一当該元引受契約に係る有価証券の発行価額又は有価証券の売出し若しくは特定投資家向け売付け勧誘等の価額の総額（当該元引受契約が令第十五条第三号に掲げる契約である場合にあっては、同号に規定する新株予約権の行使に際して払い込むべき金額の合計額を含む。）のうち金融商品取引業者等及び外国証券業者の行う有価証券の引受けに係る部分の金額（以下この条において「引受総額」という。）が百億円を超える場合において他の者（資本金の額、基金の総額又は出資の総額が三十億円以上である者に限る。）と共同して当該協議を行うものであって、当該引受総額のうち自己の行う有価証券の引受けに係る部分の金額が百億円以下であるもの

(i)the Wholesale Underwriting of Securities for which the discussion is to be held jointly with another party (limited to a party whose amount of stated capital, total amount of funds or total amount of contribution is not less than three billion yen), in the case where, out of either of the total issue value of the Securities under the Wholesale Underwriting Contract or of the total value of the Secondary Distribution of Securities or the Solicitation for Selling, etc. Only for Professional Investors (in cases where such Wholesale Underwriting Contract is the contract listed in Article 15, item (iii) of the Cabinet Order, including the total amount to be paid upon the exercise of the share options prescribed in that item), the amount of the portion pertaining to the Underwriting of Securities by Financial Instruments Business Operators, etc. and Foreign Securities Service Providers (hereinafter referred to as the "Total Amount of Underwriting" in this Article) exceeds ten billion yen, provided that the amount of the portion pertaining to the Underwriting of Securities by the such party out of the Total Amount of Underwriting is ten billion yen or less; and

二引受総額が百億円以下である場合において当該協議を行うもの

(ii)cases where the Total Amount of Underwriting is ten billion yen or less, and about which the discussion is held.

一新株予約権付社債券

(i)bonds with share options; and

二外国の者の発行する証券又は証書で新株予約権証券又は新株予約権付社債券の性質を有するもの

(ii)securities or certificates issued by a foreign person, and which have the nature of share option certificates or bonds with share options.

一法第三十七条の七第一項第一号イ、第二号イ、第三号イ又は第四号イに定める業務に係る手続実施基本契約を締結する措置を講ずる当該手続実施基本契約の相手方である指定紛争解決機関の商号又は名称並びに加入する金融商品取引業協会（認可金融商品取引業協会又は認定金融商品取引業協会をいう。以下同じ。）及び対象事業者（法第七十九条の十一第一項に規定する対象事業者をいう。以下同じ。）となる認定投資者保護団体の名称

(i)the trade name or name of the Designated Dispute Resolution Organization with whom a Basic Contract for Implementation of Dispute Procedures is concluded for the purpose of taking the measures to conclude such Contract for Implementation of Dispute Procedures pertaining to the business specified in Article 37-7, paragraph (1), item (i), sub-item (a), item (ii), sub-item (a), item (iii), sub-item (a) or item (iv), sub-item (a) of the Act and the name of the Financial Instruments Firms Association (meaning the Authorized Financial Instruments Firms Association or Certified Financial Instruments Business Association; the same applies hereinafter) of which the registration applicant intends to become a member; and the name of the Certified Investor Protection Organization of which the registration applicant intends to become a Target Business Operator (meaning a Target Business Operator as defined in Article 79-11, paragraph (1) of the Act; the same applies hereinafter);

二会員又は取引参加者（以下「会員等」という。）となる金融商品取引所の名称又は商号

(ii)the name or trade name of the Financial Instruments Exchange of which the registration applicant intends to become a Member or Trading Participant (hereinafter referred to as the "Members, etc.");

三有価証券関連業を行う場合には、次に掲げる事項

(iii)in cases where the registration applicant intends to conduct a Securities-Related Business, the following matters:

四商品投資関連業務（令第三十七条第二項に規定する商品投資関連業務をいう。以下同じ。）を行う場合には、次に掲げる事項

(iv)in cases where the registration applicant intends to conduct a Business Related to Commodities Investment (meaning the Business Related to Commodities Investment defined in Article 37, paragraph (2) of the Cabinet Order; the same applies hereinafter), the following matters:

五法第百九十四条の六第二項各号に掲げる行為を業として行う場合には、その旨

(v)in cases where the registration applicant intends to conduct any of the acts listed in the items of Article 194-6, paragraph (2) of the Act in the course of trade, to that effect;

六不動産信託受益権等売買等業務（宅地（宅地建物取引業法（昭和二十七年法律第百七十六号）第二条第一号に掲げる宅地をいう。以下同じ。）若しくは建物に係る法第二条第二項第一号に掲げる権利（以下「不動産信託受益権」という。）又は組合契約、匿名組合契約若しくは投資事業有限責任組合契約に基づく権利のうち当該権利に係る出資対象事業が主として不動産信託受益権に対する投資を行うものの売買その他の取引に係る業務をいう。以下同じ。）を行う場合には、その旨

(vi)in cases where the registration applicant intends to conduct Business of Transaction, etc. of Beneficial Interest in Real Property Trust (meaning a business related to the purchase and sale or any other transaction of the rights specified in Article 2, paragraph (2), item (i) of the Act which relate to Building Lots (meaning Building Lots as defined in Article 2, item (i) of the Building Lots and Buildings Transaction Business Act (Act No. 176 of 1952); the same applies hereinafter) or buildings (hereinafter referred to as the "Beneficial Interest in Real Property Trust"), or a business related to the purchase and sale of or any other transaction of the rights under a Partnership Contract, Silent Partnership Contract or Limited Partnership Agreement for Investment whose Invested Business is primarily intended for investment in a Beneficial Interest in Real Property Trust; the same applies hereinafter), to that effect;

七不動産関連特定投資運用業（投資運用業（法第二条第八項第十二号イに掲げる契約に係る同号に掲げる行為及び同項第十四号に掲げる行為を行う業務を除く。）のうち、不動産信託受益権又は組合契約、匿名組合契約若しくは投資事業有限責任組合契約に基づく権利のうち当該権利に係る出資対象事業が主として不動産信託受益権に対する投資を行うものを投資の対象とするものをいう。以下同じ。）を行う場合には、その旨

(vii)in cases where the registration applicant intends to conduct a Specified Investment Management Business Related to Real Property (meaning an Investment Management Business (excluding a business to conduct the act specified in Article 2, paragraph (8) item (xii) of the Act pertaining to the contract specified in sub-item (a) of that item, or to conduct the act specified in item (xiv) of that paragraph) intended for investment in a Beneficial Interest in Real Property Trust, or in the rights under a Partnership Contract, Silent Partnership Contract or Limited Partnership Agreement for Investment whose Invested Business is primarily intended for investment in a Beneficial Interest in Real Property Trust; the same applies hereinafter), to that effect;

八特定引受行為（金融商品取引法第二条に規定する定義に関する内閣府令（平成五年大蔵省令第十四号）第十六条第一項第五号に掲げる行為をいう。）を行う場合には、その旨

(viii)in cases where the registration applicant intends to conduct Specific Underwriting (meaning the act specified in Article 16, paragraph (1), item (v) of the Cabinet Office Order on Definitions under Article 2 of the Financial Instruments and Exchange Act (Order of the Ministry of Finance No. 14 of 1993)), to that effect; and

九特定有価証券等管理行為（金融商品取引法第二条に規定する定義に関する内閣府令第十六条第一項第十四号に掲げる行為をいう。第百八十一条第一項第二号ロにおいて同じ。）を行う場合には、その旨

(ix)in cases where the registration applicant intends to conduct an Act of Management of Specified Securities, etc. (meaning the act specified in Article 16, paragraph (1), item (xiv) of the Cabinet Office Order on Definitions under Article 2 of the Financial Instruments and Exchange Act; the same applies in Article 181, paragraph (1), item (ii), sub-item (b)), to that effect.

十本店等の名称及び所在地

(x)the names and locations of its head office, etc.

一業務運営に関する基本原則

(i)the basic principles of business operation;

二業務執行の方法

(ii)the method of execution of business;

三業務分掌の方法

(iii)the method of allocation of business operations;

四業として行う金融商品取引行為の種類

(iv)the types of Acts of Financial Instruments Transaction to be conducted in the course of trade;

五苦情の解決のための体制（法第三十七条の七第一項第一号ロ、第二号ロ、第三号ロ又は第四号ロに定める業務に関する苦情処理措置及び紛争解決措置の内容を含む。）

(v)the system for handling complaints (including the contents of the Complaint Processing Measures and Dispute Resolution Measures concerning the business specified in Article 37-7, paragraph (1), item (i), sub-item (b), item (ii), sub-item (b), item (iii), sub-item (b) or item (iv), sub-item (b) of the Act);

六第一種金融商品取引業を行う場合には、次に掲げる事項

(vi)in cases where the registration applicant intends to conduct a Type I Financial Instruments Business, the following matters:

七第二種金融商品取引業を行う場合には、次に掲げる事項

(vii)in cases where the registration applicant intends to conduct a Type II Financial Instruments Business, the following matters:

八投資助言・代理業を行う場合には、次に掲げる事項

(viii)in cases where the registration applicant intends to conduct an Investment Advisory and Agency Business, the following matters:

九投資運用業を行う場合には、次に掲げる事項

(ix)in cases where the registration applicant intends to conduct an Investment Management Business, the following matters:

一業務に係る人的構成及び組織等の業務執行体制を記載した書面

(i)the documents stating the registration applicant's business execution system, such as its personnel structure and the organizational structure pertaining to the business;

二法人であるときは、次に掲げる書類

(ii)in cases where the registration applicant is a juridical person, the following documents:

三個人であるときは、次に掲げる書類

(iii)in cases where the registration applicant is an individual, the following documents:

四特定関係者（親法人等、子法人等及び持株会社（法第二十九条の四第一項第五号ニに規定する持株会社をいう。第百九十八条を除き、以下同じ。）をいい、第一種金融商品取引業を行う場合には、関係会社（第百七十七条第六項に規定する関係会社をいう。ヘにおいて同じ。）を含む。ホにおいて同じ。）の状況として次に掲げる事項を記載した書類

(iv)the document stating the status of the Persons in Specified Relationships (meaning the Parent Juridical Person, etc., Subsidiary Juridical Person, etc. and Holding Company (meaning the Holding Company defined in Article 29-4, paragraph (1), item (v), sub-item (d) of the Act; the same applies hereinafter except in Article 198); and in cases where the registration applicant intends to conduct a Type I Financial Instruments Business, Associated Company (meaning a Related Company as prescribed in Article 177, paragraph (6); the same applies in sub-item (f)); the same applies in sub-item (e)), as listed in the following items:

五競走用馬に係る商品投資関連業務を行う場合には、第十三条第三号に掲げる基準に該当しないことを証する書面

(v)in cases where the registration applicant intends to conduct a Business Related to Commodities Investment which pertains to racehorses, a document evidencing that the registration applicant does not fall under the criteria specified in Article 13, item (iii);

六不動産信託受益権等売買等業務を行う場合には、第十三条第四号に掲げる基準に該当しないことを証する書面

(vi)in cases where the registration applicant intends to conduct a Business of Transaction, etc. of Beneficial Interest in Real Property Trust, a document evidencing that the registration applicant does not fall under the criteria specified in Article 13, item (iv); and

七不動産関連特定投資運用業を行う場合における業務遂行能力に関する事項を記載した書面

(vii)a document stating the matters related to the registration applicant's ability to carry out the business, in cases where the registration applicant intends to conduct a Specified Investment Management Business Related to Real Property.

一最終の貸借対照表（関連する注記を含む。）及び損益計算書（関連する注記を含む。）

(i)the latest balance sheet (including notes in reference thereto) and the latest profit and loss statement (including notes in reference thereto);

二第一種金融商品取引業又は投資運用業を行う場合には、次に掲げる書類

(ii)in cases where the registration applicant intends to conduct a Type I Financial Instruments Business or Investment Management Business, the following documents:

三第一種金融商品取引業を行う場合には、次に掲げる書類

(iii)in cases where the registration applicant intends to conduct a Type I Financial Instruments Business, the following documents:

一トラックフォーマットについては、日本工業規格Ｘ六二二五に規定する方式

(i)with regard to the track format, the method designated by the JIS X6225; and

二ボリューム及びファイル構成については、日本工業規格Ｘ〇六〇五に規定する方式

(ii)with regard to volume and file configuration, the method designated by the JIS X0605.

一登録申請者の商号又は名称

(i)the trade name or name of the registration applicant; and

二申請年月日

(ii)the date of application.

一その行う業務に関する十分な知識及び経験を有する役員又は使用人の確保の状況並びに組織体制に照らし、当該業務を適正に遂行することができないと認められること。

(i)that the registration applicant is found not to be able to conduct the business in a proper manner, considering status of securing Officers or employees having sufficient knowledge and experience for conducting the business as well as its organizational structure;

二役員又は使用人のうちに、経歴、暴力団員による不当な行為の防止等に関する法律（平成三年法律第七十七号）第二条第二号に規定する暴力団又は同条第六号に規定する暴力団員との関係その他の事情に照らして業務の運営に不適切な資質を有する者があることにより、金融商品取引業の信用を失墜させるおそれがあると認められること。

(ii)that the registration applicant is found to be likely to cause a loss of confidence in a Financial Instruments Business, on the grounds of having any Officer or employee with qualities unfit for the operation of the business in light of such Officer's or employee's career, relationship with the Organized Crime Group set forth in Article 2, item (ii) of the Act on Prevention of Illegal Acts by Organized Crime Group Members (Act No. 77 of 1991) or relationship with the Organized Crime Group Members set forth item (vi) of that Article or any other circumstances;

三競走用馬に係る商品投資関連業務を行う場合には、次に掲げる要件に該当しないこと。

(iii)that, in cases where the registration applicant intends to conduct a Business Related to Commodities Investment pertaining to racehorses, such registration applicant does not fall under the following requirements:

四不動産信託受益権等売買等業務を行う場合には、次に掲げる要件に該当しないこと。

(iv)that, in cases where the registration applicant intends to conduct a Business of Transaction, etc. of Beneficial Interest in Real Property Trust, such registration applicant does not fall under the following requirements:

五不動産関連特定投資運用業を行う場合には、金融庁長官の定める要件に該当しないこと。

(v)that, in cases where the registration applicant intends to conduct a Specified Investment Management Business Related to Real Property, such registration applicant does not fall under the requirements specified by the Commissioner of the Financial Services Agency.

一金融商品取引責任準備金

(i)the Financial Instruments Transaction Liability Reserve;

二他に行っている事業に関し法令の規定により負債の部に計上することが義務付けられている引当金又は準備金のうち利益留保性の引当金又は準備金の性質を有するものがある場合には、当該引当金又は準備金

(ii)in cases where, in connection with any other business conducted by the registration applicant, such applicant has any allowance or reserve funds which are required to be inserted into the liabilities section under the laws and regulations and which may be characterized as retained earnings, such allowance or reserve funds;

一金銭債権又は市場価格のない債券について取立不能のおそれがある場合取立不能見込額を控除した金額

(i)in cases where any monetary claim, or bond certificate without a market price is likely to become uncollectible:the amount after the deduction of the estimate of the uncollectible amount.

二市場価格のない株式についてその発行会社の資産状態が著しく悪化した場合相当の減額をした金額

(ii)in cases where, with regard to shares without a market price, the status of the assets of the company issuing such shares has deteriorated substantially:the amount after an appropriate reduction.

三前二号以外の流動資産の時価が帳簿価額より著しく低い場合であって、その価額が帳簿価額まで回復することが困難と見られる場合当該時価

(iii)in cases where the market value of the current assets other than those specified in the preceding two items is substantially lower than the book value thereof, and where it is found unlikely that such value will recover to the level of the book value:such market value.

四第一号又は第二号以外の固定資産について償却不足があり、又は予測することのできない減損が生じた場合償却不足額を控除し、又は相当の減額をした金額

(iv)in cases where, with regard to the fixed assets other than those specified in item (i) or (ii), any underdepreciation or unpredictable impairment has arisen:the amount after deduction of the underdepreciation, or an amount after an appropriate reduction.

五繰延資産について償却不足がある場合償却不足額を控除した金額

(v)in cases where any underdepreciation with regard to deferred assets has arisen:the amount after deduction of the underdepreciation.

一役員若しくは使用人である者又はこれらであった者であって会社の財務及び営業又は事業の方針の決定に関して影響を与えることができるものが、当該会社の取締役若しくは執行役又はこれらに準ずる役職に就任していること。

(i)that any Officer or employee, or person who has formerly held such positions, who would have an influence on the decision on the company's financial policies and operational or business policies, has assumed the position of the company's director, executive officer or any other position equivalent thereto;

二会社に対して重要な融資を行っていること。

(ii)that any important loan has been extended to the company;

三会社に対して重要な技術を提供していること。

(iii)that any important technology is furnished to the company;

四会社との間に重要な営業上又は事業上の取引があること。

(iv)that there exists any important operational or business transactions with the company;

五その他会社の財務及び営業又は事業の方針の決定に対して重要な影響を与えることができることが推測される事実が存在すること。

(v)that there exists any other fact implying a material influence on decisions on the company's financial policies and operational or business policies.

