金融商品取引業等に関する内閣府令
Cabinet Office Order on Financial Instruments Business
平成十九年内閣府令第五十二号
Cabinet Office Order No. 52 of 2007
令和四年内閣府令第二十号
Cabinet Office Order No. 20 of 2022
金融商品取引業等に関する内閣府令(平成十九年八月六日内閣府令第五十二号)
Cabinet Office Order on Financial Instruments Business (Cabinet Office Order No. 52 of August 6, 2007)
金融商品取引法(昭和二十三年法律第二十五号)及び金融商品取引法施行令(昭和四十年政令第三百二十一号)の規定に基づき、並びに同法及び同令を実施するため、金融商品取引業等に関する内閣府令を次のように定める。
Pursuant to the provisions of the Financial Instruments and Exchange Act (Act No. 25 of 1948) and the Order for Enforcement of the Financial Instruments and Exchange Act (Cabinet Order No. 321 of 1965), and for the purpose of the enforcement of that Act and that Order, the Cabinet Office Order on Financial Instruments Business is enacted as follows:
第一章 総則(第一条―第三条)
Chapter I General Provisions (Articles 1 - 3)
第二章 金融商品取引業者等
Chapter II Financial Instruments Business Operators
第一節 総則
Section 1 General Provisions
第一款 通則(第四条・第四条の二)
Subsection 1 General Rules (Articles 4 and 4-2)
第二款 金融商品取引業者(第五条―第三十五条)
Subsection 2 Financial Instruments Business Operators (Articles 5 - 35)
第三款 主要株主(第三十六条―第三十九条)
Subsection 3 Major Shareholders (Articles 36 - 39)
第四款 登録金融機関(第四十条―第五十二条)
Subsection 4 Registered Financial Institutions (Articles 40 - 52)
第五款 特定投資家(第五十三条―第六十四条の三)
Subsection 5 Professional Investors (Articles 53 - 64-3)
第二節 業務
Section 2 Business
第一款 通則(第六十五条―第百二十五条の六)
Subsection 1 General Rules (Articles 65 - 125-6)
第二款 投資助言業務及び投資運用業に関する特則(第百二十六条―第百三十五条)
Subsection 2 Special Provisions on Investment Advisory Business and Investment Management Business (Articles 126 - 135)
第三款 有価証券等管理業務に関する特則(第百三十六条―第百四十六条)
Subsection 3 Special Provisions on Securities Management Business (Articles 136 - 146)
第四款 電子募集取扱業務に関する特則(第百四十六条の二)
Subsection 4 Special Provisions on Electronic Public Offering Services (Article 146-2)
第五款 暗号資産関連業務に関する特則(第百四十六条の三―第百四十六条の五)
Subsection 5 Special Provisions Concerning Cryptoasset-related Business (Articles 146-3 – 146-5)
第六款 弊害防止措置等(第百四十七条―第百五十五条)
Subsection 6 Preventive Measures against Adverse Effects (Articles 147 - 155)
第七款 雑則(第百五十六条)
Subsection 7 Miscellaneous Provisions (Article 156)
第三節 経理
Section 3 Accounting
第一款 第一種金融商品取引業を行う金融商品取引業者(第百五十七条―第百八十条)
Subsection 1 Financial Instruments Business Operators Engaged in Type I Financial Instruments Business (Articles 157 - 180)
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(第百八十一条―第百八十三条)
Subsection 2 Financial Instruments Business Operators Not Engaged in Type-I Financial Instruments Business (Articles 181 - 183)
第三款 登録金融機関(第百八十四条―第百八十九条)
Subsection 3 Registered Financial Institutions (Articles 184 - 189)
第四款 外国法人等に対する特例(第百九十条―第百九十七条)
Subsection 4 Special Rules for Foreign Corporations (Articles 190 - 197)
第四節 監督(第百九十八条―第二百八条)
Section 4 Supervision (Articles 198 - 208)
第四節の二 特別金融商品取引業者等に関する特則
Section 4-2 Special Provisions on Special Financial Instruments Business Operators
第一款 特別金融商品取引業者(第二百八条の二―第二百八条の十七)
Subsection 1 Special Financial Instruments Business Operators (Articles 208-2 – 208-17)
第二款 指定親会社(第二百八条の十八―第二百八条の三十四)
Subsection 2 Designated Parent Companies (Articles 208-18 – 208-34)
第三款 雑則(第二百八条の三十五)
Subsection 3 Miscellaneous Provisions (Article 208-35)
第五節 外国業者に関する特例
Section 5 Special Rules on Foreign Business Operators
第一款 外国証券業者(第二百八条の三十六―第二百十四条)
Subsection 1 Foreign Securities Service Providers (Articles 208-36 - 214)
第二款 引受業務の一部の許可(第二百十五条―第二百十七条)
Subsection 2 Permission to Engage in Part of Underwriting Operations (Articles 215 - 217)
第三款 取引所取引業務の許可(第二百十八条―第二百三十二条)
Subsection 3 Permission for Transaction-at-Exchange Operations (Articles 218 - 232)
第四款 電子店頭デリバティブ取引等業務の許可(第二百三十二条の二―第二百三十二条の十七)
Subsection 4 Permission for the business of conducting Electronic Over-the-Counter Derivatives Transactions etc. (Articles 232-2 - 232-17)
第五款 情報収集のための施設の設置(第二百三十三条)
Subsection 5 Establishment of Institution for Collecting Information (Article 233)
第六節 適格機関投資家等特例業務に関する特例(第二百三十三条の二―第二百四十六条の七)
Section 6 Special Rules on Specially-Permitted Business for Qualified Institutional Investors (Articles 233-2 - 246-7)
第六節の二 海外投資家等特例業務に関する特例(第二百四十六条の八―第二百四十六条の三十七)
Section 6-2 Special Rules on Specially Permitted Services for Foreign Investors (Articles 246-8 - 246-37)
第七節 外務員(第二百四十七条―第二百五十六条)
Section 7 Sales Representatives (Articles 247 - 256)
第三章 金融商品仲介業者
Chapter III Financial Instruments Intermediary Service Providers
第一節 総則(第二百五十七条―第二百六十四条)
Section 1 General Provisions (Articles 257 - 264)
第二節 業務(第二百六十五条―第二百八十一条の四)
Section 2 Business (Articles 265 -281-4)
第三節 経理(第二百八十二条―第二百八十五条)
Section 3 Accounting (Articles 282 - 285)
第四節 監督(第二百八十六条)
Section 4 Supervision (Article 286)
第五節 雑則(第二百八十七条―第二百九十四条)
Section 5 Miscellaneous Provisions (Articles 287 - 294)
第四章 信用格付業者
Chapter IV Credit Rating Agencies
第一節 総則(第二百九十五条―第三百五条)
Section 1 General Provisions (Articles 295 - 305)
第二節 業務(第三百六条―第三百十四条)
Section 2 Business (Articles 306 - 314)
第三節 経理(第三百十五条―第三百二十条)
Section 3 Accounting (Articles 315 - 320)
第四節 監督(第三百二十一条―第三百二十五条)
Section 4 Supervision (Articles 321 - 325)
第五章 高速取引行為者
Chapter V High-Speed Traders
第一節 総則(第三百二十六条―第三百三十五条)
Section 1 General Provisions (Articles 326 - 335)
第二節 業務(第三百三十六条・第三百三十七条)
Section 2 Business (Articles 336 and 337)
第三節 経理(第三百三十八条―第三百四十条)
Section 3 Accounting (Articles 338 - 340)
第四節 監督(第三百四十一条―第三百四十六条)
Section 4 Supervision (Articles 341 - 346)
第六章 雑則(第三百四十七条―第三百五十条)
Chapter VI Miscellaneous Provisions (Articles 347 - 350)
附 則
Supplementary Provisions
第一章 総則
Chapter I General Provisions
第一条 この府令において「有価証券」、「有価証券の募集」、「有価証券の私募」、「有価証券の売出し」、「発行者」、「引受人」、「有価証券届出書」、「金融商品取引業」、「金融商品取引業者」、「目論見書」、「金融商品仲介業」、「金融商品仲介業者」、「認可金融商品取引業協会」、「金融商品市場」、「金融商品取引所」、「取引所金融商品市場」、「取引参加者」、「デリバティブ取引」、「市場デリバティブ取引」、「店頭デリバティブ取引」、「外国市場デリバティブ取引」、「金融商品」、「金融指標」、「外国金融商品取引所」、「有価証券等清算取次ぎ」、「金融商品債務引受業」、「金融商品取引清算機関」、「外国金融商品取引清算機関」、「証券金融会社」、「特定投資家」、「信用格付」、「信用格付業」、「信用格付業者」、「高速取引行為」又は「高速取引行為者」とは、それぞれ金融商品取引法(以下「法」という。)第二条に規定する有価証券、有価証券の募集、有価証券の私募、有価証券の売出し、発行者、引受人、有価証券届出書、金融商品取引業、金融商品取引業者、目論見書、金融商品仲介業、金融商品仲介業者、認可金融商品取引業協会、金融商品市場、金融商品取引所、取引所金融商品市場、取引参加者、デリバティブ取引、市場デリバティブ取引、店頭デリバティブ取引、外国市場デリバティブ取引、金融商品、金融指標、外国金融商品取引所、有価証券等清算取次ぎ、金融商品債務引受業、金融商品取引清算機関、外国金融商品取引清算機関、証券金融会社、特定投資家、信用格付、信用格付業、信用格付業者、高速取引行為又は高速取引行為者をいう。
Article 1 (1) As used in this Cabinet Office Order, the terms "securities", "public offering of securities", "private placement of securities", "secondary distribution of securities", "issuer", "underwriter", "registration statement," "financial instruments business", "financial instruments business operator", "prospectus", "financial instruments intermediary service", "financial instruments intermediary service provider", "authorized financial instruments firms association", "financial instruments market", "financial instruments exchange", "financial instruments exchange market", "trading participant", "derivative transactions", "market transactions of derivatives", "over-the-counter transactions of derivatives", "foreign market derivatives transactions", "financial instruments", "financial indicator", "foreign financial instruments exchange", "brokerage for clearing of securities, etc.", "financial instruments obligation assumption service", "financial instruments clearing organization", "foreign financial instruments clearing organizations", "securities finance company", "professional investor", "credit rating", "credit rating business", "credit rating agency", "high-speed trading" or "high-speed trader" respectively mean the securities, public offering of securities, private placement of securities, secondary distribution of securities, issuer, underwriter, registration statement, financial instruments business, financial instruments business operator, prospectus, financial instruments intermediary service, financial instruments intermediary service provider, authorized financial instruments firms association, financial instruments market, financial instruments exchange, financial instruments exchange market, trading participant, derivative transactions, market transactions of derivatives, over-the-counter transactions of derivatives, foreign market derivatives transactions, financial instruments, financial indicator, foreign financial instruments exchange, brokerage for clearing of securities, etc., financial instruments obligation assumption service, financial instruments clearing organization, foreign financial instruments clearing organizations, securities finance company, professional investor, credit rating, credit rating business or credit rating agency, high-speed trading or high-speed trader as defined in Article 2 of the Financial Instruments and Exchange Act (hereinafter referred to as the "Act").
2 この府令において「第一種金融商品取引業」、「第二種金融商品取引業」、「投資助言・代理業」、「投資運用業」、「有価証券等管理業務」、「投資助言業務」、「有価証券の元引受け」又は「有価証券関連業」とは、それぞれ法第二十八条に規定する第一種金融商品取引業、第二種金融商品取引業、投資助言・代理業、投資運用業、有価証券等管理業務、投資助言業務、有価証券の元引受け又は有価証券関連業をいう。
(2) As used in this Cabinet Office Order, each of the terms "type I financial instruments business", "type II financial instruments business", "investment advisory and agency business", "investment management business", "securities, etc. management business", "investment advisory business", "wholesale underwriting of securities", or "securities-related business" respectively means a type-I financial instruments business, type-II financial instruments business, investment advisory and agency business, investment management business, securities, etc. management business, investment advisory business, wholesale underwriting of securities, or securities-related business as defined in Article 28 of the Act.
3 この府令(第十六号に掲げる用語にあっては、第百九十九条第十三号、第二百一条第二十四号、第二百二条第十八号、次章第四節の二及び別紙様式第十七号の二から別紙様式第十七号の六までを除く。)において、次の各号に掲げる用語の意義は、当該各号に定めるところによる。
(3) In this Cabinet Office Order (in cases of the terms listed in item (xvi), excluding Article 199, item (xiii), Article 201, item (xxiv), Article 202, item (xviii), Section 4-2 of the following Chapter, and Appended Forms No. 17-2 through No. 17-6), the meanings of the terms listed in the following items are as prescribed respectively in those items:
一 オプション 法第二条第一項第十九号に規定するオプションをいう。
(i) options: the options defined in Article 2, paragraph (1), item (xix) of the Act;
二 出資対象事業 法第二条第二項第五号に規定する出資対象事業をいう。
(ii) business subject to investment: the business subject to investment defined in Article 2, paragraph (2), item (v) of the Act;
二の二 電子記録移転権利 法第二条第三項に規定する電子記録移転権利をいう。
(ii)-2 Electronically Recorded Transferable Rights: the Electronically Recorded Transferable Rights prescribed in Article 2, paragraph (3) of the Act;
三 適格機関投資家 法第二条第三項第一号に規定する適格機関投資家をいう。
(iii) qualified institutional investors: the qualified institutional investors defined in Article 2, paragraph (3), item (i) of the Act;
三の二 特定投資家向け売付け勧誘等 法第二条第六項に規定する特定投資家向け売付け勧誘等をいう。
(iii)-2 solicitation for selling, etc. only for professional investors: the solicitation for selling, etc. only for professional investors defined in Article 2, paragraph (6) of the Act;
三の三 商品関連市場デリバティブ取引 法第二条第八項第一号に規定する商品関連市場デリバティブ取引をいう。
(iii)-3 commodity-related market transactions of derivatives: the commodity-related market transactions of derivatives defined in Article 2, paragraph (8), item (i) of the Act;
四 外国金融商品市場 法第二条第八項第三号ロに規定する外国金融商品市場をいう。
(iv) foreign financial instruments market: the foreign financial instruments market defined in Article 2, paragraph (8), item (iii), (b) of the Act;
五 店頭デリバティブ取引等 法第二条第八項第四号に規定する店頭デリバティブ取引等をいう。
(v) over-the-counter transactions of derivatives, etc.: the over-the-counter transactions of derivatives, etc. defined in Article 2, paragraph (8), item (iv) of the Act;
六 有価証券の引受け 法第二条第八項第六号に規定する有価証券の引受けをいう。
(vi) underwriting of securities: the underwriting of securities defined in Article 2, paragraph (8), item (vi) of the Act;
七 店頭売買有価証券 法第二条第八項第十号ハに規定する店頭売買有価証券をいう。
(vii) over-the-counter traded securities: the over-the-counter traded securities defined in Article 2, paragraph (8), item (x), (c) of the Act;
八 投資顧問契約 法第二条第八項第十一号に規定する投資顧問契約をいう。
(viii) investment advisory contract: the investment advisory contract defined in Article 2, paragraph (8), item (xi) of the Act;
九 投資一任契約 法第二条第八項第十二号ロに規定する投資一任契約をいう。
(ix) discretionary investment contract: the discretionary investment contract defined in Article 2, paragraph (8), item (xii), (b) of the Act;
十 登録金融機関 法第二条第十一項に規定する登録金融機関をいう。
(x) registered financial institution: the registered financial institution defined in Article 2, paragraph (11) of the Act;
十の二 商品 法第二条第二十四項第三号の三に規定する商品をいう。
(x)-2 commodities: the commodities defined in Article 2, paragraph (24), item (iii)-3of the Act;
十の三 特定投資家向け有価証券 法第四条第三項に規定する特定投資家向け有価証券をいう。
(x)-3 securities for professional investors: the securities for professional investors defined in Article 4, paragraph (3) of the Act;
十の四 特定投資家向け取得勧誘 法第四条第三項第一号に規定する特定投資家向け取得勧誘をいう。
(x)-4 solicitation for acquisition only for professional investors: the solicitation for acquisition only for professional investors defined in Article 4, paragraph (3), item (i) of the Act;
十一 役員 法第二十一条第一項第一号に規定する役員をいう。
(xi) officer: the officer defined in Article 21, paragraph (1), item (i) of the Act;
十二 有価証券関連デリバティブ取引 法第二十八条第八項第六号に規定する有価証券関連デリバティブ取引をいう。
(xii) transactions of securities-related derivatives: the transactions of securities-related derivatives defined in Article 28, paragraph (8), item (vi) of the Act;
十二の二 第一種少額電子募集取扱業者 法第二十九条の四の二第九項に規定する第一種少額電子募集取扱業者をいう。
(xii)-2 type-I small amount electronic public offering service provider: the type-I small amount electronic public offering service provider defined in Article 29-4-2, paragraph (9) of the Act;
十二の三 第一種少額電子募集取扱業務 法第二十九条の四の二第十項に規定する第一種少額電子募集取扱業務をいう。
(xii)-3 type-I small amount electronic public offering service: the type-I small amount electronic public offering service defined in Article 29-4-2, paragraph (10) of the Act;
十二の四 第二種少額電子募集取扱業者 法第二十九条の四の三第二項に規定する第二種少額電子募集取扱業者をいう。
(xii)-4 type-II small amount electronic public offering service provider: the type-II small amount electronic public offering service provider defined in Article 29-4-3, paragraph (2) of the Act;
十二の五 第二種少額電子募集取扱業務 法第二十九条の四の三第四項に規定する第二種少額電子募集取扱業務をいう。
(xii)-5 type-II small amount electronic public offering service: the type-II small amount electronic public offering service defined in Article 29-4-3, paragraph (4) of the Act;
十二の六 適格投資家向け投資運用業 法第二十九条の五第一項に規定する適格投資家向け投資運用業をいう。
(xii)-6 investment management business for qualified investors: the investment management business for qualified investors defined in Article 29-5, item (i) of the Act;
十二の七 適格投資家 法第二十九条の五第三項に規定する適格投資家をいう。
(xii)-7 qualified investor: the qualified investor defined in Article 29-5, item (iii) of the Act;
十三 親銀行等 法第三十一条の四第三項に規定する親銀行等をいう。
(xiii) parent bank, etc.: the parent bank, etc. defined in Article 31-4, paragraph (3) of the Act;
十四 親法人等 法第三十一条の四第三項に規定する親法人等をいう。
(xiv) parent corporation, etc.: the parent corporation, etc. defined in Article 31-4, paragraph (3) of the Act;
十五 子銀行等 法第三十一条の四第四項に規定する子銀行等をいう。
(xv) subsidiary bank, etc.: the subsidiary bank, etc. defined in Article 31-4, paragraph (4) of the Act;
十六 子法人等 法第三十一条の四第四項に規定する子法人等をいう。
(xvi) subsidiary corporation, etc.: the subsidiary corporation, etc. defined in Article 31-4, paragraph (4) of the Act;
十七 デリバティブ取引等 法第三十三条第三項に規定するデリバティブ取引等をいう。
(xvii) derivative transactions, etc.: the derivative transactions, etc. defined in Article 33, paragraph (3) of the Act;
十八 有価証券関連デリバティブ取引等 法第三十三条第三項に規定する有価証券関連デリバティブ取引等をいう。
(xviii) transactions of securities-related derivatives, etc.: the transactions of securities-related derivatives, etc. defined in Article 33, paragraph (3) of the Act;
十九 市場デリバティブ取引等 法第三十三条第三項第一号に規定する市場デリバティブ取引等をいう。
(xix) market transactions of derivatives, etc.: the market transactions of derivatives, etc. defined in Article 33, paragraph (3), item (i) of the Act;
二十 外国市場デリバティブ取引等 法第三十三条第三項第三号に規定する外国市場デリバティブ取引等をいう。
(xx) foreign market derivatives transactions, etc.: the foreign market derivatives transactions, etc. defined in Article 33, paragraph (3) item (iii) of the Act;
二十一 登録金融機関業務 法第三十三条の三第一項第六号イに規定する登録金融機関業務をいう。
(xxi) registered financial institution business: the registered financial institution business defined in Article 33-3, paragraph (1), item (vi), (a) of the Act;
二十二 金融商品取引業者等 法第三十四条に規定する金融商品取引業者等をいう。
(xxii) financial instruments business operator, etc.: the financial instruments business operator, etc. defined in Article 34 of the Act;
二十三 金融商品取引行為 法第三十四条に規定する金融商品取引行為をいう。
(xxiii) act that constitutes a financial instruments transaction: the acts that constitute financial instruments transactions defined in Article 34 of the Act;
二十四 金融商品取引契約 法第三十四条に規定する金融商品取引契約をいう。
(xxiv) financial instruments transaction contract: the financial instruments transaction contract defined in Article 34 of the Act;
二十五 運用財産 法第三十五条第一項第十五号に規定する運用財産をいう。
(xxv) investment property: the investment property defined in Article 35, paragraph (1), item (xv) of the Act;
二十五の二 特定店頭デリバティブ取引 法第四十条の七第一項に規定する特定店頭デリバティブ取引をいう。
(xxv)-2 specified over-the-counter derivatives transactions: the specified over-the-counter derivatives transactions defined in Article 40-7, paragraph (1) of the Act.
二十六 有価証券の売買その他の取引等 法第四十一条の二第四号に規定する有価証券の売買その他の取引等をいう。
(xxvi) purchase and sale or other transaction of securities.: the purchase and sale or other transaction of securities. defined in Article 41-2, item (iv) of the Act;
二十七 権利者 法第四十二条第一項に規定する権利者をいう。
(xxvii) right holders: the right holders defined in Article 42, paragraph (1) of the Act;
二十八 自己資本規制比率 法第四十六条の六第一項に規定する自己資本規制比率をいう。
(xxviii) capital adequacy ratio: the capital adequacy ratio defined in Article 46-6, paragraph (1) of the Act;
二十九 金融商品取引業等 法第五十条第一項第一号に規定する金融商品取引業等をいう。
(xxix) financial instruments business, etc.: the financial instruments business, etc. defined in Article 50, paragraph (1), item (i) of the Act;
二十九の二 特別金融商品取引業者 法第五十七条の二第二項に規定する特別金融商品取引業者をいう。
(xxix)-2 special financial instruments business operators: the special financial instruments business operators defined in Article 57-2, paragraph (2) of the Act;
二十九の三 対象特別金融商品取引業者 法第五十七条の十二第三項に規定する対象特別金融商品取引業者をいう。
(xxix)-3 subject special financial instruments business operator: the subject special financial instruments business operator defined in Article 57-12, paragraph (3) of the Act;
二十九の四 指定親会社 法第五十七条の十二第三項に規定する指定親会社をいう。
(xxix)-4 designated parent company: the designated parent company defined in Article 57-12, paragraph (3) of the Act;
二十九の五 最終指定親会社 法第五十七条の十二第三項に規定する最終指定親会社をいう。
(xxix)-5 highest designated parent company: the highest designated parent company defined in Article 57-12, paragraph (3) of the Act;
三十 外国証券業者 法第五十八条に規定する外国証券業者をいう。
(xxx) foreign securities service provider: the foreign securities service provider defined in Article 58 of the Act;
三十一 取引所取引許可業者 法第六十条の四第一項に規定する取引所取引許可業者をいう。
(xxxi) authorized transaction-at-exchange operator: the authorized transaction-at-exchange operator defined in Article 60-4, paragraph (1) of the Act;
三十一の二 電子店頭デリバティブ取引等業務 法第六十条の十四第一項に規定する電子店頭デリバティブ取引等業務をいう。
(xxxi)-2 electronic over-the-counter derivatives transactions, etc. business: the electronic over-the-counter derivatives transactions, etc. business defined in Article 60-14, paragraph (1) of the Act;
三十一の三 電子店頭デリバティブ取引等許可業者 法第六十条の十四第二項に規定する電子店頭デリバティブ取引等許可業者をいう。
(xxxi)-3 Business operator authorized to conduct electronic over-the-counter derivatives transactions, etc.: the business operator authorized to conduct electronic over-the-counter derivatives transactions, etc. defined in Article 60-14, paragraph (2) of the Act;
三十二 適格機関投資家等 法第六十三条第一項第一号に規定する適格機関投資家等をいう。
(xxxii) qualified institutional investors, etc.: the qualified institutional investors, etc. defined in Article 63, paragraph (1), item (i) of the Act;
三十三 適格機関投資家等特例業務 法第六十三条第二項に規定する適格機関投資家等特例業務をいう。
(xxxiii) specially-permitted business for qualified institutional investors, etc.: the specially-permitted business for qualified institutional investors, etc. defined in Article 63, paragraph (2) of the Act;
三十四 特例業務届出者 法第六十三条第五項に規定する特例業務届出者をいう。
(xxxiv) notifier of specially-permitted business: the notifier of specially-permitted business defined in Article 63, paragraph (5) of the Act;
三十四の二 海外投資家等特例業務 法第六十三条の八第一項に規定する海外投資家等特例業務をいう。
(xxxiv)-2 specially permitted services for foreign investors, etc.: the specially permitted services for foreign investors, etc. defined in Article 63-8, paragraph (1) of the Act;
三十四の三 海外投資家等特例業務届出者 法第六十三条の九第四項に規定する海外投資家等特例業務届出者をいう。
(xxxiv)-3 notifier of specially permitted services for foreign investors, etc.: the notifier of specially permitted services for foreign investors, etc. defined in Article 63-9, paragraph (4) of the Act;
三十五 外務員 法第六十四条第一項に規定する外務員をいう。
(xxxv) sales representative: the sales representative defined in Article 64, paragraph (1) of the Act;
三十六 所属金融商品取引業者等 法第六十六条の二第一項第四号に規定する所属金融商品取引業者等をいう。
(xxxvi) entrusting financial instruments business operators, etc.: the entrusting financial instruments business operators, etc. defined in Article 66-2, paragraph (1), (iv) of the Act;
三十七 金融商品仲介行為 法第六十六条の十一に規定する金融商品仲介行為(金融サービス仲介業者(金融サービスの提供に関する法律(平成十二年法律第百一号)第十一条第六項に規定する金融サービス仲介業者をいい、有価証券等仲介業務(同条第四項に規定する有価証券等仲介業務をいう。以下同じ。)を行う者に限る。以下同じ。)にあっては、金融サービスの提供に関する法律第十一条第四項各号に掲げる行為)をいう。
(xxxvii) intermediation for financial instruments: the intermediation for financial instruments defined in Article 66-11 of the Act (in the case of a financial service intermediary (meaning the financial service intermediary defined in Article 11, paragraph (6) of the Act on the Provision of Financial Services (Act No. 101 of 2000) and limited to a person who engages in securities, etc. intermediary business operations (meaning the securities, etc. intermediary business operations defined in paragraph (4) of that Article; the same applies hereinafter); the same applies hereinafter), the acts set forth in the items of Article 11, paragraph (4) of the Act on the Provision of Financial Services);
三十八 店頭売買有価証券市場 法第六十七条第二項に規定する店頭売買有価証券市場をいう。
(xxxviii) over-the-counter securities market: the over-the-counter securities market defined in Article 67, paragraph (2) of the Act;
三十九 取扱有価証券 法第六十七条の十八第四号に規定する取扱有価証券をいう。
(xxxix) tradable securities: the tradable securities defined in Article 67-18, item (iv) of the Act;
四十 認定金融商品取引業協会 法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。
(xl) certified financial instruments business association: the certified financial instruments business association defined in Article 78, paragraph (2) of the Act;
四十一 認定投資者保護団体 法第七十九条の十第一項に規定する認定投資者保護団体をいう。
(xli) certified investor protection organization: the certified investor protection organization defined in Article 79-10, paragraph (1) of the Act;
四十二 投資者保護基金 法第七十九条の二十一に規定する投資者保護基金をいう。
(xlii) investor protection fund: the investor protection fund defined in Article 79-21 of the Act;
四十三 連携金融商品債務引受業務 法第百五十六条の二十の十六第一項に規定する連携金融商品債務引受業務をいう。
(xliii) collaborative financial instruments obligation assumption services: the collaborative financial instruments obligation assumption services defined in Article 156-20-16, paragraph (1) of the Act;
四十四 連携清算機関等 法第百五十六条の二十の十六第一項に規定する連携清算機関等をいう。
(xliv) collaborating clearing organization, etc.: the collaborating clearing organization, etc. defined in Article 156-20-16, paragraph (1) of the Act;
四十五 信用取引 法第百五十六条の二十四第一項に規定する信用取引をいう。
(xlv) margin transaction: the margin transaction defined in Article 156-24, paragraph (1) of the Act;
四十六 指定紛争解決機関 法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。
(xlvi) designated dispute resolution organization: the designated dispute resolution organization defined in Article 156-38, paragraph (1) of the Act;
四十七 紛争解決手続 法第百五十六条の三十八第十項に規定する紛争解決手続をいう。
(xlvii) dispute resolution procedures: the dispute resolution procedures defined in Article 156-38, paragraph (10) of the Act;
四十八 紛争解決等業務の種別 法第百五十六条の三十八第十二項に規定する紛争解決等業務の種別をいう。
(xlviii) category for dispute resolution services: the category for dispute resolution services defined in Article 156-38, paragraph (12) of the Act;
四十九 手続実施基本契約 法第百五十六条の三十八第十三項に規定する手続実施基本契約をいう。
(xlix) basic contracts for implementation of dispute resolution procedures: the basic contract for implementation of dispute resolution procedures defined in Article 156-38, paragraph (13) of the Act;
五十 金融商品取引関係業者 法第百五十六条の三十八第十三項に規定する金融商品取引関係業者をいう。
(l) business operator involved in financial instruments transactions: the business operator involved in financial instruments transactions defined in Article 156-38, paragraph (13) of the Act.
4 この府令において、次の各号に掲げる用語の意義は、当該各号に定めるところによる。
(4) As used this Cabinet Office Order, the meanings of the terms listed in the following items are as prescribed respectively in those items:
一 本店等 本店その他の主たる営業所又は事務所(外国法人又は外国に住所を有する個人にあっては、国内における主たる営業所又は事務所)をいう。
(i) head office, etc.: the head office or any other principal business office or principal office (in the case of a foreign corporation or an individual domiciled in a foreign state, meaning the principal business office or principal office in Japan);
二 固定化されていない自己資本の額 基本的項目の額(第百七十六条第一項第一号から第六号までに掲げるものの額の合計額をいう。以下同じ。)及び補完的項目の額(同項第七号に掲げるものの額をいう。以下同じ。)の合計額から、控除資産の額(第百七十七条第一項各号に掲げるものの額の合計額をいう。以下同じ。)を控除した額をいう。
(ii) amount of non-fixed equity capital: the total of the amount of basic items (meaning the total of the amount of each item listed in Article 176, paragraph (1), items (i) through (vi); the same applies hereinafter) and the amount of supplementary items (meaning the amount of the items listed in item (vii) of that paragraph; the same applies hereinafter), less the amount of deductible assets (meaning the total amount of each of the items listed in the items of Article 177, paragraph (1); the same applies hereinafter);
三 管轄財務局長等 金融商品取引業者、登録金融機関、金融商品仲介業者若しくは高速取引行為者が現に受けている登録又は取引所取引許可業者が現に受けている許可をした財務局長又は福岡財務支局長をいう。
(iii) competent Director-General of a Local Finance Bureau, etc.: the Director-General of a Local Finance Bureau or the Director-General of the Fukuoka Local Finance Branch Bureau, who has granted a registration which is currently in effect to any financial instruments business operator, registered financial institution, financial instruments intermediary service provider or high-speed trader, or permission which is currently in effect to any authorized transaction-at-exchange operator;
四 所管金融庁長官等 特別金融商品取引業者及び金融商品取引法施行令(以下「令」という。)第四十二条第二項、第四十三条第二項又は第四十三条の二の三第二項の規定により金融庁長官の指定を受けた者にあっては金融庁長官、それ以外の者にあっては管轄財務局長等をいう。
(iv) Commissioner of the Financial Services Agency or other competent official: the special financial instruments business operators and the Commissioner of the Financial Services Agency, in case of a person designated by the Commissioner of the Financial Services Agency under Article 42, paragraph (2), Article 43, paragraph (2) or Article 43-2-3, paragraph (2) of the Order for Enforcement of the Financial Instruments and Exchange Act (hereinafter referred to as the "Order"); or the competent Director-General of a Local Finance Bureau, etc., in the case of any person other than the aforementioned person.
五 組合契約 民法(明治二十九年法律第八十九号)第六百六十七条第一項に規定する組合契約をいう。
(v) partnership contract: a partnership contract defined in Article 667, paragraph (1) of the Civil Code (Act No. 89 of 1896);
六 匿名組合契約 商法(明治三十二年法律第四十八号)第五百三十五条に規定する匿名組合契約をいう。
(vi) silent partnership contract: a silent partnership contract defined in Article 535 of the Commercial Code (Act No. 48 of 1899);
七 投資事業有限責任組合契約 投資事業有限責任組合契約に関する法律(平成十年法律第九十号)第三条第一項に規定する投資事業有限責任組合契約をいう。
(vii) limited partnership agreement for investment: a limited partnership agreement for investment defined in Article 3, paragraph (1) of the Limited Partnership Act for Investment (Act No. 90 of 1998);
八 有限責任事業組合契約 有限責任事業組合契約に関する法律(平成十七年法律第四十号)第三条第一項に規定する有限責任事業組合契約をいう。
(viii) limited liability partnership agreement: a limited liability partnership agreement defined in Article 3, paragraph (1) of the Limited Liability Partnership Act (Act No. 40 of 2005);
九 私設取引システム運営業務 法第二条第八項第十号に掲げる行為に係る業務をいう。
(ix) proprietary trading system operation: a business operation relevant to the acts specified in Article 2, paragraph (8), item (x) of the Act;
十 協同組織金融機関 協同組織金融機関の優先出資に関する法律(平成五年法律第四十四号)第二条第一項に規定する協同組織金融機関をいう。
(x) cooperative financial institution: a cooperative financial institution defined in Article 2, paragraph (1) of the Act on Preferred Equity Investment by Cooperative financial institutions (Act No. 44 of 1993);
十一 発行日取引 金融商品取引法第百六十一条の二に規定する取引及びその保証金に関する内閣府令(昭和二十八年大蔵省令第七十五号)第一条第二項に規定する発行日取引をいう。
(xi) when-issued transaction: a when-issued transaction defined in Article 1, paragraph (2) of the Cabinet Office Order on Transactions under Article 161-2 of the Financial Instruments and Exchange Act and Deposits Related Thereto (Order of the Ministry of Finance No. 75 of 1953);
十二 非公開情報 発行者である会社の運営、業務若しくは財産に関する公表されていない重要な情報であって顧客の投資判断(法第二条第八項第十一号ロに規定する投資判断をいう。第十六条の五の二第三号、第二百三十三条の二第一項第四号及び第二百四十六条の十第三項第三号を除き、以下同じ。)に影響を及ぼすと認められるもの又は自己若しくはその親法人等若しくは子法人等の役員(役員が法人であるときは、その職務を行うべき社員を含む。)若しくは使用人が職務上知り得た顧客の有価証券の売買その他の取引等に係る注文の動向その他の特別の情報(これらの情報のうち外国法人(法人でない外国の団体で代表者又は管理人の定めのあるものを含む。)に係るものを除く。)をいう。
(xii) undisclosed information: undisclosed material information on the operation, business or properties of a company which is an issuer, which is found to have an impact on customers' investment decisions (meaning the investment decisions defined in Article 2, paragraph (8), item (xi), (b) of the Act; the same applies hereinafter except in Article 16-5-2, item (iii), Article 233-2, paragraph (1), item (iv), and Article 246-10, paragraph (3), item (iii)), or information on ordering trends in the customers' purchase and sale or other transaction of securities. and any other special information which may come to knowledge of any the officers (if an officer is a corporation, including executive members thereof) or employees of the party itself or its parent corporation, etc. or subsidiary corporation, etc. in the course of duties (excluding information related to a foreign corporation (including a foreign organization without juridical personality for which a representative person or administrator has been designated) out of these pieces of information);
十三 非公開融資等情報 融資業務(事業のための融資に係る業務をいう。以下この号、第百二十三条第一項第十九号及び第百五十条第五号において同じ。)若しくは金融機関代理業務(第六十八条第十三号に規定する金融機関代理業のうち事業のための資金の貸付け又は手形の割引を内容とする契約の締結の代理又は媒介に係る業務をいう。以下同じ。)に従事する役員(外国法人にあっては、国内における代表者を含む。次章第五節、第二百三十八条の二第一項第一号イ、第二百三十九条第二項第三号ロ((1)に係る部分に限る。)、第二百四十一条第二項第一号ロ、第二百四十六条の十四第一項第三号イ、第二百四十六条の二十第二項第三号ロ((1)に係る部分に限る。)及び第二百四十六条の二十二第二項第三号ロを除き、以下同じ。)若しくは使用人が職務上知り得たその顧客の行う事業に係る公表されていない情報その他の特別な情報であって金融商品取引業若しくは金融商品仲介業務(金融商品仲介行為を行う業務をいう。以下同じ。)に従事する役員若しくは使用人が勧誘する有価証券(法第三十三条第二項第一号に掲げる有価証券並びに法第二条第一項第十七号に掲げる有価証券であって同項第一号及び第二号の性質を有する有価証券を除く。以下この号において同じ。)に係る顧客の投資判断に影響を及ぼすと認められるもの又は金融商品取引業若しくは金融商品仲介業務に従事する役員若しくは使用人が職務上知り得たその顧客の有価証券の売買その他の取引等に係る注文の動向その他の特別の情報であって当該有価証券の発行者に係る融資業務若しくは金融機関代理業務に重要な影響を及ぼすと認められるものを(これらの情報のうち外国法人(法人でない外国の団体で代表者又は管理人の定めのあるものを含む。)に係るものを除く。)いう。
(xiii) undisclosed loan information, etc.: undisclosed information on the customer's business or any other special information which may come to knowledge of any of the officers (in the case of a foreign corporation, including its representative person in Japan; the same applies hereinafter except in Section 5 of the following Chapter, Article 238-2, paragraph (1), item (i), (a), Article 239, paragraph (2), item (iii), (b) (limited to the part related to 1.), Article 241, paragraph (2), item (i), (b), Article 246-14, paragraph (1), item (iii), (a), Article 246-20, paragraph (2), item (iii), (b) (limited to the part related to 1.) and Article 246-22, paragraph (2), item (iii), (b)) or employees engaged in a loan business (meaning a service related to loans for business; hereinafter the same applies in this item, Article 123, paragraph (1), item (xix) and Article 150, item (v)) or a financial institution agency service operation (meaning a service for agency or intermediation for the conclusion of contracts for loans or discounting negotiable instrument for business, from among the financial institution agency service prescribed in Article 68, item (xiii); the same applies hereinafter) in the course of duties, which is found to have an impact on the customer's investment decisions in respect of the securities (excluding the securities specified in Article 33, paragraph (2), item (i) of the Act and also excluding the securities specified in Article 2, paragraph (1), item (xvii) of the Act which have the natures prescribed in items (i) and (ii) of that paragraph; hereinafter the same applies in this item) solicited by officers or employees engaged in a financial instruments business or financial instruments intermediation operation (meaning a service operation to conduct intermediation for financial instruments; the same applies hereinafter); or information on ordering trends in the customers' purchase and sale or other transaction of securities. or any other special information which may come to knowledge of any of the officers or employees engaged in a financial instruments business or financial instruments intermediation operation in the course of duties, which is found to have a material impact on the loan business or the financial institution agency service operation pertaining to the issuer of the securities (excluding information related to a foreign corporation (including a foreign organization without juridical personality for which a representative person or administrator has been designated) out of these pieces of information);
十四 法人関係情報 法第百六十三条第一項に規定する上場会社等の運営、業務又は財産に関する公表されていない重要な情報であって顧客の投資判断に影響を及ぼすと認められるもの並びに法第二十七条の二第一項に規定する公開買付け(同項本文の規定の適用を受ける場合に限る。)、これに準ずる株券等(同項に規定する株券等をいう。)の買集め及び法第二十七条の二十二の二第一項に規定する公開買付け(同項本文の規定の適用を受ける場合に限る。)の実施又は中止の決定(法第百六十七条第二項ただし書に規定する基準に該当するものを除く。)に係る公表されていない情報をいう。
(xiv) corporate information: undisclosed important information on the operation, business or properties of listed companies, etc. set forth in Article 163, paragraph (1) of the Act, which is found to have an impact on customers' investment decisions; and undisclosed information on a decision about the launch or suspension (excluding those corresponding to standards prescribed in the proviso to Article 167, paragraph (2) of the Act) of a tender offer as prescribed in Article 27-2, paragraph (1) of the Act (but only if the provisions of the main clause of that paragraph apply), the buying-up equivalent thereto in regard to the share certificates, etc. (meaning the share certificates, etc. prescribed in that paragraph), and a tender offer as prescribed in Article 27-22-2, paragraph (1) of the Act (but only if the provisions of the main clause of that paragraph apply);
十五 商品関連業務 金融商品取引業のうち、法第二十八条第一項第一号の二に掲げる行為のいずれかを業として行うことをいう。
(xv) commodity-related business: a financial instruments business for conducting any of the acts specified in Article 28, paragraph (1), item (i)-2 of the Act in the course of trade;
十六 電子取引基盤運営業務 金融商品取引業者等が、その店頭デリバティブ取引等の業務の用に供する電子情報処理組織を使用して特定店頭デリバティブ取引又はその媒介、取次ぎ(有価証券等清算取次ぎを除く。)若しくは代理を業として行うことをいう。
(xvi) electronic trading platform management service: services provided by a financial instruments business operator, etc. for specified over-the-counter derivatives transactions or intermediary, brokerage (excluding brokerage for clearing of securities, etc.) or agency services therefor in the course of trade, using an electronic data processing system to be used for the business of over-the-counter derivatives transactions, etc.
十七 電子記録移転有価証券表示権利等 法第二十九条の二第一項第八号に規定する権利をいう。
(xvii) Electronically Recorded Transferable Rights to Be Indicated on Securities, etc.: rights prescribed in Article 29-2, paragraph (1), item (viii) of the Act; and
十八 暗号資産 資金決済に関する法律(平成二十一年法律第五十九号)第二条第五項に規定する暗号資産をいう。
(xviii) Cryptoassets: Cryptoassets prescribed in Article 2, paragraph (5) of the Payment Services Act (Act No. 59 of 2009).
(英語による提出書類の記載等)
(Submission of Documents in English)
第二条 法(第三章から第三章の四までに限る。第三項及び次条において同じ。)、令(第四章から第四章の四までに限る。同項及び同条において同じ。)又はこの府令の規定により金融庁長官、財務局長又は福岡財務支局長(以下「金融庁長官等」という。)に提出する書類(この府令の他の規定により英語で記載すること(この府令に定める様式に準じて英語で作成することを含む。以下この項において同じ。)ができるものを除く。第三項において同じ。)のうち、その内容その他の事情を勘案して金融庁長官が定めるものは、英語で記載することができる。
Article 2 (1) Documents to be submitted to the Commissioner of the Financial Services Agency, Director-General of a Local Finance Bureau or Director-General of the Fukuoka Local Finance Branch Bureau (hereinafter referred to as the ""Commissioner of the Financial Services Agency or other official") pursuant to the provisions of the Act (limited to Chapter III through Chapter III-4; the same applies in paragraph (3) and the following Article), the Order (limited to Chapters IV through IV-4; the same applies in the same paragraph and the same Article) or this Cabinet Office Order (excluding documents that can be prepared in English pursuant to other provisions of this Cabinet Office Order (including preparation in English in accordance with the forms specified by this Cabinet Office Order; hereinafter the same applies in this paragraph); the same applies in paragraph (3)) that are specified by the Commissioner of the Financial Services Agency in consideration of the content and other circumstances may be prepared in English.
2 前項の場合において、金融庁長官等は、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、同項の規定の適用を受ける者に対し、当該規定の適用がある書類の全部又は一部について、その概要の訳文を付すことを求めることができる。
(2) In the case referred to in the preceding paragraph, if it is found to be necessary and appropriate for the public interest or the protection of investors, the Commissioner of the Financial Services Agency or other official may request that the person that is subject to the application of provisions of that paragraph attach a Japanese translation of the outline of all or part of the documents to which these provisions apply.
3 法、令又はこの府令の規定により金融庁長官等に提出する書類(第一項の規定の適用があるものを除く。)で、特別の事情により日本語をもって記載することができないものがあるときは、その訳文を付さなければならない。ただし、当該書類が定款又は株主総会若しくは役員会等(第二百二十一条第一号に規定する役員会等をいう。)の議事録であって、かつ、英語で記載されたものであるときは、その概要の訳文を付すことをもって足りるものとする。
(3) If, due to any special circumstance, there is any documents to be submitted to the Commissioner of the Financial Services Agency or other official (excluding those to which the provisions of paragraph (1) apply) pursuant to the provisions of the Act, the Order or this Cabinet Office Order that cannot be prepared in Japanese, a Japanese translation thereof must be attached thereto; provided, however, that if the documents to be submitted are the articles of incorporation, or the minutes of a shareholders meeting or a board of officers, etc. (meaning the board of officers, etc. as prescribed in Article 221, item (i)) prepared in English, attaching a Japanese translation of the outline thereof is considered sufficient.
(外国通貨又は暗号資産の換算)
(Conversion of Foreign Currencies or Cryptoassets )
第三条 法、令又はこの府令の規定により金融庁長官等に提出する書類中、外国通貨又は暗号資産をもって金額又は数量を表示するものがあるときは、当該金額又は数量を本邦通貨に換算した金額及びその換算に用いた標準を付記しなければならない。
Article 3 If the documents to be submitted to the Commissioner of the Financial Services Agency or other official under the Act, the Order or this Cabinet Office Order contains any document indicating the amount or volume in a foreign currency or a cryptoasset, a supplementary note on the amount or volume after conversion into the Japanese currency and the criteria used for such conversion must be stated therein.
第二章 金融商品取引業者等
Chapter II Financial Instruments Business Operators, etc.
第一節 総則
Section 1 General Provisions
第一款 通則
Subsection 1 General Rules
(幹事会社となる有価証券の元引受け)
(Wholesale Underwriting of Securities Constituting a Managing Underwriter)
第四条 令第十五条に規定する内閣府令で定めるものは、元引受契約(同条に規定する元引受契約をいう。以下この条及び第百四十七条第三号において同じ。)の締結に際し、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するための協議を行うものであって、次に掲げるもの以外のものとする。
Article 4 The wholesale underwriting of securities to be specified by Cabinet Office Order as referred to in Article 15 of the Order is the wholesale underwriting for which discussions with the issuer or owner of the securities are to be held upon the execution of the wholesale underwriting contract (meaning the wholesale underwriting contract defined in that Article; hereinafter the same applies in this Article and Article 147, item (iii)), in order to fix the contents thereof, other than the following wholesale underwriting:
一 当該元引受契約に係る有価証券の発行価額又は有価証券の売出し若しくは特定投資家向け売付け勧誘等の価額の総額(当該元引受契約が令第十五条第三号に掲げる契約である場合にあっては、同号に規定する新株予約権の行使に際して払い込むべき金額の合計額を含む。)のうち金融商品取引業者等及び外国証券業者の行う有価証券の引受けに係る部分の金額(以下この条において「引受総額」という。)が百億円を超える場合において他の者(資本金の額、基金の総額又は出資の総額が三十億円以上である者に限る。)と共同して当該協議を行うものであって、当該引受総額のうち自己の行う有価証券の引受けに係る部分の金額が百億円以下であるもの
(i) the wholesale underwriting of securities for which the discussion is to be held jointly with another party (limited to a party whose amount of stated capital, total amount of funds or total amount of contribution is not less than three billion yen), if, out of either of the total issue value of the securities under the wholesale underwriting contract or of the total value of the secondary distribution of securities or the solicitation for selling, etc. only for professional investors (if such wholesale underwriting contract is the contract listed in Article 15, item (iii) of the Order, including the total amount to be paid upon the exercise of the share options prescribed in that item), the amount of the portion pertaining to the underwriting of securities by financial instruments business operators, etc. and foreign securities service providers (hereinafter referred to as the "total amount of underwriting" in this Article) exceeds ten billion yen, provided that the amount of the portion pertaining to the underwriting of securities by the such party out of the total amount of underwriting is ten billion yen or less; and
二 引受総額が百億円以下である場合において当該協議を行うもの
(ii) if the total amount of underwriting is ten billion yen or less, and about which the discussion is held.
(新株予約権証券に準ずる有価証券等)
(Securities Equivalent to Share Option Certificates)
第四条の二 法第二十八条第七項第三号に規定する内閣府令で定める有価証券は、次に掲げる有価証券とする。
Article 4-2 (1) Securities provided for by Cabinet Office Order as prescribed in Article 28, paragraph (7), item (iii) of the Act are the following securities:
一 新株予約権付社債券
(i) corporate bond certificates with share options;
二 外国の者の発行する証券又は証書で新株予約権証券又は新株予約権付社債券の性質を有するもの
(ii) instruments or certificates issued by a foreign person, and which have the nature of share option certificates or corporate bond certificates with share options;
三 新投資口予約権証券(投資信託及び投資法人に関する法律(昭和二十六年法律第百九十八号)第二条第十八項に規定する新投資口予約権証券をいう。以下同じ。)
(iii) certificates of investment equity subscription rights (meaning certificates of investment equity subscription rights defined in Article 2, paragraph (18) of the Act on Investment Trusts and Investment Corporations (Act No. 198 of 1951); the same applies hereinafter); and
四 外国投資証券(投資信託及び投資法人に関する法律第二百二十条第一項に規定する外国投資証券をいう。以下同じ。)で新投資口予約権証券に類する証券
(iv) foreign investment securities (meaning foreign investment securities provided in Article 220, paragraph (1) of the Act on Investment Trusts and Investment Corporations; the same applies hereinafter) and are similar to certificates of investment equity subscription rights.
2 法第二十八条第七項第三号に規定する内閣府令で定める権利は、次に掲げるものとする。
(2) The right provided for by Cabinet Office Order as prescribed in Article 28, paragraph (7), item (iii) of the Act are as set forth in the following:
一 外国の者に対する権利で新株予約権の性質を有するもの
(i) rights which are claimable against a foreign national which have the nature of share options;
二 新投資口予約権(投資信託及び投資法人に関する法律第二条第十七項に規定する新投資口予約権をいう。以下同じ。)
(ii) investment equity subscription rights (meaning investment equity subscription rights defined in Article 2, paragraph (17) of the Act on Investment Trusts and Investment Corporations; the same applies hereinafter); and
三 外国投資法人(投資信託及び投資法人に関する法律第二条第二十五項に規定する外国投資法人をいう。)に対する権利で新投資口予約権の性質を有するもの
(iii) rights which are claimable against a foreign investment corporation (meaning a foreign investment corporation provided in Article 2, paragraph (25) of the Act on Investment Trusts and Investment Corporations) which have the nature of investment equity subscription rights.
第二款 金融商品取引業者
Subsection 2 Financial Instruments Business Operators
(登録の申請)
(Application for Registration)
第五条 法第二十九条の登録を受けようとする者は、別紙様式第一号により作成した法第二十九条の二第一項の登録申請書に、当該登録申請書の写し及び同条第二項又は第三項の規定により当該登録申請書に添付すべき書類又は電磁的記録(法第十三条第五項に規定する電磁的記録をいう。以下同じ。)を添付して、その者の本店等の所在地を管轄する財務局長(当該所在地が福岡財務支局の管轄区域内にある場合にあっては福岡財務支局長、国内に営業所又は事務所を有しない場合にあっては関東財務局長)に提出しなければならない。
Article 5 A person that intends to obtain the registration under Article 29 of the Act must submit to the Director-General of a Local Finance Bureau with jurisdiction over the location of such person's head office, etc. (if such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the Director-General thereof; or if the person has no business office or other office in Japan, to the Director-General of the Kanto Finance Bureau) a written application for registration under Article 29-2, paragraph (1) of the Act prepared in accordance with Appended Form No. 1, attaching a copy thereof and the documents or an electronic or magnetic record (meaning an electronic or magnetic record as defined in Article 13, paragraph (5) of the Act; the same applies hereinafter) to be attached thereto pursuant to the provisions of Article 29-2, paragraph (2) or (3) of the Act.
(登録の申請又は届出に係る使用人)
(Employees to Be Indicated in an Application for Registration or Notification)
第六条 令第十五条の四第一号に規定する内閣府令で定める者は、部長、次長、課長その他いかなる名称を有する者であるかを問わず、同号に規定する業務を統括する者の権限を代行し得る地位にある者とする。
Article 6 (1) The person to be specified by Cabinet Office Order as referred to in Article 15-4, item (i) of the Order is a person that holds position whereby the person may exercise authority on behalf of a supervisor of the operation as prescribed in that item, such as a general manager, vice-chief, section manager or any other person, irrespective of the job title.
2 令第十五条の四第二号に規定する内閣府令で定める者は、金融商品の価値等(法第二条第八項第十一号ロに規定する金融商品の価値等をいう。以下同じ。)の分析に基づく投資判断を行う者とする。
(2) The person to be specified by Cabinet Office Order as referred to in Article 15-4, item (ii) of the Order is a person that makes investment decisions based on analysis of the values, etc. of financial instruments (meaning the values, etc. of financial instruments defined in Article 2, paragraph (8), item (xi), (b) of the Act; the same applies hereinafter).
(情報通信の技術を利用する募集の取扱い等の方法)
(The Handling Public Offerings Using Information and Communications Technology)
第六条の二 法第二十九条の二第一項第六号に規定する内閣府令で定めるものは、次に掲げるものとする。
Article 6-2 The means to be specified by Cabinet Office Order as referred to in Article 29-2, paragraph (1), item (vi) of the Act are as follows:
一 金融商品取引業者等の使用に係る電子計算機に備えられたファイルに記録された情報の内容を電気通信回線を通じて相手方の閲覧に供する方法
(i) to make the contents of information recorded into the files stored on the computer used by a financial instruments business operator, etc. available for other parties via a telecommunications line; and
二 前号に掲げる方法による場合において、金融商品取引業者等の使用に係る電子計算機と相手方の使用に係る電子計算機とを接続する電気通信回線を通じて又はこれに類する方法により通信文その他の情報を送信する方法(音声の送受信による通話を伴う場合を除く。)
(ii) in the case of using the means specified in the preceding item, to transmit messages or other information via a telecommunications line connecting a computer used by a financial instruments business operator, etc. and a computer used by the other party or any means similar thereto (other than if communication through audio transmission is made).
(電子記録移転有価証券表示権利等)
(Electronically Recorded Transferable Rights to Be Indicated on Securities, etc.)
第六条の三 法第二十九条の二第一項第八号に規定する内閣府令で定めるものは、電子情報処理組織を用いて移転することができる財産的価値(電子機器その他の物に電子的方法により記録されるものに限る。以下単に「財産的価値」という。)に表示される場合に該当するものとする。
Article 6-3 What are specified by Cabinet Office Order as referred to in Article 29-2, paragraph (1), item (viii) of the Act are those falling under the cases of being indicated on financial values which can be transferred by using an electronic data processing system (limited to that which is recorded on an electronic device or any other object by electronic means; hereinafter simply referred to as "financial values").
(登録申請書の記載事項)
(Matters to Be Stated in a Written Application for Registration)
第七条 法第二十九条の二第一項第十二号に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 7 The matters to be specified by Cabinet Office Order as referred to in Article 29-2, paragraph (1), item (xii)of the Act are the matters listed in the following:
一 法第三十七条の七第一項第一号イ、第二号イ、第三号イ又は第四号イに定める業務に係る手続実施基本契約を締結する措置を講ずる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並びに加入する金融商品取引業協会(認可金融商品取引業協会又は認定金融商品取引業協会をいう。以下同じ。)及び対象事業者(法第七十九条の十一第一項に規定する対象事業者をいう。以下同じ。)となる認定投資者保護団体の名称
(i) the trade name or name of the designated dispute resolution organization with which a basic contract for implementation of dispute procedures is concluded for the purpose of taking the measures to conclude such contract for implementation of dispute procedures pertaining to the business specified in Article 37-7, paragraph (1), item (i), (a), item (ii), (a), item (iii), (a) or item (iv), (a) of the Act and the name of the financial instruments firms association (meaning the authorized financial instruments firms association or certified financial instruments business association; the same applies hereinafter) of which the applicant for registration intends to become a member; and the name of the certified investor protection organization of which the applicant for registration intends to become a target business operator (meaning a target business operator as defined in Article 79-11, paragraph (1) of the Act; the same applies hereinafter);
二 会員又は取引参加者(以下「会員等」という。)となる金融商品取引所の名称又は商号
(ii) the name or trade name of the financial instruments exchange of which the applicant for registration intends to become a member or trading participant (hereinafter referred to as the "members, etc.");
三 有価証券関連業を行う場合には、次に掲げる事項
(iii) if the applicant for registration intends to conduct securities-related business, the following:
イ その旨(第一種金融商品取引業のうち電子記録移転権利又は令第一条の十二第二号に規定する権利に係るもののみを行う場合にあっては、その旨を含む。)
(a) to that effect (in cases where the registration applicant conducts only business pertaining to Electronically Recorded Transferable Rights or the rights prescribed in Article 1-12, item (ii) of the Cabinet Order, out of the type I financial instruments business, including to that effect);
ロ 第一種金融商品取引業を行う場合(電子記録移転権利若しくは令第一条の十二第二号に規定する権利に係るもののみを行う場合又は第一種少額電子募集取扱業務のみを行う場合であって、投資者保護基金にその会員として加入しないときを除く。)には、加入する投資者保護基金(法第七十九条の四十九第四項の規定による定款の定めがあるものを除く。)の名称
(b) if the applicant for registration applicant intends to conduct type-I financial instruments business (excluding the cases where the registration applicant only conducts business pertaining to Electronically Recorded Transferable Rights or the rights prescribed in Article 1-12, item (ii) of the Cabinet Order, or type-I small amount electronic public offering service and is not to become a member of any investor protection fund), the name of the investor protection fund of which the applicant for registration intends to become a member (excluding an investor protection fund which has a provision of articles of incorporation under Article 79-49, paragraph (4) of the Act);
三の二 電子取引基盤運営業務を行う場合には、その旨
(iii)-2 if the applicant for registration intends to conduct an electronic trading platform management service, to that effect;
三の三 商品関連業務を行う場合には、次に掲げる事項
(iii)-3 if the applicant for registration intends to conduct a commodity-related business, the following matters:
イ その旨
(a) to that effect; and
ロ 商品デリバティブ取引関連業務(法第七十九条の二十第一項に規定する商品デリバティブ取引関連業務をいう。以下同じ。)を行う場合には、加入する投資者保護基金(法第七十九条の四十九第二項の規定による定款の定めがあるものを除く。)の名称
(b) if the applicant for registration intends to conduct a commodity derivatives transaction-related business (meaning the commodity derivatives transaction-related business provided in Article 79-20, paragraph (1) of the Act; the same applies hereinafter), an investor protection fund to which it becomes a member (excluding an investor protection fund which has a provision of articles of incorporation under Article 79-49, paragraph (2) of the Act);
四 商品投資関連業務(令第三十七条第二項に規定する商品投資関連業務をいう。以下同じ。)を行う場合には、次に掲げる事項
(iv) if the applicant for registration intends to conduct a business related to commodities investment (meaning the business related to commodities investment defined in Article 37, paragraph (2) of the Order; the same applies hereinafter), the following matters:
イ その旨
(a) to that effect; and
ロ その行う商品投資関連業務が令第三十七条第一項第二号ロに掲げる物品又は農林水産関係商品等(商品投資に係る事業の規制に関する法律施行令(平成四年政令第四十五号)第十一条第二項第一号に規定する農林水産関係商品等をいう。第四十四条第七号ロにおいて同じ。)のみに係るものである場合には、その旨
(b) if the business related to commodities investment to be conducted by the applicant for registration only pertains to the goods specified in Article 37, paragraph (1), item (ii), (b) of the Order or the agriculture, forestry and fisheries goods (meaning the goods, etc. related to agriculture, forestry and fishery defined in Article 11, paragraph (2), item (i) of the Order for Enforcement of Act on Control for Business Pertaining to Commodity Investment (Cabinet Order No. 45 of 1992); the same applies in Article 44, item (vii), (b)), to that effect;
ハ その行う商品投資関連業務が令第三十七条第一項第二号ハからホまでに掲げる物品又は経済産業関係商品等(商品投資に係る事業の規制に関する法律施行令第十一条第一項ただし書に規定する経済産業関係商品等をいう。第四十四条第七号ハにおいて同じ。)のみに係るものである場合には、その旨
(c) if the business related to commodities investment to be conducted by the applicant for registration only pertains to the goods listed in Article 37, paragraph (1), item (ii), (c) through (e) of the Order or the economy, trade and industry goods, etc. (meaning the economy, trade and industry goods, etc. defined in the proviso to Article 11, paragraph (1) of the Order for Enforcement of Act on Control for Business Pertaining to Commodity Investment; the same applies in Article 44, item (vii), (c)), to that effect;
ニ 競走用馬投資関連業務(次のいずれかに掲げる権利に係る法第百九十四条の六第一項各号に掲げる行為を行う業務をいう。以下同じ。)を行う場合には、その旨
(d) if the applicant for registration intends to conduct a business related to investment in racehorses (meaning a business to conduct the acts listed in the items of Article 194-6, paragraph (1) of the Act, in regard to any of the rights listed in the following; the same applies hereinafter), to that effect:
(1) 匿名組合契約に基づく権利であって、当該権利を有する者から出資を受けた金銭(令第一条の三第一号から第三号までに掲げるものを含む。)の全部を充てて競走用馬(競馬法(昭和二十三年法律第百五十八号)第十四条(同法第二十二条において準用する場合を含む。)の登録を受け、又は受けようとするものに限る。以下同じ。)を取得し、当該競走用馬を、(2)に掲げる権利に係る匿名組合契約に基づきその相手方(特定の一の者に限る。)に出資し、競走(同法第一条第五項に規定する中央競馬又は地方競馬の競走に限る。(2)において同じ。)に出走させることを目的とするもの
1. a right under a silent partnership contract, the purpose of which is to acquire racehorses (limited to the racehorses that are or will be registered under Article 14 of the Horse Racing Act (Act No. 158 of 1948) (including as applied mutatis mutandis pursuant to Article 22 of that Act); the same applies hereinafter), using all the monies (including the things similar to money as listed in Article 1-3, items (i) through (iii) of the Order) invested by the holders of such right, to invest such racehorses to the counterparty (limited to a specific party) under the silent partnership contract pertaining to the right specified in 2. below, and to run such racehorses in races (limited to races held by the Japan Racing Association or the National Association of Racing as prescribed in Article 1, paragraph (5) of the Horse Racing Act; the same applies in 2. below);
(2) 匿名組合契約に基づく権利であって、当該権利を有する(1)に掲げる権利に係る匿名組合契約の営業者(特定の一の者に限る。)から出資を受けた競走用馬を競走に出走させることを目的とするもの
2. a right under a silent partnership contract, the purpose of which is to run a racehorse invested in by the proprietor (limited to a specific party) under the silent partnership contract which pertains to the right specified in 1. above that is entitled to such right;
五 法第百九十四条の六第二項各号に掲げる行為を業として行う場合には、その旨
(v) if the applicant for registration intends to conduct any of the acts listed in the items of Article 194-6, paragraph (2) of the Act in the course of trade, to that effect;
六 不動産信託受益権等売買等業務(宅地(宅地建物取引業法(昭和二十七年法律第百七十六号)第二条第一号に掲げる宅地をいう。以下同じ。)若しくは建物に係る法第二条第二項第一号に掲げる権利(以下「不動産信託受益権」という。)又は組合契約、匿名組合契約若しくは投資事業有限責任組合契約に基づく権利のうち当該権利に係る出資対象事業が主として不動産信託受益権に対する投資を行うものの売買その他の取引に係る業務をいう。以下同じ。)を行う場合には、その旨
(vi) if the applicant for registration intends to conduct the business of transaction, etc. of beneficial interest in real property trust (meaning a business related to the purchase and sale or any other transaction of the rights specified in Article 2, paragraph (2), item (i) of the Act which relate to building lots (meaning building lots as defined in Article 2, item (i) of the Building Lots and Buildings Transaction Business Act (Act No. 176 of 1952); the same applies hereinafter) or buildings (hereinafter referred to as the "beneficial interest in real property trust"), or a business related to the purchase and sale of or any other transaction of the rights under a partnership contract, silent partnership contract or limited partnership agreement for investment whose business subject to investment is primarily intended for investment in a beneficial interest in real property rust; the same applies hereinafter), to that effect;
七 不動産関連特定投資運用業(投資運用業(法第二条第八項第十二号イに掲げる契約に係る同号に掲げる行為及び同項第十四号に掲げる行為を行う業務を除く。)のうち、不動産信託受益権又は組合契約、匿名組合契約若しくは投資事業有限責任組合契約に基づく権利のうち当該権利に係る出資対象事業が主として不動産信託受益権に対する投資を行うものを投資の対象とするものをいう。以下同じ。)を行う場合には、その旨
(vii) if the applicant for registration intends to conduct specified investment management business related to real property (meaning an investment management business (excluding a business to conduct the act specified in Article 2, paragraph (8) item (xii) of the Act pertaining to the contract specified in (a) of that item, or to conduct the act specified in item (xiv) of that paragraph) intended for investment in a beneficial interest in real property trust, or in the rights under a partnership contract, silent partnership contract or limited partnership agreement for investment whose business subject to investment is primarily intended for investment in a beneficial interest in real property trust; the same applies hereinafter), to that effect;
八 特定引受行為(金融商品取引法第二条に規定する定義に関する内閣府令(平成五年大蔵省令第十四号)第十六条第一項第五号に掲げる行為をいう。)を行う場合には、その旨
(viii) if the applicant for registration intends to conduct specific underwriting (meaning the act specified in Article 16, paragraph (1), item (v) of the Cabinet Office Order on Definitions under Article 2 of the Financial Instruments and Exchange Act (Order of the Ministry of Finance No. 14 of 1993)), to that effect;
九 特定有価証券等管理行為(金融商品取引法第二条に規定する定義に関する内閣府令第十六条第一項第十四号及び第十四号の二に掲げる行為をいう。第百四十九条第一号イ及び第百八十一条第一項第二号ロにおいて同じ。)を行う場合には、その旨
(ix) if the applicant for registration intends to conduct an Act of Management of Specified Securities, etc. (meaning the act specified in Article 16, paragraph (1), items (xiv) and (xiv)-2 of the Cabinet Office Order on Definitions under Article 2 of the Financial Instruments and Exchange Act; the same applies in Article 149, item (i), (a) and Article 181, paragraph (1), item (ii), (b)), to that effect;
十 金融商品取引業として高速取引行為を行う場合において、外国に住所を有する個人であるときは、国内における代理人の氏名、商号又は名称
(x) if the applicant for registration intends to conduct high-speed trading as part of its financial instruments business, and if the applicant for registration is an individual domiciled in a foreign state, the name or trade name of the agent in Japan;
十一 第二種金融商品取引業に係る業務のうち、令第一条の十二第二号に掲げる行為に係る業務を行う場合には、その旨
(xi) in cases where the registration applicant intends to engage in business pertaining to the acts set forth in Article 1-12, item (ii) of the Cabinet Order, out of the business pertaining to type II financial instruments business, to that effect; and
十二 本店等の名称及び所在地
(xii) the names and locations of its head office, etc.
