商品先物取引法(昭和二十五年法律第二百三十九号)
Commodity Derivatives Transaction Act(Act No. 239 of 1950)
最終更新:令和元年法律第三十七号
Last Version: Act No. 37 of 2019
目次
履歴

  • 令和5年4月11日
    • 最終更新:令和元年法律第三十七号
    • 翻訳日:令和4年3月1日
    • 辞書バージョン:14.0
  • 平成30年9月27日
    • 最終更新:平成二十四年法律第八六号
    • 翻訳日:平成25年6月19日
    • 辞書バージョン:10.0
  • 平成26年11月27日
    • 最終更新:平成二十二年法律第三十二号
    • 翻訳日:平成22年12月1日
    • 辞書バージョン:4.0
  • 平成22年6月1日
    • 最終更新:平成十八年法律第六十五号
    • 翻訳日:平成21年8月18日
    • 辞書バージョン:3.0
  • 平成21年3月31日
    • 最終更新:平成十八年法律第五十号
    • 翻訳日:平成21年4月1日
    • 辞書バージョン:1.0

商品先物取引法
Commodity Derivatives Transaction Act
昭和二十五年八月五日法律第二百三十九号
Act No. 239 of August 5, 1950
第一章 総則 (第一条・第二条)
Chapter I General Provisions (Articles 1 and 2)
第二章 商品取引所
Chapter II Commodity Exchanges
第一節 総則 (第三条―第六条)
Section 1 General Provisions (Articles 3 through 6)
第二節 会員商品取引所
Section 2 Member Commodity Exchanges
第一款 設立 (第七条―第二十九条)
Subsection 1 Establishment (Articles 7 through 29)
第二款 会員 (第三十条―第四十五条)
Subsection 2 Members (Articles 30 through 45)
第三款 機関 (第四十六条―第六十三条)
Subsection 3 Organization (Articles 46 through 63)
第四款 計算 (第六十四条―第六十八条の三)
Subsection 4 Accounts (Articles 64 through 68-3)
第五款 解散及び清算 (第六十九条―第七十七条)
Subsection 5 Dissolution and Liquidation (Articles 69 through 77)
第三節 株式会社商品取引所
Section 3 Incorporated Commodity Exchanges
第一款 総則 (第七十八条―第九十六条)
Subsection 1 General Provisions (Articles 78 through 96)
第二款 自主規制委員会 (第九十六条の二―第九十六条の十八)
Subsection 2 Self-Regulatory Committees (Articles 96-2 through 96-18)
第三款 主要株主 (第九十六条の十九―第九十六条の二十四)
Subsection 3 Major Shareholders (Articles 96-19 through 96-24)
第四款 商品取引所持株会社 (第九十六条の二十五―第九十六条の四十三)
Subsection 4 Commodity Exchange Holding Companies (Articles 96-25 through 96-43)
第四節 商品市場における取引 (第九十七条―第百二十条)
Section 4 Transactions in Commodity Markets (Articles 97 through 120)
第五節 組織変更 (第百二十一条―第百三十八条)
Section 5 Entity Conversion (Articles 121 through 138)
第六節 合併
Section 6 Mergers
第一款 総則 (第百三十九条)
Subsection 1 General Provisions (Article 139)
第二款 会員商品取引所と会員商品取引所との合併 (第百四十条・第百四十一条)
Subsection 2 Mergers between Member Commodity Exchanges (Articles 140 and 141)
第三款 会員商品取引所と株式会社商品取引所との合併 (第百四十二条・第百四十三条)
Subsection 3 Mergers between Member Commodity Exchanges and Incorporated Commodity Exchanges (Articles 142 and 143)
第四款 会員商品取引所の合併の手続 (第百四十四条―第百四十四条の四)
Subsection 4 Merging Procedures for Member Commodity Exchanges (Articles 144 through 144-4)
第五款 株式会社商品取引所の合併の手続
Subsection 5 Merging Procedures for Incorporated Commodity Exchanges
第一目 吸収合併存続株式会社商品取引所の手続 (第百四十四条の五―第百四十四条の十二)
Division 1 Procedures for Incorporated Commodity Exchanges Surviving an Absorption-Type Merger (Articles 144-5 through 144-12)
第二目 新設合併消滅株式会社商品取引所の手続 (第百四十四条の十三―第百四十四条の十九)
Division 2 Procedures for Incorporated Commodity Exchanges Dissolved in a Consolidation-Type Merger (Articles 144-13 through 144-19)
第三目 新設合併設立株式会社商品取引所の手続 (第百四十四条の二十・第百四十四条の二十一)
Division 3 Procedures for Incorporated Commodity Exchanges Established by a Consolidation-Type Merger (Articles 144-20 and 144-21)
第六款 合併の効力の発生等 (第百四十五条―第百五十四条)
Subsection 6 Effectuation of Mergers (Article 145 through 154)
第七節 監督 (第百五十五条―第百六十条)
Section 7 Supervision (Articles 155 through 160)
第八節 雑則 (第百六十一条―第百六十六条)
Section 8 Miscellaneous Provisions (Articles 161 through 166)
第三章 商品取引清算機関等
Chapter III Commodity Clearing Organizations
第一節 商品取引清算機関 (第百六十七条―第百八十七条)
Section 1 Commodity Clearing Organizations (Articles 167 through 187)
第二節 雑則 (第百八十八条・第百八十九条)
Section 2 Miscellaneous Provisions (Articles 188 and 189)
第四章 商品先物取引業者
Chapter IV Commodity Derivatives Business Operator
第一節 許可等 (第百九十条―第百九十七条の二)
Section 1 Licensing (Articles 190 through 197-2)
第二節 特定委託者等 (第百九十七条の三―第百九十七条の十)
Section 2 Eligible Consignors (Articles 197-3 through 197-10)
第三節 業務 (第百九十八条―第二百二十四条)
Section 3 Services (Articles 198 through 224)
第四節 合併、分割及び事業の譲渡 (第二百二十五条―第二百三十条)
Section 4 Mergers, Splits, and Business Transfers (Articles 225 through 230)
第五節 監督 (第二百三十一条―第二百四十条)
Section 5 Supervision (Articles 231 through 240)
第四章の二 商品先物取引仲介業者
Chapter IV-2 Commodity Derivatives Intermediary Service Providers
第一節 総則 (第二百四十条の二―第二百四十条の八)
Section 1 General Provisions (Articles 240-2 through 240-8)
第二節 業務 (第二百四十条の九―第二百四十条の二十一)
Section 2 Services (Articles 240-9 through 240-21)
第三節 監督 (第二百四十条の二十二―第二百四十条の二十五)
Section 3 Supervision (Article 240-22 through 240-25)
第四節 雑則 (第二百四十条の二十六)
Section 4 Miscellaneous Provisions (Article 240-26)
第五章 商品先物取引協会
Chapter V Commodity Futures Association
第一節 総則 (第二百四十一条―第二百四十四条)
Section 1 General Provisions (Articles 241 through 244)
第二節 設立 (第二百四十五条―第二百五十条)
Section 2 Establishment (Articles 245 through 250)
第三節 協会員 (第二百五十一条―第二百五十三条)
Section 3 Association Members (Articles 251 through 253)
第四節 機関 (第二百五十四条―第二百五十八条)
Section 4 Organs (Articles 254 through 258)
第五節 紛争の解決 (第二百五十九条―第二百六十一条)
Section 5 Dispute Resolution (Articles 259 through 261)
第六節 解散 (第二百六十二条)
Section 6 Dissolution (Article 262)
第七節 監督 (第二百六十三条―第二百六十六条)
Section 7 Supervision (Articles 263 through 266)
第八節 雑則 (第二百六十七条・第二百六十八条)
Section 8 Miscellaneous Provisions (Articles 267 and 268)
第六章 委託者保護基金
Chapter VI Consignor Protection Funds
第一節 総則 (第二百六十九条―第二百七十四条)
Section 1 General Provisions (Articles 269 through 274)
第二節 会員 (第二百七十五条―第二百七十七条)
Section 2 Members (Articles 275 through 277)
第三節 設立 (第二百七十八条―第二百八十二条)
Section 3 Establishment (Articles 278 through 282)
第四節 管理 (第二百八十三条―第二百九十九条)
Section 4 Management (Articles 283 through 299)
第五節 業務 (第三百条―第三百十二条)
Section 5 Businesses (Articles 300 through 312)
第六節 負担金 (第三百十三条―第三百十五条)
Section 6 Dues (Articles 313 through 315)
第七節 財務及び会計 (第三百十六条―第三百二十一条)
Section 7 Finance and Accounting (Articles 316 through 321)
第八節 監督 (第三百二十二条―第三百二十四条)
Section 8 Supervision (Articles 322 through 324)
第九節 解散 (第三百二十五条―第三百二十七条)
Section 9 Dissolution (Articles 325 through 327)
第七章 雑則 (第三百二十八条―第三百五十五条)
Chapter VII Miscellaneous Provisions (Articles 328 through 355)
第八章 罰則 (第三百五十六条―第三百七十五条)
Chapter VIII Penal Provisions (Articles 356 through 375)
附 則
Supplementary Provisions
第一章 総則
Chapter I General Provisions
(目的)
(Purpose)
第一条この法律は、商品取引所の組織、商品市場における取引の管理等について定め、その健全な運営を確保するとともに、商品先物取引業を行う者の業務の適正な運営を確保すること等により、商品の価格の形成及び売買その他の取引並びに商品市場における取引等の受託等を公正にするとともに、商品の生産及び流通を円滑にし、もつて国民経済の健全な発展及び商品市場における取引等の受託等における委託者等の保護に資することを目的とする。
Article 1The purpose of this Act is to ensure fairness in commodity price formation, in the purchase and sale of and other transactions in commodities, and for persons consigned with transactions in commodity markets, etc., as well as to facilitate the production and distribution of commodities, by, inter alia, provide for the organization of commodity exchanges, the management of transactions in commodity markets, and other matters; and by ensuring their sound operation, as well as by ensuring that persons conducting commodity derivatives business do so appropriately, thereby contributing to the sound development of the national economy and to the protection of consigners, etc. in transactions in commodity markets, etc.
(定義)
(Definitions)
第二条この法律において「商品」とは、次に掲げるものをいう。
Article 2(1)The term "commodity" as used in this Act means the following things:
農産物、林産物、畜産物及び水産物並びにこれらを原料又は材料として製造し、又は加工した物品のうち、飲食物であるもの及び政令で定めるその他のもの
(i)agricultural products, forest products, livestock products, fishery products, and food and drink among goods manufactured or processed using these products as ingredients or materials, and other goods specified by Cabinet Order;
鉱業法(昭和二十五年法律第二百八十九号)第三条第一項に規定する鉱物その他政令で定める鉱物及びこれらを製錬し、又は精製することにより得られる物品
(ii)minerals as prescribed in Article 3, paragraph (1) of the Mining Act (Act No. 289 of 1950), other minerals specified by Cabinet Order, and goods obtained by smelting or refining these minerals;
前二号に掲げるもののほか、国民経済上重要な原料又は材料であつて、その価格の変動が著しいために先物取引に類似する取引の対象とされる蓋然性が高いもの(先物取引又は先物取引に類似する取引の対象とされているものを含む。)として政令で定める物品
(iii)beyond what is set forth in the preceding two items, goods which are specified by Cabinet Order as ingredients or materials that are important to the national economy and are highly likely to be the subject of transactions similar to futures transactions due to extreme fluctuation of their prices (including those that are already the subject of futures transactions or those similar to futures transactions); and
電力(一定の期間における一定の電力を単位とする取引の対象となる電力に限る。以下同じ。)
(iv)electric power (limited to electric power that is subject to transactions by unit of a certain amount of electric power during a fixed period of time; the same applies hereinafter).
この法律において「商品指数」とは、二以上の商品たる物品の価格の水準を総合的に表した数値、一の商品たる物品の価格と他の商品たる物品の価格の差に基づいて算出された数値その他の二以上の商品たる物品又は電力の価格に基づいて算出された数値をいう。
(2)The term "commodity index" as used in this Act means a numerical value that comprehensively expresses the price level of two or more goods that are commodities, a numerical value calculated based on the price difference between one type of goods that are commodities, and the price of another type of goods that are commodities, or a numerical value calculated otherwise based on the prices of two or more types of commodities that are goods or electric power.
この法律において「先物取引」とは、商品取引所の定める基準及び方法に従つて、商品市場において行われる次に掲げる取引をいう。
(3)The term "futures transaction" as used in this Act means one of the following transactions conducted in a commodity market in accordance with the standards and methods specified by a commodity exchange:
当事者が将来の一定の時期において商品及びその対価の授受を約する売買取引であつて、当該売買の目的物となつている商品の転売又は買戻しをしたときは差金の授受によつて決済することができる取引
(i)a purchase and sale transaction in which the parties promise to deliver and take delivery of a commodity and its value at a fixed time in the future, which the parties may settle by paying and receiving the difference in values if they sell or buy back the commodity that is the subject of the purchase and sale;
約定価格(当事者が商品についてあらかじめ約定する価格(一の商品の価格の水準を表す数値その他の一の商品の価格に基づいて算出される数値を含む。以下この号において同じ。)をいう。以下同じ。)と現実価格(将来の一定の時期における現実の当該商品の価格をいう。以下同じ。)の差に基づいて算出される金銭の授受を約する取引
(ii)a transaction in which the parties promise to pay and receive money calculated based on the difference between the contract price (meaning the price of a commodity for which the parties agree in advance (including a numerical value that expresses the price level of a single commodity or any other numerical value calculated based on the price of a single commodity; hereinafter the same applies in this item); the same applies hereinafter) and the actual price (meaning the actual price of the relevant commodity at a fixed time in the future; the same applies hereinafter);
当事者が商品指数についてあらかじめ約定する数値(以下「約定数値」という。)と将来の一定の時期における現実の当該商品指数の数値(以下「現実数値」という。)の差に基づいて算出される金銭の授受を約する取引
(iii)a transaction in which the parties promise to pay and receive money calculated based on the difference between the numerical value of a commodity index for which the parties agree in advance (hereinafter referred to as the "agreed figure") and the actual numerical value of the commodity index at a fixed time in the future (hereinafter referred to as the "actual figure");
当事者の一方の意思表示により当事者間において次に掲げる取引を成立させることができる権利(以下「オプション」という。)を相手方が当事者の一方に付与し、当事者の一方がこれに対して対価を支払うことを約する取引
(iv)a transaction in which the first party agrees to grant the second party the right to close one of the following transactions between them by a unilateral manifestation of the second party's intention alone (hereinafter referred to as an "option") and the second party agrees to pay the value of that option:
第一号に掲げる取引
(a)the transaction referred to in item (i);
第二号に掲げる取引(これに準ずる取引で商品取引所の定めるものを含む。)
(b)the transaction referred to in item (ii) (including equivalent transactions that are specified by a commodity exchange);
前号に掲げる取引(これに準ずる取引で商品取引所の定めるものを含む。)
(c)the transaction referred to in the preceding item (including equivalent transactions that are specified by a commodity exchange);
次号に掲げる取引(これに準ずる取引で商品取引所の定めるものを含む。)
(d)the transaction referred to in the following item (including equivalent transactions that are specified by a commodity exchange);
第六号に掲げる取引(これに準ずる取引で商品取引所の定めるものを含む。)
(e)the transaction referred to in item (vi) (including equivalent transactions that are specified by a commodity exchange).
当事者が数量を定めた商品について当事者の一方が相手方と取り決めた当該商品の価格の約定した期間における変化率に基づいて金銭を支払い、相手方が当事者の一方と取り決めた当該商品の価格の約定した期間における変化率に基づいて金銭を支払うことを相互に約する取引
(v)a transaction in which the parties mutually promise that, for a commodity whose volume they have set, the first party will pay money to the second based on the rate of change in the agreed price for that commodity during the period they have agreed to, and the second party will pay money to the first party based on the rate of change in the agreed price for that commodity during the period they have agreed to;
当事者が数量を定めた商品について当事者の一方が相手方と取り決めた当該商品に係る商品指数の約定した期間における変化率に基づいて金銭を支払い、相手方が当事者の一方と取り決めた当該商品指数の約定した期間における変化率に基づいて金銭を支払うことを相互に約する取引
(vi)a transaction in which the parties mutually promise that, for a commodity whose volume they have set, the first party will pay money to the second party based on the rate of change in the agreed-upon commodity index for that commodity during the period they have agreed to, and the second party will pay money to the first party based on the rate of change in that agreed-upon commodity index during the period they have agreed to;
前各号に掲げる取引に類似する取引であつて政令で定めるもの
(vii)a transaction which is similar to a transaction that is set forth in one of the preceding items and that is specified by Cabinet Order.
この法律において「商品取引所」とは、会員商品取引所及び株式会社商品取引所をいう。
(4)The term "commodity exchange" as used in this Act means a member commodity exchange or an incorporated commodity exchange.
この法律において「会員商品取引所」とは、商品又は商品指数について先物取引をするために必要な市場を開設することを主たる目的としてこの法律に基づいて設立された会員組織の社団をいう。
(5)The term "member commodity exchange" as used in this Act means a mutual association with a membership system that has been established based on this Act for the main purpose of opening the necessary markets for conducting futures transactions in commodities or commodity indices.
この法律において「株式会社商品取引所」とは、第七十八条の許可を受けて、商品又は商品指数について先物取引をするために必要な市場を開設する株式会社をいう。
(6)The term "incorporated commodity exchange" as used in this Act means a stock company that operates the necessary market for conducting futures transactions in commodities or commodity indices after obtaining the license referred to in Article 78.
この法律において「上場商品」とは、商品取引所が一の商品市場で取引すべきものとして定款又は業務規程で定める一若しくは二以上の商品たる物品又は電力であつて、第九条若しくは第七十八条の許可又は第百五十五条第一項若しくは第百五十六条第一項の認可に係るものをいう。
(7)The term "listed commodity" as used in this Act means one or two or more types of commodities that are goods or electric power specified by a commodities exchange in its articles of incorporation or operational rules as those required to be traded in a single commodity market, which are subject to the permission referred to in Article 9, the license referred to in Article 78, or the approval referred to in Article 155, paragraph (1) or Article 156, paragraph (1).
この法律において「上場商品指数」とは、商品取引所が一の商品市場でその商品指数に係る取引を行うべきものとして定款又は業務規程で定める一又は二以上の商品指数であつて、第九条若しくは第七十八条の許可又は第百五十五条第一項若しくは第百五十六条第一項の認可に係るものをいう。
(8)The term "listed commodity index" as used in this Act means one commodities index or two or more commodities indices specified by a commodities exchange in its articles of incorporation or operational rules as indices related to transactions which are required to be traded in a single commodity market, and are subject to the permission referred to in Article 9, the license referred to in Article 78, or the authorization referred to in Article 155, paragraph (1) or Article 156, paragraph (1).
この法律において「商品市場」とは、一種の上場商品又は上場商品指数ごとに、次の各号に掲げる区分に応じて当該各号に定める取引を行うために商品取引所が開設する市場をいう。
(9)The term "commodity market" as used in this Act means the market that a commodity exchange operates for each single kind of listed commodity or listed commodity index in order to carry out the transactions provided for in one of the following items in accordance with the category set forth in that item:
上場商品に係る商品市場 当該上場商品に係る第三項第一号に掲げる取引、同項第二号に掲げる取引若しくは同項第五号に掲げる取引又は同項第七号に掲げる取引のうちこれらの取引に類似するものとして政令で定めるもの
(i)the commodity market for a listed commodity: among transactions set forth in paragraph (3), item (i), transactions set forth in item (ii) of that paragraph or transactions set forth in item (v) of that paragraph, or the transactions set forth in item (vii) of that paragraph related to the listed commodity, transactions that are specified by Cabinet Order as being similar to those transactions;
上場商品指数に係る商品市場 当該上場商品指数に係る第三項第三号に掲げる取引若しくは同項第六号に掲げる取引又は同項第七号に掲げる取引のうちこれらの取引に類似するものとして政令で定めるもの
(ii)the commodity market for a listed commodity index: among transactions set forth in paragraph (3), item (iii), transactions set forth in item (vi) of that paragraph, or the transactions set forth in item (vii) of that paragraph related to the listed commodity index, transactions that are specified by Cabinet Order as being similar to those transactions;
10この法律において「商品市場における取引」には、前項各号に定める取引のほか、商品取引所が、定款又は業務規程で定めるところにより、商品市場において次の各号に掲げる区分に応じ当該各号に定める取引をすることとしたものを含むものとする。
(10)The term "transaction in a commodity market" as used in this Act includes, in addition to a transaction set forth in one of the items of the preceding paragraph, a transaction prescribed in one of the following items in accordance with the category set forth in that item, which a commodity exchange has decided to effect pursuant to the provisions of its articles of incorporation or operational rules:
上場商品に係る商品市場 次に掲げる取引
(i)the commodity market for a listed commodity: one of the following transactions:
その対象となる物品若しくは電力が当該上場商品であるか又はこれに含まれる商品指数に係る第三項第三号又は第六号に掲げる取引
(a)a transaction set forth in paragraph (3), item (iii) or (vi) related to a commodity index for which the goods or electric power subject to the commodity index constitute or include that listed commodity;
当該上場商品に係る第三項第四号イ、ロ又はニに掲げる取引に係る同号に掲げる取引
(b)a transaction set forth in paragraph (3), item (iv) related to a transaction set forth in (a), (b), or (d) of that item related to that listed commodity;
その対象となる物品若しくは電力が当該上場商品であるか又はこれに含まれる商品指数に係る第三項第四号ハ又はホに掲げる取引に係る同号に掲げる取引
(c)a transaction set forth in paragraph (3), item (iv) related to a transaction set forth in (c) or (e) of that item related to a commodity index for which the goods or electric power subject to the index constitute or include that listed commodity;
当該上場商品の売買取引(第三項第一号に掲げる取引に該当するものを除く。以下この号において同じ。)
(d)a purchase and sale transaction of that listed commodity (other than a transaction falling under the transaction set forth in paragraph (3), item (i); hereinafter the same applies in this item) ;
当事者の一方の意思表示により当事者間において当該上場商品の売買取引を成立させることができる権利(以下「実物オプション」という。)を相手方が当事者の一方に付与し、当事者の一方がこれに対して対価を支払うことを約する取引
(e)a transaction in which the first party agrees to grant the second party the right to close a purchase and sale transaction between them for that listed commodity by a unilateral manifestation of the second party's intention alone (hereinafter referred to as "spot option") and the second party agrees to pay the value of that spot option;
当該上場商品又はその対象となる物品若しくは電力が当該上場商品であるか若しくはこれに含まれる商品指数に係る次に掲げる取引
(f)one of the following transactions related to a commodity index for which the listed commodity or the goods or electric power subject to the index constitute or include that listed commodity:
(1)当事者が数量を定めた商品について当事者の一方が相手方と取り決めた商品の価格の約定した期間における変化率に基づいて金銭を支払い、相手方が当事者の一方と取り決めた当該商品以外の商品の価格の約定した期間における変化率に基づいて金銭を支払うことを相互に約する取引
1.a transaction in which the parties mutually promise that, for a commodity whose volume they have set, the first party will pay money to the second party based on the rate of change in the agreed price for a commodity during the period they have agreed to, and the second party will pay money to the first party based on the rate of change in the agreed price for a commodity other than that commodity during the period they have agreed to;
(2)当事者が数量を定めた商品について当事者の一方が相手方と取り決めた商品の価格の約定した期間における変化率に基づいて金銭を支払い、相手方が当事者の一方と取り決めた商品指数の約定した期間における変化率に基づいて金銭を支払うことを相互に約する取引
2.a transaction in which the parties mutually promise that, for a commodity whose volume they have set, the first party will pay money to the second party based on the rate of change in the agreed price for the commodity during the period they have agreed to, and the second party will pay money to the first party based on the rate of change in an agreed-upon commodity index during the period they have agreed to;
(3)当事者が数量を定めた商品について当事者の一方が相手方と取り決めた商品指数の約定した期間における変化率に基づいて金銭を支払い、相手方が当事者の一方と取り決めた商品指数の約定した期間における変化率に基づいて金銭を支払うことを相互に約する取引
3.a transaction in which the parties mutually promise that, for a commodity whose volume they have set, the first party will pay money to the second party based on the rate of change in an agreed-upon commodity index during the period they have agreed to, and the second party will pay money to the first party based on the rate of change in an agreed-upon commodity index during the period they have agreed to.
当事者の一方の意思表示により当事者間においてヘに掲げる取引を成立させることができる権利(以下「特定スワップオプション」という。)を相手方が当事者の一方に付与し、当事者の一方がこれに対して対価を支払うことを約する取引
(g)a transaction in which the first party agrees to grant the second party the right to close one of the transactions listed in (f) above between them by a unilateral manifestation of the second party's intention alone (hereinafter referred to as a "specified swap option") and the second party agrees to pay the value of that specified swap option;
イからトまでの取引に類似する取引であつて政令で定めるもの
(h)a transaction which is similar to one of the transactions referred to in (a) through (g) and which is specified by Cabinet Order.
上場商品指数に係る商品市場 当該上場商品指数に係る第三項第四号ハ又はホに掲げる取引に係る同号に掲げる取引その他これらの取引に類似する取引であつて政令で定めるもの
(ii)the commodity market for a listed commodity index: a transaction set forth in paragraph (3), item (iv) related to a transaction set forth in (c) or (e) of that item connected with that listed commodity index and any other transaction which is similar to those transactions and which is specified by Cabinet Order.
11この法律において「商品取引所持株会社」とは、株式会社商品取引所を子会社(第三条の二第三項に規定する子会社をいう。)とする株式会社であつて、第九十六条の二十五第一項の認可を受けて設立され、又は同項若しくは同条第三項ただし書の認可を受けているものをいう。
(11)The term "commodity exchange holding company" as used in this Act means a stock company whose subsidiary company (meaning a subsidiary company prescribed in Article 3-2, paragraph (3)) is an incorporated commodity exchange incorporated with the authorization referred to in in Article 96-25, paragraph (1) or that has obtained the authorization referred to in that paragraph or the proviso to paragraph (3) of that Article.
12この法律において「外国商品市場」とは、商品市場に類似する市場で外国に所在するものをいう。
(12)The term "foreign commodity market" as used in this Act means a market that is similar to a commodity market and that is located in a foreign country.
13この法律において「外国商品市場取引」とは、外国商品市場において行われる取引であつて、商品市場における取引に類似するものをいう。
(13)The term "foreign commodity market transaction" as used in this Act means a transaction that is conducted in a foreign commodity market and that is similar to a transaction in a commodity market.
14この法律において「店頭商品デリバティブ取引」とは、商品市場、外国商品市場及び取引所金融商品市場(金融商品取引法(昭和二十三年法律第二十五号)第二条第十七項に規定する取引所金融商品市場をいう。以下同じ。)によらないで行われる次に掲げる取引(第三百三十一条各号に掲げる施設における取引を除く。)をいう。
(14)The term "over-the-counter commodity derivatives transaction" as used in this Act means any of the following transactions carried out outside a commodity market, foreign commodity market, or a financial instruments exchange market (meaning a financial instruments exchange market as defined in Article 2, paragraph (17) of the Financial Instruments and Exchange Act (Act No. 25 of 1948); the same applies hereinafter) (excluding transactions conducted at the facilities set forth in each of the items of Article 331):
当事者が将来の一定の時期において商品及びその対価の授受を約する売買取引であつて、当該売買の目的物となつている商品の売戻し又は買戻しをしたときは差金の授受によつて決済することができる取引
(i)a purchase and sale transaction in which the parties promise to deliver and take delivery of a commodity and its value at a fixed time in the future, which the parties may settle by paying and receiving the difference in values if they sell or buy back the commodity that is the subject of the purchase and sale;
約定価格と現実価格の差に基づいて算出される金銭の授受を約する取引又はこれに類似する取引
(ii)a transaction in which the parties promise to pay and receive money calculated based on the difference between the contract price and the actual price, or a transaction similar to the transaction;
約定数値と現実数値の差に基づいて算出される金銭の授受を約する取引又はこれに類似する取引
(iii)a transaction in which the parties promise to pay and receive money calculated based on the difference between the agreed figure and the actual figure, or a transaction similar to the transaction;
当事者の一方の意思表示により当事者間において次に掲げる取引を成立させることができる権利を相手方が当事者の一方に付与し、当事者の一方がこれに対して対価を支払うことを約する取引又はこれに類似する取引
(iv)a transaction in which the first party agrees to grant the second party the right to close one of the following transactions between them by a unilateral manifestation of the second party's intention alone, and the second party agrees to pay the value of the transaction; or a transaction similar to the transaction:
第一号に掲げる取引
(a)the transaction set forth in item (i);
第二号に掲げる取引
(b)the transaction set forth in item (ii);
前号に掲げる取引
(c)the transaction set forth in the preceding item;
第六号に掲げる取引
(d)the transaction set forth in item (vi).
