金融商品の販売等に関する法律施行令(平成十二年政令第四百八十四号)
Order for Enforcement of the Act on the Sales, etc. of Financial Instruments(Cabinet Order No. 484 of 2000)
最終更新:平成二十九年政令第二百三十七号
Last Version: Cabinet Order No. 237 of 2017
目次
履歴
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▶
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令和5年3月1日
- 最終更新:令和三年政令第百九十五号
- 翻訳日:令和4年7月21日
- 辞書バージョン:14.0
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令和1年6月12日
- 最終更新:平成二十九年政令第二百三十七号
- 翻訳日:平成30年8月22日
- 辞書バージョン:12.0
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平成25年4月11日
- 最終更新:平成二十一年政令第三百三号
- 翻訳日:平成22年11月26日
- 辞書バージョン:5.0
金融商品の販売等に関する法律施行令
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Order for Enforcement of the Act on the Sales, etc. of Financial Instruments
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平成十二年十一月十七日政令第四百八十四号
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Cabinet Order No. 484 of November 17, 2000
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内閣は、金融商品の販売等に関する法律(平成十二年法律第百一号)第二条第一項第三号、第四号、第十二号及び第十三号、第三条第二項、第三項ただし書及び第四項第一号並びに第八条第一項ただし書及び第三項の規定に基づき、この政令を制定する。
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The Cabinet hereby enacts this Cabinet Order pursuant to the provisions of Article 2, paragraph (1), item (iii), item (iv), item (xii) and item (xiii); Article 3, paragraph (2), proviso to paragraph (3) and paragraph (4), item (i); Article 8, proviso to paragraph (1) and paragraph (3) of the Act on the Sales, etc. of Financial Instruments (Act No. 101 of 2000).
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(定義)
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(Definitions)
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第一条この政令において「金融商品の販売」、「金融商品の販売等」、「金融商品販売業者等」、「顧客」又は「勧誘方針」とは、それぞれ金融商品の販売等に関する法律(以下「法」という。)第二条第一項から第四項まで又は第九条第一項に規定する金融商品の販売、金融商品の販売等、金融商品販売業者等、顧客又は勧誘方針をいう。
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Article 1The terms, "sale of financial instruments," "sale, etc. of financial instruments," "financial instruments provider, etc.", "customer," and "solicitation policy," as used in this Cabinet Order, mean, respectively, the sale of financial instruments, the sale, etc. of financial instruments, the financial instruments provider, etc., the customer, and the solicitation policy prescribed in Articles 2, paragraph (1) through (4) and Article 9, paragraph (1) of the Act on the sales of financial instruments (hereinafter referred to as the "Act").
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(金銭の信託の要件)
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(Requirements for a Money Trust)
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第二条法第二条第一項第三号に規定する政令で定める要件は、信託財産の運用方法が特定されていないこととする。
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Article 2The requirement specified by Cabinet Order that is referred to in Article 2, paragraph (1), item (iii) of the Act is that the investment method for the trust property is not specified.