(業務の内容及び方法)
(Contents and Methods of Business)
第八条 法第二十九条の二第二項第二号に規定する内閣府令で定めるものは、次に掲げるものとする。
Article 8 The contents and method of business to be specified by Cabinet Office Order as referred to in Article 29-2, paragraph (2), item (ii) of the Act are as follows:
一 業務運営に関する基本原則
(i) the basic principles of business operation;
二 業務執行の方法
(ii) the method of execution of business;
三 業務分掌の方法
(iii) the method of allocation of business operations;
四 業として行う金融商品取引行為の種類
(iv) the types of acts that constitute financial instruments transactions to be conducted in the course of trade;
五 苦情の解決のための体制(法第三十七条の七第一項第一号ロ、第二号ロ、第三号ロ又は第四号ロに定める業務に関する苦情処理措置及び紛争解決措置の内容を含む。)
(v) the system for handling complaints (including the contents of the complaint processing measures and dispute resolution measures concerning the business specified in Article 37-7, paragraph (1), item (i), (b), item (ii), (b), item (iii), (b) or item (iv), (b) of the Act);
六 第一種金融商品取引業を行う場合には、次に掲げる事項(第一種少額電子募集取扱業務のみを行う場合には、ロからニまでに掲げる事項を除く。)
(vi) if the applicant for registration intends to conduct type-I financial instruments business, the following matters (in cases of conducting only type-I small amount electronic public offering service, excluding the matters specified in (b) through (e)):
イ 取り扱う有価証券及び業として行うデリバティブ取引の種類(当該有価証券又はデリバティブ取引が電子記録移転有価証券表示権利等又は法第二十九条の二第一項第八号に規定するデリバティブ取引である場合にあってはその旨並びに次号ロ及びハに掲げる事項を含み、商品関連業務を行う場合にあっては取引の対象とする商品又は商品に係る金融指標を含む。)
(a) the types of the securities to be handled, and the types of the derivative transactions to be conducted in the course of trade (in cases where the securities in question are electronically recorded transferable rights to be indicated on securities, etc. or that the derivatives transactions in question are the derivatives transactions prescribed in Article 29-2, paragraph (1), item (viii) of the Act, including to that effect and the matters set forth in sub-item (b) or (c) of the following item, and in cases of conducting commodity-related business, including commodities for transactions or indicators pertaining to the commodities);
ロ 損失の危険の管理方法に関する次に掲げる事項
(b) the following matters in regard to methods of risk management concerning loss:
(1) 損失の危険相当額(第百七十八条第一項第一号に規定する市場リスク相当額、同項第二号に規定する取引先リスク相当額及び同項第三号に規定する基礎的リスク相当額を含む。以下この号において同じ。)の算定方法
1. the method of calculating the value of loss risk equivalent (including the market risk equivalent defined in Article 178, paragraph (1), item (i), the counterparty risk equivalent defined in item (ii) of that paragraph and the basic risk equivalent defined in item (iii) of that paragraph; hereinafter the same applies in this item);
(2) 損失の危険相当額の限度枠の設定及び適用方法
2. the method of establishment and application of a ceiling on the value of loss risk equivalent;
(3) 損失の危険相当額の算定及び限度枠の管理を行う部署の名称及び体制
3. the name and structure of the section in charge of calculating the value of loss risk equivalent and managing of the ceiling thereof;
(4) 損失の危険相当額の算定の基礎となる資料の作成及び保存の方法
4. the method of preparation and preservation of materials which would serve as the basis of the calculation of the value of loss risk equivalent;
(5) 損失の危険相当額及びその限度枠の適用状況について、検査を行う頻度、部署の名称及び体制
5. the frequency of inspection of the value of loss risk equivalent and the status of the application of the ceiling thereof, and the name and structure of the section in charge of such inspection;
(6) その他損失の危険の管理に関する重要な事項
6. any other important matters related to the risk management concerning loss;
ハ 店頭デリバティブ取引等に係る業務(電子取引基盤運営業務を除く。)を行う場合には、次に掲げる事項
(c) if the applicant for registration intends to conduct a business in relation to over-the-counter transactions of derivatives, etc. (excluding electronic trading platform management service), the following matters:
(1) 当該業務を管理する責任者の氏名及び役職名
1. the name and job title of the person responsible for the management of the business;
(2) 当該業務を行う部署の名称及び組織の体制
2. the name and organizational structure of the section in charge of the business;
(3) 当該業務に係る顧客との取引開始基準
3. the conditions for starting transactions with the customers pertaining to the business;
(4) 当該業務に係る損失の危険相当額の算定方法及び算定の頻度(取引所金融商品市場における相場、金利、通貨の価格その他の指標の変動により発生し得る損失の危険、取引の相手方の契約不履行その他の理由により発生し得る損失の危険及びこれらの理由以外の理由により発生し得る損失の危険ごとに記載すること。)
4. the method and frequency of calculating the value of loss risk equivalent pertaining to the business (such information is itemized by the risk of loss which may accrue due to fluctuations in indicators such as quotations on the financial instruments exchange market, interest rates or value of currencies, the risk of loss which may accrue due to a default in the performance of contracts by counterparties to the transactions and on any other reason, and the risk or loss which may accrue due to reasons other than on the aforementioned reasons);
(5) 当該業務に係る損失の危険相当額の限度枠の設定及び適用方法並びに取引の種類及び顧客の属性別の当該限度枠の設定及び適用方法
5. the method of the establishment and application of a ceiling on the value of loss risk equivalent pertaining to the business; and the method of the establishment and application for such ceiling classified in accordance with the types of transactions and categories of the customers;
(6) 当該業務に係る損失の危険相当額の算定及び限度枠の管理を行う部署の名称及び体制
6. the name and structure of the section in charge of calculating the value of loss risk equivalent pertaining to the business, and management of the ceiling thereof;
(7) 当該業務に係る損失の危険相当額及びその限度枠の適用状況について、代表権を有する取締役又は執行役(外国法人にあっては、国内における営業所若しくは事務所に駐在する取締役若しくは執行役若しくはこれらに準ずる者又は国内における代表者)に報告する頻度
7. the frequency of reporting the value of loss risk equivalent pertaining to the business and the status of the application of the ceiling thereof to directors or executive officers with authority of representation (in the case of a foreign corporation, its directors, executive officers or any other person holding a position equivalent thereto that are stationed at a business office or other office in Japan, or its representative person in Japan);
(8) 当該業務に係る損失の危険相当額の算定の基礎となる資料の作成及び保存の方法
8. the means of the preparation and preservation of material which would serve as the basis of the calculation of the value of loss risk equivalent pertaining to the business;
(9) 当該業務の執行並びに損失の危険相当額及びその限度枠の適用状況について、検査を行う頻度、部署の名称及び体制
9. the frequency of inspection on the execution of the business, the value of loss risk equivalent and the status of the application of the ceiling thereof, and the name and structure of the section in charge of such inspection; and
(10) その他当該業務に係る損失の危険の管理に関する重要な事項
10. any other important matter related to the risk management concerning loss pertaining to the business;
ニ 有価証券の元引受けに係る業務を行う場合には、次に掲げる事項
(d) if the applicant for registration intends to conduct a business pertaining to the wholesale underwriting of securities, the following matters:
(1) 当該業務を管理する責任者の氏名及び役職名
1. the name and title of the person responsible for the management of the business;
(2) 当該業務を行う部署の名称及び組織の体制
2. the name and organizational structure of the section in charge of the business;
(3) 当該業務に係る損失の危険相当額の算定方法
3. the method of calculating the value of loss risk equivalent pertaining to the business;
(4) 当該業務に係る損失の危険相当額の限度枠の設定及び適用方法
4. the method of the establishment and application of a ceiling on the value of loss risk equivalent pertaining to the business;
(5) 当該業務に係る損失の危険相当額の算定及び限度枠の管理を行う部署の名称及び体制
5. the name and structure of the section in charge of the calculation of the value of loss risk equivalent pertaining to the business, and management of the ceiling thereof;
(6) 当該業務の執行並びに損失の危険相当額及びその限度枠の適用状況について、検査を行う頻度、部署の名称及び体制
6. the frequency of inspection on the execution of the business, the value of loss risk equivalent and status of the application of the ceiling thereof, and the name and structure of the section in charge of such inspection; and
(7) その他当該業務に係る損失の危険の管理に関する重要な事項
7. any other important matter related to the risk management concerning loss pertaining to the business;
ホ 有価証券等管理業務を行う場合には、法第四十三条の二から第四十三条の三までの規定による管理の方法
(e) if the applicant for registration intends to conduct a securities, etc. management business, the management means set forth in Article 43-2 through Article 43-3 of the Act;
ヘ 有価証券関連業を行う場合には、第七十条の四第一項各号に掲げる措置に関する次に掲げる事項
(f) if the applicant for registration intends to conduct a securities-related business, the following matters concerning the measures listed in the respective items of Article 70-4, paragraph (1):
(1) 当該措置の実施の方法
1. the means for carrying out such measures; and
(2) 当該措置の実施を所掌する組織及びその人員の配置
2. the organization in charge of carrying out such measures and the positions of the personnel therefor; and
ト 電子取引基盤運営業務を行う場合には、次に掲げる事項
(g) if the applicant for registration intends to conduct an electronic trading platform management service, the following matters:
(1) 電子取引基盤運営業務において行う特定店頭デリバティブ取引の種類及びその具体的内容
1. the types and specific details of the specified over-the-counter derivatives transactions to be conducted in relation to the electronic trading platform management service;
(2) 電子取引基盤運営業務を管理する責任者の氏名及び役職名
2. the name and job title of the person responsible for the management of the electronic trading platform management service;
(3) 電子取引基盤運営業務を行う部署及び法第四十条の七第二項の規定に基づく公表に係る業務を行う部署(電子取引基盤運営業務の一部又は同項の規定に基づく公表に係る業務の一部を他の者に委託する場合にあっては、その者を含む。)の名称及び組織の体制
3. the name and organizational structure of the section in charge of the electronic trading platform management service and the section in charge of the business relating to the publication under Article 40-7, paragraph (2) of the Act (if a part of the electronic trading platform management service or a part of the business relating to the publication under that paragraph is to be entrusted to any other person, including such person);
(4) 電子取引基盤運営業務に係る顧客との取引開始基準及び顧客の管理方法
4. the conditions for starting transactions with customers pertaining to the electronic trading platform management service, and the methods of management of the customers;
(5) 料金に関する事項
5. the matters relating to the fees;
(6) 売付け及び買付けの気配その他価格情報を顧客に公表する方法(電子情報処理組織の使用その他の電子的方法に限る。)
6. the means of publicizing quotes for sale or purchase, and other pricing information to customers (limited to means of using an electronic data processing system or other electronic means);
(7) 取引価格の決定方法(特定店頭デリバティブ取引において当事者が想定元本として定めた金額が、第百二十五条の八第二項各号に掲げる特定店頭デリバティブ取引の効力が生じる日から当該効力が消滅する日までの期間の区分に応じ、当該各号に定める金額以下である場合には、次の(ⅰ)に掲げるもの又は次の(ⅰ)若しくは(ⅱ)に掲げるもののいずれかを顧客が選択することができるものに限る。)及び取引の成立の時期
7. the method for deciding the transaction price (for a specified over-the-counter derivatives transactions, if the amount designated by the party as a notional principal does not exceed the amount specified in the items of Article 125-8, paragraph (2) according to the categories of periods from the day when the specified over-the-counter derivatives transaction takes effect to the day when such transaction ceases to be in effect as respectively specified in these items, limited to the method enabling customers to choose either the method specified in the following i., or the method specified in the following i. or ii.), as well as the time when the transaction takes effect:
(ⅰ) (6)の規定により公表された自己又は顧客の売付け及び買付けの気配に基づく価格を用いる方法
i. the method using a price based on quotes for the sale or purchase of itself or customers publicized pursuant to 6.;
(ⅱ) 顧客の間の交渉(顧客の指定に基づき三以上の他の顧客に対して売付け又は買付けの気配の提示を求め、当該求めに応じ当該他の顧客が提示した売付け又は買付けの気配、(6)の規定により公表された売付け又は買付けの気配及び自己が売付け又は買付けの気配を提示する場合における当該気配を当該顧客に通知した上で行うものに限る。)に基づく価格を用いる方法
ii. the method using a price determined based on a negotiation among customers (limited to a negotiation conducted after requesting three or more other customers designated by the customer to present quotes for the sale or purchase, and notifying the customer of the quotes for sale or purchase presented by the other customers in response to the request, the quotes for sale or purchase publicized pursuant to 6., and the quotes if the applicant for registration presents the quotes for sale or purchase);
(8) 法第四十条の七第二項の規定に基づく公表を行う方法
8. the method of the publication under Article 40-7, paragraph (2) of the Act;
(9) 電子取引基盤運営業務において使用する電子情報処理組織の概要、設置場所、容量及び保守の方法並びに当該電子情報処理組織に異常が発生した場合の対処方法
9. the outline, location, volume and maintenance method of the electronic data processing system to be used for the electronic trading platform management service, and the method of handling of cases in which there occurs any malfunction of such electronic data processing system;
(10) 電子取引基盤運営業務に係る決済の方法(法第百五十六条の六十二第一号又は第二号に掲げる取引に基づく債務を金融商品取引清算機関(当該金融商品取引清算機関が連携金融商品債務引受業務を行う場合には、連携清算機関等を含む。)又は外国金融商品取引清算機関に適切かつ迅速に負担させるための方法を含む。)及び顧客の契約不履行が生じた場合の対処方法
10. the method of settlement for the electronic trading platform management service (including the method of ensuring that the obligations arising from the transactions specified in Article 156-62, item (i) or (ii) of the Act are assumed by a financial instruments clearing organization (including a collaborating clearing organization, etc., if the financial instruments clearing organization conducts collaborative financial instruments obligation assumption service) or a foreign financial instruments clearing organization in an appropriate and swift manner), and the method of handling if a customer defaults on a contract;
(11) 電子取引基盤運営業務に係る取引記録の作成及び保存の方法
11. the method for the preparation and preservation of the transaction records for the electronic trading platform management service;
(12) 電子取引基盤運営業務の執行状況について、検査を行う頻度、部署の名称及び体制
12. the frequency of the inspection on the status of the execution of the electronic trading platform management service, and the name and structure of the section in charge of such inspection;
(13) 不公正な取引の防止の方法その他の取引の公正の確保に関する事項
13. the method of the prevention of unfair transactions, and any other matters relating to the securing of fair transactions; and
(14) その他電子取引基盤運営業務に係る損失の危険の管理に関する重要な事項
14. other important matters in regard to methods of management of risks of loss relating to the electronic trading platform management service.
チ 第百二十三条第一項第十八号ホ及び第二十四号ニ並びに第百五十三条第一項第七号ト及びリに規定する場合において情報を受領し、又は提供するときは、電子情報処理組織の保守及び管理に関する業務並びに同条第三項に規定する内部の管理及び運営に関する業務に関する次に掲げる事項
(h) if the applicant for registration intends to receive or supply information in the cases referred to in Article 123, paragraph (1), item (xviii), (e) and item (xxiv), (d), and Article 153, paragraph (1), item (vii), (g) and (i), the following matters concerning affairs related to the maintenance and management of an electronic data processing system and concerning affairs related to internal management and operation prescribed in paragraph (3) of that Article:
(1) 当該情報を受領し、又は提供する登録金融機関又は親法人等若しくは子法人等の商号又は名称
1. the trade name or name of the registered financial institution, parent corporation, etc. or subsidiary corporation, etc. that receives or supplies the information;
(2) 業務執行の方法
2. the method for execution of the affairs; and
(3) 当該業務を所掌する組織及びその人員の配置
3. the organization in charge of such affairs and the positions of the personnel therefor;
七 第二種金融商品取引業を行う場合には、次に掲げる事項
(vii) if the applicant for registration intends to conduct type-II financial instruments business, the following matters:
イ 取り扱う有価証券及び業として行うデリバティブ取引の種類(当該有価証券又はデリバティブ取引が電子記録移転有価証券表示権利等又は法第二十九条の二第一項第八号に規定するデリバティブ取引である場合にあっては、その旨を含む。)
(a) the type of the securities to be handled, and the type of the derivative transactions to be conducted in the course of trade (in cases where the securities in question are electronically recorded transferable rights to be indicated on securities, etc. or that the derivatives transactions in question are the derivatives transactions prescribed in Article 29-2, paragraph (1), item (viii) of the Act, including to that effect);
ロ 法第二条第二項第一号又は第二号に掲げる権利を取り扱うときは、当該権利に係る信託財産の種類
(b) if the applicant for registration intends to handle the rights specified in Article 2, paragraph (2), item (i) or (ii) of the Act, the type of the trust property pertaining to such rights;
ハ 法第二条第二項第五号又は第六号に掲げる権利を取り扱うときは、当該権利に係る出資対象事業の概要
(c) if the applicant for registration intends to handle the rights specified in Article 2, paragraph (2), item (v) or (vi) of the Act, the outline of the business subject to investment pertaining to the rights; and
ニ 法第二十九条の五第二項に規定する業務を行う場合には、その旨
(d) in cases of implementing the operations defined in Article 29-5, paragraph (2) of the Act, to that effect;
ホ 前条第十一号に規定する業務を行う場合には、法第四十三条の二及び第四十三条の三の規定による管理の方法
(e) in cases of implementing the operations defined in item (xi) of the preceding Article, the management methods under Article 43-2 and Article 43-3 of the Act;
八 投資助言・代理業を行う場合には、次に掲げる事項
(viii) if the applicant for registration intends to conduct an investment advisory and agency business, the following matters:
イ 投資助言・代理業の種別(法第二条第八項第十一号及び第十三号に掲げる行為に係る業務の種別をいう。)
(a) the types of the investment advisory and agency business (meaning the types of business pertaining to the acts specified in Article 2, paragraph (8), items (xi) and (xiii) of the Act);
ロ 助言を行う有価証券及びデリバティブ取引に係る権利の種類
(b) the type of the securities and rights pertaining to derivative transactions regarding which the applicant for registration intends to give advice;
ハ 法第二条第二項第一号又は第二号に掲げる権利に関し助言を行うときは、当該権利に係る信託財産の種類
(c) if the applicant for registration intends to give advice in relation to the rights specified in Article 2, paragraph (2), item (i) or (ii) of the Act, the type of trust property pertaining to such rights;
ニ 法第二条第二項第五号又は第六号に掲げる権利に関し助言を行うときは、当該権利に係る出資対象事業の概要
(d) if the applicant for registration intends to give advice in relation to the rights specified in Article 2, paragraph (2), item (v) or (vi) of the Act, the outline of the business subject to investment pertaining to such rights;
九 投資運用業を行う場合には、次に掲げる事項
(ix) if the applicant for registration intends to conduct investment management business, the following matters:
イ 投資運用業の種別(法第二条第八項第十二号イに掲げる契約に係る同号に掲げる行為、同号ロに掲げる契約に係る同号に掲げる行為、同項第十四号に掲げる行為及び同項第十五号イからハまでに掲げる権利に係る同号に掲げる行為に係る業務の種別をいい、適格投資家向け投資運用業を行う場合には、その旨を含む。)
(a) the types of the investment management business (meaning the types of business pertaining to the act specified in Article 2, paragraph (8), item (xii) of the Act which pertains to the contract specified in (a) of that item, the act specified in that item which pertains to the contract specified in (b) of that item, the act specified in item (xiv) of that paragraph, and the act specified in item (xv) of that paragraph which pertains to any of the rights listed in (a) through (c) of that item; in cases of engaging in an investment management business for qualified investors, including to that effect);
ロ 投資の対象とする有価証券及びデリバティブ取引に係る権利の種類(当該有価証券又はデリバティブ取引が電子記録移転有価証券表示権利等又は法第二十九条の二第一項第八号に規定するデリバティブ取引である場合にあっては、その旨を含む。)
(b) the type of the securities and type of the rights pertaining to the derivative transactions for which the investment is to be made (in cases where the securities in question are electronically recorded transferable rights to be indicated on securities, etc. or that the derivatives transactions in question are the derivatives transactions prescribed in Article 29-2, paragraph (1), item (viii) of the Act, including to that effect);
ハ 法第二条第二項第一号又は第二号に掲げる権利を投資の対象とするときは、当該権利に係る信託財産の種類
(c) if any of the rights specified in Article 2, paragraph (2), item (i) or (ii) of the Act is to become the subject of investment, the type of trust property pertaining to such right;
ニ 法第二条第二項第五号又は第六号に掲げる権利を投資の対象とするときは、当該権利に係る出資対象事業の概要
(d) if any of the rights specified in Article 2, paragraph (2), item (v) or (vi) of the Act is to become the subject of investment, the outline of the business subject to investment pertaining to such right; and
ホ 有価証券又はデリバティブ取引に係る権利以外の資産を投資の対象とするときは、当該資産の種類
(e) if the any asset other than the securities or the rights pertaining to the derivative transactions is to become the subject of investment, the type of such assets;
十 電子募集取扱業務(法第二十九条の二第一項第六号に規定する電子募集取扱業務をいい、法第三条各号に掲げる有価証券又は金融商品取引所に上場されていない有価証券(令第十五条の四の二各号に掲げるものを除く。)について行うものに限る。以下同じ。)を行う場合には、次に掲げる事項
(x) if the applicant for registration intends to conduct electronic public offering services (meaning the electronic public offering services provided in Article 29-2, paragraph (1), item (vi) of the Act, and limited to services conducted in relation to the securities specified in the items of Article 3 of the Act or the securities not listed on any financial instruments exchange (excluding the securities specified in the items of Article 15-4-2 of the Order; the same applies hereinafter)), the following matters:
イ 取り扱う有価証券の種類(当該有価証券が電子記録移転有価証券表示権利等である場合にあっては、その旨を含む。)
(a) the types of securities to be handled (in cases where the Securities fall under the category of Electronically Recorded Transferable Rights to Be Indicated on Securities, etc., including to that effect);
ロ 第一種金融商品取引業のうち第一種少額電子募集取扱業務のみを行う場合には、その旨(その業務に関して顧客から金銭の預託を受ける場合にあっては、その旨を含む。)
(b) if the applicant for registration intends to conduct only type-I small amount electronic public offering service among the type I financial instruments business, to that effect (including the effect that the applicant for registration intends to receive money deposited by customers in relation to that business, if the applicant for registration has such intention);
ハ 第二種金融商品取引業のうち第二種少額電子募集取扱業務のみを行う場合には、その旨
(c) if the applicant for registration intends to conduct only type-II small amount electronic public offering service among the type II financial instruments business, to that effect;
ニ 電子申込型電子募集取扱業務(第七十条の二第三項に規定する電子申込型電子募集取扱業務をいう。第百四十九条第一号ハ及び第百五十条第一号ハにおいて同じ。)を行う場合には、その旨
(d) if the applicant for registration intends to conduct electronic-based application type electronic public offering services) (meaning the electronic-based application type electronic public offering services provided in Article 70-2, paragraph (3); the same applies in Article 149, item (i), (a) and Article 150, item (i), (c)), to that effect;
十一 金融商品取引業として高速取引行為を行う場合には、次に掲げる事項
(xi) if the applicant for registration intends to conduct high-speed trading as part of its financial instruments business, the following matters:
イ 取引戦略ごとに、当該取引戦略の概要(次に掲げる事項を含む。)
(a) the outline of each of the transaction strategies (including the matters specified in the following):
(1) 取引戦略の類型
1. the categories of transaction strategies;
(2) 高速取引行為に係る金融商品取引所等(金融商品取引法第二条に規定する定義に関する内閣府令第二十六条第一項に定める者をいう。以下同じ。)の名称又は商号
2. the name or trade name of the financial instruments exchange, etc. (meaning a person provided in Article 26, paragraph (1) of the Cabinet Office Order on Definitions under Article 2 of the Financial Instruments and Exchange Act; the same applies hereinafter) pertaining to the high-speed trading;
(3) 高速取引行為の対象とする有価証券又は市場デリバティブ取引の種類
3. the types of securities or market derivatives transactions subject to the high-speed trading;
ロ 高速取引行為に係る業務を管理する責任者(法第二条第四十一項の判断並びに高速取引行為に係るプログラム(電子計算機に対する指令であって、一の結果を得ることができるように組み合わされたものをいう。以下同じ。)の作成及び電子情報処理組織その他の設備の管理の責任者を含む。以下同じ。)の氏名及び役職名
(b) the name and job title of the person responsible for the management of the business pertaining to the high-speed trading (including the person responsible for making a decision under Article 2, paragraph (41) of the Act and the creation of programs (meaning a series of instructions given to a computer which is combined so as to obtain a certain result; the same applies hereinafter) for the high-speed trading and the management of an electronic data processing systems and other facilities; the same applies hereinafter);
ハ 高速取引行為に係る電子情報処理組織その他の設備の概要、設置場所及び保守の方法
(c) the outline, location and maintenance method of maintaining the electronic data processing system and other facilities for the high-speed trading; and
ニ 高速取引行為に係る電子情報処理組織その他の設備の管理を十分に行うための措置の内容
(d) the details of the measures to ensure sufficient management of the electronic data processing systems and other facilities for the high-speed trading.
十二 法第二十九条の二第一項第九号に規定するデリバティブ取引についての次に掲げる行為を業として行う場合には、次のイ又はロに掲げる行為の区分に応じ、当該イ又はロに定めるデリバティブ取引に係る暗号資産及び金融指標の名称
(xii) in cases where the registration applicant intends to conduct any of the following acts with regard to the Derivative Transactions prescribed in Article 29-2, paragraph (1), item (ix) of the Act in the course of trade, the name of the Cryptoassets and Financial Indicators pertaining to the Derivative Transactions specified in sub-item (a) or (b) in accordance with the categories of the acts set forth respectively therein:
イ 法第二条第八項第一号から第五号までに掲げる行為 業として行うデリバティブ取引
(a) the acts set forth in Article 2, paragraph (8), items (i) to (v) of the Act: the Derivative Transactions to be conducted in the course of trade; or
ロ 法第二条第八項第十二号、第十四号又は第十五号に掲げる行為 投資の対象とするデリバティブ取引
(b) the acts set forth in Article 2, paragraph (8), item (xii), (xiv) or (xv) of the Act: the Derivative Transactions for which the investment is to be made.
(登録申請書の添付書類)
(Documents to Be Attached to Written Applications for Registration)
第九条 法第二十九条の二第二項第二号に規定する内閣府令で定める書類は、次に掲げる書類とする。
Article 9 The documents to be specified by Cabinet Office Order as referred to in Article 29-2, paragraph (2), item (ii) of the Act are as follows:
一 業務に係る人的構成及び組織等の業務執行体制を記載した書面
(i) the documents stating the applicant for registration's system for conducting business, such as its personnel structure and the organizational structure;
二 法人であるときは、次に掲げる書類
(ii) if the applicant for registration is a corporation, the following documents:
イ 役員(相談役、顧問その他いかなる名称を有する者であるかを問わず、当該法人に対し取締役、執行役又はこれらに準ずる者と同等以上の支配力を有するものと認められる者を含む。以下この号、第十三条第一号、第二号及び第四号、第四十七条第一項第二号、第四十九条第一号、第二号及び第四号、第百九十九条第二号、第二百一条第九号、第二百二条第八号、第二百八条の二十第二号から第六号まで、第二百八条の二十二第二号ハ、第二百八条の三十一第一項第四号及び第二項第四号、第二百八条の三十二第二号、第二百三十八条の二第一項第一号、第二百四十一条第一項第五号及び第二項第一号、第二百四十一条の二第二号、第二百四十二条第一項第四号、第二百四十二条の二第一項第二号、第三百二十九条第一項第二号、第三百三十二条各号、第三百四十一条第二号、第三百四十二条第一項第五号並びに第三百四十三条第一項第四号において同じ。)及び令第十五条の四に規定する使用人(第四十七条第一項第二号、第五十一条第一項第四号、第九十一条第一項第四号、第六節及び第六節の二を除き、以下「重要な使用人」という。)の履歴書(役員が法人であるときは、当該役員の沿革を記載した書面)
(a) the resumes of the officers (including those that are found to have the same or a higher authority over the corporation as directors, executive officers or any persons holding position equivalent thereto, irrespective of their job title such as advisor, consultant or others; hereinafter the same applies in this item, Article 13, items (i), (ii) and (iv), Article 47, paragraph (1), item (ii), Article 49, items (i), (ii) and (iv), Article 199, item (ii), Article 201, item (ix), Article 202, item (viii), Article 208-20, items (ii) through (vi), Article 208-22, item (ii), (c), Article 208-31, paragraph (1), item (iv), and paragraph (2), item (iv), Article 208-32, item (ii), Article 238-2, paragraph (1), item (i), Article 241, paragraph (1), item (v), Article 241, paragraph (2), item (i), Article 241-2, item (ii), Article 242, paragraph (1), item (iv), Article 242-2, paragraph (1), item (ii), Article 329, paragraph (1), item (ii), the items of Article 332, Article 341, item (ii), Article 342, paragraph (1), item (v) and Article 343, paragraph (1), item (iv)) (if an officer is a corporation, the document describing the background of the officer); and the resumes of the employees defined in Article 15-4 of the Order (hereinafter referred to as the "major employees", except in Article 47, paragraph (1), item (ii), Article 51, paragraph (1), item (iv), Article 91, paragraph (1), item (iv), Section 6 and Section 6-2);
ロ 役員及び重要な使用人の住民票の抄本(役員が法人であるときは、当該役員の登記事項証明書)又はこれに代わる書面
(b) the extracts of the certificates of residence of the officers and the major employees (if an officer is a corporation, the certificate of registered matters of the officer), or any document in lieu thereof;
ハ 役員及び重要な使用人の旧氏(住民基本台帳法施行令(昭和四十二年政令第二百九十二号)第三十条の十三に規定する旧氏をいう。以下同じ。)及び名を当該役員及び重要な使用人の氏名に併せて法第二十九条の二第一項の登録申請書に記載した場合において、ロに掲げる書類が当該役員及び重要な使用人の旧氏及び名を証するものでないときは、当該旧氏及び名を証する書面
(c) if the former surname (meaning the former surname prescribed in Article 30-13 of the Enforcement Order of the Residential Basic Book Act (Cabinet Order No. 292 of 1967); the same applies hereinafter) and given name of the officer or major employee are stated together with the current name of the officer or major employee in a written application for registration under Article 29-2, paragraph (1) of the Act, and the document specified in (b) is not a document certifying the former surname and given name of the officer or major employee, a document certifying the former surname and given name;
ニ 役員及び重要な使用人が法第二十九条の四第一項第二号ロに該当しない旨の官公署の証明書又はこれに代わる書面
(d) the certificate issued by the public agency evidencing that none of the officers or major employees falls under Article 29-4, paragraph (1), item (ii), sub-item (b) of the Act, or any other document in lieu thereof;
ホ 役員及び重要な使用人が法第二十九条の四第一項第二号イ又はハからリまでのいずれにも該当しない者であることを当該役員及び重要な使用人が誓約する書面
(e) the document in which each of the officers and the major employees pledges that they do not fall under any of Article 29-4, paragraph (1), item (ii), sub-items (a) or (c) through (i) of the Act;
三 個人であるときは、次に掲げる書類
(iii) if the applicant for registration is an individual, the following documents:
イ 登録申請者及び重要な使用人の履歴書
(a) the resumes of the applicant for registration and the major employees;
ロ 登録申請者及び重要な使用人の住民票の抄本又はこれに代わる書面
(b) the extracts of the certificates of residence of the applicant for registration and the major employees, or any other documents in lieu thereof;
ハ 登録申請者及び重要な使用人の旧氏及び名を当該登録申請者及び重要な使用人の氏名に併せて法第二十九条の二第一項の登録申請書に記載した場合において、ロに掲げる書類が当該登録申請者及び重要な使用人の旧氏及び名を証するものでないときは、当該旧氏及び名を証する書面
(c) if the former surname and given name of the applicant for registration or major employee are stated together with the current name of the applicant for registration or the major employee in a written application for registration under Article 29-2, paragraph (1) of the Act, and the document specified in (b) is not a document certifying the former surname and given name of the applicant for registration or the major employee, a document certifying the former surname and given name;
ニ 登録申請者及び重要な使用人が法第二十九条の四第一項第二号ロに該当しない旨の官公署の証明書又はこれに代わる書面
(d) the certificate issued by a public agency evidencing that none of the applicant for registration or the major employees falls under Article 29-4, paragraph (1), item (ii), sub-item (b) of the Act, or any other document in lieu thereof; and
ホ 重要な使用人が法第二十九条の四第一項第二号イ又はハからリまでのいずれにも該当しない者であることを当該重要な使用人が誓約する書面
(e) the document in which each of the major employees pledges that they do not fall under any of Article 29-4, paragraph (1) item (ii), sub-items (a) or (c) through (g) of the Act;
四 特定関係者(親法人等、子法人等及び持株会社(法第二十九条の四第三項に規定する持株会社をいう。第百九十八条を除き、以下同じ。)をいい、第一種金融商品取引業を行う場合には、関係会社(第百七十七条第六項に規定する関係会社をいう。ヘにおいて同じ。)を含む。ホにおいて同じ。)の状況として次に掲げる事項を記載した書類
(iv) the document stating the status of the persons in specified relationships (meaning the parent corporation, etc., subsidiary corporation, etc. and holding company (meaning the holding company defined in Article 29-4, paragraph (3) of the Act; the same applies hereinafter except in Article 198); and if the applicant for registration intends to conduct type-I financial instruments business, associated company (meaning a related company as prescribed in Article 177, paragraph (6); the same applies in (f)); the same applies in (e)), as listed in the following items:
イ 商号又は名称
(a) the trade name or name;
ロ 資本金の額、基金の総額又は出資の総額
(b) the amount of stated capital, the total amount of funds or the total amount of investment;
ハ 本店又は主たる事務所の所在地
(c) the location of the head office or principal office;
ニ 事業の種類
(d) the type of business;
ホ 登録申請者と特定関係者との間の資本関係、人的関係及び最近一年間の業務上の関係
(e) the capital relationship and personal relationship between the applicant for registration and the persons in specified relationship, as well as their business relationship over the past year;
ヘ 親法人等、子法人等又は持株会社(第一種金融商品取引業を行う場合には、親法人等、子法人等、持株会社又は関係会社)のいずれに該当するかの別
(f) information as to whether the persons in specified relationship falls under the category of parent corporation, etc., subsidiary corporation, etc., or holding company (if the applicant for registration intends to conduct type-I financial instruments business, information as to whether the persons in specified relationship falls under the category of parent corporation, subsidiary corporation, etc., holding company or associated company);
五 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場合であって、金融商品取引業協会(登録申請者が行う業務を行う者を主要な協会員又は会員とするものに限る。)に加入しないときは、当該業務に関する社内規則
(v) in cases where the registration applicant intends to conduct type I financial instruments business, type II financial instruments business, or investment management business, and is not a member of a Financial Instruments Firms Association (limited to an association having principal association members or members that are persons conducting the business implemented by the registration applicant), the internal rules concerning the business;
六 競走用馬に係る商品投資関連業務を行う場合には、第十三条第三号に掲げる基準に該当しないことを証する書面
(vi) if the applicant for registration intends to conduct a business related to commodities investment which pertains to racehorses, a document evidencing that the applicant for registration does not fall under the criteria specified in Article 13, item (iii);
七 不動産信託受益権等売買等業務を行う場合には、第十三条第四号に掲げる基準に該当しないことを証する書面
(vii) if the applicant for registration intends to conduct a business of transaction, etc. of beneficial interest in real property trust, a document evidencing that the applicant for registration does not fall under the criteria specified in Article 13, item (iv);
八 不動産関連特定投資運用業を行う場合における業務遂行能力に関する事項を記載した書面
(viii) a document stating the matters related to the applicant for registration's ability to carry out the business, if the applicant for registration intends to conduct a specified investment management business related to real property;
九 金融商品取引業として高速取引行為を行う場合には、次に掲げる書類
(ix) if the applicant for registration intends to conduct high-speed trading as part of its financial instruments business, the following documents:
イ 外国に住所を有する個人であるときは、次に掲げる書類
(a) if the applicant for registration is an individual domiciled in a foreign state, the following documents:
(1) 国内における代理人の住民票の抄本(国内における代理人が法人であるときは、当該国内における代理人の登記事項証明書)又はこれに代わる書面
1. an extract copy of the certificate of residence of the agent in Japan (or, if the agent in Japan is a corporation, a certificate of registered information of the agent in Japan), or a document in lieu thereof;
(2) 国内における代理人の旧氏及び名を当該国内における代理人の氏名に併せて法第二十九条の二第一項の登録申請書に記載した場合において、(1)に掲げる書類が当該国内における代理人の旧氏及び名を証するものでないときは、当該旧氏及び名を証する書面
2. if the former surname and given name of the agent in Japan are stated together with the current name of the agent in Japan in a written application for registration under Article 29-2, paragraph (1) of the Act, and the document specified in 1. is not a document certifying the former surname and given name of the agent in Japan, a document certifying the former surname and given name;
ロ 個人であるときは、別紙様式第一号の二により作成した書面
(b) if the applicant for registration is an individual, a document prepared using Appended Form 1-2;
ハ 高速取引行為に係る業務を管理する責任者の履歴書
(c) the resume of the person responsible for the management of the business pertaining to the high-speed trading; and
ニ 第二種金融商品取引業として高速取引行為を行う場合(第一種金融商品取引業又は投資運用業を行う場合を除く。)には、純財産額(法第六十六条の五十三第七号に規定する純財産額をいう。第二百一条第二十七号ロ、第二百二条第十九号及び第五章において同じ。)を算出した書面
(d) if the applicant for registration intends to conduct high-speed trading as part of the type-II financial instruments business (other than if the applicant for registration intends to conduct type-I financial instruments business or investment management business), a document calculating the net assets (meaning the net assets provided in Article 66-53, item (vii) of the Act; the same applies in Article 201, item (xxvii), (b), Article 202, item (xix) and Chapter V).
十 前条第十二号に規定する場合には、同号の暗号資産及び金融指標の概要を説明した書類
(x) in the case referred to in item (xii) of the preceding Article, a document explaining the outline of the Cryptoassets and Financial Indicators set forth in that item.
第十条 法第二十九条の二第二項第三号に規定する内閣府令で定める書類は、次に掲げる書類とする。
Article 10 (1) The documents to be specified by Cabinet Office Order as referred to in Article 29-2, paragraph (2), item (iii) of the Act are as follows:
一 最終の貸借対照表(関連する注記を含む。)及び損益計算書(関連する注記を含む。)
(i) the latest balance sheet (including notes in reference thereto) and the latest profit and loss statement (including notes in reference thereto);
二 第一種金融商品取引業又は投資運用業を行う場合には、次に掲げる書類
(ii) if the applicant for registration intends to conduct type-I financial instruments business or investment management business, the following documents:
イ 純財産額(法第二十九条の四第一項第五号ロに規定する純財産額をいう。以下この章(第二百一条第二十七号ロ及び第二百二条第十九号を除く。)において同じ。)を算出した書面
(a) a document stating the calculated net assets (meaning the net assets prescribed in Article 29-4, paragraph (1), item (v), (b) of the Act; hereinafter the same applies in this Chapter (excluding Article 201, item (xxvii), (b) and Article 202, item (ix));
ロ 主要株主(法第二十九条の四第二項に規定する主要株主をいう。以下この号、第三十八条の二、第三十八条の五、第百九十九条第十一号ハ、第二百一条第二十号、第二百二条第五号ロ及び第十六号、第二百八条の三十一第一項第十一号及び第二項第八号並びに第二百八条の三十二第九号において同じ。)の商号、名称又は氏名及び本店又は主たる事務所の所在地(個人にあっては、住所又は居所)並びに当該主要株主が保有する対象議決権(法第二十九条の四第二項に規定する対象議決権をいい、同条第五項の規定により保有しているものとみなされるものを含む。)の数を記載した書面
(b) a document stating the major shareholders' (meaning the major shareholders defined in Article 29-4, paragraph (2) of the Act; hereinafter the same applies in this item, Article 38-2, Article 38-5, Article 199, item (xi), (c), Article 201, item (xx), Article 202, item (v), (b), and item (xvi), Article 208-31, paragraph (1), item (xi) and paragraph (2), item (viii), and Article 208-32, item (ix)) trade names or names, and the locations of their head offices or principal offices (if a major shareholder is an individual, the domicile or residence), as well as the number of the subject voting rights held by the major shareholders (meaning the subject voting rights defined in Article 29-4, paragraph (2) of the Act, and including those deemed to be held pursuant to the provisions of paragraph (5) of that Article);
ハ 外国法人であるときは、主要株主に準ずる者について法第二十九条の四第一項第五号ヘに規定する確認が行われていることを証する書面又はこれに準ずる書面
(c) in cases of a foreign corporation, a document evidencing that a confirmation under Article 29-4, paragraph (1) item (v), (f) of the Act has been made with regard to a person equivalent to a major shareholder, or any document equivalent thereto;
三 第一種金融商品取引業を行う場合には、次に掲げる書類(第一種少額電子募集取扱業務のみを行う場合には、ロ及びハに掲げる書類を除く。)
(iii) if the applicant for registration intends to conduct type I financial instruments business, the following documents (in cases of conducting only type-I small amount electronic public offering service, excluding the documents specified in (b) and (c)):
イ 外国法人であるときは、外国の法令に準拠し、当該外国において第一種金融商品取引業と同種類の業務を行っている者(令第十五条の八に規定する者を含む。)であることを証する書面
(a) if the applicant for registration is a foreign corporation, a document evidencing that the applicant for registration is a person conducting the same type of business as the type I financial instruments business in a foreign state in accordance with the laws and regulations of the foreign state (including a person prescribed in Article 15-8 of the Order);
ロ 法第二十九条の四第一項第六号イに規定する比率を算出した書面
(b) a document stating the calculated ratio prescribed in Article 29-4, paragraph (1), item (vi), (a) of the Act;
ハ 店頭デリバティブ取引等に係る業務(電子取引基盤運営業務を除く。)を行う場合又は有価証券の元引受けに係る業務を行う場合には、次に掲げる書類
(c) if the applicant for registration intends to conduct any business pertaining over-the-counter derivatives transactions, etc. (excluding an electronic trading platform management service) or any business pertaining to the wholesale underwriting of securities, the following documents:
(1) 当該業務を管理する責任者の履歴書
1. the resume of the person in charge of the management of the business;
(2) 当該業務に関する社内規則
2. the internal rules regarding the business;
(3) 当該業務に関し顧客と取引を行う際に使用する契約書類
3. the contracts to be used in transactions with customers in connection with the business;
ニ 電子取引基盤運営業務を行う場合には、次に掲げる書類
(d) if the applicant for registration intends to conduct an electronic trading platform management service, the following matters:
(1) 電子取引基盤運営業務を管理する責任者の履歴書
1. the resume of the person responsible for the management of the electronic trading platform management service;
(2) 電子取引基盤運営業務に関する社内規則
2. the internal rules concerning the electronic trading platform management service;
(3) 電子取引基盤運営業務に関し顧客と取引を行う際に使用する契約書類及びその添付書類
3. contracts to be used for the transactions with customers in relation to the electronic trading platform management service and their attachments; and
(4) 第八条第六号ト(9)に掲げるものに関する登録申請者と特別の利害関係のない者の評価書
4. an appraisal report issued by a person having no special interest relationship with the registration application in relation to the matters specified in Article 8, item (vi), (g), 9.
2 前項第一号に掲げる書類を添付する場合において、貸借対照表(関連する注記を含む。)が電磁的記録で作成されているとき、又は損益計算書(関連する注記を含む。)について書面に代えて電磁的記録の作成がされているときは、書類に代えて電磁的記録(次条に定めるものに限る。)を添付することができる。
(2) If the applicant for registration attaches the documents specified in item (i) of the preceding paragraph, if the balance sheet (including notes in reference thereto) has been prepared by means of an electronic or magnetic record, or if a profit and loss statement (including notes in reference thereto) has been prepared by means of an electronic or magnetic record, instead of as written documents, such applicant for registration may attach the electronic or magnetic record (limited to those specified in the following Article) in lieu of documents.
(電磁的記録)
(Electronic or Magnetic Records)
第十一条 法第二十九条の二第三項及び第三十三条の三第三項に規定する内閣府令で定める電磁的記録は、次に掲げる構造のいずれかに該当するものとする。
Article 11 (1) The electronic or magnetic record to be specified by Cabinet Office Order as referred to in Article 29-2, paragraph (3) and Article 33-3, paragraph (3) of the Act must have a structure specified in the following:
一 産業標準化法(昭和二十四年法律第百八十五号)に基づく日本産業規格(以下「日本産業規格」という。)X六二二三に適合する九十ミリメートルフレキシブルディスクカートリッジ
(i) a 90mm flexible magnetic disc cartridge which complies with X6223 of the Japanese Industrial Standards under the Industrial Standardization Act (Act No. 185 of 1949) (hereinafter referred to as the "JIS"); or
二 日本産業規格X〇六〇六及びX六二八二に適合する直径百二十ミリメートルの光ディスク
(ii) a 120mm optical disc conforming to JIS X0606 and X6282.
2 前項第一号の電磁的記録への記録は、次に掲げる方式に従ってしなければならない。
(2) Entry onto an electronic or magnetic record as set forth in item (i) of the preceding paragraph must be completed by the following means:
一 トラックフォーマットについては、日本産業規格X六二二五に規定する方式
(i) with regard to the track format, the method designated by the JIS X6225; and
二 ボリューム及びファイル構成については、日本産業規格X〇六〇五に規定する方式
(ii) with regard to volume and file configuration, the means designated by the JIS X0605.
3 第一項の電磁的記録には、次に掲げる事項を記載しなければならない。
(3) With regard to the electronic or magnetic record set forth in paragraph (1), a document containing the following matters must be affixed:
一 登録申請者の商号又は名称
(i) the trade name or name of the applicant for registration; and
二 申請年月日
(ii) the date of application.
(金融商品取引業者登録簿の縦覧)
(Public Inspection of the Registry of Financial Instruments Business Operators)
第十二条 管轄財務局長等は、その登録をした金融商品取引業者に係る金融商品取引業者登録簿を当該金融商品取引業者の本店等の所在地を管轄する財務局(当該所在地が福岡財務支局の管轄区域内にある場合にあっては福岡財務支局、国内に営業所又は事務所を有しない場合にあっては関東財務局)に備え置き、公衆の縦覧に供するものとする。
Article 12 A competent Director-General of a Local Finance Bureau, etc. is to keep the registry of financial instruments business operators containing information on the financial business operators to which such person has granted registrations, at the local finance bureau with jurisdiction over the location of the relevant financial instruments business operator's head office, etc. (if such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, at the Fukuoka Local Finance Branch Bureau; or if the financial instruments business operator has no business office or other office in Japan, at the Kanto Finance Bureau), and make it available for public inspection.
(人的構成の審査基準)
(Criteria for Examination of the Structure of Personnel)
第十三条 法第二十九条の四第一項第一号ホ(法第三十一条第五項において準用する場合を含む。)に規定する金融商品取引業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かどうかの審査をするときは、登録申請者が次に掲げるいずれかの基準に該当するかどうかを審査するものとする。
Article 13 When conducting an examination under Article 29-4, paragraph (1), item (i), (e) of the Act (including as applied mutatis mutandis pursuant to Article 31, paragraph (5) of the Act) as to whether the applicant for registration lacks a structure of personnel sufficient to conduct a financial instruments business in an appropriate manner, it is to be examined whether the applicant for registration falls under any of the following criteria:
一 その行う業務に関する十分な知識及び経験を有する役員又は使用人の確保の状況並びに組織体制に照らし、当該業務を適正に遂行することができないと認められること。
(i) that the applicant for registration is found not to be able to conduct the business in a proper manner, considering status of securing officers or employees having sufficient knowledge and experience for conducting the business as well as its organizational structure;
二 役員又は使用人のうちに、経歴、暴力団員による不当な行為の防止等に関する法律(平成三年法律第七十七号)第二条第二号に規定する暴力団又は同条第六号に規定する暴力団員との関係その他の事情に照らして業務の運営に不適切な資質を有する者があることにより、金融商品取引業の信用を失墜させるおそれがあると認められること。
(ii) that the applicant for registration is found to be likely to cause a loss of confidence in a financial instruments business, on the grounds of having any officer or employee with qualities unfit for the operation of the business in light of such officer's or employee's career, relationship with the organized crime group set forth in Article 2, item (ii) of the Act on Prevention of Illegal Acts by Organized Crime Group Members (Act No. 77 of 1991) or relationship with the organized crime group members set forth item (vi) of that Article or any other circumstances;
三 競走用馬に係る商品投資関連業務を行う場合には、次に掲げる要件に該当しないこと。
(iii) that, if the applicant for registration intends to conduct business related to commodities investment pertaining to racehorses, such applicant for registration does not fall under the following:
イ あらかじめ日本中央競馬会又は地方競馬全国協会による指導を受けていること。
(a) that the applicant for registration has been given guidance in advance by the Japan Racing Association or the National Association of Racing;
ロ その行う商品投資関連業務が第七条第四号ニ(1)に掲げる権利に係る競走用馬投資関連業務又は同号ニ(2)に掲げる権利に係る競走用馬投資関連業務のいずれかのみに該当すること。
(b) that the business related to commodities investment to be conducted by the applicant for registration only falls under either the business related to investment in racehorses pertaining to the rights specified in Article 7, item (iv), (d), 1. or the business related to investment in racehorses pertaining to the rights specified in Article 7, item (iv), (d), 2.;
ハ 第七条第四号ニ(2)に掲げる権利に係る競走用馬投資関連業務を行う場合には、競馬法第十三条第一項(同法第二十二条において準用する場合を含む。)の登録を受けていること。
(c) that, if the applicant for registration intends to conduct a business related to investment in racehorses pertaining to the rights specified in Article 7, item (iv), (d), 2., such applicant for registration has obtained a registration under Article 13, paragraph (1) of the Horse Racing Act (including as applied mutatis mutandis pursuant to Article 22 of that Act);
四 不動産信託受益権等売買等業務を行う場合には、次に掲げる要件に該当しないこと。
(iv) that, if the applicant for registration intends to conduct a business of transaction, etc. of beneficial interest in real property trust, such applicant for registration does not fall under the following requirements:
イ 宅地又は建物の取引に関する専門的知識及び経験を有する役員又は使用人を次に掲げる部門にそれぞれ配置していること。
(a) that the applicant for registration has assigned its officers or employees having expert knowledge of and experience in transactions related to building lots or buildings to each of the following sections:
(1) 不動産信託受益権等売買等業務の統括に係る部門
1. the section in charge of supervising the business of transaction, etc. of beneficial interest in real property trust;
(2) 内部監査に係る部門
2. the section in charge of the internal audit;
(3) 法令等(法令、法令に基づく行政官庁の処分又は定款その他の規則をいう。第四十四条第一号イ、第四十九条第四号イ(3)、第百九十九条第七号及び第十三号イ、第二百条第六号、第二百八条の三十一第一項第八号イ、第二百二十条第七号ロ、第二百二十三条第十号、第二百三十二条の八第十号、第二百四十一条の二第四号、第二百四十六条の二十三第四号、第二百四十六条の三十第一号、第三百二十八条第五号並びに第三百四十一条第五号において同じ。)を遵守させるための指導に関する業務に係る部門
3. the section in charge of the affairs related to instructions for ensuring compliance with the laws and regulations, etc. (meaning the laws and regulations, disposition of administrative agencies issued under the laws and regulations, or other rules such as the articles of incorporation; the same applies in Article 44, item (i), (a), Article 49, item (iv), (a), 3., Article 199, item (vii) and item (xiii) (a), Article 200, item (vi), Article 208-31, paragraph (1), item (viii), (a), Article 220, item (vii), (b), Article 223, item (x), Article 232-8, item (x), Article 241-2, item (iv), Article 246-23, item (iv), Article 246-30, item (i), Article 328, item (v) and Article 341, item (v));
ロ 不動産信託受益権等売買等業務を行う役員又は使用人が、第八十五条第一項各号に掲げる事項について、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当該顧客に理解されるために必要な方法及び程度による説明をするために必要な宅地又は建物の取引に関する専門的知識及び経験を有していること。
(b) that the officers or the employees that are to conduct the business of transaction, etc. of beneficial interest in real property trust have sufficient expert knowledge of and experience in transactions of building lots or buildings which enable them to provide necessary explanations so that a customer is able to understand the matters specified in the items of Article 85, paragraph (1), in a manner and to the extent as may be required in light of the customer's knowledge, experience and conditions of property and in light of the purpose of the conclusion of a financial instruments transaction contract;
五 不動産関連特定投資運用業を行う場合には、金融庁長官の定める要件に該当しないこと。
(v) that, if the applicant for registration intends to conduct a specified investment management business related to real property, such applicant for registration does not fall under the requirements specified by the Commissioner of the Financial Services Agency.
(心身の故障により金融商品取引業に係る業務を適正に行うことができない者)
(A Person Unable to Properly Perform Business Pertaining to Financial Instruments Business Due to a Mental or Physical Disorder)
第十三条の二 法第二十九条の四第一項第二号イに規定する内閣府令で定める者は、精神の機能の障害により金融商品取引業に係る業務を適正に行うに当たって必要な認知、判断及び意思疎通を適切に行うことができない者とする。
Article 13-2 The person to be specified by Cabinet Office Order as referred to in Article 29-4, paragraph (1), item (ii), sub-item (a) of the Act is a person who is unable to adequately carry out the cognition, decision making, and communication necessary for properly performing business pertaining to Financial Instruments Business due to a mental impairment.
(純財産額の算出)
(Calculation of Net Assets)
第十四条 法第二十九条の四第一項第五号ロ(法第三十一条第五項において準用する場合を含む。)の規定により算出する純財産額は、貸借対照表の資産の部に計上されるべき金額の合計額から負債の部に計上されるべき金額の合計額(次に掲げるものの金額の合計額を除く。)を控除して計算しなければならない。
Article 14 (1) The net assets to be calculated under Article 29-4, paragraph (1), item (v), (b) of the Act (including as applied mutatis mutandis pursuant to Article 31, paragraph (5) of the Act) must be obtained by deducting the total amount to be inserted into the liabilities section of a balance sheet (excluding the total of the amounts set forth in the following items) from the total amount to be inserted into the assets section thereof:
一 金融商品取引責任準備金
(i) the financial instruments transaction liability reserve;
二 他に行っている事業に関し法令の規定により負債の部に計上することが義務付けられている引当金又は準備金のうち利益留保性の引当金又は準備金の性質を有するものがある場合には、当該引当金又は準備金
(ii) if, in connection with any other business conducted by the applicant for registration, such applicant has any allowance or reserve funds which are required to be inserted into the liabilities section under the laws and regulations and which may be characterized as retained earnings, such allowance or reserve funds.
2 前項の資産及び負債の評価は、計算を行う日において、一般に公正妥当と認められる企業会計の基準に従って評価した価額によらなければならない。
(2) The appraisal of assets and liabilities set forth in the preceding paragraph must be made based on the value appraised in accordance with corporate accounting standards generally accepted as fair and appropriate as of the date of such calculation.
3 前項の場合において、次の各号に掲げる場合に該当するときは、当該各号に定める金額を評価額とする。
(3) In the case referred to in the preceding paragraph and in the case of falling under any of the following items, the amount prescribed in each of the relevant items is treated as the appraisal value:
一 金銭債権又は市場価格のない債券について取立不能のおそれがある場合 取立不能見込額を控除した金額
(i) if any monetary claim, or bond certificate without a market price is likely to become uncollectible: the amount after the deduction of the estimate of the uncollectible amount;
二 市場価格のない株式についてその発行会社の資産状態が著しく悪化した場合 相当の減額をした金額
(ii) if, with regard to shares without a market price, the status of the assets of the company issuing such shares has deteriorated substantially: the amount after an appropriate reduction;
三 前二号以外の流動資産の時価が帳簿価額より著しく低い場合であって、その価額が帳簿価額まで回復することが困難と見られる場合 当該時価
(iii) if the market value of the current assets other than those specified in the preceding two items is substantially lower than the book value thereof, and if it is found that unlikely that such value will recover to the level of the book value: such market value;
四 第一号又は第二号以外の固定資産について償却不足があり、又は予測することのできない減損が生じた場合 償却不足額を控除し、又は相当の減額をした金額
(iv) if, with regard to the fixed assets other than those specified in item (i) or (ii), any underdepreciation or unpredictable impairment has arisen: the amount after deduction of the underdepreciation, or an amount after an appropriate reduction;
五 繰延資産について償却不足がある場合 償却不足額を控除した金額
(v) if any underdepreciation with regard to deferred assets has arisen: the amount after deduction of the underdepreciation.
(心身の故障により株主の権利を適切に行使することができない者)
(A Person Unable to Properly Exercise the Right of a Shareholder Due to a Mental or Physical Disorder)
第十四条の二 法第二十九条の四第一項第五号ニ(1)及びホ(3)(イ)(これらの規定を法第三十一条第五項において準用する場合を含む。)に規定する内閣府令で定める者は、精神の機能の障害により株主の権利を適切に行使するに当たって必要な認知、判断及び意思疎通を適切に行うことができない者とする。
Article 14-2 The person to be specified by Cabinet Office Order as referred to in Article 29-4, paragraph (1), item (v), sub-item (d), 1. and sub-item (e), 3., a. of the Act (including the cases where these provisions are applied mutatis mutandis pursuant to Article 31, paragraph (5) of the Act) is a person who is unable to adequately carry out the cognition, decision making, and communication necessary for properly exercising the right of a shareholder due to a mental impairment.
(会社の財務及び業務の方針の決定に対して重要な影響を与えることが推測される事実)
(Facts Presumed to Have Material Influence on Decisions on a Company's Financial and Operational Policies)
第十五条 法第二十九条の四第二項(法第三十一条第五項において準用する場合を含む。)に規定する内閣府令で定める事実は、次に掲げる事実とする。
Article 15 The facts specified by Cabinet Office Order as referred to in Article 29-4, paragraph (2) of the Act (including as applied mutatis mutandis pursuant to Article 31, paragraph (5) of the Act) are as follows:
一 役員若しくは使用人である者又はこれらであった者であって会社の財務及び営業又は事業の方針の決定に関して影響を与えることができるものが、当該会社の取締役若しくは執行役又はこれらに準ずる役職に就任していること。
(i) that any officer or employee, or person that has formerly held such positions and would have an influence on the decision on the company's financial policies and operational or business policies has assumed the position of the company's director, executive officer or any other position equivalent thereto;
二 会社に対して重要な融資を行っていること。
(ii) that any important loan has been extended to the company;
三 会社に対して重要な技術を提供していること。
(iii) that any important technology is furnished to the company;
四 会社との間に重要な営業上又は事業上の取引があること。
(iv) that there exist any important operational or business transactions with the company;
五 その他会社の財務及び営業又は事業の方針の決定に対して重要な影響を与えることができることが推測される事実が存在すること。
(v) that there exists any other fact implying a material influence on decisions on the company's financial policies and operational or business policies.
(保有の態様その他の事情を勘案して保有する議決権から除く議決権)
(Voting Rights Excluded from Voting Rights Held Considering the Manner of Holding or Other Circumstances)
第十五条の二 法第二十九条の四第二項(法第三十一条第五項において準用する場合を含む。)に規定する内閣府令で定めるものは、次に掲げるものとする。
Article 15-2 The voting rights to be specified by Cabinet Office Order as referred to in Article 29-4, paragraph (2) of the Act (including as applied mutatis mutandis pursuant to Article 31, paragraph (5) of the Act) are as follows:
一 信託業(信託業法(平成十六年法律第百五十四号)第二条第一項に規定する信託業をいう。)を営む者が信託財産として保有する議決権(当該者が行使することができる権限又は行使について指図を行うことができる権限を有するものを除く。)
(i) the voting rights held by a person engaged in the trust business (meaning the trust business defined in Article 2, paragraph (1) of the Trust Business Act (Act No. 154 of 2004)) as the trust property (excluding the voting rights regarding which that person has been granted the authority to exercise, or the authority to give instruction as to the exercise thereof);
二 法人の代表権を有する者又は法人の代理権を有する支配人が、当該代表権又は代理権に基づき、議決権を行使することができる権限若しくは議決権の行使について指図を行うことができる権限又は投資を行うのに必要な権限を有する場合における当該法人の所有する株式又は持分に係る議決権
(ii) the voting rights pertaining to the shares or equity owned by a corporation, if a person having the authority of representation for such corporation or a manager having the authority to act as an agent therefor has been granted the authority to exercise the voting rights or to give instruction as to the exercise thereof or the authority required for making an investment, based on such authority of representation or authority to act as an agent;
三 会社の役員又は従業員が当該会社の他の役員又は従業員と共同して当該会社の株式の取得(一定の計画に従い、個別の投資判断に基づかず、継続的に行われ、各役員又は従業員の一回当たりの拠出金額が百万円に満たないものに限る。)をした場合(当該会社が会社法(平成十七年法律第八十六号)第百五十六条第一項(同法第百六十五条第三項の規定により読み替えて適用する場合を含む。)の規定に基づき取得した株式以外の株式を取得したときは、金融商品取引業者に委託して行った場合に限る。)において当該取得をした会社の株式を信託された者が所有する当該会社の株式に係る議決権(当該信託された者が行使することができる権限又は行使について指図を行うことができる権限を有するものを除く。)
(iii) the voting rights pertaining to the company's shares owned by a person entrusted with such company's shares acquired (excluding the voting rights regarding which the person so entrusted has been granted the authority to exercise or the authority to give instruction as to the exercise thereof), if an officer or employee of the company has acquired the company's shares jointly with another officer or employee of the company (limited to the acquisition under a certain program wherein the shares are continuously acquired without depending on the individual's investment decisions, and in the amount to be contributed by each of the officers or employees on each occasion is less than one million yen) (in the case of acquisition of any share other than those acquired by the company pursuant to the provisions of Article 156, paragraph (1) of the Companies Act (Act No. 86 of 2005) (including as applied pursuant to the provisions of Article 165, paragraph (3) of that Act following the deemed replacement of terms), the above is limited to cases in which the acquisition was conducted based on an entrustment to a financial instruments business operator);
四 相続人が相続財産として所有する株式又は持分(当該相続人(共同相続の場合を除く。)が単純承認(単純承認をしたものとみなされる場合を含む。)若しくは限定承認をした日までのもの又は当該相続財産の共同相続人が遺産分割を了していないものに限る。)に係る議決権
(iv) the voting rights pertaining to shares or equity owned by heirs as their inherited property (limited to the shares or equity owned prior to the day when the heir (excluding the case of a joint inheritance) gave an unqualified acceptance (including if an unqualified acceptance is deemed to have been given) or a qualified acceptance, or the shares or equity which the coheirs of such inherited property have not yet divided);
五 有価証券関連業を行う者が有価証券の引受けに係る業務により所有する株式(当該株式の払込期日(有価証券の売出し又は特定投資家向け売付け勧誘等の場合にあっては、受渡期日)の翌日(当該者が法第二条第六項第三号に掲げるものを行う場合にあっては、同号に規定する行使しない新株予約権に係る新株予約権証券を取得した日から起算して五日(日曜日及び令第十四条の五に規定する休日の日数は、算入しない。)を経過した日)以後に所有するものを除く。)に係る議決権
(v) the voting rights pertaining to the shares owned by a person engaged in a securities-related business in the course of business pertaining to the underwriting of securities (excluding shares owned on or after the day immediately following the payment date for the shares (or on or after the day immediately following the delivery date for the shares, in cases of the secondary distribution of securities or solicitation for selling, etc. only for professional investors) (if the person in question implements the items listed in Article 2, paragraph (6), item (iii) of the Act, the day when five days (Sunday and the number of holidays defined in Article 14-5 of the Order do not be included in the five days) elapse from the day when the share option certificates pertaining to unexercised share options as defined in that item are acquired)); and
六 銀行等保有株式取得機構が保有する議決権
(vi) the voting rights held by the banks' shareholding purchase corporation.
(総資産の額等)
(Total Asset Value)
第十六条 法第二十九条の四第三項(法第三十一条第五項において準用する場合を含む。以下この条において同じ。)に規定する内閣府令で定める方法による資産の合計金額は、会社の最終の貸借対照表(当該会社の設立後最初の事業年度が終了していない場合にあっては、当該会社の成立の日における貸借対照表)による資産の合計金額とし、当該貸借対照表に係る事業年度終了の日(当該会社の設立後最初の事業年度が終了していない場合にあっては、当該会社の成立の日)後において会社法第百九十九条第一項に規定する募集株式の発行、新株予約権の行使による株式の交付、社債の発行、株式交換、株式交付、合併、会社分割、事業の譲受け、事業の譲渡その他当該会社の資産に重要な変更があった場合には、これらによる総資産の額の変動を加え、又は除いた額とする。
Article 16 (1) The total amount of assets calculated in accordance with the means specified by Cabinet Office Order as referred to in Article 29-4, paragraph (3) of the Act (including as applied mutatis mutandis pursuant to Article 31, paragraph (5) of the Act; hereinafter the same applies in this Article) is the total amount of assets specified in the latest balance sheet of the company (or, if the first business year of the company after its incorporation is not completed, the balance sheet as of the day of the incorporation of the company), and if an issuance of shares for subscription provided in Article 199, paragraph (1) of the Companies Act, delivery of shares as a result of the exercise of share options, issuance of corporate bonds, share exchange, share delivery, merger, company split, acquisition of business, transfer of business or any other material change in the company's assets occurs after the last day of the business year pertaining to the balance sheet (or, if the first business year of the company after its incorporation is not completed, after the day of the incorporation of the company), the amount after adding or deducting the changes in the total asset value as a result of these changes applies.
2 法第二十九条の四第三項に規定する内閣府令で定める資産は、金融商品取引業者の親会社(法第五十七条の二第八項に規定する親会社をいい、金融庁長官が指定するものに限る。)の子会社(法第二十九条の四第四項に規定する子会社をいい、金融庁長官が指定するものに限る。)に対する貸付金その他金融庁長官が定める資産とする。
(2) The assets to be specified by Cabinet Office Order as referred to in Article 29-4, paragraph (3) of the Act are loans from the parent company of a financial instruments business operator (meaning a parent company provided in Article 57-2, paragraph (8) of the Act, and limited to a company designated by the Commissioner of the Financial Services Agency) to its subsidiary company (meaning a subsidiary company provided in Article 29-4, paragraph (4) of the Act, and limited to a company designated by the Commissioner of the Financial Services Agency) and any other assets to be designated by the Commissioner of the Financial Services Agency.
3 法第二十九条の四第三項に規定する内閣府令で定めるところにより算出した額は、会社が会社法第四百三十五条第二項の規定により作成した最終の事業年度に係る計算書類及びその附属明細書に記載された前項に規定する資産の合計金額(当該会社の設立後最初の事業年度が終了していない場合にあっては、当該会社の成立時の貸借対照表に記載された同項に規定する資産の合計金額)とする。
(3) The amount to be calculated by the method specified by Cabinet Office Order as referred to in Article 29-4, paragraph (3) of the Act is the total amount of assets provided in the preceding paragraph, as stated in the financial statements and its annexed detailed statements pertaining to the final business year of the company prepared pursuant to Article 435, paragraph (2) of the Companies Act (or, if the first business year of the company after its incorporation is not completed, the total amount of assets provided in that paragraph as stated in the balance sheet as of the time of incorporation of the company).
(第一種少額電子募集取扱業者による商号等の公表)
(Publication of Trade Name and Other Information by Type-I Small Amount Electronic Public Offering Service Provider)
第十六条の二 第一種少額電子募集取扱業者は、法第二十九条の四の二第八項の規定による公表をするときは、同項に規定する事項を、当該事項を閲覧しようとする者の使用に係る電子計算機の映像面において、当該者にとって見やすい箇所に明瞭かつ正確に表示されるようにしなければならない。
Article 16-2 (1) When a type-I small amount electronic public offering service provider makes a publication under Article 29-4-2, paragraph (8) of the Act, it must make sure that the matters provided in that paragraph are clearly and accurately indicated, in an easily visible location for the person intending to inspect the matters, on the screen of a computer used by the person.
2 法第二十九条の四の二第八項に規定する内閣府令で定める事項は、次に掲げる事項とする。
(2) The matters specified by Cabinet Office Order as referred to in Article 29-4-2, paragraph (8) of the Act are as follows:
一 第一種少額電子募集取扱業者である旨
(i) the fact that the person is a type-I small amount electronic public offering service provider;
二 加入している金融商品取引業協会の名称(当該第一種少額電子募集取扱業者が行う第一種金融商品取引業(有価証券関連業に該当するものに限る。)を行う者を主要な協会員又は会員とするものに加入していない場合にあっては、その旨)
(ii) the name of the financial instruments firms association to which the person is a member (if the person is not a member of any financial instruments firms association with principal association members or members that are persons conducting type I financial instruments business that the type I small amount electronic public offering service provider conducts (limited to the business which falls under the category of the securities-related businesses), to that effect);
三 投資者保護基金にその会員として加入しているか否かの別(会員として加入していない場合にあっては、顧客が当該第一種少額電子募集取扱業者に対して有する債権が法第七十九条の五十六第一項に規定する補償対象債権に該当しない旨を含む。)
(iii) whether the person is a member of any investor protection fund (if the person is not a member, including the fact that claims held by the customers against the type-I small amount electronic public offering service provider are not eligible as claims subject to compensation provided in Article 79-56, paragraph (1) of the Act);
3 法第二十九条の四の二第八項に規定する内閣府令で定めるものは、第一種少額電子募集取扱業者の使用に係る電子計算機に備えられたファイルに記録された情報の内容を電気通信回線を通じて公衆の閲覧に供する方法とする。
(3) The means to be specified by Cabinet Office Order as referred to in Article 29-4-2, paragraph (8) of the Act are the means whereby the contents of information recorded into the files stored on the computer used by a type-I small amount electronic public offering service provider are made available for public inspection via a telecommunications line.
(発行価額の総額及び有価証券を取得する者が払い込む額の算定の方法)
(Total Issue Value and Method of Calculation of Amount to Be Paid by Persons Acquiring Securities)
第十六条の三 令第十五条の十の三第一号に規定する内閣府令で定める方法は、募集又は私募に係る有価証券(第一種少額電子募集取扱業務又は第二種少額電子募集取扱業務としてその募集の取扱い又は私募の取扱いが行われるものに限る。)の発行価額の総額(当該有価証券が新株予約権証券である場合には、当該新株予約権証券の発行価額の総額に当該新株予約権証券に係る新株予約権の行使に際して払い込むべき金額の合計額を合算した金額。以下この項において同じ。)に、当該有価証券の募集又は私募を開始する日前一年以内に同一の発行者により行われた募集又は私募及び当該有価証券の募集又は私募と申込期間(第七十条の二第二項第四号に規定する申込期間をいう。)の重複する同一の発行者により行われる募集又は私募に係る当該有価証券と同一の種類(法第二条第一項第九号に掲げる有価証券であるか同条第二項の規定により有価証券とみなされる同項第五号又は第六号に掲げる権利であるかの別をいう。次項において同じ。)の有価証券(第一種少額電子募集取扱業務又は第二種少額電子募集取扱業務としてその募集の取扱い又は私募の取扱いが行われた又は行われるものに限る。)の発行価額の総額を合算する方法とする。
Article 16-3 (1) The method specified by Cabinet Office Order as referred to in Article 15-10-3, item (i) of the Order means the method of adding up the total issue value of the securities subject to public offering or private placement (limited to those for which handling of public offering or handling of private placement is conducted as type-I small amount electronic public offering service or type-II small amount electronic public offering service) (if the securities are share option certificates, this refers to the sum of the total issue value of the share option certificates and the total amount to be paid upon the exercise of the share options pertaining to the share option certificates; hereinafter the same applies in this paragraph) and the total issue value of the securities of the same type (meaning the difference as to whether the securities fall under the category of the securities specified in Article 2, paragraph (1), item (ix) of the Act or the rights specified in item (v) or (vi) of that paragraph which are deemed as securities pursuant to paragraph (2) of that Article; the same applies in the following paragraph) as the securities subject to the public offering or private placement to be implemented by the same issuer for the same subscription period (meaning the subscription period provided in Article 70-2, paragraph (2), item (iv)) subject to the public offering or private placement of the securities as the public offering or private placement implemented by the same issuer within one year before the day of the commencement of the public offering or private placement of the securities (the relevant securities of the same type are limited to those for which handling of public offering or handling of private placement has been or is conducted as type-I small amount electronic public offering service or type-II small amount electronic public offering service).