当事者の一方の意思表示により当事者間において当該意思表示を行う場合の商品の価格としてあらかじめ約定する価格(一の商品の価格の水準を表す数値その他の一の商品の価格に基づいて算出される数値を含む。以下この号において同じ。)若しくは商品指数としてあらかじめ約定する数値と現に当該意思表示を行つた時期における現実の当該商品の価格若しくは当該商品指数の数値の差に基づいて算出される金銭を授受することとなる取引を成立させることができる権利を相手方が当事者の一方に付与し、当事者の一方がこれに対して対価を支払うことを約する取引又はこれに類似する取引
(v)a transaction in which the first party agrees to grant the second party the right, by a unilateral manifestation of the second party's intention alone, to effect a transaction in which the parties pay and receive money calculated based on the difference between the price they have agreed upon in advance as the price for a commodity in the event that the party manifests the intention to close the transaction (including a numerical value that expresses the price level of the commodity or any other numerical value calculated based on the price of the commodity; hereinafter the same applies in this item), or the numerical value they have agreed upon in advance as that for the commodity index in the event that the party manifests that intention, and the current price of that commodity or numerical value of that commodity index at the time that the party actually manifests that intention, and the second party agrees to pay the value of the transaction; or a transaction similar to the transaction;
当事者が数量を定めた商品について当事者の一方が相手方と取り決めた商品の価格若しくは商品指数の約定した期間における変化率に基づいて金銭を支払い、相手方が当事者の一方と取り決めた商品の価格若しくは商品指数の約定した期間における変化率に基づいて金銭を支払うことを相互に約する取引又はこれに類似する取引
(vi)a transaction in which the parties mutually promise that, for a commodity whose volume they have set, the first party will pay money to the second party based on the rate of change in the agreed price or commodity index for a commodity during the period they have agreed to, and the second party will pay money to the first party based on the rate of change in the agreed price or commodity index for a commodity during the period they have agreed to; or a transaction similar to the transaction;
前各号に掲げるもののほか、これらと同様の経済的性質を有する取引であつて、公益又は取引の当事者の保護を確保することが必要と認められるものとして政令で定めるもの
(vii)beyond what is set forth in the preceding items, a transaction which has a similar economic nature as those transactions and which is specified by Cabinet Order as a transaction for which it is found necessary to ensure the public interest or the protection of the parties to the transaction.
15この法律において「商品デリバティブ取引」とは、商品市場における取引、外国商品市場取引及び店頭商品デリバティブ取引(その内容等を勘案し、取引の当事者の保護に欠けるおそれがないものとして政令で定める店頭商品デリバティブ取引及び店頭商品デリバティブ取引について高度の能力を有する者として主務省令で定める者若しくは資本金の額が主務省令で定める金額以上の株式会社を相手方として行われ、又はこれらの者のために行われる店頭商品デリバティブ取引(第三百四十九条第一項において「対象外店頭商品デリバティブ取引」という。)を除く。)をいう。
(15)The term "commodity derivatives transaction" as used in this Act means a transaction in a commodity market, a foreign commodity market transaction, or an over-the-counter commodity derivatives transaction (other than an over-the-counter commodity derivatives transaction specified by Cabinet Order as one that, in consideration of its content and other factors, is found unlikely to result in insufficient protection of the parties to the transaction, and an over-the-counter commodity derivatives transaction conducted with or on behalf of a party specified by order of the competent ministry as being highly skilled in those transactions or with a stock company whose amount of stated capital is at least the amount specified by order of the competent ministry (such an excluded transaction is referred to as an "excluded over-the-counter commodity derivatives transaction" in Article 349, paragraph (1))).
16この法律において「取引参加者」とは、第八十二条第一項の規定により与えられた取引資格に基づき、株式会社商品取引所の開設する商品市場における取引に参加できる者をいう。
(16)The term "trading participant" as used in this Act means a person who may participate in transactions in a commodity market that is operated by an incorporated commodity exchange, based on the trading qualification granted pursuant to the provisions of Article 82, paragraph (1).
17この法律において「商品取引債務引受業」とは、商品市場における取引に基づく債務の引受けを行う営業をいう。
(17)The term "business of assuming commodity transaction debts" as used in this Act means the business of assuming the liabilities arising from transactions in a commodity market.
18この法律において「商品取引清算機関」とは、商品取引債務引受業を営むことについて第百六十七条又は第百七十三条第一項の規定により主務大臣の許可又は承認を受けた者をいう。
(18)The term "commodity clearing organization" as used in this Act means a person that has been licensed by or has obtained the approval of the competent minister pursuant to the provisions of Article 167 or Article 173, paragraph (1) to engage in the business of assuming commodity transaction debts.
19この法律において「清算参加者」とは、第百七十四条第一項の規定により与えられた資格に基づき、商品取引清算機関の行う商品取引債務引受業の相手方となる者をいう。
(19)The term "clearing participant" as used in this Act means a person that becomes the other party to the business of assuming commodity transaction debts conducted by a commodity clearing organization, based on the qualification granted pursuant to the provisions of Article 174, paragraph (1).
20この法律において「商品清算取引」とは、清算参加者が商品取引清算機関の業務方法書の定めるところにより商品取引所の会員又は取引参加者(以下「会員等」という。)の委託を受けて行う商品市場における取引であつて、当該取引に基づく債務を当該商品取引清算機関に引き受けさせること及び当該会員等が当該清算参加者を代理して当該取引を成立させることを条件とするものをいう。
(20)The term "commodity clearing transaction" as used in this Act means a transaction in a commodity market that a clearing participant conducts, which has been entrusted to do so by the member or trading participant (hereinafter referred to as a "member, etc.") of a commodity exchange, pursuant to the provisions of the operational method statement of a commodity clearing organization, on the condition that the commodity clearing organization will be made to assume the liabilities arising from the transaction and that the member, etc. will be made to close the transaction on behalf of the clearing participant.
21この法律において「商品市場における取引等」とは、次に掲げる行為をいう。
(21)The term "transaction in a commodity market, etc." as used in this Act means one of the following acts:
商品市場における取引
(i)a transaction in a commodity market;
前号に掲げる行為の委託の媒介、取次ぎ又は代理
(ii)acting as the intermediary, broker, or agent for the consignment of the act set forth in the preceding item;
商品清算取引の委託の取次ぎ
(iii)acting as a broker in consigning a person with a commodity clearing transaction; or
前号に掲げる行為の委託の媒介、取次ぎ又は代理
(iv)acting as the intermediary, broker, or agent for the consignment of the act set forth in the preceding item.
22この法律において「商品先物取引業」とは、次に掲げる行為(その内容等を勘案し、委託者又は店頭商品デリバティブ取引の相手方(以下「委託者等」という。)の保護に欠けるおそれがないものとして政令で定めるもの及び第十五項の主務省令で定める者若しくは資本金の額が同項の主務省令で定める金額以上の株式会社を相手方として店頭商品デリバティブ取引を行い、又はこれらの者のために店頭商品デリバティブ取引の媒介、取次ぎ若しくは代理を行う行為を除く。)のいずれかを業として行うことをいう。
(22)The term "commodity derivatives business" as used in this Act means the business of engaging in one of the following acts in the course of trade (other than an act specified by Cabinet Order as one that, in consideration of its content and other factors, is found unlikely to result in insufficient protection of the consignor or the counterparty to an over-the-counter commodity derivatives transaction (hereinafter referred to as the "consignor, etc."); other than an act of conducting an over-the-counter commodity derivatives transaction with the party specified by order of the competent ministry which is referred to in paragraph (15) or with a stock company whose amount of stated capital is at least the amount specified by order of the competent ministry which is referred to in that paragraph; and other than acting as the intermediary, broker, or agent for those persons in an over-the-counter commodity derivatives transaction):
商品市場における取引(商品清算取引を除く。)の委託を受け、又はその委託の媒介、取次ぎ若しくは代理を行う行為
(i)accepting consignment of a transaction in a commodity market (other than a commodity clearing transaction) or acting as the intermediary, broker, or agent for consignment of such a transaction;
商品清算取引の委託の取次ぎの委託を受け、又はその委託の媒介、取次ぎ若しくは代理を行う行為
(ii)accepting consignment of intermediation of consignment of a commodity clearing transaction or acting as the intermediary, broker, or agent for consignment of the transaction;
外国商品市場取引(商品清算取引に類似する取引を除く。)の委託を受け、又はその委託の媒介、取次ぎ若しくは代理を行う行為
(iii)accepting consignment of a foreign commodity market transaction (other than a transaction that is similar to a commodity clearing transaction) or acting as the intermediary, broker, or agent for consignment of the transaction;
外国商品市場取引のうち、商品清算取引に類似する取引の委託の取次ぎの委託を受け、又はその委託の媒介、取次ぎ若しくは代理を行う行為
(iv)among the foreign commodity market transactions, accepting consignment of brokerage of consignment of a transaction that is similar to a commodity clearing transaction, or acting as the intermediary, broker, or agent for consignment of such a transaction
店頭商品デリバティブ取引又はその媒介、取次ぎ若しくは代理を行う行為
(v)conducting an over-the-counter commodity derivatives transaction or acting as the intermediary, broker, or agent for the transaction.
23この法律において「商品先物取引業者」とは、商品先物取引業を行うことについて第百九十条第一項の規定により主務大臣の許可を受けた者をいう。
(23)The term "commodity derivatives business operator" as used in this Act means a person licensed by the competent minister pursuant to the provisions of Article 190, paragraph (1) to conduct commodity derivatives business.
24この法律において「商品取引契約」とは、商品先物取引業者が顧客を相手方とし、又は顧客のために第二十二項各号に掲げる行為を行うことを内容とする契約をいう。
(24)The term "commodity transaction contract" as used in this Act means a contract for a commodity derivatives business operator to perform an act set forth in one of the items of paragraph (22) with or on behalf of a customer.
25この法律において「特定委託者」とは、次に掲げる者をいう。
(25)The term "eligible consignor" as used in this Act means the following persons:
商品先物取引業者
(i)a commodity derivatives business operator;
商品投資に係る事業の規制に関する法律(平成三年法律第六十六号)第二条第四項に規定する商品投資顧問業者(以下「商品投資顧問業者」という。)
(ii)a commodities investment advisor as prescribed in Article 2, paragraph (4) of the Act Regulating the Commodity Investment Business (Act No. 66 of 1991) (hereinafter referred to as a "commodities investment advisor");
商品デリバティブ取引に係る専門的知識及び経験を有する者として主務省令で定める者
(iii)a person specified by order of the competent ministry as having expert knowledge of and experience with commodity derivatives transactions;
(iv)the State
日本銀行
(v)the Bank of Japan;
商品取引所の会員等
(vi)members, etc. of a commodity exchange;
商品取引所に相当する外国の施設の会員等
(vii)members, etc. of a facility equivalent to a commodity exchange in a foreign state;
前各号に掲げるもののほか、第六章に規定する委託者保護基金その他の主務省令で定める法人
(viii)a consignor protection fund as prescribed in Chapter VI and any other corporation specified by order of the competent ministry, other than one as set forth in the preceding items;
26この法律において「特定当業者」とは、商品先物取引業者が行う商品取引契約の締結の勧誘の相手方、商品先物取引業者に商品取引契約の申込みをする者又は商品先物取引業者と商品取引契約を締結する者であつて、当該商品取引契約に基づく商品デリバティブ取引に係る取引対象商品の全てについて当該取引対象商品である物品若しくはこれに関連する物品として主務省令で定めるものの売買、売買の媒介、取次ぎ若しくは代理、生産、加工若しくは使用又は当該取引対象商品である電力の売買若しくは売買の媒介、取次ぎ若しくは代理その他主務省令で定める行為を業として行つているもののうち、主務省令で定める要件に該当する法人(特定委託者に該当する法人を除く。)をいう。
(26)The term "eligible commercial person" as used in this Act means a person who is either the other party to a commodity transaction contract whose conclusion is solicited by a commodity derivatives business operator, a person filing an application to conclude a commodity transaction contract with a commodity derivatives business operator, or a person who concludes a commodity transaction contract with a commodity derivatives business operator and who in the course of trade engages in the purchase and sale of goods that are commodities underlying the commodity derivatives transaction conducted under the commodity transaction contract or goods specified by order of the competent ministry as being related to the transaction, acts as a mediator, intermediary or agent for the purchase and sale in the course of trade, or in the course of trade engages in the production, the processing or the use of those goods, or a person who in the course of trade engages in the purchase and sale of electric power that is a commodity underlying the transaction, acts as a mediator, intermediary or agent for the purchase and sale of electric power, or conducts other acts specified by order of the competent ministry in the course of trade, provided that person is a corporation satisfying the requirements specified by order of the competent ministry (excluding corporations that are eligible consignors).
27この法律において「取引対象商品」とは、商品市場における取引、外国商品市場取引若しくは店頭商品デリバティブ取引の対象となる商品又はこれらの取引の対象となる商品指数の対象となる商品をいう。
(27)The term "underlying commodity" as used in this Act means the commodity subject to transaction in a commodity market, foreign commodity market transaction, or over-the-counter commodity derivatives transaction, or a commodity underlyng the commodity index subject to those transactions.
28この法律において「商品先物取引仲介業」とは、商品先物取引業者の委託を受けて、当該商品先物取引業者のために第二十二項各号に規定する媒介のいずれかを業として行うことをいう。
(28)The term "commodity derivatives intermediation services" as used in this Act means accepting consignment by a commodity derivatives business operator to act as the intermediary prescribed in one of the items of paragraph (22) on behalf of that commodity derivatives business operator, in the course of trade.
29この法律において「商品先物取引仲介業者」とは、第二百四十条の二第一項の規定により主務大臣の登録を受けた者をいう。
(29)The term "commodity derivatives intermediary service provider" as used in this Act means a person that has obtained the registration of the competent minister pursuant to the provisions of Article 240-2, paragraph (1).
第二章 商品取引所
Chapter II Commodity Exchanges
第一節 総則
Section 1 General Provisions
(業務の範囲)
(Scope of Business)
第三条商品取引所は、商品又は商品指数について先物取引をするために必要な市場の開設の業務(以下「商品市場開設業務」という。)及び上場商品の品質の鑑定、刊行物の発行その他これに附帯する業務以外の業務を行つてはならない。ただし、主務省令で定めるところにより、主務大臣の認可を受けた場合は、商品市場開設業務に関連する業務及びこれに附帯する業務、算定割当量(地球温暖化対策の推進に関する法律(平成十年法律第百十七号)第二条第六項に規定する算定割当量をいう。以下同じ。)に係る取引を行う市場の開設の業務及びこれに附帯する業務、金融商品市場(金融商品取引法第二条第十四項に規定する金融商品市場をいう。以下同じ。)の開設の業務及びこれに附帯する業務(株式会社商品取引所が行う場合に限る。)又は金融商品債務引受業等(同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。以下同じ。)及びこれに附帯する業務を行うことができる。
Article 3(1)A commodity exchange must not conduct business other than the business of opening the necessary markets for effecting futures transactions for a commodity or commodity index (hereinafter referred to as the "business of opening a commodity market"), appraising the quality of listed commodities, issuing publications, and business incidental thereto; provided, however, that a commodity exchange that obtains the authorization of the competent minister pursuant to order of the competent ministry may engage in business that is connected with the opening a commodity market and business incidental thereto; the business of opening a market for trading carbon dioxide equivalent quotas (meaning carbon dioxide equivalent quotas as prescribed in Article 2, paragraph (6) of the Act on Promotion of Global Warming Countermeasures (Act No. 117 of 1998); the same applies hereinafter) and business incidental thereto; the business of opening a financial instruments market (meaning a financial instruments market as prescribed in Article 2, paragraph (14) of the financial instruments and exchange Act; hereinafter the same applies) and business incidental thereto (limited to cases in which the business is conducted by an incorporated commodity exchange); or perform financial instruments debt assumption services, etc. (meaning financial instruments obligation assumption services, etc. as prescribed in Article 156-3, paragraph (1), item (vi) of that Act; the same applies hereinafter) and business incidental thereto.
主務大臣は、前項ただし書の認可に条件を付することができる。
(2)The competent minister may attach conditions to the authorization referred to in the proviso to the preceding paragraph.
前項の条件は、公益若しくは取引の公正の確保のため又は委託者の保護のため必要な最小限度のものでなければならない。
(3)The conditions referred to in the preceding paragraph must be the minimum necessary to ensure the public interest or the fairness of transactions, or for protecting the consignors.
主務大臣は、第一項ただし書の認可の申請があつた場合において、当該申請に係る業務を行うことにより、商品取引所の業務の公共性に対する信頼を損なうおそれ又は商品市場開設業務及びこれに附帯する業務の健全かつ適切な運営を損なうおそれがあると認めるときは、当該認可をしてはならない。
(4)If an application is filed for the authorization referred to in the proviso to paragraph (1) and the competent minister finds that the applicant's engagement in the business which the application concerns is likely to impair confidence in the public nature of the business of the commodity exchange or to obstruct the sound and proper administration of the business of opening a commodity market or business incidental thereto, the minister must not grant the authorization.
(子会社の範囲)
(Scope of Subsidiary Companies)
第三条の二商品取引所は、商品市場開設業務及びこれに附帯する業務を行う会社以外の会社を子会社としてはならない。ただし、主務省令で定めるところにより、主務大臣の認可を受けた場合は、商品市場開設業務に関連する業務及びこれに附帯する業務を行う会社、算定割当量に係る取引を行う市場の開設の業務及びこれに附帯する業務を行う会社、取引所金融商品市場の開設の業務及びこれに附帯する業務を行う会社又は取引所金融商品市場の開設に関連する業務及びこれに附帯する業務を行う会社を子会社とすることができる。
Article 3-2(1)A commodity exchange must not have a company other than one engaging in the business of opening a commodity market or business incidental thereto as its subsidiary company; provided, however, that a commodity exchange that has obtained the authorization of the competent minister pursuant to order of the competent ministry may have as its subsidiary company a company engaging in business that is connected with the business of opening a commodity market and business incidental thereto; a company engaging in the business of opening markets for trading carbon dioxide equivalent quotas and business incidental thereto; a company engaging in the business of opening financial instruments exchange markets and business incidental thereto; or a company engaging in business that is connected with the opening of a financial instruments exchange market and business incidental thereto.
前条第二項から第四項までの規定は、前項ただし書の認可について準用する。この場合において、同条第四項中「業務を行う」とあるのは「会社を子会社とする」と、「商品市場開設業務」とあるのは「商品取引所の商品市場開設業務」と読み替えるものとする。
(2)The provisions of paragraphs (2) through (4) of the preceding Article apply mutatis mutandis to the authorization referred to in the proviso to the preceding paragraph. In such a case, in paragraph (4) of that Article, the phrase "the business which the application concerns" is deemed to be replaced with "the subsidiary company which the application concerns" and the term "business of opening a commodity market" is deemed to be replaced with "the commodity exchange's opening of a commodity market".
前二項の「子会社」とは、法人がその総株主又は総社員の議決権(株式会社にあつては、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。以下この項及び第百九十六条第二項において同じ。)の過半数を保有する会社をいう。この場合において、法人及びその一若しくは二以上の子会社又は法人の一若しくは二以上の子会社がその総株主又は総社員の議決権の過半数を保有する会社は、当該法人の子会社とみなす。
(3)The term "subsidiary company" as used in the preceding two paragraphs means a company in which a corporation holds the majority of all shareholders' or all members' voting rights (for a stock company, this excludes voting rights of shares that may not be exercised for all matters that are subject of resolution at a shareholders meeting, and includes voting rights of shares that are deemed to have voting rights pursuant to the provisions of Article 879, paragraph (3) of the Companies Act (Act No. 86 of 2005); hereinafter the same applies in this paragraph and in Article 196, paragraph (2)). In such a case, a company in which a corporation and one or more of its subsidiary companies hold the majority of all shareholders' or members' voting rights, or in which one or more of a corporation's subsidiary companies hold the majority of all shareholders' or members' voting rights, is deemed to be the subsidiary company of that corporation.
(名称又は商号)
(Name or Trade Name)
第四条商品取引所は、その名称又は商号中に「取引所」という文字を用いなければならない。
Article 4(1)Commodity exchanges must use the characters "取引所" (pronounced "torihikijo", meaning "exchange") in its name or trade name.
商品取引所でない者は、その名称又は商号中に商品取引所であると誤認されるおそれのある文字を用いてはならない。
(2)A person that is not a commodity exchange must not use a word in its name or trade name which could give rise to the misconception that it is a commodity exchange.
(市場の開設の制限)
(Restriction on the Opening of Markets)
第五条商品取引所は、定款(株式会社商品取引所にあつては、定款又は業務規程。以下この項及び第百五条において同じ。)で定める商品市場以外の市場(定款で定める開設期限を経過し、又は第十一条第四項若しくは第百二条第三項に規定する範囲変更期間が終了した商品市場を含む。)を開設してはならない。
Article 5(1)Commodity exchanges must not open a market (including a commodity market for which its expiration date specified in the articles of incorporation has passed, or for which the term for a change of scope as prescribed in Article 11, paragraph (4), or Article 102, paragraph (3) has ended) other than the commodity markets prescribed by the articles of incorporation (in the case of an incorporated commodity market, the articles of incorporation or operational rules; hereinafter the same applies in this paragraph and Article 105).
商品取引所は、一種の上場商品又は上場商品指数について二以上の商品市場を開設してはならない。
(2)Commodity exchanges must not open two or more commodity markets for a single kind of listed commodity or listed commodity index.
(自主規制業務)
(Self-Regulatory Services)
第五条の二商品取引所は、この法律及び定款その他の規則に従い、商品市場における取引を公正にし、及び委託者を保護するため、自主規制業務を適切に行わなければならない。
Article 5-2(1)Commodity exchanges must perform self-regulatory services in an appropriate manner, in accordance with this Act and its articles of incorporation and other rules, in order to ensure the fairness of transactions in the commodity market, as well as to protect consignors.
前項の「自主規制業務」とは、商品市場について行う次に掲げる業務をいう。
(2)The term "self-regulatory services" as used in the preceding paragraph means the following services conducted in respect of a commodity market:
会員等のこの法律、この法律に基づく命令若しくはこの法律に基づいてする主務大臣の処分(第九十六条の二十二、第九十六条の三十四、第九十六条の四十、第百五十九条、第百六十条及び第百六十五条において「この法律等」という。)若しくは当該商品取引所の定款、業務規程、受託契約準則、紛争処理規程その他の規則又は取引の信義則の遵守の状況の調査
(i)the investigation of members', etc. compliance with this Act, orders based on this Act, or dispositions made by the competent minister based on this Act (hereinafter referred to as "this Act, etc." in Article 96-22, Article 96-34, Article 96-40, Article 159, Article 160, and Article 165), with the articles of incorporation, operational rules, entrustment contract regulations, dispute resolution rules, and other rules of the commodity exchange, and with the principle of good faith in transactions;
会員等に対する除名の処分その他の措置に関する業務
(ii)business related to expulsion and other dispositions against members, etc.; and
その他商品市場における取引の公正を確保し、及び委託者を保護するために必要な業務として主務省令で定めるもの
(iii)other business specified by order of the competent ministry as necessary for ensuring the fairness of transactions in a commodity market and protecting consignors.
(商品市場類似施設の開設の禁止)
(Prohibition of Establishing Facilities Similar to Commodity Markets)
第六条何人も、商品又は商品指数(これに類似する指数を含む。)について先物取引に類似する取引をするための施設(取引所金融商品市場を除く。)を開設してはならない。
Article 6(1)It is prohibited for any person to establish a facility (excluding a financial instruments exchange market) in which transactions that are similar to futures transactions in commodities or commodity indices are conducted (including indices similar to commodity indices).
何人も、前項の施設において先物取引に類似する取引をしてはならない。
(2)It is prohibited for any person to conduct transactions that are similar to futures transactions in a facility referred to in in the preceding paragraph.
第二節 会員商品取引所
Section 2 Member Commodity Exchanges
第一款 設立
Subsection 1 Establishment
(法人格)
(Legal Personality)
第七条会員商品取引所は、法人とする。
Article 7(1)A member commodity exchange is to be a corporation.
会員商品取引所は、営利の目的をもつて業務を行つてはならない。
(2)Member commodity exchanges must not conduct business for profit.
(住所)
(Address)
第八条会員商品取引所の住所は、その主たる事務所の所在地にあるものとする。
Article 8The address of a member commodity exchange is the address at which its principal office is located.
(設立の許可)
(Permission for Establishment)
第九条会員商品取引所を設立しようとする者は、主務大臣の許可を受けなければならない。
Article 9A person seeking to establish a member commodity exchange must obtain the permission of the competent minister to do so.
(設立要件)
(Requirements for Establishment)
第十条会員商品取引所を設立するには、開設する商品市場ごとに会員になろうとする二十人以上の者が発起人とならなければならない。
Article 10(1)In order to establish a member commodity exchange, 20 or more persons that seek to become its members must become the founders for each commodity market to be established.
発起人については、次の各号に掲げる商品市場の区分に応じ、当該各号に定める者が、それぞれ、一の商品市場における発起人の過半数を占めなければならない。
(2)With regard to the founders, the persons prescribed in each of the following items in accordance with the category of commodity market set forth in that item must constitute the majority of the founders of a single commodity market:
上場商品に係る商品市場 一年以上継続して当該上場商品に含まれる物品又は電力(以下「上場商品構成品」という。)の売買、売買の媒介、取次ぎ若しくは代理、生産、加工又は使用(電力にあつては、その売買又は売買の媒介、取次ぎ若しくは代理その他主務省令で定める行為。以下「売買等」という。)を業として行つている者
(i)a commodity market for a listed commodity: persons who have, in the course of trade, engaged in the purchase and sale of the goods or electric power included in the listed commodity (hereinafter referred to as "component products of listed commodities"), acted as an intermediary, broker, or agent for the purchase and sale, or in the course of trade, engaged in the production, the processing or the use of component products of listed commodities (in the case of electric power, engaged in the purchase or sale, acted as an, intermediary, broker, or agent for the purchase and sale, or conducted other acts specified by order of the competent ministry; hereinafter, these acts are referred to as the "purchase and sale, etc.") for one year or more on a continuous basis;
上場商品指数に係る商品市場 一年以上継続して当該上場商品指数に係る商品指数の対象となる物品又は電力(以下「上場商品指数対象品」という。)の売買等を業として行つている者
(ii)the commodity market for a listed commodity index: persons who have, in the course of trade, engaged in the purchase and sale, etc. of the goods or electric power subject to the commodity index regarding the listed commodity index (hereinafter referred to as the "products underlying the listed commodity index") for one year or more on a continuous basis.
(定款)
(Articles of Incorporation)
第十一条発起人は、会員商品取引所の定款を作成し、定款が書面をもつて作成されているときは、これに署名し、又は記名押印しなければならない。
Article 11(1)The founders must prepare the articles of incorporation of the member commodity exchange, and if the articles of incorporation are prepared in the form of a document, the founders must sign the document or have their names and seals affixed to the document.