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(保険又は共済に係る契約)
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(Contract related to Insurance or Mutual Aid)
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第三条法第二条第一項第四号に規定する政令で定める契約は、次に掲げる法律の規定により締結される保険又は共済に係る契約に該当しない保険又は共済に係る契約とする。
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Article 3The contract specified by Cabinet Order that is referred to in Article 2, paragraph (1), item (iv) of the Act is a contract related to insurance or mutual aid that does not fall under the category of a contract related to insurance or mutual aid that is entered into pursuant to the provisions of the following Acts:
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一健康保険法(大正十一年法律第七十号)
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(i)Health Insurance Act (Act No. 70 of 1922);
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二森林保険法(昭和十二年法律第二十五号)
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(ii)Forest Insurance Act (Act No. 25 of 1937);
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三船員保険法(昭和十四年法律第七十三号)
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(iii)Mariners Insurance Act (Act No. 73 of 1939);
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四労働者災害補償保険法(昭和二十二年法律第五十号)
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(iv)Industrial Accident Compensation Insurance Act (Act No. 50 of 1947);
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五貿易保険法(昭和二十五年法律第六十七号)
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(v)Trade and Investment Insurance Act (Act No. 67 of 1950);
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六中小企業信用保険法(昭和二十五年法律第二百六十四号)
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(vi)Small and Medium-Sized Enterprise Credit Insurance Act (Act No. 264 of 1950);
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七中小漁業融資保証法(昭和二十七年法律第三百四十六号)
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(vii)Act on Loan Security for Small and Medium-Sized Fishery Industry (Act No. 346 of 1952);
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八私立学校教職員共済法(昭和二十八年法律第二百四十五号)
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(viii)Private School Personnel Mutual Aid Association Act (Act No. 245 of 1953);
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九厚生年金保険法(昭和二十九年法律第百十五号。同法第百三十条の二第一項、第百三十六条の三第一項第二号(同法第百六十四条第三項において準用する場合を含む。)及び第百五十九条の二第一項を除く。)
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(ix)Employees' Pension Insurance Act (Act No. 115 of 1954; excluding Article 130-2, paragraph (1); Article 136-3, paragraph (1), item (ii) (including when applied mutatis mutandis pursuant to Article 164, paragraph (3) of the same Act); and Article 159-2, paragraph (1) of the same Act);
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十住宅融資保険法(昭和三十年法律第六十三号)
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(x)Housing Loan Insurance Act (Act No. 63 of 1955);
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十一消防団員等公務災害補償等責任共済等に関する法律(昭和三十一年法律第百七号)
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(xi)Act on Mutual Aid Association for Liabilities for Occupational Accident Compensation for Firefighters (Act No. 107 of 1956);
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十二国家公務員共済組合法(昭和三十三年法律第百二十八号)
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(xii)National Public Officers Mutual Aid Association Act (Act No. 128 of 1958);
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十三国民健康保険法(昭和三十三年法律第百九十二号)
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(xiii)National Health Insurance Act (Act No. 192 of 1958);
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十四国民年金法(昭和三十四年法律第百四十一号。第十章を除く。)
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(xiv)National Pension Act (Act No. 141 of 1959; Excluding Chapter X);
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十五中小企業退職金共済法(昭和三十四年法律第百六十号)
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(xv)Small and Medium-Sized Enterprise Retirement Allowance Cooperative Act (Act No. 160 of 1959);
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十六社会福祉施設職員等退職手当共済法(昭和三十六年法律第百五十五号)
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(xvi)Act on Mutual Aid Association for Retirement Allowances of Personnel of Social Welfare Facilities (Act No. 155 of 1961);
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十七農業信用保証保険法(昭和三十六年法律第二百四号)
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(xvii)Agricultural Credit Guarantee Insurance Act (Act No. 204 of 1961);
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十八地方公務員等共済組合法(昭和三十七年法律第百五十二号)
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(xviii)Local Public Officers Mutual Aid Association Act (Act No. 152 of 1962);
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十九小規模企業共済法(昭和四十年法律第百二号)
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(xix)Small Enterprise Mutual Relief Projects Act (Act No. 102 of 1965);
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二十独立行政法人農業者年金基金法(平成十四年法律第百二十七号)
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(xx)Act on the Farmers Pension Fund, Independent Administrative Agency (Act No. 127 of 2002);
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二十一預金保険法(昭和四十六年法律第三十四号)
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(xxi)Deposit Insurance Act (Act No. 34 of 1971);
