一商品関連市場デリバティブ取引法第二条第八項第一号に規定する商品関連市場デリバティブ取引をいう。

(i)Commodity-Related Market Derivatives Transactions:Commodity-Related Market Derivatives Transactions as defined in Article 2, paragraph (8), item (i) of the Act;

二商品法第二条第二十四項第三号の二に規定する商品をいう。

(ii)Commodities:Commodities as defined in Article 2, paragraph (24), item (iii)-2 of the Act;

三対象取引法第二条第二十八項に規定する対象取引をいう。

(iii)Subject Transaction:a Subject Transaction as defined in Article 2, paragraph (28) of the Act;

四役員法第二十一条第一項第一号に規定する役員をいう。

(iv)Officer:an Officer as defined in Article 21, paragraph (1), item (i) of the Act;

五金融商品債務引受業等法第百五十六条の三第一項第六号に規定する金融商品債務引受業等をいう。

(v)Financial Instruments Obligation Assumption Service, etc.:Financial Instruments Obligation Assumption Service, etc. as defined in Article 156-3, paragraph (1), item (vi) of the Act;

六対象議決権法第百五十六条の五の三第一項に規定する対象議決権をいう。

(vi)Subject Voting Right:a Subject Voting Right as defined in Article 156-5-3, paragraph (1) of the Act;

七清算参加者法第百五十六条の七第二項第三号に規定する清算参加者をいう。

(vii)Clearing Member:a Clearing Member as defined in Article 156-7, paragraph (2), item (iii) of the Act;

八清算預託金法第百五十六条の十一に規定する清算預託金をいう。

(viii)Clearing Deposit:a Clearing Deposit as defined in Article 156-11 of the Act;

九連携清算機関等法第百五十六条の二十の十六第一項に規定する連携清算機関等をいう。

(ix)Collaborating Clearing Organization, etc.:a Collaborating Clearing Organization, etc. as defined in Article 156-20-16, paragraph (1) of the Act;

十連携金融商品債務引受業務法第百五十六条の二十の十六第一項に規定する連携金融商品債務引受業務をいう。

(x)Collaborative Financial Instruments Obligation Assumption Service:Collaborative Financial Instruments Obligation Assumption Service as defined in Article 156-20-16, paragraph (1) of the Act;

十一認可金融商品取引清算機関法第百五十六条の二十の十六第三項に規定する認可金融商品取引清算機関をいう。

(xi)Authorized Financial Instruments Clearing Organization:an Authorized Financial Instruments Clearing Organization as defined in Article 156-20-16, paragraph (3) of the Act; and

十二連携契約書法第百五十六条の二十の十七第二項第一号に規定する連携契約書をいう。

(xii)Collaboration Agreement:a Collaboration Agreement as defined in Article 156-20-17, paragraph (2), item (i) of the Act.

一免許申請者の総株主の議決権（株主総会において決議をすることができる事項の全部につき議決権を行使することができない株式についての議決権を除き、会社法（平成十七年法律第八十六号）第八百七十九条第三項の規定により議決権を有するものとみなされる株式についての議決権を含む。次号及び第四十八条第二項第五号において同じ。）の百分の十以上の数の議決権を保有している株主の氏名又は商号若しくは名称、住所又は所在地及びその保有する議決権の数を記載した書面

(i)a document giving the name or trade name and address or location of a shareholder that holds voting rights amounting to ten percent or more of the number of all shareholders' voting rights of the license applicant (excluding voting rights attached to the shares for which voting rights cannot be exercised with regard to all of the matters that are subject to a resolution at a shareholders meeting, and including voting rights attached to the shares for which the shareholders are deemed to have voting rights pursuant to the provisions of Article 879, paragraph (3) of the Companies Act (Act No. 86 of 2005); the same applies in the following item and Article 48, paragraph (2), item (v)), and the number of voting rights held by such shareholder;

二親法人（免許申請者の総株主の議決権の過半数を保有している法人その他の団体をいう。）及び子法人（免許申請者が総株主等の議決権（法第二十九条の四第二項に規定する総株主等の議決権をいう。以下同じ。）の過半数を保有している法人その他の団体をいう。）の概要を記載した書面

(ii)a document giving an outline of the Parent Corporation (meaning a corporation or any other organization that holds the majority of all shareholders' voting rights of the license applicant) and Subsidiary Corporation (meaning a corporation or any other organization in which the license applicant holds the majority of all shareholders', etc. voting rights (meaning all shareholders', etc. voting rights as defined in Article 29-4, paragraph (2) of the Act; the same applies hereinafter));

三取締役及び監査役（監査等委員会設置会社にあっては取締役、指名委員会等設置会社にあっては、取締役及び執行役。以下この号及び次号並びに第二十四条第二項第二号ロにおいて同じ。）の履歴書及び住民票の抄本（本籍の記載のあるものに限る。）又はこれに代わる書面並びに取締役及び監査役が法第八十二条第二項第三号イからヘまでのいずれにも該当しない者であることを当該取締役及び監査役が誓約する書面

(iii)résumés and extracts of resident records (limited to those listing a registered domicile) of the directors and company auditors (in the case of a company with an audit and supervisory committee, the directors; in the case of a company with a nominating committee, etc., the directors and executive officers; hereinafter the same applies in this item, the following item, and Article 24, paragraph (2), item (ii), (b)) or any documents that act as a substitute for these, as well as documents in which the directors and company auditors pledge that they do not fall under any of Article 82, paragraph (2), item (iii), (a) to (f) of the Act;

四取締役及び監査役の婚姻前の氏名を当該取締役及び監査役の氏名に併せて法第百五十六条の三第一項の免許申請書に記載した場合において、前号の住民票の抄本又はこれに代わる書面が当該取締役及び監査役の婚姻前の氏名を証するものでないときは、当該婚姻前の氏名を証する書面

(iv)if the name of a director or company auditor that was used before marriage is stated together with the current name of the director or company auditor in a written license application referred to in Article 156-3, paragraph (1) of the Act, and the extract of the resident record or any document that acts as a substitute for this referred to in the preceding item does not certify the name of the director or company auditor used before marriage, a document certifying the name before marriage;

五会計参与設置会社にあっては、会計参与の履歴書（会計参与が法人であるときは、当該会計参与の沿革を記載した書面）及び住民票の抄本（本籍の記載のあるものに限り、会計参与が法人であるときは、当該会計参与の登記事項証明書）又はこれに代わる書面並びに会計参与が法第八十二条第二項第三号イからヘまでのいずれにも該当しない者であることを当該会計参与が誓約する書面

