商品先物取引法施行規則 Regulation for Enforcement of the Commodity Derivatives Transaction Act 平成十七年農林水産省・経済産業省令第三号 Order of the Ministry of Agriculture, Forestry and Fisheries and the Ministry of Economy, Trade and Industry No. 3 of 2005 令和四年農林水産省・経済産業省令第二号 Order of the Ministry of Agriculture, Forestry and Fisheries and the Ministry of Economy, Trade and Industry No. 2 of 2022 商品先物取引法施行規則(平成十七年二月二十二日農林水産省・経済産業省令第三号) Regulation for Enforcement of the Commodity Derivatives Transaction Act (Order of the Ministry of Agriculture, Forestry and Fisheries and the Ministry of Economy, Trade and Industry No. 3 of February 22, 2005) 商品取引所法の一部を改正する法律(平成十六年法律第四十三号)及び商品取引所法施行令の一部を改正する政令(平成十六年政令第二百五十九号)の施行に伴い、並びに商品取引所法(昭和二十五年法律第二百三十九号)及び商品取引所法施行令(昭和二十五年政令第二百八十号)の規定に基づき、並びに同法を実施するため、商品取引所法施行規則(昭和二十五年農林省・通商産業省令第七号)の全部を改正する省令を次のように定める。 In conjunction with the enforcement of the Act for Partial Revision of the Commodity Exchange Act (Act No. 43 of 2004) and the Cabinet Order for Partial Revision of the Order for Enforcement of the Commodity Exchange Act (Cabinet Order No. 259 of 2004), and based on the provisions of the Commodity Exchange Act (Act No. 239 of 1950) and the Order for Enforcement of the Commodity Exchange Act (Cabinet Order No. 280 of 1950) as well as to implement that Act, the order to fully amend the Order for Enforcement of the Commodity Exchange Act (Order of the Ministry of Agriculture and Forestry and the Ministry of International Trade and Industry No. 7 of 1950) is established as follows. (店頭商品デリバティブ取引について高度の能力を有する者等) (Persons Highly Skilled in Over-the-Counter Commodity Derivatives Transactions) 第一条 商品先物取引法(以下「法」という。)第二条第十五項の主務省令で定める者は、次に掲げる者とする。 Article 1 (1) The persons prescribed by order of the competent ministry as referred to in Article 2, paragraph (15) of the Commodity Derivatives Transaction Act (hereinafter referred to as the "Act") are the following persons: 一 商品先物取引業者 (i) commodity derivatives business operators; 二 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 (ii) commodity investment advisors prescribed in Article 2, paragraph (4) of the Act on the Regulation of Business Pertaining to Commodities Investment (Act No. 66 of 1991); 三 金融商品取引法(昭和二十三年法律第二十五号)第二条第三項第一号に規定する適格機関投資家(次号及び第五号に掲げる者並びに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)第十条第一項第二十五号に掲げる者を除く。) (iii) qualified institutional investors prescribed in Article 2, paragraph (3), item (i) of the Financial Instruments and Exchange Act (Act No. 25 of 1948) (excluding persons set forth in the following item and item (v), and those set forth in Article 10, paragraph (1), item (xxv) of the Cabinet Office Order Concerning Definitions Under Article 2 of the Financial Instruments and Exchange Act (Order of the Ministry of Finance No. 14 of 1993)); 四 金融商品取引法第二条第九項に規定する金融商品取引業者(同法第二十八条第一項に規定する第一種金融商品取引業を行う者に限る。第一条の六第五号及び第百二条の二第一号ハを除き、以下同じ。) (iv) financial instruments business operators prescribed in Article 2, paragraph (9) of the Financial Instruments and Exchange Act (limited to persons that conduct Type 1 Financial Instruments Business prescribed in Article 28, paragraph (1) of that Act; the same applies hereinafter, excluding Article 1-6, item (v) and Article 102-2, item (i), (c)); 五 金融商品取引法第二条第十一項に規定する登録金融機関 (v) registered financial institutions prescribed in Article 2, paragraph (11) of the Financial Instruments and Exchange Act; 六 外国の法令上前各号に掲げる者に相当する者 (vi) persons equivalent to those set forth in the preceding items under the laws and regulations of a foreign state; 七 外国の法令に準拠して設立された株式会社と同種類の法人で資本金の額が十億円相当以上の者(資本金の額を本邦通貨に換算する場合には、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)第七条第一項に規定する基準外国為替相場又は裁定外国為替相場によるものとする。) (vii) corporations that are the same type as stock companies established in compliance with the laws and regulations of a foreign state with a capital amount of more than the amount equivalent to 1 billion yen (in cases of converting the capital amount into Japanese currency, the conversion is to be based on the basic exchange rate or the arbitrated exchange rate of a foreign currency prescribed in Article 7, paragraph (1) of the Foreign Exchange and Foreign Trade Act (Act No. 228 of December 1, 1949)); 八 特定目的会社(資産の流動化に関する法律(平成十年法律第百五号。以下「資産流動化法」という。)第二条第三項に規定する特定目的会社をいう。次号、第一条の六第八号及び第三十八条第六項第一号において同じ。)のうち、次に掲げるもの (viii) the following special purpose companies (meaning special purpose companies prescribed in Article 2, paragraph (3) of the Act on Securitization of Assets (Act No. 105 of 1998; hereinafter referred to as the "Asset Securitization Act"); the same applies in the following item, Article 1-6, item (viii), and Article 38, paragraph (6), item (i)); イ 特定資本金の額(資産流動化法第十六条第二項第四号に規定する特定資本金の額をいう。ロにおいて同じ。)が十億円以上であるもの (a) those with a specified capital amount (meaning the specified capital amount prescribed in Article 16, paragraph (2), item (iv) of the Asset Securitization Act; the same applies in (b)) of at least 1 billion yen; ロ 特定資本金の額が三千万円以上であり、かつ、その発行する資産対応証券(資産流動化法第二条第十一項に規定する資産対応証券をいう。)を前号に掲げる者、金融商品取引法施行令(昭和四十年政令第三百二十一号)第一条の八の六第一項第二号ロに掲げる者又は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十五条第一項第一号から第三号までに掲げる者のみが取得しているもの (b) those with a specified capital amount of at least 30 million yen and the asset-backed securities (meaning asset-backed securities as defined in Article 2, paragraph (xi) of the Asset Securitization Act) issued by them are held only by those set forth in the preceding item, those set forth in Article 1-8-6, paragraph (1), item (ii), (b) of the Order for Enforcement of the Financial Instruments and Exchange Act (Cabinet Order No. 321 of 1965), and those set forth in Article 15, paragraph (1), items (i) through (iii) of the Cabinet Office Order Concerning Definitions Under Article 2 of the Financial Instruments and Exchange Act; 九 前各号に掲げる者又は資本金の額が十億円以上の株式会社の子会社(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子会社(同条第七項の規定により子会社に該当しないものと推定される特定目的会社を除く。)をいう。) (ix) subsidiary companies of those set forth in the preceding items or stock companies with a capital amount of at least 1 billion yen (meaning subsidiary companies prescribed 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 for Financial Statements"), excluding special purpose companies presumed not to fall under subsidiary companies pursuant to provisions of paragraph (7) of that Article). 2 法第二条第十五項の主務省令で定める金額は、十億円とする。 (2) The amount prescribed by order of the competent ministry as referred to in Article 2, paragraph (15) of the Act is 1 billion yen. (国内にある者の範囲) (Scope of Entities in Japan) 第一条の二 商品先物取引法施行令(以下「令」という。)第二条第二号の主務省令で定める者は、前条第一項各号に掲げる者及び資本金の額が十億円以上の株式会社とする。 Article 1-2 The entities prescribed by order of the competent ministry referred to in Article 2, item (ii) of the Order for Enforcement of the Commodity Derivatives Transaction Act (hereinafter referred to as the "Order") are to be those set forth in the items of the preceding Article and stock companies with a capital amount of at least 1 billion yen. (外国商品市場取引について高度の能力を有する者) (Entities With a High Level of Ability Concerning Transactions in Foreign Commodities Markets) 第一条の三 令第二条第三号の主務省令で定める者は、第一条第一項各号に掲げる者及び資本金の額が十億円以上の株式会社とする。 Article 1-3 The entities prescribed by order of the competent ministry referred to in Article 2, item (iii) of the Order are those set forth in the items of Article 1, paragraph (1) and stock companies with a capital amount of at least 1 billion yen. (人的関係又は資本関係において密接な関係を有する者) (Persons With Close Personal Relationship or Capital Relationship) 第一条の四 令第二条第五号の主務省令で定める者は、次の各号に掲げる者とする。 Article 1-4 The persons prescribed by order of the competent ministry referred to in Article 2, item (v) of the Order are those set forth in the following items: 一 法第二条第二十二項第五号に掲げる行為を行う者の親会社(財務諸表等規則第八条第三項に規定する親会社をいう。以下同じ。) (i) the parent company of a person that perform the acts set forth in Article 2, paragraph (22), item (v) of the Act (meaning a parent company prescribed in Article 8, paragraph 3 of the Regulation for Financial Statements; the same applies hereinafter); 二 法第二条第二十二項第五号に掲げる行為を行う者の子会社(財務諸表等規則第八条第三項に規定する子会社をいう。) (ii) a subsidiary company of a person that performs the acts set forth in Article 2, paragraph (22), item (v) of the Act (meaning subsidiary company prescribed in Article 8, paragraph 3 of the Regulation for Financial Statements; the same applies hereinafter); 三 法第二条第二十二項第五号に掲げる行為を行う者の親会社の子会社(財務諸表等規則第八条第三項の規定により当該親会社の子会社とされる者(当該同号に掲げる行為を行う者及び前二号に掲げる者を除く。)をいう。) (iii) a subsidiary company of a parent company of a person that performs the acts set forth in Article 2, paragraph (22), item (v) of the Act (meaning persons considered to be subsidiary companies of the parent companies pursuant to the provisions of Article 8, paragraph (3) of the Regulation for Financial Statements (excluding those that perform the acts set forth in Article 2, paragraph (22), item (v) of the Act and those set forth in the preceding two items)); 四 法第二条第二十二項第五号に掲げる行為(同号に規定する媒介、取次ぎ及び代理を除き、次に掲げる全ての要件を満たすものに限る。)を行う者が商品の売買等(法第十条第二項第一号に規定する売買等をいう。以下同じ。)を業として行っている者(以下この号において「当業者」という。)である場合には、他の当業者(前三号に掲げる者を除く。) (iv) if the persons that perform the acts set forth in Article 2, paragraph (22), item (v) of the Act (excluding brokerage, intermediation, and actions as an agent, and limited to those that satisfy all of the following requirements) are engaging in purchase and sale, etc., of goods in the course of trade (meaning the purchase and sale, etc. as defined in Article 10, paragraph (2), item (i) of the Act), (hereinafter referred to in this item as "business specialists"), other business specialists (excluding those set forth in the preceding three items); イ 当該他の当業者との間の商品の売買取引に付随して行うものであること。 (a) the acts are those performed incidentally to purchase and sale transactions of commodities with the other business specialists; ロ 商品市場における相場等(令第二十九条第四号に規定する商品市場における相場等をいう。以下同じ。)に係る変動により生ずるおそれのある当該他の当業者の損失を軽減することを目的とするものであること。 (b) those engaged for the purpose of reducing the risk of losses of the other business specialists that arise from fluctuations in quotations, etc. on a commodity market (meaning quotations, etc. on a commodity market prescribed in Article 29, item (iv) of the Order; the same applies hereinafter). (商品デリバティブ取引に係る専門的知識及び経験を有する者) (Persons With Specialized Knowledge and Experience Regarding Commodity Derivative Transactions) 第一条の五 法第二条第二十五項第三号の主務省令で定める者は、金融商品取引法第二条第三項第一号に規定する適格機関投資家とする。 Article 1-5 The persons prescribed by order of the competent ministry as referred to in Article 2, paragraph (25), item (iii) of the Act are qualified institutional investors as defined in Article 2, paragraph (3), item (i) of the Financial Instruments and Exchange Act. (特定委託者の範囲) (Scope of Eligible Consignors) 第一条の六 法第二条第二十五項第八号の主務省令で定める法人は、次に掲げる法人とする。 Article 1-6 The corporations prescribed by order of the competent ministry as referred to in Article 2, paragraph (25), item (viii) of the Act are the following corporations: 一 法第六章に規定する委託者保護基金(以下「委託者保護基金」という。) (i) consignor protection funds prescribed in Chapter VI of the Act; 二 法第三百四十九条第一項に規定する特定店頭商品デリバティブ取引業者(法人である者に限る。) (ii) specified over-the-counter commodity derivative business operators prescribed in Article 349, paragraph (1) of the Act (limited to those that are corporations); 三 特別の法律により特別の設立行為をもって設立された法人 (iii) corporations established by special act of establishment pursuant to a special law; 四 金融商品取引業者 (iv) financial instruments business operators; 五 金融商品取引法第二条第九項に規定する金融商品取引業者(同法第二十八条第二項に規定する第二種金融商品取引業を行う者に限る。)であって、商品投資に係る事業の規制に関する法律第三十五条に規定する商品投資販売業者である者(法人である者に限る。) (v) financial instruments business operators prescribed in Article 2, paragraph (9) of the Financial Instruments and Exchange Act (limited to those engaged in Type 2 Financial Instruments Business prescribed in Article 28, paragraph (2) of that Act) who are commodity investment sales managers prescribed in Article 35 of the Act on the Regulation of Business Pertaining to Commodities Investment (limited to those that are corporations); 六 預金保険機構 (vi) the Deposit Insurance Corporation of Japan; 七 保険業法(平成七年法律第百五号)第二百五十九条に規定する保険契約者保護機構 (vii) the policyholders protection corporation prescribed in Article 259 of the Insurance Business Act (Act No. 105 of June 7, 1995); 八 特定目的会社 (viii) special purpose companies; 九 金融商品取引所(金融商品取引法第二条第十六項に規定する金融商品取引所をいう。以下同じ。)に上場されている株券の発行者である会社 (ix) companies that issue share certificates listed on a financial instruments exchange (meaning a financial instruments exchange prescribed in Article 2, paragraph (16) of the Financial Instruments and Exchange Act; the same applies hereinafter); 十 取引の状況その他の事情から合理的に判断して資本金の額が五億円以上であると見込まれる株式会社 (x) stock companies expected to have a capital amount of at least 500 million yen, in making a reasonable judgment in light of the status of transactions and other circumstances; and 十一 外国法人 (xi) foreign corporations. (取引対象商品である物品に関連する物品) (Goods Associated with Goods That Are Underlying Commodities) 第一条の七 法第二条第二十六項及び第百九十七条の九第一項の主務省令で定めるものは、次の各号に掲げる物品とする。 Article 1-7 The goods specified by order of the competent ministry as referred to in Article 2, paragraph (26) and Article 197-9, paragraph (1) of the Act are the following goods: 一 当該取引対象商品である物品の主たる原料又は材料となっている物品 (i) goods that constitute the main raw materials or ingredients of the goods that are underlying commodities; 二 当該取引対象商品である物品を主たる原料又は材料とする物品 (ii) goods for which the goods that are underlying commodities are the main raw materials or ingredients; 三 商品市場における相場等に係る変動その他の事情から合理的に判断して、当該取引対象商品である物品の価格と他の物品の価格との間に相関関係があると認められる場合における当該他の物品(前二号に掲げるものを除く。) (iii) in a case in which a correlation relationship is recognized between the price of the goods that are underlying commodities and the price of other goods, in making a reasonable judgment in light of the fluctuations in quotations, etc. on a commodity market, etc., and other circumstances, the other goods (excluding those set forth in the preceding two items). (業として行う行為) (Acts Conducted in the Course of Trade) 第一条の八 法第二条第二十六項、第十条第二項第一号、第百九十七条の七及び第百九十七条の九第一項の主務省令で定める行為は、電気事業者(電気事業法(昭和三十九年法律第百七十号)第二条第十七号に規定する電気事業者をいう。)が行う電力(法第二条第一項第四号に規定する電力を除く。以下この条において同じ。)の売買又は売買の媒介、取次ぎ若しくは代理及び電気の供給を受ける者による電力の使用とする。 Article 1-8 The acts specified by order of the competent ministry as referred to in Article 2, paragraph (26), Article 10, paragraph (2), item (i), Article 197-7, and Article 197-9, paragraph (1) of the Act are the purchase and sale, or intermediation, brokerage, or action as an agent for the purchase and sale of electric power (excluding the electric power prescribed in Article 2, paragraph (1), item (iv) of the Act; hereinafter the same applies in this Article) conducted by an electricity utility (meaning the electricity utility prescribed in Article 2, item (xvii) of the Electricity Business Act (Act No. 170 of 1964)) or the use of electric power by a person who receives the supply of electric power. (特定当業者である法人の要件) (Requirements for Corporations That Are Eligible Commercial Persons) 第一条の九 法第二条第二十六項の主務省令で定める要件は、取引の状況その他の事情から合理的に判断して、当該法人が最初に商品先物取引業者との間で商品取引契約(当該法人が売買等を業として行っている物品若しくは電力(同条第一項第四号に規定する電力をいう。以下同じ。)又はこれらに関連する物品として次に掲げるものを取引対象商品とする商品デリバティブ取引に関するものに限る。)を締結した日から起算して一年を経過していると認められることとする。 Article 1-9 The requirement prescribed by order of the competent ministry as referred to in Article 2, paragraph (26) of the Act is that one year is found to have elapsed since the date on which the corporation has first concluded a commodities transaction contract (limited to a contract related to commodities derivatives transactions, the underlying commodities of which are goods or electric power (meaning the electric power as defined in paragraph (1), item (iv) of that Article; the same applies hereinafter) or the following goods as goods associated with them, for which the corporation is engaged in the purchase and sale, etc. in the course of trade) with a commodity derivatives business operator, in making a reasonable judgment in light of the status of transactions and other circumstances: 一 当該法人が売買等を業として行っている物品の主たる原料又は材料となっている物品 (i) goods constituting the main raw materials or ingredients of the goods for which the corporation is engaged in the purchase and sale, etc. in the course of trade; 二 当該法人が売買等を業として行っている物品を主たる原料又は材料とする物品 (ii) goods whose main raw materials or ingredients are the goods for which the corporation is engaged in the purchase and sale, etc. in the course of trade; 三 商品市場における相場等に係る変動その他の事情から合理的に判断して、当該法人が売買等を業として行っている物品の価格と他の物品の価格との間に相関関係があると認められる場合における当該他の物品(前二号に掲げるものを除く。) (iii) in a case in which a correlation relationship is recognized between the price of goods of which the corporation is engaged in the purchase and sale, etc. in the course of trade and the price of other goods, in making a reasonable judgment in light of fluctuations in quotations, etc. on a commodity market and other circumstances, the other goods (excluding those set forth in the preceding two items). (商品取引所の兼業業務の認可申請) (Application for Authorization for a Commodity Exchange Subsidiary Business) 第一条の十 商品取引所は、法第三条第一項ただし書の規定により認可を受けようとするときは、次に掲げる事項を記載した認可申請書を主務大臣に提出しなければならない。 Article 1-10 (1) When seeking to obtain authorization pursuant to the provisions of the proviso to Article 3, paragraph (1) of the Act, a commodity exchange must submit a written application for authorization stating the following matters to the competent minister: 一 認可を受けようとする業務の種類 (i) the type of business for which authorization is sought; 二 当該業務の開始予定年月日 (ii) the scheduled year, month, and date of the start of the business; 2 前項の認可申請書には、次に掲げる書類を添付しなければならない。 (2) The following documents must be attached to the written application for authorization referred to in the preceding paragraph: 一 当該業務を行う理由を記載した書面 (i) a document stating the reason for conducting the business; 二 当該業務の内容及び方法を記載した書面 (ii) a document stating the content and method of the business; 三 当該業務を所掌する組織及び人員配置を記載した書面 (iii) a document stating the organization in charge of the business and the assignment of personnel; 四 当該業務に関する内部規則 (iv) the internal rules concerning the business; 五 当該認可後三事業年度における当該業務の収支の見込みを記載した書面 (v) a document stating a forecast of income and expenditures for the business for three business years after obtaining the authorization; and 六 その他参考となるべき事項を記載した書面 (vi) documents stating other matters to be used as a reference. (兼業業務の廃止の届出) (Notification of Discontinuation of Subsidiary Business) 第一条の十一 商品取引所が法第三条第一項ただし書の規定の認可を受けた業務(金融商品債務引受業等(金融商品取引法第百五十六条の三第一項第六号に規定する金融商品債務引受業等をいう。第七十一条第三号において同じ。)及びこれに附帯する業務に限る。)を廃止したときは、次に掲げる事項を記載した届出書を提出しなければならない。 Article 1-11 When a commodities exchange discontinues a business that has obtained the authorization under the provisions of the proviso to Article 3, paragraph (1) of the Act (limited to financial instruments obligation assumption services, etc. (meaning financial instruments obligation assumption services, etc. prescribed in Article 156-3, paragraph (1), item (vi) of the Financial Instruments and Exchange Act; the same applies in Article 71, item (iii)) and incidental businesses), a notification stating the following matters must be submitted: 一 当該業務を廃止した年月日 (i) the date on which the business was discontinued; and 二 当該業務を廃止した理由 (ii) the reason for discontinuing the business. (商品取引所の子会社の認可申請) (Application for Authorization of a Subsidiary Company of Commodity Exchanges) 第一条の十二 商品取引所は、法第三条の二第一項ただし書の規定により認可を受けようとするときは、認可申請書に次に掲げる書類を添付して主務大臣に提出しなければならない。 Article 1-12 When seeking to obtain authorization pursuant to the provisions of the proviso to Article 3-2, paragraph (1), item (i), a commodity exchange must submit a written application for authorization by attaching the following documents to the competent minister: 一 当該認可に係る会社を子会社(法第三条の二第三項に規定する子会社をいう。以下この条において同じ。)とする理由を記載した書面 (i) a document stating the reason for making the company related to the authorization its subsidiary company (meaning a subsidiary company prescribed in Article 3-2, paragraph (3) of the Act; hereinafter the same applies in this Article); 二 当該認可に係る子会社となる会社に関する次に掲げる書類 (ii) the following documents concerning the company that is to become the subsidiary company related to the authorization: イ 商号及び本店の所在地を記載した書面 (a) a document stating its trade name and location of its head office; ロ 業務の内容を記載した書面 (b) a document stating the content of its business; ハ 取締役及び監査役(監査等委員会設置会社にあっては取締役、指名委員会等設置会社にあっては取締役及び執行役。第三十六条の九及び第三十六条の十二第二号ハにおいて同じ。)の氏名及び役職名を記載した書面 (c) a document stating the names and titles of the company directors and auditors (directors for a company with audit and supervisory committee, and company directors and executive officers for a company with a nominating committee, etc.; the same applies in Article 36-9 and Article 36-12, paragraph (2), item (ii), (c)); ニ 当該会社が会計参与設置会社である場合には、会計参与の氏名又は名称を記載した書面 (d) in cases of a company with accounting advisors, a document stating the names of the accounting advisors; ホ 定款 (e) the articles of incorporation; ヘ 登記事項証明書 (f) a certificate of registered information; ト 直前事業年度の貸借対照表、損益計算書及び株主資本等変動計算書その他最近における業務、財産及び損益の状況を知ることができる書類 (g) documents that show its recent status of business, property, and profit and loss, such as the balance sheet, profit and loss statement, and statement of changes in net assets for the immediately preceding business year; 三 当該商品取引所及びその子会社に関する次に掲げる書類 (iii) the following documents concerning the commodity exchange and its subsidiary company: イ 当該商品取引所及びその子会社の業務及び財産の状況を連結して記載した直前事業年度の貸借対照表、損益計算書及び株主資本等変動計算書その他これらの最近における業務、財産及び損益の状況を知ることができる書類 (a) documents that state in a consolidated manner the status of business and property for the commodity exchange and its subsidiary company and that show the recent status of their business, property, and profit and loss, such as the balance sheet, profit and loss statement, and statement of changes in net assets for the immediately preceding business year; ロ 当該認可後三事業年度における当該商品取引所及びその子会社(当該認可に係る子会社となる会社を含む。)の収支の見込みを記載した書面 (b) a document stating a forecast of income and expenditures for the commodity exchange and its subsidiary company (including a company that is to become the subsidiary company related to the authorization) for three business years after obtaining the authorization; and 四 その他参考となるべき事項を記載した書面 (iv) documents stating other matters to be used as a reference. (自主規制業務) (Self-Regulation Services) 第一条の十三 法第五条の二第二項第三号の主務省令で定めるものは、次に掲げるものとする。 Article 1-13 The matters prescribed by order of the competent ministry as referred to in Article 5-2, paragraph (2), item (iii) are the following matters: 一 会員等の資格の審査 (i) examination of the qualifications of members, etc.; 二 会員等が行う商品市場における取引の内容の審査(商品市場における取引を円滑にするため、これらの取引の状況について即時に行うものを除く。) (ii) examination of the content of transactions in the commodity market conducted by members, etc. (excluding those for which examination of the status of the transaction is done immediately in order to facilitate smooth transactions in the commodity market); 三 法第五条の二第二項第一号及び第二号に掲げる業務に関する定款その他の規則の作成、変更及び廃止の業務 (iii) the work of creating, changing, or abolishing articles of incorporation or other rules relating to the businesses set forth in Article 5-2, paragraph (2), items (i) and (ii) of the Act. (電磁的記録) (Electronic or Magnetic Record) 第一条の十四 法第十一条第五項に規定する主務省令で定めるものは、法第十一条第一項の発起人の使用に係る電子計算機に備えられたファイル又は電磁的記録媒体(電磁的記録に係る記録媒体をいう。第五十五条の七を除き、以下同じ。)をもって調製するファイルに情報を記録したものとする。 Article 1-14 The records specified by order of the competent ministry as prescribed in Article 11, paragraph (5) of the Act are files stored in a computer used by the founder referred to in Article 11, paragraph (1) of the Act or records in which information is recorded in a file prepared in the form of an electronic or magnetic recording medium (meaning a recording medium for electronic or magnetic records; the same applies hereinafter except for Article 55-7). 第二条 法第十一条第五項に規定する主務省令で定める署名又は記名押印に代わる措置は、電子署名とする。 Article 2 (1) The measures in lieu of signing or affixing names and seals specified by order of the competent ministry as prescribed in Article 11, paragraph (5) of the Act are electronic signatures. 2 前項に規定する「電子署名」とは、電磁的記録(法第十一条第五項に規定する電磁的記録をいう。以下同じ。)に記録することができる情報について行われる措置であって、次の要件のいずれにも該当するものをいう。 (2) The term "electronic signatures" prescribed in the preceding paragraph means measures taken for information that can be recorded onto an electronic or magnetic record (meaning the electronic or magnetic record prescribed in Article 11, paragraph (5) of the Act; the same applies hereinafter), which satisfies all of the following requirements: 一 当該情報が当該措置を行った者の作成に係るものであることを示すためのものであること。 (i) the purpose of the measures is to show that the information was prepared by the person who has taken the measures; and 二 当該情報について改変が行われていないかどうかを確認することができるものであること。 (ii) the measures enable to confirm whether the information has been altered. (商品先物取引法施行令に係る電磁的方法) (Electronic or Magnetic Means concerning the Order for Enforcement of the Commodity Derivatives Transaction Act) 第二条の二 令第三条第一項の規定により示すべき電磁的方法(法第十二条第四項に規定する電磁的方法をいう。第七条、第四十一条、第五十一条、第九十条の三及び第百九条の二を除き、以下同じ。)の種類及び内容は、次に掲げるものとする。 Article 2-2 The type and content of the electronic or magnetic means (meaning electronic or magnetic means prescribed in Article 12, paragraph (4) of the Act; hereinafter the same applies, excluding Article 7, Article 41, Article 51, Article 90-3, and Article 109-2) required to be indicated pursuant to the provisions of Article 3, paragraph (1) of the Order are as follows: 一 次に掲げる方法のうち、送信者が使用するもの (i) those that a sender uses from the following means: イ 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 (a) the following means that use an electronic data processing systems: (1) 送信者の使用に係る電子計算機と受信者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 1. means of transmitting information through a telecommunications line that connects a computer used by a sender and a computer used by a receiver and recording the information in a file on a computer used by the receiver; (2) 送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された情報の内容を電気通信回線を通じて情報を受ける者の閲覧に供し、当該情報の提供を受ける者の使用に係る電子計算機に備えられたファイルに当該情報を記録する方法 2. means of providing the information recorded in a file on a computer used by a sender for the inspection of a receiver of the information through a telecommunications line, and recording the information in a file on a computer used by the receiver; ロ 磁気ディスクその他これに準ずる方法により一定の情報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情報を記録したものを交付する方法 (b) means of delivering the media that has recorded the information in a file prepared in the form of a magnetic disk or by an equivalent method that can record certain information securely; 二 ファイルへの記録の方式 (ii) means of recording the information in a file. (電磁的方法) (Electronic or Magnetic Means) 第二条の三 法第十二条第四項に規定する電子情報処理組織を使用する方法その他の情報通信の技術を利用する方法であって主務省令で定めるものは、次に掲げる方法とする。 Article 2-3 (1) The means of using electronic data processing systems or using other information communications technology specified by order of the competent ministry as prescribed in Article 12, paragraph (4) of the Act are as follows: 一 電子情報処理組織を使用する方法のうちイ又はロに掲げるもの (i) the means set forth in (a) or (b) that use electronic data processing systems: イ 送信者の使用に係る電子計算機と受信者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) means of transmitting information through a telecommunications line that connects a computer used by a sender and a computer used by a receiver and recording the information in a file on a computer used by the receiver; ロ 送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された情報の内容を電気通信回線を通じて情報の提供を受ける者の閲覧に供し、当該情報の提供を受ける者の使用に係る電子計算機に備えられたファイルに当該情報を記録する方法 (b) means of providing the information recorded in a file on a computer used by a sender for the inspection of a receiver of the information through a telecommunications line, and to record the information in a file on a computer used by the receiver; and 二 磁気ディスクその他これに準ずる方法により一定の情報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情報を記録したものを交付する方法 (ii) means of delivering the media that has recorded the information in a file prepared in the form of a magnetic disk or by an equivalent method that can record certain information securely. 2 前項各号に掲げる方法は、受信者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 set forth in the preceding items must be the means that enables a receiver to prepare a written document by outputting the record in the file. (創立総会の議事録) (Minutes of the Organizational Meeting) 第二条の四 法第十三条第七項の規定による創立総会の議事録の作成については、この条の定めるところによる。 Article 2-4 (1) The preparation of the minutes of the organizational meeting pursuant to the provisions of Article 13, paragraph (7) of the Act is governed by the provisions of this Article. 2 創立総会の議事録は、書面又は電磁的記録をもって作成しなければならない。 (2) The minutes of the organizational meeting must be prepared in the form of a document or an electronic or magnetic record. 3 創立総会の議事録は、次に掲げる事項を内容とするものでなければならない。 (3) The minutes of the organizational meeting must include the following matters: 一 創立総会が開催された日時及び場所 (i) the date and time on which and the place where the organizational meeting was held; 二 創立総会の議事の経過の要領及びその結果 (ii) the outline and results of the proceedings of the organizational meeting; 三 創立総会に出席した発起人及び役員の氏名又は名称 (iii) the names of the founders and the officers who attended the organizational meeting; 四 創立総会の議長が存するときは、議長の氏名 (iv) if there is a chairperson of the organizational meeting, the name of the chairperson; and 五 議事録の作成に係る職務を行った発起人の氏名又は名称 (v) the name of the founder who performed the duties concerning the preparation of the minutes. (許可の申請書の添付書類) (Documents Attached to a Written Application for Permission) 第三条 法第十四条第二項の主務省令で定める書類は、次に掲げるもの(官公署が証明する書類の場合には、許可の申請の日前三月以内に作成されたものに限る。)とする。 Article 3 The documents specified by order of the competent ministry as referred to in Article 14, paragraph (2) of the Act are as follows (in cases of documents certified by a public agency, limited to those prepared within three months prior to the date of filing the application for permission): 一 役員の住民基本台帳法(昭和四十二年法律第八十一号)第十二条第一項に規定する住民票の写し又はこれに代わる書面(以下これらを「住民票の写し等」という。)、履歴書、その者が法第十五条第二項第一号ロに該当しない旨の官公署の証明書(その者が外国人である場合を除く。)並びにその者が同号イ及びハからルまで(その者が外国人の場合には、同号イからルまで)のいずれにも該当しないことを誓約する書面 (i) a copy of the residence certificate prescribed in Article 12, paragraph (1) of the Basic Resident Registration Act (Act No. 81 of 1967), or an alternative document (hereinafter referred to as a "copy of the residence certificate, etc."), a curriculum vitae, a certification issued by a public agency that the person does not fall under the provisions of Article 15, paragraph (2), item (i), (b) of the Act (excluding cases in which the person is a foreign national), and a document pledging that the person does not fall under any of the provisions of sub-item (a) or sub-items (c) through (k) of that item (in cases in which the person is a foreign national, sub-items (a) through (k) of that item); 二 会員の氏名又は商号若しくは名称及び主たる事務所又は本店の所在地を記載した書面、その者が法第三十一条第一項各号のいずれにも該当しないことを誓約する書面並びに申請に係る会員商品取引所が開設しようとする一以上の商品市場において法第百五条第一号に掲げる方法により決済を行う場合には許可の申請の日前三十日以内に様式第一号により作成したその者の純資産額に関する調書 (ii) a document stating the name or trade name of a member and the location of their principal office or head office, a document pledging that the person does not fall under any of the provisions of the items of Article 31, paragraph (1) of the Act, and in cases of completing settlement by the methods set forth in Article 105, item (i) of the Act at one or more commodity markets which a member commodity exchange related to the application seeks to open, a record concerning the amount of the net assets of the person which is prepared according to Form No. 1 within 30 days prior to the date of filing the application for permission; 三 過半数の発起人が、それぞれ法第十条第二項各号に掲げる者に該当することを誓約する書面 (iii) a document pledging that a majority of the founders fall under the items of Article 10, paragraph (2) of the Act; 四 加入申込証 (iv) a membership application form; 五 出資の払込みがあったことを証する書面 (v) a document that proves the payment of the investment; 六 創立総会の議事録 (vi) minutes of the organizational meeting; 七 開設しようとする商品市場における開設後一年間の先物取引の取引量の見込みを記載した書面 (vii) a document stating the estimated transaction volume of futures transactions for one year after the opening of a commodity market which they seek to open; 八 上場商品に係る商品市場を開設しようとする場合にあっては、上場商品構成品(法第十条第二項第一号に規定する上場商品構成品をいう。以下同じ。)を一の商品市場で取引をすることが適当である旨を明らかにすることができる書面 (viii) in cases of seeking to open a commodity market related to a listed commodity, a document stating that it is appropriate to conduct transactions of component products of listed commodities (meaning component products of listed commodities prescribed in Article 10, paragraph (2), item (i) of the Act; the same applies hereinafter) in a single commodity market; 九 二以上の商品指数を一の上場商品指数として商品市場を開設しようとする場合にあっては、当該二以上の商品指数の対象となる物品又は電力の大部分が共通していることを明らかにすることができる書面 (ix) in cases of seeking to open a commodity market by specifying two or more commodity indices as a single listed commodity index, a document stating that the majority of the goods or electric power subject to the two or more commodity indices are common to one another; 十 商品市場を開設する業務において電子情報処理組織を使用する場合には、当該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を記載した書類 (x) in cases of using an electronic data processing system in opening a commodity market, a document stating the outline, installation location, capacity, maintenance method of the electronic data processing system, and the method of handling in the case of malfunction of the electronic data processing system; and 十一 その他法第十五条第一項に掲げる基準に適合しているかどうかについての認定の参考となるべき事項を記載した書面 (xi) documents stating other information to be used as a reference in recognizing whether the criteria set forth in Article 15, paragraph (1) of the Act have been met. (法第十五条第二項第一号イの主務省令で定める者等) (Person Prescribed by Order of the Competent Ministry as Referred to in Article 15, Paragraph (2), Item (i), (a) of the Act) 第三条の二 法第十五条第二項第一号イの主務省令で定める者は、精神の機能の障害によりその職務を適正に執行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 3-2 (1) The person specified by order of the competent ministry as referred to in Article 15, paragraph (2), item (i), (a) of the Act is a person that is unable to adequately carry out the cognition, decision making, and communication necessary for properly performing their duties due to mental impairment. 2 主務大臣は、法第九条の許可の申請があった場合において、発起人のうちに法第十五条第二項第一号イ、ル(イ及びヲに係る部分に限る。)又はヲ(イ及びルに係る部分に限る。)のいずれかに該当する者があるかどうかを審査するために必要があると認めるときは、発起人に対し、当該審査の対象となる者の病名、精神の機能の障害の有無及び程度、病因、病後の経過、治癒の見込みその他参考となる所見を記載した医師の診断書の提出を求めることができる。 (2) When an application for the permission under Article 9 of the Act has been filed, and the competent minister finds it necessary for examining whether the founders include a person who falls under any of Article 15, paragraph (2), item (i), (a) or (k) (limited to the part related to (a) and (l)) or (l) (limited to the part related to (a) and (k)) of the Act, the competent minister may request the founders to submit a doctor's written diagnosis stating the name of the illness of the person subject to the examination, whether the person has any mental impairment and the level of mental impairment, causes of the illness, catamnestic observation, prospects of recovery, and other remarks for reference. (責任追及等の訴えの提起の請求方法) (Means of Filing Requests for Action to Enforce Liability) 第三条の三 法第十八条第二項、第五十八条及び第七十七条第二項において読み替えて準用する会社法(平成十七年法律第八十六号)第八百四十七条第一項の主務省令で定める方法は、次に掲げる事項を記載した書面の提出又は当該事項の電磁的方法による提供とする。 Article 3-3 The means specified by order of the competent ministry as referred to in Article 847, paragraph (1) of the Companies Act (Act No. 86 of 2005) as applied mutatis mutandis pursuant to Article 18, paragraph (2), Article 58, and Article 77, paragraph (2) of the Act following the deemed replacement of terms is the submission of a document that states the following information or the provision of that information by electronic or magnetic means: 一 被告となるべき者 (i) the prospective defendant; and 二 請求の趣旨及び請求を特定するのに必要な事実 (ii) the object of the request and the fact necessary to specify the request. (訴えを提起しない理由の通知方法) (Means of Notifying Reasons for Not Filing an Action) 第三条の四 法第十八条第二項、第五十八条及び第七十七条第二項において読み替えて準用する会社法第八百四十七条第四項の主務省令で定める方法は、次に掲げる事項を記載した書面の提出又は当該事項の電磁的方法による提供とする。 Article 3-4 The means specified by order of the competent ministry as referred to in Article 847, paragraph (4) of the Companies Act as applied mutatis mutandis pursuant to Article 18, paragraph (2), Article 58, and Article 77, paragraph (2) of the Act following the deemed replacement of terms is the submission of a document that states the following information or the provision of that information by electronic or magnetic means: 一 会員商品取引所が行った調査の内容(次号の判断の基礎とした資料を含む。) (i) the content of the investigation that a member commodity exchange conducted (including the document which served as the basis of judgment referred to in the following item); 二 法第十八条第二項、第五十八条及び第七十七条第二項において読み替えて準用する会社法第八百四十七条第一項の規定による請求に係る訴えについての前条第一号に掲げる者の責任又は義務の有無についての判断 (ii) the judgment with regard to any liability or obligation of a person set forth in item (i) of the preceding Article for an action concerning a request pursuant to the provisions of Article 847, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 18, paragraph (2), Article 58, and Article 77, paragraph (2) of the Act following the deemed replacement of terms; 三 前号の者に責任又は義務があると判断した場合において、同号の訴えを提起しないときは、その理由 (iii) in cases of not filing an action referred to in the preceding item, when the person referred to in that item has been judged to have liability or obligation, the reasons therefor. (役員又は会員の氏名等の変更届出書の添付書類) (Documents Attached to a Notification of Change in Name of an Officer or a Member) 第四条 法第十九条第二項の主務省令で定める書類は、次に掲げるもの(官公署が証明する書類の場合には、変更の届出の日前三月以内に作成されたものに限る。)とする。 Article 4 The documents specified by order of the competent ministry as referred to in Article 19, paragraph (2) of the Act are as follows (in cases of documents certified by a public agency, limited to those prepared within three months prior to the date of filing the notification of change): 一 変更の届出が新たに就任した役員に係るときは、その者の住民票の写し等、履歴書、その者が法第十五条第二項第一号ロに該当しない旨の官公署の証明書(その者が外国人である場合を除く。)並びにその者が法第十五条第二項第一号イ及びハからルまで(その者が外国人の場合には、同号イからルまで)のいずれにも該当しないことを誓約する書面 (i) when the notification of change relates to an officer who has newly assumed office, a copy of the residence certificate, etc. and a curriculum vitae of that person, a certificate issued by a public agency proving that the person does not fall under Article 15, paragraph (2), item (i), (b) of the Act (excluding the case in which the person is a foreign national), and a document pledging that the person does not fall under any of Article 15, paragraph (2), item (i), sub-item (a) or sub-items (c) through (k) of the Act (in the case where the person is a foreign national, sub-items (a) through (k) of that item); 二 変更の届出が新たに会員となった者に係るときは、その者の氏名又は商号若しくは名称及び主たる事務所又は本店の所在地を記載した書面、その者が法第三十一条第一項第各号のいずれにも該当しないことを誓約する書面並びに届出に係る会員商品取引所が開設する一以上の商品市場において法第百五条第一号に掲げる方法により決済を行う場合には会員となった日前三十日以内に様式第一号により作成したその者の純資産額に関する調書 (ii) when the notification of change relates to a person who has newly become a member, a document that states the name or trade name of the person and the location of their principal office or head office, a document pledging that the person does not fall under any of the items of Article 31, paragraph (1) of the Act, and in cases of completing settlement by the method set forth in Article 105, item (i) of the Act at one or more commodity markets which the member commodity exchange related to the notification seeks to open, a record concerning the amount of the net assets of the person which is prepared according to Form No. 1 within 30 days prior to the day when the person became a member; 三 変更の届出が会員が取引をする商品市場における上場商品又は上場商品指数の追加に係る場合であって、法第百五条第一号に掲げる方法により決済を行うときは、変更の届出日前三十日以内に様式第一号により作成したその者の純資産額に関する調書 (iii) when the notification of change relates to the addition of a listed commodity or listed commodity index on a commodity market where a member conducts transactions, and settlement is to be completed by the method set forth in Article 105, item (i) of the Act, a record concerning the amount of the net assets of the person which is prepared according to Form No. 1 within 30 days prior to the day of the notification of a change. (法第三十一条第一項第一号の主務省令で定める者) (Person Prescribed by Order of the Competent Ministry Referred to in Article 31, Paragraph (1), Item (i) of the Act) 第五条 法第三十一条第一項第一号の主務省令で定める者は、精神の機能の障害によりその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 5 A person specified by order of the competent ministry as referred to in Article 31, paragraph (1), item (i) of the Act is to be a person that is unable to adequately carry out the cognition, decision making, and communication necessary for properly performing their duties due to mental impairment. (電磁的記録に記録された事項を表示する方法) (Means of Displaying Information Recorded in Electronic or Magnetic Records) 第六条 次に掲げる規定に規定する主務省令で定める方法は、次に掲げる規定の電磁的記録に記録された事項を紙面又は映像面に表示する方法とする。 Article 6 The means specified by order of the competent ministry as prescribed in the following provisions are the means of displaying the information recorded in an electronic or magnetic records set forth in the following provisions on paper or on a screen: 一 法第五十七条第四項第三号(法第七十七条第二項及び第九十三条第三項において準用する場合を含む。) (i) the provisions of Article 57, paragraph (4), item (iii) of the Act (including as applied mutatis mutandis pursuant to Article 77, paragraph (2) and Article 93, paragraph (3) of the Act); 二 法第六十八条の二第三項第三号 (ii) the provisions of Article 68-2, paragraph (3), item (iii) of the Act; 三 法第九十六条の十四第二項第二号 (iii) the provisions of Article 96-14, paragraph (2), item (ii) of the Act; 四 法第百二十三条第二項第三号 (iv) the provisions of Article 123, paragraph (2), item (iii) of the Act; 五 法第百二十五条第二項第三号 (v) the provisions of Article 125, paragraph (2), item (iii) of the Act; 六 法第百四十四条第二項第三号 (vi) the provisions of Article 144, paragraph (2), item (iii) of the Act; 七 法第百四十四条の二第七項第三号 (vii) the provisions of Article 144-2, paragraph (7), item (iii) of the Act; 八 法第百四十四条の三第二項第三号 (viii) the provisions of Article 144-3, paragraph (2), item (iii) of the Act; 九 法第百四十四条の四第五項第三号 (ix) the provisions of Article 144-4, paragraph (5), item (iii) of the Act; 十 法第百四十四条の五第二項第三号 (x) the provisions of Article 144-5, paragraph (2), item (iii) of the Act; 十一 法第百四十四条の十二第三項第三号 (xi) the provisions of Article 144-12, paragraph (3), item (iii) of the Act; 十二 法第百四十四条の十三第二項第三号 (xii) the provisions of Article 144-13, paragraph (2), item (iii) of the Act; and 十三 法第百四十四条の二十一第三項第三号 (xiii) the provisions of Article 144-21, paragraph (3), item (iii) of the Act. (電磁的記録に記録された情報を提供するための電磁的方法) (Electronic or Magnetic Means of Providing Information in an Electronic or Magnetic Record) 第七条 次に掲げる規定に規定する主務省令で定める電磁的方法は、第二条の三第一項各号に掲げるもののうち、商品取引所が定めるものとする。 Article 7 The electronic or magnetic means specified by order of the competent ministry as prescribed in the following provisions are the means designated by a commodity exchange among those set forth in each item of Article 2-3, paragraph (1): 一 法第五十七条第四項第四号(法第七十七条第二項及び第九十三条第三項において準用する場合を含む。) (i) the provisions of Article 57, paragraph (4), item (iv) of the Act (including as applied mutatis mutandis pursuant to Article 77, paragraph (2) and Article 93, paragraph (3) of the Act); 二 法第六十八条の二第三項第四号 (ii) the provisions of Article 68-2, paragraph (3), item (iv) of the Act; 三 法第百二十三条第二項第四号 (iii) the provisions of Article 123, paragraph (2), item (iv) of the Act; 四 法第百二十五条第二項第四号 (iv) the provisions of Article 125, paragraph (2), item (iv) of the Act; 五 法第百四十四条第二項第四号 (v) the provisions of Article 144, paragraph (2), item (iv) of the Act; 六 法第百四十四条の二第七項第四号 (vi) the provisions of Article 144-2, paragraph (7), item (iv) of the Act; 七 法第百四十四条の三第二項第四号 (vii) the provisions of Article 144-3, paragraph (2), item (iv) of the Act; 八 法第百四十四条の四第五項第四号 (viii) the provisions of Article 144-4, paragraph (5), item (iv) of the Act; 九 法第百四十四条の五第二項第四号 (ix) the provisions of Article 144-5, paragraph (2), item (iv) of the Act; 十 法第百四十四条の十二第三項第四号 (x) the provisions of Article 144-12, paragraph (3), item (iv) of the Act; 十一 法第百四十四条の十三第二項第四号 (xi) the provisions of Article 144-13, paragraph (2), item (iv) of the Act; and 十二 法第百四十四条の二十一第三項第四号 (xii) Article 144-21, paragraph (3), item (iv) of the Act. (法第五十九条第五項の主務省令で定める方法) (Means Specified by Order of the Competent Ministry as Referred to in Article 59, Paragraph (5) of the Act) 第八条 法第五十九条第五項の主務省令で定める方法は、第二条の三第一項第二号に掲げる方法とする。 Article 8 The means specified by order of the competent ministry as referred to in Article 59, paragraph (5) of the Act is the means set forth in Article 2-3, paragraph (1), item (ii). (承諾の手続において示すべき電磁的方法の種類及び内容) (Type and Content of Electronic or Magnetic Means Required to be Indicated in the Procedures for Consent) 第九条 令第五条第一項の規定により示すべき電磁的方法の種類及び内容は、次に掲げる事項とする。 Article 9 The type and content of the electronic or magnetic means required to be indicated pursuant to the provisions of Article 5, paragraph (1) are the following information: 一 第二条の三第一項イ又はロに掲げる方法のうち、送信者が使用するもの (i) means that a sender uses among the means set forth in Article 2-3, paragraph (1), (a) or (b); and 二 ファイルへの記録の方式 (ii) means of recording the information in a file. 第九条の二 法第六十二条の三の規定による会員総会の議事録の作成については、この条の定めるところによる。 Article 9-2 (1) The preparation of the minutes of a general meeting of members pursuant to the provisions of Article 62-3 of the Act is governed by this Article. 2 会員総会の議事録は、書面又は電磁的記録をもって作成しなければならない。 (2) The minutes of a general meeting of members must be prepared in the form of a document or an electronic or magnetic record. 3 会員総会の議事録は、次に掲げる事項を内容とするものでなければならない。 (3) The minutes of a general meeting of members must include the following information: 一 会員総会が開催された日時及び場所(当該場所に存しない理事長、理事、監事又は会員が会員総会に出席をした場合における当該出席の方法を含む。) (i) the date and time on which and the place where the general meeting of members was held (including the method of attendance in the case where the president, director, auditor or a member who was not present at the place attended the general meeting of members); 二 会員総会の議事の経過の要領及びその結果 (ii) the outline and results of the proceedings of the general meeting of members; 三 法第四十八条第三項による監事の意見の概要 (iii) the outline of the auditor's opinions pursuant to Article 48, paragraph (3) of the Act; 四 会員総会に出席した理事長、理事又は監事の氏名 (iv) the names of the president, director, or auditor who attended the general meeting of members; 五 議長の氏名 (v) the name of the chairperson; 六 議事録の作成に係る職務を行った理事長又は理事の氏名 (vi) the name of the president or director who performed the duties concerning the preparation of the minutes. (会計慣行のしん酌) (Consideration of Accounting Practices) 第十条 次条から第二十六条までの規定の用語の解釈及び規定の適用に関しては、一般に公正妥当と認められる企業会計の基準その他の企業会計の慣行をしん酌しなければならない。 Article 10 With regard to the interpretation of terms set forth in the provisions of the following Article through Article 26 and the application of the provisions, generally accepted corporate accounting standards and other corporate accounting practices must be taken into consideration. (決算関係書類等の記載事項等) (Matters to be Stated in Settlement Related Documents) 第十条の二 法第六十六条第一項の決算関係書類等については、次条から第二十条までに定めるところによる。 Article 10-2 The settlement related documents, etc. referred to in Article 66, paragraph (1) of the Act are as specified in the provisions of the following Article through Article 20. (貸借対照表の原則) (Principles of Balance Sheets) 第十一条 貸借対照表は、会員商品取引所の財産状態を明らかにするため、事業年度の終わりにおけるすべての資産、負債及び純資産を記載し、又は記録し、会員その他の利害関係者にこれを正しく表示するものでなければならない。 Article 11 A balance sheet must, for the purpose of clarifying the financial condition of a member commodity exchange, state or record the entire assets, liabilities, and net assets of the member commodity exchange at the end of each business year, and accurately show the information to members and any other interested party. (貸借対照表の様式) (Format of Balance Sheets) 第十二条 貸借対照表の様式は、勘定式によるものとする。 Article 12 The balance sheet is to be in an account format. (貸借対照表の区分) (Categorization of Balance Sheets) 第十三条 貸借対照表は、次に掲げる部に区分して表示しなければならない。ただし、必要がある場合には、純資産の部の名称として、出資の部の名称を用いることができる。 Article 13 (1) A balance sheet must indicate the values by categorizing them into the following sections; provided, however, that the title of the contribution section may be used as the title of the net assets section, if necessary: 一 資産 (i) assets section; 二 負債 (ii) liabilities section; and 三 純資産 (iii) net assets section. 2 資産の部又は負債の部の各項目は、当該項目に係る資産又は負債を示す適当な名称を付さなければならない。 (2) Each item in the assets section or the liabilities section must be given appropriate titles that indicate the assets or liabilities concerning that item. (資産の部の区分) (Categorization of Assets Section) 第十四条 資産の部は、次に掲げる項目に区分しなければならない。この場合において、各項目(第二号に掲げる項目を除く。)は、適当な項目に細分しなければならない。 Article 14 (1) The assets section must be categorized into the following items. In this case, each item (excluding the item set forth in item (ii)) must be subdivided into appropriate sub-items: 一 流動資産 (i) current assets; 二 固定資産 (ii) fixed assets; and 三 繰延資産 (iii) deferred assets. 2 固定資産に係る項目は、次に掲げる項目に区分しなければならない。この場合において、各項目は、適当な項目に細分しなければならない。 (2) The item for fixed assets must be categorized into the following sub-items. In this case, each sub-item must be subdivided into appropriate sub sub-items: 一 有形固定資産 (i) tangible fixed assets; 二 無形固定資産 (ii) intangible fixed assets; and 三 投資その他の資産 (iii) investments and other assets. 3 次の各号に掲げる資産は、当該各号に定めるものに属するものとする。 (3) The assets set forth in the following items are to belong to those specified in those items: 一 次に掲げる資産 流動資産 (i) the following assets: current assets: イ 現金及び預金(一年内に期限の到来しない預金を除く。) (a) cash and cash in bank (excluding cash in bank whose maturity date does not fall within a year); ロ 受取手形(通常の取引(会員商品取引所の事業目的のための営業活動において、経常的に又は短期間に循環して発生する取引をいう。以下この条から第十六条の八までにおいて同じ。)に基づいて発生した手形債権(破産更生債権等(破産債権、再生債権、更生債権その他これらに準ずる債権をいう。以下この号において同じ。)で一年内に弁済を受けることができないことが明らかなものを除く。)をいう。) (b) bills receivable (meaning bill claims (excluding bankruptcy or reorganization claims, etc. (meaning bankruptcy claims, rehabilitation claims or reorganization claims or other equivalent claims; hereinafter the same applies in this item) for which it is clear that payment may not be received within a year) generated based on ordinary transactions (meaning transactions generated currently or within a short term cycle in operating activities for the business of a member commodity exchange; hereinafter the same applies in this Article through Article 16-8)); ハ 売掛金(通常の取引に基づいて発生した事業上の未収金(当該未収金に係る債権が破産更生債権等で一年内に弁済を受けることができないことが明らかなものである場合における当該未収金を除く。)をいう。) (c) accounts receivable (meaning the business accounts due (excluding the accounts due in the case where claims related to those accounts due are bankruptcy or reorganization claims, etc. for which it is clear that payment may not be received within a year) generated based on ordinary transactions); ニ 所有権移転ファイナンス・リース取引におけるリース債権(破産更生債権等で一年内に回収されないことが明らかなものを除く。)のうち、通常の取引に基づいて発生したもの及び通常の取引以外の取引に基づいて発生したもので一年内に期限が到来するもの (d) lease claims (excluding bankruptcy or reorganization claims, etc. for which it is clear that collection may not be made within a year) in ownership-transfer finance lease transactions, which were generated based on ordinary transactions, or which were generated based on transactions other than ordinary transactions and whose due date falls within a year; ホ 所有権移転外ファイナンス・リース取引におけるリース投資資産(破産更生債権等で一年内に回収されないことが明らかなものを除く。)のうち、通常の取引に基づいて発生したもの及び通常の取引以外の取引に基づいて発生したもので一年内に期限が到来するもの (e) lease investment assets (excluding bankruptcy or reorganization claims, etc. for which it is clear that collection may not be made within a year) in non-ownership-transfer finance lease transactions, which were generated based on ordinary transactions, or which were generated based on transactions other than ordinary transactions and whose due date falls within a year; ヘ 売買目的有価証券及び一年内に満期の到来する有価証券 (f) trading securities and securities whose maturity date falls within a year; ト 商品(販売の目的をもって所有する土地、建物その他の不動産を含む。) (g) commodities (including land, buildings, and other real properties owned for the purpose of sale); チ 製品、副産物及び作業くず (h) products, byproducts, and scrap; リ 半製品(自製部分品を含む。) (i) semi-finished products (including self-made parts); ヌ 原料及び材料(購入部分品を含む。) (j) raw materials and materials (including purchased parts); ル 仕掛品及び半成工事 (k) work in progress and partly-finished work; ヲ 消耗品、消耗工具、器具及び備品その他の貯蔵品であって、相当な価額以上のもの (l) consumable goods, consumable tools, appliances, fixtures, and other stored goods whose value is over a certain amount; ワ 前渡金(商品及び原材料(これらに準ずるものを含む。)の購入のための前渡金(当該前渡金に係る債権が破産更生債権等で一年内に弁済を受けることができないことが明らかなものである場合における当該前渡金を除く。)をいう。) (m) advance payment (meaning advance payment (excluding advance payment in the case where claims related to the advance payment are those for which it is clear that payment may not be received within a year) for purchasing commodities and raw materials (including those equivalent to them); カ 前払費用であって、一年内に費用となるべきもの (n) prepaid expenses which will become expenses within a year; ヨ 未収収益 (o) accrued income; and タ その他の資産であって、一年内に現金化することができると認められるもの (p) other assets which are recognized as to be cashed within a year; 二 次に掲げる資産(ただし、イからチまでに掲げる資産については、事業の用に供するものに限る。) 有形固定資産 (ii) the following assets (provided, however, that, for the assets set forth in sub-items (a) through (h), limited to those to be used for business): tangible fixed assets: イ 建物及び暖房、照明、通風等の付属設備 (a) buildings and annexed equipment such as for heating, lighting, and ventilation; ロ 構築物(ドック、橋、岸壁、さん橋、軌道、貯水池、坑道、煙突その他土地に定着する土木設備又は工作物をいう。) (b) constructions (meaning docks, bridges, quays, piers, tracks, reservoirs, tunnels, chimneys and other civil engineering equipment or structures fixed on land); ハ 機械及び装置並びにホイスト、コンベヤー、起重機等の搬送設備その他の付属設備 (c) machinery, equipment, and transportation equipment such as hoists, conveyors, cranes, and other annexed equipment; ニ 船舶及び水上運搬具 (d) ships and water delivery equipment; ホ 鉄道車両、自動車その他の陸上運搬具 (e) railway vehicles, automobiles, and other land delivery equipment; ヘ 工具、器具及び備品(耐用年数が一年以上のものに限る。) (f) tools, appliances, and fixtures (limited to those with a lifespan of one year or more); ト 土地 (g) land; チ リース資産(当該会社がファイナンス・リース取引におけるリース物件の借主である場合における当該リース物件をいう。以下同じ。)であって、イからトまで及びヌに掲げる物件に該当するもの (h) lease assets (meaning leased property in cases where the company is the lessee of the leased property in finance lease transactions; the same applies hereinafter) which falls under the articles set forth in sub-items (a) through (g) and sub-item (j); リ 建設仮勘定(イからトまでに掲げる資産で事業の用に供するものを建設した場合における支出及び当該建設の目的のために充当した材料をいう。) (i) construction in progress (meaning expenses for the construction of assets set forth in sub-items (a) through (g) which are to be used for business, and materials appropriated for the purpose of the construction); and ヌ その他の有形資産であって、有形固定資産に属する資産とすべきもの (j) other tangible assets which are to be categorized as assets belonging to tangible fixed assets; 三 次に掲げる資産 無形固定資産 (iii) the following assets: intangible fixed assets: イ 特許権 (a) patent rights; ロ 借地権(地上権を含む。) (b) land leasehold rights (including surface rights); ハ 商標権 (c) trademark rights; ニ 実用新案権 (d) utility model rights; ホ 意匠権 (e) design rights; ヘ 鉱業権 (f) mining rights; ト 漁業権(入漁権を含む。) (g) fishery rights (including piscary); チ ソフトウェア (h) software; リ のれん (i) goodwill; ヌ リース資産であって、イからチまで及びルに掲げる物件に該当するもの (j) lease assets which fall under the articles set forth in sub-items (a) through (h) and sub-item (k); and ル その他の無形資産であって、無形固定資産に属する資産とすべきもの (k) other intangible assets which are to be categorized as assets belonging to intangible fixed assets; 四 次に掲げる資産 投資その他の資産 (iv) the following assets: investments and other assets: イ 関係会社(会社計算規則(平成十八年法務省令第十三号)第二条第三項第二十二号の関係会社をいう。第十六条の六において同じ。)の株式(売買目的有価証券に該当する株式を除く。以下同じ。)その他流動資産に属しない有価証券 (a) shares (excluding shares falling under trading securities; the same applies hereinafter) of affiliated companies (meaning affiliated companies referred to in Article 2, paragraph (3), item (xxii) of the Regulations on Corporate Accounting (Order of the Ministry of Justice No. 13 of 2006); the same applies in Article 16-6) and securities that do not belong to current assets; ロ 出資金 (b) contribution; ハ 長期貸付金 (c) long-term loans; ニ 繰延税金資産 (d) deferred tax assets: ホ 所有権移転ファイナンス・リース取引におけるリース債権のうち第一号ニに掲げるもの以外のもの (e) lease claims in ownership-transfer finance lease transactions which are not those set forth in item (i), (d); ヘ 所有権移転外ファイナンス・リース取引におけるリース投資資産のうち第一号ホに掲げるもの以外のもの (f) lease investment assets in non-ownership-transfer finance lease transactions which are not those set forth in item (i), (e); ト その他の資産であって、投資その他の資産に属する資産とすべきもの (g) other assets which are to be categorized as assets belonging to investments and other assets; チ その他の資産であって、流動資産、有形固定資産、無形固定資産又は繰延資産に属しないもの (h) other assets which do not belong to current assets, tangible fixed assets, intangible fixed assets, or deferred tax assets; 五 繰延資産として計上することが適当であると認められるもの 繰延資産 (v) those recognized as being appropriate to be recorded as deferred assets: deferred assets. 4 前項に規定する「一年内」とは、次の各号に掲げる貸借対照表の区分に応じ、当該各号に定める日から起算して一年以内の日をいう(以下この条から第十六条の八までにおいて同じ。)。 (4) The term "within a year" prescribed in the preceding paragraph means any day within a year from the day specified in the following items in accordance with the category of balance sheet set forth in those items (hereinafter the same applies in this Article through Article 16-8): 一 成立の日における貸借対照表 会員商品取引所の成立の日 (i) the balance sheet on the day of establishment: the day of the establishment of a member commodity exchange; 二 事業年度に係る貸借対照表 事業年度の末日(事業年度の末日以外の日において評価すべき場合にあっては、その日。以下同じ。)の翌日 (ii) the balance sheet related to a business year: the day following the last day of the business year (in the case where assets are to be valued on a day other than the last day of the business year, that day; the same applies hereinafter). (負債の部の区分) (Categorization of the Liabilities Section) 第十五条 負債の部は、次に掲げる項目に区分しなければならない。この場合において、各項目は、適当な項目に細分しなければならない。 Article 15 (1) The liabilities section must be categorized into the following items. In this case, the items must be subdivided into appropriate sub-items: 一 流動負債 (i) current liabilities; and 二 固定負債 (ii) fixed liabilities. 2 次の各号に掲げる負債は、当該各号に定めるものに属するものとする。 (2) Liabilities set forth in the following items are to belong to those specified in those items: 一 次に掲げる負債 流動負債 (i) the following liabilities: current liabilities: イ 支払手形(通常の取引に基づいて発生した手形債務をいう。) (a) bills payable (meaning bill debts generated based on ordinary transactions); ロ 買掛金(通常の取引に基づいて発生した事業上の未払金をいう。) (b) accounts payable (meaning business arrears arising out of ordinary transactions); ハ 前受金(受注工事、受注品等に対する前受金をいう。) (c) advances received (meaning advances received for construction orders, ordered goods, etc.); ニ 引当金(資産に係る引当金及び一年内に使用されないと認められるものを除く。) (d) allowances (excluding allowances related to assets and those recognized as not to be used within a year); ホ 通常の取引に関連して発生する未払金又は預り金で一般の取引慣行として発生後短期間に支払われるもの (e) arrears or deposits received arising out of ordinary transactions which are, as a general business practice, to be paid within a short term after it has arisen; ヘ 未払費用 (f) accrued expenses; ト 前受収益 (g) deferred revenue; チ ファイナンス・リース取引におけるリース債務のうち、一年内に期限が到来するもの (h) lease debts in finance lease transactions whose due date falls within a year; リ 資産除去債務のうち、一年内に履行されると認められるもの (i) asset retirement obligations which are recognized as to be performed within a year; ヌ その他の負債であって、一年内に支払われ、又は返済されると認められるもの (j) other liabilities which are recognized as to be paid or repaid within a year; 二 次に掲げる負債 固定負債 (ii) the following liabilities: fixed liabilities: イ 社債 (a) bonds payable; ロ 長期借入金 (b) long-term debts; ハ 引当金(資産に係る引当金及び前号ニに掲げる引当金を除く。) (c) allowances (excluding allowances related to assets and those set forth in (d) of the preceding item); ニ 繰延税金負債 (d) deferred tax liabilities: ホ のれん (e) goodwill; ヘ ファイナンス・リース取引におけるリース債務のうち、前号リに掲げるもの以外のもの (f) lease debts in finance lease transactions which are not those set forth in (i) of the preceding item; ト 資産除去債務のうち、前号ヌに掲げるもの以外のもの (g) asset retirement obligations which are not those set forth in (j) of the preceding item; チ その他の負債であって、流動負債に属しないもの (h) other liabilities which do not belong to current liabilities. (純資産の部の区分) (Categorization of the Net Assets Section) 第十六条 純資産の部は、次に掲げる項目に区分しなければならない。ただし、必要がある場合には、会員資本の名称として、会員出資の名称を用いることができる。 Article 16 (1) The net assets section must be categorized into the following items; provided, however, that the title of members' contribution may be used as the title of members' capital: 一 会員資本 (i) members' capital; 二 評価・換算差額等 (ii) valuation or translation difference, etc. 2 会員資本に係る項目は、次に掲げる項目に区分しなければならない。この場合において、各項目は、適当な項目に細分することができる。 (2) The items related to members' capital must be categorized into the following sub-items. In this case, each sub-item may be sub-divided into appropriate sub sub-items: 一 出資金 (i) contribution; 二 加入金 (ii) membership fee; 三 資本剰余金 (iii) capital surplus; 四 法定準備金 (iv) statutory capital; and 五 利益剰余金 (v) accumulated profit. 3 評価・換算差額等に係る項目は、次に掲げる項目その他適当な名称を付した項目に細分しなければならない。 (3) The items related to valuation or translation difference must be sub-divided into the following sub-items and any other sub-items with an appropriate title: 一 その他有価証券評価差額金 (i) other securities valuation difference; 二 繰延ヘッジ損益 (ii) deferred gains and losses on hedges; and 三 土地再評価差額金 (iii) land revaluation differences. (貸倒引当金等の表示) (Indication of Allowances for Bad Debts) 第十六条の二 各資産に係る引当金は、次項の規定による場合のほか、当該各資産の項目に対する控除項目として、貸倒引当金その他当該引当金の設定目的を示す名称を付した項目をもって表示しなければならない。ただし、流動資産、有形固定資産、無形固定資産、投資その他の資産又は繰延資産の区分に応じ、これらの資産に対する控除項目として一括して表示することを妨げない。 Article 16-2 (1) The allowances related to each assets must be indicated as a deduction for the respective assets under sub-items with titles that indicate the purpose of allowances for bad debts and other relevant allowances excluding cases prescribed in the following paragraph; provided, however, that they are not precluded from being indicated collectively as a deduction for the category of current assets, tangible fixed assets, intangible fixed assets, investment, and other assets, or deferred assets. 2 各資産に係る引当金は、当該各資産の金額から直接控除し、その控除残高を当該各資産の金額として表示することができる。 (2) The allowances related to each assets may be deducted directly from the amount of the respective assets, and the outstanding amount of the deduction may be indicated as the amount of those respective assets. (有形固定資産に対する減価償却累計額の表示) (Indication of Accumulated Depreciation for Tangible Fixed Assets) 第十六条の三 各有形固定資産に対する減価償却累計額は、次項の規定による場合のほか、当該各有形固定資産の項目に対する控除項目として、減価償却累計額の項目をもって表示しなければならない。ただし、これらの有形固定資産に対する控除項目として一括して表示することを妨げない。 Article 16-3 (1) The accumulated depreciation for each tangible fixed assets must be indicated as a deduction for the respective tangible fixed assets under the sub-item of accumulated depreciation excluding cases prescribed in the following paragraph; provided, however, that they are not precluded from being indicated collectively as a deduction for those tangible fixed assets. 2 各有形固定資産に対する減価償却累計額は、当該各有形固定資産の金額から直接控除し、その控除残高を当該各有形固定資産の金額として表示することができる。 (2) The accumulated depreciation for each tangible assets may be deducted directly from the amount of the respective tangible assets and the outstanding amount of the deduction, and may be indicated as the amount of those respective tangible assets. (有形固定資産に対する減損損失累計額の表示) (Indication of Accumulated Impairment Loss on Tangible Fixed Assets) 第十六条の四 各有形固定資産に対する減損損失累計額は、次項及び第三項の規定による場合のほか、当該各有形固定資産の金額(前条第二項の規定により有形固定資産に対する減価償却累計額を当該有形固定資産の金額から直接控除しているときは、その控除後の金額)から直接控除し、その控除残高を当該各有形固定資産の金額として表示しなければならない。 Article 16-4 (1) The accumulated impairment loss on each tangible fixed assets must be deducted directly from the amount of the respective tangible fixed assets (in the case where accumulated depreciation for tangible fixed assets is deducted directly from the amount of the tangible fixed assets pursuant to the provisions of paragraph (2) of the preceding Article, the amount after deduction) and the outstanding amount of the deduction must be indicated as the amount of the respective tangible fixed assets, excluding cases prescribed in the following paragraph and paragraph (3). 