前項の定款には、次に掲げる事項を記載し、又は記録しなければならない。
(2)The following particulars must be stated or recorded in the articles of incorporation referred to in the preceding paragraph:
事業
(i)description of the business;
名称
(ii)the name;
事務所の所在地
(iii)the office address;
会員たる資格に関する事項
(iv)the particulars concerning membership qualification;
出資一口の金額並びにその払込みの時期及び方法
(v)the amount of one unit of contribution and the timing and method of its payment;
会員の加入及び脱退に関する事項
(vi)the particulars concerning joining and withdrawing as a member;
信認金及び取引証拠金に関する事項
(vii)the particulars concerning the guarantee funds and clearing margins;
会員の経費の分担に関する事項
(viii)the particulars concerning the sharing of costs among members;
会員に対する監査及び制裁に関する事項
(ix)the particulars concerning audits of and sanctions against members;
役員の定数、任期及び選任に関する事項
(x)the particulars concerning the fixed number of officers and their term of office and appointment;
十一会員総会に関する事項
(xi)the particulars concerning general meetings of members;
十二商品市場外における会員間の契約に対する定款、業務規程、受託契約準則及び紛争処理規程の拘束力に関する事項
(xii)the particulars concerning the binding effect that the articles of incorporation, operational rules, entrustment contract regulations, and dispute resolution rules have on contracts between members concluded outside the commodity market;
十三商品市場に関する次に掲げる事項
(xiii)the following particulars concerning the commodity market:
上場商品又は上場商品指数
(a)the listed commodity or listed commodity index;
上場商品又は上場商品指数ごとの取引の種類
(b)the types of transaction for each listed commodity or listed commodity index;
取引の決済の方法
(c)the settlement method for transactions.
十四事業年度
(xiv)the business year;
十五剰余金の処分及び損失の処理に関する事項
(xv)the particulars concerning the appropriation of surplus and disposal of losses;
十六公告方法(会員商品取引所が公告(この法律又は他の法律の規定により官報に掲載する方法によりしなければならないものとされているものを除く。)をする方法をいう。以下同じ。)
(xvi)the means of public notice (meaning the means by which the member commodity exchange issues public notice (other than public notice that must be issued through publication in the Official Gazette pursuant to the provisions of this Act or other laws); the same applies hereinafter).
会員商品取引所の負担に帰すべき設立費用又は発起人が受けるべき報酬の額は、定款に記載し、又は記録しなければ、その効力を生じない。
(3)The amount of costs of establishment to be borne by the member commodity exchange and the remuneration that the founders are to receive does not come into effect unless it is stated or recorded in the articles of incorporation.
会員商品取引所の定款には、第二項各号に掲げる事項のほか、会員商品取引所の存続期間、商品市場の開設期限又は範囲変更期間(商品市場(第百五十五条第三項第二号に規定する期限付商品市場を除く。)における上場商品又は上場商品指数の範囲の変更(廃止又は範囲の縮小を除く。同条において同じ。)が行われる期間をいう。以下この項及び同条において同じ。)を定めたときは、その存続期間、開設期限又は範囲変更期間を記載し、又は記録するものとする。
(4)If the term of existence of the member commodity exchange, the expiration date of the commodity market, or the term for a change of scope of the commodity market (meaning the term during which the scope of a listed commodity or a listed commodity index of a commodity market (excluding a fixed-term commodity market prescribed in Article 155, paragraph (3), item (ii)) can be changed (other than a discontinuation or narrowing of the scope; hereinafter the same applies in Article 155); hereinafter the same applies in this paragraph and Article 155) has been decided in addition to the particulars set forth in the items of paragraph (2), the term of existence, expiration date, or term for a change of scope is to be stated or recorded in the articles of incorporation of the member commodity exchange.
第一項の定款は、電磁的記録(電子的方式、磁気的方式その他人の知覚によつては認識することができない方式で作られる記録であつて、電子計算機による情報処理の用に供されるもので主務省令で定めるものをいう。以下同じ。)をもつて作成することができる。この場合において、当該電磁的記録に記録された情報については、主務省令で定める署名又は記名押印に代わる措置をとらなければならない。
(5)The articles of incorporation referred to in paragraph (1) may be prepared in the form of an electronic or magnetic record (meaning a record prepared in electronic form, magnetic form, or any other form that cannot be perceived by the human senses, which is used in computer data processing and specified by order of the competent ministry; hereinafter the same applies). In such a case, the measures in lieu of signing names or affixing the names and seals which are specified by order of the competent ministry must be taken for the information recorded in that electronic or magnetic record.
会員商品取引所は、公告方法として、当該会員商品取引所の事務所の店頭に掲示する方法のほか、次に掲げる方法のいずれかを定款で定めることができる。
(6)A member commodity exchange may specify one of the following means as the means of public notice in its articles of incorporation, in addition to the means of posting a notice at the office of the member commodity exchange:
官報に掲載する方法
(i)publication in the Official Gazette;
時事に関する事項を掲載する日刊新聞紙に掲載する方法
(ii)publication in a daily newspaper that publishes information about current events;
電子公告(公告方法のうち、電磁的方法(会社法第二条第三十四号に規定する電磁的方法をいう。)により不特定多数の者が公告すべき内容である情報の提供を受けることができる状態に置く措置であつて同号に規定するものをとる方法をいう。以下同じ。)
(iii)electronic public notice (meaning, among the means of public notice, measures of making the information that is required to be publicized available to many and unspecified persons by an electronic or magnetic means (meaning an electronic or magnetic means prescribed in Article 2, item (xxxiv) of the Companies Act (Act No. 86 of 2005)), which is prescribed in that item; the same applies hereinafter).
会員商品取引所が前項第三号に掲げる方法を公告方法とする旨を定款で定める場合には、その定款には、電子公告を公告方法とする旨を定めれば足りる。この場合においては、事故その他やむを得ない事由によつて電子公告による公告をすることができない場合の公告方法として、同項第一号又は第二号に掲げる方法のいずれかを定めることができる。
(7)If a member commodity exchange specifies in its articles of incorporation that the means set forth in item (iii) of the preceding paragraph is the means of public notice, it is sufficient for the member commodity exchange to specify in the articles of incorporation that electronic public notice is the means of public notice. In such a case, either of the means set forth in item (i) or (ii) of that paragraph may be specified as the means of public notice for cases in which public notice cannot be given by electronic public notice as a result of an accident or other unavoidable circumstances.
会員商品取引所が電子公告により公告をする場合には、次の各号に掲げる公告の区分に応じ、当該各号に定める日までの間、継続して電子公告による公告をしなければならない。
(8)If a member commodity exchange issues a public notice as an electronic public notice, the member commodity exchange must do so continuously until the day specified in each of the following items in accordance with the category of public notice set forth in that item:
公告に定める期間内に異議を述べることができる旨の公告 当該期間を経過する日
(i)a public notice stating that an objection may be raised within the period specified in the public notice: the day on which that period expires;
前号に掲げる公告以外の公告 当該公告の開始後一月を経過する日
(ii)a public notice other than one set forth in the preceding item: the day on which one month has passed from the publication of the public notice.
会員商品取引所が電子公告によりこの法律その他の法令の規定による公告をする場合については、会社法第九百四十条第三項、第九百四十一条、第九百四十六条、第九百四十七条、第九百五十一条第二項、第九百五十三条及び第九百五十五条の規定を準用する。この場合において、同法第九百四十条第三項中「前二項の規定にかかわらず、これらの規定」とあるのは「商品先物取引法第十一条第八項の規定にかかわらず、同項」と、同法第九百四十一条中「第四百四十条第一項」とあるのは「商品先物取引法第六十八条の三」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
(9)The provisions of Article 940, paragraph (3), Article 941, Article 946, Article 947, Article 951, paragraph (2), Article 953, and Article 955 of the Companies Act apply mutatis mutandis when a member commodity exchange issues public notice pursuant to the provisions of this Act or other laws by electronic public notice. In such a case, the phrase "Notwithstanding the provisions of the preceding two paragraphs, in cases.... pursuant to these provisions" in Article 940, paragraph (3) of the Companies Act is deemed to be replaced with "Notwithstanding the provisions of Article 11, paragraph (8) of the Commodity Derivatives Transaction Act, in cases.... pursuant to that paragraph," the term "Article 440, paragraph (1)" in Article 941 of that Act is deemed to be replaced with "Article 68-3 of the Commodity Derivatives Transaction Act", and any other technical replacement of terms is specified by Cabinet Order.
10第二項各号に掲げる事項のほか、会員商品取引所の定款には、この法律の規定により定款の定めがなければその効力を生じない事項及びその他の事項でこの法律に違反しないものを記載し、又は記録することができる。
(10)In addition to the particulars set forth in the items of paragraph (2), the particulars which do not come into effect unless prescribed in the articles of incorporation pursuant to the provisions of this Act, and any other particulars that do not violate this Act, may be stated or recorded in the articles of incorporation of a member commodity exchange.
(加入の申込み)
(Application for Membership)
第十二条発起人は、会員商品取引所の設立に際して、あらかじめ、その会員になろうとする者に対し、次に掲げる事項を通知しなければならない。
Article 12(1)Before establishing a member commodity exchange, the founders must notify persons seeking to become members of the member commodity exchange of the following particulars:
定款に記載し、又は記録した事項
(i)the particulars stated or recorded in the articles of incorporation;
発起人の氏名又は商号若しくは名称及び住所
(ii)the names or trade names and addresses of the founders;
出資の払込みの方法、期限及び場所
(iii)the method, due date, and place for the payment of the contribution;
一定の時期までに創立総会が終わらなかつたときは、加入の申込みを取り消すことができること。
(iv)that the application for membership may be canceled if an organizational meeting has not been concluded by a certain time.
理事長は、会員商品取引所の成立後にその会員になろうとする者に対し、次に掲げる事項を通知しなければならない。
(2)The president must notify persons seeking to become members after the establishment of a member commodity exchange of the following particulars:
成立の年月日
(i)the date of establishment;
定款に記載し、又は記録した事項
(ii)the particulars stated or recorded in the articles of incorporation;
役員の氏名及び住所
(iii)the names and addresses of the officers;
出資の払込みの方法、期限及び場所
(iv)the method, due date, and place for the payment of the contribution.
会員商品取引所の会員になろうとする者(発起人を含む。)は、その者の氏名又は名称及び住所、その引き受ける出資口数並びにその者が取引をしようとする商品市場における上場商品又は上場商品指数を記載した書面を発起人(成立後にあつては、理事長。次項において同じ。)に交付しなければならない。
(3)A person seeking to become a member of a member commodity exchange (including a founder) must deliver to the founders (or to the president after the establishment of the exchange; the same applies in the following paragraph) a document stating the person's name and address, the number of units of contribution that the person will make, and the listed commodity or listed commodity index that the person seeks to trade in the commodity market.
会員商品取引所の会員になろうとする者は、前項の書面の交付に代えて、政令で定めるところにより、発起人の承諾を得て、同項の書面に記載すべき事項を電磁的方法(電子情報処理組織を使用する方法その他の情報通信の技術を利用する方法であつて主務省令で定めるものをいう。以下同じ。)により提供することができる。この場合において、当該会員になろうとする者は、同項の書面を交付したものとみなす。
(4)With the consent of the founders, in lieu of delivering the document referred to in the preceding paragraph, a person seeking to become the member of a member commodity exchange may provide the founders with the particulars that are required to be stated in the document referred to in that paragraph by electronic or magnetic means (meaning a means that makes use of an electronic data processing system or a means that makes use of any other information and communications technology, which is specified by order of the competent ministry; the same applies hereinafter) pursuant to the provisions of Cabinet Order. In such a case, the person seeking to become a member is deemed to have delivered the document referred to in that paragraph.
(創立総会)
(Organizational Meetings)
第十三条発起人は、定款作成後、会員になろうとする者を募り、前条第一項第三号に定める出資の払込みの期限となつている日後十日を経過した日から五日以内に、創立総会を開かなければならない。
Article 13(1)After preparing the articles of incorporation, the founders must invite persons seeking to become members, and hold the organizational meeting within five days after the day on which 10 days have passed since the due date for the payment of the contribution provided for in paragraph (1), item (iii) of the preceding Article.
発起人は、創立総会までに出資の全額の払込みを終了しなければならない。
(2)The founders must pay the full amount of contribution before the organizational meeting.
定款の承認その他設立に必要な事項の決定は、創立総会の決議によらなければならない。
(3)Approval of the articles of incorporation and decisions about other matters that are necessary for the establishment of the member commodity exchange must be decided by a resolution of an organizational meeting.
創立総会においては、定款を修正することができる。ただし、会員たる資格に関する事項については、この限りでない。
(4)The articles of incorporation may be amended at an organizational meeting; provided, however, that this does not apply to the matters concerning membership qualification.
創立総会における議事は、会員になろうとする者(その出資の全額の払込みが終了した者に限る。)の半数以上が出席し、その議決権の三分の二以上で決する。
(5)Proceedings of the organizational meeting is decided by at least a two-thirds majority of the votes of the attendees, at a meeting in which at least half of the persons seeking to become members (limited to those that have paid the full amount of the contribution) are present.
創立総会においてその延期又は続行について決議があつた場合には、第八項において準用する第五十九条第八項本文及び第十項の規定は、適用しない。
(6)If a resolution is adopted at an organizational meeting concerning the meeting's postponement or continuation, the provisions of the main clause of Article 59, paragraph (8) and paragraph (10) as applied mutatis mutandis pursuant to paragraph (8) of this Article do not apply.
創立総会の議事については、主務省令で定めるところにより、議事録を作成しなければならない。
(7)The minutes of the proceedings of an organizational meeting must be taken pursuant to the provisions of order of the competent ministry.
第三十三条並びに第五十九条第八項本文及び第十項の規定は創立総会について、会社法第八百三十条、第八百三十一条、第八百三十四条(第十六号及び第十七号に係る部分に限る。)、第八百三十五条第一項、第八百三十六条第一項及び第三項、第八百三十七条、第八百三十八条、第八百四十六条並びに第九百三十七条第一項(第一号トに係る部分に限る。)の規定(これらの規定中監査役に係る部分を除く。)は創立総会の決議の不存在若しくは無効の確認又は取消しの訴えについて、それぞれ準用する。この場合において、同項中「会社の本店(第一号トに規定する場合であって当該決議によって第九百三十条第二項各号に掲げる事項についての登記がされているときにあっては、本店及び当該登記に係る支店)」とあるのは、「会員商品取引所の主たる事務所(第一号トに規定する場合であって当該決議によって商品先物取引法第二十四条第二項各号に掲げる事項についての登記がされているときにあっては、主たる事務所及び当該登記に係る従たる事務所)」と読み替えるものとする。
(8)The provisions of Article 33, the main clause of Article 59, paragraph (8), and Article 59, paragraph (10) apply mutatis mutandis to an organizational meeting; and the provisions of Article 830, Article 831, Article 834 (limited to the part related to items (xvi) and (xvii)), Article 835, paragraph (1), Article 836, paragraphs (1) and (3), Article 837, Article 838, Article 846, and Article 937, paragraph (1) (limited to the part related to item (i) (g)) (excluding the part related to company auditors), of the Companies Act apply mutatis mutandis to an action for a declaratory judgment as to the absence or invalidity of a resolution at an organizational meeting or an action seeking the rescission of the resolution. In such a case, the phrase "the head office (or, in the case prescribed in item (i) (g), if the particulars set forth in the items of Article 930, paragraph (2) have been registered as a result of the resolution, the head office and the branch offices which the registration concerns)" in Article 937, paragraph (1) is to be deemed to be replaced with "the principal office of the member commodity exchange (or, in the case prescribed in item (i) (g), if the particular set forth in one of the items of Article 24, paragraph (2) of the Commodity Derivatives Transaction Act is registered as a result of the resolution, the principal office and the secondary office which the registration concerns)".
(許可の申請)
(Applications for Permission)
第十四条発起人は、創立総会終了後、遅滞なく、第九条の許可の申請書に次に掲げる事項を記載して、主務大臣に提出しなければならない。
Article 14(1)Following an organizational meeting, the founders must enter the following particulars in a written application for the permission referred to in Article 9, and submit the written application to the competent minister without delay:
名称
(i)the name;
事務所の所在地
(ii)the location of the office;
上場商品又は上場商品指数
(iii)the listed commodity or listed commodity index;
役員の氏名及び住所
(iv)the names and addresses of the officers;
会員の氏名又は商号若しくは名称及び会員が取引をする商品市場における上場商品又は上場商品指数
(v)the names or trade names of the members and the listed commodity or listed commodity index of the commodity market in which the members conduct transactions.
前項の申請書には、定款、業務規程、受託契約準則、紛争処理規程、市場取引監視委員会規程その他主務省令で定める書類を添付しなければならない。
(2)The articles of incorporation, operational rules, entrustment contract regulations, dispute resolution rules, market transactions surveillance committee rules, and other documents specified by order of the competent ministry must be attached to the written application referred to in the preceding paragraph.
(許可の基準及び意見の聴取)
(Criteria for Permission and Hearing of Opinions)
第十五条主務大臣は、第九条の許可の申請が次に掲げる基準に適合していると認めるときは、許可をしなければならない。
Article 15(1)If the competent minister finds that an application for the permission referred to in Article 9 conforms to the following criteria, the minister must give permission:
申請に係る上場商品又は上場商品指数の先物取引を公正かつ円滑にするために十分な取引量が見込まれることその他上場商品構成品又は上場商品指数対象品(以下「上場商品構成品等」という。)の取引の状況に照らし、当該先物取引をする会員商品取引所を設立することが当該上場商品構成品等の生産及び流通を円滑にするため必要かつ適当であること。
(i)the volume of transactions is expected to be sufficient for ensuring fair and smooth futures transactions in the listed commodity or listed commodity index which the application concerns, and in light of the status of transactions of the component products of listed commodities or the products underlying the listed commodity index (hereinafter referred to as the "component products of listed commodities, etc."), it is necessary and appropriate for a member commodity exchange on which those futures transactions are conducted to be established in order to facilitate the production and distribution of the component products of listed commodities, etc.;
上場商品に係る商品市場を開設しようとする場合にあつては、上場商品構成品の売買等を業として行つている者の取引の状況その他の当該上場商品構成品に係る経済活動の状況に照らして、当該上場商品構成品を一の商品市場で取引することが適当であることとして政令で定める基準に適合すること。
(ii)if the founders seek to open a commodity market for a listed commodity, the situation conforms to the criteria specified by Cabinet Order as a situation in which it is appropriate for the component products of listed commodities to be traded on a single commodity market, in light of the status of transactions of the persons conducting purchase and sales, etc. of component products of listed commodities in the course of trade, and in light of other circumstances of economic activities related to the component products of listed commodities;
二以上の商品指数を一の上場商品指数として商品市場を開設しようとする場合にあつては、当該二以上の商品指数の対象となる物品又は電力の大部分が共通していること。
(iii)if the founders seek to open a commodity market with two or more commodity indices as a single listed commodity index, the majority of the goods or electric power underlying those two or more commodity indices are the same;
定款、業務規程、受託契約準則、紛争処理規程及び市場取引監視委員会規程の規定が法令に違反せず、かつ、定款、業務規程、受託契約準則、紛争処理規程又は市場取引監視委員会規程に規定する取引の方法又は管理、会員の資格、会員の数の最高限度を定めた場合におけるその最高限度、特別担保金の預託義務を定めた場合におけるその預託に関する事項その他の事項が適当であつて、商品市場における取引の公正を確保し、及び委託者を保護するため十分であること。
(iv)the provisions of the articles of incorporation, operational rules, entrustment contract regulations, dispute resolution rules, and market transactions surveillance committee rules do not violate laws and regulations, and the method or management of trade, qualification of members, maximum number of members if it is specified, particulars of deposits, if the obligation to deposit a special deposit is specified, and other particulars prescribed in the articles of incorporation, operational rules, entrustment contract regulations, dispute resolution rules, and market transactions surveillance committee rules are appropriate and sufficient for ensuring the fairness of transactions in the commodity market and for protecting consignors;
当該申請に係る会員商品取引所がこの法律の規定に適合するように組織されるものであること。
(v)the member commodity exchange which the application concerns is organized in a manner that conforms to the provisions of this Act.
主務大臣は、第九条の許可の申請が次の各号のいずれかに該当する場合には、前項の規定にかかわらず、同条の許可をしてはならない。
(2)If an application for the permission referred to in Article 9 falls under one of the following items, the competent minister must not give the permission referred to in that Article notwithstanding the provisions of the preceding paragraph:
発起人のうちに次のいずれかに該当する者があるとき。
(i)there is a person falling under one of the following persons among the founders:
心身の故障のため適正に職務を執行することができない者として主務省令で定める者
(a)a person specified by order of the competent ministry as one incapable of carrying out their duties properly due to mental or physical disorder;
破産手続開始の決定を受けて復権を得ない者又は外国の法令上これと同様に取り扱われている者
(b)a person who has become subject to an order of commencement of bankruptcy proceedings and has not been released from bankruptcy restriction or a person who is treated in the same manner under the laws and regulations of a foreign country;
禁錮以上の刑(これに相当する外国の法令による刑を含む。)又はこの法律若しくはこれに相当する外国の法令の規定により罰金の刑(これに相当する外国の法令による刑を含む。)に処せられ、その執行の終わつた日又は執行を受けることがないこととなつた日から五年を経過しない者
(c)a person that has been sentenced to imprisonment without work or a heavier punishment (including an equivalent sentence under foreign laws and regulations) or to a fine (including an equivalent sentence under foreign laws and regulations) pursuant to this Act or pursuant to the provisions of a foreign law or regulation that is equivalent to this Act, and for whom five years have not passed since the day on which the person finished serving the sentence or ceased to be subject to the sentence;
第九十六条の二十二第一項、第九十六条の三十四第一項若しくは第九十六条の四十第一項の規定により第九十六条の十九第一項、第九十六条の三十一第一項若しくは第九十六条の二十五第一項若しくは第三項ただし書の認可を取り消され、第百五十九条第一項若しくは第二項、第百八十六条第一項若しくは第二項、第二百三十五条第三項若しくは第二百三十六条第一項若しくは第三百四十条第一項(第三百四十五条において準用する場合を含む。)の規定により第九条若しくは第七十八条、第百六十七条、第百九十条第一項若しくは第三百三十二条第一項若しくは第三百四十二条第一項の許可を取り消され、若しくは第二百四十条の二十三第一項の規定により第二百四十条の二第一項の登録を取り消され、これらの取消しの日から五年を経過しない者又はこの法律に相当する外国の法令の規定により当該外国において受けている同種の認可、許可若しくは登録(当該認可、許可又は登録に類する免許その他の行政処分を含む。ヘにおいて「許可等」という。)を取り消され、その取消しの日から五年を経過しない者
(d)a person that has had the authorization referred to in Article 96-19, paragraph (1), Article 96-31, paragraph (1), Article 96-25, paragraph (1) or the proviso to paragraph (3) revoked pursuant to the provisions of Article 96-22, paragraph (1), Article 96-34, paragraph (1), or Article 96-40, paragraph (1); a person that has had the permission referred to in Article 9, the license referred to in Article 78, Article 167, Article 190, paragraph (1), Article 332, paragraph (1) or Article 342, paragraph (1) revoked pursuant to the provisions of Article 159, paragraph (1) or (2), Article 186, paragraph (1) or (2), Article 235, paragraph (3), Article 236, paragraph (1), or Article 340, paragraph (1) (including as applied mutatis mutandis pursuant to Article 345); a person that has had the registration referred to in Article 240-2, paragraph (1) revoked pursuant to the provisions of Article 240-23, paragraph (1); and for whom five years have not passed since the day of the revocation, or a person that had obtained the same kind of permission, license, or registration in a foreign state pursuant to the provisions of a foreign law or regulation which is equivalent to this Act (including registration or any other administrative disposition similar to the permission, license, or registration; referred to as "permission, etc." in (f)) and that has had the permission, etc. revoked, and for whom five years have not passed since the day of the revocation;
第百六十条第一項の規定又はこれに相当する外国の法令の規定による命令(これに相当する外国の法令によるその他の行政処分を含む。ト及びチにおいて同じ。)により商品取引所又はこれに相当する外国の施設から除名され、又は取引資格を取り消され、その除名又は取消しの日から五年を経過しない者
(e)a person that has been expelled from a commodity exchange or an equivalent facility in a foreign state pursuant to the provisions of Article 160, paragraph (1) or the provisions of a foreign law or regulation that are equivalent to those provisions (including any other equivalent administrative disposition under foreign laws and regulations; the same applies in (g) and (h)) or whose trading qualification has been revoked, and for whom five years have not passed since the day of the expulsion or revocation;
第九十六条の十九第一項若しくは第九十六条の三十一第一項の認可を受けた者(以下この号において「主要株主」という。)が第九十六条の二十二第一項若しくは第九十六条の三十四第一項の規定により認可を取り消された場合、商品取引所持株会社が第九十六条の四十第一項の規定により第九十六条の二十五第一項若しくは第三項ただし書の認可を取り消された場合、商品取引所が第百五十九条第一項若しくは第二項の規定により第九条若しくは第七十八条の許可を取り消された場合、商品取引清算機関が第百八十六条第一項若しくは第二項の規定により第百六十七条の許可を取り消された場合、商品先物取引業者が第二百三十五条第三項若しくは第二百三十六条第一項の規定により第百九十条第一項の許可を取り消された場合、商品先物取引仲介業者が第二百四十条の二十三第一項の規定により第二百四十条の二第一項の登録を取り消された場合若しくは法人である第一種特定施設開設者(第三百三十一条第二号に規定する第一種特定施設開設者をいう。以下この号において同じ。)若しくは第二種特定施設開設者(第三百三十一条第三号に規定する第二種特定施設開設者をいう。以下この号において同じ。)が第三百四十条第一項(第三百四十五条において準用する場合を含む。)の規定により第三百三十二条第一項若しくは第三百四十二条第一項の許可を取り消された場合において、これらの取消しの日前三十日以内に当該主要株主、商品取引所持株会社、商品取引所、商品取引清算機関、商品先物取引業者、商品先物取引仲介業者若しくは第一種特定施設開設者若しくは第二種特定施設開設者の役員であつた者で当該取消しの日から五年を経過しないもの又は外国において同種の許可等を受けた法人がこの法律に相当する外国の法令の規定により当該許可等を取り消された場合において、その取消しの日前三十日以内に当該法人の役員であつた者で当該取消しの日から五年を経過しないもの
(f)in the cases in which a person that had obtained the authorization referred to in Article 96-19, paragraph (1) or Article 96-31, paragraph (1) (hereinafter referred to as a "major shareholder" in this item) has had that authorization revoked pursuant to the provisions of Article 96-22, paragraph (1) or Article 96-34, paragraph (1); a commodity exchange holding company that has had the authorization referred to in Article 96-25, paragraph (1) or the proviso of paragraph (3) of that Article revoked pursuant to the provisions of Article 96-40, paragraph (1); a commodity exchange that has had the permission referred to in Article 9 or the license referred to in Article 78 revoked pursuant to the provisions of Article 159, paragraph (1) or (2); a commodity clearing organization that has had the license referred to in Article 167 revoked pursuant to the provisions of Article 186, paragraph (1) or (2); a commodity derivatives business operator that has had the license referred to in Article 190, paragraph (1) revoked pursuant to the provisions of Article 235, paragraph (3) or Article 236, paragraph (1); a commodity derivatives intermediary service provider that has had the registration referred to in Article 240-2, paragraph (1) revoked pursuant to the provisions of Article 240-23, paragraph (1); or a corporation that is the establisher of a Type 1 Specified Facility (meaning the establisher of a Type 1 Specified Facility as prescribed in Article 331, item (ii); hereinafter the same applies in this item) or the establisher of a Type 2 Specified Facility (meaning the establisher of a Type 2 Specified Facility as prescribed in Article 331, item (iii); hereinafter the same applies in this item) has had the license referred to in Article 332, paragraph (1) or Article 342, paragraph (1) revoked pursuant to the provisions of Article 340, paragraph (1) (including as applied mutatis mutandis pursuant to Article 345); a person who was an officer of the major shareholder, commodity exchange holding company, commodity exchange, commodity clearing organization, commodity derivatives business operator, commodity derivatives intermediary service provider, the establisher of a Type 1 Specified Facility or Type 2 Specified Facility within 30 days prior to the date of revocation and for whom five years have not passed since the day of the revocation; or in the case in which a corporation that had obtained similar permission, etc. in a foreign state has had that permission, etc. revoked pursuant to the provisions of a foreign law or regulation that is equivalent to this Act, a person who was an officer of the corporation and for whom five years have not passed since the day of the revocation;
法人である商品取引所の会員等又は商品取引所に相当する外国の施設の会員等が第百六十条第一項の規定又はこれに相当する外国の法令の規定による命令により当該商品取引所又は当該施設から除名され、又は取引資格を取り消された場合において、その除名又は取消しの日前三十日以内に当該法人の役員であつた者で当該除名又は取消しの日から五年を経過しないもの
(g)in the case in which a member, etc. of a commodity exchange which is a corporation or a member, etc. of a facility equivalent to a commodity exchange in a foreign state has been expelled from the commodity exchange or the facility pursuant to an order under the provisions of Article 160, paragraph (1) or under the provisions of an equivalent foreign law or regulation, or has had their trading qualification revoked, a person who was an officer of the corporation within 30 days prior to the date of expulsion or revocation and for whom five years have not passed since the day of the expulsion or revocation;
第九十六条の四十第二項、第百五十九条第三項、第百六十条第一項、第百八十六条第四項、第二百三十六条第二項若しくは第二百四十条の二十三第二項の規定又はこれらに相当する外国の法令の規定による命令により解任された役員でその解任の日から五年を経過しないもの
(h)an officer that has been dismissed pursuant to an order under the provisions of Article 96-40, paragraph (2), Article 159, paragraph (3), Article 160, paragraph (1), Article 186, paragraph (4), Article 236, paragraph (2), or Article 240-23, paragraph (2), or under the provisions of an equivalent foreign law or regulation and for whom five years have not passed since the day of the dismissal;
第三百二十八条第一項の規定による裁判所の命令又はこれに相当する外国の法令の規定による外国の裁判所の命令を受けた後一年を経過しない者
(i)a person for whom one year has not passed after becoming subject to a court order under the provisions of Article 328, paragraph (1) or a foreign court order under the provisions of an equivalent foreign law or regulation;
会社法第三百三十一条第一項第三号に掲げる者
(j)a person set forth in Article 331, paragraph (1), item (iii) of the Companies Act;
営業に関し成年者と同一の行為能力を有しない未成年者でその法定代理人がイからヌまで又はヲのいずれかに該当するもの
(k)a minor that does not have the same capacity to act as an adult in business, and whose legal representative falls under any of sub-items (a) through (j), or sub-item (l);
法人でその役員のうちにイからルまでのいずれかに該当する者のあるもの
(l)a corporation that has a person that falls under one of sub-items (a) through (k) as an officer;
申請書又はこれに添付すべき書類のうちに重要な事項について虚偽の記載があるとき。
(ii)if a written application or documents that are required to be attached to the written application contains a false statement about a material particular.