(v)in the case of a company with accounting advisors, résumés of the accounting advisors (if an accounting advisor is a corporation, a document describing the history of the corporation) and extracts of their resident records (limited to those listing a registered domicile; if an accounting advisor is a corporation, a certificate of registered information of the accounting advisor) or any documents that act as a substitute for these, as well as documents in which the accounting advisors pledge that they do not fall under any of Article 82, paragraph (2), item (iii), (a) to (f) of the Act;

六会計参与の婚姻前の氏名を当該会計参与の氏名に併せて法第百五十六条の三第一項の免許申請書に記載した場合において、前号の住民票の抄本又はこれに代わる書面が当該会計参与の婚姻前の氏名を証するものでないときは、当該婚姻前の氏名を証する書面

(vi)if the name of an accounting advisor that was used before marriage is stated together with the current name of the accounting advisor in a written license application referred to in Article 156-3, paragraph (1) of the Act, and the extract of the resident record or any document that acts as a substitute for this referred to in the preceding item does not certify the name of the accounting advisor used before marriage, a document certifying the name before marriage;

七取締役（指名委員会等設置会社にあっては、執行役）の担当業務を記載した書面

(vii)a document describing the duties assigned to directors (or executive officers, in the case of a company with nominating committee, etc.);

八金融商品債務引受業に関する知識及び経験を有する従業員の確保の状況並びに当該従業員の配置の状況を記載した書面

(viii)a document giving the status in terms of the securement of employees with knowledge of and experience in Financial Instruments Obligation Assumption Service and the assignment of the employees;

九事務の機構及び分掌を記載した書面

(ix)a document describing the organizational structure and division of responsibilities for handling affairs;

十金融商品債務引受業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を記載した書類

(x)a document giving an outline of the electronic data processing systems that will be used in Financial Instruments Obligation Assumption Service and detailing the locations of their installation, their capacities and the means of doing maintenance on them, as well as the process for responding in the event of a failure in the electronic data processing systems; and

十一その他法第百五十六条の四第一項の規定による審査の参考となるべき事項を記載した書面

(xi)other documents containing the matters to be used as a reference for the examination under the provisions of Article 156-4, paragraph (1) of the Act.

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)the method prescribed in JIS X 6225 in terms of track format; 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)the method prescribed in JIS X 0605 in terms of volume and file structure.

一免許申請者の商号

(i)the trade name of the license applicant; and

二申請年月日

(ii)the date of application.

一信託業（信託業法（平成十六年法律第百五十四号）第二条第一項に規定する信託業をいう。）を営む者が信託財産として取得し、又は所有する金融商品取引清算機関（金融商品取引清算機関が金融商品取引所である場合を除く。第十八条、第十九条第一項及び第二十五条を除き、以下この章において同じ。）の株式に係る議決権（当該信託業を営む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し、又は有することとなるものを除く。）

(i)voting rights attached to shares in a Financial Instruments Clearing Organization (excluding the cases where the Financial Instruments Clearing Organization is a Financial Instruments Exchange; hereinafter the same applies in this Chapter, except in Article 18, Article 19, paragraph (1) and Article 25) which are acquired or held as trust property by a person engaged in the trust business (meaning the trust business as defined in Article 2, paragraph (1) of the Trust Business Act (Act No. 154 of 2004)) (excluding voting rights that the person engaged in the trust business has or will come to have the authority to exercise or voting rights with respect to whose exercise such a person has or will come to have the authority to give instructions);

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し、又は有することとなる場合における当該法人が取得し、又は所有する金融商品取引清算機関の株式に係る議決権

(ii)voting rights attached to shares in a Financial Instruments Clearing Organization which are acquired or held by a corporation, if the person with the right to represent the corporation or the manager with the right to represent the corporation has or will come to have the authority to exercise voting rights, the authority to give instructions on the exercise of voting rights, or the authority necessary for making an investment, based on the right to represent;

三金融商品取引清算機関の役員又は従業員が当該金融商品取引清算機関の他の役員又は従業員と共同して当該金融商品取引清算機関の株式の取得（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（当該金融商品取引清算機関が会社法第百五十六条第一項（同法第百六十五条第三項の規定により読み替えて適用する場合を含む。）の規定に基づき取得した株式以外の株式を取得したときは、金融商品取引業者に委託して行った場合に限る。）において当該取得をした金融商品取引清算機関の株式を信託された者が取得し、又は所有する当該金融商品取引清算機関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し、又は有することとなるものを除く。）

(iii)voting rights attached to shares in a Financial Instruments Clearing Organization which are acquired or held by a person that has been entrusted with the shares in the Financial Instruments Clearing Organization that have been acquired, if the Officer or employee of the Financial Instruments Clearing Organization has acquired shares in the Financial Instruments Clearing Organization jointly with another Officer or employee of the Financial Instruments Clearing Organization (limited to acquisition under a fixed program wherein shares are continuously acquired without this being based on individual investment decisions, and wherein the amount to be contributed by each Officer or employee on each occasion is less than one million yen) (in the case of acquisition of any shares other than those acquired by the Financial Instruments Clearing Organization pursuant to the provisions of Article 156, paragraph (1) of the Companies Act (including the cases where applied following the deemed replacement of terms pursuant to the provisions of Article 165, paragraph (3) of that Act), this is limited to such an acquisition that is made on entrustment to a Financial Instruments Business Operator) (excluding voting rights that the entrusted person has or will come to have the authority to exercise or voting rights with respect to whose exercise such a person has or will come to have the authority to give instructions);

四相続人が相続財産として取得し、又は所有する金融商品取引清算機関の株式（当該相続人（共同相続の場合を除く。）が単純承認（単純承認をしたものとみなされる場合を含む。）若しくは限定承認をした日までのもの又は当該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)voting rights attached to shares in a Financial Instruments Clearing Organization which are acquired or held by an heir as estate (limited to those acquired prior to the day on which the heir (excluding the case of joint succession) makes an unqualified acceptance (including cases where the heir is deemed to have made an unqualified acceptance) or makes a qualified acceptance or those in respect of which the coheirs of the estate have not yet completed the division of the estate); and

五金融商品取引清算機関が自己の株式の消却を行うために取得し、又は所有する当該金融商品取引清算機関の株式に係る議決権

(v)voting rights attached to shares in a Financial Instruments Clearing Organization which are acquired or held by the Financial Instruments Clearing Organization for the purpose of cancelling its own shares.

