助言を行うこと。
en-us	(ii) giving advice regarding a particular Financial Instrument, Financial Indicator, or Option for which there is no justifiable basis, with the aim of using fluctuations in the price, indicator, figure, or amount receivable based on a customer's transaction, to benefit itself or a third party other than that customer;

ja-jp	三　通常の取引の条件と異なる条件で、かつ、当該条件での取引が顧客の利益を害することとなる条件での取引を行うことを内容とした助言を行うこと（第一号に掲げる行為に該当するものを除く。）。
en-us	(iii) advising a customer to conduct a transaction under terms and conditions that are different from the ordinary terms and conditions and detrimental to the customer's interests (other than as is specified in item (i) above);

ja-jp	四　助言を受けた顧客が行う取引に関する情報を利用して、自己の計算において有価証券の売買その他の取引又はデリバティブ取引（以下「有価証券の売買その他の取引等」という。）を行うこと。
en-us	(iv) making a purchase and sale or other transaction of Securities, or a Derivatives Transaction (hereinafter referred to as "Purchase and Sale or Other Transaction of Securities, etc."), on its own account, using information from a transaction conducted by a customer that has received its advice;

ja-jp	五　その助言を受けた取引により生じた顧客の損失の全部又は一部を補てんし、又はその助言を受けた取引により生じた顧客の利益に追加するため、当該顧客又は第三者に対し、財産上の利益を提供し、又は第三者に提供させること（事故による損失の全部又は一部を補てんする場合を除く。）。
en-us	(v) providing an economic benefit to a customer or a third party or having a third party provide an economic benefit to a customer, in order to cover the whole or part of a loss incurred by the customer due to a transaction about which the customer has received its advice, or in order to add to the profit that a customer has accrued in connection with a transaction about which the customer has received its advice (unless this is to cover the whole or part of a loss incurred due to problematic conduct); and

ja-jp	六　前各号に掲げるもののほか、投資者の保護に欠け、若しくは取引の公正を害し、又は金融商品取引業の信用を失墜させるものとして内閣府令で定める行為
en-us	(vi) beyond what is set forth in the preceding items, any act specified by Cabinet Office Ordinance as resulting in insufficient investor protection, harming the fairness of transactions, or causing a loss of confidence in the Financial Instruments Business.

ja-jp	（有価証券の売買等の禁止）
en-us	(Prohibition on the Purchase and Sale of Securities, etc.)

ja-jp	第四十一条の三　金融商品取引業者等は、その行う投資助言業務に関して、顧客を相手方とし、又は顧客のために第二条第八項第一号から第四号までに掲げる行為をしてはならない。ただし、第一種金融商品取引業として行う場合その他政令で定める場合は、この限りでない。
en-us	Article 41-3 A Financial Services Provider, etc. must not perform any of the acts set forth in Article 2, paragraph (8), items (i) to (iv) inclusive, in connection with the Investment Advisory Services it conducts, with a customer as the counterparty or on behalf of a customer; provided, however, that this does not apply if it does so as Type I Financial Instruments Business, or if it does so in a case that is specified by Cabinet Order.

ja-jp	（金銭又は有価証券の預託の受入れ等の禁止）
en-us	(Prohibition on Receiving Deposits of Money or Securities)

ja-jp	第四十一条の四　金融商品取引業者等は、有価証券等管理業務として行う場合その他政令で定める場合を除くほか、その行う投資助言業務に関して、いかなる名目によるかを問わず、顧客から金銭若しくは有価証券の預託を受け、又は当該金融商品取引業者等と密接な関係を有する者として政令で定める者に顧客の金銭若しくは有価証券を預託させてはならない。
en-us	Article 41-4 A Financial Services Provider, etc. must not, for any reason, receive a deposit of money or Securities from a customer, or have a person specified by Cabinet Order as being closely related to the Financial Services Provider, etc. deposit a customer's money or Securities, in connection with the Investment Advisory Services it conducts, unless it does so as Securities, etc. Management, or unless it does so in a case that is specified by Cabinet Order.

ja-jp	（金銭又は有価証券の貸付け等の禁止）
en-us	(Prohibition on the Lending, etc. of Money or Securities)

ja-jp	第四十一条の五　金融商品取引業者等は、その行う投資助言業務に関して、顧客に対し金銭若しくは有価証券を貸し付け、又は顧客への第三者による金銭若しくは有価証券の貸付けにつき媒介、取次ぎ若しくは代理をしてはならない。ただし、金融商品取引業者が第百五十六条の二十四第一項に規定する信用取引に付随して顧客に対し金銭又は有価証券を貸し付ける場合その他政令で定める場合は、この限りでない。
en-us	Article 41-5 A Financial Services Provider, etc. must not lend money or Securities to a customer or perform intermediation, brokerage, or agency for a third party's lending of money or Securities to a customer in connection with the Investment Advisory Services it conducts; provided, however, that this does not apply if a Financial Services Provider lends money or Securities to a customer in the course of a margin transaction prescribed in Article 156-24, paragraph (1), or if it performs one of such acts in a case that is specified by Cabinet Order.

ja-jp	第三款　投資運用業に関する特則
en-us	Subsection 3 Special Provisions on Investment Management

ja-jp	（権利者に対する義務）
en-us	(Duty to Rights Holders)

ja-jp	第四十二条　金融商品取引業者等は、権利者（次の各号に掲げる業務の区分に応じ当該各号に定める者をいう。以下この款において同じ。）のため忠実に投資運用業を行わなければならない。
en-us	Article 42 (1) A Financial Services Provider, etc. must work faithfully on behalf of rights holders (meaning persons prescribed in the relevant of the following items for the category of business set forth in each item; hereinafter the same applies in this Subsection) in providing Investment Management:

ja-jp	一　第二条第八項第十二号に掲げる行為を行う業務　同号イ又はロに掲げる契約の相手方
en-us	(i) the business of performing the act specified in Article 2, paragraph (8), item (xii): the other party to the contract set forth in sub-item (a) or (b) of that item;

ja-jp	二　第二条第八項第十四号に掲げる行為を行う業務　同号に規定する有価証券に表示される権利その他の政令で定める権利を有する者
en-us	(ii) the business of performing the act specified in Article 2, paragraph (8), item (xiv): the person that holds the rights indicated on the Securities provided for in that item or other rights specified by Cabinet Order; and

ja-jp	三　第二条第八項第十五号に掲げる行為を行う業務　同号イからハまでに掲げる権利その他同号に規定する政令で定める権利を有する者
en-us	(iii) the business of performing the act specified in Article 2, paragraph (8), item (xv): the person that holds rights set forth in sub-items (a) to (c) inclusive of that item or other rights specified by Cabinet Order as prescribed in that item.

ja-jp	２　金融商品取引業者等は、権利者に対し、善良な管理者の注意をもつて投資運用業を行わなければならない。
en-us	(2) A Financial Services Provider, etc. must provide Investment Management with the due care of a prudent manager toward rights holders.

ja-jp	第四十二条の二　金融商品取引業者等は、その行う投資運用業に関して、次に掲げる行為をしてはならない。ただし、第一号及び第二号に掲げる行為にあつては、投資者の保護に欠け、若しくは取引の公正を害し、又は金融商品取引業の信用を失墜させるおそれのないものとして内閣府令で定めるものを除く。
en-us	Article 42-2 A Financial Services Provider, etc. must not perform any of the following acts in connection with the Investment Management Business it conducts; provided, however, that this excludes acts set forth in items (i) and (ii) below that are specified by Cabinet Office Ordinance as being unlikely to result in insufficient investor protection, harm the fairness of transactions, or cause a loss of confidence in the Financial Instruments Business:

ja-jp	一　自己又はその取締役若しくは執行役との間における取引を行うことを内容とした運用を行うこと。
en-us	(i) making an investment that involves a transaction being conducted with the Financial Services Provider, etc. or a director or executive officer thereof;

ja-jp	二　運用財産相互間において取引を行うことを内容とした運用を行うこと。
en-us	(ii) making an investment that involves a transaction being conducted between or among invested assets;

ja-jp	三　特定の金融商品、金融指標又はオプションに関し、取引に基づく価格、指標、数値又は対価の額の変動を利用して自己又は権利者以外の第三者の利益を図る目的をもつて、正当な根拠を有しない取引を行うことを内容とした運用を行うこと。
en-us	(iii) making an investment in a particular Financial Instrument, Financial Indicator, or Option, which involves a transaction being conducted for which there is no justifiable basis, with the aim of using fluctuations in the price, indicator, figure, or amount receivable based on the transaction, to benefit itself or a third party other than the rights holder;

ja-jp	四　通常の取引の条件と異なる条件で、かつ、当該条件での取引が権利者の利益を害することとなる条件での取引を行うことを内容とした運用を行うこと。
en-us	(iv) making an investment that involves a transaction being conducted under terms and conditions that are different from the ordinary terms and conditions, and that are detrimental to the rights holder's interests;

ja-jp	五　運用として行う取引に関する情報を利用して、自己の計算において有価証券の売買その他の取引等を行うこと。
en-us	(v) making a Purchase and Sale or Other Transaction of Securities, etc. on its own account using information about a transaction that it has conducted as an investment;

ja-jp	六　運用財産の運用として行つた取引により生じた権利者の損失の全部若しくは一部を補てんし、又は運用財産の運用として行つた取引により生じた権利者の利益に追加するため、当該権利者又は第三者に対し、財産上の利益を提供し、又は第三者に提供させること（事故による損失の全部又は一部を補てんする場合を除く。）。
en-us	(vi) providing an economic benefit to a rights holder or a third party or having a third party provide an economic benefit to a rights holder or third party, in order to cover the whole or part of a loss that a rights holder has incurred due to a transaction conducted as an investment of invested assets, or in order to add to the profit that a rights holder has accrued from a transaction conducted as an investment of invested assets (unless this is done to cover the whole or part of a loss incurred due to problematic conduct); and

ja-jp	七　前各号に掲げるもののほか、投資者の保護に欠け、若しくは取引の公正を害し、又は金融商品取引業の信用を失墜させるものとして内閣府令で定める行為
en-us	(vii) beyond what is set forth in the preceding items, any act specified by Cabinet Office Ordinance as resulting in insufficient investor protection, harming the fairness of transactions, or causing a loss of confidence in the Financial Instruments Business.

ja-jp	（運用権限の委託）
en-us	(Entrustment of Authority to Invest)

ja-jp	第四十二条の三　金融商品取引業者等は、次に掲げる契約その他の法律行為において内閣府令で定める事項の定めがある場合に限り、権利者のため運用を行う権限の全部又は一部を他の金融商品取引業者等（投資運用業を行う者に限る。）その他の政令で定める者に委託することができる。
en-us	Article 42-3 (1) A Financial Services Provider, etc. may entrust the whole or part of the authority to make investments on behalf of a rights holder to another Financial Services Provider, etc. (limited to one does Investment Management) or other person specified by Cabinet Order, but only if the matters specified by Cabinet Office Ordinance are stipulated in a contract or other juridical act set forth in one of the following items:

ja-jp	一　第二条第八項第十二号イ又はロに掲げる契約
en-us	(i) the contract set forth in Article 2, paragraph (8), item (xii), sub-item (a) or (b);

ja-jp	二　第二条第八項第十四号に規定する有価証券に表示される権利その他の政令で定める権利に係る契約
en-us	(ii) a contract concerning the rights indicated on Securities or other rights specified by Cabinet Order as prescribed in Article 2, paragraph (8), item (xiv); and

ja-jp	三　第二条第八項第十五号イからハまでに掲げる権利その他同号に規定する政令で定める権利に係る契約その他の法律行為
en-us	(iii) a contract or other juridical act concerning the rights set forth in Article 2, paragraph (8), item (xv), sub-items (a) to (c) inclusive or other rights specified by Cabinet Order as prescribed in that item.

ja-jp	２　金融商品取引業者等は、前項の規定にかかわらず、すべての運用財産につき、その運用に係る権限の全部を同項に規定する政令で定める者に委託してはならない。
en-us	(2) Notwithstanding the provisions of the preceding paragraph, a Financial Services Provider, etc. must not entrust the whole of the authority to invest all invested assets to the person specified by Cabinet Order that is referred to in that paragraph.

ja-jp	３　金融商品取引業者等が第一項の規定により委託をした場合における第四十二条第一項の規定の適用については、同項中「金融商品取引業者等」とあるのは、「金融商品取引業者等（当該金融商品取引業者等から第四十二条の三第一項の規定により委託を受けた同項に規定する政令で定める者を含む。次項及び次条において同じ。）」とする。
en-us	(3) With regard to the application of the provisions of Article 42, paragraph (1) if a Financial Services Provider, etc. effected an entrustment pursuant to paragraph (1), in Article 42, paragraph (1), the phrase "Financial Services Provider, etc." is deemed to be replaced with "Financial Services Provider, etc. (including a person specified by Cabinet Order that is referred to in Article 42-3, paragraph (1) and that has been entrusted by the relevant Financial Services Provider, etc. pursuant to that paragraph; the same applies in the following paragraph and the following Article)".

ja-jp	第四十二条の四　金融商品取引業者等は、その行う投資運用業（第二条第八項第十五号に掲げる行為を行う業務に限る。）に関して、内閣府令で定めるところにより、運用財産と自己の固有財産及び他の運用財産とを分別して管理しなければならない。
en-us	Article 42-4 A Financial Services Provider, etc. must manage invested assets separately from its own assets and other invested assets, pursuant to the provisions of Cabinet Office Ordinance, in connection with the Investment Management (limited to the business of performing the act specified in Article 2, paragraph (8), item (xv)) it conducts.

ja-jp	（金銭又は有価証券の預託の受入れ等の禁止）
en-us	(Prohibition on Receiving Deposits of Money or Securities)

ja-jp	第四十二条の五　金融商品取引業者等は、有価証券等管理業務として行う場合その他政令で定める場合を除くほか、その行う投資運用業（第二条第八項第十二号に掲げる行為を行う業務に限る。以下この条及び次条において同じ。）に関して、いかなる名目によるかを問わず、顧客から金銭若しくは有価証券の預託を受け、又は当該金融商品取引業者等と密接な関係を有する者として政令で定める者に顧客の金銭若しくは有価証券を預託させてはならない。ただし、当該金融商品取引業者等がその行う投資運用業に関し、顧客のために同項第一号から第四号までに掲げる行為を行う場合において、これらの行為による取引の決済のために必要なときは、この限りでない。
en-us	Article 42-5 A Financial Services Provider, etc. must not, for any reason, receive a deposit of money or Securities from a customer, or have a person specified by Cabinet Order as being closely related to the Financial Services Provider, etc. deposit a customer's money or Securities, in connection with the Investment Management it conducts (limited to the business of performing the acts specified in Article 2, paragraph (8), item (xii); hereinafter the same applies in this and the following Articles), unless it does so as Securities, etc. Management, or unless it does so in a case that is specified by Cabinet Order; provided, however, that this does not apply if the Financial Services Provider, etc. performs one of the acts set forth in Article 2, paragraph (8), items (i) to (iv) inclusive in connection with its Investment Management on behalf of a customer, and such a deposit is necessary for the settlement of the transaction conducted through such an act.

ja-jp	（金銭又は有価証券の貸付け等の禁止）
en-us	(Prohibition on the Lending of Money or Securities)

ja-jp	第四十二条の六　金融商品取引業者等は、その行う投資運用業に関して、顧客に対し金銭若しくは有価証券を貸し付け、又は顧客への第三者による金銭若しくは有価証券の貸付けにつき媒介、取次ぎ若しくは代理をしてはならない。ただし、金融商品取引業者が第百五十六条の二十四第一項に規定する信用取引に付随して顧客に対し金銭又は有価証券を貸し付ける場合その他政令で定める場合は、この限りでない。
en-us	Article 42-6 A Financial Services Provider, etc. must not lend money or Securities to a customer or perform intermediation, brokerage, or agency for a third party's lending of money or Securities to a customer in connection with the Investment Management it conducts; provided, however, that this does not apply if a Financial Services Provider lends money or Securities to a customer in the course of a margin transaction prescribed in Article 156-24, paragraph (1), or if it performs one of these acts in a case that is specified by Cabinet Order.

ja-jp	（運用報告書の交付）
en-us	(Delivery of an Investment Report)

ja-jp	第四十二条の七　金融商品取引業者等は、運用財産について、内閣府令で定めるところにより、定期に運用報告書を作成し、当該運用財産に係る知れている権利者に交付しなければならない。ただし、運用報告書を権利者に交付しなくても権利者の保護に支障を生ずることがない場合として内閣府令で定める場合は、この限りでない。
en-us	Article 42-7 (1) A Financial Services Provider, etc., pursuant to the provisions of Cabinet Office Ordinance, must periodically prepare an investment report for invested assets and deliver it to any known rights holders affiliated with those invested assets; provided, however, that this does not apply in the cases specified by Cabinet Office Ordinance as those in which, even if no investment report is delivered to such rights holders, this will not compromise the protection of the rights holders.

ja-jp	２　第三十四条の二第四項の規定は、前項の規定による運用報告書の交付について準用する。
en-us	(2) The provisions of Article 34-2, paragraph (4) apply mutatis mutandis to the delivery of an investment report under the preceding paragraph.

ja-jp	３　金融商品取引業者等は、その行う投資運用業（第二条第八項第十五号に掲げる行為を行う業務に限る。）に関して、第一項の運用報告書を作成したときは、遅滞なく、これを内閣総理大臣に届け出なければならない。ただし、一の運用財産の権利者の数が政令で定める数以下である場合その他投資者の保護に支障を生ずることがない場合として内閣府令で定める場合は、この限りでない。
en-us	(3) When a Financial Services Provider, etc. has prepared an investment report set forth in paragraph (1) in connection with the Investment Management it conducts (limited to the business of performing the act specified in Article 2, paragraph (8), item (xv)), it shall notify the Prime Minister of this without delay; provided, however, that this does not apply if the number of rights holders to a set of invested assets is below the number specified by Cabinet Order, nor does it apply in the cases specified by Cabinet Office Ordinance as those in which its not doing so does not compromise the protection of investors.

ja-jp	（信託業法の適用除外）
en-us	(Exclusion from Application of the Trust Business Act)

ja-jp	第四十二条の八　信託業法第四章の規定は、金融商品取引業者等が投資運用業を行う場合については、適用しない。
en-us	Article 42-8 The provisions of Chapter IV of the Trust Business Act do not apply if a Financial Services Provider, etc. engages in Investment Management.

ja-jp	第四款　有価証券等管理業務に関する特則
en-us	Subsection 4 Special Provisions on Securities, etc. Management

ja-jp	（善管注意義務）
en-us	(Duty of Due Care of a Prudent Manager)

ja-jp	第四十三条　金融商品取引業者等は、顧客に対し、善良な管理者の注意をもつて有価証券等管理業務を行わなければならない。
en-us	Article 43 A Financial Services Provider, etc. must engage in Securities, etc. Management with the due care of a prudent manager toward its customers.

ja-jp	第四十三条の二　金融商品取引業者等は、次に掲げる有価証券（次項の規定により管理する有価証券を除く。）を、確実にかつ整然と管理する方法として内閣府令で定める方法により、自己の固有財産と分別して管理しなければならない。
en-us	Article 43-2 (1) A Financial Services Provider, etc. must manage the following Securities (excluding the Securities to be managed under the following paragraph) in the way specified by Cabinet Office Ordinance as a reliable and orderly way of managing property, and must do so separately from its own property:

ja-jp	一　第百十九条の規定により金融商品取引業者等が顧客から預託を受けた有価証券（有価証券関連デリバティブ取引に関して預託を受けたものに限る。）又は第百六十一条の二の規定により金融商品取引業者が顧客から預託を受けた有価証券
en-us	(i) the Securities that a customer deposits with the Financial Services Provider, etc. pursuant Article 119 (limited to those deposited in connection with Transactions of Securities-Related Derivatives) or Securities that a customer deposits with the Financial Services Provider, etc. pursuant to Article 161-2; and

ja-jp	二　有価証券関連業又は有価証券関連業に付随する業務として内閣府令で定めるものに係る取引（店頭デリバティブ取引に該当するもの（有価証券関連業を行う金融商品取引業者であつて第一種金融商品取引業を行うことにつき第二十九条の登録を受けた者を相手方として行う取引その他の取引の相手方の特性を勘案して内閣府令で定めるものに限る。）その他政令で定める取引を除く。次項第二号及び第七十九条の二十において「対象有価証券関連取引」という。）に関し、顧客の計算において金融商品取引業者等が占有する有価証券又は金融商品取引業者等が顧客から預託を受けた有価証券（前号に掲げる有価証券、契約により金融商品取引業者等が消費できる有価証券その他政令で定める有価証券を除く。）
en-us	(ii) the Securities in the possession of the Financial Services Provider, etc. on the account of a customer or Securities that a customer has deposited with the Financial Services Provider, etc. (excluding Securities set forth in the preceding item, Securities that a Financial Services Provider, etc. may use pursuant to a contract, and Securities specified by Cabinet Order), in connection with transactions involved in Securities Services or other services specified by Cabinet Office Ordinance as being incidental to Securities Services (excluding Over-the-Counter Derivatives Transactions (limited to transactions to be made with a Financial Services Provider that is engaged in Securities Services and is registered as referred to in Article 29 to engage in Type I Financial Instruments Business as the counterparty, and other transactions that are specified by Cabinet Office Ordinance in consideration of the characteristics of the counterparty to the transaction) and other transactions specified by Cabinet Order; hereinafter referred to as "Transactions Related to Subject Securities" in item (ii) of the following paragraph and Article 79-20).

ja-jp	２　金融商品取引業者等は、次に掲げる金銭又は有価証券について、当該金融商品取引業者等が金融商品取引業（登録金融機関業務を含む。以下この項において同じ。）を廃止した場合その他金融商品取引業を行わないこととなつた場合に顧客に返還すべき額として内閣府令で定めるところにより算定したものに相当する金銭を、自己の固有財産と分別して管理し、内閣府令で定めるところにより、当該金融商品取引業者等が金融商品取引業を廃止した場合その他金融商品取引業を行わないこととなつた場合に顧客に返還すべき額に相当する金銭を管理することを目的として、国内において、信託会社等に信託をしなければならない。
en-us	(2) As regards the money or Securities set forth in the following items, a Financial Services Provider, etc. must manage the amount of money calculated pursuant to the provisions of Cabinet Office Ordinance as the amount to be refunded to the customer in the event that said Financial Services Provider, etc. discontinues its Financial Instruments Business (including Services of a Registered Financial Institution; hereinafter the same applies in this paragraph) or otherwise ceases to operate in the Financial Instruments Business, separately from its own assets, and must establish a trust with a Trust Company, etc. in Japan, pursuant to the provisions of Cabinet Office Ordinance, for the purpose of managing the amount of money to be refunded to the customer in the event that said Financial Services Provider, etc. discontinues its Financial Instruments Business or otherwise ceases to operate in the Financial Instruments Business:

ja-jp	一　第百十九条の規定により金融商品取引業者等が顧客から預託を受けた金銭（有価証券関連デリバティブ取引に関して預託を受けたものに限る。）又は第百六十一条の二の規定により金融商品取引業者が顧客から預託を受けた金銭
en-us	(i) money that a customer deposits with the Financial Services Provider, etc. (limited to money deposited in connection with Transactions of Securities-Related Derivatives) pursuant to Article 119, or money that a customer deposits with the Financial Services Provider, etc. pursuant to Article 161-2;

ja-jp	二　対象有価証券関連取引に関し、顧客の計算に属する金銭又は金融商品取引業者等が顧客から預託を受けた金銭（前号に掲げる金銭を除く。）
en-us	(ii) money on the account of a customer or money that a customer deposits with the Financial Services Provider, etc. (excluding the money set forth in the preceding item) in connection with a Transaction Related to Subject Securities; and

ja-jp	三　前項各号に掲げる有価証券のうち、第四十三条の四第一項の規定により担保に供されたもの
en-us	(iii) Securities set forth in the items of the preceding paragraph that have been furnished as security pursuant to Article 43-4, paragraph (1).

ja-jp	３　金融商品取引業者は、前二項の規定による管理の状況について、内閣府令で定めるところにより、定期に、公認会計士（公認会計士法（昭和二十三年法律第百三号）第十六条の二第五項に規定する外国公認会計士を含む。第百九十三条の二及び第百九十三条の三において同じ。）又は監査法人の監査を受けなければならない。
en-us	(3) A Financial Services Provider, etc. must periodically undergo an audit by a certified public accountant (this includes a foreign certified public accountant as prescribed in Article 16-2, paragraph (5) of the Certified Public Accountants Act (Act No. 103 of 1948); the same applies in Article 193-2 and Article 193-3) or audit by an auditing firm, pursuant to the provisions of Cabinet Office Ordinance, as regards the management conditions under the preceding two paragraphs.

ja-jp	第四十三条の三　金融商品取引業者等は、その行うデリバティブ取引等（有価証券関連デリバティブ取引等に該当するものを除く。次項において同じ。）に関し、第百十九条の規定により顧客から預託を受けた金銭又は有価証券その他の保証金又は有価証券については、内閣府令で定めるところにより、自己の固有財産と区分して管理しなければならない。
en-us	Article 43-3 (1) A Financial Services Provider, etc. must manage the money or Securities that a customer deposits pursuant to Article 119 and other security deposits and Securities in connection with the Derivatives Transactions, etc. it conducts (excluding those that fall under the category of Transactions of Securities-Related Derivatives, etc.; the same applies in the following paragraph), separately from its own property, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	２　金融商品取引業者等は、その行うデリバティブ取引等に関し、顧客の計算に属する金銭及び金融商品の価額に相当する財産については、内閣府令で定めるところにより、管理しなければならない。
en-us	(2) A Financial Services Provider, etc. must manage the money and other assets that are equivalent to the amount of Financial Instruments that are part of the customer's account in connection with the Derivatives Transactions, etc. it conducts, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	（顧客の有価証券を担保に供する行為等の制限）
en-us	(Restriction on the Act of Furnishing a Customer's Securities as Collateral)

ja-jp	第四十三条の四　金融商品取引業者等は、顧客の計算において自己が占有する有価証券又は顧客から預託を受けた有価証券を担保に供する場合又は他人に貸し付ける場合には、内閣府令で定めるところにより、当該顧客から書面による同意を得なければならない。
en-us	Article 43-4 (1) If a Financial Services Provider, etc. furnishes the Securities in its possession on a customer's account or Securities deposited with it by a customer as collateral, or lends such Securities to another person, it must obtain written consent from said customer pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	２　第三十四条の二第十二項の規定は、前項の規定による書面による同意について準用する。
en-us	(2) The provisions of Article 34-2, paragraph (12) apply mutatis mutandis to the written consent prescribed in the preceding paragraph.