主務大臣は、会員商品取引所の存続期間又は商品市場の開設期限が定款に記載され、又は記録されている第九条の許可の申請があつた場合においては、第一項第一号の基準に代えて、申請に係る上場商品又は上場商品指数の先物取引を公正かつ円滑にするために十分な取引量が見込まれないことその他上場商品構成品等の取引の状況に照らし、当該先物取引をする会員商品取引所を設立することが当該上場商品構成品等の生産及び流通に著しい支障を及ぼし、又は及ぼすおそれがあることに該当しないことを同号の基準とし、当該基準並びに同項第二号及び第三号の基準の適用は、当該存続期間又は開設期限までの間について判断して行うものとする。
(3)If an application is filed for the permission referred to in Article 9 and the term of existence of a member commodity exchange or the expiration date of the commodity market is stated or recorded in the articles of incorporation, the criteria set forth in paragraph (1), item (i) is to be replaced by the criteria that the volume of transactions is not expected to fall short in terms of ensuring fair and smooth futures transactions in the listed commodity or listed commodity index which the application concerns, and that, in light of the status of transactions of the component products of listed commodities, etc., the establishment of a member commodity exchange in which the futures transactions are conducted does not and is not likely to cause significant hindrance to the production and distribution of the component products of listed commodities, etc., and for the application of the criteria and the criteria referred to in items (ii) and (iii) of that paragraph, the competent minister is to make a judgment on those criteria for the term of existence or the term until the expiration date.
主務大臣は、第三百五十二条(第三号に係る部分に限る。)の規定による公示があつた日から三月を経過した後でなければ、第九条の許可をしてはならない。
(4)The competent minister must not give the permission referred to in Article 9 until after three months have passed since the day the public notice under the provisions of Article 352 (limited to the part related to item (iii)) has been issued.
主務大臣は、第九条の許可の申請が第一項各号に適合していないと認めるとき、又は第二項各号のいずれかに該当すると認めるときは、あらかじめ申請をした者にその旨を通知し、申請をした者又はその代理人の出頭を求め、釈明のための証拠を提出する機会を与えるため、その職員に意見の聴取をさせなければならない。
(5)If the competent minister finds that an application for the permission referred to in Article 9 does not to conform to one of the items of paragraph (1) or to fall under one of the items of paragraph (2), the minister must notify the applicant of this in advance, request the applicant or their representative to appear, and have an official of the ministry conduct a hearing of opinions so as to give that person an opportunity to submit evidence for the purpose of clarification.
前項の場合において、主務大臣は、意見の聴取をされる者が正当な理由がないのに意見の聴取に応じないときは、意見の聴取を行うことを要しない。
(6)In the case referred to in the preceding paragraph, if the person whose opinion is to be heard fails to appear at the hearing of opinions without legitimate grounds, the competent minister is not required to conduct the hearing of opinions.
主務大臣は、第五項の通知をする場合においては、意見を聴取する事項、場所及び期日を明らかにして、通知しなければならない。
(7)When notifying a person referred to in paragraph (5), the competent minister must give the notice by stating the particulars of the hearing of opinions, and the location and date for the hearing of opinions.
第五項の意見の聴取は、公開により行わなければならない。ただし、主務大臣が意見の聴取をされる者の業務に関する秘密を保つため必要があると認めるとき、又は公益上必要があると認めるときは、この限りでない。
(8)The hearing of opinions referred to in paragraph (5) must be opened to the public; provided, however, that this does not apply if the competent minister finds it necessary to maintain confidential information related to the business of the person whose opinion is to be heard secret, or finds it necessary in the public interest.
主務大臣は、第五項の意見の聴取を行うため必要があると認めるときは、参考人の出頭を求めてその意見を聴取し、若しくは参考人にその意見若しくは報告の提出を求め、又は鑑定人に出頭を求めて鑑定をさせることができる。
(9)If the competent minister finds it necessary in order to conduct the hearing of opinions referred to in paragraph (5), the minister may request a witness to appear and hear their opinion, request a witness to submit an opinion or report, or ask an expert to appear and have them give an expert opinion.
10主務大臣は、会員商品取引所の存続期間又は商品市場の開設期限が定款に記載され、又は記録されている第九条の許可の申請があつた場合においては、第三百五十二条(第三号に係る部分に限る。)の規定による公示があつた日から四月以内に、申請をした者に対し、許可又は不許可の通知を発しなければならない。
(10)If an application is filed for the permission referred to in Article 9 and the term of existence of a member commodity exchange or the expiration date of the commodity market is stated or recorded in the articles of incorporation, the competent minister must issue a notice of whether the permission was granted or not to the applicant within four months from the day the public notice under the provisions of Article 352 (limited to the part related to item (iii)) was given.
11主務大臣が前項の期間内に同項の通知を発しなかつたときは、その期間満了の日に第九条の許可があつたものとみなす。
(11)If the competent minister does not issue the notice referred to in the preceding paragraph within the period set forth in that paragraph, the permission referred to in Article 9 is deemed to have been given on the final day of that period.
(成立の時期及び届出)
(Time of Establishment and Its Notification)
第十六条会員商品取引所は、その設立の登記をすることにより成立する。
Article 16(1)A member commodity exchange is established when its establishment is registered.
会員商品取引所は、成立の日から二週間以内に、主務大臣にその旨を届け出なければならない。
(2)A member commodity exchange must notify the competent minister of its establishment within two weeks from the day of its establishment.
(理事長への事務引継)
(Transfer of Affairs to the President)
第十七条発起人は、第九条の許可があつたとき(第十五条第十一項の規定による場合を含む。)は、遅滞なく、その事務を理事長に引き継がなければならない。
Article 17If permission referred to in Article 9 is granted (including the case pursuant to the provisions of Article 15, paragraph (11)), the founders must hand over the affairs of the member commodity exchange to the president without delay.
会社法の準用)
(Application, Mutatis Mutandis of the Companies Act)
第十八条会社法第五十三条から第五十六条までの規定は、会員商品取引所の発起人について準用する。
Article 18(1)The provisions of Articles 53 through 56 of the Companies Act apply mutatis mutandis to the founders of a member commodity exchange.
会社法第七編第二章第二節(第八百四十七条第二項、第八百四十七条の二、第八百四十七条の三、第八百四十九条第二項、第三項第二号及び第三号並びに第六項から第十一項まで、第八百五十一条並びに第八百五十三条第一項第二号及び第三号を除く。)の規定は、会員商品取引所の発起人の責任を追及する訴えについて準用する。この場合において、同法第八百四十七条第一項及び第四項中「法務省令」とあるのは、「主務省令」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
(2)The provisions of Part VII, Chapter II, Section 2 (excluding Article 847, paragraph (2), Article 847-2, Article 847-3, Article 849, paragraph (2), paragraph (3), items (ii) and (iii), and paragraphs (6) through (11), Article 851, and Article 853, paragraph (1), items (ii) and (iii)) of the Companies Act apply mutatis mutandis to an action to enforce the liability of the founders of a member commodity exchange. In such a case, the term "order of the ministry of justice" in Article 847, paragraphs (1) and (4) of that Act is deemed to be replaced with "order of the competent ministry", and any other necessary technical replacement of terms is specified by Cabinet Order.
会社法第八百二十八条第一項(第一号に係る部分に限る。)及び第二項(第一号に係る部分に限る。)、第八百三十四条(第一号に係る部分に限る。)、第八百三十五条第一項、第八百三十六条第一項及び第三項、第八百三十七条から第八百三十九条まで並びに第八百四十六条の規定は、会員商品取引所の設立の無効の訴えについて準用する。
(3)The provisions of Article 828, paragraph (1) (limited to the part related to item (i)) and paragraph (2) (limited to the part related to item (i)), Article 834 (limited to the part related to item (i)), Article 835, paragraph (1), Article 836, paragraphs (1) and (3), Articles 837 through 839, and Article 846 of the Companies Act apply mutatis mutandis to an action to invalidate the establishment of a member commodity exchange.
(役員又は会員の氏名等の変更)
(Changing the Name of an Officer or Member)
第十九条会員商品取引所は、第十四条第一項第四号又は第五号に掲げる事項について変更があつたときは、遅滞なく、その旨を記載した変更届出書を主務大臣に提出しなければならない。
Article 19(1)If a particular set forth in Article 14, paragraph (1), item (iv) or (v) changes, the member commodity exchange must submit a written notification of change stating the fact to the competent minister without delay.
前項の変更届出書には、その変更を証する書面及び主務省令で定める書類を添付しなければならない。
(2)The written notification of change referred to in the preceding paragraph must be accompanied by a document evidencing the change and the document specified by order of the competent ministry.
(設立の登記)
(Registration of Establishment)
第二十条会員商品取引所の設立の登記は、その主たる事務所の所在地において、第九条の許可があつた日から二週間以内にしなければならない。
Article 20(1)A registration of establishment of a member commodity exchange must be made at the locality of its principal office within two weeks from the day on which the permission referred to in Article 9 is given.
前項の登記には、次に掲げる事項を登記しなければならない。
(2)The following information must be registered for the registration referred to in the preceding paragraph:
目的
(i)the purpose;
名称
(ii)the name;
事務所の所在場所
(iii)the location of the office;
存続期間又は解散の事由を定めたときは、その期間又は事由
(iv)the term of existence or grounds for dissolution, if specified;
出資の総額
(v)the total amount of contribution;
出資一口の金額及びその払込みの方法
(vi)the amount for one unit of contribution and the method of its payment;
代表権を有する者の氏名、住所及び資格
(vii)the name, address, and qualification of the person with the representative authority;
公告方法
(viii)the means of public notice;
第十一条第六項の定款の定めが電子公告を公告方法とする旨のものであるときは、次に掲げる事項
(ix)if the provisions of the articles of incorporation referred to in Article 11, paragraph (6) specify electronic public notice as the means of public notice, the following matters:
電子公告により公告すべき内容である情報について不特定多数の者がその提供を受けるために必要な事項であつて法務省令で定めるもの
(a)the matters that are necessary for making the information required to be given by electronic public notice available to many and unspecified persons, and that are specified by Order of the Ministry of Justice;
第十一条第七項後段の規定による定款の定めがあるときは、その定め
(b)if there are provisions in the articles of incorporation pursuant to the provisions of the second sentence of Article 11, paragraph (7), those provisions.
(変更の登記)
(Registration of a Change)
第二十一条会員商品取引所において前条第二項各号に掲げる事項に変更が生じたときは、二週間以内に、その主たる事務所の所在地において、変更の登記をしなければならない。
Article 21(1)When a change occurs to a matter set forth in one of the items of paragraph (2) of the preceding Article regarding a member commodity exchange, a registration of the change must be made at the locality of its principal office within two weeks from the day the change occurred.
前項の規定にかかわらず、前条第二項第五号に掲げる事項の変更の登記は、毎事業年度末日現在により、当該末日から四週間以内にすれば足りる。
(2)Notwithstanding the provisions of the preceding paragraph, it is sufficient to register a change to the matter set forth in paragraph (2), item (v) of the preceding Article within four weeks from the last day of each business year.
(他の登記所の管轄区域内への主たる事務所の移転の登記)
(Registration of the Relocation of the Principal Office to the Jurisdictional District of Another Registry Office)
第二十二条会員商品取引所がその主たる事務所を他の登記所の管轄区域内に移転したときは、二週間以内に、旧所在地においては移転の登記をし、新所在地においては第二十条第二項各号に掲げる事項を登記しなければならない。
Article 22If a member commodity exchange relocates its principal office to the jurisdictional district of another registry office, it must register the relocation at the former locality, and register the information set forth in the items of Article 20, paragraph (2) at the new location, within two weeks from the day of relocation.
(職務執行停止の仮処分等の登記)
(Registration of a Provisional Disposition to Suspend Execution of Duties)
第二十三条会員商品取引所を代表すべき者の職務の執行を停止し、若しくはその職務を代行する者を選任する仮処分命令又はその仮処分命令を変更し、若しくは取り消す決定がされたときは、その主たる事務所の所在地において、その登記をしなければならない。
Article 23If an order for a provisional disposition to suspend the person representing a member commodity exchange from executing their duties or to appoint a person who is to perform the person's duties, or an order to change or revoke such a provisional disposition, a registration to that effect must be made at the locality of the principal office of the member commodity exchange.
(従たる事務所の所在地における登記)
(Registration at the Locality of Secondary Offices)
第二十四条次の各号に掲げる場合(当該各号に規定する従たる事務所が主たる事務所の所在地を管轄する登記所の管轄区域内にある場合を除く。)には、当該各号に定める期間内に、当該従たる事務所の所在地において、従たる事務所の所在地における登記をしなければならない。
Article 24(1)In the case set forth in one of the following items (excluding the case in which the secondary office set forth in each item is located within the jurisdictional district of the registry office that has jurisdiction over the locality of the principal office), a registration at the locality of a secondary office must be made at the locality of the secondary office within the period specified in each item:
会員商品取引所の設立に際して従たる事務所を設けた場合(次号に規定する場合を除く。) 主たる事務所の所在地における設立の登記をした日から二週間以内
(i)if the secondary office is established upon the establishment of the member commodity exchange (excluding the case set forth in the following item): within two weeks from the day on which the registration of establishment is made at the locality of the principal office;
新設合併により設立する会員商品取引所が新設合併に際して従たる事務所を設けた場合 第百四十七条の二第一項に規定する日から三週間以内
(ii)if the member commodity exchange that is established in a consolidation-type merger establishes the secondary office at the time of the consolidation-type merger: within three weeks from the day set forth in Article 147-2, paragraph (1); or
会員商品取引所の成立後に従たる事務所を設けた場合 従たる事務所を設けた日から三週間以内
(iii)if the secondary office is established after the establishment of the member commodity exchange: within three weeks from the day on which the secondary office is established.
従たる事務所の所在地における登記においては、次に掲げる事項を登記しなければならない。ただし、従たる事務所の所在地を管轄する登記所の管轄区域内に新たに従たる事務所を設けたときは、第三号に掲げる事項を登記すれば足りる。
(2)The following information must be registered for a registration at the locality of a secondary office; provided, however, that if a secondary office is newly established within the jurisdictional district of a registry office that has jurisdiction over the locality of an existing secondary office, it is sufficient to register the information set forth in item (iii):
名称
(i)the name;
主たる事務所の所在場所
(ii)the location of the principal office;
従たる事務所(その所在地を管轄する登記所の管轄区域内にあるものに限る。)の所在場所
(iii)the locations of the secondary offices (limited to secondary offices located within the jurisdictional district of the registry office that has jurisdiction over the secondary office in question).
前項各号に掲げる事項に変更が生じたときは、三週間以内に、当該従たる事務所の所在地において、変更の登記をしなければならない。
(3)When a change occurs to information set forth in one of the items of the preceding paragraph, a registration of the change must be made at the locality of the secondary office within three weeks from the day the change occurred.
(他の登記所の管轄区域内への従たる事務所の移転の登記)
(Registration of the Relocation of a Secondary Office to the Jurisdictional District of Another Registry Office)
第二十四条の二会員商品取引所がその従たる事務所を他の登記所の管轄区域内に移転したときは、旧所在地(主たる事務所の所在地を管轄する登記所の管轄区域内にある場合を除く。)においては三週間以内に移転の登記をし、新所在地(主たる事務所の所在地を管轄する登記所の管轄区域内にある場合を除く。以下この条において同じ。)においては四週間以内に前条第二項各号に掲げる事項を登記しなければならない。ただし、従たる事務所の所在地を管轄する登記所の管轄区域内に新たに従たる事務所を移転したときは、新所在地においては、同項第三号に掲げる事項を登記すれば足りる。
Article 24-2If a member commodity exchange relocates its secondary office to the jurisdictional district of another registry office, it must register the relocation at the former locality (excluding the case in which the office is located within the jurisdictional district of the registry office that has jurisdiction over the locality of the principal office) within three weeks, and register the particulars set forth in the items of paragraph (2) of the preceding Article at the new locality (excluding the case in which the office is located within the jurisdictional district of the registry office that has jurisdiction over the locality of the principal office; hereinafter the same applies in this Article) within four weeks; provided, however, that if a member commodity exchange newly relocates a secondary office to the jurisdictional district of a registry office that has jurisdiction over the locality of an existing secondary office, it is sufficient for the particulars set forth in item (iii) of that paragraph to be registered at the new locality.
(管轄登記所及び登記簿)
(Competent Registry Offices and Registers)
第二十五条会員商品取引所の登記に関する事務は、その事務所の所在地を管轄する法務局若しくは地方法務局若しくはこれらの支局又はこれらの出張所が管轄登記所としてつかさどる。
Article 25(1)The legal affairs bureau or the district legal affairs bureau, or the branch office or sub-branch office of that bureau that has jurisdiction over the locality of the office of the member commodity exchange, is in charge of the affairs concerning registration of a member commodity exchange as the competent registry office.
登記所に、会員商品取引所登記簿を備える。
(2)A registry office keeps a register of member commodity exchanges.
(設立の登記の申請)
(Application for Registration of Establishment)
第二十六条会員商品取引所の設立の登記は、会員商品取引所を代表すべき者の申請によつてする。
Article 26(1)A registration of establishment of a member commodity exchange is made by the filing of an application by the person that is to represent the member commodity exchange.
会員商品取引所の設立の登記の申請書には、定款並びに出資の払込みがあつたこと及び会員商品取引所を代表すべき者の資格を証する書面を添付しなければならない。
(2)The written application for a registration of the establishment of a member commodity exchange must be accompanied by the articles of incorporation, and documents proving that payment of the contribution have been made and proving the qualifications of the person that is to represent the member commodity exchange.
(変更の登記の申請)
(Application for the Registration of a Change)
第二十七条第二十条第二項各号に掲げる事項の変更の登記の申請書には、当該事項の変更を証する書面を添付しなければならない。
Article 27A written application for the registration of a change to a particular set forth in one of the items of Article 20, paragraph (2) must be accompanied by a document proving the change to the particular.
(設立の無効の登記の手続)
(Procedure for Registering the Invalidity of Establishment)
第二十八条会社法第九百三十七条第一項(第一号イに係る部分に限る。)の規定は、会員商品取引所の設立の無効の訴えに係る請求を認容する判決が確定した場合について準用する。この場合において、同項中「会社の本店(第一号トに規定する場合であって当該決議によって第九百三十条第二項各号に掲げる事項についての登記がされているときにあっては、本店及び当該登記に係る支店)」とあるのは、「会員商品取引所の主たる事務所」と読み替えるものとする。
Article 28The provisions of Article 937, paragraph (1) of the Companies Act (limited to the part related to item (i), (a)) apply mutatis mutandis when a judgment upholding a claim related to an action seeking to invalidate the establishment of a member commodity exchange becomes final and binding. In such a case, the phrase "the locality of the head office of the company (or, in the case prescribed in item (i) (g), if the matters set forth in the items of Article 930, paragraph (2) have been registered as a result of the resolution, the head office and the branch offices which the registration concerns)" in that paragraph is deemed to be replaced with "the locality of the principal office of the member commodity exchange".
商業登記法の準用)
(Application, Mutatis Mutandis of the Commercial Registration Act)
第二十九条商業登記法(昭和三十八年法律第百二十五号)第二条から第五条まで、第七条から第十五条まで、第十七条から第二十三条の二まで、第二十四条(第十五号及び第十六号を除く。)、第二十五条から第二十七条まで、第四十八条から第五十三条まで及び第百三十二条から第百四十八条までの規定は、会員商品取引所の登記について準用する。この場合において、同法第四十八条第二項中「会社法第九百三十条第二項各号」とあるのは、「商品先物取引法第二十四条第二項各号」と読み替えるものとする。
Article 29The provisions of Articles 2 through 5, Articles 7 through 15 , Articles 17 through 23-2, Article 24 (excluding items (xv) and (xvi)), Articles 25 through 27, Articles 48 through 53, and Articles 132 through 148 of the Commercial Registration Act (Act No. 125 of 1963) apply mutatis mutandis to the registration of a member commodity exchange. In such case, the phrase "the items of Article 930, paragraph (2) of the Companies Act" in Article 48, paragraph (2) of that Act is deemed to be replaced with "the items of Article 24, paragraph (2) of the Commodity Derivatives Transaction Act".
第二款 会員
Subsection 2 Members
第三十条削除
Article 30Deleted
(欠格条件)
(Disqualifying Conditions)
第三十一条次の各号のいずれかに該当する者は、会員となることができない。
Article 31(1)A person who falls under any of the following items may not become a member:
心身の故障により業務を適正に行うことができない者として主務省令で定める者
(i)a person specified by order of the competent ministry as a person who is incapable of carrying out their duties properly due to mental or physical disorder;
第十五条第二項第一号ロからヌまでのいずれかに該当する者
(ii)a person that falls under any of the persons referred to in Article 15, paragraph (2), item (i), sub-items (b) through (j);
営業に関し成年者と同一の行為能力を有しない未成年者でその法定代理人が前二号又は次号のいずれかに該当するもの
(iii)a minor that does not have the same capacity to act as an adult in business and whose legal representative falls under any of the persons referred to in the preceding two items or the following item; or
法人でその役員のうちに前三号のいずれかに該当する者のあるもの
(iv)a corporation whose officers include a person who falls under one of the persons referred to in the preceding three items.
合併後存続する法人又は合併により設立された法人は、前項第二号(第十五条第二項第一号ハからホまで及びリに係る部分に限る。)及び第四号の規定の適用については、当該合併により消滅した法人と同一の法人とみなす。
(2)With regard to the application of the provisions of item (ii) of the preceding paragraph (limited to the part related to Article 15, paragraph (2), item (i), sub-items (c) through (e), and sub-item (i)) and item (iv) of the preceding paragraph, the corporation that survives a merger or the corporation established in a merger is deemed to be the same corporation as the corporation that disappeared in the merger.
(出資)
(Contributions)
第三十二条会員は、出資一口以上を持たなければならない。
Article 32(1)A member must make a contribution of one or more units.
出資は、金銭以外の財産ですることができない。
(2)Contributions may not be made using property other than money.
出資一口の金額は、均一でなければならない。
(3)The amount for one unit of contribution must be uniform.
会員商品取引所の債務に対する会員の責任は、第三十四条の規定による経費の負担及び第四十五条第三項の規定による損失額の負担のほか、その出資額を限度とする。
(4)In addition to a member bearing the expenses under the provisions of Article 34 and bearing the amount of loss under the provisions of Article 45, paragraph (3), a member's liability for the obligations of a member financial instruments corporation is limited to the amount of their contribution.
会員は、出資の払込みについて、相殺をもつて会員商品取引所に対抗することができない。
(5)A member may not assert against a member commodity exchange by offsetting the payment of contribution.
(議決権及び選挙権)
(Voting Rights and the Right to Elect)
第三十三条会員は、出資口数にかかわらず、各々一個の議決権及び役員の選挙権を有する。
Article 33(1)A member has a single voting right and a single right to elect officers, regardless of the number of units of contribution.
会員は、第五十九条第八項の規定によりあらかじめ通知のあつた事項につき、書面又は代理人をもつて、議決権又は選挙権を行うことができる。この場合においては、定款で定める資格を有する者でなければ、代理人となることができない。
(2)A member may exercise a voting right or right to elect by a written ballot or through a proxy regarding the particulars that have been notified in advance pursuant to the provisions of Article 59, paragraph (8). In such a case, a person may not act as a proxy unless that person has the qualifications specified in the articles of incorporation.
会員は、定款で定めるところにより、前項の規定による書面をもつてする議決権の行使に代えて、議決権を電磁的方法により行うことができる。
(3)In lieu of exercising a voting right by written ballot pursuant to the preceding paragraph, a member may exercise a voting right by electronic or magnetic means, pursuant to the provisions of the articles of incorporation.
前二項の規定により議決権又は選挙権を行う者は、出席者とみなす。
(4)A person that exercises a voting right or a right to vote pursuant to the provisions of the preceding two paragraphs is deemed to be present at the relevant meeting.
代理人は、代理権を証する書面を会員商品取引所に提出しなければならない。この場合において、電磁的方法により議決権を行うことが定款で定められているときは、当該書面の提出に代えて、代理権を当該電磁的方法により証明することができる。
(5)A proxy must submit a document certifying the representative authority to the member commodity exchange. In such a case, if the articles of incorporation provide that voting rights may be exercised by electronic or magnetic means, the proxy may prove the representative authority through electronic or magnetic means in lieu of submitting the document.
(経費の賦課)
(Imposing Expenses)
第三十四条会員商品取引所は、定款で定めるところにより、会員に経費を賦課することができる。
Article 34(1)A member commodity exchange may impose expenses on its members pursuant to the provisions of the articles of incorporation.
第三十二条第五項の規定は、前項の経費の払込みについて準用する。
(2)The provisions of Article 32, paragraph (5) apply mutatis mutandis to the payment of the expenses referred to in the preceding paragraph.
(加入)
(Membership)
第三十五条会員商品取引所の設立の際会員商品取引所に加入しようとする者でその引き受けた出資の全額の払込みが終了したものは、その会員商品取引所成立の時に会員となる。
Article 35(1)A person that, at the time of establishment of a member commodity exchange, seeks to join the member commodity exchange and has finished paying the full amount of the contribution the person has undertaken, becomes a member of the member commodity exchange at the time of its incorporation.
会員商品取引所の設立の際会員商品取引所に加入しようとする者で会員商品取引所成立の時までに前項に規定する払込みを終了しない者については、会員商品取引所成立の時に加入の申込みを取り消したものとみなす。
(2)A person that, at the time of establishment of a member commodity exchange, seeks to join the member commodity exchange but has not finished making the payment prescribed in the preceding paragraph by the time of the incorporation of the member commodity exchange, is deemed to have canceled the application for membership at the time of the incorporation of the member commodity exchange.
成立後の会員商品取引所に加入しようとする者は、定款で定めるところにより、加入につき会員商品取引所の承諾を得て、その引き受けた出資の全額の払込み及び会員商品取引所が加入金を徴収することを定めた場合にはその支払を終了した時又は会員の持分の全部若しくは一部の譲受け及び会員商品取引所が加入金を徴収することを定めた場合にはその支払を終了した時に会員となる。
(3)A person seeking to join a member commodity exchange after its incorporation becomes a member at the time that, pursuant to the provisions of the articles of incorporation, the person obtains the member commodity exchange's consent to join, finishes paying the full amount of the contribution that the person has undertaken, and finishes paying the membership fee, if the member commodity exchange has specified that it will require the payment of the full amount of contribution and collection of the membership fee; or at the time that, the person acquires the whole or a part of a member's equity interest, and finishes paying the membership fee, if the member commodity exchange has specified that it will require the acquisition of the whole or a part of a member's equity interest and collection of the membership fee.