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金融商品取引清算機関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、当該金融商品取引清算機関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 person who is or was an Officer or an employee and who is capable of influencing the decisions on the financial and operational or business policies of a Financial Instruments Clearing Organization holds the position of director or executive officer or any equivalent position at the Financial Instruments Clearing Organization;

二金融商品取引清算機関に対して重要な融資を行っていること。

(ii)that the relevant person has extended an important loan to the Financial Instruments Clearing Organization;

三金融商品取引清算機関に対して重要な技術を提供していること。

(iii)that the relevant person has provided important technology to the Financial Instruments Clearing Organization;

四金融商品取引清算機関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 the relevant person has material operational or business dealings with the Financial Instruments Clearing Organization; and

五その他金融商品取引清算機関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 are any other facts that are estimated to have a material influence on the decision of financial and operational or business policies of the Financial Instruments Clearing Organization.

一商号若しくは名称又は氏名及び本店若しくは主たる事務所の所在地又は住所若しくは居所

(i)the trade name or name and the location of the head office or principal office or the domicile or residence; and

二法人であるときは、代表者の氏名

(ii)if the person is a corporation, the name of its representative.

一金融商品取引清算機関の総株主の議決権の保有基準割合（法第百五十六条の五の五第一項に規定する保有基準割合をいう。以下この項において同じ。）以上の数の対象議決権を取得し、又は保有しようとする法人　次に掲げる書類

(i)a corporation which intends to acquire or hold Subject Voting Rights of not less than the Threshold Holding Ratio (meaning the Threshold Holding Ratio as defined in Article 156-5-5, paragraph (1) of the Act; hereinafter the same applies in this paragraph) of the all shareholders' voting rights of a Financial Instruments Clearing Organization: the following documents:

二金融商品取引清算機関の総株主の議決権の保有基準割合以上の数の対象議決権を取得し、又は保有しようとする者（前号に掲げる者を除く。）　次に掲げる書類

(ii)a person that intends to acquire or hold Subject Voting Rights of not less than the Threshold Holding Ratio of the all shareholders' voting rights of a Financial Instruments Clearing Organization (other than a person as set forth in the preceding item): the following documents:

三金融商品取引清算機関の総株主の議決権の保有基準割合以上の数の対象議決権を取得し、又は保有しようとする会社その他の法人の設立をしようとする者　次に掲げる書類

(iii)a person that intends to establish a company or other corporation that seeks to acquire or hold Subject Voting Rights of not less than the Threshold Holding Ratio of the all shareholders' voting rights of a Financial Instruments Clearing Organization: the following documents:

一保有する対象議決権の数に増加がない場合

(i)a case where there is no increase in the number of the Subject Voting Rights held;

二担保権の行使又は代物弁済の受領により対象議決権を取得し、又は保有する場合

(ii)a case where the Subject Voting Rights are acquired or held as a result of the exercise of a security interest or of receipt of substitute performance;

三金融商品取引業者（法第二十八条第一項に規定する第一種金融商品取引業を行う者に限る。）が業務として対象議決権を取得し、又は保有する場合（法第二条第八項第一号に掲げる行為により取得し、又は保有する場合を除く。）

(iii)a case where the Subject Voting Rights are acquired or held by a Financial Instruments Business Operator (limited to one engaged in Type I Financial Instruments Business as defined in Article 28, paragraph (1) of the Act) in the course of business (excluding the case where the Subject Voting Rights are acquired or held as a result of the act set forth in Article 2, paragraph (8), item (i) of the Act); and

四証券金融会社が法第百五十六条の二十四第一項に規定する業務として対象議決権を取得し、又は保有する場合

(iv)a case where the Subject Voting Rights are acquired or held by a Securities Finance Company in the course of the business provided for in Article 156-24, paragraph (1) of the Act.

一特定保有者（法第百五十六条の五の五第三項に規定する特定保有者をいう。次号及び次条において同じ。）になった日

(i)the day on which the person became a Specified Holder (meaning a Specified Holder as defined in Article 156-5-5, paragraph (3) of the Act; the same applies in the following item and the following Article);

二特定保有者に該当することとなった原因

(ii)the grounds on which the person came to fall within the category of a Specified Holder; and

三その保有する対象議決権の数

(iii)the number of Subject Voting Rights the person holds.

一承認を受けようとする業務の種類

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

二当該業務の開始予定年月日

(ii)the scheduled date of the commencement of the business.

一当該業務の内容及び方法を記載した書面

(i)a document describing the content and method of conducting the business;

二当該業務を所掌する組織及び人員配置を記載した書面

(ii)a document describing the organization and assignment of personnel in charge of the details and methods of the business;

三当該業務の運営に関する社内規則

(iii)the internal rules concerning the operation of the business; and

四当該業務の開始後三年間における収支の見込みを記載した書面

(iv)a document describing the expected income and expenditure for the three years after the commencement of the business.

一廃止した業務の種類

(i)the type of business discontinued;

二当該業務を廃止した年月日

(ii)the date of discontinuation of the business; and

三当該業務を廃止した理由

(iii)the reasons for the discontinuation of the business.

一金融商品債務引受業（法第百五十六条の六第一項の業務を行う場合にあっては、金融商品債務引受業等）に附帯する業務を行う場合にあっては、その旨

(i)if the Financial Instruments Clearing Organization conducts any business incidental to Financial Instruments Obligation Assumption Service (or, if it conducts business referred to in Article 156-6, paragraph (1) of the Act, any business incidental to Financial Instruments Obligation Assumption Service, etc.), a statement of such fact;

二金融商品債務引受業に関連する業務又は商品取引債務引受業等（商品先物取引法（昭和二十五年法律第二百三十九号）第百七十条第二項に規定する商品取引債務引受業等をいう。以下同じ。）及びこれに附帯する業務を行う場合にあっては、その旨

(ii)if the Financial Instruments Clearing Organization conducts any business related to the Financial Instruments Obligation Assumption Service or conducts the Commodity Transaction Debt Assumption Services, etc. (meaning the Commodity Transaction Debt Assumption Services, etc. as defined in Article 170, paragraph (2) of the Commodity Derivatives Act (Act No. 239 of 1950); the same applies hereinafter) and any business incidental thereto, a statement of such fact;

三有価証券等清算取次ぎ（法第二条第二十七項第一号に係るものに限る。）を行う清算参加者と顧客の間の基本契約においては、顧客が清算参加者を代理して対象取引を成立させようとするときは、当該顧客が有価証券等清算取次ぎの申込みをし、かつ、当該清算参加者が当該有価証券等清算取次ぎの受託をしたこととする旨