2 減価償却を行う各有形固定資産に対する減損損失累計額は、当該各有形固定資産の項目に対する控除項目として、減損損失累計額の項目をもって表示することができる。ただし、これらの有形固定資産に対する控除項目として一括して表示することを妨げない。 (2) The accumulated impairment loss on each tangible fixed assets for which depreciation is carried out may be indicated as a deduction for the respective tangible fixed assets under the sub-item of accumulated impairment loss; provided, however, that they are not precluded from being indicated collectively as the deduction for those tangible fixed assets. 3 前条第一項及び前項の規定により減価償却累計額及び減損損失累計額を控除項目として表示する場合には、減損損失累計額を減価償却累計額に合算して、減価償却累計額の項目をもって表示することができる。 (3) In indicating accumulated depreciation and accumulated impairment loss as deductions pursuant to the provisions of paragraph (1) of the preceding Article and the preceding paragraph, the accumulated impairment loss may be added to the accumulated depreciation and indicate the amount under the sub-item of accumulated depreciation. (無形固定資産の表示) (Indication of Intangible Fixed Assets) 第十六条の五 各無形固定資産に対する減価償却累計額及び減損損失累計額は、当該各無形固定資産の金額から直接控除し、その控除残高を当該各無形固定資産の金額として表示しなければならない。 Article 16-5 The accumulated depreciation and accumulated impairment loss on each intangible fixed assets must be deducted directly from the amount of the respective intangible assets, and the outstanding amount of the deduction must be indicated as the amount of those respective intangible fixed assets. (関係会社株式等の表示) (Indication of Shares of Affiliated Companies) 第十六条の六 関係会社の株式又は出資金は、関係会社株式又は関係会社出資金の項目をもって別に表示しなければならない。 Article 16-6 The shares or the contribution of affiliated companies must be indicated separately under the sub-items of shares or contribution of affiliated companies. (繰延税金資産等の表示) (Indication of Deferred Tax Assets) 第十六条の七 繰延税金資産の金額及び繰延税金負債の金額については、その差額のみを繰延税金資産又は繰延税金負債として固定資産又は固定負債に表示しなければならない。 Article 16-7 With regard to the amount of deferred tax assets and the amount of deferred tax liabilities, only the difference must be indicated as deferred tax assets or deferred tax liabilities under fixed assets or fixed liabilities. (繰延資産の表示) (Indication of Deferred Assets) 第十六条の八 各繰延資産に対する償却累計額は、当該各繰延資産の金額から直接控除し、その控除残高を各繰延資産の金額として表示しなければならない。 Article 16-8 The accumulated depreciation of each deferred assets must be deducted directly from the amount of the respective deferred assets, and the outstanding amount of the deduction must be indicated as the amount of those respective deferred assets. (損益計算書の原則) (Principles of Profit and Loss Statements) 第十七条 損益計算書は、会員商品取引所の収支状況を明らかにするため、一会計期間に属するすべての収入とすべての支出とを記載し、又は記録し、会員その他の利害関係者にこれを正しく表示するものでなければならない。 Article 17 Profit and loss statements must, for the purpose of clarifying the status of the profit and loss of a member commodity exchange, state or record the entire profit and loss in a single accounting period, and accurately show the information to members and any other interested party. 第十八条 削除 Article 18 Deleted (損益計算書の区分等) (Categorization of Profit and Loss Statements) 第十九条 損益計算書には収入の部及び支出の部を設け、収入にあってはその性質、支出にあってはその目的に従って、適当な名称を付した科目に細分しなければならない。 Article 19 (1) Profit and loss statements must have sections for income and expenditure, and the sections must be subdivided into sub-items with appropriate titles according to the characteristics of the income for income and according to the purpose of the expenditure for expenditure. 2 前項の支出の部には、当期剰余金又は当期損失金を記載し、又は記録しなければならない。 (2) In the expenditure section referred to in the preceding paragraph, the surplus or loss for the term must be included or recorded. (業務報告書) (Business Reports) 第二十条 業務報告書には、次に掲げる事項その他の会員商品取引所の業務に関する重要な事項を記載し、又は記録しなければならない。 Article 20 Business reports must state or record the following information and any other important information concerning the business of a member commodity exchange: 一 業務の概要 (i) an outline of the business; 二 取引及び市況の概要 (ii) an outline of transactions and market conditions; 三 会議の概要 (iii) an outline of the meetings; and 四 会員に関する事項 (iv) information concerning members. (会計帳簿の作成) (Preparation of Accounting Books) 第二十一条 会員商品取引所は、次項及び次条から第二十六条までに規定するところにより、適時に、正確な会計帳簿を作成しなければならない。 Article 21 (1) A member commodity exchange must prepare accurate accounting books on a timely basis pursuant to the provisions of the following paragraph, and the following Article through Article 26. 2 会計帳簿は、書面又は電磁的記録をもって作成しなければならない。 (2) Accounting books must be prepared in the form of a document or an electronic or magnetic record. (資産の評価) (Valuation of Assets) 第二十二条 資産については、この省令又は法以外の法令に別段の定めがある場合を除き、会計帳簿にその取得価額を付さなければならない。 Article 22 (1) With regard to the assets, the acquisition cost must be recorded in accounting books, excluding the cases where special provisions exist in laws and regulations other than this Order or the Act. 2 償却すべき資産については、事業年度の末日において、相当の償却をしなければならない。 (2) The assets required to be depreciated, must be reasonably depreciated on the last day of a business year. 3 次の各号に掲げる資産については、事業年度の末日において当該各号に定める価格を付すべき場合には、当該各号に定める価格を付さなければならない。 (3) With regard to the assets set forth in the following items, the price specified in each item must be indicated if price is required to be indicated on the last day of a business year: 一 事業年度の末日における時価がその時の取得原価より著しく低い資産(当該資産の時価がその時の取得原価まで回復すると認められるものを除く。) 事業年度の末日における時価 (i) assets whose market value on the last day of a business year is considerably lower than the acquisition cost at that time (excluding the assets whose current market price is found to be likely to recover to the level of the acquisition cost at that time): the market value on the last day of the business year; and 二 事業年度の末日において予測することができない減損が生じた資産又は減損損失を認識すべき資産 その時の取得原価から相当の減額をした額 (ii) assets for which unpredictable loss was incurred or impairment loss should be recognized on the last day of the business year: amount obtained by deducting a reasonable amount from the acquisition cost at that time. 4 取立不能のおそれのある債権については、事業年度の末日においてその時に取り立てることができないと見込まれる額を控除しなければならない。 (4) With regard to claims that are likely to be uncollectible, the amount that is expected to be uncollectible on the last day of a business year must be deducted on that day. 5 債権については、その取得価額が債権金額と異なる場合その他相当の理由がある場合には、適正な価格を付すことができる。 (5) With regard to claims, an appropriate price may be indicated in the case where its acquisition cost is different from the amount of claims or where there are other reasonable grounds. 6 次に掲げる資産については、事業年度の末日においてその時の時価又は適正な価格を付すことができる。 (6) With regard to the following assets, the market value or appropriate price on the last day of a business year may be indicated: 一 事業年度の末日における時価がその時の取得原価より低い資産 (i) assets whose market value on the last day of a business year is lower than the acquisition cost at that time; 二 市場価格のある資産(子会社(財務諸表等規則第八条第三項に規定する子会社をいう。)及び関連会社(同条第五項に規定する関連会社をいう。以下同じ。)の株式並びに満期保有目的の債券を除く。) (ii) assets which have market price (excluding shares of subsidiary companies (meaning subsidiary companies prescribed in Article 8, paragraph (3) of the Regulation for Financial Statements) and affiliated companies (meaning affiliated companies prescribed in paragraph (5) of that Article) and bonds held to maturity); 三 前二号に掲げる資産のほか、事業年度の末日においてその時の時価又は適正な価格を付すことが適当な資産 (iii) in addition to the assets set forth in the preceding two items, assets for which it is appropriate to indicate the market value or appropriate price on the last day of a business year. (負債の評価) (Valuation of Liabilities) 第二十三条 負債については、この省令又は法以外の法令に別段の定めがある場合を除き、会計帳簿に債務額を付さなければならない。 Article 23 (1) With regard to liabilities, the amount of liabilities must be recorded in accounting books, excluding the case where special provisions exist in laws and regulations other than this Order or the Act. 2 次に掲げる負債については、事業年度の末日においてその時の時価又は適正な価格を付すことができる。 (2) With regard to the following liabilities, the market value or appropriate price on the last day of a business year may be indicated: 一 次に掲げるもののほか将来の費用又は損失(収益の控除を含む。以下この号において同じ。)の発生に備えて、その合理的な見積額のうち当該事業年度の負担に属する金額を費用又は損失として繰り入れることにより計上すべき引当金(会員に対して役務を提供する場合において計上すべき引当金を含む。) (i) in addition to the following reserves, the reserves that should be recorded (including reserves that should be recorded in cases of providing services to members) by carrying over the amount to be borne for the business year as expenses or losses among the reasonably estimated amount in preparation for future expenses or losses (including the deduction of profit; hereinafter the same applies in this item): イ 退職給付引当金(使用人が退職した後に当該使用人に退職一時金、退職年金その他これらに類する財産の支給をする場合における事業年度の末日において繰り入れるべき引当金をいう。) (a) reserves for retirement benefits (meaning reserves to be carried over on the last day of a business year in the case where retirement lump-sum grants, retirement pension, and other similar benefits are paid to an employee after they have retired); ロ 返品調整引当金(常時、販売するたな卸資産につき、当該販売の際の価額による買戻しに係る特約を結んでいる場合における事業年度の末日において繰り入れるべき引当金をいう。) (b) reserves for loss on for returned goods (meaning reserves to be carried over on the last day of a business year in the case where there is a special arrangement related to a buyback for the price at the time of selling, with regard to inventories for sale, at all times); 二 払込みを受けた金額が債務額と異なる社債 (ii) bonds which received payment of an amount different from the amount of liabilities; 三 前二号に掲げる負債のほか、事業年度の末日においてその時の時価又は適正な価格を付すことが適当な負債 (iii) in addition to the liabilities set forth in the preceding two items, liabilities for which it is appropriate to indicate the market value or appropriate price on the last day of a business year. (出資金の額) (The Amount of Contribution) 第二十四条 会員商品取引所の出資金の額は、第六十条の六及び第六十条の七並びに第六十条の九から第六十条の十二までの規定に定めるところのほか、次の各号に掲げる場合に限り、当該各号に定める額の範囲内で会員商品取引所が出資金の額に計上するものと定めた額が増加するものとする。 Article 24 (1) In addition to what is specified in the provisions of Article 60-6, Article 60-7, and Articles 60-9 through 60-12, the amount of the contribution of a member commodity exchange is increased by the amount which the member commodity exchange has determined to record in the amount of the contribution within the scope of amount specified in the following items, limited to the cases set forth in those items: 一 会員が出資の履行をした場合(履行をした出資に係る次号の債権が資産として計上されていた場合を除く。) イ及びロに掲げる額の合計額からハに掲げる額の合計額を減じて得た額(零未満である場合にあっては、零) (i) in cases where a member has made the contribution (excluding cases in which the claim set forth in the following item related to the contribution made has been recorded as assets): the amount obtained by subtracting the sum of the amount set forth in (c) from the sum of the amounts set forth in (a) and (b) (zero, if the obtained amount is less than zero): イ 当該会員が履行した出資により会員商品取引所に対し払込み又は給付がされた財産(当該財産がロに規定する財産に該当する場合における当該財産を除く。)の価額 (a) the value of the property (in cases where the property falls under the property prescribed in (b), excluding the property) which was paid or provided to a member commodity exchange using the contribution made by that member; ロ 当該会員が履行した出資により会員商品取引所に対し払込み又は給付がされた財産(当該財産の会員商品取引所における帳簿価額(当該帳簿価額が適正でない場合にあっては、適正な価額をいう。以下同じ。)として、当該財産の払込み又は給付をした者における当該払込み又は給付の直前の帳簿価額を付すべき場合における当該財産に限る。)の払込み又は給付をした者における当該払込み又は給付の直前の帳簿価額の合計額 (b) the sum of the book value immediately prior to the payment or provision by a person who paid for or provided the property (limited to the property, in cases where the book value immediately prior to the payment or provision by a person who paid for or provided the property as the book value at the member commodity exchange of that property (the appropriate value in cases where that book value is not appropriate; the same applies hereinafter) are required to be indicated) which was paid for or provided to a member commodity exchange using the contribution made by that member; ハ 当該出資の履行の受領に係る費用の額のうち、会員商品取引所が出資金又は資本剰余金から減ずるべき額と定めた額 (c) among the amount of the expenses related to the acceptance of the contribution made, the amount which a member commodity exchange determined to be subtracted from the contribution or the capital surplus; 二 会員商品取引所が会員に対して出資の履行をすべきことを請求する権利に係る債権を資産として計上することと定めた場合 当該債権の価額 (ii) in cases where a member commodity exchange determined to record as assets the claim related to the right to request a member to make a contribution: the value of that claim; 三 会員商品取引所が資本剰余金の額の全部又は一部を出資金の額とするものと定めた場合 当該資本剰余金の額 (iii) in cases where a member commodity exchange determined that all or some of the amount of capital surplus to be the amount of the contribution: the amount of the capital surplus. 2 会員商品取引所の出資金の額は、次の各号に掲げる場合に限り、当該各号に定める額が減少するものとする。 (2) The amount of the contribution of a member commodity exchange is to be reduced by the amount set forth in the following items, limited to the cases set forth in those items: 一 会員商品取引所が脱退する会員に対して持分の払戻しをする場合 当該脱退する会員の出資につき出資金の額に計上されていた額 (i) in cases where a member commodity exchange repays the equity interest to a withdrawing member: the amount recorded in the amount of the contribution for the contribution by the withdrawing member; 二 会員商品取引所が会員に対して出資の払戻しをする場合 当該出資の払戻しにより払戻しをする出資の価額の範囲内で、出資金の額から減ずるべき額と定めた額(当該会員の出資につき出資金の額に計上されていた額以下の額に限る。) (ii) in cases where a member commodity exchange repays the contribution to a member: the amount determined to be reduced from the amount of the contribution within the scope of the value of the contribution to be repaid by the repayment of the contribution (limited to an amount less than that recorded in the amount of the contribution for the contribution by the member); 三 会員商品取引所が資産として計上している前項第二号の債権を資産として計上しないことと定めた場合 当該債権につき出資金に計上されていた額 (iii) in cases where a member commodity exchange determined not to record as assets the claim set forth in item (ii) of the preceding paragraph that has been recorded as assets: the amount that has been recorded in the contribution for the claim; 四 会員商品取引所が出資金の額の全部又は一部を資本剰余金の額とするものと定めた場合 当該資本剰余金の額とするものと定めた額に相当する額 (iv) in cases where a member commodity exchange determined all or part of the contribution to be the amount of the capital surplus: the amount equivalent to the amount determined to be the capital surplus; 五 損失のてん補に充てる場合 会員商品取引所が出資金の額の範囲内で損失のてん補に充てるものとして定めた額 (v) in cases of appropriating as compensation for loss: the amount which a member commodity exchange determined to appropriate as compensation for loss within the scope of the amount of the contribution. (資本剰余金の額) (Amount of Capital Surplus) 第二十五条 会員商品取引所の資本剰余金の額は、第六十条の六及び第六十条の七並びに第六十条の九から第六十条の十二までの規定に定めるところのほか、次の各号に掲げる場合に限り、当該各号に定める額が増加するものとする。 Article 25 (1) With regard to the amount of the capital surplus of a member commodity exchange, the amount specified in the following items are to increase limited to the cases set forth in those items, in addition to what is specified in the provisions of Article 60-6, Article 60-7, and Articles 60-9 through 60-12: 一 会員が出資の履行をした場合(履行をした出資に係る次号の債権が資産として計上されていた場合を除く。) イに掲げる額からロに掲げる額を減じて得た額 (i) in cases where a member has made a contribution (excluding cases where the claim set forth in the following item related to the contribution made has been recorded as assets): the amount obtained by deducting the amount set forth in (b) from the amount set forth in (a): イ 前条第一項第一号イ及びロに掲げる額の合計額からハに掲げる額を減じて得た額 (a) the amount obtained by deducting the amount set forth in (c) from the sum of the amounts set forth in (a) and (b) of paragraph (1), item (i) of the preceding Article; ロ 当該出資の履行に際して出資金の額に計上した額 (b) the amount recorded in the amount of the contribution upon the making the contribution; 二 会員商品取引所が会員に対して出資の履行をすべきことを請求する権利に係る債権を資産として計上することと定めた場合 イに掲げる額からロに掲げる額を減じて得た額 (ii) in case where a member commodity exchange determined to record as assets the claim related to the right to request a member to make a contribution: the amount obtained by reducing the amount set forth in (b) from the amount set forth in (a); イ 前条第一項第二号に定める額 (a) the amount specified in paragraph (1), item (ii) of the preceding Article; ロ 当該決定に際して出資金の額に計上した額 (b) the amount recorded in the amount of the contribution upon the determination; 三 会員商品取引所が出資金の額の全部又は一部を資本剰余金の額とするものと定めた場合 当該資本剰余金の額とするものと定めた額 (iii) in cases where a member commodity exchange determined that all or some of the amount of contribution to be the amount of the capital surplus: the amount determined to be the amount of the capital surplus; 四 損失のてん補に充てる場合 会員商品取引所が出資金の額の範囲内で損失のてん補に充てるものとして定めた額 (iv) in cases of appropriating as compensation for loss: the amount which a member commodity exchange determined to appropriate as compensation for the loss within the scope of the amount of contribution; 五 その他資本剰余金の額を増加させることが適切な場合 適切な額 (v) in other cases where it is appropriate to increase the amount of capital surplus: the appropriate amount. 2 会員商品取引所の資本剰余金の額は、次の各号に掲げる場合に限り、当該各号に定める額が減少するものとする。 (2) The amount of the capital surplus of a member commodity exchange is to be reduced by the amount set forth in the following items, limited to the cases set forth in those items: 一 会員商品取引所が脱退する会員に対して持分の払戻しをする場合 当該脱退する会員の出資につき資本剰余金の額に計上されていた額 (i) in cases where a member commodity exchange repays the equity interest to a withdrawing member: the amount recorded in the amount of the capital surplus for the contribution by the withdrawing member; 二 会員商品取引所が会員に対して出資の払戻しをする場合 当該出資の払戻しにより払戻しをする出資の価額から当該出資の払戻しをする場合において前条第二項の規定により出資金の額を減少する額を減じて得た額 (ii) in cases where a member commodity exchange repays the contribution to a member: the amount obtained by deducting the amount to be reduced from the amount of the contribution pursuant to the provisions of paragraph (2) of the preceding Article in cases of repaying the contribution from the value of the contribution to be repaid by the repayment of that contribution; 三 会員商品取引所が資産として計上している前項第二号の債権を資産として計上しないことと定めた場合 当該債権につき資本剰余金に計上されていた額 (iii) in cases where a member commodity exchange determined not to record as assets the claim set forth in item (ii) of the preceding paragraph that have been recorded as assets: the amount that have been recorded in the capital surplus for the claim; 四 会員商品取引所が資本剰余金の額の全部又は一部を出資金の額とするものと定めた場合 当該出資金の額とするものと定めた額に相当する額 (iv) in cases where a member commodity exchange determined that all or some of the amount of capital surplus to be the amount of contribution: the amount equivalent to the amount determined to be the contribution; and 五 その他資本剰余金の額を減少させることが適切な場合 適切な額 (v) in other cases where it is appropriate to decrease the amount of the capital surplus: the appropriate amount. (利益剰余金の額) (Amount of Accumulated Profit) 第二十六条 会員商品取引所の利益剰余金の額は、第六十条の六及び第六十条の七並びに第六十条の九から第六十条の十二までの規定に定めるところのほか、次の各号に掲げる場合に限り、当該各号に定める額が増加するものとする。 Article 26 (1) The amount of the accumulated profit of a member commodity exchange is to increase by the amount specified in the following items limited to the cases set forth in those items, in addition to what is specified in the provisions of Article 60-6, Article 60-7, and Articles 60-9 through 60-12: 一 当期剰余金額が生じた場合 当該当期剰余金額 (i) in cases where the accumulated profit for the term has been generated: amount of the accumulated profit for the term; 二 会員商品取引所が脱退する会員に対して持分の払戻しをする場合 イに掲げる額からロに掲げる額を減じて得た額(零未満である場合には、零) (ii) in cases where a member commodity exchange repays the equity interest to a withdrawing member: the amount obtained by deducting the amount set forth in (b) from the amount set forth in (a) (zero, if the obtained amount is less than zero): イ 当該持分の払戻しを受けた会員の出資につき出資金及び資本剰余金の額に計上されていた額の合計額 (a) the sum of the amount recorded in the amount of contribution and capital surplus for the contribution by the member who received the repayment of the equity interest; ロ 当該持分の払戻しにより払い戻した財産の帳簿価額 (b) the book value of the property repaid by the repayment of the equity interest; 三 その他利益剰余金の額を増加させることが適切な場合 適切な額 (iii) in other cases where it is appropriate to increase the amount of the accumulated profit: the appropriate amount. 2 会員商品取引所の利益剰余金の額は、次の各号に掲げる場合に限り、当該各号に定める額が減少するものとする。ただし、出資の払戻しにより払い戻した財産の帳簿価額に相当する額は、利益剰余金の額からは控除しないものとする。 (2) The amount of the accumulated profit of a member commodity exchange is to be reduced by the amount set forth in the following items, limited to the cases set forth in those items; provided, however, that the amount equivalent to the book value of the property repaid by the repayment of the contribution is not to be deducted from the amount of the accumulated profit: 一 当期損失金額が生じた場合 当該当期損失金額 (i) in the case loss for the term has been generated: amount of the loss for the term; 二 会員商品取引所が脱退する会員に対して持分の払戻しをする場合 イに掲げる額からロに掲げる額を減じて得た額(零未満である場合には、零) (ii) in cases where a member commodity exchange repays the equity interest to a withdrawing member: the amount obtained by deducting the amount set forth in (b) from the amount set forth in (a) (zero, if the obtained amount is less than zero): イ 当該持分の払戻しにより払い戻した財産の帳簿価額 (a) the book value of the property repaid by the repayment of the equity interest; ロ 当該持分の払戻しを受けた会員の出資につき出資金及び資本剰余金の額に計上されていた額の合計額 (b) the sum of the amount recorded in the amount of contribution and capital surplus for the contribution by the member who received the repayment of the equity interest; 三 会員が出資の履行をする場合(第二十四条第一項第一号イ及びロに掲げる額の合計額が零未満である場合に限る。) 当該合計額 (iii) in cases where a member makes a contribution (limited to cases where the sum of the amount set forth in (a) and (b) of Article 24, paragraph (1), item (i) is less than zero): the total amount; and 四 その他利益剰余金の額を減少させることが適切な場合 適切な額 (iv) in other cases where it is appropriate to decrease the amount of accumulated profit: the appropriate amount. (電磁的記録の備置きに関する特則) (Special Provision on Keeping of Electronic or Magnetic Records) 第二十六条の二 法第六十八条の二第二項に規定する主務省令で定めるものは、会員商品取引所の使用に係る電子計算機を電気通信回線で接続した電子情報処理組織を使用する方法であって、当該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会員商品取引所の主たる事務所又は従たる事務所において使用される電子計算機に備えられたファイルに当該情報を記録する方法とする。 Article 26-2 The means specified by order of the competent ministry as prescribed in Article 68-2, paragraph (2) of the Act are the means of using an electronic data processing system to connect a computer used by a member commodity exchange through a telecommunications line, which is a means of recording the content of the information in a file on the computer into the file on the computer used at the principal office or secondary offices of the member commodity exchange through a telecommunications line. (貸借対照表の公告) (Public Notice of a Balance Sheet) 第二十六条の三 会員商品取引所が法第六十八条の三の規定による公告をする場合には、当期純剰余又は純損失の額を当該公告において明らかにしなければならない。 Article 26-3 In cases where a member commodity exchange gives public notice pursuant to the provisions of Article 68-3 of the Act, it must clarify the amount of the net surplus or net loss for the term in the public notice. (会員商品取引所の合併に係る認可申請) (Application for Authorization of Mergers of Member Commodity Exchanges) 第二十七条 会員商品取引所は、法第七十六条第一項の規定による合併の認可を受けようとするときは、認可申請書に次に掲げる書類を添付して主務大臣に提出するものとする。 Article 27 When a member commodity exchange seeks to obtain authorization for a merger under the provisions of Article 76, paragraph (1) of the Act, it must attach the following documents to a written application for authorization and submit them to the competent minister: 一 合併の理由を記載した書面 (i) a document stating the reasons for the merger; 二 会員総会の議事録 (ii) minutes of a general meeting of members; and 三 直前事業年度の決算関係書類等 (iii) settlement related documents, etc. for the immediately preceding business year. 第二十七条の二 法第七十七条第一項において準用する会社法第四百九十二条第一項の規定により作成すべき財産目録については、この条の定めるところによる。 Article 27-2 (1) An inventory of property required to be prepared pursuant to the provisions of Article 492, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 77, paragraph (1) of the Act is governed by this Article. 2 前項の財産目録に計上すべき財産については、その処分価格を付すことが困難な場合を除き、法第七十七条第一項において準用する会社法第四百七十五条(第一号及び第三号を除く。)に掲げる場合に該当することとなった日における処分価格を付さなければならない。この場合において、法第七十七条第一項において準用する会社法第四百七十五条(第一号及び第三号に係る部分を除く。)の規定により清算をする会員商品取引所の会計帳簿については、財産目録に付された価格を取得価額とみなす。 (2) With regard to the property to be recorded in an inventory of property set forth in the preceding paragraph, its disposal price on the day when the case has fallen under the cases set forth in the provisions of Article 475 (excluding item (i) and item (iii)) of the Companies Act as applied mutatis mutandis pursuant to Article 77, paragraph (1) of the Act must be recorded excluding cases where it is difficult to record the disposal price. In such a case, with regard to the accounting books of a member commodity exchange which is to be liquidated pursuant to the provisions of Article 475 (excluding the part related to items (i) and (iii)) of the Companies Act as applied mutatis mutandis pursuant to Article 77, paragraph (1) of the Act, the price recorded in the inventory of property is deemed to be the acquisition value. 3 第一項の財産目録は、次に掲げる部に区分して表示しなければならない。この場合において、第一号及び第二号に掲げる部は、その内容を示す適当な名称を付した項目に細分することができる。 (3) The inventory of property referred to in paragraph (1) must indicate the values by categorizing them into the following sections. In this case, the sections set forth in items (i) and (ii) may be subdivided into sub-items with an appropriate title showing the contents: 一 資産 (i) assets section; 二 負債 (ii) liabilities section; and 三 正味資産 (iii) net worth section. (清算開始時の貸借対照表) (Balance Sheets at the Start of Liquidation) 第二十七条の三 法第七十七条第一項において準用する会社法第四百九十二条第一項の規定により作成すべき貸借対照表については、この条の定めるところによる。 Article 27-3 (1) A balance sheet required to be prepared pursuant to the provisions of Article 492, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 77, paragraph (1) of the Act is governed by this Article. 2 前項の貸借対照表は、財産目録に基づき作成しなければならない。 (2) The balance sheet referred to in the preceding paragraph must be prepared based on an inventory of property. 3 第一項の貸借対照表は、次に掲げる部に区分して表示しなければならない。この場合において、第一号及び第二号に掲げる部は、その内容を示す適当な名称を付した項目に細分することができる。 (3) The balance sheet referred to in paragraph (1) must indicate the values by categorizing them into the following sections. In this case, the sections set forth in items (i) and (ii) may be subdivided into sub-items with an appropriate title showing the contents: 一 資産 (i) assets section; 二 負債 (ii) liabilities section; and 三 純資産 (iii) net assets section. 4 処分価格を付すことが困難な資産がある場合には、第一項の貸借対照表には、当該資産に係る財産評価の方針を注記しなければならない。 (4) If there are assets whose disposal price is difficult to record, an explanatory note on the policy for property valuation concerning the assets must be indicated in the balance sheet referred to in paragraph (1). (許可の申請書の添付書類) (Documents Attached to a Written Application for a License) 第二十八条 法第七十九条第二項の主務省令で定める書類は、次に掲げるもの(官公署が証明する書類の場合には、許可の申請の日前三月以内に作成されたものに限る。)とする。 Article 28 (1) The documents specified by order of the competent ministry as referred to in Article 79, paragraph (2) of the Act are as follows (in cases of documents certified by a public agency, limited to those prepared within three months prior to the date of filing the application for a license): 一 登記事項証明書 (i) a certificate of the registered information; 二 法第十五条第二項第一号ハからホまで又はリのいずれにも該当しないことを誓約する書面 (ii) a document pledging that the person does not fall under any of the provisions of Article 15, paragraph (2), item (i), sub-items (c) through (e) or sub-item (i) of the Act; 三 次に掲げる場合に応じ、それぞれ次に定める書面 (iii) a document specified as follows in accordance with the cases set forth in each sub-item: イ 役員が外国人である場合 当該役員の住民票の写し等、履歴書及びその者が法第十五条第二項第一号イからルまでのいずれにも該当しないことを誓約する書面 (a) in cases where an officer is a foreign national: a copy of the residence certificate, etc. and the curriculum vitae of the officer, and a document pledging that the person does not fall under any of the provisions of Article 15, paragraph (2), item (i), sub-items (a) through (k) of the Act; ロ 役員が法人である場合 当該役員の登記事項証明書、沿革を記載した書面及び法第十五条第二項第一号ヲに該当しないことを誓約する書面 (b) in cases where an officer is a corporation: a certificate of the registered information of the officer, a document stating the history of the corporation, and a document pledging that the officer does not fall under any of the provisions of Article 15, paragraph (2), item (i), sub-item (l) of the Act; ハ 役員が外国人又は法人でない場合 当該役員の住民票の写し等、履歴書、その者が法第十五条第二項第一号ロに該当しない旨の官公署の証明書並びにその者が同号イ及びハからルまでのいずれにも該当しないことを誓約する書面 (c) in cases where an officer is neither a foreign national nor a corporation: a copy of the residence certificate, etc. and the curriculum vitae of the officer, a certificate issued by a public agency proving that the person does not fall under the provisions of Article 15, paragraph (2), item (i), sub-item (b) of the Act, and a document pledging that the person does not fall under any of the provisions of sub-item (a), or sub-items (c) through (k) of that item; 四 取引参加者の氏名又は商号若しくは名称及び主たる事務所又は本店の所在地を記載した書面、その者が法第三十一条第一項各号のいずれにも該当しないことを誓約する書面並びに申請に係る株式会社商品取引所が開設しようとする一以上の商品市場において法第百五条第一号に掲げる方法により決済を行う場合には許可の申請の日前三十日以内に様式第一号により作成したその者の純資産額に関する調書 (iv) a document that states the name or trade name of a trading participant and the location of their principal office or head office, a document pledging that the person does not fall under any of the provisions of the items of Article 31, paragraph (1) of the Act, and in cases of completing settlement by the methods set forth in Article 105, item (i) of the Act for one or more commodity markets which a member commodity exchange related to the application seeks to open, a record concerning the amount of the net assets of the person prepared according to Form No. 1 within 30 days prior to the date of filing the application for a license; 五 当該商品市場において取引をしようとする取引参加者の過半数の者が、次に掲げる商品市場の区分に応じ、それぞれ次に定める者に該当することを誓約する書面 (v) a document pledging that the majority of the trading participants who seek to conduct transactions in the commodity market fall under the following persons for the category of commodity markets set forth in each item: イ 上場商品に係る商品市場 一年以上継続して当該商品市場における上場商品構成品の売買等を業として行っている者 (a) commodity market related to a listed commodity: persons who have engaged in the purchase and sale, etc. of component products of listed commodities in the commodity market for one year or more on a continuous basis in the course of trade; ロ 上場商品指数に係る商品市場 一年以上継続して当該商品市場における上場商品指数対象品(法第十条第二項第二号に規定する上場商品指数対象品をいう。)の売買等を業として行っている者 (b) commodity market related to a listed commodity index: persons who have engaged in the purchase and sale, etc. of products underlying the listed commodity index (meaning products underlying the listed commodity index prescribed in Article 10, paragraph (2), item (ii) of the Act) in the commodity market for one year or more on a continuous basis in the course of trade; 六 創立総会を開催した場合には、創立総会の議事録 (vi) in cases where an organizational meeting was held, the minutes of the meeting; 七 商品取引所の業務に関する知識及び経験を有する従業員の確保の状況並びに当該従業員の配置の状況を記載した書類 (vii) a document stating the status of securing employees who have the knowledge and experience on the business of a commodity exchange and the status of the assignment of those employees; 八 開設しようとする商品市場における開設後一年間の先物取引の取引量の見込みを記載した書面 (viii) a document stating the estimated transaction volume of futures transactions for one year after the opening of a commodity market which they seek to open; 九 上場商品に係る商品市場を開設しようとする場合にあっては、上場商品構成品を一の商品市場で取引をすることが適当である旨を明らかにすることができる書面 (ix) in cases of seeking to open a commodity market related to a listed commodity, a document stating that it is appropriate to conduct transactions of component products of listed commodities in a single commodity market; 十 二以上の商品指数を一の上場商品指数として商品市場を開設しようとする場合にあっては、当該二以上の商品指数の対象となる物品又は電力の大部分が共通していることを明らかにすることができる書面 (x) i in cases of seeking to open a commodity market by specifying two or more commodity indices as a single listed commodity index, a document clarifying that the majority of the goods or electric power subject to those indices are common to one another; 十一 商品市場を開設する業務において電子情報処理組織を使用する場合には、当該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を記載した書類 (xi) in cases of using an electronic data processing system in opening a commodity market, a document stating the outline, installation location, capacity, maintenance method of the electronic data processing system, and method of handling in the case of malfunction of the electronic data processing system; and 十二 その他法第八十条第一項に掲げる基準に適合しているかどうかについての認定の参考となるべき事項を記載した書面 (xii) a document stating other information to be used as a reference in recognizing whether the criteria set forth in Article 80, paragraph (1) of the Act have been met. 2 株式会社商品取引所以外の株式会社が従前の目的を変更して株式会社商品取引所になるため法第七十九条第一項の規定により許可の申請書を提出する場合においては、同条第二項の主務省令で定める書類は、前項各号(第六号を除く。)に掲げる書類のほか、次に掲げる書類とする。 (2) If a stock company other than an incorporated commodity exchange submits a written application for a license to become an incorporated commodity exchange by changing its prior purpose pursuant to the provisions of Article 79, paragraph (1) of the Act, the documents specified by order of the competent ministry as referred to in paragraph (2) of that Article are the following documents, in addition to those set forth in the items of the preceding paragraph (excluding item (vi)): 一 従前の目的を変更して株式会社商品取引所になることを決議した株主総会の議事録 (i) the minutes of the shareholders meeting which adopted the resolution that the stock company will become an incorporated commodity exchange by changing its prior purpose; 二 直前事業年度の計算書類等(会社法施行規則(平成十八年法務省令第十二号)第二条第三項第十二号(イに係る部分に限る。)に規定する計算書類等をいう。以下同じ。)及びその附属明細書 (ii) financial statements, etc. (meaning the financial statements, etc. prescribed in Article 2, paragraph (3), item (xii) of the Regulations for Enforcement of the Companies Act (Order of the Ministry of Justice No. 12 of 2006) (limited to the part pertaining to (a)) and their annexed detailed statement for the immediately preceding business year. (医師の診断書の提出) (Submission of a Doctor's Medical Certificate) 第二十八条の二 主務大臣は、法第七十八条の許可の申請があった場合において、許可申請者が法第十五条第二項第一号ヲ(イ及びルに係る部分に限る。)に該当するかどうかを審査するために必要があると認めるときは、許可申請者に対し、当該審査の対象となる者の病名、精神の機能の障害の有無及び程度、病因、病後の経過、治癒の見込みその他参考となる所見を記載した医師の診断書の提出を求めることができる。 Article 28-2 When an application for the license under Article 78 of the Act is filed, and the competent minister finds it necessary for examining whether the license applicant falls under Article 15, paragraph (2), item (i), (l) of the Act (limited to the part related to (a) and (k)), the minister may request the applicant to submit a doctor's medical certificate stating the name of the illness of the person subject to the examination, whether the person has any mental impairment and the level of impairment, causes of the illness, catamnestic observation, prospects of recovery, and other remarks for reference. (役員又は取引参加者の氏名等の変更届出書の添付書類) (Documents Attached to a Notification of Change of the Name of an Officer or a Trading Participant) 第二十九条 法第八十五条第二項の主務省令で定める書類は、次に掲げるもの(官公署が証明する書類の場合には、変更の届出の日前三月以内に作成されたものに限る。)とする。 Article 29 The documents specified by order of the competent ministry as referred to in Article 85, paragraph (2) of the Act are as follows (in cases of documents certified by a public agency, limited to those prepared within three months prior to the date of filing the notification of change): 一 変更の届出が新たに就任した役員に係るときは、次に掲げる場合に応じ、それぞれ次に定める書面 (i) when the notification of change relates to a newly appointed officer, a document specified as follows in accordance with the cases set forth in each sub-item: イ 新たに就任した役員が外国人である場合 当該役員の住民票の写し等、履歴書及びその者が法第十五条第二項第一号イからルまでのいずれにも該当しないことを誓約する書面 (a) in cases where a newly appointed officer is a foreign national: a copy of the residence certificate, etc. and a curriculum vitae of the officer, and a document pledging that the person does not fall under any of the provisions of Article 15, paragraph (2), item (i), sub-items (a) through (k) of the Act; ロ 新たに就任した役員が法人である場合 当該役員の登記事項証明書、沿革を記載した書面及び法第十五条第二項第一号ヲに該当しないことを誓約する書面 (b) in cases where a newly appointed officer is a corporation: a certificate of the registered information of the officer, a document stating the history of the corporation, and a document pledging that the person does not fall under the provisions of Article 15, paragraph (2), item (i), (l) of the Act; ハ 新たに就任した役員が外国人又は法人でない場合 当該役員の住民票の写し等、履歴書、その者が法第十五条第二項第一号ロに該当しない旨の官公署の証明書並びにその者が同号イ及びハからルまでのいずれにも該当しないことを誓約する書面 (c) in cases where a newly appointed officer is neither a foreign national nor a corporation: a copy of the residence certificate, etc. and a curriculum vitae of the officer, a certificate issued by a public agency proving that the person does not fall under the provisions of Article 15, paragraph (2), item (i), (b) of the Act, and a document pledging that the person does not fall under any of the provisions in sub-items (a) and sub-items (c) through (k) of that item; 二 変更の届出が新たに取引参加者となった者に係るときは、その者の氏名又は商号若しくは名称及び主たる事務所又は本店の所在地を記載した書面、その者が法第三十一条第一項各号のいずれにも該当しないことを誓約する書面並びに届出に係る株式会社商品取引所が開設する一以上の商品市場において法第百五条第一号に掲げる方法により決済を行う場合には取引参加者となった日前三十日以内に様式第一号により作成したその者の純資産額に関する調書 (ii) when the notification of change relates to a person who has newly become a trading participant, a document stating the name or trade name of that person and the location of their principal office or head office, a document pledging that the person does not fall under any of the provisions of the items of Article 31, paragraph (1) of the Act, and in cases of completing settlement by the methods set forth in Article 105, item (i) of the Act for one or more commodity markets which the incorporated commodity exchange related to the notification seeks to open, a record concerning the amount of the net assets of the person prepared according to Form No. 1 within 30 days prior to the day when that person became a trading participant; 三 変更の届出が取引参加者が取引をする商品市場における上場商品又は上場商品指数の追加に係る場合であって、法第百五条第一号に掲げる方法により決済を行うときは、変更の届出日前三十日以内に様式第一号により作成したその者の純資産額に関する調書 (iii) when the notification of change relates to the addition of a listed commodity or listed commodity index on a commodity market where a trading participant conducts transactions, and in cases of completing settlement by the methods set forth in Article 105, item (i) of the Act, a record concerning the amount of the net assets of the person prepared according to Form No. 1 within 30 days prior to the day of the notification of change. (財務及び営業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 a Material Influence on Decisions of Financial and Business Policies) 第二十九条の二 法第八十六条第一項本文の主務省令で定める事実は、次に掲げる事実とする。 Article 29-2 The facts specified by order of the competent ministry as referred to in the main clause of Article 86, paragraph (1) 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法第八十六条第一項本文の株式会社商品取引所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、当該株式会社商品取引所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) a person who is or was an officer or an employee and capable of influencing decisions of financial and operational or business policies of the incorporated commodity exchange referred to in the main clause of Article 86, paragraph (1) of the Act has assumed the position of a company director or executive officer, or an equivalent post of the incorporated commodity exchange; 二 当該株式会社商品取引所に対して重要な融資を行っていること。 (ii) important financing is provided to the incorporated commodity exchange; 三 当該株式会社商品取引所に対して重要な技術を提供していること。 (iii) important technology is provided to the incorporated commodity exchange; 四 当該株式会社商品取引所との間に重要な営業上又は事業上の取引があること。 (iv) important operational or business transactions are conducted with the incorporated commodity exchange; and 五 その他当該株式会社商品取引所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) other facts that are presumed to have a material effect on decisions of financial and operational or business policies of the incorporated commodity exchange exist. (取得又は保有の態様その他の事情を勘案して取得又は保有する議決権から除く議決権) (Voting Rights Excluded from Voting Rights Acquired or Held by Taking into Account the Manner of Acquisition or Holding or Other Circumstances) 第三十条 法第八十六条第一項本文の主務省令で定める議決権は、次に掲げる議決権とする。 Article 30 The voting rights specified by order of the competent ministry referred to in the main clause of Article 86, paragraph (1) of the Act are the following voting rights: 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取得し、又は所有する株式会社商品取引所の株式に係る議決権(法第八十六条第五項(第一号に係る部分に限る。)の規定により当該信託業を営む者が自ら取得し、又は保有する議決権とみなされるものを除く。) (i) voting rights related to the shares of an incorporated commodity exchange acquired or held as trust property by a person who engages in trust business (meaning the trust business as defined in Article 2, paragraph (1) of the Trust Business Act (Act No. 154 of 2004)) (excluding those that are deemed to be the voting rights personally acquired or held by the person who engages in trust business, pursuant to the provisions of Article 86, paragraph (5) of the Act (limited to the part related to item (i))); 二 法人の代表権を有する者又は法人の代表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会社商品取引所の株式に係る議決権 (ii) voting rights related to the shares of an incorporated commodity exchange held by a corporation in cases where a person having the right to represent the corporation or a manager having the right to represent the corporation has the authority to exercise voting rights, the authority to give instructions on the exercise of voting rights, or the authority required for making an investment, based on the right to represent or their authority of representation; 三 株式会社商品取引所の役員又は従業員が当該株式会社商品取引所の他の役員又は従業員と共同して当該株式会社商品取引所の株式の取得(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(当該株式会社商品取引所が会社法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株式会社商品取引所の株式を信託された者が取得し、又は所有する当該株式会社商品取引所の株式に係る議決権(法第八十六条第五項(第一号に係る部分に限る。)の規定により当該信託された者が自ら取得し、又は保有する議決権とみなされるものを除く。) (iii) in cases where an officer or employee of an incorporated commodity exchange has acquired the shares of the incorporated commodity exchange (limited to those conducted according to a certain plan, without depending on an individual investment decision, on an on-going basis, for which each officer or employee has contributed less than one million yen at a time) jointly with another officer or employee of the incorporated commodity exchange (when the incorporated commodity exchange has acquired the shares other than those acquired based on the provisions of Article 156, paragraph (1) of the Companies Act (including as applied pursuant to Article 165, paragraph (3) of that Act following the deemed replacement of terms), limited to cases where the acquisition was entrusted to a financial instruments business operator), voting rights pertaining to the shares of the incorporated commodity exchange acquired or held by a person who has deposited the shares of the incorporated commodity exchange which conducted the acquisition (excluding those that are deemed to be the voting rights personally acquired or held by the person who has deposited the shares, pursuant to the provisions of Article 86, paragraph (5) of that Act (limited to the part related to item (i))); 四 相続人が相続により取得し、又は所有する株式会社商品取引所の株式(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株式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) voting rights related to the shares of an incorporated commodity exchange acquired or held by an heir through inheritance (limited to the shares held prior to the day the heir gave an unqualified acceptance (including cases in which an unqualified acceptance is deemed to have been given) (excluding cases of coinheritance) or gave a qualified acceptance, or the shares whose division has not been completed by the coheirs); 五 株式会社商品取引所が自己の株式の消却を行うために取得し、又は所有する株式会社商品取引所の株式に係る議決権 (v) voting rights related to the shares of an incorporated commodity exchange acquired or held by an incorporated commodity exchange for the purpose of cancellation of its own shares. (取得等の制限の適用除外) (Exemption of Restrictions on Acquisition) 第三十一条 法第八十六条第二項、第九十六条の十九第二項及び第九十六条の二十五第二項の主務省令で定める場合は、次に掲げる場合とする。 Article 31 The cases specified by order of the competent ministry as referred to in Article 86, paragraph (2), Article 96-19, paragraph (2), and Article 96-25, paragraph (2) of the Act are as follows: 一 保有する株式会社商品取引所の対象議決権(法第八十六条第一項本文に規定する対象議決権をいう。以下同じ。)の数に増加がない場合 (i) cases in which there is no increase in the number of subject voting rights (meaning the subject voting rights prescribed in the main clause of Article 86, paragraph (1) of the Act; the same applies hereinafter) of an incorporated commodity exchange held; 二 担保権の行使又は代物弁済の受領により株式会社商品取引所の対象議決権を取得し、又は保有する場合 (ii) cases in which the subject voting rights of an incorporated commodity exchange are acquired or held by exercising security rights or accepting substitute performance; 三 金融商品取引業者が業務として株式会社商品取引所の対象議決権を取得し、又は保有する場合(金融商品取引法第二条第八項第一号に掲げる行為により取得し、又は保有する場合を除く。) (iii) cases in which the subject voting rights of an incorporated commodity exchange are acquired or held by a financial instruments business operator for the purpose of business (excluding cases in which they have acquired or held the rights through the acts set forth in Article 2, paragraph (8), item (i) of the Financial Instruments and Exchange Act); and 四 証券金融会社(金融商品取引法第二条第三十項に規定する証券金融会社をいう。第三十六条の十において同じ。)が同法第百五十六条の二十四第一項に規定する業務として株式会社商品取引所の対象議決権を取得し、又は保有する場合 (iv) cases in which the subject voting rights of an incorporated commodity exchange are acquired or held by a securities finance company (meaning a securities finance company prescribed in Article 2, paragraph (30) of the Financial Instruments and Exchange Act; the same applies in Article 36-10) for the purpose of the business prescribed in Article 156-24, paragraph (1) of that Act. (特定保有者の届出) (Specified Holder's Notification) 第三十一条の二 法第八十六条第三項の主務省令で定める事項は、次に掲げる事項とする。 Article 31-2 The information specified by order of the competent ministry as referred to in Article 86, paragraph (3) of the Act is the following information: 一 特定保有者(法第八十六条第三項に規定する特定保有者をいう。次号において同じ。)となった日 (i) the day the person became a specified holder (meaning a specified holder prescribed in Article 86, paragraph (3) of the Act; the same applies hereinafter.); 二 特定保有者に該当することとなった原因 (ii) the grounds on which the person came to fall under specified holders; and 三 その保有する対象議決権の数 (iii) the number of subject voting rights held by the person. (対象議決権保有届出書) (Notification of Holding Subject Voting Rights) 第三十一条の三 法第八十六条の二第一項の規定により対象議決権保有届出書を提出する者は、様式第一号の二により作成した対象議決権保有届出書及びその写しを主務大臣に提出しなければならない。 Article 31-3 (1) A person submitting a notification of holding subject voting rights pursuant to the provisions of Article 86-2, paragraph (1) of the Act must submit a notification of holding subject voting rights prepared according to Form No. 1-2 and its copy to the competent minister. 2 法第八十六条の二第一項の主務省令で定める事項は、次に掲げる事項とする。 (2) The information specified by order of the competent ministry as referred to in Article 86-2, paragraph (1) of the Act is the following information: 一 商号、名称又は氏名 (i) trade name or name; 二 本店若しくは主たる事務所の所在地又は住所若しくは居所 (ii) location of the head office or principal office, or its address or residence; 三 保有する議決権の数 (iii) number of voting rights held; 四 対象議決権保有届出書を提出する者と特別の関係(令第九条第一項各号又は第十二条第一項各号に掲げる関係をいう。)にある者に関する事項 (iv) information concerning persons having a special relationship (meaning the relationship set forth in the items of Article 9, paragraph (1) or the items of Article 12 paragraph (1) of the Order) with the person submitting the notification of holding subject voting rights. (身分証明書) (Identification Cards) 第三十一条の四 法第八十六条の三第二項(法第九十六条の二十一第三項(同条第二項において同条第一項の規定を準用する場合を含む。)、第九十六条の三十第二項、第九十六条の三十三第三項(同条第二項において同条第一項の規定を準用する場合を含む。)及び第九十六条の三十九第二項(法第九十六条の四十三において準用する場合を含む。)において準用する場合を含む。)又は第百五十七条第四項(法第百八十四条第二項、第二百三十一条第四項、第二百四十条の二十二第三項、第二百六十三条第二項、第三百二十二条第二項、第三百三十八条第二項(法第三百四十五条において準用する場合を含む。)及び第三百四十九条第六項において準用する場合を含む。)の規定により職員が携帯すべき身分証明書は、様式第二号による。 Article 31-4 The identification card that officials are required to carry pursuant to provisions of Article 86-3, paragraph (2) (Article 96-21, paragraph (3) (including cases in which the provisions of paragraph (1) of that Article are applied mutatis mutandis pursuant to paragraph (2) of that Article), Article 96-30, paragraph (2), Article 96-33, paragraph (3) (including cases in which the provisions of paragraph (1) of that Article are applied mutatis mutandis pursuant to paragraph (2) of that Article), and Article 96-39, paragraph (2) of the Act (including as applied mutatis mutandis pursuant to Article 157, paragraph (4)) or Article 157, paragraph (4) (including as applied mutatis mutandis pursuant to Article 184, paragraph (2), Article 231, paragraph (4), Article 240-22, paragraph (3), Article 263, paragraph (2), Article 322, paragraph (2), Article 338, paragraph (2) (including as applied mutatis mutandis pursuant to Article 345 of the Act) and Article 349, paragraph (6) of the Act) are according to Form No. 2. (公衆縦覧の事項等) (Information for Public Inspection) 第三十二条 法第八十七条の主務省令で定める事項は、当該株式会社商品取引所の発行済株式の総数及び総株主の議決権の数とする。 Article 32 (1) The information specified by order of the competent ministry as referred to in Article 87 of the Act are the total number of issued shares and the number of voting rights of all shareholders of the incorporated commodity exchange. 2 株式の転換又は新株予約権の行使によって発行済株式の総数又は総株主の議決権の数に変更があった場合における発行済株式の総数又は総株主の議決権の数は、前月末日現在のものによることができる。 (2) In cases where there is a change to the total number of issued shares or the number of voting rights of all shareholders due to the conversion of shares or the exercise of share options, the total number of issued shares or the number of voting rights of all shareholders may be the number as of the last day of the previous month. 3 株式会社商品取引所の発行済株式の総数に変更があった場合において、その登記が行われるまでの間は、登記されている発行済株式の総数をもって、第一項の発行済株式の総数とみなすことができる。 (3) In cases where there is a change to the total number of issued shares of an incorporated commodity exchange, the registered total number of issued shares may be deemed to be the total number of issued shares referred to in paragraph (1) until the registration is made. 4 株式会社商品取引所は、第一項に定める事項を記載した書面を本店に備えて置き、その営業時間中これを公衆の縦覧に供しなければならない。 (4) An incorporated commodity exchange must keep documents that state the information specified in paragraph (1) at its head office and make them available for public inspection during its business hours. (資本金の額の減少の認可申請) (Application for Authorization for Reduction in Amount of Stated Capital) 第三十三条 株式会社商品取引所は、法第八十八条第一項の規定による資本金の額の減少について認可を受けようとするときは、認可申請書に次に掲げる書類を添付して主務大臣に提出しなければならない。 Article 33 When an incorporated commodity exchange seeks authorization for reduction in the amount of stated capital pursuant to the provisions of Article 88, paragraph (1) of the Act, it must attach the following documents to the written application for authorization and submit them to the competent minister: 一 資本金の額を減少する理由を記載した書面 (i) a document stating the reasons for the reduction in the amount of stated capital; 二 資本金の額の減少の方法を記載した書類 (ii) a document stating the method to reduce the amount of stated capital; 三 株主総会の議事録その他必要な手続があったことを証する書面 (iii) minutes of a shareholders meeting and other documents proving that the necessary procedures have been taken; 四 直前事業年度の貸借対照表 (iv) a balance sheet for the immediately preceding business year; 五 会社法第四百四十九条第二項の規定による公告及び催告(同条第三項の規定により公告を官報のほか時事に関する事項を掲載する日刊新聞紙又は電子公告によってした場合にあっては、これらの方法による公告)をしたこと並びに異議を述べた債権者があるときは、当該債権者に対し弁済し若しくは相当の担保を提供し若しくは当該債権者に弁済を受けさせることを目的として相当の財産を信託したこと又は当該資本金の額の減少をしても当該債権者を害するおそれがないことを証する書面 (v) a document stating that a public notice or a notification under the provisions of Article 449, paragraph (2) of the Companies Act (in cases where a public notice has been given not only in an Official Gazette, but also by publication in a daily newspaper which publishes matters on current events or by an electronic public notice pursuant to the provisions of paragraph (3) of that Article, a public notice by those means) has been given, and when a creditor has made an objection, documents proving that payment has been made or a reasonable collateral has been provided to the creditor or reasonable property has been deposited in trust for the purpose of having the creditor receive the payment, or that the reduction of the stated capital is not likely to harm the creditor; and 六 株券発行会社にあっては会社法第二百十九条第一項本文の規定による公告をしたことを証する書面又は当該株式の全部について株券を発行していないことを証する書面 (vi) with regard to companies that issue shares, a document proving that a public notice under the provisions of the main clause of Article 219, paragraph (1) of the Companies Act, or a document proving that the shares have not been issued for all of the shares. (資本金の額の増加の届出) (Notification of an Increase in Amount of Stated Capital) 第三十四条 株式会社商品取引所は、法第八十八条第二項の規定による資本金の額の増加について届出をしようとするときは、届出書に次に掲げる書類を添付して主務大臣に提出しなければならない。 Article 34 When an incorporated commodity exchange seeks to give notification of increase in the amount of stated capital under the provisions of Article 88, paragraph (2) of the Act, it must attach the following documents to the written application for authorization and submit them to the competent minister: 一 取締役会の議事録その他必要な手続があったことを証する書面 (i) minutes of a board of directors and other documents proving that the necessary procedures have been taken; 二 資本金の額の増加の方法を記載した書類 (ii) a document stating the method of increasing the amount of stated capital; and 三 増資後に想定される貸借対照表 (iii) a balance sheet with an estimate of the increase in the amount of stated capital. (株式会社商品取引所の解散の決議等に係る認可申請) (Application for Authorization Related to Resolution on Dissolution of an Incorporated Commodity Exchange) 第三十五条 株式会社商品取引所は、法第九十六条第一項の規定により解散に関する株主総会の決議について認可を受けようとするとき又は合併について認可を受けようとするときは、認可申請書に次に掲げる書類を添付して主務大臣に提出するものとする。 Article 35 When an incorporated commodity exchange seeks to obtain authorization for the resolution of a shareholders meeting for dissolution or merger pursuant to the provisions of Article 96, paragraph (1) of the Act, it must attach the following documents to the written application for authorization and submit them to the competent minister: 一 解散又は合併の理由を記載した書面 (i) a document stating the reasons for the dissolution or merger; 二 株主総会の議事録その他必要な手続があったことを証する書面 (ii) minutes of a shareholders meeting and other documents proving that the necessary procedures have been taken; 三 直前事業年度の計算書類等及びその附属明細書 (iii) financial statements, etc. and their annexed detailed statements for the immediately preceding business year. (解散の届出の適用除外) (Exemption of Notification of Dissolution) 第三十六条 法第九十六条第二項ただし書の主務省令で定める場合は、法第百四十五条第一項の合併を行う場合とする。 Article 36 T The cases specified by order of the competent ministry as referred to in the proviso to Article 96, paragraph (2) of the Act are cases in which the merger referred to in Article 145, paragraph (1) of the Act is to be implemented. (緊急の場合の取扱い) (Handling Cases of Emergency) 第三十六条の二 法第九十六条の七各項の主務省令で定める自主規制業務は、会員等に対する処分とする。 Article 36-2 The self-regulation related services specified by order of the competent ministry as referred to in the paragraphs of Article 96-7 of the Act are dispositions against members, etc. (自主規制委員会の同意を得るべき事項) (Information on which Consent of the Self-Regulating Committee is Required to be Obtained) 第三十六条の三 法第九十六条の九の主務省令で定めるものは、取引参加者の資格の付与に関する基準とする。 Article 36-3 What are specified by order of the competent ministry as referred to in Article 96-9 of the Act are the criteria for granting qualification of trading participants. 2 特定株式会社商品取引所(法第九十六条の二第二項に規定する特定株式会社商品取引所をいう。)は、取引参加者の資格の付与に関する基準の作成を行おうとするときは、自主規制委員会の同意を得るものとする。 (2) When a specified incorporated commodity exchange (meaning a specified incorporated commodity exchange prescribed in Article 96-2, paragraph (2) of the Act), seeks to establish criteria for granting qualification of trading participants, it is to obtain the consent of the self-regulating committee. (自主規制委員会の議事録) (Minutes of Self-Regulating Committee Meetings) 第三十六条の四 法第九十六条の十三第三項の議事録は、次に掲げる事項を内容とするものでなければならない。 Article 36-4 The minutes referred to in Article 96-13, paragraph (3) of the Act must include the following information: 一 自主規制委員会が開催された日時及び場所(当該場所に存しない自主規制委員が自主規制委員会に出席をした場合における当該出席の方法を含む。) (i) the date and time on which and the place where the self-regulating committee meeting was held (including the method of attendance in the case that self-regulating committee members who were not present at the place attended the self-regulating committee meeting); 二 自主規制委員会の議事の経過の要領及びその結果 (ii) the outline and results of the proceedings of the self-regulating committee meeting; 三 決議を要する事項について特別の利害関係を有する自主規制委員があるときは、その氏名 (iii) when there is a self-regulating committee member who has a special interest in a matter that requires a resolution, the name of that person; 四 自主規制委員会に執行役、取締役、会計参与又は会計監査人が出席した場合には、その氏名又は名称 (iv) when an executive officer, company director, accounting advisor, or accounting auditor attends a self-regulating committee meeting, the name of that person; 五 自主規制委員会の議長が存するときは、議長の氏名 (v) when there is a chairperson of the self-regulating committee meeting, the chairperson's name; 六 議事録の作成に係る職務を行った自主規制委員の氏名 (vi) the name of the self-regulating committee member that performed the work of preparing the minutes. (自主規制委員会の議事録に係る電子署名の規定の準用) (Application, Mutatis Mutandis of Provisions on Electronic Signatures Related to Minutes of Self-Regulating Committee Meetings) 第三十六条の五 第二条の規定は、法第九十六条の十三第五項の規定による署名又は記名押印に代わる措置について準用する。 Article 36-5 T The provisions of Article 2 apply mutatis mutandis to measures in lieu of signing or affixing names and seals under the provisions of Article 96-13, paragraph (5) of the Act. (自主規制委員会の職務執行のために決定すべき事項) (Matters to be Decided for the Execution of the Duties of the Self-Regulating Committee) 第三十六条の六 法第九十六条の十七の主務省令で定める事項は、次に掲げる事項とする。 Article 36-6 The matters specified by order of the competent ministry as referred to in Article 96-17 are the following matters: 一 自主規制委員会の職務を補助すべき取締役及び使用人に関する事項 (i) matters concerning company directors and employees required to assist with the duties of the self-regulating committee; 二 自主規制業務の執行を行う取締役、執行役及び使用人に関する事項 (ii) matters concerning company directors, executive officers, and employees who execute the operation of self-regulation related services; 三 前号の取締役、執行役及び使用人が自主規制委員会に自主規制業務の執行に関する事項を報告するための体制その他の自主規制委員会への報告に関する事項 (iii) matters concerning the system for the company directors, executive officers, and employees referred to in the preceding item to report to the self-regulating committee matters concerning execution of the operation of self-regulation related services and matters concerning other reports to the self-regulating committee; and 四 その他自主規制委員会の自主規制業務に関する事項の決定が実効的に行われることを確保するための体制 (iv) other systems for ensuring that decisions on matters concerning the self-regulating committee's operation of self-regulation related services are made effectively. (株式会社商品取引所の主要株主の認可申請) (Applications for Authorization for Major Shareholders of Incorporated Commodity Exchanges) 第三十六条の七 法第九十六条の十九第一項の認可を受けようとする者は、次に掲げる事項を記載した認可申請書を主務大臣に提出しなければならない。 Article 36-7 A person seeking to obtain authorization under Article 96-19, paragraph (1) of the Act must submit a written application for authorization stating the following information to the competent minister: 一 商号若しくは名称又は氏名及び本店若しくは主たる事務所(地方公共団体にあっては、事務所)の所在地又は住所若しくは居所 (i) trade name or name and location of the head office or principal office (in cases of a local government, its office) or its address or residence; 二 地方公共団体にあっては、その長の氏名 (ii) in cases of a local government, the name of the head of the local government; 三 法人(地方公共団体を除く。)にあっては、その代表者の氏名 (iii) in cases of a corporation (excluding local governments) the name of its representative; 四 認可申請者が保有する当該認可に係る株式会社商品取引所の対象議決権の数及び保有割合並びに当該認可後に取得し、又は保有しようとする当該株式会社商品取引所の対象議決権の数及び保有割合 (iv) the number and percentage of subject voting rights of the incorporated commodity exchange related to the authorization held by the applicant for authorization and the number and percentage of subject voting rights of the incorporated commodity exchange sought to be acquired or held by the applicant for authorization after obtaining the authorization; 五 当該認可に係る株式会社商品取引所の対象議決権を取得し、又は保有しようとする理由 (v) reason for acquiring or seeking to hold subject voting rights of the incorporated commodity exchange related to the authorization; 2 前項の認可申請書には、次に掲げる書類(官公署が証明する書類の場合には、認可の申請の日前三月以内に作成されたものに限る。)を添付しなければならない。 (2) The following documents (in cases of documents certified by a public agency, limited to those prepared within three months prior to the date of filing the application for authorization) must be attached to the written application for authorization referred to in the preceding paragraph: 一 次のイからハまでに掲げる場合の区分に応じ、当該イからハまでに定める書類(申請者が外国法人であることその他の理由により当該書類の一部がない場合は、当該書類に相当する書類) (i) the documents specified in the following sub-items (a) through (c) in accordance with the category of cases set forth in the sub-items (a) through (c) (when some of the documents are not available because the applicant is a foreign corporation or for other reasons, documents equivalent to those documents); イ 認可申請者が地方公共団体である場合 当該認可申請者の最近における財産及び収支の状況を知ることができる書類 (a) when the applicant for authorization is a local government: documents disclosing the recent status of property and income and expenditure of the applicant for authorization; ロ 認可申請者が法人(地方公共団体を除く。ハにおいて同じ。)である場合 当該認可申請者に関する次に掲げる書類 (b) when the applicant for authorization is a corporation (excluding a local government; the same applies in (c)): the following documents concerning the applicant for authorization: (2) 登記事項証明書 2. certificate of registered information; (3) 役員(会計参与を除く。)の住民票の写し等、履歴書、その者が法第九十六条の二十第二項第一号ロ(法第十五条第二項第一号ロに係る部分に限る。)に該当しない旨の官公署の証明書(その者が外国人である場合を除く。)並びにその者が法第九十六条の二十第二項第一号イ、ロ(法第十五条第二項第一号ロに係る部分を除く。)又はハ(その者が外国人の場合には、法第九十六条の二十第二項第一号イからハまで)のいずれにも該当しないことを誓約する書面 3. f for officers (excluding an accounting advisor), a copy of the residence certificate, etc. and a curriculum vitae, a certification issued by a public agency that the person does not fall under the provisions of Article 96-20, paragraph (2), item (i), (b) of the Act (limited to the part related to Article 15, paragraph (2), item (i), (b) of the Act) (excluding the case in which the person is a foreign national), and a document pledging that the person does not fall under any of the provisions of Article 96-20, paragraph (2), item (ii), (a) or (b) of the Act (limited to the part related to Article 15, paragraph (2), item (i), (b) of the Act), or (c) of that item (if the person is a foreign national, Article 96-20, paragraph (2), item (i), sub-items (a) through (c) of the Act); (4) 当該認可申請者が会計参与設置会社である場合には、会計参与の住民票の写し等(その者が法人の場合には、登記事項証明書)、履歴書(その者が法人の場合には、沿革を記載した書面)、会計参与が法第九十六条の二十第二項第一号ロ(法第十五条第二項第一号ロに係る部分に限る。)に該当しない旨の官公署の証明書(その者が法人又は外国人である場合を除く。)並びに会計参与が法第九十六条の二十第二項第一号イ、ロ(法第十五条第二項第一号ロに係る部分を除く。)又はハ(その者が法人の場合には法第九十六条の二十第二項第一号ロ(法第十五条第二項第一号ロ及びヌに係る部分を除く。)又はニ、その者が外国人の場合には法第九十六条の二十第二項第一号イからハまで)のいずれにも該当しないことを誓約する書面 4. when the applicant for authorization is a company with accounting advisors, a copy of each accounting advisor's residence certificate, etc. (if the person is a corporation, its certificate of registered information) and curriculum vitae (if the person is a corporation, a document stating the history of the corporation), a certification issued by a public agency proving that the accounting advisor does not fall under the provisions of Article 96-20, paragraph (2), item (i), (b) of the Act (limited to the part related to Article 15, paragraph (2), item (i), (b) of the Act) (excluding the case in which the person is a foreign national), and a document pledging that the accounting advisor does not fall under any of the provisions of Article 96-20, paragraph (2), item (ii), (a) or (b) of the Act (excluding the part related to Article 15, paragraph (2), item (i), (b) of the Act), or (c) of that item (if the person is a corporation, Article 96-20, paragraph (2), item (i), (b) of the Act (excluding the part related to Article 15, paragraph (2), item (i), (b) and (j) of the Act), or (d) of that item; if the person is a foreign national, Article 96-20, paragraph (2), item (i), sub-items (a) through (c) of the Act); (5) 当該認可申請者の総株主等(令第九条第一項第三号に規定する総株主等をいう。第八十二条第一項第三号及び第二項第十三号ロを除き、以下同じ。)の議決権(令第九条第一項第三号に規定する議決権をいう。以下この(5)において同じ。)