ja-jp	第五款　弊害防止措置等
en-us	Subsection 5 Preventive Measures against Adverse Effects

ja-jp	（二以上の種別の業務を行う場合の禁止行為）
en-us	(Prohibited Acts When Doing Business in Two or More Business Categories)

ja-jp	第四十四条　金融商品取引業者等又はその役員若しくは使用人は、二以上の業務の種別（第二十九条の二第一項第五号に規定する業務の種別をいう。）に係る業務を行う場合には、次に掲げる行為をしてはならない。
en-us	Article 44 If a Financial Services Provider, etc. or its officer or employee does business in two or more business categories (meaning business categories provided for in Article 29-2, paragraph (1), item (v)), the operator, etc., officer, or employee must not perform any of the following acts:

ja-jp	一　投資助言業務に係る助言を受けた顧客が行う有価証券の売買その他の取引等に関する情報又は投資運用業に係る運用として行う有価証券の売買その他の取引等に関する情報を利用して、有価証券の売買その他の取引等の委託等（媒介、取次ぎ又は代理の申込みをいう。以下同じ。）を勧誘する行為
en-us	(i) soliciting a customer to entrust, etc. it (meaning to request it to provide intermediation, brokerage, or agency; the same applies hereinafter) with a Purchase and Sale or Other Transaction of Securities, etc., using information about a Purchase and Sale or Other Transaction of Securities, etc. conducted by a customer that has received advice in connection with Investment Advisory Services or using information about a Purchase and Sale or Other Transaction of Securities, etc. conducted by such a customer as an investment in connection with Investment Management;

ja-jp	二　投資助言業務及び投資運用業以外の業務による利益を図るため、その行う投資助言業務に関して取引の方針、取引の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした助言を行い、又はその行う投資運用業に関して運用の方針、運用財産の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした運用を行うこと。
en-us	(ii) giving advice in connection with the Investment Advisory Services it conducts, that would involve a transaction being conducted that is unnecessary in light of the transaction policy, the amount of the transaction, or the market conditions, or making an investment in connection with the Investment Management it conducts, that involves a transaction being conducted that is unnecessary in light of the investment policy, the amount of invested assets, or the market conditions, with the aim of benefitting from business other than Investment Advisory Services and Investment Management; and

ja-jp	三　前二号に掲げるもののほか、投資者の保護に欠け、若しくは取引の公正を害し、又は金融商品取引業の信用を失墜させるものとして内閣府令で定める行為
en-us	(iii) any act other than what is set forth in the preceding two items, which is specified by Cabinet Office Ordinance as resulting in insufficient investor protection, harming the fairness of transactions, or causing a loss of confidence in the Financial Instruments Business.

ja-jp	（その他業務に係る禁止行為）
en-us	(Prohibited Acts Involving Other Business)

ja-jp	第四十四条の二　金融商品取引業者又はその役員若しくは使用人は、金融商品取引業及びこれに付随する業務以外の業務（第二号及び第三号において「金融商品取引業者その他業務」という。）を行う場合には、次に掲げる行為をしてはならない。
en-us	Article 44-2 (1) If a Financial Services Provider, etc. or the officer or employee thereof does business other than in the Financial Instruments Business and services incidental thereto (hereinafter referred to as "Business Activities Other Than Those of a Financial Services Provider" in item (ii) and item (iii) below), the operator, etc., officer, or employee must not perform any of the following acts:

ja-jp	一　第百五十六条の二十四第一項に規定する信用取引以外の方法による金銭の貸付けその他信用の供与をすることを条件として有価証券の売買の受託等（委託等を受けることをいう。以下同じ。）をする行為（投資者の保護に欠けるおそれが少ないと認められるものとして内閣府令で定めるものを除く。）
en-us	(i) making its becoming entrusted, etc. with a purchase and sale of Securities (meaning causing a person to entrust, etc. it with such purchase and sale; hereinafter the same applies) conditional upon it lending money or otherwise granting credit to a person through a means other than a margin transaction prescribed in Article 156-24, paragraph (1) (excluding acts specified by Cabinet Office Ordinance as acts that are found to have little likelihood of resulting in insufficient investor protection);

ja-jp	二　金融商品取引業者その他業務による利益を図るため、その行う投資助言業務に関して取引の方針、取引の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした助言を行い、又はその行う投資運用業に関して運用の方針、運用財産の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした運用を行うこと。
en-us	(ii) giving advice in connection with the Investment Advisory Services it conducts, that would involve a transaction being conducted that is unnecessary in light of the transaction policy, the amount of the transaction, or the market conditions, or making an investment in connection with the Investment Management it conducts, that involves a transaction being conducted that is unnecessary in light of the investment policy, the amount of invested assets, or the market conditions, with the aim of benefitting from Business Activities Other Than Those of a Financial Services Provider; and

ja-jp	三　前二号に掲げるもののほか、金融商品取引業者その他業務に関連して行う第二条第八項各号に掲げる行為で投資者の保護に欠け、若しくは取引の公正を害し、又は金融商品取引業の信用を失墜させるものとして内閣府令で定める行為
en-us	(iii) any act other than what is set forth in the preceding two items, which is set forth in the items of Article 2, paragraph (8), which is performed in connection with Business Activities Other Than Those of a Financial Services Provider, and which is specified by Cabinet Office Ordinance as resulting in insufficient investor protection, harming the fairness of transactions, or causing a loss of confidence in the Financial Instruments Transaction Business.

ja-jp	２　登録金融機関又はその役員若しくは使用人は、登録金融機関業務以外の業務（第二号及び第三号において「登録金融機関その他業務」という。）を行う場合には、次に掲げる行為をしてはならない。
en-us	(2) If a registered financial institution or its officer or employee does business other than engaging in the services of a registered financial institution (referred to as "Business Activities Other Than Those of a Registered Financial Institution" in item (ii) and item (iii) below), the institution, officer, or employee must not perform any of the following acts:

ja-jp	一　金銭の貸付けその他信用の供与をすることを条件として有価証券の売買の受託等をする行為（投資者の保護に欠けるおそれが少ないと認められるものとして内閣府令で定めるものを除く。）
en-us	(i) making its becoming entrusted, etc. with a purchase and sale of Securities, conditional on it lending money or otherwise granting credit to a person (excluding acts specified by Cabinet Office Ordinance as acts that are found to have little likelihood of resulting in insufficient investor protection);

ja-jp	二　登録金融機関その他業務による利益を図るため、その行う投資助言業務に関して取引の方針、取引の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした助言を行い、又はその行う投資運用業に関して運用の方針、運用財産の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした運用を行うこと。
en-us	(ii) giving advice in connection with the Investment Advisory Services it conducts, that would involve a transaction being conducted that is unnecessary in light of the transaction policy, the amount of the transaction, or the market conditions, or making an investment in connection with the Investment Management it conducts, that involves a transaction being conducted that is unnecessary in light of the investment policy, the amount of invested assets, or the market conditions, with the aim of benefitting from Business Activities Other Than Those of a Registered Financial Institution; and

ja-jp	三　前二号に掲げるもののほか、登録金融機関その他業務に関連して行う登録金融機関業務に係る行為で投資者の保護に欠け、若しくは取引の公正を害し、又は登録金融機関業務の信用を失墜させるものとして内閣府令で定める行為
en-us	(iii) any act other than what is set forth in the preceding two items, which is performed in connection with Business Activities Other Than Those of a Registered Financial Institution and which is specified by Cabinet Office Ordinance as resulting in insufficient investor protection, harming the fairness of transactions, or causing a loss of confidence in the Financial Instruments Business.

ja-jp	（親法人等又は子法人等が関与する行為の制限）
en-us	(Restriction on Acts Involving Parent Corporations, etc. or Subsidiary Corporations, etc.)

ja-jp	第四十四条の三　金融商品取引業者又はその役員若しくは使用人は、次に掲げる行為をしてはならない。ただし、公益又は投資者保護のため支障を生ずることがないと認められるものとして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 44-3 (1) It is prohibited for a Financial Services Provider, etc. or its officer or employee to perform any of the following acts; provided, however, that this does not apply if the approval of the Prime Minister is obtained for the relevant act as one that is found not to compromise the public interest or the protection of investors:

ja-jp	一　通常の取引の条件と異なる条件であつて取引の公正を害するおそれのある条件で、当該金融商品取引業者の親法人等又は子法人等と有価証券の売買その他の取引又は店頭デリバティブ取引を行うこと。
en-us	(i) conducting a purchase and sale or other transaction of Securities or an Over-the-Counter Derivatives Transaction with the Parent Corporation, etc. or Subsidiary Corporation, etc. of the Financial Services Provider, etc., under terms and conditions that are different from ordinary terms and conditions and that are likely to be detrimental to the fairness of transactions;

ja-jp	二　当該金融商品取引業者との間で第二条第八項各号に掲げる行為に関する契約を締結することを条件としてその親法人等又は子法人等がその顧客に対して信用を供与していることを知りながら、当該顧客との間で当該契約を締結すること。
en-us	(ii) concluding a contract with a customer for any of the acts set forth in the items of Article 2, paragraph (8), knowing that the Parent Corporation, etc. or Subsidiary Corporation, etc. of the Financial Services Provider, etc. has granted credit to the customer on the condition that said contract be concluded with the Financial Services Provider, etc.;

ja-jp	三　当該金融商品取引業者の親法人等又は子法人等の利益を図るため、その行う投資助言業務に関して取引の方針、取引の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした助言を行い、又はその行う投資運用業に関して運用の方針、運用財産の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした運用を行うこと。
en-us	(iii) giving advice in connection with the Investment Advisory Services it conducts, that would involve a transaction being conducted that is unnecessary in light of the transaction policy, the amount of the transaction, or the market conditions, or making an investment in connection with the Investment Management it conducts, that involves a transaction being conducted that is unnecessary in light of the investment policy, the amount of invested assets, or the market conditions, with the aim of benefitting the Parent Corporation, etc. or Subsidiary Corporation, etc. of the Financial Services Provider, etc.; and

ja-jp	四　前三号に掲げるもののほか、当該金融商品取引業者の親法人等又は子法人等が関与する行為であつて投資者の保護に欠け、若しくは取引の公正を害し、又は金融商品取引業の信用を失墜させるおそれのあるものとして内閣府令で定める行為
en-us	(iv) any act other than what is set forth in the preceding three items, which involves the Parent Corporation, etc. or Subsidiary Corporation, etc. of the Financial Services Provider, etc. and which is specified by Cabinet Office Ordinance as being likely to compromise the protection of investors, harm the fairness of transactions, or cause a loss of confidence in the Financial Instruments Business.

ja-jp	２　登録金融機関又はその役員若しくは使用人は、次に掲げる行為をしてはならない。ただし、公益又は投資者保護のため支障を生ずることがないと認められるものとして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	(2) It is prohibited for a registered financial institution or its officer or employee to perform any of the following acts; provided, however, that this does not apply if the approval of the Prime Minster is obtained for the relevant act as one that is found not to compromise the public interest or the protection of investors:

ja-jp	一　通常の取引の条件と異なる条件であつて取引の公正を害するおそれのある条件で、当該登録金融機関の親法人等又は子法人等と有価証券の売買その他の取引又は店頭デリバティブ取引を行うこと。
en-us	(i) conducting a purchase and sale or other transaction of Securities or an Over-the-Counter Derivatives Transaction with the Parent Corporation, etc. or Subsidiary Corporation, etc. of the registered financial institution, under terms and conditions that are different from ordinary terms and conditions and that are likely to be detrimental to the fairness of transactions;

ja-jp	二　その親法人等又は子法人等との間で第二条第八項各号に掲げる行為に関する契約を締結することを条件として当該登録金融機関がその顧客に対して信用を供与しながら、当該顧客との間で第三十三条第二項第四号ロに掲げる行為をすること。
en-us	(ii) performing the act specified in Article 33, paragraph (2), item (iv), sub-item (b) with a customer, while granting credit to the customer on the condition that a contract for any of the acts set forth in the items of Article 2, paragraph (8) be concluded with the Parent Corporation, etc. or Subsidiary Corporation, etc. of the registered financial institution;

ja-jp	三　当該登録金融機関の親法人等又は子法人等の利益を図るため、その行う投資助言業務に関して取引の方針、取引の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした助言を行い、又はその行う投資運用業に関して運用の方針、運用財産の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした運用を行うこと。
en-us	(iii) giving advice in connection with the Investment Advisory Services it conducts, that would involve a transaction being conducted that is unnecessary in light of the transaction policy, the amount of the transaction, or the market conditions, or making an investment in connection with the Investment Management it conducts, that involves a transaction being conducted that is unnecessary in light of the investment policy, the amount of invested assets, or the market conditions, with the aim of benefitting the Parent Corporation, etc. or Subsidiary Corporation, etc. of the registered financial institution; and

ja-jp	四　前三号に掲げるもののほか、当該登録金融機関の親法人等又は子法人等が関与する行為であつて投資者の保護に欠け、若しくは取引の公正を害し、又は登録金融機関業務の信用を失墜させるおそれのあるものとして内閣府令で定める行為
en-us	(iv) any act other than what is set forth in the preceding three items, which involves the Parent Corporation, etc. or Subsidiary Corporation, etc. of the registered financial institution and which is specified by Cabinet Office Ordinance as being likely to compromise the protection of investors, harm the fairness of transactions, or cause a loss of confidence in the business of the registered financial institution.

ja-jp	（引受人の信用供与の制限）
en-us	(Restriction on Credit Granting by the Underwriter)

ja-jp	第四十四条の四　有価証券の引受人となつた金融商品取引業者は、当該有価証券を売却する場合において、引受人となつた日から六月を経過する日までは、その買主に対し買入代金につき貸付けその他信用の供与をしてはならない。
en-us	Article 44-4 If a Financial Services Provider that has become an Underwriter of Securities sells said Securities, it must not lend money or otherwise grant credit for the purchase price to the purchaser of the Securities until six months have elapsed since the day on which the Financial Services Provider became an Underwriter.

ja-jp	第六款　雑則
en-us	Subsection 6 Miscellaneous Provisions

ja-jp	第四十五条　次の各号に掲げる規定は、当該各号に定める者が特定投資家である場合には、適用しない。ただし、公益又は特定投資家の保護のため支障を生ずるおそれがあるものとして内閣府令で定める場合は、この限りでない。
en-us	Article 45 The provisions set forth in each of the following items do not apply if the person specified in the relevant item is a Professional Investor; provided, however, that this does not apply to the cases specified by Cabinet Office Ordinance as those in which the public interest or the protection of Professional Investors could be compromised:

ja-jp	一　第三十七条、第三十八条第四号から第六号までまで及び第四十条第一号　金融商品取引業者等が行う金融商品取引契約の締結の勧誘の相手方
en-us	(i) Article 37; Article 38, items (iv) to (vi) inclusive; and Article 40, item (i): the other party that the Financial Services Provider, etc. solicits to conclude a Financial Instruments Transaction Contract;

ja-jp	二　第三十七条の二から第三十七条の六まで、第四十条の二第四項及び第四十三条の四　金融商品取引業者等が申込みを受け、又は締結した金融商品取引契約の相手方
en-us	(ii) Articles 37-2 to 37-6 inclusive; Article 40-2, paragraph (4); and Article 43-4: the other party to a Financial Instruments Transaction Contract for which a Financial Services Provider, etc. has received an offer or which a Financial Services Provider, etc. has concluded;

ja-jp	三　第四十一条の四及び第四十一条の五　金融商品取引業者等が締結した投資顧問契約の相手方
en-us	(iii) Article 41-4 and Article 41-5: the other party to an Investment Advisory Contract concluded by a Financial Services Provider, etc.; and

ja-jp	四　第四十二条の五から第四十二条の七まで　金融商品取引業者等が締結した投資一任契約の相手方
en-us	(iv) Articles 42-5 to 42-7 inclusive: the other party to a Discretionary Investment Contract concluded by a Financial Services Provider, etc.

ja-jp	第三節　経理
en-us	Section 3 Accounting

ja-jp	第一款　第一種金融商品取引業を行う金融商品取引業者
en-us	Subsection 1 Financial Services Providers Engaged in Type I Financial Instruments Business

ja-jp	第四十六条　金融商品取引業者（第一種金融商品取引業を行う者に限る。以下この款において同じ。）の事業年度は、四月一日から翌年三月三十一日までとする。
en-us	Article 46 The business year of a Financial Services Provider (limited to one that is engaged in Type I Financial Instruments Business; hereinafter the same applies in this Subsection) is from April 1 to March 31 of the following year.

ja-jp	（業務に関する帳簿書類）
en-us	(Business Books and Documents)

ja-jp	第四十六条の二　金融商品取引業者は、内閣府令で定めるところにより、その業務に関する帳簿書類を作成し、これを保存しなければならない。
en-us	Article 46-2 A Financial Services Provider shall prepare and archive its business books and documents pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	（事業報告書の提出等）
en-us	(Submission, etc. of Business Reports)

ja-jp	第四十六条の三　金融商品取引業者は、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 46-3 (1) Each business year, pursuant to the provisions of Cabinet Office Ordinance, a Financial Services Provider shall prepare a business report and submit it to the Prime Minister within three months after the end of the business year.

ja-jp	２　金融商品取引業者は、前項の規定により事業報告書を提出するほか、内閣府令で定めるところにより、その業務又は財産の状況を内閣総理大臣に報告しなければならない。
en-us	(2) In addition to submitting a business report pursuant to the provisions of the preceding paragraph, a Financial Services Provider shall report the state of its business and assets to the Prime Minister pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	３　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、金融商品取引業者に対し、政令で定めるところにより、第一項の事業報告書の全部又は一部の公告を命ずることができる。
en-us	(3) If the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister, pursuant to the provisions of Cabinet Order, may order a Financial Services Provider to issue public notice of all or part of the business report referred to in paragraph (1).

ja-jp	（説明書類の縦覧）
en-us	(Public Inspection of Explanatory Documents)

ja-jp	第四十六条の四　金融商品取引業者は、事業年度ごとに、業務及び財産の状況に関する事項として内閣府令で定めるものを記載した説明書類を作成し、毎事業年度経過後政令で定める期間を経過した日から一年間、これをすべての営業所又は事務所に備え置き、公衆の縦覧に供しなければならない。
en-us	Article 46-4 Each business year, a Financial Services Provider shall prepare explanatory documents stating the particulars specified by Cabinet Office Ordinance as pertinent to the state of its business and assets, and shall keep those explanatory documents at all of its business offices and offices and make them available for public inspection during the one–year period beginning from the day on which the period specified by Cabinet Order elapses following the end of each business year.

ja-jp	（金融商品取引責任準備金）
en-us	(Financial Instruments Transaction Liability Reserves)

ja-jp	第四十六条の五　金融商品取引業者は、有価証券の売買その他の取引又はデリバティブ取引等の取引量に応じ、内閣府令で定めるところにより、金融商品取引責任準備金を積み立てなければならない。
en-us	Article 46-5 (1) A Financial Services Provider shall lay aside financial instruments transaction liability reserves, pursuant to the provisions of Cabinet Office Ordinance, in proportion to the transaction volume of the purchases and sales and other transactions of Securities and Derivatives Transactions, etc.

ja-jp	２　前項の金融商品取引責任準備金は、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関して生じた事故による損失の補てんに充てる場合その他内閣府令で定める場合のほか、使用してはならない。
en-us	(2) The financial instruments transaction liability reserves referred to in the preceding paragraph must not be used other than when allocated to cover a loss that arises due to problematic conduct in connection with a purchase and sale or other transaction of Securities or a Derivatives Transaction, etc., or in cases otherwise specified by Cabinet Office Ordinance.

ja-jp	（自己資本規制比率）
en-us	(Capital Adequacy Ratio)

ja-jp	第四十六条の六　金融商品取引業者は、資本金、準備金その他の内閣府令で定めるものの額の合計額から固定資産その他の内閣府令で定めるものの額の合計額を控除した額の、保有する有価証券の価格の変動その他の理由により発生し得る危険に対応する額として内閣府令で定めるものの合計額に対する比率（以下「自己資本規制比率」という。）を算出し、毎月末及び内閣府令で定める場合に、内閣総理大臣に届け出なければならない。
en-us	Article 46-6 (1) A Financial Services Provider must calculate the ratio of the sum total of its stated capital, reserve funds, and other amounts specified by Cabinet Office Ordinance less the sum total of its fixed assets and any other things specified by Cabinet Office Ordinance, to the sum total of the amount specified by Cabinet Office Ordinance as the amount for covering possible risks which may arise due to fluctuations in the prices of the Securities held or due to other reasons (hereinafter referred to as the "Capital Adequacy Ratio"), and notify the Prime Minister of this ratio at the end of each month and in the cases specified by Cabinet Office Ordinance.

ja-jp	２　金融商品取引業者は、自己資本規制比率が百二十パーセントを下回ることのないようにしなければならない。
en-us	(2) A Financial Services Provider must not allow its Capital Adequacy Ratio to fall below 120 percent.

ja-jp	３　金融商品取引業者は、毎年三月、六月、九月及び十二月の末日における自己資本規制比率を記載した書面を作成し、当該末日から一月を経過した日から三月間、すべての営業所又は事務所に備え置き、公衆の縦覧に供しなければならない。
en-us	(3) A Financial Services Provider shall prepare documents stating its Capital Adequacy Ratio as of the last day of March, June, September, and December every year, keep them at all of its business offices and offices, and make them available for public inspection for the three-month period starting from the day on which one month has elapsed since the last day of the relevant month.

ja-jp	第二款　第一種金融商品取引業を行わない金融商品取引業者
en-us	Subsection 2 Financial Services Providers Not Engaged in Type I Financial Instruments Business

ja-jp	（業務に関する帳簿書類）
en-us	(Business Books and Documents)

ja-jp	第四十七条　金融商品取引業者（第一種金融商品取引業を行う者を除く。以下この款において同じ。）は、内閣府令で定めるところにより、その業務に関する帳簿書類を作成し、これを保存しなければならない。
en-us	Article 47 A Financial Services Provider (other than one that is engaged in Type I Financial Instruments Business; hereinafter the same applies in this Subsection) shall prepare and archive its business books and documents pursuant to the provisions of Cabinet Office Ordinance.

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

ja-jp	第四十七条の二　金融商品取引業者は、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 47-2 Each business year, pursuant to the provisions of Cabinet Office Ordinance, a Financial Services Provider shall prepare a business report and submit it to the Prime Minister within three months after the end of the business year.

ja-jp	（説明書類の縦覧）
en-us	(Public Inspection of Explanatory Documents)

ja-jp	第四十七条の三　金融商品取引業者は、内閣府令で定めるところにより、事業年度ごとに、前条の事業報告書に記載されている事項のうち投資者保護のため必要と認められるものとして内閣府令で定めるものを記載した説明書類を作成し、毎事業年度経過後政令で定める期間を経過した日から一年間、これをすべての営業所又は事務所に備え置き、公衆の縦覧に供しなければならない。
en-us	Article 47-3 Each business year, pursuant to the provisions of Cabinet Office Ordinance, a Financial Services Provider shall prepare explanatory documents stating those of the particulars stated in the business report referred to in the preceding Article which are specified by Cabinet Office Ordinance as particulars that are found to be necessary in terms of investor protection, and shall keep them at all of its business offices and offices and make them available for public inspection during the one–year period beginning from the day on which the period specified by Cabinet Order elapses following the end of each business year.

ja-jp	第三款　登録金融機関
en-us	Subsection 3 Registered Financial Institutions

ja-jp	（業務に関する帳簿書類）
en-us	(Business Books and Documents)

ja-jp	第四十八条　登録金融機関は、内閣府令で定めるところにより、その業務に関する帳簿書類を作成し、これを保存しなければならない。
en-us	Article 48 A registered financial institution shall prepare and archive its business books and documents pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	（事業報告書の提出等）
en-us	(Submission, etc. of Business Reports)

ja-jp	第四十八条の二　登録金融機関は、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 48-2 (1) Each business year, pursuant to the provisions of Cabinet Office Ordinance, a registered financial institution shall prepare a business report and submit it to the Prime Minister within three months after the end of the business year.

ja-jp	２　登録金融機関は、前項の規定により事業報告書を提出するほか、内閣府令で定めるところにより、その業務又は財産の状況を内閣総理大臣に報告しなければならない。
en-us	(2) In addition to submitting a business report pursuant to the provisions of the preceding paragraph, a registered financial institution shall report the state of its business and assets to the Prime Minister pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	３　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、登録金融機関に対し、政令で定めるところにより、第一項の事業報告書の全部又は一部の公告を命ずることができる。
en-us	(3) If the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister, pursuant to the provisions of Cabinet Order, may order a registered financial institution to give public notice of all or part of the business report under paragraph (1).

ja-jp	（金融商品取引責任準備金）
en-us	(Financial Instruments Transaction Liability Reserves)

ja-jp	第四十八条の三　登録金融機関は、有価証券の売買その他の取引又はデリバティブ取引等の取引量に応じ、内閣府令で定めるところにより、金融商品取引責任準備金を積み立てなければならない。
en-us	Article 48-3 (1) A registered financial institution shall lay aside financial instruments transaction liability reserves, pursuant to the provisions of Cabinet Office Ordinance, in proportion to the transaction volume of the purchases and sales and other transactions of Securities and Derivatives Transactions, etc.

ja-jp	２　前項の金融商品取引責任準備金は、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関して生じた事故による損失の補てんに充てる場合その他内閣府令で定める場合のほか、使用してはならない。
en-us	(2) The financial instruments transaction liability reserves referred to in the preceding paragraph must not be used other than when allocated to cover a loss that arises due to problematic conduct involving a purchase and sale or other transaction of Securities or a Derivatives Transaction, etc., or in cases otherwise specified by Cabinet Office Ordinance.

ja-jp	第四款　外国法人等に対する特例
en-us	Subsection 4 Special Provisions for Foreign Corporations, etc.

ja-jp	第四十九条　第四十六条の規定は、金融商品取引業者が外国法人である場合については、適用しない。
en-us	Article 49 The provisions of Article 46 do not apply if a Financial Services Provider is a foreign corporation.

ja-jp	（事業報告書の提出等に関する特例）
en-us	(Special Provisions on the Submission of Business Reports)

ja-jp	第四十九条の二　金融商品取引業者が外国法人である場合における第四十六条の三第一項の規定の適用については、同項中「事業年度ごとに」とあるのは「毎年四月一日から翌年三月三十一日までの期間ごとに」と、「毎事業年度経過後三月以内」とあるのは「当該期間経過後政令で定める期間内」とする。
en-us	Article 49-2 (1) With regard to the application of Article 46-3, paragraph (1) if a Financial Services Provider is a foreign corporation, in that paragraph, the phrase "Each business year" is deemed to be replaced with "For each period from April 1 to March 31 of the following year" and the phrase "within three months after the end of the business year" is deemed to be replaced with "within the period specified by Cabinet Order after the period from April 1 to March 31 of the following year has elapsed".

ja-jp	２　金融商品取引業者が外国法人である場合における第四十六条の四の規定の適用については、同条中「事業年度ごとに」とあるのは「毎年四月一日から翌年三月三十一日までの期間ごとに」と、「毎事業年度経過後」とあるのは「当該期間経過後」とする。
en-us	(2) With regard to the application of Article 46-4 if a Financial Services Provider is a foreign corporation, the term "Each business year" in that Article is deemed to be replaced with "For each period from April 1 to March 31 of the following year"; and the term "from the end of the business year" in that Article is deemed to be replaced with "after the end of that period."