(iii)a statement to the effect that under a basic contract between a Clearing Member conducting Brokerage for Clearing of Securities, etc. (limited to that falling under Article 2, paragraph (27), item (i) of the Act) and a customer, if the customer intends to effect a Subject Transaction on behalf of the Clearing Member, the customer has applied for Brokerage for Clearing of Securities, etc. and the Clearing Member is treated as having undertaken that Brokerage for Clearing of Securities, etc.;

四市場デリバティブ取引（商品関連市場デリバティブ取引を除く。）について金融商品債務引受業を行う場合にあっては、取引証拠金に関する事項

(iv)if the Financial Instruments Clearing Organization conducts Financial Instruments Obligation Assumption Service for Market Derivatives Transactions (excluding Commodity-Related Market Derivatives Transactions), the particulars of the clearing margin; and

五清算預託金を定める場合にあっては、次に掲げる事項

(v)if the Financial Instruments Clearing Organization specifies a Clearing Deposit, the following matters:

六商品関連市場デリバティブ取引について金融商品債務引受業を行う場合にあっては、次に掲げる事項

(vi)if the Financial Instruments Clearing Organization conducts Financial Instruments Obligation Assumption Service for Commodity-Related Market Derivatives Transactions, the following matters:

一変更の内容及び理由

(i)the details of and reasons for the amendment; and

二変更予定年月日

(ii)the scheduled date of the amendment.

一定款又は業務方法書の新旧対照表

(i)a comparative table presenting the articles of incorporation or Statement of Operational Methods before and after the amendment;

二株主総会（法第百五十六条の十九第一項の規定に基づく承認を受けた会員金融商品取引所（法第八十七条の六第一項に規定する会員金融商品取引所をいう。以下同じ。）にあっては、総会）の議事録その他必要な手続があったことを証する書面

(ii)the minutes of a shareholders meeting (or, for an Incorporated Association-Operated Financial Instruments Exchange (meaning an Incorporated Association-Operated Financial Instruments Exchange as defined in Article 87-6, paragraph (1) of the Act; the same applies hereinafter) that has obtained approval under the provisions of Article 156-19, paragraph (1) of the Act, a general meeting), or any other document evidencing that the necessary procedure has been followed; and

三その他参考となる書類

(iii)other documents that will serve as a reference.

一減少する前の資本金の額

(i)the amount of the stated capital before the reduction;

二減少する資本金の額

(ii)the amount by which the stated capital is to be reduced;

三資本金の額の減少の内容

(iii)the details of the reduction of the amount of the stated capital; and

四資本金の額の減少が効力を生ずる日

(iv)the day on which the reduction of the amount of the stated capital takes effect.

一資本金の額を減少する理由を記載した書面

(i)a document describing the reasons for reducing the amount of the stated capital;

二資本金の額の減少の方法を記載した書面

(ii)a document describing the method of reducing the amount of the stated capital;

三株主総会又は取締役会の議事録その他必要な手続があったことを証する書面

(iii)the minutes of a shareholders meeting or board of directors meeting or any other document evidencing that the necessary procedure has been followed;

四最終の貸借対照表

(iv)the most recent balance sheet;

五会社法第四百四十九条第二項の規定による公告及び催告（同条第三項の規定により公告を官報のほか時事に関する事項を掲載する日刊新聞紙又は電子公告（同法第二条第三十四号に規定する電子公告をいう。）によってした場合にあっては、これらの方法による公告）をしたこと並びに異議を述べた債権者があるときは、当該債権者に対し弁済し若しくは相当の担保を提供し若しくは当該債権者に弁済を受けさせることを目的として相当の財産を信託したこと又は資本金の額の減少をしても当該債権者を害するおそれがないことを証する書面

(v)a document evidencing that the public notice and the notice under Article 449, paragraph (2) of the Companies Act (if, in addition to public notice being issued in the Official Gazette, public notice has been issued by publication in a daily newspaper that publishes matters on current affairs or by means of electronic public notice (meaning electronic public notice as defined in Article 2, item (xxxiv) of that Act) pursuant to the provisions of Article 449, paragraph (3) of that Act, public notice by such method) have been issued, and if any creditor has made an objection, evidencing that payment has been made or adequate security has been provided to the creditor or adequate property has been deposited in trust for the purpose of having the creditor receive payment, or that the reduction in the amount of the stated capital is not likely to harm the creditor;

六株券発行会社が株式の併合をする場合にあっては、会社法第二百十九条第一項本文の規定による公告をしたことを証する書面又は当該株式の全部について株券を発行していないことを証する書面

(vi)if a company issuing share certificates consolidates its shares, a document evidencing that the company has issued public notice pursuant to the provisions of the main clause of Article 219, paragraph (1) of the Companies Act or a document evidencing that the company does not issue share certificates for all of these shares; and

七その他参考となるべき事項を記載した書面

(vii)other documents containing matters to be used as a reference.

一増加する前の資本金の額

(i)the amount of the stated capital before the increase;

二増加する資本金の額

(ii)the amount by which the stated capital is to be increased;

三資本金の額の増加の内容

(iii)the details of the increase in the amount of the stated capital; and

四資本金の額の増加が効力を生ずる日

(iv)the day on which the increase in the amount of the stated capital takes effect.

一資本金の額の増加の方法を記載した書面

(i)a document describing the method of increasing the amount of the stated capital;

二取締役会の議事録その他必要な手続があったことを証する書面

(ii)the minutes of a board of directors meeting or any other document evidencing that the necessary procedure has been followed; and

三資本金の額の増加後に想定される貸借対照表

(iii)the expected balance sheet after the increase in the amount of the stated capital.

一変更の内容

(i)the details of the change; and

二変更年月日

(ii)the date of the change.