一信託業（信託業法（平成十六年法律第百五十四号）第二条第一項に規定する信託業をいう。）を営む者が信託財産として保有する議決権（当該者が行使することができる権限又は行使について指図を行うことができる権限を有するものを除く。）

(i)the voting rights held by a person engaged in the Trust Business (meaning the Trust Business defined in Article 2, paragraph (1) of the Trust Business Act (Act No. 154 of 2004)) as the trust property (excluding the voting rights regarding which that person has been granted the authority to exercise, or the authority to give instruction as to the exercise thereof);

二法人の代表権を有する者又は法人の代理権を有する支配人が、当該代表権又は代理権に基づき、議決権を行使することができる権限若しくは議決権の行使について指図を行うことができる権限又は投資を行うのに必要な権限を有する場合における当該法人の所有する株式又は持分に係る議決権

(ii)the voting rights pertaining to the shares or equity owned by a juridical person, in cases where a person having the authority of representation for such juridical person or a manager having the authority to act as agent therefor has been granted the authority to exercise the voting rights or to give instruction as to the exercise thereof or the authority required for making an investment, based on such authority of representation or authority to act as agent;

三会社の役員又は従業員が当該会社の他の役員又は従業員と共同して当該会社の株式の取得（一定の計画に従い、個別の投資判断に基づかず、継続的に行われ、各役員又は従業員の一回当たりの拠出金額が百万円に満たないものに限る。）をした場合（当該会社が会社法（平成十七年法律第八十六号）第百五十六条第一項（同法第百六十五条第三項の規定により読み替えて適用する場合を含む。）の規定に基づき取得した株式以外の株式を取得したときは、金融商品取引業者に委託して行った場合に限る。）において当該取得をした会社の株式を信託された者が所有する当該会社の株式に係る議決権（当該信託された者が行使することができる権限又は行使について指図を行うことができる権限を有するものを除く。）

(iii)the voting rights pertaining to the company's shares owned by a person entrusted with such company's shares acquired (excluding the voting rights regarding which the person so entrusted has been granted the authority to exercise or the authority to give instruction as to the exercise thereof), in cases where an Officer or employee of the company has acquired the company's shares jointly with another Officer or employee of the company (limited to the acquisition under a certain program wherein the shares are continuously acquired without depending on the individual's Investment Decisions, and wherein the amount to be contributed by each of the Officers or employees on each occasion is less than one million yen) (in the case of acquisition of any share other than those acquired by the company pursuant to the provisions of Article 156, paragraph (1) of the Companies Act (Act No. 86 of 2005) (including the cases where it is applied by replacing certain terms under Article 165, paragraph (3) of that Act), the above is limited to the case where such acquisition was conducted based on an entrustment to a Financial Instruments Business Operator);

四相続人が相続財産として所有する株式又は持分（当該相続人（共同相続の場合を除く。）が単純承認（単純承認をしたものとみなされる場合を含む。）若しくは限定承認をした日までのもの又は当該相続財産の共同相続人が遺産分割を了していないものに限る。）に係る議決権

(iv)the voting rights pertaining to shares or equity owned by heirs as their inherited property (limited to the shares or equity owned prior to the day when the heir (excluding the case of a joint inheritance) gave an unqualified acceptance (including the cases where an unqualified acceptance is deemed to have been given) or a qualified acceptance, or the shares or equity which the coheirs of such inherited property have not yet divided);

五有価証券関連業を行う者が有価証券の引受けに係る業務により所有する株式（当該株式の払込期日（有価証券の売出し又は特定投資家向け売付け勧誘等の場合にあっては、受渡期日）の翌日（当該者が法第二条第六項第三号に掲げるものを行う場合にあっては、同号に規定する行使しない新株予約権に係る新株予約権証券を取得した日から起算して五日（日曜日及び令第十四条の五に規定する休日の日数は、算入しない。）を経過した日）以後に所有するものを除く。）に係る議決権

(v)the voting rights pertaining to the shares owned by a person engaged in a Securities-Related Business in the course of a business pertaining to the Underwriting of Securities (excluding shares owned on or after the day immediately following the payment date for said shares (or on or after the day immediately following the delivery date for said shares, in cases of the Secondary Distribution of Securities or Solicitation for Selling, etc. Only for Professional Investors) (in cases where the person in question implements the items listed in Article 2, paragraph (6), item (iii) of the Act, the day when five days (Sunday and the number of holidays defined in Article 14-5 of the Cabinet Order do not be included in the five days) elapse from the day when the share option certificates pertaining to unexercised share options as defined in that item are acquired)); and

六銀行等保有株式取得機構が保有する議決権

(vi)the voting rights held by the Banks' Shareholding Purchase Corporation.

一当該取得しようとする者が当該取得勧誘（法第二条第三項に規定する取得勧誘をいう。次号において同じ。）に応じて取得した当該有価証券を適格投資家以外の者に譲渡しないこと。

(i)The person who intends to acquire does not transfer the Securities that were acquired in response to said Solicitation for Acquisition (meaning the Solicitation for Acquisition defined in Article 2, paragraph (3) of the Act; the same applies in the following item) to persons other than Qualified Investors; and

二当該取得しようとする者が当該取得勧誘に応じて取得した当該有価証券を譲渡する場合には、その相手方に対し、当該有価証券の売付け勧誘等（法第二条第四項に規定する売付け勧誘等をいう。以下この号において同じ。）を行う者と当該売付け勧誘等に応じて当該有価証券の買付けを行おうとする者との間において、当該買付けを行おうとする者が買い付けた当該有価証券を適格投資家以外の者に譲渡を行わない旨を定めた譲渡に係る契約を締結することが買付けの条件とされていることを告知すべきこと。

(ii)in cases where a person who intends to acquire, transfers said Securities acquired in response to said Solicitation for Acquisition, it should be notified to the other party that it is a condition for purchase between a person who implements the Solicitation for Selling, etc. of said Securities (meaning the Solicitation for Selling, etc. defined in Article 2, paragraph (4) of the Act; hereinafter the same applies in this item) and a person who intends to purchase said Securities in response to the Solicitation for Selling, etc., to conclude a contract pertaining the transfer for which it is stipulated that the person who intends to purchase does not transfer said purchased Securities to a person other than Qualified Investors.

一取引の状況その他の事情から合理的に判断して、その保有する資産（第六十二条第二号イからトまでに掲げるものに限る。以下この条において同じ。）の合計額が百億円以上であると見込まれる存続厚生年金基金（厚生年金保険法（昭和二十九年法律第百十五号）第百三十六条の三第四項に規定する年金給付等積立金の管理及び運用の体制が整備され、かつ、同法第百七十六条第二項の規定による届出がされているものに限る。）及び企業年金基金

(i)judging reasonably from the status of the transactions or any other circumstances, the surviving employee's pension fund (limited to one for which management and investment system of pension benefit funds defined in Article 136-3, paragraph (4) of the Social Pension Insurance Act (Act No. 115 of 1954) has been developed and the notification defined in Article 136-3, paragraph (4) of that Act is submitted) and corporate pension funds, of those which the total amount of assets (limited to those listed in Article 62, item (ii), sub-items (a) through (g); hereinafter the same applies in this Article) is likely to be ten billion yen or more;

二次に掲げる要件のいずれかに該当する法人（存続厚生年金基金及び企業年金基金を除き、ロに該当するものにあっては、業務執行組合員等（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、匿名組合契約を締結した営業者又は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をいう。ロにおいて同じ。）として取引を行う場合に限る。）

(ii)a juridical person that corresponds to any of the following requirements (excluding the surviving employee's pension fund and corporate pension funds; in cases of a juridical person that corresponds to (b), limited to cases where it transacts as an Operating Partner, etc. (meaning a partner who has concluded a partnership contract and is designated for the execution of operations of the partnership, a proprietor of a business who has concluded a silent partnership agreement, or a partner who has concluded a Limited Liability Partnership Agreement, is involved in the decision-making on the execution of the important business of the partnership, and personally executes such business; the same applies in sub-item (b) )):

三次に掲げる要件のいずれかに該当する個人（ロに該当するものにあっては、業務執行組合員等（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、匿名組合契約を締結した営業者若しくは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又は外国の法令に基づくこれらに類する者をいう。ロにおいて同じ。）として取引を行う場合に限る。）

(iii)an individual who corresponds to any of the following requirements (in cases of an individual who corresponds to sub-item (b), limited to cases where the individual transacts as an Operating Partner, etc. (meaning a partner who has concluded a partnership contract and is designated for the execution of operations of the partnership, a proprietor of a business who has concluded a silent partnership agreement or a partner who has concluded a Limited Liability Partnership Agreement, is involved in the decision-making on the execution of the important business of the partnership, and personally executes such business, and a person equivalent thereto based on foreign laws and regulations; the same applies in sub-item (b) )):

一私設取引システム運営業務において行う取引の種類

(i)the types of transactions to be conducted under the Proprietary Trading System Operation;

二私設取引システム運営業務を管理する責任者の氏名及び役職名

(ii)the name and job title of the person responsible for the management of the Proprietary Trading System Operation;

三私設取引システム運営業務を行う部署（私設取引システム運営業務の一部を他の者に委託する場合にあっては、その者を含む。）の名称及び組織の体制

(iii)the name and organizational structure of the section in charge of the Proprietary Trading System Operation (in the case where a part of the Proprietary Trading System Operation is to be entrusted to any other person, including such person);

四私設取引システム運営業務において取り扱う有価証券の種類、銘柄及び取引の最低単位

(iv)the types, issues and minimum transaction units of the Securities to be handled under the Proprietary Trading System Operation;

五私設取引システム運営業務に係る顧客との取引開始基準及び顧客の管理方法

(v)the Conditions for Starting Transactions with customers pertaining to the Proprietary Trading System Operation, and the methods of management of customers;

六売買価格の決定方法

(vi)the method of determination of the purchase and sale price;

七気配、売買価格その他の価格情報の公表方法

(vii)the method of publication of the price information such as quotes, purchase and sale price and others;

八私設取引システム運営業務において使用する電子情報処理組織の概要、設置場所、容量及び保守の方法並びに当該電子情報処理組織に異常が発生した場合の対処方法

(viii)the outline, location, volume and maintenance method of the electronic data processing system to be used for the Proprietary Trading System Operation, and the method of handling of the cases where there occurs any malfunction of such electronic data processing system;

九私設取引システム運営業務に係る有価証券の受渡しその他の決済の方法及び顧客の契約不履行が生じた場合の対処方法

(ix)the method of transfer or other settlement procedures for the Securities related to the Proprietary Trading System Operation, and the method of handling of the cases where there arises any customer's default in the performance of a contract;

十私設取引システム運営業務に係る取引記録の作成及び保存の方法

(x)the method for the preparation and preservation of the transaction records for the Proprietary Trading System Operation;

十一私設取引システム運営業務の執行状況について、検査を行う頻度、部署の名称及び体制

(xi)the frequency of the inspection on the status of the execution of the Proprietary Trading System Operation, and the name and structure of the section in charge of such inspection; and

十二その他私設取引システム運営業務に係る損失の危険の管理又は取引の公正の確保に関する重要な事項

(xii)any other important matter related to the risk management concerning loss or to assurance of fairness of the transactions, in regard to the Proprietary Trading System Operation.

一私設取引システム運営業務を管理する責任者の履歴書

(i)the resume of a person responsible for the management of the Proprietary Trading System Operation;

二私設取引システム運営業務に関する社内規則

(ii)the internal rules regarding the Proprietary Trading System Operation;

三私設取引システム運営業務に関し顧客と取引を行う際に使用する契約書類

(iii)the contracts to be used for transactions with customers, in connection with the Proprietary Trading System Operation; and

四前条第八号に掲げるものに関する認可申請者と特別の利害関係のない者の評価書

(iv)the appraisal statement on matters specified in item (viii) of the preceding Article, which is prepared by a person having no special interest in the authorization applicant.

一第十七条第五号、第八号及び第十号に掲げるもの

(i)the matters specified in Article 17, item (v), (viii) or (x); and

二その他私設取引システム運営業務に係る取引の公正の確保に関する重要な事項

(ii)any other important matters related to the assurance of the fairness of transactions to be conducted under the Proprietary Trading System Operation.

一法第二十九条の二第一項第一号に掲げる事項について変更があった場合当該変更に係る事項を記載した登記事項証明書（個人であるときは、住民票の抄本）又はこれに代わる書面

(i)in cases where there has been any change to the matters specified in Article 29-2, paragraph (1), item (i) of the Act:the certificate of the registered matters (in cases of an individual, an extract copy of the certificate of residence) containing the particulars so changed, or any other document in lieu thereof;

二法第二十九条の二第一項第二号に掲げる事項について変更があった場合当該変更に係る事項を記載した登記事項証明書又はこれに代わる書面

(ii)in cases where there has been any change to the matters specified in Article 29-2, paragraph (1), item (ii) of the Act:the certificate of the registered matters containing the particulars so changed, or any other document in lieu thereof;

三法第二十九条の二第一項第三号又は第四号に掲げる事項について変更があった場合　次に掲げる書類

(iii)in cases where there has been any change to the matters specified in Article 29-2, paragraph (1), item (iii) or (iv) of the Act: the following documents:

四法第二十九条の二第一項第六号に掲げる事項について変更があった場合（営業所又は事務所の廃止をした場合に限る。）当該変更に伴う顧客勘定の処理の内容を記載した書面

(iv)in cases where there has been any change to the matters specified in Article 29-2, paragraph (1), item (vi) of the Act (limited to the cases where the business office or other office has been abolished):a document containing the details of the treatment of a customer's account incidental to such change;

五第七条第四号ニに掲げる事項について変更があった場合（競走用馬投資関連業務を行うこととなった場合に限る。）第十三条第三号に掲げる基準に該当しないことを証する書面

(v)in cases where there has been any change to the matters specified in Article 7, item (iv), sub-item (d) (limited to the cases where the Financial Instruments Business Operator has come to be engaged in the Business Related to Investment in Racehorses):a document evidencing that it does not fall under the criteria specified in Article 13, item (iii);

六第七条第六号に掲げる事項について変更があった場合（不動産信託受益権等売買等業務を行うこととなった場合に限る。）第十三条第四号に掲げる基準に該当しないことを証する書面

(vi)in cases where there has been any change to the matters specified in Article 7, item (vi) (limited to the cases where the Financial Instruments Business Operator has come to be engaged in the Business of Transaction, etc. of Beneficial Interest in Real Property Trust):a document evidencing that it does not fall under the criteria specified in Article 13, item (iv);

七第七条第七号に掲げる事項について変更があった場合（不動産関連特定投資運用業を行うこととなった場合に限る。）不動産関連特定投資運用業を行う場合における業務遂行能力に関する事項を記載した書面

(vii)in cases where there has been any change to the matters specified in Article 7, item (vii) (limited to the cases where the Financial Instruments Business Operator has come to be engaged in the Specified Investment Management Business Related to Real Property):a document containing the matters related to the ability to execute the business in cases of conducting the Specified Investment Management Business Related to Real Property;

一法第二十九条の四第一項各号（第一号から第三号まで及び第五号ハを除く。）のいずれにも該当しないことを誓約する書面

(i)a document in which the Financial Instruments Business Operator pledges that it does not fall under any of the items of Article 29-4, paragraph (1) of the Act (excluding items (i) through (iii), and sub-item (c) of item (v));

二第八条各号に掲げるものを記載した書類

(ii)a document stating the matters specified in the items of Article 8; and

三第九条各号及び第十条第一項各号に掲げる書類

(iii)a document as specified in the items of Article 9 and the items of Article 10, paragraph (1).

一商号

(i)the trade name;

二登録年月日及び登録番号

(ii)the registration date and registration number; and

三変更の内容及び理由

(iii)the particulars and reasons for change.

一金融商品取引業者が令第十五条の十三第三号の承認（次号において「承認」という。）を受けて法第三十一条の二第三項の契約（以下この号及び次号において「契約」という。）の内容を変更したことにより、同条第十項に規定する供託した営業保証金の額（同条第三項に規定する契約金額を含む。）が令第十五条の十二に定める額に不足した場合当該契約の内容を変更した日

(i)in cases where the Financial Instruments Business Operator has changed any of the terms of the contract under Article 31-2, paragraph (3) of the Act (hereinafter referred to as the "Contract" in this and the following item) with an approval under Article 15-13, item (iii) of the Cabinet Order (hereinafter referred to as the "Approval" in the following item), as a result of which the amount of deposit for operation deposited as set forth in Article 31-2, paragraph (10) of the Act (including the Contract Amount set forth in paragraph (3) of that Article) has become less than the amount set forth in Article 15-12 of the Cabinet Order:the day when the term of the Contract was changed;

二金融商品取引業者が承認を受けて契約を解除した場合当該契約を解除した日

(ii)in cases where the Financial Instruments Business Operator has cancelled the Contract with the Approval:the day of the cancellation of the Contract;

三令第十五条の十四の権利の実行の手続が行われた場合金融商品取引業者が金融商品取引業者営業保証金規則（平成十九年内閣府・法務省令第三号）第十一条第三項の支払委託書の写しの送付を受けた日

(iii)in cases where the procedures for execution of the right as set forth in Article 15-14 of the Cabinet Order is implemented:the day when the Financial Instruments Business Operator received a copy of the payment entrustment document sent pursuant to the provisions of Article 11, paragraph (3) of the Regulation on Security Deposits by Financial Instruments Business Operators (Order of the Cabinet Office and the Ministry of Justice No. 3 of 2007);

四令第十五条の十四の権利の実行の手続を行うため所管金融庁長官等が供託されている有価証券（社債、株式等の振替に関する法律（平成十三年法律第七十五号）第二百七十八条第一項に規定する振替債を含む。）の換価を行い、換価代金から換価の費用を控除した額を供託した場合金融商品取引業者が金融商品取引業者営業保証金規則第十二条第四項の規定による通知を受けた日

(iv)in cases where, for the purpose of implementing procedures for the execution of the rights as set forth in Article 15-14 of the Cabinet Order, the Commissioner of Financial Services Agency or Other Competent Official has realized the deposited Securities (including the book-entry transferred bond set forth in Article 278, paragraph (1) of the Act on Transfer of Corporate Bonds, Shares, etc. (Act No. 75 of 2001)), and has deposited the realized amount after deducting the realization expenses:the day on which the Financial Instruments Business Operator has received a notice under Article 12, paragraph (4) of the Regulation on Security Deposits by Financial Instruments Business Operators; or

五金融商品取引業者（投資助言・代理業のみを行う個人に限る。）が第二種金融商品取引業を行う者として法第三十一条第四項の変更登録を受けた場合当該変更登録を受けた日

(v)in cases where a Financial Instruments Business Operator (limited to an individual only engaged in an Investment Advisory and Agency Business) has obtained a registration of change under Article 31, paragraph (4) of the Act, as a person engaged in a Type II Financial Instruments Business:the day when such operator obtained the registration of change.

一国債証券

(i)national government bond securities;

二地方債証券

(ii)municipal bond securities;

三政府保証債券（法第二条第一項第三号に掲げる有価証券のうち政府が元本の償還及び利息の支払について保証しているものをいう。第六十五条第一号ハにおいて同じ。）

(iii)government guaranteed bond certificates (meaning the Securities specified in Article 2, paragraph (1), item (iii) of the Act, for which the government guarantees redemption of principal and interest payments; hereinafter the same applies in Article 65, item (i), sub-item (c));

四金融庁長官が指定した社債券その他の債券（記名式のもの及び割引の方法により発行されるもの並びに前号に掲げるものを除く。）

(iv)corporate bond certificates or any other bond certificates designated by the Commissioner of the Financial Services Agency (excluding a registered bond certificate and a bond certificates issued by way of discounting, and also excluding the bonds certificates specified in the preceding item).

一前条第一号に掲げる有価証券額面金額（その権利の帰属が社債、株式等の振替に関する法律の規定による振替口座簿の記載又は記録により定まるものとされるものにあっては、振替口座簿に記載又は記録された金額。以下この条において同じ。）

(i)the Securities specified in item (i) of the preceding Article:the face value thereof (in cases where the attribution of the right pertaining to such Securities is to be determined in accordance with the statement or record of the book-entry transfer account book as referred to in the Act on Transfer of Corporate Bonds, Shares, etc., the amount stated or recorded in the book-entry transfer account book; hereinafter the same applies in this Article);

二前条第二号に掲げる有価証券額面金額百円につき九十円として計算した額

(ii)the Securities specified in item (ii) of the preceding Article:the amount calculated by discounting the face value of 100 yen to 90 yen;

三前条第三号に掲げる有価証券額面金額百円につき九十五円として計算した額

(iii)the Securities specified in item (iii) of the preceding Article:the amount calculated by discounting the face value of 100 yen to 95 yen;

四前条第四号に掲げる有価証券額面金額百円につき八十円として計算した額

(iv)the Securities specified in item (iv) of the preceding Article:the amount calculated by discounting the face value of 100 yen to 80 yen.