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二十二農水産業協同組合貯金保険法(昭和四十八年法律第五十三号)
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(xxii)Agricultural and Fishery Cooperation Savings Insurance Act (Act No. 53 of 1973);
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二十三雇用保険法(昭和四十九年法律第百十六号)
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(xxiii)Employment Insurance Act (Act No. 116 of 1974);
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二十四中小企業倒産防止共済法(昭和五十二年法律第八十四号)
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(xxiv)Act on Mutual Relief System for the Prevention of Bankruptcies of Small and Medium-Sized Enterprises (Act No. 84 of 1977);
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二十五独立行政法人日本スポーツ振興センター法(平成十四年法律第百六十二号)
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(xxv)Act on the National Agency for the Advancement of Sports and Health, Independent Administrative Agency (Act No. 162 of 2002);
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二十六介護保険法(平成九年法律第百二十三号)
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(xxvi)Long-Term Care Insurance Act (Act No. 123 of 1997);
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二十七破綻金融機関等の融資先である中堅事業者に係る信用保険の特例に関する臨時措置法(平成十年法律第百五十一号)
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(xxvii)Act on Temporary Measures concerning Special Provisions of Credit Insurance for Medium-Sized Enterprise Financed by Bankrupt Financial Institution (Act No. 151 of 1998); and
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二十八住宅確保要配慮者に対する賃貸住宅の供給の促進に関する法律(平成十九年法律第百十二号)
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(xxviii)Act on Promotion of Offering of Rental Housing to Persons Requiring Special Assistance in Securing Housing (Act No. 112 of 2007).
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(差金の授受を約する取引)
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(Transactions in Which the Parties Agree to Pay or Receive the Difference)
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第四条法第二条第一項第十号に規定する政令で定める取引は、金利、通貨の価格その他の指標の数値としてあらかじめ当事者間で約定された数値と将来の一定の時期における現実の当該指標の数値の差に基づいて算出される金銭の授受を約する取引(商品先物取引法(昭和二十五年法律第二百三十九号)第二条第十項に規定する商品市場における取引、同条第十三項に規定する外国商品市場取引及び同条第十四項に規定する店頭商品デリバティブ取引(次条第二号において「商品先物取引等」という。)に該当するものを除く。)とする。
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Article 4Transactions specified by Cabinet Order that are referred to in Article 2, paragraph (1), item (x) of the Act are transactions in which the parties agree to pay or receive money calculated based on the difference between the figure to which the parties have agreed in advance as a figure of the interest rate, the value of currencies, or any other indicator, and the actual figure of the relevant indicator at a fixed time in the future (excluding transactions on a commodity market prescribed in Article 2, paragraph (10) of the Commodity Derivatives Transaction Act (Act No. 239 of 1950), foreign commodity market transactions prescribed in paragraph (13) of the same Article and over-the-counter commodity derivative transactions prescribed in paragraph (14) of the same Article (hereinafter referred to as "commodity futures transactions, etc." in item (ii) of the following Article)).
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(金融商品の販売となる行為)
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(Acts that Constitute the Sale of Financial Instruments)
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第五条法第二条第一項第十一号に規定する政令で定める行為は、次に掲げる行為とする。
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Article 5Acts specified by Cabinet Order that are referred to in Article 2, paragraph (1), item (xi) of the Act are the following acts:
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一金銭の信託以外の信託であって信託財産の運用方法が特定されていないものに係る信託契約(当該信託契約に係る受益権が金融商品取引法(昭和二十三年法律第二十五号)第二条第二項第一号又は第二号に掲げる権利であるものに限る。)の委託者との締結
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(i)conclusion with the settler of a trust contract (limited to when the beneficial interest under the relevant trust contract is a right listed in Article 2, paragraph (2), item (i) or item (ii) of the Financial Instruments and Exchange Act (Act No. 25 of 1948)) involving a trust other than a money trust for which the invest method for the trust property has not been specified;
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二銀行法(昭和五十六年法律第五十九号)第十条第二項第十四号に規定する金融等デリバティブ取引(前条の取引及び商品先物取引等を除く。)又は当該取引の取次ぎ
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(ii)financial derivative transactions (excluding transactions set forth in the preceding Article and commodity futures transactions, etc.) prescribed in Article 10, paragraph (2), item (xiv) of the Banking Act (Act No. 59 of 1981), or commission for the relevant transactions;
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(金銭相当物の範囲)
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(Scope of Monetary Equivalent)
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第六条法第三条第三項に規定する政令で定める金銭以外の物又は権利は、前条第一号に規定する信託契約の締結に伴い顧客の譲渡することとなる金銭以外の物又は権利とする。
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Article 6Property other than money or rights specified by Cabinet Order that is referred to in Article 3, paragraph (3) of the Act is property other than the money or rights of a customer to be transferred upon conclusion of a trust contract prescribed in item (i) of the preceding Article.