会員商品取引所は、会員たる資格を有する者が会員商品取引所に加入しようとするときは、正当な理由がないのに、その加入を拒んではならない。
(4)If a person that is qualified to become a member seeks to join a member commodity exchange, the member commodity exchange must not refuse the membership without legitimate grounds.
(持分の譲渡)
(Transfer of Equity Interest)
第三十六条会員は、定款で定めるところにより、会員又は会員たる資格を有する者に持分の全部又は一部を譲り渡すことができる。
Article 36(1)A member may transfer the whole or a part of their equity interest to a member or a person that is qualified to become a member, pursuant to the provisions of the articles of incorporation.
会員たる資格を有する者が持分を譲り受けようとするときは、加入の例によらなければならない。
(2)If a person that is qualified to become a member seeks to acquire equity interest, the acquisition must be governed by the same rules as those for joining the member commodity exchange.
持分の譲受人は、その持分について、譲渡人の権利及び義務を承継する。
(3)A person that acquires equity interest succeeds to the rights and obligations of the person transferring those shares.
(持分の承継)
(Succession to Shares)
第三十七条会員が死亡した場合において、その相続人又は受遺者(以下この条において「相続人等」という。)が会員であるときは、その者は、被承継人の持分並びにその持分についての被承継人の権利及び義務を承継する。この場合においては、承継人は、遅滞なく、その旨を会員商品取引所に通知しなければならない。
Article 37(1)If a member dies and that member's heir or legatee (hereinafter referred to as the "heir, etc." in this Article) is a member, the person succeeds to the equity interest of the decedent and the rights and obligations of the decedent concerning the equity interest. In such a case, the heir, etc. must notify the member commodity exchange of that fact without delay.
会員が死亡した場合において、相続人等が会員たる資格を有する者であるときは、その者は、定款で定める期間内に加入につき会員商品取引所の承諾を得て、被承継人の持分並びにその持分についての被承継人の権利及び義務を承継することができる。
(2)If a member dies and the heir, etc. is a person that is qualified to become a member, the person may succeed to the equity interest of the decedent and the rights and obligations of the decedent concerning the equity interest upon obtaining the member commodity exchange's consent for joining the member commodity exchange within the period specified in the articles of incorporation.
前項の規定により相続人等が被承継人の持分並びにその持分についての被承継人の権利及び義務を承継したときは、その者は、被承継人の死亡の時において会員になつたものとみなす。
(3)Once an heir, etc. succeeds to the equity interest of the decedent and to the rights and obligations of the decedent concerning the equity interest pursuant to the provisions of the preceding paragraph, the heir, etc. is deemed to have become a member at the decedent's time of death.
第一項又は第二項の場合において、相続人等が数人あるときは、その相続人等全員の同意をもつて選定された一人の相続人等に対してのみ、これらの項の規定を適用する。
(4)In the case referred to in paragraph (1) or (2), if there are two or more heirs, etc., the provisions of these paragraphs apply only to one heir, etc. that has been selected with the consent of all the heirs, etc.
(持分の共有禁止)
(Prohibition on Joint Ownership of Equity Interest)
第三十八条会員は、持分を共有することができない。
Article 38No member may jointly own equity interest.
(取引に係る権利及び義務の承継)
(Succession to Rights and Obligations Connected with Transactions)
第三十九条第三十七条第一項又は第二項の規定により会員の持分並びにその持分についての権利及び義務を承継した者は、当該会員が商品市場においてした取引に係る権利及び義務を承継する。
Article 39A person that has succeeded to the equity interest of a member and to the rights and obligations connected with the equity interest pursuant to the provisions of Article 37, paragraph (1) or (2) succeeds to the rights and obligations connected with the transactions that the member has conducted in the commodity market.
(会員たる地位の承継)
(Succession to Member Status)
第四十条会員につき合併があつたときは、合併後存続する法人又は合併により設立された法人は、会員たる地位を承継する。
Article 40If a member merges, the corporation surviving the merger or the corporation established in the merger succeeds to the member status.
(任意脱退)
(Voluntary Withdrawals)
第四十一条会員は、三十日前までに予告して、会員商品取引所を脱退することができる。
Article 41(1)A member may withdraw from a member commodity exchange with 30 days' advance notice.
前項の予告期間は、定款で延長することができる。ただし、その期間は、一年を超えることができない。
(2)The period of advance notice referred to in the preceding paragraph may be extended by the articles of incorporation; provided, however, that the period may not exceed one year.
(当然脱退)
(Involuntary Withdrawal)
第四十二条会員は、前条及び第四十四条第一項に規定する場合のほか、次に掲げる事由によつて脱退する。
Article 42Beyond what is provided for in the preceding Article and Article 44, paragraph (1), a member is to withdraw from the member commodity exchange for the following reasons:
その者が取引をする商品市場のすべてが第七十条の規定により閉鎖されたこと。
(i)all of the commodity markets in which the person trades have been closed pursuant to the provisions of Article 70;
持分全部の譲渡
(ii)transfer of the whole of the member's shares;
死亡又は解散
(iii)member's death or dissolution; and
除名
(iv)member's expulsion.
(除名)
(Expulsion)
第四十三条会員の除名は、第九十九条第五項の規定によつてする場合及び第百六十条第一項の規定による主務大臣の命令によつてする場合を除き、定款で定める事由のある会員につき、第六十一条に定める会員総会の決議によつてするものとする。
Article 43(1)With the exception of expulsion pursuant to the provisions of Article 99, paragraph (5) and expulsion by order of the competent minister pursuant to the provisions of Article 160, paragraph (1), a member is to be expelled through a resolution of the general meeting of members as provided in Article 61, in respect of a member for whom a reason as specified by the articles of incorporation exists.
前項の場合においては、会員商品取引所は、その会員総会の会日の十日前までに、その会員に対しその旨及び除名の理由を記載した書面を送付し、かつ、会員総会において弁明する機会を与えなければならない。
(2)In the case referred to in the preceding paragraph, a member commodity exchange must send a document stating the fact and the reason for the expulsion to the member by 10 days prior to the day of the general meeting of members, and must give the member an opportunity to provide an explanation at the general meeting of members.
除名は、除名した会員にその旨を通知しなければ、これをもつてその者に対抗することができない。
(3)Expulsion may not be asserted against a member unless the expelled member is notified of the expulsion.
(持分の差押えによる脱退)
(Withdrawal due to Attachment of Equity Interests)
第四十四条会員の持分を差し押さえた債権者は、その会員を脱退させることができる。ただし、会員商品取引所及び会員に対し三十日前までに予告しなければならない。
Article 44(1)A creditor that has attached the equity interest of a member may have the member withdraw from a member commodity exchange; provided, however, that the creditor must give 30 days' advance notice to the member commodity exchange and the member.
前項ただし書の予告は、同項の会員が、同項の債権者に対し、弁済し、又は相当の担保を提供したときは、その効力を失う。
(2)The advance notice referred to in the proviso to the preceding paragraph ceases to be effective if the member referred to in that paragraph makes payment or provides suitable collateral to the creditor referred to in in that paragraph.
会員の持分の差押えは、持分の払戻しを請求する権利に対しても、その効力を有する。
(3)Attachment of the equity interest of a member is also effective against the right to claim a refund of the equity interest.
(持分の払戻し)
(Refunding Equity Interests)
第四十五条脱退した会員は、定款で定めるところにより、その持分の全部又は一部の払戻しを受けることができる。
Article 45(1)A member that has withdrawn from the member commodity exchange may receive a refund of the whole or a part of its equity interest pursuant to the provisions of the articles of incorporation.
前項の持分は、脱退した日の属する月の前月末日における会員商品取引所の財産によつて定める。
(2)The equity interest referred to in the preceding paragraph is decided based on the property of the member commodity exchange as of the last day of the month preceding the month that includes the day on which the member has withdrawn from the member commodity exchange.
前項の持分を計算するに当たり、会員商品取引所の財産をもつて債務を完済することができないときは、会員商品取引所は、定款で定めるところにより、脱退した会員に対し、その負担に帰すべき損失額の払込みを請求することができる。
(3)In calculating the equity interest referred to in the preceding paragraph, if a debt cannot be repaid in full out of the property of the member commodity exchange, the member commodity exchange may file a claim against the member who has withdrawn for payment of the amount of loss that they are liable to bear.
第一項又は前項の規定による請求権は、脱退後二年間行わないときは、時効によつて消滅する。
(4)A claim under paragraph (1) or the preceding paragraph expires by prescription if not exercised within two years after the withdrawal.
脱退した会員が会員商品取引所に対する債務を完済するまでは、会員商品取引所は、持分の払戻しを停止することができる。
(5)A member commodity exchange may suspend the refund of the equity interest until the member that has withdrawn pays its debt in full to the member commodity exchange.
第三款 機関
Subsection 3 Organs
(役員)
(Officers)
第四十六条会員商品取引所に、次の役員を置く。
Article 46(1)A member commodity exchange has the following officers:
理事長 一人
One president;
理事 二人以上
Two or more directors;
監事 二人以上
Two or more auditors.
(理事長及び理事の権限)
(Authority of the President and Directors)
第四十七条理事長は、会員商品取引所を代表し、その事務を総理する。
Article 47(1)The president represents the member commodity exchange and presides over its affairs.
理事は、定款で定めるところにより、会員商品取引所を代表し、理事長を補佐して会員商品取引所の事務を掌理し、理事長に事故があるときにはその職務を代理し、理事長が欠員のときにはその職務を行う。
(2)Directors, pursuant to the provisions of the articles of incorporation, represents the member commodity exchange, assists the president in administering the affairs of the member commodity exchange, acts as a proxy in handling the duties of the president if the president is unavailable, and performs the duties of the president if the position is vacant.
会員商品取引所の事務の執行は、定款に別段の定めがないときは、理事長及び理事の過半数で決する。
(3)The execution of the affairs of a member commodity exchange is decided by a majority vote of the president and directors, unless otherwise specified by the articles of incorporation.
(理事長及び理事の代理行為の委任)
(Delegation of the Authority of the President and Directors)
第四十七条の二理事長及び理事は、定款又は会員総会の決議によつて禁止されていないときに限り、特定の行為の代理を他人に委任することができる。
Article 47-2The president and directors may delegate their authority for specific actions to another person, unless the delegation is prohibited by the articles of incorporation or a resolution of the general meeting of members.
(監事の権限)
(Authority of Auditors)
第四十八条監事は、会員商品取引所の事務を監査する。
Article 48(1)An auditor audits the affairs of the member commodity exchange.
監事は、いつでも理事長若しくは理事に対して事務の報告を求め、又は会員商品取引所の事務及び財産の状況を調査することができる。
(2)An auditor may request the president or a director to give a report on the affairs or examine the state of the affairs and the property of the member commodity exchange at any time.
監事は、理事長が会員総会に提出しようとする書類を調査し、会員総会にその意見を報告しなければならない。
(3)An auditor must examine the documents that the president seeks to submit to a general meeting of members, and report their opinions to the general meeting of members.
(役員の欠格条件)
(Disqualifying Conditions for Officers)
第四十九条第十五条第二項第一号イからルまでのいずれかに該当する者は、会員商品取引所の役員となることができない。
Article 49(1)A person falling under a person referred to in one of Article 15, paragraph (2), item (i), sub-items (a) through (k) may not become the officer of a member commodity exchange.
会員商品取引所の役員が前項に規定する者に該当することとなつたときは、その職を失う。
(2)If an officer of a member commodity exchange comes to fall under a person provided for in the preceding paragraph, the officer loses their position.
(役員の選任)
(Appointment of Officers)
第五十条会員商品取引所の役員は、次項の規定により選任される理事を除き、定款で定めるところにより、会員総会において、会員が選挙する。ただし、設立当時の役員は、創立総会において、会員になろうとする者が選挙する。
Article 50(1)The members elect the officers of a member commodity exchange at a general meeting of members pursuant to the provisions of the articles of incorporation, with the exception of the directors that are appointed pursuant to the provisions of the following paragraph; provided, however, that the persons seeking to become members elect the officers at the time of establishment at the organizational general meeting.
理事長は、定款に特別の定めがある場合には、理事の過半数の同意を得て、定款で定める数の理事を選任する。
(2)If there are special provisions in the articles of incorporation, the president appoints the number of directors specified by the articles of incorporation with the consent of the majority of the directors.
(会員商品取引所と役員との関係)
(Relationship between a Member Commodity Exchange and Officers)
第五十条の二会員商品取引所と役員との関係は、委任に関する規定に従う。
Article 50-2The relationship between a member commodity exchange and its officers is governed by the provisions concerning delegation.
(役員の任期)
(Term of Office of Officers)
第五十一条役員の任期は、三年以内において定款で定める期間とする。
Article 51(1)The term of office of an officer is a period of not more than three years, as specified by the articles of incorporation.
設立当時の役員の任期は、前項の規定にかかわらず、創立総会において定める期間とする。ただし、その期間は、一年を超えることができない。
(2)Notwithstanding the provisions of the preceding paragraph, the term of office of an officer at the time of establishment is the period decided at the organizational meeting; provided, however, that the period may not exceed one year.
(仮理事及び仮監事)
(Provisional Directors and Provisional Auditors)
第五十二条主務大臣は、理事又は監事の職を行う者がない場合において、必要があると認めるときは、仮理事又は仮監事を選任することができる。
Article 52If there is no person to perform the duties of a director or auditor and the competent minister finds it to be necessary, the minister may appoint a provisional director or provisional auditor.
(理事長及び理事の責任)
(Responsibilities of the President and Directors)
第五十三条理事長又は理事がその任務を怠つたときは、その理事長又は理事は、会員商品取引所に対して連帯して損害賠償の責めに任ずる。
Article 53(1)If the president or a director neglects their duties, the president and directors are held jointly and severally liable for damages to the member commodity exchange.
理事長又は理事が法令又は定款に違反する行為をしたときは、会員総会の決議によつた場合でもその理事長又は理事は、第三者に対して連帯して損害賠償の責めに任ずる。
(2)If the president or a director performs an act that violates a law or regulation or the articles of incorporation, even if this was based on a resolution of the general meeting of members, the president and directors are held jointly and severally liable for damages to third parties.
(役員の解任の請求)
(Request for the Dismissal of an Officer)
第五十四条会員は、総会員の五分の一以上の連署をもつて、役員の解任を請求することができる。この場合において、その請求につき、総会員の半数以上が出席する会員総会において、出席会員の三分の二以上の同意があつたときは、その請求に係る役員は、その職を失う。
Article 54(1)A member may request the dismissal of an officer, with the joint signature of at least one-fifth of all the members. In such a case, with regard to the request, the officer which the request concerns loses their position, if there is consent of at least two-thirds of the members present at a general meeting of members with the presence of at least half of all members.
前項の規定による解任の請求は、理事長及び理事の全員又は監事の全員について、同時にしなければならない。ただし、法令又は定款若しくは業務規程に違反したことを理由として解任を請求するときは、この限りでない。
(2)A request for dismissal under the preceding paragraph must be made simultaneously for the president and all of the directors or simultaneously for all of the auditors; provided, however, that this does not apply if the dismissal is requested due to the violation of a law or regulation, the articles of incorporation, or the operational rules.
第一項の規定による解任の請求は、その理由を記載した書面を理事長に提出してしなければならない。
(3)To make request for dismissal under the provisions of paragraph (1), a document stating the reason for the request must be submitted to the president.
第一項の規定による解任の請求があつたときは、理事長は、その請求を会員総会の議に付し、かつ、会員総会の会日から十日前までに、その請求に係る役員に対し、前項の規定による書面を送付し、かつ、会員総会において弁明する機会を与えなければならない。
(4)If a request for dismissal under the provisions of paragraph (1) is made, the president must submit the request for discussion to a general meeting of members and send the document under the provisions of the preceding paragraph to the officer which the request concerns by 10 days before the day of the general meeting of members, and must give that officer an opportunity to provide an explanation at the general meeting of members.
第五十九条第三項、第六項及び第七項の規定は、前項の場合について準用する。
(5)The provisions of Article 59, paragraphs (3), (6), and (7) apply mutatis mutandis to the case referred to in the preceding paragraph.
(役員の兼職禁止)
(Prohibition on the Concurrent Holding of Positions by Officers)
第五十五条会員商品取引所の役員は、他の商品取引所の役員の地位を占めてはならない。
Article 55(1)The officer of a member commodity exchange must not hold the position of officer at another commodity exchange.
理事長又は理事は、その者が理事長又は理事となつている会員商品取引所の監事と、監事は、その者が監事となつている会員商品取引所の使用人又は理事長若しくは理事と兼ねてはならない。
(2)It is prohibited for the president or a director to concurrently hold the position of auditor at the member commodity exchange where the person is serving as president or director, and for an auditor to concurrently hold the position of employee, president, or director at the member commodity exchange where the person is serving as auditor.
(理事の自己契約等の禁止)
(Prohibition of Self-Contract of Directors)
第五十六条会員商品取引所が理事長又は理事と契約をするときは、監事が会員商品取引所を代表する。会員商品取引所と理事長又は理事との訴訟についても、また同様とする。
Article 56When a member commodity exchange concludes a contract with the president or a director, an auditor represents the member commodity exchange. The same applies to litigation between a member commodity exchange and the president or a director.
(定款等の備置き及び閲覧等)
(Keeping and Inspection of Articles of Incorporation)
第五十七条会員商品取引所は、定款及び業務規程を会員商品取引所の各事務所に、会員名簿を主たる事務所に備え置かなければならない。
Article 57(1)A member commodity exchange must keep copies of the articles of incorporation and operational rules at each office of the member commodity exchange, and must keep a register of members at its principal office.
会員商品取引所は、会員総会の議事録を十年間主たる事務所に、その謄本を五年間従たる事務所に備え置かなければならない。
(2)A member commodity exchange must keep the minutes of general meetings of members at its principal office for 10 years, and must keep copies of those minutes at its secondary offices for five years.
会員名簿には、各会員について次に掲げる事項を記載し、又は記録しなければならない。
(3)The following information concerning each member must be stated or recorded in the register of members:
氏名又は商号若しくは名称及び住所
(i)the name or trade name and the address;
加入年月日
(ii)the date of membership;
出資口数、出資金額及びその払込年月日
(iii)the number of units of contribution, the amount of contribution, and the date of payment;
取引をする商品市場における上場商品又は上場商品指数
(iv)the listed commodity or listed commodity index of the commodity market on which the member conducts transactions; and
商品先物取引業者であるときは、許可年月日
(v)if it is a commodity derivatives business operator, the license date.
会員及び会員商品取引所の債権者は、当該会員商品取引所の事業時間内は、いつでも、次に掲げる請求をすることができる。ただし、第二号又は第四号に掲げる請求をするには、当該会員商品取引所の定めた費用を支払わなければならない。
(4)A member or creditor of a member commodity exchange may make the following requests at any time during the business hours of the member commodity exchange; provided, however, that in making the request set forth in item (ii) or (iv), the member or creditor must pay the cost specified by the member commodity exchange:
第一項又は第二項の書面の閲覧の請求
(i)a request to inspect a document referred to in paragraph (1) or (2);
第一項又は第二項の書面の謄本又は抄本の交付の請求
(ii)a request to be issued a certified copy or extract of a document referred to in paragraph (1) or (2);
第一項又は第二項の書面の作成に代えて電磁的記録の作成がされているときは、当該電磁的記録に記録された事項を主務省令で定める方法により表示したものの閲覧の請求
(iii)if an electronic or magnetic record has been prepared in lieu of a document referred to in paragraph (1) or (2), a request to inspect a thing that displays the information that has been recorded in that electronic or magnetic record by the means specified by order of the competent ministry;
前号の電磁的記録に記録された事項を電磁的方法であつて主務省令で定めるものにより提供することの請求又は当該事項を記載した書面の交付の請求
(iv)a request to be provided with the information that has been recorded in an electronic or magnetic record referred to in the preceding item by an electronic or magnetic means specified by order of the competent ministry, or a request to be issued a document that states the information.
会員商品取引所は、前項の規定による請求があつたときは、正当な理由がないのにこれを拒んではならない。
(5)If a member commodity exchange has received a request under the provisions of the preceding paragraph, it must not refuse the request without legitimate grounds.
会社法等の準用)
(Application, Mutatis Mutandis of the Companies Act)
第五十八条会社法第四百二十四条及び第四百三十条の規定は理事長、理事及び監事について、同法第七編第二章第二節(第八百四十七条第二項、第八百四十七条の二、第八百四十七条の三、第八百四十九条第二項、第三項第二号及び第三号並びに第六項から第十一項まで、第八百五十一条並びに第八百五十三条第一項第二号及び第三号を除く。)の規定は理事長、理事及び監事の責任を追及する訴えについて、同法第三百四十九条第四項及び第五項、第三百五十条、第三百五十四条並びに第三百六十一条第一項及び第四項の規定は理事長及び理事について、第五十三条の規定は監事について、それぞれ準用する。この場合において、同法第四百二十四条中「前条第一項」とあるのは「商品先物取引法第五十三条第一項」と、同法第四百三十条中「役員等が」とあるのは「理事長又は理事が」と、「他の役員等も」とあるのは「監事も」と、同法第八百四十七条第一項及び第四項中「法務省令」とあるのは「主務省令」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
Article 58The provisions of Article 424 and Article 430 of the Companies Act apply mutatis mutandis to the president, directors, and auditors; the provisions of Part VII, Chapter II, Section 2 (excluding Article 847, paragraph (2), Article 847-2, Article 847-3, Article 849, paragraph (2), paragraph (3), items (ii) and (iii), and paragraphs (6) through (11), Article 851, and Article 853, paragraph (1), items (ii) and (iii)) of that Act apply mutatis mutandis to an action pursuing the liability of the president, directors, and auditors; the provisions of Article 349, paragraphs (4) and (5), Article 350, Article 354, and Article 361, paragraphs (1) and (4) of that Act apply mutatis mutandis to the president and directors; and the provisions of Article 53 apply mutatis mutandis to the auditors. In such a case, the term "paragraph (1) of the preceding Article" in Article 424 of that Act is deemed to be replaced with "Article 53, paragraph (1) of the Commodity Derivatives Transaction Act", the term "In cases where officers, etc." in Article 430 of that Act is deemed to be replaced with "If the president or a director", the term "another officer, etc." in that Article is deemed to be replaced with "an auditor", the term "Order of the Ministry of Justice" in Article 847, paragraphs (1) and (4) of that Act is deemed to be replaced with "order of the competent ministry", and any other technical replacement of terms is as specified by Cabinet Order.
(会員総会の招集)
(Convocation of General Meetings of Members)
第五十九条理事長は、定款で定めるところにより、毎事業年度一回通常会員総会を招集しなければならない。
Article 59(1)The president must convene an ordinary general meeting of members once every business year pursuant to the provisions of the articles of incorporation.
理事長は、必要があると認めるときは、定款で定めるところにより、いつでも臨時会員総会を招集することができる。
(2)The president may convene an extraordinary general meeting of members pursuant to the provisions of the articles of incorporation, whenever the president finds this to be necessary.
会員が総会員の五分の一以上の者の同意をもつて、会議の目的たる事項及び招集の理由を記載した書面を理事長に提出して、会員総会の招集を請求したときは、理事長は、その請求があつた日から二十日以内に、臨時会員総会を招集しなければならない。
(3)If a member submits a document stating the purpose of a meeting and the grounds for convening a meeting to the president and requests the convocation of a general meeting of members with the consent of at least one-fifth of all the members, the president must convene an extraordinary general meeting of members within 20 days from the day of the request.
前項の場合において、電磁的方法により議決権を行うことが定款で定められているときは、同項の規定による書面の提出に代えて、当該書面に記載すべき事項及び理由を当該電磁的方法により提出することができる。この場合において、当該書面に記載すべき事項及び理由を当該電磁的方法により提出した会員は、当該書面を提出したものとみなす。
(4)In the case referred to in the preceding paragraph, if the articles of incorporation provide that a voting right is to be exercised by electronic or magnetic means, in lieu of submitting the document under the provisions of that paragraph, a member may submit the purpose and grounds that are required to be stated in that document by electronic or magnetic means. In such a case, a member that has submitted the purpose and grounds that are required to be stated in the document by electronic or magnetic means is deemed to have submitted that document.
前項前段の電磁的方法(主務省令で定める方法を除く。)により行われた当該書面に記載すべき事項及び理由の提供は、理事長の使用に係る電子計算機に備えられたファイルへの記録がされた時に当該理事長に到達したものとみなす。
(5)In providing the purpose and grounds that are required to be stated in a document by the electronic or magnetic means (excluding any means specified by order of the competent ministry) referred to in the first sentence of the preceding paragraph, the purpose and grounds are deemed to have reached the president at the time that they are recorded in a file on a computer used by the president.
理事長の職務を行う者がないとき、又は第三項の請求があつた場合において理事長が正当な理由がないのに招集の手続をしないときは、監事は、遅滞なく、会員総会を招集しなければならない。
(6)If there is no person to perform the duties of the president, or if a request set forth in paragraph (3) is made but the president fails to implement convocation procedures without legitimate grounds for failing to do so, an auditor must convene a general meeting of members without delay.
前項の場合において、監事の職務を行う者がないとき、又は監事が正当な理由がないのに同項の手続をしないときは、第三項の会員は、主務大臣の承認を得て、会員総会を招集することができる。
(7)In the case referred to in the preceding paragraph, if there is no person to perform the duties of auditor, or if an auditor does not go through the procedures referred to in that paragraph without legitimate grounds, the member referred to in paragraph (3) may convene a general meeting of members with the approval of the competent minister.
会員総会を招集するには、会日から十日前までに、各会員に対して、書面をもつて招集の通知を発しなければならない。ただし、第二項、第三項、第六項及び前項に規定する招集については、定款でこの期間を短縮することができる。
(8)In order to convene a general meeting of members, a notice of convocation must be sent in writing to each member by 10 days prior to the day of the meeting; provided, however, that this period may be shortened by the articles of incorporation with regard to a convocation of a meeting prescribed in paragraph (2), (3), (6), or the preceding paragraph.
前項の通知には、会議の目的たる事項を記載し、又は記録しなければならない。
(9)The purpose of the meeting must be stated or recorded in the notice referred to in the preceding paragraph.
10会員総会を招集する者は、第八項の規定による書面による通知の発出に代えて、政令で定めるところにより、会員の承諾を得て、電磁的方法により通知を発することができる。この場合において、当該通知を当該電磁的方法により発した会員総会を招集する者は、同項の規定による書面による通知を発したものとみなす。
(10)In lieu of sending a written notice under the provisions of paragraph (8), a person that convenes a general meeting of members may send the notice by electronic or magnetic means, with the consent of the members and pursuant to the provisions of Cabinet Order. In such a case, the person that has sent the notice by electronic or magnetic means to convene a general meeting of members is deemed to have sent the written notice under the provisions of that paragraph.
(会員総会の決議事項)
(Matters to be Resolved at General Meeting of Members)
第六十条この法律に特別の定めがあるもののほか、次に掲げる事項は、会員総会の決議を経なければならない。
Article 60In addition to what is specifically provided for in this Act, the following matters require a resolution of a general meeting of members:
定款の変更
(i)changes to the articles of incorporation;
貸借対照表、損益計算書、業務報告書、剰余金処分案及び損失処理案の承認
(ii)approval of the balance sheet, profit and loss statement, business report, and proposed appropriation of surplus, or proposed disposal of losses;
経費の賦課及び徴収の方法
(iii)the method of imposing and collecting expenses;
解散
(iv)dissolution;
合併
(v)merger;
会員の除名
(vi)expulsion of a member; and
その他定款で定める事項
(vii)any other matter specified by the articles of incorporation.
(会員総会の特別決議事項)
(Matters that Require a Special Resolution of a General Meeting of Members)
第六十一条前条第一号及び第四号から第六号までに掲げる事項は、総会員の半数以上が出席し、その議決権の三分の二以上の多数による決議を経なければならない。
Article 61The matters set forth in item (i) and items (iv) through (vi) of the preceding Article require a resolution to be passed with at least a two-thirds majority vote of the members present, at a meeting in which at least half of all members are present.