の百分の五を超える議決権を保有する者がある場合には、当該者の氏名、住所又は居所、国籍及び職業(当該者が法人その他の団体である場合には、その商号又は名称、本店又は主たる事務所の所在地及びその行っている事業の内容)並びにその保有する議決権の数を記載した書面 5. when there is a person who holds more than 5 percent of the voting rights (meaning the voting rights prescribed in Article 9, paragraph (1), item (iii) of the Order; hereinafter the same applies in this 5) of all shareholders, etc. of the applicant for authorization (meaning all shareholders, etc. prescribed in Article 9, paragraph (1), item (iii) of the Order; excluding Article 82, paragraph (1), item (iii) and paragraph (2), item (xiii), (b); the same applies hereinafter), a document stating that person's name, address or residence, nationality and occupation (if the person is a corporation or other organization, its trade name or name, location of its head office or principal office and the content of the business it is conducting) as well as the number of voting rights held; (6) 当該認可の申請が株主総会又は取締役会(これらに準ずる機関を含む。以下この(6)において同じ。)の決議を要するものである場合には、これに関する株主総会又は取締役会の議事録その他必要な手続があったことを証する書面 6. when the application for authorization requires a resolution of a shareholders meeting or the board of company directors meeting (including an equivalent body; hereinafter the same applies in this 6), the minutes of a shareholders meeting or of the board of directors meeting related to the matter, and other documents proving that the necessary procedures have been taken; (7) 業務の内容を記載した書面 7. a document stating the content of business; (8) 直前事業年度の貸借対照表、損益計算書及び株主資本等変動計算書その他当該認可申請者の最近における業務、財産及び収支の状況を知ることができる書類 8. documents disclosing the recent status of business, property and income and expenditure of the applicant for authorization, such as the balance sheet, profit and loss statement, and statement of changes in net assets for the immediately preceding business year; (9) 当該認可申請者が外国商品市場開設者(令第十一条第二号に規定する外国商品市場開設者をいう。以下同じ。)である場合には、その本店又は主たる事務所の所在する国において法第九条若しくは第七十八条の許可と同種類の許可又はこれに類する認可その他の行政処分を受けていることを証する書面 9. when the applicant for authorization is a foreign commodity market establisher (meaning a foreign commodity market establisher prescribed in Article 11, item (ii) of the Order; the same applies hereinafter), a document proving that the establisher has obtained the same type of permission as the permission under Article 9 or Article 78 of the Act, or authorization similar to the permission, or other administrative dispositions in the country where the applicant's head office or principal office is located; (10) 当該認可申請者が外国商品市場開設者持株会社(令第十一条第三号に規定する外国商品市場開設者持株会社をいう。以下この(10)及び(13)において同じ。)である場合には、その本店又は主たる事務所の所在する国における法(法に基づく命令を含む。)に相当する外国の法令を執行する当局が、当該認可申請者が外国商品市場開設者持株会社であることについて法第九十六条の二十五第一項の認可と同種類の認可又はこれに類する許可その他の行為をしていることを証する書面 10. when the applicant for authorization is a foreign commodity market establisher holding company (meaning a foreign commodity market establisher holding company prescribed in Article 11, item (iii) of the Order; hereinafter the same applies in this 10 and 13), a document proving that the authority responsible for enforcement of the laws and regulations of the country where the head office or principal office of the applicant for authorization is located which correspond to the Act (including orders based on the Act) has granted the same type of authorization as the authorization under Article 96, paragraph (25), item (i) of the Act or has granted permission similar to the authorization, or taken other acts concerning the fact that the applicant for authorization is a foreign commodity market establisher holding company; (11) 当該認可申請者が外国金融商品取引市場開設者(金融商品取引法第六十条の二第一項第六号に規定する外国金融商品取引市場開設者をいう。以下同じ。)である場合には、その本店又は主たる事務所の所在する国において金融商品取引法第八十条第一項の免許と同種類の免許又はこれに類する許可その他の行政処分を受けていることを証する書面 11. when the applicant for authorization is a foreign financial instruments exchange market establisher (meaning a foreign financial instruments exchange market establisher prescribed in Article 60-2, paragraph (1), item (vi) of the Financial Instruments and Exchange Act; the same applies hereinafter), a document proving that the applicant for authorization has obtained the same type of license as the license under Article 80, paragraph (1) of the Financial Instruments and Exchange Act or permission similar to the license, or other administrative dispositions in the country where its head office or principal office is located; (12) 当該認可申請者が外国金融商品取引市場開設者持株会社(令第十一条第五号に規定する外国金融商品取引市場開設者持株会社をいう。以下この(12)及び(13)において同じ。)である場合には、その本店又は主たる事務所の所在する国における金融商品取引法(同法に基づく命令を含む。)に相当する外国の法令を執行する当局が、当該認可申請者が外国金融商品取引市場開設者持株会社であることについて金融商品取引法第百六条の十第一項の認可と同種類の認可又はこれに類する許可その他の行為をしていることを証する書面 12. when the applicant for authorization is a foreign financial instruments exchange market establisher holding company (meaning a foreign financial instruments exchange market establisher holding company prescribed in Article 11, item (v) of the Order; hereinafter the same applies in this 12 and 13), a document proving that the authority responsible for enforcement of the laws and regulations of the country where the head office or principal office of the applicant for authorization is located which correspond to the Financial Instruments and Exchange Act (including orders based on that Act) has granted the same type of authorization as the authorization under Article 106-10, paragraph (1) of the Financial Instruments and Exchange Act or has granted permission similar to the authorization, or taken other acts concerning the fact that the applicant for authorization is a foreign financial instruments exchange market establisher holding company; (13) 当該認可申請者が外国商品市場開設者、外国商品市場開設者持株会社、外国金融商品取引市場開設者又は外国金融商品取引市場開設者持株会社である場合には、これらの者が法第九十六条の十九第一項の認可を受けてその総株主の議決権(法第八十六条第一項本文に規定する議決権をいう。第三号において同じ。)の保有基準割合(法第八十六条第一項本文に規定する保有基準割合をいう。第三号において同じ。)以上百分の五十以下の数の対象議決権を取得し、又は保有しようとする株式会社商品取引所が、商品取引所等(法第八十六条第一項ただし書の商品取引所、商品取引所持株会社、金融商品取引所又は金融商品取引所持株会社をいう。)の子会社(法第三条の二第三項に規定する子会社をいう。)であることを知ることができる書類 13. when the applicant for authorization is a foreign commodity market establisher, a foreign commodity market establisher holding company, a foreign financial instruments exchange market establisher, or a foreign financial instruments exchange market establisher holding company, documents that disclosing that the incorporated commodity exchange of which these persons, with the authorization under Article 96-19, paragraph (1), seeks to obtain or hold subject voting rights of a number greater than the holding ratio threshold (meaning the holding ratio threshold prescribed in the main clause of Article 86, paragraph (1) of the Act; the same applies in item (iii)) of the voting rights (meaning the voting rights prescribed in the main clause of Article 86, paragraph (1) of the Act; the same applies in item (iii)) of all shareholders, but less than 50 percent is a subsidiary company (meaning a subsidiary company prescribed in Article 3-2, paragraph (3) of the Act) of a commodity exchange, etc. (meaning a commodity exchange, commodity exchange holding company, financial instrument exchange, or financial instrument exchange holding company prescribed in the proviso to Article 86, paragraph (1) of the Act); ハ 認可申請者が地方公共団体及び法人以外の者である場合 当該認可申請者に関する次に掲げる書類 (c) when the applicant for authorization is other than a local government or a corporation: the following documents concerning the applicant for authorization: (1) 職業を記載した書面 1. a document stating their occupation; (2) 住民票の写し等 2. a copy of the residence certificate, etc.; (3) 当該認可申請者が法第九十六条の二十第二項第一号ロ(法第十五条第二項第一号ロに係る部分に限る。)に該当しない旨の官公署の証明書(その者が外国人である場合を除く。)並びにその者が法第九十六条の二十第二項第一号イ、ロ(法第十五条第二項第一号ロに係る部分を除く。)又はハ(その者が外国人の場合には、法第九十六条の二十第二項第一号イからハまで)のいずれにも該当しないことを誓約する書面 3. a certification issued by a public agency proving that the applicant for authorization does not fall under the provisions of Article 96-20, paragraph (2), item (i), (b) of the Act (limited to the part related to Article 15, paragraph (2), item (i), (b) of the Act) (excluding the case in which the person is a foreign national), and a document pledging that the applicant does not fall under any of the provisions of Article 96-20, paragraph (2), item (i), (a) or (b) of the Act (limited to the part related to Article 15, paragraph (2), item (i), (b) of the Act), or (c) of that item (if the person is a foreign national, Article 96-20, paragraph (2), item (i), sub-items (a) through (c) of the Act); 二 当該認可に係る株式会社商品取引所の対象議決権の保有に係る体制を記載した書面 (ii) a document stating the system concerning holding of subject voting rights of the incorporated commodity exchange related to the authorization; 三 認可申請者が当該認可に係る株式会社商品取引所との間に、当該認可後に有することを予定する人事、資金、技術及び取引等における関係並びに当該関係に係る方針(当該株式会社商品取引所の業務の健全かつ適切な運営を確保するための体制を含む。)を記載した書類 (iii) a document stating any planned relationship between the applicant for authorization and the incorporated commodity exchange related to the authorization in terms of personnel affairs, funds, technology, transactions or other matters after the authorization and the policy related to the relationship (including a system to ensure the sound and appropriate management of the business of the incorporated commodity exchange); 四 その他法第九十六条の二十第一項に掲げる基準に適合しているかどうかについての認定の参考となるべき事項を記載した書面 (iv) documents stating other information to be used as a reference for certifying whether the criteria set forth in Article 96-20, paragraph (1) of the Act have been met. (特定保有者に係る規定の準用) (Application, Mutatis Mutandis of the Provisions on Specified Holders) 第三十六条の八 第三十一条の二の規定は、法第九十六条の十九第三項(法第九十六条の二十五第四項及び第九十六条の三十一第四項において準用する場合を含む。)に規定する主務省令で定める事項について準用する。 Article 36-8 The provisions of Article 31-2 apply mutatis mutandis to information specified by order of the competent ministry as prescribed in Article 96-19, paragraph (3) of the Act (including as applied mutatis mutandis pursuant to Article 96-25, paragraph (4) and Article 96-31, paragraph (4) of the Act.) (法第九十六条の二十第二項第一号イの主務省令で定める者等) (Persons Specified by Order of the Competent Ministry as Referred to in Article 96-20, Paragraph (2), Item (i), (a) of the Act) 第三十六条の八の二 法第九十六条の二十第二項第一号イ(法第九十六条の三十二第二項において準用する場合を含む。)の主務省令で定める者は、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 36-8-2 (1) The person specified by order of the competent ministry as referred to in Article 96-20, paragraph (2), item (i), (a) of the Act (including as applied mutatis mutandis pursuant to Article 96-32, paragraph (2) of the Act) is a person that is unable to adequately carry out the cognition, decision making, and communication necessary for properly exercising the right of shareholders due to mental impairment. 2 主務大臣は、法第九十六条の十九第一項の認可の申請があった場合において、認可申請者が法第九十六条の二十第二項第一号イ、ハ(ロに係る部分を除く。)又はニ(ロに係る部分を除く。)のいずれかに該当するかどうかを審査するために必要があると認めるときは、認可申請者に対し、当該審査の対象となる者の病名、精神の機能の障害の有無及び程度、病因、病後の経過、治癒の見込みその他参考となる所見を記載した医師の診断書の提出を求めることができる。 (2) When an application for the authorization under Article 96-19, paragraph (1) of the Act is filed, and the competent minister finds it necessary for examining whether the applicant for authorization falls under any of the provisions of Article 96-20, paragraph (2), item (i), (a) or (c) of the Act (excluding the part related to (b)), or (d) of that item (excluding the part related to (b)), the minister may request the applicant to submit a doctor's medical certificate stating the name of the illness of the person subject to the examination, whether the person has any mental impairment and the level of mental impairment, causes of the illness, catamnestic observation, prospects of recovery, and other remarks for reference. (商品取引所持株会社に係る認可申請書の添付書類) (Documents Attached to a Written Application for Authorization Related to a Commodity Exchange Holding Company) 第三十六条の九 法第九十六条の二十六第二項の主務省令で定める書類は、次の各号に掲げる場合の区分に応じ、当該各号に定める書類(官公署が証明する書類の場合には、認可の申請の日前三月以内に作成されたものに限る。)とする。 Article 36-9 The documents specified by order of the competent ministry as referred to in Article 96-26, paragraph (2) of the Act are the documents specified in the following items in accordance with the category of cases set forth in each item (in cases of documents certified by a public agency, limited to those prepared within three months prior to the date of filing the application for authorization): 一 認可申請者が法第九十六条の二十五第一項本文の認可を受けて株式会社商品取引所を子会社(法第三条の二第三項に規定する子会社をいう。以下この条において同じ。)としようとする場合又は認可申請者が株式会社商品取引所を子会社とする会社であることについて法第九十六条の二十五第三項ただし書の認可を受けようとする場合 次に掲げる書類 (i) in the case that the applicant for authorization, by obtaining the authorization under the main clause of Article 96-25, paragraph (1) of the Act, seeks to make an incorporated commodity exchange its subsidiary company (meaning a subsidiary company prescribed in Article 3-2, paragraph (3) of the Act; hereinafter the same applies in this Article) or the case that the applicant for authorization seeks to obtain the authorization under the proviso to Article 96-25, paragraph (3) concerning the fact that it is a company that has an incorporated commodity exchange as its subsidiary company: the following documents; イ 株式会社商品取引所を子会社とする理由を記載した書面 (a) a document stating the reason it has an incorporated commodity exchange as its subsidiary company; ロ 当該認可申請者に関する次に掲げる書類 (b) t the following documents concerning the applicant for authorization: (1) 登記事項証明書 1. certificate of registered information; (2) 取締役及び監査役の住民票の写し等、履歴書、これらの者が法第十五条第二項第一号ロに該当しない旨の官公署の証明書(これらの者が外国人である場合を除く。)並びにこれらの者が同号イ及びハからルまで(これらの者が外国人の場合には、同号イからルまで)のいずれにも該当しないことを誓約する書面 2. a copy of the residence certificate, etc. and a curriculum vitae of the company director and the company auditor, a certification issued by a public agency proving that these persons do not fall under the provisions of Article 15, paragraph (2), item (i), (b) of the Act (excluding the case in which these persons are foreign nationals), and a document pledging that these persons do not fall under any of the provisions of sub-item (a) and sub-items (c) through (k) of that item (if these persons are foreign nationals, sub-items (a) through (k) of that item); (3) 当該認可申請者が会計参与設置会社である場合には、会計参与の住民票の写し等(その者が法人の場合には、登記事項証明書)、履歴書(その者が法人の場合には、沿革を記載した書面)、会計参与が法第十五条第二項第一号ロに該当しない旨の官公署の証明書(その者が法人又は外国人である場合を除く。)並びに会計参与が同号イ及びハからルまで(その者が法人の場合には同号ハからリまで及びヲ、その者が外国人の場合には同号イからルまで)のいずれにも該当しないことを誓約する書面 3. when the applicant for authorization is a company with accounting advisors, a copy of each accounting advisor's residence certificate, etc. (if the person is a corporation, its certificate of registered information) and curriculum vitae (if the person is a corporation, a document stating the history of the corporation), a certification issued by a public agency proving that the accounting advisor does not fall under the provisions of Article 15, paragraph (2), item (i), (b) of the Act (excluding the case in which the person is a foreign national), and a document pledging that the accounting advisor does not fall under any of the provisions of sub-item (a) and sub-items (c) through (k) of that item (if the person is a corporation, sub-items (c) through (i) and sub-item (l) of that item; if the person is a foreign national, sub-items (a) through (k) of that item); (4) 当該認可申請者の総株主の議決権の百分の五を超える議決権(法第八十六条第一項本文に規定する議決権をいう。以下この(4)及び次号ロ(3)において同じ。)を保有する者がある場合には、当該者の氏名、住所又は居所、国籍及び職業(当該者が法人その他の団体である場合には、その商号又は名称、本店又は主たる事務所の所在地及びその行っている事業の内容)並びにその保有する議決権の数を記載した書面 4. when there is a person who holds voting rights exceeding 5 percent of the voting rights of all shareholders of the applicant for authorization (meaning voting rights prescribed in the main clause of Article 86, paragraph (1); hereinafter the same applies in this 4 and (b), 3 of the following item), documents stating the person's name, address or residence, nationality and occupation (when the person is a corporation or other organization, its trade name or name, the location of its head office or principal office and the content of the business it is conducting), and the number of voting rights the person holds; (5) 株主総会又は取締役会の議事録その他の必要な手続があったことを証する書面 5. minutes of a shareholders meeting or a board of directors meeting and other documents proving that necessary procedures have been taken; (6) 業務の内容を記載した書面 6. documents stating the content of its business; (7) 直前事業年度の貸借対照表、損益計算書及び株主資本等変動計算書その他当該認可申請者の最近における業務、財産及び収支の状況を知ることができる書類 7. documents disclosing the recent status of business, property and income and expenditure of the applicant for authorization, such as the balance sheet, profit and loss statement, and statement of changes in net assets for the immediately preceding business year; (8) 当該認可申請者が法第九十六条の二十五第一項本文又は第三項ただし書の認可を受けて子会社としようとする株式会社商品取引所の経営管理に係る体制を記載した書類 8. a document stating the system related to the business management of the incorporated commodity exchange which the applicant for authorization seeks to make its subsidiary company by obtaining the authorization under the main clause of Article 96-25, paragraph (1) or the proviso to paragraph (3) of the Act; (9) 株式会社商品取引所の業務に関する知識及び経験を有する従業員の確保の状況を記載した書類 9. a document stating the status of securing employees who have the knowledge and experience on the business of an incorporated commodity exchange; ハ 当該認可申請者が法第九十六条の二十五第一項本文又は第三項ただし書の認可を受けて子会社としようとする株式会社商品取引所に関する次に掲げる書類 (c) the following documents concerning an incorporated commodity exchange which the applicant for authorization seeks to make its subsidiary company by obtaining the authorization under the main clause of Article 96-25, paragraph (1) or the proviso to paragraph (3) of the Act; (1) 商号及び本店の所在地を記載した書面 1. a document stating its trade name and the location of its head office; (2) 取締役及び監査役の役職名及び氏名を記載した書面 2. a document stating the titles and names of its company directors and company auditors; (3) 当該株式会社商品取引所が会計参与設置会社である場合には、会計参与の名称又は氏名を記載した書面 3. when the incorporated commodity exchange is a company with accounting advisors, a document stating the names of the accounting advisors; (4) 直前事業年度の貸借対照表、損益計算書及び株主資本等変動計算書その他当該株式会社商品取引所の最近における業務、財産及び収支の状況を知ることができる書類 4. documents disclosing the recent status of business, property and income and expenditure of the incorporated commodity exchange, such as the balance sheet, profit and loss statement, and statement of changes in net assets for the immediately preceding business year; ニ 法第九十六条の二十五第一項本文又は第三項ただし書の認可後三事業年度における当該認可申請者及びその子会社である株式会社商品取引所の収支の見込みを記載した書面 (d) a document stating a forecast of income and expenditures for the applicant for authorization and the incorporated commodity exchange that is its subsidiary company for the three business years after obtaining the authorization under the main clause of Article 96-25, paragraph (1) or the proviso to paragraph (3) of the Act; ホ その他法第九十六条の二十七第一項に掲げる基準に適合しているかどうかについての認定の参考となるべき事項を記載した書面 (e) documents stating other information to be used as a reference for certifying whether the criteria set forth in Article 96-27, paragraph (1) of the Act have been met; 二 認可申請者が法第九十六条の二十五第一項本文の認可を受けて株式会社商品取引所を子会社とする会社を設立しようとする場合 次に掲げる書類 (ii) in cases where the applicant for authorization seeks to establish a company that has an incorporated commodity exchange as its subsidiary company by obtaining the authorization under the main clause of Article 96-25, paragraph (1): the following documents イ 株式会社商品取引所を子会社とする会社を設立しようとする理由を記載した書面 (a) a document stating the reason for establishing a company that has an incorporated commodity exchange as its subsidiary company; ロ 当該認可を受けて設立される会社(以下この号において「設立会社」という。)に関する次に掲げる書類 (b) the following documents concerning the company to be established by obtaining the authorization (hereinafter referred to as the "established company" in this item): (1) 取締役及び監査役の住民票の写し等、履歴書、これらの者が法第十五条第二項第一号ロに該当しない旨の官公署の証明書(これらの者が外国人である場合を除く。)並びにこれらの者が同号イ及びハからルまで(これらの者が外国人の場合には、同号イからルまで)のいずれにも該当しないことを誓約する書面 1. a copy of the residence certificate, etc. and curriculum vitae of the company director and company auditor, and a certification issued by a public agency proving that these persons do not fall under the provisions of Article 15, paragraph (2), item (i), (b) of the Act (excluding the case in which the persons are foreign nationals), and a document pledging that these persons do not fall under any of the provisions of sub-item (a) and sub-items (c) through (k) of that item (if these persons are foreign nationals, sub-items (a) through (k) of that item); (2) 設立会社が会計参与設置会社である場合には、会計参与の住民票の写し等(その者が法人の場合には、登記事項証明書)、履歴書(その者が法人の場合には、沿革を記載した書面)、会計参与が法第十五条第二項第一号ロに該当しない旨の官公署の証明書(その者が法人又は外国人である場合を除く。)並びに会計参与が同号イ及びハからルまで(その者が法人の場合には同号ハからリまで及びヲ、その者が外国人の場合には同号イからルまで)のいずれにも該当しないことを誓約する書面 2. when the established company is a company with accounting advisors, a copy, of each accounting advisor's residence certificate, etc. (if the person is a corporation, its certificate of registered information) and curriculum vitae (if the person is a corporation, a document stating the history of the corporation), a certification issued by a public agency proving that the accounting advisor does not fall under the provisions of Article 15, paragraph (2), item (i), (b) of the Act (excluding the case in which the person is a foreign national), and a document pledging that the accounting advisor does not fall under any of the provisions of sub-item (a) and sub-items (c) through (k) of that item (if the person is a corporation, sub-items (c) through (i) and sub-item (l) of that item; if the person is a foreign national, sub-items (a) through (k) of that item); (3) 設立会社の総株主の議決権の百分の五を超える議決権を保有しようとする者がある場合には、当該者の氏名、住所又は居所、国籍及び職業(当該者が法人その他の団体である場合には、その商号又は名称、本店又は主たる事務所の所在地及びその行っている事業の内容)並びにその保有しようとする議決権の数を記載した書面 3. when there is a person who seeks to hold voting rights that exceed 5 percent of the voting rights of all shareholders of the established company, documents stating the person's name, address or residence, nationality and occupation (when the person is a corporation or other organization, its trade name or name, the location of its head office or principal office, and the content of the business it is conducting), and the number of voting rights sought to be held; (4) その設立が創立総会の決議を要するものである場合には、これに関する創立総会の議事録(株式移転、合併又は分割により設立される場合には、これに関する株主総会の議事録)その他必要な手続があったことを証する書面 4. in the case that the establishment requires a resolution of an organizational meeting, the minutes of the organizational meeting concerning the establishment (in cases of establishment through share transfer, merger or split, the minutes of a shareholders meeting concerning the establishment) and other documents proving that necessary procedures have been taken; (5) 業務の内容を記載した書面 5. a document stating the content of the business; (6) 資本金の額その他の当該設立後における財産の状況を知ることができる書類 6. documents disclosing the amount of stated capital and the status of other property after the establishment; (7) 当該認可申請者が法第九十六条の二十五第一項本文の認可を受けて子会社としようとする株式会社商品取引所の経営管理に係る体制を記載した書面 7. a document stating the system related to business management of the incorporated commodity exchange which the applicant for authorization seeks to make its subsidiary company by obtaining the authorization under the main clause of Article 96-25, paragraph (1) of the Act; (8) 株式会社商品取引所の業務に関する知識及び経験を有する従業員の確保の状況を記載した書類 8. a document stating the status of securing employees that have knowledge and experience on the business of an incorporated commodity exchange; ハ 設立会社が子会社としようとする株式会社商品取引所に関する次に掲げる書類 (c) the following documents concerning the incorporated commodity exchange the established company seeks to make its subsidiary company: (1) 商号及び本店の所在地を記載した書面 1. a document stating its trade name and the location of its head office; (2) 取締役及び監査役の役職名及び氏名を記載した書面 2. a document stating the titles and names of its company directors and company auditors; (3) 当該株式会社商品取引所が会計参与設置会社である場合には、会計参与の名称又は氏名を記載した書面 3. when the incorporated commodity exchange is a company with accounting advisors, a document stating the names of the accounting advisors; (4) 直前事業年度の貸借対照表、損益計算書及び株主資本等変動計算書その他当該株式会社商品取引所の最近における業務、財産及び収支の状況を知ることができる書類 4. documents disclosing the recent status of business, property, and income and expenditure of the incorporated commodity exchange, such as the balance sheet, profit and loss statement, and statement of changes in net assets for the immediately preceding business year; ニ 当該設立後三事業年度における設立会社及びその子会社である株式会社商品取引所の収支の見込みを記載した書面 (d) a document stating a forecast of income and expenditures for the established company and the incorporated commodity exchange that is its subsidiary company for three business years after the establishment; and. ホ その他法第九十六条の二十七第一項に掲げる基準に適合しているかどうかについての認定の参考となるべき事項を記載した書面 (e) documents stating other information to be used as a reference for certifying whether the criteria set forth in Article 96-27, paragraph (1) of the Act have been met. (医師の診断書の提出) (Submission of a Doctor's Medical Certificate) 第三十六条の九の二 主務大臣は、法第九十六条の二十五第一項の認可の申請があった場合において、認可申請者等(法第九十六条の二十七第一項第一号の認可申請者等をいう。)の役員のうちに法第十五条第二項第一号イ又はル(イ及びヲに係る部分に限る。)のいずれかに該当する者があるかどうかを審査するために必要があると認めるときは、認可申請者等に対し、当該審査の対象となる者の病名、精神の機能の障害の有無及び程度、病因、病後の経過、治癒の見込みその他参考となる所見を記載した医師の診断書の提出を求めることができる。 Article 36-9-2 In cases where an application for the authorization under Article 96-25, paragraph (1) of the Act is filed, and when the competent minister finds it necessary for examining whether officers of the applicant for authorization, etc. (meaning the applicant for authorization, etc. referred to in Article 96-27, paragraph (1), item (i) of the Act) include any person who falls under Article 15, paragraph (2), item (i), sub-item (a) or (k) of the Act (limited to the part related to sub-items (a) and (l)), the minister may request the applicant to submit a doctor's medical certificate stating the name of the illness of the person subject to the examination, whether the person has any mental impairment and the level of mental impairment, causes of the illness, catamnestic observation, prospects of recovery, and other remarks for reference. (取得等の制限の適用除外) (Exemption of Restriction on Acquisition) 第三十六条の十 法第九十六条の二十八第二項及び第九十六条の三十一第二項の主務省令で定める場合は、次に掲げる場合とする。 Article 36-10 The cases specified by order of the competent ministry as referred to in Article 96-28, paragraph (2) and Article 96-31, paragraph (2) are the following cases: 一 保有する商品取引所持株会社の対象議決権の数に増加がない場合 (i) cases in which the number of subject voting rights of the commodity exchange holding company held does not increase; 二 担保権の行使又は代物弁済の受領により商品取引所持株会社の対象議決権を取得し、又は保有する場合 (ii) cases in which the subject voting rights of the commodity exchange holding company are acquired or held as a result of the exercise of a security interest, or acceptance of substitute performance; 三 金融商品取引業者が業務として商品取引所持株会社の対象議決権を取得し、又は保有する場合(金融商品取引法第二条第八項第一号に掲げる行為により取得し、又は保有する場合を除く。) (iii) cases in which a financial instruments business operator acquires or holds the subject voting rights of the commodity exchange holding company for the purpose of business (excluding cases of acquiring or holding the rights through the acts set forth in Article 2, paragraph (8), item (i) of the Financial Instruments and Exchange Act); 四 証券金融会社が金融商品取引法第百五十六条の二十四第一項に規定する業務として商品取引所持株会社の対象議決権を取得し、又は保有する場合 (iv) cases in which a securities finance company acquires or holds the subject voting rights of a commodity exchange holding company as the business prescribed in Article 156-24, paragraph (1) of the Financial Instruments and Exchange Act; (商品取引所持株会社の財務及び営業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等) (Facts Presumed to Have a Material Influence on the Determination of Fiscal and Operational Policies of a Commodity Exchange Holding Company) 第三十六条の十一 第二十九条の二の規定は法第九十六条の二十八第一項本文の主務省令で定める事実について、第三十一条の二の規定は法第九十六条の二十八第三項の主務省令で定める事項について、第三十一条の三の規定は法第九十六条の二十九の規定による対象議決権保有届出書の提出について、第三十六条の七(同条第二項第一号ロ(10)及び(12)を除く。)の規定は法第九十六条の三十一第一項の認可について、それぞれ準用する。この場合において、第二十九条の二第一号中「法第八十六条第一項本文」とあるのは「法第九十六条の二十八第一項本文」と、同条中「株式会社商品取引所」とあるのは「商品取引所持株会社」と、第三十六条の七第二項第一号ロ(13)中「外国商品市場開設者、外国商品市場開設者持株会社、外国金融商品取引市場開設者又は外国金融商品取引市場開設者持株会社」とあるのは「外国商品市場開設者又は外国金融商品取引市場開設者」と読み替えるものとする。 Article 36-11 The provisions of Article 29-2 apply mutatis mutandis to the facts specified in order of the competent ministry as referred to in the main clause of Article 96-28, paragraph (1) of the Act; the provisions of Article 31-2 apply mutatis mutandis to the matters specified in order of the competent ministry as referred to in Article 96-28, paragraph (3) of the Act; the provisions of Article 31-3 apply mutatis mutandis to submission of the notification of holding subject voting rights pursuant to the provisions of Article 96-29 of the Act; the provisions of Article 36-7 (excluding paragraph (2), item (i), (b), 10 and 12 of that Article) apply mutatis mutandis to the authorization under Article 96-31, paragraph (1) of the Act. In these cases, the phrase "the main clause of Article 86, paragraph (1) of the Act" in Article 29-2, item (i) is deemed to be replaced with "the main clause of Article 96-28, paragraph (1)", the term "incorporated commodity exchange" in that Article is deemed to be replaced with "commodity exchange holding company", and the phrase "a foreign commodity market establisher, a foreign commodity market establisher holding company, a foreign financial instruments exchange market establisher, or a foreign financial instruments exchange market establisher holding company" in Article 36-7, paragraph (2), item (i), (b), 13 is deemed to be replaced with "a foreign commodity market establisher or a foreign financial instruments exchange market establisher". (商品取引所持株会社の子会社の認可申請) (Application for Authorization of a Subsidiary Company of a Commodity Exchange Holding Company) 第三十六条の十二 商品取引所持株会社は、法第九十六条の三十七第一項ただし書の規定により認可を受けようとするときは、認可申請書に次に掲げる書類を添付して主務大臣に提出しなければならない。 Article 36-12 When seeking to obtain authorization pursuant to the provisions of the proviso to Article 96-37, paragraph (1) of the Act, a commodity exchange holding company must submit a written application for authorization with the following documents attached to the competent minister: 一 当該認可に係る会社を子会社(法第三条の二第三項に規定する子会社をいう。以下この条において同じ。)とする理由を記載した書面 (i) a document stating the reason for making the company related to the authorization its subsidiary company (meaning a subsidiary company prescribed in Article 3-2, paragraph (3) of the Act; hereinafter the same applies in this Article); 二 当該認可に係る子会社となる会社に関する次に掲げる書類 (ii) the following documents concerning the company that is to become its subsidiary company related to the authorization: イ 商号及び本店の所在地を記載した書面 (a) a document stating its trade name and the location of its head office; ロ 業務の内容を記載した書面 (b) a document stating the content of its business; ハ 取締役及び監査役の氏名及び役職名を記載した書面 (c) a document stating the names and titles of its company directors and company auditors; ニ 当該会社が会計参与設置会社である場合には、会計参与の氏名又は名称を記載した書面 (d) when the company is a company with accounting advisors, a document stating the names of the accounting advisors; ホ 定款 (e) the articles of incorporation; ヘ 登記事項証明書 (f) its certificate of registered information; ト 直前事業年度の貸借対照表、損益計算書及び株主資本等変動計算書その他最近における業務、財産及び損益の状況を知ることができる書類 (g) documents disclosing its recent status of business, property, and profit and loss, such as the balance sheet, profit and loss statement, and statement of changes in net assets for the immediately preceding business year; 三 当該商品取引所持株会社及びその子会社に関する次に掲げる書類 (iii) the following documents concerning the commodity exchange holding company and its subsidiary company: イ 当該商品取引所持株会社及びその子会社の業務及び財産の状況を連結して記載した直前事業年度の貸借対照表、損益計算書及び株主資本等変動計算書その他これらの最近における業務、財産及び損益の状況を知ることができる書類 (a) the balance sheet, profit and loss statement, and statement of changes in net assets for the immediately preceding business year that state the status of business and property for the commodity exchange holding company and its subsidiary company in a consolidated manner and other documents disclosing the recent status of business, property, and profit and loss of those companies; ロ 当該認可後三事業年度における当該商品取引所持株会社及びその子会社(当該認可に係る子会社となる会社を含む。ハにおいて同じ。)の収支の見込みを記載した書面 (b) a document stating a forecast of income and expenditures for the commodity exchange holding company and its subsidiary company (including the company that will become the subsidiary company related to the authorization; the same applies in (c)) for three business years after the authorization; ハ 当該商品取引所持株会社が行う子会社の経営管理に係る体制を記載した書面 (c) a document stating the system related to the business management of the subsidiary company the commodity exchange holding company is to conduct; 四 その他参考となるべき事項を記載した書面 (iv) documents stating other matters to be used as a reference. (会員等の純資産額の最低額の算定基準) (Basis for Calculating the Minimum Amount of Net Assets of Members) 第三十七条 商品取引所は、法第九十九条第一項の規定により、当該商品市場において取引をする会員等の純資産額の最低額を定めるときは、当該商品市場における取引の種類、取引単位、取引高その他の取引事情及び商品市場における取引の公正かつ円滑な履行の確保を考慮して定めなければならない。 Article 37 When a commodity exchange determines the minimum amount of the net assets of members who conduct transactions in the commodity market pursuant to the provisions of Article 99, paragraph (1) of the Act, it must take into account the type of transaction, the unit of transaction, the volume of transaction, and other trading circumstances in the commodity market and the securing of the fair and smooth performance of transactions in the commodity market. (純資産額の計算基準) (Basis for Calculating Net Assets) 第三十八条 法第九十九条第七項(法第百七十五条第三項、第百九十二条第三項、第二百十一条第四項、第二百三十二条第四項及び第二百七十九条第三項において準用する場合を含む。)の規定により純資産額を計算するときは、貸借対照表の資産の部に計上されるべき金額の合計額(法第九十九条第七項の規定を法第二百十一条第四項において準用する場合にあっては、第一号から第六号までに掲げるものの金額の合計額を除く。)から負債の部に計上されるべき金額の合計額(法第九十九条第七項の規定を法第二百十一条第四項において準用する場合にあっては、第七号から第十号までに掲げるものの金額の合計額を除き、それ以外の場合にあっては第七号及び第八号に掲げるものの金額の合計額を除く。)を控除するものとする。 Article 38 (1) When calculating the net assets pursuant to the provisions of Article 99, paragraph (7) of the Act (including as applied mutatis mutandis pursuant to Article 175, paragraph (3), Article 192, paragraph (3), Article 211, paragraph (4), Article 232, paragraph (4), and Article 279, paragraph (3) of the Act), the total amount required to be recorded in the liabilities section of a balance sheet (in cases where the provisions of Article 99, paragraph (7) of the Act are applied mutatis mutandis pursuant to Article 211, paragraph (4) of the Act, excluding the total amount of the liabilities set forth in items (vii) through (x), and in other cases, excluding the total amount of the liabilities set forth in items (vii) item (viii)) is to be deducted from the total amount required to be recorded in the assets section (in cases where the provisions of Article 99, paragraph (7) of the Act are applied mutatis mutandis pursuant to Article 211, paragraph (4) of the Act, excluding the total amount of the assets set forth in items (i) through (vi)): 一 流動資産のうち、次に掲げるもの (i) the following current assets: イ 委託者等未収金(期間が二週間未満のものを除く。)が商品デリバティブ取引に関し、当該委託者等から預託を受けた金銭、有価証券その他の物及び当該委託者等の計算に属する金銭(当該委託者等の計算による取引であって決済を結了していないものに係る差益金に相当する金銭を除く。)、有価証券その他の物の合計額を超える場合における当該超える部分の額 (a) in cases where accounts receivable from a consignor, etc. (excluding receivables for which the term is less than 2 weeks) exceeds the total amount of cash, securities, or other goods received in deposit from the consignor, etc. and cash belonging to the account of the consignor, etc. (excluding cash equivalent to profit for transactions on the account of the consignor, etc. the settlement of which has not been completed) for commodity derivatives transactions, the amount of the excess; ロ 関係会社(連結会社を除く。)に対する短期貸付金(金融機関(銀行、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。)又は金融商品取引法施行令第一条の九各号に掲げる金融機関をいう。以下このロにおいて同じ。)、信託会社又は金融商品取引業者へのコール資金の貸付け及び国内の金融機関又は金融商品取引業者が振り出した為替手形の購入に係るものを除く。) (b) short-term loans to affiliated companies (excluding consolidated companies) (excluding loans of call money to financial institutions (banks, cooperative structured financial institutions (meaning cooperative structured financial institutions as defined in Article 2, paragraph (1) of the Act on Preferred Equity Investment by Cooperative Structured Financial Institution (Act No. 44 of 1993), or financial institutions set forth in the items of Article 1-9 of the Order for Enforcement of the Financial Instruments and Exchange Act; hereinafter the same applies in this (b)), trust companies, or financial instruments business operators) and loans related to purchases of bills of exchange issued by financial institutions or financial instruments business operators in Japan); ハ 前渡金 (c) advance payments; ニ 前払費用 (d) prepaid expenses; 二 一般貸倒引当金 (ii) general loan-loss reserves; 三 固定資産のうち、次に掲げるもの (iii) the following fixed assets: イ 無形固定資産 (a) intangible fixed assets; ロ 長期未収債権 (b) long-term accounts receivable; ハ 長期貸付金 (c) long-term loans; ニ 長期前払費用 (d) long-term prepaid expenses; ホ 繰延税金資産 (e) deferred tax assets; 四 繰延資産 (iv) deferred assets; 五 保有する有価証券(信託財産をもって保有する有価証券を含む。)のうち、次に掲げるもの(金融商品取引所又は外国金融商品取引市場開設者に上場されている有価証券及び金融商品取引法第六十七条の十一第一項の店頭売買有価証券登録原簿(これに類似するもので外国に備えられるものを含む。)に登録されている有価証券並びに国債証券を除く。) (v) among the securities held (including securities held as trust property), the following securities (excluding securities listed on financial instruments exchanges or listed by foreign financial instruments exchange market establishers, and securities and Japanese government bonds registered in the register of over-the-counter traded securities referred to in Article 67-11, paragraph (1) of the Financial Instruments and Exchange Act (including similar registers kept in foreign countries): イ 関係会社が発行した有価証券(連結会社が発行した社債、株式等の振替に関する法律(平成十三年法律第七十五号)第六十六条第一号に規定する短期社債、保険業法第六十一条の十第一項に規定する短期社債及び資産流動化法第二条第八項に規定する特定短期社債に係るもの並びにコマーシャル・ペーパー(金融商品取引法第二条第一項第十五号に掲げる有価証券及び同項第十七号に掲げる有価証券で同項第十五号に掲げる有価証券の性質を有するものをいう。ロにおいて同じ。)、引受けにより取得したもので保有期間が六月を超えないもの並びに売買の状況にかかわらず意図的に関係会社への資金提供を目的とした保有でないことが明らかなものを除く。) (a) securities issued by affiliated companies (excluding those related to short-term corporate bonds prescribed in Article 66, item (i) of the Act on Book-Entry Transfer of Corporate Bonds and Shares (Act No. 75 of 2001), short-term bonds prescribed in Article 61-10, paragraph (1) of the Insurance Business Act, and specified short-term bonds prescribed in Article 2, paragraph (8) of the Asset Securitization Act, as well as commercial paper (securities set forth in Article 2, paragraph (1), item (xv) of the Financial Instruments and Exchange Act and securities set forth in item (xvii) of that paragraph having the same character as the securities set forth in item (xv) of that paragraph; the same applies in (b)), securities obtained through assumption with a holding period not exceeding 6 months, and those clearly not deliberately held for the purpose of providing funds to affiliated companies, notwithstanding the status of purchase or sale); ロ 他の会社又は第三者が発行したコマーシャル・ペーパー又は社債券(商品先物取引業者が当該他の会社から資本調達手段を受け入れている場合であって、当該商品先物取引業者が意図的に保有しているものに限る。) (b) commercial paper or corporate bonds issued by another company or third parties (limited to cases in which a commodity derivatives business operator has accepted a capital procurement means from the other company, and the commodity derivatives business operator deliberately holds the commercial paper or corporate bonds); ハ 金融商品取引法第二条第一項第六号から第八号までに掲げる有価証券若しくは新株予約権付社債券又は同項第十七号に掲げる有価証券でこれらの有価証券の性質を有するもの(金融商品取引所又は外国金融商品取引市場開設者に上場されている有価証券及び同法第六十七条の十一第一項の店頭売買有価証券登録原簿(これに類似するもので外国に備えられるものを含む。)に登録されている有価証券並びに引受けにより取得したもので保有期間が六月を超えないものを除く。) (c) securities or corporate bond certificates with share options set forth in Article 2, paragraph (1), items (vi) through (viii) of the Financial Instruments and Exchange Act, or securities set forth in item (xvii) of that paragraph having the same character as those securities (excluding securities listed on financial instruments exchanges or by foreign financial instruments exchange market establishers, securities and Japanese government bonds registered in the register of over-the-counter traded securities referred to in Article 67-11, paragraph (1) of the Financial Instruments and Exchange Act (including similar registers kept in foreign countries), and securities obtained through assumption with a holding period not exceeding 6 months). 六 第三者のために担保に供されている資産(前各号に掲げるものを除く。) (vi) assets supplied as collateral for a third party (excluding those set forth in the preceding items); 七 商品取引責任準備金 (vii) liability reserves for commodity trading; 八 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 (viii) in cases where there are allowances or reserves which are characterized as retained earnings among allowances or reserves obligated by the provisions of laws or regulations to be recorded in the liabilities section in relation to other businesses being operated, the allowances or reserves; 九 短期劣後債務(長期劣後債務(第五項各号に掲げる性質のすべてを有するものに限る。)のうち、資本金、新株式申込証拠金、資本剰余金、利益剰余金(社外流出予定額(配当及び役員賞与の予定額をいう。)を除く。)、その他有価証券評価差額金(貸借対照表の純資産の部に計上されるその他有価証券(財務諸表等規則第八条第二十二項に規定するその他有価証券をいう。次項において同じ。)の評価差額が負となる場合における当該評価差額をいう。)及び自己株式の合計額(次項において「基本的項目の額」という。)の五十パーセントに相当する額を超える額並びに次号に規定する減価したものの累計額の合計額に相当するものを含む。) (ix) short-term subordinated debts (including those equivalent to the total amount of an amount exceeding an amount equivalent to 50 percent of the total of, among the long-term subordinated debts (limited to those having all of the characteristics set forth in the items of paragraph (5)), capital, deposits for subscription for new shares, capital surplus, retained earnings (excluding the amount of scheduled disbursement (meaning planned amount of dividends and officer bonuses)), other securities variation difference (meaning the valuation difference in cases where the valuation difference of other securities recorded in the net assets section of the balance sheet is negative (meaning other securities prescribed in Article 8, paragraph (22) of the Regulation for Financial Statements; the same applies in the following paragraph)) and its own shares, and the cumulative amount of the depreciated items prescribed in the following item); 十 長期劣後債務(残存期間が五年以内になったものにあっては、毎年、残存期間が五年になった時点における額の二十パーセントに相当する額を累積的に減価したものに限る。) (x) long-term subordinated debts (for those with a remaining period of no more than 5 years, limited to debts for which an amount equivalent to 20 percent of the amount at the time the remaining period became 5 years is cumulatively depreciated every year). 2 前項の場合(法第九十九条第七項の規定を法第二百十一条第四項において準用する場合に限る。)において、前項第二号及び第七号から第十号までに掲げるものの額(同項第九号に掲げるものにあっては基本的項目の額から控除資産の額(同項第一号及び第三号から第六号までに掲げるものの額の合計額をいう。)を控除した額の二百パーセントに相当する額を限度とし、同項第十号に掲げるものにあっては基本的項目の額の五十パーセントに相当する額を限度とする。)並びにその他有価証券評価差額金(貸借対照表の純資産の部に計上されるその他有価証券の評価差額が正となる場合における当該評価差額をいう。)その他基本的項目の額以外の貸借対照表の純資産の部に計上されるものの額の合計額(第百条の二第二項において「補完的項目の額」という。)が基本的項目の額を超えてはならない。 (2) In the case referred to in the preceding paragraph (limited to cases in which the provisions of Article 99, paragraph (7) of the Act are applied mutatis mutandis pursuant to Article 211, paragraph (4) of the Act), the total amount of the amounts set forth in item (ii) and items (vii) through (x) of the preceding paragraph (for debts set forth in item (ix) of the same paragraph, up to a limit of an amount equivalent to 200 percent of an amount obtained by deducting the amount of deducted assets (meaning the total amount of the amounts set forth in item (i) and items (iii) through (vi) of that paragraph) from the amount of basic items, and for debts set forth in item (x) of that paragraph, up to an amount equivalent to 50 percent of the amount of the basic items), other securities valuation difference (meaning the valuation difference in the case where the other securities valuation difference recorded in the net assets section of the balance sheet is a positive number), and the amount of those recorded in the net assets section of the balance sheet other than other basic items (referred to as " amount of supplemental items" in Article 100-2, paragraph (2)) may not exceed the amount of the basic items. 3 第一項の資産及び負債の額は、純資産額の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。 (3) The amount of the assets and liabilities referred to in paragraph (1) must be based on the value assessed according to generally accepted corporate accounting standards on the day when the amount of the net assets is calculated. 4 第一項第九号に規定する短期劣後債務とは、劣後特約付借入金(元利金の支払について劣後的内容を有する特約が付された金銭の消費貸借による借入金をいう。以下同じ。)又は劣後特約付社債(元利金の支払について劣後的内容を有する特約が付された社債をいう。以下同じ。)であって、次に掲げる性質のすべてを有するものをいう。 (4) The short-term subordinated debts prescribed in paragraph (1), item (ix) are subordinated borrowings (meaning debts incurred by loan agreements with a special clause of subordinated contents for the payment of the interest and principal; the same applies hereinafter) or subordinated bonds (meaning bonds with a special clause of subordinated contents for the payment of the interest and principal; the same applies hereinafter) which have all the following characteristics: 一 担保が付されていないこと。 (i) collateral is not offered; 二 契約時又は発行時における借入期間又は償還期間が二年以上五年以内のものであること。 (ii) the loan period or redemption period at the time of concluding the contract or issuing the debt is between two years or longer and five years or shorter; 三 期限前弁済又は期限前償還(以下この条において「期限前弁済等」という。)の特約が付されている場合には、当該期限前弁済等が債務者である商品先物取引業者の任意によるものであり、かつ、当該商品先物取引業者が当該期限前弁済等を行うことについて主務大臣の承認を受けたときに限り、当該期限前弁済等を行うことができるものであること。 (iii) in cases where there is a special clause for payment before maturity or redemption before maturity (hereinafter referred to as the "payment before maturity, etc." in this Article), the payment before maturity, etc. may be made only when the payment before maturity, etc. is at the discretion of a commodity derivatives business operator who is a debtor, and the commodity derivatives business operator has obtained approval to make the payment before maturity, etc. from the competent minister; and 四 商品先物取引業者がその元利金の支払を行うことにより法第二百十一条第二項の規定に違反することとなる場合には、当該元利金の支払を行わない旨の特約が付されていること。 (iv) there is a special clause to the effect that the payment of the interest and principal is not to be made in cases where a commodity derivatives business operator violates the provisions of Article 211, paragraph (2) of the Act by paying the interest and principal. 5 第一項第九号及び第十号に規定する長期劣後債務とは、劣後特約付借入金又は劣後特約付社債であって、次に掲げる性質のすべてを有するものをいう。 (5) The long-term subordinated debts prescribed in paragraph (1), items (ix) and (x) are subordinated borrowings or subordinated bonds which have all the following characteristics: 一 担保が付されていないこと。 (i) collateral is not offered; 二 契約時又は発行時における借入期間又は償還期間が五年を超えるものであること。 (ii) the loan period or redemption period at the time of concluding the contract or issuing the debt is longer than five years; 三 期限前弁済等の特約が付されている場合には、当該期限前弁済等が債務者である商品先物取引業者の任意によるものであり、かつ、当該商品先物取引業者が当該期限前弁済等を行うことについて主務大臣の承認を受けたときに限り、当該期限前弁済等を行うことができるものであること。 (iii) in cases where there is a special clause for payment before maturity, etc., the payment before maturity, etc. may be made only at the discretion of a commodity derivatives business operator who is a debtor, and the commodity derivatives business operator has obtained approval to make the payment before maturity, etc. from the competent minister; 四 商品先物取引業者がその利金の支払を行うことにより法第二百十一条第二項の規定に違反することとなる場合には、当該利金の支払を行わない旨の特約が付されていること。 (iv) there is a special clause to the effect that the payment of the interest is not to be made in cases where a commodity derivatives business operator violates the provisions of Article 211, paragraph (2) of the Act by paying the interest. 6 第四項に規定する短期劣後債務又は前項に規定する長期劣後債務について、次の各号に掲げる場合においては、当該各号に定める額を当該短期劣後債務の額又は当該長期劣後債務の額から控除しなければならない。 (6) With regard to short-term subordinated debts prescribed in paragraph (4) or long-term subordinated debts prescribed in the preceding paragraph, in the cases set forth in the following items, the amount specified in each item must be deducted from the amount of the short-term subordinated debts or the long-term subordinated debts: 一 劣後特約付借入金の借入先が子会社(財務諸表等規則第八条第三項に規定する子会社(同条第七項の規定により子会社に該当しないものと推定される特定目的会社を除く。)をいう。以下同じ。)又は関連会社である場合 当該劣後特約付借入金の額 (i) in cases where subordinated borrowings have been borrowed from subsidiary companies (meaning subsidiary companies prescribed in Article 8, paragraph (3) of the Regulation for Financial Statements) (excluding special purpose companies presumed not to fall under subsidiary companies pursuant to the provisions of paragraph (7) of that Article) or affiliated companies: the amount of the subordinated borrowings; 二 劣後特約付社債の保有者(信託財産をもって保有する者を含む。次号において同じ。)が自己、子会社又は関連会社である場合 当該劣後特約付社債の額 (ii) in cases where the holder of subordinated bonds (including a person holding subordinated bonds by means of trust property; the same applies in the following item) is the relevant person, subsidiary companies, or affiliated companies: the amount of the subordinated bonds; 三 劣後特約付借入金の借入先又は劣後特約付社債の保有者に意図的に資金の提供を行っている場合 当該資金の額(当該資金の額が劣後特約付借入金の額及び劣後特約付社債の額の合計額を超える場合にあっては、当該合計額) (iii) in cases where funds are deliberately provided to a lender of subordinated borrowings or a holder of subordinated bonds: the amount of the funds (in cases where the amount of the funds exceeds the sum of subordinated borrowings and subordinated bonds, the sum). 7 第四項第三号又は第五項第三号の承認を受けようとする商品先物取引業者は、次に掲げる事項を記載した承認申請書に契約書の写し又はこれに準ずる書類を添付して、主務大臣に提出しなければならない。 (7) A commodity derivatives business operator that seeks to obtain the approval referred to in paragraph (4), item (iii) or paragraph (5), item (iii) must submit a written application for approval stating the following information to the competent minister with a copy of a contract or a document equivalent to the contract attached: 一 商号 (i) their trade name; 二 許可年月日又は許可更新年月日 (ii) the date of receiving the license or the date of the renewal of the license; 三 期限前弁済等の額(外貨建てである場合にあっては、期限前弁済等の額及びその円換算額) (iii) the amount of the payment before maturity, etc. (in cases where the amount is denominated in a foreign currency, the amount of the payment before maturity, etc. and the amount converted into yen); 四 現在及び期限前弁済等を行った後の短期劣後債務又は長期劣後債務の額(外貨建てである場合にあっては、短期劣後債務又は長期劣後債務の額及びその円換算額) (iv) the amount of the current short-term subordinated debts or long-term subordinated debts and that of the short-term subordinated debts or long-term subordinated debts after making the payment before maturity, etc. (in cases where the amount is denominated in a foreign currency, the amount of the short-term subordinated debts or long-term subordinated debts and the amount converted into yen); 五 期限前弁済等を行う理由 (v) the reasons for making the payment before maturity, etc.; 六 期限前弁済等の予定日 (vi) the scheduled date of the payment before maturity, etc.; 七 十分な純資産額規制比率(法第二百十一条第一項に規定する純資産額規制比率をいう。以下同じ。)を維持するための資本金調達その他の具体的措置の内容 (vii) the method of financing and other concrete measures for maintaining the sufficient net assets regulation ratio (meaning the net assets regulation ratio prescribed in Article 211, paragraph (1) of the Act; the same applies hereinafter); and 八 期限前弁済等を行った後の純資産額規制比率の推定値 (viii) the estimated net assets regulation ratio after making the payment before maturity, etc. 8 主務大臣は、第四項第三号又は第五項第三号の承認をしようとするときは、当該短期劣後債務又は当該長期劣後債務が純資産額規制比率を一時的かつ意図的に向上させたものでないことを確認の上、次に掲げる基準のいずれかに適合するかどうかを審査しなければならない。 (8) When seeking to grant the approval under paragraph (4), item (iii) or paragraph (5), item (iii), the competent minister must confirm in advance that the short-term subordinated debts or long-term subordinated debts have not improved the net assets regulation ratio temporarily and deliberately, and examine whether the short-term subordinated debts or the long-term subordinated debts meet any of the following criteria: 一 当該期限前弁済等を行った後において当該商品先物取引業者が十分な純資産額規制比率を維持することができると見込まれること。 (i) it is expected that the commodity derivatives business operator is able to maintain a sufficient net assets regulation ratio after making the payment before maturity, etc.; 二 当該期限前弁済等の額以上の額の資本金調達を行うこと。 (ii) funds larger than the amount of the payment before maturity, etc. are to be raised. 9 第一項第一号ハに掲げる前渡金のうち、仕入れに係る消費税の前渡金であって、その額がその他の預り金に計上した売上げに係る消費税の額に達するまでのものについては、その額を当該前渡金の額から控除することができる。 (9) Among the advance payments set forth in paragraph (1), item (i), (c), the amount of advance payments of consumption tax related to purchases the amount of which is less than the amount of consumption tax related to sales recorded as other payables may be deducted from the amount of the advance payment. 10 次の各号に掲げるものについては、その額から当該各号に定める額を控除することができる。 (10) The amounts prescribed in the following items may be deducted from that amount: 一 第一項第一号ロに規定する短期貸付金 当該短期貸付金の貸付先から預託を受けている担保金その他の資産の評価額 (i) short-term loans prescribed in paragraph (1), item (i), (b): collateral money deposited by the recipient of the short-term loan and other asset appraisal values; 二 第一項第五号イに規定する関係会社が発行した有価証券 当該有価証券に担保として付されている担保金その他の資産の評価額 (ii) securities issued by an affiliated company prescribed in paragraph (1), item (v), (a): collateral money assigned as collateral for the securities and other asset appraisal values; 三 第一項第六号に規定する第三者のために担保に供されている資産 当該第三者から預託を受けている担保金その他の資産の評価額 (iii) assets provided as collateral for third parties prescribed in paragraph (1), item (vi): collateral money deposited by the third party and other asset appraisal values. 11 第一項第一号ロ及び第五号イの「関係会社」とは、次に掲げる者をいう。 (11) The term "related company" as used in paragraph (1), item (i), (b) and item (v), (a) means the following entities: 一 商品先物取引業者の親会社 (i) the parent company of a commodity derivatives business operator; 二 商品先物取引業者の子会社 (ii) a subsidiary company of a commodity derivatives business operator; 三 商品先物取引業者の関連会社 (iii) an affiliated company of a commodity derivatives business operator; 四 商品先物取引業者の親会社の子会社(財務諸表等規則第八条第三項及び第七項の規定により当該親会社の子会社とされる者(当該商品先物取引業者及び前三号に掲げる者を除く。)をいう。) (iv) a subsidiary company of the parent company of a commodity derivatives business operator (meaning an entity considered to be a subsidiary company of the parent company pursuant to the provisions of Article 8, paragraphs (3) and (7) of the Regulation for Financial Statements (excluding the commodity derivatives business operator and the entities set forth in the preceding three items)); 五 商品先物取引業者の親会社の関連会社(財務諸表等規則第八条第五項の規定により当該親会社の関連会社とされる者(第三号に掲げる者を除く。)をいう。) (v) an affiliated company of the parent company of a commodity derivatives business operator (meaning an entity considered to be a subsidiary company of the parent company pursuant to provisions of Article 8, paragraph (5) of the Regulation for Financial Statements (excluding the entities set forth in item (iii))). 12 第一項第一号ロ及び第五号イの「連結会社」とは、次に掲げる者をいう。 (12) The term "consolidated company" as used in paragraph (1), item (i), (b) and item (v), (a) means the following entities: 一 商品先物取引業者(連結財務諸表提出会社(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)第二条第一号に規定する連結財務諸表提出会社又は外国におけるこれに相当する者をいう。次号において同じ。)に限る。)の連結子会社(同条第四号に規定する連結子会社又は外国におけるこれに相当する者をいう。次号において同じ。) (i) a consolidated subsidiary company of the commodity derivatives business operator (limited to consolidated subsidiary company (meaning a consolidated subsidiary company prescribed in Article 2, item (iv) of the Regulation on Terminology, Forms, and Preparation Methods of Consolidated Financial Statements (Order No. 28 of the Ministry of Finance of 1976) or an equivalent entity in foreign countries; the same applies in the following item) of companies filing consolidated financial statements (meaning a company filing consolidated financial statements prescribed in item (i) of that Article or equivalent entities in foreign countries; the same applies in the following item)); 二 商品先物取引業者を連結子会社とする連結財務諸表提出会社及びその連結子会社(当該商品先物取引業者及び前号に掲げる者を除く。) (ii) a company filing consolidated financial statements that has a commodity derivatives business operator as a consolidated subsidiary company and its consolidated subsidiary company (excluding the commodity derivatives business operator and the entities set forth in the preceding item). 13 前各項に規定するもののほか、純資産額の計算に関し必要な事項は、主務大臣が定める。 (13) Beyond what is provided for in the preceding paragraphs, necessary matters for calculating the net asset amounts are specified by the competent minister. (有価証券及び倉荷証券の充用価格) (Allocation Price of Securities and Warehouse Receipts) 第三十九条 法第百一条第三項又は法第百三条第五項(法第百七十九条第六項において準用する場合を含む。)の有価証券及び倉荷証券の充用価格は、次の各号に掲げる区分に応じ、当該各号に定める額を超えてはならない。 Article 39 (1) The allocation price of the securities and warehouse receipts referred to in Article 101, paragraph (3) or Article 103, paragraph (5) of the Act (including as applied mutatis mutandis pursuant to Article 179, paragraph (6) of the Act) must not exceed the amount prescribed in the following items in accordance with the category set forth in each of those items: 一 国債証券、地方債証券、特別の法律により法人の発行する債券、日本銀行の発行する出資証券、社債券又は受益証券 時価の九割九分以下において商品取引所(法第百七十九条第六項において法第百三条第五項を準用する場合には、商品取引清算機関。以下この項において同じ。)が規則で定める最高限度額 (i) national government bond certificates, local government bond certificates, bond certificates issued by a corporation pursuant to special laws, investment securities issued by the Bank of Japan, corporate bond certificates, or beneficiary certificates: the maximum limit a commodity exchange specifies in its rules (in cases where Article 103, paragraph (5) of the Act is applied mutatis mutandis pursuant to Article 179, paragraph (6) of the Act, a commodity clearing organization; hereinafter, the same applies in this paragraph) within the limit of 99 percent of the market value; 二 株券 時価の七割以下において商品取引所が規則で定める最高限度額 (ii) share certificates: the maximum limit a commodity exchange specifies in its rules within 70 percent of the market value; 三 倉荷証券 当該倉荷証券によって保管を証せられている上場商品の時価の七割以下において商品取引所が規則で定める最高限度額 (iii) warehouse receipts: the maximum limit a commodity exchange specifies in its rules within 70 percent of the market value of the listed commodities whose retention is proved by the warehouse receipts. 2 前項の規定により商品取引所(法第百七十九条第六項において法第百三条第五項を準用する場合には商品取引清算機関)が国債証券、地方債証券、特別の法律により法人の発行する債券、日本銀行の発行する出資証券、株券、社債券、受益証券又は倉荷証券について充用価格の最高限度額を定めた後において、時価が当該最高限度額を下回ることとなったときは、商品取引所(法第百七十九条第六項において法第百三条第五項を準用する場合には商品取引清算機関)は、遅滞なく、前項の規定により当該最高限度額を変更しなければならない。 (2) After a commodity exchange (in cases where Article 103, paragraph (5) of the Act is applied mutatis mutandis pursuant to Article 179, paragraph (6) of the Act, a commodity clearing organization) has specified the maximum limit of the allocation price for national government bond certificates, local government bond certificates, bond certificates issued by a corporation pursuant to special laws, investment securities issued by the Bank of Japan, shares, corporate bond certificates, beneficiary certificates, or warehouse receipts, pursuant to the provisions of the preceding paragraph, if the market value becomes lower than the maximum limit, a commodity exchange (in cases where Article 103, paragraph (5) of the Act is applied mutatis mutandis pursuant to Article 179, paragraph (6) of the Act, a commodity clearing organization) must change the maximum limit pursuant to the provisions of the preceding paragraph without delay. (取引証拠金の預託方法) (Methods of Depositing Clearing Margins) 第四十条 商品取引所は、法第百三条第一項の規定に基づき取次者(同項第二号に規定する取次者をいう。以下この条から第四十三条までにおいて同じ。)、委託者(同号に規定する委託者をいう。以下この条から第四十三条までにおいて同じ。)又は取次委託者(同項第四号に規定する取次委託者をいう。以下この条から第四十三条までにおいて同じ。)から取引証拠金の預託を受けるときは、次の各号に掲げる場合の区分に応じ、当該各号に定める者を代理人として当該取引証拠金の預託を受けなければならない。 Article 40 (1) When a commodity exchange receives the deposit of clearing margins from a broker (meaning a broker prescribed in Article 103, paragraph (1), item (ii) of the Act; hereinafter the same applies in this Article through Article 43), a consignor (meaning a consignor prescribed in that item; hereinafter the same applies in this Article through Article 43), or a person that entrusts brokerage (meaning a person that entrusts brokerage prescribed in item (iv) of that paragraph; hereinafter the same applies in this Article through Article 43), pursuant to the provisions of Article 103, paragraph (1) of the Act, the commodity exchange must receive the deposit of the clearing margins through an agent specified in the following items in accordance with the category of cases set forth in each of those items: 一 法第百三条第一項第二号又は第三号に規定する場合 当該取引を受託した会員等 (i) in the case prescribed in Article 103, paragraph (1), item (ii) or (iii) of the Act: a member, etc. who has become entrusted with the transaction; 二 法第百三条第一項第四号に規定する場合 当該取引に係る取次者及び当該取引を受託した会員等 (ii) in the case prescribed in Article 103, paragraph (1), item (iv) of the Act: a broker related to the transaction and a member, etc. who has become entrusted with the transaction. 2 商品取引所は、法第百三条第一項の規定に基づき会員等又は取次者から取引証拠金の預託を受けるとき(会員等が自己の計算において商品市場における取引を行う場合を除く。)は、次の各号に掲げる場合の区分に応じ、当該各号に定める者が当該取引証拠金(当該各号に定める者が預託した委託証拠金又は取次証拠金の額の範囲内に限る。)に対する返還請求権を有するものとしなければならない。 (2) When a commodity exchange receives the deposit of clearing margins from a member, etc. or a broker pursuant to the provisions of Article 103, paragraph (1) of the Act (excluding cases where a member, etc. conducts transactions in a commodity market on their own account), the commodity exchange must consider that the person specified in the following items in accordance with the category of cases set forth in each of those items has the right to claim the return for the clearing margin (limited to the scope of the amount of the consignor margin or brokerage margin which the person specified in the items has deposited): 一 会員等が委託者から委託証拠金の預託を受けて商品取引所に取引証拠金を預託した場合 当該委託者 (i) in cases where a member, etc. has received the deposit of consignor margins from a consignor and deposited the clearing margins with a commodity exchange: the consignor; 二 会員等が取次者(取次委託者から取次証拠金の預託を受けている者に限る。)又は取次委託者から委託証拠金の預託を受けて商品取引所に取引証拠金を預託した場合 当該取次委託者 (ii) in cases where a member, etc. has received the deposit of consignor margin from a broker (limited to the person who has received the deposit of clearing margin from a person that entrust brokerage) or a person that entrusts brokerage and deposited a clearing margin with a commodity exchange: the person that entrusts brokerage; 三 取次者が取次委託者から取次証拠金の預託を受けて商品取引所に取引証拠金を預託した場合 当該取次委託者 (iii) in cases where a broker has received the deposit of a brokerage margin from a person that entrust brokerage and deposited a clearing margin with a commodity exchange: the person that entrusts brokerage. (委託証拠金の預託に係る委託者等の同意) (Consent of a Consignor Related to the Deposit of Consignor Margin) 第四十一条 会員等は、法第百三条第二項の規定により、委託者、取次者又は取次委託者(以下この条において「委託者等」という。)をして委託証拠金を預託させるときは、当該委託者等から、自己に対して当該委託証拠金を預託させることについての書面による同意を得なければならない。 Article 41 (1) When a member, etc. has a consignor, a broker, or a person that entrusts brokerage (hereinafter referred to as a "consignor, etc." in this Article) deposit a consignor margin pursuant to the provisions of Article 103, paragraph (2) of the Act, the member, etc. must obtain a written consent from the consignor, etc. to the effect that the consignor margin will be deposited with them. 2 会員等は、法第百三条第二項の規定により、取次委託者をして委託証拠金を預託させるときは、当該取次委託者から商品市場における取引の委託の取次ぎを受託した取次者を代理人として当該委託証拠金の預託を受けなければならない。 (2) When a member, etc. has a person that entrusts a brokerage deposit a consignor margin pursuant to the provisions of Article 103, paragraph (2) of the Act, the member, etc. must receive the deposit of the consignor margin through the broker, as an agent, who has accepted the brokerage of the consignment of transactions in a commodity market from the person that entrusts brokerage. 3 会員等は、第一項の規定による委託者等の書面による同意に代えて、第六項で定めるところにより、当該委託者等の承諾を得て、当該委託者等の同意を電子情報処理組織を使用する方法その他の情報通信の技術を利用する方法であって次に掲げるもの(以下この条において「電磁的方法」という。)により得ることができる。この場合において、当該会員等は、当該委託者等の書面による同意を得たものとみなす。 (3) A member, etc. may, in lieu of the written consent of a consignor, etc. pursuant to the provisions of paragraph (1), obtain the consent of the consignor, etc. by a means using an electronic data processing system or a means using other information communications technology which are set forth as follows (hereinafter referred to as an "electronic or magnetic means" in this Article) by obtaining an approval of the consignor, etc., pursuant to the provisions of paragraph (6). In such a case, the member, etc. is deemed to have obtained the written consent of the consignor, etc.: 一 電子情報処理組織を使用する方法のうちイ又はロに掲げるもの (i) among the means of using an electronic data processing system, the means set forth in (a) or (b); イ 会員等の使用に係る電子計算機と委託者等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) a means of transmitting information through a telecommunications line that connects a computer used by a member, etc. and a computer used by a consignor, etc. and recording the information in a file on a computer used by the receiver; ロ 会員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当該委託者等の同意に関する事項を電気通信回線を通じて委託者等の閲覧に供し、当該会員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委託者等の同意に関する事項を記録する方法 (b) a means of providing information concerning the consent of the consignor, etc. recorded in a file on a computer used by a member, etc. for the inspection of consignors, etc. through a telecommunications line, and recording information concerning the consent of the consignor, etc. in a file on a computer used by the member, etc.; 二 磁気ディスクその他これ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委託者等の同意に関する事項を記録したものを得る方法 (ii) a means of obtaining the information concerning the consent of a consignor, etc. recorded in a file prepared in the form of a magnetic disk or an equivalent means that can record certain information securely. 