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(当初元本を上回る損失が生ずるおそれを生じさせる行為)
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(Act That Causes a Risk of Incurring a Loss Exceeding the Initial Principal)
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第七条法第三条第四項第一号に規定する政令で定めるものは、第五条第二号又は第三号に掲げるものとする。
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Article 7Acts specified by Cabinet Order that are referred to in Article 3, paragraph (4), item (i) of the Act are the acts listed in Article 5, item (ii) or item (iii).
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(金融商品の販売に係る取引の仕組み)
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(Structure of Transactions Involving the Sale of Financial Instruments)
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第八条法第三条第五項第六号に規定する政令で定める事項は、次に掲げる事項とする。
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Article 8Matters specified by Cabinet Order that are referred to in Article 3, paragraph (5), item (vi) of the Act are the following matters:
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一第五条第一号に掲げる行為にあっては、同号に規定する契約の内容
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(i)for the act listed in Article 5, item (i), the details of the contract prescribed in the same item;
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二第五条第二号又は第三号に掲げる行為にあっては、これらの規定に規定する取引の仕組み
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(ii)for the act listed in Article 5, item (ii) or item (iii), the structure of the transactions prescribed in those provisions.
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(重要事項について説明をすることを要しない者から除かれる者)
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(Persons Excluded from Categorization as Persons That Are Not Required to Explain Important Matters)
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第九条法第三条第六項ただし書に規定する政令で定める者は、金融商品の販売が行われる場合において顧客の行う行為を代理する者とする。
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Article 9The person specified by Cabinet Order that is referred to in the proviso to Article 3, paragraph (6) of the Act is a person that acts on behalf of the customer as an agent in executing the sale of a financial instrument.
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(特定顧客)
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(Specified Customer)
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第十条法第三条第七項第一号に規定する政令で定める者は、金融商品販売業者等又は金融商品取引法第二条第三十一項に規定する特定投資家(以下「特定投資家」という。)とする。
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Article 10(1)The person specified by Cabinet Order that is referred to in Article 3, paragraph (7), item (i) of the Act is a financial instruments provider, etc., or a professional investor prescribed in Article 2, paragraph (31) of the Financial Instruments and Exchange Act (hereinafter referred to as a "professional investor").