ja-jp	３　金融商品取引業者が外国法人である場合における第四十六条の六第一項の規定の適用については、同項中「資本金」とあるのは「持込資本金」と、「準備金」とあるのは「国内の営業所又は事務所において積み立てられた準備金」と、「固定資産」とあるのは「国内の営業所又は事務所における固定資産」とする。
en-us	(3) With regard to the application of Article 46-6, paragraph (1) if a Financial Services Provider is a foreign corporation, in that paragraph, the term "stated capital" is deemed to be replaced with "brought-in capital" the term "reserve funds" is deemed to be replaced with "reserve funds laid aside in its business offices and offices in Japan", and the term "fixed assets" is deemed to be replaced with "fixed assets of its business offices and offices in Japan".

ja-jp	４　金融商品取引業者が外国法人又は外国に住所を有する個人である場合における第四十七条の二の規定及び登録金融機関が外国法人である場合における第四十八条の二第一項の規定の適用については、これらの規定中「三月以内」とあるのは、「政令で定める期間内」とする。
en-us	(4) With regard to the application of Article 47-2 if a Financial Services Provider is a foreign corporation or an individual domiciled in a foreign state, and with regard to the application of Article 48-2, paragraph (1) if a registered financial institution is a foreign corporation, in those provisions, the phrase "within three months" is deemed to be replaced with "within the period specified by Cabinet Order".

ja-jp	（その他の書類等の提出等）
en-us	(Submission of Other Documents)

ja-jp	第四十九条の三　金融商品取引業者（第一種金融商品取引業を行う外国法人に限る。以下この款において同じ。）は、内閣府令で定めるところにより、事業年度ごとに、その行う業務の全部に関し作成した貸借対照表、損益計算書その他財務計算に関する書類及び当該事業年度における業務の概要を記載した書面を、当該事業年度経過後政令で定める期間内に、内閣総理大臣に提出しなければならない。
en-us	Article 49-3 (1) Each business year, pursuant to the provisions of Cabinet Office Ordinance, a Financial Services Provider (but only a foreign corporation engaged in Type I Financial Instruments Business; hereinafter the same applies in this Subsection) shall submit a balance sheet, profit and loss statement, and other financial accounting documents prepared in connection with all of its business, as well as documents summarizing business in the relevant business year, to the Prime Minister within the period specified by Cabinet Order after the end of that business year.

ja-jp	２　金融商品取引業者は、前項の規定により書類及び書面を提出するほか、内閣府令で定めるところにより、当該金融商品取引業者の業務又は財産の状況を内閣総理大臣に報告しなければならない。
en-us	(2) In addition to submitting documents pursuant to the provisions of the preceding paragraph, a Financial Services Provider shall report the state of its business and assets to the Prime Minister pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	（損失準備金）
en-us	(Reserves for Loss)

ja-jp	第四十九条の四　金融商品取引業者は、内閣府令で定めるところにより、第二十九条の四第一項第四号の政令で定める金額に達するまでは、その金融商品取引業を行うため国内に設けるすべての営業所又は事務所（次項及び次条において「すべての営業所又は事務所」という。）の業務に係る利益の額に十分の一を超えない範囲内で内閣府令で定める率を乗じた額以上の額を、損失準備金としてその国内における主たる営業所又は事務所において積み立てなければならない。
en-us	Article 49-4 (1) Until the amount of money specified by Cabinet Order as referred to in Article 29-4, paragraph (1), item (iv) is reached, a Financial Services Provider shall lay aside reserves for loss at its principal business office or office in Japan, pursuant to the provisions of Cabinet Office Ordinance, in at least the amount arrived at by multiplying the amount of profit from the business conducted at all business offices and offices in Japan that it has established for the purpose of engaging in the Financial Instruments Business (hereinafter referred to as "All Business Offices and Offices" in the following paragraph and following Article), by the rate of no more than ten percent that is specified by Cabinet Office Ordinance.

ja-jp	２　前項の損失準備金は、内閣総理大臣の承認を受けて当該金融商品取引業者のすべての営業所又は事務所の業務に係る純損失の補てんに充てる場合のほか、使用してはならない。
en-us	(2) The reserves for loss referred to in the preceding paragraph must not be used other than when allocated to cover a net loss linked to the business of All Business Offices and Offices of the Financial Services Provider, with the approval of the Prime Minister.

ja-jp	（資産の国内保有）
en-us	(Retention of Assets Within Japan)

ja-jp	第四十九条の五　金融商品取引業者は、内閣府令で定めるところにより、金融商品取引責任準備金の額、損失準備金の額及びそのすべての営業所又は事務所の計算に属する負債のうち政令で定めるものの額を合計した金額に相当する資産を、国内において保有しなければならない。
en-us	Article 49-5 Pursuant to the provisions of Cabinet Office Ordinance, a Financial Services Provider must retain assets equivalent to the sum total of its financial instruments transaction liability reserves, reserves for loss, and the amount of liability on the accounts of All Business Offices and Offices as specified by Cabinet Order, in Japan.

ja-jp	第四節　監督
en-us	Section 4 Supervision

ja-jp	（休止等の届出）
en-us	(Notification of Suspension)

ja-jp	第五十条　金融商品取引業者等は、次の各号のいずれかに該当することとなつたときは、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	Article 50 (1) If a Financial Services Provider, etc. comes to fall under one of the following items, it must notify the Prime Minister of this without delay:

ja-jp	一　業務（金融商品取引業又は登録金融機関業務（以下この節において「金融商品取引業等」という。）に限る。）を休止し、又は再開したとき（第三十条第一項の認可を受けた金融商品取引業者にあつては、当該認可に係る業務を休止し、又は再開したときを含む。）。
en-us	(i) it suspends its business (limited to Financial Instruments Business or services of a registered financial institution (hereinafter referred to as "Financial Transaction Business, etc." in this Section) or resumes business (with regard to a Financial Services Provider that has obtained the authorization referred to in Article 30, paragraph (1), this includes if it suspends or resumes the business subject to said authorization);

ja-jp	二　第三十条第一項の認可に係る業務を廃止したとき。
en-us	(ii) it discontinues business that was under the authorization referred to in Article 30, paragraph (1);

ja-jp	三　金融商品取引業者である法人が、他の法人と合併したとき（当該金融商品取引業者である法人が合併により消滅したときを除く。）、分割により他の法人の事業（金融商品取引業等に係るものに限る。以下この号及び次条において同じ。）の全部若しくは一部を承継したとき、又は他の法人から事業の全部若しくは一部を譲り受けたとき。
en-us	(iii) the Financial Services Provider is a corporation, and that corporation merges with another corporation (excluding if the Financial Services Provider is a corporation and that corporation disappears in the merger), succeeds to all or part of another corporation's business undertakings (limited to those in the Financial Instruments Business, etc.; hereinafter the same applies in this item and the following Article) in a company split, or acquires all or part of another corporation's business;

ja-jp	四　金融商品取引業者（有価証券関連業を行う者に限る。次号において同じ。）が、銀行、協同組織金融機関その他政令で定める金融機関、外国においてこれらの者が行う業務と同種類の業務を行う法人、金融商品取引業者（法人である場合に限る。）、金融商品取引業を行う外国の法人その他内閣府令で定める法人（同号及び第五十六条の二第一項において「銀行等」という。）について、その総株主等の議決権の過半数を取得し、又は保有したとき。
en-us	(iv) the Financial Services Provider (limited to one engaged in Securities Services; the same applies in the following item) acquires or comes to hold the majority of all shareholders', etc. voting rights in a bank, a Cooperative Financial Institution, or any other financial institution specified by Cabinet Order; in a corporation in a foreign state that engages in the same kind of business as that conducted by such persons; or in a Financial Services Provider (limited to a corporation), a foreign corporation that engages in Financial Instruments Business, or any other corporation specified by Cabinet Office Ordinance (collectively referred to as a "Bank, etc." in the following item and Article 56-2, paragraph (1));

ja-jp	五　金融商品取引業者が、その総株主等の議決権の過半数を保有している銀行等についてその総株主等の議決権の過半数を保有しないこととなつたとき、又は当該銀行等が合併し、解散し、若しくは業務の全部を廃止したとき。
en-us	(v) the Financial Services Provider comes to no longer hold the majority of all shareholders', etc. voting rights in a Bank, etc. in which it used to hold the majority of all shareholders', etc. voting rights, or such Bank, etc. merges, is dissolved, or discontinues the whole of its business;

ja-jp	六　金融商品取引業者（第一種金融商品取引業又は投資運用業を行う者に限る。）の総株主等の議決権の過半数が他の一の法人その他の団体によつて保有されることとなつたとき。
en-us	(vi) the majority of all shareholders', etc. voting rights in the Financial Services Provider (limited to one engaged in Type I Financial Instruments Business or Investment Management) has come to be held by another corporation or other organization;

ja-jp	七　破産手続開始、再生手続開始又は更生手続開始の申立てを行つたとき。
en-us	(vii) it files a petition to commence bankruptcy proceedings, rehabilitation proceedings, or reorganization proceedings; or

ja-jp	八　その他内閣府令で定める場合に該当するとき。
en-us	(viii) it falls under any other case specified by Cabinet Office Ordinance.

ja-jp	２　前項第四号に規定する総株主等の議決権の過半数の保有の判定に関し必要な事項は、その保有の態様その他の事情を勘案して、内閣府令で定める。
en-us	(2) Necessary particulars relevant to the determination of whether the majority of all shareholders', etc. voting rights are held as prescribed in item (iv) of the preceding paragraph are specified by Cabinet Office Ordinance in consideration of the manner in which they are held and other circumstances.

ja-jp	（廃業等の届出等）
en-us	(Notification of Business Discontinuance)

ja-jp	第五十条の二　金融商品取引業者等が次の各号のいずれかに該当することとなつたときは、当該各号に定める者は、その日から三十日以内に、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 50-2 (1) If a Financial Services Provider, etc. comes to fall under one of the following items, the person specified in that item must notify the Prime Minister of this within 30 days from the day in question:

ja-jp	一　金融商品取引業者である個人が死亡したとき　その相続人
en-us	(i) the Financial Services Provider is an individual, and that individual dies: the heir;

ja-jp	二　金融商品取引業等を廃止したとき　その法人又は個人
en-us	(ii) the Financial Services Provider, etc. discontinues Financial Instruments Business, etc.: that corporation or individual;

ja-jp	三　金融商品取引業者等である法人が合併により消滅したとき　その法人を代表する役員であつた者
en-us	(iii) the Financial Services Provider, etc. is a corporation, and that corporation disappears in a merger: the officer that represented the corporation;

ja-jp	四　金融商品取引業者等である法人が破産手続開始の決定により解散したとき　その破産管財人
en-us	(iv) the Financial Services Provider, etc. is a corporation, and that corporation is dissolved due to an order to commence bankruptcy proceedings: the bankruptcy trustee;

ja-jp	五　金融商品取引業者等である法人が合併及び破産手続開始の決定以外の理由により解散したとき　その清算人
en-us	(v) the Financial Services Provider, etc. is a corporation, and that corporation is dissolved for reasons other than a merger or an order to commence bankruptcy proceedings: the liquidator;

ja-jp	六　金融商品取引業者等である法人が分割により事業の全部又は一部を承継させたとき　その法人
en-us	(vi) the Financial Services Provider, etc. is a corporation, and that corporation has the whole or part of its business succeeded to in a company split: that corporation; or

ja-jp	七　事業の全部又は一部を譲渡したとき　その法人又は個人
en-us	(vii) the Financial Services Provider, etc. transfers the whole or part of its business: that corporation or individual.

ja-jp	２　金融商品取引業者等が前項各号のいずれかに該当することとなつたとき（同項第六号にあつては分割により事業の全部を承継させたとき、同項第七号にあつては事業の全部を譲渡したときに限る。）は、当該金融商品取引業者等の第二十九条又は第三十三条の二の登録は、その効力を失う。
en-us	(2) If a Financial Services Provider, etc. comes to fall under one of the items of the preceding paragraph (in item (vi) of the preceding paragraph, this is only if a Financial Services Provider, etc. has the whole of its business succeeded to in a company split, and in item (vii) of the preceding paragraph, this is only if a Financial Services Provider, etc. transfers the whole of its business), the Article 29 or Article 33-2 registration of the Financial Services Provider, etc. ceases to be valid.

ja-jp	３　金融商品取引業者である個人（投資助言業務を行う者に限る。）が死亡した場合においては、相続人は被相続人の死亡後六十日間（当該期間内に第二十九条の四第一項の規定による登録の拒否の処分があつたとき、又は次項の規定により読み替えて適用する第五十二条第一項の規定により金融商品取引業（投資助言業務に限る。以下この項から第五項までにおいて同じ。）の廃止を命じられたときは、当該処分のあつた日又は当該廃止を命じられた日までの間。以下この項において「継続業務期間」という。）は、引き続き金融商品取引業を行うことができる。相続人が継続業務期間内に第二十九条の登録（当該相続人が金融商品取引業者である場合にあつては、第三十一条第四項の変更登録。以下この項において同じ。）の申請をした場合において、当該継続業務期間を経過したときは、その申請について登録又は登録の拒否の処分があるまでの間も、同様とする。
en-us	(3) If a Financial Services Provider is an individual (limited to one engaged in Investment Advisory Services) and that individual dies, the heir may continue to engage in Financial Transaction Business for 60 days after the death of the decedent (if, during that period, a disposition to refuse registration under Article 29-4, paragraph (1) is reached or the discontinuation of Financial Instruments Business (limited to Investment Advisory Services; hereinafter the same applies in this paragraph to paragraph (5) inclusive) is ordered pursuant to Article 52, paragraph (1) as it applies through the replacement of certain terms pursuant to the provisions of the following paragraph, the heir may continue to engage in Financial Instruments Business until the day on which the disposition is reached or the discontinuation is ordered; hereinafter referred to as the "Business Continuation Period" in this paragraph). The same applies until a disposition to make a registration or deny a registration in connection with an application is reached, if the heir files an application for the registration referred to in Article 29 (or, if the heir is a Financial Services Provider and files an application for the registration of a change referred to in Article 31, paragraph (4); hereinafter the same applies in this paragraph) during the Business Continuation Period and the Business Continuation Period elapses.

ja-jp	４　前項の規定により引き続き金融商品取引業を行うことができる場合においては、相続人を金融商品取引業者（投資助言業務を行う者に限る。）とみなして、第三十六条から第三十六条の三まで、第三十七条、第三十七条の三、第三十七条の四、第三十七条の六から第三十八条の二まで、第四十条、第四十一条から第四十一条の五まで、第四十四条から第四十四条の三まで、第四十五条、第四十七条から第四十七条の三まで、第四十九条の二第四項、第四十九条の四、第四十九条の五、次条、第五十二条第一項（第一号又は第六号から第九号までに係る部分に限る。）、第四項若しくは第五項又は第五十六条の二（第一項、第三項又は第四項に限る。）の規定（これらの規定に係る罰則を含む。）を適用する。この場合において、第五十二条第一項中「第二十九条の登録を取り消し」とあるのは、「金融商品取引業の廃止を命じ」とする。
en-us	(4) If it is permissible for an heir to continue engaging in Financial Transaction Business pursuant to the provisions of the preceding paragraph, the heir is deemed to be a Financial Services Provider (limited to one engaged in Investment Advisory Services), and the provisions of Articles 36 to 36-3 inclusive; Article 37; Article 37-3; Article 37-4; Articles 37-6 to 38-2 inclusive; Article 40; Articles 41 to 41-5 inclusive; Articles 44 to 44-3 inclusive; Article 45; Articles 47 to 47-3 inclusive; Article 49-2, paragraph (4); Article 49-4; Article 49-5; Article 51; Article 52, paragraph (1) (limited to the part that involves item (i) and items (vi) to (ix) inclusive); Article 52, paragraph (4) or (5); and Article 56-2 (limited to paragraph (1), (3) or (4)) (including the penal provisions linked with these provisions) apply. In this case, in Article 52, paragraph (1), the term "rescind its Article 29 registration" is deemed to be replaced with "order the discontinuation of Financial Transaction Business".

ja-jp	５　前項の規定により読み替えて適用する第五十二条第一項の規定により金融商品取引業の廃止が命じられた場合における第二十九条の四第一項の規定の適用については、当該廃止を命じられた相続人を第五十二条第一項の規定により第二十九条の登録を取り消された者と、当該廃止を命じられた日を同項の規定による同条の登録の取消しの日とみなす。
en-us	(5) With regard to the application of the provisions of Article 29-4, paragraph (1) if the discontinuation of Financial Instruments Business is ordered pursuant to Article 52, paragraph (1) as it applies through the replacement of certain terms pursuant to the provisions of the preceding paragraph, the heir that is subject to the order for discontinuation is deemed to be a person that has had the registration referred to in Article 29 rescinded pursuant to the provisions of Article 52, paragraph (1), and the day on which the discontinuation is ordered is deemed to be the day on which the registration referred to in Article 29 is rescinded pursuant to the provisions of Article 52, paragraph (1).

ja-jp	６　金融商品取引業者等は、金融商品取引業等（投資助言・代理業を除く。第八項及び第五十六条第一項において同じ。）の廃止をし、合併（当該金融商品取引業者等が合併により消滅する場合の当該合併に限る。）をし、合併及び破産手続開始の決定以外の理由による解散をし、分割による事業の全部若しくは一部の承継をさせ、又は事業の全部若しくは一部の譲渡をしようとするときは、その日の三十日前までに、内閣府令で定めるところにより、その旨を公告するとともに、すべての営業所又は事務所の公衆の目につきやすい場所に掲示しなければならない。
en-us	(6) If a Financial Services Provider, etc. seeks to discontinue Financial Transaction Business, etc. (excluding Investment Advisory and Agency Services; the same applies in paragraph (8) and Article 56, paragraph (1)), to implement a merger (limited to a merger in which the Financial Services Provider, etc. disappears), to dissolve for reasons other than merger or an order to commence bankruptcy proceedings, to have all or part of its business succeeded to in a company split, or to transfer all or part of its business, it must issue public notice of this and post a notice in a place easily seen by the public at all of its business offices and offices pursuant to the provisions of Cabinet Office Ordinance, by 30 days prior to the day on which it does so.

ja-jp	７　金融商品取引業者等は、前項の規定による公告をしたときは、直ちに、その旨を内閣総理大臣に届け出なければならない。
en-us	(7) If a Financial Services Provider, etc. issues a public notice under the preceding paragraph, it must notify the Prime Minister of this immediately.

ja-jp	８　金融商品取引業者等は、第六項の規定による公告をした場合（合併、分割による事業の全部又は一部の承継及び事業の全部又は一部の譲渡に係る公告をした場合を除く。）においては、当該金融商品取引業者等が行つた有価証券の売買その他の取引及びデリバティブ取引等（第五十六条及び第五十七条の九において「顧客取引」という。）を、速やかに結了し、かつ、金融商品取引業等に関し顧客から預託を受けた財産及びその計算において自己が占有する財産を、遅滞なく返還しなければならない。
en-us	(8) If a Financial Services Provider, etc. issues a public notice under paragraph (6) (unless it issues that public notice in connection with the succession of the whole or part of its business upon merger or in a company split or in connection with the transfer of the whole or part of its business), the Financial Services Provider, etc. must promptly complete the sales and purchases and other transactions of Securities and Derivatives Transactions, etc. it is conducting (referred to as "Customer Transactions" in Article 56 and Article 57-9) and return the assets that customers have deposited with it in connection with its Financial Instruments Business, etc. and the assets on its customers' accounts that are in its possession without delay.

ja-jp	９　会社法第九百四十条第一項（第一号に係る部分に限る。）及び第三項の規定は、金融商品取引業者等（会社に限る。）が電子公告（同法第二条第三十四号に規定する電子公告をいう。以下同じ。）により第六項の規定による公告をする場合について準用する。この場合において、必要な技術的読替えは、政令で定める。
en-us	(9) The provisions of Article 940, paragraph (1) (limited to the part that involves item (i)) and Article 940, paragraph (3) of the Companies Act apply mutatis mutandis if a Financial Services Provider, etc. (limited to one that is a company) issues a public notice under paragraph (6) through an Electronic Public Notice (meaning an Electronic Public Notice as provided for in Article 2, item (xxxiv) of that Act; the same applies hereinafter). The necessary technical replacement of terms for such a case is specified by Cabinet Order.

ja-jp	１０　会社法第九百四十条第一項（第一号に係る部分に限る。）及び第三項、第九百四十一条、第九百四十六条、第九百四十七条、第九百五十一条第二項、第九百五十三条並びに第九百五十五条の規定は、金融商品取引業者等（外国会社に限る。）が電子公告により第六項の規定による公告をする場合について準用する。この場合において、必要な技術的読替えは、政令で定める。
en-us	(10) The provisions of Article 940, paragraph (1) (limited to the part that involves item (i)) of the Companies Act and Article 940, paragraph (3); Article 941; Article 946; Article 947; Article 951; paragraph (2); Article 953; and Article 955 of that Act apply mutatis mutandis if a Financial Services Provider, etc. (limited to one that is a foreign company) issues a public notice under paragraph (6) through an Electronic Public Notice. The necessary technical replacement of terms for such a case is specified by Cabinet Order.

ja-jp	（金融商品取引業者に対する業務改善命令）
en-us	(Issuing a Business Improvement Order to a Financial Services Provider)

ja-jp	第五十一条　内閣総理大臣は、金融商品取引業者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、当該金融商品取引業者に対し、業務の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 51 If the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors as concerns a Financial Services Provider's business operations or the state of its assets, the Prime Minister, within the scope of this necessity, may order the Financial Services Provider to change its business methods or to otherwise take measures that are necessary for improving its business operations or the state of its assets.

ja-jp	（登録金融機関に対する業務改善命令）
en-us	(Issuing a Business Improvement Order to a Registered Financial Institution)

ja-jp	第五十一条の二　内閣総理大臣は、登録金融機関の業務の運営に関し、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、当該登録金融機関に対し、業務の方法の変更その他業務の運営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 51-2 If the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors as concerns a registered financial institution's business operations, the Prime Minister, within the scope of this necessity, may order the registered financial institution to change its business methods or to otherwise take measures that are necessary for improving its business operations.

ja-jp	（金融商品取引業者に対する監督上の処分）
en-us	(Supervisory Measures for Financial Services Providers)

ja-jp	第五十二条　内閣総理大臣は、金融商品取引業者が次の各号のいずれかに該当する場合においては、当該金融商品取引業者の第二十九条の登録を取り消し、第三十条第一項の認可を取り消し、又は六月以内の期間を定めて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 52 (1) If a Financial Services Provider falls under one of the following items, the Prime Minister may rescind its Article 29 registration, rescind its Article 30, paragraph (1) authorization, or order the suspension of all or a part of business activities during a fixed period of no longer than six months:

ja-jp	一　第二十九条の四第一項第一号、第二号又は第三号に該当することとなつたとき。
en-us	(i) it comes to fall under Article 29-4, paragraph (1), item (i), (ii), or (iii);

ja-jp	二　第一種金融商品取引業、第二種金融商品取引業又は投資運用業を行う金融商品取引業者が、第二十九条の四第一項第四号に該当することとなつたとき。
en-us	(ii) a Financial Services Provider engaged in Type I Financial Instruments Business, Type II Financial Transaction Business, or Investment Management comes to fall under Article 29-4, paragraph (1), item (iv);

ja-jp	三　第一種金融商品取引業又は投資運用業を行う金融商品取引業者が、第二十九条の四第一項第五号イ又はロに該当することとなつたとき。
en-us	(iii) a Financial Services Provider engaged in Type I Financial Transaction Business or Investment Management comes to fall under Article 29-4, paragraph (1), item (v), sub-item (a) or (b);

ja-jp	四　第一種金融商品取引業を行う金融商品取引業者が、第二十九条の四第一項第六号ロに該当することとなつたとき。
en-us	(iv) a Financial Services Provider engaged in Type I Financial Instruments Business comes to fall under Article 29-4, paragraph (1), item (vi), sub-item (b);

ja-jp	五　不正の手段により第二十九条の登録を受けたとき。
en-us	(v) it has received its Article 29 registration by wrongful means;

ja-jp	六　金融商品取引業又はこれに付随する業務に関し法令（第四十六条の六第二項を除く。）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。
en-us	(vi) it violates a law or regulation (other than Article 46-6, paragraph (2)) or a disposition by a government agency which is based on a law or regulation, in connection with the Financial Transaction Business or services incidental thereto;

ja-jp	七　業務又は財産の状況に照らし支払不能に陥るおそれがあるとき。
en-us	(vii) in light of the state of its business or assets, it is likely to become insolvent;

ja-jp	八　投資助言・代理業又は投資運用業の運営に関し、投資者の利益を害する事実があるとき。
en-us	(viii) a fact has occurred in connection with the operation of Investment Advisory and Agency Services or Investment Management, which is detrimental to the investors' interests;

ja-jp	九　金融商品取引業に関し、不正又は著しく不当な行為をした場合において、その情状が特に重いとき。
en-us	(ix) it commits a wrongful or extremely unjust act in connection with the Financial Instruments Business, and the circumstances surrounding this are particularly serious;

ja-jp	十　第三十条第一項の認可に付した条件に違反したとき。
en-us	(x) it violates the conditions attached to its Article 30, paragraph (1) authorization; or

ja-jp	十一　第三十条第一項の認可を受けた金融商品取引業者が第三十条の四第一号から第三号まで又は第五号に掲げる基準に適合しないこととなつたとき。
en-us	(xi) a Financial Services Provider that has obtained Article 30, paragraph (1) authorization becomes unable to satisfy the criteria set forth in Article 30-4, items (i) to (iii) inclusive or (v).

ja-jp	２　内閣総理大臣は、金融商品取引業者の役員（外国法人にあつては、国内における営業所若しくは事務所に駐在する役員又は国内における代表者に限る。以下この項及び次条第二項において同じ。）が、第二十九条の四第一項第二号イからトまでのいずれかに該当することとなつたとき、第二十九条の登録当時既に同号イからトまでのいずれかに該当していたことが判明したとき、又は前項第六号若しくは第八号から第十号までのいずれかに該当することとなつたときは、当該金融商品取引業者に対して、当該役員の解任を命ずることができる。
en-us	(2) If the officer of a Financial Services Provider (for a foreign corporation, this is limited to an officer stationed at its domestic business office or office and its domestic representative; hereinafter the same applies in this paragraph and paragraph (2) of the following Article) comes to fall under one of the categories in Article 29-4, paragraph (1), item (ii), sub-items (a) to (g) inclusive, is discovered to have fallen under one of the categories in sub-items (a) to (g) inclusive of that item at the time of the Article 29 registration, or comes to fall under one of the categories in item (vi) or items (viii) to (x) inclusive of the preceding paragraph, the Prime Minister may order the Financial Services Provider to dismiss that officer.

ja-jp	３　第三十条第一項の認可を受けた金融商品取引業者が第五十条第一項第二号に該当することとなつたとき、又は当該金融商品取引業者の第二十九条の登録が第五十条の二第二項の規定によりその効力を失つたとき若しくは第一項、次項、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取り消されたときは、当該認可は、その効力を失う。
en-us	(3) If a Financial Services Provider that has obtained Article 30, paragraph (1) authorization comes to fall under Article 50, paragraph (1), item (ii), or if the Article 29 registration of the Financial Services Provider loses its validity pursuant to the provisions of Article 50-2, paragraph (2) or is rescinded pursuant to the provisions of paragraph (1), the following paragraph, Article 53, paragraph (3), Article 54 or Article 57-6, paragraph (3), that authorization ceases to be valid.