(会員総会の議事)
(Proceedings of General Meeting of Members)
第六十二条会員総会の議事は、この法律又は定款に特別の定めがある場合を除いて、出席した会員の議決権の過半数で決し、可否同数のときは、議長の決するところによる。
Article 62(1)Unless specifically provided for in this Act or in the articles of incorporation, proceedings of general meeting of members are decided by the majority vote of the members present, and the chairperson makes the decision in the event of a tie.
議長は、会員総会において選任する。
(2)The chairperson is appointed at a general meeting of members.
議長は、会員として会員総会の決議に加わる権利を有しない。
(3)The chairperson is not entitled to take part in a resolution of a general meeting of members as a member.
会員総会においては、第五十九条第八項の規定によりあらかじめ通知した事項についてのみ決議することができる。ただし、定款で別段の定めをしたときは、この限りでない。
(4)Only the matters for which notice is given in advance pursuant to the provisions of Article 59, paragraph (8) may be resolved at a general meeting of members; provided, however, that this does not apply if otherwise provided for in the articles of incorporation.
会員総会の議事録には、出席した監事も署名しなければならない。
(5)The minutes of a general meeting of members must also be signed by the auditors present.
(延期又は続行の決議)
(Resolution for Postponement or Continuation)
第六十二条の二会員総会においてその延期又は続行について決議があつた場合には、第五十九条第八項本文の規定は、適用しない。
Article 62-2If a resolution has been made to postpone or continue the meeting at a general meeting of members, the provisions of the main clause of Article 59, paragraph (8) do not apply.
(議事録)
(Minutes)
第六十二条の三会員総会の議事については、主務省令で定めるところにより、議事録を作成しなければならない。
Article 62-3The minutes of a general meeting of members must be prepared pursuant to the provisions of order of the competent ministry.
会社法の準用)
(Application, Mutatis Mutandis of the Companies Act)
第六十三条会社法第八百三十条、第八百三十一条、第八百三十四条(第十六号及び第十七号に係る部分に限る。)、第八百三十五条第一項、第八百三十六条第一項及び第三項、第八百三十七条、第八百三十八条、第八百四十六条並びに第九百三十七条第一項(第一号トに係る部分に限る。)の規定は、会員総会の決議の不存在若しくは無効の確認又は取消しの訴えについて準用する。この場合において、同項中「会社の本店(第一号トに規定する場合であって当該決議によって第九百三十条第二項各号に掲げる事項についての登記がされているときにあっては、本店及び当該登記に係る支店)」とあるのは、「会員商品取引所の主たる事務所(第一号トに規定する場合であって当該決議によって商品先物取引法第二十四条第二項各号に掲げる事項についての登記がされているときにあっては、主たる事務所及び当該登記に係る従たる事務所)」と読み替えるものとする。
Article 63The provisions of Article 830, Article 831, Article 834 (limited to the part related to items (xvi) and (xvii)), Article 835, paragraph (1), Article 836, paragraphs (1) and (3), Article 837, Article 838, Article 846, and Article 937, paragraph (1) (limited to the part that involves item (i) (g)) of the Companies Act apply mutatis mutandis to an action for a declaratory judgment as to the absence or invalidity of a resolution of a general meeting of members or an action seeking the rescission of the resolution. In such a case, the phrase "the head office (or, in the case prescribed in item (i), (g), if the matters set forth in the items of Article 930, paragraph (2) have been registered as a result of the resolution, the head office and the branch offices which the registration concerns)" in Article 937, paragraph (1) is deemed to be replaced with "the principal office of the member commodity exchange (or, in the case prescribed in item (i), (g), if a particular set forth in the items of Article 24, paragraph (2) of the Commodity Derivatives Transaction Act is registered as a result of the resolution, the principal office and the secondary office which the registration concerns)".
第四款 計算
Subsection 4 Accounts
(損失てん補準備金)
(Loss Reserves)
第六十四条会員商品取引所は、定款で定めるところにより、毎事業年度の剰余金の百分の十以上を損失てん補準備金として積み立てなければならない。
Article 64(1)A member commodity exchange must set aside at least ten percent of surplus for each business year as loss reserves pursuant to the provisions of the articles of incorporation.
前項の準備金は、損失のてん補に充てる場合を除いては、取り崩してはならない。
(2)The reserves referred to in the preceding paragraph may not be reduced, except in the case of allocating them to loss compensation.
(剰余金の配当禁止)
(Prohibition of Distribution of Surplus)
第六十五条会員商品取引所は、剰余金の分配をしてはならない。
Article 65A member commodity exchange may not distribute its surplus.
(決算関係書類等の作成)
(Preparation of Account Settlement Documents)
第六十六条会員商品取引所は、主務省令で定めるところにより、財産目録、貸借対照表、損益計算書、業務報告書及び剰余金処分案又は損失処理案(以下「決算関係書類等」という。)を作成しなければならない。
Article 66(1)A member commodity exchange must prepare an inventory of property, balance sheet, profit and loss statement, business report, and proposed appropriation of surplus or proposed disposal of losses (hereinafter referred to as "account settlement documents, etc.") pursuant to the provisions of order of the competent ministry.
決算関係書類等は、電磁的記録をもつて作成することができる。
(2)Account settlement documents, etc. may be prepared as electronic or magnetic records.
(決算関係書類等の提出等)
(Submission of Account Settlement Documents)
第六十七条理事長は、通常会員総会の会日の二週間前までに、決算関係書類等(これらのものが電磁的記録で作成され、又はその作成に代えて電磁的記録の作成がされている場合における当該電磁的記録を含む。)を監事に提出し、又は提供しなければならない。
Article 67The president must submit or provide account settlement documents, etc. (including electronic or magnetic records, if these documents have been prepared as electronic or magnetic records or if electronic or magnetic records are prepared in lieu of documents) to the auditors by two weeks before the day of an ordinary general meeting of members.
(決算関係書類等の承認及び報告)
(Approval and Reporting of Account Settlement Documents)
第六十八条決算関係書類等(財産目録及び業務報告書を除く。)は、通常会員総会の承認を受けなければならない。
Article 68(1)Account settlement documents, etc. (excluding the inventory of property and business report) must be approved by an ordinary general meeting of members.
理事長は、業務報告書の内容を通常会員総会に報告しなければならない。
(2)The president must report the content of the business report at an ordinary general meeting of members.
(決算関係書類等の備置き及び閲覧等)
(Keeping and Inspection of Account Settlement Documents)
第六十八条の二会員商品取引所は、決算関係書類等を、通常会員総会の会日の二週間前の日から五年間、その主たる事務所に備え置かなければならない。
Article 68-2(1)A member commodity exchange must keep the account settlement documents, etc. at its principal office for five years, beginning from the day two weeks prior to the day of the relevant ordinary general meeting of members.
会員商品取引所は、決算関係書類等の写しを、通常会員総会の会日の二週間前の日から三年間、その従たる事務所に備え置かなければならない。ただし、決算関係書類等が電磁的記録で作成されている場合であつて、従たる事務所における次項第三号及び第四号に掲げる請求に応じることを可能とするための措置として主務省令で定めるものをとつているときは、この限りでない。
(2)A member commodity exchange must keep a copy of account settlement documents, etc. at its secondary offices for three years, beginning from the day two weeks prior to the day of the relevant ordinary general meeting of members; provided, however, that this does not apply if the account settlement documents, etc. have been prepared as electronic or magnetic records and a measure specified by order of the competent ministry as a measure that enables a secondary office to respond to the requests set forth in items (iii) and (iv) of the following paragraph has been taken.
会員及び会員商品取引所の債権者は、会員商品取引所に対して、その事業時間内は、いつでも、次に掲げる請求をすることができる。ただし、第二号又は第四号に掲げる請求をするには、当該会員商品取引所の定めた費用を支払わなければならない。
(3)The member or creditor of a member commodity exchange may make the following requests to the member commodity exchange at any time during its business hours; provided, however, that in making the request set forth in item (ii) or (iv), the member or creditor must pay the cost specified by the member commodity exchange:
決算関係書類等が書面をもつて作成されているときは、当該書面又は当該書面の写しの閲覧の請求
(i)if account settlement documents, etc. have been prepared as documents, a request to inspect the documents or their copies;
前号の書面の謄本又は抄本の交付の請求
(ii)a request to be issued a certified copy or extract of the documents referred to in the preceding item;
決算関係書類等が電磁的記録をもつて作成されているときは、当該電磁的記録に記録された事項を主務省令で定める方法により表示したものの閲覧の請求
(iii)if account settlement documents, etc. have been prepared as electronic or magnetic records, a request to inspect a thing that displays the information that have been recorded in that electronic or magnetic record by the means specified by order of the competent ministry;
前号の電磁的記録に記録された事項を電磁的方法であつて主務省令で定めるものにより提供することの請求又はその事項を記載した書面の交付の請求
(iv)a request to be provided with the information that has been recorded in an electronic or magnetic record referred to in the preceding item by an electronic or magnetic means specified by order of the competent ministry, or a request to be issued a document that states the information.
(貸借対照表の公告)
(Public Notice of the Balance Sheet)
第六十八条の三会員商品取引所は、主務省令で定めるところにより、通常会員総会の終結後遅滞なく、貸借対照表を公告しなければならない。
Article 68-3A member commodity exchange must issue public notice of its balance sheet pursuant to the provisions of order of the competent ministry without delay, after the conclusion of an ordinary general meeting of members.
第五款 解散及び清算
Subsection 5 Dissolution and Liquidation
(会員商品取引所の解散)
(Dissolution of a Member Commodity Exchange)
第六十九条会員商品取引所は、次に掲げる事由によつて解散する。
Article 69A member commodity exchange is to dissolve due to the following grounds:
定款で定めた存続期間の満了又は解散事由の発生
(i)the expiration of the term of existence or the occurrence of grounds for dissolution specified in the articles of incorporation;
会員総会の決議
(ii)a resolution of a general meeting of members;
合併(合併により当該会員商品取引所が消滅する場合の当該合併に限る。第七十一条及び第七十二条において同じ。)
(iii)a merger (limited to a merger in which the member commodity exchange disappears; the same applies in Articles 71 and 72);
破産手続開始の決定
(iv)an order of commencement of bankruptcy proceedings;
設立の許可の取消し
(v)a revocation of permission for establishment;
会員の数がすべての商品市場について十人以下となつたこと。
(vi)the number of members becomes 10 or less for all of its commodity markets.
(一部の商品市場の閉鎖)
(Closure of Some Commodity Markets)
第七十条会員商品取引所は、その開設する商品市場において取引をする会員の数が十人以下となつたときは、前条第六号に掲げる事由により解散する場合を除くほか、当該商品市場における取引を停止し、第百五十五条第一項の規定による定款の変更の認可の申請をしなければならない。
Article 70If the number of members conducting transactions in a commodity market that a member commodity exchange operates becomes 10 or less, the member commodity exchange must suspend the transactions in that commodity market and file an application for authorization for a change to the articles of incorporation pursuant to the provisions of Article 155, paragraph (1), unless the commodity market is to be dissolved for the reason set forth in item (vi) of the preceding Article.
(清算人)
(Liquidators)
第七十一条会員商品取引所が解散したときは、合併及び破産手続開始の決定による解散の場合を除いては、理事長及び理事がその清算人となる。ただし、会員総会において他人を選任したときは、この限りでない。
Article 71If a member commodity exchange is dissolved, the president and directors become the liquidators, unless it is dissolved in a merger or due to an order of commencement of bankruptcy proceedings; provided, however, that this does not apply if another person is appointed at a general meeting of members.
(残余財産の分配)
(Distribution of Residual Assets)
第七十一条の二残余財産は、会員の出資口数に応じて分配しなければならない。
Article 71-2Residual assets must be distributed based on a member's number of units of contribution.
(解散の登記)
(Registration of Dissolution)
第七十二条会員商品取引所が解散したときは、合併及び破産手続開始の決定による解散の場合を除くほか、二週間以内に、その主たる事務所の所在地において、解散の登記をしなければならない。
Article 72If a member commodity exchange is dissolved, the dissolution must be registered at the locality of its principal office within two weeks from the dissolution, unless it is dissolved in a merger or due to an order of commencement of bankruptcy proceedings.
(清算結了の登記)
(Registration of Completion of Liquidation)
第七十三条清算が結了したときは、第七十七条第一項において準用する会社法第五百七条第三項の承認の日から、その主たる事務所の所在地においては二週間以内に、その従たる事務所の所在地においては三週間以内に、清算結了の登記をしなければならない。
Article 73Once a liquidation is complete, the completion of liquidation must be registered at the locality of the principal office within two weeks, and at the locality of the secondary offices within three weeks, from the day of the approval referred to in Article 507, paragraph (3) of the Companies Act as applied mutatis mutandis pursuant to Article 77, paragraph (1).
(解散の登記の申請)
(Application for Registration of Dissolution)
第七十四条会員商品取引所の解散の登記の申請書には、解散の事由を証する書面及び理事長又は会員商品取引所を代表すべき理事が清算人でない場合においては、会員商品取引所を代表すべき清算人であることを証する書面を添付しなければならない。
Article 74(1)A document certifying the reason for dissolution must be attached to the written application to register the dissolution of a member commodity exchange, and if the president or director that represents the member commodity exchange is not the liquidator, a document certifying that the liquidator is the person that is to represent the member commodity exchange must be attached to the written application.
会員商品取引所が主務大臣の設立の許可の取消しの処分により解散する場合における解散の登記は、主務大臣の嘱託によつてする。
(2)If a member commodity exchange is dissolved by the competent minister's disposition to revoke the permission for establishment, the registration of its dissolution is made at the request of the competent minister.
(清算結了の登記の申請)
(Application for the Registration of the Completion of Liquidation)
第七十五条第七十三条の規定による登記の申請書には、第七十七条第一項において準用する会社法第五百七条第三項の承認があつたことを証する書面を添付しなければならない。
Article 75A document evidencing that the approval referred to in Article 507, paragraph (3) of the Companies Act as applied mutatis mutandis pursuant to Article 77, paragraph (1) has been obtained must be attached to the written application for a registration under the provisions of Article 73.
(会員商品取引所の合併の認可等)
(Approval of the Merger of a Member Commodity Exchange)
第七十六条会員商品取引所を全部又は一部の当事者とする合併(第百四十五条第一項の合併を除く。)は、主務大臣の認可を受けなければ、その効力を生じない。
Article 76(1)A merger in which member commodity exchanges constitute all or part of the parties (excluding a merger referred to in Article 145, paragraph (1)) does not become effective without the authorization of the competent minister.
会員商品取引所が次に掲げる事由により解散したときは、その代表者であつた者は、遅滞なく、その旨を主務大臣に届け出なければならない。
(2)If a member commodity exchange is dissolved for one of the following reasons, the person that was its representative must notify the competent minister of the fact without delay:
定款で定めた存続期間の満了又は解散事由の発生
(i)the expiration of the term of existence or the occurrence of grounds for dissolution specified in the articles of incorporation;
会員総会の決議
(ii)a resolution of a general meeting of members;
破産手続開始の決定
(iii)an order of commencement of bankruptcy proceedings;
会員の数がすべての商品市場について十人以下となつたこと。
(iv)the number of members becomes 10 or less for all of its commodity markets.
会社法等の準用等)
(Application, Mutatis Mutandis of the Companies Act)
第七十七条会社法第四百七十五条(第一号及び第三号を除く。)、第四百七十六条、第四百七十八条第二項及び第四項、第四百七十九条第一項及び第四項、第四百八十一条、第四百八十二条第二項、第四百八十三条第四項から第六項まで、第四百八十四条、第四百八十五条、第四百九十二条第一項から第三項まで、第四百九十九条から第五百三条まで、第五百七条、第八百六十八条第一項、第八百六十九条、第八百七十条第一項(第一号に係る部分に限る。)、第八百七十一条、第八百七十二条(第四号に係る部分に限る。)、第八百七十四条(第一号及び第四号に係る部分に限る。)、第八百七十五条並びに第八百七十六条の規定は、会員商品取引所の清算について準用する。この場合において、同法第四百九十二条第一項及び第五百七条第一項中「法務省令」とあるのは「主務省令」と、同法第四百九十九条第一項中「官報に公告し」とあるのは「公告し」と読み替えるものとする。
Article 77(1)The provisions of Article 475 (excluding items (i) and (iii)), Article 476, Article 478, paragraphs (2) and (4), Article 479, paragraphs (1) and (4), Article 481, Article 482, paragraph (2), Article 483, paragraphs (4) through (6), Article 484, Article 485, Article 492, paragraphs (1) through (3), Articles 499 through 503, Article 507, Article 868, paragraph (1), Article 869, Article 870, paragraph (1) (limited to the part related to item (i)), Article 871, Article 872 (limited to the part related to item (iv)), Article 874 (limited to the part related to items (i) and (iv)), Article 875, and Article 876 of the Companies Act apply mutatis mutandis to the liquidation of a member commodity exchange. In such a case, the term "Order of the Ministry of Justice" in Article 492, paragraph (1) and Article 507, paragraph (1) of that Act is deemed to be replaced with "order of the competent ministry", and the phrase "give public notice in an Official Gazette" in Article 499, paragraph (1) of that Act is deemed to be replaced with "issue public notice".
第四十八条第二項及び第三項、第五十条の二、第五十三条、第五十五条から第五十七条まで、第五十九条、第六十二条の三並びに第六十六条から第六十八条の三まで並びに会社法第三百六十一条第一項及び第四項、第四百二十四条、第四百三十条、第五百九十九条並びに第六百条の規定は会員商品取引所の清算人について、同法第七編第二章第二節(第八百四十七条第二項、第八百四十七条の二、第八百四十七条の三、第八百四十九条第二項、第三項第二号及び第三号並びに第六項から第十一項まで、第八百五十一条並びに第八百五十三条第一項第二号及び第三号を除く。)の規定は会員商品取引所の清算人の責任を追及する訴えについて、それぞれ準用する。この場合において、第六十六条第一項中「財産目録、貸借対照表、損益計算書、業務報告書及び剰余金処分案又は損失処理案」とあるのは「財産目録、貸借対照表及び事務報告書」と、同法第四百二十四条中「前条第一項」とあるのは「商品先物取引法第五十三条第一項」と、同法第八百四十七条第一項及び第四項中「法務省令」とあるのは「主務省令」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
(2)The provisions of Article 48, paragraphs (2) and (3), Article 50-2, Article 53, Articles 55 through 57, Article 59, Article 62-3, and Articles 66 through 68-3 of this Act and the provisions of Article 361, paragraphs (1) and (4), Article 424, Article 430, Article 599, and Article 600 of the Companies Act apply mutatis mutandis to the liquidators of a member commodity exchange, and the provisions of Part VII, Chapter II, Section 2 (excluding Article 847, paragraph (2), Article 847-2, Article 847-3, Article 849, paragraph (2), paragraph (3), items (ii) and (iii), and paragraphs (6) to (11) inclusive, Article 851, and Article 853, paragraph (1), items (ii) and (iii)) of that Act apply mutatis mutandis to an action pursuing the liability of the liquidators of a member commodity exchange. In such a case, the phrase "inventory of property, balance sheet, profit and loss statement, business report, and proposed appropriation of surplus or proposed disposal of losses" in Article 66, paragraph (1) is deemed to be replaced with "inventory of property, balance sheet, and business report", the phrase "paragraph (1) of the preceding Article" in Article 424 of the Companies Act is deemed to be replaced with "Article 53, paragraph (1) of the Commodity Derivatives Transaction Act", the phrase " Order of the Ministry of Justice" in Article 847, paragraphs (1) and (4) of that Act is deemed to be replaced with "order of the competent ministry", and any other technical replacement of terms is specified by Cabinet Order.
会員商品取引所の清算を監督する裁判所は、主務大臣に対し、意見を求め、又は調査を嘱託することができる。
(3)The court supervising the liquidation of a member commodity exchange may seek opinions of or commission an investigation to the competent minister.
主務大臣は、前項に規定する裁判所に対し、意見を述べることができる。
(4)The competent minister may state an opinion to the court prescribed in the preceding paragraph.
商業登記法第七十一条第一項の規定は、会員商品取引所の解散の登記について準用する。
(5)The provisions of Article 71, paragraph (1) of the Commercial Registration Act apply mutatis mutandis to the registration of the dissolution of a member commodity exchange.
第三節 株式会社商品取引所
Section 3 Incorporated Commodity Exchanges
第一款 総則
Subsection 1 General Provisions
(株式会社商品取引所の許可)
(License of an Incorporated Commodity Exchange)
第七十八条株式会社商品取引所になろうとする者は、主務大臣の許可を受けなければならない。
Article 78A person that seeks to become an incorporated commodity exchange must obtain a license from the competent minister.
(許可の申請)
(Applications for Licenses)
第七十九条前条の許可を受けようとする者は、次に掲げる事項を記載した申請書を主務大臣に提出しなければならない。
Article 79(1)A person seeking to obtain the license referred to in the preceding Article must submit a written application stating the following information to the competent minister:
商号
(i)the trade name;
資本金の額
(ii)the amount of stated capital;
本店、支店その他の営業所の所在地
(iii)the location of the head office, branch offices, and any other business offices;
上場商品又は上場商品指数
(iv)the listed commodity or listed commodity index;
役員の氏名又は名称及び住所
(v)the names or trade names and addresses of the officers;
取引参加者の氏名又は商号若しくは名称及び取引参加者が取引をする商品市場における上場商品又は上場商品指数並びに取引参加者が一年以上継続して上場商品構成品等の売買等を業として行つている場合にあつてはその旨
(vi)the names or trade names of the trading participants and the listed commodity or listed commodity index of the commodity market in which the trading participants will conduct transactions, and the fact that the trading participant has continuously engaged in the purchase and sale, etc. of the component products of listed commodities etc. in the course of trade for one year or more, if applicable.
前項の申請書には、定款、業務規程、受託契約準則、紛争処理規程、市場取引監視委員会規程その他主務省令で定める書類を添付しなければならない。
(2)The articles of incorporation, operational rules, entrustment contract regulations, dispute resolution rules, market transactions surveillance committee rules, and other documents specified by order of the competent ministry must be attached to the written application referred to in the preceding paragraph.
(許可の基準等)
(Licensing Criteria)
第八十条主務大臣は、第七十八条の許可の申請が次に掲げる基準に適合していると認めるときは、許可をしなければならない。
Article 80(1)If the competent minister finds that an application for the license referred to in Article 78 conforms to the following criteria, the minister must grant the license:
許可申請者が株式会社でその資本金の額が政令で定める金額以上のものであること。
(i)the license applicant is a stock company whose stated capital is at least the amount specified by Cabinet Order;
申請に係る商品市場が、次に掲げる商品市場の区分に応じ、それぞれ次に定める基準に適合していること。
(ii)the commodity market which the application concerns conforms to the criteria prescribed in the following sub-items in accordance with the category of commodity market set forth in each sub-item:
上場商品に係る商品市場 当該商品市場において取引をしようとする取引参加者の合計数が二十人以上であり、かつ、その過半数の者が、一年以上継続して当該商品市場における上場商品構成品の売買等を業として行つている者であること。
(a)a commodity market for a listed commodity: the total number of trading participants that seek to conduct transactions in the commodity market is 20 or more, and the majority of them have continuously engaged in the purchase and sale, etc. of the component products of listed commodities of the commodity market in the course of trade for one year or more;
上場商品指数に係る商品市場 当該商品市場において取引をしようとする取引参加者の合計数が二十人以上であり、かつ、その過半数の者が、一年以上継続して当該商品市場における上場商品指数対象品の売買等を業として行つている者であること。
(b)a commodity market for a listed commodity index: the total number of trading participants that seek to conduct transactions in the commodity market is 20 or greater, and the majority of them have continuously engaged in the purchase and sale, etc. of the products underlying the listed commodity index of the commodity market in the course of trade for one year or more.
申請に係る上場商品又は上場商品指数の先物取引を公正かつ円滑にするために十分な取引量が見込まれることその他上場商品構成品等の取引の状況に照らし、許可申請者が当該先物取引をする株式会社商品取引所になることが当該上場商品構成品等の生産及び流通を円滑にするため必要かつ適当であること。
(iii)the volume of transactions is expected to be sufficient for ensuring fair and smooth futures transactions in the listed commodity or listed commodity index which the application concerns, and in light of the status of transactions of the component products of listed commodities, etc., it is necessary and appropriate for the license applicant to become an incorporated commodity exchange in which the futures transactions are conducted, in order to facilitate the production and distribution of the component products of listed commodities, etc.;
上場商品に係る商品市場を開設しようとする場合にあつては、上場商品構成品の売買等を業として行つている者の取引の状況その他の当該上場商品構成品に係る経済活動の状況に照らして、当該上場商品構成品を一の商品市場で取引することが適当であることとして政令で定める基準に適合すること。
(iv)if the applicant seeks to open a commodity market for a listed commodity, the situation conforms to the criteria specified by Cabinet Order as a situation in which it is appropriate for the component products of listed commodities to be traded on a single commodity market, in light of the status of transactions of the persons conducting purchase and sales, etc. of component products of listed commodities in the course of trade, and in light of circumstances of economic activities related to the component products of listed commodities;
二以上の商品指数を一の上場商品指数として商品市場を開設しようとする場合にあつては、当該二以上の商品指数の対象となる物品又は電力の大部分が共通していること。
(v)if the applicant seeks to open a commodity market with two or more commodity indices as a single listed commodity index, most of the goods or electric power underlying those two or more commodity indices are the same;
定款、業務規程、受託契約準則、紛争処理規程及び市場取引監視委員会規程の規定が法令に違反せず、かつ、定款、業務規程、受託契約準則、紛争処理規程又は市場取引監視委員会規程に規定する取引の方法又は管理、取引参加者の資格、取引参加者の数の最高限度を定めた場合におけるその最高限度、特別担保金の預託義務を定めた場合におけるその預託に関する事項その他の事項が適当であつて、商品市場における取引の公正を確保し、及び委託者を保護するため十分であること。
(vi)the provisions of the articles of incorporation, operational rules, entrustment contract regulations, dispute resolution rules, and market transactions surveillance committee rules do not violate laws and regulations, and the method or management of trade, qualification of trading participants, maximum number of trading participants if it is specified, particulars of deposits if the obligation to deposit a special deposit is specified, and other particulars prescribed in the articles of incorporation, operational rules, entrustment contract regulations, dispute resolution rules, and market transactions surveillance committee rules are appropriate and sufficient for ensuring the fairness of transactions in the commodity market and for protecting consignors;
許可申請者が商品市場を適切に運営するに足りる人的構成を有するものであること。
(vii)the license applicant has a sufficient personnel structure to operate a commodity market in an appropriate manner;
許可申請者が株式会社商品取引所としてこの法律の規定に適合するように組織されるものであること。
(viii)the license applicant is to be organized in a manner that conforms to the provisions of this Act as an incorporated commodity exchange;
次に掲げる機関を置くものであること。
(ix)the license applicant has in place the following organs:
取締役会
(a)a board of company directors;
監査役会、監査等委員会又は指名委員会等(会社法第二条第十二号に規定する指名委員会等をいう。第九十六条の二十七第二項第一号ロにおいて同じ。)
(b)a board of company auditors, an audit and supervisory committee, or nominating committee, etc. (meaning a nominating committee, etc. prescribed in Article 2, item (xii) of the Companies Act; the same applies in Article 96-27, paragraph (2), item (i), (b)); and
会計監査人
(c)a financial auditor.
主務大臣は、第七十八条の許可の申請が次の各号のいずれかに該当する場合には、前項の規定にかかわらず、同条の許可をしてはならない。
(2)If an application for the license referred to in Article 78 falls under one of the following items, the competent minister must not grant the license referred to in that Article notwithstanding the provisions of the preceding paragraph:
許可申請者が第十五条第二項第一号ハからホまで、リ又はヲのいずれかに該当する者であるとき。
(i)the license applicant falls under a person referred to in one of Article 15, paragraph (2), item (i), sub-items (c) through (e), sub-item (i), or sub-item (l);
申請書又はこれに添付すべき書類のうちに重要な事項について虚偽の記載があるとき。
(ii)the written application or documents that are required to be attached to the written application include a false statement about a material particular.