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2前項の「特定投資家」には、法第三条第一項に規定する金融商品の販売等(以下「金融商品の販売等」という。)に係る契約が金融商品取引法第三十四条の三第二項第二号(同法第三十四条の四第六項(銀行法等の規定において準用する場合を含む。)及び銀行法等の規定において準用する場合を含む。)に規定する対象契約に該当する場合にあっては、当該金融商品の販売等に関しては同法第三十四条の三第四項(同法第三十四条の四第六項(銀行法等の規定において準用する場合を含む。)及び銀行法等の規定において準用する場合を含む。)又は同法第三十四条の三第六項(同法第三十四条の四第六項において準用する場合を含む。)の規定により当該対象契約に関して特定投資家とみなされる者を含み、金融商品の販売等に係る契約が同法第三十四条の二第二項(銀行法等の規定において準用する場合を含む。)に規定する対象契約に該当する場合にあっては、当該金融商品の販売等に関しては同条第五項(銀行法等の規定において準用する場合を含む。)又は第八項の規定により当該対象契約に関して特定投資家以外の顧客とみなされる者を含まないものとする。
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(2)When a contract for the sale, etc. of financial instruments as prescribed in Article 3, paragraph (1) of the Act (hereinafter referred to as the "sale, etc. of financial instruments") falls under the category of a subject contract prescribed in Article 34-3, paragraph (2), item (ii) of the Financial Instruments and Exchange Act (including when applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the same Act (including when applied mutatis mutandis pursuant to the provisions of the Banking Act, etc.) and the Banking Act, etc.), the "professional investor" set forth in the preceding paragraph includes a person that is deemed, as regards the relevant sale, etc. of financial instruments, to be a professional investor connected with the subject contract, pursuant to the provisions of Article 34-3, paragraph (4) of the same Act (including when applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the same Act (including when applied mutatis mutandis pursuant to the provisions of the Banking Act, etc.) and the Banking Act, etc.) or Article 34-3, paragraph (6) of the same Act (including when applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the same Act), and when a contract for the sale, etc. of financial instruments falls under the category of a subject contract prescribed in Article 34-2, paragraph (2) of the same Act (including when applied mutatis mutandis pursuant to the provisions of the Banking Act, etc.), the "professional investor" set forth in the preceding paragraph excludes a person who is deemed, as regards the relevant sale, etc. of financial instruments, to be a customer other than a professional investor that is connected with the relevant subject contract, pursuant to the provisions of paragraph (5) of the same Article (including when applied mutatis mutandis pursuant to the provisions of the Banking Act, etc.) or paragraph (8).
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(3)The "provisions of the Banking Act, etc." referred to in the preceding paragraph mean the following:
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一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)第二条の二
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(i)Act on Engagement in Trust Business Activities by Financial Institutions (Act No. 43 of 1943), Article 2-2;
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二農業協同組合法(昭和二十二年法律第百三十二号)第十一条の五又は第十一条の二十七
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(ii)Agricultural Cooperatives Act (Act No. 132 of 1947), Article 11-5 or 11-27;
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三水産業協同組合法(昭和二十三年法律第二百四十二号)第十一条の九(同法第九十二条第一項、第九十六条第一項又は第百条第一項において準用する場合を含む。)又は第十五条の七(同法第九十六条第一項又は第百条の八第一項において準用する場合を含む。)
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(iii)Fisheries Cooperatives Act (Act No. 242 of 1948), Article 11-9 (including when applied mutatis mutandis pursuant to Article 92, paragraph (1), Article 96, paragraph (1) or Article 100, paragraph (1) of the same Act) or Article 15-7 (including when applied mutatis mutandis pursuant to Article 96, paragraph (1) or Article 100-8, paragraph (1) of the same Act);
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四中小企業等協同組合法(昭和二十四年法律第百八十一号)第九条の七の五第二項(同法第九条の九第五項又は第八項において準用する場合を含む。)
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(iv)Small and Medium-Sized Enterprises Cooperatives Act (Act No. 181 of 1949), Article 9-7-5, paragraph (2) (including when applied mutatis mutandis pursuant to Article 9-9, paragraph (5) or paragraph (8) of the same Act);
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五協同組合による金融事業に関する法律(昭和二十四年法律第百八十三号)第六条の五の二
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(v)Act on Financial Business by Cooperatives (Act No. 183 of 1949), Article 6-5-2;
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六信用金庫法(昭和二十六年法律第二百三十八号)第八十九条の二
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(vi)Shinkin Bank Act (Act No. 238 of 1951), Article 89-2;
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七長期信用銀行法(昭和二十七年法律第百八十七号)第十七条の二
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(vii)Long-Term Credit Bank Act (Act No. 187 of 1952), Article 17-2;
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八労働金庫法(昭和二十八年法律第二百二十七号)第九十四条の二
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(viii)Labor Bank Act (Act No. 227 of 1953), Article 94-2;
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九銀行法第十三条の四
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(ix)Banking Act, Article 13-4;
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十保険業法(平成七年法律第百五号)第三百条の二
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(x)Insurance Business Act (Act No. 105 of 1995), Article 300-2;
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十一農林中央金庫法(平成十三年法律第九十三号)第五十九条の三
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(xi)Norinchukin Bank Act (Act No. 93 of 2001), Article 59-3;
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(xii)Trust Business Act (Act No. 154 of 2004), Article 24-2 (including when applied mutatis mutandis pursuant to Article 99, paragraph (8) of the Insurance Business Act);
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十三株式会社商工組合中央金庫法(平成十九年法律第七十四号)第二十九条
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(xiii)Shoko Chukin Bank Limited Act (Act No. 74 of 2007), Article 29.