ja-jp	４　内閣総理大臣は、金融商品取引業者の営業所若しくは事務所の所在地を確知できないとき、又は金融商品取引業者の所在（法人である場合においては、その法人を代表する役員の所在）を確知できないときは、内閣府令で定めるところにより、その事実を公告し、その公告の日から三十日を経過しても当該金融商品取引業者から申出がないときは、当該金融商品取引業者の登録を取り消すことができる。
en-us	(4) If the Prime Minister is unable to ascertain the location of the business offices or offices of a Financial Services Provider or is unable to ascertain the whereabouts of a Financial Services Provider (in the case of a corporation, the whereabouts of the officer representing the corporation), the Prime Minister, pursuant to the provisions of Cabinet Office Ordinance, may issue public notice of that fact and rescind the registration of the Financial Services Provider if no filing is made by the Financial Services Provider even after 30 days past the day of the public notice.

ja-jp	５　前項の規定による処分については、行政手続法第三章の規定は、適用しない。
en-us	(5) The provisions of Chapter III of the Administrative Procedure Act do not apply to a disposition under the preceding paragraph.

ja-jp	（登録金融機関に対する監督上の処分）
en-us	(Supervisory Measures for Registered Financial Institutions)

ja-jp	第五十二条の二　内閣総理大臣は、登録金融機関が次の各号のいずれかに該当する場合においては、当該登録金融機関の第三十三条の二の登録を取り消し、又は六月以内の期間を定めて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 52-2 (1) If a registered financial institution falls one of the following items, the Prime Minister may rescind its registration under Article 33-2, or order the suspension of all or a part of business activities during a fixed period of no longer than six months:

ja-jp	一　第三十三条の五第一項第一号、第二号又は第三号に該当することとなつたとき。
en-us	(i) it has come to fall under Article 33-5, paragraph (1), item (i), (ii), or (iii);

ja-jp	二　不正の手段により第三十三条の二の登録を受けたとき。
en-us	(ii) it has received its Article 33-2 registration by wrongful means;

ja-jp	三　登録金融機関業務又はこれに付随する業務に関し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。
en-us	(iii) it violates a law or regulation or a disposition by a government agency which is based on a law or regulation, in connection with the services of a registered financial institution or services incidental thereto;

ja-jp	四　投資助言・代理業の運営に関し、投資者の利益を害する事実があるとき。
en-us	(iv) a fact has occurred in connection with the operation of its Investment Advisory and Agency Services, which is detrimental to the investors' interests ; or

ja-jp	五　登録金融機関業務に関し、不正又は不当な行為をした場合において、その情状が特に重いとき。
en-us	(v) it has committed a wrongful or unjust act in connection with the services of a registered financial institution, and the circumstances surrounding this are particularly serious.

ja-jp	２　内閣総理大臣は、登録金融機関の役員が、前項第三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は、当該登録金融機関に対して、当該役員の解任を命ずることができる。
en-us	(2) If the officer of a registered financial institution comes to fall under one of the categories in items (iii) to (v) inclusive of the preceding paragraph, the Prime Minister may order the registered financial institution to dismiss that officer.

ja-jp	３　内閣総理大臣は、登録金融機関の営業所若しくは事務所の所在地を確知できないとき、又は登録金融機関を代表する役員の所在を確知できないときは、内閣府令で定めるところにより、その事実を公告し、その公告の日から三十日を経過しても当該登録金融機関から申出がないときは、当該登録金融機関の登録を取り消すことができる。
en-us	(3) If the Prime Minister is unable to ascertain the location of the business offices or offices of a registered financial institution or is unable to ascertain the whereabouts of the officer representing the registered financial institution, the Prime Minister, pursuant to the provisions of Cabinet Office Ordinance, may issue public notice of that fact and rescind the registration of the registered financial institution if no filing is made by the registered financial institution even after 30 days past the day of the public notice.

ja-jp	４　前項の規定による処分については、行政手続法第三章の規定は、適用しない。
en-us	(4) The provisions of Chapter III of the Administrative Procedure Act do not apply to a disposition under the preceding paragraph.

ja-jp	（自己資本規制比率についての命令）
en-us	(Orders Involving the Capital Adequacy Ratio)

ja-jp	第五十三条　内閣総理大臣は、金融商品取引業者（第一種金融商品取引業を行う者に限る。以下この条において同じ。）が第四十六条の六第二項の規定に違反している場合において、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、その必要の限度において、業務の方法の変更を命じ、財産の供託その他監督上必要な事項を命ずることができる。
en-us	Article 53 (1) If a Financial Services Provider (limited to one engaged in Type I Financial Instruments Business; hereinafter the same applies in this Article) violates the provisions of Article 46-6, paragraph (2) and the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister, within the scope of this necessity, may order a change of business methods, order assets to be deposited, or issue orders with respect to matters that are otherwise necessary from a supervisory perspective.

ja-jp	２　内閣総理大臣は、金融商品取引業者が第四十六条の六第二項の規定に違反している場合（自己資本規制比率が、百パーセントを下回るときに限る。）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、その必要の限度において、三月以内の期間を定めて業務の全部又は一部の停止を命ずることができる。
en-us	(2) If a Financial Services Provider violates the provisions of Article 46-6, paragraph (2) (but only if the Capital Adequacy Ratio is less than 100 percent) and the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister, within the scope of this necessity, may order the suspension of all or a part of business activities during a fixed period of no longer than three months.

ja-jp	３　内閣総理大臣は、前項の規定により業務の全部又は一部の停止を命じた場合において、その日から三月を経過した日における当該金融商品取引業者の自己資本規制比率が引き続き百パーセントを下回り、かつ、当該金融商品取引業者の自己資本規制比率の状況が回復する見込みがないと認められるときは、当該金融商品取引業者の第二十九条の登録を取り消すことができる。
en-us	(3) If the Prime Minister orders the suspension of all or a part of business activities pursuant to the provisions of the preceding paragraph, and finds that the Capital Adequacy Ratio of the Financial Services Provider as of the day on which three months have elapsed since the day of the order continues to be less than 100 percent and that the Financial Services Provider's Capital Adequacy Ratio status is not likely to recover, the Prime Minister may rescind the Article 29 registration of that Financial Services Provider.

ja-jp	（業務の不開始又は休止に基づく登録の取消し）
en-us	(Rescission of Registration Due to Non-commencement or Suspension of Business)

ja-jp	第五十四条　内閣総理大臣は、金融商品取引業者等が正当な理由がないのに、金融商品取引業等を行うことができることとなつた日から三月以内に業務を開始しないとき、又は引き続き三月以上その業務を休止したときは、当該金融商品取引業者等の第二十九条又は第三十三条の二の登録を取り消すことができる。
en-us	Article 54 If, without legitimate grounds for doing so, a Financial Services Provider, etc. does not commence business within three months of the day on which it is permitted to begin engaging in Financial Instruments Business, etc. or suspends business for three months or more continually, the Prime Minister may rescind the Article 29 or Article 33-2 registration of that Financial Services Provider, etc.

ja-jp	（監督処分の公告）
en-us	(Public Notice of Supervisory Measures)

ja-jp	第五十四条の二　内閣総理大臣は、次に掲げる場合には、内閣府令で定めるところにより、その旨を公告しなければならない。
en-us	Article 54-2 In the cases set forth as follows, the Prime Minister shall issue public notice indicating as follows, pursuant to the provisions of Cabinet Office Ordinance:

ja-jp	一　第五十二条第一項又は第五十二条の二第一項の規定により第二十九条若しくは第三十三条の二の登録若しくは第三十条第一項の認可を取り消し、又は業務の全部若しくは一部の停止を命じたとき。
en-us	(i) the Prime Minister rescinds an Article 29 or Article 33-2 registration or an Article 30, paragraph (1) authorization, or orders the suspension of all or a part of business activities pursuant to the provisions of Article 52, paragraph (1) or Article 52-2, paragraph (1);

ja-jp	二　第五十三条第二項の規定により業務の全部又は一部の停止を命じたとき。
en-us	(ii) the Prime Minister orders the suspension of all or a part of business activities pursuant to the provisions of Article 53, paragraph (2); or

ja-jp	三　第五十二条第四項、第五十二条の二第三項、第五十三条第三項又は前条の規定により第二十九条又は第三十三条の二の登録を取り消したとき。
en-us	(iii) the Prime Minister rescinds an Article 29 or Article 33-2 registration pursuant to the provisions of Article 52, paragraph (4); Article 52-2, paragraph (3); Article 53, paragraph (3); or the preceding Article.

ja-jp	（登録等の抹消）
en-us	(Deletion of a Registration)

ja-jp	第五十五条　内閣総理大臣は、第五十条の二第二項の規定により第二十九条若しくは第三十三条の二の登録がその効力を失つたとき、又は第五十二条第一項若しくは第四項、第五十二条の二第一項若しくは第三項、第五十三条第三項若しくは第五十四条の規定により第二十九条若しくは第三十三条の二の登録を取り消したときは、当該登録を抹消しなければならない。
en-us	Article 55 (1) If an Article 29 or Article 33-2 registration loses its validity pursuant to the provisions of Article 50-2, paragraph (2) or if the Prime Minister rescinds an Article 29 or Article 33-2 registration pursuant to the provisions of Article 52, paragraph (1) or (4); Article 52-2, paragraph (1) or (3); Article 53, paragraph (3); or Article 54; the Prime Minister must delete that registration.

ja-jp	２　内閣総理大臣は、第五十二条第一項の規定により第三十条第一項の認可を取り消したとき、又は第五十二条第三項の規定により第三十条第一項の認可がその効力を失つたときは、同条第二項に規定する認可をした旨の付記を抹消しなければならない。
en-us	(2) If the Prime Minister rescinds an Article 30, paragraph (1) authorization pursuant to the provisions of Article 52, paragraph (1) or an Article 30, paragraph (1) authorization loses its validity pursuant to the provisions of Article 52, paragraph (3), the Prime Minister must delete the supplementary note indicating that the Article 30, paragraph (2) authorization has been given.

ja-jp	（残務の結了）
en-us	(Completion of Remaining Business)

ja-jp	第五十六条　第五十条の二第八項の規定は、金融商品取引業者等が解散し、若しくは金融商品取引業等を廃止した場合又は第五十二条第一項、第五十二条の二第一項、第五十三条第三項若しくは第五十四条の規定により第二十九条若しくは第三十三条の二の登録を取り消された場合における当該金融商品取引業者等であつた者について準用する。この場合において、当該金融商品取引業者等であつた者は、顧客取引を結了する目的の範囲内において、なお金融商品取引業者等とみなす。
en-us	Article 56 (1) The provisions of Article 50-2, paragraph (8) apply mutatis mutandis to a person that was a Financial Services Provider, etc. if that Financial Services Provider, etc. dissolves or discontinues Financial Instruments Business, etc., or has its Article 29 or Article 33-2 registration rescinded pursuant to the provisions of Article 52, paragraph (1); Article 52-2, paragraph (1); Article 53, paragraph (3); or Article 54. In such a case, the person that was the Financial Services Provider, etc. is deemed to still be a Financial Services Provider, etc. inasmuch as the task of completing Customer Transactions is concerned.

ja-jp	２　第五十条の二第八項の規定は、前項の規定の適用がある場合を除き、第三十条第一項の認可を受けた金融商品取引業者が、当該認可に係る業務を廃止した場合又は第五十二条第一項の規定により当該認可を取り消された場合における当該金融商品取引業者の当該業務に係る顧客取引について準用する。この場合において、当該金融商品取引業者は、当該業務に係る顧客取引を結了する目的の範囲内において、なお第三十条第一項の認可を受けているものとみなす。
en-us	(2) Except in a case to which the provisions of the preceding paragraph are applicable, the provisions of Article 50-2, paragraph (8) apply mutatis mutandis to the Customer Transactions involved in the business of a Financial Services Provider if a Financial Services Provider that has obtained Article 30, paragraph (1) authorization discontinues the business to which that authorization pertains or has that authorization rescinded pursuant to the provisions of Article 52, paragraph (1). In such a case, the Financial Services Provider is deemed to still have Article 30, paragraph (1) authorization inasmuch as the task of completing the Customer Transactions involved in that business is concerned.

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

ja-jp	第五十六条の二　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、金融商品取引業者等、これと取引をする者、当該金融商品取引業者等（登録金融機関を除く。）がその総株主等の議決権の過半数を保有する銀行等（以下この項において「子特定法人」という。）、当該金融商品取引業者等を子会社（第二十九条の四第三項に規定する子会社をいう。以下この条において同じ。）とする持株会社（私的独占の禁止及び公正取引の確保に関する法律第九条第五項第一号に規定する持株会社をいう。以下この条において同じ。）若しくは当該金融商品取引業者等から業務の委託を受けた者に対し当該金融商品取引業者等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（当該子特定法人にあつては、当該金融商品取引業者等（登録金融機関を除く。）の財産に関し参考となるべき報告又は資料に限る。）の提出を命じ、又は当該職員に当該金融商品取引業者等、当該子特定法人、当該金融商品取引業者等を子会社とする持株会社若しくは当該金融商品取引業者等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（当該子特定法人にあつては当該金融商品取引業者等（登録金融機関を除く。）の財産に関し必要な検査に、当該金融商品取引業者等を子会社とする持株会社又は当該金融商品取引業者等から業務の委託を受けた者にあつては当該金融商品取引業者等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 56-2 (1) 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 Financial Services Provider, etc., a person that conducts transactions with a Financial Services Provider, etc., a Bank, etc. in which a Financial Services Provider, etc. (excluding a registered financial institution) holds the majority of all shareholders', etc. voting rights (hereinafter such a Bank, etc. is referred to as a "Specified Subsidiary Corporation" in this paragraph), a Holding Company (meaning a holding company as prescribed in Article 9, paragraph (5), item (i) of the Act on Prohibition of Private Monopolization and Maintenance of Fair Trade; hereinafter the same applies in this Article) that has a Financial Services Provider, etc. as its Subsidiary Company (meaning a Subsidiary Company as prescribed in Article 29-4, paragraph (3); hereinafter the same applies in this Article), or the person that a Financial Services Provider, etc. has entrusted with its business, to submit reports or materials that should serve as a reference in connection with the business or assets of the Financial Services Provider, etc. (but may only order a Specified Subsidiary Corporation submit reports or materials that should serve as a reference in connection with the assets of the Financial Services Provider, etc. (excluding a registered financial institution)), 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 Financial Services Provider, etc., a Specified Subsidiary Corporation, a Holding Company that has a Financial Services Provider, etc. as its Subsidiary Company, or the person that a Financial Services Provider, etc. has entrusted with its business (but may only have the relevant officials inspect a Specified Subsidiary Corporation as is necessary in connection with the assets of the Financial Services Provider, etc. (excluding a registered financial institution), and may only have the relevant officials inspect a Holding Company that has a Financial Services Provider, etc. as its Subsidiary Company, or the person that a Financial Services Provider, etc. has entrusted with its business, as is necessary in connection with the business or assets of the Financial Services Provider, etc.).

ja-jp	２　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、金融商品取引業者（第一種金融商品取引業又は投資運用業を行う者に限り、外国法人を除く。以下この項において同じ。）の主要株主（第二十九条の四第二項に規定する主要株主をいう。以下この項において同じ。）若しくは金融商品取引業者を子会社とする持株会社の主要株主に対し第三十二条から第三十二条の三まで（当該金融商品取引業者を子会社とする持株会社の主要株主にあつては、第三十二条の四において準用する第三十二条第一項若しくは第二項、第三十二条の二第一項又は第三十二条の三第一項。以下この項において同じ。）の届出若しくは措置若しくは当該金融商品取引業者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主要株主の書類その他の物件の検査（第三十二条から第三十二条の三までの届出若しくは措置又は当該金融商品取引業者の業務若しく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	(2) 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 the Major Shareholder (meaning a Major Shareholder as provided for in Article 29-4, paragraph (2); hereinafter the same applies in this paragraph) of a Financial Services Provider (limited to one engaged in Type I Financial Instruments Business or Investment Management, and excluding a foreign corporation; hereinafter the same applies in this paragraph) or the Major Shareholder of a Holding Company that has a Financial Services Provider as its Subsidiary Company to submit a notification or take measures referred to in Articles 32 to 32-3 inclusive (this means Article 32, paragraph (1) or (2); Article 32-2, paragraph (1); or Article 32-3, paragraph (1) as applied mutatis mutandis pursuant to Article 32-4 in the case of the Major Shareholder of a Holding Company that has a Financial Services Provider as its Subsidiary Company; hereinafter the same applies in this paragraph), and to submit reports or materials that should serve as a reference in connection with the business or assets of a Financial Services Provider, and may have the relevant officials inspect documents or other articles of such a Major Shareholder (but only as is necessary in connection with the notification or measures referred to in Articles 32 to 32-3 inclusive or the business or assets of the Financial Services Provider, etc.).

ja-jp	３　内閣総理大臣は、第一項の規定による場合を除き、第三十六条第二項の規定の遵守を確保するため必要かつ適当であると認めるときは、特定金融商品取引業者等（同条第三項に規定する特定金融商品取引業者等をいう。以下この項において同じ。）の親金融機関等（同条第四項に規定する親金融機関等をいう。以下この項において同じ。）若しくは子金融機関等（同条第五項に規定する子金融機関等をいう。以下この項において同じ。）に対し当該特定金融商品取引業者等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特定金融商品取引業者等の親金融機関等若しくは子金融機関等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をさせることができる。
en-us	(3) In a case other than what is provided for in paragraph (1), whenever the Prime Minister finds it to be necessary and appropriate for ensuring compliance with the provisions of Article 36, paragraph (2), the Prime Minister may order the Parent Financial Institution, etc. (meaning a Parent Financial Institution, etc. provided for in Article 36, paragraph (4); hereinafter the same applies in this paragraph) or Subsidiary Financial Institution, etc. (meaning a Subsidiary Financial Institution, etc. provided for in Article 36, paragraph (5); hereinafter the same applies in this paragraph) of a Specified Financial Services Provider, etc. (meaning a Specified Financial Services Provider, etc. provided for in Article 36, paragraph (3); hereinafter the same applies in this paragraph) to submit reports or materials that should serve as a reference in connection with the business or assets of the Specified Financial Services Provider, etc., and may have the relevant officials inspect the state of the business or assets, or the books and documents or any other articles, of the Parent Financial Institution, etc. or the Subsidiary Financial Institution, etc. of the relevant Specified Financial Services Provider, etc.

ja-jp	４　内閣総理大臣は、第一項の規定による場合を除き、第四十四条の三の規定の遵守を確保するため必要かつ適当であると認めるときは、金融商品取引業者の親銀行等（第三十一条の四第三項に規定する親銀行等をいう。以下この項において同じ。）若しくは子銀行等（第三十一条の四第四項に規定する子銀行等をいう。以下この項において同じ。）に対し当該金融商品取引業者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金融商品取引業者の親銀行等若しくは子銀行等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をさせることができる。
en-us	(4) In a case other than what is provided for in paragraph (1), whenever the Prime Minister finds it to be necessary and appropriate for ensuring compliance with Article 44-3, the Prime Minister may order the Parent Bank, etc. (meaning a Parent Bank, etc. provided for in Article 31-4, paragraph (3); hereinafter the same applies in this paragraph) or Subsidiary Bank, etc. (meaning a Subsidiary Bank, etc. provided for in Article 31-4, paragraph (4); hereinafter the same applies in this paragraph) of a Financial Services Provider to submit reports or materials that should serve as a reference in connection with the business or assets of the Financial Services Provider, and may have the relevant officials inspect the state of the business or assets, or the books and documents or any other articles, of the Parent Bank, etc. or Subsidiary Bank, etc. of the relevant Financial Services Provider.

ja-jp	（資産の国内保有）
en-us	(Retention of Assets Within Japan)

ja-jp	第五十六条の三　第四十九条の五に定めるもののほか、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場合には、金融商品取引業者に対し、その資産のうち政令で定める部分を国内において保有することを命ずることができる。
en-us	Article 56-3 Beyond what is provided for in Article 49-5, if 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 Financial Services Provider to keep the portion of its assets that is specified by Cabinet Order within Japan.

ja-jp	（金融商品取引所等の会員等でない金融商品取引業者等に対する監督）
en-us	(Supervision of a Financial Services Provider, etc. That Is Not a Member, etc. of a Financial Instruments Exchange, etc.)

ja-jp	第五十六条の四　内閣総理大臣は、協会（認可金融商品取引業協会又は第七十八条第二項に規定する認定金融商品取引業協会をいう。以下この条において同じ。）に加入せず、又は金融商品取引所の会員若しくは取引参加者（次項において「会員等」という。）となつていない金融商品取引業者等（金融商品取引業者にあつては、第一種金融商品取引業又は投資運用業を行う者に限る。以下この条において同じ。）の業務について、公益を害し、又は投資者保護に欠けることのないよう、協会又は金融商品取引所の定款その他の規則を考慮し、適切な監督を行わなければならない。
en-us	Article 56-4 (1) The Prime Minister shall conduct the appropriate supervision as regards the business of a Financial Services Provider, etc. (with regard to Financial Services Providers, limited to those engaged in Type I Financial Instruments Business or Investment Management; hereinafter the same applies in this Article) that has not joined an Association (meaning an Authorized Financial Instruments Business Association or Certified Financial Instruments Business Association prescribed in Article 78, paragraph (2); hereinafter the same applies in this Article) or that is not a member or Trading Participant (referred to as a "Member, etc." in the following paragraph) of a Financial Instruments Exchange, with due consideration for the articles of incorporation and any other rules of such Associations and Financial Instruments Exchanges, so that its business does not damage to the public interest or result in insufficient investor protection.

ja-jp	２　前項に規定する監督を行うため、内閣総理大臣は、協会に加入せず、又は金融商品取引所の会員等となつていない金融商品取引業者等に対して、協会又は金融商品取引所の定款その他の規則を考慮し、当該金融商品取引業者等又はその役員若しくは使用人が遵守すべき規則（以下この条において「社内規則」という。）の作成又は変更を命ずることができる。
en-us	(2) In order to conduct the supervision prescribed in the preceding paragraph, the Prime Minister may order a Financial Services Provider, etc. that has not joined an Association or that is not a Member, etc. of a Financial Instruments Exchange to prepare or change the rules with which the Financial Services Provider, etc. or the officers or employees are to comply (hereinafter referred to as "Internal Rules" in this Article), with due consideration for the articles of incorporation and any other rules of such Associations and Financial Instruments Exchanges.

ja-jp	３　前項の規定により社内規則の作成又は変更を命ぜられた金融商品取引業者等は、三十日以内に、当該社内規則の作成又は変更をし、内閣総理大臣の承認を受けなければならない。
en-us	(3) A Financial Services Provider, etc. that is ordered to prepare or change the Internal Rules pursuant to the provisions of the preceding paragraph must prepare or change the Internal Rules and obtain the approval of the Prime Minister within 30 days.

ja-jp	４　前項の承認を受けた金融商品取引業者等は、当該承認を受けた社内規則を変更し、又は廃止しようとする場合においては、内閣総理大臣の承認を受けなければならない。
en-us	(4) A Financial Services Provider, etc. that has obtained the approval referred to in the preceding paragraph must obtain the approval of the Prime Minister if it seeks to change or discontinue the Internal Rules for which it has obtained that approval.

ja-jp	第五十七条　内閣総理大臣は、第二十九条若しくは第三十三条の二の登録、第三十条第一項の認可又は第三十一条第四項の変更登録を拒否しようとするときは、登録申請者又は金融商品取引業者に通知して、当該職員に、当該登録申請者又は当該金融商品取引業者につき審問を行わせなければならない。
en-us	Article 57 (1) Before seeking to refuse an Article 29 or Article 33-2 registration, an Article 30, paragraph (1) authorization, or an Article 31, paragraph (4) registration of a change, the Prime Minister must notify the applicant for registration or the Financial Services Provider, and have the relevant officials conduct a hearing regarding the applicant for registration or the Financial Services Provider.

ja-jp	２　内閣総理大臣は、第五十一条、第五十一条の二、第五十二条第一項、第五十二条の二第一項、第五十三条、第五十四条又は第五十六条の三の規定に基づいて処分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 a disposition based on the provisions of Article 51; Article 51-2; Article 52, paragraph (1); Article 52-2, paragraph (1); Article 53; Article 54; or Article 56-3, the Prime Minister must conduct a hearing.

ja-jp	３　内閣総理大臣は、第二十九条若しくは第三十三条の二の登録、第三十条第一項若しくは第三十一条第六項の認可、第三十一条第四項の変更登録、第三十五条第四項の承認若しくは前条第三項若しくは第四項の承認をし、若しくはしないこととしたとき、第三十条の二第一項の規定により条件を付することとしたとき、又は第五十一条、第五十一条の二、第五十二条第一項若しくは第二項、第五十二条の二第一項若しくは第二項、第五十三条、第五十四条、第五十六条の三若しくは前条第二項の規定に基づいて処分をすることとしたときは、書面により、その旨を登録申請者又は金融商品取引業者等に通知しなければならない。
en-us	(3) Upon deciding to grant or to refuse an Article 29 or Article 33-2 registration, the an Article 30, paragraph (1) or Article 31, paragraph (6) authorization, an Article 31, paragraph (4) registration of a change, an Article 35, paragraph (4) approval, or the approval referred to in paragraph (3) or (4) of the preceding Article, to attach conditions pursuant to the provisions of Article 30-2, paragraph (1), or to issue a disposition based on the provisions of Article 51; Article 51-2; Article 52, paragraph (1) or (2); Article 52-2, paragraph (1) or (2); Article 53; Article 54; Article 56-3; or paragraph (2) of the preceding Article, the Prime Minister must notify the applicant for registration or the Financial Services Provider of this in writing.

ja-jp	第四節の二　特別金融商品取引業者等に関する特則
en-us	Section 4-2 Special Provisions on Special Financial Services Providers, etc.