2 令第十五条の十の三第二号に規定する内閣府令で定める方法は、募集又は私募に係る有価証券に対する個別払込額(有価証券を取得する者がそれぞれ払い込む額をいい、当該有価証券が新株予約権証券である場合には、当該額に当該新株予約権証券に係る新株予約権の行使に際して払い込むべき金額を合算した金額とする。以下この項において同じ。)に、当該有価証券の募集又は私募に係る払込みが行われた日前一年以内に応募又は払込みを行った同一の発行者による当該有価証券と同一の種類の有価証券の募集又は私募に係る個別払込額を合算する方法とする。
(2) The method specified by Cabinet Office Order as referred to in Article 15-10-3, item (ii) of the Order means the method of adding up an individual payment amount (meaning the respective amounts to be paid by persons acquiring the securities; and if the securities are share option certificates, this refers to the sum of such amount and the amount to be paid upon the exercise of the share options pertaining to the share option certificates; hereinafter the same applies in this paragraph) for the securities subject to public offering or private placement and the individual payment amount for the public offering or private placement of the securities of the same type as the securities issued by a same issuer subscribed for or paid within a year before the day of the payment for the public offering or private placement for the securities.
(第二種少額電子募集取扱業者による商号等の公表)
(Publication of Trade Name and Other Information by Type-II Small Amount Electronic Public Offering Service Provider)
第十六条の四 第二種少額電子募集取扱業者は、法第二十九条の四の三第三項の規定による公表をするときは、同項に規定する事項を、当該事項を閲覧しようとする者の使用に係る電子計算機の映像面において、当該者にとって見やすい箇所に明瞭かつ正確に表示されるようにしなければならない。
Article 16-4 (1) When a type-II small amount electronic public offering service provider makes a publication under Article 29-4-3, paragraph (3) of the Act, it must make sure that the matters provided in that paragraph are clearly and accurately indicated, in an easily visible location for the person intending to inspect the matters, on the screen of a computer used by the person.
2 法第二十九条の四の三第三項に規定する内閣府令で定める事項は、次に掲げる事項とする。
(2) The matters specified by Cabinet Office Order as referred to in Article 29-4-3, paragraph (3) of the Act are as follows:
一 第二種少額電子募集取扱業者である旨
(i) the fact that the person is a type-II small amount electronic public offering service provider; and
二 加入している金融商品取引業協会の名称(当該第二種少額電子募集取扱業者が行う第二種金融商品取引業(有価証券関連業に該当するものに限る。)を行う者を主要な協会員又は会員とするものに加入していない場合にあっては、その旨)
(ii) the name of the financial instruments firms association to which the person is a member (if the person is not a member of any financial instruments firms association with principal association members or members that are persons conducting type II financial instruments business that the type II small amount electronic public offering service provider conducts (limited to the business which falls under the category of the securities-related businesses), to that effect).
3 法第二十九条の四の三第三項に規定する内閣府令で定めるものは、第二種少額電子募集取扱業者の使用に係る電子計算機に備えられたファイルに記録された情報の内容を電気通信回線を通じて公衆の閲覧に供する方法とする。
(3) The means to be specified by Cabinet Office Order as referred to in Article 29-4-3, paragraph (3) of the Act are the means whereby the contents of information recorded into the files stored on the computer used by a type-II small amount electronic public offering service provider available for public inspection via telecommunications line.
(適格投資家向け投資運用業を行う金融商品取引業者が行う取得勧誘に係る有価証券の譲渡に関する措置等)
(Measures Concerning the Transfer of Securities Related to Solicitation for Acquisition by Financial Instruments Business Operators who Engage in Investment Management Business for Qualified Investors)
第十六条の五 令第十五条の十の六第一号に規定する内閣府令で定める措置は、当該財産的価値を適格投資家以外の者に移転することができないようにする技術的措置とする。
Article 16-5 (1) The measures specified by Cabinet Office Order as referred to in Article 15-10-6, item (i) of the Cabinet Order are technical measures to make it impossible to transfer the relevant financial values to persons other than Qualified Investors.
2 令第十五条の十の六第二号に規定する内閣府令で定める事項は、次に掲げる事項とする。
(2) The matters provided for by Cabinet Office Order as defined in Article 15-10-6, item (ii) of the Cabinet Order are the following matters:
一 当該取得しようとする者が当該取得勧誘(法第二条第三項に規定する取得勧誘をいう。次号において同じ。)に応じて取得した当該有価証券を適格投資家以外の者に譲渡しないこと。
(i) The person who intends to acquire does not transfer the Securities that were acquired in response to said Solicitation for Acquisition (meaning the Solicitation for Acquisition defined in Article 2, paragraph (3) of the Act; the same applies in the following item) to persons other than Qualified Investors; and
二 当該取得しようとする者が当該取得勧誘に応じて取得した当該有価証券を譲渡する場合には、その相手方に対し、当該有価証券の売付け勧誘等(法第二条第四項に規定する売付け勧誘等をいう。以下この号において同じ。)を行う者と当該売付け勧誘等に応じて当該有価証券の買付けを行おうとする者との間において、当該買付けを行おうとする者が買い付けた当該有価証券を適格投資家以外の者に譲渡を行わない旨を定めた譲渡に係る契約を締結することが買付けの条件とされていることを告知すべきこと。
(ii) in cases where a person who intends to acquire, transfers said Securities acquired in response to said Solicitation for Acquisition, it should be notified to the other party that it is a condition for purchase between a person who implements the Solicitation for Selling, etc. of said Securities (meaning the Solicitation for Selling, etc. defined in Article 2, paragraph (4) of the Act; hereinafter the same applies in this item) and a person who intends to purchase said Securities in response to the Solicitation for Selling, etc., to conclude a contract pertaining the transfer for which it is stipulated that the person who intends to purchase does not transfer said purchased Securities to a person other than Qualified Investors.
(金融商品取引業者と密接な関係を有する者)
(Persons in Close Relationship with Financial Instruments Business Operators)
第十六条の五の二 令第十五条の十の七第四号に規定する内閣府令で定める者は、次に掲げる者とする。
Article 16-5-2 The persons to be specified by Cabinet Office Order as referred to in Article 15-10-7, item (iv) of the Order are the persons specified in the following:
一 当該金融商品取引業者の子会社等(令第十五条の十六第三項に規定する子会社等をいう。以下この号、第三十三条第二項、第三十四条、第百二十三条第一項第三十号、第十一項第三号及び第十二項、第百二十五条の七第二項第二号、第六節並びに第六節の二において同じ。)又は当該金融商品取引業者の親会社等(令第十五条の十六第三項に規定する親会社等をいう。第百二十三条第十一項第三号及び第十二項、第百二十五条の七第二項第二号、第六節並びに第六節の二において同じ。)の子会社等
(i) a subsidiary company, etc. (meaning a subsidiary company, etc. provided in Article 15-16, paragraph (3) of the Order; hereinafter the same applies in this item, Article 33, paragraph (2), Article 34, Article 123, paragraph (1), item (xxx), paragraph (11), item (iii), and paragraph (12), Article 125-7, paragraph (2), item (ii), Section 6 and Section 6-2) of the financial instruments business operator, or a subsidiary company, etc. of the parent company, etc. (meaning a parent company, etc. provided in Article 15-16, paragraph (3) of the Order; the same applies in Article 123, paragraph (11), item (iii), and paragraph (12), Article 125-7, paragraph (2), item (ii), Section 6 and Section 6-2) of the financial instruments business operator;
二 当該金融商品取引業者が行う一の運用財産の運用に係る権限の全部又は一部の委託を受けた者
(ii) a person that has received an entrustment of all or part of the authority for the investment of a set of investment property to be conducted by the financial instruments business operator;
三 当該金融商品取引業者が一の運用財産の運用として行うこととなる取引の対象となるもの(以下この号において「取引対象」という。)の価値等(取引対象の価値、オプションの対価の額又は取引対象に係る指標の動向をいう。以下この号において同じ。)若しくは価値等の分析に基づく投資判断(投資の対象となるものの種類、数及び価格並びに売買の別、方法及び時期についての判断又は行うべき取引の内容及び時期についての判断をいう。)に関し、口頭、文書(新聞、雑誌、書籍その他不特定多数の者に販売することを目的として発行されるもので、不特定多数の者により随時に購入可能なものを除く。)その他の方法により助言を行うことを約し、当該金融商品取引業者がそれに対し報酬を支払うことを約する契約を当該金融商品取引業者と締結している者又は当該投資判断に関し、当該方法により助言を行うことを約し、当該者がそれに対し報酬を支払うことを約する契約を当該者と締結している者
(iii) a person that has concluded a contract with the financial instruments business operator in which the party promises to provide the financial instruments business operator with oral, written (excluding newspapers, magazines, books, or any other written work that is issued for sale to many and unspecified persons and which many and unspecified persons can buy as needed) or any other form of advice on the value, etc. of assets for transaction (hereinafter referred to as "transaction assets" in this item) ("value, etc." means the value of transaction assets, amount of consideration for options or trends in indicators relating to the transaction assets; hereinafter the same applies in this item) to be conducted by the financial instruments business operator as an investment of a set of investment property or investment decisions based on the analysis of the value, etc. (meaning decisions as to the types, quantities and prices of assets for investment, whether the type of transaction is purchase or sale, the methods and timing of the transactions or decisions on the details and timing of the transactions to be conducted), and the financial instruments business operator promises to pay remuneration for this, or a person that has concluded a contract with the person in which such person promises to provide the other party with advice on investment decisions by these methods and the other party promises to pay remuneration for this;
四 令第十五条の十の七第三号及び前三号に掲げる者の役員又は使用人
(iv) an officer or employee of the person specified in Article 15-10-7, item (iii) of the Order and the preceding three items; and
五 令第十五条の十の七第一号及び第二号並びに前三号に掲げる者の親族(配偶者並びに三親等以内の血族及び姻族に限る。)
(v) a relative of the person specified in Article 15-10-7, items (i) and (ii) of the Order and the preceding three items (limited to a spouse and a relative by blood or by affinity within the third degree).
(特定投資家に準ずる者)
(Persons Equivalent to Professional Investors)
第十六条の六 法第二十九条の五第三項に規定する内閣府令で定める者は、次に掲げる者とする。
Article 16-6 The persons provided for by Cabinet Office Order defined in Article 29-5, paragraph (3) of the Act are the following persons:
一 令第十七条の十二第一項第三号から第五号まで、第八号、第九号、第十二号、第十四号又は第十五号に掲げる者
(i) a person specified in Article 17-12, paragraph (1), items (iii) through (v), item (viii), item (ix), item (xii), item (xiv) or item (xv) of the Order; and
二 その取得する出資対象事業持分(法第二条第二項第五号又は第六号に掲げる権利をいう。以下同じ。)に係る私募又は私募の取扱いの相手方であって、第二百三十三条の三各号に掲げる者
(ii) a counterparty to the private placement or handling of private placement of equity in the business subject to investment to be acquired (meaning the right specified in Article 2, paragraph (2), item (v) or (vi) of the Act; the same applies hereinafter) which is specified in the items of Article 233-3.
(適格投資家から除かれる者)
(Persons Excluded as Qualified Investors)
第十六条の七 法第二十九条の五第四項第三号に規定する内閣府令で定める者は、その発行する法第二条第一項第五号、第九号若しくは第十五号に掲げる有価証券若しくは同項第十七号に掲げる有価証券(同項第五号、第九号又は第十五号に掲げる有価証券の性質を有するものに限る。)に表示される権利又は同条第二項第三号若しくは第四号に掲げる権利(その取得の対価の額を超えて財産の給付を受けることがないことを内容とする権利を除く。)を適格投資家以外の者が取得している特別目的会社(第三十三条第二項に規定する特別目的会社をいう。)とする。
Article 16-7 The person provided for by Cabinet Office Order defined in Article 29-5, paragraph (4), item (iii) of the Act is a special purpose company (meaning a special purpose company as defined in Article 33, paragraph (2)), for which a person other than qualified investors has acquired the right indicated on securities, which are issued by the person listed in Article 2, paragraph (1) items (v), (ix), or (xv) of the Act or securities listed n item (xvii) of that paragraph (limited to those that have the nature of securities listed in items (v), (ix), or (xv) of that paragraph) or the right listed in paragraph (2), item (iii) or item (iv) of that Article (excluding the right with which the delivery of the property cannot be received over the amount receivable of the acquisition).
(認可に係る業務の内容及び方法)
(Contents and Method of Business to be Authorized)
第十七条 法第三十条の三第二項に規定する内閣府令で定めるものは、次に掲げるものとする。
Article 17 The matters to be specified by Cabinet Office Order as referred to in Article 30-3, paragraph (2) of the Act are as follows:
一 私設取引システム運営業務において行う取引の種類
(i) the types of transactions to be conducted under the proprietary trading system operation;
二 私設取引システム運営業務を管理する責任者の氏名及び役職名
(ii) the name and job title of the person responsible for the management of the proprietary trading system operation;
三 私設取引システム運営業務を行う部署(私設取引システム運営業務の一部を他の者に委託する場合にあっては、その者を含む。)の名称及び組織の体制
(iii) the name and organizational structure of the section in charge of the proprietary trading system operation (if a part of the proprietary trading system operation is to be entrusted to any other person, including such person);
四 私設取引システム運営業務において取り扱う有価証券の種類、銘柄及び取引の最低単位
(iv) the types, issues and minimum transaction units of the securities to be handled under the proprietary trading system operation;
五 私設取引システム運営業務に係る顧客との取引開始基準及び顧客の管理方法
(v) the conditions for starting transactions with customers pertaining to the proprietary trading system operation, and the methods of management of customers;
六 売買価格の決定方法
(vi) the method for deciding the trading price;
七 気配、売買価格その他の価格情報の公表方法
(vii) the method of publication of the price information such as quotes, trading price and others;
八 私設取引システム運営業務において使用する電子情報処理組織の概要、設置場所、容量及び保守の方法並びに当該電子情報処理組織に異常が発生した場合の対処方法
(viii) the outline, location, volume and maintenance method of the electronic data processing system to be used for the proprietary trading system operation, and the method of handling cases in which a malfunction of the electronic data processing system occurs;
九 私設取引システム運営業務に係る有価証券の受渡しその他の決済の方法及び顧客の契約不履行が生じた場合の対処方法
(ix) the method of transfer or other settlement procedures for the securities related to the proprietary trading system operation, and the method of handling if a customer defaults on a contract;
十 顧客である金融商品取引業者における有価証券の売買の受託についての信用の供与に関する事項
(x) the particulars of the granting of credit with regard to entrustment for a purchase and sale of securities by a financial instruments business operator which is a customer;
十一 私設取引システム運営業務に係る取引記録の作成及び保存の方法
(xi) the method for the preparation and preservation of the transaction records for the proprietary trading system operation;
十二 私設取引システム運営業務の執行状況について、検査を行う頻度、部署の名称及び体制
(xii) the frequency of the inspection on the status of the execution of the proprietary trading system operation, and the name and structure of the section in charge of such inspection; and
十三 その他私設取引システム運営業務に係る損失の危険の管理又は取引の公正の確保に関する重要な事項
(xiii) any other important matter related to the risk management concerning loss or to assurance of fairness of the transactions, in regard to the proprietary trading system operation.
(認可申請書の添付書類)
(Documents to Be Attached to Written Application for Authorization)
第十八条 法第三十条の三第二項に規定する内閣府令で定める書類は、次に掲げる書類とする。
Article 18 The documents to be specified by Cabinet Office Order as referred to in Article 30-3, paragraph (2) of the Act are as follows:
一 私設取引システム運営業務を管理する責任者の履歴書
(i) the resume of a person responsible for the management of the proprietary trading system operation;
二 私設取引システム運営業務に関する社内規則
(ii) the internal rules regarding the proprietary trading system operation;
三 私設取引システム運営業務に関し顧客と取引を行う際に使用する契約書類
(iii) the contracts to be used for transactions with customers, in connection with the proprietary trading system operation; and
四 前条第八号に掲げるものに関する認可申請者と特別の利害関係のない者の評価書
(iv) the appraisal statement on matters specified in item (viii) of the preceding Article, which is prepared by a person having no special interest in the authorization applicant.
(審査等の対象となる業務の内容及び方法)
(Contents and Method of Business to Be Examined)
第十九条 法第三十条の四第五号及び第三十一条第六項に規定する内閣府令で定める業務の内容及び方法は、次に掲げるものとする。
Article 19 The contents and method of business to be specified by Cabinet Office Order as referred to in Article 30-4, item (v) and Article 31, paragraph (6) of the Act are as follows:
一 第十七条第五号、第八号、第十号及び第十一号に掲げるもの
(i) the matters specified in Article 17, items (v), (viii), (x), and (xi); and
二 その他私設取引システム運営業務に係る取引の公正の確保に関する重要な事項
(ii) any other important matters related to the assurance of the fairness of transactions to be conducted under the proprietary trading system operation.
(登録申請書記載事項の変更の届出)
(Notification of Change to Matters Specified in Written Application for Registration)
第二十条 法第三十一条第一項の規定により届出を行う金融商品取引業者は、変更の内容、変更年月日及び変更の理由を記載した届出書に、別紙様式第一号により作成した変更後の内容を記載した書面及び当該書面の写し並びに次の各号に掲げる場合の区分に応じ当該各号に定める書類を添付して、所管金融庁長官等に提出しなければならない。ただし、やむを得ない事由があるときは、当該各号に定める書類は、当該届出書の提出後遅滞なく提出すれば足りる。
Article 20 (1) A financial instruments business operator which intends to file the notification under Article 31, paragraph (1) of the Act must submit to the Commissioner of the Financial Services Agency or other competent official a written notification stating the particulars and date of and reason for the change, attaching a document stating the particulars after such change prepared in accordance with Appended Form No. 1, a copy thereof and the documents specified in the following items in accordance with the categories of the cases respectively set forth therein; provided, however, that the documents specified in each of the following items may be filed without delay after submission of the notification, if any unavoidable ground exists:
一 法第二十九条の二第一項第一号に掲げる事項について変更があった場合 次に掲げる書類
(i) if there has been any change to the matters specified in Article 29-2, paragraph (1), item (i) of the Act: the following documents:
イ 当該変更に係る事項を記載した登記事項証明書(個人であるときは、住民票の抄本)又はこれに代わる書面
(a) a certificate of registered information (in cases of an individual, an extract of residence certificate) stating the matters relating to the change or a document in lieu thereof; and
ロ 旧氏及び名を、氏名に併せて別紙様式第一号により作成した変更後の内容を記載した書面に記載した場合において、イに掲げる書類が当該旧氏及び名を証するものでないときは、当該旧氏及び名を証する書面
(b) if the former surname and given name are stated together with the current name in a document setting forth the matters after the change prepared using Appended Form 1, and the document specified in (a) is not a document certifying the former surname and given name, a document certifying the former surname and given name;
二 法第二十九条の二第一項第二号に掲げる事項又は第七条第十二号に掲げる事項について変更があった場合 当該変更に係る事項を記載した登記事項証明書又はこれに代わる書面
(ii) if there has been any change to the matters specified in Article 29-2, paragraph (1), item (ii) of the Act or the matters specified in Article 7, item (xii): the certificate of the registered matters containing the particulars so changed, or any other document in lieu thereof;
三 法第二十九条の二第一項第三号又は第四号に掲げる事項について変更があった場合 次に掲げる書類
(iii) if there has been any change to the matters specified in Article 29-2, paragraph (1), item (iii) or (iv) of the Act: the following documents:
イ 業務に係る人的構成及び組織等の業務執行体制を記載した書面
(a) a document stating the systems for business execution, such as the structure of personnel and the organization pertaining to the business;
ロ 役員に変更があった場合には、当該変更に係る事項を記載した登記事項証明書又はこれに代わる書面
(b) if there has been any change to officers, the certificate of the registered matters containing the particulars so changed, or any other document in lieu thereof;
ハ 新たに役員又は重要な使用人となった者に係る次に掲げる書類
(c) the following documents in relation to a person that has newly assumed the position of officer or major employee:
(1) 履歴書(役員が法人であるときは、当該役員の沿革を記載した書面)
1. the resumes (if the officer is a corporation, the document containing the background of the officer);
(2) 住民票の抄本(役員が法人であるときは、当該役員の登記事項証明書)又はこれに代わる書面
2. the extracts of the certificates of residence (if the officer is a corporation, the certificate of the registered matters of the officer), or any other document in lieu thereof;
(3) 旧氏及び名を、氏名に併せて別紙様式第一号により作成した変更後の内容を記載した書面に記載した場合において、(2)に掲げる書類が当該旧氏及び名を証するものでないときは、当該旧氏及び名を証する書面
3. if the former surname and given name are stated together with the current name in a document setting forth the matters after the change prepared using Appended Form 1, and the document specified in 2. is not a document certifying the former surname and given name, a document certifying the former surname and given name;
(4) 法第二十九条の四第一項第二号ロに該当しない旨の官公署の証明書又はこれに代わる書面
4. the certificate issued by public agency evidencing that none of the officers or employees falls under Article 29-4, paragraph (1), item (ii), sub-item (b) of the Act, or any other document in lieu thereof;
(5) 法第二十九条の四第一項第二号イ又はハからリまでのいずれにも該当しない者であることを当該役員又は重要な使用人が誓約する書面
5. the documents in which each of the officers and major employees pledges that they do not fall under any of Article 29-4, paragraph (1), item (ii), sub-items (a) or (c) through (i) of the Act;
(6) 当該金融商品取引業者が法人であるときは、法第二十九条の四第一項第二号(イに係る部分に限る。)に該当しないことを誓約する書面
6. in cases where the Financial Instruments Business Operator is a juridical person, a document to pledge that it does not fall under Article 29-4, paragraph (1), item (ii) of the Act (limited to the part pertaining to sub-item (a)); and
(7) 当該金融商品取引業者が個人であるときは、法第二十九条の四第一項第三号(同項第二号イに係る部分に限る。)に該当しないことを誓約する書面
7. in cases where the Financial Instruments Business Operator is an individual, a document to pledge that it does not fall under Article 29-4, paragraph (1), item (iii) of the Act (limited to the part pertaining to item (ii), sub-item (a) of that paragraph);
四 法第二十九条の二第一項第十号に掲げる事項について変更があった場合(営業所又は事務所の廃止をした場合に限る。) 当該変更に伴う顧客勘定の処理の内容を記載した書面
(iv) if there has been any change to the matters specified in Article 29-2, paragraph (1), item (x)of the Act (but only if the business office or other office has been abolished): a document containing the details of the treatment of a customer's account incidental to such change;
五 第七条第三号の二に掲げる事項について変更があった場合(電子取引基盤運営業務を行うこととなった場合に限る。) 次に掲げる書類
(v) in the case of any change in the matters specified in Article 7, item (iii)-2 (but only if the applicant is to conduct an electronic trading platform management service), the following documents:
イ 電子取引基盤運営業務を管理する責任者の履歴書
(a) the resume of the person responsible for the management of the electronic trading platform management service;
ロ 電子取引基盤運営業務に関する社内規則
(b) the internal rules concerning the electronic trading platform management service;
ハ 電子取引基盤運営業務に関し顧客と取引を行う際に使用する契約書類及びその添付書類
(c) contracts to be used for the transactions with customers in relation to the electronic trading platform management service and their attachments; and
ニ 第八条第六号トに掲げるものに関する届出者と特別の利害関係のない者の評価書
(d) an appraisal report issued by a person having no special interest relationship with the notifying person in relation to the matters specified in Article 8, item (vi), (g);
六 第七条第四号ニに掲げる事項について変更があった場合(競走用馬投資関連業務を行うこととなった場合に限る。) 第十三条第三号に掲げる基準に該当しないことを証する書面
(vi) if there has been any change to the matters specified in Article 7, item (iv), (d) (but only if the financial instruments business operator has come to be engaged in the business related to investment in racehorses): a document evidencing that it does not fall under the criteria specified in Article 13, item (iii);
七 第七条第六号に掲げる事項について変更があった場合(不動産信託受益権等売買等業務を行うこととなった場合に限る。) 第十三条第四号に掲げる基準に該当しないことを証する書面
(vii) if there has been any change to the matters specified in Article 7, item (vi) (but only if the financial instruments business operator has come to be engaged in the business of transaction, etc. of beneficial interest in real property trust): a document evidencing that it does not fall under the criteria specified in Article 13, item (iv);
八 第七条第七号に掲げる事項について変更があった場合(不動産関連特定投資運用業を行うこととなった場合に限る。) 不動産関連特定投資運用業を行う場合における業務遂行能力に関する事項を記載した書面
(viii) if there has been any change to the matters specified in Article 7, item (vii) (but only if the financial instruments business operator has come to be engaged in the specified investment management business related to real property): a document containing the matters related to the ability to execute the business in cases of conducting the specified investment management business related to real property;
九 第七条第十号に掲げる事項について変更があった場合新たに国内における代理人となった者に係る次に掲げる書類
(ix) in the case of any change in the matters specified in Article 7, item (x), the following documents relating to the person that newly assumed the position of the agent in Japan:
イ 住民票の抄本(国内における代理人が法人であるときは、当該国内における代理人の登記事項証明書)又はこれに代わる書面
(a) an extract copy of the certificate of residence (or, if the agent in Japan is a corporation, a certificate of registered information of the agent in Japan), or a document in lieu thereof; and
ロ 旧氏及び名を、氏名に併せて別紙様式第一号により作成した変更後の内容を記載した書面に記載した場合において、イに掲げる書類が当該旧氏及び名を証するものでないときは、当該旧氏及び名を証する書面
(b) if the former surname and given name are stated together with the current name in a document setting forth the matters after the change prepared using Appended Form 1, and the document specified in (a) is not a document certifying the former surname and given name, a document certifying the former surname and given name.
2 所管金融庁長官等は、金融商品取引業者から管轄財務局長等の管轄する区域を超えて本店等の所在地を変更したことの届出を受理した場合には、届出書及び金融商品取引業者登録簿のうち当該金融商品取引業者に係る部分その他の書類を、当該届出に係る変更後の本店等の所在地を管轄する財務局長(当該所在地が福岡財務支局の管轄区域内にある場合にあっては福岡財務支局長、国内に営業所又は事務所を有しない場合にあっては関東財務局長)に送付し、又は送付させるものとする。
(2) If the Commissioner of the Financial Services Agency or other competent official has received from any financial instruments business operator a notification on the relocation of the head office, etc. filed beyond the jurisdictional district of the competent finance bureau commissioner, etc., the commissioner or official is to send or instruct to send the written notification, the portion of the registry of financial instruments business operators pertaining to the financial instruments business operator and any other documents to the Director-General of a Local Finance Bureau with jurisdiction over the relocated address of the head office, etc. notified thereunder (if such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the Director-General thereof; or if the financial instruments business operator has no business office or other office in Japan, to the Director-General of the Kanto Finance Bureau).
3 前項の規定による書類の送付を受けた財務局長又は福岡財務支局長は、当該金融商品取引業者に係る事項を金融商品取引業者登録簿に登録するものとする。
(3) The Director-General of a Local Finance Bureau or the Director-General of the Fukuoka Local Finance Branch Bureau who has received the documents sent pursuant to the provisions of the preceding paragraph is to register the matters related to the financial instruments business operator in the registry of financial instruments business operators.
(特定業務内容等)
(Specified Business Outline, etc.)
第二十条の二 法第三十一条第三項に規定する内閣府令で定めるものは、新たに第八条第十二号の暗号資産又は金融指標となるものとする。
Article 20-2 The business outline or business method specified by Cabinet Office Order as referred to in Article 31, paragraph (3) of the Act is what newly becomes the Cryptoasset or Financial Indicator referred to in Article 8, item (xii).
(業務の内容又は方法の変更の届出)
(Notification on Change of Contents or Method of Business)
第二十一条 法第三十一条第三項の規定により届出を行う金融商品取引業者は、変更の内容、変更予定年月日又は変更年月日及び変更の理由を記載した届出書に、第八条各号に掲げるもの(内容に変更のあるものに限る。)を記載した書類、第九条第九号ハ及び第十号に掲げる書類(内容に変更のあるものに限る。)並びに第二十条第一項第五号に定める書類(内容に変更のあるものに限る。)を添付して、所管金融庁長官等に提出しなければならない。
Article 21 A financial instruments business operator which intends to file the notification under Article 31, paragraph (3) of the Act must submit to the Commissioner of the Financial Services Agency or other competent official a written notification stating the particulars and the scheduled or actual date of and reason for the change, attaching a document stating the matters specified in the items of Article 8 (limited to those matters whose details have been changed), the documents specified in Article 9, item (ix), sub-item (c) and item (x) (limited to those with changes in contents) and the documents provided in Article 20, paragraph (1), item (v) (limited to those with changes in contents).
(変更登録の申請)
(Applying for Registration of Changes)
第二十二条 法第三十一条第四項の変更登録を受けようとする金融商品取引業者は、別紙様式第一号により作成した変更登録申請書に、当該変更登録申請書の写しを添付して、所管金融庁長官等に提出しなければならない。
Article 22 (1) A financial instruments business operator which intends to obtain the registration of a change under Article 31, paragraph (4) of the Act must submit to the Commissioner of the Financial Services Agency or other competent official a written application for a registration of change prepared in accordance with Appended Form No. 1, attaching a copy thereof.
2 前項の変更登録申請書には、変更の内容及び理由を記載した書面並びに次に掲げる書類(新たに行おうとする業務(電子募集取扱業務及び高速取引行為を含む。)に係るものに限る。)を添付しなければならない。
(2) A document stating the particulars of and reason for the change as well as the following documents (limited to the documents pertaining to the business to be newly conducted (including electronic public offering services and high-speed trading)) must be attached to a written application for a registration of change set forth in the preceding paragraph:
一 法第二十九条の四第一項各号(第一号から第三号まで、第四号ニ、第五号ハ及び第七号(法第六十六条の五十三第六号ハに係る部分に限る。)を除く。)のいずれにも該当しないことを誓約する書面
(i) a document in which the financial instruments business operator pledges that it does not fall under any of the items of Article 29-4, paragraph (1) of the Act (excluding items (i) through (iii), item (iv), (d), item (v), (c) and item (vii) (limited to the part pertaining to Article 66-53, item (vi), (c) of the Act);
二 第八条各号に掲げるものを記載した書類
(ii) a document stating the matters specified in the items of Article 8; and
三 第九条各号及び第十条第一項各号に掲げる書類
(iii) a document as specified in the items of Article 9 and the items of Article 10, paragraph (1).
3 第十条第二項の規定は、前項第三号に掲げる書類(同条第一項第一号に掲げるものに限る。)を添付する場合について準用する。
(3) The provisions of Article 10, paragraph (2) apply mutatis mutandis if any of the documents specified in item (iii) of the preceding paragraph (limited to those specified in item (i), paragraph (1) of that Article) is to be attached.
(変更の認可の申請)
(Application for Authorization of Change)
第二十三条 法第三十一条第六項の認可を受けようとする金融商品取引業者は、次に掲げる事項を記載した認可申請書を所管金融庁長官等に提出しなければならない。
Article 23 (1) A financial instruments business operator which intends to obtain the authorization under Article 31, paragraph (6) of the Act must submit to the Commissioner of the Financial Services Agency or other competent official a written application for authorization stating the following particulars:
一 商号
(i) the trade name;
二 登録年月日及び登録番号
(ii) the registration date and registration number; and
三 変更の内容及び理由
(iii) the particulars and reasons for change.
2 前項の認可申請書には、第十七条各号に掲げるもの(内容に変更のあるものに限る。)を記載した書類及び第十八条各号に掲げる書類(内容に変更のあるものに限る。)を添付しなければならない。
(2) The document stating the matters specified in the items of Article 17 (limited to the those matters whose details have been changed) and the documents specified in the items of Article 18 (limited to those matters whose details have been changed) must be attached to a written application for authorization set forth in the preceding paragraph.
(変更の認可の基準)
(Criteria for Authorization of Change)
第二十四条 所管金融庁長官等は、法第三十一条第六項の認可をしようとするときは、法第三十条の四第一号及び第五号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。
Article 24 When the Commissioner of the Financial Services Agency or other competent official intends to grant the authorization under Article 31, paragraph (6) of the Act, the commissioner or official must examine whether the applicant complies with the criteria specified in Article 30-4, item (i) or (v) of the Act.
(営業保証金の供託の届出等)
(Notification of Deposit for Operations)
第二十五条 法第三十一条の二第一項、第四項又は第八項の規定により供託をした者は、別紙様式第二号により作成した供託届出書に、当該供託に係る供託書正本を添付して、所管金融庁長官等に提出しなければならない。
Article 25 (1) A person that has completed making a deposit pursuant to the provisions of Article 31-2, paragraph (1), (4) or (8) of the Act must submit to the Commissioner of the Financial Services Agency or other competent official, a written notification of deposit prepared in accordance with Appended Form No. 2, attaching the original of the certificate of deposit relevant to such deposit.
2 金融商品取引業者(第二種金融商品取引業を行う個人及び投資助言・代理業のみを行う者に限る。第二十七条及び第二十八条において同じ。)が既に供託している供託物の差替えを行う場合は、差替えのために新たに供託をした後、その旨を記載した届出書に、差替え後の供託に係る供託書正本を添付して、所管金融庁長官等に提出しなければならない。
(2) If a financial instruments business operator (limited to an individual engaged in type-II financial instruments business or a person engaged only in investment advisory and agency business; the same applies in Article 27 and Article 28) intends to replace the items already deposited, such financial instruments business operator must, after having completed the new deposit of the replacement items, submit to the Commissioner of the Financial Services Agency or other competent official a written notification stating to that effect, attaching the original of the certificate of deposit relevant to the replacement deposit.
3 所管金融庁長官等は、前二項の供託書正本を受理したときは、保管証書をその供託者に交付しなければならない。
(3) When the Commissioner of the Financial Services Agency or other competent official receives the original copy of the deposit certificate set forth in the preceding two paragraphs, the commissioner or official must deliver a custody certificate to the depositor.
(営業保証金に代わる契約の相手方)
(Counterparties to Contracts in Lieu of Deposits for Operation)
第二十六条 令第十五条の十三に規定する内閣府令で定める金融機関は、協同組織金融機関及び株式会社商工組合中央金庫とする。
Article 26 The financial institutions to be specified by Cabinet Office Order as referred to in Article 15-13 of the Order are a cooperative financial institution and the Shoko Chukin Bank Limited.
(営業保証金に代わる契約の締結の届出等)
(Notification of Conclusion of Contracts in Lieu of Deposits for Operation)
第二十七条 金融商品取引業者は、法第三十一条の二第三項の契約を締結したときは、別紙様式第三号により作成した保証契約締結届出書に契約書の写しを添付して所管金融庁長官等に届け出るとともに、契約書正本を提示しなければならない。
Article 27 (1) When any financial instruments business operator concludes a contract under Article 31-2, paragraph (3) of the Act, it must submit to the Commissioner of the Financial Services Agency or other competent official a written notification of the conclusion of a guarantee contract prepared in accordance with Appended Form No. 3 with a copy of the contract attached thereto, and must present the original of the contract.
2 金融商品取引業者は、営業保証金に代わる契約の変更又は解除を行おうとする場合は、別紙様式第四号により作成した保証契約変更承認申請書又は別紙様式第五号により作成した保証契約解除承認申請書により、所管金融庁長官等に承認を申請しなければならない。
(2) When a financial instruments business operator intends to effect any change or cancellation of a contract in lieu of deposit for operation, it must file an application for approval thereon with the Commissioner of the Financial Services Agency or other competent official by submitting a written application for approval of change of guarantee contract prepared in accordance with Appended Form No. 4 or a written application for approval of cancellation of guarantee contract prepared in accordance with Appended Form No. 5.
3 所管金融庁長官等は、前項の規定による承認の申請があったときは、当該承認の申請をした金融商品取引業者が営業保証金に代わる契約を変更し、又は解除することが投資者の保護に欠けるおそれがないものであるかどうかを審査するものとする。
(3) When an application for approval under the preceding paragraph is filed, the Commissioner of the Financial Services Agency or other competent official is to examine whether the change or cancellation of the contract in lieu of deposit for operation by the financial instruments business operator which has filed the application for approval does not threaten to hider the protection of the investors.
4 金融商品取引業者は、所管金融庁長官等の承認に基づき営業保証金に代わる契約の変更又は解除をしたときは、別紙様式第六号により作成した保証契約変更届出書に変更後の契約書の写しを添付し、又は別紙様式第七号により作成した保証契約解除届出書に契約を解除した事実を証する書面を添付して当該所管金融庁長官等に届け出るとともに、契約の変更の場合には、変更後の契約書正本を提示しなければならない。
(4) When a financial instruments business operator effects any change or cancellation of the contract in lieu of a deposit for operation based on approval granted by the Commissioner of the Financial Services Agency or other competent official, it must submit to the Commissioner of the Financial Services Agency or other competent official a written notification of a change of guarantee contract prepared in accordance with Appended Form No. 6 attaching a copy of the changed contract, or a written notification of the cancellation of a guarantee contract prepared in accordance with Appended Form No. 7 attaching a document evidencing the fact of the cancellation of the contract; and in addition, in the case of the change of the contract, the financial instruments business operator must present the original of the changed contract.
(営業保証金の追加供託の起算日)
(Day of Commencement for Counting of Time Limit for Additional Deposit for Operation)
第二十八条 法第三十一条の二第八項に規定する内閣府令で定める日は、営業保証金の額が不足した理由につき、次の各号に掲げる場合の区分に応じ、当該各号に定める日とする。
Article 28 The day to be specified by Cabinet Office Order as referred to in Article 31-2, paragraph (8) of the Act is the day specified in the following items, in accordance with the reasons for a deficiency in the amount of the deposit for operation respectively set forth therein:
一 金融商品取引業者が令第十五条の十三第三号の承認(次号において「承認」という。)を受けて法第三十一条の二第三項の契約(以下この号及び次号において「契約」という。)の内容を変更したことにより、同条第十項に規定する供託した営業保証金の額(同条第三項に規定する契約金額を含む。)が令第十五条の十二に定める額に不足した場合 当該契約の内容を変更した日
(i) if the financial instruments business operator has changed any of the terms of the contract under Article 31-2, paragraph (3) of the Act (hereinafter referred to as the "contract" in this and the following item) with an approval under Article 15-13, item (iii) of the Order (hereinafter referred to as the "approval" in the following item), as a result of which the amount of deposit for operation deposited as set forth in Article 31-2, paragraph (10) of the Act (including the contract amount set forth in paragraph (3) of that Article) has become less than the amount set forth in Article 15-12 of the Order: the day when the term of the contract was changed;
二 金融商品取引業者が承認を受けて契約を解除した場合 当該契約を解除した日
(ii) if the financial instruments business operator has cancelled the contract with the approval: the day of the cancellation of the contract;
三 令第十五条の十四の権利の実行の手続が行われた場合 金融商品取引業者が金融商品取引業者営業保証金規則(平成十九年内閣府・法務省令第三号)第十一条第三項の支払委託書の写しの送付を受けた日
(iii) if the procedures for execution of the right as set forth in Article 15-14 of the Order is implemented: the day when the financial instruments business operator received a copy of the payment entrustment document sent pursuant to the provisions of Article 11, paragraph (3) of the Cabinet Office Order on Security Finance Companies (Order of the Cabinet Office and the Ministry of Justice No. 3 of 2007);
四 令第十五条の十四の権利の実行の手続を行うため所管金融庁長官等が供託されている有価証券(社債、株式等の振替に関する法律(平成十三年法律第七十五号)第二百七十八条第一項に規定する振替債を含む。)の換価を行い、換価代金から換価の費用を控除した額を供託した場合 金融商品取引業者が金融商品取引業者営業保証金規則第十二条第四項の規定による通知を受けた日
(iv) if, for the purpose of implementing procedures for the execution of the rights as set forth in Article 15-14 of the Order, the Commissioner of the Financial Services Agency or other competent official has realized the deposited securities (including the book-entry transferred bond set forth in Article 278, paragraph (1) of the Act on Book-Entry Transfer of Corporate Bonds and Shares (Act No. 75 of 2001)), and has deposited the realized amount after deducting the realization expenses: the day on which the financial instruments business operator has received a notice under Article 12, paragraph (4) of the Regulation on Security Deposits by Financial Instruments Business Operators; or
五 金融商品取引業者(投資助言・代理業のみを行う個人及び第二種金融商品取引業のうち第二種少額電子募集取扱業務のみを行う個人に限る。)が第二種金融商品取引業を行う者として法第三十一条第四項の変更登録を受けた場合 当該変更登録を受けた日
(v) if a financial instruments business operator (limited to an individual only engaged in an investment advisory and agency business and an individual only engaged in type-II small amount electronic public offering service which is type-II financial instruments business) has obtained a registration of change under Article 31, paragraph (4) of the Act, as a person engaged in type-II financial instruments business: the day when such operator obtained the registration of change.
(営業保証金に充てることができる有価証券の種類)
(Types of Securities Which May Be Substituted for Deposits for Operation)
第二十九条 法第三十一条の二第九項に規定する内閣府令で定める有価証券は、次に掲げるものとする。この場合において、次に掲げる有価証券に表示されるべき権利の帰属が、社債、株式等の振替に関する法律の規定による振替口座簿の記載又は記録により定まるものとされるときは、当該権利は当該有価証券とみなす。
Article 29 The securities to be specified by Cabinet Office Order as referred to in Article 31-2, paragraph (9) of the Act are as follows. In this case, if the attribution of any right to be indicated on any of the following securities is to be determined based on statement or record of a book-entry transfer account book as referred to in the Act on Book-Entry Transfer of Corporate Bonds and Shares, such right is deemed to be the securities:
一 国債証券
(i) national government bond securities;
二 地方債証券
(ii) municipal bond securities;
三 政府保証債券(法第二条第一項第三号に掲げる有価証券のうち政府が元本の償還及び利息の支払について保証しているものをいう。第六十五条第一号ハにおいて同じ。)
(iii) government-guaranteed bond certificates (meaning the securities specified in Article 2, paragraph (1), item (iii) of the Act, for which the government guarantees redemption of principal and interest payments; hereinafter the same applies in Article 65, item (i), (c));
四 金融庁長官が指定した社債券その他の債券(記名式のもの及び割引の方法により発行されるもの並びに前号に掲げるものを除く。)
(iv) corporate bond certificates or any other bond certificates designated by the Commissioner of the Financial Services Agency (excluding a registered bond certificate and a bond certificates issued by way of discounting, and also excluding the bonds certificates specified in the preceding item).
(営業保証金に充てることができる有価証券の価額)
(Value of Securities Which May Be Substituted for Deposits for Operations)
第三十条 法第三十一条の二第九項の規定により有価証券を営業保証金に充てる場合における当該有価証券の価額は、次の各号に掲げる有価証券の区分に応じ、当該各号に定める額とする。
Article 30 (1) The value of the securities if the securities are to be substituted for a deposit for operations pursuant to the provisions of Article 31-2, paragraph (9) of the Act is the amount specified in the following items, in accordance with the categories of the securities respectively set forth therein:
一 前条第一号に掲げる有価証券 額面金額(その権利の帰属が社債、株式等の振替に関する法律の規定による振替口座簿の記載又は記録により定まるものとされるものにあっては、振替口座簿に記載又は記録された金額。以下この条において同じ。)
(i) the securities specified in item (i) of the preceding Article: the face value thereof (if the attribution of the right pertaining to such securities is to be determined in accordance with the statement or record of the book-entry transfer account book as referred to in the Act on Book-Entry Transfer of Corporate Bonds and Shares, the amount stated or recorded in the book-entry transfer account book; hereinafter the same applies in this Article);
二 前条第二号に掲げる有価証券 額面金額百円につき九十円として計算した額
(ii) the securities specified in item (ii) of the preceding Article: the amount calculated by discounting the face value of 100 yen to 90 yen;
三 前条第三号に掲げる有価証券 額面金額百円につき九十五円として計算した額
(iii) the securities specified in item (iii) of the preceding Article: the amount calculated by discounting the face value of 100 yen to 95 yen;
四 前条第四号に掲げる有価証券 額面金額百円につき八十円として計算した額
(iv) the securities specified in item (iv) of the preceding Article: the amount calculated by discounting the face value of 100 yen to 80 yen.
2 割引の方法により発行した有価証券については、その発行価額に次の算式により算出した額を加えた額を額面金額とみなして、前項の規定を適用する。
(2) With regard to the securities issued by way of discounting, the issue value after adding the amount calculated in accordance with the following formula is deemed to be the face value thereof, and the provisions of the preceding paragraph apply.
((額面金額―発行価額)÷発行の日から償還の日までの年数)×発行の日から供託の日までの年数
((face value - issue value) / the number of years from the date of issuance to the date of redemption) x the number of years from the date of issuance to the date of deposit
3 前項の算式による計算において、発行の日から償還の日までの年数及び発行の日から供託の日までの年数について生じた一年未満の端数並びに額面金額と発行価額との差額を発行の日から償還の日までの年数で除して得た金額について生じた一円未満の端数は、切り捨てる。
(3) For the purpose of calculation in accordance with the formula set forth in the preceding paragraph, if any fraction of less than one year arises with regard to the number of years from the date of issuance and the date of redemption and the number of years from the date of issuance to the date of deposit, or if any fraction of less than one yen arises with regard to the amount obtained by dividing the difference between face value and issue value by the number of years from the date of issuance to the date of redemption, that fraction is rounded down.
(兼職の届出)
(Notification of Concurrent Holding of Officers' Positions)
第三十一条 法第三十一条の四第一項及び第二項の規定による届出(これらの規定に規定する退任した場合に係るものを除く。)は、次に掲げる事項を記載した届出書を所管金融庁長官等に提出して行わなければならない。
Article 31 (1) A notification under Article 31-4, paragraphs (1) and (2) of the Act (excluding the notification to be filed in the case of a resignation as set forth in those provisions) must be filed by submitting a written notification stating the following particulars to the Commissioner of the Financial Services Agency or other competent official:
一 氏名
(i) the person's name;
二 金融商品取引業者の商号
(ii) the trade name of the financial instruments business operator;
三 金融商品取引業者における役職名
(iii) the title of the position assumed at the financial instruments business operator;
四 兼職先の商号
(iv) the trade name of the other company at which the person concurrently assumes the position of officer;
五 兼職先における役職名及び代表権の有無
(v) the title of the position assumed at the company of which the person concurrently assumes the position, and information as to whether such person has been granted the authority of representation; and
六 就任年月日及び任期
(vi) the date of assumption of office, and the term of office.
2 前項の場合において、同項第四号又は第五号に掲げる事項に変更があったときは、次に掲げる事項を記載した兼職変更届出書を所管金融庁長官等に提出しなければならない。
(2) In the case referred to in the preceding paragraph, if any change to the matters specified in item (iv) or (v) of that paragraph arises, a written notification of the change of a concurrently held position stating the following particulars must be submitted to the Commissioner of the Financial Services Agency or other competent official:
一 氏名
(i) the person's name;
二 金融商品取引業者の商号
(ii) the trade name of the financial instruments business operator;
三 金融商品取引業者における役職名
(iii) the title of the position assumed at the financial instruments business operator;
四 変更の内容
(iv) the particulars of the change; and
五 変更年月日
(v) the date of the change.
3 法第三十一条の四第一項及び第二項の規定による届出(これらの規定に規定する退任した場合に係るものに限る。)は、次に掲げる事項を記載した届出書を所管金融庁長官等に提出して行わなければならない。
(3) A notification under Article 31-4, paragraphs (1) and (2) of the Act (limited to the notification to be filed in the case of a resignation as set forth in those provisions) must be filed by submitting a written notification stating the following particulars to the Commissioner of the Financial Services Agency or other competent official:
一 氏名
(i) the person's name;
二 金融商品取引業者の商号
(ii) the trade name of the financial instruments business operator;
三 金融商品取引業者における役職名
(iii) the title of the position assumed at the financial instruments business operator;
四 兼職をしていた会社の商号
(iv) the trade name of the company at which the person concurrently held the position of officer;
五 兼職をしていた会社における役職名及び代表権の有無
(v) the title of the position assumed at the company of which the person concurrently held the position, and information as to whether such person had been granted the authority of representation; and
六 退任年月日
(vi) the date of resignation.
(親法人等及び子法人等から除かれる者)
(Persons Excluded from Being Defined as a Parent Corporation and Subsidiary Corporation)
第三十二条 令第十五条の十六第一項及び第二項に規定する内閣府令で定める者は、次に掲げる者とする。
Article 32 The person to be specified by Cabinet Office Order as referred to in Article 15-16, paragraphs (1) and (2) of the Order is as follows:
一 専ら次に掲げるいずれかの者の金融商品取引業等、金融商品仲介業又は有価証券等仲介業務の遂行のための業務を行っている者
(i) a person solely engaged in a business for the execution of the financial instruments business, etc., the financial instruments intermediary service or the securities, etc. intermediary business operations of any of the following parties:
イ 自己
(a) the party itself; or
ロ 自己及びその親法人等又は子法人等
(b) the party itself, and its parent corporation, etc. or subsidiary corporation, etc.;
二 専ら次に掲げるいずれかの者の業務(金融商品取引業等、金融商品仲介業及び有価証券等仲介業務を除く。)の遂行のための業務(非公開情報(発行者又は自己の行う金融商品取引業等、金融商品仲介業若しくは有価証券等仲介業務の顧客に関するものに限る。)に関連するものを除く。)を行っている者
(ii) a person solely engaged in business (excluding business related to the undisclosed information (limited to information which relates to customers of a financial instruments business, etc., a financial instruments intermediary service or securities, etc. intermediary business operations conducted by the issuer or by the party itself)) related to the execution of the business of any of the following parties (excluding a financial instruments business, etc., a financial instruments intermediary service and securities, etc. intermediary business operations):
イ 自己
(a) the party itself; or
ロ 自己及びその親法人等又は子法人等
(b) the party itself, and its parent corporation, etc. or subsidiary corporation, etc.;
三 外国の法人その他の団体であって、国内に営業所、事務所その他これらに準ずるものを有していない者
(iii) a corporation or any other organization of a foreign state which has no business office, office or any other establishment equivalent thereto in Japan.
(親会社等となる者)
(Persons Which Fall Under the Category of Parent Company)
第三十三条 令第十五条の十六第三項に規定する内閣府令で定めるものは、次に掲げる会社等(同項に規定する会社等をいう。以下この条から第三十五条までにおいて同じ。)とする。ただし、財務上又は営業上若しくは事業上の関係からみて他の会社等の意思決定機関(同項に規定する意思決定機関をいう。第二号ホにおいて同じ。)を支配していないことが明らかであると認められるときは、この限りでない。
Article 33 (1) The companies to be specified by Cabinet Office Order as referred to in Article 15-16, paragraph (3) of the Order are the following companies, etc. (meaning the companies, etc. prescribed in that paragraph; hereinafter the same applies in this Article through Article 35); provided, however, that this does not apply if it is clearly found that the company does not have control over the decision-making body (meaning the decision-making body specified in that paragraph; the same applies in item (ii), (e)) of other company, etc., in light of the financial, operational or business relationship therewith:
一 他の会社等(破産手続開始の決定、再生手続開始の決定又は更生手続開始の決定を受けた他の会社等その他これらに準ずる他の会社等であって、有効な支配従属関係が存在しないと認められるものを除く。以下この項において同じ。)の議決権の過半数を自己の計算において保有している会社等
(i) a company, etc. which, on its own account, holds the majority of voting rights in another company, etc. (excluding another company, etc. which has been subject to an order for the commencement of bankruptcy proceedings, an order for the commencement of rehabilitation proceedings or an order for the commencement of reorganization proceedings or any other company, etc. equivalent thereto, regarding which it is found that no effective controlling interest exists; hereinafter the same applies in this paragraph);
二 他の会社等の議決権の百分の四十以上、百分の五十以下を自己の計算において保有している会社等であって、次に掲げるいずれかの要件に該当するもの
(ii) a company, etc. which, on its own account, holds 40 percent or more but 50 percent or less of the voting rights in another company, etc., and which falls under any of the following requirements:
イ 当該会社等が自己の計算において保有している議決権と当該会社等と出資、人事、資金、技術、取引等において緊密な関係があることにより当該会社等の意思と同一の内容の議決権を行使すると認められる者及び当該会社等の意思と同一の内容の議決権を行使することに同意している者が保有している議決権とを合わせて、当該他の会社等の議決権の過半数を占めていること。
(a) that the voting rights held by the company, etc. on its own account, and by the voting rights held by any person having a close relationship with the company, etc. in terms of equity, personnel affairs, funding, technology, business transactions, etc. and therefore being likely to exercise the voting rights in concert with the intention of the company, etc. and by any person having consented to exercise the voting rights in concert with the intention of the company, etc. constitute a majority of the voting rights in that other company, etc.;
ロ 当該会社等の役員若しくは使用人である者又はこれらであった者であって当該会社等が当該他の会社等の財務及び営業又は事業の方針の決定に関して影響を与えることができるものが、当該他の会社等の取締役会その他これに準ずる機関の構成員の過半数を占めていること。
(b) that the officers or employees of the company, etc. or persons that have formerly been in such positions and would have an influence on the decision of such other company, etc. with regard to its financial policies and operational or business policies constitute a majority of the members of the board of directors or any other organ equivalent thereto of such other company, etc.;
ハ 当該会社等と当該他の会社等との間に当該他の会社等の重要な財務及び営業又は事業の方針の決定を支配する契約等が存在すること。
(c) that there exist a contract, etc. concluded between the company, etc. and such other company, etc. which provides for control over decision of such other company, etc. with regard to any important financial, operational or business policies;
ニ 当該他の会社等の資金調達額(貸借対照表の負債の部に計上されているものに限る。)の総額の過半について当該会社等が融資(債務の保証及び担保の提供を含む。ニ及び次条第二号ロにおいて同じ。)を行っていること(当該会社等と出資、人事、資金、技術、取引等において緊密な関係のある者が行う融資の額を合わせて資金調達額の総額の過半となる場合を含む。)。
(d) that the company, etc. has financed (including the provision of a guarantee of obligation and the provision of securities; the same applies in (d) and Article 34, item (ii), (b)) more than half of the total amount of funds procured by such other company, etc. (limited to the amount inserted into the liability section of the balance sheet) (including if the amount financed by the company, etc., and the amount financed by a person with a close relationship with the company, etc. in terms of equity, personnel affairs, funding, technology, business transactions, etc. constitutes more than half of the total amount of the funds procured); or
ホ その他当該会社等が当該他の会社等の意思決定機関を支配していることが推測される事実が存在すること。
(e) that there exists any other fact implying that the company, etc. controls the decision-making body of that other company, etc.;
三 会社等が自己の計算において保有している議決権と当該会社等と出資、人事、資金、技術、取引等において緊密な関係があることにより当該会社等の意思と同一の内容の議決権を行使すると認められる者及び当該会社等の意思と同一の内容の議決権を行使することに同意している者が保有している議決権とを合わせて、他の会社等の議決権の過半数を占めている場合(当該会社等が自己の計算において議決権を保有していない場合を含む。)における当該会社等であって、前号ロからホまでに掲げるいずれかの要件に該当するもの
(iii) the company, etc. which falls under any of the requirements specified in (b) through (e) of the preceding item, if the voting rights held by the company, etc. on its own account, and by the voting rights held by any person having a close relationship with the company, etc. in terms of equity, personnel affairs, funding, technology, business transactions, etc. and therefore being likely to exercise its voting rights in concert with the intention of the company, etc. and by any person having consented to exercise the voting rights in concert with the intention of the company, etc. constitute a majority of the voting rights in another company, etc. (including if the company, etc. does not hold voting rights on its own account).
2 特別目的会社(資産の流動化に関する法律(平成十年法律第百五号)第二条第三項に規定する特定目的会社及び事業内容の変更が制限されているこれと同様の事業を営む事業体をいう。以下同じ。)については、適正な価額で譲り受けた資産から生ずる収益を当該特別目的会社が発行する証券の所有者(同条第十二項に規定する特定借入れに係る債権者を含む。)に享受させることを目的として設立されており、当該特別目的会社の事業がその目的に従って適切に遂行されているときは、当該特別目的会社に資産を譲渡した会社等(以下この項において「譲渡会社等」という。)から独立しているものと認め、前項の規定にかかわらず、譲渡会社等の子会社等に該当しないものと推定する。
(2) Notwithstanding the provisions of the preceding paragraph, with regard to a special purpose company (meaning a specific purpose defined in Article 2, paragraph (3) of the Act on Securitization of Assets (Act No. 105 of 1998) and an entity conducting the business equivalent thereto with a restriction on the change of business contents; the same applies hereinafter), if the purpose of the incorporation thereof is to make the owners of the securities it issues (including the creditors of the specific borrowing defined in paragraph (12) in that Article) enjoy the profit generating from assets that the special purpose company has acquired at a fair value, and if the business thereof is properly implemented in compliance with such purpose, such special purpose company is regarded as being independent of the companies, etc. which transferred the assets to it (hereinafter referred to as the "transferor company, etc." in this paragraph), and is presumed not to fall under the category of a subsidiary company, etc. of the transferor company, etc.
(関連会社等となる者)
(Persons Classed as Affiliated Companies)
第三十四条 令第十五条の十六第四項に規定する内閣府令で定めるものは、次に掲げるものとする。ただし、財務上又は営業上若しくは事業上の関係からみて会社等(当該会社等の子会社等を含む。)が子会社等以外の他の会社等の財務及び営業又は事業の方針の決定に対して重要な影響を与えることができないことが明らかであると認められるときは、この限りでない。
Article 34 The affiliated companies, etc. to be specified by Cabinet Office Order as referred to in Article 15-16, paragraph (4) of the Order are as follows; provided, however, that this does not apply if it is clearly found that the company, etc. (including a subsidiary company, etc. of such company, etc.) is unable to have any material impact on the decision on the financial policies and operational or business policies of another company etc. except for a subsidiary company, etc., in light of its financial, operational or business relationship therewith:
一 会社等(当該会社等の子会社等を含む。)が子会社等以外の他の会社等(破産手続開始の決定、再生手続開始の決定又は更生手続開始の決定を受けた子会社等以外の他の会社等その他これらに準ずる子会社等以外の他の会社等であって、当該会社等がその財務及び営業又は事業の方針の決定に対して重要な影響を与えることができないと認められるものを除く。以下この条において同じ。)の議決権の百分の二十以上を自己の計算において保有している場合における当該子会社等以外の他の会社等
(i) the other company, etc. except for a subsidiary company, etc., if a company, etc. (including a subsidiary company, etc. of such company, etc.) holds on its own account 20 percent or more of the voting rights in such other company, etc. except for a subsidiary company, etc. (excluding another company, etc. except for a subsidiary company, etc. which has been subject to an order for the commencement of bankruptcy proceedings, order for the commencement of rehabilitation proceedings or order for the commencement of reorganization proceedings, or another company, etc. except for a subsidiary company, etc. equivalent thereto, in which case it is found that the company, etc. would not be able to give any material impact on the decision on its financial policies and operational or business policies; hereinafter the same applies in this Article);
二 会社等(当該会社等の子会社等を含む。)が子会社等以外の他の会社等の議決権の百分の十五以上、百分の二十未満を自己の計算において保有している場合における当該子会社等以外の他の会社等であって、次に掲げるいずれかの要件に該当するもの
(ii) the other company, etc. except for a subsidiary company, etc. which falls under any of the following requirements, if the company, etc. (including a subsidiary company, etc. of such company, etc.) holds on its own account 15 percent or more but less than 20 percent of the voting rights in another company, etc. except for a subsidiary company, etc.:
イ 当該会社等の役員若しくは使用人である者又はこれらであった者であって当該会社等がその財務及び営業又は事業の方針の決定に関して影響を与えることができるものが、その取締役若しくは執行役又はこれらに準ずる役職に就任していること。
(a) that any officer or employee of the company, etc. or any person that has formerly been in such a position and is able to give an impact on decision of its financial policies and operational or business policies of has assumed the position of its director, executive officer or any other position;
ロ 当該会社等から重要な融資を受けていること。
(b) that any important loan has been granted by the company, etc.;
ハ 当該会社等から重要な技術の提供を受けていること。
(c) that any important technology is furnished by the company, etc.;
ニ 当該会社等との間に重要な販売、仕入れその他の営業上又は事業上の取引があること。
(d) that there exists any important operational or business transaction with the company, etc. in regard to distribution, purchasing or others; or
ホ その他当該会社等がその財務及び営業又は事業の方針の決定に対して重要な影響を与えることができることが推測される事実が存在すること。
(e) that there exists any other fact implying that the company, etc. is able to have a material impact on the decision on its financial, operational or business policies;
三 会社等(当該会社等の子会社等を含む。)が自己の計算において保有している議決権と当該会社等と出資、人事、資金、技術、取引等において緊密な関係があることにより当該会社等の意思と同一の内容の議決権を行使すると認められる者及び当該会社等の意思と同一の内容の議決権を行使することに同意している者が保有している議決権とを合わせて、子会社等以外の他の会社等の議決権の百分の二十以上を占めている場合(当該会社等が自己の計算において議決権を保有していない場合を含む。)における当該子会社等以外の他の会社等であって、前号イからホまでに掲げるいずれかの要件に該当するもの
(iii) the other company, etc. except for a subsidiary company, etc. which falls under any of the requirements listed in (a) through (e) of the preceding item, if 20 percent or more of the voting rights in such other company except for a subsidiary company, etc. is constituted by the voting rights held by the company, etc. (including a subsidiary company, etc. of such company, etc.) on its own account, and by the voting rights held by any person having a close relationship with the company, etc. in terms of equity, personnel affairs, funding, technology, business transactions, etc. and therefore is likely to exercise the voting rights in concert with the intention of the company, etc. and by any person having consented to exercise the voting rights in concert with the intention of the company, etc. (including if the company, etc. does not hold voting rights on its own account).
(議決権の保有の判定)
(Criteria for Determining Holding Voting Rights)
第三十五条 令第十五条の十六第五項に規定する議決権の保有の判定に当たって、保有する議決権には、他人(仮設人を含む。第二百三条第一項において同じ。)の名義によって保有する議決権及び次に掲げる場合における株式又は出資(以下この条において「株式等」という。)に係る議決権を含むものとする。
Article 35 (1) For the purpose of determining the holding voting rights as set forth in Article 15-16, paragraph (5) of the Order, the voting rights held are to include the voting rights held under the name of any other person (or under a fictitious name; the same applies in Article 203, paragraph (1)), and the voting rights pertaining to shares or equity in any of the following cases (hereinafter referred to as the "shares, etc." in this Article):
一 金銭の信託契約その他の契約又は法律の規定に基づき、会社等の議決権を行使することができる権限又は当該議決権の行使について指図を行うことができる権限を有する場合
(i) if a person has been granted the authority to exercise the voting rights in the company, etc. or the authority to give instructions as to the exercise thereof, under the provisions of a contract such as a monetary trust agreement or the laws;
二 令第十五条の十に定める特別の関係にある者が会社等の議決権を保有する場合
(ii) if any person in special relationship as set forth in Article 15-10 of the Order holds the voting rights in the company, etc.;
三 社債、株式等の振替に関する法律第百四十七条第一項又は第百四十八条第一項(これらの規定を同法第二百二十八条第一項、第二百三十五条第一項、第二百三十九条第一項及び第二百七十六条(第二号に係る部分に限る。)において準用する場合を含む。)の規定によりその保有する株式等(この項の規定により令第十五条の十六第一項第四号の特定個人株主が保有する議決権に含むものとされる議決権に係る株式等を含む。)を発行者に対抗することができない場合
(iii) if, pursuant to the provisions of Article 147, paragraph (1) or Article 148, paragraph (1) of the Act on Book-Entry Transfer of Corporate Bonds and Shares (including if these provisions are applied mutatis mutandis pursuant to Article 228, paragraph (1), Article 235, paragraph (1), Article 239, paragraph (1) and Article 276 (limited to the parts pertaining to item (ii)) of that Act), a person may not assert the shares, etc. held by such person (including the shares, etc. pertaining to the voting rights which, pursuant to the provisions of this paragraph, are to be included in the voting rights held by the specified individual shareholder set forth in Article 15-16, paragraph (1), item (iv) of the Order) against the issuer thereof.
2 前項の保有する議決権からは、同項の規定にかかわらず、次に掲げる株式等に係る議決権を除くものとする。
(2) Notwithstanding the provisions of the preceding paragraph, the voting rights held as set forth in that paragraph are not to include the voting rights pertaining to the following shares, etc.:
一 法人の代表権を有する者又は法人の代理権を有する支配人が、当該代表権又は代理権に基づき、議決権を行使することができる権限若しくは議決権の行使について指図を行うことができる権限又は投資を行うのに必要な権限を有する場合における当該法人の所有する株式等
(i) the shares, etc. owned by a corporation, if a person with the authority of representation for such corporation or a manager having the authority to act as an agent therefor has been granted the authority to exercise the voting rights or to give instruction as to the exercise thereof or the authority required for making an investment, based on such authority of representation or authority to act as an agent;
二 相続人が相続財産として所有する株式等(当該相続人(共同相続の場合を除く。)が単純承認(単純承認をしたものとみなされる場合を含む。)若しくは限定承認をした日までのもの又は当該相続財産の共同相続人が遺産分割を了していないものに限る。)
(ii) the shares, etc. owned by heirs as their inherited property (limited to the shares, etc. owned prior to the day when the heir (excluding the case of a joint inheritance) gave an unqualified acceptance (including if an unqualified acceptance is deemed to have been given) or a qualified acceptance, or the shares, etc. which the coheirs of that inherited property have not yet divided).
第三款 主要株主
Subsection 3 Major Shareholders
(対象議決権保有届出書の提出)
(Submission of Notification of Holding Subject Voting Rights)
第三十六条 法第三十二条第一項の規定により同項の対象議決権保有届出書を提出する者は、別紙様式第八号により作成した対象議決権保有届出書に、当該対象議決権保有届出書の写し及び同条第二項の規定により当該対象議決権保有届出書に添付すべき書類を添付して、居住者(外国為替及び外国貿易法(昭和二十四年法律第二百二十八号)第六条第一項第五号前段に規定する居住者をいう。以下この章において同じ。)にあってはその本店等の所在地(個人である場合にあっては、その住所又は居所)を管轄する財務局長(当該所在地が福岡財務支局の管轄区域内にある場合にあっては、福岡財務支局長)に、非居住者(同法第六条第一項第六号に規定する非居住者をいう。以下この章において同じ。)にあっては関東財務局長に提出しなければならない。
Article 36 A person that submits a notification of holding subject voting rights as set forth in Article 32, paragraph (1) of the Act pursuant to that paragraph must submit such notification prepared in accordance with Appended Form No. 8, attaching a copy thereof as well as the documents to be attached thereto under paragraph (2) of that Article, to the Director-General of a Local Finance Bureau with jurisdiction over the location of the head office, etc. (in the case of an individual, the domicile or residence) (or, if such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the Director-General thereof), in the case of a resident (meaning the resident set forth in the first sentence of Article 6, paragraph (1), item (v) of the Foreign Exchange and Foreign Trade Act (Act No. 228 of 1949); hereinafter the same applies in this Chapter); or, to the Director-General of the Kanto Finance Bureau, in the case of a non-resident (meaning a non-resident as set forth in Article 6, paragraph (1), item (vi) of that Act; hereinafter the same applies in this Chapter).
(対象議決権保有届出書の記載事項等)
(Matters to Be Specified in Notifications of Holding Subject Voting Rights)
第三十七条 法第三十二条第一項に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 37 (1) The matters to be specified by Cabinet Office Order as referred to in Article 32, paragraph (1) of the Act are as follows:
一 商号、名称又は氏名
(i) the trade name or name;
二 本店又は主たる事務所の所在地(個人にあっては、住所又は居所)
(ii) the location of the head office or principal office (in the case of an individual, the domicile or residence);
三 法人であるときは、代表者の氏名
(iii) in the case of a corporation, the name of its representative; and
四 保有する議決権の数
(iv) the number of voting rights held.
2 法第三十二条第一項の総株主等の議決権の数は、対象議決権(法第二十九条の四第二項に規定する対象議決権をいう。)を保有することとなった日の総株主等の議決権(法第二十九条の四第二項に規定する総株主等の議決権をいう。以下同じ。)の数とする。ただし、当該総株主等の議決権の数を知ることが困難な場合には、直近の有価証券報告書等(法第二十四条第一項に規定する有価証券報告書、法第二十四条の四の七第一項に規定する四半期報告書又は法第二十四条の五第一項に規定する半期報告書をいう。以下この項において同じ。)に記載された総株主等の議決権の数(有価証券報告書等が提出されていない場合にあっては、商業登記簿その他の書類の記載内容により計算された総株主等の議決権の数)とすることができる。
(2) The number of voting rights held by all the shareholders, etc. set forth in Article 32, paragraph (1) of the Act is the number of voting rights held by all the shareholders, etc. (meaning the voting rights held by all the shareholders, etc. as prescribed in Article 29-4, paragraph (2) of the Act; the same applies hereinafter) as of the day when the person comes to hold the subject voting rights (meaning the subject voting rights prescribed in Article 29-4, paragraph (2) of the Act); provided, however, that if it is difficult to identify the number of voting rights held by all the shareholders, etc., the number of voting rights held by all the shareholders, etc. stated in the latest annual securities report, etc. (meaning the annual securities report prescribed in Article 24, paragraph (1) of the Act, the quarterly securities report prescribed in Article 24-4-7, paragraph (1) of the Act or the semiannual securities report prescribed in Article 24-5, paragraph (1) of the Act; hereinafter the same applies in this paragraph) (if the annual securities reports, etc. have not been submitted, the number of the voting rights held by all the shareholders, etc. calculated based on the particulars contained in the commercial registry or any other document) may be stated.