4 前項各号に掲げる方法は、委託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。 (4) The means set forth in the preceding items must be those that enable a consignor, etc. to prepare a document by outputting the record in a file. 5 第三項の「電子情報処理組織」とは、会員等の使用に係る電子計算機と、委託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。 (5) The term "electronic data processing system" as used in paragraph (3) means an electronic data processing system that connects a computer used by a member, etc. and a computer used by a consignor, etc. through a telecommunications line. 6 会員等は、第三項の規定により委託者等の同意を得ようとするときは、あらかじめ、当該委託者等に対し、その用いる次に掲げる電磁的方法の種類及び内容を示し、書面又は電磁的方法による承諾を得なければならない。 (6) When a member seeks to obtain consent from a consignor, etc. pursuant to the provisions of paragraph (3), the member must indicate to the consignor, etc. the type and content of the following electronic or magnetic means which they seek to use and obtain consent in writing or by an electronic or magnetic means, in advance: 一 第三項各号に掲げる方法のうち会員等が使用するもの (i) among the means set forth in each of the items of paragraph (3), the means a member, etc. is to use; 二 ファイルへの記録の方式 (ii) a means of recording the information in a file. 7 前項の規定による承諾を得た会員等は、当該委託者等から書面又は電磁的方法により電磁的方法による同意を行わない旨の申出があったときは、当該委託者等の同意を電磁的方法によって得てはならない。ただし、当該委託者等が再び同項の規定による承諾をした場合は、この限りでない。 (7) A member, etc. who has obtained consent pursuant to the provisions of the preceding paragraph must not obtain the consent by an electronic or magnetic means when the consignor, etc. has stated in writing or by an electronic or magnetic means that they will not give consent by an electronic or magnetic means; provided, however, that this does not apply when the consignor, etc. has given their consent referred to in that paragraph at another time. (取次証拠金の預託に係る取次委託者の同意等) (Consent of Person that Entrusts Brokerage Concerning the Deposit of Brokerage Margin) 第四十二条 取次者は、法第百三条第三項の規定により、取次委託者をして取次証拠金を預託させるときは、当該取次委託者から、自己に対して当該取次証拠金を預託させることについての書面による同意を得なければならない。 Article 42 (1) When a broker has a person that entrusts brokerage deposit a brokerage margin pursuant to the provisions of Article 103, paragraph (3) of the Act, the broker must obtain written consent from the person that entrusts brokerage that the brokerage margin would be deposited with them. 2 前条第三項から第七項までの規定は、前項の規定による取次委託者の書面による同意について準用する。 (2) The provisions of paragraphs (3) through (7) of the preceding Article apply mutatis mutandis to the written consent of a person that entrusts brokerage under the provisions of the preceding paragraph. (商品取引所における取引証拠金の分別管理) (Separate Management of Clearing Margins at Commodity Exchanges) 第四十三条 商品取引所は、法第百三条第四項の規定に基づき取引証拠金を管理するときは、次の各号に掲げる区分ごと、かつ、会員等ごとに、自己の固有財産その他の取引証拠金以外の財産と分別して管理しなければならない。 Article 43 (1) When a commodity exchange manages a clearing margin based on the provisions of Article 103, paragraph (4) of the Act, it must manage the clearing margin separately from its own property and property other than the clearing margin for each category set forth in the following items and for each member: 一 法第百三条第一項第一号に掲げる場合のうち会員等が自己の計算において商品市場における取引を行うときに、同項の規定に基づき当該会員等から預託を受けた取引証拠金 (i) among the cases set forth in Article 103, paragraph (1), item (i) of the Act, in cases where a member conducts transactions in a commodity market on their own account, the clearing margin deposited by the member based on the provisions of that paragraph; 二 法第百三条第一項第一号に掲げる場合のうち会員等が受託した商品市場における取引を同条第二項の規定に基づき委託証拠金の預託を受けて行うときに、同条第一項の規定に基づき当該会員等から預託を受けた取引証拠金 (ii) among the cases set forth in Article 103, paragraph (1), item (i) of the Act, in cases where a member conducts transactions in a commodity market which they have accepted consignment by receiving the deposit of a consignor margin based on the provisions of paragraph (2) of that Article, the clearing margin deposited by the member based on the provisions of paragraph (1) of that Article; 三 法第百三条第一項第二号又は第四号に掲げる場合に、同項の規定に基づき委託者又は取次委託者から預託を受けた取引証拠金 (iii) in the cases set forth in Article 103, paragraph (1), item (ii) or (iv) of the Act, the clearing margin deposited by a consignor or a person that entrusts brokerage based on the provisions of that paragraph; 四 法第百三条第一項第三号に掲げる場合に、同項の規定に基づき取次者から預託を受けた取引証拠金 (iv) in the cases set forth in Article 103, paragraph (1), item (iii) of the Act, the clearing margin deposited by a broker based on the provisions of that paragraph. 2 商品取引所は、法第百三条第四項の規定に基づき取引証拠金を管理するときは、次項の規定に基づき管理されるものを除き、次に掲げる方法により当該取引証拠金を管理しなければならない。 (2) When a commodity exchange manages a clearing margin based on the provisions of Article 103, paragraph (4) of the Act, it must manage the clearing margin by the following methods, excluding those managed based on the provisions of the following paragraph: 一 銀行への預金(取引証拠金であることがその名義により明らかなものに限る。) (i) by depositing money in a bank account (limited to deposit accounts that are clearly identifiable as clearing margins by the account name); 二 信託業務を営む金融機関(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)第一条第一項の認可を受けた金融機関をいう。以下同じ。)への金銭信託(同法第六条の規定により元本の補てんの契約をしたものであって、取引証拠金であることがその名義により明らかなものに限る。) (ii) by using money trust (limited to money trust with a contractual agreement for compensation of the principal pursuant to the provisions of Article 6 of the Act on Engagement in Trust Business by Financial Institutions (Act No. 43 of 1943), and which are clearly identifiable as clearing margins by the account name) of financial institution engaged in trust business (meaning financial institutions that have obtained the approval set forth in Article 1, paragraph (1) of that Act; the same applies hereinafter); or 三 国債、地方債又は政府保証債(その元本の償還及び利息の支払について政府が保証する債券をいう。第七十四条第二項第三号において同じ。)の保有 (iii) by holding Japanese government bonds, local government bonds, or government guaranteed bonds (meaning bonds for which the national government guarantees redemption of principal and interest payments; the same applies in Article 74, paragraph (2), item (iii)). 3 商品取引所は、法第百三条第四項の規定に基づき充用有価証券等(同条第五項の規定により取引証拠金に充てられる有価証券及び倉荷証券(以下この条において「有価証券等」という。)をいう。以下この条において同じ。)を管理するときは、次の各号に掲げる有価証券等の区分に応じ、当該各号に定める方法により当該充用有価証券等を管理しなければならない。 (3) When a commodity exchange manages securities, etc. for allocation (meaning securities and warehouse receipts allocated for clearing margins pursuant to the provisions of Article 103, paragraph (5) of the Act (hereinafter referred to as "securities, etc." in this Article); hereinafter the same applies in this Article) based on the provisions of paragraph (4) of that Article, the commodity exchange must manage the securities, etc. for allocation by the methods specified in the following items in accordance with the category of securities, etc. set forth in each of those items: 一 商品取引所が保管することにより管理する有価証券等(混合して保管される有価証券等を除く。次号において同じ。) 充用有価証券等の保管場所については自己の固有財産である有価証券等その他の充用有価証券等以外の有価証券等(以下この条において「固有有価証券等」という。)の保管場所と明確に区分し、かつ、当該充用有価証券等についてどの会員等から又はどの会員等を通じ預託を受けた有価証券等であるかが直ちに判別できる状態で保管することにより管理する方法 (i) securities, etc. managed by a commodity exchange by retaining them (excluding securities, etc. which are commingled and retained; the same applies in the following item): a management method by which the location of the retention of securities, etc. for allocation is clearly separate from that for the securities of the commodity exchange's own property and securities other than the securities, etc. for allocation (hereinafter referred to as the "private securities" in this Article), and the securities, etc. for allocation are retained in a condition that is immediately distinguishable as to which member, etc. has deposited the property or through which member, etc. the property has been deposited; 二 商品取引所が第三者をして保管させることにより管理する有価証券等 当該第三者をして、充用有価証券等の保管場所については固有有価証券等の保管場所と明確に区分させ、かつ、当該充用有価証券等についてどの会員等から又はどの会員等を通じ預託を受けた有価証券等であるかが直ちに判別できる状態で保管させることにより管理する方法 (ii) securities managed by a commodity exchange by having a third party retain them: a management method by which the commodity exchange uses a third party to control the location of the retention of securities, etc. for allocation by clearly separating them from that for the private securities, and to retain the securities, etc. for allocation in a condition that is immediately distinguishable as to which member, etc. has deposited the property or through which member, etc. the property has been deposited; 三 商品取引所が保管することにより管理する有価証券等(混合して保管される有価証券等に限る。次号において同じ。) 充用有価証券等の保管場所については固有有価証券等の保管場所と明確に区分し、かつ、各会員等から又は各会員等を通じ預託を受けた充用有価証券等に係る持分が自己の帳簿により直ちに判別できる状態で保管することにより管理する方法 (iii) securities managed by a commodity exchange by retaining them (limited to the securities which are commingled and retained; the same applies in the following item): a management method by which the location of the retention of securities, etc. for allocation is clearly separate from that for the private securities, and the securities, etc. for allocation are retained in a condition that the equity interests for the securities, etc. for allocation deposited by or through each member, etc. are immediately distinguishable by their own books; 四 商品取引所が第三者をして保管させることにより管理する有価証券等 当該第三者をして、充用有価証券等を預託する者のための口座については商品取引所の自己の口座と区分する等の方法により、充用有価証券等に係る持分が直ちに判別でき、かつ、各会員等から又は各会員等を通じ預託を受けた充用有価証券等に係る持分が自己の帳簿により直ちに判別できる状態で保管させることにより管理する方法 (iv) securities managed by a commodity exchange by having a third party retain them: a management method by which the commodity exchange has a third party retain the securities in a condition in which the equity interests for the securities, etc. for allocation are immediately distinguishable by the method of separating the account for the person depositing the securities, etc. for allocation from the commodity exchange's own account, and by the method in which the equity interests for the securities, etc. for allocation deposited by or deposited through each member, etc. are immediately distinguishable by their own books. (法第百三条第七項の取引証拠金の預託に代わる契約等) (Contracts in Lieu of the Deposit of Clearing Margin Referred to in Article 103, Paragraph (7) of the Act) 第四十四条 法第百三条第七項の主務省令で定める金融機関(以下この条及び第四十五条の二第一項において「銀行等」という。)は、次に掲げるものとする。 Article 44 (1) The financial institutions specified by order of the competent ministry as referred to in Article 103, paragraph (7) of the Act (hereinafter referred to as a "bank, etc." in this Article and Article 45-2, paragraph (1)) are as follows: 一 銀行 (i) a bank; 二 株式会社商工組合中央金庫 (ii) the Shoko Chukin Bank, Ltd.; 三 信用協同組合 (iii) a credit cooperative; 四 信用金庫 (iv) a Shinkin Bank; 五 農林中央金庫 (v) the Norinchukin Bank; 六 業として預金又は貯金の受入れをすることができる農業協同組合及び農業協同組合連合会 (vi) an agricultural cooperative or a federation of agricultural cooperatives which can accept deposits or savings in the course of trade; 七 信託会社(信託業法第二十一条第二項の規定に基づき、債務の保証に関する業務を行うことについて内閣総理大臣の承認を受けた者に限る。) (vii) a trust company (limited to an entity that is approved by the Prime Minister for conducting business concerning the guarantee of obligations based on the provisions of Article 21, paragraph (2) of the Trust Business Act); and 八 保険会社 (viii) an insurance company. 2 会員等又は取次者(法第百三条第七項に規定する会員等又は取次者をいう。以下この条において同じ。)は、銀行等と同項の契約を締結しようとする場合には、その内容を次に掲げる要件に適合するものとしなければならない。 (2) In cases where a member, etc. or broker (meaning a member, etc. or broker prescribed in Article 103, paragraph (7) of the Act; hereinafter the same applies in this Article) seeks to conclude a contract referred to in that paragraph with a bank, etc., the member, etc. or broker must ensure that the content of the contract meets the following requirements: 一 法第百三条第十項の規定による商品取引所の指示を受けたときは、当該会員等又は取次者のために当該指示に係る額の取引証拠金が遅滞なく当該商品取引所に預託されるものであること。 (i) when receiving an instruction from a commodity exchange pursuant to the provisions of Article 103, paragraph (10), the amount of the clearing margin related to the instruction will be deposited with the commodity exchange for the member, etc. or broker, without delay; 二 当該契約に基づく銀行等の債務と当該会員等又は取次者に対する債権を相殺することを禁止するものであること。 (ii) it is prohibited to set off debts of a bank, etc. based on the contract against the claims for the member, etc. or the broker; 三 三月以上の期間にわたって有効な契約であること。 (iii) the contract is valid for the period of three months or longer; 四 会員等又は取次者は、あらかじめ主務大臣及び商品取引所(法第百三条第七項の規定による届出を受けた商品取引所に限る。以下この条において同じ。)の承認を受けた場合を除き、契約の解除又は契約の内容の変更をすることができないものであること。 (iv) a member, etc. or broker may not cancel the contract or change the content of the contract, except when the member, etc. or broker has received approval from the competent minister and a commodity exchange (limited to a commodity exchange which received a notification pursuant to the provisions of Article 103, paragraph (7) of the Act; hereinafter the same applies in this Article) in advance; 五 会員等又は取次者は、契約が終了する日の一月前までに、その旨を商品取引所に通知をするものとすること。 (v) a member, etc. or broker must notify the termination of the contract to a commodity exchange by one month prior to the day of termination. 3 会員等又は取次者は、法第百三条第七項の契約の締結(契約の変更を含む。)に係る承認を受けようとするときは、次に掲げる事項を記載した承認申請書を主務大臣に提出しなければならない。 (3) When a member, etc. or broker seeks to receive approval related to the conclusion of a contract (including a change to a contract) referred to in Article 103, paragraph (7) of the Act, the member, etc. or broker must submit a written application for approval that states the following information to the competent minister: 一 締結をしようとする契約の相手方である銀行等の商号又は名称 (i) the trade name or name of the bank, etc. which is the counterparty to the contract to be concluded; 二 当該契約の内容 (ii) the content of the contract; 三 当該契約につき担保を供する場合にあっては、当該担保に関する事項 (iii) in cases where collateral is offered for the contract, information concerning the collateral; and 四 届出をしようとする商品取引所の名称又は商号 (iv) the name or trade name of the commodity exchange to which the member, etc. or broker seeks to give notification. 4 主務大臣は、前項の承認の申請が次に掲げる要件に適合していると認めるときは、同項の承認をしなければならない。 (4) When the competent minister finds that the application for approval referred to in the preceding paragraph meets the following requirements, the minister must grant the approval referred to in that paragraph: 一 申請に係る契約の内容が第二項各号に掲げる要件に適合するものであること。 (i) the content of the contract related to the application meets the requirements set forth in each item of paragraph (2); 二 当該契約の相手方である銀行等が当該契約を履行するのに必要な資力及び信用を有すること。 (ii) the bank, etc. which is the counterparty to the contract has the funds and credit necessary to perform the contract; 三 承認申請者の業務又は財産の状況に照らし、当該契約を締結することが委託者の保護上問題がないと認められること。 (iii) in light of the status of the business or property of the applicant for approval, it is found that the conclusion of the contract does not cause any problem for the protection of consignors. 5 会員等又は取次者は、法第百三条第七項の契約を締結したとき(当該契約を変更したときを含む。)は、その契約書の写しを主務大臣及び商品取引所に提出しなければならない。 (5) When a member, etc. or broker has concluded a contract referred to in Article 103, paragraph (7) of the Act (including when a change has been made to the contract), the member, etc. or broker must submit a copy of the contract to the competent minister and a commodity exchange. 6 会員等又は取次者は、法第百三条第七項の契約を解除したときは、その事実を証する書面を主務大臣及び商品取引所に提出しなければならない。 (6) When a member, etc. or broker has canceled a contract referred to in Article 103, paragraph (7) of the Act, the member, etc. or broker must submit a document stating that fact to the competent minister and a commodity exchange. (商品取引清算機関に係る法第百三条第七項の取引証拠金の預託に代わる契約の規定の準用) (Application, Mutatis Mutandis of the Provisions of Contract in Lieu of the Deposit of Clearing Margin Referred to in Article 103, Paragraph (7) of the Act Related to a Commodity Clearing Organization) 第四十五条 前条の規定は、法第百七十九条第七項において法第百三条第七項の規定を準用する場合について準用する。この場合において、前条第二項第一号中「第百三条第十項」とあるのは「第百七十九条第七項において準用する法第百三条第十項」と、同項並びに同条第三項、第五項及び第六項中「会員等又は取次者」とあるのは「会員等又は取次者等」と、「商品取引所」とあるのは「商品取引清算機関」と読み替えるものとする。 Article 45 The provisions of the preceding Article apply mutatis mutandis to cases in which the provisions of Article 103, paragraph (7) of the Act are applied mutatis mutandis pursuant to Article 179, paragraph (7) of the Act. In such a case, the term "Article 103, paragraph (10)" in paragraph (2), item (i) of the preceding Article is deemed to be replaced with "Article 103, paragraph (10) of the Act as applied mutatis mutandis pursuant to Article 179, paragraph (7)," the terms "a member, etc. or broker" and "a commodity exchange" in that paragraph and paragraphs (3), (5), and (6) of that Article are deemed to be replaced with "a member, etc. or a broker, etc." and "a commodity clearing organization", respectively. (法第百三条第八項の取引証拠金の預託に代わる契約) (Contract in Lieu of the Deposit of Clearing Margin Referred to in Article 103, Paragraph (8) of the Act) 第四十五条の二 会員等、取引の委託者又は取次委託者(法第百三条第八項に規定する会員等、取引の委託者又は取次委託者をいう。以下この条において同じ。)は、銀行等と同項の契約を締結しようとする場合には、その内容を次に掲げる要件に適合するものとしなければならない。 Article 45-2 In cases where a member, etc., or a consignor or a person that entrusts brokerage of a transaction (meaning a member, etc., a consignor or a person that entrust brokerage of a transaction, prescribed in Article 103, paragraph (8) of the Act; hereinafter the same applies in this Article) seeks to conclude a contract referred to in that paragraph with a bank, etc., the person must ensure that the content of the contract meets the following requirements: 一 法第百三条第十一項の規定による商品取引所の指示を受けたときは、当該会員等、取引の委託者又は取次委託者のために当該指示に係る額の取引証拠金が遅滞なく当該商品取引所に預託されるものであること。 (i) when receiving an instruction from a commodity exchange pursuant to the provisions of Article 103, paragraph (11) of the Act, the amount of the clearing margin related to the instruction is to be deposited with the commodity exchange for the member, etc., or the consignor or the person that entrusts brokerage of a transaction; 二 当該契約に基づく銀行等の債務と当該会員等、取引の委託者又は取次委託者に対する債権を相殺することを禁止するものであること。 (ii) it is prohibited to set off debts of a bank, etc. based on the contract against the claims for the member, etc., or the consignor or the person that entrusts brokerage of a transaction; 三 三月以上の期間にわたって有効な契約であること。 (iii) the contract is valid for the period of three months or longer; 四 会員等、取引の委託者又は取次委託者は、あらかじめ商品取引所(法第百三条第八項の規定による届出を受けた商品取引所に限る。以下この条において同じ。)の承認を受けた場合を除き、契約の解除又は契約の内容の変更をすることができないものであること。 (iv) a member, etc., or a consignor or a person that entrusts brokerage of the transaction may not cancel the contract or change the contents of the contract, except when they have received approval from a commodity exchange (limited to a commodity exchange which received a notification pursuant to the provisions of Article 103, paragraph (8) of the Act; hereinafter the same applies in this Article) in advance; 五 会員等、取引の委託者又は取次委託者は、契約が終了する日の一月前までに、その旨を商品取引所に通知をするものとすること。 (v) a member, etc., or a consignor or a person that entrusts brokerage of a transaction is to notify the termination of the contract to a commodity exchange by one month prior to the day of termination. 2 会員等、取引の委託者又は取次委託者は、法第百三条第八項の契約を締結したとき(当該契約を変更したときを含む。)は、その契約書の写しを商品取引所に提出しなければならない。 (2) When a member, etc., or a consignor or a person that entrusts brokerage of a transaction has concluded a contract referred to in Article 103, paragraph (8) of the Act (including when a change has been made to the contract), the person must submit a copy of the contract to a commodity exchange. 3 会員等、取引の委託者又は取次委託者は、法第百三条第八項の契約を解除したときは、その事実を証する書面を商品取引所に提出しなければならない。 (3) When a member, etc., or a consignor or a person that entrusts brokerage of a transaction has canceled a contract set forth in Article 103, paragraph (8) of the Act, the person must submit a document proving that fact to a commodity exchange. (商品取引清算機関に係る法第百三条第八項の取引証拠金の預託に代わる契約の規定の準用) (Application, Mutatis Mutandis of the Provisions of Contract in Lieu of the Deposit of Clearing Margin Referred to in Article 103, Paragraph (8) of the Act Related to Commodity Clearing Organizations) 第四十五条の三 前条の規定は、法第百七十九条第八項において法第百三条第八項の規定を準用する場合について準用する。この場合において、前条中「会員等、取引の委託者又は取次委託者」とあるのは「会員等、取引の委託者、取次委託者、清算取次委託者又は清算取次者に対する委託者」と、同条第一項第一号中「第百三条第十一項」とあるのは「第百七十九条第八項において準用する法第百三条第十一項」と、同号、同項第四号及び第五号並びに同条第二項及び第三項中「商品取引所」とあるのは「商品取引清算機関」と読み替えるものとする。 Article 45-3 The provisions of the preceding Article apply mutatis mutandis to cases in which the provisions of Article 103, paragraph (8) of the Act are applied mutatis mutandis pursuant to Article 179, paragraph (8) of the Act. In such a case, the phrase "a member, etc., a consignor of a transaction, or a person that entrusts brokerage" in the preceding Article is deemed to be replaced with "member, etc., a consignor of a transaction, a person that entrusts brokerage, a clearing broker, or a consignor of the clearing broker," the term "Article 103, paragraph (11)" in paragraph (1), item (i) of that Article is deemed to be replaced with "Article 103, paragraph (11) of the Act as applied mutatis mutandis pursuant to Article 179, paragraph (8)," and the term "a commodity exchange" in that item, items (iv) and (v) of that paragraph, and paragraphs (2) and (3) of that Article is deemed to be replaced with "a commodity clearing organization". (信認金等の運用方法) (Investment Method of Guarantee Funds) 第四十六条 法第百十条(法第百八十条第五項において読み替えて準用する場合を含む。)の主務省令で定める方法は、次に掲げるものとする。 Article 46 The means specified by order of the competent ministry as referred to in Article 110 of the Act (including as applied mutatis mutandis pursuant to Article 180, paragraph (5) of the Act following the deemed replacement of terms) are as follows: 一 地方債の保有 (i) holding municipal bonds; 二 次に掲げる金融機関への預け金 (ii) money deposited to the following financial institutions: イ 銀行 (a) a bank; ロ 株式会社商工組合中央金庫 (b) the Shoko Chukin Bank, Ltd.; ハ 信用協同組合 (c) a credit cooperative; ニ 信用金庫 (d) a Shinkin Bank; ホ 農林中央金庫 (e) the Norinchukin Bank; ヘ 業として預金又は貯金の受入れをすることができる農業協同組合及び農業協同組合連合会 (f) an agricultural cooperative or a federation of agricultural cooperatives which can accept deposits or savings in the course of trade; 三 信託業務を営む金融機関への信託 (iii) trust fund with a financial institutions engaged in trust business. (総取引高等の通知等) (Notification of the Total Transaction Volume) 第四十七条 商品取引所は、法第百十一条の規定による通知及び公表を行おうとするときは、商品市場における取引の種類ごと、かつ、上場商品又は上場商品指数の種類ごとに区分し、業務規程に定める方法により、その会員等に通知し、公表しなければならない。 Article 47 (1) When a commodity exchange seeks to give a notification and make an announcement pursuant to the provisions of Article 111 of the Act, it must give a notification and make an announcement to its members, etc. by the means specified in its operational rules, for each type of transaction in a commodity market, and each type of listed commodities or listed commodity indices. 2 法第百十一条第二号の主務省令で定めるものは、単一の対価の額又は約定価格等(法第百十一条第二号に規定する約定価格等をいう。以下同じ。)による競売買の方法により取引を行う商品市場にあっては、当該商品市場における毎日の成立した対価の額又は約定価格等とし、個別に形成される対価の額又は約定価格等による競売買の方法により取引を行う商品市場にあっては、当該商品市場における毎日の成立した最初の対価の額又は約定価格等、最高の対価の額又は約定価格等、最低の対価の額又は約定価格等及び最終の対価の額又は約定価格等とする。 (2) What is specified by order of the competent ministry set forth in Article 111, item (ii) of the Act for a commodity market where transactions are conducted by the auction method with a single amount of the consideration or contract price, etc. (meaning the contract price, etc. prescribed in Article 111, item (ii) of the Act; the same applies hereinafter) is to be the amount of the consideration for which transactions were closed or the contract price, etc. each day in the commodity market and for a commodity market where transactions are conducted by the auction method with an individually determined amount of the consideration or contract price, etc., it is to be the first amount of the consideration or the contract price, etc., the highest amount of the consideration or contract price, etc., the lowest amount of the consideration or contract price, etc., and the final amount of the consideration or contract price, etc. each day in the commodity market. (相場、取引高等の報告) (Reporting of Quotation and Transaction Volume) 第四十八条 商品取引所は、法第百十二条の規定により同条各号に掲げる事項を報告しようとするときは、遅滞なく、別表第一又は別表第一の二により、主務大臣に提出しなければならない。 Article 48 (1) When a commodity exchange seeks to report the information set forth in the items of Article 112 of the Act pursuant to the provisions of that Article, it must submit a report in accordance with the Appended Table 1 or Appended Table 1-2 to the competent minister, without delay. 2 法第百十二条第一号の主務省令で定める事項は、別表第一の第三欄に掲げる事項とする。 (2) The information specified by order of the competent ministry as referred to in Article 112, item (i) of the Act is the information set forth in column 3 of the Appended Table 1. 3 法第百十二条第二号の主務省令で定める数量は、別表第二の第一欄に掲げる商品取引所が開設する同表の第二欄に掲げる商品市場ごと、かつ、売付け又は買付けの別ごとに、当該商品市場に対応する同表の第三欄に掲げる数量とする。 (3) The quantity specified by order of the competent ministry as referred to in Article 112, item (ii) of the Act is the quantity set forth in column 3 of the Appended Table 2 corresponding to the commodity markets set forth in column 2 of that Table which are opened by commodity exchanges set forth in column 1 of that Table, for each commodity market, and by purchase or sale. 4 法第百十二条第二号の主務省令で定める要件は、次の各号のいずれかに該当することとする。 (4) The requirements specified by order of the competent ministry as referred to in Article 112, item (ii) of the Act are that the transactions in the commodity market fall under one of the following items: 一 商品市場における一の会員等の一の取引の期限に係る自己の計算による取引であって決済を結了していないものの数量が別表第二の第一欄に掲げる商品取引所が開設する同表の第二欄に掲げる商品市場において取引の対象とされる同表の第四欄に掲げる上場商品構成品又は上場商品指数の種類ごと、かつ、売付け又は買付けの別ごとに、同表の第五欄に掲げる数量を超えること。 (i) the quantity of the transactions related to the time limit of one transaction of one member, etc. in a commodity market on their own account and for which settlement is not completed exceeds the quantity set forth in column 5 of the Appended Table 2 by purchase or sale and for each type of component products of listed commodities or listed commodity indices set forth in column 4 of that Table which are subject to transactions in the commodity markets set forth in column 2 of that Table opened by the commodity exchanges set forth in column 1 of that Table; 二 商品市場における一の取引の期限に係る一の委託者の計算による取引であって決済を結了していないものの数量が別表第二の第一欄に掲げる商品取引所が開設する同表の第二欄に掲げる商品市場において取引の対象とされる同表の第四欄に掲げる上場商品構成品又は上場商品指数の種類ごと、かつ、売付け又は買付けの別ごとに、同表の第五欄に掲げる数量を超えること。 (ii) the quantity of the transactions related to the time limit of one transaction in a commodity market on a consignor's own account and for which settlement is not completed exceeds the quantity set forth in column 5 of the Appended Table 2 by purchase or sale and for each type of component products of listed commodities or listed commodity indices set forth in column 4 of that Table which are subject to transactions in the commodity markets set forth in column 2 of that Table opened by commodity exchanges set forth in column 1 of that Table. 5 法第百十二条第二号の主務省令で定める事項は、別表第一の二の第二欄に掲げる事項とする。 (5) The information specified by order of the competent ministry as referred to in Article 112, item (ii) of the Act is the information set forth in column 2 of the Appended Table 1-2. 第四十九条 削除 Article 49 Deleted (帳簿の区分経理等) (Separate Accounting in Books) 第五十条 会員等は、法第百十五条の規定により、商品市場における取引とその他の取引とについて、帳簿上区分経理しなければならない。 Article 50 (1) Pursuant to the provisions of Article 115 of the Act, a member, etc. must perform separate accounting for transactions in a commodity market and other transactions in books. 2 会員等は、商品市場における取引について別表第三に定める帳簿その他業務に関する書類を商品市場ごとに作成しなければならない。 (2) A member, etc. must prepare books and other business-related documents specified in the Appended Table 3 for transactions in each commodity market separately. 3 前項の帳簿その他業務に関する書類の保存期間は、十年とする。 (3) The preservation period of books and other business-related documents referred to in the preceding paragraph is 10 years. (電磁的方法による保存) (Preservation by an Electronic or Magnetic Means) 第五十一条 前条第二項の帳簿その他業務に関する書類の内容が、電磁的方法(電子的方法、磁気的方法その他の人の知覚によって認識することができない方法をいう。第百十四条において同じ。)により記録され、当該記録が必要に応じ電子計算機その他の機器を用いて直ちに表示されることができるようにして保存されるときは、当該記録の保存をもって前条第三項に規定する帳簿その他業務に関する書類の保存に代えることができる。この場合において、会員等は、当該記録が滅失し、又はき損することを防止するために必要な措置を講じなければならない。 Article 51 When the content of books and other business-related documents referred to in paragraph (2) of the preceding Article is recorded by an electronic or magnetic means (meaning a means such as an electronic means or a magnetic means that cannot be perceived by human senses; the same applies in Article 114), and the record is preserved in a manner that enables the record to be immediately displayed using a computer or other devices as necessary, the preservation of the record may substitute for the preservation of books and other business-related documents prescribed in paragraph (3) of the preceding Article. In such a case, a member, etc. must take the necessary measures for preventing the loss of and damage to the record. (商品市場における取引の制限等) (Restrictions on Transactions in a Commodity Market) 第五十一条の二 法第百十八条第二号に規定する主務省令で定める事項は、次に掲げる事項とする。 Article 51-2 The matters specified by order of the competent ministry as prescribed in Article 118, item (ii) of the Act are as follows: 一 法第百十八条第二号に掲げる商品取引所の開設する商品市場における取引又はその受託を制限する措置を講ずること。 (i) taking measures to restrict transactions or acceptance of their entrustment in a commodity market which has been opened by a commodity exchange set forth in Article 118, item (ii) of the Act; and 二 当該商品取引所の開設する商品市場において会員等が取引を行うことができる時間帯を変更する措置を講ずること。 (ii) taking measures to change the time period during which a member, etc. can conduct a transaction in a commodity market which has been opened by the commodity exchange. (仲介の処理状況の報告書の提出) (Submission of Reports of Intermediation Arrangement) 第五十二条 商品取引所は法第百二十条第一項の規定により仲介を行ったときは、毎月末日現在における当該仲介の処理状況についての報告書を作成し、当該報告に係る月の翌月の十日までに主務大臣に提出するものとする。 Article 52 When a commodity exchange has carried out intermediation pursuant to the provisions of Article 120, paragraph (1) of the Act, it must prepare a report of the progress of the intermediation arrangement as of the end of every month and submit the report to the competent minister by 10th of the month following the month pertaining to the report. 第五十三条 削除 Article 53 Deleted (組織変更をする会員商品取引所の事前開示事項) (Information to be Disclosed in Advance by a Member Commodity Exchange Implementing Entity Conversion) 第五十四条 法第百二十三条第一項に規定する主務省令で定める事項は、次に掲げる事項とする。 Article 54 The information specified by order of the competent ministry as prescribed in Article 123, paragraph (1) of the Act is as follows: 一 組織変更計画の内容 (i) the content of an entity conversion plan; 二 組織変更後株式会社商品取引所(法第百二十二条第三項に規定する組織変更後株式会社商品取引所をいう。以下同じ。)の債務の履行の見込みに関する事項 (ii) the information concerning prospects of the performance of the obligations of an incorporated commodity exchange after entity conversion (meaning an incorporated commodity exchange after entity conversion prescribed in Article 122, paragraph (3) of the Act; the same applies hereinafter); 三 法第百二十三条第一項の規定により同項の書面又は電磁的記録を主たる事務所に備え置いた日後、前二号に掲げる事項に変更が生じたときは、変更後の当該事項 (iii) if there is any change to the information set forth in the preceding two items after the document or electronic or magnetic record referred to in Article 123, paragraph (1) of the Act has been kept at the principal office pursuant to the provisions of the same paragraph, the changed information. (組織変更後株式会社商品取引所の事後開示事項等) (Information to be Disclosed after the Fact by an Incorporated Commodity Exchange after Entity Conversion) 第五十五条 法第百二十五条第一項に規定する主務省令で定める事項は、次に掲げる事項とする。 Article 55 The information specified by order of the competent ministry as prescribed in Article 125, paragraph (1) of the Act is as follows: 一 組織変更の効力が生じた日 (i) the day on which entity conversion has become effective; 二 組織変更をする会員商品取引所における法第百二十四条の規定による手続の経過 (ii) t the progress of procedures under the provisions of Article 124 of the Act taken by the member commodity exchange implementing entity conversion; 三 組織変更により組織変更後株式会社商品取引所が組織変更をする会員商品取引所から承継した重要な権利義務に関する事項 (iii) the information concerning important rights and obligations which the incorporated commodity exchange after entity conversion succeeded to from the member commodity exchange implementing entity conversion through entity conversion; 四 法第百二十三条第一項の規定により組織変更をする会員商品取引所が備え置いた書面又は電磁的記録に記載又は記録がされた事項(組織変更契約の内容を除く。) (iv) the information stated or recorded in a document or electronic or magnetic record which the member commodity exchange implementing entity conversion has kept pursuant to the provisions of Article 123, paragraph (1) of the Act (excluding the content of the entity conversion contract); and 五 法第百三十四条第一項の登記をした日 (v) the date of the registration referred to in Article 134, paragraph (1) of the Act. (会計慣行のしん酌) (Consideration of Accounting Practices) 第五十五条の二 次条から第五十五条の五までの規定の用語の解釈及び規定の適用に関しては、一般に公正妥当と認められる企業会計の基準その他の企業会計の慣行をしん酌しなければならない。 Article 55-2 With regard to the interpretation of the terms set forth in the provisions of the following Article through Article 55-5 and the application of those provisions, generally accepted corporate accounting standards and other accounting practices must be taken into consideration. (組織変更後株式会社商品取引所の資本金として計上すべき額) (Amount Required to be Recorded as Stated Capital of an Incorporated Commodity Exchange after Entity Conversion) 第五十五条の三 法第百二十七条に規定する主務省令で定める組織変更後株式会社商品取引所の資本金として計上すべき額は、組織変更の直前の会員商品取引所の出資金の額とする。 Article 55-3 The amount required to be recorded as the stated capital of an incorporated commodity exchange after entity conversion specified by order of the competent ministry as prescribed in Article 127 of the Act is the amount of the contribution of a member commodity exchange immediately prior to the entity conversion. (組織変更に際しての計算に必要な事項) (Information Necessary for the Calculation upon Entity Conversion) 第五十五条の四 法第百二十八条に規定する主務省令で定める組織変更に際しての計算に必要な事項は、次条に定めるところによる。 Article 55-4 The information necessary for the accounting at the time of entity conversion specified by order of the competent ministry as prescribed in Article 128 of the Act is governed by the following Article. (組織変更後株式会社商品取引所の株主資本) (Shareholders' Equity of an Incorporated Commodity Exchange after Entity Conversion) 第五十五条の五 会員商品取引所が組織変更をする場合には、当該組織変更をすることを理由にその有する資産及び負債の帳簿価額を変更することはできない。 Article 55-5 (1) In cases where a member commodity exchange implements entity conversion, it may not change the book value of its assets and liabilities on the grounds of the entity conversion. 2 会員商品取引所が組織変更をする場合には、組織変更後株式会社商品取引所の次の各号に掲げる額は、当該各号に定める額とする。 (2) In cases where a member commodity exchange implements entity conversion, the amount of an incorporated commodity exchange after entity conversion set forth in the following items is the amount specified in each of those items: 一 資本準備金の額 零 (i) the amount of the capital reserve: zero; 二 その他資本剰余金の額 組織変更の直前の会員商品取引所の加入金及び資本剰余金の額の合計額 (ii) the amount of other capital surplus: the sum of the membership fee and capital surplus of the member commodity exchange immediately prior to the entity conversion; 三 利益準備金の額 零 (iii) t the amount of the profit reserve: zero; 四 その他利益剰余金の額 組織変更の直前の会員商品取引所の法定準備金及び利益剰余金の額 (iv) the amount of other accumulated profits: the amount of the statutory capital and accumulated profits of the member commodity exchange immediately prior to the entity conversion. (組織変更時発行株式の引受けの申込みをしようとする者に対して通知すべき事項) (Information to be Notified to a Person who Seeks to File an Application to Subscribe for the Shares Issued upon Entity Conversion) 第五十五条の六 法第百三十条第一項第四号に規定する主務省令で定める事項は、次に掲げる事項とする。 Article 55-6 T The information specified by order of the competent ministry as prescribed in Article 130, paragraph (1), item (iv) of the Act are as follows: 一 組織変更後株式会社商品取引所が発行することができる株式の総数(組織変更後株式会社商品取引所が種類株式発行会社である場合にあっては、各種類の組織変更時発行株式の発行可能種類株式総数を含む。) (i) the total number of shares which an incorporated commodity exchange after entity conversion can issue (in cases where an incorporated commodity exchange after entity conversion is a company issuing class shares, including the total number of each type of class shares that can be issued at the time of entity conversion); 二 組織変更後株式会社商品取引所(組織変更後株式会社商品取引所が種類株式発行会社である場合を除く。)が発行する組織変更時発行株式の内容として会社法第百七条第一項各号に掲げる事項を定めているときは、当該株式の内容 (ii) when the information set forth in each item of Article 107, paragraph (1) of the Companies Act is specified as the content of shares issued upon entity conversion issued by an incorporated commodity exchange after entity conversion (excluding cases where an incorporated commodity exchange after entity conversion is a company issuing class shares), the content of the shares; 三 組織変更後株式会社商品取引所(組織変更後株式会社商品取引所が種類株式発行会社である場合に限る。)が会社法第百八条第一項各号に掲げる事項につき内容の異なる組織変更時発行株式を発行することとしているときは、各種類の株式の内容(ある種類の株式につき同条第三項の定款の定めがある場合において、当該定款の定めにより組織変更後株式会社商品取引所が当該種類の株式の内容を定めていないときは、当該種類の株式の内容の要綱) (iii) when it has been decided that an incorporated commodity exchange after entity conversion (limited to cases in which an incorporated commodity exchange after entity conversion is a company issuing class shares) is to issue shares issued upon entity conversion with different contents concerning the information set forth in each item of Article 108, paragraph (1) of the Companies Act, the content of each type of shares (in cases where there are the provisions of the articles of incorporation referred to in paragraph (3) of that Article for a certain type of shares, and when the content of the type of shares are not specified by an incorporated commodity exchange after entity conversion pursuant to the articles of incorporation, the outline of the content of that type of shares); 四 単元株式数についての定款の定めがあるときは、その単元株式数(組織変更後株式会社商品取引所が種類株式発行会社である場合にあっては、各種類の株式の単元株式数) (iv) when there are provisions of the articles of incorporation concerning the number of share units, the number of share units (in cases where an incorporated commodity exchange after entity conversion is a company issuing class shares, the number of share units of each type of shares); 五 組織変更後株式会社商品取引所の定款に次に掲げる定めがあるときは、その規定 (v) when the articles of incorporation of an incorporated commodity exchange after entity conversion have the following provisions, the provisions: イ 会社法第百三十九条第一項、第百四十条第五項又は第百四十五条第一号若しくは第二号に規定する定款の定め (a) the provisions of the articles of incorporation prescribed in Article 139, paragraph (1), Article 140, paragraph (5), or Article 145, item (i) or (ii) of the Companies Act; ロ 会社法第百六十四条第一項に規定する定款の定め (b) the provisions of the articles of incorporation prescribed in Article 164, paragraph (1) of the Companies Act; ハ 会社法第百六十七条第三項に規定する定款の定め (c) the provisions of the articles of incorporation prescribed in Article 167, paragraph (3) of the Companies Act; ニ 会社法第百六十八条第一項又は第百六十九条第二項に規定する定款の定め (d) the provisions of the articles of incorporation prescribed in Article 168, paragraph (1), or Article 169, paragraph (2) of the Companies Act; ホ 会社法第百七十四条に規定する定款の定め (e) the provisions of the articles of incorporation prescribed in Article 174 of the Companies Act; ヘ 会社法第三百四十七条に規定する定款の定め (f) the provisions of the articles of incorporation prescribed in Article 347 of the Companies Act; ト 会社法施行規則第二十六条第一号又は第二号に規定する定款の定め (g) the provisions of the articles of incorporation prescribed in Article 26, item (i) or (ii) of the Regulations for Enforcement of the Companies Act; 六 株主名簿管理人を置く旨の定款の定めがあるときは、その氏名又は名称及び住所並びに営業所 (vi) when there are provisions of the articles of incorporation that a shareholder register administrator is to be appointed, the name and the address, and the business office of that person; 七 定款に定められた事項(会社法第二百三条第一項第一号から第三号まで及び前各号に掲げる事項を除く。)であって、当該組織変更後株式会社商品取引所に対して組織変更時発行株式の引受けの申込みをしようとする者が当該者に対して通知することを請求した事項 (vii) the information specified in the articles of incorporation (excluding the information set forth in Article 203, paragraph (1), items (i) through (iii) of the Companies Act and in the preceding items), notification of which was requested by a person who seeks to file an application to subscribe for the shares issued upon entity conversion to the incorporated commodity exchange after entity conversion (検査役が提供する電磁的記録) (Electronic or Magnetic Records to be Provided by an Inspector) 第五十五条の七 法第百三十一条の六において読み替えて準用する会社法第二百七条第四項に規定する主務省令で定めるものは、商業登記規則(昭和三十九年法務省令第二十三号)第三十六条第一項に規定する電磁的記録媒体(電磁的記録に限る。)及び同法第二百七条第四項の規定により電磁的記録の提供を受ける者が定める電磁的記録とする。 Article 55-7 What are specified by order of the competent ministry as prescribed in Article 207, paragraph (4) of the Companies Act as applied mutatis mutandis pursuant to Article 131-6 of the Act following the deemed replacement of terms are an electronic or magnetic recording medium (limited to electronic or magnetic records) prescribed in Article 36, paragraph (1) of the Regulation on Commercial Registrations (Order of the Ministry of Justice No. 23 of 1964) and an electronic or magnetic record specified by a person who is provided the electronic or magnetic record pursuant to the provisions of Article 207, paragraph (4) of the Companies Act. (検査役による電磁的記録に記録された事項の提供) (Provision of Information Recorded in an Electronic or Magnetic Records by an Inspector) 第五十五条の八 法第百三十一条の六において読み替えて準用する会社法第二百七条第六項に規定する主務省令で定める方法は、電磁的方法のうち、同項により同項の電磁的記録に記録された事項の提供を受ける者が定めるものとする。 Article 55-8 The means specified by order of the competent ministry as prescribed in Article 207, paragraph (6) of the Companies Act as applied mutatis mutandis pursuant to Article 131-6 of the Act following the deemed replacement of terms are electronic or magnetic means specified by a person who is provided the information recorded in an electronic or magnetic record set forth in that paragraph, pursuant to the provisions of that paragraph. (検査役の調査を要しない市場価格のある有価証券) (Securities that Have the Market Price not Requiring an Investigation by an Inspector) 第五十五条の九 法第百三十一条の六において読み替えて準用する会社法第二百七条第九項第三号に規定する主務省令で定める方法は、次に掲げる額のうちいずれか高い額をもって同号に規定する有価証券の価格とする方法とする。 Article 55-9 The means specified by order of the competent ministry as prescribed in Article 207, paragraph (9), item (iii) of the Companies Act as applied mutatis mutandis pursuant to Article 131-6 of the Act following the deemed replacement of terms are the means of considering the higher of the amounts set forth in the following items to be the price of securities prescribed in that item: 一 会社法第百九十九条第一項第三号の価額を定めた日(以下この条において「価額決定日」という。)における当該有価証券を取引する市場における最終の価格(当該価額決定日に売買取引がない場合又は当該価額決定日が当該市場の休業日に当たる場合にあっては、その後最初になされた売買取引の成立価格) (i) the final price on the market where the securities are traded on the day when the value referred to in Article 199, paragraph (1), item (iii) of the Companies Act was determined (hereinafter referred to as the "date of value determination" in this Article) (in cases where there are no purchase and sale transactions on the date of value determination or the date of value determination falls on a holiday of the market, the concluded price of the first purchase and sale transaction conducted after that date); 二 価額決定日において当該有価証券が公開買付け等(金融商品取引法第二十七条の二第六項(同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及びこれに相当する外国の法令に基づく制度をいう。以下この号及び第六十条の三において同じ。)の対象であるときは、当該価額決定日における当該公開買付け等に係る契約における当該有価証券の価格 (ii) when the securities are subject to tender offer, etc. (meaning the tender offer prescribed in Article 27-2, paragraph (6) of the Financial Instruments and Exchange Act (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of that Act) and any equivalent system based on laws and regulations in a foreign country; hereinafter the same applies in this item and Article 60-3) on the date of value determination, the price of the securities in the contract related to the tender offer, etc. on the date of value determination. 第五十五条の十 法第百三十一条の六において読み替えて準用する会社法第二百十三条第一項第二号に規定する主務省令で定めるものは、次に掲げる者とする。 Article 55-10 The person specified by order of the competent ministry as prescribed in Article 213, paragraph (1), item (ii) of the Companies Act as applied mutatis mutandis pursuant to Article 131-6 of the Act following the deemed replacement of terms are as follows: 一 株主総会に会社法第二百七条第一項に規定する現物出資財産の価額の決定に関する議案を提案した取締役 (i) a company director who submitted a proposal concerning the determination of the values of property contributed in kind prescribed in Article 207, paragraph (1) of the Companies Act to a shareholders meeting; 二 前号の議案の提案の決定に同意した取締役(取締役会設置会社の取締役を除く。) (ii) a company director who agreed to the decision on the submitted proposal referred to in the preceding item (excluding a company director of a company with board of directors); 三 第一号の議案の提案が取締役の決議に基づいて行われたときは、当該取締役会の決議に賛成した取締役 (iii) when the proposal referred to in item (i) was submitted based on the resolution of a board of directors, a company director who agreed to the resolution of the board of directors. (出資の履行の仮装に関して責任をとるべき会員商品取引所の理事長等) (President of a Member Commodity Exchange Who is Required to Assume the Liabilities for Falsifying the Performance of Contribution) 第五十五条の十一 法第百三十一条の七において読み替えて準用する会社法第二百十三条の三第一項に規定する主務省令で定める者は、次に掲げる者とする。 Article 55-11 The person specified by order of the competent ministry as prescribed in Article 213-3, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 131-7 of the Act following the deemed replacement of terms is the person set forth in the following items: 一 出資の履行(法第百三十一条の三第三項に規定する出資の履行をいう。以下この条において同じ。)の仮装に関する職務を行った会員商品取引所の理事長又は理事 (i) the president or directors of the member commodity exchange that performed the duties concerning the falsification of the performance of contribution (meaning the performance of contribution prescribed in Article 131-3, paragraph (3) of the Act; hereinafter the same applies in this Article); 二 出資の履行の仮装が会員総会の決議に基づいて行われたときは、次に掲げる者 (ii) when the performance of contribution was falsified based on a resolution of a general meeting of members, the following persons: イ 当該会員総会に当該出資の履行の仮装に関する議案を提案した会員商品取引所の理事長又は理事 (a) the president or directors of the member commodity exchange that submitted a proposal concerning the falsification of the performance of contribution at the general meeting of members; ロ イの議案の提案の決定に同意した会員商品取引所の理事長又は理事 (b) the president or directors of the member commodity exchange that agreed to the decision on the submitted proposal referred to in (a). (組織変更認可の申請書の添付書類) (Documents Attached to a Written Application for Authorization of Entity Conversion) 第五十六条 法第百三十二条第三項の主務省令で定める書面は、次に掲げる書面(官公署が証明する書面の場合には、認可の申請の日前三月以内に作成されたものに限る。)とする。 Article 56 The documents specified by order of the competent ministry as referred to in Article 132, paragraph (3) of the Act are as follows (in cases of certifications issued by a public agency, limited to documents prepared within three months prior to the date of filing the application for authorization): 一 組織変更の理由及び内容を記載した書面 (i) a document stating the reasons for and content of entity conversion; 二 次に掲げる場合に応じ、それぞれ次に定める書面 (ii) a document specified as follows in accordance with the cases set forth in each sub-item: イ 組織変更後株式会社商品取引所の役員が外国人である場合 当該役員の住民票の写し等、履歴書及びその者が法第十五条第二項第一号イからルまでのいずれにも該当しないことを誓約する書面 (a) in cases where an officer of an incorporated commodity exchange after entity conversion is a foreign national: a copy of the residence certificate, etc. and curriculum vitae of the officer, and a document pledging that the person does not fall under any of the provisions of Article 15, paragraph (2), item (i), sub-items (a) through (k) of the Act; ロ 組織変更後株式会社商品取引所の役員が法人である場合 当該役員の登記事項証明書、沿革を記載した書面及び法第十五条第二項第一号ヲに該当しないことを誓約する書面 (b) in cases where an officer of an incorporated commodity exchange after entity conversion is a corporation: a certificate of the registered information of the officer, a document stating the history of the corporation, and a document pledging that the officer does not fall under the provisions of Article 15, paragraph (2), item (i), (l) of the Act; ハ 組織変更後株式会社商品取引所の役員が外国人又は法人でない場合 当該役員の住民票の写し等、履歴書、その者が法第十五条第二項第一号ロに該当しない旨の官公署の証明書並びにその者が同号イ及びハからルまでのいずれにも該当しないことを誓約する書面 (c) in cases where an officer of an incorporated commodity exchange after entity conversion is neither a foreign national nor a corporation: a copy of the residence certificate, etc. and curriculum vitae of the officer, a certificate of a public agency proving that the person does not fall under the provisions of Article 15, paragraph (2), item (i), sub-item (b) of the Act, and a document pledging that the person does not fall under any of the provisions of sub-item (a) or sub-items (c) through (k) of that item; 三 組織変更計画を承認した会員総会の議事録 (iii) minutes of a general meeting of members which approved the entity conversion plan; 四 直前事業年度の決算関係書類等 (iv) settlement related documents, etc. for the immediately preceding business year; 五 現に存する純資産額を証する書面 (v) a document proving the amount of the existing net assets; 六 法第百二十九条第一項の規定により組織変更時発行株式を発行するときは、次に掲げる書面 (vi) when issuing shares issued upon entity conversion pursuant to the provisions of Article 129, paragraph (1) of the Act, the following documents: イ 組織変更時発行株式の引受けの申込みを証する書面 (a) a document proving an application to subscribe for the shares issued upon entity conversion; ロ 金銭を出資の目的とするときは、法第百三十一条の三第一項の規定による払込みがあったことを証する書面 (b) when making money the object of the contribution, a document proving that payment under the provisions of Article 131-3, paragraph (1) of the Act was made; ハ 金銭以外の財産を出資の目的とするときは、次に掲げる書面 (c) when making property other than money the object of the contribution, the following documents: (1) 検査役が選任されたときは、検査役の調査報告を記載した書面及びその附属書類 1. when an inspector has been appointed, a document stating the investigation report by the inspector and its annexed documents; (2) 法第百三十一条の六において準用する会社法第二百七条第九項第三号に掲げる場合には、有価証券の市場価格を証する書面 2. in the case set forth in Article 207, paragraph (9), item (iii) of the Companies Act as applied mutatis mutandis pursuant to Article 131-6 of the Act: a document proving the market price of the securities; (3) 法第百三十一条の六において準用する会社法第二百七条第九項第四号に掲げる場合には、同号に規定する証明を記載した書面及びその附属書類 3. in the case set forth in Article 207, paragraph (9), item (iv) of the Companies Act as applied mutatis mutandis pursuant to Article 131-6 of the Act, a document stating the certification prescribed in that item and its annexed documents; (4) 法第百三十一条の六において準用する会社法第二百七条第九項第五号に掲げる場合には、同号の金銭債権について記載された会計帳簿 4. in the case set forth in Article 207, paragraph (9), item (v) of the Companies Act as applied mutatis mutandis pursuant to Article 131-6 of the Act, accounting books stating the monetary claim referred to in that item; ニ 検査役の報告に関する裁判があったときは、その謄本 (d) when a judicial decision has been rendered on a report by an inspector, a transcript of the judicial decision; 七 法第百二十四条第二項の規定による公告及び催告をしたこと並びに異議を述べた債権者があるときは、当該債権者に対し弁済し若しくは相当の担保を提供し若しくは当該債権者に弁済を受けさせることを目的として相当の財産を信託したこと又は当該組織変更をしても当該債権者を害するおそれがないことを証する書面 (vii) when a public notice or a notification pursuant to the provisions of Article 124, paragraph (2) of the Act has been given and a creditor has made an objection, documents proving that payment has been made or a reasonable collateral has been provided to the creditor, or reasonable property has been deposited in trust for the purpose of having the creditor receive the payment, or that the entity conversion is not likely to harm the creditor; 八 商品取引所の業務に関する知識及び経験を有する従業員の確保の状況並びに当該従業員の配置の状況を記載した書類 (viii) a document stating the status of securing employees who have the knowledge and experience on the business of a commodity exchange and the status of the assignment of those employees; 九 主要な株主の氏名、住所又は居所、国籍及び職業(株主が法人その他の団体である場合には、その商号又は名称、本店又は主たる事務所の所在の場所及び営んでいる事業の内容)並びに保有する議決権の数を記載した書面 (ix) a document stating the major shareholders' names, addresses or residences, nationalities and occupations (in cases where a shareholder is a corporation or other organization, its trade name or name, the location of its head office or principal office, and the content of its business), and the number of voting rights they hold. (医師の診断書の提出) (Submission of a Doctor's Medical Certificate) 第五十六条の二 主務大臣は、法第百三十二条第一項の認可の申請があった場合において、組織変更後株式会社商品取引所の役員のうちに法第十五条第二項第一号イ又はル(イに係る部分に限る。)のいずれかに該当する者があるかどうかを審査するために必要があると認めるときは、認可申請者に対し、当該審査の対象となる者の病名、精神の機能の障害の有無及び程度、病因、病後の経過、治癒の見込みその他参考となる所見を記載した医師の診断書の提出を求めることができる。 Article 56-2 In cases where an application for the authorization under Article 132, paragraph (1) of the Act is filed, and the competent minister finds it necessary for examining whether officers of the incorporated commodity exchange after entity conversion include a person who falls under any of Article 15, paragraph (2), item (i), (a) or (k) of the Act (limited to the part related to (a)), the minister may request the applicant to submit a doctor's medical certificate stating the name of the illness of the person subject to the examination, whether the person has any mental impairment and the level of mental impairment, causes of the illness, catamnestic observation, prospects of recovery, and other remarks for reference. (会員商品取引所と会員商品取引所との吸収合併契約事項) (Contract Details of Absorption-Type Merger between Member Commodity Exchanges) 第五十六条の三 法第百四十条第三号の主務省令で定める事項は、次に掲げるものとする。 Article 56-3 The information specified by order of the competent ministry as referred to in Article 140, item (iii) of the Act are as follows: 一 吸収合併消滅会員商品取引所の会員が吸収合併に際して吸収合併存続会員商品取引所の会員となるときは、当該吸収合併消滅会員商品取引所の会員に対して割り当てるその持分に代わる当該吸収合併存続会員商品取引所の出資の口数又はその口数の算定方法並びに当該吸収合併存続会員商品取引所の出資金、加入金及び損失てん補準備金の額に関する事項 (i) when a member of a member commodity exchange dissolved in an absorption-type merger becomes a member of a member commodity exchange surviving an absorption-type merger in absorption-type merger, the information concerning the number of units of the contribution of the member commodity exchange surviving an absorption-type merger which substitutes the equity interests allotted to a member of the member commodity exchange dissolved in an absorption-type merger or its calculation method, and the amount of the contribution, membership fee, and loss compensation reserve of the member commodity exchange surviving an absorption-type merger; 二 吸収合併存続会員商品取引所が吸収合併に際して吸収合併消滅会員商品取引所の会員に対してその持分に代わる金銭を交付するときは、その当該金銭の額又はその算定方法 (ii) when a member commodity exchange surviving an absorption-type merger issues money to a member of a member commodity exchange dissolved in an absorption-type merger in lieu of their equity interests upon an absorption-type merger, the amount of the money or its calculation method; 三 前二号に規定する場合には、吸収合併消滅会員商品取引所の会員に対する第一号の出資及び前号の金銭の割当てに関する事項 (iii) in the cases prescribed in the preceding two items, the information concerning the contribution referred to in item (i) to a member of a member commodity exchange dissolved in an absorption-type merger and the allocation of the money referred to in the preceding item. (会員商品取引所と会員商品取引所との新設合併契約事項) (Contract Details of Consolidation-Type Merger between Member Commodity Exchanges) 第五十七条 法第百四十一条第五号の主務省令で定める事項は、次に掲げるものとする。 Article 57 The information specified by order of the competent ministry as referred to in Article 141, item (v) of the Act are as follows: 一 新設合併設立会員商品取引所が新設合併に際して新設合併消滅会員商品取引所の会員に対して割り当てるその持分に代わる当該新設合併設立会員商品取引所の出資の口数又はその口数の算定方法並びに当該新設合併設立会員商品取引所の出資金、加入金及び損失てん補準備金の額に関する事項 (i) the information concerning the number of units of the contribution of a member commodity exchange established by a consolidation-type merger which substitutes the equity interest that the member commodity exchange established by a consolidation-type merger allots to a member of a member commodity exchange dissolved in a consolidation-type merger upon a consolidation-type merger or its calculation method, and the amount of the contribution, membership fee, and loss compensation reserve of the member commodity exchange established by a consolidation-type merger; 二 新設合併消滅会員商品取引所の会員に対する前号の出資の割当てに関する事項 (ii) the information concerning the allocation of the contribution referred to in the preceding item to a member of a member commodity exchange dissolved in a consolidation-type merger; 三 新設合併消滅会員商品取引所の会員に対して支払う金銭を定めたときは、その当該金銭の額 (iii) when the amount of the money to be paid to a member of a member commodity exchange dissolved in a consolidation-type merger is determined, the amount of money. (吸収合併消滅会員商品取引所の事前開示事項) (Information to be Disclosed in Advance by a Member Commodity Exchange Dissolved in an Absorption-Type Merger) 第五十八条 法第百四十四条第一項の主務省令で定める事項は、吸収合併存続商品取引所が会員商品取引所である場合にあっては、次に掲げる事項とする。 Article 58 The information specified by order of the competent ministry as referred to in Article 144, paragraph (1) of the Act are as follows, in cases where a commodity exchange surviving an absorption-type merger is a member commodity exchange: 一 第五十六条の三各号に掲げる事項についての定め(当該定めがない場合にあっては、当該定めがないこと)の相当性に関する事項 (i) the information concerning the appropriateness of the provisions on information set forth in the items of Article 56-3 (in cases where there are no such provisions, that fact); 二 吸収合併存続会員商品取引所についての次に掲げる事項 (ii) the following information concerning the member commodity exchange surviving an absorption-type merger: イ 最終事業年度(会員商品取引所にあっては各事業年度に係る法第六十六条第一項に規定する決算関係書類等につき法第六十八条の承認を受けた場合における当該各事業年度のうち最も遅いものとし、株式会社商品取引所にあっては会社法第二条第二十四号に規定する最終事業年度とする。以下同じ。)に係る財産目録、貸借対照表及び当該貸借対照表とともに作成された損益計算書の内容 (a) an inventory of property and a balance sheet for the final business year (for a member commodity exchange, the latest business year in cases where approval under Article 68 of the Act was received for settlement related documents, etc. prescribed in Article 66, paragraph (1) of the Act for each business year, and for an incorporated commodity exchange, the final business year prescribed in Article 2, item (xxiv) of the Companies Act; the same applies hereinafter), and the content of a profit and loss statement prepared together with the balance sheet; ロ 最終事業年度の末日(最終事業年度がない場合にあっては、吸収合併存続会員商品取引所の成立の日)後に重要な財産の処分、重大な債務の負担その他の当該吸収合併存続会員商品取引所の財産の状況に重要な影響を与える事象が生じたときは、その内容(法第百四十四条第四項の会員総会の日の十日前の日後吸収合併の効力が生ずる日までの間に新たな最終事業年度が存することとなる場合にあっては、当該新たな最終事業年度の末日後に生じた事象の内容に限る。) (b) when an event that has a significant influence on the status of the property of the member commodity exchange surviving an absorption-type merger, such as the disposition of important property and the sharing of significant obligations has occurred after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the member commodity exchange surviving an absorption-type merger), the content of the event (in cases where a new final business year emerges during the period between 10 days prior to a general meeting of members referred to in Article 144, paragraph (4) of the Act and the day when the absorption-type merger becomes effective, limited to the content of an event that occurred after the last day of the new final business year); 三 吸収合併消滅会員商品取引所(法第七十七条第一項において準用する会社法第四百七十五条(第一号及び第三号を除く。)の規定により清算をする会員商品取引所(以下「清算会員商品取引所」という。)を除く。)において最終事業年度の末日(最終事業年度がない場合にあっては、吸収合併消滅会員商品取引所の成立の日)後に重要な財産の処分、重大な債務の負担その他の当該吸収合併消滅会員商品取引所の財産の状況に重要な影響を与える事象が生じたときは、その内容(法第百四十四条第四項の会員総会の日の十日前の日後吸収合併の効力が生ずる日までの間に新たな最終事業年度が存することとなる場合にあっては、当該新たな最終事業年度の末日後に生じた事象の内容に限る。) (iii) when an event that has a significant influence on the status of the property of the member commodity exchange dissolved in an absorption-type merger, such as the disposition of important property and the bearing of significant obligations has occurred after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the member commodity exchange dissolved in an absorption-type merger) at the member commodity exchange dissolved in an absorption-type merger (excluding member commodity exchanges which is to be liquidated pursuant to the provisions of Article 475 (excluding items (i) and (iii)) of the Companies Act as applied mutatis mutandis pursuant to Article 77, paragraph (1) of the Act) (hereinafter such member commodity exchange is referred to as a "liquidating member commodity exchange"), the content of the event (in cases where a new final business year emerges during the period between 10 days prior to a general meeting of members referred to in Article 144, paragraph (4) of the Act and the day when the absorption-type merger comes into effect, limited to the content of an event that occurred after the last day of the new final business year); 四 吸収合併が効力を生ずる日以後における吸収合併存続会員商品取引所の債務(法第百四十四条第六項において準用する法第百二十四条第一項の規定により吸収合併について異議を述べることができる債権者に対して負担する債務に限る。)の履行の見込みに関する事項 (iv) the information concerning prospects of the performance of obligations (limited to obligations the member commodity exchange bears against the creditors that may state objections to the absorption-type merger pursuant to the provisions of Article 124, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 144, paragraph (6) of the Act) of the member commodity exchange surviving an absorption-type merger on and after the day when the absorption-type merger becomes effective; 五 法第百四十四条第四項の会員総会の日の十日前の日後、前各号に掲げる事項に変更が生じたときは、変更後の当該事項 (v) if there is any change to the information set forth in the preceding items after 10 days prior to a general meeting of members referred to in Article 144, paragraph (4) of the Act, the changed information. (吸収合併消滅会員商品取引所の事前開示事項) (Information to be Disclosed in Advance by a Member Commodity Exchange Dissolved in an Absorption-Type Merger) 第五十九条 法第百四十四条第一項の主務省令で定める事項は、吸収合併存続商品取引所が株式会社商品取引所である場合にあっては、次に掲げる事項とする。 Article 59 The information specified by order of the competent ministry as referred to in Article 144, paragraph (1) of the Act is as follows in cases where a member commodity exchange dissolved in an absorption-type merger is an incorporated commodity exchange: 一 法第百四十二条第二号及び三号に掲げる事項についての定め(当該定めがない場合にあっては、当該定めがないこと)の相当性に関する事項 (i) the information concerning the appropriateness of the provisions on information set forth in items (ii) and (iii) of Article 142 of the Act (in cases where there are no such provisions, that fact); 二 吸収合併消滅会員商品取引所の会員に対して交付する株式等(法第百四十二条第二号に規定する株式等をいう。以下同じ。)の全部又は一部が吸収合併存続株式会社商品取引所の株式であるときは、当該吸収合併存続株式会社商品取引所の定款の定め (ii) when all or part of the shares, etc. (meaning shares, etc. prescribed in Article 142, item (ii) of the Act; the same applies hereinafter) issued to a member of the member commodity exchange dissolved in an absorption-type merger are shares of the incorporated commodity exchange surviving an absorption-type merger, the provisions of the articles of incorporation of the incorporated commodity exchange surviving an absorption-type merger; 三 吸収合併存続株式会社商品取引所についての次に掲げる事項 (iii) the following information concerning the incorporated commodity exchange surviving an absorption-type merger: イ 最終事業年度に係る計算書類等の内容(最終事業年度がない場合にあっては、吸収合併存続株式会社商品取引所の成立の日における貸借対照表の内容) (a) the content of financial statements, etc. for the final business year (in cases where the final business year does not exist, the content of a balance sheet on the day of the establishment of the incorporated commodity exchange surviving an absorption-type merger); ロ 最終事業年度の末日(最終事業年度がない場合にあっては、吸収合併存続株式会社商品取引所の成立の日。ハにおいて同じ。)後の日を臨時決算日(会社法第四百四十一条第一項に規定する臨時決算日をいう。以下同じ。)(二以上の臨時決算日がある場合にあっては、最も遅いもの)とする臨時計算書類等(会社法施行規則第二条第三項第十三号の臨時計算書類等をいう。以下同じ。)があるときは、当該臨時計算書類等の内容 (b) when there are provisional financial statements, etc. (meaning provisional financial statements, etc. referred to in Article 2, paragraph (3), item (xiii) of the Regulations for Enforcement of the Companies Act; the same applies hereinafter) that consider the day after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the incorporated commodity exchange surviving an absorption-type merger; the same applies in (c)) as the provisional account closing day (meaning a provisional account closing day prescribed in Article 441, paragraph (1) of the Companies Act; the same applies hereinafter) (if there are two or more provisional account closing days, the last one), the content of the provisional financial statements, etc.; ハ 最終事業年度の末日後に重要な財産の処分、重大な債務の負担その他の当該吸収合併存続株式会社商品取引所の財産の状況に重要な影響を与える事象が生じたときは、その内容(法第百四十四条第四項の会員総会の日の十日前の日後吸収合併の効力が生ずる日までの間に新たな最終事業年度が存することとなる場合にあっては、当該新たな最終事業年度の末日後に生じた事象の内容に限る。) (c) when an event that has a significant influence on the status of the property of the incorporated commodity exchange surviving an absorption-type merger, such as the disposition of important property and the bearing of significant obligations has occurred after the last day of the final business year, the content of the event (in cases where a new final business year emerges during the period between 10 days prior to a general meeting of members referred to in Article 144, paragraph (4) of the Act and the day when the absorption-type merger comes into effect, limited to the content of an event that occurred after the last day of the new final business year); 四 吸収合併消滅会員商品取引所(清算会員商品取引所を除く。)