金融商品取引業者営業保証金規則(平成十九年内閣府令・法務省令第三号)
Cabinet Office Ordinance on Securities Finance Companies(Ordinance of the Cabinet Office and the Ministry of Justice No. 3 of 2007)
最終更新:平成二十年内閣府・法務省令第二号
Last Version: Cabinet Office Ordinance No. 2 of 2008
目次
履歴
-
▶
-
平成27年4月20日
- 最終更新:平成二十年内閣府・法務省令第二号
- 翻訳日:平成22年12月15日
- 辞書バージョン:5.0
金融商品取引業者営業保証金規則
|
Cabinet Office Ordinance on Securities Finance Companies
|
平成十九年八月六日内閣府令・法務省令第三号
|
Ordinance of the Cabinet Office and the Ministry of Justice No. 3 of August 6, 2007
|
金融商品取引法(昭和二十三年法律第二十五号)第三十一条の二第十一項の規定に基づき、金融商品取引業者営業保証金規則を次のように定める。
|
Pursuant to the provisions of Article 31-2, paragraph (11) of the Financial Instruments and Exchange Act (Act No.25 of 1948), the Ordinance on Financial Services Providers' Deposit for Operation is established as follows.
|
(申立ての手続)
|
(Procedure for Application)
|
第一条金融商品取引法施行令(昭和四十年政令第三百二十一号。以下「令」という。)第十五条の十四第一項に規定する権利の実行の申立てをしようとする者は、別紙様式第一号による申立書に金融商品取引法(以下「法」という。)第三十一条の二第六項 の権利(以下「権利」という。)を有することを証する書面を添えて、金融商品取引業者(法第二条第九項に規定する金融商品取引業者をいい、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個人及び同条第三項に規定する投資助言・代理業のみを行う者に限る。以下同じ。)が現に受けている登録をした財務局長又は福岡財務支局長(以下「管轄財務局長」という。)に提出しなければならない。
|
Article 1A person who intends to apply for execution of right prescribed in Article 15-14, paragraph (1) of the Order for Enforcement of the Financial Instruments and Exchange Act (Cabinet Order No.321 of 1965; hereinafter referred to as the "Order") shall submit a written application prepared using appended form 1 by attaching a document proving that the person has the right set forth in Article 31-2, paragraph (6) of the Financial Instruments and Exchange Act (hereinafter referred to as the "Act") (such right shall be hereinafter referred to as the "Right") to the Director-General of the Local Finance Bureau or the Director-General of the Fukuoka Local Finance Branch Bureau with whom the Financial Services Provider (meaning Financial Services Provider prescribed in Article 2, paragraph (9) of the Act, limited to individuals who intend to engage in Type II Financial Instruments Business prescribed in Article 28, paragraph (2) of the Act and persons who intend to only engage in Investment Advisory and Agency Business prescribed in paragraph (3) of that Article; the same shall apply hereinafter) is currently registered (hereinafter referred to as the "Director-General of the Local Finance Bureau of Competent Jurisdiction").
|
(申出の手続)
|
(Procedure for Reporting)
|
第二条令第十五条の十四第二項に規定する権利の申出をしようとする者は、別紙様式第二号による申出書に権利を有することを証する書面を添えて、管轄財務局長に提出しなければならない。
|
Article 2A person who intends to report the person's Right under the provisions of Article 15-14, paragraph (2) of the Order shall submit to the Director-General of the Local Finance Bureau of Competent Jurisdiction a written report prepared using appended form 2 by attaching a document proving that the person has the Right.
|
(仮配当表)
|
(Provisional Distribution Table)
|
第三条令第十五条の十四第四項の規定による権利の調査のため、管轄財務局長は、令第十五条の十四第二項の期間が経過した後、遅滞なく、仮配当表を作成し、これを公示し、かつ、供託者(供託者が法第三十一条の二第四項の命令により同条第三項の契約に基づき金融商品取引業者のために同条第一項の営業保証金の全部を供託している場合にあっては、当該金融商品取引業者を含む。次条及び第七条において同じ。)に通知しなければならない。
|
Article 3In order to carry out the investigation of Right under the provisions of Article 15-14, paragraph (4) of the Order, the Director-General of the Local Finance Bureau of Competent Jurisdiction shall prepare a provisional distribution table, give public notice thereof, and give notice thereof to the depositor without delay after the expiration of the period set forth in Article 15-14, paragraph (2) of the Order (in cases where the depositor has deposited the entire deposit for operation referred to in Article 31-2, paragraph (1) of the Act for a Financial Services Provider under the contract referred to in paragraph (3) of that Article pursuant to the order under paragraph (4) of that Article, including said Financial Services Provider; the same applies in the following Article and Article 7).