(対象議決権保有届出書の添付書類)
(Documents to Be Attached to Notifications of Holding Subject Voting Rights)
第三十八条 法第三十二条第二項に規定する内閣府令で定める書類は、次に掲げる書類とする。
Article 38 The documents to be specified by Cabinet Office Order as referred to in Article 32, paragraph (2) of the Act are as follows:
一 個人であるときは、住民票の抄本(本籍の記載のあるものに限る。)又はこれに代わる書面
(i) in the case of an individual, an extract copy of the certificate of residence (limited to that containing information on the registered domicile), or any other document in lieu thereof;
二 旧氏及び名を、氏名に併せて法第三十二条第一項の対象議決権保有届出書に記載した場合において、前号に掲げる書類が当該旧氏及び名を証するものでないときは、当該旧氏及び名を証する書面
(ii) in cases where the former surname and given name are stated together with the current name in a notification of holding subject voting rights under Article 32, paragraph (1) of the Act and where the document specified in the preceding item is not a document certifying the former surname and given name, a document certifying the former surname and given name; and
三 法人であるときは、登記事項証明書又はこれに代わる書面
(iii) in the case of a corporation, its certificate of registered matters, or any other document in lieu thereof.
(特定主要株主となった旨の届出)
(Notification about Becoming a Specified Major Shareholder)
第三十八条の二 法第三十二条第三項の規定により届出を行う金融商品取引業者の特定主要株主(同条第四項に規定する特定主要株主をいう。以下この条及び第三十八条の五において同じ。)以外の主要株主は、別紙様式第八号の二により作成した特定主要株主となった旨の届出書に、当該届出書の写しを添付して、居住者にあってはその本店等の所在地(個人である場合にあっては、その住所又は居所)を管轄する財務局長(当該所在地が福岡財務支局の管轄区域内にある場合にあっては、福岡財務支局長)に、非居住者にあっては関東財務局長に提出しなければならない。
Article 38-2 A major shareholder other than a specified major shareholder of a financial instruments business operator that makes notification pursuant to the provisions of Article 32, paragraph (3) of the Act (meaning the specified major shareholder as defined in paragraph (4) of that Article; hereinafter the same applies in this Article and Article 38-5) must submit a notification about becoming a specified major shareholder, which is prepared pursuant to Appended Form No. 8-2, attached with a copy of the notification, to the Director-General of a Local Finance Bureau with jurisdiction over the location of such major shareholder's head office, etc. (in cases of an individual, the address or residence) in the case of a resident (if the location is in the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the Director-General thereof), or to the Director-General of the Kanto Finance Bureau in the case of a non-resident.
(親会社等となる者)
(Persons Falling Under the Category of Parent Company)
第三十八条の三 令第十五条の十六の二第二項に規定する内閣府令で定めるものは、次に掲げるもの(財務計算に関する書類の内容に影響を与えないものに係る場合におけるものを除く。)とする。
Article 38-3 The companies provided for by Cabinet Office Order defined in Article 15-16-2, paragraph (2) of the Order are the following persons (excluding those in cases related to companies that do not have an impact on the content of the documents related to financial accounting):
一 財務諸表等の用語、様式及び作成方法に関する規則(昭和三十八年大蔵省令第五十九号。以下「財務諸表等規則」という。)第八条第三項に規定する親会社
(i) a parent company defined in Article 8, paragraph (3) of the Regulation on Terminology, Forms, and Preparation Methods of Financial Statements (Order of the Ministry of Finance No. 59 of 1963; hereinafter referred to as the "Regulation on Financial Statements, etc."); and
二 指定国際会計基準(連結財務諸表の用語、様式及び作成方法に関する規則(昭和五十一年大蔵省令第二十八号)第九十三条に規定する指定国際会計基準をいう。以下同じ。)その他外国における公正妥当な企業会計の基準又は慣行において、財務計算に関する書類の作成上前号に掲げるものと同様に取り扱われているもの
(ii) a company that is treated the same as those listed in the preceding item when preparing documents related to financial accounting under the designated international accounting standards (meaning the designated international accounting standards defined in Article 93 of the Regulation on Terminology, Forms, and Preparation Methods of Financial Statements (Order of the Ministry of Finance No. 28 of 1976; the same applies hereinafter)) and other fair and appropriate standards or practices of corporate accounting standards in a foreign state.
(関連会社等となる者)
(Persons Classed as Affiliated Companies)
第三十八条の四 令第十五条の十六の二第三項に規定する内閣府令で定めるものは、次に掲げるもの(財務計算に関する書類の内容に影響を与えないものを除く。)とする。
Article 38-4 The affiliated companies, etc. provided for by Cabinet Office Order as defined in Article 15-16-2, paragraph (3) of the Order are the following companies (excluding companies that have no impact on the content of documents related to financial accounting):
一 財務諸表等規則第八条第五項に規定する関連会社
(i) affiliated companies defined in Article 8, paragraph (5) of the Regulation on Financial Statements, etc.; and
二 指定国際会計基準その他外国における公正妥当な企業会計の基準又は慣行において、財務計算に関する書類の作成上前号に掲げるものと同様に取り扱われているもの
(ii) a company that is treated the same as those listed in the preceding item when preparing documents related to financial accounting under the designated international accounting standards and other fair and appropriate standards or practices of corporate accounting standards in a foreign state.
(特定主要株主以外の主要株主となった旨の届出)
(Notification about Becoming a Major Shareholder Other Than a Specified Major Shareholder)
第三十八条の五 法第三十二条の三第二項の規定により届出を行う金融商品取引業者の特定主要株主は、別紙様式第八号の三により作成した特定主要株主以外の主要株主となった旨の届出書に、当該届出書の写しを添付して、居住者にあってはその本店等の所在地(個人である場合にあっては、その住所又は居所)を管轄する財務局長(当該所在地が福岡財務支局の管轄区域内にある場合にあっては、福岡財務支局長)に、非居住者にあっては関東財務局長に提出しなければならない。
Article 38-5 A specified major shareholder of a financial instruments business operator that makes notification pursuant to the provisions of Article 32-3, paragraph (2) of the Act must submit a notification about becoming a major shareholder other than a specified major shareholder, which is prepared pursuant to Appended Form No. 8-3, attached with a copy of the notification, to the Director-General of a Local Finance Bureau with jurisdiction over the location of such major shareholder's head office, etc. (in cases of an individual, the address or residence) in the case of a resident (if the location is in the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the Director-General thereof), or to the Director-General of the Kanto Finance Bureau in the case of a non-resident.
第三十九条 第三十六条から第三十八条までの規定は、法第三十二条の四において法第三十二条第一項及び第二項の規定を準用する場合について準用する。
Article 39 The provisions of Articles 36 through 38 apply mutatis mutandis to if the provisions of Article 32, paragraphs (1) and (2) of the Act are applied mutatis mutandis pursuant to Article 32-4 of the Act.
第四款 登録金融機関
Subsection 4 Registered Financial Institutions
(特定社債券に準ずる有価証券)
(Securities Equivalent to Specified Corporate Bond Certificates)
第四十条 令第十五条の十七第一項第二号に規定する内閣府令で定めるものは、次に掲げる要件のすべてに該当するものとする。
Article 40 The securities to be specified by Cabinet Office Order as referred to in Article 15-17, paragraph (1), item (ii) of the Order are those which satisfy all of the following requirements:
一 その有価証券の発行を目的として設立され、又は運営される法人に直接又は間接に所有者から譲渡される資産(次号において「譲渡資産」という。)が存在すること。
(i) that there exist assets to be transferred directly or indirectly from the owner to a corporation incorporated or managed for the purpose of the issuance of such securities (such assets are hereinafter referred to as the "transferred assets" in the following item); and
二 前号に規定する法人がその有価証券を発行し、当該有価証券(当該有価証券の借換えのために発行されるものを含む。)上の債務の履行について譲渡資産の管理、運用又は処分を行うことにより得られる金銭を充てること。
(ii) that the corporation set forth in the preceding item issues such securities, and appropriates the money generated from the management, investment or disposition of the transferred assets for the performance of the obligations arising from such securities (including the securities issued for purpose of the refinancing of such securities).
(短期社債等に準ずる有価証券)
(Securities Equivalent to Short-Term Bonds)
第四十一条 令第十五条の十七第三項に規定する内閣府令で定めるものは、次に掲げるものとする。
Article 41 The securities to be specified by Cabinet Office Order as referred to in Article 15-17, paragraph (3) of the Order are as follows:
一 振替外債(社債、株式等の振替に関する法律第百二十七条において準用する同法第六十六条(第一号を除く。)に規定する振替外債をいう。以下この号において同じ。)のうち、次に掲げる要件のすべてに該当するもの
(i) book-entry transfer foreign bonds (meaning a book-entry transfer foreign bond as prescribed in Article 66 (excluding item (i)) of the Act on Book-Entry Transfer of Corporate Bonds and Shares as applied mutatis mutandis pursuant to Article 127 of that Act; hereinafter the same applies in this item) which satisfy all of the following requirements:
イ 円建てで発行されるものであること。
(a) that the book-entry foreign bonds are yen-denominated;
ロ 各振替外債の金額が一億円を下回らないこと。
(b) that the amount of each book-entry transfer foreign bond is not less than 100 million yen;
ハ 元本の償還について、振替外債の総額の払込みのあった日から一年未満の日とする確定期限の定めがあり、かつ、分割払の定めがないこと。
(c) that there are provisions setting forth that the fixed due date for the redemption of principal is the day on which less than one year has elapsed from the day of paying-in of the total amount of the book-entry transfer foreign bonds, and that there are no provisions setting forth that the redemption of principal be made in installments; and
ニ 利息の支払期限を、ハの元本の償還期限と同じ日とする旨の定めがあること。
(d) that there are provisions setting forth that the due date for the interest payment is the same date as the due date for the redemption of principal as set forth in (c);
二 前条各号に掲げる要件のすべてに該当するもの(前号に掲げるものを除く。)
(ii) the securities which satisfy all of the requirements listed in the items of the preceding Article (limited to those specified in the preceding item).
(株券等に準ずる有価証券)
(Securities Equivalent to Share Certificates)
第四十二条 令第十五条の十八第一号に規定する内閣府令で定める有価証券は、社債券であって、株券(優先出資証券(協同組織金融機関の優先出資に関する法律に規定する優先出資証券をいう。以下同じ。)を含む。)、新株予約権証券又は新株予約権付社債券により償還することができる旨の特約が付されているもの(当該社債券の発行会社以外の会社が発行したこれらの有価証券により償還することができる旨の特約が付されているものに限る。)とする。
Article 42 The securities to be specified by Cabinet Office Order as referred to in Article 15-18, item (i) of the Order are the corporate bond certificate with special provisions setting forth that redemption by means of share certificates (including preferred equity securities (meaning the preferred equity securities prescribed in the Act on preferred equity investment by cooperative financial institutions; the same applies hereinafter)), share option certificates or corporate bond certificates with share options may be made (limited to the corporate bond certificates with special provisions setting forth that redemption may be made by means of the aforementioned securities issued by a company other than the issuer company of such corporate bond certificates).
(登録の申請)
(Application for Registration)
第四十三条 法第三十三条の二の登録を受けようとする者は、別紙様式第九号により作成した法第三十三条の三第一項の登録申請書に、当該登録申請書の写し及び同条第二項又は第三項の規定により当該登録申請書に添付すべき書類又は電磁的記録を添付して、その者の本店等の所在地を管轄する財務局長(当該所在地が福岡財務支局の管轄区域内にある場合にあっては、福岡財務支局長)に提出しなければならない。
Article 43 A person that intends to obtain the registration under Article 33-2 of the Act must submit to the Director-General of a Local Finance Bureau with jurisdiction over the location of that person's head office, etc. (if such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the Director-General thereof) a written application for registration set forth in Article 33-3, paragraph (1) of the Act prepared in accordance with Appended Form No. 9, attaching a copy thereof and the documents or electronic or magnetic record to be attached thereto pursuant to the provisions of paragraph (2) or (3) of that Article.
(登録申請書の記載事項)
(Matters to Be Stated in Written Application for Registration)
第四十四条 法第三十三条の三第一項第九号に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 44 The matters to be specified by Cabinet Office Order as referred to in Article 33-3, paragraph (1), item (ix) of the Act are as follows:
一 使用人のうち次のいずれかに該当する者があるときは、その者の氏名
(i) if any of the employees of the applicant for registration falls under any of the following, the name of such employee:
イ 登録金融機関業務に関し、法令等を遵守させるための指導に関する業務を統括する者及び部長、次長、課長その他いかなる名称を有する者であるかを問わず、当該業務を統括する者の権限を代行し得る地位にある者
(a) a person that supervises the affairs related to instructions for ensuring compliance with the laws and regulations in regard to the registered financial institution business; and a person that holds a position whereby the person may exercise the authority on behalf of the person that supervises such affairs, such as a general manager, vice-chief, section manager or any other person, irrespective of the job title;
ロ 投資助言業務又は投資運用業に関し、助言又は運用(その指図を含む。以下同じ。)を行う部門を統括する者及び金融商品の価値等の分析に基づく投資判断を行う者
(b) a person that supervises the section in charge of carrying out advise and investment (including the provision of an instruction thereon; the same applies hereinafter) and a person that makes an investment decision based on analysis of the value of financial instruments and other factors, in connection with the investment advisory business or investment management business;
二 法第三十七条の七第一項第五号イに定める業務に係る手続実施基本契約を締結する措置を講ずる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並びに加入する金融商品取引業協会及び対象事業者となる認定投資者保護団体の名称
(ii) the trade name or name of the designated dispute resolution organization with which a basic contract for implementation of dispute procedures is concluded for the purpose of taking the measures to conclude such contract for implementation of dispute procedures pertaining to the business specified in Article 37-7, paragraph (1), item (v), (a) of the Act and the name of the financial instruments firms association of which the applicant for registration is to become a member; and the name of the certified investor protection organization of which the applicant for registration is to become a target business operator;
三 会員等となる金融商品取引所の名称又は商号
(iii) the name or trade name of the financial instruments exchange of which the applicant for registration is to become a member, etc.;
四 法第三十三条の二第一号又は第二号に掲げる行為を業として行う場合には、次に掲げる事項
(iv) if the applicant for registration intends to conduct any of the acts specified in Article 33-2, item (i) or (ii) of the Act in the course of trade, the following matters:
イ その旨
(a) to that effect;
ロ 法第三十三条第二項第五号に掲げる取引について、同号に定める行為を業として行う場合には、その旨
(b) if the applicant for registration intends to conduct in the course of trade the act specified in Article 33, paragraph (2), item (v) of the Act with regard to the transaction specified in that item, to that effect;
四の二 電子取引基盤運営業務を行う場合には、その旨
(iv)-2 in cases of conducting electronic trading platform management services, to that effect;
五 商品関連業務を行う場合には、その旨
(v) in cases of conducting commodity-related businesses, to that effect;
六 金融商品仲介業務を行う場合には、委託金融商品取引業者(金融商品仲介業務の委託を受ける第一種金融商品取引業を行う金融商品取引業者をいう。第二百七十五条第一項第二十七号を除き、以下同じ。)の商号
(vi) if the applicant for registration intends to conduct any financial instruments intermediation operation, the trade name of the entrusting financial instruments business operator (meaning the financial instruments business operator engaged in type-I financial instruments business from which the applicant for registration accepts the entrustment of a financial instruments intermediation operation; the same applies hereinafter except in Article 275, paragraph (1), item (xxvii));
七 商品投資関連業務を行う場合には、次に掲げる事項
(vii) if the applicant for registration intends to conduct a business related to commodities investment, the following matters:
イ その旨
(a) to that effect;
ロ その行う商品投資関連業務が令第三十七条第一項第二号ロに掲げる物品又は農林水産関係商品等のみに係るものである場合には、その旨
(b) if the business related to commodities investment to be conducted by the applicant for registration only pertains to the goods specified in Article 37, paragraph (1), item (ii), (b) of the Order or the agriculture, forestry and fisheries goods, etc., to that effect;
ハ その行う商品投資関連業務が令第三十七条第一項第二号ハからホまでに掲げる物品又は経済産業関係商品等のみに係るものである場合には、その旨
(c) if the business related to commodities investment to be conducted by the applicant for registration only pertains to the goods specified in Article 37, paragraph (1), item (ii), (c) through (e) of the Order or the economy, trade and industry goods, etc., to that effect; and
ニ 競走用馬投資関連業務を行う場合には、その旨
(d) if the applicant for registration intends to conduct a business related to investment in racehorses, to that effect;
八 法第百九十四条の六第二項各号に掲げる行為を業として行う場合には、その旨
(viii) if the applicant for registration intends to conduct the acts listed in the items of Article 194-6, paragraph (2) of the Act in the course of trade, to that effect;
九 不動産信託受益権等売買等業務を行う場合には、その旨
(ix) if the applicant for registration intends to conduct a business of transaction, etc. of beneficial interest in real property trust, to that effect;
十 不動産関連特定投資運用業を行う場合には、その旨
(x) if the applicant for registration intends to conduct a specified investment management business related to real property, to that effect;
十一 電子記録移転有価証券表示権利等についての法第三十三条の二第一号、第二号若しくは第四号に掲げる行為若しくは法第二十九条の二第一項第八号に規定するデリバティブ取引についての法第三十三条の二第一号若しくは第二号に掲げる行為を業として行う場合又は電子記録移転有価証券表示権利等若しくは当該デリバティブ取引に係る投資運用業を行う場合にあっては、その旨
(xi) in cases where the registration applicant intends to conduct the acts set forth in Article 33-2, item (i), (ii) or (iv) of the Act with regard to Electronically Recorded Transferable Rights to Be Indicated on Securities, etc., or the acts set forth in Article 33-2, item (i) or (ii) of the Act with regard to the Derivative Transactions prescribed in Article 29-2, paragraph (1), item (viii) of the Act in the course of trade, or in cases where the registration applicant intends to conduct an Investment Management Business pertaining to Electronically Recorded Transferable Rights to Be Indicated on Securities, etc., or said Derivative Transactions, to that effect;
十二 法第二十九条の二第一項第九号に規定するデリバティブ取引についての法第三十三条の二第三号に掲げる行為を業として行う場合又は当該デリバティブ取引に係る投資運用業を行う場合にあっては、その旨
(xii) in cases where the registration applicant intends to conduct the acts set forth in Article 33-2, item (iii) of the Act with regard to the Derivative Transactions prescribed in Article 29-2, paragraph (1), item (ix) of the Act in the course of trade, or in cases where the registration applicant intends to conduct an Investment Management Business pertaining to said Derivative Transactions, to that effect; and
十三 本店等の名称及び所在地
(xiii) the names and locations of its head office, etc.
(業務の内容及び方法)
(Contents and Methods of Business)
第四十五条 法第三十三条の三第二項第二号に規定する内閣府令で定めるものは、次に掲げるものとする。
Article 45 The contents and methods of a business to be specified by Cabinet Office Order as referred to in Article 33-3, paragraph (2), item (ii) of the Act are as follows:
一 業務運営に関する基本原則
(i) the basic principles of business operation;
二 業務執行の方法
(ii) the method of execution of business;
三 業務分掌の方法
(iii) the method of allocation of business operation;
四 業として行う金融商品取引行為の種類
(iv) types of acts that constitute financial instruments transactions to be conducted in the course of trade;
五 苦情の解決のための体制(法第三十七条の七第一項第五号ロに定める業務に関する苦情処理措置及び紛争解決措置の内容を含む。)
(v) the system for handling complaints (including the contents of the complaint processing measures and dispute resolution measures concerning the business specified in Article 37-7, paragraph (1), item (v), (b) of the Act);
六 法第三十三条の二各号に掲げる行為を業として行う場合には、次に掲げる事項
(vi) if the applicant for registration intends to conduct any of the acts listed in the items of Article 33-2 of the Act in the course of trade, the following matters:
イ 取り扱う有価証券及び業として行うデリバティブ取引の種類(当該有価証券又はデリバティブ取引が電子記録移転有価証券表示権利等又は法第二十九条の二第一項第八号に規定するデリバティブ取引である場合にあってはその旨を含み、商品関連業務を行う場合にあっては取引の対象とする商品又は商品に係る金融指標を含む。)
(a) the types of the securities to be handled, and the type of the derivative transactions to be conducted in the course of trade(in cases where the securities in question are electronically recorded transferable rights to be indicated on securities, etc. or that the derivatives transactions in question are the derivatives transactions prescribed in Article 29-2, paragraph (1), item (viii) of the Act, including to that effect and in cases of conducting commodity-related business, including the commodities for transactions or indicators pertaining to the commodities);
ロ 法第二条第二項第一号又は第二号に掲げる権利を取り扱うときは、当該権利に係る信託財産の種類
(b) if the applicant for registration intends to handle the rights specified in Article 2, paragraph (2), item (i) or (ii) of the Act, the type of the trust property pertaining to such rights;
ハ 法第二条第二項第五号又は第六号に掲げる権利を取り扱うときは、当該権利に係る出資対象事業の概要
(c) if the applicant intends to handle the rights specified in Article 2, paragraph (2), item (v) or (vi) of the Act, the outline of the business subject to investment pertaining to such rights;
ニ 損失の危険の管理方法
(d) the means of risk management concerning loss;
ホ 法第三十三条第二項第一号に掲げる有価証券について有価証券の元引受けに係る業務を行う場合には、次に掲げる事項
(e) if the applicant for registration intends to conduct a business related to the wholesale underwriting of securities with regard to the securities specified in Article 33, paragraph (2), item (i) of the Act, the following matters:
(1) 当該業務を管理する責任者の氏名及び役職名
1. the name and title of the person responsible for management of the business;
(2) 当該業務を行う部署の名称及び組織の体制
2. the name and organizational structure of the section in charge of the business;
(3) 当該業務に係る損失の危険相当額の算定方法
3. the method of calculating the value of loss risk equivalent pertaining to the business;
(4) 当該業務に係る損失の危険相当額の限度枠の設定及び適用方法
4. the method of establishment and application of a ceiling on the value of loss risk equivalent pertaining to the business;
(5) 当該業務に係る損失の危険相当額の算定及び限度枠の管理を行う部署の名称及び体制
5. the name and structure of the section in charge of calculating the value of loss risk equivalent pertaining to the business and management of the ceiling thereof;
(6) 当該業務の執行並びに損失の危険相当額及びその限度枠の適用状況について、検査を行う頻度、部署の名称及び体制
6. the frequency of inspection of the execution of the business, the value of loss risk equivalent and the status of the application of the ceiling thereof, and the name and structure of the section in charge of such inspection; and
(7) その他当該業務に係る損失の危険の管理に関する重要な事項
7. any other important matter related to the risk management concerning loss pertaining to the business;
ヘ 法第三十三条第二項第五号に掲げる取引について同号に定める行為に係る業務を行う場合には、次に掲げる事項
(f) if the applicant for registration intends to conduct a business in relation to the act specified in Article 33, paragraph (2), item (v) of the Act in connection with the transaction specified in that item, the following matters:
(1) 当該業務を管理する責任者の氏名及び役職名
1. the name and job title of the person responsible for the management of the business;
(2) 当該業務を行う部署の名称及び組織の体制
2. the name and organizational structure of the section in charge of the business;
(3) 当該業務に係る顧客との取引開始基準
3. the conditions for starting transactions with the customers of the business;
(4) 当該業務に係る損失の危険相当額の算定方法及び算定の頻度(取引所金融商品市場における相場、金利、通貨の価格その他の指標の変動により発生し得る損失の危険、取引の相手方の契約不履行その他の理由により発生し得る損失の危険及びこれらの理由以外の理由により発生し得る損失の危険ごとに記載すること。)
4. the method and frequency of calculating the value of loss risk equivalent pertaining to the business (such information is itemized by the risk of loss which may accrue due to fluctuations in indicators such as quotations on the financial instruments exchange market, interest rates or value of currencies, the risk of loss which may accrue due to a default in the performance of contracts by counterparties to the transactions and on any other reason, and the risk or loss which may accrue due to reasons other than on the aforementioned reasons);
(5) 当該業務に係る損失の危険相当額の限度枠の設定及び適用方法並びに取引の種類及び顧客の属性別の当該限度枠の設定及び適用方法
5. the method of the establishment and application of a ceiling on the value of loss risk equivalent pertaining to the business; and the method of the establishment and application for such ceiling classified in accordance with the types of transactions and categories of the customers;
(6) 当該業務に係る損失の危険相当額の算定及び限度枠の管理を行う部署の名称及び体制
6. the name and structure of the section in charge of calculating the value of loss risk equivalent pertaining to the business and management of the ceiling thereof;
(7) 当該業務に係る損失の危険相当額及びその限度枠の適用状況について、代表権を有する取締役若しくは執行役又は理事(外国法人にあっては、国内における営業所若しくは事務所に駐在する取締役若しくは執行役若しくはこれらに準ずる者又は国内における代表者)に報告する頻度
7. the frequency of reporting the value of loss risk equivalent pertaining to the business and the status of the application of the ceiling thereof to directors or executive officers with the authority of representation or board members (in the case of a foreign corporation, its directors, executive officers or any other person holding a position equivalent thereto that is stationed at the business office or other office in Japan, or its representative person in Japan);
(8) 当該業務に係る損失の危険相当額の算定の基礎となる資料の作成及び保存の方法
8. the method of the preparation and preservation of material which would serves as the basis of the calculation of the value of loss risk equivalent pertaining to the business;
(9) 当該業務の執行並びに損失の危険相当額及びその限度枠の適用状況について、検査を行う頻度、部署の名称及び体制
9. the frequency of inspection of the execution of the business, the value of loss risk equivalent and the status of the application of the ceiling thereof, and the name and structure of the section in charge of such inspection; and
(10) その他当該業務に係る損失の危険の管理に関する重要な事項
10. any other important matter related to the risk management concerning loss pertaining to the business;
七 電子取引基盤運営業務を行う場合には、次に掲げる事項
(vii) if the applicant for registration intends to conduct an electronic trading platform management service, the following matters:
イ 電子取引基盤運営業務において行う特定店頭デリバティブ取引の種類及びその具体的内容
(a) the types and specific details of the specified over-the-counter derivatives transactions to be conducted in relation to the electronic trading platform management service;
ロ 電子取引基盤運営業務を管理する責任者の氏名及び役職名
(b) the name and job title of the person responsible for the management of the electronic trading platform management service;
ハ 電子取引基盤運営業務を行う部署及び法第四十条の七第二項の規定に基づく公表に係る業務を行う部署(電子取引基盤運営業務の一部又は同項の規定に基づく公表に係る業務の一部を他の者に委託する場合にあっては、その者を含む。)の名称及び組織の体制
(c) the name and organizational structure of the section in charge of the electronic trading platform management service and the section in charge of the business relating to the publication under Article 40-7, paragraph (2) of the Act (if a part of the electronic trading platform management service or a part of the business relating to the publication under that paragraph is to be entrusted to any other person, including such person);
ニ 電子取引基盤運営業務に係る顧客との取引開始基準及び顧客の管理方法
(d) the conditions for starting transactions with customers pertaining to the electronic trading platform management service, and the methods of management of the customers;
ホ 料金に関する事項
(e) matters relating to fees;
ヘ 売付け及び買付けの気配その他価格情報を顧客に公表する方法(電子情報処理組織の使用その他の電子的方法に限る。)
(f) the method of disclosing quotes for the sale or purchase and other pricing information to customers (limited to the method using an electronic data processing system or other electronic methods);
ト 取引価格の決定方法(特定店頭デリバティブ取引において当事者が想定元本として定めた金額が、第百二十五条の八第二項各号に掲げる特定店頭デリバティブ取引の効力が生じる日から当該効力が消滅する日までの期間の区分に応じ、当該各号に定める金額以下である場合には、次の(1)に掲げるもの又は次の(1)若しくは(2)に掲げるもののいずれかを顧客が選択することができるものに限る。)及び取引の成立の時期
(g) the method for deciding the transaction price (for a specified over-the-counter derivatives transactions, if the amount designated by the party as a notional principal does not exceed the amount specified in the items of Article 125-8, paragraph (2) according to the categories of periods from the day when the specified over-the-counter derivatives transaction takes effect to the day when such transaction ceases to be in effect as respectively specified in these items, limited to the method enabling customers to choose either the method specified in the following 1., or the method specified in the following 1. or 2., as well as the time when the transaction takes effect;
(1) ヘの規定により公表された自己又は顧客の売付け及び買付けの気配に基づく価格を用いる方法
1. the method using a price based on quotes for the sale or purchase of itself or customers publicized pursuant to the provisions of (f);
(2) 顧客の間の交渉(顧客の指定に基づき三以上の他の顧客に対して売付け又は買付けの気配の提示を求め、当該求めに応じ当該他の顧客が提示した売付け又は買付けの気配、ヘの規定により公表された売付け又は買付けの気配及び自己が売付け又は買付けの気配を提示する場合における当該気配を当該顧客に通知した上で行うものに限る。)に基づく価格を用いる方法
2. the method using a price determined based on a negotiation among customers (limited to a negotiation conducted after requesting three or more other customers designated by the customer to present quotes for the sale or purchase, and notifying the customer of the quotes for sale or purchase presented by the other customers in response to the request, the quotes for sale or purchase publicized pursuant to the provisions of (f) and the quotes if the applicant for registration presents the quotes for sale or purchase);
チ 法第四十条の七第二項の規定に基づく公表を行う方法
(h) the method of the public announcement under Article 40-7, paragraph (2) of the Act;
リ 電子取引基盤運営業務において使用する電子情報処理組織の概要、設置場所、容量及び保守の方法並びに当該電子情報処理組織に異常が発生した場合の対処方法
(i) the outline, location, volume and maintenance method of the electronic data processing system to be used for the electronic trading platform management service, and the method of handling if a malfunction of the electronic data processing system occurs;
ヌ 電子取引基盤運営業務に係る決済の方法(法第百五十六条の六十二第一号又は第二号に掲げる取引に基づく債務を金融商品取引清算機関(当該金融商品取引清算機関が連携金融商品債務引受業務を行う場合には、連携清算機関等を含む。)又は外国金融商品取引清算機関に適切かつ迅速に負担させるための方法を含む。)及び顧客の契約不履行が生じた場合の対処方法
(j) the method of settlement for the electronic trading platform management service (including the method of ensuring that the obligations arising from the transactions specified in Article 156-62, item (i) or (ii) of the Act are assumed by a financial instruments clearing organization (including a collaborating clearing organization, etc., if the financial instruments clearing organization conducts collaborative financial instruments obligation assumption service) or a foreign financial instruments clearing organization in an appropriate and swift manner), and the method of handling if a customer defaults on a contract;
ル 電子取引基盤運営業務に係る取引記録の作成及び保存の方法
(k) the method for the preparation and preservation of the transaction records for the electronic trading platform management service;
ヲ 電子取引基盤運営業務の執行状況について、検査を行う頻度、部署の名称及び体制
(l) the frequency of the inspection on the status of the execution of the electronic trading platform management service, and the name and structure of the section in charge of such inspection;
ワ 不公正な取引の防止の方法その他の取引の公正の確保に関する事項
(m) the method of the prevention of unfair transactions, and any other matters relating to the securing of fair transactions; and
カ その他電子取引基盤運営業務に係る損失の危険の管理に関する重要な事項
(n) other important matters in regard to methods of management of risks of loss relating to the electronic trading platform management service;
八 投資助言・代理業を行う場合には、第八条第八号イからニまでに掲げる事項
(viii) if the applicant for registration intends to conduct an investment advisory and agency business, the matters listed in Article 8, item (viii), (a) through (d);
九 投資運用業を行う場合には、第八条第九号イからホまでに掲げる事項
(ix) if the applicant for registration intends to conduct investment management business, the matters listed in Article 8, item (ix), (a) through (e);
十 有価証券等管理業務を行う場合には、法第四十三条の二から第四十三条の三までの規定による管理の方法
(x) if the applicant for registration intends to conduct a securities, etc. management business, the management methods under Article 43-2 through Article 43-3 of the Act;
十一 電子募集取扱業務を行う場合には、第八条第十号イ及びニに掲げる事項
(xi) in cases of conducting electronic public offering services, the matters specified in Article 8, item (x), (a) and (d);
十二 第七十条の四第一項各号に掲げる措置に関する次に掲げる事項
(xii) the following matters concerning the measures listed in the respective items of Article 70-4, paragraph (1):
イ 当該措置の実施の方法
(a) the method for carrying out such measures; and
ロ 当該措置の実施を所掌する組織及びその人員の配置
(b) the organization in charge of carrying out such measures and the positions of personnel therefor;
十三 第百二十三条第一項第十八号ホ及び第二十四号ニに規定する場合において情報を受領し、又は提供するときは、電子情報処理組織の保守及び管理に関する業務並びに第百五十三条第三項に規定する内部の管理及び運営に関する業務に関する次に掲げる事項
(xiii) if the applicant for registration intends to receive or supply information in the cases referred to in Article 123, paragraph (1), item (xviii), (e) and item (xxiv), (d), the following matters concerning affairs related to the maintenance and management of electronic data processing systems and concerning affairs related to internal management and operation prescribed in Article 153, paragraph (3):
イ 当該情報を受領し、又は提供する委託金融商品取引業者の商号又は名称
(a) the trade name or name of the entrusting financial instruments business operator that receives or supplies the information;
ロ 業務執行の方法
(b) the method for execution of the affairs; and
ハ 当該業務を所掌する組織及びその人員の配置
(c) the organization in charge of such affairs and the positions of the personnel therefor;
十四 第百五十四条第四号ト、リ及びヌに規定する場合において情報を提供するときは、当該情報を受領する親法人等又は子法人等の商号又は名称
(xiv) if the applicant for registration intends to supply information in the case referred to in Article 154, item (iv), (g), (i) and (j), the trade name or name of the parent corporation, etc. or subsidiary corporation, etc. that receives such information;
十五 登録金融機関業務として高速取引行為を行う場合には、第八条第十一号イからニまでに掲げる事項
(xv) if the applicant for registration intends to conduct high-speed trading as a registered financial institution business, the matters specified in Article 8, item (xi), (a) through (d). and
十六 法第二十九条の二第一項第九号に規定するデリバティブ取引についての法第三十三条の二第三号に掲げる行為を業として行う場合又は当該デリバティブ取引に係る投資運用業を行う場合には、第八条第十二号の暗号資産及び金融指標の名称
(xvi) in cases where the registration applicant intends to conduct the acts set forth in Article 33-2, item (iii) of the Act with regard to the Derivative Transactions prescribed in Article 29-2, paragraph (1), item (ix) of the Act in the course of trade, or in cases where the registration applicant intends to conduct an Investment Management Business pertaining to said Derivative Transactions, the name of the Cryptoassets and Financial Indicators set forth in Article 8, item (xii)
(登録申請書の添付書類)
(Documents to Be Attached to Written Application for Registration)
第四十六条 法第三十三条の三第二項第三号に規定する内閣府令で定めるものは、関係会社(親法人等、子法人等又は持株会社をいう。第五号において同じ。)の状況として次に掲げる事項とする。
Article 46 The conditions to be specified by Cabinet Office Order as referred to in Article 33-3, paragraph (2), item (iii) of the Act are the status of the associated company (meaning a parent corporation, etc., a subsidiary corporation, etc. or a holding company; the same applies in item (v)), as listed in the following items:
一 商号又は名称
(i) the trade name or name;
二 資本金の額、基金の総額又は出資の総額
(ii) the amount of stated capital, the total amount of funds or the total amount of investment;
三 本店又は主たる事務所の所在地
(iii) the location of the head office or principal office;
四 事業の種類
(iv) the type of business;
五 登録申請者と関係会社との間の資本関係、人的関係及び最近一年間の業務上の関係
(v) the capital relationship and personal relationship between the applicant for registration and the associated company, as well as their business relationship in the past year; and
六 親法人等、子法人等又は持株会社のいずれに該当するかの別
(vi) information as to whether the associated company falls under the category of parent corporation, etc., subsidiary corporation, etc. or the holding company.
第四十七条 法第三十三条の三第二項第四号に規定する内閣府令で定める書類は、次に掲げる書類とする。
Article 47 (1) The documents to be specified by Cabinet Office Order as referred to in Article 33-3, paragraph (2), item (iv) of the Act are as follows:
一 業務に係る人的構成及び組織等の業務執行体制を記載した書面
(i) documents stating the applicant for registration's system for conducting business, such as its structure of personnel and the organizational structure pertaining to the business;
二 登録金融機関業務を担当する役員及び重要な使用人(第四十四条第一号イ又はロのいずれかに該当する使用人をいう。第五十一条第一項第四号において同じ。)の履歴書(役員が法人であるときは、当該役員の沿革を記載した書面)
(ii) the resumes of the officers and major employees (meaning an employee that falls under any of Article 44, item (i), (a) or (b); the same applies in Article 51, paragraph (1), item (iv)) in charge of the registered financial institution business (if the officer is a corporation, the document containing the background of such officer);
三 金融商品取引業協会(登録申請者が行う業務を行う者を主要な協会員又は会員とするものに限る。)に加入しないときは、当該業務に関する社内規則
(iii) if the applicant for registration is not to become a member of a financial instruments firms association (limited to an association having principal association members or members that are persons conducting the business implemented by the applicant for registration), the internal rules concerning the business;
四 電子取引基盤運営業務を行う場合には、次に掲げる書類
(iv) if the applicant for registration intends to conduct an electronic trading platform management service, the following documents:
イ 電子取引基盤運営業務を管理する責任者の履歴書
(a) the resume of the person responsible for the management of the electronic trading platform management service;
ロ 電子取引基盤運営業務に関する社内規則
(b) the internal rules concerning the electronic trading platform management service;
ハ 電子取引基盤運営業務に関し顧客と取引を行う際に使用する契約書類及びその添付書類
(c) contracts to be used for the transactions with customers in relation to the electronic trading platform management service and their attachments; and
ニ 第四十五条第七号リに掲げるものに関する登録申請者と特別の利害関係のない者の評価書
(d) an appraisal report issued by a person having no special interest relationship with the applicant for registration in relation to the matters specified in Article 45, item (vii), (i);
五 競走用馬に係る商品投資関連業務を行う場合には、第四十九条第三号に掲げる基準に該当しないことを証する書面
(v) if the applicant for registration intends to conduct a business related to commodities investment pertaining to racehorses, a document evidencing that the applicant for registration does not fall under the criteria specified in Article 49, item (iii);
六 不動産信託受益権等売買等業務を行う場合には、第四十九条第四号に掲げる基準に該当しないことを証する書面
(vi) if the applicant for registration intends to conduct a business of transaction, etc. of beneficial interest in real property trust, a document evidencing that the applicant for registration does not fall under the criteria specified in Article 49, item (iv);
七 不動産関連特定投資運用業を行う場合における業務遂行能力に関する事項を記載した書面
(vii) a document stating the matters related to the applicant for registration's ability to carry out the business, if the applicant for registration intends to conduct a specified investment management business related to real property;
八 貸借対照表に関連する注記及び損益計算書に関連する注記
(viii) the notes in reference to the balance sheet and the notes in reference to the profit and loss statement;
九 法第三十三条第二項第一号に掲げる有価証券について有価証券の元引受けに係る業務を行う場合又は同項第五号に掲げる取引について同号に定める行為に係る業務を行う場合には、次に掲げる書類
(ix) if the applicant for registration intends to conduct a business pertaining to the wholesale underwriting of securities in regard to the securities specified in Article 33, paragraph (2), item (i) of the Act, or the business pertaining to the act specified in item (v) of that paragraph with regard to the transaction specified in that item, the following documents:
イ 当該業務を管理する責任者の履歴書
(a) the resume of the person responsible for the management of the business;
ロ 当該業務に関する社内規則
(b) the internal rules regarding the business;
ハ 当該業務に関し顧客と取引を行う際に使用する契約書類
(c) the contracts to be used in transactions with customers in connection with the business; and
十 金融商品仲介業務を行う場合には、委託金融商品取引業者との間の金融商品仲介業務の委託契約に係る契約書の写し
(x) if the applicant for registration intends to conduct a financial instruments intermediation operation, a copy of the contract for the entrustment of a financial instruments intermediation operation concluded with the entrusting financial instruments business operator;
十一 登録金融機関業務として高速取引行為を行う場合には、高速取引行為に係る業務を管理する責任者の履歴書
(xi) in the case of conducting a high-speed trading as a registered financial institution business, the resume of the person responsible for the management of business relating to the high-speed trading.
2 前項第七号に掲げる書類を添付する場合において、貸借対照表に関連する注記又は損益計算書に関連する注記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(第十一条に定めるものに限る。)を添付することができる。
(2) If the applicant for registration intends to attach the document specified in item (vii) of the preceding paragraph, if the notes in reference to the balance sheet or the notes in reference to the profit and loss statement have been prepared by means of an electronic or magnetic record, such applicant for registration may attach the electronic or magnetic record (limited to the record specified in Article 11) in lieu of documents; and
十二 第四十五条第十六号に規定する場合には、第八条第十二号の暗号資産及び金融指標の概要を説明した書類
(xii) in the case referred to in Article 45, item (xvi), a document explaining the outline of the Cryptoassets and Financial Indicators set forth in Article 8, item (xii).
2 前項第七号に掲げる書類を添付する場合において、貸借対照表に関連する注記又は損益計算書に関連する注記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(第十一条に定めるものに限る。)を添付することができる。
(2) In cases where the registration applicant intends to attach the document specified in item (vii) of the preceding paragraph, if the notes in reference to the balance sheet or the notes in reference to the profit and loss statement have been prepared by means of an Electromagnetic Record, such registration applicant may attach the Electromagnetic Record (limited to the record specified in Article 11) in lieu of documents.
(金融機関登録簿の縦覧)
(Public Inspection of Registry of Registered Financial Institutions)
第四十八条 管轄財務局長等は、その登録をした登録金融機関に係る金融機関登録簿を当該登録金融機関の本店等の所在地を管轄する財務局(当該所在地が福岡財務支局の管轄区域内にある場合にあっては、福岡財務支局)に備え置き、公衆の縦覧に供するものとする。
Article 48 The competent Director-General of a Local Finance Bureau, etc. is to keep the registry of registered financial institutions containing information on the registered financial institutions to which such person has granted registrations, at the local finance bureau with jurisdiction over the location of the relevant registered financial institution's head office, etc. (if such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, at the Fukuoka Local Finance Branch Bureau), and make it available for public inspection.
(人的構成の審査基準)
(Criteria for Examination of Structure of Personnel)
第四十九条 法第三十三条の五第一項第三号に規定する登録金融機関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かどうかの審査をするときは、登録申請者が次に掲げるいずれかの基準に該当するかどうかを審査するものとする。
Article 49 When conducting an examination under Article 33-5, paragraph (1), item (iii) of the Act as to whether the applicant for registration lacks a structure of personnel sufficient to conduct a registered financial institution business in the appropriate manner, it is to be examined whether the applicant for registration falls under any of the following criteria:
一 その行う業務に関する十分な知識及び経験を有する役員又は使用人の確保の状況並びに組織体制に照らし、当該業務を適正に遂行することができないと認められること。
(i) that the applicant for registration is found not to be able to conduct the business in a proper manner, considering status of securing officers or employees having sufficient knowledge and experience for conducting the business as well as its organizational structure;
二 役員又は使用人のうちに、経歴、暴力団員による不当な行為の防止等に関する法律第二条第二号に規定する暴力団又は同条第六号に規定する暴力団員との関係その他の事情に照らして業務の運営に不適切な資質を有する者があることにより、登録金融機関業務の信用を失墜させるおそれがあると認められること。
(ii) that the applicant for registration is found to be likely to cause a loss of confidence in a registered financial institution business, on the grounds of having any officer or employee with qualities unfit for the operation of the business in light of such officer's or employee's career, relationship with the organized crime group set forth in Article 2, item (ii) of the Act on Prevention of Illegal Acts by Organized Crime Group Members or relationship with the organized crime group members set forth item (vi) of that Article or any other circumstances;
三 競走用馬に係る商品投資関連業務を行う場合には、次に掲げる要件に該当しないこと。
(iii) that, if the applicant for registration intends to conduct a business related to commodities investment for racehorses, such applicant for registration does not fall under any of the following requirements:
イ あらかじめ日本中央競馬会又は地方競馬全国協会による指導を受けていること。
(a) that the applicant for registration has been given guidance in advance by the Japan Racing Association or the National Association of Racing;
ロ その行う商品投資関連業務が第七条第四号ニ(1)に掲げる権利に係る競走用馬投資関連業務又は同号ニ(2)に掲げる権利に係る競走用馬投資関連業務のいずれかのみに該当すること。
(b) that the business related to commodities investment to be conducted by the applicant for registration only falls under either of the business related to investment in racehorses pertaining to the rights specified in Article 7, item (iv), (d), 1. or the business related to investment in racehorses pertaining to the rights specified in Article 7, item (iv), (d), 2.;
ハ 第七条第四号ニ(2)に掲げる権利に係る競走用馬投資関連業務を行う場合には、競馬法第十三条第一項(同法第二十二条において準用する場合を含む。)の登録を受けていること。
(c) that, if the applicant for registration intends to conduct a business related to investment in racehorses pertaining to the rights specified in Article 7, item (iv), (d), 2., such applicant for registration has obtained a registration under Article 13, paragraph (1) of the Horse Racing Act (including as applied mutatis mutandis pursuant to Article 22 of that Act);
四 不動産信託受益権等売買等業務を行う場合には、次に掲げる要件に該当しないこと。
(iv) that, if the applicant for registration intends to conduct a business of transaction, etc. of beneficial interest in real property trust, such applicant for registration does not fall under the following requirements:
イ 宅地又は建物の取引に関する専門的知識及び経験を有する役員又は使用人を次に掲げる部門にそれぞれ配置していること。
(a) that the applicant for registration has assigned its officers or employees having expert knowledge of and experience in the transaction related to building lots or buildings to each of the following sections:
(1) 不動産信託受益権等売買等業務の統括に係る部門
1. the section in charge of supervising the business of transaction, etc. of beneficial interest in real property trust;
(2) 内部監査に係る部門
2. the section in charge of the internal audit; and
(3) 法令等を遵守させるための指導に関する業務に係る部門
3. the section in charge of affairs related to instructions for ensuring compliance with the laws and regulations, etc.;
ロ 不動産信託受益権等売買等業務を行う役員又は使用人が、第八十五条第一項各号に掲げる事項について、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当該顧客に理解されるために必要な方法及び程度による説明をするために必要な宅地又は建物の取引に関する専門的知識及び経験を有していること。
(b) that the officers or the employees that are to conduct the business of transaction, etc. of beneficial interest in real property trust have sufficient expert knowledge of and experience in transactions of building lots or buildings which enable them to provide explanations so that a customer is able to understand the matters specified in the items of Article 85, paragraph (1), in a manner and to the extent as may be required in light of the customer's knowledge, experience and conditions of property and in light of the purpose of the conclusion of a financial instruments transaction contract.
五 不動産関連特定投資運用業を行う場合には、金融庁長官の定める要件に該当しないこと。
(v) that, if the applicant for registration intends to conduct a specified investment management business related to real property, such applicant for registration does not fall under the requirements specified by the Commissioner of the Financial Services Agency.
(有価証券に係る店頭デリバティブ取引についての登録の条件)
(Conditions for Registration of Over-the-Counter Transactions of Derivatives Pertaining to Securities)
第五十条 法第三十三条の五第二項に規定する内閣府令で定める条件は、次に掲げる条件とする。
Article 50 The conditions to be specified by Cabinet Office Order as referred to in Article 33-5, paragraph (2) of the Act are as follows:
一 登録金融機関である銀行、保険会社(保険業法(平成七年法律第百五号)第二条第二項に規定する保険会社をいい、同条第七項に規定する外国保険会社等を含む。以下同じ。)、信用金庫連合会、農林中央金庫又は株式会社商工組合中央金庫にあっては、業として株券関連店頭デリバティブ取引(株券の価格又は株価指数(株券の価格に基づき算出される指数をいう。第四号において同じ。)の変動によりその時価が変動する法第三十三条第二項第五号に掲げる取引をいう。以下この条において同じ。)を行う場合には、当該株券関連店頭デリバティブ取引を特定取引勘定(銀行法施行規則(昭和五十七年大蔵省令第十号)第十三条の六の三第一項、長期信用銀行法施行規則(昭和五十七年大蔵省令第十三号)第十二条の四の三第一項、保険業法施行規則(平成八年大蔵省令第五号)第五十三条の六の二第一項、信用金庫法施行規則(昭和五十七年大蔵省令第十五号)第百七条第一項、農林中央金庫法施行規則(平成十三年内閣府・農林水産省令第十六号)第六十五条第一項又は経済産業省・財務省・内閣府関係株式会社商工組合中央金庫法施行規則(平成二十年内閣府・財務省・経済産業省令第一号)第十八条第一項に規定する特定取引勘定(銀行法(昭和五十六年法律第五十九号)第四十七条第二項に規定する外国銀行支店又は保険業法第二条第七項に規定する外国保険会社等にあっては、特定取引勘定に類する勘定)をいう。以下この条において同じ。)において経理すること。
(i) that, if any bank, insurance company (meaning an insurance company as prescribed in Article 2, paragraph (2) of the Insurance Business Act (Act No. 105 of 1995) and including a foreign insurance company, etc. as prescribed in paragraph (7) of that Article; the same applies hereinafter), federation of Shinkin banks, the Norinchukin Bank or the Shoko Chukin Bank Limited, which falls under the category of registered financial institution, conducts over-the-counter transactions of derivatives related to share certificates (meaning the transaction specified in Article 33, paragraph (2), item (v) of the Act wherein the market value fluctuates depending on the fluctuation of price of share certificates or stock price index (meaning the index calculated based on the price of share certificates; the same applies in item (iv)); hereinafter the same applies in this Article) in the course of trade, the accounting for such over-the-counter transactions of derivatives related to share certificates is managed in a specified transaction account (meaning the specified transaction account prescribed in Article 13-6-3, paragraph (1) of the Regulation for Enforcement of Banking Act (Order of the Ministry of Finance No. 10 of 1982), Article 12-4-3, paragraph (1) of the Regulation for Enforcement of Long Term Credit Bank Act (Order of the Ministry of Finance No. 13 of 1982), Article 53-6-2, paragraph (1) of the Regulation for Enforcement of Insurance Business Act (Order of the Ministry of Finance No. 5 of 1996), Article 107, paragraph (1) of the Regulation for Enforcement of the Shinkin Bank Act (Order of the Ministry of Finance No. 15 of 1982), Article 65, paragraph (1) of the Regulation for Enforcement of the Norinchukin Bank Act (Order of the Cabinet Office and the Ministry of Agriculture, Forestry and Fisheries No. 16 of 2001) or Article 18, paragraph (1) of the Regulation for Enforcement of The Shoko Chukin Bank Limited Act Relevant to the Ministry of Economy, Trade and Industry, the Ministry of Finance and the Cabinet Office (Order of the Cabinet Office, the Ministry of Finance and the Ministry of Economy, Trade and Industry No. 1 of 2008) (in case of a branch office of a foreign bank prescribed in Article 47, paragraph (2) of the Banking Act (Act No. 59 of 1981) or a foreign insurance company, etc. prescribed in Article 2, paragraph (7) of the Insurance Business Act, an account similar to a specified transaction account); hereinafter the same applies in this Article);
二 前号に規定する登録金融機関以外の登録金融機関にあっては、業として株券関連店頭デリバティブ取引を行う場合には、当該株券関連店頭デリバティブ取引を特定取引勘定に準ずる勘定において経理すること。
(ii) that, if any registered financial institution other than that specified in the preceding item intends to conduct over-the-counter transactions of derivatives related to share certificates in the course of trade, the accounting for such over-the-counter transactions of derivatives related to share certificates is managed in an account equivalent to the specified transaction account;
三 前二号の規定にかかわらず、業として株券関連店頭デリバティブ取引を行う登録金融機関は、次に掲げる条件のすべてに該当する株券関連店頭デリバティブ取引のみを特定取引勘定(前号に規定する登録金融機関にあっては、特定取引勘定に準ずる勘定)以外の勘定において経理することができること。
(iii) that, notwithstanding the provisions of the preceding two items, a registered financial institution which conducts over-the-counter transactions of derivatives related to share certificates in the course of trade may manage only the over-the-counter transactions of derivatives related to share certificates which satisfy all of the following requirements in an account other than the specified transaction account (in the case of a registered financial institution as set forth in the preceding item, an account other than an account equivalent to the specified transaction account):
イ 当該株券関連店頭デリバティブ取引の相手方が、法第二十八条第八項第四号に掲げる取引若しくはその媒介、取次ぎ(有価証券等清算取次ぎを除く。)若しくは代理を業として行う金融商品取引業者又は法第三十三条第二項第五号に掲げる取引について同号に定める行為を業として行う登録金融機関であること。
(a) that the counterparty to the over-the-counter transactions of derivatives related to share certificates is a financial instruments business operator conducting the transaction specified in Article 28, paragraph (8), item (iv) of the Act, or an intermediary, brokerage (excluding brokerage for clearing of securities, etc.) or agency service therefor in the course of trade, or is a registered financial institution conducting the act specified in Article 33, paragraph (2), item (v) of the Act in regard to the transaction set forth in that item in the course of trade; and
ロ 当該株券関連店頭デリバティブ取引の相手方が、当該株券関連店頭デリバティブ取引を特定取引勘定(金融商品取引業者にあっては特定取引勘定と同種類の勘定、前号に規定する登録金融機関にあっては特定取引勘定に準ずる勘定)において経理すること。
(b) that the counterparty to the over-the-counter transactions of derivatives related to share certificates manages the accounting for such over-the-counter transactions of derivatives related to share certificates in the specified transaction account (in the case of a financial instruments business operator, in the same type of account as the specified transaction account; or in the case of a registered financial institution set forth in the preceding item, in an account equivalent to the specified transaction account);
四 登録金融機関は、業として株券関連店頭デリバティブ取引を行った場合には、当該株券関連店頭デリバティブ取引に係る株券の価格又は株価指数の変動により生じ得る損失を有効に減少させるための取引(特定取引勘定(第二号に規定する登録金融機関にあっては、特定取引勘定に準ずる勘定。以下この号において同じ。)において経理するものに限る。)を直ちに行うことにより、当該株券関連店頭デリバティブ取引に係る株券の価格又は株価指数の変動により生じ得る特定取引勘定における損失の額を可能な限り抑制するものとすること。
(iv) that, if a registered financial institution conducts any over-the-counter transactions of derivatives related to share certificates in the course of trade, it is to, to the maximum extent possible, mitigate the amount of loss in the specified transaction account which may accrue from a fluctuation in the price of share certificates or stock price index pertaining to such over-the-counter transactions of derivatives related to share certificates by immediately effecting a transaction (limited to a transaction managed in the specified transaction account (in case of a registered financial institution prescribed in item (ii), in an account equivalent to the specified transaction account; hereinafter the same applies in this item)) which would effectively reduce the loss arising from a fluctuation in the price of share certificates or stock price index pertaining to such over-the-counter transactions of derivatives related to share certificates.
(登録申請書記載事項の変更の届出)
(Notification of Changes to Matters Stated in a Written Application for Registration)
第五十一条 法第三十三条の六第一項の規定により届出を行う登録金融機関は、変更の内容、変更年月日及び変更の理由を記載した届出書に、別紙様式第九号により作成した変更後の内容を記載した書面及び当該書面の写し並びに次の各号に掲げる場合の区分に応じ当該各号に定める書類を添付して、所管金融庁長官等に提出しなければならない。ただし、やむを得ない事由があるときは、当該各号に定める書類は、当該届出書の提出後遅滞なく提出すれば足りる。
Article 51 (1) A registered financial institution which intends to file the notification under Article 33-6, paragraph (1) of the Act must submit to the Commissioner of the Financial Services Agency or other competent official a written notification stating the particulars and date of and reasons for the change, attaching a document stating the particulars after such change prepared in accordance with Appended Form No. 9, a copy thereof and a document specified in the following items in accordance the categories of documents respectively set forth therein; provided, however, the documents specified in each of the following items may be submitted without delay after submission of the written notification, if any unavoidable ground exists:
一 法第三十三条の三第一項第一号若しくは第二号に掲げる事項又は第四十四条第十三号に掲げる事項について変更があった場合 当該変更に係る事項を記載した登記事項証明書又はこれに代わる書面
(i) if there has been any change to the matters specified in Article 33-3, paragraph (1), item (i) or (ii) of the Act, or the matters specified in Article 44, item (xiii): the certificate of the registered matters containing the particulars so changed, or any other document in lieu thereof;
二 法第三十三条の三第一項第三号又は第四号に掲げる事項について変更があった場合 次に掲げる書類
(ii) if there has been any change to the matters specified in Article 33-3, paragraph (1), item (iii) or (iv) of the Act: the following documents:
イ 業務に係る人的構成及び組織等の業務執行体制を記載した書面
(a) the documents stating the registered financial institution's system for conducting business, such as its structure of personnel and the organizational structure pertaining to the business;
ロ 当該変更に係る事項を記載した登記事項証明書又はこれに代わる書面
(b) the certificate of the registered matters containing the particulars so changed, or any other document in lieu thereof; and
ハ 新たに役員(登録金融機関業務を担当する者及び会計参与に限る。)となった者の履歴書(役員が法人であるときは、当該役員の沿革を記載した書面)
(c) the resume of the person that has newly assumed the position of officer (limited to an officer in charge of registered financial institution business and an accounting advisor) (if the officer is a corporation, the document containing the background of the officer);
三 法第三十三条の三第一項第七号に掲げる事項について変更があった場合(営業所又は事務所の廃止をした場合に限る。) 当該変更に伴う顧客勘定の処理の内容を記載した書面
(iii) if there has been any change to the matters specified in Article 33-3, paragraph (1), item (vii) of the Act (but only if the business office or any other office was abolished): a document containing the details of the treatment of a customer's account incidental to such change;
四 第四十四条第一号に掲げる事項について変更があった場合 新たに重要な使用人となった者の履歴書
(iv) if there is a change to the matters specified in Article 44, item (i): the resume of the person that newly assumes the position of a major employee;
五 第四十四条第四号から第十二号までに掲げる事項について変更があった場合(新たにこれらの号に掲げる業務を行うこととなった場合に限る。) 金融商品取引業協会(当該登録金融機関が新たに行うこととなった業務を行う者を主要な協会員又は会員とするものに限る。)に加入していないときは、当該業務に関する社内規則
(v) in the case of any change in the matters specified in Article 44, items (iv) through (xii) (but only if the registered financial institution newly conducts the businesses specified in these items): internal rules relating to the businesses, if the applicant for registration is not a member of any financial instruments firms association (limited to an association having principal association members or members that are persons conducting the business implemented by the applicant for registration);
六 第四十四条第四号の二に掲げる事項について変更があった場合(電子取引基盤運営業務を行うこととなった場合に限る。) 次に掲げる書類
(vi) in the case of any change in the matters specified in Article 44, item (iv)-2 (but only if the registered financial institution is to conduct an electronic trading platform management service), the following documents:
イ 電子取引基盤運営業務を管理する責任者の履歴書
(a) the resume of the person responsible for the management of the electronic trading platform management service;
ロ 電子取引基盤運営業務に関する社内規則
(b) the internal rules concerning the electronic trading platform management service;
ハ 電子取引基盤運営業務に関し顧客と取引を行う際に使用する契約書類及びその添付書類
(c) contracts to be used for the transactions with customers in relation to the electronic trading platform management service and their attachments; and
ニ 第四十五条第七号リに掲げるものに関する届出者と特別の利害関係のない者の評価書
(d) an appraisal report issued by a person having no special interest relationship with the notifying person in relation to the matters specified in Article 45, item (vii), (i);
七 第四十四条第六号に掲げる事項について変更があった場合(新たに金融商品仲介業務の委託を受けることとなった場合に限る。) 委託金融商品取引業者との間の金融商品仲介業務の委託契約に係る契約書の写し
(vii) if there is a change to the matters specified in Article 44, item (vi) (but only if the registered financial institution has come to newly accept the entrustment of a financial instruments intermediation operation): a copy of the contract for the entrustment of a financial instruments intermediation operation concluded with the entrusting financial instruments business operator;
八 第四十四条第七号ニに掲げる事項について変更があった場合(競走用馬投資関連業務を行うこととなった場合に限る。) 第四十九条第三号に掲げる基準に該当しないことを証する書面
(viii) if there is a change to the matters specified in Article 44, item (vii), (d) (but only if the registered financial institution has come to conduct a business related to investment in racehorses): a document evidencing that the registered financial institution does not fall under the criteria specified in Article 49, item (iii);
九 第四十四条第九号に掲げる事項について変更があった場合(不動産信託受益権等売買等業務を行うこととなった場合に限る。) 第四十九条第四号に掲げる基準に該当しないことを証する書面
(ix) if there is a change to the matters specified in Article 44, item (ix) (but only if the registered financial institution has come to conduct a business of transaction, etc. of beneficial interest in real property trust): a document evidencing that the registered financial institution does not fall under the criteria specified in Article 49, item (iv); and
十 第四十四条第十号に掲げる事項について変更があった場合(不動産関連特定投資運用業を行うこととなった場合に限る。) 不動産関連特定投資運用業を行う場合における業務遂行能力に関する事項を記載した書面
(x) if there is a change to the matters specified in Article 44, item (x) (but only if the registered financial institution has come to conduct a specified investment management business related to real property): a document containing matters related to its ability to execute the business when a specified investment management business related to real property is to be conducted.
2 所管金融庁長官等は、登録金融機関から管轄財務局長等の管轄する区域を超えて本店等の所在地を変更したことの届出を受理した場合には、届出書及び金融機関登録簿のうち当該登録金融機関に係る部分その他の書類を、当該届出に係る変更後の本店等の所在地を管轄する財務局長(当該所在地が福岡財務支局の管轄区域内にある場合にあっては、福岡財務支局長)に送付し、又は送付させるものとする。
(2) If the Commissioner of the Financial Services Agency or other competent official has received from any registered financial institution a notification on the relocation of the head office, etc. filed beyond the jurisdictional district of the competent finance bureau commissioner, etc., the commissioner or official is to send or instruct to send the written notification, the portion of the registry of registered financial institutions pertaining to the relevant registered financial institution and any other documents to the Director-General of a Local Finance Bureau with jurisdiction over the relocated address of the head office, etc. notified thereunder (if such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the Director-General thereof).
3 前項の規定による書類の送付を受けた財務局長又は福岡財務支局長は、当該登録金融機関に係る事項を金融機関登録簿に登録するものとする。
(3) The Director-General of a Local Finance Bureau or the Director-General of the Fukuoka Local Finance Branch Bureau who has received the documents sent pursuant to the provisions of the preceding paragraph is to register the matters related to the registered financial institution in the registry of registered financial institutions.
(業務の内容又は方法の変更の届出)
(Notification on Change of Content and Method of Business)
第五十二条 法第三十三条の六第三項の規定により届出を行う登録金融機関は、変更の内容、変更予定年月日又は変更年月日及び変更の理由を記載した届出書に、第四十五条各号に掲げるもの(内容に変更のあるものに限る。)を記載した書類、第四十七条第一項第十一号及び第十二号に掲げる書類(内容に変更のあるものに限る。)並びに前条第一項第六号に定める書類(内容に変更のあるものに限る。)を添付して、所管金融庁長官等に提出しなければならない。
Article 52 A registered financial institution which intends to file the notification under Article 33-6, paragraph (3) of the Act must submit to the Commissioner of the Financial Services Agency or other competent official a written notification stating the particulars and the scheduled or actual date of and reasons for the change, attaching a document stating the matters specified in the items of Article 45 (limited to those matters whose details have been changed), the document specified in Article 47, paragraph (1), items (xi) and (xii)(limited to those with changes in contents) and the documents specified in Article 51, paragraph (1), item (vi) (limited to those with changes in contents).
第五款 特定投資家
Subsection 5 Professional Investors
(契約の種類)
(Contract Type)
第五十三条 法第三十四条に規定する内閣府令で定めるものは、次に掲げるものとする。
Article 53 The kind of contract to be specified by Cabinet Office Order as referred to in Article 34 of the Act is as follows:
一 有価証券についての法第二条第八項第一号から第十号までに掲げる行為、当該行為に関して行う同項第十六号若しくは令第一条の十二第二号に掲げる行為又は同項第十七号に掲げる行為を行うことを内容とする契約
(i) a contract for conducting acts listed in Article 2, paragraph (8), items (i) through (x) of the Act, acts specified in item (xvi) of that paragraph or in Article 1-12, item (ii) of the Cabinet Order to be conducted with regard to any of those acts, or acts specified in item (xvii) of that paragraph, in relation to the securities;
二 デリバティブ取引についての法第二条第八項第一号から第五号までに掲げる行為、当該行為に関して行う同項第十六号若しくは令第一条の十二第二号に掲げる行為又は同項第十七号に掲げる行為を行うことを内容とする契約
(ii) a contract for conducting acts listed in Article 2, paragraph (8), items (i) through (v) of the Act, acts specified in item (xvi) of that paragraph or in Article 1-12, item (ii) of the Cabinet Order to be conducted with regard to any of those acts, or acts specified in item (xvii) of that paragraph, in relation to derivative transactions;
三 投資顧問契約及び法第二条第八項第十三号に掲げる行為(投資顧問契約に係るものに限る。)を行うことを内容とする契約
(iii) an investment advisory contract, and a contract for conducting the act specified in Article 2, paragraph (8), item (xiii) of the Act (limited to the act pertaining to an investment advisory contract); and
四 投資一任契約及び法第二条第八項第十三号に掲げる行為(投資一任契約に係るものに限る。)を行うことを内容とする契約
(iv) a discretionary investment contract, and a contract for conducting the act specified in Article 2, paragraph (8), item (xiii) of the Act (limited to the act pertaining to a discretionary investment contract).
第五十四条 削除
Article 54 deleted
(申出をした特定投資家に交付する書面の記載事項)
(Matters to Be Stated in Document to Be Delivered to Professional Investor That Made Request)
第五十五条 法第三十四条の二第三項第四号に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 55 The matters to be specified by Cabinet Office Order as referred to in Article 34-2, paragraph (3), item (iv) of the Act are as follows:
一 申出者(法第三十四条の二第三項に規定する申出者をいう。次号において同じ。)は、同条第二項の規定による承諾を行った金融商品取引業者等のみから対象契約(同項に規定する対象契約をいう。同号及び第五十七条の二において同じ。)に関して特定投資家以外の顧客として取り扱われることになる旨
(i) that the applicant (meaning an applicant prescribed in Article 34-2, paragraph (3) of the Act; the same applies in the following item) will be treated as a customer other than a professional investor with regard to the subject contract (meaning a subject contract prescribed in that paragraph; the same applies in that item and Article 57-2), only by the financial instruments business operator, etc. which has accepted the request pursuant to the provisions of paragraph (2) of that Article; and
二 金融商品取引業者等が対象契約に基づき申出者を代理して他の金融商品取引業者等との間で承諾日(法第三十四条の二第三項第一号に規定する承諾日をいう。)以後に締結する金融商品取引契約については、当該他の金融商品取引業者等からも特定投資家以外の顧客として取り扱われる旨
(ii) that, with regard to any financial instruments transaction contract which the financial instruments business operator, etc., on behalf of the applicant, concludes with another financial instruments business operator, etc. on or after the date of acceptance (meaning the date of acceptance prescribed in Article 34-2, paragraph (3), item (i) of the Act) pursuant to the subject contract, such applicant is also treated as a customer other than a professional investor by such other financial instruments business operator, etc.