において最終事業年度の末日(最終事業年度がない場合にあっては、吸収合併消滅会員商品取引所の成立の日)後に重要な財産の処分、重大な債務の負担その他の当該吸収合併消滅会員商品取引所の財産の状況に重要な影響を与える事象が生じたときは、その内容(法第百四十四条第四項の会員総会の日の十日前の日後吸収合併の効力が生ずる日までの間に新たな最終事業年度が存することとなる場合にあっては、当該新たな最終事業年度の末日後に生じた事象の内容に限る。) (iv) when an event that has a significant influence on the status of the property of the member commodity exchange dissolved in an absorption-type merger, such as the disposition of important property and the bearing of significant obligations after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the member commodity exchange dissolved in an absorption-type merger) at the member commodity exchange dissolved in an absorption-type merger (excluding liquidating member commodity exchanges), the content of the event (in cases where a new final business year emerges during the period between 10 days prior to a general meeting of members referred to in Article 144, paragraph (4) of the Act and the day when the absorption-type merger becomes effective, limited to the content of an event that occurred after the last day of the new final business year); 五 吸収合併が効力を生ずる日以後における吸収合併存続株式会社商品取引所の債務(法第百四十四条第六項において準用する法第百二十四条第一項の規定により吸収合併について異議を述べることができる債権者に対して負担する債務に限る。)の履行の見込みの有無に関する事項 (v) the information concerning prospects of the performance of obligations (limited to obligations the incorporated commodity exchange bears against the creditors that may state objections to the absorption-type merger pursuant to the provisions of Article 124, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 144, paragraph (6) of the Act) of the incorporated commodity exchange surviving an absorption-type merger on and after the day when the absorption-type merger comes into effect; 六 法第百四十四条第四項の会員総会の日の十日前の日後、前各号に掲げる事項に変更が生じたときは、変更後の当該事項 (vi) if there is any change to the information set forth in the preceding items after 10 days prior to a general meeting of members referred to in Article 144, paragraph (4) of the Act, the changed information. (吸収合併存続会員商品取引所の事前開示事項) (Information to be Disclosed in Advance by a Member Commodity Exchange Surviving an Absorption-Type Merger) 第五十九条の二 法第百四十四条の二第一項の主務省令で定める事項は、次に掲げるものとする。 Article 59-2 The information specified by order of the competent ministry as referred to in Article 144-2 paragraph (1) of the Act is as follows: 一 第五十六条の三各号に掲げる事項についての定め(当該定めがない場合にあっては、当該定めがないこと)の相当性に関する事項 (i) the information concerning the appropriateness of the provisions on information set forth in each item of Article 56-3 (in cases where there are no such provisions, that fact); 二 吸収合併消滅会員商品取引所(清算会員商品取引所を除く。)についての次に掲げる事項 (ii) the following information concerning the member commodity exchange dissolved in an absorption-type merger (excluding liquidating member commodity exchanges): イ 最終事業年度に係る財産目録、貸借対照表及び当該貸借対照表とともに作成された損益計算書の内容 (a) an inventory of property and a balance sheet for the final business year and the content of a profit and loss statement prepared together with the balance sheet; ロ 最終事業年度の末日(最終事業年度がない場合にあっては、吸収合併消滅会員商品取引所の成立の日。第四号において同じ。)後に重要な財産の処分、重大な債務の負担その他の当該吸収合併消滅会員商品取引所の財産の状況に重要な影響を与える事象が生じたときは、その内容(法第百四十四条の二第二項の会員総会の日の十日前の日後吸収合併の効力が生じた日までの間に新たな最終事業年度が存することとなる場合にあっては、当該新たな最終事業年度の末日後に生じた事象の内容に限る。) (b) when an event that has a significant influence on the status of the property of the member commodity exchange dissolved in an absorption-type merger, such as the disposition of important property and the bearing of significant obligations has occurred after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the member commodity exchange dissolved in an absorption-type merger; the same applies in item (iv)), the content of the event (in cases where a new final business year emerges during the period between 10 days prior to a general meeting of members referred to in Article 144-2, paragraph (2) of the Act and the day when the absorption-type merger becomes effective, limited to the content of an event that occurred after the last day of the new final business year); 三 吸収合併消滅会員商品取引所(清算会員商品取引所に限る。)が法第七十七条第一項において準用する会社法第四百九十二条第一項の規定により作成した貸借対照表 (iii) a balance sheet which the member commodity exchange dissolved in an absorption-type merger (limited to a liquidating member commodity exchange) has prepared pursuant to the provisions of Article 492, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 77, paragraph (1) of the Act; 四 吸収合併存続会員商品取引所において最終事業年度の末日(最終事業年度がない場合にあっては、吸収合併存続会員商品取引所の成立の日)後に重要な財産の処分、重大な債務の負担その他の当該吸収合併存続会員商品取引所の財産の状況に重要な影響を与える事象が生じたときは、その内容(法第百四十四条の二第二項の会員総会の日の十日前の日後吸収合併の効力が生じた日までの間に新たな最終事業年度が存することとなる場合にあっては、当該新たな最終事業年度の末日後に生じた事象の内容に限る。) (iv) when an event that has a significant influence on the status of the property of the member commodity exchange surviving an absorption-type merger, such as the disposition of important property and the bearing of significant obligations has occurred after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the member commodity exchange surviving an absorption-type merger) at the member commodity exchange surviving an absorption-type merger, the content of the event (in cases where a new final business year emerges during the period between 10 days prior to a general meeting of members referred to in Article 144-2, paragraph (2) of the Act and the day when the absorption-type merger becomes effective, limited to the content of an event that occurred after the last day of the new final business year); 五 吸収合併が効力を生じた日以後における吸収合併存続会員商品取引所の債務(法第百四十四条の二第四項において準用する法第百二十四条第一項の規定により吸収合併について異議を述べることができる債権者に対して負担する債務に限る。)の履行の見込みに関する事項 (v) the information concerning prospects of the performance of obligations (limited to obligations which the member commodity exchange bears against the creditors that may state objections to the absorption-type merger pursuant to the provisions of Article 124, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 144-2, paragraph (4) of the Act) of the member commodity exchange surviving an absorption-type merger on and after the day when the absorption-type merger becomes effective; 六 法第百四十四条の二第二項の会員総会の日の十日前の日後吸収合併の効力が生じた日までの間に、前各号に掲げる事項に変更が生じたときは、変更後の当該事項 (vi) if there is any change to the information set forth in the preceding items during the period between 10 days prior to a general meeting of members referred to in Article 144-2, paragraph (2) of the Act and the day when the absorption-type merger becomes effective, the changed information. (吸収合併存続会員商品取引所の事後開示事項) (Information to be Disclosed after the Fact by a Member Commodity Exchange Surviving an Absorption-Type Merger) 第五十九条の三 法第百四十四条の二第五項の主務省令で定める事項は、次に掲げるものとする。 Article 59-3 The information specified by order of the competent ministry as referred to in Article 144-2, paragraph (5) of the Act is as follows: 一 吸収合併の効力が生じた日 (i) the day on which the absorption-type merger becomes effective; 二 吸収合併消滅会員商品取引所における次に掲げる事項 (ii) the following matters concerning the member commodity exchange dissolved in an absorption-type merger: イ 法第百四十四条第五項の規定による請求に係る手続の経過 (a) the progress of the procedures related to the demand under the provisions of Article 144, paragraph (5) of the Act; ロ 法第百四十四条第六項において準用する法第百二十四条の規定による手続の経過 (b) the progress of the procedures under the provisions of Article 124 of the Act as applied mutatis mutandis pursuant to Article 144, paragraph (6) of the Act; 三 吸収合併存続会員商品取引所における次に掲げる事項 (iii) the following matters concerning the member commodity exchange surviving an absorption-type merger: イ 法第百四十四条の二第三項の規定による請求に係る手続の経過 (a) the progress of the procedures related to the demand under the provisions of Article 144-2, paragraph (3) of the Act; ロ 法第百四十四条の二第四項において準用する法第百二十四条の規定による手続の経過 (b) the progress of the procedures under the provisions of Article 124 of the Act as applied mutatis mutandis pursuant to Article 144-2, paragraph (4) of the Act; 四 吸収合併により吸収合併存続会員商品取引所が吸収合併消滅会員商品取引所から承継した重要な権利義務に関する事項 (iv) the information concerning important rights and obligations which the member commodity exchange surviving an absorption-type merger succeeded to from the member commodity exchange dissolved in an absorption-type merger through an absorption-type merger; 五 法第百四十四条第一項の規定により吸収合併消滅会員商品取引所が備え置いた書面又は電磁的記録に記載又は記録がされた事項(吸収合併契約の内容を除く。) (v) the information stated or recorded in a document or an electronic or magnetic record which the member commodity exchange dissolved in an absorption-type merger has kept pursuant to the provisions of Article 144, paragraph (1) of the Act (excluding the content of the absorption-type merger contract); 六 法第百四十七条第一項の変更の登記をした日 (vi) the date of the registration of the change referred to in Article 147, paragraph (1) of the Act; 七 前各号に掲げるもののほか、吸収合併に関する重要な事項 (vii) beyond what is set forth in the preceding items, important matters concerning the absorption-type merger. (新設合併消滅会員商品取引所の事前開示事項) (Information to be Disclosed in Advance by a Member Commodity Exchange Dissolved in a Consolidation-Type Merger) 第五十九条の四 法第百四十四条の三第一項の主務省令で定める事項は、新設合併設立商品取引所が会員商品取引所である場合にあっては、次に掲げる事項とする。 Article 59-4 The information specified by order of the competent ministry referred to in Article 144-3, paragraph (1) of the Act is as follows in cases where a member commodity exchange established by a consolidation-type merger is a member commodity exchange: 一 第五十七条各号に掲げる事項についての定めの相当性に関する事項 (i) the information concerning the appropriateness of the provisions on information set forth in the items of Article 57; 二 他の新設合併消滅会員商品取引所(清算会員商品取引所を除く。以下この号において同じ。)についての次に掲げる事項 (ii) the following information concerning another member commodity exchange dissolved in a consolidation-type merger (excluding liquidating member commodity exchanges; the same applies in this item): イ 最終事業年度に係る財産目録、貸借対照表及び当該貸借対照表とともに作成された損益計算書の内容 (a) an inventory of property and a balance sheet for the final business year and the content of a profit and loss statement prepared together with the balance sheet; ロ 他の新設合併消滅会員商品取引所において最終事業年度の末日(最終事業年度がない場合にあっては、他の新設合併消滅会員商品取引所の成立の日)後に重要な財産の処分、重大な債務の負担その他の当該他の新設合併消滅会員商品取引所の財産の状況に重要な影響を与える事象が生じたときは、その内容(法第百四十四条の三第四項の会員総会の日の十日前の日後新設合併設立会員商品取引所の成立の日までの間に新たな最終事業年度が存することとなる場合にあっては、当該新たな最終事業年度の末日後に生じた事業の内容に限る。) (b) when an event that has a significant influence on the status of the property of another member commodity exchange dissolved in a consolidation-type merger, such as the disposition of important property and the bearing of significant obligations has occurred after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the other member commodity exchange dissolved in a consolidation-type merger) at the other member commodity exchange dissolved in a consolidation-type merger, the content of the event (in cases where a new final business year emerges during the period between 10 days prior to a general meeting of members referred to in Article 144-3, paragraph (4) of the Act and the day of the establishment of the member commodity exchange established by a consolidation-type merger, limited to the content of an event that occurred after the last day of the new final business year); 三 他の新設合併消滅会員商品取引所(清算会員商品取引所に限る。)が法第七十七条第一項において準用する会社法第四百九十二条第一項の規定により作成した貸借対照表 (iii) a balance sheet which another member commodity exchange dissolved in a consolidation-type merger (limited to a liquidating member commodity exchange) has prepared pursuant to the provisions of Article 492, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 77, paragraph (1) of the Act; 四 当該新設合併消滅会員商品取引所(清算会員商品取引所を除く。以下この号において同じ。)において最終事業年度の末日(最終事業年度がない場合にあっては、当該新設合併消滅会員商品取引所の成立の日)後に重要な財産の処分、重大な債務の負担その他の当該新設合併消滅会員商品取引所の財産の状況に重要な影響を与える事象が生じたときは、その内容(法第百四十四条の三第四項の会員総会の日の十日前の日後新設合併設立会員商品取引所の成立の日までの間に新たな最終事業年度が存することとなる場合にあっては、当該新たな最終事業年度の末日後に生じた事象の内容に限る。) (iv) when an event that has a significant influence on the status of the property of another member commodity exchange dissolved in a consolidation-type merger, such as the disposition of important property and the bearing of significant obligations has occurred after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the member commodity exchange dissolved in a consolidation-type merger) at the member commodity exchange dissolved in a consolidation-type merger (excluding liquidating member commodity exchanges; hereinafter the same applies in this item), the content of the event (in cases where a new final business year emerges during the period between 10 days prior to a general meeting of members referred to in Article 144-3, paragraph (4) of the Act and the day of the establishment of the member commodity exchange established by a consolidation-type merger, limited to the content of an event that occurred after the last day of the new final business year); 五 新設合併設立会員商品取引所の成立の日以後における当該新設合併設立会員商品取引所の債務(他の新設合併消滅会員商品取引所から承継する債務を除く。)の履行の見込みに関する事項 (v) the information concerning prospects of the performance of obligations (excluding obligations succeeded to from another member commodity exchange dissolved in a consolidation-type merger) of the member commodity exchange established by a consolidation-type merger on and after the day of the establishment of the member commodity exchange established by a consolidation-type merger; 六 法第百四十四条の三第四項の会員総会の日の十日前の日後、前各号に掲げる事項に変更が生じたときは、変更後の当該事項 (vi) if there is any change to the information set forth in the preceding items after 10 days prior to a general meeting of members referred to in Article 144-3, paragraph (4) of the Act, the changed information. (新設合併消滅会員商品取引所の事前開示事項) (Information to be Disclosed in Advance by a Member Commodity Exchange Dissolved in a Consolidation-Type Merger 第五十九条の五 法第百四十四条の三第一項の主務省令で定める事項は、新設合併設立商品取引所が株式会社商品取引所である場合にあっては、次に掲げる事項とする。 Article 59-5 The information specified by order of the competent ministry as referred to in Article 144-3, paragraph (1) of the Act is as follows in cases where a member commodity exchange established by a consolidation-type merger is an incorporated commodity exchange: 一 法第百四十三条第一項第六号及び第七号に掲げる事項についての定めの相当性に関する事項 (i) the information concerning the appropriateness of the provisions on information set forth in Article 143, paragraph (1), items (vi) and (vii) of the Act; 二 他の新設合併消滅商品取引所(清算株式会社及び清算会員商品取引所を除く。以下この号において同じ。)についての次に掲げる事項 (ii) the following information concerning another commodity exchange dissolved in a consolidation-type merger (excluding liquidating stock companies and liquidating member commodity exchanges; hereinafter the same applies in this item): イ 最終事業年度に係る計算書類等又は財産目録、貸借対照表及び当該貸借対照表とともに作成された損益計算書(最終事業年度がない場合にあっては、他の新設合併消滅株式会社商品取引所の成立の日における貸借対照表)の内容 (a) financial statements, etc. or an inventory of property, and a balance sheet for the final business year, and the content of a profit and loss statement prepared together with the balance sheet (in cases where the final business year does not exist, a balance sheet on the day of the establishment of another incorporated commodity exchange dissolved in a consolidation-type merger); ロ 最終事業年度の末日(最終事業年度がない場合にあっては、他の新設合併消滅商品取引所の成立の日)後の日を臨時決算日(二以上の臨時決算日がある場合にあっては、最も遅いもの)とする臨時計算書類等があるときは、当該臨時計算書類等の内容 (b) when there are provisional financial statements, etc. that considers the day after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the other commodity exchange dissolved in a consolidation-type merger) as a provisional account closing day (in cases where there are two or more provisional account closing days, the last one), the content of the provisional financial statements, etc.; ハ 他の新設合併消滅商品取引所において最終事業年度の末日(最終事業年度がない場合にあっては、他の新設合併消滅商品取引所の成立の日)後に重要な財産の処分、重大な債務の負担その他の当該他の新設合併消滅商品取引所の財産の状況に重要な影響を与える事象が生じたときは、その内容(法第百四十四条の三第四項の会員総会の日の十日前の日後新設合併設立株式会社商品取引所の成立の日までの間に新たな最終事業年度が存することとなる場合にあっては、当該新たな最終事業年度の末日後に生じた事業の内容に限る。) (c) when an event that has a significant influence on the status of the property of another commodity exchange dissolved in a consolidation-type merger, such as the disposition of important property and the bearing of significant obligations has occurred after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the other commodity exchange dissolved in a consolidation-type merger) at the other commodity exchange dissolved in a consolidation-type merger, the content of the event (in cases where a new final business year emerges during the period between 10 days prior to a general meeting of members referred to in Article 144-3, paragraph (4) of the Act and the day of the establishment of the incorporated commodity exchange established by a consolidation-type merger, limited to the content of an event that occurred after the last day of the new final business year); 三 他の新設合併消滅商品取引所(清算株式会社又は清算会員商品取引所に限る。)が会社法第四百九十二条第一項(法第七十七条第一項において準用する場合を含む。)の規定により作成した貸借対照表 (iii) a balance sheet which another commodity exchange dissolved in a consolidation-type merger (limited to a liquidating stock company or liquidating member commodity exchange) has prepared pursuant to the provisions of Article 492, paragraph (1) of the Companies Act (including as applied mutatis mutandis pursuant to Article 77, paragraph (1) of the Act); 四 当該新設合併消滅会員商品取引所(清算会員商品取引所を除く。以下この号において同じ。)において最終事業年度の末日(最終事業年度がない場合にあっては、当該新設合併消滅会員商品取引所の成立の日)後に重要な財産の処分、重大な債務の負担その他の当該新設合併消滅会員商品取引所の財産の状況に重要な影響を与える事象が生じたときは、その内容(法第百四十四条の三第四項の会員総会の日の十日前の日後新設合併設立株式会社商品取引所の成立の日までの間に新たな最終事業年度が存することとなる場合にあっては、当該新たな最終事業年度の末日後に生じた事業の内容に限る。) (iv) when an event that has a significant influence on the status of the property of the member commodity exchange dissolved in a consolidation-type merger, such as the disposition of important property and the bearing of significant obligations has occurred after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the member commodity exchange dissolved in a consolidation-type merger) at the member commodity exchange dissolved in a consolidation-type merger (excluding liquidating member commodity exchanges; hereinafter the same applies in this item), the content of the event (in cases where a new final business year emerges during the period between 10 days prior to a general meeting of members referred to in Article 144-3, paragraph (4) of the Act and the day of the establishment of the incorporated commodity exchange established by a consolidation-type merger, limited to the content of an event that occurred after the last day of the new final business year); 五 新設合併設立株式会社商品取引所の成立の日以後における当該新設合併設立株式会社商品取引所の債務(他の新設合併消滅商品取引所から承継する債務を除く。)の履行の見込みに関する事項 (v) the information concerning prospects of the performance of obligations (excluding obligations succeeded to from another commodity exchange dissolved in a consolidation-type merger) of the incorporated commodity exchange established by a consolidation-type merger on and after the day of the establishment of the incorporated commodity exchange established by a consolidation-type merger; 六 法第百四十四条の三第四項の会員総会の日の十日前の日後、前各号に掲げる事項に変更が生じたときは、変更後の当該事項 (vi) if there is any change to the information set forth in the preceding items after 10 days prior to a general meeting of members referred to in Article 144-3, paragraph (4) of the Act, the changed information. (新設合併設立会員商品取引所の事後開示事項) (Information to be Disclosed after the Fact by a Member Commodity Exchange Established by a Consolidation-Type Merger) 第五十九条の六 法第百四十四条の四第三項の主務省令で定める事項は、次に掲げるものとする。 Article 59-6 The information specified by order of the competent ministry as referred to in Article 144-4, paragraph (3) of the Act is as follows: 一 新設合併の効力が生じた日 (i) the day on which the consolidation-type merger becomes effective; 二 法第百四十四条の三第五項の規定による請求に係る手続の経過 (ii) the progress of the procedures concerning the demand under the provisions of Article 144-3, paragraph (5) of the Act; 三 法第百四十四条の三第六項において準用する法第百二十四条の規定による手続の経過 (iii) the progress of the procedures under the provisions of Article 124 of the Act as applied mutatis mutandis pursuant to Article 144-3, paragraph (6) of the Act; 四 新設合併により新設合併設立会員商品取引所が新設合併消滅会員商品取引所から承継した重要な権利義務に関する事項 (iv) the information concerning important rights and obligations which the member commodity exchange established by a consolidation-type merger succeeded to from the member commodity exchange dissolved in a consolidation-type merger through a consolidation-type merger; and 五 前各号に掲げるもののほか、新設合併に関する重要な事項 (v) beyond what is set forth in the preceding items, important information concerning the consolidation-type merger. (新設合併設立会員商品取引所の事後開示事項) (Information to be Disclosed after the Fact by a Member Commodity Exchange Established by a Consolidation-Type Merger) 第五十九条の七 法第百四十四条の四第四項に規定する主務省令で定める事項は、法第百四十四条の三第一項の規定により新設合併消滅会員商品取引所が備え置いた書面又は電磁的記録に記載又は記録がされた事項(新設合併契約の内容を除く。)とする。 Article 59-7 The information specified by order of the competent ministry as prescribed in Article 144-4, paragraph (4) of the Act is the information stated or recorded in a document or an electronic or magnetic record which the member commodity exchange dissolved in a consolidation-type merger has kept pursuant to the provisions of Article 144-3, paragraph (1) of the Act (excluding the content of the consolidation-type merger contract). (吸収合併存続株式会社商品取引所の事前開示事項) (Information to be Disclosed in Advance by a Member Commodity Exchange Surviving an Absorption-Type Merger) 第五十九条の八 法第百四十四条の五第一項の主務省令で定める事項は、次に掲げるものとする。 Article 59-8 The information specified by order of the competent ministry as referred to in Article 144-5, paragraph (1) of the Act is as follows: 一 法第百四十二条第二号及び第三号に掲げる事項についての定め(当該定めがない場合にあっては、当該定めがないこと)の相当性に関する事項 (i) the information concerning the appropriateness of the provisions on information set forth in Article 142, items (ii) and (iii) of the Act (in cases where there are no such provisions, that fact); 二 吸収合併消滅会員商品取引所(清算会員商品取引所を除く。)についての次に掲げる事項 (ii) the following information concerning a member commodity exchange dissolved in an absorption-type merger (excluding liquidating member commodity exchanges): イ 最終事業年度に係る財産目録、貸借対照表及び当該貸借対照表とともに作成された損益計算書の内容 (a) an inventory of property and a balance sheet for the final business year and the content of a profit and loss statement prepared together with the balance sheet; ロ 最終事業年度の末日(最終事業年度がない場合にあっては、吸収合併消滅会員商品取引所の成立の日。第四号において同じ。)後に重要な財産の処分、重大な債務の負担その他の当該吸収合併消滅会員商品取引所の財産の状況に重要な影響を与える事象が生じたときは、その内容(法第百四十四条の五第一項各号に掲げる日のいずれか早い日後吸収合併の効力が生じた日までの間に新たな最終事業年度が存することとなる場合にあっては、当該新たな最終事業年度の末日後に生じた事象の内容に限る。) (b) when an event that has a significant influence on the status of the property of the member commodity exchange dissolved in an absorption-type merger, such as the disposition of important property and the bearing of significant obligations has occurred after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the member commodity exchange dissolved in an absorption-type merger; the same applies in item (iv)), the content of the event (in cases where a new final business year emerges during the period between the earliest day among the days set forth in the items of Article 144-5, paragraph (1) of the Act and the day when the absorption-type merger becomes effective, limited to the content of an event that occurred after the last day of the new final business year); 三 吸収合併消滅会員商品取引所(清算会員商品取引所に限る。)が法第七十七条第一項において準用する会社法第四百九十二条第一項の規定により作成した貸借対照表 (iii) a balance sheet which the member commodity exchange dissolved in an absorption-type merger (limited to a liquidating member commodity exchange) has prepared pursuant to the provisions of Article 492, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 77, paragraph (1) of the Act; 四 吸収合併存続株式会社商品取引所において次に掲げる事項 (iv) the following information concerning a member commodity exchange surviving an absorption-type merger: イ 最終事業年度の末日(最終事業年度がない場合にあっては、吸収合併存続株式会社商品取引所の成立の日)後に重要な財産の処分、重大な債務の負担その他の当該吸収合併存続株式会社商品取引所の財産の状況に重要な影響を与える事象が生じたときは、その内容(法第百四十四条の五第一項各号に掲げる日のいずれか早い日後吸収合併の効力が生じた日までの間に新たな最終事業年度が存することとなる場合にあっては、当該新たな最終事業年度の末日後に生じた事象の内容に限る。) (a) when an event that has a significant influence on the status of the property of the incorporated commodity exchange surviving an absorption-type merger, such as the disposition of important property and the bearing of significant obligations has occurred after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the incorporated commodity exchange surviving an absorption-type merger), the content of the event (in cases where a new final business year emerges during the period between the earliest day among the days set forth in the items of Article 144-5, paragraph (1) of the Act and the day when the absorption-type merger becomes effective, limited to the content of an event that occurred after the last day of the new final business year); ロ 吸収合併存続株式会社商品取引所において最終事業年度がないときは、吸収合併存続株式会社商品取引所の成立の日における貸借対照表 (b) when the final business year does not exist for the incorporated commodity exchange surviving an absorption-type merger, a balance sheet as of the day of the establishment of the incorporated commodity exchange surviving an absorption-type merger; 五 吸収合併の効力が生ずる日以後における吸収合併存続株式会社商品取引所の債務(法第百四十四条の十一第一項の規定により吸収合併について異議を述べることができる債権者に対して負担する債務に限る。)の履行の見込みに関する事項 (v) the information concerning prospects of the performance of obligations (limited to obligations which the incorporated commodity exchange bears against the creditors that may state objections to the absorption-type merger pursuant to the provisions of Article 144-10, paragraph (1) of the Act) of the incorporated commodity exchange surviving an absorption-type merger on or after the day when the absorption-type merger comes into effect; 六 法第百四十四条の五第一項各号に掲げる日のいずれか早い日後吸収合併の効力が生じた日までの間に、前各号に掲げる事項に変更が生じたときは、変更後の当該事項 (vi) if there is any change to the information set forth in the preceding items during the period between the earliest day among the days set forth in the items of Article 144-5, paragraph (1) of the Act and the day when the absorption-type merger becomes effective, the changed information. (資産の額等) (Amount of Assets) 第五十九条の九 法第百四十四条の六第二項第一号に規定する債務の額として主務省令で定める額は、第一号に掲げる額から第二号に掲げる額を減じて得た額とする。 Article 59-9 (1) The amount specified by order of the competent ministry as the amount of the obligations prescribed in Article 144-6, paragraph (2), item (i) of the Act is the amount obtained by subtracting the amount set forth in item (ii) from the amount set forth in item (i): 一 吸収合併の直後に吸収合併存続株式会社商品取引所の貸借対照表の作成があったものとする場合における当該貸借対照表の負債の部に計上すべき額 (i) in cases where the balance sheet of an incorporated commodity exchange surviving an absorption-type merger was considered to have been prepared immediately after the absorption-type merger, the amount required to be recorded in the liabilities section of the balance sheet; 二 吸収合併の直前に吸収合併存続株式会社商品取引所の貸借対照表の作成があったものとする場合における当該貸借対照表の負債の部に計上すべき額 (ii) in cases where the balance sheet of an incorporated commodity exchange surviving an absorption-type merger was considered to have been prepared immediately prior to the absorption-type merger, the amount required to be recorded in the liabilities section of the balance sheet. 2 法第百四十四条の六第二項第一号に規定する資産の額として主務省令で定める額は、第一号に掲げる額から第二号に掲げる額を減じて得た額とする。 (2) The amount specified by order of the competent ministry as the amount of the assets prescribed in Article 144-6, paragraph (2), item (i) of the Act is the amount obtained by subtracting the amount set forth in item (ii) from the amount set forth in item (i): 一 吸収合併の直後に吸収合併存続株式会社商品取引所の貸借対照表の作成があったものとする場合における当該貸借対照表の資産の部に計上すべき額 (i) in cases where the balance sheet of an incorporated commodity exchange surviving an absorption-type merger was considered to have been prepared immediately after the absorption-type merger, the amount required to be recorded in the assets section of the balance sheet; 二 吸収合併の直前に吸収合併存続株式会社商品取引所の貸借対照表の作成があったものとする場合における当該貸借対照表の資産の部に計上すべき額から法第百四十四条の六第二項第二号の金銭の額を減じて得た額 (ii) in cases where the balance sheet of an incorporated commodity exchange surviving an absorption-type merger was considered to have been prepared immediately prior to the absorption-type merger, the amount obtained by subtracting the amount of the money set forth in Article 144-6, paragraph (2), item (ii) of the Act from the amount required to be recorded in the assets section of the balance sheet. (純資産の額) (Amount of Net Assets) 第五十九条の十 法第百四十四条の七第一項第二号に規定する主務省令で定める方法は、算定基準日(吸収合併契約を締結した日(当該吸収合併契約により当該吸収合併契約を締結した日と異なる時(当該吸収合併契約を締結した日後から吸収合併の効力が生ずる時までの間の時に限る。)を定めた場合にあっては、当該時)をいう。以下この条において同じ。)における第一号から第六号までに掲げる額の合計額から第七号に掲げる額を減じて得た額(当該額が五百万円を下回る場合にあっては、五百万円)をもって吸収合併存続株式会社商品取引所の純資産額とする方法とする。 Article 59-10 The means specified by order of the competent ministry as prescribed in Article 144-7, paragraph (1), item (ii) of the Act are the means in which the amount of the net assets of an incorporated commodity exchange surviving an absorption-type merger is considered to be the amount obtained by subtracting the amount set forth in item (vii) from the sum of the amounts set forth in items (i) through (vi) on the calculation base date (meaning the day an absorption-type merger contract was concluded (in cases where the calculation base date which is different from the day the absorption-type merger contract was concluded is specified (limited to during the period between the day the absorption-type merger contract was concluded and the day when the absorption-type merger came into effect) by the contract, that date)) (in cases where the obtained amount is less than five million yen, the amount is to be five million yen): 一 資本金の額 (i) the amount of capital; 二 資本準備金の額 (ii) the amount of capital reserve; 三 利益準備金の額 (iii) the amount of profit reserve; 四 会社法第四百四十六条に規定する剰余金の額 (iv) the amount of surplus prescribed in Article 446 of the Companies Act; 五 最終事業年度の末日(最終事業年度がない場合にあっては、吸収合併存続株式会社商品取引所の成立の日)における評価・換算差額等に係る額 (v) the amount related to valuation or translation difference on the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the incorporated commodity exchange surviving an absorption-type merger); 六 新株予約権の帳簿価額 (vi) the book value of share options; 七 自己株式及び自己新株予約権の帳簿価額の合計額 (vii) the sum of the book value of a person's own shares and their own share options. 第五十九条の十一 法第百四十四条の七第二項に規定する主務省令で定める数は、次に掲げる数のうちいずれか小さい数とする。 Article 59-11 The number specified by order of the competent ministry as prescribed in Article 144-7, paragraph (2) of the Act is the smallest number among the following numbers: 一 特定株式(法第百四十四条の七第二項に規定する行為に係る株主総会において議決権を行使することができることを内容とする株式をいう。以下この条において同じ。)の総数に二分の一(当該株主総会の決議が成立するための要件として当該特定株式の議決権の総数の一定の割合以上の議決権を有する株主が出席しなければならない旨の定款の定めがある場合にあっては、当該一定の割合)を乗じて得た数に三分の一(当該株主総会の決議が成立するための要件として当該株主総会に出席した当該特定株主(特定株式の株主をいう。以下この条において同じ。)の有する議決権の総数の一定の割合以上の多数が賛成しなければならない旨の定款の定めがある場合にあっては、一から当該一定の割合を減じて得た割合)を乗じて得た数に一を加えた数 (i) the number adding one to the number obtained by multiplying 1/3 (in cases where the articles of incorporation specify, as a requirement for adopting a resolution of a shareholders meeting that a majority of at least a certain rate of the total voting rights held by specified shareholders (meaning shareholders of specified shares (meaning shares for which a voting right may be exercised at a shareholders meeting related to the acts prescribed in Article 144-7, paragraph (2) of the Act; hereinafter the same applies in this Article); hereinafter the same applies in this Article) who attend the shareholders meeting must agree to the resolution, the rate obtained by subtracting the certain rate from one) by the number obtained by multiplying 1/2 (in cases where the articles of incorporation specify, as a requirement for adopting a resolution of the shareholders meeting, that shareholders who hold more than a certain rate of the total voting rights must attend the shareholders meeting, that certain rate) by the total number of specified shares; 二 法第百四十四条の七第二項に規定する行為に係る決議が成立するための要件として一定の数以上の特定株主の賛成を要する旨の定款の定めがある場合において、特定株主の総数から吸収合併存続株式会社商品取引所に対して当該行為に反対する旨の通知をした特定株主の数を減じて得た数が当該一定の数未満となるときにおける当該行為に反対する旨の通知をした特定株主の有する特定株式の数 (ii) in cases where the articles of incorporation specify, as a requirement for adopting a resolution related to the acts prescribed in Article 144-7, paragraph (2) of the Act, that more than a certain number of specified shareholders must agree to the resolution, and when the number obtained by subtracting the number of specified shareholders who has notified an incorporated commodity exchange surviving an absorption-type merger that they will disagree with the act from the total number of specified shareholders is less than the certain number, the number of specified shares held by the specified shareholders who has notified that they will disagree with the act; 三 法第百四十四条の七第二項に規定する行為に係る決議が成立するための要件として前二号の定款の定め以外の定款の定めがある場合において、当該行為に反対する旨の通知をした特定株主の全部が同項に規定する株主総会において反対したとすれば当該決議が成立しないときは、当該行為に反対する旨の通知をした特定株主の有する特定株式の数 (iii) in cases where the articles of incorporation have provisions other than those set forth in the preceding two items as a requirement for adopting a resolution related to the acts prescribed in Article 144-7, paragraph (2) of the Act, and the resolution will not be adopted if all the specified shareholders who has notified that they will disagree with the act disagree with the act at a shareholders meeting prescribed in that paragraph, the number of specified shares held by specified shareholders who has notified that they will disagree with the act; 四 定款で定めた数 (iv) the number specified by the articles of incorporation. (計算書類に関する事項) (Information Concerning Accounting Documents) 第五十九条の十二 法第百四十四条の十一第二項第三号に規定する主務省令で定めるものは、同項の規定による公告の日又は同項の規定による催告の日のいずれか早い日における次の各号に定める場合の区分に応じ、当該各号に定めるものとする。 Article 59-12 The information specified by order of the competent ministry as prescribed in Article 144-11, paragraph (2), item (iii) of the Act is the information specified in the following items in accordance with the category of cases set forth in each item, on the day of the public notice set forth in that paragraph or the day of the notice set forth in that paragraph, whichever is earlier: 一 最終事業年度に係る貸借対照表又はその要旨につき吸収合併存続株式会社商品取引所が会社法第四百四十条第一項又は第二項の規定により公告をしている場合 次に掲げるもの (i) in cases where an incorporated commodity exchange surviving an absorption-type merger has given public notice with regard to a balance sheet for the final business year or its outline pursuant to the provisions of Article 440, paragraph (1) or (2) of the Companies Act: the following information: イ 官報で公告をしているときは、当該官報の日付及び当該公告が掲載されている頁 (a) when the public notice has been given in an Official Gazette, the date of the issuance of the Official Gazette and the page containing the public notice; ロ 時事に関する事項を掲載する日刊新聞紙で公告をしているときは、当該日刊新聞紙の名称、日付及び当該公告が掲載されている頁 (b) when the public notice has been given in a daily newspaper which publishes matters on current events, the name and the date of the issuance of the daily newspaper and the page containing the public notice; ハ 電子公告により公告をしているときは、会社法第九百十一条第三項第二十八号イに掲げる事項 (c) when the public notice has been given by electronic public notice, the information set forth in Article 911, paragraph (3), item (xxviii), (a) of the Companies Act; 二 最終事業年度に係る貸借対照表につき吸収合併存続株式会社商品取引所が会社法第四百四十条第三項に規定する措置を執っている場合 会社法第九百十一条第三項第二十六号に掲げる事項 (ii) in cases where an incorporated commodity exchange surviving an absorption-type merger has taken measures prescribed in Article 440, paragraph (3) of the Companies Act with regard to a balance sheet for the final business year: information set forth in Article 911, paragraph (3), item (xxvi) of the Companies Act; 三 吸収合併存続株式会社商品取引所が会社法第四百四十条第四項に規定する株式会社である場合において、当該株式会社が金融商品取引法第二十四条第一項の規定により最終事業年度に係る有価証券報告書を提出しているとき その旨 (iii) in cases where an incorporated commodity exchange surviving an absorption-type merger is a stock company prescribed in Article 440, paragraph (4) of the Companies Act, and the stock company has submitted an annual securities report for the final business year pursuant to the provisions of Article 24, paragraph (1) of the Financial Instruments and Exchange Act: a statement to that effect; 四 吸収合併存続株式会社商品取引所につき最終事業年度がない場合 その旨 (iv) in cases where the final business year does not exist for an incorporated commodity exchange surviving an absorption-type merger: a statement to that effect; 五 吸収合併存続株式会社商品取引所が清算株式会社である場合 その旨 (v) in cases where an incorporated commodity exchange surviving an absorption-type merger is a liquidating stock company: a statement to that effect; 六 前各号に掲げる場合以外の場合 会社計算規則第六編第二章の規定による最終事業年度に係る貸借対照表の要旨の内容 (vi) in the cases other than those set forth in the preceding items: the content of the outline of the balance sheet for the final business year under the provisions of Part VI, Chapter II of the Regulations on Corporate Accounting. (吸収合併存続株式会社商品取引所の事後開示事項) (Information to be Disclosed after the Fact by an Incorporated Commodity Exchange Surviving an Absorption-Type Merger) 第五十九条の十三 法第百四十四条の十二第一項に規定する主務省令で定める事項は、次に掲げる事項とする。 Article 59-13 The information specified by order of the competent ministry as prescribed in Article 144-12, paragraph (1) of the Act is as follows: 一 吸収合併の効力が生じた日 (i) the day on which the absorption-type merger becomes effective; 二 吸収合併消滅会員商品取引所における次に掲げる事項 (ii) the following information at the member commodity exchange dissolved in an absorption-type merger: イ 法第百四十四条第五項の規定による請求に係る手続の経過 (a) the progress of the procedures related to the demand under the provisions of Article 144, paragraph (5) of the Act; ロ 法第百四十四条第六項において準用する法第百二十四条の規定による手続の経過 (b) the progress of the procedures under the provisions of Article 124 of the Act as applied mutatis mutandis pursuant to Article 144, paragraph (6) of the Act; 三 吸収合併存続株式会社商品取引所における次に掲げる事項 (iii) the following information at the incorporated commodity exchange surviving an absorption-type merger: イ 法第百四十四条の九の規定による請求に係る手続の経過 (a) the progress of the procedures related to the demand under the provisions of Article 144-9 of the Act; ロ 法第百四十四条の十(同条第三項については、会社法第七百九十七条第五項から第九項までを準用する部分に限る。)及び第百四十四条の十一第一項から第五項までの規定による手続の経過 (b) the progress of the procedures under the provisions of Article 144-10 of the Act (with regard to paragraph (3) of that Article, limited to the part to which Article 797, paragraphs (5) through (9) of the Companies Act are applied mutatis mutandis) and Article 144-11, paragraphs (1) through (5) of the Act; 四 吸収合併により吸収合併存続株式会社商品取引所が吸収合併消滅会員商品取引所から承継した重要な権利義務に関する事項 (iv) information concerning important rights and obligations which the incorporated commodity exchange surviving an absorption-type merger succeeded to from the member commodity exchange dissolved in an absorption-type merger through an absorption-type merger; 五 法第百四十四条第一項の規定により吸収合併消滅会員商品取引所が備え置いた書面又は電磁的記録に記載又は記録がされた事項(吸収合併契約の内容を除く。) (v) information stated or recorded in a document or an electronic or magnetic record which the member commodity exchange dissolved in an absorption-type merger has kept pursuant to the provisions of Article 144, paragraph (1) of the Act (excluding the content of the absorption-type merger contract); 六 法第百四十七条第二項の変更の登記をした日 (vi) the date of the registration of the change referred to in Article 147, paragraph (2) of the Act; and 七 前各号に掲げるもののほか、吸収合併に関する重要な事項 (vii) beyond what is set forth in the preceding items, important information concerning the absorption-type merger. (新設合併消滅株式会社商品取引所の事前開示事項) (Information to be Disclosed in Advance by an Incorporated Commodity Exchange Dissolved in a Consolidation-Type Merger) 第五十九条の十四 法第百四十四条の十三第一項の主務省令で定める事項は、次に掲げる事項とする。 Article 59-14 The information specified by order of the competent ministry as referred to in Article 144-13, paragraph (1) of the Act is as follows: 一 法第百四十三条第一項第六号及び第七号に掲げる事項についての定めの相当性に関する事項 (i) the information concerning the appropriateness of the provisions on information set forth in Article 143, paragraph (1), items (vi) and (vii); 二 新設合併消滅株式会社商品取引所の全部又は一部が新株予約権を発行しているときは、法第百四十三条第一項第八号及び第九号に掲げる事項についての定めの相当性に関する事項 (ii) when all or some of the incorporated commodity exchanges dissolved in a consolidation-type merger issue share options, information concerning the appropriateness of the provisions on information set forth in Article 143, paragraph (1), items (viii) and (ix) of the Act; 三 他の新設合併消滅商品取引所(清算株式会社及び清算会員商品取引所を除く。以下この号において同じ。)についての次に掲げる事項 (iii) the following information concerning another commodity exchange dissolved in a consolidation-type merger (excluding liquidating stock companies and liquidating member commodity exchanges; hereinafter the same applies in this item): イ 最終事業年度に係る計算書類等又は財産目録、貸借対照表及び当該貸借対照表とともに作成された損益計算書(最終事業年度がない場合にあっては、他の新設合併消滅株式会社商品取引所の成立の日における貸借対照表)の内容 (a) financial statements, etc. or an inventory of property, and a balance sheet for the final business year, and the content of a profit and loss statement prepared together with the balance sheet (in cases where the final business year does not exist, a balance sheet on the day of the establishment of the other incorporated commodity exchange dissolved in a consolidation-type merger); ロ 最終事業年度の末日(最終事業年度がない場合にあっては、他の新設合併消滅株式会社商品取引所の成立の日)後の日を臨時決算日(二以上の臨時決算日がある場合にあっては、最も遅いもの)とする臨時計算書類等があるときは、当該臨時計算書類等の内容 (b) when there are provisional financial statements, etc. that consider the day after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the other incorporated commodity exchange dissolved in a consolidation-type merger) as the provisional account closing day (in cases where there are two or more provisional account closing days, the last one), the content of the provisional financial statements, etc.; ハ 他の新設合併消滅商品取引所において最終事業年度の末日(最終事業年度がない場合にあっては、他の新設合併消滅商品取引所の成立の日)後に重要な財産の処分、重大な債務の負担その他の当該他の新設合併消滅商品取引所の財産の状況に重要な影響を与える事象が生じたときは、その内容(法第百四十四条の十三第一項各号に掲げる日のいずれか早い日後新設合併設立株式会社商品取引所の成立の日までの間に新たな最終事業年度が存することとなる場合にあっては、当該新たな最終事業年度の末日後に生じた事業の内容に限る。) (c) when an event that has a significant influence on the status of the property of another commodity exchange dissolved in a consolidation-type merger, such as the disposition of important property and the bearing of significant obligations has occurred after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the other commodity exchange dissolved in a consolidation-type merger) at the other commodity exchange dissolved in a consolidation-type merger, the content of the event (in cases where a new final business year emerges during the period between the earliest day among the days set forth in the items of Article 144-13, paragraph (1) of the Act and the day of the establishment of the incorporated commodity exchange established by a consolidation-type merger, limited to the content of an event that occurred after the last day of the new final business year); 四 他の新設合併消滅商品取引所(清算株式会社又は清算会員商品取引所に限る。)が会社法第四百九十二条第一項(法第七十七条第一項において準用する場合を含む。)の規定により作成した貸借対照表 (iv) a balance sheet which another commodity exchange dissolved in a consolidation-type merger (limited to a liquidating stock company or liquidating member commodity exchange) has prepared pursuant to the provisions of Article 492, paragraph (1) of the Companies Act (including as applied mutatis mutandis pursuant to Article 77, paragraph (1) of the Act); 五 当該新設合併消滅株式会社商品取引所(清算株式会社を除く。以下この号において同じ。)についての次に掲げる事項 (v) the following information concerning the incorporated commodity exchange dissolved in a consolidation-type merger (excluding liquidating stock companies; hereinafter the same applies in this item): イ 当該新設合併消滅株式会社商品取引所において最終事業年度の末日(最終事業年度がない場合にあっては、当該新設合併消滅株式会社商品取引所の成立の日)後に重要な財産の処分、重大な債務の負担その他の当該新設合併消滅株式会社商品取引所の財産の状況に重要な影響を与える事象が生じたときは、その内容(法第百四十四条の十三第一項各号に掲げる日のいずれか早い日後新設合併設立株式会社商品取引所の成立の日までの間に新たな最終事業年度が存することとなる場合にあっては、当該新たな最終事業年度の末日後に生じた事象の内容に限る。) (a) when an event that has a significant influence on the status of the property of the incorporated commodity exchange dissolved in a consolidation-type merger, such as the disposition of important property and the bearing of significant obligations has occurred after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the incorporated commodity exchange dissolved in a consolidation-type merger) at the incorporated commodity exchange dissolved in a consolidation-type merger, the content of the event (in cases where a new final business year emerges during the period between the earliest day among the days set forth in the items of Article 144-13, paragraph (1) of the Act and the day of the establishment of the incorporated commodity exchange established by a consolidation-type merger, limited to the content of an event that occurred after the last day of the new final business year); ロ 当該新設合併消滅株式会社商品取引所において最終事業年度がないときは、当該新設合併消滅株式会社商品取引所の成立の日における貸借対照表 (b) when the final business year does not exist for the incorporated commodity exchange dissolved in a consolidation-type merger, the balance sheet on the day of the establishment of the incorporated commodity exchange dissolved in a consolidation-type merger; 六 新設合併設立株式会社商品取引所の成立の日以後における当該新設合併設立株式会社商品取引所の債務(他の新設合併消滅商品取引所から承継する債務を除く。)の履行の見込みに関する事項 (vi) the information concerning prospects of the performance of obligations (excluding obligations succeeded to from another commodity exchange dissolved in a consolidation-type merger) of the incorporated commodity exchange established by a consolidation-type merger on and after the day of the establishment of the incorporated commodity exchange established by a consolidation-type merger; 七 法第百四十四条の十三第一項各号に掲げる日のいずれか早い日後、前各号に掲げる事項に変更が生じたときは、変更後の当該事項 (vii) if there is any change to the information set forth in the preceding items after the earliest day among the days set forth in the items of Article 144-13, paragraph (1) of the Act, the changed information. (新設合併設立株式会社商品取引所の事後開示事項) (Information to be Disclosed after the Fact by an Incorporated Commodity Exchange Established by a Consolidation-Type Merger) 第五十九条の十五 法第百四十四条の二十一第一項の主務省令で定める事項は、次に掲げるものとする。 Article 59-15 The information specified by order of the competent ministry as referred to in Article 144-21, paragraph (1) of the Act is as follows: 一 新設合併の効力が生じた日 (i) the day on which the consolidation-type merger becomes effective; 二 新設合併消滅会員商品取引所における次に掲げる事項 (ii) the following information at the member commodity exchange dissolved in a consolidation-type merger: イ 法第百四十四条の三第五項の規定による請求に係る手続の経過 (a) the progress of the procedures related to the demand under the provisions of Article 144-3, paragraph (5) of the Act; ロ 法第百四十四条の三第六項において準用する法第百二十四条の規定による手続の経過 (b) the progress of the procedures under the provisions of Article 124 of the Act as applied mutatis mutandis pursuant to Article 144-3, paragraph (6) of the Act; 三 新設合併消滅株式会社商品取引所における次に掲げる事項 (iii) the following information concerning the incorporated commodity exchange dissolved in a consolidation-type merger: イ 法第百四十四条の十六の規定による請求に係る手続の経過 (a) the process of the procedures related to the demand under the provisions of Article 144-16 of the Act; ロ 法第百四十四条の十七第一項及び第二項(会社法第八百六条第五項から第九項までを準用する部分に限る。)並びに第百四十四条の十八第一項及び第二項(会社法第八百八条第五項から第十項までを準用する部分に限る。)並びに法第百四十四条の十九において準用する法第百四十四条の十一第一項から第五項までの規定による手続の経過 (b) the progress of the procedures under the provisions of Article 144-17, paragraphs (1) and (2) of the Act (limited to the part to which Article 806, paragraphs (5) through (9) of the Companies Act are applied mutatis mutandis), Article 144-18, paragraphs (1) and (2) of the Act (limited to the part to which Article 808, paragraphs (5) through (10) of the Companies Act are applied mutatis mutandis), and Article 144-11, paragraphs (1) through (5) of the Act as applied mutatis mutandis pursuant to Article 144-19 of the Act; 四 新設合併により新設合併設立株式会社商品取引所が新設合併消滅商品取引所から承継した重要な権利義務に関する事項 (iv) the information concerning important rights and obligations which the incorporated commodity exchange established by a consolidation-type merger succeeded to from the commodity exchange dissolved in a consolidation-type merger through a consolidation-type merger; 五 前各号に掲げるもののほか、新設合併に関する重要な事項 (v) beyond what is set forth in the preceding items, important information concerning consolidation-type merger. (新設合併設立株式会社商品取引所の事後開示事項) (Information to be Disclosed after the Fact by an Incorporated Commodity Exchange Established by a Consolidation-Type Merger) 第五十九条の十六 法第百四十四条の二十一第二項に規定する主務省令で定める事項は、法第百四十四条の三第一項及び法第百四十四条の十三第一項により新設合併消滅商品取引所が備え置いた書面又は電磁的記録に記載又は記録がされた事項(新設合併契約の内容を除く。)とする。 Article 59-16 The information specified by order of the competent ministry as prescribed in Article 144-21, paragraph (2) of the Act is the information stated or recorded in a document or an electronic or magnetic record which the commodity exchange dissolved in a consolidation-type merger has kept pursuant to the provisions of Article 144-3, paragraph (1) and Article 144-13, paragraph (1) of the Act (excluding the content of the consolidation-type merger contract). (合併認可の申請書の添付書類) (Documents Attached to a Written Application for Authorization of Merger) 第六十条 法第百四十五条第三項の主務省令で定める書面は、次に掲げる書面(官公署が証明する書面の場合には、認可の申請の日前三月以内に作成されたものに限る。)とする。 Article 60 The documents specified by order of the competent ministry as referred to in Article 145, paragraph (3) of the Act are the following documents (in cases of documents certified by a public agency, limited to documents prepared within three months prior to the date of filing the application for authorization): 一 合併の理由を記載した書面 (i) a document stating the reasons for the merger; 二 次に掲げる場合に応じ、それぞれ次に定める書面 (ii) a document specified as follows in accordance with the cases set forth in each sub-item: イ 合併後存続する商品取引所又は合併により設立される商品取引所の役員が外国人である場合 当該役員の住民票の写し等、履歴書及びその者が法第十五条第二項第一号イからルまでのいずれにも該当しないことを誓約する書面 (a) in cases where an officer of a commodity exchange surviving a merger or a commodity exchange established by a merger is a foreign national: a copy of the residence certificate, etc. and curriculum vitae of the officer, and a document pledging that the person does not fall under any of the provisions of Article 15, paragraph (2), item (i), sub-items (a) through (k) of the Act; ロ 合併後存続する商品取引所又は合併により設立される商品取引所の役員が法人である場合 当該役員の登記事項証明書、沿革を記載した書面及び法第十五条第二項第一号ヲに該当しないことを誓約する書面 (b) in cases where an officer of a commodity exchange surviving a merger or a commodity exchange established by a merger is a corporation: a certificate of the registered information of the officer, a document stating the history of the corporation, and a document pledging that the officer does not fall under the provisions of Article 15, paragraph (2), item (i), (l) of the Act; ハ 合併後存続する商品取引所又は合併により設立される商品取引所の役員が外国人又は法人でない場合 当該役員の住民票の写し等、履歴書、その者が法第十五条第二項第一号ロに該当しない旨の官公署の証明書並びにその者が同号イ及びハからルまでのいずれにも該当しないことを誓約する書面 (c) in cases where an officer of a commodity exchange surviving a merger or a commodity exchange established by a merger is neither a foreign national nor a corporation: a copy of the residence certificate, etc. and curriculum vitae of the officer, a certification issued by a public agency proving that the person does not fall under the provisions of Article 15, paragraph (2), item (i), (b) of the Act, and a document pledging that the person does not fall under any of the provisions of sub-item (a) or sub-items (c) through (k) of that item; 三 会員等の氏名又は商号若しくは名称及び主たる事務所又は本店の所在地を記載した書面、その者が法第三十一条第一項各号のいずれにも該当しないことを誓約する書面並びに申請に係る商品取引所が開設しようとする一以上の商品市場において法第百五条第一号に掲げる方法により決済を行う場合には認可の申請の日前三十日以内に様式第一号により作成したその者の純資産額に関する調書 (iii) a document stating the name or trade name of a member, etc., and the address of the principal office or head office of the member, etc., a document pledging that the person does not fall under any of the provisions of the items of Article 31, paragraph (1) of the Act, and in cases of completing settlement by the methods set forth in Article 105, item (i) of the Act for one or more commodity markets that the commodity exchange related to the application seeks to open, a record concerning the person's net assets prepared according to Form No. 1 within 30 days prior to the date of application for authorization; 四 合併を行う各商品取引所の合併総会(会員商品取引所にあっては、法第百四十四条第四項、第百四十四条の二第二項又は第百四十四条の三第四項の会員総会をいい、株式会社商品取引所にあっては、法第百四十四条の六第一項、第百四十四条の十四第一項、会社法第七百八十三条第一項、第七百九十五条第一項又は第八百四条第一項の株主総会をいう。)の議事録その他必要な手続があったことを証する書面 (iv) minutes of the general meeting of members concerning the merger of each commodity exchange that implements the merger (in cases of a member commodity exchange, meaning the general meeting of members referred to in Article 144, paragraph (4), Article 144-2, paragraph (2), or Article 144-3, paragraph (4) of the Act; in cases of an incorporated commodity exchange, meaning the shareholders meeting referred to in Article 144-6, paragraph (1) and Article 144-14, paragraph (1) of the Act, and Article 783, paragraph (1), Article 795, paragraph (1), or Article 804, paragraph (1) of the Companies Act), and other documents proving that necessary procedures have been taken; 五 合併を行う各商品取引所の財産及び収支の状況を知ることができる書面(会員商品取引所にあっては最終事業年度の決算関係書類等、株式会社商品取引所にあっては最終事業年度の計算書類等及びその附属明細書) (v) a document disclosing the status of the property, income and expenditure of each commodity exchange that implements merger (in cases of a member commodity exchange, the settlement related documents, etc. for the final business year; in cases of an incorporated commodity exchange, the financial statements, etc. of the final business year and their annexed detailed statements); 六 法第百四十四条第六項、第百四十四条の二第四項及び第百四十四条の三第六項において準用する法第百二十四条第二項、第百四十四条の十一第二項(第百四十四条の十九において準用する場合を含む。)、会社法第七百八十九条第二項、第七百九十九条第二項又は第八百十条第二項の規定による公告及び催告(第百二十四条第三項、第百四十四条の十一第三項(第百四十四条の十九において準用する場合を含む。)、会社法第七百八十九条第三項、第七百九十九条第三項又は第八百十条第三項の規定により公告を官報のほか時事に関する事項を掲載する日刊新聞紙又は電子公告によってした場合にあっては、これらの方法による公告)をしたこと並びに異議を述べた債権者があるときは、当該債権者に対し弁済し若しくは相当の担保を提供し若しくは当該債権者に弁済を受けさせることを目的として相当の財産を信託したこと又は当該合併をしても当該債権者を害するおそれがないことを証する書面 (vi) when a public notice or notification is given pursuant to the provisions of Article 124, paragraph (2) as applied mutatis mutandis pursuant to Article 144, paragraph (6), Article 144-2, paragraph (4), and Article 144-3, paragraph (6) of the Act, Article 144-11, paragraph (2) of the Act (including as applied mutatis mutandis pursuant to Article 144-19 of the Act), or Article 789, paragraph (2), Article 799, paragraph (2), Article 810, paragraph (2) of the Companies Act, (in cases where the public notice is given through a daily newspaper which publishes matters on current events, or an electronic public notice in addition to an Official Gazette pursuant to the provisions of Article 124, paragraph (3), Article 144-11, paragraph (3) of the Act (including as applied mutatis mutandis pursuant to Article 144-19), or Article 789, paragraph (3), Article 799, paragraph (3), or Article 810, paragraph (3) of the Companies Act, a public notice through those means), and a creditor has made an objection, a document proving that payment has been made or a reasonable collateral has been provided to the creditor, and reasonable property has been deposited for the purpose of having the creditor receive the payment, or that the merger is not likely to harm the creditor; 七 合併により消滅する商品取引所の開設している商品市場における取引に関する業務の承継の方法を記載した書面 (vii) a document stating the method succeeding the business related to transactions in a commodity market which has been opened by a commodity exchange to be dissolved by a merger; 八 商品取引所の業務に関する知識及び経験を有する従業員の確保の状況並びに当該従業員の配置の状況を記載した書面(合併後の商品取引所が株式会社商品取引所である場合に限る。) (viii) a document stating the status of securing employees who have the knowledge and experience on the business of a commodity exchange and the status of the assignment of those employees (limited to a case in which a commodity exchange after the merger is an incorporated commodity exchange); 九 開設しようとする商品市場における合併後一年間の先物取引の取引量の見込みを記載した書面 (ix) a document stating the estimated transaction volume of futures transactions for one year after the merger in the commodity market which they seek to open; 十 合併に際して上場商品に係る商品市場を開設しようとする場合にあっては、上場商品構成品を一の商品市場で取引をすることが適当である旨を明らかにすることができる書面 (x) in cases of seeking to open a commodity market related to a listed commodity at the time of a merger, a document stating that it is appropriate to conduct transactions of component products of listed commodities in a single commodity market; 十一 合併に際して二以上の商品指数を一の上場商品指数として商品市場を開設しようとする場合にあっては、当該二以上の商品指数の対象となる物品又は電力の大部分が共通していることを明らかにすることができる書面 (xi) in cases of seeking to open a commodity market at the time of a merger by specifying two or more commodity indices as a single listed commodity index, a document stating that the majority of the goods or electric power subject to the two or more commodity indices are common to one another. (医師の診断書の提出) (Submission of a Doctor's Medical Certificate) 第六十条の二 主務大臣は、法第百四十五条第一項の認可の申請があった場合において、合併後の商品取引所の役員のうちに法第十五条第二項第一号イ又はル(イに係る部分に限る。)のいずれかに該当する者があるかどうかを審査するために必要があると認めるときは、認可申請者に対し、当該審査の対象となる者の病名、精神の機能の障害の有無及び程度、病因、病後の経過、治癒の見込みその他参考となる所見を記載した医師の診断書の提出を求めることができる。 Article 60-2 In cases where an application for the authorization under Article 145, paragraph (1) of the Act is filed, and the competent minister finds it necessary for examining whether officers of the commodity exchange after the merger include any person who falls under Article 15, paragraph (2), item (i), sub-item (a) or (k) of the Act (limited to the part related to (a)), the minister may request the applicant to submit a doctor's medical certificate stating the name of the illness of the person subject to the examination, whether the person has any mental impairment and the level of the mental impairment, causes of the illness, catamnestic observation, prospects of recovery, and other remarks for reference. (株式の発行等により一に満たない株式の端数を処理する場合における市場価格) (Market Price in Cases of Processing any Fractional Shares less than One Share due to Issuance of Shares) 第六十条の三 法第百五十条において読み替えて準用する会社法第二百三十四条第二項に規定する主務省令で定める方法は、次の各号に掲げる場合の区分に応じ、当該各号に定める額をもって法第百五十条において読み替えて準用する会社法第二百三十四条第二項に規定する株式の価格とする方法とする。 Article 60-3 The method specified by order of the competent ministry as prescribed in Article 234, paragraph (2) of the Companies Act as applied mutatis mutandis pursuant to Article 150 of the Act following the deemed replacement of terms are the method of considering the price of shares prescribed in Article 234, paragraph (2) of the Companies Act as applied mutatis mutandis pursuant to Article 150 of the Act following the deemed replacement of terms to be the prices specified in the following items in accordance with the category of cases set forth in each of those items: 一 当該株式を市場において行う取引によって売却する場合 当該取引によって売却する価格 (i) in cases the shares are sold by a transaction in a market: the price at sale by the transaction; 二 前号に掲げる場合以外の場合 次に掲げる額のうちいずれか高い額 (ii) in cases other than that set forth in the preceding item: either of the following prices, whichever is higher: イ 売却日における当該株式を取引する市場における最終の価格(当該売却日に売買取引がない場合又は当該売却日が当該市場の休業日に当たる場合にあっては、その後最初になされた売買取引の成立価格) (a) the closing price in the market where the shares are traded on the date of sale (if there is no buying or selling transaction on the date of the sale, or if the date of the sale is a holiday of the market, the price of the first buying and selling transactions conducted after the date of the sale); or ロ 売却日において当該株式が公開買付け等の対象であるときは、当該売却日における当該公開買付け等に係る契約における当該株式の価格 (b) if the shares are subject to a tender offer, etc. on the date of the sale, the price of the shares under the contract related to the tender offer, etc. on the date of the sale. (合併に際しての計算に関し必要な事項) (Necessary Information Concerning Calculation at the Time of Merger) 第六十条の四 法第百五十四条第二項の規定により主務省令で定める合併に際しての計算に関し必要な事項は、次条から第六十条の十三までに定めるところによる。 Article 60-4 The necessary information concerning the calculation at the time of a merger specified by order of the competent ministry pursuant to the provisions of Article 154, paragraph (2) of the Act is as specified in the provisions of the following Article through Article 60-13. (会計慣行のしん酌) (Consideration of Accounting Practices) 第六十条の五 次条から第六十条の十三までの規定の用語の解釈及びその適用に関しては、一般に公正妥当と認められる企業会計の基準その他の会計慣行をしん酌しなければならない。 Article 60-5 With regard to the interpretation of terms set forth in the following Article through Article 60-13 and the application of such provisions, generally accepted corporate accounting standards and other accounting practices must be taken into consideration. (吸収合併対価の全部又は一部が吸収合併存続会員商品取引所の出資である場合における吸収合併存続会員商品取引所の会員資本の変動額) (Amount of Change in Members' Assets of a Member Commodity Exchange Surviving an Absorption-Type Merger in Cases where All or Part of the Consideration of an Absorption-Type Merger is a Contribution of the Member Commodity Exchange Surviving an Absorption-Type Merger) 第六十条の六 吸収合併(法第百四十条の吸収合併をいう。以下この項及び次条において同じ。)に際して吸収合併対価(吸収合併存続会員商品取引所が吸収合併消滅会員商品取引所の会員に対して交付する財産をいう。以下この項及び次条において同じ。)の全部又は一部が吸収合併存続会員商品取引所の出資である場合には、吸収合併存続会員商品取引所において変動する会員資本(第十六条第一項第一号の会員資本をいう。以下同じ。)の総額(次項において「会員資本変動額」という。)は、次の各号に掲げる場合の区分に応じ、当該各号に定める方法に従い定まる額とする。 Article 60-6 (1) In cases where all or part of the consideration of an absorption-type merger (meaning property delivered to members of a member commodity exchange dissolved in an absorption-type merger by the member commodity exchange surviving an absorption-type merger; hereinafter the same applies in this paragraph and the following Article) at the time of an absorption-type merger (meaning an absorption-type merger referred to in Article 140 of the Act; hereinafter the same applies in this paragraph and the following Article) is the contribution of the member commodity exchange surviving the absorption-type merger, the total amount of the members' capital (meaning the members' capital referred to in Article 16, paragraph (1), item (i); hereinafter the same applies) that changes in the member commodity exchange surviving the absorption-type merger (referred to as "amount of change in members' capital" in the following paragraph) is the amount to be decided in accordance with the category of the cases set forth in the following items, by the methods specified in each of those items: 一 当該吸収合併が支配取得(会員商品取引所が他の会員商品取引所(当該会員商品取引所と当該他の会員商品取引所が共通支配下関係にある場合における当該他の会員商品取引所を除く。以下この号において同じ。)又は当該他の会員商品取引所の事業に対する支配を得ることをいう。以下この号及び第六十条の九において同じ。)に該当する場合(吸収合併消滅会員商品取引所による支配取得に該当する場合を除く。) 吸収合併対価時価(吸収合併対価の時価その他適切な方法により算定された吸収合併対価の価額をいう。)又は吸収合併対象財産(吸収合併により吸収合併存続会員商品取引所が承継する財産をいう。次号において同じ。)の時価を基礎として算定する方法 (i) in the case (excluding cases that fall under a controlling acquisition by a member commodity exchange dissolved in an absorption-type merger) where the absorption-type merger falls under a controlling acquisition (meaning the case in which a member commodity exchange obtains control of another member commodity exchange (in cases where that member commodity exchange and the other member commodity exchange are in a common control relationship, excluding the other member commodity exchange; hereinafter the same applies in this item) or the business of the other member commodity exchange; the same applies hereinafter in this item and Article 60-9): the method of calculation using the market value of the consideration of the absorption-type merger (meaning the value of the consideration of the absorption-type merger calculated by using the market value of the consideration of the consolidation-type merger or other appropriate method) or the property subject to an absorption-type merger (meaning property that a member commodity exchange surviving an acquisition-type merger succeeds to through an absorption-type merger; hereinafter the same applies in the following item) as the basis; 二 吸収合併存続会員商品取引所と吸収合併消滅会員商品取引所が共通支配下関係にある場合 吸収合併対象財産の吸収合併の直前の帳簿価額を基礎として算定する方法(前号に規定する方法によるべき部分にあっては、当該方法) (ii) in cases where a member commodity exchange surviving an absorption-type merger and a member commodity exchange dissolved in an absorption-type merger are in a common control relationship: the method of calculating the book value immediately prior to an absorption-type merger of the property subject to an absorption-type merger as the basis (for portions that should be calculated by the method prescribed in the preceding item, that method); 三 前二号に掲げる場合以外の場合 前号に規定する方法 (iii) in cases other those set forth in the preceding two items: the method prescribed in the preceding item. 2 前項の場合には、吸収合併存続会員商品取引所の出資金、加入金及び資本剰余金の増加額は、会員資本変動額の範囲内で、吸収合併存続会員商品取引所が吸収合併契約の定めに従いそれぞれ定めた額とし、法定準備金及び利益剰余金の額は変動しないものとする。