一氏名

(i)the person's name;

二金融商品取引業者の商号

(ii)the trade name of the Financial Instruments Business Operator;

三金融商品取引業者における役職名

(iii)the title of the position assumed at the Financial Instruments Business Operator;

四兼職先の商号

(iv)the trade name of the other company at which the person concurrently assumes the position of Officer;

五兼職先における役職名及び代表権の有無

(v)the title of the position assumed at the company of which the person concurrently assumes the position, and information as to whether such person has been granted the authority of representation; and

六就任年月日及び任期

(vi)the date of assumption of office, and the term of office.

一氏名

(i)the person's name;

二金融商品取引業者の商号

(ii)the trade name of the Financial Instruments Business Operator;

三金融商品取引業者における役職名

(iii)the title of the position assumed at the Financial Instruments Business Operator;

四変更の内容

(iv)the particulars of the change; and

五変更年月日

(v)the date of the change.

一氏名

(i)the person's name;

二金融商品取引業者の商号

(ii)the trade name of the Financial Instruments Business Operator;

三金融商品取引業者における役職名

(iii)the title of the position assumed at the Financial Instruments Business Operator;

四兼職をしていた会社の商号

(iv)the trade name of the company at which the person concurrently held the position of Officer;

五兼職をしていた会社における役職名及び代表権の有無

(v)the title of the position assumed at the company of which the person concurrently held the position, and information as to whether such person had been granted the authority of representation; and

六退任年月日

(vi)the date of resignation.

一専ら次に掲げるいずれかの者の金融商品取引業等又は金融商品仲介業の遂行のための業務を行っている者

(i)a person solely engaged in a business for the execution of the Financial Instruments Business, etc. or the Financial Instruments Intermediary Service of any of the following parties:

二専ら次に掲げるいずれかの者の業務（金融商品取引業等及び金融商品仲介業を除く。）の遂行のための業務（非公開情報（発行者又は自己の行う金融商品取引業等若しくは金融商品仲介業の顧客に関するものに限る。）に関連するものを除く。）を行っている者

(ii)a person solely engaged in a business (excluding a business related to the Non-Disclosure Information (limited to information which relates to customers of a Financial Instruments Business, etc. or a Financial Instruments Intermediary Service conducted by the Issuer or by the party itself)) related to the execution of the business of any of the following parties (excluding a Financial Instruments Business, etc. and a Financial Instruments Intermediary Service):

三外国の法人その他の団体であって、国内に営業所、事務所その他これらに準ずるものを有していない者

(iii)a juridical person or any other organization of a foreign state which has no business office, office or any other establishment equivalent thereto in Japan.

一他の会社等（破産手続開始の決定、再生手続開始の決定又は更生手続開始の決定を受けた他の会社等その他これらに準ずる他の会社等であって、有効な支配従属関係が存在しないと認められるものを除く。以下この項において同じ。）の議決権の過半数を自己の計算において保有している会社等

(i)a Company, etc. which, on its own account, holds the majority of voting rights in another Company, etc. (excluding another Company, etc. which has been subject to an order for the commencement of bankruptcy proceedings, an order for the commencement of rehabilitation proceedings or an order for the commencement of reorganization proceedings or any other Company, etc. equivalent thereto, regarding which it is found that no effective controlling interest exists; hereinafter the same applies in this paragraph);

二他の会社等の議決権の百分の四十以上、百分の五十以下を自己の計算において保有している会社等であって、次に掲げるいずれかの要件に該当するもの

(ii)a Company, etc. which, on its own account, holds 40 percent or more but 50 percent or less of the voting rights in another Company, etc., and which falls under any of the following requirements:

三会社等が自己の計算において保有している議決権と当該会社等と出資、人事、資金、技術、取引等において緊密な関係があることにより当該会社等の意思と同一の内容の議決権を行使すると認められる者及び当該会社等の意思と同一の内容の議決権を行使することに同意している者が保有している議決権とを合わせて、他の会社等の議決権の過半数を占めている場合（当該会社等が自己の計算において議決権を保有していない場合を含む。）における当該会社等であって、前号ロからホまでに掲げるいずれかの要件に該当するもの

(iii)the Company, etc. which falls under any of the requirements specified in sub-items (b) through (e) of the preceding item, in the case where the voting rights held by the Company, etc. on its own account, and by the voting rights held by any person having a close relationship with the Company, etc. in terms of equity, personnel affairs, funding, technology, business transactions, etc. and therefore being likely to exercise its voting rights in concert with the intention of the Company, etc. and by any person having consented to exercise the voting rights in concert with the intention of the Company, etc. consist a majority of the voting rights in another Company, etc. (including the case where the Company, etc. does not hold voting rights on its own account).

一会社等（当該会社等の子会社等を含む。）が子会社等以外の他の会社等（破産手続開始の決定、再生手続開始の決定又は更生手続開始の決定を受けた子会社等以外の他の会社等その他これらに準ずる子会社等以外の他の会社等であって、当該会社等がその財務及び営業又は事業の方針の決定に対して重要な影響を与えることができないと認められるものを除く。以下この条において同じ。）の議決権の百分の二十以上を自己の計算において保有している場合における当該子会社等以外の他の会社等

(i)the other Company, etc. except for a Subsidiary Company, etc., in cases where a Company, etc. (including a Subsidiary Company, etc. of such Company, etc.) holds on its own account 20 percent or more of the voting rights in such other Company, etc. except for a Subsidiary Company, etc. (excluding another Company, etc. except for a Subsidiary Company, etc. which has been subject to an order for the commencement of bankruptcy proceedings, order for the commencement of rehabilitation proceedings or order for the commencement of reorganization proceedings, or another Company, etc. except for a Subsidiary Company, etc. equivalent thereto, in which case it is found that the Company, etc. would not be able to give any material impact on the decision on its financial policies and operational or business policies; hereinafter the same applies in this Article);

二会社等（当該会社等の子会社等を含む。）が子会社等以外の他の会社等の議決権の百分の十五以上、百分の二十未満を自己の計算において保有している場合における当該子会社等以外の他の会社等であって、次に掲げるいずれかの要件に該当するもの

(ii)the other Company, etc. except for a Subsidiary Company, etc. which falls under any of the following requirements, in the case where the Company, etc. (including a Subsidiary Company, etc. of such Company, etc.) holds on its own account 15 percent or more but less than 20 percent of the voting rights in another Company, etc. except for a Subsidiary Company, etc.:

三会社等（当該会社等の子会社等を含む。）が自己の計算において保有している議決権と当該会社等と出資、人事、資金、技術、取引等において緊密な関係があることにより当該会社等の意思と同一の内容の議決権を行使すると認められる者及び当該会社等の意思と同一の内容の議決権を行使することに同意している者が保有している議決権とを合わせて、子会社等以外の他の会社等の議決権の百分の二十以上を占めている場合（当該会社等が自己の計算において議決権を保有していない場合を含む。）における当該子会社等以外の他の会社等であって、前号イからホまでに掲げるいずれかの要件に該当するもの

(iii)the other Company, etc. except for a Subsidiary Company, etc. which falls under any of the requirements listed in sub-items (a) through (e) of the preceding item, in the case where 20 percent or more of the voting rights in such other Company except for a Subsidiary Company, etc. is constituted by the voting rights held by the Company, etc. (including a Subsidiary Company, etc. of such Company, etc.) on its own account, and by the voting rights held by any person having a close relationship with the Company, etc. in terms of equity, personnel affairs, funding, technology, business transactions, etc. and therefore is likely to exercise the voting rights in concert with the intention of the Company, etc. and by any person having consented to exercise the voting rights in concert with the intention of the Company, etc. (including the case where the Company, etc. does not hold voting rights on its own account).

一金銭の信託契約その他の契約又は法律の規定に基づき、会社等の議決権を行使することができる権限又は当該議決権の行使について指図を行うことができる権限を有する場合

(i)the cases where a person has been granted the authority to exercise the voting rights in the Company, etc. or the authority to give instructions as to the exercise thereof, under the provisions of a contract such as a monetary trust agreement or the laws;

二令第十五条の十に定める特別の関係にある者が会社等の議決権を保有する場合

(ii)the cases where any person in special relationship as set forth in Article 15-10 of the Cabinet Order holds the voting rights in the Company, etc.;

三社債、株式等の振替に関する法律第百四十七条第一項又は第百四十八条第一項（これらの規定を同法第二百二十八条第一項、第二百三十五条第一項、第二百三十九条第一項及び第二百七十六条（第二号に係る部分に限る。）において準用する場合を含む。）の規定によりその保有する株式等（この項の規定により令第十五条の十六第一項第四号の特定個人株主が保有する議決権に含むものとされる議決権に係る株式等を含む。）を発行者に対抗することができない場合

(iii)in cases where, pursuant to the provisions of Article 147, paragraph (1) or Article 148, paragraph (1) of the Act on Transfer of Corporate Bonds, Shares, etc. (including the cases where these provisions are applied mutatis mutandis pursuant to Article 228, paragraph (1), Article 235, paragraph (1), Article 239, paragraph (1) and Article 276 (limited to the parts pertaining to item (ii)) of that Act), a person may not assert the Shares, etc. held by such person (including the Shares, etc. pertaining to the voting rights which, pursuant to the provisions of this paragraph, are to be included in the voting rights held by the Specified Individual Shareholder set forth in Article 15-16, paragraph (1), item (iv) of the Cabinet Order) against the Issuer thereof;

一法人の代表権を有する者又は法人の代理権を有する支配人が、当該代表権又は代理権に基づき、議決権を行使することができる権限若しくは議決権の行使について指図を行うことができる権限又は投資を行うのに必要な権限を有する場合における当該法人の所有する株式等

(i)the Shares, etc. owned by a juridical person, in cases where a person having the authority of representation for such juridical person or a manager having the authority to act as agent therefor has been granted the authority to exercise the voting rights or to give instruction as to the exercise thereof or the authority required for making an investment, based on such authority of representation or authority to act as agent;

二相続人が相続財産として所有する株式等（当該相続人（共同相続の場合を除く。）が単純承認（単純承認をしたものとみなされる場合を含む。）若しくは限定承認をした日までのもの又は当該相続財産の共同相続人が遺産分割を了していないものに限る。）

(ii)the Shares, etc. owned by heirs as their inherited property (limited to the Shares, etc. owned prior to the day when the heir (excluding the case of a joint inheritance) gave an unqualified acceptance (including the cases where an unqualified acceptance is deemed to have been given) or a qualified acceptance, or the Shares, etc. which the coheirs of such inherited property have not yet divided).

一商号、名称又は氏名

(i)the trade name or name;

二本店又は主たる事務所の所在地（個人にあっては、住所又は居所）

(ii)the location of the head office or principal office (in the case of an individual, the domicile or residence);

三法人であるときは、代表者の氏名

(iii)in the case of a juridical person, the name of its representative; and

四保有する議決権の数

(iv)the number of voting rights held.

一個人であるときは、住民票の抄本（本籍の記載のあるものに限る。）又はこれに代わる書面

(i)in the case of an individual, an extract copy of the certificate of residence (limited to that containing information on the registered domicile), or any other document in lieu thereof; and

二法人であるときは、登記事項証明書又はこれに代わる書面

(ii)in the case of a juridical person, its certificate of registered matters, or any other document in lieu thereof.

一財務諸表等の用語、様式及び作成方法に関する規則（昭和三十八年大蔵省令第五十九号。以下「財務諸表等規則」という。）第八条第三項に規定する親会社

(i)a Parent Company defined in Article 8, paragraph (3) of the Regulation on the Terminology, Forms, and Preparation Methods of Financial Statements, etc. (Order of the Ministry of Finance No. 59 of 1963; hereinafter referred to as the "Regulation on Financial Statements, etc."); and

二指定国際会計基準（連結財務諸表の用語、様式及び作成方法に関する規則（昭和五十一年大蔵省令第二十八号）第九十三条に規定する指定国際会計基準をいう。以下同じ。）その他外国における公正妥当な企業会計の基準又は慣行において、財務計算に関する書類の作成上前号に掲げるものと同様に取り扱われているもの

(ii)a company that is treated the same as those listed in the preceding item when preparing documents related to financial accounting under the Designated International Accounting Standards (meaning the Designated International Accounting Standards defined in Article 93 of the Regulation on the Terminology, Forms, and Preparation Methods of Consolidated Financial Statements (Order of the Ministry of Finance No. 28 of 1976; the same applies hereinafter)) and other fair and appropriate standards or practices of corporate accounting standards in a foreign state.

一財務諸表等規則第八条第五項に規定する関連会社

(i)Affiliated Companies defined in Article 8, paragraph (5) of the Regulation on Financial Statements, etc.; and

二指定国際会計基準その他外国における公正妥当な企業会計の基準又は慣行において、財務計算に関する書類の作成上前号に掲げるものと同様に取り扱われているもの

(ii)a company that is treated the same as those listed in the preceding item when preparing documents related to financial accounting under the Designated International Accounting Standards and other fair and appropriate standards or practices of corporate accounting standards in a foreign state.

一その有価証券の発行を目的として設立され、又は運営される法人に直接又は間接に所有者から譲渡される資産（次号において「譲渡資産」という。）が存在すること。

(i)that there exist assets to be assigned directly or indirectly from the owner to a juridical person incorporated or managed for the purpose of the issuance of such Securities (such assets are hereinafter referred to as the "Assigned Assets" in the following item); and

二前号に規定する法人がその有価証券を発行し、当該有価証券（当該有価証券の借換えのために発行されるものを含む。）上の債務の履行について譲渡資産の管理、運用又は処分を行うことにより得られる金銭を充てること。

(ii)that the juridical person set forth in the preceding item issues such Securities, and appropriates the money generated from the management, investment or disposition of the Assigned Assets for the performance of the obligations arising from such Securities (including the Securities issued for purpose of the refinancing of such Securities).

一振替外債（社債、株式等の振替に関する法律第百二十七条において準用する同法第六十六条（第一号を除く。）に規定する振替外債をいう。以下この号において同じ。）のうち、次に掲げる要件のすべてに該当するもの

(i)Book-entry Transfer Foreign Bonds (meaning a Book-entry Transfer Foreign Bond as prescribed in Article 66 (excluding item (i)) of the Act on Transfer of Corporate Bonds, Shares, etc. as applied mutatis mutandis pursuant to Article 127 of that Act; hereinafter the same applies in this item) which satisfy all of the following requirements:

二前条各号に掲げる要件のすべてに該当するもの（前号に掲げるものを除く。）

(ii)the Securities which satisfy all of the requirements listed in the items of the preceding Article (limited to those specified in the preceding item).

一使用人のうち次のいずれかに該当する者があるときは、その者の氏名

(i)in cases where any of the registration applicant's employees falls under any of the following, the name of such employee:

二法第三十七条の七第一項第五号イに定める業務に係る手続実施基本契約を締結する措置を講ずる当該手続実施基本契約の相手方である指定紛争解決機関の商号又は名称並びに加入する金融商品取引業協会及び対象事業者となる認定投資者保護団体の名称

(ii)the trade name or name of the Designated Dispute Resolution Organization with whom a Basic Contract for Implementation of Dispute Procedures is concluded for the purpose of taking the measures to conclude such Contract for Implementation of Dispute Procedures pertaining to the business specified in Article 37-7, paragraph (1), item (v), sub-item (a) of the Act and the name of the Financial Instruments Firms Association of which the registration applicant is to become a member; and the name of the Certified Investor Protection Organization of which the registration applicant is to become a Target Business Operator;

三会員等となる金融商品取引所の名称又は商号

(iii)the name or trade name of the Financial Instruments Exchange of which the registration applicant is to become a Member, etc.;

四法第三十三条の二第一号又は第二号に掲げる行為を業として行う場合には、次に掲げる事項

(iv)in cases where the registration applicant intends to conduct any of the acts specified in Article 33-2, item (i) or (ii) of the Act in the course of trade, the following matters:

五金融商品仲介業務を行う場合には、委託金融商品取引業者（金融商品仲介業務の委託を受ける第一種金融商品取引業を行う金融商品取引業者をいう。第二百七十五条第一項第二十七号を除き、以下同じ。）の商号

(v)in cases where the registration applicant intends to conduct any Financial Instruments Intermediary Service Operation, the trade name of the Entrustor Financial Instruments Business Operator (meaning the Financial Instruments Business Operator engaged in a Type I Financial Instruments Business from which the registration applicant accepts the entrustment of a Financial Instruments Intermediary Service Operation; the same applies hereinafter except in Article 275, paragraph (1), item (xxvii));

六商品投資関連業務を行う場合には、次に掲げる事項

(vi)in cases where the registration applicant intends to conduct a Business Related to Commodities Investment, the following matters:

七法第百九十四条の六第二項各号に掲げる行為を業として行う場合には、その旨

(vii)in cases where the registration applicant intends to conduct the acts listed in the items of Article 194-6, paragraph (2) of the Act in the course of trade, to that effect;

八不動産信託受益権等売買等業務を行う場合には、その旨

(viii)in cases where the registration applicant intends to conduct a Business of Transaction, etc. of Beneficial Interest in Real Property Trust, to that effect; and

九不動産関連特定投資運用業を行う場合には、その旨

(ix)in cases where the registration applicant intends to conduct a Specified Investment Management Business Related to Real Property, to that effect.

十本店等の名称及び所在地

(x)the names and locations of its head office, etc.