ja-jp	第一款　特別金融商品取引業者
en-us	Subsection 1 Special Financial Services Providers

ja-jp	（特別金融商品取引業者に係る届出等）
en-us	(Notifications for Special Financial Services Providers)

ja-jp	第五十七条の二　金融商品取引業者（第一種金融商品取引業を行う者に限り、外国法人を除く。以下この款において同じ。）は、その総資産の額（内閣府令で定めるところにより算出される資産の合計金額をいう。以下この条において同じ。）が金融商品取引業者及びその子法人等の集団について業務の健全かつ適切な運営を確保することが必要となる総資産の規模を示す金額として政令で定める金額（以下この条において「総資産基準額」という。）を超えることとなつたときは、その日から二週間以内に、その旨並びに当該総資産の額及びその算出の基礎を内閣総理大臣に届け出なければならない。ただし、金融商品取引業者がこの項本文の規定による届出をした後にその総資産の額が総資産基準額以下となつた場合において、当該総資産基準額以下となつた日から起算して二年を経過するまでの間に再び当該金融商品取引業者の総資産の額が総資産基準額を超えることとなつたときは、その旨並びに当該総資産の額及びその算出の基礎の届出をすることを要しない。
en-us	Article 57-2 (1) If the total asset value (meaning the total monetary value of assets calculated pursuant to the provisions of Cabinet Office Ordinance; hereinafter the same applies in this Article) of a Financial Services Provider (limited to one engaged in Type I Financial Instruments Business, excluding foreign corporations; hereinafter the same applies in this Subsection) exceeds the amount of money specified by Cabinet Order as representing the scope of all assets required for ensuring the sound and appropriate operation of the business of the group consisting of the Financial Services Provider and its Subsidiary Corporations, etc. (hereinafter referred to as the "Total Asset Value Threshold" in this Article), the Financial Services Provider must notify the Prime Minister of this, of the total asset value, and of the basis for its calculation within two weeks from the day on which that value is exceeded; provided, however, that if the total asset value comes to be equal to or lower than the Total Asset Value Threshold after the Financial Services Provider has made the notification under the main clause of this paragraph, but the total asset value of the Financial Services Provider again comes to exceed the Total Asset Value Threshold by the time that two years have elapsed counting from the day on which the total asset value came to be equal to or lower than the Total Asset Value Threshold, the Financial Services Provider is not required to submit notification of this or of the total asset value and the basis for its calculation.

ja-jp	２　特別金融商品取引業者（前項の規定による届出をした金融商品取引業者をいい、当該届出をした後第六項第二号に該当することとなつた者を除く。以下この節において同じ。）につき、前項の規定による届出をした日（以下この款において「届出日」という。）において当該特別金融商品取引業者に親会社がある場合には、当該特別金融商品取引業者は、届出日から起算して政令で定める期間内に、次に掲げる書類を提出しなければならない。
en-us	(2) A Special Financial Services Provider (meaning a Financial Services Provider that has made the notification under the provisions of the preceding paragraph, excluding one that comes to fall under paragraph (6), item (ii) after making that notification; hereinafter the same applies in this Section) shall submit the following documents within the period specified by Cabinet Order counting from the day on which it makes the notification under the provisions of the proceeding paragraph(hereinafter referred to as the "Notification Date" in this Subsection) if that Special Financial Services Provider has a Parent Company as of the Notification Date:

ja-jp	一　当該特別金融商品取引業者の親会社の商号又は名称その他内閣府令で定める事項を記載した書類
en-us	(i) a document in which it states the trade name or name of the Parent Company of the Special Financial Services Provider and other particulars specified by Cabinet Office Ordinance;

ja-jp	二　当該特別金融商品取引業者の親会社のうちその親会社がない会社に係る直近の四半期報告書その他の当該特別金融商品取引業者の親会社及びその子法人等の業務及び財産の状況を内閣府令で定めるところにより記載した書類
en-us	(ii) the latest Quarterly Report of the company that, among the Parent Companies of the Special Financial Services Provider, itself has no Parent Company, and other documents in which it describes the state of the business and assets of the Parent Company of the Special Financial Services Provider and its Subsidiary Corporations, etc. pursuant to the provisions of Cabinet Office Ordinance;

ja-jp	三　当該特別金融商品取引業者の親会社及びその子法人等の集団がその業務の運営及び財産の状況について、他の法令に基づいて行政機関の監督を受けている場合（外国の法令に基づいて外国の行政機関その他これに準ずるものの監督を受けている場合を含む）には、その旨を説明する書類
en-us	(iii) if the group consisting of the Parent Company of the Special Financial Services Provider and its Subsidiary Corporations, etc. is under the supervision of an administrative organization based on other laws and regulations (including if the group is under the supervision of an administrative organization in a foreign state or any other equivalent organization based on foreign laws and regulations) with respect to the state of its business operations and assets, a document explaining this; and

ja-jp	四　当該特別金融商品取引業者の親会社が当該特別金融商品取引業者の経営管理を行つている場合又は当該特別金融商品取引業者の親会社若しくはその子法人等が当該特別金融商品取引業者に対して資金調達に関する支援を行つている場合には、当該経営管理又は支援の内容及び方法を内閣府令で定めるところにより記載した書類
en-us	(iv) if the Parent Company of the Special Financial Services Provider does the management and administration of the Special Financial Services Provider or if the Parent Company of the Special Financial Services Provider or its Subsidiary Corporation, etc. provides assistance related to fund procurement to the Special Financial Services Provider, a document in which it states the content and methods of this management and administration or assistance, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	３　特別金融商品取引業者は、届出日以後親会社があることとなつたときは、その日から起算して政令で定める期間内に、前項各号に掲げる書類を内閣総理大臣に提出しなければならない。
en-us	(3) If a Special Financial Services Provider comes to have a Parent Company on or after the Notification Date, the Special Financial Services Provider must submit the documents set forth in the items of the preceding paragraph to the Prime Minister within the period specified by Cabinet Order, as calculated beginning from the day on which it came to have that Parent Company.

ja-jp	４　前二項の規定により第二項各号に掲げる書類を提出した特別金融商品取引業者（親会社がある者に限る。）は、同項第一号、第三号又は第四号に掲げる書類（第五十七条の十二第三項に規定する指定親会社又はその子法人等に関する書類であつて、内閣府令で定めるものを除く。）に記載した事項について変更があつたときは、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	(4) If a particular stated in a document set forth in item (i), (iii) or (iv) of paragraph (2) changes (excluding a document specified by Cabinet Office Ordinance which concerns a Designated Parent Company as prescribed in Article 57-12, paragraph (3) or its Subsidiary Corporation, etc.), the Special Financial Services Provider (limited to one with a Parent Company) that has submitted the document set forth in the relevant item of paragraph (2) pursuant to the provisions of the preceding two paragraphs must notify the Prime Minister of this without delay, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	５　第二項又は第三項の規定により第二項各号に掲げる書類を提出した特別金融商品取引業者（親会社がある者に限る。）は、四半期（一月から三月まで、四月から六月まで、七月から九月まで及び十月から十二月までの各区分による期間をいう。以下この項、第五十七条の五第二項及び第三項並びに第五十七条の十七第二項及び第三項において同じ。）ごとに、当該特別金融商品取引業者の親会社のうちその親会社がない会社の四半期報告書その他の当該特別金融商品取引業者の親会社及びその子法人等の業務及び財産の状況を内閣府令で定めるところにより記載した書類（第五十七条の十二第三項に規定する最終指定親会社又はその子法人等に関する書類であつて、内閣府令で定めるものを除く。）を、当該四半期経過後政令で定める期間内に、内閣総理大臣に提出しなければならない。
en-us	(5) For each quarter (meaning each of the periods categorized into January to March, April to June, July to September, and October to December; hereinafter the same applies in this paragraph, Article 57-5, paragraphs (2) and (3) and Article 57-17, paragraphs (2) and (3)), a Special Financial Services Provider (limited to one with a Parent Company) that submits the documents set forth in the items of paragraph (2) pursuant to the provisions of paragraph (2) or (3), shall submit the Quarterly Report of the company that, among the Parent Companies of that Special Financial Services Provider, itself has no Parent Company, and submit other documents in which it describes the state of the business and assets of the Parent Company of the Special Financial Services Provider and its Subsidiary Corporations, etc. pursuant to the provisions of Cabinet Office Ordinance (excluding documents specified by Cabinet Office Ordinance which concern the highest Designated Parent Company provided for in Article 57-12, paragraph (3) or its Subsidiary Corporations, etc.), to the Prime Minister within the period specified by Cabinet Order after the end of the quarter.

ja-jp	６　特別金融商品取引業者は、次の各号のいずれかに該当することとなつたときは、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	(6) If a Special Financial Services Provider comes to fall under one of the following items, it must notify the Prime Minister of this without delay:

ja-jp	一　親会社がないこととなつたとき。
en-us	(i) it comes to no longer have a Parent Company; or

ja-jp	二　その総資産の額が総資産基準額以下となつた日から起算して総資産基準額を超えることなく二年を経過したとき。
en-us	(ii) two years have elapsed counting from the day on which the total asset value came to be equal to or lower than the Total Asset Value Threshold, without the total asset value exceeding the Total Asset Value Threshold.

ja-jp	７　内閣総理大臣は、第一項の規定による届出を受理したときは、当該届出をした金融商品取引業者が特別金融商品取引業者である旨を当該金融商品取引業者の登録に付記しなければならない。
en-us	(7) If the Prime Minister accepts a notification under paragraph (1), the Prime Minister must note that the Financial Services Provider that has made such notification is a Special Financial Services Provider in said Financial Services Provider's registration.

ja-jp	８　第二項から第六項までの「親会社」とは、他の会社を子会社（第二十九条の四第三項に規定する子会社をいう。次項において同じ。）とする会社をいう。
en-us	(8) The term "Parent Company" as used in paragraphs (2) to (6) inclusive means a first company that has a second company as its Subsidiary Company (meaning a Subsidiary Company as prescribed in Article 29-4, paragraph (3); hereinafter the same applies in the following paragraph).

ja-jp	９　第一項、第二項、第四項及び第五項の「子法人等」とは、他の会社の子会社その他の当該他の会社と密接な関係を有する法人その他の団体として政令で定める要件に該当する者をいう。
en-us	(9) The term "Subsidiary Corporation, etc." as used in paragraphs (1), (2), (4), and (5) means the Subsidiary Company of another company or any other person that falls under the requirements specified by Cabinet Order as a corporation or other organization that is closely related to that other company.

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

ja-jp	第五十七条の三　特別金融商品取引業者（子法人等（前条第九項に規定する子法人等をいう。以下この節において同じ。）を有する者に限る。以下この款において同じ。）は、届出日から起算して政令で定める期間が経過した日の属する事業年度以降、内閣府令で定めるところにより、当該特別金融商品取引業者及びその子法人等の業務及び財産の状況を連結して記載した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 57-3 (1) In and after the business year that includes the day on which the period specified by Cabinet Order elapses counting from the Notification Date, pursuant to the provisions of Cabinet Office Ordinance, a Special Financial Services Provider (limited to a Special Financial Services Provider with a Subsidiary Corporation, etc. (meaning a Subsidiary Corporation, etc. as prescribed in paragraph (9) of the preceding Article; hereinafter the same applies in this Subsection)) shall prepare a business report on a consolidated basis describing the state of the business and assets of the Special Financial Services Provider and its Subsidiary Corporation, etc., and submit that business report to the Prime Minister within three months after the end of each business year.

ja-jp	２　特別金融商品取引業者は、前項の規定により事業報告書を提出するほか、内閣府令で定めるところにより、当該特別金融商品取引業者及びその子法人等の業務又は財産の状況を内閣総理大臣に報告しなければならない。
en-us	(2) In addition to submitting a business report pursuant to the provisions of the preceding paragraph, a Special Financial Services Provider shall report the state of the business and assets of the Special Financial Services Provider and its Subsidiary Corporations, etc. to the Prime Minister pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	３　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、特別金融商品取引業者に対し、政令で定めるところにより、第一項の事業報告書の全部又は一部の公告を命ずることができる。
en-us	(3) If 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 Special Financial Services Provider to make public notice of all or part of the business report referred to in paragraph (1), pursuant to the provisions of Cabinet Order.

ja-jp	（説明書類の縦覧）
en-us	(Public Inspection of Explanatory Documents)

ja-jp	第五十七条の四　特別金融商品取引業者は、届出日から起算して政令で定める期間が経過した日の属する事業年度以降、当該特別金融商品取引業者及びその子法人等の業務及び財産の状況に関する事項として内閣府令で定めるものを当該特別金融商品取引業者及びその子法人等につき連結して記載した説明書類を作成し、毎事業年度経過後政令で定める期間を経過した日から一年間、これをすべての営業所又は事務所に備え置き、公衆の縦覧に供しなければならない。
en-us	Article 57-4 In and after the business year that includes the day on which the period specified by Cabinet Order elapses counting from the Notification Date, a Special Financial Services Provider shall prepare explanatory documents on a consolidated basis for the Special Financial Services Provider and its Subsidiary Corporations, etc., stating the particulars specified by Cabinet Office Ordinance as pertinent to the state of the business and assets of the Special Financial Services Provider and its Subsidiary Corporations, etc., and shall keep those explanatory documents at all of its business offices and offices and make them available for public inspection during the one–year period beginning from the day on which the period specified by Cabinet Order elapses following the end of each business year.

ja-jp	（経営の健全性の状況を記載した書面の届出等）
en-us	(Written Notification Stating the Soundness of Management)

ja-jp	第五十七条の五　内閣総理大臣は、特別金融商品取引業者の業務の健全かつ適切な運営に資するため、特別金融商品取引業者がその経営の健全性を判断するための基準として、当該特別金融商品取引業者及びその子法人等の保有する資産等に照らし当該特別金融商品取引業者及びその子法人等の自己資本の充実の状況が適当であるかどうかの基準その他の当該特別金融商品取引業者及びその子法人等における経営の健全性の状況を表示する基準を定めなければならない。
en-us	Article 57-5 (1) In order to contribute to the sound and appropriate operation of the business of a Special Financial Services Provider, the Prime Minister shall establish criteria for whether the capital adequacy of the Special Financial Services Provider and its Subsidiary Corporations, etc. is appropriate in light of the assets, etc. held by the Special Financial Services Provider and its Subsidiary Corporations, etc. and other criteria that indicate soundness in the management of the Special Financial Services Provider and its Subsidiary Corporation, etc., as criteria by which the Special Financial Services Provider is to judge the soundness of its management.

ja-jp	２　特別金融商品取引業者は、届出日から起算して政令で定める期間が経過した日の属する四半期以降、四半期ごとに、内閣府令で定めるところにより、当該四半期の末日における前項に規定する基準を用いて表示される経営の健全性の状況（次項及び次条において単に「経営の健全性の状況」という。）を記載した書面を内閣総理大臣に届け出なければならない。
en-us	(2) For each quarter in and after the quarter that includes the day on which the period specified by Cabinet Order elapses counting from the Notification Date, a Special Financial Services Provider shall submit a document to the Prime Minister in which it describes the soundness of its management as of the last day of the quarter, as indicated by the criteria prescribed in the preceding paragraph (hereinafter simply referred to as the "Soundness of Management" in the following paragraph and the following Article), pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	３　特別金融商品取引業者は、届出日から起算して政令で定める期間が経過した日の属する四半期以降、四半期ごとに、当該四半期の末日から起算して政令で定める期間を経過した日から三月間、内閣府令で定めるところにより、経営の健全性の状況を記載した書面をすべての営業所又は事務所に備え置き、公衆の縦覧に供しなければならない。
en-us	(3) For each quarter in and after the quarter that includes the day on which the period specified by Cabinet Order elapses counting from the Notification Date and pursuant to the provisions of Cabinet Office Ordinance, a Special Financial Services Provider shall keep a document in which it describes the Soundness of Management at all of its business offices and offices and make this document available for public inspection during the three-month period beginning from the day on which the period specified by Cabinet Order elapses counting from the end of the quarter.

ja-jp	（経営の健全性の状況に応じた監督処分）
en-us	(Supervisory Measures Corresponding with the Soundness of Management)

ja-jp	第五十七条の六　内閣総理大臣は、特別金融商品取引業者及びその子法人等の経営の健全性の状況に照らし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、その必要の限度において、当該特別金融商品取引業者に対し、三月以内の期間を定めて業務の全部若しくは一部の停止を命じ、又は業務の方法の変更、財産の供託その他監督上必要な事項を命ずることができる。
en-us	Article 57-6 (1) If the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors in light of the Soundness of Management of a Special Financial Services Provider and its Subsidiary Corporations, etc., the Prime Minister, within the scope of this necessity, may order a Special Financial Services Provider to suspend all or a part of business activities during a fixed period of no longer than three months, may order it to change business methods or to deposit assets, and may issue orders to it in respect of matters that are otherwise necessary from a supervisory perspective.

ja-jp	２　前項の規定による命令は、特別金融商品取引業者及びその子法人等の経営の健全性の状況に係る区分に応じて行うものとし、内閣総理大臣は、当該区分及びこれに応じた命令の内容をあらかじめ定め、これを公示しなければならない。
en-us	(2) An order under the provisions of the preceding paragraph is to be given so as to correspond with the classification of the Soundness of Management of a Special Financial Services Provider and its Subsidiary Corporations, etc., and the Prime Minister must determine such classifications and the nature of the corresponding orders in advance and issue public notice of the same.

ja-jp	３　内閣総理大臣は、第一項の規定により特別金融商品取引業者に対しその業務の全部又は一部の停止を命じた場合において、その日から三月を経過した日において当該特別金融商品取引業者及びその子法人等の経営の健全性の状況が改善せず、かつ、改善する見込みがないと認められるときは、当該特別金融商品取引業者の第二十九条の登録を取り消すことができる。
en-us	(3) If the Prime Minister orders a Special Financial Services Provider to suspend all or a part of its business activities pursuant to the provisions of paragraph (1), and the Soundness of Management of the Special Financial Services Provider and its Subsidiary Corporation, etc. does not improve and is found to have no prospect of improving as of the day on which three months have elapsed since the day of the order, the Prime Minister may rescind the Article 29 registration of the Special Financial Services Provider.

ja-jp	（監督処分の公告）
en-us	(Public Notice of Supervisory Measures)

ja-jp	第五十七条の七　内閣総理大臣は、次に掲げる場合には、内閣府令で定めるところにより、その旨を公告しなければならない。
en-us	Article 57-7 In the cases set forth as follows, the Prime Minister shall make a public notice indicating as follows, pursuant to the provisions of Cabinet Office Ordinance:

ja-jp	一　前条第一項の規定により業務の全部又は一部の停止を命じたとき。
en-us	(i) the Prime Minister orders the suspension of all or a part of business activities pursuant to the provisions of paragraph (1) of the preceding Article; or

ja-jp	二　前条第三項の規定により第二十九条の登録を取り消したとき。
en-us	(ii) the Prime Minister rescinds an Article 29 registration pursuant to the provisions of paragraph (3) of the preceding Article.

ja-jp	（登録等の抹消）
en-us	(Deletion of Registration)

ja-jp	第五十七条の八　内閣総理大臣は、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したときは、当該登録を抹消しなければならない。
en-us	Article 57-8 (1) If the Prime Minister rescinds an Article 29 registration pursuant to the provisions of Article 57-6, paragraph (3), the Prime Minister must delete that registration.

ja-jp	２　内閣総理大臣は、第五十七条の二第六項第二号の規定による届出を受理したときは、同条第七項に規定する特別金融商品取引業者である旨の付記を抹消しなければならない。
en-us	(2) If the Prime Minister accepts a notification under the provisions of Article 57-2, paragraph (6), item (ii), the Prime Minister must delete the supplementary note indicating that the person is a Special Financial Services Provider as prescribed in paragraph (7) of that Article.

ja-jp	（残務の結了）
en-us	(Completion of Remaining Business)

ja-jp	第五十七条の九　第五十条の二第八項の規定は、特別金融商品取引業者が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た場合における当該特別金融商品取引業者であつた者について準用する。この場合において、当該特別金融商品取引業者であつた者は、顧客取引を結了する目的の範囲内において、なお金融商品取引業者とみなす。
en-us	Article 57-9 The provisions of Article 50-2, paragraph (8) apply mutatis mutandis to a person that was a Special Financial Services Provider if the Special Financial Services Provider has had the registration referred to in Article 29 rescinded pursuant to the provisions of Article 57-6, paragraph (3). In such a case, the person that was the Special Financial Services Provider is deemed to still be a Financial Services Provider inasmuch as the task of completing Customer Transactions is concerned.

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

ja-jp	第五十七条の十　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、特別金融商品取引業者の子会社等に対し当該特別金融商品取引業者の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子会社等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（当該特別金融商品取引業者の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 57-10 (1) 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 the Subsidiary Company, etc. of a Special Financial Services Provider to submit reports or materials that should serve as a reference in connection with the assets of the Special Financial Services Provider, and may have the relevant officials inspect the state of the business or assets, or the books and documents or any other articles, of such a Subsidiary Company, etc. (but only as is necessary in connection with the property of the Special Financial Services Provider).

ja-jp	２　前項の「子会社等」とは、親会社等（他の会社等（会社、組合その他これらに準ずる事業体をいい、外国におけるこれらに相当するものを含む。以下この項において同じ。）の財務及び営業又は事業の方針を決定する機関（株主総会その他これに準ずる機関をいう。以下この項において「意思決定機関」という。）を支配している会社等として内閣府令で定めるものをいう。）によりその意思決定機関を支配されている他の会社等をいう。この場合において、親会社等及び子会社等又は子会社等が他の会社等の意思決定機関を支配している場合における当該他の会社等は、その親会社等の子会社等とみなす。
en-us	(2) The term "Subsidiary Company, etc." as used in the preceding paragraph means a second company, etc. with a parent company, etc. (meaning a company, etc. (meaning a company, partnership, or other equivalent business entity, including anything that is equivalent to these in a foreign state; hereinafter the same applies in this paragraph) specified by Cabinet Office Ordinance as a first company, etc. that controls the mechanism that decides the financial and operational or business policies of a second company, etc. (meaning the shareholders or other equivalent body; hereinafter referred to as the "Decision-Making Body" in this paragraph)) that controls its Decision-Making Body. In such a case, a second company, etc. whose Decision-Making Body is controlled by a parent company, etc. and its Subsidiary Company, etc. or whose Decision-Making Body is controlled by the Subsidiary Company, etc. of such a parent company, etc. is deemed to be a Subsidiary Company, etc. of that parent company, etc.

ja-jp	第五十七条の十一　内閣総理大臣は、第五十七条の六第一項又は第三項の規定に基づいて処分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	Article 57-11 (1) 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 a disposition based on the provisions of Article 57-6, paragraph (1) or (3), the Prime Minister must conduct a hearing.

ja-jp	２　内閣総理大臣は、第五十七条の六第一項又は第三項の規定に基づいて処分をすることとしたときは、書面により、その旨を特別金融商品取引業者に通知しなければならない。
en-us	(2) If the Prime Minister decides to issue a disposition based on the provisions of Article 57-6, paragraph (1) or (3), the Prime Minister must notify the Special Financial Services Provider of this in writing.

ja-jp	第二款　指定親会社
en-us	Subsection 2 Designated Parent Company

ja-jp	第五十七条の十二　内閣総理大臣は、特別金融商品取引業者の親会社（第五十七条の二第八項に規定する親会社をいう。以下この節において同じ。）又はその子法人等が次に掲げる要件のいずれかに該当する場合において、当該親会社及びその子法人等の業務の健全かつ適切な運営を確保することが公益又は投資者保護のため特に必要であると認められるときは、当該親会社をこの款の規定の適用を受ける者として指定するものとする。
en-us	Article 57-12 (1) If the Parent Company (meaning a Parent Company as prescribed in Article 57-2, paragraph (8); hereinafter the same applies in this Section) of a Special Financial Services Provider or its Subsidiary Corporation, etc. satisfies one of the following requirements, and the Prime Minister finds that ensuring the sound and appropriate operation of the business of the Parent Company and its Subsidiary Corporations, etc. is particularly necessary in the public interest or for the protection of investors, the Prime Minister is to designate the Parent Company as a person that is subject to the application of the provisions of this Subsection:

ja-jp	一　当該親会社が当該特別金融商品取引業者の経営管理を事業として行つていること。
en-us	(i) the Parent Company does the management and administration of the Special Financial Services Provider in the course of trade; or

ja-jp	二　当該親会社又はその子法人等が当該特別金融商品取引業者に対し、その業務の運営のために必要な資金の貸付け、債務の保証その他これらに類する資金調達に関する支援であつて、その停止が当該特別金融商品取引業者の業務の健全かつ適切な運営に著しい支障を及ぼすおそれがあると認められるものを行つていること。
en-us	(ii) the Parent Company or its Subsidiary Corporation, etc. lends funds to, guarantees obligations for, or provides other similar assistance with fund procurement to the Special Financial Services Provider for the purpose of its business operations, and it is found that the suspension of such assistance would be likely to substantially compromise the sound and appropriate operation of the business of the Special Financial Services Provider.

ja-jp	２　内閣総理大臣は、特別金融商品取引業者の親会社及びその子法人等の集団が、その業務の運営及び財産の状況について、他の法令に基づいて行政機関の適切な監督を受けていると認められる場合（外国の法令に基づいて外国の行政機関その他これに準ずるものの適切な監督を受けていると認められる場合を含む。）には、前項の規定による指定をしないことができる。
en-us	(2) If the group consisting of the Parent Company of a Special Financial Services Provider and its Subsidiary Corporations, etc. is found to be under appropriate supervision by an administrative organization based on other laws and regulations (including if the group is found to be under appropriate supervision by a foreign administrative organization or any other equivalent organization based on foreign laws and regulations) with respect to the state of its business operations and assets, the Prime Minister may choose not to make the designation under the provisions of the preceding paragraph.

ja-jp	３　内閣総理大臣は、第一項の規定による指定をしたときは、書面により、その旨並びに当該指定に係る特別金融商品取引業者（以下「対象特別金融商品取引業者」という。）の商号及び当該指定を受けた者（以下「指定親会社」という。）が最終指定親会社（指定親会社であつて、その親会社のうちに当該指定親会社と同一の対象特別金融商品取引業者に係る指定親会社である会社がないものをいう。以下この款において同じ。）であるか否かの別を当該指定親会社に通知しなければならない。これらの事項に変更があつたときも、同様とする。
en-us	(3) Upon effecting a designation under the provisions of paragraph (1), the Prime Minister shall notify the person subject to the designation (hereinafter referred to as "Designated Parent Company") in writing of this, as well as notifying it of the trade name of the Special Financial Services Provider connected with that designation (hereinafter referred to as "Subject Special Financial Services Provider"), and whether or not it, as the Designated Parent Company, is the highest Designated Parent Company (meaning a Designated Parent Company that does not have a Parent Company which is the Designated Parent Company of the same Subject Special Financial Services Provider as itself; hereinafter the same applies in this Subsection). The same applies if these matters change.

ja-jp	４　内閣総理大臣は、第一項の規定による指定をしたときは、指定親会社の商号又は名称及び本店又は主たる事務所（外国会社にあつては、国内に事務所があるときは、国内における主たる事務所を含む。次条第一項第四号において同じ。）の所在地並びに対象特別金融商品取引業者の商号を官報で公示しなければならない。これらの事項に変更があつたときも、同様とする。
en-us	(4) Upon making a designation under the provisions of paragraph (1), the Prime Minister shall make public notice of the trade name or name and the location of the head office or principal office of the Designated Parent Company (for a foreign company that has an office in Japan, this includes the location of its principal office in Japan; hereinafter the same applies in paragraph (1), item (iv) of the following Article), and the trade name of the Subject Special Financial Services Provider in the official gazette. The same applies if one of these particulars changes.

ja-jp	５　内閣総理大臣は、指定親会社について第一項の規定による指定を受けるべき事由が消滅したと認めるときは、当該指定を解除するとともに、書面により、その旨を当該指定を解除されることとなる指定親会社に通知しなければならない。
en-us	(5) If the Prime Minister finds that the grounds for a Designated Parent Company becoming subject to a designation under the provisions of paragraph (1) have ceased to exist, the Prime Minister, in addition to cancelling that designation, must give written notice of this to the Designated Parent Company whose designation is being cancelled.

ja-jp	６　内閣総理大臣は、前項の規定により指定を解除したときは、その旨を官報で公示しなければならない。
en-us	(6) If the Prime Minister cancels a designation pursuant to the provisions of the preceding paragraph, the Prime Minister shall issue public notice of this in the official gazette.

ja-jp	（指定親会社による書類の届出等）
en-us	(Notification by a Designated Parent Company )

ja-jp	第五十七条の十三　指定親会社は、前条第一項の規定による指定を受けた日から起算して政令で定める期間を経過する日までに、次に掲げる事項を記載した書類を内閣総理大臣に届け出なければならない。ただし、当該指定親会社が当該日までに対象特別金融商品取引業者の親会社でなくなつた場合は、この限りでない。
en-us	Article 57-13 (1) A Designated Parent Company shall submit a document to the Prime Minister in which it states the following particulars, by the day on which the period specified by Cabinet Order has elapsed since the day it became subject to the designation under the provisions of paragraph (1) of the preceding Article; provided, however, that this does not apply if the Designated Parent Company is no longer the Parent Company of the Subject Special Financial Services Provider by such day:

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

ja-jp	二　資本金の額又は出資の総額
en-us	(ii) the amount of stated capital or the total amount of contributions;

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

ja-jp	四　本店又は主たる事務所の名称及び所在地
en-us	(iv) the name and location of its head office or principal office;

ja-jp	五　当該指定親会社及びその子法人等の集団が、その業務の運営及び財産の状況について、他の法令に基づいて行政機関の監督を受けている場合（外国の法令に基づいて外国の行政機関その他これに準ずるものの監督を受けている場合を含む。）には、その旨
en-us	(v) if applicable, an indication that the group consisting of the Designated Parent Company and its Subsidiary Corporations, etc. is under the supervision of an administrative organization based on other laws and regulations (including if the group is under the supervision of a foreign administrative organization or any other equivalent organization based on foreign laws and regulations) with respect to the state of its business operations and assets;

ja-jp	六　当該指定親会社による対象特別金融商品取引業者の経営管理又は当該指定親会社若しくはその子法人等による対象特別金融商品取引業者に対する資金調達に関する支援の内容及び方法として内閣府令で定める事項
en-us	(vi) the things specified by Cabinet Office Ordinance as constituting the business outline and business methods as regards the management andadministration of the Subject Special Financial Services Provider by the Designated Parent Company or assistance with fund procurement given to the Subject Special Financial Services Provider by the Designated Parent Company or its Subsidiary Corporation, etc.; and

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

ja-jp	２　前項の書類には、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 document referred to in the preceding paragraph:

ja-jp	一　第五十七条の二十第一項第一号及び第四号（外国会社にあつては、同項第一号）のいずれにも該当しないことを誓約する書面
en-us	(i) a document pledging that the Designated Parent Company does not fall under the purview of Article 57-20, paragraph (1), item (i) or (iv) (in the case of a foreign company, item (i) of that paragraph); and

ja-jp	二　定款、登記事項証明書その他内閣府令で定める書類
en-us	(ii) its articles of incorporation, its certificate of registered information, and other documents specified by Cabinet Office Ordinance.

ja-jp	３　前項第二号に掲げる書類を添付する場合において、定款が電磁的記録で作成されているときは、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) As concerns the documents set forth in item (ii) of the preceding paragraph accompanying the document under paragraph (1), if the articles of incorporation have been prepared as electronic or magnetic records, such electronic or magnetic records (limited to those specified by Cabinet Office Ordinance) may accompany that document in lieu of written documents.