ただし、会員資本変動額が零未満の場合には、当該会員資本変動額を利益剰余金の減少額とし、出資金、加入金及び法定準備金の額は変動しないものとする。 (2) In cases referred to in the preceding paragraph, the increased amounts of the contribution, membership fee, and capital surplus of the member commodity exchange surviving an absorption-type merger are the amounts respectively determined by the member commodity exchange surviving an absorption-type merger in accordance with the provisions of the absorption-type merger contract within the scope of the amount of change in members' capital, and the amount of the statutory capital and accumulated profits are not to change; provided, however, that in cases where the amount of change in members' capital is less than zero, the amount of change in members' capital is the decreased amount of the accumulated profit, and the amounts of the contribution, membership fee, and statutory capital do not change. 3 第一項の「共通支配下関係」とは、二以上の者(人格のないものを含む。以下この項において同じ。)が同一の者に支配(一時的な支配を除く。以下この項において同じ。)をされている場合又は二以上の者のうち一の者が他のすべての者を支配している場合における当該二以上の者に係る関係をいう。 (3) The term "common control relationship" as used in paragraph (1) means a relationship related to two or more persons (including those without legal personality; hereinafter the same applies in this paragraph) in cases where the two or more persons are controlled (excluding temporary control; hereinafter the same applies in this paragraph) by the same person or cases where one of the two or more persons control all of the other persons. (会員資本を引き継ぐ場合における吸収合併存続会員商品取引所の会員資本の変動額) (Amount of Change in Members' Capital of a Member Commodity Exchange Surviving an Absorption-Type Merger in the Cases of Succeeding to Members' Capital) 第六十条の七 前条の規定にかかわらず、吸収合併対価の全部が吸収合併存続会員商品取引所の出資である場合であって、吸収合併消滅会員商品取引所における吸収合併の直前の会員資本を引き継ぐものとして計算することが適切であるときには、吸収合併の直前の吸収合併消滅会員商品取引所の出資金、加入金、資本剰余金、法定準備金及び利益剰余金の額をそれぞれ当該吸収合併存続会員商品取引所の出資金、加入金、資本剰余金、法定準備金及び利益剰余金の変動額とすることができる。 Article 60-7 Notwithstanding the provisions of the preceding Article, in cases where all of the consideration of an absorption-type merger is the contribution of a member commodity exchange surviving an absorption-type merger, and it is appropriate to make a calculation by considering that the member commodity exchange dissolved in an absorption-type merger succeeds to the members' capital immediately prior to the absorption-type merger, the amounts of the contribution, membership fee, capital surplus, statutory capital, and accumulated profit of the member commodity exchange dissolved in an absorption-type merger immediately prior to the absorption-type merger may be considered the amounts of change of the contribution, membership fee, capital surplus, statutory capital, and accumulated profit of the member commodity exchange surviving an absorption-type merger. 2 吸収合併対価が存しない場合であって、吸収合併消滅会員商品取引所における吸収合併の直前の会員資本を引き継ぐものとして計算することが適切であるときには、吸収合併の直前の吸収合併消滅会員商品取引所の出資金、加入金及び資本剰余金の合計額を当該吸収合併存続会員商品取引所の資本剰余金の変動額とし、吸収合併の直前の法定準備金及び利益剰余金の額を当該吸収合併存続会員商品取引所の利益剰余金の変動額とすることができる。 (2) In cases where there is no consideration of an absorption-type merger, when it is appropriate to make a calculation by considering that the member commodity exchange dissolved in an absorption-type merger succeeds to the members' capital immediately prior to the absorption-type merger, the sum of the contribution, membership fee, and capital surplus of the member commodity exchange dissolved in an absorption-type merger prior to the absorption-type merger may be considered the amount of change in capital surplus of the member commodity exchange surviving an absorption-type merger, and the amounts of the statutory capital and accumulated profits immediately prior to an absorption-type merger may be considered the amount of change in accumulated profit of the member commodity exchange surviving an absorption-type merger. (会員商品取引所と株式会社商品取引所とが吸収合併する場合の法務省令の適用) (Application of Order of the Ministry of Justice in Cases of an Absorption-Type Merger of a Member Commodity Exchange and an Incorporated Commodity Exchange) 第六十条の八 会員商品取引所と株式会社商品取引所とが吸収合併をする場合における会社計算規則第十一条及び第二編第三章第四節第一款の規定の適用については、同令第三十六条中「吸収合併の直前の株主資本等」とあるのは「吸収合併の直前の会員資本」と、「資本金、資本剰余金及び利益剰余金の額」とあるのは「出資金、加入金及び資本剰余金並びに法定準備金及び利益剰余金の額」と、「その他資本剰余金の額」とあるのは「資本剰余金の額」と、「資本金及び資本剰余金」とあるのは「出資金、加入金及び資本剰余金」と、「吸収合併の直前の利益剰余金の額」とあるのは「吸収合併の直前の法定準備金及び利益剰余金」とする。 Article 60-8 With regard to the application of the provisions of Article 11 and Part II, Chapter III, Section 4, Subsection 1 of the Regulations on Corporate Accounting in cases of an absorption-type merger between a member commodity exchange and an incorporated commodity exchange, in Article 36 of that Order, the phrase "the net assets immediately prior to an absorption-type merger" is deemed to be replaced with "the members' capital immediately prior to an absorption-type merger", the phrase "the amounts of stated capital, capital surplus, and accumulated profit" is deemed to be replaced with "the amounts of the contribution, membership fee, capital surplus, statutory capital, and accumulated profit", the phrase "the amount of other capital surplus" is deemed to be replaced with "the amount of capital surplus", the phrase, "stated capital and capital surplus" is deemed to be replaced with "the contribution, membership fee, and capital surplus", and the phrase "the amount of accumulated profit immediately prior to an absorption-type merger" is deemed to be replaced with "the statutory capital and accumulated profit immediately prior to an absorption-type merger". (支配取得に該当する場合における新設合併設立会員商品取引所の会員資本) (Members' Capital of a Member Commodity Exchange Established by a Consolidation-Type Merger in Cases of Falling Under Control Acquisition) 第六十条の九 新設合併(法第百四十一条の新設合併をいう。以下この項、次条第一項及び第六十条の十一第一項において同じ。)が支配取得に該当する場合には、新設合併設立会員商品取引所の設立時の会員資本の総額は、次の各号に掲げる部分の区分に応じ、当該各号に定める額の合計額(次項において「会員資本変動額」という。)とする。 Article 60-9 In cases where a consolidation-type merger (meaning a consolidation merger referred to in Article 141 of the Act; hereinafter the same applies in this paragraph, paragraph (1) of the following Article, and Article 60-11, paragraph (1)) falls under control acquisition, the total amount of the members' capital at the establishment of a member commodity exchange established by a consolidation-type merger is to be the total amount of the amounts prescribed in each of the following items in accordance with the category of the parts set forth in those items (referred to as "amount of change in members' capital" in the following paragraph): 一 新設合併取得会員商品取引所(新設合併消滅会員商品取引所のうち、新設合併により支配取得をするものをいう。以下この条において同じ。)に係る部分 当該新設合併取得会員商品取引所の財産の新設合併の直前の帳簿価額を基礎として算定する方法により定まる額 (i) the part related to the member commodity exchange acquired through a consolidation-type merger (meaning a member commodity exchange dissolved in a consolidation-type merger that acquires control through a consolidation-type merger; hereinafter the same applies in this Article): the amount determined by the method of calculation using the book value immediately prior to a consolidation-type merger of the property of the member commodity exchange acquired through a consolidation-type merger as the basis; 二 新設合併取得会員商品取引所以外の新設合併消滅会員商品取引所に係る部分 当該新設合併消滅会員商品取引所の会員に交付される新設合併対価時価(新設合併対価(新設合併に際して新設合併設立会員商品取引所が新設合併消滅会員商品取引所の会員に対して交付する財産をいう。以下同じ。)の時価その他適切な方法により算定された新設合併対価の価額をいう。)又は新設合併対象財産(新設合併により新設合併設立会員商品取引所が承継する財産をいう。第六十条の十第一項において同じ。)の時価を基礎として算定する方法により定まる額 (ii) the part related to a member commodity exchange dissolved in a consolidation-type merger other than a member commodity exchange acquired through a consolidation-type merger: the market value of the consideration of the consolidation-type merger to be delivered to a member of the member commodity exchange dissolved in a consolidation-type merger (meaning the market value of the consideration of the consolidation-type merger (meaning the property delivered to members of a member commodity exchange dissolved in a consolidation-type merger by the member commodity exchange established by a consolidation-type merger at the time of the consolidation-type merger; the same applies hereinafter) or the value of the consideration of the consolidation-type merger calculated by other appropriate methods) or the market value of the property subject to a consolidation-type merger (meaning the property that a member commodity exchange established by an consolidation-type merger succeeds to through an consolidation-type merger; the same applies in Article 60-10, paragraph (1)). 2 前項の場合には、当該新設合併設立会員商品取引所の設立時の出資金、加入金及び資本剰余金の額は、会員資本変動額の範囲内で、新設合併消滅会員商品取引所が新設合併契約の定めに従いそれぞれ定めた額とし、法定準備金及び利益剰余金の額は零とする。ただし、会員資本変動額が零未満の場合には、当該額を設立時の利益剰余金の額とし、出資金、加入金、資本剰余金及び法定準備金の額は零とする。 (2) In cases referred to in the preceding paragraph, the amounts of the contribution, membership fee, and capital surplus at the time of establishing the member commodity exchange established by a consolidation-type merger are the amounts respectively determined by the member commodity exchange dissolved in an absorption-type merger in accordance with the provisions of the consolidation-type merger contract within the scope of the amount of change in members' capital, and the amounts of the statutory capital and accumulated profits are to be zero; provided, however, that in cases where the amount of change in members' capital is less than zero, that amount is the amount of the accumulated profit at the time of establishment, and the amounts of the contribution, membership fee, capital surplus, and statutory capital are to be zero. 3 前二項の規定にかかわらず、第一項の場合であって、新設合併取得会員商品取引所の会員に交付する新設合併対価の全部が新設合併設立会員商品取引所の出資であるときは、新設合併設立会員商品取引所の設立時の出資金、加入金、資本剰余金、法定準備金及び利益剰余金の額は、次の各号に掲げる部分の区分に応じ、当該各号に定める規定を準用してそれぞれ算定される額の合計額とすることができる。 (3) Notwithstanding the provisions of the preceding two paragraphs, in cases referred to in paragraph (1), when all of the consideration of a consolidation-type merger delivered to the members of a member commodity exchange acquired through a consolidation-type merger is the contribution of a member commodity exchange established by a consolidation-type merger, the amounts of the contribution, membership fee, capital surplus, statutory capital, and accumulated profit at the time of establishment of the member commodity exchange established by a consolidation-type merger may be considered the total amount of the amounts respectively calculated by applying mutatis mutandis the provisions in each of the following items in accordance with the category of the parts set forth in those items: 一 新設合併取得会員商品取引所に係る部分 第六十条の十一 (i) the part related to the member commodity exchange acquired through a consolidation-type merger: the provisions of Article 60-11; 二 新設合併取得会員商品取引所以外の新設合併消滅会員商品取引所に係る部分 第一項(同項第一号に係る部分を除く。)及び前項 (ii) the part related to a member commodity exchange dissolved in a consolidation-type merger other than a member commodity exchange acquired through a consolidation-type merger: the provisions of paragraph (1) (excluding the part related to item (i) of that paragraph) and the preceding paragraph. (共通支配下関係にある場合における新設合併設立会員商品取引所の会員資本) (Members' Capital of a Member Commodity Exchange Established by a Consolidation-Type Merger in Cases Where There is a Common Control Relationship) 第六十条の十 新設合併消滅会員商品取引所の全部が共通支配下関係(第六十条の六第三項に規定する共通支配下関係をいう。)にある場合には、新設合併設立会員商品取引所の設立時の会員資本の総額は、新設合併対象財産の新設合併の直前の帳簿価額を基礎として算定する方法(前条第一項第二号に規定する方法によるべき部分にあっては、当該方法)に従い定まる額とする。 Article 60-10 (1) In cases where all of the member commodity exchanges dissolved in a consolidation-type merger (meaning a common control relationship prescribed in Article 60-6, paragraph (3)), the total amount of the members' capital at the time of establishment of a member commodity exchange established by a consolidation-type merger is the amount determined by the method of calculation using the book value immediately prior to the consolidation-type merger of the property subject to a consolidation-type merger (for parts that should be calculated by the method prescribed in the paragraph (1), item (ii) of the preceding Article, that method) as the basis. 2 前項の場合には、新設合併設立会員商品取引所の設立時の出資金、加入金、資本剰余金、法定準備金及び利益剰余金の額は、次の各号に掲げる部分の区分に応じ、当該各号に定める規定を準用してそれぞれ算定される額の合計額とする。 (2) In cases referred to in the preceding paragraph, the amounts of the contribution, membership fee, capital surplus, statutory capital, and accumulated profit at the time of establishment of a member commodity exchange established by a consolidation-type merger are the total amount of the amounts respectively calculated by applying mutatis mutandis the provisions in each of the following items in accordance with the category of the parts set forth in those items: 一 会員資本承継消滅会員商品取引所(新設合併消滅会員商品取引所の会員が受ける新設合併対価の全部が新設合併設立会員商品取引所の出資である場合において、当該新設合併消滅会員商品取引所がこの号に規定する会員資本承継消滅会員商品取引所となることを定めたときにおける当該新設合併消滅会員商品取引所をいう。)に係る部分 次条第一項 (i) the part related to a member commodity exchange dissolved in a consolidation-type merger that succeeds to members' capital (meaning the member commodity exchange dissolved in a consolidation-type merger in cases where it is determined that the member commodity exchange dissolved in a consolidation-type merger will be a member commodity exchange dissolved in a consolidation-type merger that succeeds to members' capital prescribed in this item when all of the consideration for a consolidation-type merger to be received by the members of a member commodity exchange dissolved in a consolidation-type merger is the contribution of the member commodity exchange established by a consolidation-type merger): the provisions of paragraph (1) of the following Article; 二 非会員資本承継消滅会員商品取引所(非対価交付消滅会員商品取引所(新設合併消滅会員商品取引所の会員に交付する新設合併対価が存しない場合における当該新設合併消滅会員商品取引所をいう。次条第二項において同じ。)及び会員資本承継消滅会員商品取引所以外の新設合併消滅会員商品取引所をいう。)に係る部分 前条第二項 (ii) the part related to a member commodity exchange dissolved in a consolidation-type merger that does not succeed to members' capital (meaning a dissolving member commodity exchange with no consideration to deliver (meaning a member commodity exchange dissolved in a consolidation-type merger in which there is no consideration of the consolidation-type merger to be delivered to members of the member commodity exchange dissolved in a consolidation-type merger; the same applies in paragraph (2) of the following Article) and a member commodity exchange dissolved in a consolidation-type merger other than a member commodity exchange dissolved in a consolidation-type merger that succeeds to members' capital): the provisions of paragraph (2) of the preceding Article. (会員資本を引き継ぐ場合における新設合併設立会員商品取引所の会員資本) (Members' Capital of a Member Commodity Exchange Established by a Consolidation-Type Merger in Cases of Succeeding to Members' Capital) 第六十条の十一 前条第一項の場合であって、新設合併対価の全部が新設合併設立会員商品取引所の出資であり、かつ、新設合併消滅会員商品取引所における新設合併の直前の会員資本を引き継ぐものとして計算することが適切であるときには、新設合併の直前の各新設合併消滅会員商品取引所の出資金、加入金、資本剰余金、法定準備金及び利益剰余金の額の各合計額をそれぞれ当該新設合併設立会員商品取引所の設立時の出資金、加入金、資本剰余金、法定準備金及び利益剰余金の額とすることができる。 Article 60-11 In cases referred to in paragraph (1) of the preceding Article, when all of the consideration of the consolidation-type merger is the contribution of the member commodity exchange established by a consolidation-type merger and it is appropriate to do a calculation by considering that the members' capital of a member commodity exchange dissolved in a consolidation-type merger immediately prior to a consolidation-type merger will be succeeded to, the total amounts of the contributions, membership fees, capital surplus, statutory capital, and accumulated capital of each member commodity exchange dissolved in consolidation-type merger immediately prior to a consolidation-type merger may be considered to be the amount of the contribution, membership fee, capital surplus, statutory capital, and accumulated capital at the time of establishment of the member commodity exchange established by a consolidation-type merger. 2 前項の規定にかかわらず、同項の場合であって、非対価交付消滅会員商品取引所があるときには、当該非対価交付消滅会員商品取引所の出資金、加入金及び資本剰余金の合計額を当該非対価交付消滅会員商品取引所の資本剰余金の額とみなし、当該非対価交付消滅会員商品取引所の法定準備金及び利益剰余金の額を当該非対価交付消滅会員商品取引所の利益剰余金の額とみなして、同項の規定を適用する。 (2) Notwithstanding the provisions of the preceding paragraph, in cases referred to in the preceding paragraph, when there is a dissolving member commodity exchange with no consideration to deliver, the sum of the contribution, membership fee, and capital surplus of the dissolving member commodity exchange with no consideration to deliver is deemed to be the amount of the capital surplus of the dissolving member commodity exchange with no consideration to deliver, the amounts of the statutory capital and accumulated profit of the dissolving member commodity exchange with no consideration to deliver are deemed the amounts of the accumulated profit of the dissolving member commodity exchange with no consideration to deliver, and the provisions of that paragraph apply. (その他の場合における新設合併設立会員商品取引所の会員資本) (Members' Capital of a Member Commodity Exchange Established by a Consolidation-Type Merger in Other Cases) 第六十条の十二 第六十条の九第一項及び第六十条の十第一項に規定する場合以外の場合には、新設合併設立会員商品取引所の設立時の出資金、加入金、資本剰余金、法定準備金及び利益剰余金の額は、同条及び前条の定めるところにより計算する。 Article 60-12 In cases other than the cases prescribed in Article 60-9, paragraph (1) and Article 60-10, paragraph (1), the amounts of the contribution, membership fee, capital surplus, statutory capital, and accumulated profit at the time of establishment of a member commodity exchange established by a consolidation-type merger are calculated pursuant to the provisions of those Articles and the preceding Article. (会員商品取引所と株式会社商品取引所とが新設合併する場合の法務省令の適用) (Application of Order of the Ministry of Justice in Cases of a Consolidation-Type Merger Between a Member Commodity Exchange and an Incorporated Commodity Exchange) 第六十条の十三 会員商品取引所と株式会社商品取引所とが新設合併をする場合における会社計算規則第十一条及び第二編第三章第六節第二款の規定の適用については、同令第四十七条第一項中「株主資本等」とあるのは「会員資本及び株主資本等」と、「資本金、資本剰余金及び利益剰余金の額の各合計額」とあるのは「出資金及び資本金、加入金及び資本剰余金並びに法定準備金及び利益剰余金の額の各合計額」と、「その他資本剰余金(」とあるのは「資本剰余金及びその他資本剰余金(」と、同条第二項中「資本金及び資本剰余金」とあるのは「出資金、加入金及び資本剰余金又は資本金及び資本剰余金」と、「その他資本剰余金の額」とあるのは「資本剰余金又はその他資本剰余金」と、「利益剰余金の額を」とあるのは「法定準備金及び利益剰余金又は利益剰余金の額を」と、「その他利益剰余金の額」とあるのは「利益剰余金又はその他利益剰余金の額」とする。 Article 60-13 With regard to the application of the provisions of Article 11, Part II, Chapter III, Section 6, Subsection 2 of the Regulations on Corporate Accounting for cases of a consolidation-type merger between a member commodity exchange and an incorporated commodity exchange, in Article 47, paragraph (1) of that Order, the term "shareholders' equity, etc." is deemed to be replaced with "members' capital and shareholders' equity, etc.", the phrase "respective totals of the stated capital, capital surplus, and accumulated profit " is deemed to be replaced with "respective totals of contribution, stated capital, membership fee, capital surplus, and statutory capital, and accumulated profit", the term "other capital surplus (" is deemed to be replaced with "capital surplus and other capital surplus (", and in paragraph (2) of that Article, the term "stated capital and capital surplus" is deemed to be replaced with "contributions, membership fee, and capital surplus, or stated capital and capital surplus", the term "amount of other capital surplus" is deemed to be replaced with "capital surplus or other capital surplus", and the term "amount of accumulated profit" is deemed to be replaced with "amount of statutory capital and accumulated profit or accumulated profit", and the term "amount of other accumulated profit" is deemed to be replaced with "amount of accumulated profit or other accumulated profit". (定款変更認可の申請書の添付書類) (Documents Attached to a Written Application for Authorization of a Change to Articles of Incorporation) 第六十一条 法第百五十五条第二項の主務省令で定める書類は、次の各号に掲げる場合の区分に応じ、当該各号に定めるものとする。 Article 61 The documents specified by order of the competent ministry as referred to in Article 155, paragraph (2) of the Act are those specified in the following items in accordance with the category of cases set forth in each of those items: 一 変更の申請が会員商品取引所の商品市場の開設に係る場合 次に掲げる書面 (i) in cases where the application for change concerns the establishment of a commodity market of a member commodity exchange: the documents set forth in the following sub-items: イ 変更の理由を記載した書面 (a) a document that states the reasons for the change; ロ 新旧条文の対照表 (b) a comparative table of the prior and amended provisions; ハ 会員総会の議事録その他必要な手続があったことを証する書面 (c) minutes of a general meeting of Members or another document certifying that the necessary procedures for approval have been followed; ニ 新たに開設しようとする商品市場ごとに当該商品市場を開設しようとする会員商品取引所の会員であって当該商品市場において取引をしようとするもの及び当該会員商品取引所の会員になろうとする者であって当該商品市場において取引をしようとするもの(その出資の全額の払込みが終了した者に限る。)の合計数が二十人以上であることを証する書面 (d) a document proving that the total number of persons who are members of the member commodity exchange seeking to establish a commodity market for each commodity market which is planned to be newly established and who seek to conduct transactions in the commodity market, and persons who seek to become members of the member commodity exchange seeking to conduct transactions in the commodity market (limited to persons who have completed payment of the full amount of the contribution) are 20 or more; ホ ニに規定する会員及び会員になろうとする者の過半数の者が当該商品市場について法第十条第二項各号に定める者に該当することを誓約する書面 (e) a document pledging that the majority of persons who are or seek to become members prescribed in sub-item (d) fall under the persons specified in the items of Article 10, paragraph (2) of the Act in relation to the commodity market; ヘ 当該商品取引所の会員等になろうとする者であって当該商品市場において取引をしようとするものが法第三十一条第一項各号のいずれにも該当しないことを誓約する書面 (f) a document pledging that the person who seeks to become a member, etc. of the commodity exchange and seeks to conduct transactions in the commodity market does not fall under any of the provisions of the items of Article 31, paragraph (1) of the Act; ト 新たに開設しようとする一以上の商品市場において法第百五条第一号に掲げる方法により決済を行う場合にあっては、認可の申請の日前三十日以内に様式第一号により作成したニに規定する会員及び会員になろうとする者の純資産額に関する調書 (g) in cases of completing settlements by the method set forth in Article 105, item (i) of the Act at one or more commodity markets which are planned to be newly established, a record concerning the amount of the net assets of a person who is or seeks to become a member prescribed in (d) which is prepared according to Form No. 1 within 30 days prior to the date of filing the application of authorization; チ 新たに開設しようとする商品市場における開設後一年間の先物取引の取引量の見込みを記載した書面 (h) a document stating the estimated transaction volume of futures transactions in a commodity market which the person seeks to open for one year after opening the commodity market; リ 上場商品に係る商品市場を開設しようとする場合にあっては、上場商品構成品を一の商品市場で取引をすることが適当である旨を明らかにすることができる書面 (i) in cases of seeking to open a commodity market related to a listed commodity, a document stating that it is appropriate to conduct transactions of component products of listed commodities in a single commodity market; ヌ 二以上の商品指数を一の上場商品指数として商品市場を開設しようとする場合にあっては、当該二以上の商品指数の対象となる物品又は電力の大部分が共通していることを明らかにすることができる書面 (j) in cases of seeking to open a commodity market by specifying two or more commodity indices as a single listed commodity index, a document stating that the majority of the goods or electric power subject to the two or more commodity indices are common to one another; 二 変更の申請が会員商品取引所の商品市場における上場商品若しくは上場商品指数の範囲の変更(廃止又は範囲の縮小を除く。以下この号において同じ。)又は取引の種類の変更に係る場合 次に掲げる書面 (ii) in cases where the application for change relates to a change of the scope of a listed commodity or listed commodity index on a commodity market of a member commodity exchange (excluding abolition or narrowing of the scope; hereinafter the same applies in this item) or a change to the type of transaction, the documents set forth in the following sub-items: イ 変更の理由を記載した書面 (a) a document that states the reasons for the change; ロ 新旧条文の対照表 (b) a comparative table of the prior and amended provisions; ハ 会員総会の議事録その他必要な手続があったことを証する書面 (c) minutes of a general meeting of members and other documents proving that necessary procedures have been taken; ニ 当該変更に係る商品市場において法第百五条第一号に掲げる方法により決済を行っている場合であって、当該商品市場において取引をする会員の純資産額の最低額を変更した場合にあっては、認可の申請の日前三十日以内に様式第一号により作成した会員の純資産額に関する調書 (d) in cases where settlement is completed in a commodity market related to the change by a method set forth in Article 105, item (i) of the Act and the minimum amount of the net assets of members who conduct transactions in the commodity market has been changed, a record concerning the amount of the net assets of members which is prepared according to Form No. 1 within 30 days prior to the filing of the application for authorization; ホ 当該変更に係る商品市場における変更後一年間の先物取引の取引量の見込みを記載した書面 (e) a document stating the estimated transaction volume of futures transactions in a commodity market related to the change for one year after the change; ヘ 上場商品の範囲の変更の場合にあっては、二以上の上場商品構成品を一の商品市場で取引をすることが適当である旨を明らかにすることができる書面 (f) in cases of changing the scope of a listed commodity, a document stating that it is appropriate to conduct transactions of two or more component products of listed commodities in a single commodity market; ト 二以上の商品指数を一の上場商品指数とする上場商品指数の範囲の変更の場合にあっては、当該二以上の商品指数の対象となる物品又は電力の大部分が共通している旨を明らかにすることができる書面 (g) in cases of changing the scope of a listed commodity index that specify two or more commodity indices as a single listed commodity index, a document stating that the majority of goods or electric power subject to the two or more commodity indices are common to one another; 三 会員商品取引所の存続期間、会員商品取引所の商品市場の開設期限又は会員商品取引所が定款で定める範囲変更期間(法第十一条第四項に規定する範囲変更期間をいう。)の廃止又は変更に係る場合 次に掲げる書面 (iii) in cases related to the abolition or change of the term of a member commodity exchange, the existence date of a commodity market of a member commodity exchange, or the period for changing the scope (meaning the period for changing the scope prescribed in Article 11, paragraph (4) of the Act) which a member commodity exchange specifies in its articles of incorporation: the documents set forth in the following sub-items: イ 変更の理由を記載した書面 (a) a document that states the reasons for the change; ロ 新旧条文の対照表 (b) a comparative table of the prior and amended provisions; ハ 会員総会の議事録その他必要な手続があったことを証する書面 (c) minutes of a general meeting of members and other documents proving that necessary procedures have been taken; ニ 当該変更に係る商品市場における変更後一年間の先物取引の取引量の見込みを記載した書面 (d) a document stating the estimated transaction volume of futures transactions in the commodity market related to the change for one year after the change; 四 前三号に掲げる場合以外の場合 次に掲げる書面 (iv) in cases other than those set forth in the preceding three items, documents set forth in the following sub-items: イ 変更の理由を記載した書面 (a) a document that states the reasons for the change; ロ 新旧条文の対照表 (b) a comparative table of the prior and amended provisions; ハ 会員総会又は株主総会の議事録その他必要な手続があったことを証する書面 (c) minutes of a general meeting of members or a shareholders meeting and other documents proving that necessary procedures have been taken. (業務規程、受託契約準則、紛争処理規程又は市場取引監視委員会規程の変更認可の申請書の添付書類) (Documents Attached to a Written Application for Authorization of a Change to Operational Rules, Entrustment Contract Regulations, Dispute Resolution Rules, or Market Transactions Surveillance Committee Rules) 第六十二条 法第百五十六条第二項の主務省令で定める書類は、次の各号に掲げる場合の区分に応じ、当該各号に定めるものとする。 Article 62 The documents specified by order of the competent ministry as referred to in Article 156, paragraph (2) of the Act are those specified in the following items in accordance with the category of cases set forth in each of those items: 一 変更の申請が株式会社商品取引所の商品市場の開設に係る場合 次に掲げる書面 (i) in cases where the application for concerns the establishment of a commodity market by an incorporated commodity exchange, the documents set forth in the following sub-items: イ 変更の理由を記載した書面 (a) a document that states the reasons for the change; ロ 新旧条文の対照表 (b) a comparative table of the prior and amended provisions; ハ 定款その他の規則で定める変更の手続を完了したことを証する書面 (c) a document proving that procedures for changes specified by the articles of incorporation or other rules have been completed; ニ 新たに開設しようとする商品市場ごとに当該商品市場を開設しようとする株式会社商品取引所の取引参加者であって当該商品市場において取引をしようとするもの及び当該株式会社商品取引所の取引参加者になろうとする者であって当該商品市場において取引をしようとするものの合計数が二十人以上であることを証する書面 (d) a document proving that the total number of persons who are trading participants of an incorporated commodity exchange seeking to establish a commodity market for each commodity market which is planned to be newly established and who seek to conduct transactions in the commodity market, and persons who seek to become trading participants of the incorporated commodity exchange and seek to conduct transactions in the commodity market is 20 or more; ホ ニに規定する取引参加者及び取引参加者になろうとする者の過半数の者が当該商品市場について第二十八条第一項第五号イ又はロに定める者に該当することを誓約する書面 (e) a document pledging that the majority of persons who are or seek to become trading participants prescribed in (d) fall under the persons specified in Article 28, paragraph (1), item (v), (a) or (b) with regard to the commodity market; ヘ 当該株式会社商品取引所の取引参加者になろうとする者であって当該商品市場において取引をしようとするものが法第三十一条第一項各号のいずれにも該当しないことを誓約する書面 (f) a document pledging that the person who seeks to become a trading participant of the incorporated commodity exchange and seeks to conduct transactions in the commodity market does not fall under any of the provisions of the items of Article 31, paragraph (1) of the Act; ト 新たに開設しようとする一以上の商品市場において法第百五条第一号に掲げる方法により決済を行う場合にあっては、認可の申請の日前三十日以内に様式第一号により作成したニに規定する取引参加者及び取引参加者になろうとする者の純資産額に関する調書 (g) in cases of completing settlements by the method set forth in Article 105, item (i) of the Act at one or more commodity markets which are planned to be newly established, a record concerning the amount of the net assets of a person who is or seeks to become a trading participant prescribed in (d) which is prepared according to Form No. 1 within 30 days prior to the date of filing the application for authorization; チ 新たに開設しようとする商品市場における開設後一年間の先物取引の取引量の見込みを記載した書面 (h) a document stating the estimated transaction volume of futures transactions in a commodity market which the person seeks to open for one year after the opening; リ 上場商品に係る商品市場を開設しようとする場合にあっては、上場商品構成品を一の商品市場で取引をすることが適当である旨を明らかにすることができる書面 (i) in cases of seeking to open a commodity market related to a listed commodity, a document stating that it is appropriate to trade component products of listed commodities in a single commodity market; ヌ 二以上の商品指数を一の上場商品指数として商品市場を開設しようとする場合にあっては、当該二以上の商品指数の対象となる物品又は電力の大部分が共通していることを明らかにすることができる書面 (j) in cases of seeking to open a commodity market by specifying two or more commodity indices as a single listed commodity index, a document stating that the majority of the goods or electric power subject to the two or more commodity indices are common to one another; 二 変更の申請が株式会社商品取引所の商品市場における上場商品若しくは上場商品指数の範囲の変更(廃止又は範囲の縮小を除く。以下この号において同じ。)又は取引の種類の変更に係る場合 次に掲げる書面 (ii) in cases where the application for amendment relates to a change to the scope of a listed commodity or listed commodity index in a commodity market of an incorporated commodity exchange (excluding abolition or narrowing of the scope; hereinafter the same applies in this item) or a change to the type of transaction, the documents set forth in the following sub-items: イ 変更の理由を記載した書面 (a) a document that states the reasons for the change; ロ 新旧条文の対照表 (b) a comparative table of the prior and amended provisions; ハ 定款その他の規則で定める変更の手続を完了したことを証する書面 (c) a document proving that procedures for changes specified by the articles of incorporation or other rules have been completed; ニ 当該変更に係る商品市場において法第百五条第一号に掲げる方法により決済を行っている場合であって、当該商品市場において取引をする取引参加者の純資産額の最低額を変更した場合にあっては、認可の申請の日前三十日以内に様式第一号により作成した取引参加者の純資産額に関する調書 (d) in cases of completing a settlement in a commodity market related to the change by a method set forth in Article 105, item (i) of the Act and the minimum amount of the net assets of trading participants who conduct transactions in the commodity market has been changed, a record concerning the amount of the net assets of trading participants which is prepared according to Form No. 1 within 30 days prior to the filing of the application for authorization; ホ 当該変更に係る商品市場における変更後一年間の先物取引の取引量の見込みを記載した書面 (e) a document stating the estimated transaction volume of futures transactions in the commodity market related to the change for one year after the change; ヘ 上場商品の範囲の変更の場合にあっては、二以上の上場商品構成品を一の商品市場で取引をすることが適当である旨を明らかにすることができる書面 (f) in cases of changing the scope of a listed commodity, a document stating that it is appropriate to conduct transactions of two or more component products of listed commodities on a single commodity market; ト 二以上の商品指数を一の上場商品指数とする上場商品指数の範囲の変更の場合にあっては、当該二以上の商品指数の対象となる物品又は電力の大部分が共通している旨を明らかにすることができる書面 (g) in cases of changing the scope of a listed commodity index that specifies two or more commodity indices as a single listed commodity index, a document stating that the majority of goods or electric power subject to the two or more commodity indices are common to one another; 三 株式会社商品取引所としての存続期間、株式会社商品取引所の商品市場の開設期限又は株式会社商品取引所が業務規程で定める範囲変更期間(法第百二条第三項に規定する範囲変更期間をいう。)の廃止又は変更に係る場合 次に掲げる書面 (iii) in cases related to the abolition or change of the term of existence as an incorporated commodity exchange, the expiration date of a commodity market of the incorporated commodity exchange, or the period for changing the scope (meaning the period of changing the scope prescribed in Article 102, paragraph (3) of the Act) specified by the incorporated commodity exchange in the operational rules: the documents set forth in the following sub-items: イ 変更の理由を記載した書面 (a) a document that state the reasons for the change; ロ 新旧条文の対照表 (b) a comparative table of the prior and amended provisions; ハ 定款その他の規則で定める変更の手続を完了したことを証する書面 (c) a document proving that procedures for changes specified by the articles of incorporation or other rules have been completed; ニ 当該変更に係る商品市場における変更後一年間の先物取引の取引量の見込みを記載した書面 (d) a document stating the estimated transaction volume of futures transactions in the commodity market related to the change for one year after the change; 四 前三号に掲げる場合以外の場合 次に掲げる書面 (iv) i a document stating the estimated transaction volume of futures transactions in the commodity market related to the change for one year after the change; イ 変更の理由を記載した書面 (a) a document that states the reasons for the change; ロ 新旧条文の対照表 (b) a comparative table of the prior and amended provisions; ハ 定款その他の規則で定める変更の手続を完了したことを証する書面 (c) a document proving that procedures for changes specified by the articles of incorporation or other rules have been completed. (親法人等又は関連法人等) (Parent Corporation or Affiliated Corporation) 第六十三条 令第二十二条の二第二項の主務省令で定めるものは、次に掲げる法人等(同項に規定する法人等をいう。以下この条において同じ。)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法人等の意思決定機関(同項に規定する意思決定機関をいう。以下この項において同じ。)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 63 (1) The entities specified by order of the competent ministry as referred to in Article 22-2, paragraph (2) of the Order are the corporation, etc. (meaning the corporation, etc. prescribed in that paragraph; hereinafter the same applies in this Article) set forth in the following items; provided, however, that this does not apply when it is found to be clear that the corporation, etc. does not control the decision-making body (meaning the decision-making body prescribed in that paragraph; hereinafter the same applies in this paragraph) of another corporation, etc., from their financial, operational, or business relationships: 一 他の法人等(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法人等その他これらに準ずる他の法人等であって、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所有している法人等 (i) a corporation, etc. that holds on its own account, a majority of the voting rights of another corporation, etc. (excluding another corporation, etc. subject to an order for the commencement of bankruptcy proceedings, the commencement of rehabilitation proceedings, or the commencement of reorganization proceedings, and other corporation, etc. equivalent to the corporation, etc., where no effective dominant-subordinate relationship is found to exist; hereinafter the same applies in this paragraph); 二 他の法人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所有している法人等であって、次に掲げるいずれかの要件に該当するもの (ii) a corporation, etc. that holds on its own account, forty percent or more and fifty percent or less of the voting rights of another corporation, etc. and satisfies any of the following requirements: イ 当該法人等が自己の計算において所有している議決権と当該法人等と出資、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法人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法人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所有している議決権とを合わせて、当該他の法人等の議決権の過半数を占めていること。 (a) the total number of voting rights held by the corporation, etc. on its own account and the voting rights held by persons who are found to exercise their voting rights in the manner intended by the corporation, etc. due to a close relationship in terms of contribution, personnel affairs, funds, technology, transactions or other matters, and by persons who agree to exercise their voting rights in the manner intended by the corporation, etc., constitute a majority of the voting rights of the other corporation, etc.; ロ 当該法人等の役員(取締役、執行役、会計参与(会計参与が法人であるときは、その職務を行うべき社員を含む。)、監査役又はこれらに類する役職にある者をいう。)、業務を執行する社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法人等が当該他の法人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、当該他の法人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) persons who are officers (meaning company directors, executive officers, accounting advisors (when an accounting advisor is a corporation, including a member who is to perform the duties of the corporation), company auditors, or persons holding a position similar to these positions) of the corporation, etc., members or employees of the corporation, etc. who execute the business, or persons who formerly held those positions, and are capable of influencing the decision of the other corporation, etc. with regard to its financial and operational or business policies, account for a majority of the members of the board of directors or other equivalent organ of the other corporation, etc.; ハ 当該法人等と当該他の法人等との間に当該他の法人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) there is a contract, etc. concluded between the corporation, etc. and the other corporation, etc. which provides for control over decision of the other corporation, etc. with regard to its important financial and operational or business policies; ニ 当該他の法人等の資金調達額(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法人等が融資(債務の保証及び担保の提供を含む。以下同じ。)を行っていること(当該法人等と出資、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) the corporation, etc. provides a loan (including guarantee of obligations and provision of collateral; the same applies hereinafter) that accounts for more than half of the total amount of the procured funds of the other corporation, etc. (limited to those recorded in the liability section of the balance sheet) (including cases where the amount of the loan accounts for more than half of the total amount of the procured funds when combined with the amount of the loan provided by a person that has a close relationship with the corporation, etc. in terms of contribution, personnel affairs, funds, technology, transactions or other matters); ホ その他当該法人等が当該他の法人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) there is other fact implying that the corporation, etc. has control over the decision-making body of the other corporation, etc.; 三 法人等が自己の計算において所有している議決権と当該法人等と出資、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法人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法人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所有している議決権とを合わせて、他の法人等の議決権の過半数を占めている場合(当該法人等が自己の計算において議決権を所有していない場合を含む。)における当該法人等であって、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) when the total number of voting rights held by the corporation, etc. on its own account and the voting rights held by persons who are found to exercise their voting rights in the manner intended by the corporation, etc. due to a close relationship in terms of contribution, personnel affairs, funds, technology, transactions or other matters, or by persons who agree to exercise their voting rights in the manner intended by the corporation, etc. constitutes a majority of the voting rights of the other corporation, etc. (including cases where that corporation, etc. does not hold the voting rights on its own account), that corporation which falls under any of the requirements set forth in sub-items (b) through (e) of the preceding item. 2 令第二十二条の二第三項の主務省令で定めるものは、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法人等(当該法人等の子法人等(同条第二項に規定する子法人等をいう。以下この条において同じ。)を含む。)が子法人等以外の他の法人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。 (2) T The persons specified by order of the competent ministry as referred to in Article 22-2, paragraph (3) of the Order are those set forth in the following items; provided, however, that this does not apply when it is found to be clear, from financial, operational, or business relationships, that the corporation, etc. (including a subsidiary corporation, etc. (meaning the subsidiary corporation, etc. prescribed in paragraph (2) of that Article; hereinafter the same applies in this Article) of the corporation, etc.) is unable to exert a material influence on the decision of another corporation, etc. other than a subsidiary corporation, etc. with regard to its financial and operational or business policies: 一 法人等(当該法人等の子法人等を含む。)が子法人等以外の他の法人等(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法人等以外の他の法人等その他これらに準ずる子法人等以外の他の法人等であって、当該法人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。以下この項において同じ。)の議決権の百分の二十以上を自己の計算において所有している場合における当該子法人等以外の他の法人等 (i) when a corporation, etc. (including a subsidiary corporation, etc. of the corporation, etc.) holds on its own account, not less than 20 percent of the voting rights of another corporation, etc. other than a subsidiary corporation, etc. (excluding another corporation, etc. other than a subsidiary corporation, etc. subject to an order for the commencement of bankruptcy proceedings, the commencement of rehabilitation proceedings, or the commencement of reorganization proceedings, and other corporation, etc. other than a subsidiary corporation, etc. equivalent to them, for which the corporation, etc. is found to be unable to exert a material influence on decisions with regard to its financial and operational or business policies; hereinafter the same applies in this paragraph), the other corporation, etc. other than a subsidiary corporation, etc.; 二 法人等(当該法人等の子法人等を含む。)が子法人等以外の他の法人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所有している場合における当該子法人等以外の他の法人等であって、次に掲げるいずれかの要件に該当するもの (ii) when a corporation, etc. (including a subsidiary corporation, etc. of the corporation, etc.) holds on its own account, fifteen percent or more and less than twenty percent of the voting rights of another corporation, etc. other than a subsidiary corporation, etc., the other corporation, etc. other than a subsidiary corporation, etc. which satisfies any of the following requirements: イ 当該法人等の役員、業務を執行する社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法人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、その代表取締役、取締役又はこれらに準ずる役職に就任していること。 (a) any person who is or was an officer, member that executes business, or employee of the corporation, etc., and capable of influencing the decision of the other corporation, etc. with regard to its financial and operational or business policies, has been appointed as a representative director, company director, or an equivalent post of the other corporation, etc.; ロ 当該法人等から重要な融資を受けていること。 (b) important loan is provided by the corporation, etc.; ハ 当該法人等から重要な技術の提供を受けていること。 (c) important technology is provided by the corporation, etc.; ニ 当該法人等との間に営業上又は事業上の重要な取引があること。 (d) it conducts important operational or business transactions with the corporation, etc.; ホ その他当該法人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) there is other fact implying that the corporation, etc. is able to exert a material influence on decisions with regard to its financial and operational or business policies; 三 法人等(当該法人等の子法人等を含む。)が自己の計算において所有している議決権と当該法人等と出資、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法人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法人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所有している議決権とを合わせて、子法人等以外の他の法人等の議決権の百分の二十以上を占めている場合(当該法人等が自己の計算において議決権を所有していない場合を含む。)における当該子法人等以外の他の法人等であって、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) when the total number of voting rights held by a corporation, etc. (including a subsidiary corporation, etc. of the corporation, etc.) on its own account and the voting rights held by persons who are found to exercise their voting rights in the manner intended by the corporation, etc. due to a close relationship in terms of contribution, personnel affairs, funds, technology, transactions or other matters, or by persons who agree to exercise their voting rights in the manner intended by the corporation, etc. constitutes twenty percent or more of the voting rights of the other corporation, etc. other than a subsidiary corporation, etc. (including cases in which that corporation, etc. does not hold the voting rights on its own account), another corporation, etc. other than a subsidiary corporation, etc. which falls under any of the requirements set forth in sub-items (a) through (e) of the preceding item. (市場取引監視委員会委員の要件) (Requirements for a Committee Member of a Market Transactions Surveillance Committee) 第六十四条 法第百六十六条第一項の主務省令で定める要件は、次の各号のいずれにも該当することとする。ただし、主務大臣の承認を受けたときは、この限りでない。 Article 64 The requirements specified by order of the competent ministry as referred to in Article 166, paragraph (1) of the Act are that the committee member falls under all of the following items; provided, however, that this does not apply to when the approval of the competent minister has been obtained: 一 法第十五条第二項第一号イからルまでのいずれにも該当しないこと。 (i) the committee member does not fall under any of the provisions of Article 15, paragraph (2), item (i), sub-items (a) through (k) of the Act; 二 上場商品構成品等(法第十五条第一項第一号に規定する上場商品構成品等をいう。以下同じ。)の取引に関係のある事業者団体と関係を持っていないこと。 (ii) the committee member must not have any relationship with a business organization related to transactions of component products of listed commodities, etc. (meaning component products of listed commodities, etc., prescribed in Article 15, paragraph (1), item (i) of the Act; the same applies hereinafter); 三 商品市場における取引等(商品清算取引を除く。)の委託を受けること又は商品市場における取引を業として営む企業の役員、顧問若しくは評議員となり、直接間接に当該企業の経営に参加し、当該企業から反対給付を受け、又は当該企業に投資していないこと。 (iii) the committee member has not accepted consignment of transactions, etc. in the commodity market (excluding commodity clearing transactions), become an officer, advisor, or councilor of a company that conducts transactions in the commodity market in the course of trade and directly or indirectly participate in the management of the company, receive counter-performance from the company, nor invest in the company. (市場取引監視委員会規程) (Market Transactions Surveillance Committee Rules 第六十五条 法第百六十六条第三項の主務省令で定める事項は、次に掲げるものとする。 Article 65 The matters specified by order of the competent ministry as referred to in Article 166, paragraph (3) of the Act are as follows: 一 委員の身分保障に関する事項 (i) matters concerning a guarantee of the status of a committee member; 二 委員の職務に関して知り得た秘密の保持に関する事項 (ii) matters concerning the maintenance of confidential information learned in the course of duties by the committee member; and 三 市場取引監視委員会の意見に関する事項 (iii) matters concerning an opinion of a market transactions surveillance committee. (商品取引清算機関の許可申請書の添付書類) (Documents Attached to a Written Application for a License of a Commodity Clearing Organization) 第六十六条 法第百六十八条第二項の主務省令で定める書類は、次に掲げるもの(官公署が証明する書類の場合には、許可の申請の日前三月以内に作成されたものに限る。)とする。 Article 66 T The documents specified by order of the competent ministry as referred to in Article 168, paragraph (2) of the Act are as follows (in cases of documents certified by a public agency, limited to those prepared within three months prior to the date of filing the application for a license): 一 登記事項証明書 (i) a certificate of the registered information; 二 直前事業年度の計算書類等及びその附属証明書 (ii) the financial statements, etc. for the immediately preceding business year and attached certificates; 三 業務開始後三年間における収支の見込みを記載した書面 (iii) a document stating the estimated income and expenditures for the three years after the commencement of the business; 四 主要株主(総株主の議決権(法第八十六条第一項本文に規定する議決権をいう。以下この号において同じ。)の百分の十以上の議決権を保有している株主をいう。以下同じ。)の氏名又は商号若しくは名称、住所又は所在地及びその保有する議決権の数を記載した書面 (iv) a document stating the name or trade name, the address or location of the major shareholder (meaning a shareholder holding 10 percent or more of the voting rights (meaning a voting right prescribed in the main clause of Article 86, paragraph (1) of the Act; hereinafter the same applies in this item) of all shareholders; the same applies hereinafter), and the number of voting rights that the major shareholder holds; 五 親法人等(商品取引清算機関の総株主の議決権(前号に規定する議決権をいう。)の過半数を保有している法人その他の団体をいう。)及び子法人等(商品取引清算機関が総株主等の議決権(令第九条第一項第三号に規定する議決権をいう。)の過半数を保有している法人その他の団体をいう。)の概要を記載した書面 (v) a document stating an outline of a parent corporation, etc. (meaning a corporation or other organization that holds the majority of voting rights (meaning a voting right prescribed in the preceding item) of the all shareholders of a commodity clearing organization) and a subsidiary corporation, etc. (meaning a corporation or other organization that holds the majority of the voting rights (meaning a voting right prescribed in Article 9, paragraph (1), item (iii) of the Order) of all shareholders, etc. of a commodity clearing organization); 六 法第十五条第二項第一号ハからホまで又はリのいずれにも該当しないことを誓約する書面 (vi) a document pledging that the commodity clearing organization does not fall under any of the provisions of Article 15, paragraph (2), item (i), sub-items (c) through (e) or sub-item (i) of the Act; 七 次に掲げる場合に応じ、それぞれ次に定める書面 (vii) a document specified as follows in accordance with the cases set forth in each sub-item: イ 役員が外国人である場合 当該役員の住民票の写し等、履歴書及びその者が法第十五条第二項第一号イからルまでのいずれにも該当しないことを誓約する書面 (a) in cases where an officer is a foreign national: a copy of the residence certificate, etc., and a curriculum vitae of the officer, and a document pledging that the person does not fall under any of the provisions of Article 15, paragraph (2), item (i), sub-items (a) through (k) of the Act; ロ 役員が法人である場合 当該役員の登記事項証明書、沿革を記載した書面及び法第十五条第二項第一号ヲに該当しないことを誓約する書面 (b) in cases where an officer is a corporation: a certificate of the registered information of the officer, a document stating the history of the corporation, and a document pledging that the person does not fall under the provisions of Article 15, paragraph (2), item (i), (l) of the Act; ハ 役員が外国人又は法人でない場合 当該役員の住民票の写し等、履歴書、その者が法第十五条第二項第一号ロに該当しない旨の官公署の証明書並びにその者が同号イ及びハからルまでのいずれにも該当しないことを誓約する書面 (c) in cases where an officer is neither a foreign national nor a corporation: a copy of the residence certificate, etc., and a curriculum vitae of the officer, a certification issued by a public agency that the person does not fall under the provisions of Article 15, paragraph (2), item (i), sub-item (b) of the Act, and a document pledging that the person does not fall under any of the provisions of sub-item (a) and sub-items (c) through (k) of that item; 八 商品取引債務引受業に関する知識及び経験を有する従業員の確保の状況並びに当該従業員の配置の状況を記載した書類 (viii) a document stating the status of securing employees who have the knowledge and experience on the business of assuming commodity transaction debts and the status of the assignment of those employees; 九 創立総会を開催した場合には、創立総会の議事録 (ix) in cases where an organizational meeting has been held, the minutes of the organizational meeting; 十 清算参加者の氏名又は商号若しくは名称及び主たる事務所又は本店の所在地を記載した書面 (x) a document stating the names or trade names of clearing participants, and the location of their principal office or head office; 十一 清算参加者が許可の申請の日前三十日以内に様式第一号により作成したその者の純資産額に関する調書 (xi) records prepared by clearing participants according to Form No. 1 within 30 days prior to date of filing the application for a license concerning the amount of their net assets; 十二 商品取引債務引受業において電子情報処理組織を使用する場合には、当該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を記載した書類 (xii) in cases where an electronic data processing system is used for the business of assuming commodity transaction debts, a document stating the outline, installation location, capacity, and maintenance method of the electronic data processing system, and the method of handling in the case of malfunction of the electronic data processing system; 十三 その他法第百六十九条第一項に掲げる基準に適合しているかどうかについての認定の参考となるべき事項を記載した書面 (xiii) documents stating other information to be used as a reference for authorization as to whether the organization conforms to the standards set forth in Article 169, paragraph (1) of the Act. (医師の診断書の提出) (Submission of a Doctor's Medical Certificate) 第六十六条の二 主務大臣は、法第百六十七条の許可の申請があった場合において、許可申請者が法第十五条第二項第一号ヲ(イ及びルに係る部分に限る。)に該当するかどうかを審査するために必要があると認めるときは、許可申請者に対し、当該審査の対象となる者の病名、精神の機能の障害の有無及び程度、病因、病後の経過、治癒の見込みその他参考となる所見を記載した医師の診断書の提出を求めることができる。 Article 66-2 In cases where an application for the license under Article 167 of the Act is filed, and the competent minister finds it necessary for examining whether the license applicant falls under Article 15, paragraph (2), item (i), (l) of the Act (limited to the part related to (a) and (k)), the minister may request the applicant to submit a doctor's medical certificate stating the name of the illness of the person subject to the examination, whether the person has any mental impairment and the level of mental impairment, causes of the illness, catamnestic observation, prospects of recovery, and other remarks for reference. (兼業の承認申請) (Application for Approval of Subsidiary Business) 第六十七条 商品取引清算機関は、法第百七十条第二項の規定により承認を受けようとするときは、次に掲げる事項を記載した承認申請書を主務大臣に提出しなければならない。 Article 67 (1) When a commodity clearing organization seeks to receive approval pursuant to the provisions of Article 170, paragraph (2) of the Act, a written application for approval that states the following information must be submitted to the competent minister: 一 承認を受けようとする業務の種類 (i) the type of business seeking approval; 二 当該業務の開始予定年月日 (ii) the scheduled date of the commencement of the business. 2 前項の承認申請書には、次に掲げる書類を添付しなければならない。 (2) The following documents must be attached to the written application for approval referred to in the preceding paragraph: 一 当該業務の内容及び方法を記載した書面 (i) a document stating the content and method of the business; 二 当該業務を所掌する組織及び人員配置を記載した書面 (ii) a document stating the organization which has jurisdiction over the business and the assignment of personnel; 三 当該業務の運営に関する社内規則 (iii) a document stating the internal rules concerning the management of the business; 四 当該業務の開始後三年間における収支の見込みを記載した書面 (iv) a document stating the estimated income and expenditures for the three years after the commencement of the business. (兼業業務の廃止の届出) (Notification of Discontinuation of Subsidiary Business) 第六十八条 商品取引清算機関は、法第百七十条第三項の規定による届出を行う場合には、次に掲げる事項を記載した届出書を提出しなければならない。 Article 68 In cases of submitting a notification pursuant to the provisions of Article 170, paragraph (3) of the Act, a commodity clearing organization must submit a written notification stating the following information: 一 法第百七十条第二項の規定に基づき承認を受けた業務の種類 (i) the type of business that was approved based on the provisions of Article 170, paragraph (2) of the Act; 二 当該業務を廃止した年月日 (ii) the date of the discontinuation of the business. 三 当該業務を廃止した理由 (iii) the reason for the discontinuation of the business (資本金の額等の変更の届出) (Notification of Change to Amount of Stated Capital) 第六十九条 商品取引清算機関は、法第百七十一条の規定による届出を行う場合には、次に掲げる事項を記載した届出書を提出しなければならない。 Article 69 (1) In cases of submitting a notification under the provisions of Article 171 of the Act, a commodity clearing organization must submit a written notification stating the following information: 一 変更の内容 (i) the contents of the change; 二 変更年月日 (ii) the date of the change. 2 前項の届出書には、次の各号に掲げる区分に応じ、当該各号に定める書類を添付するものとする。 (2) The documents specified in the following items in accordance with the category set forth in each of those items are to be attached to the written notification referred to in the preceding paragraph: 一 法第百六十八条第一項第二号又は第三号に掲げる事項の変更 第六十六条第一号に掲げる書類 (i) a change to the information set forth in Article 168, paragraph (1), item (ii) or (iii) of the Act: a document set forth in Article 66, item (i); 二 法第百六十八条第一項第五号に掲げる事項の変更 第六十六条第一号及び第七号に掲げる書類 (ii) a change to the information set forth in Article 168, paragraph (1), item (v) of the Act: a document set forth in Article 66, items (i) and (vii). (商品取引所の商品取引債務引受業等の兼業承認申請書の添付書類) (Documents Attached to a Written Application for Approval of Subsidiary Business of the Business of Assuming Commodity Transaction Debts of a Commodity Exchange) 第七十条 法第百七十三条第三項の主務省令で定める書類は、次に掲げるものとする。 Article 70 The documents specified by order of the competent ministry as referred to in Article 173, paragraph (3) of the Act are as follows: 一 商品取引債務引受業等(法第百七十条第二項に規定する商品取引債務引受業等をいう。以下同じ。)を所掌する組織及び人員配置を記載した書面 (i) a document stating the organization which has jurisdiction over the business of assuming commodity transaction debts, etc. (meaning the business of assuming commodity transaction debts, etc. prescribed in Article 170, paragraph (2) of the Act; the same applies hereinafter) and the assignment of personnel; 二 商品取引債務引受業等の開始後三年間における収支の見込みを記載した書面 (ii) a document stating the estimated income and expenditures for the three years after the commencement of the business of assuming commodity transaction debts, etc.; 三 会員総会又は株主総会の議事録その他必要な手続があったことを証する書面 (iii) minutes of a general meeting of members or a shareholders meeting and other documents proving that necessary procedures have been taken; 四 清算参加者の氏名又は商号若しくは名称及び主たる事務所又は本店の所在地を記載した書面 (iv) a document stating the names or trade names of the clearing participants, and the location of their principal office or head office; 五 清算参加者が承認の申請の日前三十日以内に様式第一号により作成したその者の純資産額に関する調書 (v) a record prepared by the clearing participants according to Form No. 1 within 30 days prior to the filing of the application concerning the amount of their net assets; 六 商品取引債務引受業等において電子情報処理組織を使用する場合には、当該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を記載した書類 (vi) in cases where an electronic data processing system is used for the business of assuming commodity transaction debts, etc., a document stating the outline, installation location, capacity, and maintenance method of the electronic data processing system, and the method of handling in the case of malfunction of the electronic data processing system. (業務方法書の記載事項) (Information to be Entered in the Statement of Operational Methods) 第七十一条 法第百七十五条第二項第七号の主務省令で定める事項は、次に掲げるものとする。 Article 71 The information specified by order of the competent ministry as referred to in Article 175, paragraph (2), item (vii) of the Act are as follows: 一 法第百七十条第一項の業務を営む場合にあっては、当該業務に関する事項 (i) in cases where the business referred to in Article 170, paragraph (1) of the Act is operated, information concerning the business; 二 商品取引債務引受業等に附帯する業務を営む場合にあっては、当該業務に関する事項 (ii) in cases where a business incidental to the business of assuming commodity transaction debts, etc. is operated, information concerning the business; 三 金融商品債務引受業等その他商品取引債務引受業に関連する業務を営む場合にあっては、当該業務に関する事項 (iii) in cases where the business of assuming commodity transaction debts, etc. or another business related to the business of assuming commodity transaction debts, etc. is operated, information concerning the business; 四 商品清算取引を行う清算参加者と会員等の間の商品清算取引に係る基本契約においては、会員等が清算参加者を代理して商品市場における取引を成立させようとするときは、当該会員等が商品清算取引の申込みをし、かつ、当該清算参加者が当該商品清算取引の受託をしたこととする旨 (iv) with regard to the basic contract related to commodity clearing transactions between a clearing participant who conducts commodity clearing transactions and a member, etc., when the member, etc. seeks to close a transaction in the commodity market on behalf of a clearing participant, the fact of considering that the member, etc. applied for the commodity clearing transaction and the clearing participant has accepted consignment of the commodity clearing transaction; 五 法第百八十条第一項に規定する清算預託金を定める場合にあっては、清算預託金及びその管理方法に関する事項 (v) in cases of determining the clearing deposit prescribed in Article 180, paragraph (1) of the Act, information on the clearing deposit and its management method; and. 六 商品市場における取引に係る受渡しの決済のために預託される金銭、有価証券その他の物に関する事項 (vi) information concerning money, securities, and other things deposited for the purpose of settlement of delivery related to transactions in a commodity market. (取引証拠金の預託方法) (Method of Depositing Clearing Margins) 第七十二条 商品取引清算機関は、法第百七十九条第一項の規定に基づき取次者(同項第一号ロに規定する取次者をいう。以下この条及び次条において同じ。)、委託者(同号ロに規定する委託者をいう。以下この条及び次条において同じ。)、取次委託者(同号ニに規定する取次委託者をいう。以下この条及び次条において同じ。)、清算取次者(同項第二号ロに規定する清算取次者をいう。以下この条及び次条において同じ。)、清算取次委託者(同号ロに規定する清算取次委託者をいう。以下この条及び次条において同じ。)又は清算取次者に対する委託者(同号ニに規定する清算取次者に対する委託者をいう。以下この条及び次条において同じ。)から取引証拠金の預託を受けるときは、次の各号に掲げる場合の区分に応じ、当該各号に定める者を代理人として当該取引証拠金の預託を受けなければならない。 Article 72 (1) When receiving a deposit of clearing margins, based on the provisions of Article 179, paragraph (1) of the Act, from a broker (meaning a broker prescribed in item (i), (b) of that paragraph; hereinafter the same applies in this Article and the following Article), a consignor (meaning a consignor prescribed in (b) of that item; hereinafter the same applies in this Article and the following Article), an person that entrusts brokerage (meaning an person that entrusts brokerage prescribed in (d) of that item; hereinafter the same applies in this Article and the following Article), a clearing broker (meaning a clearing broker prescribed in item (ii), (b) of that paragraph; hereinafter the same applies in this Article and the following Article), a person entrusting clearing brokerage (meaning a person entrusting clearing brokerage prescribed in (b) of the same item; hereinafter the same applies in this Article and the following Article), or a consignor that makes a request to the clearing broker (meaning a consignor that makes a request to the clearing broker prescribed in (d) of that item; hereinafter the same applies in this Article and the following Article), a commodity clearing organization must designate the person specified in each of the following items as an agent in accordance with the category of cases set forth in those items, and receive the deposit of the clearing margin: 一 法第百七十九条第一項第一号ロ又はハに規定する場合 当該取引を受託した会員等 (i) in the case prescribed in Article 179, paragraph (1), item (i), (b) or (c) of the Act: the member, etc. that has been entrusted the transaction; 二 法第百七十九条第一項第一号ニに規定する場合 当該取引に係る取次者及び当該取引を受託した会員等 (ii) in the case prescribed in Article 179, paragraph (1), item (i), (d) of the Act: the broker related to the transaction and the member, etc. that has been entrusted the transaction; 三 法第百七十九条第一項第二号イに規定する場合 当該会員等が当該商品清算取引を委託するものとして届け出た清算参加者 (iii) in the case prescribed in Article 179, paragraph (1), item (ii), (a) of the Act: a clearing participant notified by the member, etc. as one that entrusts the commodity clearing transaction; 四 法第百七十九条第一項第二号ロ又はハに規定する場合 当該商品清算取引の委託の取次ぎを受託した会員等及び当該会員等が当該商品清算取引を委託するものとして届け出た清算参加者 (iv) in the case prescribed in Article 179, paragraph (1), item (ii), (b) or (c): the member, etc. who has accepted the brokerage of the consignment of the commodity clearing transaction and a clearing participant notified by the member, etc. as entrusting the commodity clearing transaction; 五 法第百七十九条第一項第二号ニに規定する場合 当該商品清算取引に係る清算取次者、当該商品清算取引の委託の取次ぎを受託した会員等及び当該会員等が当該商品清算取引を委託するものとして届け出た清算参加者 (v) in the case prescribed in Article 179, paragraph (1), item (ii), (d) of the Act: a clearing broker related to the commodity clearing transaction, the member, etc. who has accepted the brokerage of the consignment of the commodity clearing transaction, and the clearing participant notified by the member, etc. as entrusting the commodity clearing transaction. 