一業務運営に関する基本原則

(i)the basic principles of business operation;

二業務執行の方法

(ii)the method of execution of business;

三業務分掌の方法

(iii)the method of allocation of business operation;

四業として行う金融商品取引行為の種類

(iv)types of Acts of Financial Instruments Transaction to be conducted in the course of trade;

五苦情の解決のための体制（法第三十七条の七第一項第五号ロに定める業務に関する苦情処理措置及び紛争解決措置の内容を含む。）

(v)the system for handling complaints (including the contents of the Complaint Processing Measures and Dispute Resolution Measures concerning the business specified in Article 37-7, paragraph (1), item (v), sub-item (b) of the Act);

六法第三十三条の二各号に掲げる行為を業として行う場合には、次に掲げる事項

(vi)in the cases where the registration applicant intends to conduct any of the acts listed in the items of Article 33-2 of the Act in the course of trade, the following matters:

七投資助言・代理業を行う場合には、第八条第八号イからニまでに掲げる事項

(vii)in cases where the registration applicant intends to conduct an Investment Advisory and Agency Business, the matters listed in Article 8, item (viii), sub-items (a) through (d);

八投資運用業を行う場合には、第八条第九号イからホまでに掲げる事項

(viii)in cases where the registration applicant intends to conduct an Investment Management Business, the matters listed in Article 8, item (ix), sub-items (a) through (e);

九有価証券等管理業務を行う場合には、法第四十三条の二又は第四十三条の三の規定による管理の方法

(ix)in cases where the registration applicant intends to conduct a Securities, etc. Management Business, the management methods under Article 43-2 or Article 43-3 of the Act;

十第七十条の三第一項各号に掲げる措置に関する次に掲げる事項

(x)the following matters concerning the measures listed in the respective items of Article 70-3, paragraph (1):

十一第百二十三条第一項第十八号ホ及び第二十四号ニに規定する場合において情報を受領し、又は提供するときは、電子情報処理組織の保守及び管理に関する業務並びに第百五十三条第三項に規定する内部管理に関する業務に関する次に掲げる事項

(xi)in cases where the registration applicant intends to receive or supply information in the cases referred to in Article 123, paragraph (1), item (xviii), sub-item (e) and item (xxiv), sub-item (d), the following matters concerning affairs related to the maintenance and management of Electronic Data Processing Systems and concerning affairs related to Internal Management Affairs prescribed in Article 153, paragraph (3):

十二第百五十四条第四号ト、リ及びヌに規定する場合において情報を提供するときは、当該情報を受領する親法人等又は子法人等の商号又は名称

(xii)in cases where the registration applicant intends to supply information in the case referred to in Article 154, item (iv), sub-items (g), (i) and (j), the trade name or name of the Parent Juridical Person, etc. or Subsidiary Juridical Person, etc. who receives such information.

一商号又は名称

(i)the trade name or name;

二資本金の額、基金の総額又は出資の総額

(ii)the amount of stated capital, the total amount of funds or the total amount of investment;

三本店又は主たる事務所の所在地

(iii)the location of the head office or principal office;

四事業の種類

(iv)the type of business;

五登録申請者と関係会社との間の資本関係、人的関係及び最近一年間の業務上の関係

(v)the capital relationship and personal relationship between the registration applicant and the Associated Company, as well as their business relationship in the past year; and

六親法人等、子法人等又は持株会社のいずれに該当するかの別

(vi)information as to whether the Associated Company falls under the category of Parent Juridical Person, etc., Subsidiary Juridical Person, etc. or the Holding Company.

一業務に係る人的構成及び組織等の業務執行体制を記載した書面

(i)documents stating the registration applicant's business execution system, such as its personnel structure and the organizational structure pertaining to the business;

二登録金融機関業務を担当する役員及び重要な使用人（第四十四条第一号イ又はロのいずれかに該当する使用人をいう。第五十一条第一項第四号において同じ。）の履歴書（役員が法人であるときは、当該役員の沿革を記載した書面）

(ii)the resumes of the Officers and Major Employees (meaning an employee who falls under any of Article 44, item (i), sub-item (a) or (b); the same applies in Article 51, paragraph (1), item (iv)) in charge of the Registered Financial Institution Business (in cases where the Officer is a juridical person, the document containing the background of such Officer);

三競走用馬に係る商品投資関連業務を行う場合には、第四十九条第三号に掲げる基準に該当しないことを証する書面

(iii)in cases where the registration applicant intends to conduct a Business Related to Commodities Investment pertaining to racehorses, a document evidencing that the registration applicant does not fall under the criteria specified in Article 49, item (iii);

四不動産信託受益権等売買等業務を行う場合には、第四十九条第四号に掲げる基準に該当しないことを証する書面

(iv)in cases where the registration applicant intends to conduct a Business of Transaction, etc. of Beneficial Interest in Real Property Trust, a document evidencing that the registration applicant does not fall under the criteria specified in Article 49, item (iv);

五不動産関連特定投資運用業を行う場合における業務遂行能力に関する事項を記載した書面

(v)a document stating the matters related to the registration applicant's ability to carry out the business, in cases where the registration applicant intends to conduct a Specified Investment Management Business Related to Real Property;

六貸借対照表に関連する注記及び損益計算書に関連する注記

(vi)the notes in reference to the balance sheet and the notes in reference to the profit and loss statement;

七法第三十三条第二項第一号に掲げる有価証券について有価証券の元引受けに係る業務を行う場合又は同項第五号に掲げる取引について同号に定める行為に係る業務を行う場合には、次に掲げる書類

(vii)in cases where the registration applicant intends to conduct a business pertaining to the Wholesale Underwriting of Securities in regard to the Securities specified in Article 33, paragraph (2), item (i) of the Act, or the business pertaining to the act specified in item (v) of that paragraph with regard to the transaction specified in that item, the following documents:

八金融商品仲介業務を行う場合には、次に掲げる書類

(viii)in cases where the registration applicant intends to conduct a Financial Instruments Intermediary Service Operation, the following documents:

一その行う業務に関する十分な知識及び経験を有する役員又は使用人の確保の状況並びに組織体制に照らし、当該業務を適正に遂行することができないと認められること。

(i)that the registration applicant is found not to be able to conduct the business in a proper manner, considering status of securing Officers or employees having sufficient knowledge and experience for conducting the business as well as its organizational structure;

二役員又は使用人のうちに、経歴、暴力団員による不当な行為の防止等に関する法律第二条第二号に規定する暴力団又は同条第六号に規定する暴力団員との関係その他の事情に照らして業務の運営に不適切な資質を有する者があることにより、登録金融機関業務の信用を失墜させるおそれがあると認められること。

(ii)that the registration applicant is found to be likely to cause a loss of confidence in a Registered Financial Institution Business, on the grounds of having any Officer or employee with qualities unfit for the operation of the business in light of such Officer's or employee's career, relationship with the Organized Crime Group set forth in Article 2, item (ii) of the Act on Prevention of Illegal Acts by Organized Crime Group Members or relationship with the Organized Crime Group Members set forth item (vi) of that Article or any other circumstances;

三競走用馬に係る商品投資関連業務を行う場合には、次に掲げる要件に該当しないこと。

(iii)that, in cases where the registration applicant intends to conduct a Business Related to Commodities Investment for racehorses, such registration applicant does not fall under any of the following requirements:

四不動産信託受益権等売買等業務を行う場合には、次に掲げる要件に該当しないこと。

(iv)that, in cases where the registration applicant intends to conduct a Business of Transaction, etc. of Beneficial Interest in Real Property Trust, such registration applicant does not fall under the following requirements:

五不動産関連特定投資運用業を行う場合には、金融庁長官の定める要件に該当しないこと。

(v)that, in cases where the registration applicant intends to conduct a Specified Investment Management Business Related to Real Property, such registration applicant does not fall under the requirements specified by the Commissioner of the Financial Services Agency.

一登録金融機関である銀行、保険会社（保険業法（平成七年法律第百五号）第二条第二項に規定する保険会社をいい、同条第七項に規定する外国保険会社等を含む。以下同じ。）、信用金庫連合会、農林中央金庫又は株式会社商工組合中央金庫にあっては、業として株券関連店頭デリバティブ取引（株券の価格又は株価指数（株券の価格に基づき算出される指数をいう。第四号において同じ。）の変動によりその時価が変動する法第三十三条第二項第五号に掲げる取引をいう。以下この条において同じ。）を行う場合には、当該株券関連店頭デリバティブ取引を特定取引勘定（銀行法施行規則（昭和五十七年大蔵省令第十号）第十三条の六の三第一項、長期信用銀行法施行規則（昭和五十七年大蔵省令第十三号）第十二条の四の三第一項、保険業法施行規則（平成八年大蔵省令第五号）第五十三条の六の二第一項、信用金庫法施行規則（昭和五十七年大蔵省令第十五号）第百七条第一項、農林中央金庫法施行規則（平成十三年内閣府・農林水産省令第十六号）第六十五条第一項又は経済産業省・財務省・内閣府関係株式会社商工組合中央金庫法施行規則（平成二十年内閣府・財務省・経済産業省令第一号）第十八条第一項に規定する特定取引勘定（銀行法（昭和五十六年法律第五十九号）第四十七条第二項に規定する外国銀行支店又は保険業法第二条第七項に規定する外国保険会社等にあっては、特定取引勘定に類する勘定）をいう。以下この条において同じ。）において経理すること。

(i)that, in cases where any bank, insurance company (meaning an insurance company as prescribed in Article 2, paragraph (2) of the Insurance Business Act (Act No. 105 of 1995) and including a Foreign Insurance Company, etc. as prescribed in paragraph (7) of that Article; the same applies hereinafter), federation of shinkin banks, the Norinchukin Bank or the Shoko Chukin Bank Limited, which falls under the category of Registered Financial Institution, conducts Over-the-Counter Transactions of Derivatives Related to Share Certificates (meaning the transaction specified in Article 33, paragraph (2), item (v) of the Act wherein the market value fluctuates depending on the fluctuation of price of share certificates or Stock Price Index (meaning the index calculated based on the price of share certificates; the same applies in item (iv)); hereinafter the same applies in this Article) in the course of trade, the accounting for such Over-the-Counter Transactions of Derivatives Related to Share Certificates is managed in a Specified Transaction Account (meaning the Specified Transaction Account prescribed in Article 13-6-3, paragraph (1) of the Regulation for Enforcement of Banking Act (Order of the Ministry of Finance No. 10 of 1982), Article 12-4-3, paragraph (1) of the Regulation for Enforcement of Long Term Credit Bank Act (Order of the Ministry of Finance No. 13 of 1982), Article 53-6-2, paragraph (1) of the Regulation for Enforcement of Insurance Business Act (Order of the Ministry of Finance No. 5 of 1996), Article 107, paragraph (1) of the Regulation for Enforcement of the Shinkin Bank Act (Order of the Ministry of Finance No. 15 of 1982), Article 65, paragraph (1) of the Regulation for Enforcement of the Norinchukin Bank Act (Order of the Cabinet Office and the Ministry of Agriculture, Forestry and Fisheries No. 16 of 2001) or Article 18, paragraph (1) of the Regulation for Enforcement of The Shoko Chukin Bank Limited Act Relevant to the Ministry of Economy, Trade and Industry, the Ministry of Finance and the Cabinet Office (Order of the Cabinet Office, the Ministry of Finance and the Ministry of Economy, Trade and Industry No. 1 of 2008) (in case of a Branch Office of a Foreign Bank prescribed in Article 47, paragraph (2) of the Banking Act (Act No. 59 of 1981) or a Foreign Insurance Company, etc. prescribed in Article 2, paragraph (7) of the Insurance Business Act, an account similar to a Specified Transaction Account); hereinafter the same applies in this Article);

二前号に規定する登録金融機関以外の登録金融機関にあっては、業として株券関連店頭デリバティブ取引を行う場合には、当該株券関連店頭デリバティブ取引を特定取引勘定に準ずる勘定において経理すること。

(ii)that, in the case where any Registered Financial Institution other than that specified in the preceding item intends to conduct Over-the-Counter Transactions of Derivatives Related to Share Certificates in the course of trade, the accounting for such Over-the-Counter Transactions of Derivatives Related to Share Certificates is managed in an account equivalent to the Specified Transaction Account;

三前二号の規定にかかわらず、業として株券関連店頭デリバティブ取引を行う登録金融機関は、次に掲げる条件のすべてに該当する株券関連店頭デリバティブ取引のみを特定取引勘定（前号に規定する登録金融機関にあっては、特定取引勘定に準ずる勘定）以外の勘定において経理することができること。

(iii)that, notwithstanding the provisions of the preceding two items, a Registered Financial Institution which conducts Over-the-Counter Transactions of Derivatives Related to Share Certificates in the course of trade may manage only the Over-the-Counter Transactions of Derivatives Related to Share Certificates which satisfy all of the following requirements in an account other than the Specified Transaction Account (in the case of a Registered Financial Institution as set forth in the preceding item, an account other than an account equivalent to the Specified Transaction Account):

四登録金融機関は、業として株券関連店頭デリバティブ取引を行った場合には、当該株券関連店頭デリバティブ取引に係る株券の価格又は株価指数の変動により生じ得る損失を有効に減少させるための取引（特定取引勘定（第二号に規定する登録金融機関にあっては、特定取引勘定に準ずる勘定。以下この号において同じ。）において経理するものに限る。）を直ちに行うことにより、当該株券関連店頭デリバティブ取引に係る株券の価格又は株価指数の変動により生じ得る特定取引勘定における損失の額を可能な限り抑制するものとすること。

(iv)that, in cases where a Registered Financial Institution conducts any Over-the-Counter Transactions of Derivatives Related to Share Certificates in the course of trade, it is to, to the maximum extent possible, mitigate the amount of loss in the Specified Transaction Account which may accrue from a fluctuation in the price of share certificates or Stock Price Index pertaining to such Over-the-Counter Transactions of Derivatives Related to Share Certificates, by immediately effecting a transaction (limited to a transaction managed in the Specified Transaction Account (in case of a Registered Financial Institution prescribed in item (ii), in an account equivalent to the Specified Transaction Account; hereinafter the same applies in this item)) which would effectively reduce the loss arising from a fluctuation in the price of share certificates or Stock Price Index pertaining to such Over-the-Counter Transactions of Derivatives Related to Share Certificates.

一法第三十三条の三第一項第一号又は第二号に掲げる事項について変更があった場合当該変更に係る事項を記載した登記事項証明書又はこれに代わる書面

(i)in cases where there has been any change to the matters specified in Article 33-3, paragraph (1), item (i) or (ii) of the Act:the certificate of the registered matters containing the particulars so changed, or any other document in lieu thereof;

二法第三十三条の三第一項第三号又は第四号に掲げる事項について変更があった場合　次に掲げる書類

(ii)in cases where there has been any change to the matters specified in Article 33-3, paragraph (1), item (iii) or (iv) of the Act: the following documents:

三法第三十三条の三第一項第五号に掲げる事項について変更があった場合（営業所又は事務所の廃止をした場合に限る。）当該変更に伴う顧客勘定の処理の内容を記載した書面

(iii)in cases where there has been any change to the matters specified in Article 33-3, paragraph (1), item (v) of the Act (limited to the cases where the business office or any other office was abolished):a document containing the details of the treatment of a customer's account incidental to such change;

四第四十四条第一号に掲げる事項について変更があった場合新たに重要な使用人となった者の履歴書

(iv)in cases where there is a change to the matters specified in Article 44, item (i):the resume of the person who newly assumes the position of a Major Employee;

五第四十四条第五号に掲げる事項について変更があった場合（新たに金融商品仲介業務の委託を受けることとなった場合に限る。）　次に掲げる書類

(v)in cases where there is a change to the matters specified in Article 44, item (v) (limited to the cases where the Registered Financial Institution has come to newly accept the entrustment of a Financial Instruments Intermediary Service Operation): the following documents:

六第四十四条第六号ニに掲げる事項について変更があった場合（競走用馬投資関連業務を行うこととなった場合に限る。）第四十九条第三号に掲げる基準に該当しないことを証する書面

(vi)in cases where there is a change to the matters specified in Article 44, item (vi), sub-item (d) (limited to the cases where the Registered Financial Institution has come to conduct a Business Related to Investment in Racehorses):a document evidencing that the Registered Financial Institution does not fall under the criteria specified in Article 49, item (iii);

七第四十四条第八号に掲げる事項について変更があった場合（不動産信託受益権等売買等業務を行うこととなった場合に限る。）第四十九条第四号に掲げる基準に該当しないことを証する書面

(vii)in cases where there is a change to the matters specified in Article 44, item (viii) (limited to the cases where the Registered Financial Institution has come to conduct a Business of Transaction, etc. of Beneficial Interest in Real Property Trust):a document evidencing that the Registered Financial Institution does not fall under the criteria specified in Article 49, item (iv); and

八第四十四条第九号に掲げる事項について変更があった場合（不動産関連特定投資運用業を行うこととなった場合に限る。）不動産関連特定投資運用業を行う場合における業務遂行能力に関する事項を記載した書面

(viii)in cases where there is a change to the matters specified in Article 44, item (ix) (limited to the cases where the Registered Financial Institution has come to conduct a Specified Investment Management Business Related to Real Property):a document containing matters related to its ability to execute the business when a Specified Investment Management Business Related to Real Property is to be conducted.

一有価証券についての法第二条第八項第一号から第十号までに掲げる行為、当該行為に関して行う同項第十六号に掲げる行為又は同項第十七号に掲げる行為を行うことを内容とする契約

(i)a contract for conducting the acts listed in Article 2, paragraph (8), items (i) through (x) of the Act, the acts specified in item (xvi) of that paragraph to be conducted with regard to any of such acts, or the act specified in item (xvii) of that paragraph, in relation to the Securities;

二デリバティブ取引についての法第二条第八項第一号から第五号までに掲げる行為、当該行為に関して行う同項第十六号に掲げる行為又は同項第十七号に掲げる行為を行うことを内容とする契約

(ii)a contract for conducting the acts listed in Article 2, paragraph (8), items (i) through (v) of the Act, the acts specified in item (xvi) of that paragraph to be conducted with regard to any of such acts, or the act specified in item (xvii) of that paragraph, in relation to Derivative Transactions;

三投資顧問契約及び法第二条第八項第十三号に掲げる行為（投資顧問契約に係るものに限る。）を行うことを内容とする契約

(iii)an Investment Advisory Contract, and a contract for conducting the act specified in Article 2, paragraph (8), item (xiii) of the Act (limited to the act pertaining to an Investment Advisory Contract); and

四投資一任契約及び法第二条第八項第十三号に掲げる行為（投資一任契約に係るものに限る。）を行うことを内容とする契約

(iv)a Discretionary Investment Contract, and a contract for conducting the act specified in Article 2, paragraph (8), item (xiii) of the Act (limited to the act pertaining to a Discretionary Investment Contract).