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

ja-jp	第五十七条の十四　指定親会社は、前条第一項各号に掲げる事項について変更があつたときは、その日から二週間以内に、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 57-14 If the particulars set forth in one of the items of paragraph (1) of the preceding Article changes, the Designated Parent Company must notify the Prime Minister of this within two weeks from the day of the change, pursuant to the provisions of Cabinet Office Ordinance.

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

ja-jp	第五十七条の十五　最終指定親会社は、最終指定親会社になつた日から起算して政令で定める期間が経過した日の属する事業年度以降、内閣府令で定めるところにより、当該最終指定親会社及びその子法人等の業務及び財産の状況を連結して記載した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 57-15 (1) In and after the business year that includes the day on which the period specified by Cabinet Order elapses counting from the day on which a company becomes the highest Designated Parent Company and pursuant to the provisions of Cabinet Office Ordinance, the highest Designated Parent Company shall prepare a business report on a consolidated basis, in which it describes the state of the business and assets of the highest Designated Parent Company and its Subsidiary Corporations, etc., and submit this business report to the Prime Minister within three months after the end of each business year.

ja-jp	２　最終指定親会社は、前項の規定により事業報告書を提出するほか、内閣府令で定めるところにより、当該最終指定親会社及びその子法人等の業務又は財産の状況を内閣総理大臣に報告しなければならない。
en-us	(2) In addition to submitting a business report pursuant to the provisions of the preceding paragraph, the highest Designated Parent Company shall report the state of the business and assets of the highest Designated Parent Company and its Subsidiary Corporations, etc. to the Prime Minister pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	３　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、最終指定親会社に対し、政令で定めるところにより第一項の事業報告書の全部又は一部の公告を命ずることができる。
en-us	(3) If the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister, pursuant to the provisions of Cabinet Order, may order the highest Designated Parent Company to make public notice of all or part of the business report referred to in paragraph (1).

ja-jp	（説明書類の縦覧）
en-us	(Public Inspection of Explanatory Documents)

ja-jp	第五十七条の十六　最終指定親会社は、最終指定親会社になつた日から起算して政令で定める期間が経過した日の属する事業年度以降、当該最終指定親会社及びその子法人等の業務及び財産の状況に関する事項として内閣府令で定めるものを当該最終指定親会社及びその子法人等につき連結して記載した説明書類を作成し、毎事業年度経過後政令で定める期間を経過した日から一年間、これを対象特別金融商品取引業者のすべての営業所又は事務所に備え置き、公衆の縦覧に供しなければならない。
en-us	Article 57-16 In and after the business year that includes the day on which the period specified by Cabinet Order elapses counting from the day on which a company becomes the highest Designated Parent Company, the highest Designated Parent Company shall prepare explanatory documents on a consolidated basis for the highest Designated Parent Company and its Subsidiary Corporations, etc., stating the particulars specified by Cabinet Office Ordinance as pertinent to the state of the business and assets of the highest Designated Parent Company and its Subsidiary Corporations, etc., and shall keep these explanatory documents at all of the business offices and offices of the Subject Special Financial Services Provider and make them available for public inspection during the one–year period beginning from the day on which the period specified by Cabinet Order elapses following the end of each business year.

ja-jp	（経営の健全性の状況を記載した書面の届出等）
en-us	(Written Notification Stating the Soundness of Management)

ja-jp	第五十七条の十七　内閣総理大臣は、対象特別金融商品取引業者の業務の健全かつ適切な運営に資するため、最終指定親会社が当該最終指定親会社及びその子法人等の経営の健全性を判断するための基準として、当該最終指定親会社及びその子法人等の保有する資産等に照らし当該最終指定親会社及びその子法人等の自己資本の充実の状況が適当であるかどうかの基準その他の最終指定親会社及びその子法人等の経営の健全性の状況を表示する基準を定めなければならない。
en-us	Article 57-17 (1) In order to contribute to the sound and appropriate operation of the business of a Subject Special Financial Services Provider, the Prime Minister shall establish criteria for whether the capital adequacy of the highest Designated Parent Company and its Subsidiary Corporations, etc. is appropriate in light of the assets, etc. held by the highest Designated Parent Company and its Subsidiary Corporations, etc. and other criteria that indicate soundness in the management of the highest Designated Parent Company and its Subsidiary Corporations, etc., as criteria by which the highest Designated Parent Company is to judge the soundness in the management of the highest Designated Parent Company and its Subsidiary Corporations, etc.

ja-jp	２　最終指定親会社は、最終指定親会社になつた日から起算して政令で定める期間が経過した日の属する四半期以降、四半期ごとに、内閣府令で定めるところにより、当該四半期の末日における前項に規定する基準を用いて表示される経営の健全性の状況（次項及び第五十七条の二十一第一項から第三項までにおいて単に「経営の健全性の状況」という。）を記載した書面を内閣総理大臣に届け出なければならない。
en-us	(2) For each quarter in and after the quarter that includes the day on which the period specified by Cabinet Order elapses counting from the day on which a company becomes the highest Designated Parent Company, the highest Designated Parent Company shall submit a document to the Prime Minister in which it describes the soundness of its management as of the last day of the quarter, as indicated by the criteria prescribed in the preceding paragraph (hereinafter simply referred to as "Soundness of Management" in the following paragraph and Article 57-21, paragraphs (1) to (3) inclusive), pursuant to the provisions of Cabinet Office Ordinance in each quarter

ja-jp	３　最終指定親会社は、最終指定親会社になつた日から起算して政令で定める期間が経過した日の属する四半期以降、四半期ごとに、当該四半期の末日から起算して政令で定める期間を経過した日から三月間、内閣府令で定めるところにより、経営の健全性の状況を記載した書面を対象特別金融商品取引業者のすべての営業所又は事務所に備え置き、公衆の縦覧に供しなければならない。
en-us	(3) For each quarter in and after the quarter that includes the day on which the period specified by Cabinet Order elapses counting from the day on which a company becomes the highest Designated Parent Company, the highest Designated Parent Company shall keep a document in which it describes the Soundness of Management at all of the business offices or offices of the Subject Special Financial Services Provider and make this document available for public inspection during the three-month period beginning from the day on which the period specified by Cabinet Order elapses counting from the end of the quarter, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	第五十七条の十八　指定親会社は、次の各号のいずれかに該当することとなつたときは、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	Article 57-18 (1) If a Designated Parent Company comes to fall under any 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　他の法人と合併したとき（当該指定親会社が合併により消滅したときを除く。）
en-us	(i) it merges with another corporation (unless the Designated Parent Company disappears in the merger);

ja-jp	二　破産手続開始、再生手続開始又は更生手続開始の申立てを行つたとき。
en-us	(ii) it files a petition to commence bankruptcy proceedings, rehabilitation proceedings, or reorganization proceedings; or

ja-jp	三　その他内閣府令で定める場合に該当するとき。
en-us	(iii) it falls under any other case specified by Cabinet Office Ordinance.

ja-jp	２　指定親会社が次の各号のいずれかに該当することとなつたときは、当該各号に定める者は、その日から三十日以内に、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 Designated Parent Company comes to fall under one of the following items, the person specified in that item must notify the Prime Minister of this within 30 days from the day in question:

ja-jp	一　対象特別金融商品取引業者の親会社でなくなつたとき　当該指定親会社であつた会社
en-us	(i) it comes to no longer be the Parent Company of the Subject Special Financial Services Provider: the company that used to be the Designated Parent Company;

ja-jp	二　合併により消滅したとき　当該指定親会社を代表する役員であつた者
en-us	(ii) it disappears in a merger: the officer that represented the Designated Parent Company;

ja-jp	三　破産手続開始の決定により解散したとき　その破産管財人
en-us	(iii) it dissolves as a result of an order to commence bankruptcy proceedings: the bankruptcy trustee; or

ja-jp	四　合併及び破産手続開始の決定以外の理由により解散したとき　その清算人
en-us	(iv) it dissolves for reasons other than a merger or an order to commence bankruptcy proceedings: the liquidator.

ja-jp	３　指定親会社が前項各号のいずれかに該当することとなつたときは、第五十七条の十二第一項の規定による指定は、その効力を失う。
en-us	(3) If a Designated Parent Company comes to fall under one of the items of the preceding paragraph, the designation under the provisions of Article 57-12, paragraph (1) ceases to be valid.

ja-jp	４　内閣総理大臣は、第二項の規定による届出があつたときは、前項の規定により指定が効力を失つた旨を官報で公示しなければならない。
en-us	(4) If there has been a notification under the provisions of paragraph (2), the Prime Minister shall issue public notice that the designation has lost its validity pursuant to the provisions of the preceding paragraph in the official gazette.

ja-jp	（指定親会社等に対する業務改善命令）
en-us	(Issuing a Business Improvement Order to a Designated Parent Company)

ja-jp	第五十七条の十九　内閣総理大臣は、指定親会社の業務又は当該指定親会社及びその子法人等の財産の状況に照らし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、その必要の限度において、当該指定親会社に対し、対象特別金融商品取引業者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 57-19 (1) If the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors in light of the state of the business of a Designated Parent Company or the state of the assets of a Designated Parent Company and its Subsidiary Corporations, etc., the Prime Minister, within the scope of this necessity, may order the Designated Parent Company to take measures that are necessary for improving the state of the business operations or the assets of Subject Special Financial Services Provider.

ja-jp	２　内閣総理大臣は、指定親会社に対し前項の規定による命令をした場合において、当該命令に係る措置の実施の状況に照らして特に必要があると認めるときは、対象特別金融商品取引業者に対し、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	(2) If the Prime Minister issues an order under the provisions of the preceding paragraph to a Designated Parent Company and finds it to be particularly necessary in light of the execution status of measures under that order, the Prime Minister may order the Subject Special Financial Services Provider to take measures that are necessary for improving its business operations or the state of its assets.

ja-jp	（指定親会社等に対する措置命令等）
en-us	(Order for Measures to Be Taken by a Designated Parent Company)

ja-jp	第五十七条の二十　内閣総理大臣は、指定親会社が次の各号のいずれかに該当する場合においては、当該指定親会社に対し三月以内の期間を定めて対象特別金融商品取引業者の親会社でなくなるための措置その他必要な措置を取るべきことを命ずることができる。
en-us	Article 57-20 (1) If a Designated Parent Company falls under one of the following items, the Prime Minister may order the Designated Parent Company to take measures so that it will cease to be the Parent Company of a Subject Special Financial Instruments Services Provider or to take other necessary measures within a fixed a period of no longer than three months:

ja-jp	一　役員のうちに第二十九条の四第一項第二号イからトまでのいずれかに該当する者があるとき。
en-us	(i) it has a person falling under one of sub-items (a) to (g) inclusive of Article 29-4, paragraph (1), item (ii) as an officer;

ja-jp	二　その行う事業が公益に反すると認められるとき。
en-us	(ii) its business is found to be contrary to the public interest;

ja-jp	三　指定親会社の人的構成に照らして、対象特別金融商品取引業者の業務の健全かつ適切な運営を損なうおそれがあるとき。
en-us	(iii) in light of the personnel structure of the Designated Parent Company, the sound and appropriate operation of the business of the Subject Special Financial Services Provider is likely to be impaired; or

ja-jp	四　内国会社である場合においては、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	(iv) it is a domestic company, but is not a stock company (meaning a stock company that has in place the following organs):

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

ja-jp	ロ　監査役会又は委員会
en-us	(b) a board of company auditors or committees; and

ja-jp	２　内閣総理大臣は、指定親会社が次の各号のいずれかに該当する場合においては、当該指定親会社に対し三月以内の期間を定めて対象特別金融商品取引業者の親会社でなくなるための措置その他必要な措置をとるべきことを命じ、又は対象特別金融商品取引業者に対し六月以内の期間を定めて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	(2) If a Designated Parent Company falls under one of the following items, the Prime Minister may order the Designated Parent Company to take measures so that it will cease to be the Parent Company of a Subject Special Financial Services Provider or to take other necessary measures within a fixed period of no longer than three months, or may order the Subject Special Financial Services Provider to suspend all or a part of its business activities during a fixed period of no longer than six months:

ja-jp	一　法令又は法令に基づいてする内閣総理大臣の処分に違反したとき。
en-us	(i) it violates a law or regulation or a disposition by the Prime Minister based on a law or regulation; or

ja-jp	二　業務又は財産の状況に照らし支払不能に陥るおそれがあるとき。
en-us	(ii) in light of the state of its business or assets, it is likely to become insolvent.

ja-jp	３　内閣総理大臣は、指定親会社の役員（外国会社にあつては、国内における事務所に駐在する役員に限る。以下この項において同じ。）が、第二十九条の四第一項第二号イからトまでのいずれかに該当することとなつたとき、又は前項第一号に該当することとなつたときは、当該指定親会社に対して、当該役員の解任を命ずることができる。
en-us	(3) If the officer of a Designated Parent Company (for a foreign company, this is limited to an officer stationed at its domestic offices; hereinafter the same applies in this paragraph) comes to fall under one of the categories in Article 29-4, paragraph (1), item (ii), sub-items (a) to (g) inclusive, or comes to fall under item (i) of the preceding paragraph, the Prime Minister may order the Designated Parent Company to dismiss that officer.

ja-jp	（経営の健全性の状況に応じた監督処分）
en-us	(Supervisory Measures Corresponding with the Soundness of Management)

ja-jp	第五十七条の二十一　内閣総理大臣は、最終指定親会社及びその子法人等における経営の健全性の状況に照らし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、その必要の限度において、当該最終指定親会社に対し、監督上必要な事項を命ずることができる。
en-us	Article 57-21 (1) If the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors in light of the Soundness of Management of a highest Designated Parent Company and its Subsidiary Corporations, etc., the Prime Minister, within the scope of this necessity, may issue orders to the highest Designated Parent Company with regard to matters that are necessary from a supervisor perspective.

ja-jp	２　内閣総理大臣は、最終指定親会社に対し前項の規定による命令をした場合において、その日から三月を経過した日において当該最終指定親会社及びその子法人等の経営の健全性の状況が改善せず、かつ、改善する見込みがないと認められるときは、当該最終指定親会社に対し三月以内の期間を定めて対象特別金融商品取引業者の親会社でなくなるための措置その他必要な措置をとるべきことを命ずることができる。
en-us	(2) If the Prime Minister issues an order under the provisions of the preceding paragraph to a highest Designated Parent Company, and the Soundness of Management of the highest Designated Parent Company and its Subsidiary Corporation, etc. does not improve and is found to have no prospect of improving as of the day on which three months have elapsed since the day of the order, the Prime Minister may order the highest Designated Parent Company to take measures so that it will cease to be the Parent Company of the Subject Special Financial Services Provider or to take other necessary measures, within a fixed period of no longer than three months.

ja-jp	３　前二項の規定による命令は、最終指定親会社及びその子法人等の経営の健全性の状況に係る区分に応じて行うものとし、内閣総理大臣は、当該区分及びこれに応じた命令の内容をあらかじめ定め、これを公示しなければならない。
en-us	(3) An order under the provisions of the preceding two paragraphs is to be given so as to correspond with the classification of the Soundness of Management of the highest Designated Parent Company and its Subsidiary Corporations, etc., and the Prime Minister must determine such classifications and the nature of the corresponding orders in advance and make public notice of the same .

ja-jp	４　内閣総理大臣は、最終指定親会社に対し第一項の規定による命令をした場合において、当該命令に係る措置の実施の状況に照らして特に必要があると認めるときは、対象特別金融商品取引業者に対し、監督上必要な措置をとるべきことを命ずることができる。
en-us	(4) If the Prime Minister issues an order under the provision of paragraph (1) to a highest Designated Parent Company and finds it to be particularly necessary in light of the execution status of measures under that order, the Prime Minister may order the Subject Special Financial Services Provider to take any measures that are necessary from a supervisory perspective.

ja-jp	（監督処分の公告）
en-us	(Public Notice of Supervisory Measures)

ja-jp	第五十七条の二十二　内閣総理大臣は、次に掲げる場合には、内閣府令で定めるところにより、その旨を公告しなければならない。
en-us	Article 57-22 In the cases set forth as follows, the Prime Minister shall make a public notice indicating as follows, pursuant to the provisions of Cabinet Office Ordinance:

ja-jp	一　第五十七条の二十第一項の規定により措置をとるべきことを命じたとき。
en-us	(i) the Prime Minister orders measures to be taken pursuant to the provisions of Article 57-20, paragraph (1);

ja-jp	二　第五十七条の二十第二項の規定により措置をとるべきことを命じ、又は業務の全部若しくは一部の停止を命じたとき。
en-us	(ii) the Prime Minister orders measures to be taken pursuant to the provisions of Article 57-20, paragraph (2), or orders the suspension of all or a part of business activities; or

ja-jp	三　前条第二項の規定により措置をとるべきことを命じたとき。
en-us	(iii) the Prime Minister orders measures to be taken pursuant to the provisions of paragraph (2) of the preceding Article.

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

ja-jp	第五十七条の二十三　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、指定親会社、これと取引をする者、当該指定親会社の子会社等（第五十七条の十第二項に規定する子会社等をいう。以下この条において同じ。）若しくは当該指定親会社から業務の委託を受けた者に対し対象特別金融商品取引業者若しくは当該指定親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（当該子会社等にあつては、当該対象特別金融商品取引業者又当該指定親会社の財産に関し参考となるべき報告又は資料に限る。）の提出を命じ、又は当該職員に当該指定親会社、当該子会社等若しくは当該指定親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（当該子会社等にあつては当該対象特別金融商品取引業者又は当該指定親会社の財産に関し必要な検査に、当該指定親会社から業務の委託を受けた者にあつては当該対象特別金融商品取引業者又は当該指定親会社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 57-23 (1) 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 Designated Parent Company, a person that conducts transactions with a Designated Parent Company, the Subsidiary Company, etc. of a Designated Parent Company (meaning a Subsidiary Company, etc. provided for in Article 57-10, paragraph (2); hereinafter the same applies in this Article), or the person that a Designated Parent 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 Subject Special Financial Services Provider or the Designated Parent Company (but may only order a Subsidiary Company, etc. to submit reports or materials that should serve as a reference in connection with the assets of the Subject Special Financial Services Provider or the Designated Parent Company), and may have the relevant officials inspect the state of the business or assets, documents, and other objects of a Designated Parent Company, a Subsidiary Company, etc., or the person that a Designated Parent Company has entrusted with its business (but may only have the relevant officials inspect a Subsidiary Company, etc. as is necessary in connection with the assets of the Subject Special Financial Services Provider or the Designated Parent Company, and may only have the relevant officials inspect the person that a Designated Parent Company has entrusted with its business as is necessary in connection with the business or assets of the Subject Special Financial Services Provider or the Designated Parent Company).

ja-jp	第五十七条の二十四　内閣総理大臣は、第五十七条の十九、第五十七条の二十第一項若しくは第二項又は第五十七条の二十一第一項、第二項若しくは第四項の規定に基づいて処分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	Article 57-24 (1) 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 a disposition based on the provisions of Article 57-19, Article 57-20, paragraph (1) or (2) or Article 57-21, paragraph (1), (2) or (4), the Prime Minister must conduct a hearing.

ja-jp	２　内閣総理大臣は、第五十七条の十九、第五十七条の二十又は第五十七条の二十一第一項、第二項若しくは第四項の規定に基づいて処分をすることとしたときは、書面により、その旨を指定親会社又は対象特別金融商品取引業者に通知しなければならない。
en-us	(2) If the Prime Minister decides to issue a disposition based on the provisions of Article 57-19; Article 57-20; or Article 57-21, paragraph (1), (2), or (4), the Prime Minister must notify the Designated Parent Company or the Subject Special Financial Services Provider of this in writing.

ja-jp	第五十七条の二十五　第五十七条の三から第五十七条の七まで、第五十七条の八第一項、第五十七条の九及び第五十七条の十一の規定は対象特別金融商品取引業者については、適用しない。
en-us	Article 57-25 The provisions of Articles 57-3 to 57-7 inclusive; Article 57-8, paragraph (1); Article 57-9; and Article 57-11 do not apply to a Subject Special Financial Services Provider.

ja-jp	第三款　雑則
en-us	Subsection 3 Miscellaneous Provisions

ja-jp	（指定親会社の主要株主に関する措置）
en-us	(Measures concerning the Major Shareholders of a Designated Parent Company)

ja-jp	第五十七条の二十六　第三十二条第一項及び第二項、第三十二条の二第一項並びに第三十二条の三第一項の規定は、指定親会社の株主又は出資者について準用する。
en-us	Article 57-26 (1) The provisions of Article 32, paragraphs (1) and (2); Article 32-2, paragraph (1); and Article 32-3, paragraph (1) apply mutatis mutandis to the Shareholders and equity investors of a Designated Parent Company.

ja-jp	２　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、指定親会社の主要株主（第二十九条の四第二項に規定する主要株主をいう。以下この項において同じ。）に対し前項において準用する第三十二条第一項若しくは第二項、第三十二条の二第一項若しくは第三十二条の三第一項の届出若しくは措置若しくは対象特別金融商品取引業者若しくは当該指定親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主要株主の書類その他の物件の検査（前項において準用する第三十二条第一項若しくは第二項、第三十二条の二第一項若しくは第三十二条の三第一項の届出若しくは措置又は当該対象特別金融商品取引業者若しくは当該指定親会社の業務若しく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	(2) 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 the Major Shareholder of a Designated Parent Company (meaning a Major Shareholder as prescribed in Article 29-4, paragraph (2); hereinafter the same applies in this paragraph) to submit reports or materials that should serve as reference with regard to a notification or measures under Article 32, paragraph (1) or (2); Article 32-2, paragraph (1); or Article 32-3, paragraph (1) as applied mutatis mutandis pursuant to the provisions of the preceding paragraph, or with regard to the business or assets of the Subject Special Financial Services Provider or the Designated Parent Company, or may have the relevant officials inspect documents or other articles of such a Major Shareholder (but only as is necessary in connection with the notification or measures under Article 32, paragraph (1) or (2); Article 32-2, paragraph (1); or Article 32-3, paragraph (1) as applied mutatis mutandis pursuant to the provisions of the preceding paragraph or in connection with the business or assets of the Subject Special Financial Services Provider or the Designated Parent Company).

ja-jp	（外国会社に対するこの法律の規定の適用に当たつての技術的読替え等）
en-us	(Technical Replacement of Terms for the Application of the Provisions of This Act to a Foreign Company)

ja-jp	第五十七条の二十七　特別金融商品取引業者の親会社が外国会社である場合において、この法律の規定の適用に当たつての技術的読替えその他当該外国会社に対するこの法律の規定の適用に関し必要な事項は、政令で定める。
en-us	Article 57-27 The technical replacement of the terms for the application of the provisions of this Act to the Parent Company of a Special Financial Services Provider that is a foreign company and necessary particulars otherwise relevant to the application of the provisions of this Act to such a foreign company are specified by Cabinet Order.

ja-jp	第五節　外国業者に関する特例
en-us	Section 5 Special Provisions for Foreign Persons or Firms

ja-jp	第一款　外国証券業者
en-us	Subsection 1 Foreign Securities Services Provider

ja-jp	第五十八条　この節において「外国証券業者」とは、金融商品取引業者及び銀行、協同組織金融機関その他政令で定める金融機関以外の者で、外国の法令に準拠し、外国において有価証券関連業を行う者をいう。
en-us	Article 58 The term "Foreign Securities Services Provider" as used in this Section means a person other than a Financial Services Provider, bank, Cooperative Financial Institution, or financial institution specified by Cabinet Order, which is governed by foreign laws and regulations, and which engages in Securities Services in a foreign state.