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(勧誘方針の策定を要しない者)
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(Persons That Are Not Required to Establish a Solicitation Policy)
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第十一条法第九条第一項ただし書に規定する政令で定める者は、法律により直接に設立された法人又は特別の法律により特別の設立行為をもって設立された法人(総務省設置法(平成十一年法律第九十一号)第四条第一項第九号の規定の適用を受けない法人を除く。)であって国又は地方公共団体の全額出資に係る法人とする。
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Article 11The person specified by Cabinet Order that is referred to in the proviso to Article 9, paragraph (1) of the Act is a corporation directly established pursuant to an Act or established by a special act of incorporation pursuant to a specific Act (excluding a corporation that is not subject to the application of the provisions of Article 4, paragraph (1), item (ix) of the Act for Establishment of the Ministry of Internal Affairs and Communications (Act No. 91 of 1999)) that is wholly owned by the State or a local government.
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(勧誘方針の公表の方法)
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(Method for Making a Solicitation Policy Public)
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第十二条法第九条第三項に規定する政令で定める方法は、金融商品販売業者等の本店又は主たる事務所(金融商品販売業者等が個人である場合にあっては、住所。第一号において同じ。)において勧誘方針を見やすいように掲示する方法又は勧誘方針を閲覧に供する方法及び次の各号に掲げる場合に該当するときは、当該各号に定める方法とする。
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Article 12The method specified by Cabinet Order that is referred to in Article 9, paragraph (3) of the Act is the method of posting the solicitation policy in a clearly visible manner or providing the solicitation policy for public inspection at the head office or principal office of a financial instruments provider, etc. (or, if the financial instruments provider, etc. is an individual, that individual's address; hereinafter the same applies in item (i)), and, in the cases listed in each of the following items, the method specified in the relevant item:
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一金融商品販売業者等が、その営業所、事務所その他の場所(その本店又は主たる事務所を除く。以下この号において「営業所等」という。)において金融商品の販売等を行う場合金融商品の販売等を行う営業所等ごとに、勧誘方針を見やすいように掲示する方法又は勧誘方針を閲覧に供する方法
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(i)if the financial instruments provider, etc. executes sales, etc. of financial instruments at its business office, office or any other place (excluding its head office or principal office; hereinafter referred to as a "business office, etc." in this item):the method of posting the solicitation policy in a clearly visible manner or providing the solicitation policy for public inspection at each business office, etc. where sales, etc. of financial instruments are executed;
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二金融商品販売業者等が、公衆によって直接受信されることを目的として公衆からの求めに応じ自動的に無線通信又は有線電気通信の送信を行うこと(以下この号において「自動送信」という。)により金融商品の販売等を行う場合(前号に掲げる場合に該当する場合を除く。)勧誘方針を自動送信する方法
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(ii)if the financial instruments provider, etc. executes sales, etc. of financial instruments by implementing automatic transmission, by wireless communications or wire telecommunications, for the pubic to receive it directly, at the request of the public (hereinafter referred to as "automatic transmission" in this item) (excluding cases that fall under the category of cases set forth in the preceding item):the method of implementing automatic transmission of the solicitation policy.
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