一申出者（法第三十四条の二第三項に規定する申出者をいう。次号において同じ。）は、同条第二項の規定による承諾を行った金融商品取引業者等のみから対象契約（同項に規定する対象契約をいう。同号及び第五十七条の二において同じ。）に関して特定投資家以外の顧客として取り扱われることになる旨

(i)that the Applicant (meaning an Applicant prescribed in Article 34-2, paragraph (3) of the Act; the same applies in the following item) will be treated as a customer other than a Professional Investor with regard to the Subject Contract (meaning a Subject Contract prescribed in that paragraph; the same applies in that item and Article 57-2), only by the Financial Instruments Business Operator, etc. which has accepted the request pursuant to the provisions of paragraph (2) of that Article;

二金融商品取引業者等が対象契約に基づき申出者を代理して他の金融商品取引業者等との間で承諾日（法第三十四条の二第三項第一号に規定する承諾日をいう。）以後に締結する金融商品取引契約については、当該他の金融商品取引業者等からも特定投資家以外の顧客として取り扱われる旨

(ii)that, with regard to any Contract for Financial Instruments Transaction which the Financial Instruments Business Operator, etc., on behalf of the Applicant, concludes with another Financial Instruments Business Operator, etc. on or after the Date of Acceptance (meaning the Date of Acceptance prescribed in Article 34-2, paragraph (3), item (i) of the Act) pursuant to the Subject Contract, such Applicant is also treated as a customer other than a Professional Investor by such other Financial Instruments Business Operator, etc.; and

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 methods using an Electronic Data Processing System, as set forth by the following items:

二磁気ディスク、シー・ディー・ロムその他これらに準ずる方法により一定の事項を確実に記録しておくことができる物をもって調製するファイルに記載事項を記録したものを交付する方法

(ii)to deliver the file storing the Information, which is prepared by the use of any object which can securely record certain information by means of magnetic disks, CD-ROMs or any other means equivalent thereto.

一顧客が顧客ファイル又は閲覧ファイルへの記録を出力することにより書面を作成できるものであること。

(i)that the method enables a Customer to prepare a document by way of outputting information recorded on the Customer File or Inspection File;

二前項第一号イ、ハ又はニに掲げる方法（顧客の使用に係る電子計算機に備えられた顧客ファイルに記載事項を記録する方法を除く。）にあっては、記載事項を顧客ファイル又は閲覧ファイルに記録する旨又は記録した旨を顧客に対し通知するものであること。ただし、顧客が当該記載事項を閲覧していたことを確認したときはこの限りでない。

(ii)in the case of the method listed in sub-item (a), (c) or (d) of item (i) of the preceding paragraph (excluding the method to record the Information into the Customer File stored on a computer used by a Customer), that the Customer is informed of the fact that the Information will be or have been recorded into the Customer File or the Inspection File; provided, however, that this does not apply to the cases where it is confirmed that the Customer has inspected the Information;

三前項第一号ハ又はニに掲げる方法にあっては、記載事項に掲げられた取引を最後に行った日以後五年間（当該期間が終了する日までの間に当該記載事項に係る苦情の申出があったときは、当該期間が終了する日又は当該苦情が解決した日のいずれか遅い日までの間）次に掲げる事項を消去し又は改変することができないものであること。ただし、閲覧に供している記載事項を書面により交付する場合、顧客の承諾（令第十五条の二十二に規定する方法による承諾をいう。）を得て前項第一号イ、ロ若しくは同項第二号に掲げる方法により提供する場合又は顧客による当該記載事項に係る消去の指図がある場合は、当該記載事項を消去することができる。

(iii)in the case of the method listed in sub-item (c) or (d) of item (i) of the preceding paragraph, that the following matters cannot be deleted or altered for the period until five years have elapsed from the day when the transaction referred to in the Information was finally conducted (if any complaint related to the Information has been raised within the period before the expiration date of such period, for the period until either the expiration date of such period or the day when such complaint was settled, whichever comes later); provided, however, that the Information may be deleted in cases where the Information which have been made available for inspection are delivered in writing, where such Information are provided by the methods listed in sub-item (a) or (b) of item (i) of the preceding paragraph or in item (ii) of the preceding paragraph with the Customer's consent (meaning consent given by the method specified in Article 15-22 of the Cabinet Order), or where the Customer has instructed that the Information should be deleted:

四前項第一号ニに掲げる方法にあっては、次に掲げる基準に適合するものであること。

(iv)in the case of the method specified in sub-item (d) of item (i) of the preceding paragraph, that it conforms to the following requirements:

一前条第一項各号又は第五十七条の三第一項各号に掲げる方法のうち金融商品取引業者等が使用するもの

(i)the methods listed in the items of paragraph (1) of the preceding Article or the items of Article 57-3, paragraph (1), which are to be used by the Financial Instruments Business Operator, etc.; and

二ファイルへの記録の方式

(ii)the format for recording information into a file.

一法第三十四条の二第十一項の規定による承諾をする日（以下この条において「承諾日」という。）

(i)the day when the acceptance under the provisions of Article 34-2, paragraph (11) of the Act is to be given (hereinafter referred to as the "Date of Acceptance" in this Article);

二対象契約の属する契約の種類（法第三十四条に規定する契約の種類をいう。以下この款において同じ。）

(ii)the Kind of Contract to which the Subject Contract belongs (meaning the Kind of Contract prescribed in Article 34 of the Act; hereinafter the same applies in this Subsection);

三復帰申出者（法第三十四条の二第十一項に規定する復帰申出者をいう。以下この条において同じ。）が次に掲げる事項を理解している旨

(iii)a statement to the effect that the Applicant for Reinstatement (meaning an Applicant for Reinstatement prescribed in Article 34-2, paragraph (11) of the Act; hereinafter the same applies in this Article) understands the following matters:

四承諾日以後に対象契約の締結の勧誘又は締結をする場合において、復帰申出者を再び特定投資家として取り扱う旨

(iv)that the Applicant for Reinstatement will be treated as a Professional Investor again when soliciting the conclusion of, or concluding, the Subject Contract on or after the Date of Acceptance;

五金融商品取引業者等が対象契約に基づき復帰申出者を代理して他の金融商品取引業者等との間で承諾日以後に締結する金融商品取引契約については、当該他の金融商品取引業者等からも再び特定投資家として取り扱われる旨

(v)that, with regard to any Contract for Financial Instruments Transaction which the Financial Instruments Business Operator, etc., on behalf of the Applicant for Reinstatement, concludes with another Financial Business Operators, etc. on or after the Date of Acceptance pursuant to the Subject Contract, the Applicant for Reinstatement will also be treated as a Professional Investor again by such other Financial Instruments Business Operators, etc.; and

六復帰申出者は、承諾日以後いつでも、法第三十四条の二第一項の規定による申出ができる旨

(vi)that the Applicant for Reinstatement may make a request under the provisions of Article 34-2, paragraph (1) of the Act at any time on or after the Date of Acceptance.

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 methods using an Electronic Data Processing System, as listed in the following:

二磁気ディスク、シー・ディー・ロムその他これらに準ずる方法により一定の事項を確実に記録しておくことができる物をもって調製するファイルに同意に関する事項を記録したものを得る方法

(ii)to obtain the file storing the information related to a consent, which is prepared by the use of any object which can securely record certain information by means of magnetic disks, CD-ROMs or any other means equivalent thereto.

一当該日

(i)such designated date; and

二次項に規定する日を期限日（法第三十四条の三第二項第二号に規定する期限日をいう。次条第二項及び第六十条において同じ。）とする旨

(ii)to the effect that the day set forth in the following paragraph is the Expiration Date (meaning the Expiration Date set forth in Article 34-3, paragraph (2), item (ii) of the Act; the same applies in paragraph (2) of the following Article and Article 60).

一期限日以前に締結した対象契約（投資顧問契約及び投資一任契約を除く。）に関して法令の規定又は契約の定めに基づいて行う行為については、期限日後に行うものであっても、申出者を特定投資家として取り扱う旨

(i)that, in regard to any act related to the Subject Contract (excluding an Investment Advisory Contract and a Discretionary Investment Contract) concluded prior to the Expiration Date, which is to be conducted pursuant to the provisions of laws and regulations or the contract, the Applicant is treated as a Professional Investor, even in the cases where such act is conducted after the Expiration Date;

二法第三十四条の三第二項に規定する申出に係る契約の種類が第五十三条第三号及び第四号に掲げるものである場合にあっては、対象契約（投資顧問契約及び投資一任契約に限る。）に関して法令の規定又は契約の定めに基づいて行う行為については、期限日以前に行うものに限り、申出者を特定投資家として取り扱う旨

(ii)in cases where the kinds of contract pertaining to the request set forth in Article 34-3, paragraph (2) of the Act falls under any of those specified in Article 53, item (iii) and (iv), the fact that, in regard to any act related to the Subject Contract (limited to an Investment Advisory Contract and a Discretionary Investment Contract), which is to be conducted pursuant to the provisions of laws and regulations or the contract, the Applicant is treated as a Professional Investor only in respect of the act conducted prior to the Expiration Date;

三申出者は、法第三十四条の三第二項の規定による承諾を行った金融商品取引業者等のみから対象契約に関して特定投資家として取り扱われることになる旨

(iii)that the Applicant will be treated as a Professional Investor with regard to the Subject Contract, only by the Financial Instruments Business Operator, etc. which has accepted the request pursuant to the provisions of Article 34-3, paragraph (2) of the Act;

四金融商品取引業者等が対象契約に基づき申出者を代理して他の金融商品取引業者等との間で期限日以前に締結する金融商品取引契約については、当該他の金融商品取引業者等からも特定投資家として取り扱われる旨

(iv)that, with regard to any Contract for Financial Instruments Transaction which the Financial Instruments Business Operator, etc., on behalf of the Applicant, concludes with another Financial Instruments Business Operator, etc. prior to the Expiration Date pursuant to the Subject Contract, such Applicant is also treated as a Professional Investor by such other Financial Instruments Business Operator, etc.; and

五申出者は、承諾日以後いつでも、法第三十四条の三第九項の規定による申出ができる旨

(v)that the Applicant may make a request under the provisions of Article 34-3, paragraph (9) of the Act at any time on or after the Date of Acceptance.

一承諾日から期限日までの期間が一年に満たない場合（次号に掲げる場合を除く。）当該期間から一月を控除した期間

(i)when the period between the Date of Acceptance and the Expiration Date is less than one year (excluding the case specified in the following item):that period minus one month; or

二承諾日から期限日までの期間が一月を超えない場合一日

(ii)when the period between the Date of Acceptance and the Expiration Date does not exceed one month:one day.

一法第三十四条の三第十項の規定による承諾をする日（以下この条において「承諾日」という。）

(i)the day when the acceptance under the provisions of Article 34-3, paragraph (10) of the Act is to be given (hereinafter referred to as the "Date of Acceptance" in this Article);

二対象契約の属する契約の種類

(ii)the Kind of Contract to which the Subject Contract belongs;

三承諾日以後に対象契約の締結の勧誘又は締結をする場合において、法第三十四条の三第九項の規定による申出をした法人（次号において「復帰申出者」という。）を再び特定投資家以外の顧客として取り扱う旨

(iii)that the juridical person that made a request under the provisions of Article 34-3, paragraph (9) of the Act (hereinafter referred to as the "Applicant for Reinstatement" in the following item) will be treated as a customer other than a Professional Investor again when soliciting the conclusion of, or concluding, the Subject Contract on or after the Date of Acceptance; and

四金融商品取引業者等が対象契約に基づき復帰申出者を代理して他の金融商品取引業者等との間で承諾日以後に締結する金融商品取引契約については、当該他の金融商品取引業者等からも再び特定投資家以外の顧客として取り扱われる旨

(iv)that, with regard to any Contract for Financial Instruments Transaction which the Financial Instruments Business Operator, etc., on behalf of the Applicant for Reinstatement, concludes with another Financial Business Operator, etc. on or after the Date of Acceptance pursuant to the Subject Contract, the Applicant for Reinstatement will also be treated as a customer other than a Professional Investor again by such other Financial Instruments Business Operator, etc.

一法第三十四条の四第一項の規定による申出を行うことについてすべての匿名組合員の同意を得ていないこと。

(i)that the individual has not obtained the consent from all of the silent partners on making a request under Article 34-4, paragraph (1) of the Act; or

二その締結した匿名組合契約に基づく出資の合計額が三億円未満であること。

(ii)that the total amount of the equity investment under the Silent Partnership Contract which the individual concluded is less than 300 million yen.

一組合契約を締結して組合の業務の執行を委任された組合員である個人（次に掲げる要件のすべてに該当する者に限る。）

(i)an individual who has concluded a Partnership Contract and has become a partner delegated to manage the business of the partnership (limited to an individual who satisfies all of the following requirements):

二有限責任事業組合契約を締結して組合の重要な業務の執行の決定に関与し、かつ、当該業務を自ら執行する組合員である個人（次に掲げる要件のすべてに該当する者に限る。）

(ii)an individual who has concluded a Limited Liability Partnership Agreement, is involved in the decision-making on the execution of the important business of the partnership, and is a partner personally executing such business (limited to an individual who satisfies all of the following requirements):

一取引の状況その他の事情から合理的に判断して、承諾日（法第三十四条の四第六項において準用する法第三十四条の三第二項第一号に規定する承諾日をいう。次号、次条第二項、第六十四条第二項第五号及び第六十四条の二において同じ。）における申出者（法第三十四条の四第二項に規定する申出者をいう。以下この条及び第六十四条において同じ。）の資産の合計額から負債の合計額を控除した額が三億円以上になると見込まれること。

(i)that, judging reasonably from the status of the transactions or any other circumstances, the total amount of the assets of the Applicant (meaning the Applicant prescribed in Article 34-4, paragraph (2) of the Act; hereinafter the same applies in this Article and Article 64) as of the Date of Acceptance (meaning the Date of Acceptance prescribed in Article 34-3, paragraph (2), item (i) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act; the same applies in the following item, paragraph (2) of the following Article, and Article 64, paragraph (2), item (v) and Article 64-2), less the total amount of its liabilities as of that date is likely to be 300 million yen or more;

二取引の状況その他の事情から合理的に判断して、承諾日における申出者の資産（次に掲げるものに限る。）の合計額が三億円以上になると見込まれること。

(ii)that, judging reasonably from the status of the transactions or any other circumstances, the total amount of the Applicant's assets (limited to the assets listed in the following) as of the Date of Acceptance is likely to be 300 million yen or more:

三申出者が最初に当該金融商品取引業者等との間で法第三十四条の四第一項の規定による申出に係る契約の種類に属する金融商品取引契約を締結した日から起算して一年を経過していること。

(iii)that one year has elapsed from the day when the Applicant concluded with the Financial Instruments Business Operator, etc. a Contract for a Financial Instruments Transaction which is of the type pertaining to the request under Article 34-4, paragraph (1) of the Act for the first time.

一当該日

(i)such designated date; and

二次項に規定する日を期限日（法第三十四条の四第六項において準用する法第三十四条の三第二項第二号に規定する期限日をいう。次条第二項及び第六十四条の二において同じ。）とする旨

(ii)to the effect that the day set forth in the following paragraph is the Expiration Date (meaning the Expiration Date set forth in Article 34-3, paragraph (2), item (ii) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act; the same applies in paragraph (2) of the following Article and Article 64-2).

一期限日以前に締結した対象契約（投資顧問契約及び投資一任契約を除く。）に関して法令の規定又は契約の定めに基づいて行う行為については、期限日後に行うものであっても、申出者を特定投資家として取り扱う旨

(i)that, with regard to any act related to the Subject Contract (excluding an Investment Advisory Contract and a Discretionary Investment Contract) concluded prior to the Expiration Date, which is to be conducted pursuant to the provisions of laws and regulations or the contract, the Applicant is treated as a Professional Investor, even in the cases where such act is conducted after the Expiration Date;

二法第三十四条の四第六項において準用する法第三十四条の三第二項に規定する申出に係る契約の種類が第五十三条第三号及び第四号に掲げるものである場合にあっては、対象契約（投資顧問契約及び投資一任契約に限る。）に関して法令の規定又は契約の定めに基づいて行う行為については、期限日以前に行うものに限り、申出者を特定投資家として取り扱う旨

(ii)in cases where the kind of contract pertaining to the request set forth in Article 34-3, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act falls under any of the kinds specified in Article 53, item (iii) and (iv), to the effect that, with regard to any act related to the Subject Contract (limited to an Investment Advisory Contract and a Discretionary Investment Contract), which is to be conducted pursuant to the provisions of laws and regulations or the contract, the Applicant is treated as a Professional Investor only with regard to an act conducted prior to the Expiration Date;

三申出者は、法第三十四条の四第六項において準用する法第三十四条の三第二項の規定による承諾を行った金融商品取引業者等のみから対象契約に関して特定投資家として取り扱われることになる旨

(iii)that the Applicant is treated as a Professional Investor in regard to the Subject Contract, only by the Financial Instruments Business Operator, etc. which has accepted the request pursuant to the provisions of Article 34-3, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act;

四金融商品取引業者等が対象契約に基づき申出者を代理して他の金融商品取引業者等との間で期限日以前に締結する金融商品取引契約については、当該他の金融商品取引業者等からも特定投資家として取り扱われる旨

(iv)that, with regard to any Contract for Financial Instruments Transaction which the Financial Instruments Business Operator, etc., on behalf of the Applicant, concludes with another Financial Instruments Business Operator, etc. prior to the Expiration Date pursuant to the Subject Contract, such Applicant is also treated as a Professional Investor by such other Financial Instruments Business Operator, etc.; and

五申出者は、承諾日以後いつでも、法第三十四条の四第四項の規定による申出ができる旨

(v)that the Applicant may make a request under the provisions of Article 34-4, paragraph (4) of the Act at any time on or after the Date of Acceptance.

一承諾日から期限日までの期間が一年に満たない場合（次号に掲げる場合を除く。）当該期間から一月を控除した期間

(i)when the period between the Date of Acceptance and the Expiration Date is less than one year (excluding the case specified in the following item):that period minus one month; or

二承諾日から期限日までの期間が一月を超えない場合一日

(ii)when the period between the Date of Acceptance and the Expiration Date does not exceed one month:one day.

一法第三十四条の四第五項の規定による承諾をする日（以下この条において「承諾日」という。）

(i)the day when the acceptance under the provisions of Article 34-4, paragraph (5) of the Act is to be given (hereinafter referred to as the "Date of Acceptance" in this Article);

二対象契約の属する契約の種類

(ii)the Kind of Contract to which the Subject Contract belongs;

三承諾日以後に対象契約の締結の勧誘又は締結をする場合において、法第三十四条の四第四項の規定による申出をした個人（次号において「復帰申出者」という。）を再び特定投資家以外の顧客として取り扱う旨

(iii)that the juridical person that made a request under the provisions of Article 34-4, paragraph (4) of the Act (hereinafter referred to as the "Applicant for Reinstatement" in the following item) will be treated as a customer other than a Professional Investor again when soliciting the conclusion of, or concluding, the Subject Contract on or after the Date of Acceptance; and

四金融商品取引業者等が対象契約に基づき復帰申出者を代理して他の金融商品取引業者等との間で承諾日以後に締結する金融商品取引契約については、当該他の金融商品取引業者等からも再び特定投資家以外の顧客として取り扱われる旨

(iv)that, with regard to any Contract for Financial Instruments Transaction which the Financial Instruments Business Operator, etc., on behalf of the Applicant for Reinstatement, concludes with another Financial Business Operator, etc. on or after the Date of Acceptance pursuant to the Subject Contract, the Applicant for Reinstatement will also be treated as a customer other than a Professional Investor again by such other Financial Instruments Business Operator, etc.