主務大臣は、株式会社商品取引所としての存続期間又は商品市場の開設期限が業務規程に記載され、又は記録されている第七十八条の許可の申請があつた場合においては、第一項第三号の基準に代えて、申請に係る上場商品又は上場商品指数の先物取引を公正かつ円滑にするために十分な取引量が見込まれないことその他上場商品構成品等の取引の状況に照らし、当該先物取引をする株式会社商品取引所になることが当該上場商品構成品等の生産及び流通に著しい支障を及ぼし、又は及ぼすおそれがあることに該当しないことを同号の基準とし、当該基準並びに同項第四号及び第五号の基準の適用は、当該存続期間又は開設期限までの間について判断して行うものとする。
(3)If an application is filed for the license referred to in Article 78 in which the applicant's term of existence as an incorporated commodity exchange or the expiration date of the commodity market is stated or recorded in the operational rules, the criteria set forth in paragraph (1), item (iii) is replaced by the criteria that in light of the fact that the volume of transactions is not expected to fall short in terms of ensuring fair and smooth futures transactions of the listed commodity or listed commodity index which the application concerns, and the status of transactions of the component products of listed commodities, etc., the applicant becoming an incorporated commodity exchange in which the futures transactions are conducted does not and is not likely to cause a significant hindrance to the production and distribution of the component products of listed commodities, etc., and for the application of these criteria and the criteria referred to in items (iv) and (v) of that paragraph, the competent minister is to make a judgment on those criteria for the term of existence or the period until the end of the expiry date.
第十五条第四項から第十一項までの規定は、第七十八条の許可について準用する。
(4)The provisions of Article 15, paragraphs (4) through (11) apply mutatis mutandis to the license referred to in Article 78.
(定款)
(Articles of Incorporation)
第八十一条株式会社商品取引所の定款には、会社法第二十七条各号に掲げる事項のほか、次に掲げる事項を記載し、又は記録しなければならない。
Article 81In addition to the particulars set forth in the items of Article 27 of the Companies Act, the following particulars must be stated in the articles of incorporation of an incorporated commodity exchange:
取引参加者に対する監査及び制裁に関する事項
(i)the particulars related to audits of and sanctions against trading participants;
商品市場外における取引参加者間の契約に対する定款、業務規程、受託契約準則及び紛争処理規程の拘束力に関する事項
(ii)the particulars concerning the binding effect of the articles of incorporation, operational rules, entrustment contract regulations, and dispute resolution rules on contracts between trading participants concluded outside the commodity market;
商品市場に関する事項
(iii)the particulars concerning the commodity market;
自主規制委員会を設置する場合にあつては、その旨
(iv)if a self-regulatory committee will be established, an indication of this.
(株式会社商品取引所の子会社の範囲の特例)
(Special Provisions on the Scope of the Subsidiary Companies of an Incorporated Commodity Exchange)
第八十一条の二株式会社商品取引所は、第三条第一項ただし書の認可及び金融商品取引法第八十条第一項の免許を受けて取引所金融商品市場を開設している場合には、第三条の二第一項の規定にかかわらず、主務大臣の認可を受けないで、取引所金融商品市場の開設の業務及びこれに附帯する業務を行う会社を子会社(同条第三項に規定する子会社をいう。以下同じ。)とすることができる。
Article 81-2If an incorporated commodity exchange is operating a financial instruments exchange market by obtaining the authorization referred to in the proviso to Article 3, paragraph (1) or the license referred to in Article 80, paragraph (1) of the Financial Instruments and Exchange Act, notwithstanding the provisions of Article 3-2, paragraph (1), the incorporated commodity exchange may have a company engaging in the business of operating a financial instruments exchange market and other incidental business as its subsidiary company (meaning a subsidiary company as prescribed in Article 3-2, paragraph (3)), without obtaining the authorization of the competent minister.
(株式会社商品取引所の取引参加者)
(Trading Participants of an Incorporated Commodity Exchange)
第八十二条株式会社商品取引所は、業務規程で定めるところにより、その開設する商品市場における取引を行うための取引資格を与えることができる。
Article 82(1)Pursuant to the provisions of the operational rules, an incorporated commodity exchange may grant a person trading qualification for conducting transactions in the commodity markets it operates.
株式会社商品取引所は、第十五条第二項第一号ロからヌ又は第三十一条第一項各号(第二号を除く。)のいずれかに該当する者に対し、取引資格を与えてはならない。
(2)An incorporated commodity exchange must not grant trading qualification to a person falling under a person referred to in one of Article 15, paragraph (2), item (i), sub-items (b) through (j) or the items of Article 31, paragraph (1) (excluding item (ii)).
合併後存続する法人又は合併により設立された法人は、前項(第十五条第二項第一号ハからホまで及びリ並びに第三十一条第一項第四号に係る部分に限る。)の規定の適用については、当該合併により消滅した法人と同一の法人とみなす。
(3)A corporation surviving a merger or a corporation established by a merger is deemed to be the same corporation as that which has been extinguished as a result of the merger with regard to the application of the provisions of the preceding paragraph (limited to the part related to Article 15, paragraph (2), item (i), sub-items (c) through (e), and sub-item (i), and Article 31, paragraph (1), item (iv)).
(取引参加者の地位の承継)
(Succession to the Status of Trading Participant)
第八十三条取引参加者につき合併があつたときは、合併後存続する法人又は合併により設立された法人は、その取引参加者の地位を承継する。
Article 83If a trading participant merges, the corporation surviving the merger or the corporation established by the merger succeeds to the status of trading participant.
(取引資格の喪失)
(Forfeiture of Trading Qualification)
第八十四条取引参加者は、三十日前までに予告して、第八十二条第一項の規定により与えられた取引資格を喪失することができる。
Article 84(1)A trading participant may forfeit the trading qualification granted pursuant to the provisions of Article 82, paragraph (1) with 30 days' advance notice.
前項の予告期間は、業務規程で延長することができる。ただし、その期間は、一年を超えることができない。
(2)The period of advance notice referred to in the preceding paragraph may be extended by the operational rules; provided, however, that the period may not exceed one year.
取引参加者は、第一項に規定する場合のほか、次に掲げる事由によつて、第八十二条第一項の規定により与えられた取引資格を喪失する。
(3)Beyond what is provided for in paragraph (1), a trading participant forfeits the trading qualification granted pursuant to the provisions of Article 82, paragraph (1) for the following reasons:
その者が取引をする商品市場のすべてが第九十五条の規定により閉鎖されたこと。
(i)all of the commodity markets in which the person conducts transactions have been closed pursuant to the provisions of Article 95;
死亡又は解散
(ii)death or dissolution; or
取引資格の取消し
(iii)revocation of trading qualification.
(役員又は取引参加者の氏名等の変更)
(Changes to the Name of an Officer or Trading Participant)
第八十五条株式会社商品取引所は、第七十九条第一項第三号、第五号又は第六号に掲げる事項(本店の所在地を除く。)について変更があつたときは、遅滞なく、その旨を記載した変更届出書を主務大臣に提出しなければならない。
Article 85(1)If a particular set forth in Article 79, paragraph (1), item (iii), (v), or (vi) (excluding the location of the head office) changes, the incorporated commodity exchange must submit a written notification of change stating that fact to the competent minister without delay.
前項の変更届出書には、その変更を証する書面及び主務省令で定める書類を添付しなければならない。
(2)The written notification of change referred to in the preceding paragraph must be accompanied by a document proving the change and documents specified by order of the competent ministry.
(議決権の保有制限)
(Limitation on the Holding of Voting Rights)
第八十六条何人も、株式会社商品取引所の総株主の議決権(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。以下同じ。)の百分の二十(その財務及び営業の方針の決定に対して重要な影響を与えることが推測される事実として主務省令で定める事実がある場合には、百分の十五。以下この条、第三款及び第九十六条の四十第四項において「保有基準割合」という。)以上の数の議決権(社債、株式等の振替に関する法律(平成十三年法律第七十五号)第百四十七条第一項又は第百四十八条第一項の規定により発行者に対抗することができない株式に係る議決権を含み、取得又は保有の態様その他の事情を勘案して主務省令で定めるものを除く。以下この節において「対象議決権」という。)を取得し、又は保有してはならない。ただし、商品取引所、商品取引所持株会社、金融商品取引所(金融商品取引法第二条第十六項に規定する金融商品取引所をいい、政令で定める者に限る。以下同じ。)又は金融商品取引所持株会社(同条第十八項に規定する金融商品取引所持株会社をいい、政令で定める者に限る。以下同じ。)が取得し、又は保有する場合は、この限りでない。
Article 86(1)It is prohibited for any person to acquire or possess voting rights (excluding voting rights of shares that do not allow voting rights to be exercised on all matters that may be resolved at shareholders meeting and including voting rights of shares that are deemed to have voting rights pursuant to the provisions of Article 879, paragraph (3) of the Companies Act; the same applies hereinafter) constituting twenty percent or more (or fifteen percent or more, if there is a fact that is specified by order of the competent ministry as a fact that is presumed to have material influence on decisions about financial and operational policies; hereinafter referred to as the "threshold holding ratio" in this Article, Subsection 3, and Article 96-40, paragraph (4)) of voting rights of all the shareholders in an incorporated commodity exchange (including voting rights of shares that cannot be asserted against the issuer pursuant to the provisions of Article 147, paragraph (1) or Article 148, paragraph (1) of the Act on the Book-Entry Transfer of Bonds and Shares (Act No. 75 of 2001) and excluding those specified by order of the competent ministry in consideration of the manner in which they are acquired or held and other circumstances; hereinafter referred to as "subject voting rights" in this Section); provided, however, that this does not apply to voting rights acquired or possessed by a commodity exchange, commodity exchange holding company, financial instruments exchange (meaning a financial instruments exchange as prescribed in Article 2, paragraph (16) of the Financial Instruments and Exchange Act and limited to a financial instruments exchange specified by Cabinet Order; the same applies hereinafter), or financial instruments exchange holding company (meaning a financial instruments exchange holding company as prescribed in paragraph (18) of that Article and limited to a financial instruments exchange holding company specified by Cabinet Order; the same applies hereinafter).
前項本文の規定は、保有する対象議決権の数に増加がない場合その他の主務省令で定める場合において、株式会社商品取引所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、又は保有することとなるときには、適用しない。
(2)If the number of subject voting rights that the person holds does not increase or in any other case specified by order of the competent ministry, the provisions of the main clause of the preceding paragraph do not apply to a person that is to acquire or hold a number of subject voting rights in an incorporated commodity exchange which is equal to or greater than the threshold holding ratio of voting rights of all the shareholders in an incorporated commodity exchange.
前項の場合において、株式会社商品取引所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、又は保有することとなつた者(以下この条において「特定保有者」という。)は、特定保有者になつた旨その他主務省令で定める事項を、遅滞なく、主務大臣に届け出なければならない。
(3)In the case referred to in the preceding paragraph, a person that comes to acquire or hold a number of subject voting rights that is greater than the threshold holding ratio of voting rights of all the shareholders in an incorporated commodity exchange (hereinafter referred to as a "specified holder" in this Article) must notify the competent minister without delay that that person has become a specified holder and other matters specified by order of the competent ministry.
第二項の場合において、特定保有者は、特定保有者となつた日から三月以内に、株式会社商品取引所の保有基準割合未満の数の対象議決権の保有者となるために必要な措置をとらなければならない。ただし、当該特定保有者が第九十六条の十九第一項に規定する地方公共団体等である場合であつて、当該地方公共団体等が同項の規定により主務大臣の認可を受けたときは、この限りでない。
(4)In the case referred to in paragraph (2), a specified holder must take the necessary measures to become the holder of a number of subject voting rights in the incorporated commodity exchange which is less than the threshold holding ratio within three months from the day on which the person has become a specified holder; provided, however, that this does not apply if the specified holder is a local government, etc. provided for in Article 96-19, paragraph (1) and has obtained the authorization of the competent minister pursuant to the provisions of that paragraph.
次の各号に掲げる場合における前各項の規定の適用については、当該各号に定める対象議決権は、これを取得し、又は保有するものとみなす。
(5)With regard to application of the provisions of the preceding paragraphs to the case set forth in one of the following items, the person is deemed to have acquired or to hold the subject voting rights specified in each item:
金銭の信託契約その他の契約又は法律の規定に基づき、株式会社商品取引所の対象議決権を行使することができる権限又は当該議決権の行使について指図を行うことができる権限を有し、又は有することとなる場合 当該対象議決権
(i)a person that has or is to have the authority to exercise the subject voting rights in an incorporated commodity exchange or the authority to give instructions on the exercise of those voting rights pursuant to the provisions of a money trust contract or other contracts or based on the provisions of laws: the subject voting rights in question;
株式の所有関係、親族関係その他の政令で定める特別の関係にある者が株式会社商品取引所の対象議決権を取得し、又は保有する場合 当該特別の関係にある者が取得し、又は保有する対象議決権
(ii)a person that is related to the person in question through a shareholding relationship, familial relationship, or other special relationship specified by Cabinet Order, has acquired or holds the subject voting rights in an incorporated commodity exchange: the subject voting rights acquired or held by the person with the special relationship to the person in question.
前各項の規定の適用に関し必要な事項は、政令で定める。
(6)The necessary particulars for the application of the provisions of the preceding paragraphs are specified by Cabinet Order.
(対象議決権保有届出書の提出)
(Submission of Notification of Holding Subject Voting Rights)
第八十六条の二株式会社商品取引所の総株主の議決権の百分の五を超える対象議決権の保有者(以下この項において「対象議決権保有者」という。)となつた者は、主務省令で定めるところにより、対象議決権保有割合(対象議決権保有者の保有する当該対象議決権の数を当該株式会社商品取引所の総株主の議決権の数で除して得た割合をいう。)、保有の目的その他主務省令で定める事項を記載した対象議決権保有届出書を、遅滞なく、主務大臣に提出しなければならない。
Article 86-2(1)A person that has become the holder of subject voting rights exceeding five percent of voting rights of all the shareholders in an incorporated commodity exchange (hereinafter referred to as a "holder of subject voting rights" in this paragraph) must submit a notification of holding subject voting rights that states the subject voting rights holding rate (meaning the rate arrived at by dividing the number of subject voting rights held by the holder of subject voting rights by the number of voting rights of all the shareholders in the incorporated commodity exchange), the purpose of the holding, and other particulars specified by order of the competent ministry to the competent minister pursuant to the provisions of order of the competent ministry without delay.
前条第五項の規定は、前項の規定を適用する場合について準用する。
(2)The provisions of paragraph (5) of the preceding Article apply mutatis mutandis when the provisions of the preceding paragraph are applicable.
(対象議決権保有届出書の提出者に対する報告徴収及び立入検査)
(Collection of Reports from and On-Site Inspections of a Person Submitting a Notification of Holding Subject Voting Rights)
第八十六条の三主務大臣は、この法律の施行のため必要があると認めるときは、前条第一項の対象議決権保有届出書の提出者に対し、その業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ、又はその職員に、その者の事務所若しくは営業所に立ち入り、帳簿、書類その他の物件の検査(当該対象議決権保有届出書の記載に関し必要な検査に限る。)をさせることができる。
Article 86-3(1)When the competent minister finds it to be necessary for the enforcement of this Act, the minister may order the person submitting a notification of holding subject voting rights referred to in paragraph (1) of the preceding Article to submit reports or materials that should serve as a reference on their business or property, or may have ministry officials enter that person's office or business office and inspect their books and documents or any other article (limited to inspection necessary in relation to the statements in the notification of holding subject voting rights).
前項の規定により立入検査をする職員は、その身分を示す証明書を携帯し、関係人にこれを提示しなければならない。
(2)An official conducting an on-site inspection pursuant to the provisions of the preceding paragraph must carry an identification card and present it to the persons concerned.
第一項の規定による立入検査の権限は、犯罪捜査のために認められたものと解釈してはならない。
(3)The authority for an on-site inspection under the provisions of paragraph (1) must not be construed as being granted for criminal investigation purpose.
(発行済株式の総数等の縦覧)
(Public Inspection of the Total Number of Issued Shares)
第八十七条株式会社商品取引所は、主務省令で定めるところにより、その発行済株式の総数、総株主の議決権の数その他の主務省令で定める事項を、公衆の縦覧に供しなければならない。
Article 87An incorporated commodity exchange must make its total number of issued shares, the number of voting rights of all the shareholders, and other particulars specified by order of the competent ministry available for public inspection, pursuant to the provisions of order of the competent ministry.
(資本金の減少の認可等)
(Authorization for Reduction of Stated Capital)
第八十八条株式会社商品取引所は、その資本金の額を減少しようとするときは、主務省令で定めるところにより、主務大臣の認可を受けなければならない。
Article 88(1)If an incorporated commodity exchange seeks to reduce its stated capital, it must obtain the authorization of the competent minister pursuant to the provisions of order of the competent ministry.
株式会社商品取引所は、その資本金の額を増加しようとするときは、主務省令で定めるところにより、主務大臣に届け出なければならない。
(2)If an incorporated commodity exchange seeks to increase its stated capital, it must notify the competent minister pursuant to the provisions of order of the competent ministry.
(仮取締役、仮監査役等)
(Provisional Company Directors and Provisional Company Auditors)
第八十九条主務大臣は、株式会社商品取引所の取締役、代表取締役、執行役、代表執行役又は監査役の職務を行う者がない場合において、必要があると認めるときは、仮取締役、仮代表取締役、仮執行役、仮代表執行役又は仮監査役を選任することができる。
Article 89(1)The competent minister may appoint a provisional company director, provisional representative director, provisional executive officer, provisional representative executive officer, or provisional company auditor if there is no one to perform the duties of the company director, representative director, executive officer, representative executive officer, or company auditor of an incorporated commodity exchange and the minister finds this to be necessary.
会社法第三百四十六条第二項及び第三項、第三百五十一条第二項及び第三項並びに第四百一条第三項及び第四項(同法第四百三条第三項及び第四百二十条第三項において準用する場合を含む。)の規定は、株式会社商品取引所には、適用しない。
(2)The provisions of Article 346, paragraphs (2) and (3), Article 351, paragraphs (2) and (3); and Article 401, paragraphs (3) and (4) of the Companies Act (including as applied mutatis mutandis pursuant to Article 403, paragraph (3) and Article 420, paragraph (3) of that Act) do not apply to an incorporated commodity exchange.
(主務大臣の嘱託登記)
(Registration Requested by the Competent Minister)
第九十条主務大臣は、前条第一項の規定により、仮取締役、仮代表取締役、仮執行役、仮代表執行役又は仮監査役を選任したときは、当該株式会社商品取引所の本店の所在地の登記所にその旨の登記を嘱託しなければならない。
Article 90(1)If the competent minister appoints a provisional company director, provisional representative director, provisional executive officer, provisional representative executive officer, or provisional company auditor pursuant to the provisions of paragraph (1) of the preceding Article, the minister must commission the registry office in the locality of the head office of the incorporated commodity exchange to register this.
前項の規定により主務大臣が登記を嘱託するときは、嘱託書に、当該登記の原因となる事由に係る処分を行つたことを証する書面を添付しなければならない。
(2)If the competent minister commissions a registration pursuant to the provisions of the preceding paragraph, the written commission must be accompanied by a document certifying that the minister has made a disposition related to the grounds that caused the registration.
(役員等の兼職禁止)
(Prohibition on the Concurrent Holding of Positions by Officers)
第九十一条株式会社商品取引所の役員は、他の商品取引所の役員の地位を占めてはならない。
Article 91(1)An officer of an incorporated commodity exchange must not hold the position of officer at another commodity exchange.
前項の規定は、株式会社商品取引所の清算人について準用する。
(2)The provisions of the preceding paragraph apply mutatis mutandis to the liquidators of an incorporated commodity exchange.
(役員の欠格条件)
(Disqualifying Conditions for Officers)
第九十二条第四十九条の規定は、株式会社商品取引所の役員について準用する。
Article 92The provisions of Article 49 apply mutatis mutandis to officers of an incorporated commodity exchange.
(業務規程等の備置き及び閲覧等)
(Keeping and Inspection of Operational Rules)
第九十三条株式会社商品取引所は、業務規程を株式会社商品取引所の各営業所に、取引参加者名簿を本店に備え置かなければならない。
Article 93(1)An incorporated commodity exchange must keep its operational rules at each of its business offices, and must keep a trading participant register at its head office.
取引参加者名簿には、各取引参加者について次に掲げる事項を記載し、又は記録しなければならない。
(2)The following information on each trading participant must be stated or recorded in a trading participant register:
氏名又は商号若しくは名称及び住所
(i)the name or trade name and address;
取引資格取得年月日
(ii)the date trading qualification was acquired;
取引をする商品市場における上場商品又は上場商品指数
(iii)the listed commodity or listed commodity index of the commodity market in which transactions are conducted; and
商品先物取引業者であるときは、許可年月日
(iv)if it is a commodity derivatives business operator, the license date.
第五十七条第四項及び第五項の規定は、第一項の規定により備え置く業務規程及び取引参加者名簿について準用する。この場合において、同条第四項中「会員及び会員商品取引所の債権者」とあるのは「株式会社商品取引所の株主、取引参加者及び債権者」と、「会員商品取引所の事業時間内」とあるのは「株式会社商品取引所の営業時間内」と、同項ただし書中「会員商品取引所の定めた」とあるのは「株式会社商品取引所の定めた」と、同条第五項中「会員商品取引所」とあるのは「株式会社商品取引所」と読み替えるものとする。
(3)The provisions of Article 57, paragraphs (4) and (5) apply mutatis mutandis to the operational rules and trading participant register that are kept pursuant to the provisions of paragraph (1). In such a case, the phrase "The member or creditor of a member commodity exchange" in paragraph (4) of that Article is deemed to be replaced with "The shareholder, trading participant, or creditor of an incorporated commodity exchange"; the phrase "during the business hours of the member commodity exchange" in that paragraph is deemed to be replaced with "during the business hours of the incorporated commodity exchange"; the phrase "specified by the member commodity exchange" in the proviso to that paragraph is deemed to be replaced with "specified by the incorporated commodity exchange"; and the term "member commodity exchange" in paragraph (5) of that Article is deemed to be replaced with "incorporated commodity exchange".
株式会社商品取引所の取引参加者は、株式会社商品取引所の定款について会社法第三十一条第二項各号に掲げる請求をすることができる。ただし、同項第二号又は第四号に掲げる請求をするには、当該株式会社商品取引所の定めた費用を支払わなければならない。
(4)A trading participant of a incorporated commodity exchange may make the requests set forth in the items of Article 31, paragraph (2) of the Companies Act with regard to the articles of incorporation of an incorporated commodity exchange; provided, however, that in making the request set forth in item (ii) or (iv) of that paragraph, the trading participant must pay the expenses specified by the incorporated commodity exchange.
(許可の失効)
(Expiration of Licenses)
第九十四条株式会社商品取引所が次の各号のいずれかに該当するときは、第七十八条の許可は、効力を失う。
Article 94(1)If an incorporated commodity exchange falls under one of the following items, the license under Article 78 ceases to be effective:
業務規程で定めた株式会社商品取引所としての存続期間の満了
(i)the term of existence as an incorporated commodity exchange specified by its operational rules has expired;
分割により事業の全部を承継させ、又は事業の全部を譲渡したとき。
(ii)the incorporated commodity exchange transfers all of its business through a split or a business transfer;
取引参加者の数がすべての商品市場について十人以下となつたとき。
(iii)the number of trading participants becomes 10 or less for all of its commodity markets;
解散したとき。
(iv)the incorporated commodity exchange is dissolved;
設立、合併(当該合併により設立される者が株式会社商品取引所であるものに限る。)又は新設分割(当該新設分割により設立される者が株式会社商品取引所であるものに限る。)を無効とする判決が確定したとき。
(v)a judgment invalidating its establishment, merger (but only if the entity to be established by the merger is an incorporated commodity exchange), or incorporation-type company split (but only if the entity to be established by the incorporation-type company split is an incorporated commodity exchange) has become final and binding.
前項第二号、第三号又は第五号の規定により許可が失効したときは、その代表者又は代表者であつた者は、遅滞なく、その旨を主務大臣に届け出なければならない。
(2)If the license of an incorporated commodity exchange has expired pursuant to the provisions of item (ii), (iii), or (v) of the preceding paragraph, the person that is or was its representative must notify the competent minister of that fact without delay.
(一部の商品市場の閉鎖)
(Closure of Some Commodity Markets)
第九十五条株式会社商品取引所は、その開設する商品市場において取引をする取引参加者の数が十人以下となつたときは、前条第一項第三号に該当する場合を除くほか、当該商品市場における取引を停止し、第百五十六条第一項の規定による業務規程の変更の認可の申請をしなければならない。
Article 95If the number of trading participants conducting transactions in a commodity market that an incorporated commodity exchange operates becomes 10 or less, the incorporated commodity exchange must suspend the transactions in that commodity market and file an application for the authorization to change its operational rules under the provisions of Article 156, paragraph (1), except in the case that falls under paragraph (1), item (iii) of the preceding Article.
(株式会社商品取引所の合併の認可等)
(Authorization of a Merger of an Incorporated Commodity Exchange)
第九十六条次に掲げる事項は、主務大臣の認可を受けなければ、その効力を生じない。
Article 96(1)The following particulars do not become effective without the authorization of the competent minister:
株式会社商品取引所の解散についての株主総会の決議
(i)a resolution of a shareholders meeting to dissolve an incorporated commodity exchange;
株式会社商品取引所を全部又は一部の当事者とする合併(第百四十五条第一項の合併を除く。)
(ii)a merger in which incorporated commodity exchanges constitute all or some of the parties (excluding a merger referred to in Article 145, paragraph (1)).
株式会社商品取引所が前項に掲げる事由以外の事由により解散したときは、その代表者であつた者は、遅滞なく、その旨を主務大臣に届け出なければならない。ただし、主務省令で定める場合は、この限りでない。
(2)If an incorporated commodity exchange is dissolved for a reason other than one set forth in the preceding paragraph, the person that was its representative must notify the competent minister of that fact without delay; provided, however, that this does not apply to cases specified by order of the competent ministry.
第二款 自主規制委員会
Subsection 2 Self-Regulatory Committees
(権限等)
(Authority)
第九十六条の二株式会社商品取引所は、定款の定めるところにより、自主規制委員会を置くことができる。
Article 96-2(1)An incorporated commodity exchange may have in place a self-regulatory committee pursuant to the provisions of its articles of incorporation.
自主規制委員会は、当該自主規制委員会を設置する株式会社商品取引所(以下この款において「特定株式会社商品取引所」という。)の自主規制業務(第五条の二第二項に規定する自主規制業務をいう。以下この款において同じ。)に関する事項の決定を行う。
(2)A self-regulatory committee makes decisions on matters related to self-regulatory services (meaning self-regulatory services as prescribed in Article 5-2, paragraph (2); hereinafter the same applies in this Subsection) of the incorporated commodity exchange that has in place the self-regulatory committee (hereinafter referred to as a "specified incorporated commodity exchange" in this Subsection).
自主規制委員会は、自主規制業務に関する事項の決定について、取締役会から委任を受けたものとみなす。
(3)A self-regulatory committee is deemed to be entrusted by the board of company directors to decide the matters related to self-regulatory services.
特定株式会社商品取引所の自主規制委員会は、自主規制業務に関する事項の決定について、執行役又は取締役に委任することができない。
(4)The self-regulatory committee of a specified incorporated commodity exchange may not entrust executive officers or company directors with decisions on matters related to self-regulatory services.
特定株式会社商品取引所の取締役会は、会社法第三百六十二条第四項、第三百九十九条の十三第四項から第六項まで及び第四百十六条第四項の規定にかかわらず、次条第二項に規定する自主規制委員の選定及び第九十六条の五第一項に規定する自主規制委員の解職について、執行役又は取締役に委任することができない。
(5)Notwithstanding the provisions of Article 362, paragraph (4), Article 399-13, paragraphs (4) through (6), and Article 416, paragraph (4) of the Companies Act, the board of company directors of a specified incorporated commodity exchange may not entrust executive officers or directors with decisions on matters related to the appointment of members of the self-regulatory committee prescribed in paragraph (2) of the following Article or the removal of members of the self-regulatory committee prescribed in Article 96-5, paragraph (1).