2 商品取引清算機関は、法第百七十九条第一項の規定に基づき会員等、取次者又は清算取次者から取引証拠金の預託を受けるとき(会員等が自己の計算において商品市場における取引を行う場合及び清算参加者がその委託をした会員等の計算において商品清算取引を行う場合を除く。)は、次の各号に掲げる場合の区分に応じ、当該各号に定める者が当該取引証拠金(当該各号に定める者が預託した委託証拠金、取次証拠金又は清算取次証拠金の額の範囲内に限る。)に対する返還請求権を有するものとしなければならない。 (2) When receiving a deposit of clearing margins, based on the provisions of Article 179, paragraph (1) of the Act, from a member, etc., a broker, or a clearing broker (excluding cases where a member, etc. conducts the transaction in the commodity market on their own account and where a clearing participant conducts the commodity clearing transaction on the account of the member, etc. who entrusted the transaction), a commodity clearing organization must consider that a person specified in the following items in accordance with the category of cases set forth in each of those items holds a right to claim a return against the clearing margins (limited to within the scope of the amount of consignor margins, brokerage margins, or clearing brokerage margins deposited by the person specified in the respective items): 一 会員等が委託者から委託証拠金の預託を受けて商品取引清算機関に取引証拠金を預託した場合 当該委託者 (i) in cases where a member, etc. received a deposit of a consignor margin from a consignor and deposited the clearing margin with a commodity clearing organization: the consignor; 二 会員等が取次者(取次委託者から取次証拠金の預託を受けている者に限る。)又は取次委託者から委託証拠金の預託を受けて商品取引清算機関に取引証拠金を預託した場合 当該取次委託者 (ii) in cases where a member, etc. received a deposit of a consignor margin from a broker (limited to a person who received a deposit of a brokerage margin from a person that entrusts brokerage) or a person that entrusts brokerage and deposited the clearing margin with a commodity clearing organization: the person that entrusts brokerage; 三 取次者が取次委託者から取次証拠金の預託を受けて商品取引清算機関に取引証拠金を預託した場合 当該取次委託者 (iii) in cases where a broker received a deposit of a brokerage margin from a person that entrusts brokerage and deposited the clearing margin with a commodity clearing organization: the person that entrusts brokerage; 四 会員等が清算取次委託者から委託証拠金の預託を受けて商品取引清算機関に取引証拠金を預託した場合 当該清算取次委託者 (iv) in cases where a member, etc. received a deposit of a consignor margin from a person entrusting the clearing brokerage and deposited the clearing margin with a commodity clearing organization: the person entrusting the clearing brokerage; 五 会員等が清算取次者(清算取次者に対する委託者から清算取次証拠金の預託を受けている者に限る。)又は清算取次者に対する委託者から委託証拠金の預託を受けて商品取引清算機関に取引証拠金を預託した場合 当該清算取次者に対する委託者 (v) in cases where a member, etc. received a deposit of a consignor margin from a clearing broker (limited to a person who received a deposit of a clearing brokerage margin from the consignor that makes a request to the clearing broker) or a consignor that makes a request to the clearing broker and deposited a clearing margin with a commodity clearing organization: the consignor that makes a request to the clearing broker; and 六 清算取次者が清算取次者に対する委託者から清算取次証拠金の預託を受けて商品取引清算機関に取引証拠金を預託した場合 当該清算取次者に対する委託者 (vi) in cases where a clearing broker received a deposit of a clearing brokerage margin from a consignor that makes a request to the clearing broker and deposited the clearing margin with a commodity clearing organization: the consignor that makes a request to the clearing broker. (委託証拠金等の預託に係る委託者等の同意等) (Consent of a Consignor Related to a Deposit of a Consignor Margin) 第七十三条 会員等は、法第百七十九条第二項の規定により、委託者、取次者若しくは取次委託者又は清算取次委託者、清算取次者若しくは清算取次者に対する委託者(以下この条において「委託者等」という。)をして委託証拠金を預託させるときは、当該委託者等から、自己に対して当該委託証拠金を預託させることについての書面による同意を得なければならない。 Article 73 (1) When a member, etc. requests a consignor, a broker or a person that entrusts brokerage, or a person entrusting the clearing brokerage, a clearing broker, or a consignor that makes a request to the clearing broker (hereinafter referred to as a "consignor, etc." in this Article) to deposit a consignor margin, a written consent for depositing the consignor margin with the member, etc. must be obtained by the member, etc. from the consignor, etc., pursuant to the provisions of Article 179, paragraph (2) of the Act. 2 会員等は、法第百七十九条第二項の規定により取次委託者をして委託証拠金を預託させるときは当該取次委託者から商品市場における取引の委託の取次ぎを受託した取次者を、同項により清算取次者に対する委託者をして委託証拠金を預託させるときは当該清算取次者に対する委託者から商品清算取引の委託の取次ぎの委託の取次ぎを受託した清算取次者を代理人として、当該委託証拠金の預託を受けなければならない。 (2) A member, etc., when having a person that entrusts brokerage deposit a consignor margin pursuant to the provisions of Article 179, paragraph (2) of the Act, the member, etc. must receive the deposit of the consignor margin by appointing as an agent, the broker who has accepted the brokerage of consignment of transactions in a commodity market from the person that entrusts brokerage, and by appointing as an agent, a clearing broker who has accepted the brokerage of consignment for brokerage of the consignment of commodity clearing transactions from a consignor that makes a request to the clearing broker when having the consignor that makes a request to the clearing broker deposit the consignor margin pursuant to the provisions of that paragraph. 3 取次者は、法第百七十九条第三項の規定により、取次委託者をして取次証拠金を預託させるときは、当該取次委託者から、自己に対して当該取次証拠金を預託させることについての書面による同意を得なければならない。 (3) When having a person that entrusts brokerage to deposit a clearing margin, a broker must obtain a written consent for depositing the clearing margin with them from the person that entrusts brokerage, pursuant to the provisions of Article 179, paragraph (3) of the Act. 4 清算取次者は、法第百七十九条第四項の規定により、清算取次者に対する委託者をして清算取次証拠金を預託させるときは、当該清算取次者に対する委託者から、自己に対して当該清算取次証拠金を預託させることについての書面による同意を得なければならない。 (4) When having a consignor that makes a request to the clearing broker deposit a clearing brokerage margin, a clearing broker must obtain a written consent for depositing the clearing brokerage margin with them from the consignor that makes a request to the clearing broker, pursuant to the provisions of Article 179, paragraph (4) of the Act. 5 第四十一条第三項から第七項までの規定は、第一項及び前二項の規定による委託者等、取次委託者及び清算取次者に対する委託者の書面による同意について準用する。 (5) The provisions of Article 41, paragraphs (3) through (7) apply mutatis mutandis to the written consent of a consignor, etc., a person that entrusts brokerage, and a consignor that makes a request to the clearing broker under the provisions of paragraph (1) and the preceding two paragraphs. (商品取引清算機関における取引証拠金の分別管理) (Separate Management of Clearing Margins at a Commodity Clearing Organization) 第七十四条 商品取引清算機関は、法第百七十九条第五項において準用する法第百三条第四項の規定に基づき取引証拠金を管理するときは、次の各号に掲げる区分ごと、かつ、会員等ごとに、自己の固有財産その他の取引証拠金以外の財産と分別して管理しなければならない。 Article 74 (1) When a commodity clearing organization manages clearing margins based on the provisions of Article 103, paragraph (4) of the Act as applied mutatis mutandis pursuant to Article 179, paragraph (5) of the Act, the clearing margins are managed separately from its own property and property other than that of the clearing margins for each of the category set forth in the following items, and by each member, etc.: 一 法第百七十九条第一項第一号イに掲げる場合のうち会員等が自己の計算において商品市場における取引を行うときに、同項の規定に基づき当該会員等から預託を受けた取引証拠金 (i) in the cases set forth in Article 179, paragraph (1), item (i), (a) of the Act in which a member, etc. conducts transactions in a commodity market on their own account, the clearing margins deposited by the member, etc. based on the provisions of that paragraph; 二 法第百七十九条第一項第一号イに掲げる場合のうち会員等が受託した商品市場における取引を同条第二項の規定に基づき委託証拠金の預託を受けて行うときに、同条第一項の規定に基づき当該会員等から預託を受けた取引証拠金 (ii) in the cases set forth in Article 179, paragraph (1), item (i), (a) of the Act in which a member, etc. conducts transactions in a commodity market which the member, etc. has been entrusted by receiving a deposit of consignor margins based on the provisions of paragraph (2) of that Article, the clearing margins deposited by the member, etc. based on the provisions of paragraph (1) of that Article; 三 法第百七十九条第一項第一号ロ又はニに掲げる場合に、同項の規定に基づき委託者又は取次委託者から預託を受けた取引証拠金 (iii) in the cases set forth in Article 179, paragraph (1), item (i), (b) or (d) of the Act, the clearing margins deposited by a consignor or a person that entrusts brokerage based on the provisions of that paragraph; 四 法第百七十九条第一項第一号ハに掲げる場合に、同項の規定に基づき取次者から預託を受けた取引証拠金 (iv) in the cases set forth in Article 179, paragraph (1), item (i), (c) of the Act, the clearing margins deposited by a broker based on the provisions of that paragraph; 五 法第百七十九条第一項第二号イに掲げる場合のうち会員等が自己の計算において商品市場における取引を行うときに、同項の規定に基づき当該会員等から預託を受けた取引証拠金(次号の取引証拠金を除く。) (v) in the cases set forth in Article 179, paragraph (1), item (ii), (a) of the Act in which a member, etc. conducts transactions in a commodity market on their own account, the clearing margins (excluding the clearing margins referred to in the following item) deposited by the member, etc. based on the provisions of that paragraph; 六 法第百七十九条第一項第二号イに掲げる場合のうち会員等が受託した商品市場における取引を同条第二項の規定に基づき委託証拠金の預託を受けて行うときに、同条第一項の規定に基づき当該会員等から預託を受けた取引証拠金 (vi) in the cases set forth in Article 179, paragraph (1), item (ii), (a) of the Act in which a member, etc. conducts transactions in a commodity market which the member, etc. has been entrusted by receiving a deposit of consignor margins based on the provisions of paragraph (2) of that Article, the clearing margins deposited by the member, etc. based on the provisions of paragraph (1) of that Article; 七 法第百七十九条第一項第二号ロ又はニに掲げる場合に、同項の規定に基づき清算取次委託者又は清算取次者に対する委託者から預託を受けた取引証拠金 (vii) in the cases set forth in Article 179, paragraph (1), item (ii), (b) or (d) of the Act, the clearing margins deposited by a person entrusting the clearing brokerage or a consignor that makes a request to the clearing broker based on the provisions of that paragraph; 八 法第百七十九条第一項第二号ハに掲げる場合に、同項の規定に基づき清算取次者から預託を受けた取引証拠金 (viii) in the cases set forth in Article 179, paragraph (1), item (ii), (c) of the Act, the clearing margins deposited by a clearing broker based on the provisions of that paragraph. 2 商品取引清算機関は、法第百七十九条第五項において準用する法第百三条第四項の規定に基づき取引証拠金を管理するときは、次項の規定に基づき管理されるものを除き、次に掲げる方法により当該取引証拠金を管理しなければならない。 (2) When managing clearing margins based on the provisions of Article 103, paragraph (4) of the Act as applied mutatis mutandis pursuant to Article 179, paragraph (5) of the Act, a commodity clearing organization must manage the clearing margins by the following methods, excluding those managed based on the provisions of the following paragraph: 一 銀行への預金(取引証拠金であることがその名義により明らかなものに限る。) (i) by depositing the margins in a bank account (limited to deposit accounts that are clearly identifiable as clearing margins by the account name); 二 信託業務を営む金融機関への金銭信託(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より元本の補てんの契約をしたものであって、取引証拠金であることがその名義により明らかなものに限る。) (ii) by creating a money trust with financial institutions engaging in trust business (limited to one with a contractual agreement for compensation of the principal pursuant to the provisions of Article 6 of the Act on Engagement in Trust Business by Financial Institutions and that is clearly identifiable as clearing margin by the account name); and 三 国債、地方債又は政府保証債の保有 (iii) by holding Japanese government bonds, local government bonds, or government guaranteed bonds. 3 商品取引清算機関は、法第百七十九条第五項において準用する法第百三条第四項の規定に基づき充用有価証券等(法第百七十九条第六項において準用する法第百三条第五項の規定により取引証拠金に充てられる有価証券及び倉荷証券(以下この条において「有価証券等」という。)をいう。以下この条において同じ。)を管理するときは、次の各号に掲げる有価証券等の区分に応じ、当該各号に定める方法により当該充用有価証券等を管理しなければならない。 (3) When managing securities, etc. for allocation (meaning the securities and warehouse receipts (hereinafter referred to as the "securities, etc." in this Article) which are allocated to clearing margins pursuant to the provisions of Article 103, paragraph (5) of the Act as applied mutatis mutandis pursuant to Article 179, paragraph (6); hereinafter the same applies in this Article) based on the provisions of Article 103, paragraph (4) of the Act as applied mutatis mutandis pursuant to Article 179, paragraph (5) of the Act, a commodity clearing organization must manage the securities, etc. for allocation by the methods specified in the following items in accordance with the category of securities, etc. set forth in each of those items: 一 商品取引清算機関が保管することにより管理する有価証券等(混合して保管される有価証券等を除く。次号において同じ。) 充用有価証券等の保管場所については自己の固有財産である有価証券等その他の充用有価証券等以外の有価証券等(以下この条において「清算機関固有有価証券等」という。)の保管場所と明確に区分し、かつ、当該充用有価証券等についてどの会員等から又はどの会員等を通じ預託を受けた有価証券等であるかが直ちに判別できる状態で保管することにより管理する方法 (i) securities, etc. managed by a commodity clearing organization by retaining them (excluding securities which are commingled and retained; the same applies in the following item): a management method by which the location for the retention of securities, etc. for allocation is clearly separate from that for the securities of a person's own property and other securities, etc. than that for the securities, etc. for allocation (hereinafter referred to as the "securities, etc. of a clearing organization's own property" in this Article), and the securities, etc. for allocation are retained in a condition that is immediately distinguishable as to which member, etc. deposited the securities, etc. or through which member, etc. the securities, etc. have been deposited; 二 商品取引清算機関が第三者をして保管させることにより管理する有価証券等 当該第三者をして、充用有価証券等の保管場所については清算機関固有有価証券等の保管場所と明確に区分させ、かつ、当該充用有価証券等についてどの会員等から又はどの会員等を通じ預託を受けた有価証券等であるかが直ちに判別できる状態で保管させることにより管理する方法 (ii) securities, etc. managed by a commodity clearing organization by having a third party retain them: a management method by which the commodity clearing organization has a third party to have the location for the retention of securities, etc. for allocation clearly separate from that for securities, etc. of a clearing organization's own property, and to retain the securities, etc. for allocation in a condition that is immediately distinguishable as to which member, etc. deposited the securities, etc. or through which customer the securities, etc. have been deposited; 三 商品取引清算機関が保管することにより管理する有価証券等(混合して保管される有価証券等に限る。次号において同じ。) 充用有価証券等の保管場所については清算機関固有有価証券等の保管場所と明確に区分し、かつ、各会員等から又は各会員等を通じ預託を受けた充用有価証券等に係る持分が自己の帳簿により直ちに判別できる状態で保管することにより管理する方法 (iii) securities, etc. managed by a commodity clearing organization by retaining them (limited to the securities, etc. which are commingled and retained; the same applies in the following item): a management method by which the location for the retention of securities, etc. for allocation is clearly separate from that for the securities, etc. of a clearing organization's own property, and the equity interests related to securities, etc. for allocation deposited by each member, etc. or through each member, etc. are retained in a condition that is easily distinguishable by their own books; 四 商品取引清算機関が第三者をして保管させることにより管理する有価証券等 当該第三者をして、充用有価証券等を預託する者のための口座については商品取引清算機関の自己の口座と区分する等の方法により、充用有価証券等に係る持分が直ちに判別でき、かつ、各会員等から又は各会員等を通じ預託を受けた充用有価証券等に係る持分が自己の帳簿により直ちに判別できる状態で保管させることにより管理する方法 (iv) securities, etc. managed by a commodity clearing organization by having a third party retain them: a management method by which the commodity clearing organization has a third party retain the account for a person who deposits the securities, etc. for allocation separate from the commodity clearing organization's own account, in which the equity interests related to securities, etc. for allocation are immediately distinguishable, and the equity interests related to securities, etc. for allocation deposited by each member, etc. or through each member, etc. are immediately distinguishable by their own books. (定款又は業務方法書の変更認可申請) (Application for Authorization for a Change to Articles of Incorporation or the Statement of Operational Methods) 第七十五条 商品取引清算機関は、法第百八十二条の規定により認可を受けようとするときは、次に掲げる事項を記載した認可申請書を主務大臣に提出しなければならない。 Article 75 (1) When seeking to obtain authorization pursuant to the provisions of Article 182 of the Act, a commodity clearing organization must submit a written application for authorization stating the following information to the competent minister: 一 変更の内容 (i) the content of the change; and 二 変更予定年月日 (ii) the scheduled date of the change. 2 前項の認可申請書には、次に掲げる書類を添付しなければならない。 (2) The written application for authorization referred to in the preceding paragraph must have the following documents attached: 一 変更の理由を記載した書面 (i) a document stating the reasons for the change; 二 新旧条文の対照表 (ii) a comparative table of the prior and amended provisions; 三 定款の変更認可申請書にあっては、株主総会(法第百七十三条第一項の規定に基づく承認を受けた会員商品取引所にあっては、会員総会)の議事録その他必要な手続があったことを証する書面 (iii) in cases of a written application for authorization of a change to the articles of incorporation, the minutes of a shareholders meeting (in cases of a member commodity exchange which has been approved based on the provisions of Article 173, paragraph (1) of the Act, a general meeting of members) and other documents proving that necessary procedures have been taken; 四 業務方法書の変更認可申請書にあっては、定款その他の規則で定める変更の手続を完了したことを証する書面 (iv) in cases of a written application for approval of a change to the statement of operational methods, a document proving that the procedures for changes specified by the articles of incorporation and other rules have been completed. (定款又は業務方法書の変更認可基準) (Standard for Authorizing a Change to Articles of Incorporation or the Statement of Operational Methods) 第七十六条 主務大臣は、法第百八十二条の規定に基づく認可申請があったときは、その申請が法令に適合し、かつ、業務を適正かつ確実に運営するために十分かどうかを審査しなければならない。 Article 76 When an application for authorization based on the provisions of Article 182 of the Act has been filed, the competent minister must examine whether the application conforms to laws and regulations, and is sufficient for operating the business appropriately and reliably. (商品取引債務引受業の廃止又は解散の決議に係る認可申請) (Application for Approval Related to a Resolution of Discontinuation or Dissolution of the Business of Assuming Commodity Transaction Debts) 第七十七条 商品取引清算機関は、法第百八十三条の規定による商品取引債務引受業の廃止又は解散の決議の認可を受けようとするときは、認可申請書に次に掲げる書類を添付して主務大臣に提出するものとする。 Article 77 When seeking to obtain authorization for a resolution of the discontinuation or dissolution of the business of assuming commodity transaction debts pursuant to the provisions of Article 183 of the Act, a commodity clearing organization is to attach the following documents to the written application for authorization and submit them to the competent minister: 一 廃止又は解散の理由を記載した書面 (i) a document stating the reasons for the discontinuation or dissolution; 二 株主総会(法第百七十三条第一項の規定に基づく承認を受けた会員商品取引所にあっては、会員総会)の議事録その他必要な手続があったことを証する書面 (ii) the minutes of a shareholders meeting (in cases of a member commodity exchange which has been approved based on the provisions of Article 173, paragraph (1) of the Act, a general meeting of members) and other documents proving that necessary procedures have been taken; 三 直前事業年度の計算書類等及びその附属明細書 (iii) the financial statements, etc. for the immediately preceding business year and their annexed detailed statements; 四 商品取引債務引受業の結了の方法を記載した書面 (iv) a document stating the method of completing the business of assuming commodity transaction debts. 第七十八条 削除 Article 78 Deleted (商品先物取引業者の許可申請書の記載事項) (Information to be Entered in a Written Application for a License of a Commodity Derivatives Business Operator) 第七十九条 法第百九十二条第一項第六号の主務省令で定める事項は、次に掲げるものとする。 Article 79 The information specified by order of the competent ministry as referred to in Article 192, paragraph (1), item (vi) of the Act is the following information: 一 資本金の額、出資の総額又は基金の総額 (i) the amount of the stated capital, the total amount of investment, or the total amount of funds; 二 商品市場における取引等(商品清算取引を除く。)又は外国商品市場取引等(外国商品市場取引のうち商品清算取引に類似する取引を除く。)の受託を行う場合には、当該受託に係る商品市場又は外国商品市場(当該商品市場を開設する商品取引所又は当該外国商品市場を開設する外国商品市場開設者の名称又は商号を含む。) (ii) in cases of becoming entrusted with transactions, etc. in commodity markets (excluding commodity clearing transactions) or transactions, etc. in foreign commodity markets (among foreign commodity market transactions, excluding those similar to commodity clearing transactions), the commodity market or foreign commodity market related to the entrustment (including the name or trade name of the commodity exchange establishing the commodity market or the foreign commodity market establisher establishing the foreign commodity market); 三 国内の営業所又は事務所において法第二条第二十二項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、加入する委託者保護基金の名称 (iii) in cases where the acts set forth in Article 2, paragraph (22), item (i) or (ii) are performed in the course of trade at a business office or office in Japan, the name of the consignor protection fund to be joined; and 四 加入する商品先物取引協会(法第二百四十一条第一項に規定する商品先物取引協会をいう。以下「協会」という。)の名称 (iv) the name of a commodity futures association (meaning a commodity futures association prescribed in Article 241, paragraph (1) of the Act; hereinafter referred to as an "association") to be joined. (商品先物取引業の許可申請書の添付書類) (Documents Attached to a Written Application for a License of a Commodity Derivatives Business) 第八十条 法第百九十二条第二項の主務省令で定める書類は、次項に規定する場合を除き、次に掲げるもの(官公署が証明する書類の場合には、許可の申請の日前三月以内に作成されたものに限る。)とする。 Article 80 (1) The documents specified by order of the competent ministry as referred to in Article 192, paragraph (2) of the Act are the following documents (in cases of documents certified by a public agency, limited to those prepared within three months prior to the date of filing the application for a license) excluding the cases specified in the following paragraph: 一 定款(外国法人である場合には、定款に準ずる書面) (i) the articles of incorporation (in cases of a foreign corporation, a document equivalent to articles of incorporation); 二 登記事項証明書(外国法人である場合には、登記事項証明書に準ずる書面及び国内における主たる営業所又は事務所の登記事項証明書) (ii) a certificate of the registered information (in cases of a foreign corporation, a document equivalent to a certificate of the registered information and a certificate of the registered information for the principal business office or office in Japan); 三 直前事業年度の計算書類等及びその附属明細書(これらの書類を作成していない場合には、これらに準ずる書類) (iii) the financial statements, etc. for the immediately preceding business year and their annexed detailed statements (in cases where these documents have not been prepared, documents equivalent to them); 四 法第十五条第二項第一号ハからホまで又はリのいずれにも該当しないことを誓約する書面 (iv) a document pledging that the person does not fall under any of the provisions of Article 15, paragraph (2), item (i), sub-items (c) through (e), or sub-item (i) of the Act; 五 次に掲げる場合に応じ、それぞれ次に定める書面 (v) a document specified as follows in accordance with the cases set forth in each sub-item: イ 役員が外国人である場合 当該役員の住民票の写し等、履歴書及びその者が法第十五条第二項第一号イからルまでのいずれにも該当しないことを誓約する書面 (a) in cases where an officer is a foreign national: a copy of the residence certificate, etc., and a curriculum vitae of the officer, and a document pledging that the person does not fall under any of the provisions of Article 15, paragraph (2), item (i), sub-items (a) through (k) of the Act; ロ 役員が法人である場合 当該役員の登記事項証明書(外国法人である場合には、登記事項証明書に準ずる書面)、沿革を記載した書面及び法第十五条第二項第一号ヲに該当しないことを誓約する書面 (b) in cases where an officer is a corporation: a certificate of the registered information of the officer (in cases of a foreign corporation, a document equivalent to the certificate of the registered information), a document stating the history of the corporation, and a document pledging that the officer does not fall under the provisions of Article 15, paragraph (2), item (i), (l) of the Act; ハ 役員が外国人又は法人でない場合 当該役員の住民票の写し等、履歴書、その者が法第十五条第二項第一号ロに該当しない旨の官公署の証明書並びにその者が同号イ及びハからルまでのいずれにも該当しないことを誓約する書面 (c) in cases where an officer is neither a foreign national nor a corporation: a copy of the residence certificate, etc. and a curriculum vitae of the officer, a certification issued by a public agency proving that the person does not fall under the provisions of Article 15, paragraph (2), item (i), (b) of the Act, and a document pledging that the person does not fall under any of the provisions of sub-item (a) and sub-items (c) through (k) of that item; 六 商品先物取引業を遂行するための方法を記載した書面 (vi) a document stating the method for executing the commodity derivatives business; 七 商品先物取引業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 (vii) a document stating the personnel structure and the system for conducting business of the organization, etc. concerning the commodity derivatives business; 八 取引の種類及び取引の対象とする商品又は商品指数を記載した書面 (viii) a document stating the type of transactions and the commodities and commodity indexes underlying the transactions; 九 様式第一号により作成したその者の純資産額に関する調書 (ix) a record concerning the amount of net assets of that entity, prepared according to Form No. 1; 十 様式第三号により作成した内部管理に関する業務を行う組織の概要並びに顧客からの苦情及び相談に対する対応方法等を記載した書面 (x) a document stating the outline of the organization that performs the operations involving internal control and the method for addressing complaints and inquiries from customers, prepared according to Form No. 3; 十一 商品先物取引業において電子情報処理組織を使用する場合には、当該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を記載した書類 (xi) in cases where an electronic data processing system is used for commodity derivatives business, documents stating the outline, installation location, capacity, and maintenance method of the electronic data processing system, and the method of handling in the case of malfunction of the electronic data processing system; 十二 過去五年以内に、商品先物取引業に関して禁錮以上の刑(外国において商品先物取引業に相当する業務に関してこれに相当する外国の法令による刑を含む。)若しくは法若しくはこれに相当する外国の法令の規定により罰金の刑(これに相当する外国の法令による刑を含む。)に処せられ、又は法の規定に基づく処分を受けたことのある職員の数、当該職員の氏名、生年月日、住所、所属する営業所又は事務所の名称、所属する部署、職名及び外務員登録の有無並びに当該禁錮以上の刑若しくは当該罰金の刑に処せられ、又は当該処分を受けた年月日、理由及びその内容を記載した書面 (xii) a document stating the number of employees who have been sentenced to imprisonment or severer punishment (including an equivalent punishment under the laws and regulations of a foreign country for a business equivalent to a commodity derivatives business in the foreign country) or to a fine pursuant to this Act or equivalent laws and regulations of a foreign country (including an equivalent punishment under the laws and regulations of a foreign country), or who have been rendered a disposition based on the provisions of the Act with regard to commodity derivatives business within the last five years, and the name, date of birth, and address of those employees, the name of the business office or department to which the employees are assigned, their official title, whether or not the employees have been registered as a sales representative, the date when and the reasons that the employees were punished by the punishment or fine, or rendered the disposition, and the content of the punishment, fine, or disposition; 十三 商品先物取引業の開始を予定する日の属する事業年度及び当該事業年度の翌事業年度から起算して二事業年度における商品先物取引業の収支の見込みを記載した書面、商品先物取引業の計画書並びにこれらの根拠を記載した書面 (xiii) a document stating the estimated income and expenditures of a commodity derivatives business for the business year that includes the day on which commodity derivatives business is scheduled to commence and the two business years following the business year after that business year, the commodity derivatives business plan, and a document stating the basis for the estimation and the plan; 十四 商品先物取引業の開始を予定する日の属する事業年度及び当該事業年度の翌事業年度から起算して二事業年度における純資産額及び純資産額規制比率(申請者が令第二十八条各号に掲げる者である場合には、純資産額)の見込みを記載した書面並びにこれらの根拠を記載した書面 (xiv) a document stating the estimated amount of the net assets and the net assets regulation ratio (or the amount of net assets, in cases where the applicant is a person set forth in the items of Article 28 of the Order) for the business year that includes the day on which commodity derivatives business is scheduled to commence and the two business years following the business year after that business year, and a document stating the basis for the estimation; 十五 保有する議決権(総株主、総社員、総会員又は総組合員の議決権をいう。以下この号及び第八十二条において同じ。)の数の上位十名までの株主又は社員その他の出資者(以下この号において「株主等」という。)の氏名又は商号若しくは名称、住所又は所在地、その保有する議決権の議決権の総数に対する割合及び申請者との関係(当該株主等が申請者の役職員又は親会社、子会社若しくは関連会社若しくはその役職員である場合に限る。)を記載した書面 (xv) a document stating the names or trade names and addresses or locations of the top 10 shareholders or members, or other investors (hereinafter referred to as "shareholders, etc." in this item) in number of voting rights held (meaning voting rights of all shareholders, all company members, and all members, or all association members; hereinafter the same applies in this item and Article 82), the proportion of voting rights held to the total number of voting rights, and the relationships with the applicant (limited to cases in which the shareholders, etc. are officers or employees of the applicant, or the parent company, a subsidiary company, or an affiliated company, or their officers or employees); 十六 様式第四号により作成した法第百九十六条第一項に規定する兼業業務の概要に関する調書 (xvi) a record concerning an outline of the subsidiary business prescribed in Article 196, paragraph (1) of the Act, prepared according to Form No. 4; 十七 様式第五号により作成した法第百九十六条第二項に規定する他の法人に対する支配関係の概要に関する調書 (xvii) a record concerning an outline of the controlling relationships with other corporations prescribed in Article 196, paragraph (2) of the Act, prepared according to Form No. 5; 十八 法第二条第二十二項第五号に掲げる行為を業として行う場合には、次に掲げる書類 (xviii) the following documents, in cases where the acts set forth in Article 2, paragraph (22), item (v) of the Act are to be performed in the course of trade: イ 当該業務を管理する責任者の履歴書 (a) a curriculum vitae of the person responsible for the management of the business; ロ 当該業務に関する社内規則 (b) internal rules concerning the business; ハ 当該業務を行う部署の名称及び組織の体制を記載した書面 (c) a document stating the name of the department and the structure of the organization performing the business; ニ 当該業務に係る顧客との取引開始基準を記載した書面 (d) a document stating the standard for initiation of a transaction with a customer related to the business; ホ 当該業務に関し顧客と取引を行う際に使用する契約書 (e) the written contract to be used when conducting transactions with a customer related to the business. 2 法第百九十条第二項の許可の更新を受けようとする場合における法第百九十二条第二項の主務省令で定める書類は、前項に掲げるもののほか、次に掲げるものとする。 (2) In seeking to obtain a renewal of the license under Article 190, paragraph (2) of the Act, in addition to the documents set forth in the preceding paragraph, the documents specified by order of the competent ministry as referred to in Article 190, paragraph (2) are as follows: 一 様式第六号により作成した訴訟又は調停の発生状況及びその処理状況を記載した書面 (i) a document prepared according to Form No. 6 stating the causes and status of a litigation or mediation. 二 商品先物取引業の収支の実績を記載した書類 (ii) a document stating the results of income and expenditures of the commodity derivatives business; 三 協会、委託者保護基金、商品取引所又は商品取引清算機関の監査に基づき処分を受けた場合にあっては、監査を行った機関名、監査の時期、処分年月日及び処分の内容並びに改善措置の内容を記載した書類 (iii) in cases where the entity has been rendered a disposition based on an audit by an association, consignor protection fund, commodity exchange, or commodity clearing organization, a document stating the name of the organization that conducted the audit, the time of the audit, the date of the disposition, and the content of the disposition as well as the content of the improvement measures. (医師の診断書の提出) (Submission of a Doctor's Medical Certificate) 第八十条の二 主務大臣は、法第百九十条第一項の許可の申請があった場合において、許可申請者が法第十五条第二項第一号ヲ(イ及びルに係る部分に限る。)に該当するかどうかを審査するために必要があると認めるときは、許可申請者に対し、当該審査の対象となる者の病名、精神の機能の障害の有無及び程度、病因、病後の経過、治癒の見込みその他参考となる所見を記載した医師の診断書の提出を求めることができる。 Article 80-2 In cases where an application for the license under Article 190, paragraph (1) of the Act has been filed, and the competent minister finds it necessary for examining whether the license applicant falls under Article 15, paragraph (2), item (i), (l) of the Act (limited to the part related to sub-items (a) and (k)), the minister may request the applicant to submit a doctor's medical certificate stating the name of the illness of the person subject to the examination, whether the person has any mental impairment and the level of mental impairment, causes of the illness, catamnestic observation, prospects of recovery, and other remarks for reference. (純資産額の基準額) (Base Amount of the Net Assets Amount) 第八十一条 法第百九十三条第二項の主務省令で定める額は、一億円とする。 Article 81 The amount specified by order of the competent ministry as referred to in Article 193, paragraph (2) of the Act is 100 million yen. 第八十二条 法第百九十五条第一項第五号の主務省令で定める場合は、次に掲げる場合とする。 Article 82 (1) The cases specified by order of the competent ministry as referred to in Article 195, paragraph (1), item (v) of the Act are the following cases: 一 破産手続開始、再生手続開始又は更生手続開始の申立てが行われた事実を知った場合 (i) when a commodity derivatives business operator has come to know that a petition has been filed for the commencement of bankruptcy proceedings, rehabilitation proceedings, or reorganization proceedings; 二 定款(外国法人である場合には、定款に準ずる書面)を変更した場合 (ii) when the articles of incorporation have been changed (in cases of a foreign corporation, a document equivalent to articles of incorporation); 三 商品先物取引業者の総株主等(総株主、総社員、総会員又は総組合員をいう。次項第十三号ロにおいて同じ。)の議決権の過半数が他の一の法人その他の団体によって保有されることとなった場合 (iii) when the majority of the voting rights of the all shareholders, etc. (meaning all shareholders, all company, all members, or all association members; the same applies in item (xiii), (b) of the following paragraph) of a commodity derivatives business operator has come to be held by another corporation or other organizations; 四 商品先物取引業を遂行するための方法を変更した場合 (iv) when the method for executing the commodity derivatives business has been changed; 五 取引の種類又は取引の対象とする商品若しくは商品指数を変更した場合 (v) when the type of transaction or the commodities or commodity indices underlying the transaction have been changed; 六 第八十条第一項第十六号に掲げる調書の兼業業務を廃止した場合 (vi) when a subsidiary business stated in the record set forth in Article 80, paragraph (1), item (xvi) has been discontinued; 七 第八十条第一項第十七号に掲げる調書の内容に変更を生じた場合又は支配関係が消滅した場合 (vii) when the content of the record set forth in Article 80, paragraph (1), item (xvii) has changed, or when a controlling relationship has extinguished; and 八 商品先物取引仲介業者に法第二条第二十二項各号に規定する媒介に係る業務の委託を行った場合又は当該委託を行わなくなった場合 (viii) when business related to intermediation prescribed in the items of Article 2, paragraph (22) has been entrusted to a commodity derivatives intermediary service provider, or when a commodity derivatives business operator has ceased to entrust the business; and 九 商品先物取引業者の純資産額が資本金の額を下回った場合 (ix) when the amount of the net assets of a commodity derivatives business operator has become lower than the amount of stated capital. 2 法第百九十五条第二項の主務省令で定める書類は、次の各号に掲げる場合の区分に応じ、当該各号に定めるもの(官公署が証明する書類の場合には、届出日前三月以内に作成されたものに限る。)とする。 (2) The documents specified by order of the competent ministry as referred to in Article 195, paragraph (2) of the Act are those specified in the following items in accordance with the category of cases set forth in each of those items (in cases of documents certified by a public agency, limited to those prepared within three months prior to the notification): 一 法第百九十二条第一項第一号に掲げる事項を変更した場合 登記事項証明書(外国法人である場合には、登記事項証明書に準ずる書面。以下この項において同じ。) (i) when the information set forth in Article 192, paragraph (1), item (i) of the Act is changed: a certificate of registered information (in cases of a foreign corporation, a document equivalent to a certificate of registered information; hereinafter the same applies in this paragraph); 二 法第百九十二条第一項第三号に掲げる事項を変更した場合 登記事項証明書 (ii) when the information set forth in Article 192, paragraph (1), item (iii) of the Act is changed: a certificate of registered information; 三 法第百九十二条第一項第四号に掲げる事項(役員の住所を除く。)を変更した場合 次に掲げる書類 (iii) when the information set forth in Article 192, paragraph (1), item (iv) of the Act (excluding the address of an officer) is changed: the following documents: イ 登記事項証明書 (a) a certificate of registered information; ロ 次に掲げる場合に応じ、それぞれ次に定める書面 (b) a document specified as follows in accordance with the cases set forth in each sub-item: (1) 新たに就任した役員が外国人である場合 当該役員の住民票の写し等、履歴書及びその者が法第十五条第二項第一号イからルまでのいずれにも該当しないことを誓約する書面 1. when a newly appointed officer is a foreign national: a copy of the residence certificate, etc. and a curriculum vitae of the officer, and a document pledging that the person does not fall under any of the provisions of Article 15, paragraph (2), item (i), sub-items (a) through (k) of the Act; (2) 新たに就任した役員が法人である場合 当該役員の登記事項証明書、沿革を記載した書面及び法第十五条第二項第一号ヲに該当しないことを誓約する書面 2. when a newly appointed officer is a corporation: a certificate of the registered information of the officer, a document stating the history of the corporation, and a document pledging that the officer does not fall under the provisions of Article 15, paragraph (2), item (i), (l) of the Act; (3) 新たに就任した役員が外国人又は法人でない場合 当該役員の住民票の写し等、履歴書、その者が法第十五条第二項第一号ロに該当しない旨の官公署の証明書並びにその者が同号イ及びハからルまでのいずれにも該当しないことを誓約する書面 3. when a newly appointed officer is neither a foreign national nor a corporation: a copy of the residence certificate, etc. and a curriculum vitae of the officer, a certification issued by a public agency proving that the person does not fall under the provisions of Article 15, paragraph (2), item (i), (b) of the Act, and a document pledging that the person does not fall under any of the provisions of sub-item (a) and sub-items (c) through (k) of that item; ハ 商品先物取引業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 (c) a document stating the personnel structure and the system for conducting business of the organization, etc. concerning the commodity derivatives business. 四 法第百九十二条第一項第五号に掲げる事項を変更した場合 次に掲げる書類 (iv) in cases where the information set forth in Article 192, paragraph (1), item (v) of the Act have been changed: the following documents: イ 変更の内容、変更年月日及び変更の理由を記載した書面 (a) a document stating the content of the change, the date of the change, and the reason for the change; ロ 商品先物取引業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 (b) a document stating the personnel structure and the system for conducting business of the organization, etc. concerning the commodity derivatives business; ハ 新たに法第二条第二十二項第五号に掲げる行為を業として行う場合には、次に掲げる書類 (c) when the acts set forth in Article 2, paragraph (22), item (v) of the Act are to be newly performed in the course of trade: the following documents: (1) 当該業務を管理する責任者の履歴書 1. a curriculum vitae of the person responsible for the management of the business; (2) 当該業務に関する社内規則 2. internal rules concerning the business; (3) 当該業務を行う部署の名称及び組織の体制を記載した書面 3. a document stating the name of the department and the structure of the organization performing the business; (4) 当該業務に係る顧客との取引開始基準を記載した書面 4. a document stating the standard for initiation of a transaction with a customer related to the business; (5) 当該業務に関し顧客と取引を行う際に使用する契約書 5. the written contract to be used when conducting transactions with a customer related to the business. 五 資本金の額、出資の総額又は基金の総額を変更した場合 次に掲げる書類 (v) when the total amount of stated capital, the total amount of investment, or the total amount of funds has been changed: the following documents: イ 変更前及び変更後の資本金の額、出資の総額又は基金の総額、変更の方法並びに変更の理由を記載した書面 (a) a document stating the total amount of stated capital, the total amount of investment, and the total amount of funds before the change and after the change, the method for the change, and the reason for the change; ロ 登記事項証明書 (b) a certificate of registered information. 六 商品市場における取引等(商品清算取引を除く。イにおいて同じ。)又は外国商品市場取引等(外国商品市場取引のうち商品清算取引に類似する取引を除く。イにおいて同じ。)の受託に係る商品市場又は外国商品市場(当該商品市場を開設する商品取引所又は当該外国商品市場を開設する外国商品市場開設者の名称又は商号を含む。)を変更した場合 次に掲げる書類 (vi) when change is made in the commodity market or foreign commodity market (including the name or trade name of the commodity exchange establishing the commodity market or the foreign commodity market establisher establishing the foreign commodity market) related to the entrustment of transactions, etc. in a commodity market (excluding commodity clearing transactions; the same applies in (a)) or transactions, etc. in a foreign commodity market (excluding transactions similar to commodity clearing transactions among foreign commodity market transactions): the following documents: イ 変更した商品市場における取引等又は外国商品市場取引等の受託に係る商品市場の名称(当該商品市場を開設する商品取引所又は当該外国商品市場を開設する外国商品市場開設者の名称又は商号を含む。)及び変更年月日を記載した書面 (a) a document stating the changed name of the commodity market related to the entrustment of transactions, etc. in a commodity market or transactions, etc. in a foreign commodity market (including the name or trade name of the commodity exchange establishing the commodity market or the foreign commodity market establisher establishing the foreign commodity market) and the date of the change; ロ 取締役会(これに準ずる機関を含む。)の議事録その他の必要な手続があったことを証する書面 (b) minutes of the board of directors (including equivalent organs) and other documents proving that necessary procedures have been taken. 七 委託者保護基金に加入し、又は脱退した場合 次に掲げる書類 (vii) in a case of joining or withdrawing from a consignor protection fund: the following documents: イ 加入し、又は脱退した委託者保護基金の名称及び加入し、又は脱退した年月日を記載した書面 (a) a document stating the name of the consignor protection fund joined or withdrawn from and the date of joining or withdrawing from the fund; ロ 取締役会(これに準ずる機関を含む。)の議事録その他必要な手続があったことを証する書面 (b) minutes of the board of directors (including equivalent organs) and other documents proving that necessary procedures have been taken; 八 協会に加入し、又は脱退した場合 次に掲げる書類 (viii) in a case of joining or withdrawing from an association: the following documents: イ 加入し、又は脱退した協会の名称及び加入し、又は脱退した年月日を記載した書面 (a) a document stating the name of the association joined or withdrawn from and the date of joining or withdrawing from the association; ロ 取締役会(これに準ずる機関を含む。)の議事録その他必要な手続があったことを証する書面 (b) minutes of the board of directors (including equivalent organs) and other documents proving that necessary procedures have been taken. 九 商品先物取引業を開始し、休止し、又は再開した場合 次に掲げる書類 (ix) in a case where the commodity derivatives business is commenced, suspended, or resumed: the following documents: イ 商品先物取引業を開始し、休止し、又は再開した旨、休止の期間又は開始若しくは再開の年月日及び休止し、又は再開した理由を記載した書面 (a) a document stating the fact that the commodity derivatives business has been commenced, suspended, or resumed, the duration of suspension or the date of commencing or resuming the business, and the reason for suspending or resuming the business; ロ 休止期間中における委託者等勘定の処理の方法を記載した書面(開始及び再開の場合を除く。) (b) a document stating the method for processing the accounts of consignors during the period of suspension (excluding cases of commencing and resuming the business). 十 破産手続開始、再生手続開始又は更生手続開始の申立てを行った場合 次に掲げる書類 (x) when a petition has been filed for the commencement of bankruptcy proceedings, rehabilitation proceedings, or reorganization proceedings: the following documents: イ 破産手続開始、再生手続開始又は更生手続開始の申立てを行った年月日及びその申立ての理由を記載した書面 (a) a document stating the date on which the petition for the commencement of bankruptcy proceedings, rehabilitation proceedings, or reorganization proceedings was filed and the reason for filing the petition; ロ 破産手続開始、再生手続開始又は更生手続開始の申立てに係る書面の写し (b) a copy of the document related to the filing of the petition for the commencement of bankruptcy proceedings, rehabilitation proceedings, or reorganization proceedings. 十一 前項第一号に掲げる場合 次に掲げる書類 (xi) in the case set forth in item (i) of the preceding paragraph: the following documents: イ 破産手続開始、再生手続開始又は更生手続開始の申立てが行われた年月日、その申立てを行った者の氏名又は商号若しくは名称及びその申立ての理由を記載した書面 (a) a document stating the date on which the petition for the commencement of bankruptcy proceedings, rehabilitation proceedings, or reorganization proceedings was filed, the name or trade name of the entity filing the petition, and the reason for filing the petition; ロ 破産手続開始、再生手続開始又は更生手続開始の申立てに係る書面の写し (b) a copy of a document related to the filing of the petition for the commencement of bankruptcy proceedings, rehabilitation proceedings, or reorganization proceedings. 十二 前項第二号に掲げる場合 次に掲げる書類 (xii) in the case set forth in item (ii) of the preceding paragraph: the following documents: イ 変更の内容、変更の年月日及び変更の理由を記載した書面 (a) a document stating the content of the change, the date of the change, and the reason for the change; ロ 新旧条文の対照表 (b) a comparison table of the prior and amended provisions; ハ 株主総会(これに準ずる機関を含む。)の議事録その他必要な手続があったことを証する書面 (c) minutes of the shareholders meeting (including equivalent organs) and other documents proving that necessary procedures have been taken. 十三 前項第三号に掲げる場合 次に掲げる書類 (xiii) in the case set forth in item (iii) of the preceding paragraph: the following documents: イ 他の一の法人その他の団体の商号又は名称及び保有されることとなった年月日を記載した書面 (a) a document stating the trade name or name of another corporation or other organizations and the date on which the voting rights came to be held; ロ 保有される議決権の数及び総株主等の議決権に占める当該議決権の数の割合を記載した書面 (b) a document stating the number of voting rights held and the proportion of the number of the voting rights out of the voting rights of all shareholders, etc.; ハ 議決権を保有する他の一の法人その他の団体の業務の概要を記載した書類 (c) a document stating an outline of the business of another corporation or other organizations holding the voting rights. 十四 前項第四号に掲げる場合 次に掲げる書類 (xiv) in the case set forth in item (iv) of the preceding paragraph: the following documents: イ 変更の内容、変更年月日及び変更の理由を記載した書面 (a) a document stating the content of the change, the date of the change, and the reason for the change; ロ 変更後の商品先物取引業を遂行するための方法を記載した書面 (b) a document stating the method for executing the commodity derivatives business after the change. 十五 前項第五号に掲げる場合 次に掲げる書類 (xv) in the case set forth in item (v) of the preceding paragraph: the following documents: イ 変更の内容、変更年月日及び変更の理由を記載した書面 (a) a document stating the content of the change, the date of the change, and the reason for the change; ロ 変更後の取引の種類又は取引の対象とする商品若しくは商品指数を記載した書面 (b) a document stating the type of transaction or the commodities and commodity indices underlying the transactions after the change. 十六 前項第六号に掲げる場合 商品先物取引業者の商号又は名称及び廃止の日を記載した書類 (xvi) in the case set forth in item (vi) of the preceding paragraph: a document stating the trade name or name of the commodity derivatives business operator and the date of discontinuation; 十七 前項第七号に掲げる場合 商品先物取引業者の商号又は名称、変更又は消滅の内容及び変更又は消滅の日を記載した書類 (xvii) in the case set forth in item (vii) of the preceding paragraph: a document stating the trade name or name of the commodity derivatives business operator, the content changed or extinguished, and the date of change or extinguishment; 十八 前項第八号に掲げる場合のうち商品先物取引仲介業者に業務の委託を行った場合 次に掲げる書類 (xviii) in the cases set forth in item (viii) of the preceding paragraph the case in which business has been entrusted to a commodity derivatives intermediary service provider: the following documents: イ 当該商品先物取引仲介業者の氏名又は商号若しくは名称を記載した書面 (a) a document stating the name or trade name of the commodity derivatives intermediary service provider; ロ 当該商品先物取引仲介業者の本店等(令第三十二条第二項に規定する本店等をいう。以下同じ。)の所在地を記載した書面 (b) a document stating the location of the head office, etc. (meaning the head office, etc. prescribed in Article 32, paragraph (2) of the Order; the same applies hereinafter) of the commodity derivatives intermediary service provider; ハ 業務委託に係る契約書の写し (c) a copy of the written contract concerning consignment of business; 十九 前項第八号に掲げる場合のうち商品先物取引仲介業者に業務の委託を行わなくなった場合 次に掲げる書類 (xix) in the cases set forth in item (viii) of the preceding paragraph the case in which consignment of business to a commodity derivatives intermediary service provider has been terminated: the following documents: イ 当該商品先物取引仲介業者の氏名又は商号若しくは名称を記載した書面 (a) a document stating the name or trade name of the commodity derivatives intermediary service provider; ロ 業務の委託を行わなくなった年月日及び理由を記載した書面 (b) a document stating the date on which consignment of business has been terminated and the reason for the termination. 3 第三十八条の規定は、第一項第九号の純資産額について準用する。 (3) The provisions of Article 38 apply mutatis mutandis to the amount of net assets referred to in paragraph (1), item (ix). (兼業業務の届出) (Notification of Subsidiary Business) 第八十三条 商品先物取引業者は、法第百九十六条第一項の規定により兼業業務を行おうとする旨の届出をするときは、様式第七号により作成した当該兼業業務に関する届出書を提出しなければならない。その届け出た事項を変更しようとするとき、又はその兼業業務を廃止したときも、同様とする。 Article 83 (1) When submitting a notification of the intent to conduct a subsidiary business pursuant to the provisions of Article 196, paragraph (1) of the Act, a commodity derivatives business operator must submit a written notification prepared according to Form No. 7 concerning the subsidiary business. The same applies when seeking to change the matters notified or when the subsidiary business has been discontinued. 2 商品先物取引業者は、法第百九十六条第一項の規定により届出をする場合にあっては、兼業業務を行おうとする旨の届出をするとき及びその届け出た事項を変更しようとするときはあらかじめ、その兼業業務を廃止したときは廃止後遅滞なく、前項の届出書を提出しなければならない。 (2) When a commodity derivatives business operator submits a notification pursuant to the provisions of Article 196, paragraph (1) of the Act, when submitting a notification of the intent to conduct a subsidiary business and the intent to change the matters notified, the business operator must submit a notification in advance, and when the subsidiary business has been discontinued, they must file the notification referred to in the preceding paragraph without delay after discontinuing the subsidiary business. (実質的支配が可能な関係) (Relationships that Enable Substantial Control) 第八十四条 法第百九十六条第二項の主務省令で定める関係は、次に掲げる関係とする。 Article 84 The relationships specified by order of the competent ministry as referred to in Article 196, paragraph (2) of the Act are the following relationships: 一 子会社に対する関係 (i) a relationship with a subsidiary company; and 二 関連会社に対する関係 (ii) a relationship with an affiliated company; (支配関係の届出) (Notification of Controlling Relationship) 第八十五条 商品先物取引業者は、法第百九十六条第二項の規定により他の法人に対する支配関係を持つに至った旨の届出をするときは、様式第八号により作成した法第百九十六条第二項に規定する支配関係を持つに至った他の法人の概要に関する届出書を提出しなければならない。その届け出た事項に変更を生じたとき、又はその支配関係がなくなったときも、同様とする。 Article 85 (1) When a commodity derivatives business operator provides notification of having acquired a controlling interest over another corporation pursuant to the provisions of Article 196, paragraph (2) of the Act, a written notification prepared according to Form No. 8 related to an outline of the other corporation over which a controlling interest has been acquired, pursuant to the provisions of Article 196, paragraph (2) of the Act. The same applies when a change occurs in the notified matters, or when the controlling interest ceases to exist. 第八十六条 削除 Article 86 Deleted 第八十七条 削除 Article 87 Deleted 第八十八条 削除 Article 88 Deleted (廃業等の届出) (Notification of Discontinuation of Business) 第八十九条 法第百九十七条第一項の規定により届出を行う者は、次の表の上欄に掲げる区分により、同表中欄に定める事項を記載した届出書及び同表下欄に定める添付書類を主務大臣に提出しなければならない。 Article 89 A person who provides a notification pursuant to the provisions of Article 197, paragraph (1) of the Act must submit a written notification stating the information specified in the center column of the following table with the documents specified in the right column of that table attached, in accordance with the category set forth in the left column of that table, to the competent minister. 第九十条 法第百九十七条第三項の規定による公告は、官報、時事に関する事項を掲載する日刊新聞紙又は電子公告により行うものとする。 Article 90 (1) A public notice pursuant to the provisions of Article 197, paragraph (3) of the Act is to be given by an Official Gazette, in a daily newspaper which publishes matters on current events, or by an electronic public notice. 2 商品先物取引業者が前項の電子公告により公告をする場合には、当該公告の開始後一月を経過する日までの間、継続して電子公告による公告をしなければならない。 (2) In cases where a commodity derivatives business operator gives a public notice by an electronic public notice referred to in the preceding paragraph, the public notice must be continuously given by the electronic public notice until the date on which one month has elapsed from commencing the public notice. 3 法第百九十七条第三項の規定による公告及び営業所又は事務所での掲示には、同条第五項に規定する委託者の計算による商品市場における取引の結了の方法並びに商品先物取引業に関し委託者から預託を受けた財産及びその計算において当該商品先物取引業者が占有する財産の返還の方法を示すものとする。 (3) A public notice pursuant to the provisions of Article 197, paragraph (3) of the Act or a notice posted at the business office or office of the commodity derivatives business operator must indicate the method of completing transactions in a commodity market on consignor's accounts as prescribed in paragraph (5) of that Article, and the method of returning the property deposited by consignors with regard to commodity derivatives business and the property which is held by the commodity derivatives business operator on consignor's accounts. 4 法第百九十七条第四項の規定により届出を行う場合は、届出書に次に掲げる事項を記載するものとする。 (4) In cases of giving a notification pursuant to the provisions of Article 197, paragraph (4) of the Act, the written notification must state the following information: 一 商品先物取引業者の商号又は名称 (i) trade name or name of the commodity derivatives business operator; 二 許可年月日 (ii) date of receiving the license; 三 該当事由 (iii) the grounds on which the public notice was filed; and 四 該当事由の発生予定年月日 (iv) the scheduled date of the occurrence of the grounds for filing the public notice. 5 前項の届出書には、第三項に規定する方法を記載した書面を添付するものとする。 (5) A written notification referred to in the preceding paragraph must be attached with a document stating the method prescribed in paragraph (3). (申出をした特定委託者に交付する書面の記載事項) (Information to be Stated in Documents to be Delivered to Eligible Consignors That Made a Request) 第九十条の二 法第百九十七条の四第三項第三号の主務省令で定める事項は、次に掲げる事項とする。 Article 90-2 The information specified by order of the competent ministry as referred to in Article 197-4, paragraph (3), item (iii) of the Act is the following information: 一 申出者(法第百九十七条の四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商品先物取引業者のみから商品取引契約に関して一般顧客(同条第一項に規定する一般顧客をいう。以下同じ。)として取り扱われることになる旨 (i) the fact that the applicant (meaning the applicant prescribed in Article 197-4, paragraph (3) of the Act; the same applies in the following item) will be treated as a general customer (meaning a general customer prescribed in paragraph (1) of that Article; the same applies hereinafter) in relation to the commodity transaction contract only by the commodity derivatives business operator that has given approval pursuant to provisions of paragraph (2) of that Article; 二 商品先物取引業者が商品取引契約に基づき申出者を代理して他の商品先物取引業者との間で承諾日(法第百九十七条の四第三項第一号に規定する承諾日をいう。)以後に締結する商品取引契約については、当該申出者は当該他の商品先物取引業者からも一般顧客として取り扱われる旨 (ii) the fact that with regard to commodity transaction contracts to be concluded on or after the approval date (meaning the approval date prescribed in Article 197-4, paragraph (3) of the Act) with other commodity derivatives business operators by the commodity derivatives business operator on behalf of the applicant based on the commodity transactions contract, the applicant will also be treated as a general customer by the other commodity derivatives business operators. (情報通信の技術を利用する方法) (Means of Using Information Communication Technology) 第九十条の三 法第百九十七条の四第四項(法第百九十七条の五第十三項(法第百九十七条の六第六項及び第百九十七条の九第二項において準用する場合を含む。)、第百九十七条の六第三項及び第百九十七条の八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。)及び第二百十七条第二項(法第二百二十条第二項及び第二百二十条の二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。)の主務省令で定める方法は、次に掲げるもの(第百九条の二において「電磁的方法」という。)とする。 Article 90-3 (1) The means prescribed by order of the competent ministry as referred to in Article 197-4, paragraph (4) (including as applied mutatis mutandis pursuant to Article 197-5, paragraph (13) (including as applied mutatis mutandis pursuant to Article 197-6, paragraph (6) and Article 197-9, paragraph (2) of the Act), Article 197-6, paragraph (3) and Article 197-8, paragraph (2) of the Act; hereinafter the same applies in this Article) and Article 217, paragraph (2) (including as applied mutatis mutandis pursuant to Article 220, paragraph (2) and Article 220-2, paragraph (2) of the Act; hereinafter the same applies in this Article) are the following means (referred to as "electronic or magnetic means" in Article 109-2): 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 following means that use an electronic data processing system: イ 商品先物取引業者等(商品先物取引業者又は商品先物取引業者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、これを法第百九十七条の四第四項又は第二百十七条第二項に規定する事項を提供し、又は通知する相手方(以下この条において「顧客」という。)又は当該商品先物取引業者の用に供する者をいう。以下この条において同じ。)の使用に係る電子計算機と顧客等(顧客又は顧客との契約により顧客ファイル(専ら当該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 (a) the means of transmitting the information to be stated in a document (hereinafter referred to as "stated information" in this Article) via a telecommunication line connecting a computer used by the commodity derivatives business operator, etc. (meaning the commodity derivatives business operator or a person that stores files on a computer managed by them pursuant to a contract with the commodity derivatives business operator, and provides the files for use by the counterparty (hereinafter referred to as "customer" in this Article) to whom the information prescribed in Article 197-4, paragraph (4) or Article 217, paragraph (2) of the Act are to be provided or notified; hereinafter the same applies in this Article) with a computer used by the customer (meaning the customer or the person who stores customer files (meaning files exclusively used by the customer; hereinafter the same applies in this Article) on a computer managed by them pursuant to a contract with the customer; hereinafter the same applies in this Article) and recording the information in a customer file stored on the computer used by the customer, etc.; ロ 商品先物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 (b) the means of providing the stated information recorded in a file stored on a computer used by the commodity derivatives business operator, etc. via a telecommunication line for inspection by the customer and recording the stated information in a customer file of the customer stored on a computer used by the customer; ハ 商品先物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) the means of providing the stated information recorded in a customer file stored on a computer used by the commodity derivatives business operator, etc. for inspection by the customer via a telecommunication line; ニ 閲覧ファイル(商品先物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ものをいう。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) the means of providing the stated information recorded in a file for inspection (meaning a file stored on a computer used by the commodity derivatives business operator, etc. to record the stated information for the purpose of making it available for inspection by multiple customers at the same time; hereinafter the same applies in this Article) for inspection by customers via a telecommunication line. 二 電磁的記録媒体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) the means of delivering a file recording the stated information which is prepared using an electronic or magnetic recording medium. 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 comply with the following standards: 一 顧客が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) the customer is able to create a document by outputting the record in the 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) for the means set forth in (a), (b), or (c) of item (i) of the preceding paragraph (excluding the means of recording the stated information in a customer file stored on a computer used by a customer), the fact that the stated information is to be recorded or has been recorded in a customer file or a file for inspection is notified to the customer; provided, however, that this does not apply if the fact that the customer has inspected the stated information has been confirmed; 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(令第二十四条第一項又は第三十一条第一項に規定する方法による承諾をいう。)を得て前項第一号イ若しくはロ若しくは同項第二号に掲げる方法により提供し、若しくは通知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) for the means set forth in (c) or (d) of item (i) in the preceding paragraph, the following information cannot be deleted or altered for 5 years from the date on which the last transaction set forth in the stated information was conducted (when a complaint is made related to the stated information during the period until the date on which that term ends, until the date on which the term concludes or the complaint is resolved, whichever comes later); provided, however, that when the stated information provided for inspection is delivered in writing, the stated information may be deleted with the consent of the customer (meaning consent given by a means prescribed in Article 24, paragraph (1) or Article 31, paragraph (1) of the Order) in cases where the stated information is provided or notified by the means set forth in item (i), (a) or (b) or item (ii) of the preceding paragraph, or if an instruction is given by the customer to delete the stated information: 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) for the means set forth in item (i), (c) of the preceding paragraph, the stated information recorded in a customer file; 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) for the means set forth in item (i), (d) of the preceding paragraph, the stated information recorded in a file for inspection; 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) the means set forth in item (i), (d) of the preceding paragraph must conform to the following standards: 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) necessary information for a customer to inspect the file for inspection must be recorded in the customer file; 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) to maintain the state in which the customer file recording the necessary information for a customer to inspect the file for inspection pursuant to provisions of sub-item (a) and the file for inspection are connectable via a telecommunication line for the duration until the term prescribed in the preceding item elapses; provided, however, that this does not apply if the customer who has been given access to the file for inspection has notified that it is not necessary to maintain the connection. 3 第一項第一号の「電子情報処理組織」とは、商品先物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商品先物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 that connects the computer used by the commodity derivatives business operator, etc. with the computer used by the customer who has stored the customer file or by the commodity derivatives business operator, etc. via a telecommunication line. (電磁的方法の種類及び内容) (Type and Content of Electronic or Magnetic Means) 第九十条の四 令第二十四条第一項、第二十五条第一項、第二十七条第一項及び第三十一条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 90-4 The type and content of the means to be indicated pursuant to provisions of Article 24, paragraph (1), Article 25, paragraph (1), Article 27, paragraph (1), and Article 30, paragraph (1) of the Order are as follows: 一 前条第一項各号又は第九十条の六第一項各号に掲げる方法のうち商品先物取引業者が使用するもの (i) among the means set forth in the items of paragraph (1) of the preceding Article or the items of Article 90-6, paragraph (1), those to be used by the commodity derivatives business operator; 二 ファイルへの記録の方式 (ii) the method of recording information in a file (特定委託者への復帰申出をした者が同意を行う書面の記載事項) (Information to be Stated in a Document Indicating Consent by a Person That Made the Request for Reinstatement to an Eligible Consignor) 第九十条の五 法第百九十七条の四第十一項の主務省令で定める事項は、次に掲げる事項とする。 Article 90-5 The information prescribed by order of the competent ministry as referred to in Article 197-4, paragraph (11) of the Act are the following information: 一 復帰申出者(法第百九十七条の四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 (i) the fact that the applicant for reinstatement (meaning the applicant for reinstatement prescribed in Article 197-4, paragraph (11) of the Act; the same applies hereinafter) understands the following information: イ 法第二百二十条の四第一項各号に掲げる規定は、商品取引契約に関して復帰申出者が承諾日(商品先物取引業者が法第百九十七条の四第十一項の規定による承諾をする日をいう。以下この条において同じ。)以後に当該各号に定める者となる場合(法第二百二十条の四第一項ただし書に規定する場合を除く。)には適用されない旨 (a) the fact that the provisions set forth in the items of Article 220-4, paragraph (1) of the Act are not applicable when the applicant for reinstatement becomes an entity prescribed in those items concerning the commodity transaction contract on or after the approval date (meaning the date on which the commodity derivatives business operator gives an approval under the provisions of Article 197-4, paragraph (11) of the Act; hereinafter the same applies in this Article) (excluding the cases prescribed in the proviso to Article 220-4, paragraph (1) of the Act); ロ 商品取引契約に関して特定委託者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委託者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) the fact that a person not suitable to be treated as an eligible consignor in terms of knowledge, experience, and financial circumstances to be treated as an eligible consignor concerning a commodity transaction contract has a risk of resulting in insufficient protection of the person; 二 承諾日以後に商品取引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委託者として取り扱う旨 (ii) the fact that in cases of soliciting conclusion of or concluding a commodity transaction contract on or after the approval date, the applicant for reinstatement will be treated as an eligible consignor again; 三 商品先物取引業者が商品取引契約に基づき復帰申出者を代理して他の商品先物取引業者との間で承諾日以後に締結する商品取引契約については、当該復帰申出者は当該他の商品先物取引業者からも再び特定委託者として取り扱われる旨 (iii) the fact that with regard to a commodity transaction contract concluded on or after the approval date with another commodity derivatives business operator by the commodity derivatives business operator on behalf of the applicant for reinstatement based on the commodity transactions contract, the applicant for reinstatement will also be treated as an eligible consignor again by the other commodity derivatives business operator; 四 復帰申出者は、承諾日以後いつでも、法第百九十七条の四第一項の規定による申出ができる旨 (iv) the fact that the applicant for reinstatement may at any time on or after the approval date file the application pursuant to Article 197-4, paragraph (1) of the Act. (情報通信の技術を利用した同意又は承諾の取得) (Obtaining Consent or Approval Using Information Communication Technology) 第九十条の六 法第百九十七条の四第十二項(法第百九十七条の五第三項(同条第九項(法第百九十七条の六第六項において準用する場合を含む。)、第百九十七条の六第六項及び第百九十七条の九第二項において準用する場合を含む。)及び第百九十七条の八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。)及び第二百九条第二項の主務省令で定めるもの並びに令第二十四条第一項及び第三十一条第一項に規定する電子情報処理組織を使用する方法その他の情報通信の技術を利用する方法であって主務省令で定めるものは、次に掲げるものとする。 Article 90-6 (1) The means specified by order of competent ministry as referred to in Article 197-4, paragraph (12) (including as applied mutatis mutandis pursuant to Article 197-5, paragraph (3) (including as applied mutatis mutandis pursuant to paragraph (9) of that Article (including as applied mutatis mutandis pursuant to Article 197-6, paragraph (6)), Article 197-6, paragraph (6), and Article 197-9, paragraph (2) of the Act; hereinafter the same applies in this Article) and Article 209, paragraph (2) of the Act and the means of using an electronic data processing system prescribed in Article 24, paragraph (1) and Article 31, paragraph (1) of the Order or other means of using information communication technology as prescribed by order of the competent ministry 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 following means that use an electronic data processing system: イ 商品先物取引業者の使用に係る電子計算機と法第百九十七条の四第十二項又は第二百九条第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) the means of transmitting via a telecommunication line connecting a computer used by a commodity derivatives business operator with a computer used by the counterparty (hereinafter referred to as "customer" in this Article) from whom consent is being sought pursuant to the provisions of Article 197-4, paragraph (12) or Article 209, paragraph (2) of the Act, and recording in a file stored on a computer used by the receiver; ロ 商品先物取引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顧客の同意又は承諾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、当該商品先物取引業者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又は承諾に関する事項を記録する方法 (b) the means of providing information concerning the consent or approval of the customer recorded in a file stored on a computer used by a commodity derivatives business operator for inspection by the customer via a telecommunication line, and recording the information concerning the consent or approval by the customer in a file stored on a computer used by the commodity derivatives business operator; 二 電磁的記録媒体をもって調製するファイルに同意又は承諾に関する事項を記録したものを得る方法 (ii) the means of obtaining a record of the information concerning the consent or approval in a file prepared using an electronic or magnetic recording medium. 2 前項各号に掲げる方法は、商品先物取引業者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 set forth in the items of the preceding paragraph must be a means that enable a commodity derivatives business operator to prepare a document by outputting the record in the file. 3 第一項第一号の「電子情報処理組織」とは、商品先物取引業者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 term "electronic data processing system" as used in paragraph (1), item (i) means an electronic data processing system that connects the computer used by the commodity derivatives business operator, etc. with the computer used by the customer via a telecommunication line. (特定委託者等以外の顧客である法人が特定委託者とみなされる場合の期限日) (Due Date When a Corporation That is a Customer Other Than an Eligible Consignor Is Deemed to Be an Eligible Consignor) 第九十条の七 法第百九十七条の五第二項の主務省令で定める場合は、商品先物取引業者が一定の日を定め、次に掲げる事項を当該商品先物取引業者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 90-7 (1) The case prescribed by order of the competent ministry as referred to in Article 197-5, paragraph (2) of the Act is the case in which the commodity derivatives business operator specifies a certain date and publicly announces the following information by posting the information at a place easily accessible to the public in the business office or office of the commodity derivatives business operator or by other appropriate means: 一 当該一定の日 (i) the certain date; 二 次項に規定する日を期限日(法第百九十七条の五第二項第二号に規定する期限日をいう。次条第二項及び第九十条の九において同じ。)とする旨 (ii) the fact that the date specified in the following paragraph is to be the due date (meaning the due date prescribed in Article 197-5, paragraph (2), item (ii) of the Act; the same applies in paragraph (2) of the following Article and Article 90-9). 2 法第百九十七条の五第二項の主務省令で定める日は、商品先物取引業者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。次条及び第九十条の九において同じ。)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 date prescribed by order of the competent ministry as referred to in Article 197-5, paragraph (2) of the Act is the latest date specified by the commodity derivatives business operator pursuant to provisions of the preceding paragraph which is within 1 year from the approval date (meaning the approval date prescribed in paragraph (2), item (i) of that Article; the same applies in the following Article and Article 90-9). (申出をした特定委託者等以外の顧客である法人が同意を行う書面の記載事項) (Information to Be Stated in a Document Indicating Consent by a Corporation That is a Customer Other than an Eligible Consignor That Made a Request) 第九十条の八 法第百九十七条の五第二項第三号イの主務省令で定める事項は、法第二百二十条の四第一項各号に掲げる規定は、商品取引契約に関して申出者(法第百九十七条の五第二項に規定する申出者をいう。次項において同じ。)が承諾日以後に当該各号に定める者となる場合(法第二百二十条の四第一項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 90-8 (1) The matter prescribed by order of the competent ministry as referred to in Article 197-5, paragraph (2), item (iii), (a) of the Act is the fact that the provisions set forth in the items of Article 220-4, paragraph (1) of the Act are not applicable when the applicant with regard to a commodity transaction contract (meaning an applicant prescribed in Article 197-5, paragraph (2) of the Act; the same applies in the following paragraph) becomes an entity prescribed in those items on or after the approval date (excluding the case set forth in the proviso to Article 220-4, paragraph (1) of the Act). 2 法第百九十七条の五第二項第七号の主務省令で定める事項は、次に掲げる事項とする。 (2) The matters prescribed by order of the competent ministry as referred to in Article 197-5, paragraph (2), item (vii) of the Act are the following matters: 一 期限日以前に締結した商品取引契約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、申出者を特定委託者として取り扱う旨 (i) the fact that the applicant will be treated as an eligible consignor with regard to acts performed based on the provisions of laws or regulations or the provisions of a contract related to commodity transaction contracts concluded on or before the due date, even when they are performed after the due date; 二 申出者は、法第百九十七条の五第二項の規定による承諾を行った商品先物取引業者のみから商品取引契約に関して特定委託者として取り扱われることになる旨 (ii) the fact that the applicant will be treated as an eligible consignor concerning the commodity transaction contract only by the commodity derivatives business operator that has given approval pursuant to provisions of Article 197-5, paragraph (2) of the Act; 三 商品先物取引業者が商品取引契約に基づき申出者を代理して他の商品先物取引業者との間で期限日以前に締結する商品取引契約については、当該申出者は当該他の商品先物取引業者からも特定委託者として取り扱われる旨 (iii) the fact that with regard to a commodity transaction contract to be concluded on or before the due date with another commodity derivatives business operator by the commodity derivatives business operator on behalf of the applicant based on the commodity transactions contract, the applicant will also be treated as an eligible consignor by the other commodity derivatives business operator; 四 申出者は、承諾日以後いつでも、法第百九十七条の五第十項の規定による申出ができる旨 (iv) the fact that the applicant may make a request pursuant to provisions of Article 197-5, paragraph (10) of the Act at any time on or after the approval date. (申出をした特定委託者等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) (Necessary Period for a Corporation That is a Customer Other than an Eligible Consignor That Made a Request to Make a Request for Renewal) 第九十条の九 法第百九十七条の五第七項の主務省令で定める期間は、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 90-9 (1) The period prescribed by order of the competent ministry as referred to in Article 197-5, paragraph (7) of the Act is 11 months (in the cases set forth in the following items, the period prescribed in each item): 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) if the period from the approval date to the due date is less than 1 year (excluding the case set forth in the following item): a period obtained by subtracting 1 month from the period; and 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) if the period from the approval date to the due date does not exceed 1 month: 1 day. 2 法第百九十七条の五第九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 provisions of the preceding paragraph in the case prescribed in Article 197-5, paragraph (9) of the Act, the term "approval date" as used in the items of that paragraph is deemed to be replaced by "the day following the previous due date". (一般顧客への復帰申出をした特定委託者等以外の顧客である法人に交付する書面の記載事項) (Information to be Stated in a Document Delivered to a Corporation That is a Customer Other than an Eligible Consignor That Made a Request for Reinstatement as a General Customer) 第九十条の十 法第百九十七条の五第十二項の主務省令で定める事項は、次に掲げる事項とする。 Article 90-10 The matters prescribed by order of the competent ministry as referred to in Article 197-5, paragraph (12) of the Act are the following matters: 一 法第百九十七条の五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 the approval under the provisions of Article 197-5, paragraph (11) of the Act is to be given (hereinafter referred to as the "approval date" in this Article); 二 承諾日以後に商品取引契約の締結の勧誘又は締結をする場合において、法第百九十七条の五第十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。)を再び一般顧客として取り扱う旨 (ii) the fact that in cases of soliciting conclusion of or concluding a commodity transaction contract on or after the approval date, a corporation that made the request under the provisions of Article 197-5, paragraph (10) of the Act (referred to as the "applicant for reinstatement" in the following item) is to be treated as a general customer again; 三 商品先物取引業者が商品取引契約に基づき復帰申出者を代理して他の商品先物取引業者との間で承諾日以後に締結する商品取引契約については、当該復帰申出者は当該他の商品先物取引業者からも再び一般顧客として取り扱われる旨 (iii) the fact that with regard to commodity transaction contract concluded on or after the due date with another commodity derivatives business operator by the commodity derivatives business operator on behalf of the applicant for reinstatement based on the commodity transactions contract, the applicant for reinstatement will also be treated as a general customer by the other commodity derivatives business operator again. (特定委託者として取り扱うよう申し出ることができる個人) (Individuals That May Make a Request to Be Treated as an Eligible Consignor) 第九十条の十一 法第百九十七条の六第一項の主務省令で定める要件は、次の各号に掲げる要件のいずれかとする。 Article 90-11 (1) T The requirements prescribed by order of the competent ministry as referred to in Article 197-6, paragraph (1) are any of the following requirements: 一 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締結した営業者である個人(次に掲げる要件の全てに該当する者に限る。) (i) an individual that is a business operator who has concluded a silent partnership agreement prescribed in Article 535 of the Commercial Code (Act No. 48 of 1899) (limited to persons who satisfy all of the following requirements): イ 法第百九十七条の六第一項の規定による申出を行うことについて全ての匿名組合員の同意を得ていること。 (a) consent has been obtained from all of the silent partners regarding the fact that a request under the provisions of Article 197-6, paragraph (1) is to be made; ロ 当該匿名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) the total amount of contribution based on the silent partnership agreement is at least 300 million yen. 二 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(次に掲げる要件の全てに該当する者に限る。) (ii) an individual that is a partner who has been delegated the execution of the business of the partnership by concluding a partnership agreement prescribed in the provisions of Article 667, paragraph (1) of the Civil Code (Act No. 89 of 1896) (limited to persons who satisfy all of the following requirements): イ 法第百九十七条の六第一項の規定による申出を行うことについて他の全ての組合員の同意を得ていること。 (a) consent has been obtained from all of the other partners regarding the fact that a request under the provisions of Article 197-6, paragraph (1) is to be made; 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) the total amount of contribution based on the partnership agreement is at least 300 million yen. 三 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(次に掲げる要件の全てに該当する者に限る。) (iii) an individual that is a partner who participates in making decisions on the execution of important business of the partnership by concluding a limited partnership agreement prescribed in Article 3, paragraph (1) of the Limited Liability Partnership Act (Act No. 40 of 2005) and who personally executes the business (limited to persons that satisfy all of the following requirements): イ 法第百九十七条の六第一項の規定による申出を行うことについて他の全ての組合員の同意を得ていること。 (a) consent has been obtained from all of the other partners regarding the fact that a request under the provisions of Article 197-6, paragraph (1) is to be made; 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) the total amount of contribution based on the limited liability partnership agreement is at least 300 million yen. 四 次に掲げる要件の全てに該当する個人 (iv) individuals who satisfy all of the following requirements: イ 取引の状況その他の事情から合理的に判断して、承諾日(法第百九十七条の六第六項において準用する法第百九十七条の五第二項第一号に規定する承諾日をいう。ロ、次条、第九十条の十三第二項及び第九十条の十四において同じ。)における申出者(法第百九十七条の六第二項に規定する申出者をいう。以下この条及び第九十条の十四において同じ。)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。 (a) the amount obtained by deducting the total amount of liabilities from the total amount of assets of the applicant (meaning an applicant prescribed in Article 197-6, paragraph (2) of the Act; hereinafter the same applies in this Article and Article 90-14) on the approval date (meaning the approval date prescribed in Article 197-5, paragraph (2), item (i) of the Act as applied mutatis mutandis pursuant to Article 197-6, paragraph (6); the same applies in (b), the following Article, Article 90-13, paragraph (2), and Article 90-14 of the Act) is expected to be at least 300 million yen, judging reasonably from the status of transactions and other circumstances; ロ 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。 (b) the total amount of the applicant's assets (limited to those set forth as follows) on the approval date is expected to be at least 300 million yet, judging reasonably from the status of transactions and other circumstances: (1) 商品市場における取引に係る権利、外国商品市場取引に係る権利及び店頭商品デリバティブ取引に係る権利 1. rights related to transactions in commodity markets, rights related to transactions in foreign commodity markets, and rights related to over-the-counter commodity derivatives transactions; (2) 金融商品取引法第二条第一項に規定する有価証券及び同条第二項の規定により有価証券とみなされる権利((6)に掲げるもの及び(7)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。) 2. securities prescribed in Article 2, paragraph (1) of the Financial Instruments and Exchange Act and rights deemed to be securities pursuant to the provisions of paragraph (2) of that Article (excluding those set forth in 6 and 7 (limited to those based on a contract concluded with a special business operator prescribed in Article 2, paragraph (9) of the Act on Specified Joint Real Estate Ventures (Act No. 77 of 1994))); (3) 金融商品取引法第二条第二十項に規定するデリバティブ取引に係る権利 3. rights related to derivatives transactions prescribed in Article 2, paragraph (20) of the Financial Instruments and Exchange Act. (4) 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)第六条の五の十一第一項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)第八十九条の二第一項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(昭和五十六年法律第五十九号)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 4. special savings, etc. prescribed in Article 11-5 of the Agricultural Cooperatives Act (Act No. 32 of 1947), special savings, etc. prescribed in Article 11-9 of the Fishery Cooperatives Act (Act No. 242 of 1948), special savings, etc. prescribed in Article 6-5-11, paragraph (1) of the Act on Financial Business by Cooperatives (Act No. 183 of 1948), special savings, etc. prescribed in Article 89-2, paragraph (1) of the Shinkin Bank Act (Act No. 238 of 1951), special deposits, etc. prescribed in Article 17-2 of the Long Term Credit Bank Act (Act No. 187 of 1952), special deposits, etc. prescribed in Article 94-2 of the Labor Bank Act (Act No. 227 of 1953), special deposits, etc. prescribed in Article 13-4 of the Banking Act (Act No. 59 of June 1, 1981), special deposits, etc. prescribed in Article 59-3 of The Norinchukin Bank Act (Act No. 93 of 2001), and special deposits, etc. prescribed in Article 29 of the Shoko Chukin Bank Limited Act (Act No. 74 of 2007); (5) 農業協同組合法第十一条の二十七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)第九条の七の五第三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 5. rights related to specified mutual aid contracts prescribed in Article 11-27 of the Agricultural Cooperatives Act, specified mutual aid contracts prescribed in Article 12-3, paragraph (1) of the Consumers' Cooperatives Act (Act No. 200 of 1948), specified mutual aid contracts prescribed in Article 15-7 of the Fishery Cooperatives Act, specified mutual aid contracts prescribed in Article 9-7-5, paragraph (3) of the Small and Medium-Sized Enterprise Cooperatives Act (Act No. 181 of June 1, 1949), and insurance proceeds, mutual aid money, refunds, and other benefits based on a specified insurance contract prescribed in Article 300-2 of the Insurance Business Act; (6) 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 6. trust beneficial interests related to a specified trust agreement prescribed in Article 24-2 of the Trust Business Act; (7) 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 7. rights based on a specified joint real estate venture contract prescribed in Article 2, paragraph (3) of the Act on Specified Joint Real Estate Ventures; (8) 電子決済手段等取引業者に関する内閣府令(令和五年内閣府令第四十八号)第四十三条各号に掲げるもの 8. electronic payment instruments set forth in the items of Article 43 of the Cabinet Office Order on Electronic Payment Instruments Service Providers (Cabinet Office Order No. 48 of 2023); ハ 申出者が最初に当該商品先物取引業者との間で法第百九十七条の六第一項の規定による申出に係る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。 (c) that 1 year has elapsed since the date on which the applicant first concluded a commodity transaction contract related to the request under the provisions of Article 197-6, paragraph (1) of the Act with the commodity derivatives business operator. (申出をした特定委託者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 Required for an Individual That is a Customer Other than an Eligible Consignor That Made a Request to Make a Request for Renewal) 第九十条の十二 法第百九十七条の六第四項の主務省令で定める期間は、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 90-12 The period specified by order of the competent ministry as referred to in Article 197-6, paragraph (4) of the Act is 11 months (in the cases set forth in the following items, the period prescribed in each item): 一 承諾日から期限日(法第百九十七条の六第六項において準用する法第百九十七条の五第二項第二号に規定する期限日をいう。以下この条、次条第一項及び第九十条の十四第二項において同じ。)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) if the period from the approval date to the due date (meaning the due date prescribed in Article 197-5, paragraph (2), item (ii) of the Act as applied mutatis mutandis pursuant to Article 197-6, paragraph (6) of the Act; hereinafter the same applies in this Article, paragraph (1) of the following Article, and Article 90-14, paragraph (2)) is less than 1 year (excluding the case set forth in the following item): a period obtained by subtracting 1 month from that period; and 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) if the period from the approval date to the due date does not exceed 1 month: 1 day. 2 法第百九十七条の六第六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 case prescribed in Article 197-6, paragraph (6) of the Act, the term "approval date" in the items of that paragraph is deemed to be replaced by "the day following the previous due date." (特定委託者以外の顧客である個人が特定委託者とみなされる場合の期限日) (Due Date When an Individual That is a Customer Other Than an Eligible Consignor Is Deemed to Be an Eligible Consignor) 第九十条の十三 法第百九十七条の六第六項において準用する法第百九十七条の五第二項の主務省令で定める場合は、商品先物取引業者が一定の日を定め、次に掲げる事項を当該商品先物取引業者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 90-13 (1) The case specified by order of the competent ministry as referred to in Article 197-5, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 197-6, paragraph (6) is the case in which the commodity derivatives business operator specifies a certain date and publicly announces the following information by posting the information at a place easily accessible to the public in the business office or office of the commodity derivatives business operator or by other appropriate means: 一 当該一定の日 (i) the certain date; and 二 次項に規定する日を期限日とする旨 (ii) the fact that the date specified in the following paragraph is to be the due date. 2 法第百九十七条の六第六項において準用する法第百九十七条の五第二項の主務省令で定める日は、商品先物取引業者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 date specified by order of the competent ministry as referred to in Article 197-5, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 197-6, paragraph (6) of the Act is the latest date specified by the commodity derivatives business operator pursuant to provisions of the preceding paragraph which is within 1 year from the approval date. (申出をした特定委託者以外の顧客である個人が同意を行う書面の記載事項) (Information to Be Stated in a Document Indicating Consent by an Individual That is a Customer Other than an Eligible Consignor That Made a Request) 第九十条の十四 法第百九十七条の六第六項において準用する法第百九十七条の五第二項第三号イの主務省令で定める事項は、法第二百二十条の四第一項各号に掲げる規定は、商品取引契約に関して申出者が承諾日以後に当該各号に定める者となる場合(同項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 90-14 (1) The matter specified by order of the competent ministry as referred to in Article 197-5, paragraph (2), item (iii), (a) of the Act as applied mutatis mutandis pursuant to Article 197-6, paragraph (6) of the Act is the fact that the provisions set forth in the items of Article 220-4, paragraph (1) of the Act are not applicable to the cases in which the applicant with respect to a commodity transaction contract becomes a person prescribed in those items on or after the approval date (excluding the case prescribed in the proviso to that paragraph). 2 法第百九十七条の六第六項において準用する法第百九十七条の五第二項第七号の主務省令で定める事項は、次に掲げる事項とする。 (2) The matters specified by order of the competent ministry as referred to in Article 197-5, paragraph (2), item (vii) of the Act as applied mutatis mutandis pursuant to Article 197-6, paragraph (6) of the Act are the following matters: 一 期限日以前に締結した商品取引契約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、申出者を特定委託者として取り扱う旨 (i) the fact that the applicant will be treated as an eligible consignor with regard to acts performed based on the provisions of laws and regulations or provisions of a contract related to commodity transaction contracts concluded on or before the due date, even when they are performed after the due date; 二 申出者は、法第百九十七条の六第六項において準用する法第百九十七条の五第二項の規定による承諾を行った商品先物取引業者のみから商品取引契約に関して特定委託者として取り扱われることになる旨 (ii) the fact that the applicant will be treated as an eligible consignor with regard to the commodity transaction contract only by the commodity derivatives business operator that has given approval under the provisions of Article 197-5, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 197-6, paragraph (6) of the Act; 三 商品先物取引業者が商品取引契約に基づき申出者を代理して他の商品先物取引業者との間で期限日以前に締結する商品取引契約については、当該申出者は当該他の商品先物取引業者からも特定委託者として取り扱われる旨 (iii) the fact that with regard to commodity transaction contracts to be concluded on or before the due date with another commodity derivatives business operator by the commodity derivatives business operator on behalf of the applicant based on the commodity transactions contract, the applicant will also be treated as an eligible consignor by the other commodity derivatives business operator; 四 申出者は、承諾日以後いつでも、法第百九十七条の六第五項の規定による申出ができる旨 (iv) the fact that the applicant may make a request under the provisions of Article 197-6, paragraph (5) of the Act at any time on or after the approval date. (一般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) (Information to be Stated in a Document Delivered to an Individual That Made a Request for Reinstatement as a General Customer) 第九十条の十五 法第百九十七条の六第六項において準用する法第百九十七条の五第十二項の主務省令で定める事項は、次に掲げる事項とする。 Article 90-15 The information prescribed by order of the competent ministry as referred to in Article 197-5, paragraph (12) of the Act as applied mutatis mutandis pursuant to Article 197-6, paragraph (6) of the Act are the following information: 一 法第百九十七条の六第六項において準用する法第百九十七条の五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 approval under the provisions of Article 197-5, paragraph (11) of the Act as applied mutatis mutandis pursuant to Article 197-6, paragraph (6) of the Act is to be given (hereinafter referred to as the "approval date" in this Article); 二 承諾日以後に商品取引契約の締結の勧誘又は締結をする場合において、法第百九十七条の六第五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。)を再び一般顧客として取り扱う旨 (ii) the fact that in cases of soliciting conclusion of or concluding a commodity transaction contract on or after the approval date, an individual that has made a request under the provisions of Article 197-6, paragraph (5) of the Act (referred to as "applicant for reinstatement" in the following item) is to be treated as a general customer again; 三 商品先物取引業者が商品取引契約に基づき復帰申出者を代理して他の商品先物取引業者との間で承諾日以後に締結する商品取引契約については、当該復帰申出者は当該他の商品先物取引業者からも再び一般顧客として取り扱われる旨 (iii) the fact that with regard to a commodity transaction contract concluded on or after the due date with another commodity derivatives business operator by a commodity derivatives business operator on behalf of the applicant for reinstatement based on the commodity transactions contract, the applicant for reinstatement will also be treated as a general customer by the other commodity derivatives business operator again. (特定当業者が売買等を業として行っている物品に関連する物品) (Goods Associated with Goods for which an Eligible Commercial Person is Engaged in Purchase and Sale, etc. in the Course of Trade) 第九十条の十六 法第百九十七条の七の主務省令で定めるものは、次の各号に掲げる物品とする。 Article 90-16 The goods specified by order of the competent ministry as referred to in Article 197-7 of the Act are the following goods: 一 当該特定当業者が売買等を業として行っている物品の主たる原料又は材料となっている物品 (i) goods constituting the main raw materials or ingredients of the goods for which the eligible commercial person is engaged in the purchase and sale, etc. in the course of trade; 二 当該特定当業者が売買等を業として行っている物品を主たる原料又は材料とする物品 (ii) goods whose main raw materials or ingredients are the goods for which the eligible commercial person is engaged in the purchase and sale, etc. in the course of trade; 三 商品市場における相場等に係る変動その他の事情から合理的に判断して、当該特定当業者が売買等を業として行っている物品の価格と他の物品の価格との間に相関関係があると認められる場合における当該他の物品(前二号に掲げるものを除く。) (iii) in a case in which a correlation is recognized between the price of the goods for which the eligible commercial person is engaged in the purchase and sale, etc. in the course of trade and the price of other goods, judging reasonably based on fluctuations in quotations, etc., on commodity markets or other circumstances, the other goods (excluding those set forth in the preceding two items) (申出をした特定当業者に交付する書面の記載事項) (Information to be Stated in a Document Delivered to an Eligible Commercial Person That Made a Request) 第九十条の十七 法第百九十七条の八第二項において準用する法第百九十七条の四第三項第三号の主務省令で定める事項は、次に掲げる事項とする。 Article 90-17 The matters specified by order of the competent ministry as referred to in Article 197-4, paragraph (3), item (iii) of the Act as applied mutatis mutandis pursuant to Article 197-8, paragraph (2) of the Act are the following matters: 一 申出者(法第百九十七条の八第二項において準用する法第百九十七条の四第三項に規定する申出者をいう。次号において同じ。)は、法第百九十七条の八第二項において準用する法第百九十七条の四第二項の規定による承諾を行った商品先物取引業者のみから商品取引契約に関して一般顧客として取り扱われることになる旨 (i) the fact that the applicant (meaning an applicant prescribed in Article 197-4, paragraph (3) of the Act as applied mutatis mutandis pursuant to Article 197-8, paragraph (2) of the Act; the same applies in the following item) will be treated as a general customer in relation to the commodity transaction contract only by the commodity derivatives business operator that has given approval pursuant to provisions of Article 197-4, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 197-8, paragraph (2) of the Act; 二 商品先物取引業者が商品取引契約に基づき申出者を代理して他の商品先物取引業者との間で承諾日(法第百九十七条の八第二項において準用する法第百九十七条の四第三項第一号に規定する承諾日をいう。)以後に締結する商品取引契約については、当該申出者は当該他の商品先物取引業者からも一般顧客として取り扱われる旨 (ii) the fact that with regard to a commodity transaction contract concluded on or after the approval date (meaning the approval date prescribed in Article 197-4, paragraph (3) of the Act as applied mutatis mutandis pursuant to Article 197-8, paragraph (2) of the Act) with another commodity derivatives business operator by the commodity derivatives business operator on behalf of the applicant pursuant to the commodity transactions contract, the applicant will also be treated as a general customer by the other commodity derivatives business operator. (特定当業者への復帰申出をした者が同意を行う書面の記載事項) (Information to be Stated in a Document Indicating Consent by a Person That Made a Request for Reinstatement as an Eligible Commercial Person) 第九十条の十八 法第百九十七条の八第二項において準用する法第百九十七条の四第十一項の主務省令で定める事項は、次に掲げる事項とする。 Article 90-18 The matters specified by order of the competent ministry as referred to in Article 197-4, paragraph (11) of the Act as applied mutatis mutandis pursuant to Article 197-8, paragraph (2) of the Act are the following matters: 一 復帰申出者(法第百九十七条の八第二項において準用する法第百九十七条の四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 (i) the fact that the applicant for reinstatement (meaning an applicant for reinstatement prescribed in Article 197-4, paragraph (11) of the Act as applied mutatis mutandis pursuant to Article 197-8, paragraph (2) of the Act; hereinafter the same applies in this Article) understands the following matters: イ 法第二百二十条の四第二項各号に掲げる規定は、商品取引契約に関して復帰申出者が承諾日(商品先物取引業者が法第百九十七条の八第二項において準用する法第百九十七条の四第十一項の規定による承諾をする日をいう。以下この条において同じ。)以後に当該各号に定める者となる場合(法第二百二十条の四第二項ただし書に規定する場合を除く。)には適用されない旨 (a) the fact that the provisions set forth in the items of Article 220-4, paragraph (2) of the Act are not applicable in cases where the applicant for reinstatement becomes a person specified in those items with regard to the commodity transaction contract on or after the approval date (meaning the day on which the applicant for reinstatement gives approval under the provisions of Article 197-4, paragraph (11) of the Act as applied mutatis mutandis pursuant to Article 197-8, paragraph (2) of the Act; hereinafter the same applies in this Article) (excluding the cases prescribed in the proviso to Article 220-4, paragraph (2) of the Act; ロ 商品取引契約に関して特定当業者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当業者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) the fact that a person not suitable to be treated as an eligible commercial person in terms of knowledge, experience, and status of property to be treated as an eligible commercial person concerning a commodity transaction contract has a risk of resulting in insufficient protection of the person. 二 承諾日以後に商品取引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当業者として取り扱う旨 (ii) the fact that in cases of soliciting conclusion of or concluding a commodity transaction contract on or after the approval date, the applicant for reinstatement will be treated as an eligible commercial person again; 三 商品先物取引業者が商品取引契約に基づき復帰申出者を代理して他の商品先物取引業者との間で承諾日以後に締結する商品取引契約については、当該復帰申出者は当該他の商品先物取引業者からも再び特定当業者として取り扱われる旨 (iii) the fact that with regard to a commodity transaction contract to be concluded on or after the approval date with another commodity derivatives business operator by a commodity derivatives business operator on behalf of the applicant for reinstatement based on the commodity transactions contract, the applicant for reinstatement will also be treated as an eligible commercial person by the other commodity derivatives business operator again; and. 四 復帰申出者は、承諾日以後いつでも、法第百九十七条の八第一項の規定による申出ができる旨 (iv) the fact that the applicant for reinstatement may make a request under the provisions of Article 197-8, paragraph (1) of the Act at any time on or after the approval date. (特定委託者及び特定当業者以外の法人が特定当業者とみなされる場合の期限日) (Due Date When a Corporation Other Than an Eligible Consignor and an Eligible Commercial Person Is Deemed to Be an Eligible Commercial Person) 第九十条の十九 法第百九十七条の九第二項において準用する法第百九十七条の五第二項の主務省令で定める場合は、商品先物取引業者が一定の日を定め、次に掲げる事項を当該商品先物取引業者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 90-19 The case specified by order of the competent ministry as referred to in Article 197-5, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 197-9, paragraph (2) of the Act is the case in which the commodity derivatives business operator specifies a certain date and publicly announces the following information by posting the information at a place easily accessible to the public in the business office or office of the commodity derivatives business operator or by other appropriate means: 一 当該一定の日 (i) the certain date; and 二 次項に規定する日を期限日(法第百九十七条の九第二項において準用する法第百九十七条の五第二項第二号に規定する期限日をいう。次条第二項及び第九十条の二十一において同じ。)とする旨 (ii) the fact that the date specified in the following paragraph is to be the due date (meaning the due date prescribed in Article 197-5, paragraph (2), item (ii) of the Act as applied mutatis mutandis pursuant to Article 197-9, paragraph (2) of the Act; the same applies in paragraph (2) of the following Article and Article 90-21). 2 法第百九十七条の九第二項において準用する法第百九十七条の五第二項の主務省令で定める日は、商品先物取引業者が前項の規定により定めた日であって承諾日(法第百九十七条の九第二項において準用する法第百九十七条の五第二項第一号に規定する承諾日をいう。次条及び第九十条の二十一において同じ。)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 date specified by order of the competent ministry as referred to in Article 197-5, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 197-9, paragraph (2) of the Act is the latest date specified by the commodity derivatives business operator pursuant to provisions of the preceding paragraph which is within 1 year from the approval date (meaning the approval date prescribed in paragraph (2), item (i) of that Article as applied mutatis mutandis pursuant to Article 197-9, paragraph (2) of the Act; the same applies in the following Article and Article 90-21). (申出をした特定委託者及び特定当業者以外の法人が同意を行う書面の記載事項) (Information to Be Stated in a Document Indicating Consent by a Corporation Other than an Eligible Consignor and an Eligible Commercial Person) 第九十条の二十 法第百九十七条の九第二項において準用する法第百九十七条の五第二項第三号イの主務省令で定める事項は、法第二百二十条の四第二項各号に掲げる規定は、商品取引契約に関して申出者(法第百九十七条の九第二項において準用する法第百九十七条の五第二項に規定する申出者をいう。次項において同じ。)が、承諾日以後に当該各号に定める者となる場合(法第二百二十条の四第二項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 90-20 (1) The matter specified by order of the competent ministry as referred to in Article 197-5, paragraph (2), item (iii), (a) of the Act as applied mutatis mutandis pursuant to Article 197-9, paragraph (2) of the Act is the fact that the provisions set forth in the items of Article 220-4, paragraph (2) of the Act are not applicable when the applicant with regard to a commodity transaction contract (meaning an applicant prescribed in Article 197-5, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 197-9, paragraph (2) of the Act; the same applies in the following paragraph) becomes a person specified in those items on or after the approval date (excluding the case prescribed in the proviso to Article 220-4, paragraph (2) of the Act). 2 法第百九十七条の九第二項において準用する法第百九十七条の五第二項第七号の主務省令で定める事項は、次に掲げる事項とする。 (2) The matters prescribed by order of the competent ministry under Article 197-5, paragraph (2), item (vii) of the Act as applied mutatis mutandis in Article 197-9, paragraph (2) of the Act are the following matters: 一 期限日以前に締結した商品取引契約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、申出者を特定当業者として取り扱う旨 (i) the fact that the applicant will be treated as an eligible commercial person with regard to acts performed based on the provisions of laws and regulations or to the provisions of a contract related to commodity transaction contracts concluded on or before the due date, even when they are performed after the due date; 二 申出者は、法第百九十七条の九第二項において準用する法第百九十七条の五第二項の規定による承諾を行った商品先物取引業者のみから商品取引契約に関して特定当業者として取り扱われることになる旨 (ii) the fact that the applicant will be treated as an eligible commercial person with regard to the commodity transaction contract only by the commodity derivatives business operator that has given approval under the provisions of Article 197-5, paragraph (2) of the Act applied mutatis mutandis in Article 197-9, paragraph (2) of the Act; 三 商品先物取引業者が商品取引契約に基づき申出者を代理して他の商品先物取引業者との間で期限日以前に締結する商品取引契約については、当該申出者は当該他の商品先物取引業者からも特定当業者として取り扱われる旨 (iii) the fact that with regard to commodity transaction contracts to be concluded on or before the due date with another commodity derivatives business operator by the commodity derivatives business operator on behalf of the applicant based on the commodity transactions contract, the applicant will also be treated as an eligible commercial person by the other commodity derivatives business operator; 四 申出者は、承諾日以後いつでも、法第百九十七条の九第二項において準用する法第百九十七条の五第十項の規定による申出ができる旨 (iv) the fact that the applicant may make a request under the provisions of Article 197-5, paragraph (10) of the Act as applied mutatis mutandis pursuant to Article 197-9, paragraph (2) of the Act at any time on or after the approval date. (申出をした特定委託者及び特定当業者以外の法人が更新申出をするために必要な期間) (Necessary Period for a Corporation Other than an Eligible Consignor and an Eligible Commercial Person That Made a Request to Make a Request for Renewal) 第九十条の二十一 法第百九十七条の九第二項において準用する法第百九十七条の五第七項の主務省令で定める期間は、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 90-21 (1) The period specified by order of the competent ministry as referred to in Article 197-5, paragraph (7) of the Act as applied mutatis mutandis pursuant to Article 197-9, paragraph (2) of the Act is 11 months (in the cases set forth in the following items, the period prescribed in each item): 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) if the period from the approval date to the due date is less than 1 year (excluding the case set forth in the following item): a period obtained by subtracting 1 month from that period; and 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) if the period from the approval date to the due date does not exceed 1 month: 1 day. 2 法第百九十七条の九第二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 case set forth in Article 197-9, paragraph (2) of the Act, the term "approval date" in the items of that paragraph is deemed to be replaced by "the day following the previous due date". (一般顧客への復帰申出をした特定委託者及び特定当業者以外の法人に交付する書面の記載事項) (Information to be Stated in a Document Delivered to a Corporation Other than an Eligible Consignor and an Eligible Commercial Person That Made a Request for Reinstatement as a General Customer) 第九十条の二十二 法第百九十七条の九第二項において準用する法第百九十七条の五第十二項の主務省令で定める事項は、次に掲げる事項とする。 Article 90-22 The matters prescribed by order of the competent ministry as referred to in Article 197-5, paragraph (12) of the Act as applied mutatis mutandis pursuant to Article 197-9, paragraph (2) of the Act are the following matters: 一 法第百九十七条の九第二項において準用する法第百九十七条の五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 approval under the provisions of Article 197-5, paragraph (11) of the Act as applied mutatis mutandis pursuant to Article 197-9, paragraph (2) of the Act is to be given (hereinafter referred to as the "approval date" in this Article); 二 承諾日以後に商品取引契約の締結の勧誘又は締結をする場合において、法第百九十七条の九第二項において準用する法第百九十七条の五第十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。)を再び一般顧客として取り扱う旨 (ii) the fact that in cases of soliciting conclusion of or concluding a commodity transaction contract on or after the approval date, a corporation that has made the request under the provisions of Article 197-5, paragraph (10) of the Act as applied mutatis mutandis pursuant to Article 197-9, paragraph (2) of the Act (referred to as the "applicant for reinstatement" in the following item) will be treated as a general customer again; 三 商品先物取引業者が商品取引契約に基づき復帰申出者を代理して他の商品先物取引業者との間で承諾日以後に締結する商品取引契約については、当該復帰申出者は当該他の商品先物取引業者からも再び一般顧客として取り扱われる旨 (iii) the fact that with regard to a commodity transaction contract to be concluded on or after the due date with another commodity derivatives business operator by a commodity derivatives business operator on behalf of the applicant for reinstatement based on the commodity transactions contract, the applicant for reinstatement will also be treated as a general customer by the other commodity derivatives business operator again. (商品先物取引業者の標識) (Sign of a Commodity Derivatives Business Operator) 第九十一条 法第百九十八条第一項の主務省令で定める標識は、様式第九号による。 Article 91 The sign specified by order of the competent ministry as referred to in Article 198, paragraph (1) of the Act is prepared according to Form No. 9. (登録申請書の添付書類) (Documents Attached to a Written Application for Registration) 第九十二条 法第二百条第四項の主務省令で定める書類は、次項に規定する場合を除き、次に掲げるものとする。 Article 92 (1) The documents specified by order of the competent ministry as referred to in Article 200, paragraph (4) of the Act are as follows: 一 登録を受けようとする外務員に係る住民票の写し等 (i) a copy of the residence certificate, etc. of the sales representative who seeks to obtain registration; 二 登録を受けようとする外務員が法第二百一条第一項各号のいずれにも該当しないことを当該外務員及び登録申請者が誓約する書面 (ii) a document with which the sales representative and the registration applicant pledge that the sales representative who seeks to obtain registration does not fall under any of the items of Article 201, paragraph (1) of the Act; 三 登録を受けようとする外務員が法第二百条第一項各号に掲げる行為を公正かつ的確に行うことができる知識及び経験を有することを証する書面 (iii) a document proving that the sales representative who seeks to obtain registration has the knowledge and experience to perform the acts set forth in the items of Article 200, paragraph (1) of the Act in a fair and appropriate manner. 2 法第二百条第七項の登録の更新を受けようとする場合における同条第四項の主務省令で定める書類は、次に掲げるものとする。 (2) When seeking to renew a registration under Article 200, paragraph (7) of the Act, the documents specified by order of the competent ministry as referred to in paragraph (4) of that Article are as follows: 一 前項各号に掲げる書面 (i) the documents set forth in the items of the preceding paragraph; and 二 登録の更新を受けようとする外務員が法第二百四条第一項(法第二百四十条の十一において準用する場合を含む。)の規定による処分(その処分の日から五年を経過するまでのものに限る。)を受けたことがある場合には、その処分の日、内容及び理由を記載した書面 (ii) when a sales representative seeking to renew a registration has been rendered a disposition (limited to a disposition for which five years have not elapsed from the date of disposition) pursuant to the provisions of Article 204, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 240-11 of the Act), a document stating the date of disposition, content of the disposition, and the reason for the disposition. (外務員登録原簿の記載事項) (Information to be Stated in the Register of Sales Representatives) 第九十三条 法第二百条第五項の主務省令で定める事項は、次に掲げるものとする。 Article 93 The information specified by order of the competent ministry as referred to in Article 200, paragraph (5) of the Act are as follows: 一 登録番号 (i) the registration number; 二 登録の年月日 (ii) the date of registration; 三 登録申請者の商号又は名称 (iii) the trade name or name of the registration applicant; 四 外務員についての次に掲げる事項 (iv) the information concerning the sales representative set forth as follows: イ 住所 (a) address; ロ 役員又は使用人の別 (b) whether the sales representative is an officer or an employee; ハ 外務員(法第二百四十条の十一において準用する法第二百条第一項の規定による登録に係る外務員を含む。)の職務を行ったことのある者については、その所属していた商品先物取引業者又は商品先物取引仲介業者の商号、名称又は氏名及びその行った期間 (c) with regard to a person who has experience of performing the duties of a sales representative (including a sales representative related to the registration under the provisions of Article 200, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 240-11 of the Act), the trade name or name of the commodity derivatives business operator or commodity derivatives intermediary service provider with which the person was affiliated and the duration of the performance of the duties; ニ 商品先物取引仲介業を行ったことのある者については、その行った期間 (d) with regard to a person who has experience of engaging in commodity derivatives intermediary service, the duration of the performance of the services; ホ 法第二百四条第一項の規定により職務の停止を命じたときは、その処分の日、理由及び期間 (e) when the suspension of the duties is ordered pursuant to the provisions of Article 204, paragraph (1) of the Act, the date of the disposition, reasons for the disposition, and duration of the disposition; ヘ 法第二百四条第一項の規定による登録の取消し又は法第二百五条の規定による登録の抹消を行ったときは、その処分の日及び理由 (f) when revocation of registration under the provisions of Article 204, paragraph (1) of the Act is made or deletion of registration under the provisions of Article 205 of the Act is made, the date of and reason for the disposition. (協会による外務員登録事務) (Registration Work Concerning a Sales Representative by the Association) 第九十四条 法第二百六条第一項の規定により、協会に、次の各号に掲げる登録に関する事務であって当該協会に所属する協会員(法第二百四十四条第二項に規定する協会員をいう。以下同じ。)に係るものを行わせるものとする。 Article 94 Pursuant to the provisions of Article 206, paragraph (1) of the Act, the association is to conduct the work related to registration set forth in the following items which concerns the association members (meaning association members prescribed in Article 244, paragraph (2) of the Act; the same applies hereinafter) belonging to the association: 一 法第二百条第三項の規定による登録申請書の受理 (i) acceptance of a written application for registration pursuant to the provisions of Article 200, paragraph (3) of the Act; 二 法第二百条第五項の規定による登録 (ii) registration pursuant to the provisions of Article 200, paragraph (5) of the Act; 三 法第二百条第六項、法第二百一条第二項において準用する法第十五条第五項及び第七項並びに法第二百四条第二項による通知 (iii) notification pursuant to the provisions of Article 200, paragraph (6) of the Act, Article 15, paragraphs (5) and (7) of the Act as applied mutatis mutandis pursuant to Article 201, paragraph (2) of the Act, and Article 204, paragraph (2) of the Act; 四 法第二百一条第一項の規定による登録の拒否 (iv) refusal of registration pursuant to the provisions of Article 201, paragraph (1) of the Act; 五 法第二百一条第二項において準用する法第十五条第五項の規定による意見の聴取 (v) hearing of opinions pursuant to the provisions of Article 15, paragraph (5) of the Act as applied mutatis mutandis pursuant to Article 201, paragraph (2) of the Act; 六 法第二百三条の規定による届出の受理 (vi) acceptance of notifications pursuant to the provisions of Article 203 of the Act; 七 法第二百四条第一項の規定による登録の取消し及び職務の停止の命令 (vii) order for revocation of registration and suspension of duties pursuant to the provisions of Article 204, paragraph (1) of the Act; 八 法第二百四条第三項において準用する法第百五十八条第二項の規定による参考人の意見の聴取、参考人の意見若しくは報告の提出又は鑑定人の鑑定及び法第百五十九条第四項の規定による聴聞 (viii) hearing of opinions of witnesses, submission of opinions or reports by witnesses, or examination by experts, pursuant to the provisions of Article 158, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 204, paragraph (3) of the Act, and hearings pursuant to the provisions of Article 159, paragraph (4) of the Act; and 九 法第二百五条の規定による登録の抹消 (ix) revocation of registration pursuant to the provisions of Article 205 of the Act. (外務員の登録事務に関する届出) (Notification on Registration Work Concerning a Sales Representative) 第九十五条 協会は、法第二百六条第四項の規定による届出をしようとするときは、次の各号に掲げる事項を記載した書類を、主務大臣に提出しなければならない。 Article 95 When seeking to submit a notification pursuant to the provisions of Article 206, paragraph (4) of the Act, the association must submit the documents stating the information set forth in the following items to the competent minister: 一 当該外務員の所属する協会員の商号又は名称 (i) the trade name of the association member to which the sales representative is assigned; 二 当該外務員の氏名及び生年月日 (ii) the name and date of birth of the sales representative; 三 処理した登録事務(前二号に掲げる事項に係るものに限る。)の内容及び処理した日 (iii) the content of the registration work handled (limited to the work related to the information set forth in the preceding two items) and the date of handling the work; and 四 前号に掲げる登録事務の内容が職務の停止の命令又は登録の抹消である場合には、その理由 (iv) if the content of the registration work set forth in the preceding item is an order of suspension of duties or revocation of registration, the reasons for the suspension or revocation. 第九十六条 削除 Article 96 Deleted (商品市場における取引に関する財産の分離保管等の措置) (Measures of Segregation of Property Related to Transactions in a Commodity Market) 第九十七条 法第二百十条第一号の主務省令で定めるものは、次の各号に掲げるものの価額の合計額に相当する金銭、有価証券その他の物とする。 Article 97 (1) The properties specified by order of the competent ministry as referred to in Article 210, item (i) of the Act are money, securities, and other properties equivalent to the sum of the values set forth in the following items: 一 委託者未収金(商品市場における取引等に関し、当該委託者から預託を受けた金銭、有価証券その他の物及び当該委託者の計算に属する金銭(当該委託者の計算による商品市場における取引であって決済を結了していないものに係る差益金に相当する金銭を除く。)、有価証券その他の物と相殺することができるものに限る。) (i) accounts receivable from a consignor (with regard to transactions, etc. in a commodity market, limited to properties which can be offset against the money, securities, and other properties deposited by the consignor and money on the consignor's account (excluding money equivalent to profit for transactions in a commodity market on the consignor's account for which the settlement has not been completed)); 二 法第百三条第一項の規定に基づき商品取引所に預託された取引証拠金(委託者(同項第二号に規定する委託者をいう。)又は取次委託者(同項第四号に規定する取次委託者をいう。次号イ及びロにおいて同じ。)が返還請求権を有するものに限る。)又は法第百七十九条第一項の規定に基づき商品取引清算機関に預託された取引証拠金(委託者(同項第一号ロに規定する委託者をいう。)、取次委託者(同号ニに規定する取次委託者をいう。次号ハ及びニにおいて同じ。)、清算取次委託者(同項第二号ロに規定する清算取次委託者をいう。)又は清算取次者に対する委託者(同号ニに規定する清算取次者に対する委託者をいう。次号ハ及びホにおいて同じ。)が返還請求権を有するものに限る。) (ii) the clearing margins deposited with a commodity exchange based on the provisions of Article 103, paragraph (1) of the Act (limited to the clearing margins for which a consignor (meaning a consignor prescribed in item (ii) of the same paragraph) or an person that entrusts brokerage (meaning a person that entrusts brokerage prescribed in item (iv) of that paragraph; the same applies in (a) and (b) of the following item) who holds a right to demand restitution), or the clearing margins deposited with a commodity clearing organization based on the provisions of Article 179, paragraph (1) of the Act (limited to that a consignor (meaning a consignor prescribed in item (i), (b) of that paragraph), a person that entrusts brokerage (meaning a person that entrusts brokerage prescribed in (d) of that item; the same applies in (c) and (d) of the following item), a person entrusting the clearing brokerage (meaning a person entrusting the clearing brokerage prescribed in item (ii), (b) of that paragraph), or a consignor that makes a request to the clearing broker (meaning a consignor that makes a request to the clearing broker prescribed in (d) of that item; the same applies in (c) and (e) of the following item) who holds a right to demand restitution); 三 次に掲げる者に該当するときは、それぞれ次に定めるもの。 (iii) in cases of a person who falls under person set forth in the following sub-items, the matters specified in each of those items: イ 法第百三条第二項の規定に基づき委託証拠金を預託する取次委託者から商品市場における取引の委託の取次ぎを受託した取次者(同条第一項第二号に規定する取次者をいう。ロにおいて同じ。) 当該委託証拠金 (a) a broker (meaning a broker prescribed in Article 103, paragraph (1), item (ii); the same applies in (b)) who has accepted brokerage of the consignment of a transaction in a commodity market from a person that entrusts brokerage who deposits consignor margins based on the provisions of Article 103, paragraph (2) of the Act: the consignor margins; ロ 法第百三条第三項の規定に基づき取次委託者から取次証拠金の預託を受け、同条第二項の規定に基づき会員等に委託証拠金を預託した取次者 当該委託証拠金(当該取次者が預託を受けた当該取次証拠金の額の範囲内に限る。) (b) a broker who has received a deposit of brokerage margins from a person that entrusts brokerage based on the provisions of Article 103, paragraph (3) of the Act and has deposited the consignor margins with members, etc. based on the provisions of paragraph (2) of that Article: the consignor margins (limited to within the scope of the amount of the brokerage margins deposited with the broker); ハ 法第百七十九条第二項の規定に基づき委託証拠金を預託する取次委託者から商品市場における取引の委託の取次ぎを受託した取次者(同条第一項第一号ロに規定する取次者をいう。ニにおいて同じ。)又は同条第二項の規定に基づき委託証拠金を預託する清算取次者に対する委託者から商品清算取引の委託の取次ぎの委託の取次ぎを受託した清算取次者(同条第一項第二号ロに規定する清算取次者をいう。ホにおいて同じ。) 当該委託証拠金 (c) a broker (meaning a broker prescribed in Article 179, paragraph (1), item (i), (b) of the Act; the same applies in (d)) who has accepted the brokerage of the consignment of transactions in a commodity market from a person that entrusts brokerage who deposits consignor margins based on the provisions of Article 179, paragraph (2) of the Act, or a clearing broker (meaning a clearing broker prescribed in paragraph (1), item (ii), (b) of that Article; the same applies in (e)) who has accepted the brokerage of the consignment of the brokerage of the consignment of commodity clearing transactions from a consignor that makes a request to the clearing broker who deposits consignor margins based on the provisions of paragraph (2) of that Article: the customer margins; ニ 法第百七十九条第三項の規定に基づき取次委託者から取次証拠金の預託を受け、同条第二項の規定に基づき会員等に委託証拠金を預託した取次者 当該委託証拠金(当該取次者が預託を受けた当該取次証拠金の額の範囲内に限る。) (d) a broker who has received a deposit of brokerage margins from a person that entrusts brokerage based on the provisions of Article 179, paragraph (3) of the Act and has deposited the consignor margins with members, etc. based on the provisions of paragraph (2) of that Article: the consignor margins (limited to within the scope of the amount of the brokerage margins deposited with the broker); ホ 法第百七十九条第四項の規定に基づき清算取次者に対する委託者から清算取次証拠金の預託を受け、同条第二項の規定に基づき会員等に委託証拠金を預託した清算取次者 当該委託証拠金(当該清算取次者が預託を受けた当該清算取次証拠金の額の範囲内に限る。) (e) a clearing broker who has accepted a deposit of clearing brokerage margins from a consignor that makes a request to the clearing broker based on the provisions of Article 179, paragraph (4) of the Act and has deposited the consignor margins with members, etc. based on the provisions of paragraph (2) of that Article: the consignor margins (limited to within the scope of the amount of the clearing brokerage margins deposited with the clearing broker); 四 法第百三条第七項(法第百七十九条第七項において準用する場合を含む。)に規定する契約を締結し、法第百三条第九項(法第百七十九条第七項及び第八項において準用する場合を含む。)に基づき取引証拠金の預託の猶予を受けた場合にあっては、当該預託の猶予を受けた取引証拠金 (iv) in cases of concluding a contract prescribed in the provisions of Article 103, paragraph (7) of the Act (including as applied mutatis mutandis pursuant to Article 179, paragraph (7) of the Act) and obtaining a deposit deferral of clearing margins based on Article 103, paragraph (9) of the Act (including as applied mutatis mutandis pursuant to Article 179, paragraphs (7) and (8) of the Act): the clearing margins for which a deposit deferral was obtained; 五 委託者の計算による商品市場における取引であって決済を結了していないものに係る差損金(商品市場における取引等に関し、当該委託者から預託を受けた金銭、有価証券その他の物及び当該委託者の計算に属する金銭、有価証券その他の物と相殺することができるものに限る。) (v) a loss related to transactions in a commodity market on a consignor's account for which settlement is not completed (with regard to transactions, etc. in a commodity market, limited to those that can be offset against money, securities, and other property deposited by the consignor and against money, securities, and other property belonging to the consignor's account); and 六 委託者の計算による商品市場における取引に係る受渡しの決済のために商品取引所又は商品取引清算機関に預託されている金銭、有価証券その他の物 (vi) money, securities, and other property deposited with a commodity exchange or a commodity clearing organization for the settlement of delivery related to transactions in a commodity market on a consignor's account. 2 前項の場合において、有価証券の価額は、時価によるものとする。 (2) In cases referred to in the preceding paragraph, the value of the securities are to be based on the market value. 第九十八条 法第二百十条第一号の主務省令で定める措置(以下「委託者資産保全措置」という。)は、次に掲げるものとする。 Article 98 (1) The measures specified by order of the competent ministry as referred to in Article 210, item (i) of the Act (hereinafter referred to as "measures for consignor assets preservation") are as follows: 一 信託会社又は信託業務を営む金融機関に信託する契約(以下この条、第九十八条の三及び第百三十九条において「信託契約」という。)を締結すること(次に掲げる要件を満たすものに限る。)。 (i) concluding a contract of trust (hereinafter referred to as the "trust contract" in this Article, Article 98-3, and Article 139) with a trust company or a financial institution engaged in trust business (limited to contracts that satisfy the following requirements): イ 信託契約は、商品先物取引業者を委託者とし、信託会社又は信託業務を営む金融機関を受託者とし、かつ、当該商品先物取引業者に対し商品市場における取引等を委託した者(以下この号において「取引委託者」という。)を元本の受益者とすること。 (a) for the trust contract, a commodity derivatives business operator is the consignor, a trust company or a financial institution engaged in trust business is the trustee, and the person who entrusted the transactions, etc. in a commodity market to the commodity derivatives business operator (hereinafter referred to as the "transaction consignor" in this item) is the beneficiary of the principal; ロ 信託契約において、当該商品先物取引業者の役職員のうちから指定された者(商品先物取引業者が委託者資産保全措置として信託契約を複数締結する場合には、これらの信託契約に係る受益者代理人を同一の者とする。)及び委託者保護基金(当該商品先物取引業者が会員として加入している委託者保護基金に限る。以下この条において同じ。)を受益者代理人とすること。 (b) for the trust contract, a person who is appointed from among the officers and employees of the commodity derivatives business operator (if a commodity derivatives business operator concludes multiple trust contracts as measures for consignor assets preservation, the same person is to be assigned as the agent for a beneficiary of a trust related to these trust contracts) and a consignor protection fund (limited to a consignor protection fund which the commodity derivatives business operator joined as a member; hereinafter the same applies in this Article) are the agents for a beneficiary of a trust; ハ ロの規定にかかわらず、商品先物取引業者が通知商品先物取引業者(法第三百四条に規定する通知商品先物取引業者をいう。以下同じ。)に該当することとなった場合にあっては、委託者保護基金が特に認める場合を除き、当該委託者保護基金のみを受益者代理人とすること。 (c) if a commodity derivatives business operator becomes a commodity futures derivatives business operator subject to a notice (meaning a commodity derivatives business operator subject to a notice prescribed in the provisions of Article 304 of the Act; the same applies hereinafter) notwithstanding the provisions of (b), only the consignor protection fund is to be assigned as the agent for a beneficiary of a trust, unless otherwise specifically permitted by the consignor protection fund; ニ 信託財産の運用を次のいずれかの方法に限る金銭信託とすること。ただし、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)第六条の規定により元本の補てんの契約をした金銭信託とする場合は、この限りでない。 (d) the trust property is to be a money trust whose investment is limited to one of the following methods; provided, however, that this does not apply if it is a money trust with a contractual agreement for the compensation of principal pursuant to the provisions of Article 6 of the Act on Engagement in Trust Business by Financial Institutions (Act No. 43 of 1943): (1) 国債その他主務大臣の指定する有価証券の保有 1. holding Japanese government bonds and other securities designated by the competent minister; (2) 主務大臣の指定する銀行その他の金融機関への預金 2. depositing money in a bank or other financial institutions designated by the competent minister; and (3) その他主務大臣の定める方法 3. other methods specified by the competent minister; ホ 信託財産の元本の評価額は、当該信託の元本金額とすること。 (e) the appraised amount of the principal of the trust property is to be the amount of the principal of the trust; ヘ 信託契約の解除又は一部の解除は、次に掲げる場合において、あらかじめ受益者代理人である委託者保護基金の承認を受けたときでなければ、行ってはならないものとすること。 (f) in the following cases, the cancellation of a trust contract or the cancellation of a part of a trust contract may not be carried out unless the consignor protection fund which is the agent for a beneficiary of a trust gives its approval in advance: (1) 信託財産の元本の評価額が信託必要額(当該商品先物取引業者の保全対象財産の額から他の委託者資産保全措置を講じている額を控除した額をいう。)を超過する場合に、当該超過額に相当する金額の範囲内で信託契約の解除又は一部の解除を行おうとする場合 1. when the appraised value of the trust fund's principal exceeds the necessary amount for the trust (meaning the amount calculated by deducting the amount for other measures for consignor assets preservation from the amount of the property subject to preservation of the commodity derivatives business operator), in cases where there is an intention to cancel the trust contract or a part of the trust contract within the scope of the amount equivalent to the excess amount; (2) 他の委託者資産保全措置に変更するために信託契約の解除又は一部の解除を行おうとする場合 2. in cases where there is an intention to cancel the trust contract or a part of the trust contract in order to change to another measure for consignor assets preservation; (3) 取引委託者の計算による商品市場における取引についての取引証拠金として商品取引所又は商品取引清算機関に預託するために信託契約の解除又は一部の解除を行おうとする場合 3. in cases where there is an intention to cancel the trust contract or a part of the trust contract in order to deposit funds as clearing margins for transactions in a commodity market on a transaction consignor's account with a commodity exchange or a commodity clearing organization; (4) 取引委託者の計算による商品市場における取引に係る商品取引所又は商品取引清算機関への取引差損金又は受渡し決済代金の支払いを行うために信託契約の解除又は一部の解除を行おうとする場合 4. in cases where there is an intention to cancel the trust contract or a part of the trust contract in order to pay for a transaction loss or a delivery settlement to a commodity exchange or a commodity clearing organization related to transactions in a commodity market on a transaction consignor's account; (5) 取引委託者から預託を受けた又は取引委託者の計算に属する金銭、有価証券その他の物を当該取引委託者に支払うために信託契約の解除又は一部の解除を行おうとする場合 5. in cases where there is an intention to cancel the trust contract or a part of the trust contract in order to pay the money, securities, or other property which were deposited by a transaction consignor or which belongs to a transaction consignor's account, to the transaction consignor; (6) 委託手数料の徴収その他受託に係る商品先物取引業者の取引委託者に対する権利の実行のために信託契約の解約又は一部の解除を行おうとする場合 6. in cases where there is an intention to cancel the trust contract or a part of the trust contract in order to collect commission fees or otherwise execute the rights of the commodity derivatives business operator related to the entrustment against a transaction consignor; ト 信託契約の変更は、あらかじめ受益者代理人である委託者保護基金の承認を受けたときでなければ、行ってはならないものとすること。 (g) the trust contract must not be changed unless the consignor protection fund which is the agent for a beneficiary of a trust gives its approval in advance; チ 信託契約に係る元本の受益権の行使は、商品先物取引業者が通知商品先物取引業者に該当することとなった場合その他受益者代理人である委託者保護基金が当該商品先物取引業者の有する取引委託者に対する委託者資産の返還に係る債務の円滑な弁済のために必要と判断した場合に、当該委託者保護基金がすべての取引委託者について一括して行使するものであること。この場合において、当該信託契約は、その目的を達成したものとして終了することを妨げない。 (h) when a commodity derivatives business operator has come to fall under a commodity derivatives business operator subject to a notice, or when a consignor protection fund which is the agent for a beneficiary of a trust judges that it is necessary for the smooth repayment of the commodity derivatives business operator's debts related to the return of the consignor 's assets to a transaction consignor, the beneficiary rights to the principal related to the trust contract are to be executed by the consignor protection fund for all transaction consignors in a lump sum. In such a case, the termination of the trust contract by considering that its purpose has been accomplished is not precluded; リ イからチまでに掲げるもののほか、委託者保護基金の業務規程で定める要件