|
(意見聴取会)
|
(Hearing Session)
|
第四条令第十五条の十四第四項の規定による権利の調査の手続は、管轄財務局長の指名する職員が議長として主宰する意見聴取会によって行う。
|
Article 4(1)The procedure for the investigation of Right under the provisions of Article 15-14, paragraph (4) of the Order is conducted through a hearing session which an official designated by the Director-General of the Local Finance Bureau of Competent Jurisdiction presides over as the chairperson.
|
(2)When the person who has filed an application under the provisions of Article 15-14, paragraph (1) of the Order (referred to as "Applicant" in Article 17, paragraph (2)), the person who has reported the person's Right within the period set forth in Article 15-14, paragraph (2) of the Order or the representative person of the depositor (hereinafter collectively referred to as the "person concerned") is unable to attend the hearing session due to illness or any other compelling reason, said person concerned may submit an affidavit, which the person has signed and sealed, in lieu of making a statement at the hearing session.
|
|
一意見聴取会の事案の表示
|
(i)Indication of the case concerning the hearing session;
|
二意見聴取会の期日及び場所
|
(ii)Date and place of the hearing session;
|
三議長の職名及び氏名
|
(iii)Job title and name of the chairperson;
|
四出席した関係人の氏名及び住所
|
(iv)Names and domiciles of the persons concerned who were present;
|
五その他の出席者の氏名
|
(v)Names of any other persons present;
|
六陳述された意見の要旨
|
(vi)Gist of the opinions stated;
|
七口述書が提出された場合にあっては、その旨及びその要旨
|
(vii)If any affidavit has been submitted, a statement to that effect and the gist thereof;
|
八証拠が提示された場合にあっては、その旨及び証拠の標目
|
(viii)If any evidence has been produced, a statement to that effect and a list of the evidence; and
|
九その他議長が必要と認める事項
|
(ix)Other matters found to be necessary by the chairperson.
|
(配当の実施)
|
(Distribution)
|
第十条金融商品取引業者に係る営業保証金のうちに、法第三十一条の二第三項の契約を当該金融商品取引業者と締結している者が供託した営業保証金がある場合には、管轄財務局長は、まず当該金融商品取引業者が供託した営業保証金につき配当を実施しなければならない。
|
Article 10In the case where the deposit for operation pertaining to a Financial Services Provider includes a deposit for operation deposited by a person who has concluded a contract referred to in Article 31-2, paragraph (3) of the Act with said Financial Services Provider, the Director-General of the Local Finance Bureau of Competent Jurisdiction shall first distribute the deposit for operation deposited by the Financial Services Provider.
|
(配当の手続)
|
(Procedure of Distribution)
|
第十一条管轄財務局長は、配当の実施のため、供託規則(昭和三十四年法務省令第二号)第二十七号書式、第二十八号書式又は第二十八号の二書式により作成した支払委託書を供託所に送付するとともに、配当を受けるべき者に供託規則第二十九号書式により作成した証明書を交付しなければならない。
|
Article 11(1)The Director-General of the Local Finance Bureau of Competent Jurisdiction shall, for the purpose of implementing distribution, send a payment entrustment document prepared using form 27, form 28 or form 28-2 of the Deposit Ordinance (Ordinance of the Ministry of Justice No.2 of 1959) to the deposit office and deliver certificates prepared using form 29 of the Deposit Ordinance to persons who are to receive the distribution.
|
(3)When the Director-General of the Local Finance Bureau of Competent Jurisdiction has conducted the procedure set forth in paragraph (1), the Director-General shall send a written notice prepared using appended form 3 by attaching a copy of the payment entrustment document to the Financial Services Provider.