一顧客から保護預りをしている有価証券が次に掲げるいずれかの有価証券（当該保護預りをした顧客の所有するものに限る。）であって、当該顧客が当該有価証券を引き続き所有するために必要なものとして当該有価証券を担保として行う金銭の貸付けのうち、当該顧客に貸し付ける金額が当該有価証券を担保として既に貸し付けている金銭の額と合計して五百万円（当該貸付けの時における当該有価証券の時価の範囲内に限る。次号において同じ。）を超えないもの

(i)a money loan that may be necessary for a customer in maintaining the ownership in the Securities specified in the following sub-items deposited by a customer for safe custody (limited to the Securities owned by the customer which has made such deposit for safety custody), which is secured by such Securities, and in which case the total of the amount to be loaned to the customer and the amount of loan already extended as secured by such Securities does not exceed five million yen (limited to the amount within the range of market price of the Securities as of the time of such loan; the same applies in the next item):

二顧客から保護預りをしている有価証券が投資信託の受益証券のうち次に掲げるいずれかのもの（当該保護預りをした顧客の所有するものに限る。）であって、当該有価証券に係る解約を請求した顧客に対し、解約に係る金銭が支払われるまでの間に当該有価証券を担保として行うその解約に係る金銭の額に相当する額の金銭の貸付けのうち、当該顧客に貸し付ける金額が当該有価証券を担保として既に貸し付けている金銭の額と合計して五百万円を超えないもの

(ii)in cases where the Securities deposited by a customer for safe custody fall under the category of any of the following Beneficiary Certificates pertaining to an Investment Trust (limited to the Securities owned by the customer who has made the deposit for safety custody), a money loan secured by such Securities in the amount equivalent to a cancellation money for such Securities, which is to be granted prior to the payment of the cancellation money to the customer who has requested the cancellation of such Securities, and in which case the total of the amount to be loaned to the customer and the amount of loan already granted as secured by such Securities does not exceed five million yen:

一有価証券の買付けの方法として、当該有価証券の種類及び買付けのための預り金の充当方法を定めていること。

(i)that the contract provides for, as a method of purchases of Securities, the types of the Securities and the method for the appropriation of a deposit for making purchases;

二預り金の管理の方法として、顧客からの払込金及び顧客が寄託している有価証券の果実並びに償還金の受入れに基づいて発生した金融商品取引業者の預り金を累積投資預り金として他の預り金と区分して経理することを定めていること。

(ii)that the contract provides, as a method for the management of deposits, that the fruits derived from the money paid and Securities deposited by the customer, and the money which the Financial Instruments Business Operator's keeps custody due to acceptance of redemption are treated as the Cumulative Investment Deposit, and that accounting of such Cumulative Investment Deposit is managed separately from any other deposit;

三他の顧客又は金融商品取引業者と共同で買い付ける場合には、顧客が買い付けた有価証券につき回記号及び番号が特定されたときに、当該顧客が単独で当該有価証券の所有権を有することが確定することを定めていること。

(iii)that the contract provides that, in the case of the joint purchase with another customer or Financial Instruments Business Operator, it is certain that the customer gains sole ownership in the Securities purchased by such customer when the code and number thereof are identified;

四有価証券の管理の方法として、預託を受けた有価証券（金融商品取引業者と顧客が共有しているものに限る。）が他の有価証券と分別して管理されるものであること。

(iv)that the contract provides, as a method for the management of Securities, that the deposited Securities (limited to those co-owned by the Financial Instruments Business Operator and the customer) are managed separately from any other Securities; and

五顧客から申出があったときには解約するものであること。

(v)that the contract may be cancelled if the customer so requests.

一外国商品市場取引

(i)Foreign Commodity Market Transaction; and

二店頭商品デリバティブ取引

(ii)Over-the-Counter Commodity Derivatives Transactions.

一金地金の売買又はその媒介、取次ぎ若しくは代理に係る業務

(i)business pertaining to purchase and sale of gold bullion, or an intermediary, brokerage or agency service therefor;

二組合契約の締結又はその媒介、取次ぎ若しくは代理に係る業務

(ii)business pertaining to conclusion of a Partnership Contract, or an intermediary, brokerage or agency service therefor;

三匿名組合契約の締結又はその媒介、取次ぎ若しくは代理に係る業務

(iii)business pertaining to conclusion of a Silent Partnership Contract, or an intermediary, brokerage or agency service therefor;

四貸出参加契約（金融機関等貸出債権に係る権利義務関係を移転させずに、原貸出債権に係る経済的利益及び損失の危険を原債権者から第三者に移転させる契約をいう。）の締結又はその媒介、取次ぎ若しくは代理に係る業務

(iv)business pertaining to conclusion of a Loan Participation Contract (meaning a contract wherein the economic profit and risk of loss originating from a loan claim of a financial institution, etc. is transferred from the original creditor thereof to a third party, instead of transferring any right and obligation arising from the original loan), or an intermediary, brokerage or agency service therefor;

五保険業法第二条第二十六項に規定する保険募集に係る業務

(v)business pertaining to insurance solicitation as prescribed in Article 2, paragraph (26) of the Insurance Business Act;

六自ら所有する不動産の賃貸に係る業務

(vi)business pertaining to lease of real properties owned by a Financial Instruments Business Operator itself;

七物品賃貸業

(vii)goods leasing business;

八他の事業者の業務に関する電子計算機のプログラムの作成又は販売を行う業務及び計算受託業務

(viii)business pertaining to creation and sale of computer programs for the business of any other business operator, and a business to accept the entrustment of computing service;

九確定拠出年金法（平成十三年法律第八十八号）第二条第七項に規定する確定拠出年金運営管理業

(ix)business of management of the defined contribution pension prescribed in Article 2, paragraph (7) of the Defined Contribution Pension Act (Act No. 88 of 2001);

十国民年金基金連合会から確定拠出年金法第六十一条第一項の規定による委託を受けて同項第一号、第二号又は第五号に掲げる事務（第五号に掲げる事務にあっては、同法第七十三条において準用する同法第二十二条の措置に関する事務又は同法第二条第三項に規定する個人型年金に係る届出の受理に関する事務に限る。）を行う業務

(x)business of carrying out the affairs listed in Article 61, paragraph (1), item (i), (ii) or (v) of the Defined Contribution Pension Act (with regard to the affair specified in item (v), limited to the affairs related to the measures set forth in Article 22 of that Act as applied mutatis mutandis pursuant to Article 73 of that Act or the affairs related to the acceptance of a notification on pensions for individuals as prescribed in Article 2, paragraph (3) of that Act), based on an entrustment from the National Pension Fund Association pursuant to the provisions of Article 61, paragraph (1) of that Act;

十一信託業法第二条第八項に規定する信託契約代理業

(xi)Trust Agreement Agency Business prescribed in Article 2, paragraph (8) of the Trust Business Act;

十二金融機関の信託業務の兼営等に関する法律（昭和十八年法律第四十三号）第一条第一項第四号に掲げる業務若しくは同項第六号に掲げる業務のうち遺言の執行に関するもの又は同号若しくは同項第七号（イを除く。）に掲げる業務のうち遺産の整理に関するものに係る契約の締結の媒介（信託業務を営む金融機関（同項の認可を受けた金融機関をいう。以下同じ。）のために行うものに限る。）に係る業務

(xii)an intermediary service for a conclusion of a contract for the business specified in Article 1, paragraph (1), item (iv) of the Act on Provision, etc. of Trust Business by Financial Institutions (Act No. 43 of 1943), a contract for the business specified in item (vi) of that paragraph which relates to the execution of a will, or a contract for the business specified in that item or item (vii) of that paragraph (excluding sub-item (a)) which relates to the arrangement of an estate (limited to intermediary services provided for a financial institution engaged in trust business (meaning a financial institution authorized under that paragraph; the same applies hereinafter));

十三金融機関代理業（銀行法第二条第十四項に規定する銀行代理業、長期信用銀行法第十六条の五第二項に規定する長期信用銀行代理業、信用金庫法第八十五条の二第二項に規定する信用金庫代理業、協同組合による金融事業に関する法律第六条の三第二項に規定する信用協同組合代理業、労働金庫法第八十九条の三第二項に規定する労働金庫代理業、農業協同組合法第九十二条の二第二項に規定する特定信用事業代理業、水産業協同組合法第百二十一条の二第二項に規定する特定信用事業代理業及び農林中央金庫法第九十五条の二第二項に規定する農林中央金庫代理業をいう。以下同じ。）

(xiii)Financial Institution Agency Service (meaning the Bank Agency Service prescribed in Article 2, paragraph (14) of the Banking Act, the Long Term Credit Bank Agency Service prescribed in Article 16-5, paragraph (2) of the Long-Term Credit Bank Act, the Shinkin Bank Agency Service prescribed in Article 85-2, paragraph (2) of the Shinkin Bank Act, the Credit Cooperative Agency Service prescribed in Article 6-3, paragraph (2) of the Act on Financial Businesses by Cooperative, the Labor Bank Agency Service prescribed in Article 89-3, paragraph (2) of the Labor Bank Act, the Specific Credit Business Agency Service prescribed in Article 92-2, paragraph (2) of the Agricultural Cooperatives Act, the Specific Credit Business Agency Service prescribed in Article 121-2, paragraph (2) of the Fishery Cooperatives Act and the Norinchukin Bank Agency Service prescribed in Article 95-2, paragraph (2) of the Norinchukin Bank Act; the same applies hereinafter);

十四不動産の管理業務

(xiv)real property management business;

十五不動産に係る投資に関し助言を行う業務

(xv)advisory business related to real property investment;

十六算定割当量（地球温暖化対策の推進に関する法律（平成十年法律第百十七号）第二条第六項に規定する算定割当量その他これに類似するものをいう。次号において同じ。）の取得若しくは譲渡に関する契約の締結又はその媒介、取次ぎ若しくは代理を行う業務

(xvi)business of a conclusion of a contract on the acquisition or transfer of Carbon Dioxide Equivalent Quotas (meaning the carbon dioxide equivalent quotas prescribed in Article 2, paragraph (6) of the Act on Promotion of Global Warming Countermeasures (Act No. 117 of 1998) or any other subject-matter similar thereto; the same applies in the following item), or an intermediary, brokerage or agency service therefor;

十七次に掲げる取引又はその媒介、取次ぎ若しくは代理を行う業務

(xvii)business of conducting any of the following transactions, or an intermediary, brokerage or agency service therefor:

十八投資法人（投資信託及び投資法人に関する法律第二条第十二項に規定する投資法人をいう。以下同じ。）から同法第百十七条第一項の規定による委託を受けて同項第四号に掲げる事務を行う業務又は特別目的会社から委託を受けてその機関の運営に関する事務を行う業務

(xviii)business of conducting the affairs specified in Article 117, paragraph (1), item (iv) of the Act on Investment Trust and Investment Corporations, based on an entrustment by an Investment Corporation (meaning an Investment Corporation prescribed in Article 2, paragraph (12) of that Act; the same applies hereinafter) pursuant to the provisions of Article 117, paragraph (1) of that Act; or the business of conducting the affairs related to the management of an organ of a Special Purpose Company, based on entrustment by such Special Purpose Company;

十九有価証券又はデリバティブ取引に係る権利以外の資産に対する投資として、他人のため金銭その他の財産の運用を行う業務（法第三十五条第二項第一号、第二号、第五号の二及び第六号に掲げる業務に該当するものを除く。）

(xix)business of investing money or other properties for other person, as an investment in assets other than Securities or rights pertaining to a Derivative Transaction (excluding the business which falls under any of the categories of business listed in Article 35, paragraph (2), item (i), (ii), (v)-2 and (vi) of the Act);

二十債務の保証又は引受けに係る契約の締結又はその媒介、取次ぎ若しくは代理に係る業務

(xx)business of concluding a contract for a guarantee or assumption of an obligation, or an intermediary, brokerage or agency service therefor;

二十一その行う業務に係る顧客に対し他の事業者のあっせん又は紹介を行う業務

(xxi)business of making an arrangement with or introducing another business operator, to customers of its business;

二十二他の事業者の業務に関する広告又は宣伝を行う業務

(xxii)business of creating any advertisement or promotion in regard to the business of any other business operator;

二十三資金決済に関する法律（平成二十一年法律第五十九号）第二条第二項に規定する資金移動業

(xxiii)funds transfer business prescribed in Article 2, paragraph (2) of the Act on Funds Settlement (Act No. 59 of 2009); and

二十四法第三十五条第二項第一号から第六号まで又は前各号に掲げる業務に附帯する業務

(xxiv)business incidental to those listed in Article 35, paragraph (2), items (i) through (vi) of the Act or in the preceding items.

一当該業務を開始した場合　次に掲げる事項を記載した書類

(i)in the case of the commencement of the business: a document stating the following matters:

二当該業務を廃止した場合当該業務の廃止に伴う顧客勘定の処理の方法を記載した書面

(ii)in the case of the discontinuance of the business:a document stating the method of the treatment of customers' accounts incidental to the discontinuance of such business.

一商号

(i)the trade name;

二登録年月日及び登録番号

(ii)the registration date and registration number;

三承認を受けようとする業務の種類

(iii)the type of business for which approval is sought; and

四当該業務の開始予定年月日

(iv)the scheduled date for the commencement of the business.

一当該業務の内容及び方法

(i)the content of the business and business methods;

二当該業務に係る損失の危険の管理方法に関する次に掲げる事項

(ii)the following matters in relation to the method of risk management concerning risk of loss pertaining to the business:

三当該業務を所掌する組織及び人員配置

(iii)the organizational structure for executing the business and the positions of the personnel therefor;

四当該業務の運営に関する社内規則

(iv)the internal rules regarding the management of the business.

一特定金融商品取引業者等（法第三十六条第三項に規定する特定金融商品取引業者等をいう。以下同じ。）が令第十五条の二十七第一号に掲げる者である場合　次のイ及びロに掲げる業務

(i)when a Specified Financial Instruments Business Operator, etc. (meaning a Specified Financial Instruments Business Operator, etc. prescribed in Article 36, paragraph (3) of the Act; the same applies hereinafter) is a person listed in Article 15-27, item (i) of the Cabinet Order: the businesses listed in sub-items (a) and (b) below:

二特定金融商品取引業者等が令第十五条の二十七第二号に掲げる者である場合　次のイ及びロに掲げる業務

(ii)when a Specified Financial Instruments Business Operator, etc. is a person listed in Article 15-27, item (ii) of the Cabinet Order: the businesses listed in sub-items (a) and (b) below:

一対象取引を適切な方法により特定するための体制の整備

(i)the establishment of a system for identifying a subject transaction in an appropriate manner;

二次に掲げる方法その他の方法により当該顧客の保護を適正に確保するための体制の整備

(ii)the establishment of a system for ensuring in an appropriate manner the protection of such customer by following means and any other means:

三前二号に掲げる措置の実施の方針の策定及びその概要の適切な方法による公表

(iii)the formulation of policies for implementing the measures listed in the preceding two items and the publication of an overview thereof by an appropriate means; and

四次に掲げる記録の保存

(iv)the storage of the following records:

一金融商品取引業者別紙様式第十号

(i)Financial Instruments Business Operator:Appended Form No. 10; or

二登録金融機関別紙様式第十一号

(ii)Registered Financial Institution:Appended Form 11.

一法令又は法令に基づく行政官庁の処分に基づき作成された書類を配布する方法

(i)distribution of documents prepared in accordance with laws or regulations, or in accordance with the dispositions rendered by administrative agencies under the laws and regulations;

二個別の企業の分析及び評価に関する資料であって、金融商品取引契約の締結の勧誘に使用しないものを配布する方法

(ii)distribution of materials on the analysis and appraisal of the respective companies not intended to be used for solicitation for the conclusion of a Contract for Financial Instruments Transaction;

三次に掲げるすべての事項のみが表示されている景品その他の物品（ロからニまでに掲げる事項について明瞭かつ正確に表示されているものに限る。）を提供する方法（当該事項のうち景品その他の物品に表示されていない事項がある場合にあっては、当該景品その他の物品と当該事項が表示されている他の物品とを一体のものとして提供する方法を含む。）

(iii)provision of premiums or any other goods only indicating all of the following information (limited to premiums or goods clearly and accurately indicating the information listed in sub-items (b) through (d)) (if any of the following information is not indicated on the premiums or other goods, such provision includes the case of provision of such premiums or other goods incorporating other goods indicating such information as an integral part thereof):

一法第二条第二十二項第二号に掲げる取引現実数値（同条第二十一項第二号に規定する現実数値をいう。以下同じ。）が約定数値（同号に規定する約定数値をいう。以下同じ。）を上回った場合に金銭を支払う立場の当事者となる取引の約定数値と当該金銭を受領する立場の当事者となる取引の約定数値又はこれらに類似するもの

(i)the transaction specified in Article 2, paragraph (22), item (ii) of the Act:the Agreed Figure under the transactions wherein the person becomes the party paying money when the Actual Figure (meaning the Actual Figure prescribed in item (ii), paragraph (21) of that Article; the same applies hereinafter) exceeds the Agreed Figure (meaning the Agreed Figure prescribed in that item; the same applies hereinafter), and the Agreed Figure under the transactions wherein the person becomes the party receiving such money, or any other figures similar thereto;

二法第二条第二十二項第三号又は第四号に掲げる取引同項第三号又は第四号に規定する権利を付与する立場の当事者となる取引の当該権利の対価の額と当該権利を取得する立場の当事者となる取引の当該権利の対価の額

(ii)the transaction specified in Article 2, paragraph (22), item (iii) or (iv) of the Act:the amount of consideration for the rights in regard to the transaction wherein the person becomes the party granting the rights specified in item (iii) or (iv) of that paragraph, and the amount of consideration for the rights in regard the transaction wherein the person becomes the party acquiring such rights;

三法第二条第二十二項第五号に掲げる取引金融商品（同条第二十四項第三号に掲げるものを除く。）の利率等（同条第二十一項第四号に規定する利率等をいう。以下同じ。）若しくは金融指標が約定した期間に上昇した場合に金銭を支払う立場の当事者となる取引における約定した期間の開始時の当該金融商品の利率等若しくは金融指標と当該金融商品の利率等若しくは金融指標が約定した期間に上昇した場合に金銭を受領する立場の当事者となる取引における約定した期間の開始時の当該金融商品の利率等若しくは金融指標又はこれらに類似するもの

(iii)the transaction specified in Article 2, paragraph (22), item (v) of the Act:the Interest Rates, etc. (meaning the interest rates, etc. prescribed in item (iv) of paragraph (21) of that Article; the same applies hereinafter) of the Financial Instruments (excluding that specified in item (iii) of paragraph (24) of that Article) or the Financial Indicator as of the time of the commencement of the agreed period for the transaction wherein the person becomes the party paying money when the Interest Rates, etc. or the Financial Indicators of the Financial Instruments rise within the agreed period, and the Interest Rates, etc. of the Financial Instruments or the Financial Indicators as of the time of the commencement of the agreed period for the transaction wherein the person becomes the party receiving money when the Interest Rates, etc. of the Financial Instruments or the Financial Indicator rise within the agreed period, or any other figures similar thereto; and

四法第二条第二十二項第六号に掲げる取引同号に規定する事由が発生した場合において金銭を支払う立場の当事者となる取引の条件と金銭を受領する立場の当事者となる取引の条件又はこれらに類似するもの

(iv)the transaction specified in Article 2, paragraph (22), item (vi) of the Act:the conditions of the transaction wherein the person becomes the party paying money in the case of the occurrence of any event specified in that item, and the conditions of the transaction wherein the person becomes the party receiving money in such case, or any other conditions similar thereto.