一法第百五十六条の三第一項第三号に掲げる事項の変更同条第二項第三号に掲げる書類

(i)a change in the matters set forth in Article 156-3, paragraph (1), item (iii) of the Act:the document set forth in paragraph (2), item (iii) of that Article;

二法第百五十六条の三第一項第四号に掲げる事項の変更　次に掲げる書類

(ii)a change in the matters set forth in Article 156-3, paragraph (1), item (iv) of the Act: the following documents:

三法第百五十六条の三第一項第五号に掲げる事項の変更　次に掲げる書類

(iii)a change in the matters set forth in Article 156-3, paragraph (1), item (v) of the Act: the following documents:

一金融商品債務引受業の廃止又は解散の理由を記載した書面

(i)a document describing the reasons for the discontinuation of Financial Instruments Obligation Assumption Service or the reasons for the discontinuation;

二株主総会（会員金融商品取引所にあっては、総会）の議事録（会社法第三百十九条第一項の規定により株主総会の決議があったものとみなされる場合にあっては、当該場合に該当することを証する書面）

(ii)the minutes of a shareholders meeting (in the case of an Incorporated Association-Operated Financial Instruments Exchange, a general meeting) (when a resolution of a shareholders meeting is deemed to have been adopted pursuant to the provisions of Article 319, paragraph (1) of the Companies Act, a document evidencing that the relevant case falls under the case);

三最終事業年度に係る貸借対照表（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。）並びに当該決議時における資産及び負債の内容を明らかにした書面

(iii)the balance sheet (including any related notes) and profit and loss statements (including any related notes) for the most recent business year, as well as a document clarifying the details of the assets and liabilities as of the time of the resolution;

四金融商品債務引受業の結了の方法を記載した書面

(iv)a document describing the way of completing the Financial Instruments Obligation Assumption Service; and

五その他参考となるべき事項を記載した書面

(v)other documents containing matters to be used as a reference.

一承認を受けようとする業務の種類

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

二当該業務の開始予定年月日

(ii)the scheduled date of commencement of the business.

一業務方法書

(i)statements of operational methods;

二当該業務を所掌する組織及び人員配置を記載した書面

(ii)a document describing the organization and assignment of personnel in charge of the business; and

三当該業務の開始後三年間における収支の見込みを記載した書面

(iii)a document describing the expected income and expenditure for the three years after the commencement of the business.

一承認を受けようとする業務の種類

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

二当該業務の開始予定年月日

(ii)the scheduled date of commencement of the business.

一当該業務の内容及び方法を記載した書面

(i)a document describing the content and method of conducting the business;

二当該業務を所掌する組織及び人員配置を記載した書面

(ii)a document describing the organization and assignment of personnel in charge of the details and methods of conducting the business;

三当該業務の運営に関する社内規則

(iii)the internal rules concerning the operation of the business; and

四当該業務の開始後三年間における収支の見込みを記載した書面

(iv)a document describing the expected income and expenditure for the three years after the commencement of the business.

一廃止した業務の種類

(i)the type of business discontinued;

二当該業務を廃止した年月日

(ii)the date of discontinuation of the business; and

三当該業務を廃止した理由

(iii)the reasons for the discontinuation of the business.

一免許申請者の総株主等の議決権の百分の十以上の数の議決権を保有している者の氏名又は商号若しくは名称、住所又は所在地及びその保有する議決権の数を記載した書面

(i)a document giving the name or trade name and address or location of a shareholder that holds voting rights amounting to ten percent or more of the number of all shareholders', etc. voting rights of the license applicant, and the number of voting rights held by such shareholder;

二親法人（免許申請者の総株主等の議決権の過半数を保有している法人その他の団体をいう。）及び子法人（免許申請者が総株主等の議決権の過半数を保有している法人その他の団体をいう。）の概要を記載した書面

(ii)a document giving an outline of the Parent Corporation (meaning a corporation or any other organization that holds the majority of all shareholders', etc. voting rights of the license applicant) and subsidiary corporation (meaning a corporation or any other organization in which the license applicant holds the majority of all shareholders', etc. voting rights);

三役員の履歴書（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）及び国内に事務所がある場合にあっては、当該事務所に駐在する役員の住民票の抄本（本籍の記載のあるものに限る。）又はこれに代わる書面並びに役員が法第八十二条第二項第三号イからヘまでのいずれにも該当しない者であることを当該役員が誓約する書面

(iii)résumés of the Officers (if an Officer is a corporation, a document describing the history of the corporation), and if there is any office in Japan, extracts of the resident records (limited to those listing a registered domicile) of the Officers stationed at the office or any documents that act as a substitute for these, as well as documents in which the Officers pledge that they do not fall under any of Article 82, paragraph (2), item (iii), (a) to (f) of the Act;

四国内の事務所に駐在する役員の婚姻前の氏名を当該役員の氏名に併せて法第百五十六条の二十の三第一項の免許申請書に記載した場合において、前号の住民票の抄本又はこれに代わる書面が当該役員の婚姻前の氏名を証するものでないときは、当該婚姻前の氏名を証する書面

(iv)if the name of an Officer stationed at an office in Japan that was used before marriage is stated together with the current name of the Officer in a written license application referred to in Article 156-20-3, paragraph (1) of the Act, and the extract of the resident record or any document that acts as a substitute for this referred to in the preceding item does not certify the name of the Officer used before marriage, a document certifying the name before marriage;

五国内における代表者の履歴書及び住民票の抄本（本籍の記載のあるものに限る。）又はこれに代わる書面並びに国内における代表者が法第八十二条第二項第三号イからヘまでのいずれにも該当しない者であることを当該国内における代表者が誓約する書面

(v)the resume and an extract of the resident record (limited to one listing a registered domicile) of the representative person in Japan or any documents that act as a substitute for these, as well as a document in which the representative person in Japan pledges that the representative person in Japan does not fall under any of Article 82, paragraph (2), item (iii), (a) to (f) of the Act;

六国内における代表者の婚姻前の氏名を当該代表者の氏名に併せて法第百五十六条の二十の三第一項の免許申請書に記載した場合において、前号の住民票の抄本又はこれに代わる書面が当該代表者の婚姻前の氏名を証するものでないときは、当該婚姻前の氏名を証する書面

(vi)if the name of the representative person in Japan that was used before marriage is stated together with the current name of the representative person in a written license application referred to in Article 156-20-3, paragraph (1) of the Act, and the extract of the resident record or any document that acts as a substitute for this referred to in the preceding item does not certify the name of the representative person used before marriage, a document certifying the name before marriage;

七業務を執行する役員の担当業務を記載した書面

(vii)a document describing the duties assigned to directors that execute business;

八金融商品債務引受業に関する知識及び経験を有する従業員の確保の状況並びに当該従業員の配置の状況を記載した書面

(viii)a document giving the status in terms of the securement of employees with knowledge of and experience in Financial Instruments Obligation Assumption Service and the assignment of the employees;

九事務の機構及び分掌を記載した書面

(ix)a document describing the organizational structure and division of responsibilities for handling affairs;

十金融商品債務引受業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を記載した書類

(x)a document giving an outline of the electronic data processing systems that will be used in Financial Instruments Obligation Assumption Service and detailing the locations of their installation, their capacities and the means of doing maintenance on them, as well as the process for responding in the event of a failure in the electronic data processing systems; and

十一法人の登記事項証明書（これに準ずるものを含む。）

(xi)a certificate of registered information of a corporation (including any document equivalent thereto);

十二外国の法令に準拠し、当該外国において金融商品債務引受業と同種類の業務を開始してから金融商品取引法施行令（昭和四十年政令第三百二十一号。以下「令」という。）第十九条の四の四第一項に定める期間を経過していること、又は同条第二項に定める場合に該当することを証する書面

(xii)a document evidencing that the period specified in Article 19-4-4, paragraph (1) of the Order for Enforcement of the Financial Instruments and Exchange Act (Cabinet Order No. 321 of 1965); hereinafter referred to as the "Order") has elapsed from when the license applicant commenced the same kind of business as Financial Instruments Obligation Assumption Service in a foreign state in compliance with laws and regulations of the foreign state, or that the license applicant falls under the case specified in paragraph (2) of that Article;

十三免許申請者が所在する国における金融商品債務引受業と同種類の業務に関する法制を記載した書類

(xiii)a document stating the law for the same type of business as Financial Instruments Obligation Assumption Service in the state where the license applicant is located; and

十四その他法第百五十六条の二十の四第一項の規定による審査の参考となるべき事項を記載した書面

(xiv)other documents containing the matters to be used as a reference for the examination under the provisions of Article 156-20-4, paragraph (1) of the Act.

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)the method prescribed in JIS X 6225 in terms of track format; 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)the method prescribed in JIS X 0605 in terms of volume and file structure.

一免許申請者の商号又は名称

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

二申請年月日

(ii)the date of application.

一有価証券等清算取次ぎ（法第二条第二十七項第一号に係るものに限る。）を行う清算参加者と顧客の間の基本契約においては、顧客が清算参加者を代理して対象取引を成立させようとするときは、当該顧客が有価証券等清算取次ぎの申込みをし、かつ、当該清算参加者が当該有価証券等清算取次ぎの受託をしたこととする旨

(i)a statement to the effect that under a basic contract between a Clearing Member conducting Brokerage for Clearing of Securities, etc. (limited to that falling under Article 2, paragraph (27), item (i) of the Act) and a customer, if the customer intends to effect a Subject Transaction on behalf of the Clearing Member, the customer has applied for Brokerage for Clearing of Securities, etc. and the Clearing Member is treated as having undertaken that Brokerage for Clearing of Securities, etc.; and

二清算参加者が外国金融商品取引清算機関に対し債務の履行を担保するために預託する金銭その他の財産を定める場合にあっては、当該財産及びその管理方法に関する事項

(ii)when the money or other property to be deposited by a Clearing Member to ensure the performance of obligations to a Foreign Financial Instruments Clearing Organization is specified, the particulars of the property and the means of managing it.

一変更の内容及び理由

(i)the details of and reasons for the amendment; and

二変更予定年月日

(ii)the scheduled date of the amendment.

一定款（金融商品債務引受業に係る部分に限る。）又は業務方法書の新旧対照表

(i)a comparative table presenting the articles of incorporation (limited to the part related to the Financial Instruments Obligation Assumption Service) or Statement of Operational Methods before and after the amendment;

二株主総会に準ずる機関の議事録その他必要な手続があったことを証する書面

(ii)the minutes of an organ equivalent to a shareholders meeting, or any other document evidencing that the necessary procedure has been followed; and

三その他参考となる書類

(iii)other documents that will serve as a reference.

一変更の内容

(i)the details of the change; and

二変更年月日

(ii)the date of the change.

一法第百五十六条の二十の三第一項第二号から第四号までに掲げる事項の変更第三十条第十一号に掲げる書類

(i)a change in the matters set forth in Article 156-20-3, paragraph (1), items (ii) to (iv) of the Act:the document set forth in Article 30, item (xi);

二法第百五十六条の二十の三第一項第五号に掲げる事項の変更　次に掲げる書類

(ii)a change in the matters set forth in Article 156-20-3, paragraph (1), item (v) of the Act: the following documents:

三法第百五十六条の二十の三第一項第六号に掲げる事項の変更　次に掲げる書類

(iii)a change in the matters set forth in Article 156-20-3, paragraph (1), item (vi) of the Act: the following documents:

四法第百五十六条の二十の三第一項第七号に掲げる事項の変更第三十条第九号に掲げる書類

(iv)a change in the matters set forth in Article 156-20-3, paragraph (1), item (vii) of the Act:the document set forth in Article 30, item (ix).

一金融商品債務引受業の廃止の理由を記載した書面

(i)a document describing the reasons for the discontinuation of the Financial Instruments Obligation Assumption Service;

二株主総会又は取締役会に準ずる機関の議事録その他必要な手続があったことを証する書面

(ii)the minutes of an organ equivalent to a shareholders meeting or board of directors meeting or any other document evidencing that the necessary procedure has been followed;

三最終事業年度に係る貸借対照表（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。）並びに金融商品債務引受業に係る資産及び負債の内容を明らかにした書面

(iii)the balance sheet (including any related notes) and profit and loss statements (including any related notes) for the most recent business year, as well as a document clarifying the details of the assets and liabilities from Financial Instruments Obligation Assumption Service;

四金融商品債務引受業の結了の方法を記載した書面

(iv)a document describing the way of completing the Financial Instruments Obligation Assumption Service; and

五その他参考となるべき事項を記載した書面

(v)other documents containing matters to be used as a reference.

一法第百五十六条の六十二第一号に掲げる取引以外の対象取引に係る清算参加者の債務及び当該対象取引に係る清算参加者の相手方の債務を自らが負担し、その負担した当該清算参加者の債務は第三者に負担させる行為

(i)an act whereby the Financial Instruments Clearing Organization bears by itself the obligations of a Clearing Member arising from a Subject Transaction other than the transactions set forth in Article 156-62, item (i) of the Act and the obligations of the counterparty of the Clearing Member arising from the Subject Transaction, and then has a third party bear these obligations of the Clearing Member;

二法第百五十六条の六十二第一号に掲げる取引以外の対象取引に係る清算参加者の債務及び当該対象取引に係る清算参加者の相手方の債務を第三者に負担させ、その負担させた当該清算参加者の相手方の債務は自らが負担する行為

(ii)an act whereby the Financial Instruments Clearing Organization has a third party bear the obligations of a Clearing Member arising from a Subject Transaction other than the transactions set forth in Article 156-62, item (i) of the Act and the obligations of the counterparty of the Clearing Member arising from the Subject Transaction, and then bears by itself these obligations of the counterparty of the Clearing Member;

三法第百五十六条の六十二第一号に掲げる取引以外の対象取引に係る清算参加者の債務を自らが負担し、その負担した当該清算参加者の債務を第三者に負担させ、かつ、当該対象取引に係る清算参加者の相手方の債務を第三者に負担させ、その負担させた当該清算参加者の相手方の債務を自らが負担する行為

(iii)an act whereby the Financial Instruments Clearing Organization bears by itself the obligations of a Clearing Member arising from a Subject Transaction other than the transactions set forth in Article 156-62, item (i) of the Act and then has a third party bear these obligations of the Clearing Member, and it has a third party bear the obligations of the counterparty of the Clearing Member arising from the Subject Transaction, and then bears by itself the obligations of the counterparty of the Clearing Member;

四前三号に掲げるもののほか、法第百五十六条の六十二第一号に掲げる取引以外の対象取引に係る債権債務の清算のため、清算参加者と清算参加者の相手方との間で生じた当該対象取引に係る清算参加者の債務を第三者に負担させ、当該対象取引に係る清算参加者の相手方の債務は自らが負担する行為

(iv)beyond what is set forth in the preceding three items, an act whereby, for the purpose of clearing claims and obligations arising from a Subject Transaction other than the transactions set forth in Article 156-62, item (i) of the Act, the Financial Instruments Clearing Organization has a third party bear the obligations of a Clearing Member arising from the Subject Transaction between the Clearing Member and the counterparty thereof, while bearing by itself the obligations of the counterparty of the Clearing Member arising from the Subject Transaction.

一清算参加者及びその相手方の要件に関する事項

(i)matters concerning the requirements for a Clearing Member and the counterparty thereof;

二連携金融商品債務引受業務として行う引受け、更改その他の方法による債務の負担及びその履行に関する事項

(ii)matters concerning assumption as the Collaborative Financial Instruments Obligation Assumption Service, novation or bearing by any other method of obligations, and performance thereof; and

三清算参加者及びその相手方の債務の履行の確保に関する事項

(iii)matters concerning ensuring the performance of obligations of a Clearing Member and the counterparty thereof.

一清算参加者の相手方の要件に関する事項

(i)matters concerning the requirements for the counterparty of a Clearing Member;

二連携清算機関等の業務（連携金融商品債務引受業務に係るものに限る。）として行う引受け、更改その他の方法による債務の負担及びその履行に関する事項

(ii)matters concerning assumption, novation or bearing by any other method of obligations carried out as the business of the Collaborating Clearing Organization, etc. (limited to business related to Collaborative Financial Instruments Obligation Assumption Service), and performance thereof;

三清算参加者の相手方の債務の履行の確保に関する事項

(iii)matters concerning ensuring the performance of obligations of the counterparty of a Clearing Member;

四清算参加者の相手方が連携清算機関等に対し債務の履行を担保するために預託する金銭その他の財産を定める場合にあっては、当該財産及びその管理方法に関する事項

(iv)if money or other property to be deposited by the counterparty of a Clearing Member to ensure the performance of obligations to the Collaborating Clearing Organization, etc. is specified, the particulars of the property and the means of managing it;

五連携清算機関等の業務（連携金融商品債務引受業務に係るものに限る。）を管理する責任者の氏名及び役職名

(v)the name and title of the person responsible for the management of the business of the Collaborating Clearing Organization, etc. (limited to business related to Collaborative Financial Instruments Obligation Assumption Service); and

六連携清算機関等の業務（連携金融商品債務引受業務に係るものに限る。）を行う部署の名称及び組織の体制

(vi)the name of the operating unit and the organizational structure for conducting the business of the Collaborating Clearing Organization, etc. (limited to business related to Collaborative Financial Instruments Obligation Assumption Service).

一連携清算機関等において連携金融商品債務引受業務に係る業務を行うことを決議した株主総会又は取締役会（これらに準ずる機関を含む。）の議事録その他必要な手続があったことを証する書面

(i)the minutes of a shareholders meeting or board of directors meeting (including any equivalent organ) where it was resolved that the Collaborating Clearing Organization, etc. will conduct the business related to Collaborative Financial Instruments Obligation Assumption Service, or any other document evidencing that the necessary procedure has been followed;

二連携清算機関等が金融商品取引清算機関又は外国金融商品取引清算機関以外の者であるときは、次に掲げる書類

(ii)if the Collaborating Clearing Organization, etc. is neither a Financial Instruments Clearing Organization nor a Foreign Financial Instruments Clearing Organization, the following documents:

三その他法第百五十六条の二十の十八第一項の規定による審査の参考となるべき事項を記載した書面

(iii)other documents containing the matters to be used as a reference for the examination under the provisions of Article 156-20-18, paragraph (1) of the Act.

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)the method prescribed in JIS X 6225 in terms of track format; 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)the method prescribed in JIS X 0605 in terms of volume and file structure.

一認可申請者の商号

(i)the trade name of the applicant for authorization; and

二申請年月日

(ii)the date of application.

一変更の内容及び理由

(i)the details of and reasons for the change; and

二変更予定年月日

(ii)the scheduled date of the change.

一法第百五十六条の二十の十七第二項第一号又は第二号に掲げる書類に記載した事項を変更しようとする場合にあっては、当該書類の新旧対照表

(i)in order to change any of the matters contained in the documents set forth in Article 156-20-17, paragraph (2), item (i) or item (ii) of the Act, a comparative table presenting the relevant document before and after the change; and

二その他参考となる書類

(ii)other documents that will serve as a reference.

一変更の内容

(i)the details of the change; and

二変更年月日

(ii)the date of the change.

一法第百五十六条の二十の十七第一項第二号又は第三号イからハまでに掲げる事項の変更第四十条第三項第二号リに掲げる書類

(i)a change in the matters set forth in Article 156-20-17, paragraph (1), item (ii) or item (iii), (a) to (c) of the Act:the document set forth in Article 40, paragraph (3), item (ii), (i);

二法第百五十六条の二十の十七第一項第三号ニに掲げる事項の変更　次に掲げる書類

(ii)a change in the matters set forth in Article 156-20-17, paragraph (1), item (iii), (d) of the Act: the following documents:

三法第百五十六条の二十の十七第二項第三号ロ又はハに掲げる書類に記載した事項の変更当該書類の新旧対照表及び変更後の当該書類

(iii)a change in the matters included in the documents set forth in Article 156-20-17, paragraph (2), item (iii), (b) or (c) of the Act:a comparative table presenting the relevant document before and after the change and the relevant document after the change.

一連携金融商品債務引受業務の廃止の年月日

(i)the date of the discontinuation of the Collaborative Financial Instruments Obligation Assumption Service; and

二連携金融商品債務引受業務の廃止の理由

(ii)the reasons for the discontinuation of the Collaborative Financial Instruments Obligation Assumption Service.

一会社法第四百三十五条第二項の附属明細書

(i)annexed detailed statements referred to in Article 435, paragraph (2) of the Companies Act;

二清算預託金その他の清算参加者が金融商品取引清算機関に対し債務の履行を担保するために預託する金銭その他の財産の明細表

(ii)a schedule of Clearing Deposits, or money or other property to be deposited by a Clearing Member to ensure the performance of obligations to the Financial Instruments Clearing Organization;

三取引証拠金明細表（市場デリバティブ取引について金融商品債務引受業を行う金融商品取引清算機関に限る。）

(iii)a schedule of clearing margins (limited to a Financial Instruments Clearing Organization which conducts the Financial Instruments Obligation Assumption Service with regard to Market Derivatives Transactions);

四その他諸勘定明細表

(iv)schedules of other accounts; and

五金融商品取引清算機関の総株主の議決権の百分の十以上の数の議決権を保有している株主の氏名又は商号若しくは名称、住所又は所在地及びその保有する議決権の数を記載した書面

(v)a document giving the name or trade name and address or location of a shareholder that holds voting rights amounting to ten percent or more of the number of all shareholders' voting rights of the Financial Instruments Clearing Organization, and the number of voting rights held by such shareholder.

一取締役、会計参与（会計参与が法人であるときは、職務を行うべき社員を含む。）、監査役、執行役又は使用人がその業務を執行するに際し、法令又は業務方法書（認可金融商品取引清算機関にあっては、連携契約書を含む。）に違反する行為をしたこと。

(i)an event wherein a director, accounting advisor (if an accounting advisor is a corporation, including members who perform its duties), company auditor, executive officer or employee has committed an act in violation of laws and regulations or the Statement of Operational Methods (or, for an Authorized Financial Instruments Clearing Organization, including a Collaboration Agreement) in the course of executing their duties; and

二電子情報処理組織の故障その他偶発的な事情による金融商品債務引受業の全部又は一部の停止

(ii)suspension of whole or part of Financial Instruments Obligation Assumption Service due to a failure in an electronic data processing system or any other accidental cause.

一事故の詳細

(i)details of the Incident;

二事故の改善策

(ii)improvement measures in response to the Incident; and

三その他必要な事項

(iii)other necessary matters.

一清算参加者の相手方が認可に係る連携清算機関等に対し債務の履行を担保するために預託する金銭その他の財産の明細表

(i)a schedule of money or other property to be deposited by the counterparty of a Clearing Member to ensure the performance of obligations to the Collaborating Clearing Organization, etc. subject to authorization; and

二認可に係る連携清算機関等の総株主等の議決権の百分の十以上の数の議決権を保有している者の氏名又は商号若しくは名称、住所又は所在地及びその保有する議決権の数を記載した書面

(ii)a document giving the name or trade name and address or location of a person that holds voting rights amounting to ten percent or more of the number of all shareholders', etc. voting rights of the Collaborating Clearing Organization, etc. subject to authorization, and the number of voting rights held by such person.

一認可に係る連携清算機関等の役員又は使用人がその業務（連携金融商品債務引受業務に係るものに限る。）を執行するに際し、法令又は当該連携清算機関等の業務方法書若しくは連携契約書に違反する行為をしたこと。

(i)an event wherein an Officer or employee of the Collaborating Clearing Organization, etc. subject to authorization has committed an act in violation of laws and regulations or the Statement of Operational Methods or Collaboration Agreement of the Collaborating Clearing Organization, etc. in the course of executing their duties (limited to those related to the Collaborative Financial Instruments Obligation Assumption Service); and

二認可に係る連携清算機関等の電子情報処理組織の故障その他偶発的な事情による当該連携清算機関等の業務（連携金融商品債務引受業務に係るものに限る。）の全部又は一部の停止

(ii)suspension of whole or part of the business of the Collaborating Clearing Organization, etc. subject to authorization (limited to the business related to the Collaborative Financial Instruments Obligation Assumption Service) due to a failure in an electronic data processing system of the Collaborating Clearing Organization, etc. or other accidental cause.

一事故の詳細

(i)details of the Incident;

二事故の改善策

(ii)improvement measures in response to the Incident; and

三その他必要な事項

(iii)other necessary matters.

一清算参加者が外国金融商品取引清算機関に対し債務の履行を担保するために預託する金銭その他の財産の明細表

(i)a schedule of money or other property to be deposited by a Clearing Member to ensure the performance of obligations to the Foreign Financial Instruments Clearing Organization; and

二外国金融商品取引清算機関の総株主等の議決権の百分の十以上の数の議決権を保有している者の氏名又は商号若しくは名称、住所又は所在地及びその保有する議決権の数を記載した書面

(ii)a document giving the name or trader name and address or location of a person that holds voting rights amounting to ten percent or more of the number of all shareholders', etc. voting rights of the Foreign Financial Instruments Clearing Organization, and the number of voting rights held by such person.

一役員、国内における代表者又は使用人がその金融商品債務引受業に係る業務を執行するに際し、法令又は業務方法書に違反する行為をしたこと。

(i)an event wherein an Officer, representative person in Japan or employee has committed an act in violation of laws and regulations or Statement of Operational Methods in the course of executing their duties related to Financial Instruments Obligation Assumption Service; and

二電子情報処理組織の故障その他偶発的な事情による金融商品債務引受業の全部又は一部の停止

(ii)suspension of whole or part of Financial Instruments Obligation Assumption Service due to a failure in an electronic data processing system or other accidental cause.

一事故の詳細

(i)details of the Incident;

二事故の改善策

(ii)improvement measures in response to the Incident; and

三その他必要な事項

(iii)other necessary matters.

一当該申請を補正するために要する期間

(i)any period of time required to amend the application;

二当該申請をした者が当該申請の内容を変更するために要する期間

(ii)any period of time required for the applicant to change the content of the application; and

三当該申請をした者が当該申請に係る審査に必要と認められる資料を追加するために要する期間

(iii)any period of time required for the applicant to add materials that are found to be necessary for the examination of the application.