ja-jp	（外国証券業者が行うことのできる業務）
en-us	(Services in Which a Foreign Securities Services Provider May Engage)

ja-jp	第五十八条の二　外国証券業者は、国内にある者を相手方として第二十八条第八項各号に掲げる行為を行つてはならない。ただし、金融商品取引業者のうち、有価証券関連業を行う者を相手方とする場合その他政令で定める場合は、この限りでない。
en-us	Article 58-2 A Foreign Securities Services Provider must not perform any act set forth in the items of Article 28, paragraph (8) with a person in Japan as the counterparty; provided, however, that this does not apply if a Foreign Securities Services Provider performs such an act with a Financial Services Provider engaged in Securities Services as the counterparty, or if it does so in a case that is specified by Cabinet Order.

ja-jp	第二款　引受業務の一部の許可
en-us	Subsection 2 Permission for Some Underwriting Activities

ja-jp	（引受業務の一部の許可）
en-us	(Permission for Some Underwriting Activities)

ja-jp	第五十九条　外国証券業者は、第二十九条及び前条の規定にかかわらず、内閣総理大臣の許可を受けて、その行う有価証券の引受けの業務のうち、元引受契約（第二十一条第四項に規定する元引受契約をいう。次条第一項第六号ヘにおいて同じ。）への参加その他の行為で政令で定めるものを国内において行うこと（以下この節において「引受業務」という。）ができる。
en-us	Article 59 (1) Notwithstanding the provisions of Article 29 and the preceding Article, with the permission of the Prime Minister, a Foreign Securities Services Provider may participate in an Underwriting Contract (meaning an Underwriting Contract as prescribed in Article 21, paragraph (4); hereinafter the same applies in paragraph (1), item (vi), sub-item (f) of the following Article) and perform other acts specified by Cabinet Order in Japan, as a part of the underwriting of Securities that it carries out (hereinafter collectively referred to as the "Underwriting" in this Section).

ja-jp	２　内閣総理大臣は、前項の許可に条件を付することができる。
en-us	(2) The Prime Minister may attach conditions to the permission referred to in the preceding paragraph.

ja-jp	３　前項の条件は、公益又は投資者保護のため必要な最小限度のものでなければならない。
en-us	(3) The conditions referred to in the preceding paragraph must constitute the minimum level of conditions that are necessary for the public interest and the protection of investors.

ja-jp	４　内閣総理大臣は、第二項の規定により条件を付することとしたときは、書面により、その旨を許可申請者に通知しなければならない。
en-us	(4) If the Prime Minister decides to attach conditions pursuant to the provisions of paragraph (2), the Prime Minister must notify the applicant for permission of this in writing.

ja-jp	（引受業務の一部の許可の申請）
en-us	(Application for Permission for Some Underwriting Activities)

ja-jp	第五十九条の二　前条第一項の許可を受けようとする者は、次に掲げる事項（許可申請者が個人である場合には、第三号及び第四号に掲げる事項を除く。）を記載した許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 59-2 (1) A person seeking to obtain the permission referred to in paragraph (1) of the preceding Article must submit a written application for permission to the Prime Minister, in which the person states the following particulars (if the applicant for permission is an individual, the particulars set forth in items (iii) and (iv) are excluded):

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

ja-jp	二　本店又は主たる事務所の所在の場所
en-us	(ii) the location of its head office or principal office;

ja-jp	三　資本金の額又は出資の総額
en-us	(iii) the amount of stated capital or the total amount of contributions;

ja-jp	四　代表権を有する役員の役職名及び氏名
en-us	(iv) the title and the name of the officer that has the authority of representation;

ja-jp	五　当該申請に係る行為を行う者の氏名及び国内の住所又は居所その他の連絡場所
en-us	(v) the name, and the address, residence, or other contact address in Japan, of the person that will perform the activities to which the application pertains;

ja-jp	六　当該申請に係る行為に係る有価証券に関し予定されている次に掲げる事項
en-us	(vi) the following particulars, as scheduled, of the Securities that are connected with the activities to which the application pertains:

ja-jp	イ　発行者又は所有者
en-us	(a) the Issuer or holder;

ja-jp	ロ　種類
en-us	(b) the class;

ja-jp	ハ　数量及び金額
en-us	(c) the volume and amount;

ja-jp	ニ　発行又は売出しの場所
en-us	(d) the issuance or sales location;

ja-jp	ホ　発行又は売出しの日
en-us	(e) the date of issuance or sale;

ja-jp	ヘ　他の引受幹事金融商品取引業者（元引受契約を締結するに際し、当該有価証券の発行者又は所有者と当該元引受契約の内容を確定させるための協議を行う金融商品取引業者をいう。）
en-us	(f) the other Financial Services Provider managing the Underwriting (meaning the Financial Services Provider that holds discussions with the Issuer or holder of the Securities in order to fix the contents of the Underwriting Contract, when an Underwriting Contract is being concluded); and

ja-jp	七　許可申請者が引き受けようとする額
en-us	(vii) the amount that the applicant for permission seeks to underwrite.

ja-jp	２　前項第三号に規定する資本金の額又は出資の総額の計算については、政令で定める。
en-us	(2) The calculation of the amount of stated capital or the total amount of contributions as prescribed in item (iii) of the preceding paragraph is specified by Cabinet Order.

ja-jp	３　第一項の許可申請書には、次に掲げる書類を添付しなければならない。ただし、第一号又は第四号に掲げる書類については、当該書類が同項に規定する許可申請書を提出する日前一年以内に添付して提出された書類と同一内容のものである場合には、当該書類を提出した年月日及び当該書類を参照すべき旨を記載した書類とすることができる。
en-us	(3) The following documents must accompany the written application for permission referred to in paragraph (1); provided, however, that if a document provided for in item (i) or (iv) has the same content as an accompanying document submitted within the one year prior to the date on which the written application for permission provided for in paragraph (1) is submitted, a document stating the submission date of said document and indicating that reference should be made to said document may be used:

ja-jp	一　業務の内容を記載した書類
en-us	(i) a document giving the business outline;

ja-jp	二　最近一年間における引受業務の概要を記載した書類
en-us	(ii) a document summarizing Underwriting in the most recent one-year period;

ja-jp	三　第五十九条の四第一項第一号及び第二号のいずれにも該当しない者であること並びに役員が第二十九条の四第一項第二号イからトまでのいずれにも該当しない者であることを代表権を有する役員が誓約する書面（許可申請者が個人である場合には、当該個人が第五十九条の四第一項第一号及び第二号並びに第二十九条の四第一項第二号イからトまでのいずれにも該当しない者であることを当該個人が誓約する書面）
en-us	(iii) a document in which the officer that has the authority of representation pledges that the applicant does not fall under the purview of Article 59-4, paragraph (1), item (i) or (ii), and that no officer falls under any of the categories in Article 29-4, paragraph (1), item (ii), sub-items (a) to (g) inclusive (if the applicant for permission is an individual, a document in which the individual pledges that said individual does not fall under the purview of Article 59-4, paragraph (1), item (i) or (ii) or under any of the categories in Article 29-4, paragraph (1), item (ii), sub-items (a) to (g) inclusive); and

ja-jp	四　最近一年間に終了する各事業年度に関する貸借対照表及び損益計算書
en-us	(iv) the balance sheet and profit and loss statement for each business year ending in the most recent one-year period.

ja-jp	（引受業務の一部の許可の審査基準）
en-us	(Examination Criteria for Permission for Some Underwriting Activities)

ja-jp	第五十九条の三　内閣総理大臣は、第五十九条第一項の許可をしようとするときは、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 59-3 Before seeking to grant the permission referred to in Article 59, paragraph (1), the Prime Minister shall examine whether there is compliance with the following criteria:

ja-jp	一　外国において、その許可を受けようとする業務と同種類の業務について政令で定める期間以上継続して業務を行つていること。
en-us	(i) the applicant has been continuously engaged in the same type of business in a foreign state as the business for which it seeks to obtain permission, for a period longer than the period specified by Cabinet Order;

ja-jp	二　資本金の額又は出資の総額が、許可を受けようとする業務の態様に応じ、公益又は投資者保護の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法人であること。
en-us	(ii) the applicant is a corporation whose stated capital or total contributions are not less than the amount specified by Cabinet Order as the amount necessary and appropriate in the public interest or for the protection of investors in light of the mode of business for which the applicant seeks to obtain permission; and

ja-jp	三　第二十九条の四第一項第五号ロに規定する純財産額が前号に規定する政令で定める金額以上であること。
en-us	(iii) the net assets provided for in Article 29-4, paragraph (1), item (v), sub-item (b) are not less than the amount specified by Cabinet Order as provided for in the preceding item.

ja-jp	（引受業務の一部の許可の拒否要件）
en-us	(Requirement to Refuse Permission for Some Underwriting Activities)

ja-jp	第五十九条の四　内閣総理大臣は、許可申請者が次の各号のいずれかに該当するとき、又は許可申請書若しくはその添付書類のうちに虚偽の記載があり、若しくは重大な事実の記載が欠けているときは、許可を拒否しなければならない。
en-us	Article 59-4 (1) The Prime Minister must refuse permission if an applicant for permission falls under one of the following items, or if the written application for permission or an accompanying document contains a false statement or omits a statement of material fact:

ja-jp	一　第五十三条第三項の規定により第二十九条の登録を取り消され、次条第一項の規定により第五十九条第一項の許可を取り消され、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、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、又はその本店の所在する国において受けている第二十九条、第六十六条若しくは第六十六条の二十七の登録と同種類の登録（当該登録に類する許可その他の行政処分を含む。）がこの法律に相当する外国の法令の規定により取り消され、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	(i) the applicant is a person that has had the registration referred to in Article 29 rescinded pursuant to the provisions of Article 53, paragraph (3); that has had the permission referred to in Article 59, paragraph (1) rescinded pursuant to the provisions of paragraph (1) of the following Article; that has had the registration referred to in Article 66 rescinded pursuant to the provisions of Article 66-20, paragraph (1); that has had the registration referred to in Article 66-27 rescinded pursuant to Article 66-42, paragraph (1); or that had obtained a registration of the same kind as the registration referred to in Article 29, Article 66, or Article 66-27 in the state where its head office is located (including permission or any other administrative disposition similar to such a registration), but that has had that registration rescinded pursuant to a foreign law or regulation that is equivalent to this Act; and five years have yet to pass since the day of the rescission;

ja-jp	二　この法律、投資信託及び投資法人に関する法律、商品先物取引法、商品投資に係る事業の規制に関する法律、貸金業法若しくは出資の受入れ、預り金及び金利の取締りに関する法律又はこれらに相当する外国の法令の規定に違反し、罰金の刑（これに相当する外国の法令による刑を含む。）に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがないことと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 applicant has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of this Act; the Act on Investment Trusts and Investment Corporations; the Commodity Futures Act; the Act Regulating Business Involving Commodity Investment; the Money Lending Business Act; or the Act Regulating the Receipt of Contributions, the Receipt of Deposits, and Interest Rates; or for violating the provisions of a foreign law or regulation that is equivalent to one of these Acts, and five years have yet to pass since the day on which the applicant finished serving the sentence or ceased to be subject to its enforcement; and

ja-jp	三　役員（いかなる名称を有するかを問わず、当該法人に対し役員と同等以上の支配力を有するものと認められる者を含む。次条第一項第三号、第六十条の三第一項及び第六十条の八第二項において同じ。）又は国内における代表者（外国証券業者の会社法第八百十七条第一項に規定する日本における代表者をいう。以下この節において同じ。）のうちに第二十九条の四第一項第二号イからトまでに掲げる者のいずれかに該当する者のある法人であるとき。
en-us	(iii) the applicant is a corporation that has a person falling under the category of one of the persons set forth in Article 29-4, paragraph (1), item (ii), sub-items (a) to (g) inclusive, as an officer (including a person that is found to have at least the same amount of authority as an officer over the corporation, irrespective of title; hereinafter the same applies in paragraph (1), item (iii) of the following Article, Article 60-3, paragraph (1) and Article 60-8, paragraph (2)) or domestic representative (meaning the representative in Japan of a Foreign Securities Services Provider prescribed in Article 817, paragraph (1) of the Companies Act; hereinafter the same applies in this Section).

ja-jp	２　内閣総理大臣は、第五十九条第一項の許可を拒否しようとするときは、許可申請者に通知して、当該職員に、当該許可申請者につき審問を行わせなければならない。
en-us	(2) Before seeking to refuse the permission referred to in Article 59, paragraph (1), the Prime Minister must notify the applicant for permission and have the relevant officials conduct a hearing regarding the applicant for permission.

ja-jp	３　内閣総理大臣は、第五十九条第一項の許可をし、又はしないこととしたときは、書面によりその旨を許可申請者に通知しなければならない。
en-us	(3) Upon deciding to grant or not to grant the permission referred to in Article 59, paragraph (1), the Prime Minister must notify the applicant for permission of this in writing.

ja-jp	（引受業務の一部の許可の取消し）
en-us	(Rescission of Permission for Some Underwriting Activities)

ja-jp	第五十九条の五　内閣総理大臣は、第五十九条第一項の許可を受けた外国証券業者が次の各号のいずれかに該当する場合には、当該許可を取り消すことができる。
en-us	Article 59-5 (1) If a Foreign Securities Services Provider that obtains the permission referred to in Article 59, paragraph (1) falls under one of the following items, the Prime Minister may rescind its permission:

ja-jp	一　前条第一項第一号又は第二号に該当することとなつたとき。
en-us	(i) the Foreign Securities Services Provider comes to fall under paragraph (1), item (i) or (ii) of the preceding Article;

ja-jp	二　法令（外国の法令を含む。）、当該法令に基づく行政官庁の処分又は当該許可若しくはその本店の所在する国において受けている登録等（第二十九条の登録と同種類の登録（当該登録に類する許可その他行政処分を含む。）をいう。第六十条の三第一項第一号ロ及びトにおいて同じ。）に付された条件に違反した場合において、公益又は投資者保護のため必要かつ適当であると認められるとき。
en-us	(ii) the Foreign Securities Services Provider violates a law or regulation (including a foreign law or regulation) or a disposition by a government agency which is based on a law or regulation, or violates a condition attached to its permission or to the registration, etc. it has obtained in the state where its head office is located (meaning a registration of the same kind as the registration referred to in Article 29 (including permission or any other administrative disposition similar to such a registration); hereinafter the same applies in Article 60-3, paragraph (1), item (i), sub-items (b) and (g)), and rescinding its permission is found to be necessary and appropriate in the public interest or for the protection of investors; or

ja-jp	三　当該外国証券業者の役員又は国内における代表者（当該外国証券業者が個人である場合にあつては、当該個人）が、第二十九条の四第一項第二号イからトまでに掲げる者のいずれかに該当することとなつた場合又は前号の行為をした場合において、当該許可に係る行為が公正に行われないこととなるおそれがあると認められるとき。
en-us	(iii) the officer or the domestic representative of the Foreign Securities Services Provider (or, if the Foreign Securities Services Provider is an individual, that individual) comes to fall under one of the categories of persons set forth in Article 29-4, paragraph (1), item (ii), sub-items (a) to (g) inclusive, or has acted as set forth in the preceding item, and it is found to be likely that the activities subject to the permission will not be performed fairly.

ja-jp	２　内閣総理大臣は、前項の規定により第五十九条第一項の許可を取り消そうとする場合には、書面により、その旨を外国証券業者に通知しなければならない。
en-us	(2) Before seeking to rescind the permission referred to in Article 59, paragraph (1) pursuant to the provisions of the preceding paragraph, the Prime Minister must notify the Foreign Securities Services Provider of this in writing.

ja-jp	３　内閣総理大臣は、第一項の規定により第五十九条第一項の許可を取り消した場合には、内閣府令で定めるところにより、その旨を公告しなければならない。
en-us	(3) If the Prime Minister rescinds the permission referred to in Article 59, paragraph (1) pursuant to the provisions of paragraph (1), the Prime Minister must make a public notice of this, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	（引受業務の規制）
en-us	(Regulation of Underwriting)

ja-jp	第五十九条の六　第三十六条第一項、第三十六条の三、第三十六条の四第一項、第三十八条（第一号から第三号まで及び第七号に係る部分に限る。）及び第四十四条の四の規定は、第五十九条第一項の許可を受けた外国証券業者の引受業務について準用する。
en-us	Article 59-6 The provisions of Article 36, paragraph (1); Article 36-3; Article 36-4, paragraph (1); Article 38 (limited to the part that involves items (i) to (iii) inclusive and (vii)); and Article 44-4 apply mutatis mutandis to the Underwriting of the Foreign Securities Services Provider that has obtained the permission referred to in Article 59, paragraph (1).

ja-jp	第三款　取引所取引業務の許可
en-us	Subsection 3 Permission for On-Exchange Transaction Services

ja-jp	（取引所取引業務の許可）
en-us	(Permission for On-Exchange Transaction Services)

ja-jp	第六十条　外国証券業者は、第二十九条及び第五十八条の二の規定にかかわらず、内閣総理大臣の許可を受けて、金融商品取引所における有価証券の売買及び市場デリバティブ取引（有価証券等清算取次ぎ（第二条第二十七項第一号に係るものに限る。以下この項において同じ。）の委託者として当該有価証券等清算取次ぎを行う者を代理してこれらの取引を行う場合を含む。以下「取引所取引」という。）を業として行うこと（以下この款において「取引所取引業務」という。）ができる。
en-us	Article 60 (1) Notwithstanding the provisions of Article 29 and Article 58-2, with the permission of the Prime Minister, a Foreign Securities Services Provider may engage in the purchase and sale of Securities and Market Transactions of Derivatives on a Financial Instruments Exchange (including if said Foreign Securities Services Provider conducts these transactions on behalf of a person that provides Brokerage for Clearing of Securities, etc. (limited to brokerage to which Article 2, paragraph (27), item (i) pertains; hereinafter the same applies in this paragraph) as an entruster of Brokerage for Clearing of Securities, etc.; such a transaction is hereinafter collectively referred to as an "On-Exchange Transaction") in the course of trade (hereinafter referred to as the "On-Exchange Transaction Services" in this Subsection)

ja-jp	２　内閣総理大臣は、前項の許可に条件を付することができる。
en-us	(2) The Prime Minister may attach conditions to the permission referred to in the preceding paragraph.

ja-jp	３　前項の条件は、公益又は投資者保護のため必要な最小限度のものでなければならない。
en-us	(3) The conditions referred to in the preceding paragraph must constitute the minimum level of conditions that are necessary in the public interest and for the protection of investors.

ja-jp	４　内閣総理大臣は、第二項の規定により条件を付することとしたときは、書面により、その旨を許可申請者に通知しなければならない。
en-us	(4) If the Prime Minister decides to attach the conditions referred to in the provisions of paragraph (2), the Prime Minister must notify the applicant for permission of this in writing.

ja-jp	（取引所取引業務の許可の申請）
en-us	(Application for Permission for On-Exchange Transaction Services)

ja-jp	第六十条の二　前条第一項の許可を受けようとする者は、国内における代表者を定め、次に掲げる事項を記載した許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 60-2 (1) A person seeking to obtain the permission referred to in paragraph (1) of the preceding Article must designate a domestic representative and submit a written application for permission to the Prime Minister, in which the person states the following particulars:

ja-jp	一　商号及び本店の所在の場所
en-us	(i) its trade name and the location of its head office;

ja-jp	二　資本金の額
en-us	(ii) the amount of stated capital;

ja-jp	三　役員（取引所取引業務を行う営業所又は事務所（以下「取引所取引店」という。）の所在する国（本店の所在する国を除く。）における代表者（次条第一項第一号ヌにおいて「取引所取引店所在国における代表者」という。）を含む。）の役職名及び氏名又は名称
en-us	(iii) the title and name of the officer (including a representative person in the state where the business offices or offices for On-Exchange Transaction Services are located (excluding the state where its head office is located) (hereinafter referred to as the "On-Exchange Transaction Office"; such a representative is hereinafter referred to as the "Representative in the State Where the On-Exchange Transaction Office is Located" in paragraph (1), item (i), sub-item (j) of the following Article));

ja-jp	四　取引所取引店の名称並びにその所在する国及び場所
en-us	(iv) the name of the On-Exchange Transaction Office and the state and place where it is located;

ja-jp	五　他に事業を行つているときはその事業の種類
en-us	(v) if the person engages in other business, the business type;

ja-jp	六　本店及び取引所取引店が会員となつている外国金融商品取引市場開設者（外国金融商品取引市場を開設する者をいう。次条第一項第一号ニ及び第三号において同じ。）の商号又は名称
en-us	(vi) the trade name or name of the foreign Financial Instruments trading market operator of which the head office and the On-Exchange Transaction Office are members (meaning the person that operates that foreign Financial Instruments trading market; hereinafter the same applies in paragraph (1), item (i), sub-item (d) and item (iii) of the following Article);

ja-jp	七　国内に事務所その他の施設があるときは、その所在の場所
en-us	(vii) the location of its domestic offices and other facilities, if any;

ja-jp	八　国内における代表者の氏名及び国内の住所
en-us	(viii) the name and domestic address of the domestic representative;

ja-jp	九　取引参加者となる金融商品取引所の商号又は名称
en-us	(ix) the trade name or name of the Financial Instruments Exchange in which the applicant would become a Trading Participant; and

ja-jp	十　その他内閣府令で定める事項
en-us	(x) other particulars specified by Cabinet Office Ordinance.

ja-jp	２　前項第二号に規定する資本金の額の計算については、政令で定める。
en-us	(2) The calculation of the amount of stated capital provided for in item (ii) of the preceding paragraph is specified by Cabinet Order.

ja-jp	３　第一項の許可申請書には、次に掲げる書類を添付しなければならない。
en-us	(3) The following documents must accompany the written application for permission referred to in paragraph (1):

ja-jp	一　次条第一項第一号イからチまで及びヌに該当しないことを誓約する書面
en-us	(i) a document pledging that the applicant does not fall under the purview of paragraph (1), item (i), sub-items (a) to (h) inclusive, or sub-item (j) of the following Article;

ja-jp	二　取引所取引店における取引所取引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面
en-us	(ii) a document stating the things specified by Cabinet Office Ordinance as constituting the business outline and business methods for On-Exchange Transaction Services at the On-Exchange Transaction Office;

ja-jp	三　定款及び許可申請者の登記事項証明書（これらに準ずるものを含む。）並びに業務の内容及び方法を記載した書類
en-us	(iii) the articles of incorporation and the certificate of registered information of the applicant for permission (including any document equivalent to these), and a document giving its business outline and stating its business methods;

ja-jp	四　国内における許可申請者の登記事項証明書
en-us	(iv) the certificate of registered information in Japan of the applicant for permission;

ja-jp	五　直近三年間に終了した各事業年度に関する貸借対照表及び損益計算書
en-us	(v) the balance sheets and profit and loss statements for each business year ending during the latest three years; and

ja-jp	六　その他内閣府令で定める書類
en-us	(vi) other documents specified by Cabinet Office Ordinance.

ja-jp	（取引所取引業務の許可の拒否要件）
en-us	(Requirement to Refuse Permission for On-Exchange Transaction Services)

ja-jp	第六十条の三　内閣総理大臣は、前条第一項の規定による許可の申請が次の各号のいずれかに該当するときは、その許可を拒否しなければならない。
en-us	Article 60-3 (1) The Prime Minister must refuse permission if the application for permission referred to in the provisions of paragraph (1) of the preceding Article falls under one of the following items:

ja-jp	一　許可申請者が次のいずれかに該当するとき。
en-us	(i) the applicant for permission falls under one of the following:

ja-jp	イ　取締役会設置会社と同種類の法人でないとき。
en-us	(a) it is not a corporation of the same type as a company with board of directors;

ja-jp	ロ　本店又は取引所取引店が所在するいずれかの国において登録等を受けていないとき。
en-us	(b) it has not obtained registration, etc. in the state where its head office is located or in any state in which its On-Exchange Transaction Offices are located;

ja-jp	ハ　いずれかの取引所取引店において取引所取引と同種類の取引に係る業務を政令で定める期間以上継続して行つていない者であるとき（政令で定める場合に該当するときを除く。）。
en-us	(c) it has not continuously conducted business that involves the same type of transactions as the On-Exchange Transaction in any of its On-Exchange Transaction Offices, for at least the period specified by Cabinet Order (unless this falls under a case specified by Cabinet Order);

ja-jp	ニ　いずれかの取引所取引店がその所在する国の外国金融商品取引市場開設者（当該国において第八十条第一項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ものに限る。第三号において同じ。）に加入していないとき。
en-us	(d) none of its On-Exchange Transaction Offices is the member of a foreign Financial Instruments trading market operator (limited one that has obtained the same kind of license as the license referred to in Article 80, paragraph (1), or a permission or other administrative disposition similar to this, in the relevant state; hereinafter the same applies in item (iii)) in a state where those On-Exchange Transaction Offices are located;

ja-jp	ホ　前条第一項第二号に規定する資本金の額が、公益又は投資者保護のため必要かつ適当なものとして政令で定める金額に満たない法人であるとき。
en-us	(e) it is a corporation whose stated capital as provided for in paragraph (1), item (ii) of the preceding Article is less than the amount that is specified by Cabinet Order as being necessary and appropriate in the public interest or for the protection of investors;

ja-jp	ヘ　純財産額がホに規定する金額に満たない法人であるとき。
en-us	(f) it is a corporation whose net assets are less than the amount prescribed in sub-item (e);

ja-jp	ト　第五十二条第一項若しくは第五十二条の二第一項の規定により第二十九条若しくは第三十三条の二の登録を取り消され、第六十条の八の規定により第六十条第一項の許可を取り消され、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、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、又は本店若しくは取引所取引店が所在する国において受けている登録等がこの法律に相当する外国の法令の規定により取り消され、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	(g) it has had the registration referred to in Article 29 or Article 33-2 rescinded pursuant to the provisions of Article 52, paragraph (1) or 52-2, paragraph (1); has had the permission referred to in Article 60, paragraph (1) rescinded pursuant to the provisions of Article 60-8, paragraph (1); has had the registration referred to in Article 66 rescinded pursuant to the provisions of Article 66-20, paragraph (1); has had the registration referred to in Article 66-27 rescinded pursuant to the provisions of Article 66-42, paragraph (1); or it had obtained registration, etc. in the state where its head office or an On-Exchange Transaction Office is located, but has had that registration, etc. rescinded pursuant to a foreign law or regulation that is equivalent to this Act; and five years have yet to pass since the date of rescission;

ja-jp	チ　第五十九条の四第一項第二号に規定する法律の規定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するまでの者であるとき。
en-us	(h) it has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of one of the Acts prescribed in Article 59-4, paragraph (1), item (ii) or for violating the provisions of a foreign law or regulation that is equivalent to one of such Acts, and five years have yet to pass since the day on which it finished serving the sentence or ceased to be subject to its enforcement;

ja-jp	リ　他に行つている事業が公益に反すると認められる者であるとき。
en-us	(i) its other business is found to be contrary to the public interest;

ja-jp	ヌ　役員、取引所取引店所在国における代表者又は国内における代表者のうちに第二十九条の四第一項第二号イからトまでのいずれかに該当する者のある法人であるとき。
en-us	(j) it is a corporation whose officer, Representative in the State Where the On-Exchange Transaction Office is Located, or domestic representative falls under one of the categories set forth in of Article 29-4, paragraph (1), item (ii), sub-items (a) to (g) inclusive; or

ja-jp	ル　取引所取引業務を適確に遂行するに足りる人的構成を有しない者であるとき。
en-us	(k) it does not have the sufficient personnel structure to perform On-Exchange Transaction Services in an appropriate manner.