一当該金融商品取引契約に関する重要な事項について顧客の不利益となる事実

(i)the facts regarding important matters on the Contract for Financial Instruments Transaction, which would be disadvantageous to the customer; and

二当該金融商品取引業者等が金融商品取引業協会に加入している場合にあっては、その旨及び当該金融商品取引業協会の名称

(ii)in cases where the Financial Instruments Business Operator, etc. is a member of a Financial Instruments Firms Association, such fact and the name of such Financial Instruments Firms Association.

一一般放送事業者（放送法第二条第二十五号に規定する一般放送事業者をいう。第二百七十条第一項第一号において同じ。）の放送設備により放送をさせる方法

(i)to broadcast using the broadcasting facilities of Private Broadcaster (meaning the Private Broadcaster defined in Article 2, item (xxv) of the Broadcast Act; the same applies in article 270, paragraph (1), item (i)):

二金融商品取引業者等又は当該金融商品取引業者等が行う広告等に係る業務の委託を受けた者の使用に係る電子計算機に備えられたファイルに記録された情報の内容（基幹放送事業者の放送設備により放送をさせる方法又は前号に掲げる方法により提供される事項と同一のものに限る。）を電気通信回線を利用して顧客に閲覧させる方法

(ii)to make available for the customer's inspection the contents of the information recorded into the files stored on the computer used by a Financial Instruments Business Operator, etc. or by a person who has accepted entrustment of the service of an Advertisement, etc. to be made by the Financial Instruments Business Operator, etc. (limited to information identical to that provided by means of broadcasting using the broadcasting facilities of a Basic Broadcaster or by the means specified in the preceding item) via telecommunications line; or

三常時又は一定の期間継続して屋内又は屋外で公衆に表示させる方法であって、看板、立看板、はり紙及びはり札並びに広告塔、広告板、建物その他の工作物等に掲出させ、又は表示させるもの並びにこれらに類するもの

(iii)to expose to the public an indoor or outdoor advertisement regularly or continuously for a fixed period, by means of posting or indicating it on signboards, standing signboards, bills, notices, advertising towers, billboards, buildings or any other structures, or any other methods similar thereto.

一金融商品取引契約の解除に関する事項（法第三十七条の六第一項から第四項までの規定に関する事項を含む。）

(i)the matters related to cancellation of a Contract for a Financial Instruments Transaction (including matters related to the provisions of Article 37-6, paragraphs (1) through (4) of the Act);

二金融商品取引契約に係る損失の全部若しくは一部の負担又は利益の保証に関する事項

(ii)the matters related to the sharing of all or part of the losses or a guarantee of profit, in connection with a Contract for a Financial Instruments Transaction;

三金融商品取引契約に係る損害賠償額の予定（違約金を含む。）に関する事項

(iii)the matters related to agreement for liquidated damages (including penalties) pertaining to the Contract for Financial Instruments Transaction;

四金融商品取引契約に係る金融商品市場又は金融商品市場に類似する市場で外国に所在するものに関する事項

(iv)the matters related to the Financial Instruments Market or any other market similar thereto located in a foreign state, which pertains to the Contract for Financial Instruments Transaction;

五金融商品取引業者等の資力又は信用に関する事項

(v)the matters related to the financial resources or credit of the Financial Instruments Business Operator, etc.;

六金融商品取引業者等の金融商品取引業（登録金融機関にあっては、登録金融機関業務）の実績に関する事項

(vi)the matters related to the performance of the Financial Instruments Business conducted by the Financial Instruments Business Operator, etc. (in the case of a Registered Financial Institution, the performance of the Registered Financial Institution Business conducted by the Registered Financial Institution);

七金融商品取引契約に関して顧客が支払うべき手数料等の額又はその計算方法、支払の方法及び時期並びに支払先に関する事項

(vii)the matters related to the amount of the Fees, etc. payable by customers in connection with a Contract for Financial Instruments Transaction or the method of calculation therefor, and the method and timing of the payment of such Fees, etc. and the payee of such Fees, etc.;

八抵当証券等（法第二条第一項第十六号に掲げる有価証券又は同項第十七号に掲げる有価証券（同項第十六号に掲げる性質を有するものに限る。）をいう。以下同じ。）の売買その他の取引について広告等をする場合にあっては、次に掲げる事項

(viii)in cases of an Advertisement, etc. for the purchase and sale or any other transaction of the Mortgage Securities, etc. (meaning the Securities specified in Article 2, paragraph (1), item (xvi) of the Act, or the Securities specified in item (xvii) of that paragraph (limited to those which have the nature specified in item (xvi) of that paragraph); the same applies hereinafter), the following matters:

九投資顧問契約について広告等をする場合にあっては、助言の内容及び方法に関する事項

(ix)in cases of an Advertisement, etc. regarding an Investment Advisory Contract, the matters related to the contents and methods of advice;

十投資一任契約又は法第二条第八項第十五号に掲げる行為を行うことを内容とする契約について広告等をする場合にあっては、投資判断の内容及び方法に関する事項

(x)in cases of an Advertisement, etc. of a Discretionary Investment Contract or a contract for conducting acts specified in Article 2, paragraph (8), item (xv) of the Act, the matters related to the contents and method of making the Investment Decisions; and

十一第七条第四号ニ（１）に掲げる権利に係る募集又は私募について広告等をする場合にあっては、競走用馬の血統及び飼養管理の状況に関する事項

(xi)in cases of an Advertisement, etc. regarding the public offering or private placement of the rights specified in Article 7, item (iv), sub-item (d)1., the matters related to bloodlines of the racehorses and the status of the management of the breeding thereof.

一法第三十七条の三第一項第四号に掲げる事項の概要並びに同項第五号及び第六号並びに第八十二条第三号から第六号までに掲げる事項

(i)an outline of the matters listed in Article 37-3, paragraph (1), item (iv) of the Act, and the matters listed in Article 37-3, paragraph (1), item (v) and (vi) of the Act and Article 82, items (iii) through (vi) of this Cabinet Office Order;

二金融商品取引契約が店頭デリバティブ取引契約（令第十六条の四第一項イからハまでに掲げる取引（以下「店頭金融先物取引」という。）に係る同号に掲げる契約又は同項第二号に掲げる契約（第百十六条第一項第三号イ及びロに掲げる取引に係るものを除く。）をいう。以下同じ。）であるときは、第九十四条第一項第一号及び第四号に掲げる事項

(ii)in cases where the Contract for Financial Instruments Transaction is a contract for Over-the-Counter Derivatives Transactions (meaning contracts listed in Article 16-4, paragraph (1), sub-items (a) through (c) of the Cabinet Order pertaining to the translations listed in those items (hereinafter referred to as the "Over-the-Counter Transactions of Financial Futures") or contracts listed in item (ii) of that paragraph (excluding contracts pertaining to transactions listed in Article 116, paragraph (1), item (iii), sub-items (a) and (b)); the same applies hereinafter), the matters listed in Article 94, paragraph (1), item (i) and (iv); and

三第八十二条第九号に掲げる事項

(iii)the matter listed in Article 82, item (ix).

一金融商品取引所に上場されている有価証券、店頭売買有価証券（法第二条第一項第十九号に掲げる有価証券及び金融庁長官の指定する有価証券を除く。）、金融商品取引所に類似するもので外国に所在するものに上場されている有価証券又は店頭売買有価証券市場に類似する市場で外国に所在するものにおいて取引されている有価証券（金融庁長官の指定する有価証券を除く。）の売買その他の取引（デリバティブ取引に該当するもの並びに信用取引及び発行日取引又はこれらに類似する取引を除く。以下「上場有価証券等売買等」という。）に係る金融商品取引契約の締結前一年以内に当該顧客に対し当該金融商品取引契約について法第三十七条の三第一項第一号から第五号まで並びに第八十二条第一号、第三号、第五号、第十一号、第十四号及び第十五号に掲げる事項を、前条に規定する方法に準ずる方法により記載した書面（以下「上場有価証券等書面」という。）を交付している場合

(i)the cases where, with regard to the purchase and sale or any other transaction of Securities listed on a Financial Instruments Exchange Market, Over-the-Counter Traded Securities (excluding the Securities specified in Article 2, paragraph (1), item (xix) of the Act and the Securities designated by the Commissioner of the Financial Services Agency), Securities listed on an exchange located in a foreign state which is similar to a Financial Instruments Exchange, or Securities traded on a market located in a foreign state which is similar to the Over-the Counter Securities Market (excluding the Securities designated by the Commissioner of the Financial Services Agency) (the above excludes transactions which fall under the category of Derivative Transactions, and also excludes margin transactions, When-Issued Transaction or any other transaction similar to those transactions; hereinafter collectively referred to as the "Purchase and Sale, etc. of Listed Securities, etc."), a Financial Instruments Business Operator, etc., within one year prior to the conclusion of the Contract for a Financial Instruments Transaction pertaining to the transaction, had delivered to the customer a document on the Contract for Financial Instruments Transaction containing the matters set forth in Article 37-3, paragraph (1), items (i) through (v) of the Act and Article 82, item (i), (iii), (v), (xi), (xiv) and (xv) of this Cabinet Office Order prepared in accordance with the methods equivalent to those specified in the preceding Article (hereinafter referred to as the "Explanatory Document on Listed Securities, etc.");

二有価証券の売買（法第二条第八項第一号に規定する有価証券の売買をいう。以下同じ。）その他の取引又はデリバティブ取引等に係る金融商品取引契約の締結前一年以内に当該顧客に対し当該金融商品取引契約と同種の内容の金融商品取引契約に係る契約締結前交付書面を交付している場合

(ii)in cases where, within one year prior to the conclusion of the Contract for Financial Instruments Transaction pertaining to the Purchase and Sale of Securities (meaning the purchase and sale of Securities prescribed in Article 2, paragraph (8), item (i) of the Act; the same applies hereinafter), any other type of transaction of Securities, or Derivative Transactions, etc., a Financial Instruments Business Operator, etc. has delivered to the customer a Document for Delivery Prior to Conclusion of Contract related to any other Contract for Financial Instruments Transaction which is in substance identical to the first-mentioned Contract for Financial Instruments Transaction;

三当該顧客に対し目論見書（前条に規定する方法に準ずる方法により当該契約締結前交付書面に記載すべき事項のすべてが記載されているものに限る。）を交付している場合（目論見書に当該事項のすべてが記載されていない場合にあっては、当該目論見書及び当該事項のうち当該目論見書に記載されていない事項のすべてが記載されている書面を一体のものとして交付している場合を含む。）又は法第十五条第二項第二号に掲げる場合

(iii)in cases where the Financial Instruments Business Operator, etc. has delivered to the customer a Prospectus (limited to a Prospectus containing all of the matters to be stated in the Document for Delivery Prior to Conclusion of Contract, as prepared in accordance with the methods equivalent to those specified in the preceding Article) (if the Prospectus does not contain all of such matters, including the cases where a document stating all of the matters not contained therein has been delivered as an integral part of such Prospectus), or in the cases specified in Article 15, paragraph (2), item (ii) of the Act;

四既に成立している金融商品取引契約の一部の変更をすることを内容とする金融商品取引契約を締結しようとする場合においては、次に掲げるとき。

(iv)where the Financial Instruments Business Operator, etc. intends to conclude a Contract for Financial Instruments Transaction for the purpose of effecting a partial change to any term of a Contract for Financial Instruments Transaction already in effect, the following cases:

五当該金融商品取引契約が次に掲げる行為に係るものである場合

(v)where the Contract for Financial Instruments Transaction pertains to any of the following acts:

一当該契約締結前交付書面の内容を十分に読むべき旨

(i)a notice to the effect that the recipient of the Document for Delivery Prior to Conclusion of Contract should read the contents thereof comprehensively;

二令第十六条第一項第二号に掲げる事項

(ii)the matters specified in Article 16, paragraph (1), item (ii) of the Cabinet Order;

三顧客が行う金融商品取引行為について金利、通貨の価格、金融商品市場における相場その他の指標に係る変動を直接の原因として損失が生ずることとなるおそれがある場合にあっては、次に掲げる事項

(iii)in cases where any Act of Financial Instruments Transaction to be conducted by the customer bears a risk of the accrual of any loss caused directly by a fluctuation in indicators such as money rate, value of currencies or quotations on the Financial Instruments Market, the following matters:

四前号の損失の額が顧客が預託すべき委託証拠金その他の保証金の額を上回ることとなるおそれ（以下この号において「元本超過損が生ずるおそれ」という。）がある場合にあっては、次に掲げる事項

(iv)in cases where there is a risk that the amount of loss set forth in the preceding item may exceed the amount of any security deposit to be deposited by the customer such as customer margin (such risk is hereinafter referred to as the "Risk of Loss in Excess of Principal" in this item), the following matters:

五顧客が行う金融商品取引行為について当該金融商品取引業者等その他の者の業務又は財産の状況の変化を直接の原因として損失が生ずることとなるおそれがある場合にあっては、次に掲げる事項

(v)in cases where the Act of Financial Instruments Transaction to be conducted by the customer bears a risk of the accrual of any loss caused directly by a change to the status of the business or property of the Financial Instruments Business Operator, etc. or any other person, the following matters:

六前号の損失の額が顧客が預託すべき委託証拠金その他の保証金の額を上回ることとなるおそれ（以下この号において「元本超過損が生ずるおそれ」という。）がある場合にあっては、次に掲げる事項

(vi)in cases where there is a risk that the amount of loss set forth in the preceding item may exceed the amount of any security deposit to be deposited by the customer such as customer margin (hereinafter referred to as the "Risk of Loss in Excess of Principal" in this item), the following matters:

七当該金融商品取引契約に関する租税の概要

(vii)an outline of the taxation related to the Contract for Financial Instruments Transaction;

八当該金融商品取引契約の終了の事由がある場合にあっては、その内容

(viii)in cases where there is any ground for termination of the Contract for Financial Instruments Transaction, the details thereof;

九当該金融商品取引契約への法第三十七条の六の規定の適用の有無

(ix)information as to as to whether the provisions of Article 37-6 of the Act is applicable to the Contract for Financial Instruments Transaction;

十当該金融商品取引契約が法第三十七条の六の規定が適用されるものである場合にあっては、同条第一項から第四項までの規定に関する事項

(x)in the cases where the provisions of Article 37-6 of the Act is applicable to the Contract for Financial Instruments Transaction, the matters related to the provisions of paragraphs (1) through (4) of that Article;

十一当該金融商品取引業者等の概要

(xi)an outline of the Financial Instruments Business Operator, etc.;

十二当該金融商品取引業者等が行う金融商品取引業（登録金融機関にあっては、登録金融機関業務）の内容及び方法の概要

(xii)an outline of contents and methods of the Financial Instruments Business to be conducted by the Financial Instruments Business Operator, etc. (in the case of a Registered Financial Institution, the Registered Financial Institution Business to be conducted by the Registered Financial Institution);

十三顧客が当該金融商品取引業者等に連絡する方法

(xiii)the method whereby a customer contacts the Financial Instruments Business Operator, etc.; and

十四当該金融商品取引業者等が加入している金融商品取引業協会及び対象事業者となっている認定投資者保護団体（当該金融商品取引契約が当該認定投資者保護団体の認定業務（法第七十九条の十第一項に規定する認定業務をいう。）の対象となるものである場合における当該認定投資者保護団体に限る。）の有無（加入し、又は対象事業者となっている場合にあっては、その名称）

(xiv)information as to whether the Financial Instruments Business Operator, etc. is a member of any Financial Instruments Firms Association, or whether it is a Target Business Operator of any Certified Investor Protection Organization (limited to such Certified Investor Protection Organization where the Contract for Financial Instruments Transaction is covered by the Certified Businesses (meaning the Certified Businesses prescribed in Article 79-10, paragraph (1) of the Act) of such Certified Investor Protection Organization) (if it is a member or a Target Business Operator of any of these organizations, the name thereof).

十五次のイ又はロに掲げる場合の区分に応じ、当該イ又はロに定める事項

(xv)according to the categories specified in the following sub-item (a) or (b), the matters specified in the following sub-item (a) or (b):

一当該有価証券の譲渡に制限がある場合にあっては、その旨及び当該制限の内容

(i)in cases where the transfer of the Securities is subject to any restriction, to that effect and the details of such restriction; and

二当該有価証券が取扱有価証券である場合にあっては、当該取扱有価証券の売買の機会に関し顧客の注意を喚起すべき事項

(ii)in cases where the Securities fall under the category of the Tradable Securities, the matters which should be noted by the customer in relation to an opportunity for the purchase and sale of said Tradable Securities.