|
|
(有価証券の換価)
|
(Conversion of Securities into Money)
|
第十二条管轄財務局長は、令第十五条の十四第七項の規定により有価証券(その権利の帰属が社債、株式等の振替に関する法律(平成十三年法律第七十五号)の規定による振替口座簿の記載又は記録により定まるものとされる国債(以下「振替国債」という。)を含む。以下同じ。)を換価するためその還付を受けようとするときは、供託物払渡請求書二通を供託所に提出しなければならない。
|
Article 12(1)When the Director-General of the Local Finance Bureau of Competent Jurisdiction intends to receive return of securities (including a national government bond where the ownership of the right for said bond is based on the statement or record in the book-entry transfer account registry under the provisions of the Act on Transfer of Bonds, Shares, etc. (Act No.75 of 2001) (hereinafter referred to as a "book-entry transfer national government bond"); the same applies hereinafter) in order to convert them into money pursuant to the provisions of Article 15-14, paragraph (7) of the Order, the Director-General shall submit to the deposit office two copies of written request for paying out of deposited property.
|
(営業保証金の取戻し)
|
(Reclaiming of Deposit for Operation)
|
第十三条金融商品取引業者又は当該金融商品取引業者のために営業保証金を供託した者は、令第十五条の十五第一項各号に掲げる場合のほか、当該金融商品取引業者が主たる営業所又は事務所の位置の変更により法第三十一条の二第一項に規定する供託所を変更し、かつ、当該変更後の供託所に営業保証金の全部を供託した場合(外国法人又は外国に住所を有する個人にあっては、国内における主たる営業所若しくは事務所の位置の変更又は国内における営業所若しくは事務所の設置若しくは廃止により令第十七条の十六の規定により読み替えて適用する法第三十一条の二第一項に規定する供託所を変更し、かつ、当該変更後の供託所に営業保証金の全部を供託した場合)に該当することとなったときは、その供託していた営業保証金の全部を、管轄財務局長の承認を受けて取り戻すことができる。
|
Article 13A Financial Services Provider or a person who has deposited a deposit for operation for said Financial Services Provider may, in addition to cases referred in the items of Article 15-15, paragraph (1) of the Order, Financial Services Providerreclaim the entire deposit for operation that had been deposited with the approval of the Director-General of the Local Finance Bureau of Competent Jurisdiction when said Financial Services Provider has come to fall under the case of the deposit office prescribed in Article 31-2, paragraph (1) of the Act being changed due to changes in the location of its principal business office or office and the entire deposit for operation being deposited with the deposit office after said change (for a foreign juridical person or an individual domiciled in a foreign state, the case of the deposit office prescribed in Article 31-2, paragraph (1) of the Act applied by replacing certain terms pursuant to the provisions of Article 17-16 of the Order being changed due to changes in the location of its principal business office or office in Japan or establishment or abolition of a business office or office in Japan and the entire deposit for operation being deposited with the deposit office after said change),
|
Article 14(1)When a Financial Services Provider or its successor or a person who has deposited a deposit for operation for said Financial Services Provider intends to obtain the approval of the Director-General of the Local Finance Bureau of Competent Jurisdiction pursuant to the provisions of Article 15-15 of the Order and the preceding Article, said Financial Services Provider or its successor or said person shall submit to the Director-General of the Local Finance Bureau of Competent Jurisdiction a written application for approval using appended form 4, stating the ground for the reclaiming and the amount of deposit money to be reclaimed or the name, quantity, total face value, etc. of the deposited securities to be reclaimed (the brand, amount, etc. shall be stated in the case of a book-entry transfer national government bond).
|
|
(2)In cases where the written application for approval referred to in the preceding paragraph has been submitted (excluding cases in which the written application for approval referred to in the preceding paragraph has been submitted when the case prescribed in the preceding Article applies; hereinafter the same shall apply in this paragraph), the Director-General of the Local Finance Bureau of Competent Jurisdiction shall give public notice of the fact that the person who has any right prescribed in Article 15-15 of the Order or in Article 14 is to report the person's right within a certain period of not less than the respective periods prescribed in the following items according to the cases set forth therein, and is to be excluded from the distribution procedure if the person fails to make the report within said period:
|
|
一令第十五条の十五第一項の規定による承認の申請があった場合六月
|
(i)in cases where an application for approval pursuant to the provisions of Article 15-15, paragraph (1) of the Order has been filed:six months
|
二令第十五条の十五第二項の規定による承認の申請があった場合一月
|
(ii)in cases where an application for approval pursuant to the provisions of Article 15-15, paragraph (2) of the Order has been filed:one month
|
(4)The Director-General of the Local Finance Bureau of Competent Jurisdiction shall, when the report has been made within the period referred to in paragraph (2), conduct the procedure to pay out the deposit for operation to the relevant person in compliance with the provisions of Article 15-14, paragraphs (4) to (6) inclusive of the Order and Articles 3 to 12 inclusive.