(情報通信の技術を利用した提供)
(Provision by Use of Information and Communications Technology)
第五十六条 法第三十四条の二第四項(法第三十四条の三第十二項(法第三十四条の四第六項において準用する場合を含む。)、第三十四条の四第三項、第三十七条の三第二項、第三十七条の四第二項、第三十七条の五第二項、第四十条の二第六項、第四十条の五第三項及び第四十二条の七第二項において準用する場合を含む。以下この条において同じ。)に規定する内閣府令で定めるものは、次に掲げるもの(以下「電磁的方法」という。)とする。
Article 56 (1) The means specified by Cabinet Office Order as referred to in Article 34-2, paragraph (4) of the Act (including as applied mutatis mutandis pursuant to Article 34-3, paragraph (12) (including as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act), Article 34-4, paragraph (3), Article 37-3, paragraph (2), Article 37-4, paragraph (2), Article 37-5, paragraph (2), Article 40-2, paragraph (6), Article 40-5, paragraph (3) and Article 42-7, paragraph (2) of the Act; hereinafter the same applies in this Article) are the following means (hereinafter referred to as the "electronic or magnetic means"):
一 電子情報処理組織を使用する方法のうち次に掲げるもの
(i) the means of using an electronic data processing system set forth in the following items:
イ 金融商品取引業者等(法第三十四条の二第四項に規定する事項の提供を行う金融商品取引業者等との契約によりファイルを自己の管理する電子計算機に備え置き、これを当該事項を提供する相手方(以下この条において「顧客」という。)又は当該金融商品取引業者等の用に供する者を含む。以下この条において同じ。)の使用に係る電子計算機と顧客等(顧客及び顧客との契約により顧客ファイル(専ら顧客の用に供せられるファイルをいう。以下この条において同じ。)を自己の管理する電子計算機に備え置く者をいう。以下この条において同じ。)の使用に係る電子計算機とを接続する電気通信回線を通じて書面に記載すべき事項(以下この条において「記載事項」という。)を送信し、顧客等の使用に係る電子計算機に備えられた顧客ファイルに記録する方法(同項に規定する方法による提供を受ける旨の承諾又は受けない旨の申出をする場合にあっては、同項に規定する事項の提供を行う金融商品取引業者等の使用に係る電子計算機に備えられたファイルにその旨を記録する方法)
(a) to transmit information to be contained in a document (hereinafter referred to as the "information" in this Article) via telecommunications line connecting the computers used by a financial instruments business operator, etc. (including a person that, pursuant to the contract with a financial instruments business operator, etc. providing information set forth in Article 34-2, paragraph (4) of the Act, stores files onto a computer managed by such person, and make such files available for the party to which such information is provided (hereinafter referred to as the "customers" in this Article) or for such financial instruments business operator, etc.; hereinafter the same applies in this Article) and the computers used by the customers, etc. (meaning a customer, and a person that, pursuant to a contract with the customer, stores the customer file (meaning the file solely made available to the customers; hereinafter the same applies in this Article) onto a computer managed by such person; hereinafter the same applies in this Article), and to record the information into the customer file stored onto the computer used by the customers, etc. (if the applicant acknowledges the provision of information by the means specified in Article 34-2, paragraph (4) of the Act or if the applicant notifies to the effect that the applicant will not receive information by such means, the means by which to record such acknowledgment or notice into a file stored on the computer used by the financial instruments business operator, etc. which provides the information set forth in that paragraph);
ロ 金融商品取引業者等の使用に係る電子計算機に備えられたファイルに記録された記載事項を電気通信回線を通じて顧客の閲覧に供し、顧客等の使用に係る電子計算機に備えられた当該顧客の顧客ファイルに当該記載事項を記録する方法(法第三十四条の二第四項に規定する方法による提供を受ける旨の承諾又は受けない旨の申出をする場合にあっては、金融商品取引業者等の使用に係る電子計算機に備えられたファイルにその旨を記録する方法)
(b) to make the information recorded into the files stored on a computer used by a financial instruments business operator, etc. available for a customer's inspection via telecommunications line, and to record the information into the customer file of the relevant customer stored on the computer used by such customer, etc. (or, if the applicant acknowledges the provision of information by the means specified in Article 34-2, paragraph (4) of the Act or if the applicant notifies to the effect that the applicant will not receive information by such means, to record such acknowledgment or notice into a file stored on the computer used by the financial instruments business operator, etc.);
ハ 金融商品取引業者等の使用に係る電子計算機に備えられた顧客ファイルに記録された記載事項を電気通信回線を通じて顧客の閲覧に供する方法
(c) to make the information recorded into the customer files stored on the computer used by a financial instruments business operator, etc. available for a customer's inspection via telecommunications line; and
ニ 閲覧ファイル(金融商品取引業者等の使用に係る電子計算機に備えられたファイルであって、同時に複数の顧客の閲覧に供するため記載事項を記録させるファイルをいう。以下この条において同じ。)に記録された記載事項を電気通信回線を通じて顧客の閲覧に供する方法
(d) to make the information recorded into the inspection file (meaning a file stored on a computer used by a financial instruments business operator, etc. with which to record the information for the purpose of making them available for public inspection by multiple customers at the same time; hereinafter the same applies in this Article) available for a customer's inspection via telecommunications line;
二 磁気ディスク、シー・ディー・ロムその他これらに準ずる方法により一定の事項を確実に記録しておくことができる物をもって調製するファイルに記載事項を記録したものを交付する方法
(ii) to deliver the file storing the information, which is prepared by the use of any object which can securely record certain information by means of magnetic disks, CD-ROMs or any other means equivalent thereto.
2 前項各号に掲げる方法は、次に掲げる基準に適合するものでなければならない。
(2) The means set forth in the items of the preceding paragraph must conform to the following criteria:
一 顧客が顧客ファイル又は閲覧ファイルへの記録を出力することにより書面を作成できるものであること。
(i) that the means enables a customer to prepare a document by outputting information recorded on the customer file or inspection file;
二 前項第一号イ、ハ又はニに掲げる方法(顧客の使用に係る電子計算機に備えられた顧客ファイルに記載事項を記録する方法を除く。)にあっては、記載事項を顧客ファイル又は閲覧ファイルに記録する旨又は記録した旨を顧客に対し通知するものであること。ただし、顧客が当該記載事項を閲覧していたことを確認したときはこの限りでない。
(ii) in the case of the means listed in item (i), (a), (c) or (d) of the preceding paragraph (excluding the means to record the information into the customer file stored on a computer used by a customer), that the customer is informed of the fact that the information will be or have been recorded into the customer file or the inspection file; provided, however, that this does not apply if it is confirmed that the customer has inspected the information;
三 前項第一号ハ又はニに掲げる方法にあっては、記載事項に掲げられた取引を最後に行った日以後五年間(当該期間が終了する日までの間に当該記載事項に係る苦情の申出があったときは、当該期間が終了する日又は当該苦情が解決した日のいずれか遅い日までの間)次に掲げる事項を消去し又は改変することができないものであること。ただし、閲覧に供している記載事項を書面により交付する場合、顧客の承諾(令第十五条の二十二に規定する方法による承諾をいう。)を得て前項第一号イ、ロ若しくは同項第二号に掲げる方法により提供する場合又は顧客による当該記載事項に係る消去の指図がある場合は、当該記載事項を消去することができる。
(iii) in the case of the means listed in item (i), (c) or (d) of the preceding paragraph, that the following matters cannot be deleted or altered for the period until five years have elapsed from the day when the transaction referred to in the information was finally conducted (if any complaint related to the information has been raised within the period before the expiration date of such period, for the period until either the expiration date of such period or the day when the complaint was settled, whichever comes later); provided, however, that the information may be deleted if the information that has been made available for inspection is delivered in writing, if that information is provided by the means listed in item (i), (a) or (b) of the preceding paragraph or in item (ii) of the preceding paragraph with the customer's consent (meaning consent given by the means specified in Article 15-22 of the Order), or if the customer has instructed that the information should be deleted:
イ 前項第一号ハに掲げる方法については、顧客ファイルに記録された記載事項
(a) in the case of the means specified in item (i), (c) of the preceding paragraph, the information recorded in the customer file; and
ロ 前項第一号ニに掲げる方法については、閲覧ファイルに記録された記載事項
(b) in the case of the means specified in item (i), (d) of the preceding paragraph, the information recorded in the inspection file;
四 前項第一号ニに掲げる方法にあっては、次に掲げる基準に適合するものであること。
(iv) in the case of the means specified in item (i), (d) of the preceding paragraph, that it conforms to the following requirements:
イ 顧客が閲覧ファイルを閲覧するために必要な情報を顧客ファイルに記録するものであること。
(a) that information necessary for a customer's inspection of the inspection file is recorded into the customer file; and
ロ 前号に規定する期間を経過するまでの間において、イの規定により顧客が閲覧ファイルを閲覧するために必要な情報を記録した顧客ファイルと当該閲覧ファイルとを電気通信回線を通じて接続可能な状態を維持させること。ただし、閲覧の提供を受けた顧客が接続可能な状態を維持させることについて不要である旨通知した場合は、この限りでない。
(b) that, before the elapse of the period set forth in the preceding item, the customer file recording the information necessary for the customer's inspection of the inspection file as set forth in (a) and such inspection file are kept connectible via telecommunications line; provided, however, that this does not apply if the customer that has been given access to the files has notified to the effect that such connectibility need not be maintained.
3 第一項第一号の「電子情報処理組織」とは、金融商品取引業者等の使用に係る電子計算機と、顧客ファイルを備えた顧客等又は金融商品取引業者等の使用に係る電子計算機とを電気通信回線で接続した電子情報処理組織をいう。
(3) The term "electronic data processing system" as used in paragraph (1), item (i) means an electronic data processing system connecting a computer used by a financial instruments business operator, etc. and a computer storing customer files used by a customer, etc. or financial instruments business operator, etc., via telecommunications line.
(電磁的方法の種類及び内容)
(Types and Content of Electronic or Magnetic Means)
第五十七条 令第十五条の二十二第一項及び第十五条の二十三第一項の規定により示すべき方法の種類及び内容は、次に掲げる事項とする。
Article 57 The types and contents of the means to be specified as set forth in Article 15-22, paragraph (1) and Article 15-23, paragraph (1) of the Order are as follows:
一 前条第一項各号又は第五十七条の三第一項各号に掲げる方法のうち金融商品取引業者等が使用するもの
(i) the means set forth in the items of paragraph (1) of the preceding Article or the items of Article 57-3, paragraph (1), which are to be used by the financial instruments business operator, etc.; and
二 ファイルへの記録の方式
(ii) the format for recording information into a file.
(特定投資家への復帰申出をした者が同意を行う書面の記載事項)
(Matters to Be Stated in Document Indicating Consent by Person That Made Request for Reinstatement as Professional Investor)
第五十七条の二 法第三十四条の二第十一項に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 57-2 The matters to be specified by Cabinet Office Order as referred to in Article 34-2, paragraph (11) of the Act are as follows:
一 法第三十四条の二第十一項の規定による承諾をする日(以下この条において「承諾日」という。)
(i) the day when the acceptance under the provisions of Article 34-2, paragraph (11) of the Act is to be given (hereinafter referred to as the "date of acceptance" in this Article);
二 対象契約の属する契約の種類(法第三十四条に規定する契約の種類をいう。以下この款において同じ。)
(ii) the kind of contract to which the subject contract belongs (meaning the kind of contract prescribed in Article 34 of the Act; hereinafter the same applies in this Subsection);
三 復帰申出者(法第三十四条の二第十一項に規定する復帰申出者をいう。以下この条において同じ。)が次に掲げる事項を理解している旨
(iii) a statement to the effect that the applicant for reinstatement (meaning an applicant for reinstatement prescribed in Article 34-2, paragraph (11) of the Act; hereinafter the same applies in this Article) understands the following matters:
イ 法第四十五条各号に掲げる規定は、対象契約に関して復帰申出者が当該各号に定める者である場合(同条ただし書に規定する場合を除く。)には適用されない旨
(a) that the provisions listed in the items of Article 45 of the Act do not apply if the applicant for reinstatement is any of the persons specified respectively in those items with regard to the subject contract (excluding the cases specified in the proviso to that Article);
ロ 対象契約に関して特定投資家として取り扱われることがその知識、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として取り扱われる場合には、当該者の保護に欠けることとなるおそれがある旨
(b) that if a person that, in light of the knowledge, experience and state of property of the person, is deemed inappropriate to be treated as a professional investor with regard to the subject contracts is treated as a professional investor, the protection of such person might be impaired;
四 承諾日以後に対象契約の締結の勧誘又は締結をする場合において、復帰申出者を再び特定投資家として取り扱う旨
(iv) that the applicant for reinstatement will be treated as a professional investor again when soliciting the conclusion of, or concluding, the subject contract on or after the date of acceptance;
五 金融商品取引業者等が対象契約に基づき復帰申出者を代理して他の金融商品取引業者等との間で承諾日以後に締結する金融商品取引契約については、当該他の金融商品取引業者等からも再び特定投資家として取り扱われる旨
(v) that, with regard to any financial instruments transaction contract which the financial instruments business operator, etc., on behalf of the applicant for reinstatement, concludes with another financial business operators, etc. on or after the date of acceptance pursuant to the subject contract, the applicant for reinstatement will also be treated as a professional investor again by such other financial instruments business operators, etc.; and
六 復帰申出者は、承諾日以後いつでも、法第三十四条の二第一項の規定による申出ができる旨
(vi) that the applicant for reinstatement may make a request under the provisions of Article 34-2, paragraph (1) of the Act at any time on or after the date of acceptance.
(情報通信の技術を利用した同意の取得)
(Obtaining Consent Using Information and Communication Technology)
第五十七条の三 法第三十四条の二第十二項(法第三十四条の三第三項(法第三十四条の四第六項において準用する場合を含む。)及び第四十三条の四第三項において準用する場合を含む。以下この条において同じ。)に規定する内閣府令で定めるものは、次に掲げるものとする。
Article 57-3 (1) The means to be specified by Cabinet Office Order as referred to in Article 34-2, paragraph (12) of the Act (including as applied mutatis mutandis pursuant to Article 34-3, paragraph (3) (including as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act) and Article 43-4, paragraph (3) of the Act; hereinafter the same applies in this Article) are as follows:
一 電子情報処理組織を使用する方法のうち次に掲げるもの
(i) the means of using an electronic data processing system, as listed in the following:
イ 金融商品取引業者等の使用に係る電子計算機と法第三十四条の二第十二項の規定により同意を得ようとする相手方(以下この条において「顧客」という。)の使用に係る電子計算機とを接続する電気通信回線を通じて送信し、受信者の使用に係る電子計算機に備えられたファイルに記録する方法
(a) to transmit information via telecommunications line connecting a computer used by a financial instruments business operator, etc. and that used by the other party that it seeks consent from pursuant to Article 34-2, paragraph (12) of the Act (hereinafter referred to as the "customer" in this Article), and to record such information in a file stored on a computer used by the recipient; and
ロ 金融商品取引業者等の使用に係る電子計算機に備えられたファイルに記録された顧客の同意に関する事項を電気通信回線を通じて当該顧客の閲覧に供し、当該金融商品取引業者等の使用に係る電子計算機に備えられたファイルに当該顧客の同意に関する事項を記録する方法
(b) to make information related to the customer's consent recorded into a file stored on a computer used by a financial instruments business operator, etc. available for the customer's inspection via telecommunications line, and to record information related to the customer's consent into a file stored on a computer used by such financial instruments business operator, etc.;
二 磁気ディスク、シー・ディー・ロムその他これらに準ずる方法により一定の事項を確実に記録しておくことができる物をもって調製するファイルに同意に関する事項を記録したものを得る方法
(ii) to obtain the file storing the information related to a consent, which is prepared by the use of any object which can securely record certain information by means of magnetic disks, CD-ROMs or any other means equivalent thereto.
2 前項各号に掲げる方法は、金融商品取引業者等がファイルへの記録を出力することにより書面を作成することができるものでなければならない。
(2) The means listed in the items of the preceding paragraph must be the means enabling a financial instruments business operator, etc. to prepare a document by way of outputting the information recorded on the files.
3 第一項第一号の「電子情報処理組織」とは、金融商品取引業者等の使用に係る電子計算機と、顧客の使用に係る電子計算機とを電気通信回線で接続した電子情報処理組織をいう。
(3) The "electronic data processing system" as used in paragraph (1), item (i) means an electronic data processing system connecting a computer used by a financial instruments business operator, etc. and a computer used by a customer via telecommunications line.
(特定投資家以外の顧客である法人が特定投資家とみなされる場合の期限日)
(Expiration Date If a Corporation Which Is Customer Other Than Professional Investor Is Deemed to Be Professional Investor)
第五十八条 法第三十四条の三第二項に規定する内閣府令で定める場合は、金融商品取引業者等が一定の日を定め、次に掲げる事項を当該金融商品取引業者等の営業所又は事務所の公衆の見やすい場所への掲示その他の適切な方法により公表している場合とする。
Article 58 (1) The case specified by Cabinet Office Order as prescribed in Article 34-3, paragraph (2) of the Act is a case in which a financial instruments business operator, etc. has designated a certain date and publicized the following matters by posting them at a place easily accessible to the public at its business office or any other office, or by any other appropriate means:
一 当該日
(i) that designated date; and
二 次項に規定する日を期限日(法第三十四条の三第二項第二号に規定する期限日をいう。次条第二項及び第六十条において同じ。)とする旨
(ii) to the effect that the day set forth in the following paragraph is the expiration date (meaning the expiration date set forth in Article 34-3, paragraph (2), item (ii) of the Act; the same applies in paragraph (2) of the following Article and Article 60).
2 法第三十四条の三第二項に規定する内閣府令で定める日は、金融商品取引業者等が前項の規定により定めた日であって承諾日(同条第二項第一号に規定する承諾日をいう。次条第二項第五号及び第六十条において同じ。)から起算して一年以内の日のうち最も遅い日とする。
(2) The day to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (2) of the Act is the day designated by the financial instruments business operator, etc. under the preceding paragraph, which is the latest of the days within one year from the date of acceptance (meaning the date of acceptance prescribed in item (i), paragraph (2) of that Article; the same applies in item (v), paragraph (2) of the following Article and Article 60).
(申出をした特定投資家以外の顧客である法人が同意を行う書面の記載事項)
(Matters to Be Specified in Document Indicating Consent by Corporation Which Is Customer Other Than Professional Investors That Made Request)
第五十九条 法第三十四条の三第二項第四号イに規定する内閣府令で定める事項は、法第四十五条各号に掲げる規定は、対象契約(同項第二号に規定する対象契約をいう。次項及び第六十条の二において同じ。)に関して申出者(法第三十四条の三第二項に規定する申出者をいう。次項において同じ。)が当該各号に定める者である場合(法第四十五条ただし書に規定する場合を除く。)には適用されない旨とする。
Article 59 (1) The matters to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (2), item (iv), (a) of the Act are the fact that the provisions listed in the items of Article 45 of the Act do not apply if the applicant (meaning the applicant prescribed in Article 34-3, paragraph (2) of the Act; the same applies in the following paragraph) falls under any of the persons respectively set forth in such items with regard to the subject contract (meaning the subject contract prescribed in Article 34-3, paragraph (2), item (ii) of the Act; the same applies in the following paragraph and Article 60-2) (excluding the case specified in the proviso to Article 45 of the Act).
2 法第三十四条の三第二項第七号に規定する内閣府令で定める事項は、次に掲げる事項とする。
(2) The matters to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (2), item (vii) of the Act are as follows:
一 期限日以前に締結した対象契約(投資顧問契約及び投資一任契約を除く。)に関して法令の規定又は契約の定めに基づいて行う行為については、期限日後に行うものであっても、申出者を特定投資家として取り扱う旨
(i) that, in regard to any act related to the subject contract (excluding an investment advisory contract and a discretionary investment contract) concluded prior to the expiration date, which is to be conducted pursuant to the provisions of laws and regulations or the contract, the applicant is treated as a professional investor, even if that act is conducted after the expiration date;
二 法第三十四条の三第二項に規定する申出に係る契約の種類が第五十三条第三号及び第四号に掲げるものである場合にあっては、対象契約(投資顧問契約及び投資一任契約に限る。)に関して法令の規定又は契約の定めに基づいて行う行為については、期限日以前に行うものに限り、申出者を特定投資家として取り扱う旨
(ii) if the kinds of contract pertaining to the request set forth in Article 34-3, paragraph (2) of the Act falls under any of those specified in Article 53, items (iii) and (iv), the fact that, in regard to any act related to the subject contract (limited to an investment advisory contract and a discretionary investment contract), which is to be conducted pursuant to the provisions of laws and regulations or the contract, the applicant is treated as a professional investor only in respect of the act conducted prior to the expiration date;
三 申出者は、法第三十四条の三第二項の規定による承諾を行った金融商品取引業者等のみから対象契約に関して特定投資家として取り扱われることになる旨
(iii) that the applicant will be treated as a professional investor with regard to the subject contract, only by the financial instruments business operator, etc. which has accepted the request pursuant to the provisions of Article 34-3, paragraph (2) of the Act;
四 金融商品取引業者等が対象契約に基づき申出者を代理して他の金融商品取引業者等との間で期限日以前に締結する金融商品取引契約については、当該他の金融商品取引業者等からも特定投資家として取り扱われる旨
(iv) that, with regard to any financial instruments transaction contract which the financial instruments business operator, etc., on behalf of the applicant, concludes with another financial instruments business operator, etc. prior to the expiration date pursuant to the subject contract, such applicant is also treated as a professional investor by such other financial instruments business operator, etc.; and
五 申出者は、承諾日以後いつでも、法第三十四条の三第九項の規定による申出ができる旨
(v) that the applicant may make a request under the provisions of Article 34-3, paragraph (9 of the Act at any time on or after the date of acceptance.
(申出をした特定投資家以外の顧客である法人が更新申出をするために必要な期間)
(Period Necessary for a Corporation Which Is Customer Other Than Professional Investors That Made Request to Make Request for Renewal)
第六十条 法第三十四条の三第七項に規定する内閣府令で定める期間は、十一月(次の各号に掲げる場合にあっては、当該各号に定める期間)とする。
Article 60 (1) The period to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (7) of the Act is eleven months (or, in the following cases, the period set forth in the respective items):
一 承諾日から期限日までの期間が一年に満たない場合(次号に掲げる場合を除く。) 当該期間から一月を控除した期間
(i) when the period between the date of acceptance and the expiration date is less than one year (excluding the case specified in the following item): that period minus one month; or
二 承諾日から期限日までの期間が一月を超えない場合 一日
(ii) when the period between the date of acceptance and the expiration date does not exceed one month: one day.
2 法第三十四条の三第八項に規定する場合における前項の規定の適用については、同項各号中「承諾日」とあるのは、「前回の期限日の翌日」とする。
(2) With regard to the application of the provisions of the preceding paragraph in the cases prescribed in Article 34-3, paragraph (8) of the Act, the term "date of acceptance" in the items of that paragraph is deemed to be replaced with "day following the previous expiration date".
(特定投資家以外の顧客への復帰申出をした法人に交付する書面の記載事項)
(Matters to Be Stated in a Document to Be Delivered to a Corporation That Made a Request for Reinstatement as a Customer Other Than a Professional Investor)
第六十条の二 法第三十四条の三第十一項に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 60-2 The matters to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (11) of the Act are as follows:
一 法第三十四条の三第十項の規定による承諾をする日(以下この条において「承諾日」という。)
(i) the day when the acceptance under the provisions of Article 34-3, paragraph (10) of the Act is to be given (hereinafter referred to as the "date of acceptance" in this Article);
二 対象契約の属する契約の種類
(ii) the kind of contract to which the subject contract belongs;
三 承諾日以後に対象契約の締結の勧誘又は締結をする場合において、法第三十四条の三第九項の規定による申出をした法人(次号において「復帰申出者」という。)を再び特定投資家以外の顧客として取り扱う旨
(iii) that the corporation that made a request under the provisions of Article 34-3, paragraph (9) of the Act (hereinafter referred to as the "applicant for reinstatement" in the following item) will be treated as a customer other than a professional investor again when soliciting the conclusion of, or concluding, the subject contract on or after the date of acceptance; and
四 金融商品取引業者等が対象契約に基づき復帰申出者を代理して他の金融商品取引業者等との間で承諾日以後に締結する金融商品取引契約については、当該他の金融商品取引業者等からも再び特定投資家以外の顧客として取り扱われる旨
(iv) that, with regard to any financial instruments transaction contract which the financial instruments business operator, etc., on behalf of the applicant for reinstatement, concludes with another financial business operator, etc. on or after the date of acceptance pursuant to the subject contract, the applicant for reinstatement will also be treated as a customer other than a professional investor again by such other financial instruments business operator, etc.
(特定投資家として取り扱うよう申し出ることができる営業者等)
(Proprietors That May Make a Request for Treatment as Professional Investor)
第六十一条 法第三十四条の四第一項第一号に規定する内閣府令で定めるものは、次に掲げる要件のいずれかに該当するものとする。
Article 61 (1) The excluded individual to be specified by Cabinet Office Order as referred to in Article 34-4, paragraph (1), item (i) of the Act is that who satisfies any of the following requirements:
一 法第三十四条の四第一項の規定による申出を行うことについてすべての匿名組合員の同意を得ていないこと。
(i) that the individual has not obtained the consent from all of the silent partners on making a request under Article 34-4, paragraph (1) of the Act; or
二 その締結した匿名組合契約に基づく出資の合計額が三億円未満であること。
(ii) that the total amount of the equity investment under the silent partnership contract which the individual concluded is less than 300 million yen.
2 法第三十四条の四第一項第一号に規定する内閣府令で定める個人は、次に掲げる者とする。
(2) The individuals to be specified by Cabinet Office Order as referred to in Article 34-4, paragraph (1), item (i) of the Act are as follows:
一 組合契約を締結して組合の業務の執行を委任された組合員である個人(次に掲げる要件のすべてに該当する者に限る。)
(i) an individual who has concluded a partnership contract and has become a partner delegated to manage the business of the partnership (limited to an individual who satisfies all of the following requirements):
イ 法第三十四条の四第一項の規定による申出を行うことについて他のすべての組合員の同意を得ていること。
(a) that the individual has obtained the consent from all of the other partners on making a request under Article 34-4, paragraph (1) of the Act; and
ロ 当該組合契約に基づく出資の合計額が三億円以上であること。
(b) that the total amount of the equity investment under the partnership contract is not less than 300 million yen.
二 有限責任事業組合契約を締結して組合の重要な業務の執行の決定に関与し、かつ、当該業務を自ら執行する組合員である個人(次に掲げる要件のすべてに該当する者に限る。)
(ii) an individual who has concluded a limited liability partnership agreement and is involved in the decision-making on the execution of the important business of the partnership, and who is also a partner personally executing such business (limited to an individual who satisfies all of the following requirements):
イ 法第三十四条の四第一項の規定による申出を行うことについて他のすべての組合員の同意を得ていること。
(a) that the individual has obtained the consent from all of the other partners on making a request under Article 34-4, paragraph (1) of the Act; and
ロ 当該有限責任事業組合契約に基づく出資の合計額が三億円以上であること。
(b) that the total amount of the equity investment under the limited liability partnership agreement is 300 million yen or more.
(特定投資家として取り扱うよう申し出ることができる個人)
(Individual Who May Make a Request for Treatment as Professional Investor)
第六十二条 法第三十四条の四第一項第二号に規定する内閣府令で定める要件は、次に掲げる要件の全てに該当することとする。
Article 62 The requirements to be specified by Cabinet Office Order as referred to in Article 34-4, paragraph (1), item (ii) of the Act are the fulfillment of all of the following:
一 取引の状況その他の事情から合理的に判断して、承諾日(法第三十四条の四第六項において準用する法第三十四条の三第二項第一号に規定する承諾日をいう。次号、次条第二項、第六十四条第二項第五号及び第六十四条の二において同じ。)における申出者(法第三十四条の四第二項に規定する申出者をいう。以下この条及び第六十四条において同じ。)の資産の合計額から負債の合計額を控除した額が三億円以上になると見込まれること。
(i) that, judging reasonably from the status of the transactions or any other circumstances, the total amount of the assets of the applicant (meaning the applicant prescribed in Article 34-4, paragraph (2) of the Act; hereinafter the same applies in this Article and Article 64) as of the date of acceptance (meaning the date of acceptance prescribed in Article 34-3, paragraph (2), item (i) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act; the same applies in the following item, paragraph (2) of the following Article, and Article 64, paragraph (2), item (v) and Article 64-2), less the total amount of its liabilities as of that date is likely to be 300 million yen or more;
二 取引の状況その他の事情から合理的に判断して、承諾日における申出者の資産(次に掲げるものに限る。)の合計額が三億円以上になると見込まれること。
(ii) that, judging reasonably from the status of the transactions or any other circumstances, the total amount of the applicant's assets (limited to the assets listed in the following) as of the date of acceptance is likely to be 300 million yen or more:
イ 有価証券(ホに掲げるもの及びヘに掲げるもの(不動産特定共同事業法(平成六年法律第七十七号)第二条第九項に規定する特例事業者と締結したものに限る。)を除く。)
(a) securities (excluding the securities specified in (e) and (f) (limited to contracts that are concluded with a special enterprise operator as defined in Article 2, paragraph (9) of the Real Estate Specified Joint Enterprise Act (Act No. 77 of 1994)));
ロ デリバティブ取引に係る権利
(b) rights pertaining to a derivative transaction;
ハ 農業協同組合法(昭和二十二年法律第百三十二号)第十一条の五に規定する特定貯金等、水産業協同組合法(昭和二十三年法律第二百四十二号)第十一条の十一に規定する特定貯金等、協同組合による金融事業に関する法律(昭和二十四年法律第百八十三号)第六条の五の十一に規定する特定預金等、信用金庫法(昭和二十六年法律第二百三十八号)第八十九条の二に規定する特定預金等、長期信用銀行法(昭和二十七年法律第百八十七号)第十七条の二に規定する特定預金等、労働金庫法(昭和二十八年法律第二百二十七号)第九十四条の二に規定する特定預金等、銀行法第十三条の四に規定する特定預金等、農林中央金庫法(平成十三年法律第九十三号)第五十九条の三に規定する特定預金等及び株式会社商工組合中央金庫法(平成十九年法律第七十四号)第二十九条に規定する特定預金等
(c) specified deposits, etc. as prescribed in Article 11-5 of the Agricultural Co-operatives Act (Act No. 132 of 1947), specified deposits, etc. as prescribed in Article 11-11 of the Fishery Cooperatives Act (Act No. 242 of 1948), specified deposits, etc. as prescribed in Article 6-5-11 of the Act on Financial Businesses by Cooperative (Act No. 183 of 1949), specified deposits, etc. as prescribed in Article 89-2 of the Shinkin Bank Act (Act No. 238 of 1951), specified deposits, etc. as prescribed in Article 17-2 of the Long Term Credit Bank Act (Act No. 187 of 1952), specified deposits, etc. as prescribed in Article 94-2 of the Labor Bank Act (Act No. 227 of 1953), specified deposits, etc. as prescribed in Article 13-4 the Banking Act, specified deposits, etc. as prescribed in Article 59-3 of the Norinchukin Bank Act (Act No. 93 of 2001) and specified deposits, etc. as prescribed in Article 29 of the Shoko Chukin Bank Limited Act (Act No. 74 of 2007);
ニ 農業協同組合法第十一条の十の三に規定する特定共済契約、消費生活協同組合法(昭和二十三年法律第二百号)第十二条の三第一項に規定する特定共済契約、水産業協同組合法第十五条の十二に規定する特定共済契約、中小企業等協同組合法(昭和二十四年法律第百八十一号)第九条の七の五第二項に規定する特定共済契約及び保険業法第三百条の二に規定する特定保険契約に基づく保険金、共済金、返戻金その他の給付金に係る権利
(d) the rights pertaining to benefits such as insurance proceeds, mutual aid benefits and refunds payable under a specified mutual aid contract as prescribed in Article 11-10-3 of the Agricultural Cooperatives Act, a specified mutual aid contract as prescribed in Article 12-3, paragraph (1) of the Consumer Cooperatives Act (Act No. 200 of 1948), a specified mutual aid contract as prescribed in Article 15-12 of the Fisheries Cooperatives Act, a specified mutual aid contract as prescribed in Article 9-7-5, paragraph (2) of the Small and Medium-Sized Enterprise Cooperatives Act (Act No. 181 of 1949) and a specified insurance contract as prescribed in Article 300-2 of the Insurance Business Act;
ホ 信託業法第二十四条の二に規定する特定信託契約に係る信託受益権
(e) beneficial interest in a trust pertaining to a specific trust agreement as prescribed in Article 24-2 of the Trust Business Act;
ヘ 不動産特定共同事業法第二条第三項に規定する不動産特定共同事業契約に基づく権利
(f) rights under a real estate specified joint enterprise contract as prescribed in Article 2, paragraph (3) of the Real Estate Specified Joint Enterprise Act; and
ト 商品市場における取引(商品先物取引法(昭和二十五年法律第二百三十九号)第二条第十項に規定する商品市場における取引をいう。)、外国商品市場取引(同条第十三項に規定する外国商品市場取引をいう。第六十七条第一号において同じ。)及び店頭商品デリバティブ取引(同法第二条第十四項に規定する店頭商品デリバティブ取引をいう。第六十七条第二号並びに第百二十三条第八項及び第十二項において同じ。)に係る権利
(g) rights pertaining to transactions on a commodity market (meaning the transactions on a commodity market defined in Article 2, paragraph (10) of the Commodity Futures Trading Act (Act No. 239 of 1950)), foreign commodity market transaction (meaning the foreign commodity market transaction defined in paragraph (13) of that Article; the same applies in Article 67, item (i)), and over-the-counter commodity derivatives transactions (meaning the over-the-counter commodity derivatives transactions defined in Article 2, paragraph (14) of that Act; the same applies in Article 67, item (ii) and Article 123, paragraphs (8) and (12)); and
三 申出者が最初に当該金融商品取引業者等との間で法第三十四条の四第一項の規定による申出に係る契約の種類に属する金融商品取引契約を締結した日から起算して一年を経過していること。
(iii) that one year has elapsed from the day when the applicant concluded with the financial instruments business operator, etc. a financial instruments transaction contract which is of the type pertaining to the request under Article 34-4, paragraph (1) of the Act for the first time.
(特定投資家以外の顧客である個人が特定投資家とみなされる場合の期限日)
(Expiration Date of Period When Individual Who Is Customer Other Than Professional Investor Is Deemed to Be Professional Investor)
第六十三条 法第三十四条の四第六項において準用する法第三十四条の三第二項に規定する内閣府令で定める場合は、金融商品取引業者等が一定の日を定め、次に掲げる事項を当該金融商品取引業者等の営業所又は事務所の公衆の見やすい場所への掲示その他の適切な方法により公表している場合とする。
Article 63 (1) The case specified by Cabinet Office Order as prescribed in Article 34-3, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act is one in which a financial instruments business operator, etc. has designated a certain date and publicized the following matters by posting them at a place accessible to the public at its business office or any other office, or by any other appropriate means:
一 当該日
(i) that designated date; and
二 次項に規定する日を期限日(法第三十四条の四第六項において準用する法第三十四条の三第二項第二号に規定する期限日をいう。次条第二項及び第六十四条の二において同じ。)とする旨
(ii) to the effect that the day set forth in the following paragraph is the expiration date (meaning the expiration date set forth in Article 34-3, paragraph (2), item (ii) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act; the same applies in paragraph (2) of the following Article and Article 64-2).
2 法第三十四条の四第六項において準用する法第三十四条の三第二項に規定する内閣府令で定める日は、金融商品取引業者等が前項の規定により定めた日であって承諾日から起算して一年以内の日のうち最も遅い日とする。
(2) The day to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act is the day designated by the financial instruments business operator, etc. under the preceding paragraph, which is the latest of the day within one year from the date of acceptance.
(申出をした特定投資家以外の顧客である個人が同意を行う書面の記載事項)
(Matters to Be Stated in Documents Indicating Consent by an Individual Who Is a Customer Other Than the Professional Investor That Made a Request)
第六十四条 法第三十四条の四第六項において準用する法第三十四条の三第二項第四号イに規定する内閣府令で定める事項は、法第四十五条各号に掲げる規定は、対象契約(同項第二号に規定する対象契約をいう。次項及び第六十四条の三において同じ。)に関して申出者が当該各号に定める者である場合(法第四十五条ただし書に規定する場合を除く。)には適用されない旨とする。
Article 64 (1) The matters to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (2), item (iv), (a) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act are the fact that the provisions listed in the items of Article 45 do not apply if the applicant falls under any of the persons set forth respectively in such items in regard to the subject contract (meaning the subject contract prescribed in Article 34-3, paragraph (2), item (ii) of the Act; the same applies in the following paragraph and Article 64-3) (excluding the case specified in the proviso to Article 45 of the Act).
2 法第三十四条の四第六項において準用する法第三十四条の三第二項第七号に規定する内閣府令で定める事項は、次に掲げる事項とする。
(2) The matters to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (2), item (vii) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act are as follows:
一 期限日以前に締結した対象契約(投資顧問契約及び投資一任契約を除く。)に関して法令の規定又は契約の定めに基づいて行う行為については、期限日後に行うものであっても、申出者を特定投資家として取り扱う旨
(i) that, with regard to any act related to the subject contract (excluding an investment advisory contract and a discretionary investment contract) concluded prior to the expiration date, which is to be conducted pursuant to the provisions of laws and regulations or the contract, the applicant is treated as a professional investor, even if that act is conducted after the expiration date;
二 法第三十四条の四第六項において準用する法第三十四条の三第二項に規定する申出に係る契約の種類が第五十三条第三号及び第四号に掲げるものである場合にあっては、対象契約(投資顧問契約及び投資一任契約に限る。)に関して法令の規定又は契約の定めに基づいて行う行為については、期限日以前に行うものに限り、申出者を特定投資家として取り扱う旨
(ii) if the kind of contract pertaining to the request set forth in Article 34-3, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act falls under any of the kinds specified in Article 53, items (iii) and (iv), to the effect that, with regard to any act related to the subject contract (limited to an investment advisory contract and a discretionary investment contract), which is to be conducted pursuant to the provisions of laws and regulations or the contract, the applicant is treated as a professional investor only with regard to an act conducted prior to the expiration date;
三 申出者は、法第三十四条の四第六項において準用する法第三十四条の三第二項の規定による承諾を行った金融商品取引業者等のみから対象契約に関して特定投資家として取り扱われることになる旨
(iii) that the applicant is treated as a professional investor in regard to the subject contract, only by the financial instruments business operator, etc. which has accepted the request pursuant to the provisions of Article 34-3, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act;
四 金融商品取引業者等が対象契約に基づき申出者を代理して他の金融商品取引業者等との間で期限日以前に締結する金融商品取引契約については、当該他の金融商品取引業者等からも特定投資家として取り扱われる旨
(iv) that, with regard to any financial instruments transaction contract which the financial instruments business operator, etc., on behalf of the applicant, concludes with another financial instruments business operator, etc. prior to the expiration date pursuant to the subject contract, such applicant is also treated as a professional investor by such other financial instruments business operator, etc.; and
五 申出者は、承諾日以後いつでも、法第三十四条の四第四項の規定による申出ができる旨
(v) that the applicant may make a request under the provisions of Article 34-4, paragraph (4) of the Act at any time on or after the date of acceptance.
(申出をした特定投資家以外の顧客である個人が更新申出をするために必要な期間)
(Period Necessary for an Individual Who Is a Customer Other Than a Professional Investor That Made a Request to Make a Request for Renewal)
第六十四条の二 法第三十四条の四第六項において準用する法第三十四条の三第七項に規定する内閣府令で定める期間は、十一月(次の各号に掲げる場合にあっては、当該各号に定める期間)とする。
Article 64-2 (1) The period to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (7) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act is eleven months (or, in the following cases, the period set forth in the respective items):
一 承諾日から期限日までの期間が一年に満たない場合(次号に掲げる場合を除く。) 当該期間から一月を控除した期間
(i) when the period between the date of acceptance and the expiration date is less than one year (excluding the case specified in the following item): that period minus one month; or
二 承諾日から期限日までの期間が一月を超えない場合 一日
(ii) when the period between the date of acceptance and the expiration date does not exceed one month: one day.
2 法第三十四条の四第六項において準用する法第三十四条の三第八項に規定する場合における前項の規定の適用については、同項各号中「承諾日」とあるのは、「前回の期限日の翌日」とする。
(2) With regard to the application of the provisions of the preceding paragraph in the cases prescribed in Article 34-3, paragraph (8) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act, the term "date of acceptance" in the items of that paragraph is deemed to be replaced with "day following the previous expiration date".
(特定投資家以外の顧客への復帰申出をした個人に交付する書面の記載事項)
(Matters to Be Stated in Documents to Be Delivered to an Individual Who Made a Request for Reinstatement as a Customer Other Than a Professional Investor)
第六十四条の三 法第三十四条の四第六項において準用する法第三十四条の三第十一項に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 64-3 The matters to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (11) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act are as follows:
一 法第三十四条の四第五項の規定による承諾をする日(以下この条において「承諾日」という。)
(i) the day when the acceptance under the provisions of Article 34-4, paragraph (5) of the Act is to be given (hereinafter referred to as the "date of acceptance" in this Article);
二 対象契約の属する契約の種類
(ii) the kind of contract to which the subject contract belongs;
三 承諾日以後に対象契約の締結の勧誘又は締結をする場合において、法第三十四条の四第四項の規定による申出をした個人(次号において「復帰申出者」という。)を再び特定投資家以外の顧客として取り扱う旨
(iii) that the corporation that made a request under the provisions of Article 34-4, paragraph (4) of the Act (hereinafter referred to as the "applicant for reinstatement" in the following item) will be treated as a customer other than a professional investor again when soliciting the conclusion of, or concluding, the subject contract on or after the date of acceptance; and
四 金融商品取引業者等が対象契約に基づき復帰申出者を代理して他の金融商品取引業者等との間で承諾日以後に締結する金融商品取引契約については、当該他の金融商品取引業者等からも再び特定投資家以外の顧客として取り扱われる旨
(iv) that, with regard to any financial instruments transaction contract which the financial instruments business operator, etc., on behalf of the applicant for reinstatement, concludes with another financial business operator, etc. on or after the date of acceptance pursuant to the subject contract, the applicant for reinstatement will also be treated as a customer other than a professional investor again by such other financial instruments business operator, etc.
第二節 業務
Section 2 Business
第一款 通則
Subsection 1 General Rules
(保護預り有価証券を担保とする金銭の貸付け)
(Money Loan Secured by Securities in Safe Custody)
第六十五条 法第三十五条第一項第三号に規定する内閣府令で定めるものは、次の各号のいずれかに該当するものとする。
Article 65 The money loan to be specified by Cabinet Office Order as referred to in Article 35, paragraph (1), item (iii) of the Act is the money loan which falls under any of the following items:
一 顧客から保護預りをしている有価証券が次に掲げるいずれかの有価証券(当該保護預りをした顧客の所有するものに限る。)であって、当該顧客が当該有価証券を引き続き所有するために必要なものとして当該有価証券を担保として行う金銭の貸付けのうち、当該顧客に貸し付ける金額が当該有価証券を担保として既に貸し付けている金銭の額と合計して五百万円(当該貸付けの時における当該有価証券の時価の範囲内に限る。次号において同じ。)を超えないもの
(i) a money loan that may be necessary for a customer in maintaining the ownership in the securities specified as follows deposited by a customer for safe custody (limited to the securities owned by the customer which has made such deposit for safety custody), which is secured by such securities, and in which case the total of the amount to be loaned to the customer and the amount of loan already extended as secured by such securities does not exceed five million yen (limited to the amount within the range of market price of the securities as of the time of such loan; the same applies in the next item):
イ 国債証券
(a) national government bond securities;
ロ 地方債証券
(b) municipal bond securities;
ハ 政府保証債券
(c) government guaranteed bond certificates;
ニ 社債券
(d) corporate bond certificates;
ホ 株券
(e) share certificates;
ヘ 投資信託及び投資法人に関する法律(昭和二十六年法律第百九十八号)に規定する投資信託又は外国投資信託の受益証券
(f) beneficiary certificates of an investment trust or a foreign investment trust as prescribed in the Act on Investment Trust and Investment Corporations (Act No. 198 of 1951);
ト 投資証券(投資信託及び投資法人に関する法律第二条第十五項に規定する投資証券をいう。以下同じ。)若しくは投資法人債券(同条第二十項に規定する投資法人債券をいう。第百十七条第二十項第三号並びに第百五十三条第一項第四号ハ及びニにおいて同じ。)又は外国投資証券(新投資口予約権証券に類するものを除く。)
(g) investment securities (meaning the investment securities provided in Article 2, paragraph (15) of the Act on Investment Trust and Investment Corporations; the same applies hereinafter), investment corporation bond certificates (meaning the investment corporation bond certificates provided in paragraph (20) of that Article; the same applies in Article 117, paragraph (20), item (iii) and Article 153, paragraph (1), item (iv), (c) and (d)) or foreign investment securities (excluding those similar to certificates of investment equity subscription rights);
チ 外国又は外国法人の発行する証券又は証書でイからホまでに掲げる有価証券の性質を有するもの
(h) instruments or certificates issued by a foreign state or a foreign corporation, which have the natures of the securities listed in (a) through (e);
二 顧客から保護預りをしている有価証券が投資信託の受益証券のうち次に掲げるいずれかのもの(当該保護預りをした顧客の所有するものに限る。)であって、当該有価証券に係る解約を請求した顧客に対し、解約に係る金銭が支払われるまでの間に当該有価証券を担保として行うその解約に係る金銭の額に相当する額の金銭の貸付けのうち、当該顧客に貸し付ける金額が当該有価証券を担保として既に貸し付けている金銭の額と合計して五百万円を超えないもの
(ii) if the securities deposited by a customer for safe custody fall under the category of any of the following beneficiary certificates pertaining to an investment trust (limited to the securities owned by the customer that has made the deposit for safety custody), a money loan secured by such securities in the amount equivalent to a cancellation money for such securities, which is to be granted prior to the payment of the cancellation money to the customer that has requested the cancellation of such securities, and in which case the total of the amount to be loaned to the customer and the amount of loan already granted as secured by such securities does not exceed five million yen:
イ 投資信託及び投資法人に関する法律施行規則(平成十二年総理府令第百二十九号)第十三条第二号イに規定する公社債投資信託のうち、主たる投資対象を短期の公社債(前号イからニまでに掲げる有価証券(外国又は外国法人の発行する証券又は証書で同様の性質を有するものを含む。)をいう。)、預金、金銭信託及びコール・ローン等の金融資産とするものであって、次に掲げる要件の全てに該当するものの受益証券
(a) a bond investment trust prescribed in Article 13, item (ii), (a) of the Regulation for Enforcement of the Act on Investment Trust and Investment Corporations (Order of the Prime Minister's Office No. 129 of 2000) which satisfies all of the following requirements and whose primary investment targets comprise financial assets such as short-term public or corporate bonds (meaning the securities listed in (a) through (d) of the preceding item (including instruments or certificates issued by a foreign state or a foreign corporation which have a similar nature thereto)), deposits, money trusts and call loans:
(1) 信託期間に制限のないものであること。
1. that the term of the trust is unlimited;
(2) 毎日決算を行い元本を超える額を分配し、その分配金が月末に再投資されるものであること。
2. that the account is settled and the amount in excess of the principal is distributed every day, and that the dividend thereof is to be reinvested at the end of each month;
(3) 解約を常時行うことができるものであること。
3. that the bond investment trust is cancellable at any time; and
(4) 解約金の支払いが当日又はその翌営業日に行われるものであること。
4. that the cancellation money is payable on the day of cancellation or on the business day immediately after such day;
ロ 投資信託のうち、主たる投資対象を中期の利付国債、預金、金銭信託及びコール・ローン等の金融資産とするものであって、イ(1)から(4)までに掲げる要件の全てに該当するものの受益証券
(b) beneficiary certificates of an investment trust which satisfy all of the requirements listed in (a), 1. through 4. and whose primary investment targets comprise financial assets such as medium-term interest-bearing government bonds, deposits, money trusts and call loans; and
ハ 投資信託及び投資法人に関する法律施行規則第二十五条第二号に規定する公社債投資信託(計算期間が一日のものに限る。)の受益証券
(c) beneficiary certificates of the bond investment trust prescribed in Article 25, item (ii) of the Regulation for Enforcement of the Act on Investment Trust and Investment Corporations (limited to the bond investment trust of which accounting period is one day).
(累積投資契約の締結)
(Conclusion of Contracts for Cumulative Investment)
第六十六条 法第三十五条第一項第七号に規定する内閣府令で定めるものは、次の各号に掲げる要件のすべてに該当する契約の締結とする。
Article 66 The conclusion to be specified by Cabinet Office Order as referred to in Article 35, paragraph (1), item (vii) of the Act is the conclusion of a contract which satisfies all of the requirements listed in the following items:
一 有価証券の買付けの方法として、当該有価証券の種類及び買付けのための預り金の充当方法を定めていること。
(i) that the contract provides for, as a method of purchases of securities, the types of the securities and the method for the appropriation of a deposit for making purchases;
二 預り金の管理の方法として、顧客からの払込金及び顧客が寄託している有価証券の果実並びに償還金の受入れに基づいて発生した金融商品取引業者の預り金を累積投資預り金として他の預り金と区分して経理することを定めていること。
(ii) that the contract provides, as a method for the management of deposits, that the fruits derived from the money paid and securities deposited by the customer, and the money which the financial instruments business operator's keeps custody due to acceptance of redemption are treated as the cumulative investment deposit, and that accounting of such cumulative investment deposit is managed separately from any other deposit;
三 他の顧客又は金融商品取引業者と共同で買い付ける場合には、顧客が買い付けた有価証券につき回記号及び番号が特定されたときに、当該顧客が単独で当該有価証券の所有権を有することが確定することを定めていること。
(iii) that the contract provides that, in the case of the joint purchase with another customer or financial instruments business operator, it is certain that the customer gains sole ownership in the securities purchased by such customer when the code and number thereof are identified;
四 有価証券の管理の方法として、預託を受けた有価証券(金融商品取引業者と顧客が共有しているものに限る。)が他の有価証券と分別して管理されるものであること。
(iv) that the contract provides, as a method for the management of securities, that the deposited securities (limited to those co-owned by the financial instruments business operator and the customer) are managed separately from any other securities; and
五 顧客から申出があったときには解約するものであること。
(v) that the contract may be cancelled if the customer so requests.
(地域の活性化等に資するもの)
(Acts Contributing to Regional Revitalization)
第六十六条の二 法第三十五条第一項第十七号に規定する内閣府令で定めるものは、次に掲げる行為(当該金融商品取引業者の保有する人材、情報通信技術、設備その他の当該金融商品取引業者の行う金融商品取引業に係る経営資源に加えて、当該行為を行う業務の遂行のために新たに経営資源を取得する場合にあっては、需要の状況によりその相当部分が活用されないときにおいても、当該金融商品取引業者の業務の健全かつ適切な遂行に支障を及ぼすおそれがないものに限り、同項第八号、第十一号、第十二号及び第十六号に掲げる行為に該当するものを除く。)とする。
Article 66-2 The acts to be specified by Cabinet Office Order as referred to in Article 35, paragraph (1), item (xvii) of the Act are the following acts (in the case of newly acquiring management resources for performing operations to execute the acts in addition to the human resources, information and communications technology, equipment and any other management resources retained by the financial instruments business operator pertaining to the financial instruments business conducted by the financial instruments business operator, even if most of the parts are not used due to demand status, limited to acts that are not likely to hinder the sound and appropriate performance of the operations of the financial instruments business operator and excluding acts falling under the acts specified in items (viii), (xi), (xii) and (xvi) of that paragraph):
一 他の事業者等(法人その他の団体及び事業を行う個人(当該事業の利益のためにする行為を行う場合における個人に限る。)をいう。以下この条及び第六十八条において同じ。)の経営に関する相談の実施、当該他の事業者等の業務に関連する事業者等又は顧客の紹介その他の必要な情報の提供及び助言並びにこれらに関連する事務の受託
(i) consultation on management of other business operators, etc. (meaning a corporation, other organization, and an individual carrying out a business (limited to an individual in the case of performing an act for the interest of the business); the same applies hereinafter in this Article and Article 68), introduction of business operators, etc. or customers related to operations of the other business operator, etc., provision of other necessary information, advice, and acceptance of entrusted affairs related thereto;
二 高度の専門的な能力を有する人材その他の当該金融商品取引業者の利用者である事業者等の経営の改善に寄与する人材に係る労働者派遣事業の適正な運営の確保及び派遣労働者の保護等に関する法律(昭和六十年法律第八十八号)第二条第一号に規定する労働者派遣(前号に掲げる行為を業として行うことその他の当該金融商品取引業者の行う業務に関連して行うものであって、その対象となる派遣労働者(同条第二号に規定する派遣労働者をいい、業として行われる同条第一号に規定する労働者派遣の対象となるものに限る。)が常時雇用される労働者でないものに限る。)
(ii) worker dispatch prescribed in Article 2, item (i) of the Act on Securing the Proper Operation of Worker Dispatching Businesses and Protecting Dispatched Workers (Act No. 88 of 1985) related to a professional with highly-skilled capabilities and other professionals contributing to improving the management of business operators, etc. who are users of the financial instruments business operator (limited to the worker dispatch implemented in relation to conducting the acts specified in the preceding item in the course of trade and other operations performed by the financial instruments business operator wherein dispatched workers subject to the worker dispatch (meaning dispatched workers prescribed in item (ii) of that Article and limited to those subject to the worker dispatch prescribed in item (i) of that Article implemented in the course of trade) are not regularly employed workers);
三 他の事業者等のために電子計算機を使用することにより機能するシステムの設計、開発若しくは保守(当該金融商品取引業者が単独で若しくは他の事業者等と共同して設計し、若しくは開発したシステム又はこれに準ずるものに係るものに限る。)又はプログラムの設計、作成、販売(プログラムの販売に伴い必要となる附属機器の販売を含む。)若しくは保守(当該金融商品取引業者が単独で若しくは他の事業者等と共同して設計し、若しくは作成したプログラム又はこれに準ずるものに係るものに限る。)を行うこと。
(iii) system design, development, or maintenance (limited to these acts pertaining to a system that is designed or developed solely by the financial instruments business operator or jointly with other business operators, etc., or an equivalent system thereto), or program design, creation, sale (including the sale of peripheral equipment that is necessary in association with the sale of the program), or maintenance (limited to the act pertaining to a program that is designed or created solely by the financial instruments business operator or jointly with other business operators, etc., or an equivalent program thereto) that function by using a computer for other business operators, etc.;
四 他の事業者等の業務に関する広告、宣伝、調査、情報の分析又は情報の提供を行うこと。
(iv) advertising, publicizing, investigating, analyzing information, or providing information related to the operations of other business operators, etc.; and
五 当該金融商品取引業者の利用者について定期的に又は随時通報を受けて巡回訪問を行うこと。
(v) visiting users of the financial instruments business operator regularly or in response to a notification.
(指標に係る変動等を利用して行う取引)
(Transactions Conducted by Using Fluctuations in Indicators)
第六十七条 法第三十五条第二項第二号に規定する内閣府令で定めるものは、次に掲げるものとする。
Article 67 The transactions to be specified by Cabinet Office Order as referred to in Article 35, paragraph (2), item (ii) of the Act are as follows:
一 外国商品市場取引
(i) foreign commodity market transaction; and
二 店頭商品デリバティブ取引
(ii) over-the-counter commodity derivatives transactions.
第六十八条 法第三十五条第二項第七号に規定する内閣府令で定める業務は、次に掲げる業務とする。
Article 68 The business to be specified by Cabinet Office Order as referred to in Article 35, paragraph (2), item (vii) of the Act is as follows:
一 金地金の売買又はその媒介、取次ぎ若しくは代理に係る業務
(i) business pertaining to purchase and sale of gold bullion, or an intermediation, brokerage, or agency therefor;
二 組合契約の締結又はその媒介、取次ぎ若しくは代理に係る業務
(ii) business pertaining to conclusion of a partnership contract, or an intermediation, brokerage, or agency therefor;
三 匿名組合契約の締結又はその媒介、取次ぎ若しくは代理に係る業務
(iii) business pertaining to conclusion of a silent partnership contract, or an intermediation, brokerage, or agency therefor;
四 貸出参加契約(金融機関等貸出債権に係る権利義務関係を移転させずに、原貸出債権に係る経済的利益及び損失の危険を原債権者から第三者に移転させる契約をいう。)の締結又はその媒介、取次ぎ若しくは代理に係る業務
(iv) business pertaining to conclusion of a loan participation contract (meaning a contract wherein the economic profit and risk of loss originating from a loan claim of a financial institution, etc. is transferred from the original creditor thereof to a third party, instead of transferring any right and obligation arising from the original loan), or an intermediation, brokerage, or agency therefor;
五 保険業法第二条第二十六項に規定する保険募集に係る業務又は金融サービスの提供に関する法律第十一条第三項に規定する保険媒介業務
(v) business pertaining to insurance solicitation as prescribed in Article 2, paragraph (26) of the Insurance Business Act or insurance intermediary business operations as prescribed in Article 11, paragraph (3) of the Act on the Provision of Financial Services;
六 自ら所有する不動産の賃貸に係る業務
(vi) business pertaining to lease of real properties owned by a financial instruments business operator itself;
七 物品賃貸業
(vii) goods leasing business;
八 他の事業者等の業務に関する電子計算機のプログラムの作成又は販売を行う業務及び計算受託業務
(viii) business pertaining to creation and sale of computer programs for the business of any other business operator, etc., and a business to accept the entrustment of computing service;
九 確定拠出年金法(平成十三年法律第八十八号)第二条第七項に規定する確定拠出年金運営管理業
(ix) business of management of the defined contribution pension prescribed in Article 2, paragraph (7) of the Defined Contribution Pension Act (Act No. 88 of 2001);
十 国民年金基金連合会から確定拠出年金法第六十一条第一項の規定による委託を受けて同項第一号、第二号又は第五号に掲げる事務(第五号に掲げる事務にあっては、同法第七十三条において準用する同法第二十二条の措置に関する事務又は同法第二条第三項に規定する個人型年金に係る届出の受理に関する事務に限る。)を行う業務
(x) business of carrying out the affairs listed in Article 61, paragraph (1), item (i), (ii) or (v) of the Defined Contribution Pension Act (with regard to the affair specified in item (v), limited to the affairs related to the measures set forth in Article 22 of that Act as applied mutatis mutandis pursuant to Article 73 of that Act or the affairs related to the acceptance of a notification on pensions for individuals as prescribed in Article 2, paragraph (3) of that Act), based on an entrustment from the national pension fund association pursuant to the provisions of Article 61, paragraph (1) of that Act;
十一 信託業法第二条第八項に規定する信託契約代理業
(xi) trust agreement agency business prescribed in Article 2, paragraph (8) of the Trust Business Act;
十二 金融機関の信託業務の兼営等に関する法律(昭和十八年法律第四十三号)第一条第一項第四号に掲げる業務若しくは同項第六号に掲げる業務のうち遺言の執行に関するもの又は同号若しくは同項第七号(イを除く。)に掲げる業務のうち遺産の整理に関するものに係る契約の締結の媒介(信託業務を営む金融機関(同項の認可を受けた金融機関をいう。以下同じ。)のために行うものに限る。)に係る業務
(xii) an intermediary service for a conclusion of a contract for the business specified in Article 1, paragraph (1), item (iv) of the Act on Provision of Trust Business by Financial Institutions (Act No. 43 of 1943), a contract for the business specified in item (vi) of that paragraph which relates to the execution of a will, or a contract for the business specified in that item or item (vii) of that paragraph (excluding (a)) which relates to the arrangement of an estate (limited to intermediary services provided for a financial institution engaged in trust business (meaning a financial institution authorized under that paragraph; the same applies hereinafter));
十三 金融機関代理業(銀行法第二条第十四項に規定する銀行代理業、長期信用銀行法第十六条の五第二項に規定する長期信用銀行代理業、信用金庫法第八十五条の二第二項に規定する信用金庫代理業、協同組合による金融事業に関する法律第六条の三第二項に規定する信用協同組合代理業、労働金庫法第八十九条の三第二項に規定する労働金庫代理業、農業協同組合法第九十二条の二第二項に規定する特定信用事業代理業、水産業協同組合法第百六条第二項に規定する特定信用事業代理業、農林中央金庫法第九十五条の二第二項に規定する農林中央金庫代理業又は金融サービスの提供に関する法律第十一条第二項に規定する預金等媒介業務をいう。以下同じ。)
(xiii) financial institution agency service (meaning the bank agency service prescribed in Article 2, paragraph (14) of the Banking Act, the long term credit bank agency service prescribed in Article 16-5, paragraph (2) of the Long-Term Credit Bank Act, the Shinkin Bank agency service prescribed in Article 85-2, paragraph (2) of the Shinkin Bank Act, the credit cooperative agency service prescribed in Article 6-3, paragraph (2) of the Act on Financial Businesses by Cooperative, the Labor Bank agency service prescribed in Article 89-3, paragraph (2) of the Labor Bank Act, the specific credit business agency service prescribed in Article 92-2, paragraph (2) of the Agricultural Cooperatives Act, the specific credit business agency service prescribed in Article 106, paragraph (2) of the Fishery Cooperatives Act, the Norinchukin Bank agency service prescribed in Article 95-2, paragraph (2) of the Norinchukin Bank Act, or the deposit, etc. intermediary business operations prescribed in Article 11, paragraph (2) of the Act on the Provision of Financial Services; the same applies hereinafter);
十四 不動産の管理業務
(xiv) real property management business;
十五 不動産に係る投資に関し助言を行う業務
(xv) advisory business related to real property investment;
十六 算定割当量(地球温暖化対策の推進に関する法律(平成十年法律第百十七号)第二条第七項に規定する算定割当量その他これに類似するものをいう。次号において同じ。)の取得若しくは譲渡に関する契約の締結又はその媒介、取次ぎ若しくは代理を行う業務
(xvi) business of a conclusion of a contract on the acquisition or transfer of carbon dioxide equivalent quotas (meaning the carbon dioxide equivalent quotas prescribed in Article 2, paragraph (7) of the Act on Promotion of Global Warming Countermeasures (Act No. 117 of 1998) or any other subject-matter similar thereto; the same applies in the following item), or an intermediation, brokerage, or agency therefor;
十七 次に掲げる取引又はその媒介、取次ぎ若しくは代理を行う業務
(xvii) business of conducting any of the following transactions, or an intermediation, brokerage, or agency therefor:
イ 当事者が数量を定めた算定割当量について当該当事者間で取り決めた算定割当量の相場に基づき金銭の支払を相互に約する取引その他これに類似する取引
(a) a transaction wherein the parties mutually promise to pay money with regard to the carbon dioxide equivalent quotas of which quantities are fixed by the parties, based on a quotation for the carbon dioxide equivalent quotas fixed by the parties, or any other transaction similar thereto; and
ロ 当事者の一方の意思表示により当事者間において前号の契約に係る取引及びイに掲げる取引を成立させることができる権利を相手方が当事者の一方に付与し、当事者の一方がこれに対して対価を支払うことを約する取引その他これに類似する取引
(b) a transaction wherein the parties thereto promise that one of the parties thereto grants to the other party the right to effect a transaction pertaining to the contract specified in the preceding item and a transaction specified in (a) between the parties upon the other party's manifestation of intention and the other party pays money in consideration for such right, or any other transaction similar thereto;
十八 投資法人(投資信託及び投資法人に関する法律第二条第十二項に規定する投資法人をいう。以下同じ。)から同法第百十七条第一項の規定による委託を受けて同項第四号に掲げる事務を行う業務又は特別目的会社から委託を受けてその機関の運営に関する事務を行う業務
(xviii) business of conducting the affairs specified in Article 117, paragraph (1), item (iv) of the Act on Investment Trust and Investment Corporations, based on an entrustment by an investment corporation (meaning an investment corporation prescribed in Article 2, paragraph (12) of that Act; the same applies hereinafter) pursuant to the provisions of Article 117, paragraph (1) of that Act; or the business of conducting the affairs related to the management of an organ of a special purpose company, based on entrustment by such special purpose company;
十九 有価証券又はデリバティブ取引に係る権利以外の資産(暗号資産を除く。)に対する投資として、他人のため金銭その他の財産の運用を行う業務(法第三十五条第二項第一号、第二号、第五号の二及び第六号に掲げる業務に該当するものを除く。)
(xix) business of investing money or other properties (excluding Cryptoassets) for other person, as an investment in assets other than securities or rights pertaining to a derivative transaction (excluding the business which falls under any of the categories of business listed in Article 35, paragraph (2), items (i), (ii), (v)-2 and (vi) of the Act);
二十 債務の保証又は引受けに係る契約の締結又はその媒介、取次ぎ若しくは代理に係る業務
(xx) business of concluding a contract for a guarantee or assumption of an obligation, or an intermediation, brokerage, or agency therefor;
二十一 その行う業務に係る顧客に対し他の事業者等のあっせん又は紹介を行う業務
(xxi) business of making an arrangement with or introducing another business operator, etc., to customers of its business;
二十二 他の事業者等の業務に関する広告又は宣伝を行う業務
(xxii) business of creating any advertisement or promotion in regard to the business of any other business operator, etc.;
二十三 資金決済に関する法律第二条第二項に規定する資金移動業
(xxiii) funds transfer business prescribed in Article 2, paragraph (2) of the Payment Services Act ; and
二十四 法第三十五条第二項第一号から第六号まで又は前各号に掲げる業務に附帯する業務
(xxiv) business incidental to those listed in Article 35, paragraph (2), items (i) through (vi) of the Act or in the preceding items.
(その他業務に係る届出)
(Notification of Additional Business)
第六十九条 法第三十五条第三項又は第六項の規定により届出を行う金融商品取引業者は、当該届出に係る業務の種類並びに当該業務の開始又は廃止の年月日及び理由を記載した届出書に、次の各号に掲げる場合の区分に応じ、当該各号に定める書類を添付して、所管金融庁長官等に提出しなければならない。
Article 69 A financial instruments business operator which intends to file a notification under Article 35, paragraph (3) or (6) of the Act must submit to the Commissioner of the Financial Services Agency or other competent official a written notification stating the type of business to be notified as well as the date of and reason for the commencement or discontinuation of such business, attaching a document specified in the following items in accordance the categories of documents set forth respectively therein:
一 当該業務を開始した場合 次に掲げる事項を記載した書類
(i) in the case of the commencement of the business: a document stating the following particulars:
イ 当該業務の方法
(a) the business methods;
ロ 当該業務の損失の危険の管理方法
(b) the method of the risk management concerning loss arising from the business; and
ハ 当該業務を行う部署の名称及び人員配置
(c) the name of the section in charge of the business and the positions of the personnel;
二 当該業務を廃止した場合 当該業務の廃止に伴う顧客勘定の処理の方法を記載した書面
(ii) in the case of the discontinuation of the business: a document stating the means of the treatment of customers' accounts incidental to the discontinuation of such business.
(その他業務の承認申請)
(Applications for Approval of Additional Business)
第七十条 法第三十五条第四項の承認を受けようとする金融商品取引業者は、次に掲げる事項を記載した承認申請書を所管金融庁長官等に提出しなければならない。
Article 70 (1) A financial instruments business operator which intends to obtain the approval under Article 35, paragraph (4) of the Act must submit to the Commissioner of the Financial Services Agency or other competent official a written application for approval stating the following particulars:
一 商号
(i) the trade name;
二 登録年月日及び登録番号
(ii) the registration date and registration number;
三 承認を受けようとする業務の種類
(iii) the type of business for which approval is sought; and
四 当該業務の開始予定年月日
(iv) the scheduled date for the commencement of the business.
2 前項の承認申請書には、次に掲げる事項を記載した書類を添付しなければならない。
(2) A document stating the following particulars must be attached to a written application for approval as set forth in the preceding paragraph:
一 当該業務の内容及び方法
(i) the content of the business and business methods;
二 当該業務に係る損失の危険の管理方法に関する次に掲げる事項
(ii) the following matters in relation to the method of risk management concerning risk of loss pertaining to the business:
イ 当該業務に係る損失の危険相当額(第一種金融商品取引業を行う者にあっては、第百七十八条第一項第一号に規定する市場リスク相当額、同項第二号に規定する取引先リスク相当額及び同項第三号に規定する基礎的リスク相当額を含む。以下この号において同じ。)の算定方法
(a) the method of calculating the value of loss risk equivalent pertaining to the business (in the case of a person engaged in type-I financial instruments business, including the market risk equivalent defined in Article 178, paragraph (1), item (i) and the counterparty risk equivalent defined in item (ii) of that paragraph, and the Basic Risk Equivalent defined in item (iii) of that paragraph; hereinafter the same applies in this item);
ロ 当該業務に係る損失の危険相当額の限度枠の設定及び適用方法
(b) the method of the establishment and application of a ceiling on the value of loss risk equivalent pertaining to the business;
ハ 当該業務に係る損失の危険相当額の算定及び限度枠の管理を行う部署の名称及び体制
(c) the name and structure of the section in charge of the calculation of the value of loss risk equivalent pertaining to the business and the management of the ceiling thereof;
ニ 当該業務に係る損失の危険相当額の算定の基礎となる資料の作成及び保存の方法
(d) the method of preparation and preservation of materials which would serve as the basis of the calculation of the value of loss risk equivalent pertaining to the business;
ホ 当該業務に係る損失の危険相当額及びその限度枠の適用状況について、検査を行う頻度、部署の名称及び体制
(e) the frequency of inspection of the value of loss risk equivalent pertaining to the business and the status of the application of the ceiling thereof, and the name and structure of the section in charge of such inspection; and
ヘ その他当該業務に係る損失の危険の管理に関する重要な事項
(f) any other important matter related to the risk management concerning loss pertaining to the business;
三 当該業務を所掌する組織及び人員配置
(iii) the organizational structure for executing the business and the positions of the personnel therefor;
四 当該業務の運営に関する社内規則
(iv) the internal rules regarding the management of the business.
(業務管理体制の整備)
(Establishment of Operational Control System)
第七十条の二 法第三十五条の三の規定により金融商品取引業者等が整備しなければならない業務管理体制は、金融商品取引業等を適確に遂行するための社内規則等(社内規則その他これに準ずるものをいう。)を整備し、当該社内規則等を遵守するための従業員に対する研修その他の措置がとられていることとする。
Article 70-2 (1) The operational control system to be established by a financial instruments business operator, etc. pursuant to Article 35-3 of the Act is to develop internal rules, etc. (meaning internal rules and other documents equivalent thereto) for ensuring the implementation of financial instruments business, etc. in an appropriate way and to implement employee training and other measures to ensure compliance with the internal rules, etc.
2 法第三十五条の三の規定により金融商品取引業者等(電子募集取扱業務を行う者又は第六条の二各号に掲げる方法により法第二条第八項第七号に掲げる行為(法第三条各号に掲げる有価証券又は金融商品取引所に上場されていない有価証券(令第十五条の四の二各号に掲げるものを除く。)について行う場合に限る。)を業として行う者に限る。第二号において同じ。)が整備しなければならない業務管理体制は、前項の要件のほか、次に掲げる要件を満たさなければならない。
(2) The operational control system to be established by a financial instruments business operator, etc. (limited to an operator conducting electronic public offering services or an operator conducting the acts specified in Article 2, paragraph (8), item (vii) of the Act by the method specified in the items of Article 6-2 (limited to the case relating to the securities specified in the items of Article 3 of the Act or the securities not listed on a financial instruments exchange (excluding the securities specified in the items of Article 15-4-2 of the Order)) in the course of trade; the same applies in item (ii)), pursuant to Article 35-3 of the Act, must satisfy the following requirements beyond the requirements under the preceding paragraph.