一信託財産の種類、信託期間、信託財産の管理又は処分の方法及び信託財産の交付に関する事項

(i)the matters related to the type of the trust property, term of the trust, method for the management or disposition of the trust property and delivery of the trust property;

二信託財産の管理又は処分の権限を有する者及び権限の内容に関する事項（当該者が適格投資家向け投資運用業を行うことにつき法第二十九条の登録を受けた金融商品取引業者であるときは、その旨を含む。）

(ii)the matters related to the person who has been granted the authority to manage or dispose of the trust property, as well as the details of such authority (in cases where the person is the Financial Instruments Business Operator who is registered pursuant to Article 29 of the Act for engaging in Investment Management Business for Qualified Investors, including to that effect);

三信託の設定時における第三者による信託財産の評価の有無その他信託財産の評価に関する事項

(iii)information as to whether the trust property was appraised by any third party at the time of the creation of the trust, or any other matters related to the appraisal of the trust property;

四信託行為において定められる信託受益権等（法第二条第二項の規定により有価証券とみなされる同項第一号又は第二号に掲げる権利に限る。）の譲渡手続に関する事項

(iv)the matters related to procedures for the transfer of the Beneficial Interest in Trust, etc. (limited to the rights specified in Article 2, paragraph (2), item (i) or (ii) of the Act, which are regarded as Securities pursuant to the provisions of that paragraph) as prescribed by the act of trust;

五取引の種類の別

(v)the type of transaction;

六売付けの代理若しくは媒介又は募集、私募若しくは売出しの取扱いの場合にあっては、売主又は買主に関する事項

(vi)in the case of an agency or intermediary service for sales, or in case of dealing in a public offering, private placement or secondary distribution, the matters related to the seller or purchaser;

七信託の目的

(vii)the purpose of the trust;

八受益者の権利義務に関する次に掲げる事項

(viii)the following matters in relation to the beneficiaries' rights and obligations:

九信託受益権等の損失の危険に関する次に掲げる事項

(ix)the following matters in relation to the risk of loss of the Beneficial Interest in Trust, etc.:

十信託財産に関する租税その他の費用に関する事項

(x)the matters related to tax and any other expenses for the trust property;

十一信託財産の計算期間に関する事項

(xi)the matters related to the Accounting Period of the trust property;

十二信託財産の管理又は処分の状況の報告に関する事項

(xii)the matters related to reporting of the status of the management or disposition of the trust property;

十三受託者の氏名又は名称及び公告の方法

(xiii)the name of the trustee, and the method of public notice;

十四信託財産である金銭を固有財産又は他の信託財産である金銭と合同運用する場合は、その旨及び当該信託財産と固有財産又は他の信託財産との間の損益の分配に係る基準

(xiv)in cases where the money comprising the trust property is to be invested jointly with the money comprising the trustee's own property or the money comprising any other trust property, to that effect and the criteria for the allocation of profit and loss between such trust property, and the trustee's own property or such other trust property;

十五当該金融商品取引契約が信託法第三条第三号に掲げる方法によってする信託に係る信託受益権等の売買その他の取引に係るものである場合にあっては、次に掲げる事項

(xv)in cases where the Contract for Financial Instruments Transaction pertains to the purchase and sale or any other transaction of the Beneficial Interest in Trust, etc. pertaining to the trust created by the method specified in Article 3 item (iii) of the Trust Act, the following matters:

十六当該金融商品取引契約が信託法第二条第十二項に規定する限定責任信託に係る信託受益権等の売買その他の取引に係るものである場合にあっては、第一号から第十四号までに掲げるもののほか、次に掲げる事項

(xvi)in cases where the Contract for Financial Instruments Transaction pertains to the purchase and sale or any other transaction of the Beneficial Interest in Trust, etc. pertaining to the Limited Liability Trust prescribed in Article 2, paragraph (12) of the Trust Act, the following matters in addition to those listed in items (i) through (xiv):

一当該不動産信託受益権に係る信託財産の上に存する登記された権利の種類及び内容並びに登記名義人又は登記簿の表題部に記録された所有者の氏名（法人にあっては、その名称）

(i)the types and details of the registered right existing on the trust property pertaining to the Beneficial Interest in Real Property Trust, as well as the name of the registered right holder thereof or the name of the owner recorded in the heading-section of the registry (in the case of a juridical person, the name thereof);

二当該不動産信託受益権に係る信託財産である宅地又は建物に係る都市計画法（昭和四十三年法律第百号）、建築基準法（昭和二十五年法律第二百一号）その他の法令に基づく制限で宅地建物取引業法施行令（昭和三十九年政令第三百八十三号）第三条の二に規定する制限に関する事項の概要

(ii)an outline of the matters related to restrictions on the Building Lots or building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust as imposed under the City Planning Act (Act No. 100 of 1968), the Building Standards Act (Act No. 201 of 1950) or any other laws and regulations, which are specified in Article 3-2 of the Order for Enforcement of the Building Lots and Buildings Transaction Business Act (Cabinet Order No. 383 of 1964);

三当該不動産信託受益権に係る信託財産である宅地又は建物に係る私道に関する負担に関する事項

(iii)matters related to the burden of a private road in connection with the Building Lots or building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust;

四当該不動産信託受益権に係る信託財産である宅地又は建物に係る飲用水、電気及びガスの供給並びに排水のための施設の整備の状況（これらの施設が整備されていない場合においては、その整備の見通し及びその整備についての特別の負担に関する事項）

(iv)the status of the construction or maintenance of the facilities for the supply of drinking water, electricity and gas and the drainage facilities for the Building Lot or building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust (in cases where these facilities have not been constructed or maintained, the matters related to plans for construction or maintenance thereof and special burden therefor);

五当該不動産信託受益権に係る信託財産である宅地又は建物が宅地の造成又は建築に関する工事の完了前のものであるときは、その完了時における形状、構造その他宅地建物取引業法施行規則（昭和三十二年建設省令第十二号）第十九条の二の四に規定する事項

(v)in cases where the development or construction work of the Building Lot or building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust has not been completed, the matters related to the shape and structure at the time of the completion thereof as well as any other matters specified in Article 19-2-4 of the Regulation for Enforcement of the Building Lots and Buildings Transaction Business Act (Order of the Ministry of Construction No. 12 of 1957);

六当該不動産信託受益権に係る信託財産である建物が建物の区分所有等に関する法律（昭和三十七年法律第六十九号）第二条第一項に規定する区分所有権の目的であるものであるときは、当該建物を所有するための一棟の建物の敷地に関する権利の種類及び内容、同条第四項に規定する共用部分に関する規約の定めその他の一棟の建物又はその敷地（一団地内に数棟の建物があって、その団地内の土地又はこれに関する権利がそれらの建物の所有者の共有に属する場合には、その土地を含む。）に関する権利及びこれらの管理又は使用に関する事項で宅地建物取引業法施行規則第十九条の二の五各号に掲げるもの

(vi)in cases where the building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust is the subject of the unit ownership prescribed in Article 2, paragraph (1) of the Act on Unit Ownership, etc. of Building (Act No. 69 of 1962), the type and details of the rights related to site of a building for the purpose of ownership of the building, the provisions of a regulation in relation to common elements as specified in paragraph (4) of that Article, the other rights related to a building and its site (in cases where two or more buildings are built in a housing complex, and where the land located within such housing complex or the rights relevant thereto are co-owned by the owners of such buildings, including such land), as well as the matters related to the management or use thereof as set forth in the items of Article 19-2-5 of the Regulation for Enforcement of the Building Lots and Buildings Transaction Business Act;

七当該不動産信託受益権に係る信託財産である宅地又は建物が宅地造成等規制法（昭和三十六年法律第百九十一号）第二十条第一項により指定された造成宅地防災区域内にあるときは、その旨

(vii)in cases where the Building Lot or building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust is located in the disaster prone developed residential area designated under Article 20, paragraph (1) of the Act on Regulation of Residential Land Development (Act No. 191 of 1961), to that effect;

八当該不動産信託受益権に係る信託財産である宅地又は建物が土砂災害警戒区域等における土砂災害防止対策の推進に関する法律（平成十二年法律第五十七号）第六条第一項により指定された土砂災害警戒区域内にあるときは、その旨

(viii)in cases where the Building Lot or building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust is located in the sediment disaster prone areas designated under Article 6, paragraph (1) of the Act on Sediment Disaster Countermeasures for Sediment Disaster Prone Areas (Act No. 57 of 2000), to that effect;

九当該不動産信託受益権に係る信託財産である宅地又は建物が津波防災地域づくりに関する法律（平成二十三年法律第百二十三号）第五十三条第一項により指定された津波災害警戒区域内にあるときは、その旨

(ix)in cases where the Building Lot or building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust is located in the sediment disaster prone areas designated under Article 53, paragraph (1) of the Act on Regional Development for Tsunami Disaster Prevention (Act No. 123 of 2011), to that effect;

十当該不動産信託受益権に係る信託財産である建物について、石綿の使用の有無の調査の結果が記録されているときは、その内容

(x)in cases where, with regard to the building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust, the results of any investigation as to whether asbestos was used have been recorded, the contents of such record;

十一当該不動産信託受益権に係る信託財産である建物（昭和五十六年六月一日以降に新築の工事に着手したものを除く。）が建築物の耐震改修の促進に関する法律（平成七年法律第百二十三号）第四条第一項に規定する基本方針のうち同条第二項第三号の技術上の指針となるべき事項に基づいて次に掲げる者が行う耐震診断を受けたものであるときは、その内容

(xi)in cases where the building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust (excluding a building for which construction work was commenced on or after June 1, 1981) has undergone a seismic test implemented by any of the following parties in accordance with the items serving as the technical guidelines as specified in Article 4, paragraph (2), item (iii) of the Act on Promotion of Seismic Retrofitting of Buildings (Act No. 123 of 1995), from among the basic policies specified in Article 4, paragraph (1) of that Act, the details thereof:

十二当該不動産信託受益権に係る信託財産である建物が住宅の品質確保の促進等に関する法律第五条第一項に規定する住宅性能評価を受けた新築住宅であるときは、その旨

(xii)in cases where the building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust is a newly constructed housing which has undergone the housing quality evaluation test prescribed in Article 5, paragraph (1) of the Housing Quality Assurance Act, to that effect; and

十三当該不動産信託受益権に係る信託財産である宅地又は建物の瑕疵を担保すべき責任の履行に関し保証保険契約の締結その他の措置で次に掲げるものが講じられているときは、その概要

(xiii)in cases where, in regard to the performance of a defect warranty obligation related to the Building Lot or building comprising the trust property pertaining to the Beneficial Interest in Real Property Trust, any of the measures as specified in any of the following sub-items such as a conclusion of guarantee insurance contract has been taken, the outlines thereof:

一元本の単位に関する事項

(i)the matters related to a unit of principal;

二利息に関する事項

(ii)the matters related to interest;

三当該抵当証券等に記載された債権の元本及び利息の弁済の受領に関する定めがあるときは、その内容

(iii)in cases where there are any provisions on the receipt of payment of principal and interest of the claims, as stated in the Mortgage Securities, etc., the details thereof;

四代金の受渡しの方法

(iv)the method of the delivery of the price;

五元本及び利息の支払の時期、手段その他支払の方法

(v)the timing and means of the payment of principal and interest, or any other payment method;

六当該抵当証券等に記載された抵当証券法（昭和六年法律第十五号）第十二条第一項各号に掲げる事項

(vi)the matters listed in the items of Article 12, paragraph (1) of the Mortgage Securities Act (Act No. 15 of 1931), as stated in the Mortgage Securities, etc.;

七当該抵当証券等に係る貸付契約に関する次に掲げる事項

(vii)the following matters in relation to the loan contract pertaining to the Mortgage Securities, etc.:

八当該金融商品取引業者等の資本金の額又は出資の総額及び他の事業を行っている場合には、その事業の種類

(viii)the amount of stated capital or total amount of investment of the Financial Instruments Business Operator, etc., and, in cases where it is engaged in another business, the type of such business;

九当該金融商品取引業者等に係る法第四十六条の三第一項、第四十七条の二又は第四十八条の二第一項に規定する事業報告書に記載すべき事項

(ix)the matters to be stated in the business report under Article 46-3, paragraph (1), Article 47-2 or Article 48-2, paragraph (1) of the Act, in relation to the Financial Instruments Business Operator, etc.;

十抵当証券等の元本が政府により保証されたものではない旨

(x)the fact that the principal of the Mortgage Securities, etc. is not guaranteed by the government; and

十一当該金融商品取引業者等に係る直近の計算書類又は次に掲げるいずれかの事項

(xi)the latest financial statements of the Financial Instruments Business Operator, etc., or any of the following matters in regard to such Financial Instruments Business Operator, etc.:

一出資対象事業持分取引契約に関する次に掲げる事項

(i)the following matters related to the Contract for Transaction of Equity in Invested Business:

二出資対象事業の運営に関する次に掲げる事項

(ii)the following matters in relation to the operation of the Invested Business:

三出資対象事業の経理に関する次に掲げる事項

(iii)the following matters in relation to the accounting of the Invested Business;

一外国出資対象事業持分に係る契約その他の法律行為の準拠法の名称及びその主な内容

(i)the name of the laws governing the contract or any other juridical act pertaining to the Equity in Foreign Invested Business, and the outline thereof;

二外国出資対象事業持分の発行者が監督を受けている外国の当局の有無並びに当該当局がある場合にあっては、その名称及び当該監督の主な内容

(ii)existence of the authority of the foreign state supervising the Issuer of the Equity in Foreign Invested Business, and in cases where said authority exists, the name and the outline of the supervision;

三配当等、売却代金その他の送金についての為替管理上の取扱い

(iii)the treatment of remittance of the Dividends, etc., sales proceeds and any other payment, in regard to exchange control;

四本邦内に住所を有する者であって、裁判上及び裁判外において当該外国出資対象事業持分の発行者を代理する権限を有する者の有無並びに当該者がある場合にあっては、その氏名又は名称及び住所並びに当該権限の内容

(iv)information as to whether there is any person domiciled in Japan who has been granted authority to act as an agent of the Issuer of the Equity in Foreign Invested Business in connection with acts in or out of court, and there is such person, the name and address and the contents of such authority; and

五当該外国出資対象事業持分に係る契約その他の法律行為に当該外国出資対象事業持分に関する訴訟について管轄権を有する裁判所の定めがある場合にあっては、その名称及び所在地並びに執行の手続

(v)in cases where the contract or any other juridical act pertaining to the Equity in Foreign Invested Business provides for the court to have jurisdiction over an action related to such Equity in Foreign Invested Business, the name and location of such court and the procedure for execution.

一商品ファンド（商品ファンド関連受益権を有する者から出資又は拠出を受けた金銭その他の財産をいう。以下この条及び第百九条第五号において同じ。）の運用を行う者（以下この項において「運用業者」という。）及び商品ファンドに関し業務上密接な関係を有する者（以下この項において「関係業者」という。）のうち主要な者であって次に掲げるものの商号、名称又は氏名及び住所並びに代表者がいる場合にあっては、代表者の氏名

(i)the trade name, name and address of the person who makes an investment (hereinafter referred to as an "Investment Manager" in this paragraph) of the Commodity Fund (meaning money or other properties invested or contributed by persons entitled to the Beneficial Interest in Commodity Fund; hereinafter the same applies in this Article and Article 109, item (v)), and of the major parties listed in any of the following from among those having a close business relationship with the Commodity Fund (hereinafter referred to as the "Related Business Operators" in this paragraph); and if any of the aforementioned parties has a representative, the name thereof:

二当該金融商品取引業者等及び運用業者の資本金の額又は出資の総額及び主要株主（自己又は他人の名義をもって総株主等の議決権の百分の十以上の議決権を保有している者をいう。第九十五条第一項第一号及び第百五十三条第一項第四号ニ（６）（ｉ）において同じ。）の商号、名称又は氏名並びに当該金融商品取引業者等又は運用業者が他に事業を行っているときは、その種類

(ii)the amount of stated capital or the total amount of the contribution of the Financial Instruments Business Operator, etc. and the Investment Manager; the trade name or name of the Major Shareholder thereof (meaning a person holding ten percent or more of the Voting Rights Held by All the Shareholders, etc. under the name of such person or any other person; the same applies in Article 95, paragraph (1), item (i) and Article 153, paragraph (1), item (iv), sub-item (d), 6, i); and in cases where the Financial Instruments Business Operator, etc. or the Investment Manager conducts any additional business, the type of such business;

三運用業者の財産の運用開始日が属する事業年度の前事業年度の貸借対照表及び損益計算書又はこれらに代わる書面

(iii)the balance sheet and profit and loss statement for the business year immediately preceding the business year in which the day when the Investment Manager commenced the investment of properties falls, or any other document in lieu thereof;

四運用業者の役員及び商品ファンドを運用する重要な使用人（部長、次長、課長その他いかなる名称であるかを問わず、商品ファンドの運用について責任を有する者をいう。）の氏名並びに役員が他の法人の常務に従事し、又は事業を営んでいるときは、当該役員の氏名並びに当該他の法人の商号又は名称及び業務又は当該事業の種類

(iv)the names of the Officers of the Investment Manager, and of the Major Employees thereof engaged in investment of the Commodity Fund (meaning a person responsible for investment of the Commodity Fund, such as the general manager, vice-chief, section manager or any other person irrespective of the job title); and if any Officer engages in the ordinary business of any other juridical person or operates a business, the name of such Officer, the trade name or name of such other juridical person or the type of such ordinary business or business;

五当該金融商品取引契約の種類並びに顧客の権利及び責任の範囲に関する次に掲げる事項

(v)the following matters related to the type of the Contract for Financial Instruments Transaction and the scope of the customer's rights and liabilities:

六当該金融商品取引契約又は当該商品ファンド関連受益権に係る信託契約に係る法令の概要

(vi)an outline of the laws and regulations applicable to the Contract for Financial Instruments Transaction or to the trust agreement pertaining to the Beneficial Interest in Commodity Fund;

七顧客から出資され、若しくは拠出された財産又は当該商品ファンド関連受益権に係る信託財産の運用形態に関する次に掲げる事項

(vii)the following matters related to the type of the investment of the properties invested or contributed by the customer or the trust properties pertaining to the Beneficial Interest in Commodity Fund:

八顧客から出資され、若しくは拠出された財産又は当該商品ファンド関連受益権に係る信託財産の投資の内容及び方針に関する次に掲げる事項

(viii)the following matters in relation to the contents and policies of the investment of the properties invested or contributed by the customer or the trust properties pertaining to the Beneficial Interest in Commodity Fund:

九商品投資に係る事業の規制に関する法律第二条第一項第一号に掲げる取引（以下この条及び第百九条第四号において「商品先物取引」という。）の投機性、資金運用効率、流動性、商品先物取引法第二条第二十三項に規定する商品先物取引業者の信用、商品投資顧問業者の運用手法その他の商品ファンドを商品先物取引で運用することにより予想される損失発生の要因

(ix)the factors expected to give rise to any loss in connection with the investment of the Commodity Fund by way of the transaction specified in Article 2, paragraph (1), item (i) of the Act on Control for Business Pertaining to Commodity Investment (hereinafter referred to as the "Commodity Futures" in this Article and Article 109, item (iv)), such as its speculative nature, efficiency of fund management, liquidity, credibility of the Commodity Futures Transactions Dealer prescribed in Article 2, paragraph (23) of the Commodity Futures Act, the method of investment adopted by the Commodity Trading Advisor and other factors;

十顧客への運用状況の報告の方法、頻度及び時期

(x)the method, frequency and timing of reporting the status of the investment to customers; and

十一商品投資に係る事業の規制に関する法律第二条第五項第三号に掲げる契約を締結する場合にあっては、当該契約により顧客に付与される報告請求権の内容

(xi)in cases where a contract specified in Article 2, paragraph (5), item (iii) of the Act on Control for Business Pertaining to Commodity Investment is to be concluded, the details of the right to demand a report to be granted to the customer under that contract;

十二運用業者に関する次に掲げる事項

(xii)the following matters in relation to the Investment Manager: