(a)a bank (meaning a bank as defined in Article 2, paragraph (1) of the Banking Act; the same applies in Article 15, item (ii), (d), 2, and item (vi), and Article 17, paragraph (1));

(b)a long-term credit bank (meaning a long-term credit bank as defined in Article 2 of the Long Term Credit Bank Act (Act No. 187 of 1952); the same applies in Article 15, item (ii), (d), 7);

(c)a shinkin bank;

(d)a federation of shinkin banks;

(e)a labor bank;

(f)a federation of labor banks;

(g)a credit cooperative;

(h)a federation of cooperatives (limited to a federation engaging in the business prescribed in Article 9-9, paragraph (1), item (i) of the Small and Medium-Sized Enterprise Cooperatives Act (Act No. 181 of 1949); the same applies in Article 15, item (ii), (d), 5);

(i)an agricultural cooperative (limited to a cooperative engaging in the business prescribed in Article 10, paragraph (1), item (iii) of the Agricultural Cooperatives Act (Act No. 132 of 1947); the same applies in Article 15, item (ii), (d), 3);

(j)a federation of agricultural cooperatives (limited to a federation engaging in the business prescribed in Article 10, paragraph (1), item (iii) of the Agricultural Cooperatives Act; the same applies in Article 15, item (ii), (d), 3);

(k)a fisheries cooperative (limited to a cooperative engaging in the business prescribed in Article 11, paragraph (1), item (iv) of the Fisheries Cooperative Act (Act No. 242 of 1948); the same applies in Article 15, item (ii), (d), 4);

(l)a federation of fisheries cooperatives (limited to a federation engaging in the business prescribed in Article 87, paragraph (1), item (iv) of the Fisheries Cooperative Act; the same applies in Article 15, item (ii), (d), 4);

(m)a fishery processing cooperative (limited to a cooperative engaging in the business prescribed in Article 93, paragraph (1), item (ii) of the Fisheries Cooperative Act; the same applies in Article 15, item (ii), (d), 4);

(n)a federation of fishery processing cooperatives (limited to a federation engaging in the business prescribed in Article 97, paragraph (1), item (ii) of the Fisheries Cooperative Act; the same applies in Article 15, item (ii), (d), 4); or

(o)the Norinchukin Bank;

(a)a financial instruments business operator engaging in type-I financial instruments business (excluding the type-I small amount electronic public offering service prescribed in Article 29-4-2, paragraph (10) of the Financial Instruments and Exchange Act) or investment management business (excluding investment management business for qualified investors prescribed in Article 29-5, paragraph (1) of that Act); or

(b)registered financial institution as defined in Article 2, paragraph (11) of the Financial Instruments and Exchange Act;

(a)in cases where a person who had been a financial service intermediary had its registration as set forth in Article 12 rescinded pursuant to the provisions of Article 38, paragraph (1) or where a person who had obtained the same type of registration (including permission or other administrative dispositions similar to the registration; the same applies in (d), 1 of the following item) in a foreign state had its registration rescinded under the laws and regulations of the foreign state equivalent to this Act, a person for whom five years have not elapsed from the date of rescission;

(b)in cases where a person who had been a bank's major shareholder (meaning a bank's major shareholder as defined in Article 2, paragraph (10) of the Banking Act; the same applies in (d), 2 of the following item) had its authorization as set forth in Article 52-9, paragraph (1) or the proviso to paragraph (2) of the Banking Act rescinded pursuant to the provisions of Article 52-15, paragraph (1) of the Banking Act, where a person who had been a bank holding company (meaning a bank holding company as defined in Article 2, paragraph (13) of the Banking Act; the same applies in (d) 2 of the item) had its authorization as set forth in Article 52-17, paragraph (1) or the proviso to paragraph (3) of the Banking Act rescinded pursuant to the provisions of Article 52-34, paragraph (1) of the Banking Act, or where a person who had been a bank agent had its permission as set forth in Article 52-36, paragraph (1) of the Banking Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act, or where a person who had obtained the same type of authorization or permission (including a registration or other administrative disposition similar to the authorization or permission) in a foreign state had its authorization or permission rescinded under the laws and regulations of the foreign state equivalent to the Banking Act, a person for whom five years have not elapsed from the date of rescission;

(c)in cases where a person who had been a specified credit business agent (meaning a specified credit business agent prescribed in Article 92-2, paragraph (3) of the Agricultural Cooperatives Act; the same applies in (d), 3 of the following item) had its license as set forth in Article 92-2, paragraph (1) of the Agricultural Cooperatives Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to the provisions of Article 92-4, paragraph (1) of the Agricultural Cooperatives Act following the deemed replacement of terms or where a person who had obtained the same type of permission (including registration or other administrative disposition similar to the permission; the same applies in (d), 3 of the following item) in a foreign state had its permission rescinded under the laws and regulations of the foreign state equivalent to the Agricultural Cooperatives Act, a person for whom five years have not elapsed from the date of rescission;

(d)in cases where a person who had been a specified credit business agent (meaning a specified credit business agent prescribed in Article 106, paragraph (3) of the Fisheries Cooperative Act; the same applies in (d), 4 of the following item) had its permission as set forth in Article 106, paragraph (1) of the Fisheries Cooperative Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to the provisions of Article 108, paragraph (1) of the Fisheries Cooperative Act following the deemed replacement of terms or where a person who had obtained the same type of permission (including registration or other administrative disposition similar to the permission; the same applies in (d), 4 of the following item) in a foreign state had its license rescinded under the laws and regulations of the foreign state equivalent to the Fisheries Cooperative Act, a person for whom five years have not elapsed from the date of rescission;

(e)in cases where a person who had been a credit cooperative agent (meaning a credit cooperative agent prescribed in Article 6-3, paragraph (3) of the Act on Financial Businesses by Cooperative (Act No. 183 of 1949); the same applies in (d), 5 of the following item) had its permission set forth in Article 6-3, paragraph (1) of the Act on Financial Businesses by Cooperative rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to the provisions of Article 6-5, paragraph (1) of the Act on Financial Businesses by Cooperative following the deemed replacement of terms or where a person who had obtained the same type of permission in a foreign state (including registration or other administrative disposition similar to the permission; the same applies in (d), 5 of the following item) had its permission rescinded under the laws and regulations of the foreign state equivalent to the Act on Financial Businesses by Cooperative, a person for whom five years have not elapsed from the date of rescission;

(f)in cases where a person who had been a shinkin bank agent (meaning a shinkin bank agent prescribed in Article 85-2, paragraph (3) of the Shinkin Bank Act (Act No. 238 of 1951); the same applies in (d), 6 of the following item) had its permission as set forth in Article 85-2, paragraph (1) of the Shinkin Bank Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to the provisions of Article 89, paragraph (5) of the Shinkin Bank Act following the deemed replacement of terms or where a person who had obtained the same type of permission in a foreign state (including registration or other administrative disposition similar to the permission) had its permission rescinded under the laws and regulations of the foreign state equivalent to the Shinkin Bank Act, a person for whom five years have not elapsed from the date of rescission;

(g)in cases where a person who had been a major shareholder of long-term credit bank (meaning a major shareholder of long-term credit bank prescribed in Article 16-2-2, paragraph (5) of the Long Term Credit Bank Act; the same applies in (d), 7 of the following item) had its authorization as set forth in Article 16-2-2, paragraph (1) or the proviso to paragraph (2) of the Long Term Credit Bank Act rescinded pursuant to the provisions of Article 52-15, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to the provisions of Article 17 of the Long Term Credit Bank Act, where a person who had been a long-term credit bank holding company (meaning a long-term credit bank holding company prescribed in Article 16-4, paragraph (1) of the Long Term Credit Bank Act; the same applies in (d), 7 of the following item) had its authorization as set forth in Article 16-2-4, paragraph (1) or the proviso to paragraph (3) of the Long Term Credit Bank Act rescinded pursuant to the provisions of Article 52-34, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to the provisions of Article 17 of the Long Term Credit Bank Act, or where a person who had been a long-term credit bank agent (meaning a long-term credit bank agent prescribed in Article 16-5, paragraph (3) of the Long Term Credit Bank Act; the same applies in (d), 7 of the following item) had its permission as set forth in Article 16-5, paragraph (1) of the Long Term Credit Bank Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to the provisions of Article 17 of the Long Term Credit Bank Act, or where a person who had obtained the same type of authorization or license in a foreign state (including a registration or other administrative disposition similar to the authorization or permission) had its authorization or permission rescinded under the laws and regulations of the foreign state equivalent to the Long Term Credit Bank Act, a person for whom five years have not elapsed from the date of rescission;

(h)in cases where a person who had been a labor bank agent (meaning a labor bank agent prescribed in Article 89-3, paragraph (3) of the Labor Bank Act (Act No. 227 of 1953); the same applies in (d), 8 of the following item) had its permission as set forth in Article 89-3, paragraph (1) of the Labor Bank Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to the provisions of Article 94, paragraph (3) of the Labor Bank Act following the deemed replacement of terms or where a person who had obtained the same type of permission in a foreign state (including registration or other administrative disposition similar to the permission) had its permission rescinded under the laws and regulations of the foreign state equivalent to the Labor Bank Act, a person for whom five years have not elapsed from the date of rescission;

(i)in cases where a person who had been a Norinchukin Bank agent (meaning a Norinchukin Bank agent prescribed in Article 95-2, paragraph (3) of the Norinchukin Bank Act (Act No. 93 of 2001); the same applies in (d), 9 of the following item) had its permission as set forth in Article 95-2, paragraph (1) of the Norinchukin Bank Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to the provisions of Article 95-4, paragraph (1) of the Norinchukin Bank Act following the deemed replacement of terms or where a person who had obtained the same type of permission (including registration or other administrative disposition similar to the permission; the same applies in (d), 9 of the following item) in a foreign state had its permission rescinded under the laws and regulations of the foreign state equivalent to the Norinchukin Bank Act, a person for whom five years have not elapsed from the date of rescission;

(j)in cases where a person who had been a specified insurance agent had its registration as set forth in Article 276 of the Insurance Business Act rescinded pursuant to the provisions of Article 307, paragraph (1) of the Insurance Business Act or where a person who had been an insurance broker had its registration as set forth in Article 286 of the Insurance Business Act rescinded pursuant to the provisions of that paragraph, or where a person who had obtained the same type of registration (including permission and other administrative disposition similar to the registration; the same applies in (d), 10 of the following item) in a foreign state had its registration rescinded under the laws and regulations of the foreign state equivalent to the Insurance Business Act, a person for whom five years have not elapsed from the date of rescission;

(k)in cases where a person who had been a financial instruments business operator had its registration as set forth in Article 29 of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 52, paragraph (1), Article 53, paragraph (3), or Article 57-6, paragraph (3) of the Financial Instruments and Exchange Act, where a person who had been an authorized firm for on-exchange transactions (meaning an authorized firm for on-exchange transactions prescribed in Article 60-4, paragraph (1) of the Financial Instruments and Exchange Act; the same applies in (d), 11 of the following item) had its permission as set forth in Article 60, paragraph (1) of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 60-8, paragraph (1) of the Financial Instruments and Exchange Act, where a person who had been an authorized electronic over-the-counter derivatives transactions, etc. business operator (meaning an authorized electronic over-the-counter derivatives transactions, etc. business operator prescribed in Article 60-14, paragraph (2) of the Financial Instruments and Exchange Act; the same applies in (d), 11 of the following item) had its permission as set forth in Article 60-14, paragraph (1) of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 60-8, paragraph (1) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 60-14, paragraph (2) of the Financial Instruments and Exchange Act, where a person who had been a notifier of specially permitted services (meaning a notifier of specially permitted services prescribed in Article 63, paragraph (5) of the Financial Instruments and Exchange Act; the same applies in (d), 11 of the following item) was ordered to discontinue the specially permitted services for qualified institutional investors, etc. (meaning specially permitted services for qualified institutional investors, etc. prescribed in Article 63, paragraph (2) of the Financial Instruments and Exchange Act; the same applies in (k) of this item and (d), 11 of the following item), where a person who had given a notification pursuant to the provisions of Article 63-3, paragraph (1) of the Financial Instruments and Exchange Act was ordered to discontinue the specially permitted services for qualified institutional investors, etc. pursuant to the provisions of Article 63-5, paragraph (3) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 63-3, paragraph (2) following the deemed replacement of terms, where a person who had been a financial instruments intermediary service provider had its registration as set forth in Article 66 of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 66-20, paragraph (1) of the Financial Instruments and Exchange Act, where a person who had been a credit rating institution (meaning a credit rating institution prescribed in Article 2, paragraph (36) of the Financial Instruments and Exchange Act; the same applies in (d), 11 of the following item) had its registration as set forth in Article 66-27 of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 66-42, paragraph (1) of the Financial Instruments and Exchange Act, or where a person who had been a high-speed trader (meaning a high-speed trader as defined in Article 2, paragraph (42) of the Financial Instruments and Exchange Act; the same applies in (d), 11 of the following item) had its registration as set forth in Article 66-50 of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 66-63, paragraph (1) of the Financial Instruments and Exchange Act, or where a person who had obtained the same type of registration or permission (including authorization or other administrative disposition equivalent to the registration or permission; the same applies in (d), 11 of the following item) in a foreign state had its registration or permission rescinded, or where a person that engages in business operations in the same category as specially permitted services for qualified institutional investors, etc. in a foreign state was ordered to discontinue the business operations under the laws and regulations of the foreign state equivalent to the Financial Instruments and Exchange Act, a person for whom five years have not elapsed from the date of rescission or order;

(l)in cases where a person who had been a money lender had its renewal of registration as set forth in Article 3, paragraph (1) of the Money Lending Business Act rejected pursuant to the provisions of Article 6, paragraph (1) of the Money Lending Business Act or had its registration as set forth in Article 3, paragraph (1) of the Money Lending Business Act rescinded pursuant to the provisions of Article 24-6-4, paragraph (1), Article 24-6-5, paragraph (1), or Article 24-6-6, paragraph (1) (limited to the part related to item (i)) of the Money Lending Business Act, or where a person who had obtained the same type of registration (including permission or other administrative disposition similar to the registration; the same applies in (d), 12 of the following item) in a foreign state had its renewal of the registration rejected or its registration rescinded under the laws and regulations of the foreign state equivalent to the Money Lending Business Act, a person for whom five years have not elapsed from the date of rescission (in cases of rejection of renewal, the date when the disposition for the rejection of renewal was taken; the same applies in (d), 12 of the following item);

(m)a person that violated the provisions of this Act, the Secured Bonds Trust Act (Act No. 52 of 1905), the Act on Engagement in Trust Business by Financial Institutions (Act No. 43 of 1943), the Agricultural Cooperatives Act, the Financial Instruments and Exchange Act, the Fisheries Cooperative Act, the Small and Medium-Sized Enterprise Cooperatives Act, the Act on Financial Businesses by Cooperative, the Commodity Futures Act (Act No. 239 of 1950), the Act on Investment Trusts and Investment Corporations (Act No. 198 of 1951), the Shinkin Bank Act, the Real Estate Brokerage Act (Act No. 176 of 1952), the Long Term Credit Bank Act, the Labor Bank Act, the Act Regulating the Receipt of Contributions, Receipt of Deposits and Interest Rates (Act No. 195 of 1954), the Installment Sales Act (Act No. 159 of 1961), the Banking Act, the Money Lending Business Act, the Act on the Deposit Transaction Agreements of Specified Commodities (Act No. 62 of 1986), the Act on Regulation of Commodity Investment (Act No. 66 of 1991), the Act on Prevention of Unjust Acts by Organized Crime Group Members (Act No. 77 of 1991) (excluding Article 32-3, paragraph (7) and Article 32-11, paragraph (1)), the Act on Specified Joint Real Estate Ventures, the Insurance Business Act, the Act on Securitization of Assets (Act No. 105 of 1998), the Act on Issuance, etc. of Bonds for Financial Corporations' Loan Business (Act No. 32 of 1999), the Norinchukin Bank Act, the Trust Business Act (Act No. 154 of 2004), or other laws specified by Cabinet Order or the laws and regulations of a foreign state equivalent thereto, that violated the provisions of Article 12 of the Prices Control Order (Imperial Order No. 118 of 1946) upon conclusion of a contract for a loan (meaning a contract for a loan as prescribed in the provisions of Article 2, paragraph (3) of the Money Lending Business Act) or upon collection of claims based on the contract, or that committed a crime as set forth in the Penal Code (Act No. 45 of 1907) or the Act on Punishment of Physical Violence and Others (Act no. 60 of 1926) and that had been sentenced to a fine (including punishment pursuant to the laws and regulations of a foreign state equivalent thereto), for whom five years have not elapsed from the day on which the person finished serving the sentence or ceased to be subject to the sentence;

(n)a person specified by Cabinet Office Order as a person for whom there are reasonable grounds to find that the person is likely to commit a wrongful or dishonest act in relation to the financial service intermediary service business operations;

(o)a person whose other business is found to be contrary to the public interest;

(p)a person that does not have sufficient capacity to perform financial service intermediary business properly;

(q)in cases of engaging in electronic financial service intermediary business operations, a person that has not developed a system to perform the electronic financial service intermediary business operations appropriately and reliably; and

(r)a person that has not joined a certified financial service intermediary business association, etc. (meaning a certified financial service intermediary business association or what is provided for by Cabinet Office Order as similar thereto for each category of business operations (limited to what is related to each category of business operations stated in the application form for registration pursuant to the provisions of Article 13, paragraph (1)); the same applies in (r) of this item) that has not created internal rules (meaning rules for compliance by the person, its officers (including those that are provided for by Cabinet Office Order as persons found to have the same or a higher authority over a corporation as directors, accounting advisors, company auditors, executive officers, members that execute the operation, board members, or inspectors, or any persons holding positions equivalent thereto, irrespective of their job title as advisor, consultant, or any other job title; hereinafter the same applies in this Article, Article 18, paragraph (1), item (ii), (b), Article 38, paragraph (3), and Article 51, paragraph (1), items (iv) and (vi), excluding item (v), (a) and (b)) or employees) equivalent to the articles of incorporation or other rules (limited to rules related to ensuring the appropriateness of financial service intermediary business operations or to the protection of customers) of a certified financial service intermediary business association, etc., or that has not developed a system to comply with the internal rules;

(a)a person who is provided for by Cabinet Office Order as a person that cannot perform financial service intermediary business appropriately due to mental or physical disorder;

(b)a person who has become subject to an order to commence bankruptcy proceedings and has not been released from bankruptcy restrictions, or a person who is treated in the same manner under foreign laws and regulations;

(c)a person who has been sentenced to imprisonment without work or a heavier sentence (including any equivalent punishment under a foreign law or regulation), and for whom five years have not elapsed from the day on which the person finished serving the sentence or ceased to be subject to the sentence; or

(d)a person who falls under any of the following cases:

1.in cases where a corporation that had been a financial service intermediary had its registration as set forth in Article 12 rescinded pursuant to the provisions of Article 38, paragraph (1) or where a corporation that had obtained the same type of registration in a foreign state had its registration rescinded under the laws and regulations of the foreign state equivalent to this Act, a person who was an officer of these corporations within thirty days prior to the date of rescission and for whom five years have not elapsed from the date of rescission;

2.in cases where a corporation that had been a bank had its license as set forth in Article 4, paragraph (1) of the Banking Act rescinded pursuant to the provisions of Article 27 or Article 28 of the Banking Act, where a corporation that had been a major shareholder of the bank had its authorization as set forth in Article 52-9, paragraph (1) or proviso to paragraph (2) of the Banking Act rescinded pursuant to the provisions of Article 52-15, paragraph (1) of the Baking Act, where a corporation that had been a bank holding company had its authorization as set forth in Article 52-17, paragraph (1) or the proviso to paragraph (3) of the Banking Act rescinded pursuant to the provisions of Article 52-34, paragraph (1) of the Banking Act, or where a corporation that had been a bank agent had its permission as set forth in Article 52-36, paragraph (1) of the Banking Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act, or where a corporation that had obtained the same type of license, authorization, or permission (including registration or other administrative disposition similar to the license, authorization, or permission) in a foreign state had its license, authorization, or permission rescinded under the laws and regulations of the foreign state equivalent to the Banking Act, a person who was an officer of these corporations within thirty days prior to the date of rescission and for whom five years have not elapsed from the date of rescission;

3.in cases where a corporation that had been a specified credit business agent had its permission as set forth in Article 92-2, paragraph (1) of the Agricultural Cooperatives Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to Article 92-4, paragraph (1) of the Agricultural Cooperatives Act following the deemed replacement of terms or where a corporation had obtained the same type of permission in a foreign state had its permission rescinded under the laws and regulations of the foreign state equivalent to the Agricultural Cooperatives Act, or where a corporation that had been an agricultural cooperative or a federation of agricultural cooperatives was ordered to dissolve pursuant to the provisions of Article 95-2 of the Agricultural Cooperatives Act or where a corporation equivalent thereto under laws and regulations of a foreign state was ordered to dissolve under the laws and regulations of the foreign state, a person who was an officer of these corporations within thirty days prior to the date of rescission or order and for whom five years have not elapsed from the date of rescission or order;

4.in cases where a corporation that had been a specified credit business agent had its permission as set forth in Article 106, paragraph (1) of the Fisheries Cooperative Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to Article 108, paragraph (1) of the Fisheries Cooperative Act following the deemed replacement of terms or where a corporation that had obtained the same type of permission in a foreign state had its permission rescinded under the laws and regulations of the foreign state equivalent to the Fisheries Cooperative Act, or where a corporation that had been a fisheries cooperative, federation of fisheries cooperatives, a fishery processing cooperative, or federation of fishery processing cooperatives was ordered to dissolve pursuant to the provisions of Article 124-2 of the Fisheries Cooperative Act or where a corporation equivalent thereto under laws and regulations of a foreign state was ordered to dissolve under the laws and regulations of the foreign state, a person who was an officer of these corporations within thirty days prior to the date of rescission or order and for whom five years have not elapsed from the date of rescission or order;

5.in cases where a corporation that had been a credit cooperative or federation of cooperatives was ordered to dissolve pursuant to the provisions of Article 27 or Article 28 of the Banking Act as applied mutatis mutandis pursuant to Article 106, paragraph (2) of the Small and Medium-Sized Enterprise Cooperatives Act or Article 6, paragraph (1) of the Act on Financial Businesses by Cooperative following the deemed replacement of terms or where a corporation equivalent thereto under laws and regulations of a foreign state was ordered to dissolve pursuant to the provisions of the laws and regulations of the foreign state, or where a corporation that had been a credit cooperative agent had its permission set forth in Article 6-3, paragraph (1) of the Act on Financial Businesses by Cooperative rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to Article 6-5, paragraph (1) of the Act on Financial Businesses by Cooperative following the deemed replacement of terms or where a corporation that had obtained the same type of permission in a foreign state had its permission rescinded under the laws and regulations of the foreign state equivalent to the Act on Financial Businesses by Cooperative, a person who was an officer of these corporations within thirty days prior to the date of rescission or order and for whom five years have not elapsed from the date of rescission or order;

6.in cases where a corporation that had been a shinkin bank or federation of shinkin banks had its license as set forth in Article 4 of the Shinkin Bank Act rescinded pursuant to the provisions of Article 27 or Article 28 of the Banking Act as applied mutatis mutandis pursuant to Article 89, paragraph (1) of the Shinkin Bank Act or where a corporation that had been a shinkin bank agent had its permission as set forth in Article 85-2, paragraph (1) of the Shinkin Bank Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis to the provisions of Article 89, paragraph (5) of the Shinkin Bank Act following the deemed replacement of terms, or where a corporation that had obtained the same type of license or permission (including registration or other administrative disposition similar to the license or permission) in a foreign state had its license or permission rescinded under the laws and regulations of the foreign state equivalent to the Shinkin Bank Act, a person who was an officer of these corporations within thirty days prior to the date of rescission and for whom five years have not elapsed from the date of rescission;

7.in cases where a corporation that had been a long-term credit bank had its license as set forth in Article 4, paragraph (1) of the Long Term Credit Bank Act rescinded pursuant to the provisions of Article 27 or Article 28 of the Banking Act as applied mutatis mutandis pursuant to Article 17 of the Long Term Credit Bank Act, where a corporation that had been a major shareholder of a long-term credit bank had its authorization as set forth in Article 16-2-2, paragraph (1) or the proviso to paragraph (2) of the Long Term Credit Bank Act rescinded pursuant to the provisions of Article 52-15, paragraph (1) of the Banking Act as applied mutatis mutandis to Article 17 of the Long Term Credit Bank Act, where a corporation that had been a long-term credit bank holding company had its authorization as set forth in Article 16-2-4, paragraph (1) or proviso to paragraph (3) of the Long Term Credit Bank Act rescinded pursuant to the provisions of Article 52-34, paragraph (1) of the Banking Act as applied mutatis mutandis to Article 17 of the Long Term Credit Bank Act, or where a corporation that had been a long-term credit bank agent had its permission set forth in Article 16-5, paragraph (1) of the Long Term Credit Bank Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to Article 17 of the Long Term Credit Bank Act, or where a corporation that had obtained the same type of license, authorization, or permission (including registration or other administrative disposition similar to the license, authorization, or permission) in a foreign state had its license, authorization, or permission rescinded under the laws and regulations of the foreign state equivalent to the Long Term Credit Bank Act, a person who was an officer of these corporations within thirty days prior to the date of rescission and for whom five years have not elapsed from the date of rescission;

8.in cases where a corporation that had been a labor bank or a federation of labor banks had its license as set forth in Article 6 of the Labor Bank Act rescinded pursuant to the provisions of Article 95 of the Labor Bank Act or where a corporation that had been a labor bank agent had its permission as set forth in Article 89-3, paragraph (1) of the Labor Bank Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to Article 94, paragraph (3) of the Labor Bank Act following the deemed replacement of terms, or where a corporation that had obtained the same type of license or permission in a foreign state (including registration or other administrative disposition similar to the license or permission) had its license or permission rescinded under the laws and regulations of the foreign state equivalent to the Labor Bank Act, a person who was an officer of these corporations within thirty days prior to the date of rescission and for whom five years have not elapsed from the date of rescission;

9.in cases where a corporation that had been the Norinchukin Bank was ordered to dissolve pursuant to the provisions of Article 86 of the Norinchukin Bank Act or where a corporation equivalent thereto under laws and regulations of a foreign state was ordered to dissolve under the laws and regulations of the foreign state, or where a corporation that had been a Norinchukin Bank agent had its permission as set forth in Article 95-2, paragraph (1) of the Norinchukin Bank Act rescinded pursuant to the provisions of Article 52-56, paragraph (1) of the Banking Act as applied mutatis mutandis pursuant to Article 95-4, paragraph (1) of the Norinchukin Bank Act following the deemed replacement of terms or where a corporation that had obtained the same type of permission in a foreign state had its permission rescinded under the laws and regulations of the foreign state equivalent to the Norinchukin Bank Act, a person who was an officer (including management supervisory committee members) of these corporations within thirty days prior to the date of rescission or order and for whom five years have not elapsed from the date of rescission or order;

10.in cases where a corporation that had been a specified insurance agent had its registration as set forth in Article 276 of the Insurance Business Act rescinded pursuant to the provisions of Article 307, paragraph (1) of the Insurance Business Act or where a corporation that had been an insurance broker had its registration as set forth in Article 286 of the Insurance Business Act rescinded pursuant to the provisions of Article 307, paragraph (1) of the Insurance Business Act, or where a corporation that had obtained the same type of registration in a foreign state had its registration rescinded under the laws and regulations of the foreign state, a person who was an officer of these corporations within thirty days prior to the date of rescission and for whom five years have not elapsed from the date of rescission;

11.in cases where a corporation that had been a financial instruments business operator had its registration as set forth in Article 29 of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 52, paragraph (1), Article 53, paragraph (3), or Article 57-6, paragraph (3) of the Financial Instruments and Exchange Act, where a corporation that had been an authorized firm for on-exchange transactions had its permission as set forth in Article 60-14, paragraph (1) of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 60-8, paragraph (1) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 60-14, paragraph (1) of the Financial Instruments and Exchange Act, where a corporation that had been an authorized electronic over-the-counter derivatives transactions, etc. business operator had its permission as set forth in Article 60-14, paragraph (1) of the Act rescinded pursuant to the provisions of Article 60-8, paragraph (1) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 60-14, paragraph (2) of the Financial Instruments and Exchange Act, where a corporation that had been a notifier of specially permitted services was ordered to discontinue the specially-permitted business for qualified institutional investors, etc. pursuant to the provisions of Article 63-5, paragraph (3) of the Financial Instruments and Exchange Act, where a corporation that had given notification pursuant to the provisions of Article 63-3, paragraph (1) of the Financial Instruments and Exchange Act was ordered to discontinue the specially-permitted business for qualified institutional investors, etc. pursuant to the provisions of Article 63-5, paragraph (3) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 63-3, paragraph (2) of the Financial Instruments and Exchange Act following the deemed replacement of terms, where a corporation that had been a financial instruments intermediary service provider had its registration as set forth in Article 66 of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 66-20, paragraph (1) of the Financial Instruments and Exchange Act, where a corporation that had been a credit rating institution had its registration as set forth in Article 66-27 of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 66-42, paragraph (1) of the Financial Instruments and Exchange Act, or where a corporation that had been a high-speed trader had its registration as set forth in Article 66-50 of the Financial Instruments and Exchange Act rescinded pursuant to the provisions of Article 66-63, paragraph (1) of the Financial Instruments and Exchange Act, or where a corporation that had obtained the same type of registration or permission in a foreign state had its registration or permission rescinded or where a corporation that engaged in the same type of operation as the specially-permitted business for qualified institutional investors, etc. in a foreign state was ordered to discontinue the operation under the laws and regulations of the foreign state equivalent to the Financial Instruments and Exchange Act, a person who was an officer of these corporations within thirty days prior to the date of rescission or order and for whom five years have not elapsed from the date of rescission or order; or

12.in cases where a corporation that had been a money lender had its renewal of registration as set forth in Article 3, paragraph (1) of the Money Lending Business Act rejected pursuant to the provisions of Article 6, paragraph (1) of the Money Lending Business Act or its registration as set forth in Article 3, paragraph (1) of the Money Lending Business Act rescinded pursuant to the provisions of Article 24-6-4, paragraph (1), Article 24-6-5, paragraph (1), or Article 24-6-6, paragraph (1) (limited to the part related to item (i)) of the Money Lending Business Act, or where a corporation that had obtained the same type of registration in a foreign state had its renewal of registration rejected or its registration rescinded under the laws and regulations of the foreign state equivalent to the Money Lending Business Act, a person who was an officer of these corporations within thirty days prior to the date of rescission, and for whom five years have not elapsed from the date of rescission.

(e)a person who falls under any of the following cases:

1.an officer whose dismissal was ordered pursuant to the provisions of Article 38, paragraph (3) or an officer whose dismissal was ordered in a foreign state under the laws and regulations of the foreign state equivalent to this Act, and for whom five years have not elapsed from the date of the disposition;

2.an officer whose dismissal was ordered pursuant to the provisions of Article 27, Article 52-34, paragraph (1), or Article 52-56, paragraph (2) of the Banking Act or an officer whose dismissal was ordered in a foreign state under the laws and regulations of the foreign state equivalent to the Banking Act, and for whom five years have not elapsed from the date of the disposition;

3.an officer whose dismissal was ordered pursuant to the provisions of Article 52-56, paragraph (2) of the Banking Act as applied mutatis mutandis pursuant to Article 92-4, paragraph (1) of the Agricultural Cooperatives Act following the deemed replacement of terms, an officer whose reelection was ordered pursuant to the provisions of Article 95, paragraph (2) of the Agricultural Cooperatives Act, or an officer who was ordered to be dismissed or re-elected in a foreign state under the laws and regulations of the foreign state equivalent to the Agricultural Cooperatives Act, and for whom five years have not elapsed from the date of the disposition;

4.an officer whose dismissal was ordered pursuant to the provisions of Article 52-56, paragraph (2) of the Banking Act as applied mutatis mutandis pursuant to Article 108, paragraph (1) of the Fisheries Cooperative Act following the deemed replacement of terms, an officer whose reelection was ordered pursuant to the provisions of Article 124, paragraph (2) of the Banking Act, or an officer who was ordered to be dismissed or re-elected in a foreign state under the laws and regulations of the foreign state equivalent to the Fisheries Cooperative Act, and for whom five years have not elapsed from the date of the disposition;

5.an officer whose dismissal was ordered pursuant to the provisions of Article 27 of the Banking Act as applied mutatis mutandis pursuant to Article 6, paragraph (1) of the Act on Financial Businesses by Cooperative following the deemed replacement of terms or pursuant to the provisions of Article 52-56, paragraph (2) of the Banking Act as applied mutatis mutandis pursuant to Article 6-5, paragraph (1) of the Act on Financial Businesses by Cooperative, or an officer whose dismissal was ordered in a foreign state under the laws and regulations of the foreign state equivalent to the Act on Financial Businesses by Cooperative, and for whom five years have not elapsed from the date of the disposition;

6.an officer whose dismissal was ordered pursuant to the provisions of Article 27 of the Banking Act as applied mutatis mutandis pursuant to Article 89, paragraph (1) of the Shinkin Bank Act or pursuant to the provisions of Article 52-56, paragraph (2) of the Banking Act as applied mutatis mutandis pursuant to Article 89, paragraph (5) of the Shinkin Bank Act, or an officer whose dismissal was ordered in a foreign state under the laws and regulations of the foreign state equivalent to the Shinkin Bank Act, and for whom five years have not elapsed from the date of the disposition;

7.an officer whose dismissal was ordered pursuant to the provisions of Article 27, Article 52-34, paragraph (1) or Article 52-56, paragraph (2) of the Banking Act as applied mutatis mutandis pursuant to Article 17 of the Long Term Credit Bank Act, or an officer whose dismissal was ordered in a foreign state under the laws and regulations of the foreign state equivalent to the Long Term Credit Bank Act, and for whom five years have not elapsed from the date of the disposition;

8.an officer whose replacement was ordered pursuant to the provisions of Article 95, paragraph (1) of the Labor Bank Act or an officer whose dismissal was ordered pursuant to the provisions of Article 52-56, paragraph (2) of the Banking Act as applied mutatis mutandis pursuant to Article 94, paragraph (3) of the Labor Bank Act following the deemed replacement of terms, or an officer whose replacement or dismissal was ordered in a foreign state under the laws and regulations of the foreign state equivalent to the Labor Bank Act, and for whom five years have not elapsed from the date of the disposition;

9.an officer (including a management supervisory committee member) whose dismissal was ordered pursuant to the provisions of Article 86 of the Norinchukin Bank Act or an officer whose dismissal was ordered pursuant to the provisions of Article 52-56, paragraph (2) of the Banking Act as applied mutatis mutandis pursuant to Article 95-4, paragraph (1) of the Norinchukin Bank Act following the deemed replacement of terms, or an officer whose dismissal was ordered in a foreign state under the laws and regulations of the foreign state equivalent to the Norinchukin Bank Act, and for whom five years have not elapsed from the date of the disposition;

10.an officer whose dismissal or removal was ordered pursuant to the provisions of Article 52, paragraph (2), Article 60-8, paragraph (2) (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2)), Article 66-20, paragraph (2), Article 66-42, paragraph (2), or Article 66-63, paragraph (2) of the Financial Instruments and Exchange Act or an officer whose dismissal was ordered in a foreign state under the laws and regulations of the foreign state equivalent to the Financial Instruments and Exchange Act, and for whom five years have not elapsed from the date of the disposition; or

11.an officer whose dismissal was ordered pursuant to the provisions of Article 24-6-4, paragraph (2) of the Money Lending Business Act or an officer whose dismissal was ordered in a foreign state under the laws and regulations of the foreign state equivalent to the Money Lending Business Act, and for whom five years have not elapsed from the date of the disposition;

(f)a person who falls under any of the sub-items (a) through (n) of the preceding item;

(a)a person who falls under any of the sub-items (a) through (e) of the preceding item; or

(b)in cases where a minor does not have the same legal capacity to act as an adult concerning financial service intermediary business and whose statutory agent (in cases where a statutory agent is a corporation, including its officers; the same applies in item (v), (e)) falls under any of the sub-items (a) through (f) of the preceding item;

(a)an insurance company, foreign insurance company, etc. or small amount and short term insurance provider, or officers or employees thereof;

(b)an insurance agent (meaning an insurance agent set forth in Article 2, paragraph (23) of the Insurance Business Act; hereinafter the same applies in this Section) (excluding a person that acts as an agent or intermediary for the conclusion of insurance contracts for an insurance company, foreign insurance company, etc. or small amount and short term insurer based on the entrustment by the insurance company, foreign insurance company, etc. or small amount and short term insurer or based on re-entrustment by the person that accepted the entrustment) or an officer or employee of an insurance broker; or

(c)there is a person who falls under any of the following persons among the employees engaging in intermediation of the conclusion of insurance contracts:

1.a person who falls under any of item (ii), (a) through (f), or either (a) or (b);

2.a person who committed a significantly inappropriate act in relation to insurance intermediary business operations or solicitation of insurance (meaning solicitation of insurance as defined in Article 2, paragraph (26) of the Insurance Business Act; the same applies in Article 17, paragraph (3)) within three years prior to the date of application for registration; or

3.an insurance agent (limited to a person who acts as an agent or intermediary for conclusion of insurance contracts for an insurance company, foreign insurance company, etc. or small amount and short-term insurer based on the entrustment by the insurance company, foreign insurance company, etc. or small amount and short term insurer or based on re-entrustment by the person that accepted the entrustment) or an insurance broker;

(d)in cases where the person is a corporation, it has an officer who falls under any of (a), (b), or (c) 2 or 3; or

(e)in cases where the person is an individual, a minor who does not have the same legal capacity to act as an adult concerning financial service intermediary business and whose statutory agent falls under any of (a), (b), or (c) 2 or 3;

(a)deposit, etc. intermediary business operations:a bank agent or a person specified by Cabinet Order;

(b)insurance intermediary business operations:an insurance agent, or an insurance broker, or any officer or employee thereof;

(c)securities, etc. intermediary business operations:a financial instruments business operator engaging in type I financial instruments business or a financial instruments intermediary service provider; or

(d)loan intermediary business operations:a money lender; and

(a)a person that does not have the financial basis that satisfies the requirements specified by Cabinet Office Order as those found to be necessary for performing electronic payment services in an appropriate and reliable manner; and

(b)a person subject to any of the following dispositions, and for whom five years have not elapsed from the date of the disposition:

1.a rescission of registration referred to in Article 52-61-2 of the Banking Act pursuant to the provisions of Article 52-61-17, paragraph (1) or (2) of that Act;

2.a rescission of registration referred to in Article 92-5-2, paragraph (1) of the Agricultural Cooperatives Act, made pursuant to the provisions of Article 52-61-17, paragraph (1) or (2) of the Banking Act as applied mutatis mutandis pursuant to Article 92-5-9, paragraph (1) of the Agricultural Cooperatives Act following the deemed replacement of terms;

3.a rescission of registration referred to in Article 110, paragraph (1) of the Fisheries Cooperative Act, made pursuant to the provisions of Article 52-61-17, paragraph (1) or (2) of the Banking Act as applied mutatis mutandis pursuant to Article 117, paragraph (1) of the Fisheries Cooperative Act following the deemed replacement of terms;

4.a rescission of registration referred to in Article 6-5-2, paragraph (1) of the Act on Financial Businesses by Cooperative, made pursuant to the provisions of Article 52-61-17, paragraph (1) or (2) of the Banking Act as applied mutatis mutandis pursuant to Article 6-5-10, paragraph (1) of the Act on Financial Businesses by Cooperative following the deemed replacement of terms;

5.a rescission of registration referred to in Article 85-4, paragraph (1) of the Shinkin Bank Act, made pursuant to the provisions of Article 52-61-17, paragraph (1) or (2) of the Banking Act as applied mutatis mutandis pursuant to Article 89, paragraph (7) of the Shinkin Bank Act following the deemed replacement of terms;

6.a rescission of registration referred to in Article 89-5, paragraph (1) of the Labor Bank Act, made pursuant to the provisions of Article 52-61-17, paragraph (1) or (2) of the Banking Act as applied mutatis mutandis pursuant to Article 94, paragraph (5) of the Labor Bank Act following the deemed replacement of terms;

7.a rescission of registration referred to in Article 95-5-2, paragraph (1) of the Norinchukin Bank Act, made pursuant to the provisions of Article 52-61-17, paragraph (1) or (2) of the Banking Act as applied mutatis mutandis to Article 95-5-10, paragraph (1) of the Norinchukin Bank Act following the deemed replacement of terms;

8.a rescission of registration referred to in Article 60-3 of the Shoko Chukin Bank Limited Act (Act No. 74 of 2007), made pursuant to the provisions of Article 60-19, paragraph (1) or (2) of that Act; or

9.a rescission of registration of the same type of registration as that referred to in 1 through 8, which the financial service intermediary has obtained in a foreign state under the laws and regulations of the foreign state that are equivalent to the Banking Act, Agricultural Cooperatives Act, Fisheries Cooperative Act, Act on Financial Businesses by Cooperative, Shinkin Bank Act, Labor Bank Act, Norinchukin Bank Act, or Shoko Chukin Bank Limited Act (including permission or other administrative dispositions similar to the registration):

(c)a person that has been issued any of the following orders, and for whom five years have not elapsed from the date of the order:

1.an order to discontinue electronic payment services, which is issued pursuant to the provisions of Article 38, paragraph (2);

2.an order to discontinue specified electronic payment services for credit business prescribed in Article 92-5-2, paragraph (2) of the Agricultural Cooperatives Act, which is issued pursuant to the provisions of Article 92-5-8, paragraph (4) of that Act;

3.an order to discontinue specified electronic payment services for credit business prescribed in Article 110, paragraph (2) of the Fisheries Cooperative Act, which is issued pursuant to the provisions of Article 116, paragraph (4) of that Act;

4.an order to discontinue electronic payment services for credit cooperatives prescribed in Article 6-5-2, paragraph (2) of the Act on Financial Businesses by Cooperative, which is issued pursuant to the provisions of Article 6-5-9, paragraph (4) of that Act;

5.an order to discontinue electronic payment services for shinkin banks prescribed in Article 85-4, paragraph (2) of the Shinkin Bank Act, which is issued pursuant to the provisions of Article 85-11, paragraph (4) of that Act;

6.an order to discontinue electronic payment services for labor banks prescribed in Article 89-5, paragraph (2) of the Labor Bank Act, which is issued pursuant to the provisions of Article 89-12, paragraph (4) of that Act;

7.an order to discontinue electronic payment services for Norinchukin Bank prescribed in Article 95-5-2, paragraph (2) of the Norinchukin Bank Act, which is issued pursuant to the provisions of Article 95-5-9, paragraph (4) of that Act;

8.an order to discontinue electronic payment services for Shoko Chukin Banks prescribed in Article 60-2, paragraph (1) of the Shoko Chukin Bank Limited Act, which is issued pursuant to the provisions of Article 60-32, paragraph (4) of that Act; or

9.an order to discontinue business operations that are the same type of business operations as those referred to in 1 through 8 under laws and regulations of a foreign state equivalent to this Act, Agricultural Cooperatives Act, Fisheries Cooperative Act, Act on Financial Businesses by Cooperative, Shinkin Bank Act, Labor Bank Act, Norinchukin Bank Act, or Shoko Chukin Bank Limited Act;

(d)a person subject to a fine (including any equivalent sentence under laws and regulations of a foreign state) for violating the provisions of the Shoko Chukin Bank Limited Act or any other laws provided for by Cabinet Order, or for violating the provisions of laws and regulations of a foreign state equivalent to those laws, and for whom five years have not elapsed from the day on which the person became subject to that fine or ceased to be subject to its enforcement;

(a)a foreign corporation that has not designated its representative in Japan; and

(b)a corporation whose officers include a person falling under any of the following cases:

1.in cases where a corporation was subject to a disposition set forth in (b), 1 through 9 of the preceding item, a person who was an officer of the corporation within 30 days prior to the date of the disposition, and for whom five years have not elapsed from the date of the disposition;

2.in cases where a corporation was subject to an order set forth in (c), 1 through 9 of the preceding item, a person who was an officer of the corporation within 30 days prior to the date of the order, and for whom five years have not elapsed from the date of the order; or

3.a person that falls under any of sub-items (b) through (d) of the preceding item; or

(a)a person domiciled in a foreign state who has not designated their agent in Japan; or

(b)a person that falls under any of (b), 1 or 2 of the preceding item;

(a)if there is a designated dispute resolution organization for deposit, etc. intermediary business operations (meaning a designated dispute resolution organization for which the category of dispute resolution services is deposit, etc. intermediary business operations; hereinafter the same applies in this Article):measures to conclude a basic contract for the implementation of dispute resolution procedures related to deposit, etc. intermediary business operations with a designated dispute resolution organization for deposit, etc. intermediary business operations; or

(b)if there is no designated dispute resolution organization for deposit, etc. intermediary business operations:complaint processing measures (meaning measures to have the person set forth in Article 62, paragraph (3), item (iii) provide advice or guidance to the employee or any other workers engaging in the business of processing complaints from customers, etc. or any other measures specified by Cabinet Office Order as being equivalent thereto; hereinafter the same applies in this paragraph) and dispute resolution measures (meaning measures to resolve disputes with customers, etc. through certified dispute resolution procedures as defined in Article 2, item (iii) of the Act on Promotion of the Use of Alternative Dispute Resolution (Act No. 151 of 2004) or any other measure specified by Cabinet Office Order as being equivalent thereto; hereinafter the same applies in this paragraph), related to deposit, etc. intermediary business operations;

(a)if there is a designated dispute resolution organization for insurance intermediary business operations (meaning a designated dispute resolution organization for which the category of dispute resolution services is insurance intermediary business operations; hereinafter the same applies in this Article):measures to conclude a basic contract for the implementation of dispute resolution procedures in connection with insurance intermediary business operations with a designated dispute resolution organization for insurance intermediary business operations; or

(b)if there is no designated dispute resolution organization for insurance intermediary business operations:complaint processing measures and dispute resolution measures related to insurance intermediary business operations;

(a)if there is a designated dispute resolution organization for securities, etc. intermediary business operations (meaning a designated dispute resolution organization for which the category of dispute resolution services is securities, etc. intermediary business operations; hereinafter the same applies in this Article):measures to conclude a basic contract for the implementation of dispute resolution procedures in connection with securities, etc. intermediary business operations with a designated dispute resolution organization for securities, etc. intermediary business operations ; or

(b)if there is no designated dispute resolution organization for securities, etc. intermediary business operations:complaint processing measures and dispute resolution measures related to securities, etc. intermediary business operations;

(a)if there is a designated dispute resolution organization for loan intermediary business operations (meaning a designated dispute resolution organization for which the category of dispute resolution services is loan intermediary business operations; hereinafter the same applies in this Article):measures to conclude a basic contract for the implementation of dispute resolution procedures in connection with loan intermediary business operations with a designated dispute resolution organization for loan intermediary business operations; or

(b)if there is no designated dispute resolution organization for loan intermediary business operations:complaint processing measures and dispute resolution measures related to loan intermediary business operations.

(a)a person specified by Cabinet Office Order as being unable to appropriately perform duties related to dispute resolution services due to mental or physical disorder;

(b)a person that is subject to an order to commence bankruptcy proceedings and that has not been released from bankruptcy restrictions, or a person that is treated in the same manner under foreign laws and regulations;

(c)a person sentenced to imprisonment or a heavier sentence (including any equivalent punishment under foreign laws and regulations), and for whom five years have not elapsed from the day on which the person finished serving the sentence or ceased to be subject to the sentence;

(d)a person that, within one month prior to the date of the rescission, was an officer (including a person who is treated in the same manner under foreign laws and regulations; the same applies in (d)) of a corporation, for which a designation under this paragraph has been rescinded pursuant to the provisions of Article 73, paragraph (1) or an administrative disposition similar to that designation that has been received in a foreign state under the laws and regulations of the foreign state equivalent to this Act, has been rescinded, and for whom five years have not elapsed from the day of the rescission; or a person that, within one month prior to the date of the rescission, was an officer of a corporation, for which a designation pursuant to the provisions of other laws that is specified by Cabinet Order as being equivalent to dispute resolution services, has been rescinded, or an administrative disposition similar to that designation specified by Cabinet Order that has been received in a foreign state under the laws and regulations of the foreign state equivalent to those other laws, has been rescinded, and for whom five years have not elapsed from the day of the rescission; or

(e)a person subject to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of this Act or the Attorneys Act, or for violating the provisions of foreign laws and regulations equivalent to those of these laws, and for whom five years have not elapsed from the day on which the person finished serving the sentence or ceased to be subject to the sentence.

(a)acts set forth in Article 11, paragraph (4), items (i) through (iii); and

(b)the following acts:

1.the solicitation of offers for intermediation of purchase and sale; and

2.the solicitation of entrustment with market derivatives transactions or foreign market derivatives transactions;