一 金融商品取引業等に係る電子情報処理組織の管理を十分に行うための措置がとられていること。
(i) that the measures to ensure sufficient control of the electronic data processing system pertaining to the financial instruments business, etc. have been taken;
二 法第三十六条の二第一項の規定により同項の標識に表示されるべき事項(金融商品取引業者等が電子申込型電子募集取扱業務等を行う場合であって、金融商品取引業協会(当該金融商品取引業者等が行う業務(当該電子申込型電子募集取扱業務等に係るものに限る。)を行う者を主要な協会員又は会員とするものに限る。)に加入していない場合にあっては、その旨を含む。)に関し、金融商品取引業者等の使用に係る電子計算機に備えられたファイルに記録された情報の内容を電気通信回線を通じて公衆の閲覧に供するための措置がとられていること。
(ii) that, for the matters to be indicated on the sign under Article 36-2, paragraph (1) of the Act pursuant to that paragraph (if the financial instruments business operator, etc. conducts electronic-based application type electronic public offering services, and if it is not a member of any financial instruments firms association (limited to an association having principal association members or members that are persons conducting the business implemented by the financial instruments business operator, etc. (limited to the business pertaining to the electronic-based application type electronic public offering services)), including such fact), measures have been taken to make available for public inspection the contents of information recorded into the files stored on the computer used by the financial instruments business operator via telecommunications line;
三 電子申込型電子募集取扱業務等において取り扱おうとする有価証券に関し、その発行者の財務状況、事業計画の内容及び資金使途その他電子申込型電子募集取扱業務等の対象とすることの適否の判断に資する事項の適切な審査(電子申込型電子募集取扱業務等において取り扱う有価証券の募集又は私募に係る顧客の応募額の目標として設定した金額(次号及び第五号並びに第八十三条第一項第六号ロ及びハにおいて「目標募集額」という。)が発行者の事業計画に照らして適当なものであることを確認することを含む。)を行うための措置がとられていること。
(iii) that, for the securities to be handled in the course of electronic-based application type electronic public offering services, etc., measures have been taken for the examination, in an appropriate manner, of the financial status of the issuers, details of business plans , purpose of use of funds and any other matters to facilitate the decision of whether it is appropriate to handle the securities as part of electronic-based application type electronic public offering services, etc. (including the confirmation of the appropriateness of the amount fixed as a target for the subscription amount of customers of the public offering or private placement of securities handled as part of the electronic-based application type electronic public offering services (referred to as "target subscription amount" in the following item and item (v) as well as Article 83, paragraph (1), item (vi), (b) and (c))) in light of the business plan of the issuer;
四 電子申込型電子募集取扱業務等において取り扱う有価証券の募集又は私募に係る顧客の応募額が顧客が当該有価証券の取得の申込みを行うことができる期間(次号及び第八十三条第一項第六号イにおいて「申込期間」という。)内に目標募集額に到達しなかった場合及び目標募集額を超過した場合の当該応募額の取扱いの方法を定め、当該方法に関して顧客に誤解を生じさせないための措置がとられていること。
(iv) that the method of handling the target subscription amount are provided for a case in which the subscription amount of customers of the public offering or private placement of securities handled as part of the electronic-based application type electronic public offering services failed to reach the target subscription amount within the period during which the customers may make a subscription for the acquisition of the securities (referred to as "subscription period" in the following item and Article 83, paragraph (1), item (vi), (a)) and a case in which the subscription amount exceeded the target subscription amount, and that measures have been taken to prevent the customers' misunderstanding as to the method;
五 電子申込型電子募集取扱業務等において取り扱う有価証券の募集又は私募に関して、顧客の応募額が申込期間内に目標募集額に到達したときに限り当該有価証券が発行される方法を用いている場合には、当該目標募集額に到達するまでの間、発行者が応募代金(これに類するものを含む。第七号及び第八十三条第一項第六号ニにおいて同じ。)の払込みを受けることがないことを確保するための措置がとられていること。
(v) that, in relation to the public offering or private placement of the securities handled as part of the electronic-based application type electronic public offering services, if the financial instruments business operator, etc. uses a method whereby the securities are issued subject to the achievement of the target subscription amount for the subscription amount of customer within the subscription period, measures have been taken to ensure that the issuer will not receive the payment of subscription price (including anything equivalent to this; the same applies in item (vii) and Article 83, paragraph (1), item (vi), sub-item (d))before the target subscription amount is achieved;
六 電子申込型電子募集取扱業務等に係る顧客が電子申込型電子募集取扱業務等において取り扱う有価証券の取得の申込みをした日から起算して八日を下らない期間が経過するまでの間、当該顧客が当該申込みの撤回又は当該申込みに係る発行者との間の契約の解除を行うことができることを確認するための措置がとられていること。
(vi) that the measures have been taken to confirm that customers may withdraw the subscription or cancel the subscription contract with the issuer before the elapse of the period which is not less than eight days from the day when the customer of the electronic-based application type electronic public offering services, etc. made a subscription for the acquisition of securities to be handled as part of the electronic-based application type electronic public offering services;
七 発行者が電子申込型電子募集取扱業務等に係る顧客の応募代金の払込みを受けた後に、当該発行者が顧客に対して事業の状況について定期的に適切な情報を提供することを確保するための措置がとられていること。
(vii) that the measures have been taken to ensure that the issuer provides customers with appropriate information on the business on a regular basis after the issuer receives the payment of the subscription price by the customer of the electronic-based application type electronic public offering services; and
八 第一種少額電子募集取扱業務又は第二種少額電子募集取扱業務において取り扱う募集又は私募に係る有価証券の発行価額の総額及び当該有価証券を取得する者が払い込む額が令第十五条の十の三各号に掲げる要件を満たさなくなることを防止するための必要かつ適切な措置(第十六条の三各項に規定する算定方法に基づいて当該有価証券の発行価額の総額及び当該有価証券を取得する者が払い込む額を適切に算定するための措置を含む。)がとられていること。
(viii) that necessary and appropriate measures have been taken to prevent the total amount of issue value of the securities for the public offering or private placement handled as part of the type-I small amount electronic public offering service or type-II small amount electronic public offering service and the amount to be paid by the person acquiring the securities from falling below the requirements specified in the items of Article 15-10-3 of the Order (including the measure for the appropriate calculation of the total amount of issue value of the securities or the amount to be paid by the person acquiring the securities in accordance with the calculation methods provided in the paragraphs of Article 16-3).
3 前項第二号から第七号までの「電子申込型電子募集取扱業務等」とは、電子申込型電子募集取扱業務(電子募集取扱業務のうち、次に掲げる方法により当該電子募集取扱業務の相手方(以下この項において「顧客」という。)に有価証券の取得の申込みをさせるものをいう。以下この項において同じ。)又は第一種少額電子募集取扱業者若しくは第二種少額電子募集取扱業者が行う電子募集取扱業務(電子申込型電子募集取扱業務に該当するものを除く。以下この項において同じ。)及びこれらの業務において取り扱う募集又は私募に係る有価証券についての法第二条第八項第九号に掲げる行為(電子申込型電子募集取扱業務又は第一種少額電子募集取扱業者若しくは第二種少額電子募集取扱業者が行う電子募集取扱業務に該当するものを除く。)をいう。
(3) The term "electronic-based application type electronic public offering services, etc." referred to in items (ii) through (vii) of the preceding paragraph means electronic-based application type electronic public offering services (meaning an electronic public offering services whereby the counterparty to the electronic public offering services (hereinafter referred to as a "customer" in this paragraph) makes a subscription for the acquisition of securities by the following means; hereinafter the same applies in this paragraph), or electronic public offering services conducted by a type-I small amount electronic public offering service provider or type-II small amount electronic public offering service provider (excluding services which fall under the category of electronic-based application type electronic public offering services; hereinafter the same applies in this paragraph), and the acts specified in Article 2, paragraph (8), item (ix) of the Act in relation to the securities for the public offering and private placement to be handled as part of these services (excluding the services which fall under the categories of electronic-based application type electronic public offering services, or electronic public offering services conducted by a type-I small amount electronic public offering service provider or type-II small amount electronic public offering service provider):
一 金融商品取引業者等の使用に係る電子計算機に備えられたファイルに記録された顧客が申し込もうとする有価証券に関する事項を電気通信回線を通じて顧客の閲覧に供し、当該金融商品取引業者等の使用に係る電子計算機に備えられたファイルに当該顧客の申込みに関する事項を記録する方法
(i) a means whereby the matters relating to the securities to be subscribed for by a customer recorded in the files stored on a computer used by a financial instruments business operator, etc. are made available for inspection via telecommunication lines, and by the matters relating to the subscription by the customer is recorded in the file stored on a computer used by the financial instruments business operator, etc.; or
二 金融商品取引業者等の使用に係る電子計算機と有価証券の取得の申込みをしようとする顧客の使用に係る電子計算機とを接続する電気通信回線を通じて又はこれに類する方法により顧客が申し込もうとする有価証券に関する事項を送信し(音声の送受信による通話を伴う場合を除く。)、当該金融商品取引業者等の使用に係る電子計算機に備えられたファイルに当該顧客の申込みに関する事項を記録する方法
(ii) a means whereby the matters relating to the securities to be subscribed for by a customer that intends to make a subscription for the acquisition of the securities are transmitted via telecommunication lines connecting a computer used by a financial instruments business operator, etc. and a computer used by the customer or similar means (excluding the case of involving a communication through audio transmission), and by the matters relating to the subscription by the customer are recorded in the file stored on a computer used by the financial instruments business operator, etc.
4 法第三十五条の三の規定により金融商品取引業者等(金融商品取引業等として高速取引行為を行う者に限る。)が整備しなければならない業務管理体制は、第一項の要件のほか、高速取引行為に係る電子情報処理組織その他の設備の管理を十分に行うための措置がとられていることとする。
(4) The operational control systems to be established by financial instruments business operators, etc. (limited to the business operators conducting high-speed trading as financial instruments business, etc.) pursuant to Article 35-3 of the Act are the measures to ensure sufficient management of an electronic data processing systems for the high-speed trading and other facilities, beyond the requirements under paragraph (1).
5 法第三十五条の三の規定により金融商品取引業者等(電子記録移転有価証券表示権利等について有価証券等管理業務又は第七条第十一号に規定する業務を行う者に限る。)が整備しなければならない業務管理体制は、第一項の要件のほか、電子記録移転有価証券表示権利等を表示する財産的価値を移転するために必要な情報の漏えい、滅失、毀損その他の事由に起因して、法第四十三条の二第一項又は第四十三条の三第一項の規定により自己の固有財産と分別し、又は区分して管理する電子記録移転有価証券表示権利等で顧客に対して負担する電子記録移転有価証券表示権利等の管理に関する債務の全部を履行することができない場合における当該債務の履行に関する方針(当該債務を履行するために必要な対応及びそれを実施する時期を含む。)を定めて公表し、かつ、実施するための措置がとられていることとする。
(5) The operational control system to be established by Financial Instruments Business Operators, etc. (limited to those conducting the Securities, etc. Management Business or the business prescribed in Article 7, item (xi) with regard to Electronically Recorded Transferable Rights to Be Indicated on Securities, etc.) pursuant to Article 35-3 of the Act are the measures to ensure that the business operators formulate, publicize and implement the policies concerning the performance of obligations in cases where they are unable to perform all of the obligations in relation to the management of Electronically Recorded Transferable Rights to Be Indicated on Securities, etc. that the business operators assume against their customers, out of Electronically Recorded Transferable Rights to Be Indicated on Securities, etc. that the Financial Instruments Business Operators, etc. manage distinctively or separately from their own assets under the provisions of Article 43-2, paragraph (1) or Article 43-3, paragraph (1) of the Act, as a result of the improper disclosure, loss, or damage of information necessary for transferring financial values on which Electronically Recorded Transferable Rights to Be Indicated on Securities, etc. are indicated or due to other grounds (policies include actions necessary for performing the relevant obligations and times to take those actions), in addition to the requirements under paragraph (1).
6 法第三十五条の三の規定により金融商品取引業者等(親会社(法第五十七条の二第八項に規定する親会社をいう。以下この項において同じ。)が外国会社である者のうち金融庁長官が指定する者に限る。)が整備しなければならない業務管理体制は、第一項の要件のほか、金融庁長官が定めるところにより、親会社との間において、業務の継続的な実施を確保するための措置がとられていることとする。
(6) The operational control systems to be established by financial instruments business operators, etc. (limited to the business operators whose parent company (meaning a parent company provided in Article 57-2, paragraph (8) of the Act; hereinafter the same applies in this paragraph) is a foreign company designated by the Commissioner of the Financial Services Agency) pursuant to Article 35-3 of the Act are the measures to ensure continuous implementation of business with the parent company as prescribed by the Commissioner of the Financial Services Agency, in addition to the requirements under paragraph (1).
7 法第三十五条の三の規定により金融商品取引業者等(取引所金融商品市場における有価証券の売買若しくは市場デリバティブ取引(当該取引所金融商品市場を開設する金融商品取引所の業務規程で定める売買立会又は立会によらないものに限る。)又はこれらの取引の委託の取次ぎ(有価証券等清算取次ぎを除く。)であって社内取引システム(当該金融商品取引業者等その他の者が、電子情報処理組織を使用して、同時に多数の者を一方の当事者又は各当事者として、当該有価証券の売買若しくは市場デリバティブ取引の価格その他の取引の条件の決定又はこれに類似する行為を行うものをいい、令第二十六条の二の二第七項に規定する私設取引システムを除く。以下この項及び第百五十八条第五項において同じ。)を使用して行うものを業として行う者に限る。)が整備しなければならない業務管理体制は、第一項の要件のほか、次に掲げる要件を満たさなければならない。
(7) The operational control systems to be established by financial instruments business operators, etc. (limited to an operator conducting the purchase and sale of securities or market derivatives transactions on the financial instruments exchange market (limited to those conducted outside the trading session or through off-floor trading as prescribed in the operational rules of a financial instruments exchange operating the financial instruments exchange market) or a brokerage service for the entrustment of those transactions (excluding brokerage for the clearing of securities, etc.) in the course of trade by using an intra-company transaction system (meaning a system under which the financial instruments business operators, etc. or any other person determines the price of the purchase and sale of securities or market derivatives transactions or other transaction conditions or conducts similar acts by using electronic data processing systems with many persons as the other party or each party simultaneously, but excluding the proprietary trading system prescribed in Article 26-2-2, paragraph (7) of the Order; the same applies hereinafter in this paragraph and Article 158, paragraph (5))) pursuant to Article 35-3 of the Act must meet the following requirements, in addition to the requirements under paragraph (1):
一 その使用する社内取引システム(当該金融商品取引業者等が開設するものを除く。)の運営の状況を把握するための措置がとられていること。
(i) measures are taken to understand the operation status of the intra-company transaction system that the financial instruments business operator, etc. uses (excluding the system established by the financial instruments business operator, etc.); and
二 その使用する社内取引システムに関し、顧客に対して、次に掲げる事項について、当該顧客の知識、経験、財産の状況及び当該有価証券の売買又は市場デリバティブ取引を行う目的を踏まえた適切な説明を行うための措置がとられていること。
(ii) measures are taken to provide appropriate explanation to customers concerning the intra-company transaction system that the financial instruments business operator, etc. uses on the following matters, in light of the customers' knowledge, experience, conditions of property, and purpose of conducting the purchase and sale of securities or market derivatives transactions:
イ 当該社内取引システムを使用する場合の条件
(a) conditions in the case of using the intra-company transaction system; and
ロ 当該社内取引システムを開設する者、取引の条件の決定に参加できる者、取引の条件の決定方法その他の当該社内取引システムの運営に関する情報
(b) a person establishing the intra-company transaction system, a person who can participate in making decisions on transaction conditions, methods of making decisions on transaction conditions, and other information related to operation of the intra-company transaction system.
(金融商品関連業務の範囲)
(Range of Financial Instruments Related Business)
第七十条の三 法第三十六条第二項に規定する内閣府令で定める業務は、次の各号に掲げる場合の区分に応じ、当該各号に定める業務とする。
Article 70-3 The businesses to be specified by Cabinet Office Order as referred to in Article 36, paragraph (2) of the Act are the businesses specified in the following items according to the category of cases set forth in the respective items:
一 特定金融商品取引業者等(法第三十六条第三項に規定する特定金融商品取引業者等をいう。以下同じ。)が令第十五条の二十七第一号に掲げる者である場合 次のイ及びロに掲げる業務
(i) when a specified financial instruments business operator, etc. (meaning a specified financial instruments business operator, etc. prescribed in Article 36, paragraph (3) of the Act; the same applies hereinafter) is a person listed in Article 15-27, item (i) of the Order: the businesses listed in (a) and (b) below:
イ 金融商品取引業又は登録金融機関業務
(a) financial instruments business or registered financial institution business; and
ロ 法第三十五条第一項に規定する金融商品取引業に付随する業務(当該特定金融商品取引業者等の子金融機関等(法第三十六条第五項に規定する子金融機関等をいう。以下同じ。)が行う当該業務に相当する業務を含む。)
(b) a business incidental to financial instruments business prescribed in Article 35, paragraph (1) of the Act (including a business conducted by a subsidiary financial institution, etc. of such specified financial instruments business operator, etc. (meaning a subsidiary financial institution, etc. prescribed in Article 36, paragraph (5) of the Act; the same applies hereinafter) that is equivalent to such business); and
二 特定金融商品取引業者等が令第十五条の二十七第二号に掲げる者である場合 次のイ及びロに掲げる業務
(ii) when a specified financial instruments business operator, etc. is a person listed in Article 15-27, item (ii) of the Order: the businesses listed in (a) and (b) below:
イ 金融商品取引業又は登録金融機関業務
(a) financial instruments business or registered financial institution business; and
ロ 法第三十五条第一項に規定する金融商品取引業に付随する業務
(b) a business incidental to financial instruments business prescribed in Article 35, paragraph (1) of the Act.
(顧客の利益が不当に害されることのないよう必要な措置)
(Measures Required So That Interests of Customer Would Not Be Unjustly Impaired)
第七十条の四 特定金融商品取引業者等は、当該特定金融商品取引業者等又はその親金融機関等(法第三十六条第四項に規定する親金融機関等をいう。以下同じ。)若しくは子金融機関等が行う取引に伴い、当該特定金融商品取引業者等又はその子金融機関等が行う金融商品関連業務(同条第二項に規定する金融商品関連業務をいう。以下同じ。)に係る顧客の利益が不当に害されることのないよう、次に掲げる措置を講じなければならない。
Article 70-4 (1) A specified financial instruments business operator, etc. must take the following measures so that, as a result of any transaction it or its parent financial institution, etc. (meaning a parent financial institution, etc. prescribed in Article 36, paragraph (4) of the Act; the same applies hereinafter) or subsidiary financial institution, etc. conducts, the interests of a customer pertaining to financial instruments related business (meaning a financial instruments related business prescribed in paragraph (2) of that Article; the same applies hereinafter) conducted by the specified financial instruments business operator, etc. or its subsidiary financial institution etc. would not be unjustly impaired:
一 対象取引を適切な方法により特定するための体制の整備
(i) the establishment of a system for identifying a subject transaction in an appropriate manner;
二 次に掲げる方法その他の方法により当該顧客の保護を適正に確保するための体制の整備
(ii) the establishment of a system for ensuring in an appropriate manner the protection of such customer by following means and any other means:
イ 対象取引を行う部門と当該顧客との取引を行う部門を分離する方法
(a) means of separating the section conducting the subject transaction and the section conducting a transaction with such customer;
ロ 対象取引又は当該顧客との取引の条件又は方法を変更する方法
(b) means of changing the terms or means of the subject transaction or the transaction with such customer;
ハ 対象取引又は当該顧客との取引を中止する方法
(c) means of discontinuing the subject transaction or the transaction with such customer; and
ニ 対象取引に伴い、当該顧客の利益が不当に害されるおそれがあることについて、当該顧客に適切に開示する方法
(d) means of disclosing in an appropriate fashion that as a result of the subject transaction, the interests of such customer might be unjustly impaired;
三 前二号に掲げる措置の実施の方針の策定及びその概要の適切な方法による公表
(iii) the formulation of policies for implementing the measures listed in the preceding two items and the publication of an overview thereof by an appropriate means; and
四 次に掲げる記録の保存
(iv) the storage of the following records:
イ 第一号の体制の下で実施した対象取引の特定に係る記録
(a) the records pertaining to the identification of subject transactions performed under the system under item (i); and
ロ 第二号の体制の下で実施した顧客の保護を適正に確保するための措置に係る記録
(b) the records pertaining to the measures for ensuring in an appropriate manner the protection of customers performed under the system under item (ii).
2 前項第四号に規定する記録は、その作成の日から五年間保存しなければならない。
(2) The records prescribed in item (iv) of the preceding paragraph must be preserved for five years after the preparation thereof.
3 第一項の「対象取引」とは、特定金融商品取引業者等又はその親金融機関等若しくは子金融機関等が行う取引に伴い、当該特定金融商品取引業者等又はその子金融機関等が行う金融商品関連業務に係る顧客の利益が不当に害されるおそれがある場合における当該取引をいう。
(3) A "subject transaction" under paragraph (1) means a transaction conducted by a specified financial instruments business operator, etc. or its parent financial institution, etc., or subsidiary financial institution, etc., as a result of which the interests of a customer pertaining to financial instruments related business conducted by such specified financial instruments business operator, etc. or its subsidiary financial institution, etc. might be unjustly impaired.
(掲示すべき標識の様式)
(Forms of Signs to Be Posted)
第七十一条 法第三十六条の二第一項に規定する内閣府令で定める様式は、次の各号に掲げる者の区分に応じ、当該各号に定めるものとする。
Article 71 The forms to be specified by Cabinet Office Order as referred to in Article 36-2, paragraph (1) of the Act are the forms specified in the following items, in accordance with the categories of the persons respectively set forth therein:
一 金融商品取引業者 別紙様式第十号
(i) financial instruments business operator: Appended Form No. 10; or
二 登録金融機関 別紙様式第十一号
(ii) registered financial institution: Appended Form 11.
(広告類似行為)
(Acts Similar to Advertising)
第七十二条 法第三十七条各項に規定する内閣府令で定める行為は、郵便、信書便(民間事業者による信書の送達に関する法律(平成十四年法律第九十九号)第二条第六項に規定する一般信書便事業者又は同条第九項に規定する特定信書便事業者の提供する同条第二項に規定する信書便をいう。第二百六十六条において同じ。)、ファクシミリ装置を用いて送信する方法、電子メール(特定電子メールの送信の適正化等に関する法律(平成十四年法律第二十六号)第二条第一号に規定する電子メールをいう。第二百六十六条において同じ。)を送信する方法、ビラ又はパンフレットを配布する方法その他の方法(次に掲げるものを除く。)により多数の者に対して同様の内容で行う情報の提供とする。
Article 72 The acts to be specified by Cabinet Office Order as referred to in the paragraphs of Article 37 of the Act are the provision of identical information to many persons, by means of postal mail, correspondences delivery (meaning a correspondence delivery as prescribed in Article 2, paragraph (2) of the Act on Correspondence Delivery by Private Business Operators (Act No. 99 of 2002) that is provided by a general correspondence delivery operator as prescribed in paragraph (6) of that Article or by a specified correspondence delivery operator as prescribed in paragraph (9) of that Article; the same applies in Article 266), transmission by facsimile devices, transmission by electronic mails (meaning the electronic mail prescribed in Article 2, item (i) of the Act on Regulation of Transmission of Specified Electronic Mail (Act No. 26 of 2002); the same applies in Article 266), distribution of leaflets or pamphlets or by any other means (excluding those listed in the following):
一 法令又は法令に基づく行政官庁の処分に基づき作成された書類を配布する方法
(i) distribution of documents prepared in accordance with laws or regulations, or in accordance with the dispositions rendered by administrative agencies under the laws and regulations;
二 個別の企業の分析及び評価に関する資料であって、金融商品取引契約の締結の勧誘に使用しないものを配布する方法
(ii) distribution of materials on the analysis and appraisal of the respective companies not intended to be used for solicitation for the conclusion of a financial instruments transaction contract;
三 次に掲げる全ての事項のみが表示されている景品その他の物品(ロからニまでに掲げる事項について明瞭かつ正確に表示されているものに限る。)を提供する方法(当該事項のうち景品その他の物品に表示されていない事項がある場合にあっては、当該景品その他の物品と当該事項が表示されている他の物品とを一体のものとして提供する方法を含む。)
(iii) provision of premiums or any other goods only indicating all of the following information (limited to premiums or goods clearly and accurately indicating the information listed in (b) through (d)) (if any of the following information is not indicated on the premiums or other goods, such provision includes the provision of such premiums or other goods incorporating other goods indicating such information as an integral part thereof):
イ 次に掲げるいずれかのものの名称、銘柄又は通称
(a) the name, issue or alias of any of the following:
(1) 金融商品取引契約又はその種類
1. the financial instruments transaction contract or the types thereof;
(2) 有価証券又はその種類
2. the securities or the types thereof;
(3) 出資対象事業又はその種類
3. the business subject to investment or the types thereof; or
ロ この号に規定する方法により多数の者に対して同様の内容で行う情報の提供をする金融商品取引業者等の商号、名称若しくは氏名又はこれらの通称
(b) the trade name, name or alias of the financial instruments business operator, etc. which provides identical information to many persons by the means specified in this item;
ハ 令第十六条第二項第一号に掲げる事項及び第七十六条第三号に掲げる事項(これらの事項の文字又は数字が当該事項以外の事項の文字又は数字のうち最も大きなものと著しく異ならない大きさで表示されているものに限る。)
(c) the matters specified in Article 16, paragraph (2), item (i) of the Cabinet Order and the matters specified in Article 76, item (iii) (limited to the case where the letters or numerical characters representing such matter are indicated in a size which does not differ substantially from the size of the largest letters or numerical characters representing matters other than such matters);
ニ 次に掲げるいずれかの書面の内容を十分に読むべき旨
(d) a notice to the effect that the recipient thereof should read any of the following documents comprehensively:
(1) 法第三十七条の三第一項に規定する書面(以下「契約締結前交付書面」という。)
1. the document prescribed in Article 37-3, paragraph (1) of the Act (hereinafter referred to as the "document for delivery prior to conclusion of contract");
(2) 第八十条第一項第一号に規定する上場有価証券等書面
2. the explanatory document on listed securities, etc. prescribed in Article 80, paragraph (1), item (i);
(3) 第八十条第一項第三号に規定する目論見書(同号の規定により当該目論見書と一体のものとして交付される書面がある場合には、当該目論見書及び当該書面)
3. the prospectus prescribed in Article 80, paragraph (1), item (iii) (if there is any document to be delivered as an integral part of such prospectus pursuant to the provisions of that item;, such prospectus and such document); and
(4) 第八十条第一項第四号ロに規定する契約変更書面
4. the explanatory document on change to contract information prescribed in Article 80, paragraph (1), item (iv), (b).
(金融商品取引業の内容についての広告等の表示方法)
(Method of Indication of Advertisement on the Content of Financial Instruments Business)
第七十三条 金融商品取引業者等がその行う金融商品取引業(登録金融機関にあっては、登録金融機関業務。次項及び第三項において同じ。)の内容について広告又は前条に規定する行為(以下この款において「広告等」という。)をするときは、法第三十七条第一項各号に掲げる事項について明瞭かつ正確に表示しなければならない。
Article 73 (1) If a financial instruments business operator, etc. intends to make an advertisement or to conduct any other acts specified in the preceding Article (hereinafter referred to as the "advertisement, etc." in this Subsection) with regard to the contents of its financial instruments business (in the case of a registered financial institution, its registered financial institution business; the same applies in the following paragraph and paragraph (3)), it must clearly and accurately indicate the matters listed in the items of Article 37, paragraph (1) of the Act.
2 金融商品取引業者等がその行う金融商品取引業の内容について広告等をするときは、令第十六条第一項第四号及び第五号に掲げる事項並びに第七十六条第三号に掲げる事項の文字又は数字をこれらの事項以外の事項の文字又は数字のうち最も大きなものと著しく異ならない大きさで表示するものとする。
(2) If a financial instruments business operator, etc. intends to make an advertisement, etc. in regard to the contents of its financial instruments business, it is to indicate the letters or numerical characters representing the matters specified in Article 16, paragraph (1), items (iv) and (v) of the Cabinet Order and the matters specified in Article 76, item (iii)in a size which does not differ substantially from the size of the largest letters or numerical characters representing matters other than such matters.
3 金融商品取引業者等がその行う金融商品取引業の内容について基幹放送事業者(放送法(昭和二十五年法律第百三十二号)第二条第二十三号に規定する基幹放送事業者をいい、日本放送協会及び放送大学学園(放送大学学園法(平成十四年法律第百五十六号)第三条に規定する放送大学学園をいう。)を除く。以下同じ。)の放送設備により放送をさせる方法又は第七十七条第一項各号に掲げる方法(音声により放送をさせる方法を除く。)により広告をするときは、前項の規定にかかわらず、令第十六条第二項第一号に掲げる事項及び第七十六条第三号に掲げる事項の文字又は数字をこれらの事項以外の事項の文字又は数字のうち最も大きなものと著しく異ならない大きさで表示するものとする。
(3) Notwithstanding the provisions of the preceding paragraph, if a financial instruments business operator, etc. intends to make any advertisement of the contents of its financial instruments business by means of having broadcast through the use of broadcasting facilities of a basic broadcaster (meaning the basic broadcaster prescribed in Article 2, item (xxiii) of the Broadcast Act (Act No. 132 of 1950) and excluding the Japan Broadcasting Corporation and the Open University of Japan (meaning the Open University of Japan defined in Article 3 of the Act on the Open University of Japan (Act No. 156 of 2002); the same applies hereinafter) or by any of the means listed in the items of Article 77, paragraph (1) (excluding the means of sound broadcasting), it is to indicate the letters or numerical characters representing the matters specified in Article 16, paragraph (2), item (i) of the Cabinet Order and the matters specified in Article 76, item (iii)in a size which does not differ substantially from the size of the largest letters or numerical characters representing matters other than such matters.
(顧客が支払うべき対価に関する事項)
(Matters Related to Consideration Payable by Customers)
第七十四条 令第十六条第一項第一号に規定する内閣府令で定めるものは、手数料、報酬、費用その他いかなる名称によるかを問わず、金融商品取引契約に関して顧客が支払うべき対価(有価証券の価格又は保証金等の額(同項第三号に規定する保証金等の額をいう。第二百六十八条第一項において同じ。)を除く。以下この款において「手数料等」という。)の種類ごとの金額若しくはその上限額又はこれらの計算方法(当該金融商品取引契約に係る有価証券の価格、令第十六条第一項第三号に規定するデリバティブ取引等の額若しくは運用財産の額に対する割合又は金融商品取引行為を行うことにより生じた利益に対する割合を含む。以下この項において同じ。)の概要及び当該金額の合計額若しくはその上限額又はこれらの計算方法の概要とする。ただし、これらの表示をすることができない場合にあっては、その旨及びその理由とする。
Article 74 (1) The matters to be specified by Cabinet Office Order as referred to in Article 16, paragraph (1), item (i) of the Order are the amount of the consideration payable by customers in relation to a financial instruments transaction contract irrespective of its name such as fees, remuneration, expenses or others (excluding the price of the securities or the amount of security deposit, etc. (meaning the amount of security deposit, etc. prescribed in item (iii) of that paragraph; the same applies in Article 268, paragraph (1); hereinafter referred to as the "fees, etc." in this Subsection)) itemized by the types of such consideration or the upper limit thereof, or the outline of the means of calculation thereof (including the ratio to the price of the securities, the amount of the derivative transactions, etc. prescribed in Article 16, paragraph (1), item (iii) of the Order or the amount of investment properties, which pertains to the financial instruments transaction contract, or the ratio to the profit generating from the acts that constitute financial instruments transactions; hereinafter the same applies in this paragraph); and the total of such amount or upper limit thereof, or the outline of the method of calculation thereof; provided, however, that if these details cannot be indicated, such fact and the reason therefor are indicated.
2 前項の金融商品取引契約が法第二条第一項第十号若しくは第十一号に掲げる有価証券に表示されるべき権利又は同条第二項第五号若しくは第六号に掲げる権利(以下この条及び第二百六十八条において「投資信託受益権等」という。)の取得に係るものであって、当該投資信託受益権等に係る財産が他の投資信託受益権等(以下この条において「出資対象投資信託受益権等」という。)に対して出資され、又は拠出されるものである場合には、前項の手数料等には、当該出資対象投資信託受益権等に係る信託報酬その他の手数料等を含むものとする。
(2) If the financial instruments transaction contract set forth in the preceding paragraph pertains to the acquisition of rights to be indicated on the securities specified in Article 2, paragraph (1), item (x) or (xi) of the Act or of the rights specified in paragraph (2), item (v) or (vi) of that Article (hereinafter referred to as the "investment trust beneficial interests, etc." in this Article and Article 268), and if the properties pertaining to such investment trust beneficial interests, etc. is to be invested or contributed in another investment trust beneficial interests, etc. (such other investment trust beneficial interests, etc. are hereinafter referred to as the "target investment trust beneficial interests, etc." in this Article), the fees, etc. set forth in the preceding paragraph are to include a trust fee and any other fees, etc. pertaining to such target investment trust beneficial interests, etc.
3 前項の出資対象投資信託受益権等に係る財産が他の投資信託受益権等に対して出資され、又は拠出される場合には、当該他の投資信託受益権等を出資対象投資信託受益権等とみなして、前二項の規定を適用する。
(3) If the property pertaining to the target investment trust beneficial interests, etc. set forth in the preceding paragraph are to be invested or contributed in another investment trust beneficial interests, etc., such other investment trust beneficial interests, etc. are deemed to be a target investment trust beneficial interests, etc., and the provisions of the preceding two paragraphs apply.
4 前項の規定は、同項(この項において準用する場合を含む。)の規定により出資対象投資信託受益権等とみなされた投資信託受益権等に係る財産が他の投資信託受益権等に対して出資され、又は拠出される場合について準用する。
(4) The provisions of the preceding paragraph apply mutatis mutandis to a case in which the property pertaining to the investment trust beneficial interests, etc. which is deemed to be a target investment trust beneficial interests, etc. pursuant to the provisions of that paragraph (including as applied mutatis mutandis pursuant to this paragraph) is to be invested or contributed in another investment trust beneficial interests, etc.
(売付けの価格と買付けの価格に相当する事項)
(Matters Equivalent to Sale Price and Purchase Price)
第七十五条 令第十六条第一項第六号に規定する内閣府令で定める事項は、次の各号に掲げる取引の区分に応じ、当該各号に定める事項とする。
Article 75 The matters to be specified by Cabinet Office Order as referred to in Article 16, paragraph (1), item (vi) of the Order are the matters listed in the following items, in accordance with the categories of the transactions respectively set forth therein:
一 法第二条第二十二項第二号に掲げる取引 現実数値(同条第二十一項第二号に規定する現実数値をいう。以下同じ。)が約定数値(同号に規定する約定数値をいう。以下同じ。)を上回った場合に金銭を支払う立場の当事者となる取引の約定数値と当該金銭を受領する立場の当事者となる取引の約定数値又はこれらに類似するもの
(i) the transaction specified in Article 2, paragraph (22), item (ii) of the Act: the agreed figure under the transactions wherein the person becomes the party paying money when the actual figure (meaning the actual figure prescribed in item (ii), paragraph (21) of that Article; the same applies hereinafter) exceeds the agreed figure (meaning the agreed figure prescribed in that item; the same applies hereinafter), and the agreed figure under the transactions wherein the person becomes the party receiving such money, or any other figures similar thereto;
二 法第二条第二十二項第三号又は第四号に掲げる取引 同項第三号又は第四号に規定する権利を付与する立場の当事者となる取引の当該権利の対価の額と当該権利を取得する立場の当事者となる取引の当該権利の対価の額
(ii) the transaction specified in Article 2, paragraph (22), item (iii) or (iv) of the Act: the amount of consideration for the rights in regard to the transaction wherein the person becomes the party granting the rights specified in item (iii) or (iv) of that paragraph, and the amount of consideration for the rights in regard the transaction wherein the person becomes the party acquiring such rights;
三 法第二条第二十二項第五号に掲げる取引 金融商品(同条第二十四項第三号に掲げるものを除く。)の利率等(同条第二十一項第四号に規定する利率等をいう。以下同じ。)若しくは金融指標が約定した期間に上昇した場合に金銭を支払う立場の当事者となる取引における約定した期間の開始時の当該金融商品の利率等若しくは金融指標と当該金融商品の利率等若しくは金融指標が約定した期間に上昇した場合に金銭を受領する立場の当事者となる取引における約定した期間の開始時の当該金融商品の利率等若しくは金融指標又はこれらに類似するもの
(iii) the transaction specified in Article 2, paragraph (22), item (v) of the Act: the interest rates, etc. (meaning the interest rates, etc. prescribed in paragraph (21), item (iv) of that Article; the same applies hereinafter) of the financial instruments (excluding that specified in paragraph (24), item (iii) of that Article) or the financial indicator as of the time of the commencement of the agreed period for the transaction wherein the person becomes the party paying money when the interest rates, etc. or the financial indicators of the financial instruments rise within the agreed period, and the interest rates, etc. of the financial instruments or the financial indicators as of the time of the commencement of the agreed period for the transaction wherein the person becomes the party receiving money when the interest rates, etc. of the financial instruments or the financial indicator rise within the agreed period, or any other figures similar thereto; and
四 法第二条第二十二項第六号に掲げる取引 同号に規定する事由が発生した場合において金銭を支払う立場の当事者となる取引の条件と金銭を受領する立場の当事者となる取引の条件又はこれらに類似するもの
(iv) the transaction specified in Article 2, paragraph (22), item (vi) of the Act: the conditions of the transaction wherein the person becomes the party paying money in the case of the occurrence of any event specified in that item, and the conditions of the transaction wherein the person becomes the party receiving money in such case, or any other conditions similar thereto.
(顧客の判断に影響を及ぼす重要事項)
(Important Matters Which May Have Impact on Customers' Decision)
第七十六条 令第十六条第一項第七号に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 76 The matters to be specified by Cabinet Office Order as referred to in Article 16, paragraph (1), item (vii) of the Order are as follows:
一 当該金融商品取引契約に関する重要な事項について顧客の不利益となる事実
(i) the facts regarding important matters on the financial instruments transaction contract, which would be disadvantageous to the customer;
二 当該金融商品取引業者等が金融商品取引業協会(当該金融商品取引業の内容に係る業務を行う者を主要な協会員又は会員とするものに限る。)に加入している場合にあっては、その旨及び当該金融商品取引業協会の名称
(ii) if the financial instruments business operator, etc. is a member of a financial instruments firms association (limited to an association having principal association members or members that are persons conducting the business related to the contents of the financial instruments business), such fact and the name of such financial instruments firms association; and
三 暗号資産に関する金融商品取引行為について広告等をする場合にあっては、次に掲げる事項
(iii) in cases of an Advertisement, etc. regarding the Acts of Financial Instruments Transaction for Cryptoassets, the following matters:
イ 暗号資産は本邦通貨又は外国通貨ではないこと。
(a) the fact that Cryptoassets are not the Japanese currency or a foreign currency; and
ロ 暗号資産は代価の弁済を受ける者の同意がある場合に限り代価の弁済のために使用することができること。
(b) the fact that Cryptoassets can be used for the purpose of paying consideration only with the consent of the person who receives payment of consideration.
四 レバレッジ指標等(金融商品市場における相場その他の指標であって、その一日の変動率が他の指標(イ及び第八十三条第一項第八号イにおいて「原指標」という。)の一日の変動率に一定の数を乗じて得た率となるように算出されるものをいう。第七十八条第十四号及び同項第八号において同じ。)に関する金融商品取引行為について広告等をする場合にあっては、次に掲げる事項
(iv) in cases of advertisement, etc. regarding the acts of financial instruments transaction for the leveraged indicator, etc. (meaning the quotations on the financial instruments market and other indicators for which a calculation is made so that their daily fluctuation rate becomes the ratio obtained by multiplying the daily fluctuation rate of another indicator (referred to as the "original index" in sub-item (a) below and Article 83, paragraph (1), item (viii), sub-item (a)) by a certain factor; the same applies in Article 78, item (xiv) and Article 83, paragraph (1), item (viii)), the following matters:
イ 当該レバレッジ指標等の変動率とその原指標の変動率に一定の数を乗じて得た率とに差が生ずることとなるおそれがある場合にあっては、その旨及びその理由
(a) if there is a risk that any difference may occur between the fluctuation rate of the leveraged indicator, etc. and the ratio obtained by multiplying the fluctuation rate of the original index by a certain factor, to that effect and the reasons therefor; and
ロ 当該レバレッジ指標等に関する有価証券に対する投資が中長期的な投資の目的に適合しないものであるときは、その旨及びその理由
(b) when an investment in securities relating to the leveraged indicator, etc. does not meet the objective of medium- to long-term investments, to that effect and the reasons therefor.
(基幹放送事業者の放送設備により放送をさせる方法に準ずる方法等)
(Method Equivalent to Broadcasting Using Broadcasting Facilities of Basic Broadcaster)
第七十七条 令第十六条第二項に規定する内閣府令で定める方法は、次に掲げるものとする。
Article 77 (1) The methods to be specified by Cabinet Office Order as referred to in Article 16, paragraph (2) of the Order are as follows:
一 一般放送事業者(放送法第二条第二十五号に規定する一般放送事業者をいう。第二百七十条第一項第一号において同じ。)の放送設備により放送をさせる方法
(i) to broadcast using the broadcasting facilities of private broadcaster (meaning the private broadcaster defined in Article 2, item (xxv) of the Broadcast Act; the same applies in article 270, paragraph (1), item (i));
二 金融商品取引業者等又は当該金融商品取引業者等が行う広告等に係る業務の委託を受けた者の使用に係る電子計算機に備えられたファイルに記録された情報の内容(基幹放送事業者の放送設備により放送をさせる方法又は前号に掲げる方法により提供される事項と同一のものに限る。)を電気通信回線を利用して顧客に閲覧させる方法
(ii) to make available for the customer's inspection the contents of the information recorded into the files stored on the computer used by a financial instruments business operator, etc. or by a person that has accepted entrustment of the service of an advertisement, etc. to be made by the financial instruments business operator, etc. (limited to information identical to that provided by means of broadcasting using the broadcasting facilities of a basic broadcaster or by the means specified in the preceding item) via telecommunications line; or
三 常時又は一定の期間継続して屋内又は屋外で公衆に表示させる方法であって、看板、立看板、はり紙及びはり札並びに広告塔、広告板、建物その他の工作物等に掲出させ、又は表示させるもの並びにこれらに類するもの
(iii) to expose to the public an indoor or outdoor advertisement regularly or continuously for a fixed period, by means of posting or indicating it on signboards, standing signboards, bills, notices, advertising towers, billboards, buildings or any other structures, or any other methods similar thereto.
2 令第十六条第二項第二号に規定する内閣府令で定める事項は、第七十二条第三号ニ及び前条第三号に掲げる事項とする。
(2) The matters to be specified by Cabinet Office Order as referred to in Article 16, paragraph (2), item (ii) of the Order are the matters specified in Article 72, item (iii), sub-item (d) and item (iii) of the preceding Article.
(誇大広告をしてはならない事項)
(Matters Prohibited from Misleading Advertisements)
第七十八条 法第三十七条第二項に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 78 The matters to be specified by Cabinet Office Order as referred to in Article 37, paragraph (2) of the Act are as follows:
一 金融商品取引契約の解除に関する事項(法第三十七条の六第一項から第四項までの規定に関する事項を含む。)
(i) the matters related to cancellation of a financial instruments transaction contract (including matters related to the provisions of Article 37-6, paragraphs (1) through (4) of the Act);
二 金融商品取引契約に係る損失の全部若しくは一部の負担又は利益の保証に関する事項
(ii) the matters related to the sharing of all or part of the losses or a guarantee of profit, in connection with a financial instruments transaction contract;
三 金融商品取引契約に係る損害賠償額の予定(違約金を含む。)に関する事項
(iii) the matters related to agreement for liquidated damages (including penalties) pertaining to the financial instruments transaction contract;
四 金融商品取引契約に係る金融商品市場又は金融商品市場に類似する市場で外国に所在するもの(商品関連業務を行う場合にあっては、商品市場(商品先物取引法第二条第九項に規定する商品市場をいう。)又は外国商品市場(同条第十二項に規定する外国商品市場をいう。)を含む。第二百七十一条第四号において同じ。)に関する事項
(iv) the matters related to the financial instruments market or any other market similar thereto located in a foreign state, which pertains to the financial instruments transaction contract (in the case of conducting commodity-related business, including a commodity market (meaning the commodity market provided in Article 2, paragraph (9) of the Commodity Derivatives Act) or a foreign commodity market (meaning the foreign commodity market provided in paragraph (12) of that Article); the same applies in Article 271, item (iv));
五 金融商品取引業者等の資力又は信用に関する事項
(v) the matters related to the financial resources or credit of the financial instruments business operator, etc.;
六 金融商品取引業者等の金融商品取引業(登録金融機関にあっては、登録金融機関業務)の実績に関する事項
(vi) the matters related to the performance of the financial instruments business conducted by the financial instruments business operator, etc. (in the case of a registered financial institution, the performance of the registered financial institution business conducted by the registered financial institution);
七 金融商品取引契約に関して顧客が支払うべき手数料等の額又はその計算方法、支払の方法及び時期並びに支払先に関する事項
(vii) the matters related to the amount of the fees, etc. payable by customers in connection with a financial instruments transaction contract or the method of calculation therefor, and the method and timing of the payment of such fees, etc. and the payee of such fees, etc.;
八 抵当証券等(法第二条第一項第十六号に掲げる有価証券又は同項第十七号に掲げる有価証券(同項第十六号に掲げる性質を有するものに限る。)をいう。以下同じ。)の売買その他の取引について広告等をする場合にあっては、次に掲げる事項
(viii) in cases of an advertisement, etc. for the purchase and sale or any other transaction of the mortgage securities, etc. (meaning the securities specified in Article 2, paragraph (1), item (xvi) of the Act, or the securities specified in item (xvii) of that paragraph (limited to those which have the nature specified in item (xvi) of that paragraph); the same applies hereinafter), the following matters:
イ 抵当証券等に記載された債権の元本及び利息の支払の確実性又は保証に関する事項
(a) the matters related to the certainty or guarantee of the payment of principal and interests of the claims specified in the mortgage securities, etc.;
ロ 金融商品取引業者等に対する推薦に関する事項
(b) the matters related to recommendation regarding a financial instruments business operator, etc.;
ハ 利息に関する事項
(c) the matters related to interest; and
ニ 抵当証券等に記載された抵当権の目的に関する事項
(d) the matters related to the collateral on which the mortgage has been created, as stated in the mortgage securities, etc.;
九 投資顧問契約について広告等をする場合にあっては、助言の内容及び方法に関する事項
(ix) in cases of an advertisement, etc. regarding an investment advisory contract, the matters related to the contents and methods of advice;
十 投資一任契約又は法第二条第八項第十五号に掲げる行為を行うことを内容とする契約について広告等をする場合にあっては、投資判断の内容及び方法に関する事項
(x) in cases of an advertisement, etc. of a discretionary investment contract or a contract for conducting acts specified in Article 2, paragraph (8), item (xv) of the Act, the matters related to the contents and method of making the investment decisions;
十一 第七条第四号ニ(1)に掲げる権利に係る募集又は私募について広告等をする場合にあっては、競走用馬の血統及び飼養管理の状況に関する事項
(xi) in cases of an advertisement, etc. regarding the public offering or private placement of the rights specified in Article 7, item (iv), (d), 1., the matters related to bloodlines of the racehorses and the status of the management of the breeding thereof.
十二 電子記録移転有価証券表示権利等に関する金融商品取引行為について広告等をする場合にあっては、次に掲げる事項
(xii) in cases of an Advertisement, etc. regarding the Acts of Financial Instruments Transaction for Electronically Recorded Transferable Rights to Be Indicated on Securities, etc., the following matters:
イ 電子記録移転有価証券表示権利等の性質
(a) the nature of the Electronically Recorded Transferable Rights to Be Indicated on Securities, etc.; and
ロ 電子記録移転有価証券表示権利等に係る保有又は移転の仕組みに関する事項
(b) the matters related to the mechanism for the holding and transfer of the Electronically Recorded Transferable Rights to Be Indicated on Securities, etc.; and
十三 暗号資産に関する金融商品取引行為について広告等をする場合にあっては、次に掲げる事項
(xiii) in cases of an Advertisement, etc. regarding the Acts of Financial Instruments Transaction for Cryptoassets:
イ 暗号資産の性質
(a) the nature of the Cryptoassets;
ロ 暗号資産の保有又は移転の仕組みに関する事項
(b) the matters related to the mechanism for the holding and transfer of the Cryptoassets;
ハ 暗号資産の取引高若しくは価格の推移又はこれらの見込みに関する事項
(c) the matters related to changes in transaction volumes or prices of the Cryptoassets or prospects for these;
ニ 暗号資産に表示される権利義務の内容に関する事項
(d) the matters related to the content of the rights and obligations indicated on the Cryptoassets; and
ホ 暗号資産を発行し、若しくは発行しようとする者、暗号資産に表示される権利に係る債務者又は暗号資産の価値若しくは仕組みに重大な影響を及ぼすことができる者の資力若しくは信用又はその行う事業に関する事項
(e) the matters related to the financial resources or credit of the person who issues or intends to issue the Cryptoassets, the debtor pertaining to the rights indicated on the Cryptoassets, or the person who can exert a material impact on the value or the mechanism of the Cryptoassets, or the business conducted by such person.
十四 レバレッジ指標等に関する金融商品取引行為について広告等をする場合にあっては、次に掲げる事項
(xiv) in cases of advertisement, etc. regarding the acts of financial instruments transaction for the leveraged indicator, etc., the following matters:
イ レバレッジ指標等又はレバレッジ指標等に関する有価証券の性質
(a) the nature of the leveraged indicator, etc. or securities relating to the leveraged indicator, etc.; and
ロ レバレッジ指標等の数値若しくはレバレッジ指標等に関する有価証券の価格の推移又はこれらの見込みに関する事項
(b) the matters related to changes in figures of the leveraged indicator, etc. or in prices of securities relating to the leveraged indicator, etc., or prospects for these.
(契約締結前交付書面の記載方法)
(How Matters Are Stated a Document for Delivery Prior to the Conclusion of a Contract)
第七十九条 契約締結前交付書面には、法第三十七条の三第一項各号に掲げる事項を日本産業規格Z八三〇五に規定する八ポイント以上の大きさの文字及び数字を用いて明瞭かつ正確に記載しなければならない。
Article 79 (1) The matters set forth in the items of Article 37-3, paragraph (1) of the Act must be stated unambiguously and accurately in the document for delivery prior to conclusion of contract by using letters, characters and numerals larger than 8-point as provided in the JIS Z8305.
2 前項の規定にかかわらず、契約締結前交付書面には、次に掲げる事項を枠の中に日本産業規格Z八三〇五に規定する十二ポイント以上の大きさの文字及び数字を用いて明瞭かつ正確に記載し、かつ、次項に規定する事項の次に記載するものとする。
(2) Notwithstanding the provisions of the preceding paragraph, the matters listed in the following items are to be stated unambiguously and accurately after the matters required to be stated under the following paragraph in the frame of the document for delivery prior to conclusion of contract by using letters, characters and numerals larger than 12-point as provided in the JIS Z8305:
一 法第三十七条の三第一項第四号に掲げる事項の概要並びに同項第五号及び第六号並びに第八十二条第三号から第六号までに掲げる事項
(i) an outline of the matters listed in Article 37-3, paragraph (1), item (iv) of the Act, and the matters listed in Article 37-3, paragraph (1), items (v) and (vi) of the Act and Article 82, items (iii) through (vi) of this Cabinet Office Order;
二 金融商品取引契約が店頭デリバティブ取引契約(令第十六条の四第一項イからハまでに掲げる取引(以下「店頭金融先物取引」という。)若しくは同号ニに掲げる取引に係る同号に掲げる契約又は同項第二号に掲げる契約(第百十六条第一項第三号イ及びロに掲げる取引に係るものを除く。)をいう。以下同じ。)であるときは、第九十四条第一項第一号及び第四号に掲げる事項
(ii) if the financial instruments transaction contract is a contract for over-the-counter derivatives transactions (meaning contracts listed in Article 16-4, paragraph (1), item (i), sub-items (a) through (c) of the Order (hereinafter referred to as the "over-the-counter transactions of financial futures") or contracts listed in that item pertaining to the transactions listed in sub-item (d) of that item, or contracts listed in item (ii) of that paragraph (excluding contracts pertaining to transactions listed in Article 116, paragraph (1), item (iii), (a) and (b)); the same applies hereinafter), the matters listed in Article 94, paragraph (1), items (i) and (iv); and
三 金融商品取引契約が電子申込型電子募集取扱業務等(第七十条の二第三項に規定する電子申込型電子募集取扱業務等をいう。以下同じ。)に係る取引に係るものであるときは、第八十三条第一項第六号ヘ及びトに掲げる事項
(iii) if the financial instruments transaction contract relates to a transaction pertaining to electronic-based application type electronic public offering services (meaning the electronic-based application type electronic public offering services, etc. provided in Article 70-2, paragraph (3); the same applies hereinafter), whether the matters specified in Article 83, paragraph (1), item (vi), (f) and (g) are applicable;
四 第八十二条第九号に掲げる事項
(iv) the matter listed in Article 82, item (ix).
3 金融商品取引業者等は、契約締結前交付書面には、第八十二条第一号に掲げる事項、第九十二条の二第一項第三号に掲げる事項(その締結しようとする金融商品取引契約が、出資対象事業持分のうち当該出資対象事業持分に係る出資対象事業が主として有価証券又はデリバティブ取引に係る権利に対する投資を行う事業以外の事業であるものの売買その他の取引に係るものである場合に限る。)及び法第三十七条の三第一項各号に掲げる事項のうち顧客の判断に影響を及ぼすこととなる特に重要なものを、日本産業規格Z八三〇五に規定する十二ポイント以上の大きさの文字及び数字を用いて当該契約締結前交付書面の最初に平易に記載するものとする。
(3) A financial instruments business operator, etc. is to, when preparing the document for delivery prior to conclusion of contract, state plainly the matter listed in Article 82, item (i), the matters listed in Article 92-2, paragraph (1), item (iii) (but only if the financial instruments transaction contract to be concluded pertains to the purchase and sale and other transactions of the right of the equity of business subject to investment, of which business subject to investment pertaining to the equity of business subject to investment is the business other than a business which invests primarily in the rights pertaining to securities or derivative transactions), and particularly important matters that may have an impact on customers' judgment among the matters listed in the items of Article 37-3, paragraph (1) of the Act at the beginning of the document for delivery prior to conclusion of contract by using letters, characters and numerals larger than 12-point as provided in the JIS Z8305.
(契約締結前交付書面の交付を要しない場合)
(Exemption from Requirement to Deliver Documents for Delivery Prior to the Conclusion of a Contract)
第八十条 法第三十七条の三第一項ただし書に規定する内閣府令で定める場合は、次に掲げる場合とする。
Article 80 (1) The matters to be specified by Cabinet Office Order as referred to in the proviso to Article 37-3, paragraph (1) of the Act are as follows:
一 金融商品取引所に上場されている有価証券、店頭売買有価証券(法第二条第一項第十九号に掲げる有価証券及び金融庁長官の指定する有価証券を除く。)、金融商品取引所に類似するもので外国に所在するものに上場されている有価証券又は店頭売買有価証券市場に類似する市場で外国に所在するものにおいて取引されている有価証券(金融庁長官の指定する有価証券を除く。)の売買その他の取引(デリバティブ取引に該当するもの並びに信用取引及び発行日取引又はこれらに類似する取引を除く。以下「上場有価証券等売買等」という。)に係る金融商品取引契約の締結前一年以内に当該顧客に対し当該金融商品取引契約について法第三十七条の三第一項第一号から第五号まで並びに第八十二条第一号、第三号、第五号、第十一号、第十四号及び第十五号並びに第八十三条第一項第八号に掲げる事項を、前条に規定する方法に準ずる方法により記載した書面(以下「上場有価証券等書面」という。)を交付している場合
(i) if, with regard to the purchase and sale or any other transaction of securities listed on a financial instruments exchange market, over-the-counter traded securities (excluding the securities specified in Article 2, paragraph (1), item (xix) of the Act and the securities designated by the Commissioner of the Financial Services Agency), securities listed on an exchange located in a foreign state which is similar to a financial instruments exchange, or securities traded on a market located in a foreign state which is similar to the over-the counter securities market (excluding the securities designated by the Commissioner of the Financial Services Agency) (the above excludes transactions which fall under the category of derivative transactions, and also excludes margin transactions, when-issued transaction or any other transaction similar to those transactions; hereinafter collectively referred to as the "purchase and sale, etc. of listed securities, etc."), a financial instruments business operator, etc., within one year prior to the conclusion of the financial instruments transaction contract pertaining to the transaction, had delivered to the customer a document on the financial instruments transaction contract containing the matters set forth in Article 37-3, paragraph (1), items (i) through (v) of the Act and Article 82, items (i), (iii), (v), (xi), (xiv) and (xv), and Article 83, paragraph (1), item (viii) of this Cabinet Office Order prepared in accordance with the means equivalent to those specified in the preceding Article (hereinafter referred to as the "explanatory document on listed securities, etc.");
二 有価証券の売買(法第二条第八項第一号に規定する有価証券の売買をいう。以下同じ。)その他の取引又はデリバティブ取引等に係る金融商品取引契約の締結前一年以内に当該顧客に対し当該金融商品取引契約と同種の内容の金融商品取引契約に係る契約締結前交付書面を交付している場合
(ii) if, within one year prior to the conclusion of the financial instruments transaction contract pertaining to the purchase and sale of securities (meaning the purchase and sale of securities prescribed in Article 2, paragraph (8), item (i) of the Act; the same applies hereinafter), any other type of transaction of securities, or derivative transactions, etc., a financial instruments business operator, etc. has delivered to the customer a document for delivery prior to conclusion of contract related to any other financial instruments transaction contract which is in substance identical to the first-mentioned financial instruments transaction contract;
三 当該顧客に対し目論見書(前条に規定する方法に準ずる方法により当該契約締結前交付書面に記載すべき事項の全てが記載されているものに限る。)を交付している場合(目論見書に当該事項の全てが記載されていない場合にあっては、当該目論見書及び当該事項のうち当該目論見書に記載されていない事項の全てが記載されている書面を一体のものとして交付している場合を含む。)又は法第十五条第二項第二号に掲げる場合
(iii) if the financial instruments business operator, etc. has delivered to the customer a prospectus (limited to a prospectus containing all of the matters to be stated in the document for delivery prior to conclusion of contract, as prepared in accordance with the means equivalent to those specified in the preceding Article) (if the prospectus does not contain all of such matters, including if a document stating all of the matters not contained therein has been delivered as an integral part of such prospectus), or in the cases specified in Article 15, paragraph (2), item (ii) of the Act;
四 既に成立している金融商品取引契約の一部の変更をすることを内容とする金融商品取引契約を締結しようとする場合においては、次に掲げるとき。
(iv) if the financial instruments business operator, etc. intends to conclude a financial instruments transaction contract for the purpose of effecting a partial change to any term of a financial instruments transaction contract already in effect, the following cases:
イ 当該変更に既に成立している当該金融商品取引契約に係る契約締結前交付書面の記載事項に変更すべきものがないとき。
(a) if such partial change does not result in a change to the matters to be stated in the document for delivery prior to conclusion of contract pertaining to the financial instruments transaction contract already in effect; or
ロ 当該変更に伴い既に成立している金融商品取引契約に係る契約締結前交付書面の記載事項に変更すべきものがある場合にあっては、当該顧客に対し当該変更すべき記載事項を記載した書面(以下「契約変更書面」という。)を交付しているとき。
(b) if such partial change results in a change to the matters to be stated in the document for delivery prior to conclusion of contract pertaining to the financial instruments transaction contract already in effect, a case in which the financial instruments business operator, etc. has delivered to the customer a document stating the matters subject to such change (hereinafter referred to as the "explanatory document on change to contract information");
五 上場有価証券等売買等に係る金融商品取引契約を締結しようとする場合において、当該顧客(当該金融商品取引業者等から上場有価証券等書面の交付を受けたことがある者に限る。)に対し上場有価証券等書面に記載すべき事項を、電子情報処理組織を使用して顧客の閲覧に供する方法により提供しているとき(次に掲げる要件の全てを満たす場合に限り、当該顧客から上場有価証券等書面の交付の請求があった場合を除く。)。
(v) in cases where a Financial Instruments Business Operator, etc. intends to conclude a Financial instruments transaction contract pertaining to Purchase and Sale, etc. of Listed Securities, etc., and has provided the matters to be stated in an Explanatory Document on Listed Securities, etc. to the relevant customer (limited to a customer who has received the delivery of an Explanatory Document on Listed Securities, etc. from the Financial Instruments Business Operator, etc.) by using an electronic data processing system in a manner to make them available for customers' inspection (limited to cases satisfying all of the following requirements and excluding cases where said customer has requested the delivery of an Explanatory Document on Listed Securities, etc.):
イ あらかじめ、当該顧客に対し、書面の交付その他の適切な方法により、当該事項を当該閲覧に供する方法により提供する旨及び当該顧客から請求があるときは上場有価証券等書面を交付する旨の説明が行われていること。
(a) that the Financial Instruments Business Operator, etc. has provided said customer with an explanation in advance to the effect that the relevant matters will be provided in the manner to make them available for customers' inspection and that an Explanatory Document on Listed Securities, etc. will be delivered upon a request of the customer by way of delivering a document or by any other appropriate method;
ロ 当該上場有価証券等売買等に係る金融商品取引契約の締結前一年以内に、当該顧客に対し、当該事項の提供を受けるために必要な情報を、書面の交付その他の適切な方法により提供していること。
(b) that the Financial Instruments Business Operator, etc. has provided said customer with information necessary for receiving the provision of the relevant matters by way of delivering a document or by any other appropriate method within one year prior to the conclusion of the Financial instruments transaction contract pertaining to said Purchase and Sale, etc. of Listed Securities, etc.;
ハ 当該事項を、当該顧客の使用に係る電子計算機の映像面において、当該顧客にとって見やすい箇所に前条に規定する方法に準じて表示されるようにしていること。
(c) that it has been made sure that those matters are indicated, in an easily visible location for the customer, on the screen of a computer used by the customer in accordance with the method prescribed in the preceding Article; and
ニ 当該上場有価証券等売買等を行った日以後五年間(当該期間が終了する日までの間に当該事項に係る苦情の申出があったときは、当該期間が終了する日又は当該苦情が解決した日のいずれか遅い日までの間)、当該顧客が常に容易に当該事項を閲覧することができる状態に置く措置がとられていること。
(d) that measures have been taken to ensure that those matters are kept available for easy inspection by said customer for the period until five years have elapsed from the day when said Purchase and Sale, etc. of Listed Securities, etc. was conducted (if any complaint related to those matters has been raised within the period before the expiration date of such period, for the period until either the expiration date of such period or the day when such complaint was settled, whichever comes later);
六 法第二条第一項第一号から第三号まで若しくは第五号に掲げる有価証券(新株予約権付社債券を除く。以下この号において同じ。)又は同項第十七号に掲げる有価証券のうち同項第一号から第三号まで若しくは第五号に掲げる有価証券の性質を有するもの(償還期限(確定期限に限る。以下この号において同じ。)及び償還金額(確定金額に限る。以下この号において同じ。)の定めがあり、かつ、償還期限の到来時における償還金額の全部又は一部の償還がされない条件が付されていないものに限り、金融庁長官の指定する有価証券を除く。)の売買その他の取引(デリバティブ取引に該当するもの並びに信用取引及び発行日取引又はこれらに類似する取引を除く。ロ及びニにおいて「債券売買等」という。)に係る金融商品取引契約を締結しようとする場合において、当該顧客(当該金融商品取引業者等から当該金融商品取引契約と同種の内容の金融商品取引契約に係る契約締結前交付書面の交付を受けたことがある者に限る。)に対し契約締結前交付書面に記載すべき事項を、電子情報処理組織を使用して顧客の閲覧に供する方法により提供しているとき(次に掲げる要件の全てを満たす場合に限り、当該顧客から契約締結前交付書面の交付の請求があった場合を除く。)。
(vi) in cases where a Financial Instruments Business Operator, etc. intends to conclude a Financial instruments transaction contract pertaining to purchase and sale or other transactions of Securities set forth in Article 2, paragraph (1), items (i) to (iii) or (v) of the Act (excluding corporate bond certificates with share options; hereinafter the same applies in this item) or the Securities set forth in item (xvii) of that paragraph that have the nature of the Securities set forth in items (i) to (iii) or (v) of that paragraph (limited to such Securities for which the due date (limited to the fixed due date; hereinafter the same applies in this item) and the amount of redemption (limited to the fixed amount; hereinafter the same applies in this item) are specified and to which no conditions are attached to the effect that all or part of the amount of redemption as of the due date will not be redeemed, and excluding the Securities designated by the Commissioner of the Financial Services Agency) (the purchase and sale or other transactions exclude those falling under the category of Derivative Transactions, and also exclude Margin Transactions, When-Issued Transactions or any other transactions similar to these; referred to as "Purchase and Sale, etc. of Claims" in sub-items (b) and (d)), and has provided the matters to be stated in a Document for Delivery Prior to Conclusion of Contract to the relevant customer (limited to a customer who has received the delivery of a Document for Delivery Prior to Conclusion of Contract pertaining to a Financial instruments transaction contract that had a similar content to that of the relevant Financial instruments transaction contract from the Financial Instruments Business Operator, etc.) by using an electronic data processing system in a manner to make them available for customers' inspection (limited to cases satisfying all of the following requirements and excluding cases where the customer has requested the delivery of a Document for Delivery Prior to Conclusion of Contract):
イ あらかじめ、当該顧客に対し、書面の交付その他の適切な方法により、当該事項を当該閲覧に供する方法により提供する旨及び当該顧客から請求があるときは契約締結前交付書面を交付する旨の説明が行われていること。
(a) that the Financial Instruments Business Operator, etc. has provided the customer with an explanation in advance to the effect that the relevant matters will be provided in the manner to make them available for customers' inspection and that a Document for Delivery Prior to Conclusion of Contract will be delivered upon a request of the customer by way of delivering a document or by any other appropriate method;
ロ 当該債券売買等に係る金融商品取引契約の締結前一年以内に、当該顧客に対し、当該事項の提供を受けるために必要な情報を、書面の交付その他の適切な方法により提供していること。
(b) that the Financial Instruments Business Operator, etc. has provided the customer with information necessary for receiving the provision of the relevant matters by way of delivering a document or by any other appropriate method within one year prior to the conclusion of the Financial instruments transaction contract pertaining to the Purchase and Sale, etc. of Claims;
ハ 当該事項を、当該顧客の使用に係る電子計算機の映像面において、当該顧客にとって見やすい箇所に前条に規定する方法に準じて表示されるようにしていること。
(c) that it has been made sure that those matters are indicated, in an easily visible location for the customer, on the screen of a computer used by the customer in accordance with the method prescribed in the preceding Article; and
ニ 当該債券売買等を行った日以後五年間(当該期間が終了する日までの間に当該事項に係る苦情の申出があったときは、当該期間が終了する日又は当該苦情が解決した日のいずれか遅い日までの間)、当該顧客が常に容易に当該事項を閲覧することができる状態に置く措置がとられていること。
(d) that measures have been taken to ensure that those matters are kept available for easy inspection by the customer for the period until five years have elapsed from the day when the Purchase and Sale, etc. of Claims was conducted (if any complaint related to those matters has been raised within the period before the expiration date of such period, for the period until either the expiration date of such period or the day when such complaint was settled, whichever comes later);
七 当該顧客に対し、簡潔な重要情報提供等を行い、かつ、法第三十七条の三第一項第三号から第七号までに掲げる事項(第四号ロに規定する場合にあっては、同号の変更に係るものに限る。)について当該顧客の知識、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当該顧客に理解されるために必要な方法及び程度による説明をしている場合(当該顧客に対し契約締結前交付書面(上場有価証券等売買等に係る金融商品取引契約を締結しようとする場合にあっては契約締結前交付書面又は上場有価証券等書面、第四号ロに規定する場合にあっては契約締結前交付書面又は契約変更書面。以下この号並びに第六項第二号及び第三号において同じ。)に記載すべき事項を、電子情報処理組織を使用して顧客の閲覧に供する方法により提供している場合において、次に掲げる要件の全てを満たすときに限り、当該顧客から契約締結前交付書面の交付の請求があった場合を除く。)
(vii) in cases where the provision, etc. of important information in a simple manner has been conducted and explanations have been given to a customer on the matters specified in Article 37-3, paragraph (1), items (iii) through (vii) of the Act (in the cases specified in item (iv), (b), limited to the matters related to the change as prescribed in that item), in a manner and to the extent necessary for ensuring that the customer understands such matters, in light of the customer's knowledge, experience, and conditions of property and in light of the purpose of concluding the financial instruments transaction contract (in cases where the matters to be stated in a document for delivery prior to conclusion of contract (in the case of intending to conclude a financial instruments transaction contract pertaining to purchase and sale, etc. of listed securities, etc., a document for delivery prior to conclusion of contract or explanatory document on listed securities, etc. or in the cases as prescribed in item (iv), (b), a document for delivery prior to conclusion of contract or explanatory document on changes to contract information; the same applies hereinafter in this item, paragraph (6), items (ii) and (iii)) are provided to the relevant customer by using an electronic data processing system in a manner that makes them available for customers' inspection, excluding the cases where the customer requests delivery of the document for delivery prior to conclusion of contract only where the following requirements are fully satisfied):
イ 当該契約締結前交付書面に記載すべき事項を、当該顧客の使用に係る電子計算機の映像面において、当該顧客にとって見やすい箇所に前条に規定する方法に準じて表示されるようにしていること(当該閲覧に供する方法が第五十六条第二項第一号に掲げる基準に適合するものである場合を除く。)。
(a) matters to be stated in the document for delivery prior to conclusion of contract have been displayed in an easily visible location for the customer, on the screen of a computer used by the customer in accordance with the method prescribed in the preceding Article (excluding the cases where the manner to make them available for customers' inspection conforms to the standards set forth in Article 56, paragraph (2), item (i)); and
ロ 当該契約締結前交付書面に記載すべき事項に掲げられた取引を最後に行った日以後五年間(当該期間が終了する日までの間に当該事項に係る苦情の申出があったときは、当該期間が終了する日又は当該苦情が解決した日のいずれか遅い日までの間)、当該顧客が常に容易に当該事項を閲覧することができる状態に置く措置がとられていること。
(b) measures are taken to keep the matters to be stated in the document for delivery prior to conclusion of contract easily available for the customer's inspection for five years after the day of the last transaction listed in said matters to be stated (if a complaint related to those matters is made prior to the last day of that period, until the last day of the period or the day when the complaint is resolved, whichever comes later);
八 当該金融商品取引契約が次に掲げる行為に係るものである場合
(viii) if the financial instruments transaction contract pertains to any of the following acts:
イ 有価証券の売付け(当該金融商品取引業者等との間で当該有価証券の買付けに係る金融商品取引契約を締結した場合に限る。)
(a) the sale of securities (but only if a financial instruments transaction contract for the purchase of the securities has been concluded with the financial instruments business operator, etc.);
ロ 有価証券の買付けの媒介又は代理(公開買付者(法第二十七条の三第二項(法第二十七条の二十二の二第二項において準用する場合を含む。)に規定する公開買付者をいう。以下同じ。)を相手方として公開買付け(法第二十七条の二第六項(法第二十七条の二十二の二第二項において準用する場合を含む。)に規定する公開買付けをいう。第百十条第一項第二号ト及び第百十一条第二号において同じ。)に係る有価証券の買付けの媒介又は代理を行う場合に限る。)
(b) an intermediary or agency service for the purchase of securities (but only if the financial instruments business operator, etc. provides an intermediary or agency service for the purchase of securities pertaining to the tender offer (meaning the tender offer prescribed in Article 27-2, paragraph (6) of the Act (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act); the same applies in Article 110, paragraph (1), item (ii), (g) and Article 111, item (ii)) to a tender offeror (meaning the tender offeror prescribed in Article 27-3, paragraph (2) of the Act (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act); the same applies hereinafter));
ハ 令第一条の十二第一号に掲げる行為
(c) an act set forth in Article 1-12, item (i) of the Cabinet Order;
ニ 令第三十三条の十四第三項に規定する反対売買
(d) a reversing trade set forth in Article 33-14, paragraph (3) of the Cabinet Order:
ホ 累積投資契約(金融商品取引業者等が顧客から金銭を預かり、当該金額を対価としてあらかじめ定めた期日において当該顧客に有価証券を継続的に売り付ける契約をいう。以下ホ及び第百十条第一項第一号イにおいて同じ。)による有価証券の買付け又は累積投資契約に基づき定期的にする有価証券の売付け
(e) the purchase of securities under a contract for cumulative investment (meaning a contract wherein a financial instruments business operator, etc. receives a money deposit from a customer and sells securities to that customer continuously on dates designated in advance while receiving a consideration payable out of such money deposit; hereinafter the same applies in (e) and Article 110, paragraph (1), item (i), (a)), or the sale of securities to be conducted on a regular basis under a contract for cumulative investment;
ヘ 顧客が所有する法第二条第一項第十号に掲げる有価証券又は同条第二項第五号若しくは第六号に掲げる権利から生ずる収益金をもって当該有価証券又は当該権利と同一の銘柄を取得させるもの
(f) with regard to the securities specified in Article 2, paragraph (1), item (x) of the Act owned by a customer or rights specified in paragraph (2), item (v) or (vi) of that Article, an act to have such customer acquire an issue identical to such securities or rights, using the earnings generated from those securities or rights;
ト 法第二条第一項第十号に掲げる有価証券(投資信託及び投資法人に関する法律施行規則第二十五条第二号に規定する公社債投資信託(計算期間が一日のものに限る。)の受益証券に限る。)の売買(当初の買付けを除く。)又は当該有価証券に係る投資信託契約(投資信託及び投資法人に関する法律第三条又は第四十七条第一項に規定する投資信託契約をいう。以下同じ。)の解約
(g) the purchase and sale (excluding the initial purchase) of the securities specified in Article 2, paragraph (1), item (x) of the Act (limited to the beneficiary certificates for bond investment trust prescribed in Article 25, item (ii) of the Regulation for Enforcement of the Act on Investment Trust and Investment Corporations (limited to the bond investment trust of which accounting period is one day)), or cancellation of an investment trust agreement (meaning the investment trust agreement prescribed in Article 3 or Article 47, paragraph (1) of the Act on Investment Trust and Investment Corporations; the same applies hereinafter) pertaining to such securities;
チ 有価証券の引受け
(h) the underwriting of securities; or
リ 有価証券の募集若しくは売出しの取扱い若しくは私募の取扱い又は特定投資家向け売付け勧誘等の取扱い(当該金融商品取引契約に係る顧客が当該有価証券の発行者又は所有者である場合に限る。)
(i) dealing in a public offering or secondary distribution of securities, dealing in private placement of securities, or dealing in a solicitation for selling, etc. only for professional investors (but only if the customer pertaining to the financial instruments transaction contract is the issuer or owner of such securities).