ja-jp	二　許可申請者の本店及び取引所取引店の所在するいずれかの国の第百八十九条第一項に規定する外国金融商品取引規制当局の同条第二項第一号の保証がないとき。
en-us	(ii) the Foreign Regulatory Authority for Financial Instruments provided for in Article 189, paragraph (1), in the state where the head office or one of the On-Exchange Transaction Offices of the applicant for permission is located has not given the assurance prescribed in Article 189, paragraph (2), item (i);

ja-jp	三　許可申請者の取引所取引店が加入している外国金融商品取引市場開設者と当該許可申請者が取引参加者となる金融商品取引所との間で情報の提供に関する取決めの締結その他の当該金融商品取引所によるこの法律及びこの法律に基づく命令又は定款その他の規則により認められた権能を行使するための措置が講じられていないとき。
en-us	(iii) the foreign Financial Instruments trading market operator of which the On-Exchange Transaction Office of the applicant for permission is a member and the Financial Instruments Exchange in which the applicant for permission would become a Trading Participant have not concluded any agreement concerning the provision of information, and no other measures are in place for the Financial Instruments Exchange to exercise the authority accorded to it under this Act, an order issued based on this Act, or its articles of incorporation or other rules; or

ja-jp	四　許可申請書若しくはその添付書類のうちに虚偽の記載があり、又は重要な事実の記載が欠けているとき。
en-us	(iv) the application for permission or an accompanying document includes a false statement or omits a statement of material fact.

ja-jp	２　内閣総理大臣は、第六十条第一項の許可を拒否しようとするときは、許可申請者に通知して、当該職員に、当該許可申請者につき審問を行わせなければならない。
en-us	(2) Before seeking to refuse the permission referred to in Article 60, paragraph (1), the Prime Minister must notify the applicant for permission and have the relevant officials conduct a hearing regarding the applicant for permission.

ja-jp	３　内閣総理大臣は第六十条第一項の許可をし、又はしないこととしたときは、書面により、その旨を許可申請者に通知しなければならない。
en-us	(3) Upon deciding to grant or not to grant the permission referred to in Article 60, paragraph (1), the Prime Minister must notify the applicant for permission of this in writing.

ja-jp	（職務代行者）
en-us	(Acting Representatives)

ja-jp	第六十条の四　内閣総理大臣は、第六十条第一項の許可を受けた外国証券業者（以下「取引所取引許可業者」という。）の国内における代表者が欠けた場合において、必要があると認めるときは、一時その職務を行うべき者（次項において「職務代行者」という。）を選任することができる。この場合において、当該取引所取引許可業者は、国内における代表者が欠ける前における当該国内における代表者の住所地において、その登記をしなければならない。
en-us	Article 60-4 (1) If there is a position vacancy for the domestic representative of a Foreign Securities Services Provider that has obtained the permission referred to in Article 60, paragraph (1) (hereinafter referred to as an "Authorized Operator for On-Exchange Transactions"), and the Prime Minister finds it to be necessary, the Prime Minister may appoint a person to temporarily perform the duties of the domestic representative (referred to as the "Acting Representative" in the following paragraph). In such a case, the Authorized Operator for On-Exchange Transactions must register that person in connection with the domicile of the domestic representative from before the position of domestic representative became vacant.

ja-jp	２　内閣総理大臣は、前項の規定により職務代行者を選任したときは、取引所取引許可業者に対し、当該職務代行者に相当額の報酬を支払うべき旨を命ずることができる。
en-us	(2) If the Prime Minister appoints an Acting Representative pursuant to the provisions of the preceding paragraph, the Prime Minister may order the Authorized Operator for On-Exchange Transactions to pay a reasonable amount of remuneration to the Acting Representative.

ja-jp	（基本事項の変更の届出等）
en-us	(Notification of a Change to Basic Particulars)

ja-jp	第六十条の五　取引所取引許可業者は、第六十条の二第一項各号に掲げる事項について変更があつたときは、その日から二週間以内に、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 60-5 (1) If the particulars set forth in one of the items of Article 60-2, paragraph (1) changes, the Authorized Operator for On-Exchange Transactions must notify the Prime Minister of this within two weeks from the day of the change.

ja-jp	２　取引所取引許可業者は、第六十条の二第三項第二号に掲げる書面に記載した取引所取引業務の内容又は方法について変更があつた場合その他内閣府令で定める場合には、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	(2) If the business outline or business methods for On-Exchange Transaction Services which an Authorized Operator for On-Exchange Transactions has stated in a document set forth in Article 60-2, paragraph (3), item (ii) change, or in any other case specified by Cabinet Office Ordinance, the Authorized Operator for On-Exchange Transactions must notify the Prime Minister of this without delay, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	（業務に関する報告等）
en-us	(Business Reports)

ja-jp	第六十条の六　第四十六条の二、第四十六条の三及び第四十九条の三の規定は、取引所取引許可業者の取引所取引業務について準用する。この場合において、第四十六条の三第一項中「三月以内」とあるのは、「政令で定める期間内」と読み替えるものとする。
en-us	Article 60-6 The provisions of Article 46-2, Article 46-3, and Article 49-3 apply mutatis mutandis to the On-Exchange Transaction Services of an Authorized Operator for On-Exchange Transactions. In this case, in Article 46-3, paragraph (1), the phrase "within three months" is deemed to be replaced with "within the period specified by Cabinet Order".

ja-jp	（取引所取引許可業者の解散等の場合の許可の効力）
en-us	(Validity of Permission If an Authorized Operator for On-Exchange Transactions Is Dissolved)

ja-jp	第六十条の七　取引所取引許可業者が解散したとき、又は取引所取引業務を廃止したときは、第六十条第一項の許可は、その効力を失う。この場合において、その国内における代表者又は代表者であつた者は、その日から三十日以内に、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 60-7 If an Authorized Operator for On-Exchange Transactions is dissolved, or if On-Exchange Transaction Services are discontinued, the permission under Article 60, paragraph (1) ceases to be valid. In such a case, the domestic representative or the former domestic representative must notify the Prime Minister of this within 30 days from the day in question .

ja-jp	（取引所取引許可業者に対する監督上の処分）
en-us	(Supervisory Measures for Authorized Operators for On-Exchange Transactions)

ja-jp	第六十条の八　内閣総理大臣は、取引所取引許可業者が次の各号のいずれかに該当するときは、当該取引所取引許可業者の第六十条第一項の許可を取り消し、六月以内の期間を定めて取引所取引業務の全部又は一部の停止を命じ、取引所取引業務の方法の変更を命じ、その他監督上必要な事項を命ずることができる。
en-us	Article 60-8 (1) If an Authorized Operator for On-Exchange Transactions falls under one of the following items, the Prime Minister may rescind the Article 60, paragraph (1) permission of the Authorized Operator for On-Exchange Transactions, order the suspension of all or a part of On-Exchange Transaction Services during a fixed period of no longer than six months, order a change of business methods for On-Exchange Transaction Services, or issue orders with respect to matters that are otherwise necessary from a supervisory perspective:

ja-jp	一　第六十条の三第一項第一号（ハ及びヌを除く。）、第二号又は第三号に該当することとなつたとき。
en-us	(i) it comes to fall under Article 60-3, paragraph (1), item (i) (excluding sub-items (c) and (j)), or item (ii) or (iii);

ja-jp	二　不正の手段により第六十条第一項の許可を受けたとき。
en-us	(ii) it obtains the permission referred to in Article 60, paragraph (1) by wrongful means;

ja-jp	三　取引所取引業務又はこれに付随する業務に関し法令（外国の法令を含む。）又は当該法令に基づく行政官庁の処分に違反したとき（第四十六条の六第二項の規定に違反したときを除く。）。
en-us	(iii) it violates a law or regulation (including a foreign law or regulation) or a disposition by a government agency which is based on a law or regulation, in connection with its On-Exchange Transaction Services or any services incidental to them (excluding if it violates the provisions of Article 46-6, paragraph (2));

ja-jp	四　業務又は財産の状況に照らし支払不能に陥るおそれがあるとき。
en-us	(iv) in light of the state of its business or assets, it is likely to become insolvent; or

ja-jp	五　第六十条第一項の許可に付した条件に違反したとき。
en-us	(v) it violates the conditions attached to the permission referred to in Article 60, paragraph (1).

ja-jp	２　内閣総理大臣は、取引所取引許可業者の国内における代表者（国内に事務所その他の施設がある場合にあつては、当該施設に駐在する役員を含む。）が、第二十九条の四第一項第二号イからトまでのいずれかに該当することとなつたとき、又は前項第三号若しくは第五号に該当する行為をしたときは、取引所取引許可業者に対して、当該国内における代表者の解任又は解職を命ずることができる。
en-us	(2) If the domestic representative of an Authorized Operator for On-Exchange Transactions (if the Authorized Operator for On-Exchange Transactions has a domestic office or other facilities, this includes any officer stationed there) comes to fall under one of the categories set forth in Article 29-4, paragraph (1), item (ii), sub-items (a) to (g) inclusive, or engages in conduct that falls under item (iii) or (v) of the preceding paragraph, the Prime Minister may order the Authorized Operator for On-Exchange Transactions to dismiss or remove that domestic representative.

ja-jp	３　内閣総理大臣は、第一項の規定により第六十条第一項の許可を取り消し、又は業務の全部若しくは一部の停止を命じた場合には、内閣府令で定めるところにより、その旨を公告しなければならない。
en-us	(3) If the Prime Minister rescinds the permission referred to in Article 60, paragraph (1) pursuant to the provisions of paragraph (1), or orders the suspension of all or a part of services, the Prime Minister must give public notice of this pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	４　内閣総理大臣は、第一項又は第二項の規定に基づいて処分をすることとしたときには、書面により、その旨を取引所取引許可業者に通知しなければならない。
en-us	(4) If the Prime Minister decides to issue a disposition pursuant to the provisions of paragraph (1) or (2), the Prime Minister must notify the Authorized Operator for On-Exchange Transactions of this in writing.

ja-jp	５　内閣総理大臣は、第一項又は第二項の規定に基づいて処分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区分にかかわらず、聴聞を行わなければならない。
en-us	(5) 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 a disposition pursuant to the provisions of paragraph (1) or (2), the Prime Minister must conduct a hearing.

ja-jp	（取引所取引業務休止の場合の許可の取消し）
en-us	(Rescission of Permission If On-Exchange Transaction Services Are Suspended)

ja-jp	第六十条の九　内閣総理大臣は、取引所取引許可業者が正当な理由がないのに、取引所取引業務を行うことができることとなつた日から三月以内に業務を開始しないとき、又は引き続き三月以上その業務を休止したときは、当該取引所取引許可業者の第六十条第一項の許可を取り消すことができる。
en-us	Article 60-9 (1) If, without legitimate grounds for doing so, an Authorized Operator for On-Exchange Transactions does not commence business within three months of the day on which it is permitted to begin engaging in On-Exchange Transaction Services, or suspends business for three months or more continually, the Prime Minister may rescind the Article 60, paragraph (1) permission of that Authorized Operator for On-Exchange Transactions.

ja-jp	２　内閣総理大臣は、前項の規定に基づいて処分をすることとしたときは、書面により、その旨を取引所取引許可業者に通知しなければならない。
en-us	(2) If the Prime Minister decides to issue a disposition based on the provisions of the preceding paragraph, the Prime Minister must notify the Authorized Operator for On-Exchange Transactions of this in writing.

ja-jp	（残務の結了）
en-us	(Completion of Remaining Business)

ja-jp	第六十条の十　取引所取引許可業者が解散したとき、又は取引所取引業務を廃止したときは、取引所取引を結了する目的の範囲内において、当該取引所取引許可業者は、なお第六十条第一項の許可を受けているものとみなす。
en-us	Article 60-10 If an Authorized Operator for On-Exchange Transactions is dissolved or On-Exchange Transaction Services are discontinued, the Authorized Operator for On-Exchange Transactions is deemed to still have Article 60, paragraph (1) permission, inasmuch as the task of completing On-Exchange Transactions is concerned.

ja-jp	（報告の徴取及び検査）
en-us	(Orders to Submit Reports and Inspections)

ja-jp	第六十条の十一　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、取引所取引許可業者、取引所取引許可業者と取引を行う者若しくは当該取引所取引許可業者から業務の委託を受けた者に対し当該取引所取引許可業者の取引所取引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所取引許可業者の取引所取引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（当該取引所取引許可業者から業務の委託を受けた者にあつては、当該取引所取引許可業者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 60-11 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 an Authorized Operator for On-Exchange Transactions, a person that conducts transactions with an Authorized Operator for On-Exchange Transactions, or the person that an Authorized Operator for On-Exchange Transactions has entrusted with its business, to submit reports or materials that should serve as a reference with regard to the On-Exchange Transaction Services or assets of that Authorized Operator for On-Exchange Transactions, and may have the relevant officials inspect the state of On-Exchange Transaction Services by an Authorized Operator for On-Exchange Transactions, the state of its assets, or its books and documents or any other articles (but may only have the relevant officials inspect the person that an Authorized Operator for On-Exchange Transactions has entrusted with its business as is necessary in connection with the state of the business or assets of the Authorized Operator for On-Exchange Transactions).

ja-jp	（裁判所の調査依頼）
en-us	(The Court's Request for an Investigation)

ja-jp	第六十条の十二　裁判所は、取引所取引許可業者（第六十条の十の規定により第六十条第一項の許可を受けているものとみなされる者を含む。）の国内における清算手続、破産手続、再生手続、更生手続又は承認援助手続において、内閣総理大臣に対し、意見を求め、又は検査若しくは調査を依頼することができる。
en-us	Article 60-12 (1) In liquidation proceedings, bankruptcy proceedings, rehabilitation proceedings, reorganization proceedings, or recognition and assistance proceedings in Japan for an Authorized Operator for On-Exchange Transactions (including one that is deemed to have been granted the permission referred to in Article 60, paragraph (1), as prescribed in Article 60-10), the court may request the opinion of, or an inspection or investigation by, the Prime Minister.

ja-jp	２　内閣総理大臣は、前項に規定する手続において、必要があると認めるときは、裁判所に対し、意見を述べることができる。
en-us	(2) If the Prime Minister finds it to be necessary, the Prime Minister may state an opinion to the court during the proceedings prescribed in the preceding paragraph.

ja-jp	３　前条の規定は、第一項の規定により内閣総理大臣が裁判所から検査又は調査の依頼を受けた場合について準用する。
en-us	(3) The provisions of the preceding Article apply mutatis mutandis if the Prime Minister receives an inspection or investigation request from the court pursuant to the provisions of paragraph (1).

ja-jp	（取引所取引業務の規制）
en-us	(Regulation of On-Exchange Transaction Services)

ja-jp	第六十条の十三　第三十六条第一項、第三十六条の三、第三十八条（第七号に係る部分に限る。）及び第四十条（第二号に係る部分に限る。）の規定は、取引所取引許可業者の取引所取引業務について準用する。
en-us	Article 60-13 The provisions of Article 36, paragraph (1); Article 36-3; Article 38 (limited to the part that involves item (vii)); and Article 40 (limited to the part that involves item (ii)) apply mutatis mutandis to the On-Exchange Transaction Services of an Authorized Operator for On-Exchange Transactions.

ja-jp	第四款　外国において投資助言業務又は投資運用業を行う者
en-us	Subsection 4 Persons Engaging in Investment Advisory Services or Investment Management in a Foreign State

ja-jp	第六十一条　外国の法令に準拠して設立された法人又は外国に住所を有する個人で外国において投資助言業務を行う者（第二十九条の登録を受けた者を除く。）は、同条の規定にかかわらず、金融商品取引業者のうち投資運用業を行う者その他政令で定める者のみを相手方として投資助言業務を行うことができる。
en-us	Article 61 (1) Notwithstanding the provisions of Article 29, a corporation incorporated based on foreign laws and regulations or an individual domiciled in a foreign state and engaged in Investment Advisory Services in a foreign state (other than one with Article 29 registration) may engage in Investment Advisory Services, but only with a Financial Services Provider that is engaged in Investment Management or a person specified by Cabinet Order as the counterparty.

ja-jp	２　外国の法令に準拠して設立された法人で外国において投資運用業（第二条第八項第十二号に掲げる行為を投資一任契約に基づき行う業務に限る。以下この項において同じ。）を行う者（第二十九条の登録を受けた者を除く。）は、同条の規定にかかわらず、金融商品取引業者のうち投資運用業を行う者その他政令で定める者のみを相手方として投資運用業を行うことができる。
en-us	(2) Notwithstanding the provisions of Article 29, a corporation incorporated based on foreign laws and regulations and engaged in Investment Management in a foreign state (limited to the business of performing the act set forth in Article 2, paragraph (8), item (xii) based on a Discretionary Investment Contract; hereinafter the same applies in this paragraph) (excluding persons with Article 29 registration) may engage in Investment Management, but only with a Financial Services Provider that is engaged in Investment Management or a person specified by Cabinet Order as the counterparty.

ja-jp	３　外国の法令に準拠して設立された法人で外国において投資運用業（第二条第八項第十五号に掲げる行為を行う業務に限る。）を行う者（第二十九条の登録を受けた者を除く。）は、同条の規定にかかわらず、金融商品取引業者のうち投資運用業を行う者その他政令で定める者のみを相手方として投資運用業（同号に掲げる行為を行う業務に限る。）を行うことができる。この場合において、第六十三条第二項の規定は、適用しない。
en-us	(3) Notwithstanding the provisions of Article 29, a corporation incorporated based on foreign laws and regulations and engaged in Investment Management in a foreign state (limited to the business of performing the act set forth in Article 2, paragraph (8), item (xv)) (excluding persons with Article 29 registration) may engage in Investment Management (limited to the business specified in Article 2, paragraph (8), item (xv)), but only with a Financial Services Provider that is engaged in Investment Management or a person specified by Cabinet Order as the counterparty. In such a case, the provisions of Article 63, paragraph (2) do not apply.

ja-jp	第五款　情報収集のための施設の設置
en-us	Subsection 5 Establishment of Facilities for Collecting Information

ja-jp	第六十二条　外国証券業者（有価証券関連業と密接な関係を有する業を行う者で内閣府令で定めるものを含む。以下この条において同じ。）又は外国で投資助言業務若しくは投資運用業を行う者（第二十九条又は第三十三条の二の登録を受けた者を除く。以下この条において同じ。）は、有価証券及び有価証券に係る金融指標の市場に関する情報の収集及び提供その他金融商品取引等に関連のある業務で内閣府令で定めるものを行うため、国内において駐在員事務所その他の施設を設置しようとする場合（他の目的をもつて設置している施設において当該業務を行おうとする場合を含む。）には、あらかじめ、当該業務の内容、当該施設の所在の場所その他内閣府令で定める事項を内閣総理大臣に届け出なければならない。
en-us	Article 62 (1) Before seeking to establish a representative office or any other facility in Japan for the purpose of collecting or providing information on the securities market and the market of financial indicators of Securities, or to conduct other services related to Financial Instruments Business, etc. which are specified by Cabinet Office Ordinance (including before seeking to conduct said business in a facility established for other purposes), a Foreign Securities Services Provider (including a person specified by Cabinet Office Ordinance whose business is closely related to Securities Services; hereinafter the same applies in this Article) or a person that engages in Investment Advisory Services or Investment Management in a foreign state (excluding persons with Article 29 or Article 33-2 registration; hereinafter the same applies in this Article) must notify the Prime Minister of its business outline and the location of that facility, and of any other matters specified by Cabinet Office Ordinance.

ja-jp	２　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、外国証券業者又は外国で投資助言業務若しくは投資運用業を行う者に対し前項の業務に関する報告又は資料の提出を命ずることができる。
en-us	(2) 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 Securities Services Provider or a person that conducts Investment Advisory Services or Investment Management in a foreign state to submit reports or materials concerning the business set forth in the preceding paragraph.

ja-jp	３　外国証券業者又は外国で投資助言業務若しくは投資運用業を行う者は、第一項の施設若しくは業務を廃止したとき、又は同項の規定により届け出た事項を変更したときは、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 Foreign Securities Services Provider or a person that conducts Investment Advisory Services or Investment Management in a foreign state discontinues the facility or the services referred to in paragraph (1), or if it changes a matter of which it has provided notification pursuant to the provisions of that paragraph, it must notify the Prime Minister of this without delay.

ja-jp	第六節　適格機関投資家等特例業務に関する特例
en-us	Section 6 Special Provisions on Specially Permitted Services for Qualified Institutional Investors, etc.

ja-jp	（適格機関投資家等特例業務）
en-us	(Specially Permitted Services for Qualified Institutional Investors, etc.)

ja-jp	第六十三条　次の各号に掲げる行為については、第二十九条及び第三十三条の二の規定は、適用しない。
en-us	Article 63 (1) The provisions of Articles 29 and 33-2 inclusive do not apply to the acts set forth in the following items:

ja-jp	一　適格機関投資家等（適格機関投資家以外の者で政令で定めるもの（その数が政令で定める数以下の場合に限る。）及び適格機関投資家をいう。以下この条において同じ。）で次のいずれにも該当しない者を相手方として行う第二条第二項第五号又は第六号に掲げる権利に係る私募（適格機関投資家等（次のいずれにも該当しないものに限る。）以外の者が当該権利を取得するおそれが少ないものとして政令で定めるものに限る。）
en-us	(i) the Private Placement of rights set forth in Article 2, paragraph (2), item (v) or (vi) with qualified institutional investors, etc. (meaning persons that are not qualified institutional investors but that are specified by Cabinet Order (but only if they are they are no greater in number than the number specified by Cabinet Order) and qualified institutional investors; hereinafter the same applies in this Article) that do not fall under one of the following categories, as the counterparties (limited to Private Placements specified by Cabinet Order as having little likelihood of allowing persons that are not qualified institutional investors, etc. (that is, qualified institutional investors, etc. that do not fall under one of the following categories) to acquire the relevant rights):

ja-jp	イ　その発行する資産対応証券（資産の流動化に関する法律第二条第十一項に規定する資産対応証券をいう。）を適格機関投資家以外の者が取得している特定目的会社（同条第三項に規定する特定目的会社をいう。）
en-us	(a) a Special Purpose Company (meaning a Special Purpose Company as provided in Article 2, paragraph (3) of the Act on Securitization of Assets) that issues Asset Backed Securities (meaning Asset Backed Securities as provided in Article 2, paragraph (11) of that Act) which have been acquired by persons other than qualified institutional investors;

ja-jp	ロ　第二条第二項第五号又は第六号に掲げる権利に対する投資事業に係る匿名組合契約（商法第五百三十五条に規定する匿名組合契約をいう。）で、適格機関投資家以外の者を匿名組合員とするものの営業者又は営業者になろうとする者
en-us	(b) the proprietor of a business or a person seeking to become the proprietor of a business in an Silent Partnership Agreement (meaning an Silent Partnership Agreement as provided in Article 535 of the Commercial Code) that concerns the rights specified in Article 2, paragraph (2), item (v) or (vi) and that has a person other than a qualified institutional investor as a silent partner; and

ja-jp	ハ　イ又はロに掲げる者に準ずる者として内閣府令で定める者
en-us	(c) a person that is specified by Cabinet Office Ordinance as being equivalent to a person set forth in sub-item (a) or (b).

ja-jp	二　第二条第二項第五号又は第六号に掲げる権利（同一の出資対象事業（同項第五号に規定する出資対象事業をいう。）に係る当該権利を有する者が適格機関投資家等（前号イからハまでのいずれにも該当しないものに限る。）のみであるものに限る。）を有する適格機関投資家等から出資され、又は拠出された金銭（これに類するものとして政令で定めるものを含む。）の運用を行う同条第八項第十五号に掲げる行為
en-us	(ii) the act set forth in Article 2, paragraph (8), item (xv), of investing money (including anything specified by Cabinet Order as being similar to money) that has been invested or contributed by a qualified institutional investor, etc. that holds a right set forth in Article 2, paragraph (2), item (v) or (vi) (limited to rights in an Invested Business (meaning an Invested Business as provided in Article 2, paragraph (2), item (v)) in which qualified institutional investors, etc. are the only holders of those rights (limited to qualified institutional investors, etc. that do not fall under any of the categories in sub-items (a) to (c) inclusive of the preceding item)).

ja-jp	２　適格機関投資家等特例業務（前項各号に掲げる行為のいずれかを業として行うことをいう。以下同じ。）を行う者（金融商品取引業者等を除く。）は、あらかじめ、内閣府令で定めるところにより、次に掲げる事項を内閣総理大臣に届け出なければならない。
en-us	(2) A person that will engage in specially permitted services for qualified institutional investors, etc. (meaning performing any of the acts set forth in the items of the preceding paragraph in the course of trade; the same applies hereinafter) (excluding Financial Services Providers, etc.) must notify the Prime Minister of the following particulars in advance, pursuant to the provisions of Cabinet Office Ordinance:

ja-jp	一　商号、名称又は氏名
en-us	(i) the person's trade name or name;

ja-jp	二　法人であるときは、資本金の額又は出資の総額
en-us	(ii) the amount of stated capital or total amount of contributions, if it is a corporation;

ja-jp	三　法人であるときは、役員の氏名又は名称
en-us	(iii) the names of its officers, if it is a corporation;

ja-jp	四　政令で定める使用人があるときは、その者の氏名
en-us	(iv) if the person has an employee as specified by Cabinet Order, the name of that employee;

ja-jp	五　業務の種別（前項各号に掲げる行為に係る業務の種別をいう。）
en-us	(v) the business category (meaning which of the acts set forth in the items of the preceding paragraph is the business category of which the person is giving notice);

ja-jp	六　主たる営業所又は事務所の名称及び所在地
en-us	(vi) the name and location of the person's principal business office or principal office;

ja-jp	七　他に事業を行つているときは、その事業の種類
en-us	(vii) if the person engages in other business, the business type; and

ja-jp	八　その他内閣府令で定める事項
en-us	(viii) other particulars specified by Cabinet Office Ordinance.

ja-jp	３　前項の規定に基づく届出を行つた者（以下「特例業務届出者」という。）は、同項各号に掲げる事項に変更があつたときは、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 particular set forth in one of the items of the preceding paragraph changes, the person providing notification based on the preceding paragraph (hereinafter referred to as a "Notifier of Specially Permitted Services") must notify the Prime Minister of this without delay.

ja-jp	４　特例業務届出者が適格機関投資家等特例業務を行う場合においては、当該特例業務届出者を金融商品取引業者とみなして、第三十八条（第一号に係る部分に限る。）及び第三十九条並びにこれらの規定に係る第八章の規定を適用する。
en-us	(4) If a Notifier of Specially Permitted Services engages in a specially permitted service for Qualified Institutional Investors, etc. the Notifier of Specially Permitted Services is deemed to be a Financial Services Provider and Articles 38 (limited to the part that involves item (i)) and Article 39, and the provisions of Chapter VIII in connection with these Articles apply.