|
|
(5)When the Director-General of the Local Finance Bureau of Competent Jurisdiction has conducted the procedure set forth in the preceding three paragraphs, or is found to fall under the case set forth in the preceding Article, the Director-General shall deliver a letter of approval prepared using appended form 6 to the person who requested approval under paragraph (1).
|
|
Article 15It shall be sufficient for a person who intends to reclaim a deposit for operation to attach the letter of approval that has been delivered under paragraph (5) of the preceding Article as the document to be attached to a written request for paying out of deposited property pursuant to the provisions of Article 25, paragraph (1) of the Deposit Ordinance.
|
|
(営業保証金の保管替え)
|
(Change in the Place of Retention of Deposit for Operation)
|
第十六条金銭のみをもって営業保証金を供託している者は、当該営業保証金に係る金融商品取引業者の本店その他の主たる営業所又は事務所の所在地について変更があったためその最寄りの供託所に変更があり、当該営業保証金を供託している供託所に対し、営業保証金の供託の保管替えを請求しようとするときは、遅滞なく管轄財務局長にその旨を届け出なければならない。
|
Article 16(1)When, due to a change in the location of the head office or other principal business office or offices of the Financial Services Provider pertaining to said deposit for operation, the deposit office nearest thereto has changed, and the depositor intends to request the deposit office to which the depositor has deposited said deposit for operation to change the place of retention thereof, a depositor who has deposited deposit for operation in the form of money alone shall notify to that effect to the Director-General of the Local Finance Bureau of Competent Jurisdiction without delay.
|
(2)When the notification set forth in the preceding paragraph has been given, the Director-General of the Local Finance Bureau of Competent Jurisdiction shall deliver an authenticated copy of the deposit document for said deposit for operation to the person who gave said notification excluding the case where the application for execution of Right set forth in Article 15-14 of the Order or the application for approval set forth in Article 15-15, paragraph (2) of the Order has been filed,.
|
|
(3)A person who has given the notification set forth in paragraph (1) shall request the deposit office to which the depositor has deposited said deposit for operation to change the place of retention thereof to the deposit office nearest to the head office or other principal business office or office of the Financial Services Provider after the change of the location, by prepaying the costs, without delay after receiving delivery of the authenticated copy of the deposit document pursuant to the provisions of the preceding paragraph,
|
|
(4)A person who has requested the change in the place of retention set forth in the preceding paragraph shall, without delay after completing the procedure of the change in the place of retention, submit to the Director-General of the Local Finance Bureau of Competent Jurisdiction a written notice prepared using appended form 7 by attaching an authenticated copy of the deposit document that has been delivered pursuant to the provisions of Article 21-5, paragraph (3) of the Deposit Ordinance.
|
|
(5)When the Director-General of the Local Finance Bureau of Competent Jurisdiction has received an authenticated copy of the deposit document attached to the written notice set forth in the preceding paragraph, the Director-General shall deliver a retention certificate to the person who has requested said change in the place of retention.
|
|
(公示)
|
(Public Notice)
|
第十七条令第十五条の十四第二項、第四項及び第五項並びに第三条、第七条及び第十四条第二項に規定する公示は、官報に掲載することによって行う。
|
Article 17(1)The public notice prescribed in Article 15-14, paragraphs (2), (4) and (5) of the Order, Articles 3 and 7, and Article 14, paragraph (2) is given through publication in an official gazette.
|
(2)The expense for the public notice prescribed in the preceding paragraph is borne by the Applicant (in the case of reclaiming the deposit for operation, the person who intends to reclaim the same) and the person who reported the Right prescribed in Article 15-14, paragraph (2) of the Order or the right prescribed in Article 14, paragraph (2).
|
|
(供託規則の適用)
|
(Application of the Deposit Ordinance)
|
第十八条この規則に定めるもののほか、営業保証金の供託及び払渡しについては、供託規則の手続による。
|
Article 18In addition to what is provided for in this Ordinance, the procedures under the Deposit Ordinance applies to deposit and paying out of deposit for operation.
|