2 法第三十四条の二第四項、令第十五条の二十二並びに第五十六条及び第五十七条の規定は、前項第一号の規定による上場有価証券等書面の交付及び同項第四号ロの規定による契約変更書面の交付について、法第二十七条の三十の九第一項並びに企業内容等の開示に関する内閣府令(昭和四十八年大蔵省令第五号)第二十三条の二、外国債等の発行者の内容等の開示に関する内閣府令(昭和四十七年大蔵省令第二十六号)第十八条の二及び特定有価証券の内容等の開示に関する内閣府令(平成五年大蔵省令第二十二号)第三十二条の二の規定は前項第三号の規定による同号に規定する書面の交付について、それぞれ準用する。
(2) The provisions of Article 34-2, paragraph (4) of the Act, Article 15-22 of the Order, and Article 56 and Article 57 of this Cabinet Office Order apply mutatis mutandis to the delivery of an explanatory document on listed securities, etc. under item (i) of the preceding paragraph and delivery of an explanatory document on change to contract information under item (iv), (b) of that paragraph, and the provisions of Article 27-30-9, paragraph (1) of the Act, Article 23-2 of the Cabinet Office Order on Disclosure of Corporate Affairs (Ministry of Finance Order No. 5 of 1973), Article 18-2 of the Cabinet Office Order on the Disclosure of Information, etc. on Issuers of Foreign Government Bonds, etc. (Ministry of Finance Order No. 26 of 1972), and Article 32-2 of the Cabinet Office Order on Disclosure of Information on Regulated Securities (Ministry of Finance Order No. 22 of 1993) apply mutatis mutandis to the delivery of a document prescribed in item (iii) of the preceding paragraph under said item respectively.
3 上場有価証券等書面を交付した日(この項の規定により上場有価証券等書面を交付したものとみなされた日を含む。)から一年以内に上場有価証券等売買等に係る金融商品取引契約の締結を行った場合には、当該締結の日において上場有価証券等書面を交付したものとみなして、第一項第一号の規定を適用する。
(3) If, within one year from the day of delivery of the explanatory document on listed securities, etc. (including the day when the explanatory document on listed securities, etc. is deemed to have been delivered pursuant to the provisions of this paragraph), a financial instruments transaction contract pertaining to the purchase and sale, etc. of listed securities, etc. has been concluded, such explanatory document on listed securities, etc. is deemed to have been delivered on the date of the conclusion of the contract, and the provisions of paragraph (1), item (i) apply.
4 契約締結前交付書面を交付した日(この項の規定により契約締結前交付書面を交付したものとみなされた日を含む。)から一年以内に当該契約締結前交付書面に係る金融商品取引契約と同種の内容の金融商品取引契約(店頭デリバティブ取引契約を除く。)の締結を行った場合には、当該締結の日において契約締結前交付書面を交付したものとみなして、第一項第二号の規定を適用する。
(4) If, within one year from the day of delivery of the document for delivery prior to conclusion of contract (including the day when the document for delivery prior to conclusion of contract is deemed to have been delivered pursuant to the provisions of this paragraph), a financial instruments transaction contract which is in substance identical to that pertaining to such document for delivery prior to conclusion of contract (excluding the contract for over-the-counter derivatives transactions) has been concluded, such document for delivery prior to conclusion of contract is deemed to have been delivered on the date of the conclusion of the contract, and the provisions of paragraph (1), item (ii) apply.
5 法第二条第一項第十号に掲げる有価証券に係る目論見書(第一項第三号の規定により目論見書と一体のものとして交付される書面がある場合には、当該目論見書及び当該書面)に対する第一項第三号の規定の適用については、同号中「前条に規定する方法に準ずる方法により当該」とあるのは、「当該」とする。
(5) With regard to the application of the provisions of paragraph (1), item (iii), to a prospectus (if there is any document to be delivered as an integral part of a prospectus pursuant to the provisions of paragraph (1), item (iii), such prospectus and such document) pertaining to any securities listed in Article 2, paragraph (1), item (x) of the Act, the phrase "document for delivery prior to conclusion of contract, as prepared in accordance with the means equivalent to those specified in the preceding Article" is deemed to be replaced with "document for delivery prior to conclusion of contract".
6 第一項第七号の「簡潔な重要情報提供等」とは、次に掲げる事項を簡潔に記載した書面の交付又は当該書面に記載すべき事項の電磁的方法による提供をし、これらの事項について説明をすること(第一号の質問例に基づく顧客の質問に対して回答をすることを含む。)をいう。
(6) "Provision, etc. of important information in a simple manner" under paragraph (1), item (vii) means to deliver a document stating the following matters in a simple manner or to provide the matters to be stated in the document by electronic or magnetic means in order to give explanation on these matters (including to reply to customers' questions based on the examples of questions as set forth in item (i)):
一 法第三十七条の三第一項各号に掲げる事項(第一項第四号ロに規定する場合にあっては、同号の変更に係るものに限る。)のうち金融商品取引契約の締結についての顧客の判断に資する主なものの概要及びこれに関する質問例
(i) outline of major matters specified in the items of Article 37-3, paragraph (1) of the Act (in the cases as prescribed in paragraph (1), item (iv), (b), limited to the matters related to the change as set forth in that item) that contribute to the judgment of customers on conclusion of a contract for a financial instrument transaction and examples of questions related thereto;
二 契約締結前交付書面に記載すべき事項の提供を受けるために必要な情報及び当該提供を受ける事項の内容を十分に読むべき旨
(ii) the fact that information necessary to receive provision of matters to be stated in the document for delivery prior to conclusion of contract and the details of the matters to be provided should be read fully; and
三 顧客から請求があるときは契約締結前交付書面を交付する旨
(iii) the fact that a document for delivery prior to conclusion of contract will be delivered at the request of a customer.
(顧客が支払うべき対価に関する事項)
(Matters Related to Consideration Payable by Customers)
第八十一条 法第三十七条の三第一項第四号に規定する内閣府令で定めるものは、手数料、報酬、費用その他いかなる名称によるかを問わず、金融商品取引契約に関して顧客が支払うべき手数料等の種類ごとの金額若しくはその上限額又はこれらの計算方法(当該金融商品取引契約に係る有価証券の価格、令第十六条第一項第三号に規定するデリバティブ取引等の額若しくは運用財産の額に対する割合又は金融商品取引行為を行うことにより生じた利益に対する割合を含む。以下この項において同じ。)及び当該金額の合計額若しくはその上限額又はこれらの計算方法とする。ただし、これらの記載をすることができない場合にあっては、その旨及びその理由とする。
Article 81 (1) The matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (iv) of the Act are the amount of the consideration payable by customers in relation to a financial instruments transaction contract irrespective of its name such as fees, remuneration, expenses or others, as itemized by the types of such consideration or the upper limit thereof, or an outline of the method of calculation thereof (including the ratio to the price of securities, the amount of the derivative transactions, etc. prescribed in Article 16, paragraph (1), item (iii) of the Order or the amount of investment property, which pertains to the financial instruments transaction contract, or the ratio to the profit generating from acts that constitute financial instruments transactions; hereinafter the same applies in this paragraph); and the total of such amount or upper limit thereof or an outline of the method of calculation thereof; provided, however, that if these details cannot be indicated, such fact and the reason therefor are indicated.
2 第七十四条第二項から第四項までの規定は、前項の手数料等について準用する。
(2) The provisions of Article 74, paragraphs (2) through (4) apply mutatis mutandis to the fees, etc. set forth in the preceding paragraph.
(契約締結前交付書面の共通記載事項)
(Matters to Be Stated in All Types of Documents to Be Delivered Prior to Conclusion of Contract)
第八十二条 法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、次に掲げる事項とする。
Article 82 The matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows:
一 当該契約締結前交付書面の内容を十分に読むべき旨
(i) a notice to the effect that the recipient of the document for delivery prior to conclusion of contract should read the contents thereof comprehensively;
二 令第十六条第一項第二号に掲げる事項
(ii) the matters specified in Article 16, paragraph (1), item (ii) of the Order;
三 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を直接の原因として損失が生ずることとなるおそれがある場合にあっては、次に掲げる事項
(iii) if any act that constitutes a financial instruments transaction to be conducted by the customer bears a risk of the accrual of any loss caused directly by a fluctuation in indicators such as money rate, value of currencies or quotations on the financial instruments market, the following matters:
イ 当該指標
(a) the indicators; and
ロ 当該指標に係る変動により損失が生ずるおそれがある理由
(b) the reasons for the risk of loss which may be caused by any fluctuation in the indicators;
四 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の額を上回ることとなるおそれ(以下この号において「元本超過損が生ずるおそれ」という。)がある場合にあっては、次に掲げる事項
(iv) if there is a risk that the amount of loss set forth in the preceding item may exceed the amount of any security deposit to be deposited by the customer such as customer margin (such risk is hereinafter referred to as the "risk of loss in excess of principal" in this item), the following matters:
イ 前号の指標のうち元本超過損が生ずるおそれを生じさせる直接の原因となるもの
(a) the indicator referred to in the preceding item which would be a direct cause of the risk of loss in excess of principal; and
ロ イに掲げるものに係る変動により元本超過損が生ずるおそれがある理由
(b) the reason of risk of loss in excess of principal which may be caused by the fluctuation in the indicators set forth in (a);
五 顧客が行う金融商品取引行為について当該金融商品取引業者等その他の者の業務又は財産の状況の変化を直接の原因として損失が生ずることとなるおそれがある場合にあっては、次に掲げる事項
(v) if an act that constitutes a financial instruments transaction to be conducted by the customer bears a risk of the accrual of any loss caused directly by a change to the status of the business or property of the financial instruments business operator, etc. or any other person, the following matters:
イ 当該者
(a) such person; and
ロ 当該者の業務又は財産の状況の変化により損失が生ずるおそれがある旨及びその理由
(b) the fact that any change to status of such person's business or property may result in an accrual of loss, and the reasons therefor;
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の額を上回ることとなるおそれ(以下この号において「元本超過損が生ずるおそれ」という。)がある場合にあっては、次に掲げる事項
(vi) if there is a risk that the amount of loss set forth in the preceding item may exceed the amount of any security deposit to be deposited by the customer such as customer margin (hereinafter referred to as the "risk of loss in excess of principal" in this item), the following matters:
イ 前号の者のうち元本超過損が生ずるおそれを生じさせる直接の原因となるもの
(a) the person set forth in the preceding item that would be a direct cause of the risk of loss in excess of principal; and
ロ イに掲げるものの業務又は財産の状況の変化により元本超過損が生ずるおそれがある旨及びその理由
(b) the fact that any change to status of business or property of the person specified in (a) may result in risk of loss in excess of principal, and reasons therefor;
七 当該金融商品取引契約に関する租税の概要
(vii) an outline of the taxation related to the financial instruments transaction contract;
八 当該金融商品取引契約の終了の事由がある場合にあっては、その内容
(viii) if there is any ground for termination of the financial instruments transaction contract, the details thereof;
九 当該金融商品取引契約への法第三十七条の六の規定の適用の有無
(ix) information as to as to whether the provisions of Article 37-6 of the Act is applicable to the financial instruments transaction contract;
十 当該金融商品取引契約が法第三十七条の六の規定が適用されるものである場合にあっては、同条第一項から第四項までの規定に関する事項
(x) if the provisions of Article 37-6 of the Act is applicable to the financial instruments transaction contract, the matters related to the provisions of paragraphs (1) through (4) of that Article;
十一 当該金融商品取引業者等の概要
(xi) an outline of the financial instruments business operator, etc.;
十二 当該金融商品取引業者等が行う金融商品取引業(登録金融機関にあっては、登録金融機関業務)の内容及び方法(当該金融商品取引契約に関するものに限る。)の概要
(xii) an outline of contents and methods (limited to those concerning said Financial instruments transaction contract) of the financial instruments business to be conducted by the financial instruments business operator, etc. (in the case of a registered financial institution, the registered financial institution business to be conducted by the registered financial institution);
十三 顧客が当該金融商品取引業者等に連絡する方法
(xiii) the method whereby a customer contacts the financial instruments business operator, etc.; and
十四 当該金融商品取引業者等が加入している金融商品取引業協会(当該金融商品取引契約に係る業務を行う者を主要な協会員又は会員とするものに限る。)の有無及び加入している場合にあっては、その名称並びに対象事業者となっている認定投資者保護団体(当該金融商品取引契約が当該認定投資者保護団体の認定業務(法第七十九条の十第一項に規定する認定業務をいう。)の対象となるものである場合における当該認定投資者保護団体に限る。)の有無及び対象事業者となっている場合にあっては、その名称
(xiv) information as to whether the financial instruments business operator, etc. is a member of Financial Instruments Firms Association (limited to an association having principal association members or members that are persons conducting the business pertaining to the Financial instruments transaction contract), and if the financial instruments business operator, etc. is a member of a financial instruments firms association, the name of the association , or whether it is a target business operator of any certified investor protection organization (limited to such certified investor protection organization if the financial instruments transaction contract is covered by the certified businesses (meaning the certified businesses prescribed in Article 79-10, paragraph (1) of the Act) of such certified investor protection organization), and if it is a member or a target business operator of any of these organizations, the name thereof;
十五 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事項
(xv) according to the categories specified in the following (a) or (b), the matters specified in the following (a) or (b):
イ 指定紛争解決機関(当該金融商品取引契約に係る業務をその紛争解決等業務の種別とするものに限る。以下この号において同じ。)が存在する場合 当該金融商品取引業者等が法第三十七条の七第一項第一号イ、第二号イ、第三号イ、第四号イ又は第五号イに定める業務に係る手続実施基本契約を締結する措置を講ずる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
(a) if there is a designated dispute resolution organization (limited to such organization of which category for dispute resolution, services covers the business concerning such financial instruments transaction contract; hereinafter the same applies in this item): the trade name or name of the designated dispute resolution organization with which the financial instruments business operator, etc. concludes a basic contract for implementation of dispute procedures for the purpose of taking the measures to conclude such contract for implementation of dispute procedures pertaining to the business specified in Article 37-7, paragraph (1), item (i), (a), item (ii), (a), item (iii), (a), item (iv), (a) or item (v), (a) of the Act; or
ロ 指定紛争解決機関が存在しない場合 当該金融商品取引業者等の法第三十七条の七第一項第一号ロ、第二号ロ、第三号ロ、第四号ロ又は第五号ロに定める業務に関する苦情処理措置及び紛争解決措置の内容
(b) if there is no designated dispute resolution organization: the contents of the complaint processing measures and dispute resolution measures concerning the business specified in Article 37-7, paragraph (1), item (i), (b), item (ii), (b), item (iii), (b), item (iv), (b) or item (v), (b) of the Act of the financial instruments business operator.
(有価証券の売買その他の取引に係る契約締結前交付書面の共通記載事項)
(Matters to Be Stated in All Types of Documents to Be Delivered Prior to Conclusion of Contract Pertaining to Purchase and Sale and Other Transactions of Securities)
第八十三条 その締結しようとする金融商品取引契約が有価証券の売買その他の取引に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、前条各号に掲げる事項のほか、次に掲げる事項とする。ただし、その締結しようとする金融商品取引契約が電子募集取扱業務に係る取引に係るものである場合以外の場合にあっては、第三号から第六号までに掲げる事項を除く。
Article 83 (1) With regard to a case in which the financial instruments transaction contract to be concluded pertains to the purchase and sale or any other transaction of securities, the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows, beyond the matters set forth in the items of the preceding Article; provided, however, if the financial instruments transaction contract to be concluded is not a contract for the transaction pertaining to the electronic public offering services, the matters specified in items (iii) through (vi) are excluded:
一 当該有価証券の譲渡に制限がある場合にあっては、その旨及び当該制限の内容
(i) if the transfer of the securities is subject to any restriction, to that effect and the details of such restriction; and
二 当該有価証券が取扱有価証券である場合にあっては、当該取扱有価証券の売買の機会に関し顧客の注意を喚起すべき事項
(ii) if the securities fall under the category of the tradable securities, the matters which should be noted by the customer in relation to an opportunity for the purchase and sale of the tradable securities;
三 当該有価証券の発行者の商号、名称又は氏名及び住所
(iii) the trade name, name and address of the issuer of the securities;
四 当該有価証券の発行者が法人であるときは、代表者の氏名
(iv) if the issuer of the securities is a corporation, the name of its representative;
五 当該有価証券の発行者の事業計画の内容及び資金使途
(v) the details of the business plan of the issuer of the securities and the purpose of use of funds;
六 電子申込型電子募集取扱業務等の場合にあっては、次に掲げる事項
(vi) in the case of electronic-based application type electronic public offering services, the following matters:
イ 申込期間
(a) the subscription period;
ロ 目標募集額
(b) the target subscription amount;
ハ 当該有価証券の取得に係る応募額が目標募集額を下回る場合及び上回る場合における当該応募額の取扱いの方法
(c) the means of handling the subscription amount for the acquisition of the securities if such amount falls below or exceeds the target subscription amount;
ニ 当該有価証券の取得に係る応募代金の管理方法
(d) the means of management of subscription prices for the acquisition of the securities;
ホ 第七十条の二第二項第三号に規定する措置の概要及び当該有価証券に関する当該措置の実施結果の概要
(e) the summary of the measures provided in Article 70-2, paragraph (2), item (iii) and the summary of the results of implementation of the measures relating to the securities;
ヘ 電子申込型電子募集取扱業務等に係る顧客が当該有価証券の取得の申込みをした後、当該顧客が当該申込みの撤回又は当該申込みに係る発行者との間の契約の解除を行うために必要な事項
(f) the matters necessary for a customer of electronic-based application type electronic public offering services, etc. to withdraw the subscription or cancel the subscription contract with the issuer after making the subscription of acquisition of the securities;
ト 当該有価証券の取得に関し、売買の機会に関する事項その他の顧客の注意を喚起すべき事項
(g) in relation to the acquisition of the securities, the matters relating to the opportunity for purchase and sale and any other matters which require the attention of customers; and
七 当該有価証券が電子記録移転有価証券表示権利等である場合にあっては、当該電子記録移転有価証券表示権利等の概要その他当該電子記録移転有価証券表示権利等の性質に関し顧客の注意を喚起すべき事項
(vii) in cases where the Securities fall under the category of Electronically Recorded Transferable Rights to Be Indicated on Securities, etc., the outline of the Electronically Recorded Transferable Rights to Be Indicated on Securities, etc. and other matters which require the attention of customers with regard to the nature of the Electronically Recorded Transferable Rights to Be Indicated on Securities, etc.
八 当該有価証券がレバレッジ指標等に関する有価証券である場合にあっては、次に掲げる事項
(viii) in cases where the securities fall under securities relating to the leveraged indicator, etc., the following matters:
イ 当該レバレッジ指標等の変動率とその原指標の変動率に一定の数を乗じて得た率とに差が生ずることとなるおそれがある場合にあっては、その旨及びその理由
(a) if there is a risk that any difference may occur between the fluctuation rate of the leveraged indicator, etc. and the ratio obtained by multiplying the fluctuation rate of the original index by a certain factor, to that effect and the reasons therefor;
ロ 当該レバレッジ指標等に関する有価証券に対する投資が中長期的な投資の目的に適合しないものであるときは、その旨及びその理由
(b) when an investment in securities relating to the leveraged indicator, etc. does not meet the objective of medium- to long-term investments, to that effect and the reasons therefor; and
ハ イ及びロに掲げる事項のほか、当該レバレッジ指標等及び当該レバレッジ指標等に関する有価証券の概要及び特性その他当該レバレッジ指標等及び当該レバレッジ指標等に関する有価証券の性質に関し顧客の注意を喚起すべき事項
(c) in addition to the matters set forth in sub-items (a) and (b), the outline and the nature of the leveraged indicator, etc. and securities relating to the leveraged indicator, etc. and other matters which require the attention of customers with regard to the nature of the leveraged indicator, etc. and securities relating to the leveraged indicator, etc.
2 一の有価証券の売買その他の取引について二以上の金融商品取引業者等(金融サービス仲介業者を含む。)が法第三十七条の三第一項(金融サービスの提供に関する法律第三十一条第二項において準用する場合を含む。)の規定により顧客に対し契約締結前交付書面(金融サービス仲介業者にあっては、金融サービスの提供に関する法律第三十一条第二項において準用する法第三十七条の三第一項に規定する書面。以下この項において同じ。)を交付しなければならない場合において、いずれか一の金融商品取引業者等(金融サービス仲介業者を含む。)が前項各号に掲げる事項を記載した契約締結前交付書面を交付したときは、他の金融商品取引業者等は、同項の規定にかかわらず、契約締結前交付書面に同項各号に掲げる事項を記載することを要しない。
(2) Notwithstanding the provisions of the preceding paragraph, if two or more financial instruments business operators, etc. (including a financial service intermediary) are required to deliver to the customer a document for delivery prior to conclusion of contract (in the case of a financial service intermediary, a document prescribed in Article 37-3, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 31, paragraph (2) of the Act on the Provision of Financial Services; the same applies hereinafter in this paragraph) with regard to the same purchase and sale or any other transaction of securities pursuant to the provisions of Article 37-3, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 31, paragraph (2) of the Act on the Provision of Financial Services), and one of those financial instruments business operators, etc. (including a financial service intermediary) has delivered to the customer the document for delivery prior to conclusion of contract stating the matters set forth in the items of the preceding paragraph, the other financial instruments business operator, etc. need not include in its document for delivery prior to conclusion of contract the matters set forth in the items of the preceding paragraph.
3 その締結しようとする金融商品取引契約が有価証券の売付けの媒介、取次ぎ又は代理に係るものであって、当該金融商品取引契約に係る顧客がこれらの有価証券の発行者又は所有者である場合には、第一項の規定にかかわらず、契約締結前交付書面に同項各号に掲げる事項を記載することを要しない。
(3) Notwithstanding the provisions of paragraph (1), if the financial instruments transaction contract to be concluded pertains to an intermediation, brokerage, or agency service for the sale of securities, and if the customer pertaining to such financial instruments transaction contract is an issuer or owner of such securities, the financial instruments business operator, etc. need not specify in the document for delivery prior to conclusion of contract the matters specified in the items of that paragraph.
(信託受益権等の売買その他の取引に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to Be Stated in a Document to Be Delivered Prior to Conclusion of Contract Pertaining to Purchase and Sale or Any Other Transaction of Beneficial Interest in Trust)
第八十四条 その締結しようとする金融商品取引契約が法第二条第一項第十四号に掲げる有価証券若しくは同項第十七号に掲げる有価証券(同項第十四号に掲げる有価証券の性質を有するものに限る。)又は同条第二項第一号若しくは第二号に掲げる権利(以下「信託受益権等」という。)の売買その他の取引に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、前条第一項に規定する事項のほか、次に掲げる事項とする。
Article 84 (1) If a financial instruments transaction contract to be concluded pertains to the purchase and sale or any other transaction of securities specified in Article 2, paragraph (1), item (xiv) of the Act, securities specified in item (xvii) of that paragraph (limited to those which have the nature of the securities specified in item (xiv) of that paragraph) or the rights specified in paragraph (2), item (i) or (ii) of that Article (hereinafter collectively referred to as the "beneficial interest in trust, etc."), the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows, beyond the matters specified in paragraph (1) of the preceding Article:
一 信託財産の種類、信託期間、信託財産の管理又は処分の方法及び信託財産の交付に関する事項
(i) the matters related to the type of the trust property, term of the trust, method for the management or disposition of the trust property and delivery of the trust property;
二 信託財産の管理又は処分の権限を有する者及び権限の内容に関する事項(当該者が適格投資家向け投資運用業を行うことにつき法第二十九条の登録を受けた金融商品取引業者であるときは、その旨を含む。)
(ii) the matters related to the person that has been granted the authority to manage or dispose of the trust property, as well as the details of such authority (if the person is the financial instruments business operator that is registered pursuant to Article 29 of the Act for engaging in investment management business for qualified investors, including to that effect);
三 信託の設定時における第三者による信託財産の評価の有無その他信託財産の評価に関する事項
(iii) information as to whether the trust property was appraised by any third party at the time of the creation of the trust, or any other matters related to the appraisal of the trust property;
四 信託行為において定められる信託受益権等(法第二条第二項の規定により有価証券とみなされる同項第一号又は第二号に掲げる権利に限る。)の譲渡手続に関する事項
(iv) the matters related to procedures for the transfer of the beneficial interest in trust, etc. (limited to the rights specified in Article 2, paragraph (2), item (i) or (ii) of the Act, which are regarded as securities pursuant to the provisions of that paragraph) as prescribed by the act of trust;
五 取引の種類の別
(v) the type of transaction;
六 売付けの代理若しくは媒介又は募集、私募若しくは売出しの取扱いの場合にあっては、売主又は買主に関する事項
(vi) in the case of an agency or intermediary service for sales, or in case of dealing in a public offering, private placement or secondary distribution, the matters related to the seller or purchaser;
七 信託の目的
(vii) the purpose of the trust;
八 受益者の権利義務に関する次に掲げる事項
(viii) the following matters in relation to the beneficiaries' rights and obligations:
イ 受託者が受益者との間において、信託法(平成十八年法律第百八号)第四十八条第五項(同法第五十四条第四項において準用する場合を含む。)に規定する合意を行う定めがある場合(信託業法第二十九条の三の規定により信託会社が説明する場合を除く。)は、その旨及び当該合意の内容
(a) if there are any provisions providing that the trustee and the beneficiary enter into an agreement as set forth in Article 48, paragraph (5) of the Trust Act (Act No. 108 of 2006) (including as applied mutatis mutandis pursuant to Article 54, paragraph (4) of that Act) (other than if the trust company provides an explanation pursuant to the provisions of Article 29-3 of the Trust Business Act), to that effect and the details of such agreement;
ロ 受益者の意思決定に関する特別の定めがある場合は、その旨及び当該定めの内容
(b) if there are any special provisions on the decision-making of beneficiaries, to that effect and the details thereof;
ハ 信託の変更、併合又は分割に関する特別の定めがある場合は、その旨及び当該定めの内容
(c) if there are any special provisions on the change, consolidation or split of the trust, to that effect and the details thereof;
ニ 信託終了の事由に関する特別の定めがある場合は、その旨及び当該定めの内容
(d) if there are any special provisions on the grounds for the termination of the trust, to that effect and the details thereof;
ホ 信託の合意による終了に関する特別の定めがある場合は、その旨及び当該定めの内容
(e) if there are any special provisions on the termination of the trust based on an agreement, to that effect and the details thereof; and
ヘ 受託者の辞任及び新受託者の選任に関する特別の定めがある場合は、その旨及び当該定めの内容
(f) if there are any provisions on the resignation of a trustee and the appointment of a new trustee, to that effect and the details thereof.
九 信託受益権等の損失の危険に関する次に掲げる事項
(ix) the following matters in relation to the risk of loss of the beneficial interest in trust, etc.:
イ 信託法第二十一条第一項第三号に掲げる権利に係る債務がある場合は、当該債務の総額及び契約ごとの債務の金額その他当該債務の内容に関する事項(当該債務が借入れである場合にあっては、総借入金額並びに契約ごとの借入先の属性、借入金額、返済期限、直前の計算期間の借入残高、計算期間及び借入期間における利率、返済方法、担保の設定に関する事項並びに借入れの目的及び使途を含む。)
(a) if there is any obligation pertaining to the right specified in Article 21, paragraph (1), item (iii) of the Trust Act, the matters related to details of the obligation such as the total amount of the obligation and the amount of obligation per contract (if such obligation is a borrowing, including the total amount of the borrowing, and also including information on the features of the lender, borrowed amount, due date, outstanding balance for the immediately prior accounting period, interest rates for the accounting period and borrowing period, means of repayment and creation of security, as itemized by the relevant contracts, and aim and purpose of use of such borrowing);
ロ イに掲げるもののほか、信託受益権について損失を生じるおそれのある債務がある場合は、その旨及び当該債務の総額その他の当該債務の状況
(b) beyond what is set forth in (a), if there is any obligation which may result in any loss related to the beneficial interest in the trust, to that effect and the status of the obligation such as the total amount thereof;
ハ 信託債権、信託財産に設定された担保権その他当該信託受益権に優先する権利がある場合は、当該権利の内容
(c) if there is any trust claim, security interest created on the trust property or any other rights having priority over the beneficial interest in trust, the details of such rights;
ニ 信託受益権について信用補完が講じられている場合は、その旨及び当該信用補完の内容
(d) if a credit enhancement has been implemented in relation to the beneficial interest in trust, to that effect and the details of such credit enhancement; and
ホ 金融機関の信託業務の兼営等に関する法律第六条の規定に基づき損失の補てん又は利益の補足を約する特約が付されている場合は、その旨及びその内容
(e) if there are special provisions promising to compensate for loss or to supplement profit pursuant to the provisions of Article 6 of the Act on Provision, etc. of trust business by financial institutions, to that effect and the details thereof;
十 信託財産に関する租税その他の費用に関する事項
(x) the matters related to tax and any other expenses for the trust property;
十一 信託財産の計算期間に関する事項
(xi) the matters related to the accounting period of the trust property;
十二 信託財産の管理又は処分の状況の報告に関する事項
(xii) the matters related to reporting of the status of the management or disposition of the trust property;
十三 受託者の氏名又は名称及び公告の方法
(xiii) the name of the trustee, and the means of giving public notice;
十四 信託財産である金銭を固有財産又は他の信託財産である金銭と合同運用する場合は、その旨及び当該信託財産と固有財産又は他の信託財産との間の損益の分配に係る基準
(xiv) if the money comprising the trust property is to be invested jointly with the money comprising the trustee's own property or the money comprising any other trust property, to that effect and the criteria for the allocation of profit and loss between such trust property, and the trustee's own property or such other trust property;
十五 当該金融商品取引契約が信託法第三条第三号に掲げる方法によってする信託に係る信託受益権等の売買その他の取引に係るものである場合にあっては、次に掲げる事項
(xv) if the financial instruments transaction contract pertains to the purchase and sale or any other transaction of the beneficial interest in trust, etc. pertaining to the trust created by the means specified in Article 3, item (iii) of the Trust Act, the following matters:
イ 信託法第三条第三号の公正証書その他の書面又は電磁的記録に記載され、又は記録された事項の内容
(a) the particulars of information stated or recorded in the notarial deed or any other document or electronic or magnetic record as set forth in Article 3, item (iii) of the Trust Act;
ロ 受託者に係る信託業法第五十条の二第一項の登録の有無及び同条第十項の調査の有無
(b) information as to whether the trustee has been registered under Article 50-2, paragraph (1) of the Trust Business Act, and information as to whether the inspection under paragraph (10) of that Article has been conducted;
ハ 信託業法第五十条の二第十項の調査が行われた場合には、当該調査の結果
(c) if the inspection under Article 50-2, paragraph (10) of the Trust Business Act has been conducted, the results thereof; and
ニ 信託業法第五十条の二第十項の調査が行われなかった場合であり、かつ、信託受益権等の売買その他の取引を行う者が当該信託の受託者と同一の者であるものについては、信託業法施行規則(平成十六年内閣府令第百七号)第五十一条の七第一項各号に掲げる事項
(d) if the inspection under Article 50-2, paragraph (10) of the Trust Business Act has not been conducted, and if the person conducting the purchase and sale or any other transactions of the beneficial interest in trust, etc. is the trustee of such trust, the matters listed in the items of Article 51-7, paragraph (1) of the Regulation for Enforcement of the Trust Business Act (Cabinet Office Order No. 107 of 2004);
十六 当該金融商品取引契約が信託法第二条第十二項に規定する限定責任信託に係る信託受益権等の売買その他の取引に係るものである場合にあっては、第一号から第十四号までに掲げるもののほか、次に掲げる事項
(xvi) if the financial instruments transaction contract pertains to the purchase and sale or any other transaction of the beneficial interest in trust, etc. pertaining to the limited liability trust prescribed in Article 2, paragraph (12) of the Trust Act, the following matters beyond those set forth in items (i) through (xiv):
イ 限定責任信託の名称
(a) the name of the limited liability trust;
ロ 限定責任信託の事務処理地
(b) the place if the affairs of the limited liability trust are handled; and
ハ 給付可能額及び受益者に対する信託財産に係る給付は当該給付可能額を超えてすることはできない旨
(c) the amount payable, and the fact that the benefit pertaining to the trust property in excess of such payable amount cannot be paid to the beneficiaries.
2 前条第二項の規定は、信託受益権等の売買その他の取引について準用する。この場合において、同項中「前項各号」とあるのは、「第八十四条第一項各号」と読み替えるものとする。
(2) The provisions of paragraph (2) of the preceding Article apply mutatis mutandis to the purchase and sale or any other transaction of the beneficial interest in trust, etc. In such case, the term "the items of the preceding paragraph" in that paragraph is deemed to be replaced with "the items of Article 84, paragraph (1)".
3 前条第三項の規定は、信託受益権等について準用する。この場合において、同項中「第一項」とあるのは、「第八十四条第一項」と読み替えるものとする。
(3) The provisions of paragraph (3) of the preceding Article apply mutatis mutandis to the beneficial interest in trust, etc. In this case, the term "paragraph (1)" of that paragraph is deemed to be replaced with "Article 84, paragraph (1)".
(不動産信託受益権の売買その他の取引に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to Be Stated in a Document to Be Delivered Prior to Conclusion of Contract Pertaining to Purchase and Sale or Other Transaction of Beneficial Interest in Real Property Trust)
第八十五条 その締結しようとする金融商品取引契約が不動産信託受益権の売買その他の取引に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、前条第一項に規定する事項のほか、次に掲げる事項とする。ただし、当該不動産信託受益権に係る信託財産が宅地である場合にあっては、第一号から第九号の二まで及び第十三号に掲げるものに限る。
Article 85 (1) If a financial instruments transaction contract to be concluded pertains to a purchase and sale or any other transaction of beneficial interest in real property trust, the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows, beyond those specified in paragraph (1) of the preceding Article; provided, however, that if the trust property pertaining to the beneficial interest in real property trust comprises a building lot, such matters are limited to those listed in items (i) through (ix)-2 and in item (xiii):
一 当該不動産信託受益権に係る信託財産の上に存する登記された権利の種類及び内容並びに登記名義人又は登記簿の表題部に記録された所有者の氏名(法人にあっては、その名称)
(i) the types and details of the registered right existing on the trust property pertaining to the beneficial interest in real property trust, as well as the name of the registered right holder thereof or the name of the owner recorded in the heading-section of the registry (in the case of a corporation, the name thereof);
二 当該不動産信託受益権に係る信託財産である宅地又は建物に係る都市計画法(昭和四十三年法律第百号)、建築基準法(昭和二十五年法律第二百一号)その他の法令に基づく制限で宅地建物取引業法施行令(昭和三十九年政令第三百八十三号)第三条の二に規定する制限に関する事項の概要
(ii) an outline of the matters related to restrictions on the building lots or building comprising the trust property pertaining to the beneficial interest in real property trust as imposed under the City Planning Act (Act No. 100 of 1968), the Building Standards Act (Act No. 201 of 1950) or any other laws and regulations, which are specified in Article 3-2 of the Order for Enforcement of the Building Lots and Buildings Transaction Business Act (Cabinet Order No. 383 of 1964);
三 当該不動産信託受益権に係る信託財産である宅地又は建物に係る私道に関する負担に関する事項
(iii) matters related to the burden of a private road in connection with the building lots or building comprising the trust property pertaining to the beneficial interest in real property trust;
四 当該不動産信託受益権に係る信託財産である宅地又は建物に係る飲用水、電気及びガスの供給並びに排水のための施設の整備の状況(これらの施設が整備されていない場合においては、その整備の見通し及びその整備についての特別の負担に関する事項)
(iv) the status of the construction or maintenance of the facilities for the supply of drinking water, electricity and gas and the drainage facilities for the building lot or building comprising the trust property pertaining to the beneficial interest in real property trust (if these facilities have not been constructed or maintained, the matters related to plans for construction or maintenance thereof and special burden therefor);
五 当該不動産信託受益権に係る信託財産である宅地又は建物が宅地の造成又は建築に関する工事の完了前のものであるときは、その完了時における形状、構造その他宅地建物取引業法施行規則(昭和三十二年建設省令第十二号)第十九条の二の四に規定する事項
(v) if the development or construction work of the building lot or building comprising the trust property pertaining to the beneficial interest in real property trust has not been completed, the matters related to the shape and structure at the time of the completion thereof as well as any other matters specified in Article 19-2-4 of the Regulation for Enforcement of the Building Lots and Buildings Transaction Business Act (Order of the Ministry of Construction No. 12 of 1957);
六 当該不動産信託受益権に係る信託財産である建物が建物の区分所有等に関する法律(昭和三十七年法律第六十九号)第二条第一項に規定する区分所有権の目的であるものであるときは、当該建物を所有するための一棟の建物の敷地に関する権利の種類及び内容、同条第四項に規定する共用部分に関する規約の定めその他の一棟の建物又はその敷地(一団地内に数棟の建物があって、その団地内の土地又はこれに関する権利がそれらの建物の所有者の共有に属する場合には、その土地を含む。)に関する権利及びこれらの管理又は使用に関する事項で宅地建物取引業法施行規則第十九条の二の五各号に掲げるもの
(vi) if the building comprising the trust property pertaining to the beneficial interest in real property trust is the subject of the unit ownership prescribed in Article 2, paragraph (1) of the Act on Unit Ownership, etc. of Building (Act No. 69 of 1962), the type and details of the rights related to site of a building for the purpose of ownership of the building, the provisions of a regulation in relation to common elements as specified in paragraph (4) of that Article, the other rights related to a building and its site (if two or more buildings are built in a housing complex, and if the land located within such housing complex or the rights relevant thereto are co-owned by the owners of such buildings, including such land), as well as the matters related to the management or use thereof as set forth in the items of Article 19-2-5 of the Regulation for Enforcement of the Building Lots and Buildings Transaction Business Act;
七 当該不動産信託受益権に係る信託財産である宅地又は建物が宅地造成等規制法(昭和三十六年法律第百九十一号)第二十条第一項により指定された造成宅地防災区域内にあるときは、その旨
(vii) if the building lot or building comprising the trust property pertaining to the beneficial interest in real property trust is located in the disaster prone developed residential area designated under Article 20, paragraph (1) of the Act on Regulation of Residential Land Development (Act No. 191 of 1961), to that effect;
八 当該不動産信託受益権に係る信託財産である宅地又は建物が土砂災害警戒区域等における土砂災害防止対策の推進に関する法律(平成十二年法律第五十七号)第七条第一項により指定された土砂災害警戒区域内にあるときは、その旨
(viii) if the building lot or building comprising the trust property pertaining to the beneficial interest in real property trust is located in the sediment disaster prone areas designated under Article 7, paragraph (1) of the Act on Sediment Disaster Countermeasures for Sediment Disaster Prone Areas (Act No. 57 of 2000), to that effect;
九 当該不動産信託受益権に係る信託財産である宅地又は建物が津波防災地域づくりに関する法律(平成二十三年法律第百二十三号)第五十三条第一項により指定された津波災害警戒区域内にあるときは、その旨
(ix) if the building lot or building comprising the trust property pertaining to the beneficial interest in real property trust is located in the sediment disaster prone areas designated under Article 53, paragraph (1) of the Act on Regional Development for Tsunami Disaster Prevention (Act No. 123 of 2011), to that effect;
九の二 水防法施行規則(平成十二年建設省令第四十四号)第十一条第一号の規定により当該不動産信託受益権に係る信託財産である宅地又は建物が所在する市町村の長が提供する図面に当該信託財産である宅地又は建物の位置が表示されているときは、当該図面における当該信託財産である宅地又は建物の所在地
(ix)-2 if the location of the building lot or building comprising the trust property pertaining to the beneficial interest in a real property trust is displayed on the drawing provided by the mayor of a municipality where the location of the building lot or building comprising the trust property is located pursuant to the provisions of Article 11, item (i) of the Regulation for Enforcement of the Flood Control Act (Order of the Ministry of Construction No. 44 of 2000), the location of the building lot or building comprising the trust property on the drawing;
十 当該不動産信託受益権に係る信託財産である建物について、石綿の使用の有無の調査の結果が記録されているときは、その内容
(x) if, with regard to the building comprising the trust property pertaining to the beneficial interest in real property trust, the results of any investigation as to whether asbestos was used have been recorded, the contents of such record;
十一 当該不動産信託受益権に係る信託財産である建物(昭和五十六年六月一日以降に新築の工事に着手したものを除く。)が建築物の耐震改修の促進に関する法律(平成七年法律第百二十三号)第四条第一項に規定する基本方針のうち同条第二項第三号の技術上の指針となるべき事項に基づいて次に掲げる者が行う耐震診断を受けたものであるときは、その内容
(xi) if the building comprising the trust property pertaining to the beneficial interest in real property trust (excluding a building for which construction work was commenced on or after June 1, 1981) has undergone a seismic test implemented by any of the following parties in accordance with the items serving as the technical guidelines as specified in Article 4, paragraph (2), item (iii) of the Act on Promotion of Seismic Retrofitting of Buildings (Act No. 123 of 1995), from among the basic policies specified in Article 4, paragraph (1) of that Act, the details thereof:
イ 建築基準法第七十七条の二十一第一項に規定する指定確認検査機関
(a) a designated confirmation and inspection agency as prescribed in Article 77-21, paragraph (1) of the Building Standards Act;
ロ 建築士法(昭和二十五年法律第二百二号)第二条第一項に規定する建築士
(b) an architect and building engineer as prescribed in Article 2, paragraph (1) of the Act on Architects and Building Engineers (Act No. 202 of 1950);
ハ 住宅の品質確保の促進等に関する法律(平成十一年法律第八十一号)第五条第一項に規定する登録住宅性能評価機関
(c) a registered housing quality evaluation agency as prescribed in Article 5, paragraph (1) of the Housing Quality Assurance Act (Act No. 81 of 1999); or
ニ 地方公共団体
(d) a local government.
十二 当該不動産信託受益権に係る信託財産である建物が住宅の品質確保の促進等に関する法律第五条第一項に規定する住宅性能評価を受けた新築住宅であるときは、その旨
(xii) if the building comprising the trust property pertaining to the beneficial interest in real property trust is a newly constructed housing which has undergone the housing quality evaluation test prescribed in Article 5, paragraph (1) of the Housing Quality Assurance Act, to that effect; and
十三 当該不動産信託受益権に係る信託財産である宅地又は建物が種類又は品質に関して契約の内容に適合しない場合におけるその不適合を担保すべき責任の履行に関し保証保険契約の締結その他の措置で次に掲げるものが講じられているときは、その概要
(xiii) in cases where the Building Lot or building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust does not conform to the content of the contract in terms of the type or quality, and when any of the measures as specified in any of the following sub-items such as a conclusion of guarantee insurance contract has been taken with regard to the performance of a non-conformity warranty obligation, the outlines thereof:
イ 当該宅地又は建物が種類又は品質に関して契約の内容に適合しない場合におけるその不適合を担保すべき責任の履行に関する保証保険契約又は責任保険契約の締結
(a) in cases where the Building Lot or building does not conform to the content of the contract in terms of the type or quality, the conclusion of a guarantee insurance contract or a liability insurance contract for the performance of a non-conformity warranty obligation;
ロ 当該宅地又は建物が種類又は品質に関して契約の内容に適合しない場合におけるその不適合を担保すべき責任の履行に関する保証保険又は責任保険を付保することを委託する契約の締結
(b) in cases where the Building Lot or building does not conform to the content of the contract in terms of the type or quality, the conclusion of a contract for the consignment of the establishment of guarantee insurance or liability insurance for the performance of a non-conformity warranty obligation; or
ハ 当該宅地又は建物が種類又は品質に関して契約の内容に適合しない場合におけるその不適合を担保すべき責任の履行に関する債務について銀行等が連帯して保証することを委託する契約の締結
(c) in cases where the Building Lot or building does not conform to the content of the contract in terms of the type or quality, the conclusion of a contract for consigning the bank, etc. to jointly and severally guarantee the obligation of the performance of a non-conformity warranty obligation.
2 第八十三条第二項の規定は、不動産信託受益権の売買その他の取引について準用する。この場合において、同項中「前項各号」とあるのは、「第八十五条第一項各号」と読み替えるものとする。
(2) The provisions of Article 83, paragraph (2) apply mutatis mutandis to the purchase and sale or any other transaction of the beneficial interest in real property trust. In such case, the term "items of the preceding paragraph" in that paragraph is deemed to be replaced with "the items of Article 85, paragraph (1)".
3 第八十三条第三項の規定は、不動産信託受益権について準用する。この場合において、同項中「第一項」とあるのは、「第八十五条第一項」と読み替えるものとする。
(3) The provisions of Article 83, paragraph (3) apply mutatis mutandis to the beneficial interest in real property trust. In this case, the term "paragraph (1)" in that paragraph is deemed to be replaced with "Article 85, paragraph (1)".
(抵当証券等の売買その他の取引に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to Be Stated in a Document to Be Delivered Prior to Conclusion of Contract Pertaining to Purchase and Sale and Other Transactions of Mortgage Securities)
第八十六条 その締結しようとする金融商品取引契約が抵当証券等の売買その他の取引に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、第八十三条第一項に規定する事項のほか、次に掲げる事項とする。
Article 86 (1) If a financial instruments transaction contract to be concluded pertains to the purchase and sale or any other transaction of mortgage securities, etc., the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows, beyond those specified in Article 83, paragraph (1):
一 元本の単位に関する事項
(i) the matters related to a unit of principal;
二 利息に関する事項
(ii) the matters related to interest;
三 当該抵当証券等に記載された債権の元本及び利息の弁済の受領に関する定めがあるときは、その内容
(iii) if there are any provisions on the receipt of payment of principal and interest of the claims, as stated in the mortgage securities, etc., the details thereof;
四 代金の受渡しの方法
(iv) the method of the delivery of the price;
五 元本及び利息の支払の時期、手段その他支払の方法
(v) the timing and means of the payment of principal and interest, or any other payment method;
六 当該抵当証券等に記載された抵当証券法(昭和六年法律第十五号)第十二条第一項各号に掲げる事項
(vi) the matters listed in the items of Article 12, paragraph (1) of the Mortgage Securities Act (Act No. 15 of 1931), as stated in the mortgage securities, etc.;
七 当該抵当証券等に係る貸付契約に関する次に掲げる事項
(vii) the following matters in relation to the loan contract pertaining to the mortgage securities, etc.:
イ 貸付契約の締結の年月日
(a) the date of the conclusion of the loan contract;
ロ 貸付資金の金額、金利、使途並びに返済の方法及び期限
(b) the amount, interest and purpose of the loaned fund, as well as the method and due date for payment;
ハ 保証人の有無
(c) information as to whether there is any guarantor;
ニ 貸付契約に係る担保物件の概要に関する次に掲げる事項
(d) the following matters with regard to the outline of the collateral pertaining to the loan contract:
(2) 担保物件の評価をした年月日、評価額並びに評価をした者の商号、名称又は氏名及び連絡先
2. the appraisal date and the appraised value of the collateral, as well the trade name, name or contact information of the appraiser; and
ホ ニの担保物件に係る事業計画その他の計画で定める貸付資金の返済計画の概要
(e) an outline of the repayment plan for the loaned fund specified in the business plan or any other plan pertaining to the collateral set forth in (d); and
ヘ 債務者が法人である場合にあっては、当該法人に関する次に掲げる事項
(f) if the debtor is a corporation, the following matters in relation to the corporation:
(1) 設立の年月又は事業を開始した年月
1. the date of incorporation, or the date of the commencement of business;
(2) 主たる事業の種類
2. the type of the primary business;
(3) 当該契約締結前交付書面を交付した日の三月前(当該金融商品取引業者等が外国法人である場合には、六月前)の日を含む事業年度の前事業年度の決算日における資本金の額又は出資の総額並びに貸借対照表及び損益計算書
3. the amount of stated capital or total amount of investment as well as the balance sheet and the profit and loss statement, as of the closing day of the accounts of the business year immediately preceding the business year in which the date three months (if the financial instruments business operator, etc. is a foreign corporation, six months) prior to the delivery date of the document for delivery prior to conclusion of contract falls;
ト 債務者が当該金融商品取引業者等の関連当事者(財務諸表等規則第八条第十七項に規定する関連当事者をいう。)である場合には、その旨
(g) if the debtor falls under the party concerned (meaning the party concerned prescribed in Article 8, paragraph (17) of the Regulation on Financial Statements, etc.")) of the financial instruments business operator, etc., to that effect; and
チ 顧客が債務者から債権を取り立てる方法
(h) the method whereby the customer collects the claims from the debtor.
八 当該金融商品取引業者等の資本金の額又は出資の総額及び他の事業を行っている場合には、その事業の種類
(viii) the amount of stated capital or total amount of investment of the financial instruments business operator, etc., and, if it is engaged in another business, the type of such business;
九 当該金融商品取引業者等に係る法第四十六条の三第一項、第四十七条の二又は第四十八条の二第一項に規定する事業報告書に記載すべき事項
(ix) the matters to be stated in the business report under Article 46-3, paragraph (1), Article 47-2 or Article 48-2, paragraph (1) of the Act, in relation to the financial instruments business operator, etc.;
十 抵当証券等の元本が政府により保証されたものではない旨
(x) the fact that the principal of the mortgage securities, etc. is not guaranteed by the government; and
十一 当該金融商品取引業者等に係る直近の計算書類又は次に掲げるいずれかの事項
(xi) the latest financial statements of the financial instruments business operator, etc., or any of the following matters in regard to such financial instruments business operator, etc.:
イ 会社法第三百九十六条第一項後段の会計監査報告の内容
(a) the contents of the accounting audit report set forth in the second sentence of Article 396, paragraph (1) of the Companies Act;
ロ 当該金融商品取引業者等が会計監査人設置会社でない場合において、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。以下同じ。)又は監査法人の監査を受けているときは、当該監査における監査報告の内容
(b) if the financial instruments business operator, etc. is not a company with accounting auditors, and it has been audited by a certified public accountant (including a foreign certified public accountant prescribed in Article 16-2, paragraph (5) of the Certified Public Accountants Act (Act No. 103 of 1948); the same applies hereinafter) or an auditing firm, the details of the report of such auditing; or
ハ 当該金融商品取引業者等が会計監査人設置会社でない場合であって、公認会計士又は監査法人の監査を受けていないときは、公認会計士又は監査法人の監査を受けていない旨及びその理由
(c) if the financial instruments business operator, etc. is not a company with accounting auditors, and it has not been audited by a certified public accountant or an auditing firm, the effect that it has not been audited by a certified public accountant or an auditing firm, and reason therefor.
2 第八十三条第二項の規定は、抵当証券等の売買その他の取引について準用する。この場合において、同項中「前項各号」とあるのは、「第八十六条第一項各号」と読み替えるものとする。
(2) The provisions of Article 83, paragraph (2) apply mutatis mutandis to the purchase and sale or any other transaction of the mortgage securities, etc. In this case, the term "the items of the preceding paragraph" in that paragraph is deemed to be replaced with "the items of Article 86, paragraph (1)".
3 第八十三条第三項の規定は、抵当証券等について準用する。この場合において、同項中「第一項」とあるのは、「第八十六条第一項」と読み替えるものとする。
(3) The provisions of Article 83, paragraph (3) apply mutatis mutandis to the mortgage securities, etc. In this case, the term "paragraph (1)" in that paragraph is deemed to be replaced with "Article 86, paragraph (1)."
(出資対象事業持分の売買その他の取引に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to Be Stated in a Document to Be Delivered Prior to Conclusion of Contract Pertaining to Purchase and Sale or Other Transactions of Equity in Business subject to Investment)
第八十七条 その締結しようとする金融商品取引契約が出資対象事業持分の売買その他の取引に係るもの(以下この条において「出資対象事業持分取引契約」という。)である場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、第八十三条第一項に規定する事項のほか、次に掲げる事項とする。
Article 87 (1) If a financial instruments transaction contract to be concluded pertains to the purchase and sale or any other transaction of the equity in business subject to investment (such contract is hereinafter referred to as "contract for transaction of equity in business subject to investment" in this Article), the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows, beyond those specified in Article 83, paragraph (1):
一 出資対象事業持分取引契約に関する次に掲げる事項
(i) the following matters related to the contract for transaction of equity in business subject to investment:
イ 出資対象事業持分の名称
(a) the name of the equity in business subject to investment;
ロ 出資対象事業持分の形態
(b) the type of the equity in business subject to investment;
ハ 出資対象事業持分取引契約の締結の申込みに関する事項
(c) the matters related to an application for the conclusion of the contract for transaction of equity in business subject to investment;
ニ 出資又は拠出をする金銭の払込みに関する事項
(d) the matters related to the payment of money to be invested or contributed;
ホ 出資対象事業持分に係る契約期間がある場合にあっては、当該契約期間
(e) if the contract term for the equity in business subject to investment has been prescribed, such contract term;
ヘ 出資対象事業持分に係る解約に関する次に掲げる事項
(f) the following matters related to the cancellation of the equity in business subject to investment:
(2) 解約により行われる出資対象事業持分に係る財産の分配に係る金銭の額の計算方法、支払方法及び支払予定日
2. the calculation method, payment method and scheduled payment date of the money concerns the distribution of the properties related to the equity in business subject to investment, which is payable upon cancellation thereof; and
(3) 解約に係る手数料
3. the cancellation fee;
ト 損害賠償額の予定(違約金を含む。)に関する定めがあるときは、その内容
(g) if there is an agreement for agreement for liquidated damages (including penalties), the details thereof;
チ 顧客の権利及び責任の範囲に関する次に掲げる事項
(h) the following matters in connection with the scope of the rights and liabilities of the customer:
(1) 出資対象事業に係る財産に対する顧客の監視権の有無及び顧客が当該監視権を有する場合にあっては、その内容
1. information as to whether the customer has a right to monitor the properties pertaining to the business subject to investment and if so, the details of such right;
(2) 出資対象事業に係る財産の所有関係
2. ownership in the properties pertaining to the business subject to investment;
(3) 顧客の第三者に対する責任の範囲
3. the scope of the customer's liabilities owed to third parties;
(4) 出資対象事業に係る財産が損失により減じた場合の顧客の損失分担に関する事項
4. the matters related to the allocation of losses to be borne by the customer, in cases of any detriment to the properties pertaining to the business subject to investment due to any loss; and
(5) 出資対象事業持分の内容
5. the details of the equity in business subject to investment;
二 出資対象事業の運営に関する次に掲げる事項
(ii) the following matters in relation to the operation of the business subject to investment:
イ 出資対象事業の内容及び運営の方針
(a) the contents of the business subject to investment and the operation policy therefor;
ロ 組織、内部規則、出資対象事業に関する意思決定に係る手続その他の出資対象事業の運営体制に関する事項
(b) matters related to the operational system for the business subject to investment, such as its organizational structure, internal rules and decision-making process for the business subject to investment;
ハ 出資対象事業持分の発行者の商号、名称又は氏名、役割及び関係業務の内容
(c) the trade name, name, duty and relevant business of the issuer of the equity in business subject to investment;
ニ 出資対象事業の運営を行う者の商号、名称又は氏名(当該者が適格投資家向け投資運用業を行うことにつき法第二十九条の登録を受けた金融商品取引業者であるときは、その旨を含む。)、役割及び関係業務の内容
(d) the trade name, name, duty and relevant business of the person operating the business subject to investment (if the person is a financial instruments business operator that is registered as set forth in Article 29 of the Act for engaging in investment management business for qualified investors, including to that effect);
ホ 出資対象事業が有価証券に対する投資を行う事業であるものである場合にあっては、次に掲げる者の商号、名称又は氏名((2)に掲げる者が適格投資家向け投資運用業を行うことにつき法第二十九条の登録を受けた金融商品取引業者であるときは、その旨を含む。)、役割及び関係業務の内容
(e) if the business subject to investment is a business which invests in securities, the trade name, name, duty and relevant business of the following persons (if the person listed in 2. is a financial instruments business operator that is registered as set forth in Article 29 of the Act for engaging in investment management business for qualified investors, including to that effect):
(1) 当該有価証券(投資の総額に占める割合が大きいものから順次その順位を付し、その第一順位から第三十順位までのものに限る。)の発行者(当該発行者(第七十四条第二項に規定する投資信託受益権等の発行者に限る。)が他の有価証券に対する投資を行う場合における当該他の有価証券は、当該有価証券とみなす。)
1. the issuers of the securities (limited to the first to the 30th-ranked securities, in accordance with the descending order of the proportion to the total amount of investment) (if the Issuer (limited to the issuer of the investment trust beneficial interests, etc. prescribed in Article 74, paragraph (2)) makes an investment in other securities, such other securities are regarded as the securities);
(2) 出資対象事業持分の発行者又は(1)に掲げる者から金銭その他の財産の運用又は保管の委託を受ける者(当該者が運用を再委託する者は出資対象事業持分の発行者又は(1)に掲げる者から委託を受ける者とみなす。)
2. the person accepting entrustment of an investment or the custody of money or any other property from the issuer of the equity in business subject to investment or a person specified in 1. (another person that such person re-entrusts an investment to is deemed to be the person accepting entrustment from the issuer of the equity in business subject to investment or the person specified in 1.);
ヘ 出資対象事業から生ずる収益の配当又は出資対象事業に係る財産の分配(以下「配当等」という。)の方針
(f) the policy for the dividend of profit generating from the investment business, or the policy for the distribution of properties pertaining to the business subject to investment (hereinafter collectively referred to as the "dividends, etc.");
ト 事業年度、計算期間その他これに類する期間
(g) the business year, accounting period or any other period similar thereto;
チ 出資対象事業に係る手数料等の徴収方法及び租税に関する事項
(h) the method for the collection of fees, etc. pertaining to the business subject to investment and the matters related to tax to be imposed thereon; and
リ 法第四十条の三に規定する管理の方法
(i) the management method set forth in Article 40-3 of the Act.
三 出資対象事業の経理に関する次に掲げる事項
(iii) the following matters in relation to the accounting of the business subject to investment;
イ 貸借対照表
(a) the balance sheet;
ロ 損益計算書
(b) the profit and loss statement;
ハ 出資対象事業持分の総額
(c) the total amount of the equity in business subject to investment:
ニ 発行済みの出資対象事業持分の総数
(d) the total number of issued equity interests in business subject to investment;
ホ 配当等に関する次に掲げる事項
(e) the following matters related to the dividends, etc.:
(1) 配当等の総額
1. the total amount of the dividends, etc.;
(2) 配当等の支払方法
2. the payment method of the dividends, etc.;
(3) 出資対象事業に係る財産の分配が第一号ホに掲げる契約期間の末日以前に行われる場合にあっては、当該分配に係る金銭の支払方法
3. if the distribution of the properties pertaining to the business subject to investment is to be made prior to the last day of the contract term specified in item (i), (e), the payment method of the money pertaining to such distribution; and
(4) 配当等に対する課税方法及び税率
4. the method for and rate of taxation on the dividends, etc.
ヘ 総資産額、純資産額、営業損益額、経常損益額及び純損益額
(f) the amount of total assets, the net assets, the amount of operating profit or loss, the amount of current profit or loss and the amount of net profit or loss;
ト 出資対象事業持分一単位当たりの総資産額、純損益額及び配当等の金額
(g) the amount of total net assets, the amount of net profit or loss and the amount of dividends, etc. per unit of equity in business subject to investment;
チ 自己資本比率及び自己資本利益率
(h) the capital-to-asset ratio and return on equity;
リ 出資対象事業が有価証券に対する投資を行う事業であるものである場合にあっては、当該有価証券に関する次に掲げる事項
(i) if the business subject to investment is a business which invests in securities, the following matters related to the securities:
(1) 発行地又は金融商品取引所その他これに準ずるものが所在する地域ごとの銘柄、当該有価証券が株券である場合にあっては、当該株券の発行者の業種、数量、金額(簿価の総額及び時価の総額又は評価額の総額をいう。以下この号において同じ。)並びに当該有価証券が債券である場合にあっては、利率及び償還金額
1. the issues of the securities itemized by the place of issuance or regions if the financial instruments exchange or any others similar thereto are located; if the category of the securities is a share certificate, the type of business of the issuer thereof, and the volumes and amount thereof (the amount means the total book value and the total market value or the total appraisal value; hereinafter the same applies in this item); and if the category of the securities is a bond, the interest rates and the amount of redemption;
(3) (1)の金額がそれぞれ出資対象事業に係る資産の総額に占める割合
3. the proportion of each of the amounts specified in 1. to the total amount of assets pertaining to the business subject to investment.
ヌ 出資対象事業が有価証券以外の資産に対する投資を行う事業であるものである場合にあっては、当該資産に関する次に掲げる事項
(j) if the business subject to investment is a business which invests in any asset other than securities, the following matters related to the asset:
(1) 資産の種類ごとの数量及び金額
1. the volumes and amount of asset, as itemized by the type of assets;
(3) (1)の金額がそれぞれ出資対象事業に係る資産の総額に占める割合
3. the proportion of each of the amounts specified in 1. to the total amount of assets pertaining to the business subject to investment; and
四 第百二十九条第一項第三号又は第四号に掲げる行為を行う場合にあっては、その旨
(iv) in cases of conducting the act specified in Article 129, paragraph (1), item (iii) or (iv), to that effect.
2 第八十三条第二項の規定は、出資対象事業持分の売買その他の取引について準用する。この場合において、同項中「前項各号」とあるのは、「第八十七条第一項各号」と読み替えるものとする。
(2) The provisions of Article 83, paragraph (2) apply mutatis mutandis to the purchase and sale or any other transaction of equity in business subject to investment. In this case, the term "the items of the preceding paragraph" in that paragraph is deemed to be replaced with "the items of Article 87, paragraph (1)".
3 第八十三条第三項の規定は、出資対象事業持分について準用する。この場合において、同項中「第一項」とあるのは、「第八十七条第一項」と読み替えるものとする。
(3) The provisions of Article 83, paragraph (3) apply mutatis mutandis to the equity in business subject to investment. In this case, the term "paragraph (1)" in that paragraph is deemed to be replaced with "the items of Article 87, paragraph (1)."
(外国出資対象事業持分の売買その他の取引に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to Be Stated in a Document to Be Delivered Prior to Conclusion of Contract Pertaining to Purchase and Sale or Other Transaction of Equity in Foreign Business subject to Investment)
第八十八条 その締結しようとする金融商品取引契約が法第二条第二項第六号に掲げる権利(以下「外国出資対象事業持分」という。)の売買その他の取引に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、前条第一項に規定する事項のほか、次に掲げる事項とする。
Article 88 (1) If a financial instruments transaction contract to be concluded pertains to the purchase and sale or any other transaction of the right specified in Article 2, paragraph (2), item (vi) of the Act (hereinafter referred to as the "equity in foreign business subject to investment"), the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows, beyond those specified in paragraph (1) of the preceding Article:
一 外国出資対象事業持分に係る契約その他の法律行為の準拠法の名称及びその主な内容
(i) the name of the laws governing the contract or any other juridical act related to the equity in foreign business subject to investment, and the outline thereof;
二 外国出資対象事業持分の発行者が監督を受けている外国の当局の有無並びに当該当局がある場合にあっては、その名称及び当該監督の主な内容
(ii) existence of the authority of the foreign state supervising the issuer of the equity in foreign business subject to investment, and if the authority exists, the name and the outline of the supervision;
三 配当等、売却代金その他の送金についての為替管理上の取扱い
(iii) the treatment of remittance of the dividends, etc., sales proceeds and any other payment, in regard to exchange control;
四 本邦内に住所を有する者であって、裁判上及び裁判外において当該外国出資対象事業持分の発行者を代理する権限を有する者の有無並びに当該者がある場合にあっては、その氏名又は名称及び住所並びに当該権限の内容
(iv) information as to whether there is any person domiciled in Japan who has been granted authority to act as an agent of the issuer of the equity in foreign business subject to investment in connection with acts in or out of court, and there is such person, the name and address and the contents of such authority; and
五 当該外国出資対象事業持分に係る契約その他の法律行為に当該外国出資対象事業持分に関する訴訟について管轄権を有する裁判所の定めがある場合にあっては、その名称及び所在地並びに執行の手続
(v) if the contract or any other juridical act related to the equity in foreign business subject to investment provides for the court to have jurisdiction over an action related to such equity in foreign business subject to investment, the name and location of such court and the procedure for execution.
2 第八十三条第二項の規定は、外国出資対象事業持分の売買その他の取引について準用する。この場合において、同項中「前項各号」とあるのは、「第八十八条第一項各号」と読み替えるものとする。
(2) The provisions of Article 83, paragraph (2) apply mutatis mutandis to the purchase and sale or any other transaction of the equity in foreign business subject to investment. In such case, the term "items of the preceding paragraph" is deemed to be replaced with "the items of Article 88, paragraph (1)".
3 第八十三条第三項の規定は、外国出資対象事業持分について準用する。この場合において、同項中「第一項」とあるのは、「第八十八条第一項」と読み替えるものとする。
(3) The provisions of Article 83, paragraph (3) apply mutatis mutandis to the equity in foreign business subject to investment. In this case, the term "paragraph (1)" in that paragraph is deemed to be replaced with "Article 88, paragraph (1)."
(主として信託受益権等に対する投資を行う事業を出資対象事業とする出資対象事業持分の売買その他の取引に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to Be Stated in a Document to Be Delivered Prior to Conclusion of Contract Pertaining to Purchase and Sale or Other Transactions of Equity in Business subject to Investment Whose Business subject to Investment Is Business Which Primarily Invests in Beneficial Interest in Trust)
第八十九条 その締結しようとする金融商品取引契約が、出資対象事業持分のうち当該出資対象事業持分に係る出資対象事業が主として信託受益権等に対する投資を行う事業であるものの売買その他の取引に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、第八十七条第一項に規定する事項(当該金融商品取引契約が外国出資対象事業持分の売買その他の取引に係るものにあっては、前条第一項に規定する事項)のほか、第八十四条第一項各号に掲げる事項とする。
Article 89 (1) If a financial instruments transaction contract to be concluded pertains to a purchase and sale or any other transaction of equity in business subject to investment wherein the business subject to investment related to such equity in business subject to investment is a business which primarily invests in beneficial interest in trust, etc., the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are the matters listed in the items of Article 84, paragraph (1), in addition to those specified in Article 87, paragraph (1) (if the financial instruments transaction contract pertains to the purchase and sale or any other transaction of equity in foreign business subject to investment, beyond those specified in paragraph (1) of the preceding Article).
2 前項の信託受益権等には、同項の出資対象事業が出資対象事業持分に対する投資を行う事業である場合であって当該出資対象事業持分に係る出資対象事業(次項及び第四項において「子出資対象事業」という。)が信託受益権等に対する投資を行う事業であるときにおける当該信託受益権等を含むものとする。
(2) The beneficial interest in trust, etc. set forth in the preceding paragraph is to include the beneficial interest in trust, etc. if the business subject to investment set forth in that paragraph is a business which invests in an equity in business subject to investment and the business subject to investment related to such equity in business subject to investment (referred to as the "secondary business subject to investment" in the following paragraph and paragraph (4)) is a business which invests in beneficial interest in trust, etc.
3 前項の子出資対象事業が出資対象事業持分に対する投資を行う事業である場合であって、当該出資対象事業持分に係る出資対象事業が信託受益権等に対する投資を行う事業であるときにおける当該出資対象事業は、子出資対象事業とみなして、前二項の規定を適用する。
(3) If the secondary business subject to investment set forth in the preceding paragraph is a business which invests in equity in business subject to investment and the business subject to investment related to such equity in business subject to investment is a business which invests in beneficial interest in trust, etc., such business subject to investment is deemed to be a secondary business subject to investment, and the provisions of the preceding two paragraphs apply.
4 前項の規定は、同項(この項において準用する場合を含む。)の規定により子出資対象事業とみなされた出資対象事業が出資対象事業持分に対する投資を行う事業である場合であって、当該出資対象事業持分に係る出資対象事業が信託受益権等に対する投資を行う事業であるときについて準用する。
(4) The provisions of the preceding paragraph apply mutatis mutandis if the business subject to investment which is deemed to be the secondary business subject to investment pursuant to the provisions of that paragraph (including as applied mutatis mutandis pursuant to this paragraph) is a business which invests in equity in business subject to investment, and if the business subject to investment related to such equity in business subject to investment is a business which invests in the beneficial interest in trust, etc.
5 第八十三条第二項の規定は、出資対象事業持分のうち当該出資対象事業持分に係る出資対象事業が主として信託受益権等に対する投資を行う事業であるものの売買その他の取引について準用する。この場合において、同項中「前項各号」とあるのは「第八十四条第一項各号」と、「同項の」とあるのは「第八十九条第一項の」と、「同項各号」とあるのは「第八十四条第一項各号」と読み替えるものとする。
(5) The provisions of Article 83, paragraph (2) apply mutatis mutandis to the purchase and sale or any other transaction of the equity in business subject to investment if the business subject to investment related to such equity in business subject to investment is a business which primarily invests in the beneficial interest in trust, etc. In such case, the terms "the items of the preceding paragraph", "in that paragraph" and "the items of that paragraph" are deemed to be replaced with "the items of Article 84, paragraph (1)", "in Article 89, paragraph (1)", and "items of Article 84, paragraph (1)", respectively.
6 第八十三条第三項の規定は、出資対象事業持分のうち当該出資対象事業持分に係る出資対象事業が主として信託受益権等に対する投資を行う事業であるものについて準用する。この場合において、同項中「第一項」とあるのは、「第八十九条第一項」と読み替えるものとする。
(6) The provisions of Article 83, paragraph (3) apply mutatis mutandis to the equity in business subject to investment if the business subject to investment related to such equity in business subject to investment is a business which primarily invests in the beneficial interest in trust, etc. In this case, the term "paragraph (1)" of that paragraph is deemed to be replaced with "Article 89, paragraph (1)."
(組合契約等に基づく権利のうち当該権利に係る出資対象事業が主として不動産信託受益権に対する投資を行うものの売買その他の取引に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to Be Stated in a Document to Be Delivered Prior to Conclusion of Contract Pertaining to Purchase and Sale or Other Transaction of Right under Partnership Contract, Wherein Business subject to Investment Pertaining to the Right Is Primarily Intended for Investment in Beneficial Interest in Real Property Trust)
第九十条 その締結しようとする金融商品取引契約が、組合契約、匿名組合契約又は投資事業有限責任組合契約に基づく権利のうち当該権利に係る出資対象事業が主として不動産信託受益権に対する投資を行うものの売買その他の取引に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、前条第一項に規定する事項のほか、第八十五条第一項各号に掲げる事項とする。
Article 90 (1) If a financial instruments transaction contract to be concluded pertains to the purchase and sale or any other transaction of a right under a partnership contract, a silent partnership contract or a limited partnership agreement for investment, wherein the business subject to investment pertaining to such right is primarily intended for investment in beneficial interest in real property trust, the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are the matters listed in the items of Article 85, paragraph (1), beyond the matters specified in paragraph (1) of the preceding Article.
2 前項の不動産信託受益権には、同項の出資対象事業が出資対象事業持分に対する投資を行う事業である場合であって当該出資対象事業持分に係る出資対象事業(次項及び第四項において「子出資対象事業」という。)が不動産信託受益権に対する投資を行う事業であるときにおける当該不動産信託受益権を含むものとする。
(2) The beneficial interest in real property trust set forth in the preceding paragraph is to include the beneficial interest in real property trust, if the business subject to investment set forth in that paragraph is a business which invests in any equity in business subject to investment, and if the business subject to investment related to such equity in business subject to investment (referred to as the "secondary business subject to investment" in the following paragraph and paragraph (4)) is a business which invests in the beneficial interest in real property trust.
3 前項の子出資対象事業が出資対象事業持分に対する投資を行う事業である場合であって、当該出資対象事業持分に係る出資対象事業が不動産信託受益権に対する投資を行う事業であるときにおける当該出資対象事業は、子出資対象事業とみなして、前二項の規定を適用する。
(3) If the secondary business subject to investment set forth in the preceding paragraph is a business which invests in equity in business subject to investment, and if the business subject to investment pertaining to such equity in business subject to investment is a business which invests in the beneficial interest in real property trust, such business subject to investment is deemed to be the secondary business subject to investment, and the provisions of the preceding two paragraphs apply.
4 前項の規定は、同項(この項において準用する場合を含む。)の規定により子出資対象事業とみなされた出資対象事業が出資対象事業持分に対する投資を行う事業である場合であって、当該出資対象事業持分に係る出資対象事業が不動産信託受益権に対する投資を行う事業であるときについて準用する。
(4) The provisions of the preceding paragraph apply mutatis mutandis if the business subject to investment which is deemed to be the secondary business subject to investment pursuant to the provisions of that paragraph (including as applied mutatis mutandis pursuant to this paragraph) is a business which invests in equity in business subject to investment, and if the business subject to investment related to such equity in business subject to investment is a business which invests in the beneficial interest in real property trust.
5 第八十三条第二項の規定は、組合契約、匿名組合契約若しくは投資事業有限責任組合契約に基づく権利のうち当該権利に係る出資対象事業が主として不動産信託受益権に対する投資を行うものの売買その他の取引について準用する。この場合において、同項中「前項各号」とあるのは「第八十五条第一項各号」と、「同項の」とあるのは「第九十条第一項の」と、「同項各号」とあるのは「第八十五条第一項各号」と読み替えるものとする。
(5) The provisions of Article 83, paragraph (2) apply mutatis mutandis to the purchase and sale or any other transaction of a right under a partnership contract, a silent partnership contract or a limited partnership agreement for investment if the business subject to investment pertaining to such right is primarily intended for investment in the beneficial interest in real property trust. In such case, the terms "the items of the preceding paragraph", "in that paragraph" and "the items of that paragraph" are deemed to be replaced with "the items of Article 85, paragraph (1)", "in Article 90, paragraph (1)", and "items of Article 85, paragraph (1)", respectively.
6 第八十三条第三項の規定は、組合契約、匿名組合契約若しくは投資事業有限責任組合契約に基づく権利のうち当該権利に係る出資対象事業が主として不動産信託受益権に対する投資を行うものについて準用する。この場合において、同項中「第一項」とあるのは、「第九十条第一項」と読み替えるものとする。
(6) The provisions of Article 83, paragraph (3) apply mutatis mutandis to the rights under a partnership contract, a silent partnership contract or a limited partnership agreement for investment if the business subject to investment pertaining to such rights is primarily intended for investment in the beneficial interest in real property trust. In such case, the term "paragraph (1)" in that paragraph is deemed to be replaced with "Article 90, paragraph (1)".
(商品ファンド関連取引に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to Be Stated in a Document to Be Delivered Prior to Conclusion of a Contract Pertaining to Commodity Fund-Related Transactions)
第九十一条 その締結しようとする金融商品取引契約が、商品ファンド関連受益権の売買その他の取引(以下「商品ファンド関連取引」という。)に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、第八十四条第一項、第八十七条第一項、第八十八条第一項及び第八十九条第一項の規定にかかわらず、第八十三条第一項に規定する事項のほか、次に掲げる事項とする。
Article 91 (1) Notwithstanding the provisions of Article 84, paragraph (1), Article 87, paragraph (1), Article 88, paragraph (1) and Article 89, paragraph (1), if the financial instruments transaction contract to be concluded pertains to the purchase and sale or any other transaction of a beneficial interest in commodity fund (hereinafter referred to as the "commodity fund-related transaction"), the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are the following matters, beyond those specified in Article 83, paragraph (1):
一 商品ファンド(商品ファンド関連受益権を有する者から出資又は拠出を受けた金銭その他の財産をいう。以下この条及び第百九条第五号において同じ。)の運用を行う者(以下この項において「運用業者」という。)及び商品ファンドに関し業務上密接な関係を有する者(以下この項において「関係業者」という。)のうち主要な者であって次に掲げるものの商号、名称又は氏名及び住所並びに代表者がいる場合にあっては、代表者の氏名
(i) the trade name, name and address of the person that makes an investment (hereinafter referred to as an "investment manager" in this paragraph) of the commodity fund (meaning money or other properties invested or contributed by persons entitled to the beneficial interest in commodity fund; hereinafter the same applies in this Article and Article 109, item (v)), and of the major parties listed in any of the following from among those having a close business relationship with the commodity fund (hereinafter referred to as the "related business operators" in this paragraph); and if any of the aforementioned parties has a representative, the name thereof:
イ 商品ファンドの運用に関与する商品投資顧問業者(商品投資に係る事業の規制に関する法律(平成三年法律第六十六号)第二条第四項に規定する商品投資顧問業者をいう。以下この条において同じ。)及び同法に相当する外国の法令の規定により当該外国において同法第三条の商品投資顧問業の許可と同種の許可又はこれに準ずる処分(第十三号において「許可等」という。)を受けている者
(a) a commodity trading advisor involved in the investment of the commodity fund (meaning the commodity trading advisor prescribed in Article 2, paragraph (4) of the Act on Regulation of Business Pertaining to Commodity Investment (Act No. 66 of 1991); hereinafter the same applies in this Article), and a person that has been granted the same type of permission as a commodity investment advisory business permission as set forth in Article 3 of that Act or any other disposition equivalent thereto (referred to as a "permissions, etc." in item (xiii)) in a foreign state under the laws and regulations of the foreign state corresponding to that Act;
ロ 商品ファンドから出資又は拠出を受ける者(運用業者を除く。)
(b) the person that accepts the investment or contribution from the commodity fund (excluding the investment manager); and
ハ 運用業者及びロに掲げる者が当該商品ファンドの運用を委託する者
(c) the person that the investment manager and the person specified in (b) entrusts the investment of the commodity fund to;
二 当該金融商品取引業者等及び運用業者の資本金の額又は出資の総額及び主要株主(自己又は他人の名義をもって総株主等の議決権の百分の十以上の議決権を保有している者をいう。第九十五条第一項第一号及び第百五十三条第一項第四号ニ(6)(i)において同じ。)の商号、名称又は氏名並びに当該金融商品取引業者等又は運用業者が他に事業を行っているときは、その種類
(ii) the amount of stated capital or the total amount of the contribution of the financial instruments business operator, etc. and the investment manager; the trade name or name of the major shareholder thereof (meaning a person holding ten percent or more of the voting rights held by all the shareholders, etc. under the name of such person or any other person; the same applies in Article 95, paragraph (1), item (i) and Article 153, paragraph (1), item (iv), (d), 6., i.); and if the financial instruments business operator, etc. or the investment manager conducts any additional business, the type of such business;
三 運用業者の財産の運用開始日が属する事業年度の前事業年度の貸借対照表及び損益計算書又はこれらに代わる書面
(iii) the balance sheet and profit and loss statement for the business year immediately preceding the business year in which the day when the investment manager commenced the investment of properties falls, or any other document in lieu thereof;
四 運用業者の役員及び商品ファンドを運用する重要な使用人(部長、次長、課長その他いかなる名称であるかを問わず、商品ファンドの運用について責任を有する者をいう。)の氏名並びに役員が他の法人の常務に従事し、又は事業を営んでいるときは、当該役員の氏名並びに当該他の法人の商号又は名称及び業務又は当該事業の種類
(iv) the names of the officers of the investment manager, and of the major employees thereof engaged in investment of the commodity fund (meaning a person responsible for investment of the commodity fund, such as the general manager, vice-chief, section manager or any other person irrespective of the job title); and if any officer engages in the ordinary business of any other corporation or operates a business, the name of that officer, the trade name or name of the relevant other corporation or the type of business or that ordinary business;
五 当該金融商品取引契約の種類並びに顧客の権利及び責任の範囲に関する次に掲げる事項
(v) the following matters related to the type of the financial instruments transaction contract and the scope of the customer's rights and liabilities:
イ 当該金融商品取引契約の種類
(a) the type of the financial instruments transaction contract;
ロ 顧客から出資され、若しくは拠出された財産又は当該商品ファンド関連受益権に係る信託財産に関する顧客の監視権の有無及び顧客が当該監視権を有する場合にあっては、その内容
(b) information as to whether the customer has a right to monitor the properties invested or contributed by the customer or trust properties pertaining to the beneficial interest in commodity fund, and if so, the details of such right;
ハ 顧客から出資され、若しくは拠出された財産又は当該商品ファンド関連受益権に係る信託財産の所有関係
(c) ownership of the properties invested or contributed by the customer, or of trust properties pertaining to the beneficial interest in commodity fund;
ニ 顧客の第三者に対する責任の範囲
(d) the scope of the customer's liabilities owed to third parties;
ホ 出資され、若しくは拠出された財産又は当該商品ファンド関連受益権に係る信託財産が損失により減じた場合の顧客の損失分担に関する事項
(e) the matters related to allocation of the losses to be borne by customers, in cases of any detriment to properties invested or contributed by the customer or trust properties pertaining to the beneficial interest in commodity fund due to any loss; and
ヘ 顧客から出資され、若しくは拠出された財産又は当該商品ファンド関連受益権に係る信託財産に関する収益及び償還金の受領権
(f) the right to receive profit and redemption in regard to properties invested or contributed by the customer or trust properties pertaining to the beneficial interest in commodity fund;
六 当該金融商品取引契約又は当該商品ファンド関連受益権に係る信託契約に係る法令の概要
(vi) an outline of the laws and regulations applicable to the financial instruments transaction contract or to the trust agreement pertaining to the beneficial interest in commodity fund;
七 顧客から出資され、若しくは拠出された財産又は当該商品ファンド関連受益権に係る信託財産の運用形態に関する次に掲げる事項
(vii) the following matters related to the type of the investment of the properties invested or contributed by the customer or the trust properties pertaining to the beneficial interest in commodity fund:
イ 元本確保型であるか、又は積極運用型であるかの別
(a) information as to whether the type of investment is principal-protected or aggressive;
ロ 元本確保型である場合にあっては、元本の確保の方法及び確保することができる元本の金額
(b) if the investment is of a principal-protected type, the means of the protection of principal and the amount of principal that may be protected;
ハ 積極運用型である場合にあっては、予想される損失の範囲
(c) if the investment is of an aggressive type, the scope of the losses estimated to be incurred; and
ニ 追加募集の有無
(d) information as to whether any additional offering is to be made.
八 顧客から出資され、若しくは拠出された財産又は当該商品ファンド関連受益権に係る信託財産の投資の内容及び方針に関する次に掲げる事項
(viii) the following matters in relation to the contents and policies of the investment of the properties invested or contributed by the customer or the trust properties pertaining to the beneficial interest in commodity fund:
イ 地域別、種類別その他の投資の対象に係る分類別の比率の予定が明らかである場合にあっては、当該比率その他の主な投資の対象の内容及び基準に関する事項
(a) if the scheduled ratio classified into categories of investment target such as ratio per region or ratio per type has been determined, such ratio and any other matters on the contents of and the criteria related to the primary investment target;
ロ 法令その他の規則において投資の制限についての定めがある場合にあっては、当該制限の内容及びその根拠
(b) if any restriction on investment is imposed by laws and regulations or any other rules, the details and basis of such restriction;
ハ 借入れ、集中投資、他の商品ファンドへの投資及び流動性に欠ける投資対象への投資の有無並びに投資に関する制限を設ける場合にあっては、当該制限の内容及びその根拠
(c) information as to whether any borrowing, concentrated investment, investment in other commodity funds or investment in any investment target lacking liquidity is to be made; and if any restriction on investment is to be imposed, the contents and basis of that restriction;
ニ 繰上償還の有無
(d) information as to whether an accelerated redemption may be made;
ホ 運用開始予定日
(e) the scheduled date for the commencement of the investment;
ヘ 運用終了予定日
(f) the scheduled date for the termination of the investment; and
ト 一年以内で定められた商品ファンドの運用に係る計算期間(以下「計算期間」という。)
(g) the accounting period for the investment of the commodity fund, which is not longer than one year (hereinafter referred to as the "accounting period");
九 商品投資に係る事業の規制に関する法律第二条第一項第一号に掲げる取引(以下この条及び第百九条第四号において「商品先物取引」という。)の投機性、資金運用効率、流動性、商品先物取引法第二条第二十三項に規定する商品先物取引業者の信用、商品投資顧問業者の運用手法その他の商品ファンドを商品先物取引で運用することにより予想される損失発生の要因
(ix) the factors expected to give rise to any loss in connection with the investment of the commodity fund by way of the transaction specified in Article 2, paragraph (1), item (i) of the Act on Control for Business Pertaining to Commodity Investment (hereinafter referred to as the "commodity futures" in this Article and Article 109, item (iv)), such as its speculative nature, efficiency of fund management, liquidity, credibility of the commodity futures transactions dealer prescribed in Article 2, paragraph (23) of the Commodity Futures Act, the method of investment adopted by the commodity trading advisor and other factors;
十 顧客への運用状況の報告の方法、頻度及び時期
(x) the method, frequency and timing of reporting the status of the investment to customers; and
十一 商品投資に係る事業の規制に関する法律第二条第五項第三号に掲げる契約を締結する場合にあっては、当該契約により顧客に付与される報告請求権の内容
(xi) if a contract specified in Article 2, paragraph (5), item (iii) of the Act on Control for Business Pertaining to Commodity Investment is to be concluded, the details of the right to demand a report to be granted to the customer under that contract;
十二 運用業者に関する次に掲げる事項
(xii) the following matters in relation to the investment manager:
イ 定款上の事業目的
(a) the purpose of the business as set forth in its articles of incorporation;
ロ 設立経緯
(b) the background of the incorporation thereof;
ハ 商号の変更
(c) the change to the trade name;
ニ 運用業者の役員の変更についての監督官庁及び株主等による承認の要否並びに当該承認が必要な場合にあっては、その根拠及び承認手続
(d) information as to whether any change of officer of the investment manager requires the approval of the supervisory government agencies or shareholders, etc., and if such approval is required, the basis thereof as well as the procedures for obtaining such approval;
ホ 定款変更、合併並びに事業譲渡及び事業譲受
(e) the change to its articles of incorporation, consolidation, business transfer and acquisition of business;
ヘ 主要な出資又は拠出の状況
(f) the status of the major investment or contribution; and
ト 訴訟事件その他の重要事項
(g) material events such as lawsuits;
十三 関係業者のうち主要な者に関する次に掲げる事項
(xiii) the following matters in relation to any major related business operator:
イ 関係業者が商品ファンドから出資又は拠出を受ける者である場合にあっては、その資本金の額又は出資の総額
(a) if the related business operator is to accept an investment or contribution from the commodity fund, the amount of its stated capital or total amount of investment;
ロ 商品ファンドから新たに出資又は拠出を受けて関係業者となる法人が設立される場合にあっては、当該出資又は拠出の予定額
(b) if a corporation which is to become a related business operator is to be incorporated based on an investment or contribution to be newly made by the commodity fund, the scheduled amount of such investment or contribution;
ハ 商品投資顧問業者及び商品投資に係る事業の規制に関する法律に相当する外国の法令の規定により当該外国において同法第三条の許可と同種の許可等を受けている者に係る当該許可等の番号、当該許可等を与えた機関の名称及びその機関が属する国の名称、設立年並びに当該許可等を受けた年
(c) with regard to a commodity trading advisor and a person that has been granted the same type of permission, etc. as a permission under Article 3 of the Act on Regulation of Business Pertaining to Commodity Investment in a foreign state under the laws and regulations of the foreign state corresponding to that Act, the serial number of such permission, etc., the name of the agency which has granted such permission, etc. as well as the name of the state to which such agency belongs, the year of the establishment thereof and the year when such permission, etc. was granted; and
ニ 商品ファンドの運用に係る業務内容
(d) the contents of the business pertaining to the investment of the commodity fund.
十四 運用業者及び関係業者のうち主要な者との資本関係
(xiv) the capital relationship with the investment manager and the major related business operators;
十五 商品ファンド関連受益権の募集、私募又は売出しに関する次に掲げる事項
(xv) the following matters in relation to a public offering, private placement or secondary distribution of beneficial interest in commodity fund:
イ 商品ファンド関連受益権の名称
(a) the name of the beneficial interest in commodity fund:
ロ 募集、私募又は売出しの予定総額及び予定総口数
(b) the scheduled total amount and the scheduled total unit of the public offering, private placement or secondary distribution;
ハ 募集、私募又は売出しの単位
(c) the unit of the public offering, private placement or secondary distribution;
ニ 申込みの期間、方法及び取扱場所
(d) the period, method and place of handling of the application; and
ホ 払込みの期日及び方法
(e) the payment date and the payment method.
十六 当該商品ファンド関連受益権に係る契約期間に関する事項
(xvi) the matters related to the contract period pertaining to the beneficial interest in commodity fund;
十七 金融商品取引契約の変更の手続、変更をする旨の開示の方法その他当該金融商品取引契約の変更に関する事項
(xvii) the matters related to a change to the financial instruments transaction contract, such as the procedures for the change, the method for the announcement that the change is to take place, and any other matters;
十八 当該金融商品取引契約の解約に関する次に掲げる事項
(xviii) the following matters in relation to the cancellation of the financial instruments transaction contract:
イ 解約の可否
(a) information as to whether the financial instruments transaction contract is cancellable;
ロ 解約をすることができる場合にあっては、次に掲げる事項
(b) if the financial instruments transaction contract is cancellable, the following matters:
(1) 解約の条件及び方法
1. the conditions for and method of the cancellation;
(2) 解約の申込期間
2. the term for the application of the cancellation;
(3) 解約償還金の金額の計算方法及び支払方法
3. the method of calculation of the amount to be redeemed upon cancellation, as well as the payment method thereof;
(4) 解約償還金の支払予定日
4. the scheduled date for the payment of the amount to be redeemed upon cancellation;
(5) 解約に係る手数料
5. the cancellation fee; and
(6) 解約が多発したときは、当初予定していた運用を行うことができなくなるおそれがある旨及び運用自体を行うことができなくなるおそれがある旨
6. to the effect that, if the contracts are cancelled frequently, it may be impossible to make the investment as initially scheduled and it may be impossible to make the investment itself.
十九 当該金融商品取引業者等による買取りの有無並びに買取りをする場合にあっては、その条件及び方法並びに当該買取りに係る買取り金額の計算方法、支払方法及び支払時期
(xix) information as to whether the financial instruments business operator, etc. conducts a buy-back, and if it conducts a buy-back, the conditions and methods therefor as well the method of calculation of the buy-back price pertaining to such buy-back, and the method and timing of the payment thereof;
二十 損害賠償額の予定(違約金を含む。)に関する定めがあるときは、その内容
(xx) if there is an agreement for agreement for liquidated damages (including penalties), the details thereof;
二十一 当該金融商品取引業者等が顧客から手数料等を徴収する方法
(xxi) the method by which the financial instruments business operator, etc. collects fees, etc. from the customers;
二十二 商品ファンドから支払われる商品ファンドの管理に係る手数料等の支払先、計算方法、支払額、支払方法及び支払時期並びに当該支払額が未定の場合にあっては、その旨
(xxii) the payee, calculation method, amount to be paid, payment method and timing of the payment of the fees, etc. pertaining to the management of the commodity fund payable from the commodity fund, and if such amount to be paid has not been fixed, to that effect;
二十三 商品ファンドに係る資産評価等に関する次に掲げる事項
(xxiii) the following matters in connection with asset appraisal, etc. pertaining to the commodity fund:
イ 一口当たりの純資産額の計算方法及び資産の評価方法
(a) the method of calculation of the net asset per unit, and the method of appraisal of the assets per unit;
ロ 計算期間
(b) the accounting period; and
ハ 顧客への通知の方法
(c) the method of notifying the customers;
二十四 計算期間に係る商品ファンドの貸借対照表及び損益計算書又はこれらに代わる書面その他の財務計算に関する書類に対する公認会計士又は監査法人の監査を受ける予定の有無及びその予定がある場合にあっては、監査を受ける範囲
(xxiv) information as to whether the financial instruments business operator, etc. will have a certified public accountant or an auditing firm audit the balance sheet, profit and loss statement, any document in lieu thereof or any other documents on financial calculation of the commodity fund pertaining to the accounting period, and if so, the scope of such auditing;
二十五 商品ファンドの収益の分配の方法及び方針
(xxv) the method and policy for the distribution of any profit of the commodity fund;
二十六 満期時の償還金の金額の計算方法、支払方法及び支払時期
(xxvi) the method of calculation of the amount of redemption payable upon maturity, as well as the method and timing of the payment thereof;
二十七 配当及び償還金に係る租税に関する事項
(xxvii) the matters related to taxation on the dividend and the redemption;
二十八 運用業者が外国法人である場合にあっては、本邦内に住所を有する者であって裁判上及び裁判外において当該運用業者を代理する権限を有するものの有無並びに当該者がある場合にあっては、その商号、名称又は氏名及び住所並びに当該権限の内容
(xxviii) if the investment manager is a foreign corporation, information as to whether there it has any person domiciled in Japan that has been granted authority to act as an agent of the investment manager in connection with acts in or out of court, and if so, the trade name, name and the address of such person and the details of such authority;
二十九 当該商品ファンド関連受益権に係る契約その他の法律行為に当該商品ファンド関連受益権に関する訴訟について管轄権を有する裁判所の定めがある場合にあっては、その名称及び所在地
(xxix) if the contract or any other juridical act pertaining to the beneficial interest in commodity fund provides for the court to have jurisdiction over the action related to such beneficial interest in commodity fund, the name and location of such court; and
三十 元本の追加運用をすることができる商品ファンドに追加運用するための商品ファンド関連取引に係る金融商品取引契約の締結又はその代理若しくは媒介(以下この号において「締結等」という。)をしようとする場合にあっては、次に掲げる事項
(xxx) if a financial instruments transaction contract pertaining to commodity fund-related transactions intended for making additional investment in a commodity fund which accepts additional investment of principal is to be concluded, or if the agency or intermediary services therefor are to be provided (hereinafter referred to as the "conclusion, etc." in this item), the following matters:
イ 当該締結等の勧誘の開始日の前々月末日における次に掲げる事項ごとの当該商品ファンドに係る資産配分状況
(a) the status of the distribution of assets pertaining to the commodity fund as of the last day of the month two months prior to the day of the commencement of solicitation for such conclusion, etc., classified in accordance with the following categories:
(1) 商品先物取引(貴金属、農産物、エネルギー資源、その他の当該商品先物取引に係る主要な物品ごとの内訳を含む。)
1. commodity futures (including a breakdown by the category of major goods pertaining to the commodity futures, such as precious metals, agricultural products, energy resources and others);
(2) 商品投資に係る事業の規制に関する法律第二条第一項第二号に規定する商品投資(貴金属、農産物、エネルギー資源その他の当該商品投資に係る主要な物品ごとの内訳を含む。)
2. the commodities investment prescribed in Article 2, paragraph (1), item (ii) of the Act on Control for Business Pertaining to Commodity Investment (including a breakdown by the category of major goods pertaining to the commodities investment, such as precious metals, agricultural products, energy resources and others);
(3) 商品投資に係る事業の規制に関する法律第二条第一項第三号に規定する商品投資(貴金属、農産物、エネルギー資源その他の当該商品投資に係る主要な物品ごとの内訳を含む。)
3. the commodities investment prescribed in Article 2, paragraph (1), item (iii) of the Act on Control for Business Pertaining to Commodity Investment (including a breakdown by the category of major goods pertaining to the commodities investment, such as precious metals, agricultural products, energy resources and others);
(4) 令第三十七条第一項第二号イからホまでに掲げる物品の取得(生産を含む。)をし、譲渡をし、使用をし、又は使用させることによる運用(同号イからホまでに掲げる当該運用に係る物品ごとの内訳を含む。)
4. investment by way of acquisition (including production), transfer or use of the goods listed in Article 37, paragraph (1), item (ii), (a) through (e) of the Order or by way of having such goods used (including a breakdown by category of the goods pertaining to such investment as listed in (a) through (e) of that item);
(5) その他の運用方法(有価証券、譲渡性預金その他の主要な金融商品に対する投資、法第二条第二十一項各号に掲げる取引、同条第二十二項各号に掲げる取引、同条第二十三項に規定する取引その他の主要な運用方法ごとの内訳を含む。)
5. other methods of investment (including a breakdown by category of major investment method, such as an investment in securities, negotiable deposits and other major financial instruments, a transaction listed in the items of Article 2, paragraph (21) of the Act, a transaction listed in the items of paragraph (22) of that Article, a transaction prescribed in paragraph (23) of that Article and other methods).
ロ 当該勧誘の開始日が属する月の前々月末日において終了している直近十計算期間の各計算期間の末日における純資産額及び配当
(b) the net asset and the dividends as of the last day of each of the latest ten accounting periods, which ended on the last day of the month two months prior to the month containing the day of the commencement of such solicitation;
ハ 当該勧誘の開始日が属する月の前々月末日において終了している直近十計算期間の各計算期間における募集、私募、売出し又は特定投資家向け売付け勧誘等の金額、解約金額及び償還金額
(c) the amount, the cancellation payment amount and redemption amount related to of the public offering, private placement, secondary distribution or solicitation for selling, etc. only for professional investors for each of the latest ten accounting periods, which ended on the last day of the month two months prior to the month containing the day of commencement of such solicitation;
ニ 当該勧誘の開始日が属する計算期間の前計算期間に係る商品ファンドの貸借対照表及び損益計算書又はこれらに代わる書面
(d) the balance sheet and the profit and loss statement of the commodity fund for the accounting period immediately prior to the accounting period in which the day of the commencement of the solicitation falls, or any other document in lieu thereof;
ホ ニの商品ファンドから出資又は拠出を受けた者がある場合にあっては、当該商品ファンド及び当該者に係る連結貸借対照表及び連結損益計算書又はこれらに代わる書面であって顧客が当該商品ファンド及び当該者に係る純資産額を理解することができる方法により記載されているもの
(e) if there is any person that has accepted an investment or a contribution from the commodity fund set forth in (d), the consolidated balance sheet and the consolidated profit and loss statement pertaining to such commodity fund and such person, or any other document in lieu thereof, which are set out in such a way that the customer may understand the net asset of such commodity fund or such person; and
ヘ ニ又はホに掲げる書面その他の財務計算に関する書類に対する公認会計士又は監査法人の監査を受けているときは、その範囲(契約締結前交付書面に公認会計士又は監査法人の監査に係る書類が添付されており、かつ、当該書類に監査を受けた範囲が明記されている場合を除く。)
(f) if the document specified in (d) or (e) or any other documents on the financial calculation has been audited by a certified public accountant or an auditing firm, the scope of such auditing (other than if a document related to auditing by a certified public accountant or an auditing firm is attached to the document for delivery prior to conclusion of contract, and if the scope of such auditing is clearly indicated in the document).
2 第八十三条第二項の規定は、商品ファンド関連取引について準用する。この場合において、同項中「前項各号」とあるのは、「第九十一条第一項各号」と読み替えるものとする。
(2) The provisions of Article 83, paragraph (2) apply mutatis mutandis to a commodity fund-related transaction. In such case, the term "the items of the preceding paragraphs" in that paragraph is deemed to be replaced with "the items of Article 91, paragraph (1)".
3 第八十三条第三項の規定は、商品ファンド関連受益権について準用する。この場合において、同項中「第一項」とあるのは、「第九十一条第一項」と読み替えるものとする。
(3) The provisions of Article 83, paragraph (3) apply mutatis mutandis to the beneficial interest in commodity fund. In this case, the term "paragraph (1)" in that paragraph is deemed to be replaced with "Article 91, paragraph (1)".
4 第一項及び前項の「商品ファンド関連受益権」とは、次に掲げるものをいう。
(4) The term the "beneficial interest in commodity fund" as used in paragraph (1) and the preceding paragraph is as follows:
一 法第二条第一項第十四号に掲げる有価証券若しくは同項第十七号に掲げる有価証券(同項第十四号に掲げる有価証券の性質を有するものに限る。)に表示されるべき権利又は同条第二項第一号若しくは第二号に掲げる権利であって、これらの権利に係る信託財産を主として次に掲げる行為により運用することを目的とする信託の収益の分配及び元本の返還を受ける権利であるもの
(i) the rights to be indicated on the securities specified in Article 2, paragraph (1), item (xiv) of the Act or on the securities specified in item (xvii) of that paragraph (limited to those which have the nature of the securities specified in item (xiv) of that paragraph), or the rights specified in paragraph (2), item (i) or (ii) of that Article, the purpose of which is to receive the distribution of profits and refund of the principal of trust primarily intended for the investment of the trust property pertaining to such right through investment by means of the following acts:
イ 商品投資に係る事業の規制に関する法律第二条第一項に規定する商品投資
(a) the commodities investment prescribed in Article 2, paragraph (1) of the Act on control for business pertaining to commodities investment; and
ロ 令第三十七条第一項第二号イからホまでに掲げるいずれかの物品の取得(生産を含む。)をし、譲渡をし、使用をし、又は使用をさせること。
(b) the acquisition (including production), transfer or use of any of the goods listed in Article 37, paragraph (1), item (ii), (a) through (e) of the Order, or having such goods used;
二 法第二条第二項第五号又は第六号に掲げる権利のうち当該権利に係る出資対象事業が前号に規定する権利に対する投資であるもの
(ii) the rights specified in Article 2, paragraph (2), item (v) or (vi) of the Act if the business subject to investment pertaining to such rights is an investment in the rights specified in the preceding item; and
三 法第二条第二項第五号又は第六号に掲げる権利のうち当該権利に係る出資対象事業が主として第一号イ又はロに掲げる行為を行う事業であるもの
(iii) the rights specified in Article 2, paragraph (2), item (v) or (vi) of the Act if the business subject to investment pertaining to such rights is primarily intended for conducting the act specified in item (i), (a) or (b).
(競走用馬投資関連業務に係る取引に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to Be Stated in a Document to Be Delivered Prior to Conclusion of Contract Pertaining to Transaction Pertaining to Business Related to Investment in Racehorses)
第九十二条 その締結しようとする金融商品取引契約が競走用馬投資関連業務に係る取引に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、前条第一項に規定する事項のほか、競走用馬の血統及び飼養管理の状況に関する事項とする。
Article 92 (1) If a financial instruments transaction contract to be concluded pertains to a transaction of the business related to investment in racehorses, the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are the matters related to bloodlines of the racehorses and status of the management of the breeding thereof, beyond those specified in paragraph (1) of the preceding Article.
2 第八十三条第二項の規定は、競走用馬投資関連業務に係る取引について準用する。この場合において、同項中「前項各号に掲げる事項」とあるのは「競走用馬の血統及び飼養管理の状況に関する事項」と、「同項の」とあるのは「第九十二条第一項の」と、「同項各号に掲げる事項」とあるのは「当該事項」と読み替えるものとする。
(2) The provisions of Article 83, paragraph (2) apply mutatis mutandis to a transaction pertaining to the business related to investment in racehorses. In this case, the term "the matters listed in the items of the preceding paragraph", "that paragraph", "the matters listed in the items of that paragraph" is deemed to be replaced with "the matters related to bloodlines of the racehorses and status of the management of the breeding thereof", "Article 92, paragraph (1)", and "such matters", respectively.
3 第八十三条第三項の規定は、第七条第四号ニ(1)又は(2)に掲げる権利について準用する。この場合において、同項中「第一項」とあるのは、「第九十二条第一項」と読み替えるものとする。
(3) The provisions of Article 83, paragraph (3) apply mutatis mutandis to the right specified in Article 7, item (iv), (d), 1. or 2. In such case, the term "paragraph (1)" in that paragraph is deemed to be replaced with "Article 92, paragraph (1)".
(事業型出資対象事業持分の売買その他の取引に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to Be Stated in Documents to Be Delivered Prior to Conclusion of a Contract Pertaining to Purchase and Sale or Any Other Transaction of Business-Type Equity of Business subject to Investment)
第九十二条の二 その締結しようとする金融商品取引契約が、出資対象事業持分のうち当該出資対象事業持分に係る出資対象事業が主として有価証券又はデリバティブ取引に係る権利に対する投資を行う事業以外の事業であるもの(以下この条において「事業型出資対象事業持分」という。)の売買その他の取引に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、第八十七条第一項に規定する事項(当該金融商品取引契約が外国出資対象事業持分の売買その他の取引に係るものである場合にあっては第八十八条第一項に規定する事項、当該金融商品取引契約が第九十一条第四項第三号に掲げるものの売買その他の取引に係るものである場合にあっては同条第一項に規定する事項、当該金融商品取引契約が競走用馬投資関連業務に係る取引に係るものである場合にあっては前条第一項に規定する事項)のほか、次に掲げる事項とする。
Article 92-2 (1) The matters provided for by Cabinet Office Order defined in Article 37-3, paragraph (1), item (vii) of the Act if the financial instruments transaction contract to be concluded pertains to the purchase and sale and other transactions of the right, of which the business subject to investment related to the equity of business subject to investment is mainly the business other than a business which invests primarily in the rights pertaining to securities or derivative transactions from among the equity of business subject to investment (hereinafter referred to as "business-type equity of business subject to investment" in this Article) are the following matters beyond the matters specified in Article 87, paragraph (1) (if the financial instruments transaction contract is related to the purchase and sale or other transactions of equity in foreign business subject to investment, the matters specified in Article 88, paragraph (1); if the financial instruments transaction contract is related to the purchase and sale or other transactions of those listed in Article 91, paragraph (4), item (iii), the matters specified in paragraph (1) of that Article; and if the financial instruments transaction contract is related to transactions of the business related to investment in racehorses, the matters specified in paragraph (1) of the preceding Article):
一 事業型出資対象事業持分に関する次のイからニまでに掲げる金銭の管理の方法の区分に応じ当該イからニまでに定める事項
(i) matters specified in the following (a) through (c) corresponding to the categories of money management means listed in those (a) through (c) related to the business-type equity of business subject to investment:
イ 第百二十五条第二号イに掲げる方法 次に掲げる事項
(a) the means listed in Article 125, item (ii), (a): the following matters:
(1) 預託先の商号又は名称
1. the trade name or name of the depository;
(2) 預託に係る営業所又は事務所の名称及び所在地
2. the name and location of the business office or any other office related to the deposit;
(4) 預託の口座番号その他の当該預託を特定するために必要な事項
4. the account number of the deposit and other necessary matters to specify the deposit;
ロ 第百二十五条第二号ロに掲げる方法 次に掲げる事項
(b) the means listed in Article 125, item (ii), (b): the following matters:
(1) 預金又は貯金の口座のある銀行等(銀行、協同組織金融機関、株式会社商工組合中央金庫又は外国の法令に準拠し、外国において銀行法第十条第一項第一号に掲げる業務を行う者をいう。)の商号又は名称
1. the trade name or name of a bank, etc. (meaning a bank, cooperative financial institution, the Shoko Chukin Bank Limited, or a person that engages in the operations listed in Article 10, paragraph (1), item (i) of the Banking Act in a foreign state) with which there is a deposit or savings account;
(2) 預金又は貯金の口座に係る営業所又は事務所の名称及び所在地
2. the name and location of the business office or any other office related to deposits or savings;
(3) 預金又は貯金の名義
3. the name of the deposits or savings; and
(4) 預金又は貯金の口座番号その他の当該預金又は貯金を特定するために必要な事項
4. the account number of the deposits or savings and other necessary matters to specify the deposits or savings;
ハ 第百二十五条第二号ハに掲げる方法 次に掲げる事項
(c) the means listed in Article 125, item (ii), (c): the following matters:
(1) 金銭信託の受託者の商号又は名称
1. the trade name or name of the trustee of the money trust;
(2) 金銭信託に係る営業所又は事務所の名称及び所在地
2. the name and location of the business office or any other office related to the money trust;
(3) 金銭信託の名義
3. the name of the money trust; and
(4) 金銭信託の口座番号その他の当該金銭信託を特定するために必要な事項
4. the account number of the money trust and other necessary matters to specify the money trust; and
ニ 第百二十五条第二号ニに掲げる方法 次に掲げる事項
(d) the method set forth in Article 125, item (ii), sub-item (d): the following matters:
(1) 管理の委託先の商号又は名称
1. the trade name or name of the party to which the management is entrusted;
(2) 管理の委託に係る営業所又は事務所の名称及び所在地
2. the name and location of the business office or other office pertaining to the entrustment of the management;
(3) 管理の委託の名義
3. the name of the entrustment of the management; and
(4) 管理の委託の口座番号その他の当該管理の委託を特定するために必要な事項
4. the account number of the entrustment of the management and other matters necessary for identifying the entrustment of the management;
二 法第四十条の三に規定する管理の実施状況及び当該金融商品取引業者等が当該実施状況の確認を行った方法
(ii) implementation status of the management specified in Article 40-3 and the means with which the financial instruments business operator, etc. checked the implementation status;
三 事業型出資対象事業持分の売買その他の取引に係る契約の特性及び当該特性を理解した上で投資を行うべきである旨
(iii) characteristics of the contact pertaining to the purchase and sale and other transactions of the business-type equity of business subject to investment and the statement that investment should be implemented only after understanding the characteristics;
四 出資対象事業に係る資金の流れに関する次に掲げる事項
(iv) the following matters related to the flow of funds pertaining to the business subject to investment:
イ 事業型出資対象事業持分を有する者から出資又は拠出を受けた金銭その他の財産の使途の具体的な内容及び当該金銭その他の財産の各使途への配分に係る方針
(a) specific content of use of money and other property that is invested or paid by a person that has business-type equity of business subject to investment and the distribution policy of the money and other property for each use; and
ロ 事業型出資対象事業持分を有する者から出資又は拠出を受けた金銭その他の財産に係る送金若しくは送付又は管理若しくは保管を行う者の商号又は名称及び役割
(b) the trade name or name and roles of the person that transfers or sends, or manages or keeps money or other properties invested or paid by the person that has business-type equity of business subject to investment; and
五 事業型出資対象事業持分を有する者から出資又は拠出を受けた金銭その他の財産に係る外部監査の有無及び当該外部監査を受ける場合にあっては、当該外部監査を行う者の氏名又は名称
(v) existence of an external audit pertaining to money and other properties invested or paid by the person that has business-type equity of business subject to investment, and in cases of receiving an external audit, the name of the person that implements the external audit.
2 第八十三条第二項の規定は、事業型出資対象事業持分の売買その他の取引について準用する。この場合において、同項中「前項各号」とあるのは、「第九十二条の二第一項各号」と読み替えるものとする。
(2) The provisions of Article 83, paragraph (2) apply mutatis mutandis to the purchase and sale and other transactions of the business-type equity of business subject to investment. In this case, the term "each item of the preceding paragraph" as used in that paragraph is deemed to be replaced with "each item of Article 92-2, paragraph (1)".
3 第八十三条第三項の規定は、事業型出資対象事業持分について準用する。この場合において、同項中「第一項」とあるのは、「第九十二条の二第一項」と読み替えるものとする。
(3) The provisions of Article 83, paragraph (3) apply mutatis mutandis to the business-type equity of business subject to investment. In this case, the term "paragraph (1)" in that paragraph is deemed to be replaced with "Article 92-2, paragraph (1)".
(デリバティブ取引等に係る契約締結前交付書面の共通記載事項)
(Matters to Be Stated in All Types of Document for Delivery Prior to Conclusion of Contracts Pertaining to Derivative Transactions)
第九十三条 その締結しようとする金融商品取引契約がデリバティブ取引等に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、第八十二条各号に掲げる事項のほか、次に掲げる事項とする。
Article 93 (1) If a financial instruments transaction contract to be concluded pertains to derivative transactions, etc., the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows, beyond those set forth in the items of Article 82:
一 令第十六条第一項第三号及び第六号に規定する事項
(i) the matters prescribed in Article 16, paragraph (1), items (iii) and (vi) of the Order;
二 当該デリバティブ取引等に基づき発生する債務の履行の方法及び当該デリバティブ取引等を決済する方法
(ii) the means of the performance of the obligations arising from the derivative transactions, etc., and the means of settlement of such derivative transactions, etc.;
三 当該デリバティブ取引等が市場デリバティブ取引等又は外国市場デリバティブ取引等である場合にあっては、これらの取引に係る取引所金融商品市場又は外国金融商品市場を開設する者の商号又は名称
(iii) if the derivative transactions, etc., fall under the category of the market transactions of derivatives, etc. or foreign market derivatives transactions, etc., the trade name or name of the party which establishes the financial instruments exchange market or the foreign financial instruments market pertaining to such transactions;
四 顧客が当該デリバティブ取引等に関し預託すべき委託証拠金その他の保証金の種類及び金額の計算方法、当該委託証拠金その他の保証金に充当することができる財産の種類及び充当価格その他これに準ずるもの並びに顧客が当該委託証拠金その他の保証金を預託し、及びその返還を受ける方法
(iv) the types of any security deposit to be deposited by the customer in connection with the derivative transactions, etc. such as customer margin, and the method of calculation of the amount thereof; the type of properties which may be appropriated to the customer margin or any other security deposit, and the amount which may be appropriated or any other information equivalent thereto; and the method whereby the customer deposits or restitutes the customer margin or any other security deposit.
五 顧客から手数料等を徴収する方法
(v) the method of the collection of the fees, etc. from customers;
六 デリバティブ取引又はその受託等(法第四十四条の二第一項第一号に規定する受託等をいう。以下同じ。)に係る手続に関する事項
(vi) the matters related to the procedures pertaining to derivative transactions, or becoming entrusted, etc. with them thereof (meaning becoming entrusted, etc. set forth in Article 44-2, paragraph (1), item (i) of the Act; the same applies hereinafter); and
七 デリバティブ取引に関する主要な用語及びその他の基礎的な事項
(vii) the major technical terms related to derivative transactions or any other basic matters.
2 第八十三条第二項の規定は、デリバティブ取引等について準用する。この場合において、同項中「前項各号」とあるのは、「第九十三条第一項各号」と読み替えるものとする。
(2) The provisions of Article 83, paragraph (2) apply mutatis mutandis to the derivative transactions, etc. In this case, the term "the items of the preceding paragraph" in that paragraph is deemed to be replaced with "the items of Article 93, paragraph (1)".
(店頭デリバティブ取引契約に係る契約締結前交付書面の記載事項の特則)
(Special Provisions on Matters to Be Stated in a Document to Be Delivered Prior to Conclusion of a Contract Pertaining to Over-the-Counter Derivatives Transactions Contracts)
第九十四条 その締結しようとする金融商品取引契約が店頭デリバティブ取引契約に係るものである場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、前条に規定する事項のほか、次に掲げる事項とする。
Article 94 (1) If a financial instruments transaction contract to be concluded pertains to the contract of over-the-counter derivatives transactions, the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows, beyond those specified in the preceding Article:
一 当該金融商品取引業者等が顧客を相手方として行う店頭デリバティブ取引(第百十六条第一項第三号イ及びロに掲げる取引を除く。以下この項、第百十七条第一項第二十六号並びに第百二十三条第一項第二十号及び第二十一号において同じ。)により生じ得る損失の減少を目的として、当該金融商品取引業者等が行う市場デリバティブ取引若しくは外国市場デリバティブ取引又は他の金融商品取引業者等その他の者(以下この号及び次号並びに第百十七条第一項第二十八号の二ロにおいて「他の業者等」という。)を相手方として行う店頭デリバティブ取引その他の取引で、当該顧客が行った店頭デリバティブ取引と取引の対象とする金融商品若しくは金融指標及び売買の別その他これらに準ずる事項が同一のもの(以下「カバー取引」という。)を行う場合の当該カバー取引に係る取引所金融商品市場の商号若しくは名称若しくは外国金融商品市場を開設する者の商号若しくは名称を当該外国金融商品市場が開設されている国若しくは地域において使用されている言語により表示したもの及びそれを日本語により翻訳して表示したもの又は店頭デリバティブ取引その他の取引の相手方となる他の業者等(以下「カバー取引相手方」という。)の商号、名称若しくは氏名及び業務内容並びにこれらの者が外国法人である場合にあっては、監督を受けている外国の当局の名称
(i) if the financial instruments business operator, etc., for the purpose of reducing any possible loss which may accrue from the over-the-counter derivatives transactions (excluding transactions listed in Article 116, paragraph (1), item (iii), (a) and (b); hereinafter the same applies in this paragraph, Article 117, paragraph (1), item (xxvi), Article 123, paragraph (1), items (xx) and (xxi)) to be conducted vis-a-vis a customer, conducts market transactions of derivatives or foreign market derivatives transactions, or other over-the-counter derivatives transactions or other transactions vis-a-vis other financial instruments business operator, etc. or any other person (hereinafter referred to as the "counterparty business operators, etc." in this and the following items, and Article 117, paragraph (1), item (xxviii)-2, (b)), and the financial instruments or options subject to such over-the-counter derivatives transactions or financial indicators pertaining to such over-the-counter derivatives transactions, type of transaction (whether it is a purchase or sale transaction) any other particulars equivalent thereto are identical to the over-the-counter derivatives transactions conducted by the customer (such transaction is hereinafter referred to as the "cover deal"): the trade name or name of the financial instruments exchange market pertaining to such cover deal; or the trade name or name of the party which establishes the foreign financial instruments market pertaining to such cover deal, as indicated in the language used in the state or region where the foreign financial instruments market has been established, as well as the Japanese translation of the indication; or the trade name or name and the business contents of the counterparty business operators, etc. which are the counterparties to the over-the-counter derivatives transactions or other transactions (hereinafter referred to as the "counterparties to cover deals"); and if any of the counterparties to cover deals is a foreign corporation, the name of the competent authority supervising such corporation;
二 顧客が行う店頭デリバティブ取引で当該金融商品取引業者等が媒介、取次ぎ又は代理を行う場合の当該媒介、取次ぎ又は代理の相手方となる他の業者等(以下この号及び第百四十三条第一項第二号ニにおいて「媒介等相手方」という。)の商号、名称又は氏名及び業務内容並びに当該媒介等相手方が外国法人である場合にあっては、監督を受けている外国の当局の名称
(ii) the trade name, name and the business contents of the counterparty business operator, etc. which is the counterparty to the intermediation, brokerage, or agency service, if a financial instruments business operator, etc. conducts an intermediation, brokerage, or agency service for the over-the-counter derivatives transactions to be conducted by a customer (hereinafter referred to as the "counterparty to intermediary services, etc." in this item and Article 143, paragraph (1), item (ii), (d)); and if such counterparty to intermediary services, etc. is a foreign corporation, the name of the competent authority supervising such counterparty;
三 当該店頭デリバティブ取引契約に係る禁止行為に関する事項
(iii) the matters related to prohibited acts in connection with the contract of over-the-counter derivatives transactions; and
四 法第四十三条の二第一項若しくは第二項又は第四十三条の三の規定に基づく財産の管理方法及び預託先
(iv) the method for management of the properties under Article 43-2, paragraph (1) or (2) or Article 43-3 of the Act, and the depository thereof.
2 第八十三条第二項の規定は、店頭デリバティブ取引契約について準用する。この場合において、同項中「前項各号」とあるのは、「第九十四条第一項各号」と読み替えるものとする。
(2) The provisions of Article 83, paragraph (2) apply mutatis mutandis to the contract of over-the-counter derivative transactions. In this case, the term "the items of the preceding paragraph" in that paragraph is deemed to be replaced with "the items of Article 94, paragraph (1)".
(投資顧問契約等に係る契約締結前交付書面の記載事項)
(Matters to Be Stated in a Document to Be Delivered Prior to the Conclusion of a Contract in Relation to Investment Advisory Contracts)
第九十五条 その締結しようとする金融商品取引契約が投資顧問契約又は法第二条第八項第十三号に掲げる行為(投資顧問契約に係るものに限る。)を行うことを内容とする契約である場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、第八十二条各号に掲げる事項のほか、次に掲げる事項とする。
Article 95 (1) If a financial instruments transaction contract to be concluded is an investment advisory contract or a contract for conducting of the acts specified in Article 2, paragraph (8), item (xiii) of the Act (limited to the act pertaining to an investment advisory contract), the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows, beyond those set forth in the items of Article 82:
一 当該金融商品取引業者等が法人である場合にあっては、その資本金の額又は出資の総額並びにその役員及び主要株主の商号、名称又は氏名
(i) if the financial instruments business operator, etc. is a corporation, the amount of the stated capital, the total amount of investment, and the trade names or names of its officers and the major shareholders;
二 顧客に対する投資顧問契約に基づく助言の業務の用に供する目的で金融商品の価値等の分析又は当該分析に基づく投資判断を行う者(第百六条第一項第六号において「分析者等」という。)の氏名
(ii) the name of the person that conducts the analysis of the values, etc. of financial instruments for the purpose of making it available for the advisory service the customer under the investment advisory contract, or that makes investment decisions based on such analysis (referred to as the "analysts, etc." in Article 106, paragraph (1), item (vi));
三 助言の内容及び方法
(iii) the contents and methods of the advisory service;
四 顧客に対する投資顧問契約に基づく助言の業務を行う者の氏名
(iv) the name of the person that performs the advisory service for customers under the investment advisory contracts;
五 当該金融商品取引契約に法第三十七条の六の規定が適用される場合にあっては、顧客は、金融商品取引契約が成立したとき、又は第九十八条第一項第一号若しくは第二号に掲げるときに作成する法第三十七条の四第一項に規定する書面(以下「契約締結時交付書面」という。)を受領した日(当該契約締結時交付書面の受領に代えて、電磁的方法により当該契約締結時交付書面に記載すべき事項が提供された場合にあっては、次に掲げる場合の区分に応じ、それぞれ次に定める日)から起算して十日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旨
(v) if the provisions of Article 37-6 of the Act is applicable to the financial instruments transaction contract, the fact that the customer may, before ten days have elapsed from the day when the customer received the document set forth in Article 37-4, paragraph (1) of the Act to be prepared when the financial instruments transaction contract is effected or in the cases set forth in Article 98, paragraph (1), item (i) or (ii) (hereinafter referred to as the "document for delivery upon conclusion of contract") (if, instead of the receipt of the document for delivery upon conclusion of contract, any information to be specified therein was provided by electronic or magnetic means, from the day specified as follows in accordance with the categories of the cases set forth respectively therein), cancel the financial instruments transaction contract in writing:
イ 第五十六条第一項第一号に掲げる方法により提供された場合 当該契約締結時交付書面に記載すべき事項が顧客の使用に係る電子計算機に備えられたファイルへ記録された日
(a) if such information has been provided by the means specified in Article 56, paragraph (1), item (i): the day when the matters to be stated in the document for delivery upon conclusion of contract are recorded into the file stored on a computer used by a customer; or
ロ 第五十六条第一項第二号に掲げる方法により提供された場合 同号のファイルを受領した日
(b) if such information has been provided by the means specified in Article 56, paragraph (1), item (ii): the day of the receipt of the file set forth in that item;
六 法第三十七条の六第一項の規定による当該金融商品取引契約の解除は、金融商品取引契約の解除を行う旨の書面を発した時に、その効力を生じる旨
(vi) the fact that a cancellation of the financial instruments transaction contract under Article 37-6, paragraph (1) of the Act comes into effect when a document notifying the cancellation thereof is dispatched;
七 金融商品取引業者等は、その行う投資助言業務に関して、顧客を相手方として又は当該顧客のために法第二条第八項第一号から第四号までに掲げる行為を行ってはならない旨
(vii) to the effect that the financial instruments business operator, etc. may not, in connection with its investment advisory business, conduct the acts listed in Article 2, paragraph (8), items (i) through (iv) of the Act vis-a-vis or for the customer;
八 金融商品取引業者等は、いかなる名目によるかを問わず、その行う投資助言業務に関して、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旨
(viii) to the effect that the financial instruments business operator, etc. may not, in connection with its investment advisory business, receive any money deposit or securities from its customers or have such customer deposit the customer's money or securities to a person having a close relationship with such financial instruments business operator, etc., irrespective of the grounds therefor; and
九 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旨
(ix) to the effect that the financial instruments business operator, etc. may not, in connection with its investment advisory business, loan money or securities to its customers, or provide any intermediation, brokerage, or agency for the lending of money or securities by a third party to such customers.
2 次の各号に掲げる規定は、当該各号に定める場合には、適用しない。
(2) the provisions listed in the following items do not apply to the cases set forth respectively therein:
一 前項第七号の規定 金融商品取引業者等が次に掲げる者である場合
(i) the provisions of item (vii) of the preceding paragraph: if the financial instruments business operator, etc. falls under the category of the following persons:
イ 第一種金融商品取引業を行う者(第一種少額電子募集取扱業者を除く。)
(a) a person engaged in type I financial instruments business (excluding a type-I small amount electronic public offering service provider);
ロ 第二金融商品取引業を行う者(第二種少額電子募集取扱業者を除く。)
(b) a person engaged in type II financial instruments business (excluding a type-II small amount electronic public offering service provider);
ハ 登録金融機関
(c) a registered financial institution;
ニ 金融商品仲介業者
(d) a financial instruments intermediary service provider; or
ホ 金融サービス仲介業者
(e) a financial service intermediary.
二 前項第八号の規定 金融商品取引業者等が次に掲げる者である場合
(ii) the provisions of item (viii) of the preceding paragraph: if the financial instruments business operator, etc. falls under the category of the following persons:
イ 有価証券等管理業務を行う者
(a) a person engaged in a securities, etc. management business; or
ロ 登録金融機関(信託業務を営む金融機関又は預金、貯金若しくは銀行法第二条第四項に規定する定期積金等の受入れを行う金融機関に限る。)
(b) a registered financial institution (limited to a financial institution engaged in a trust business, or a financial institution accepting deposits, savings, or installment savings, etc. as prescribed in Article 2, paragraph (4) of the Banking Act);
三 前項第九号の規定 金融商品取引業者等が次に掲げる者である場合
(iii) the provisions of item (ix) of the preceding paragraph: if the financial instruments business operator, etc. falls under the category of the following persons:
イ 第一種金融商品取引業を行う者
(a) a person engaged in type I financial instruments business;
ロ 金融商品仲介業者
(b) a financial instruments intermediary service provider;
ハ 登録金融機関(信託業務を営む金融機関に限る。)
(c) a registered financial institution (limited to a financial institution engaged in a trust business); or
ニ 金融サービス仲介業者
(d) a financial service intermediary.
3 第八十三条第二項の規定は、投資顧問契約について準用する。この場合において、同項中「前項各号」とあるのは、「第九十五条第一項各号」と読み替えるものとする。
(3) the provisions of Article 83, paragraph (2) apply mutatis mutandis to an investment advisory contract. In this case, the term "the items of the preceding paragraph" in that paragraph is deemed to be replaced with "the items of Article 95, paragraph (1)".
(投資一任契約等に係る契約締結前交付書面の記載事項)
(Matters to Be Stated in a Document to Be Delivered Prior to Conclusion of Contract Pertaining to a Discretionary Investment Contract)
第九十六条 その締結しようとする金融商品取引契約が投資一任契約又は法第二条第八項第十三号に掲げる行為(投資一任契約に係るものに限る。第六号において同じ。)を行うことを内容とする契約である場合における法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、第八十二条各号に掲げる事項のほか、次に掲げる事項とする。
Article 96 (1) If a financial instruments transaction contract to be concluded is a discretionary investment contract or a contract for conducting of the acts specified in Article 2, paragraph (8), item (xiii) of the Act (limited to acts pertaining to a discretionary investment contract; the same applies in item (vi)), the matters to be specified by Cabinet Office Order as referred to in Article 37-3, paragraph (1), item (vii) of the Act are as follows, beyond those set forth in the items of Article 82:
一 運用の基本方針
(i) basic investment policy;
二 投資一任契約に基づき顧客のために行う当該顧客の資産に係る投資の方法及び取引の種類
(ii) the means of investment pertaining to the customer's assets to be made for the customer under the discretionary investment contract, and the type of the transactions;
三 投資一任契約に基づき顧客のために投資判断を行い、又は当該投資判断を行うとともに、これに基づく投資を行う者の氏名
(iii) the name of a person that makes an investment decision, or a person that makes an investment decision and makes an investment based thereon, for the customer and pursuant to the discretionary investment contract;
四 投資判断の一任の範囲及び投資の実行に関する事項(権利者のために運用を行う権限の全部又は一部を法第四十二条の三第一項に規定する者に委託(当該委託に係る権限の一部を更に委託するものを含む。)をする場合における当該者の商号又は名称(当該者が適格投資家向け投資運用業を行うことにつき法第二十九条の登録を受けた金融商品取引業者であるときは、その旨を含む。)及び当該委託の概要を含む。)
(iv) the matters related to the scope of the discretionary investment decision and the implementation of the investment (including the trade name or name (if the person is a financial instruments business operator that is registered pursuant to Article 29 of the Act for engaging in investment management business for qualified investors, including to that effect), and the basic information of the person to be entrusted, if all or part of the authority for making an investment for the right holder is to be entrusted to a person as set forth in Article 42-3, paragraph (1) of the Act (including if a part of the authority so entrusted is to be re-entrusted));
五 投資一任契約に基づき権利者のために運用を行う者が適格投資家向け投資運用業を行うことにつき法第二十九条の登録を受けた金融商品取引業者であるときは、その旨
(v) if a person that manages for the right holder based on a discretionary investment contract is the financial instruments business operator that is registered pursuant to Article 29 of the Act for engaging in investment management business for qualified investors, including to that effect; and
六 当該金融商品取引業者等(その締結しようとする金融商品取引契約が法第二条第八項第十三号に掲げる行為を行うことを内容とする契約である場合にあっては、当該行為に係る投資一任契約の相手方となる金融商品取引業者等)の財務又は投資一任契約に係る業務に関する外部監査の有無並びに当該外部監査を受けている場合にあっては、当該外部監査を行った者の氏名又は名称並びに当該外部監査の対象及び結果の概要
(vi) existence of an external audit related to business pertaining to finance of the financial instruments business operator, etc. (if the financial instruments transaction contract to be concluded is a contract for conducting acts listed in Article 2, paragraph (8), item (xiii) of the Act, the financial instruments business operator, etc. that is a counterparty of the discretionary investment contract pertaining to those acts) or a discretionary investment contract, and if the external audit has been implemented, the name of the person that implemented the external audit, the results of the external audit, and the outline of the results.
2 その締結しようとする金融商品取引契約が投資一任契約である場合において、当該投資一任契約の締結後に当該投資一任契約に基づき特定の銘柄の対象有価証券を投資の対象とする方針であるときにおける法第三十七条の三第一項第七号に規定する内閣府令で定める事項は、前項に規定する事項のほか、次に掲げる事項とする。
(2) If the financial instruments transaction contract to be concluded is a discretionary investment contract, the matters provided for by Cabinet Office Order specified in Article 37-3, paragraph (1), item (vii) of the Act under the policy to set the subject securities of specific issue as subject of investment based on the discretionary investment contract after concluding the discretionary investment contract are the following matters beyond the matters prescribed in the preceding paragraph:
一 当該対象有価証券の名称、当該対象有価証券の価額の算出方法並びに当該対象有価証券に係る権利を有する者に当該価額を報告する頻度及び方法に関する事項
(i) the name of the subject securities, means of calculation of the price of the subject securities, and matters related to the frequency and means of reporting the price to the person that holds the right pertaining to the subject securities;
二 当該対象有価証券の発行者、当該対象有価証券に係る権利を有する者から出資又は拠出を受けた資産(以下この号及び第四号において「ファンド資産」という。)の運用に係る重要な業務を行う者、ファンド資産の保管に係る重要な業務を行う者並びにファンド資産の運用及び保管に係る業務以外の前号に掲げる事項(同号に規定する価額の算出方法又は当該価額を報告する方法に関する事項に限る。)に係る重要な業務を行う者(次号において「ファンド関係者」という。)の商号又は名称、住所又は所在地及びそれらの者の役割分担に関する事項
(ii) the trade name or name, address or residence of the issuer of the subject securities, the person that engages in important operations pertaining to the investment of assets invested or paid by the person that holds the right pertaining to the subject securities (hereinafter it is referred to as "fund assets" in this item and item (iv)), the person that engages in important operations pertaining to preservation of the fund assets, and the person that engages in important operations pertaining to the matters listed in the preceding item other than investment and preservation of fund assets (limited to matters related to the calculation means of the price specified in that item or the means to report the price) (it is referred to as "persons related to fund") and matters related to the role sharing of those persons;
三 当該金融商品取引業者等とファンド関係者との間の資本関係及び人的関係
(iii) the capital relationship and personal relationship between the financial instruments business operator, etc. and the persons related to the fund; and
四 ファンド資産に係る外部監査の有無及び当該外部監査を受ける場合にあっては、当該外部監査を行う者の氏名又は名称
(iv) existence of an external audit pertaining to fund assets, and if the external audit is implemented, the name of the person that implements the external audit.
3 第八十三条第二項の規定は、投資一任契約について準用する。この場合において、同項中「前項各号」とあるのは、「第九十六条第一項各号及び第二項各号」と、「同項の」とあるのは「これらの」と、「同項各号」とあるのは「同条第一項各号及び第二項各号」と読み替えるものとする。
(3) The provisions of Article 83, paragraph (2) apply mutatis mutandis to the discretionary investment contract. In this case, the term "the items of the preceding paragraph" in that paragraph is deemed to be replaced with "the items of Article 96, paragraph (1) and the items of paragraph (2)", the term "of that paragraph" is deemed to be replaced with "these", and the term "each item of that paragraph" is deemed to be replaced with "each item of paragraphs (1) and (2) of that Article" respectively.
4 第二項の「対象有価証券」とは、次に掲げる有価証券(当該有価証券に関して法第四条第七項に規定する開示が行われている場合に該当するものを除く。)をいう。
(4) The "subject securities" set forth in paragraph (2) mean the following securities (excluding those corresponding to cases in which the disclosure prescribed in Article 4, paragraph (7) of the Act is implemented in relation to those securities):
一 法第二条第一項第十号又は第十一号に掲げる有価証券
(i) securities listed in Article 2, paragraph (1), item (x) or (xi);
二 法第二条第一項第十四号に掲げる有価証券のうち、投資信託の受益証券に類似するもの
(ii) securities similar to beneficiary certificates of investment trust from among securities listed in Article 2, paragraph (1), item (x