(組織)
(Organization)
第九十六条の三自主規制委員会は、自主規制委員三人以上で組織し、その過半数は、社外取締役でなければならない。
Article 96-3(1)A self-regulatory committee must be composed of three or more members of the committee, and the majority of those members must be outside company directors.
自主規制委員は、特定株式会社商品取引所の取締役の中から、取締役会の決議によつて選定する。
(2)Members of a self-regulatory committee are selected from among the company directors of a specified incorporated commodity exchange and appointed by the resolution of the board of company directors.
前項の決議は、議決に加わることができる取締役の過半数(これを上回る割合を定款で定めた場合にあつては、その割合以上)が出席し、その過半数(これを上回る割合を定款で定めた場合にあつては、その割合以上)で、かつ、出席した社外取締役の過半数をもつて行う。
(3)The resolution referred to in the preceding paragraph is adopted by a majority (or, if a higher proportion is specified in the articles of incorporation, at least that proportion) of the company directors that are entitled to participate in the vote are present and by a majority of those company directors (or, if a higher proportion is provided for in the articles of incorporation, at least that proportion), and by a majority of the outside company directors that are present at the meeting.
自主規制委員会に自主規制委員長を置き、自主規制委員の互選によつて社外取締役のうちからこれを定める。
(4)A self-regulatory committee has a chairperson, and the chairperson is designated from among the outside company directors by a vote among the members of the self-regulatory committee.
自主規制委員長は、自主規制委員会の会務を総理する。
(5)The chairperson of a self-regulatory committee presides over the affairs of the self-regulatory committee.
自主規制委員会は、あらかじめ、自主規制委員のうちから、自主規制委員長に事故がある場合に当該自主規制委員長の職務を代理する者を定めておかなければならない。
(6)A self-regulatory committee must designate in advance, a person from among the members of the self-regulatory committee who performs the duties of the chairperson of the self-regulatory committee when the chairperson is unavailable.
(任期)
(Term of Office)
第九十六条の四自主規制委員の任期は、選定後一年以内に終了する事業年度のうち最終のものに関する定時株主総会の終結の時までとする。
Article 96-4(1)The term of office of a member of a self-regulatory committee is to be until the conclusion of the annual shareholders meeting in the last business year that ends within one year from the time the member was selected.
自主規制委員は、四回に限り再選されることができる。
(2)Members of a self-regulatory committee may be reselected four times.
(解職等)
(Removal from Positions)
第九十六条の五自主規制委員は、特定株式会社商品取引所の取締役会の決議によつて解職することができる。
Article 96-5(1)Members of a self-regulatory committee may be removed by resolution of the board of company directors of the specified incorporated commodity exchange.
前項の決議は、議決に加わることができる取締役の過半数(これを上回る割合を定款で定めた場合にあつては、その割合以上)が出席し、その過半数(これを上回る割合を定款で定めた場合にあつては、その割合以上)で、かつ、出席した自主規制委員の過半数をもつて行う。
(2)The resolution referred to in the preceding paragraph is adopted by a majority (or, if a higher proportion is provided for in the articles of incorporation, at least that proportion) of company directors that are entitled to participate in the vote are present and by a majority of those company directors (or, if a higher proportion is provided for in the articles of incorporation, at least that proportion), and by the majority of the members of the self-regulatory committee that are present at the meeting.
第九十六条の三第一項に規定する自主規制委員の員数が欠けた場合には、任期の満了又は辞任により退任した自主規制委員は、新たに選定された自主規制委員(次項の一時自主規制委員の職務を行う者を含む。)が就任するまで、なお自主規制委員としての権利義務を有する。
(3)If there is a vacancy resulting from a shortfall in the number of members of a self-regulatory committee provided for in Article 96-3, paragraph (1), a member of the self-regulatory committee that has left the position due to the expiration of the term of office or that has resigned continues to have rights and obligations as a member of the self-regulatory committee until a newly selected self-regulatory committee member (including a person that will temporarily perform the duties of a member of the self-regulatory committee referred to in the following paragraph) assumes the position.
前項に規定する場合において、裁判所は、必要があると認めるときは、利害関係人の申立てにより、一時自主規制委員の職務を行う者を選任することができる。
(4)In the case prescribed in the preceding paragraph, if the court finds it to be necessary, it may appoint a person to temporarily perform the duties of a member of the self-regulatory committee, at the petition of an interested party.
裁判所は、前項の一時自主規制委員の職務を行う者を選任した場合には、特定株式会社商品取引所がその者に対して支払う報酬の額を定めることができる。
(5)If the court appoints a person to temporarily perform the duties of a member of the self-regulatory committee as referred to in the preceding paragraph, it may specify the amount of the remuneration to be paid to the person by the specified incorporated commodity exchange.
会社法第八百六十八条第一項、第八百七十条第一項(第一号に係る部分に限る。)、第八百七十一条、第八百七十二条(第四号に係る部分に限る。)、第八百七十四条(第一号に係る部分に限る。)、第八百七十五条及び第八百七十六条の規定は、第四項の申立てがあつた場合について準用する。この場合において、必要な技術的読替えは、政令で定める。
(6)The provisions of Article 868, paragraph (1), Article 870, paragraph (1) (limited to the part related to item (i)), Article 871, Article 872 (limited to the part related to item (iv)), Article 874 (limited to the part related to item (i)), Article 875, and Article 876 of the Companies Act apply mutatis mutandis if the petition referred to in paragraph (4) is filed. In such a case, the necessary technical replacement of terms is specified by Cabinet Order.
(取締役の選任及び解任)
(Appointment and Dismissal of Directors)
第九十六条の六第九十六条の三第三項の規定は、監査役会設置会社又は監査等委員会設置会社である特定株式会社商品取引所が株主総会に提出する取締役の選任及び解任に関する議案の内容を決定する場合について準用する。
Article 96-6The provisions of Article 96-3, paragraph (3) apply mutatis mutandis when a specified incorporated commodity exchange which is a company with board of company auditors or a company with audit and supervisory committee decides the content of a proposal regarding the appointment or dismissal of a company director which is to be submitted to the shareholders meeting.
(緊急の場合の取扱い)
(Handling of Emergency Cases)
第九十六条の七第九十六条の二第二項及び第三項の規定にかかわらず、特定株式会社商品取引所の代表取締役又は代表執行役は、公益又は委託者の保護を図るため特に必要があると認める場合であつて、状況に照らし緊急を要するときは、会員等に対する処分その他の主務省令で定める自主規制業務に関する事項を決定することができる。
Article 96-7(1)Notwithstanding the provisions of Article 96-2, paragraphs (2) and (3), if the representative director or representative executive officer of a specified incorporated commodity exchange finds it to be particularly necessary for ensuring the public interest or the protection of consignors, and there is urgent necessity in light of the circumstances, the representative director or representative executive officer may make a decision on a disposition against a member, etc. or on any other matter specified by order of the competent ministry related to self-regulatory services.
前項の規定により特定株式会社商品取引所が会員等に対する処分その他の主務省令で定める自主規制業務に関する事項の決定をした場合には、当該株式会社商品取引所の代表取締役又は代表執行役は、自主規制委員会に対し、速やかに、その旨を報告しなければならない。
(2)If a specified incorporated commodity exchange makes a decision on a disposition against a member, etc. or on any other matter specified by order of the competent ministry related to self-regulatory services pursuant to the provisions of the preceding paragraph, the representative director or representative executive officer of the specified incorporated commodity exchange must promptly report this to the self-regulatory committee.
(執行役又は取締役の行為の差止め)
(Enjoinment of Acts of Executive Officers or Company Directors)
第九十六条の八自主規制委員は、特定株式会社商品取引所の執行役又は取締役が自主規制業務に関し自主規制委員会の決定に違反する行為をし、又はその行為をするおそれがある場合において、当該行為によつて自主規制業務の適正な運営に著しい支障をきたすおそれがあるときは、当該執行役又は取締役に対し、当該行為をやめることを請求することができる。
Article 96-8(1)If the executive officer or company director of a specified incorporated commodity exchange performs an act or is likely to perform an act that violates a decision of the self-regulatory committee with regard to self-regulatory services, and if that act is likely to significantly hinder the appropriate operation of self-regulatory services, a member of the self-regulatory committee may demand the executive officer or company director to cease that act.
前項の場合において、裁判所が仮処分をもつて同項の執行役又は取締役に対し、その行為をやめることを命ずるときは、担保を立てさせないものとする。
(2)In the case referred to in the preceding paragraph, if the court issues a provisional disposition ordering the executive officer or director referred to in that paragraph to cease that act, the court is not to have the executive officer or company director provide security.
(業務規程等の変更の取扱い)
(Treatment of Changes in Operational Rules)
第九十六条の九特定株式会社商品取引所は、当該株式会社商品取引所の業務規程その他の規則に定める事項のうち自主規制業務に関連するものとして主務省令で定めるものの変更又は廃止をしようとするときは、自主規制委員会の同意を得なければならない。
Article 96-9A specified incorporated commodity exchange must obtain the consent of the self-regulatory committee if it seeks to change or discontinue a particular specified in the operational rules or other rules of the specified incorporated commodity exchange, which is specified by order of the competent ministry as being related to self-regulatory services.
(招集権者)
(Conveners)
第九十六条の十自主規制委員会は、第九十六条の三第四項に規定する自主規制委員長(自主規制委員長に事故があるときは、同条第六項に規定する自主規制委員長の職務を代理する者。次条及び第九十六条の十二第一項において同じ。)が招集する。
Article 96-10Self-regulatory committees are convened by the chairperson of the committee prescribed in Article 96-3, paragraph (4) (or by the person who performs the duties of the chairperson of the self-regulatory committee as prescribed in Article 96-3, paragraph (6) when the chairperson of the self-regulatory committee is unavailable; the same applies in the following Article and Article 96-12, paragraph (1)).
(招集請求)
(Demanding the Convocation of Meetings)
第九十六条の十一自主規制委員は、自主規制委員長に対し、自主規制委員会の目的である事項及び招集の理由を示して、自主規制委員会の招集を請求することができる。
Article 96-11A member of a self-regulatory committee may convene a meeting of the self-regulatory committee by indicating the purpose of a self-regulatory committee meeting and the reasons for the convocation.
(招集手続)
(Procedures for Convocation of Meetings)
第九十六条の十二自主規制委員会を招集するには、自主規制委員長は、自主規制委員会の日の一週間(これを下回る期間を自主規制委員会で定めた場合にあつては、その期間)前までに、各自主規制委員に対してその通知を発しなければならない。
Article 96-12(1)To convene a meeting of the self-regulatory committee, the chairperson of the self-regulatory committee must send a notice to each member of the self-regulatory committee at least one week prior to the day of the self-regulatory committee meeting (or, if a shorter period of time has been specified by the self-regulatory committee, that period).
前項の規定にかかわらず、自主規制委員会は、自主規制委員の全員の同意があるときは、招集の手続を経ることなく開催することができる。
(2)Notwithstanding the provisions of the preceding paragraph, a meeting of the self-regulatory committee may be held without going through the procedures for convocation of meetings, with the consent of all members of the self-regulatory committee.
特定株式会社商品取引所の執行役、取締役、会計参与又は会計監査人は、自主規制委員会の要求があつたときは、当該自主規制委員会に出席し、当該自主規制委員会が求めた事項について説明をしなければならない。
(3)If there is a request from the self-regulatory committee, the executive officer, company director, accounting advisor, or financial auditor of a specified incorporated commodity exchange must attend a meeting of the self-regulatory committee and provide explanations of the matters requested by the self-regulatory committee.
(決議)
(Resolutions)
第九十六条の十三自主規制委員会の決議は、議決に加わることができる自主規制委員の過半数が出席し、その過半数で、かつ、出席した社外取締役である自主規制委員の過半数をもつて行う。
Article 96-13(1)Resolutions of self-regulatory committees are adopted by a majority of the members of the self-regulatory committee that are entitled to participate in the vote are present and by a majority of those members of the self-regulatory committee, and a majority of the members of the self-regulatory committee who are outside company directors that are present at the meeting.
前項の決議について特別の利害関係を有する自主規制委員は、議決に加わることができない。
(2)A member of the self-regulatory committee with a special interest in the resolution referred to in the preceding paragraph may not participate in the vote.
自主規制委員会の議事については、主務省令で定めるところにより、議事録を作成し、議事録が書面をもつて作成されているときは、出席した自主規制委員は、これに署名し、又は記名押印しなければならない。
(3)The minutes of the proceedings of a self-regulatory committee meeting must be prepared pursuant to the provisions of order of the competent ministry, and if the minutes are prepared in writing, the members of the self-regulatory committee present at the meeting must sign them or affix their names and seals to them.
自主規制委員会が選定する自主規制委員は、第一項の規定による決議後、遅滞なく、当該決議の内容を取締役会に報告しなければならない。
(4)The member of the self-regulatory committee that the self-regulatory committee appoints must, without delay after a resolution under the provisions of paragraph (1) is adopted, report the content of the resolution to the board of company directors.
第三項の議事録は、電磁的記録をもつて作成することができる。この場合において、当該電磁的記録に記録された事項については、主務省令で定める署名又は記名押印に代わる措置をとらなければならない。
(5)The minutes referred to in paragraph (3) may be prepared as electronic or magnetic records. In such a case, the relevant persons must use the measures in lieu of signing or affixing their names and seals which are prescribed by order of the competent ministry, for the information that is recorded in the electronic or magnetic records.
前各項に定めるもののほか、議事の手続その他自主規制委員会の運営に関し必要な事項は、自主規制委員会が定める。
(6)Beyond what is provided for in the preceding paragraphs, necessary particulars for the proceedings of the meeting and other particulars necessary for the operation of the self-regulatory committee are specified by the self-regulatory committee.
(議事録)
(Minutes)
第九十六条の十四特定株式会社商品取引所は、自主規制委員会の日から十年間、前条第三項の議事録をその本店に備え置かなければならない。
Article 96-14(1)A specified incorporated commodity exchange must keep the minutes referred to in paragraph (3) of the preceding Article at its head office for a period of ten years beginning from the day of the self-regulatory committee meeting.
当該株式会社商品取引所の取締役は、次に掲げるものの閲覧及び謄写をすることができる。
(2)The company directors of the incorporated commodity exchange may inspect or copy the following things:
前項の議事録が書面をもつて作成されているときは、当該書面
(i)if the minutes referred to in the preceding paragraph are prepared in writing, the document; and
前項の議事録が電磁的記録をもつて作成されているときは、当該電磁的記録に記録された事項を主務省令で定める方法により表示したもの
(ii)if the minutes referred to in the preceding paragraph are prepared as electronic or magnetic records, a thing that displays the information that have been recorded in the electronic or magnetic records by the means specified by order of the competent ministry.
当該株式会社商品取引所の株主は、その権利を行使するため必要があるときは、裁判所の許可を得て、第一項の議事録について前項各号に掲げるものの閲覧又は謄写の請求をすることができる。
(3)If it is necessary in order for a shareholder of the incorporated commodity exchange to exercise their rights, the shareholder may make a request to inspect or copy the things set forth in the items of the preceding paragraph concerning the minutes referred to in paragraph (1), with the permission of the court.
前項の規定は、当該株式会社商品取引所の債権者が自主規制委員の責任を追及するため必要があるとき及び当該株式会社商品取引所を子会社とする者の株主又は会員がその権利を行使するため必要があるときについて準用する。
(4)The provisions of the preceding paragraph apply mutatis mutandis if it is necessary for the creditor of an incorporated commodity exchange to pursue the liability of the members of the self-regulatory committee, or if it is necessary for the shareholder or member of a person that has the incorporated commodity exchange as its subsidiary company to exercise their voting rights.
裁判所は、第三項(前項において準用する場合を含む。以下この条において同じ。)の請求に係る閲覧又は謄写をすることにより、当該株式会社商品取引所、当該株式会社商品取引所を子会社とする者又は当該株式会社商品取引所の子会社に著しい損害を及ぼすおそれがあると認めるときは、第三項の許可をすることができない。
(5)The court may not give the permission referred to in paragraph (3) (including as applied mutatis mutandis pursuant to the provisions of the preceding paragraph; hereinafter the same applies in this Article) if the court finds that inspection or copying which the request referred to in that paragraph concerns is likely to cause substantial detriment to the incorporated commodity exchange, to a person that has the incorporated commodity exchange as its subsidiary company, or to a subsidiary company of the incorporated commodity exchange.
会社法第八百六十八条第一項、第八百六十九条、第八百七十条第二項(第一号に係る部分に限る。)、第八百七十条の二、第八百七十一条本文、第八百七十二条(第五号に係る部分に限る。)、第八百七十二条の二、第八百七十三条本文、第八百七十五条及び第八百七十六条の規定は、第三項の許可について準用する。この場合において、必要な技術的読替えは、政令で定める。
(6)The provisions of Article 868, paragraph (1), Article 869, Article 870, paragraph (2) (limited to the part related to item (i)), Article 870-2, the main clause of Article 871, Article 872 (limited to the part related to item (v)), Article 872-2, the main clause of Article 873, Article 875, and Article 876 of the Companies Act apply mutatis mutandis to the permission referred to in paragraph (3). In such a case, the necessary technical replacement of terms is specified by Cabinet Order.
(報告の省略)
(Omission of Reports)
第九十六条の十五特定株式会社商品取引所の執行役、取締役、会計参与又は会計監査人が自主規制委員全員に対して自主規制委員会に報告すべき事項を通知したときは、当該事項を自主規制委員会へ報告することを要しない。
Article 96-15If the executive officer, company director, accounting advisor, or financial auditor of a specified incorporated commodity exchange notifies all members of the self-regulatory committee of the particulars that are required to be reported to the self-regulatory committee, they are not required to report those particulars to the self-regulatory committee.
(公衆縦覧)
(Public Inspections)
第九十六条の十六特定株式会社商品取引所は、自主規制委員の名簿を公衆の縦覧に供しなければならない。
Article 96-16A specified incorporated commodity exchange must make the register of the members of the self-regulatory committee available for public inspection.
(自主規制委員会の職務執行のための決定)
(Decisions on Execution of Duties of Self-Regulatory Committees)
第九十六条の十七特定株式会社商品取引所の取締役会は、自主規制委員会の職務の執行のため必要なものとして主務省令で定める事項を決定しなければならない。
Article 96-17The board of company directors of a specified incorporated commodity exchange must decide on the particulars that are specified by order of the competent ministry as necessary for a self-regulatory committee to execute its duties.
(監査役等の出席)
(Attendance of Company Auditors)
第九十六条の十八監査役会設置会社である特定株式会社商品取引所の監査役、監査等委員会設置会社である特定株式会社商品取引所の監査等委員会により選定された監査等委員又は指名委員会等設置会社である特定株式会社商品取引所の監査委員会により選定された監査委員は、必要があると認めるときは、特定株式会社商品取引所の自主規制委員会に出席し、意見を述べることができる。
Article 96-18A company auditor of a specified incorporated commodity exchange which is a company with a board of company auditors, an audit and supervisory committee member appointed by the audit and supervisory committee of a specified incorporated commodity exchange which is a company with audit and supervisory committee, or an audit committee member appointed by the audit committee of a specified incorporated commodity exchange which is a company with nominating committee, etc. may, if the audit committee member finds it to be necessary, attend the self-regulatory committee meeting of the specified incorporated commodity exchange and state their opinions.
第三款 主要株主
Subsection 3 Major Shareholders
(認可等)
(Authorization)
第九十六条の十九地方公共団体その他の政令で定める者(以下この条、第九十六条の二十八第四項及び第九十六条の三十一において「地方公共団体等」という。)は、第八十六条第一項本文の規定にかかわらず、主務省令で定めるところにより、主務大臣の認可を受けて、株式会社商品取引所の総株主の議決権の保有基準割合以上百分の五十以下の数の対象議決権を取得し、又は保有することができる。
Article 96-19(1)Notwithstanding the provisions of the main clause of Article 86, paragraph (1), pursuant to the provisions of the order of the competent minister and by obtaining the authorization of the competent minister, a local government or any other person specified by Cabinet Order (hereinafter referred to as the "local government, etc." in this Article, Article 96-28, paragraph (4), and Article 96-31) may acquire or hold a number of subject voting rights that is equal to or greater than the threshold holding ratio, but is not greater than 50 percent of all shareholders' voting rights in an incorporated commodity exchange.
前項の認可を受けた地方公共団体等は、同項及び第八十六条第一項本文の規定にかかわらず、その保有する対象議決権の数に増加がない場合その他の主務省令で定める場合には、株式会社商品取引所の総株主の議決権の百分の五十を超える対象議決権を取得し、又は保有することができる。
(2)Notwithstanding the provisions of the preceding paragraph and the main clause of Article 86, paragraph (1), a local government, etc. that has obtained the authorization referred to in the preceding paragraph may acquire or hold subject voting rights exceeding 50 percent of all shareholders' voting rights in an incorporated commodity exchange if the number of subject voting rights that it holds does not increase or in any other case specified by order of the competent ministry.
前項の場合において、株式会社商品取引所の総株主の議決権の百分の五十を超える対象議決権を取得し、又は保有することとなつた地方公共団体等(以下この条において「特定保有団体等」という。)は、特定保有団体等になつた旨その他主務省令で定める事項を、遅滞なく、主務大臣に届け出なければならない。
(3)In the case referred to in the preceding paragraph, a local government, etc. that has come to acquire or hold subject voting rights exceeding 50 percent of all shareholders' voting rights in an incorporated commodity exchange (hereinafter referred to as a "specified holding entity, etc." in this Article) must notify the competent minister without delay that it has become a specified holding entity, etc., and of any other particulars specified by order of the competent ministry.
第二項の場合において、特定保有団体等は、特定保有団体等となつた日から三月以内に、株式会社商品取引所の総株主の議決権の百分の五十以下の数の対象議決権の保有者となるために必要な措置をとらなければならない。
(4)In the case referred to in paragraph (2), a specified holding entity, etc. must take the necessary measures to become the holder of a number of subject voting rights that constitutes 50 percent or less of all shareholders' voting rights in an incorporated commodity exchange, within three months from the day on which it has become a specified holding entity, etc.
特定保有団体等は、前項の規定により株式会社商品取引所の総株主の議決権の百分の五十以下の数の対象議決権の保有者となつたときは、遅滞なく、その旨を主務大臣に届け出なければならない。
(5)When a specified holding entity, etc. has become a holder of a number of subject voting rights that constitutes 50 percent or less of all shareholders' voting rights in an incorporated commodity exchange pursuant to the provisions of the preceding paragraph, it must notify the competent minister of this without delay.
第三条第二項及び第三項の規定は、第一項の認可について準用する。
(6)The provisions of Article 3, paragraph (2) and paragraph (3) apply mutatis mutandis to the authorization referred to in paragraph (1).
(認可基準)
(Criteria for Authorization)
第九十六条の二十主務大臣は、前条第一項の認可の申請があつた場合においては、その申請が次に掲げる基準に適合するかどうかを審査しなければならない。
Article 96-20(1)When an application is filed for the authorization referred to in paragraph (1) of the preceding Article, the competent minister must examine whether the application conforms to the criteria listed in the following items:
認可申請者がその対象議決権を行使することにより、株式会社商品取引所の業務の健全かつ適切な運営を損なうおそれがないこと。
(i)the exercise of the subject voting rights by an applicant for authorization is not likely to impair the sound and appropriate operation of the business of the incorporated commodity exchange; and
認可申請者が商品取引所の業務の公共性に関し十分な理解を有すること。
(ii)the applicant for authorization has a sufficient understanding of the public nature of the business of a commodity exchange.
主務大臣は、前項の規定により審査した結果、その申請が同項の基準に適合していると認めたときは、次の各号のいずれかに該当する場合を除いて、その認可を与えなければならない。
(2)If, as a result of having conducted an examination pursuant to the provisions of the preceding paragraph, the competent minister finds that the application conforms to the criteria referred to in that paragraph, the minister must grant the authorization, except in a case that falls under one of the following items:
認可申請者が次のいずれかに該当する者であるとき。
(i)the applicant for authorization is a person falling under any of the following persons:
心身の故障により株主の権利を適切に行使することができない者として主務省令で定める者
(a)a person specified by order of the competent ministry as a person who is incapable of exercising the right of shareholders properly due to mental or physical disorder;
第十五条第二項第一号ロからヌまでのいずれかに該当する者
(b)a person who falls under any the persons referred to in Article 15, paragraph (2), item (i), sub-items (b) through (j);
営業に関し成年者と同一の行為能力を有しない未成年者でその法定代理人がイ、ロ又はニのいずれかに該当するもの
(c)a minor that does not have the same capacity to act as an adult in business whose legal representative falls under any of the persons referred to in sub-item (a), (b), or (d);
法人でその役員のうちにイからハまでのいずれかに該当する者のあるもの
(d)a corporation whose officers include a person who falls under any of the persons referred to in sub-items (a) through (c);
申請書又はこれに添付すべき書類のうちに重要な事項について虚偽の記載があるとき。
(ii)the written application or documents that are required to be attached to the written application includes a false statement about a material particular.
(報告徴収及び立入検査)
(Collection of Reports and On-site Inspections)
第九十六条の二十一主務大臣は、この法律の施行のため必要があると認めるときは、株式会社商品取引所の主要株主(第九十六条の十九第一項の認可を受けた者をいう。以下この款において同じ。)に対し、当該株式会社商品取引所の業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ、又はその職員に、当該主要株主の事務所若しくは営業所に立ち入り、帳簿、書類その他の物件の検査(当該株式会社商品取引所の業務又は財産に関し必要な検査に限る。)をさせることができる。
Article 96-21(1)When the competent minister finds it to be necessary for the enforcement of this Act, the minister may order the major shareholder of an incorporated commodity exchange (meaning a person that has obtained the authorization referred to in Article 96-19, paragraph (1); hereinafter the same applies in this Subsection) to submit reports or materials that should serve as a reference on the business or property of the incorporated commodity exchange, or may have ministry officials enter the office or business office of the major shareholder and inspect their books and documents or any other article (limited to inspection necessary in relation to the business or property of the incorporated commodity exchange).
前項の規定は、株式会社商品取引所の保有基準割合以上百分の五十以下の数の対象議決権を保有する金融商品取引所及び金融商品取引所持株会社について準用する。
(2)The provisions of the preceding paragraph apply mutatis mutandis to a financial instruments exchange or financial instruments exchange holding company that holds a number of subject voting rights in an incorporated commodity exchange which is equal to or greater than the threshold holding ratio but is not greater than 50 percent.
第八十六条の三第二項及び第三項の規定は、第一項(前項において準用する場合を含む。)の規定による立入検査について準用する。
(3)The provisions of Article 86-3, paragraphs (2) and (3) apply mutatis mutandis to an on-site inspection under the provisions of paragraph (1) (including as applied mutatis mutandis pursuant to the preceding paragraph).
(監督上の処分)
(Supervisory Dispositions)
第九十六条の二十二主務大臣は、株式会社商品取引所の主要株主がこの法律等に違反したとき、又は主要株主の行為が株式会社商品取引所の業務の健全かつ適切な運営を損なうおそれがあると認めるときは、当該主要株主に対し、第九十六条の十九第一項の認可を取り消し、その他監督上必要な措置をとることを命ずることができる。
Article 96-22(1)If the major shareholder of an incorporated commodity exchange violates this Act, etc., or if the competent minister finds that the act of a major shareholder is likely to impair the sound and appropriate operation of the business of an incorporated commodity exchange, the minister may revoke the authorization referred to in Article 96-19, paragraph (1) granted to the major shareholder, or may order to take other measures necessary for supervision against the major shareholder.
前項の規定により第九十六条の十九第一項の認可を取り消された者は、当該認可を取り消された日から三月以内に、株式会社商品取引所の保有基準割合未満の数の対象議決権の保有者となるために必要な措置をとらなければならない。
(2)A person whose authorization referred to in Article 96-19, paragraph (1) has been revoked pursuant to the provisions of the preceding paragraph must take the necessary measures to become the holder of a number of subject voting rights in an incorporated commodity exchange which is less than the threshold holding ratio, within three months from the date that the authorization is revoked.
主務大臣は、第一項の規定による処分を行おうとする場合において必要があると認めるときは、参考人の出頭を求めてその意見を聴取し、若しくは参考人にその意見若しくは報告の提出を求め、又は鑑定人に出頭を求めて鑑定をさせることができる。
(3)If the competent minister finds it to be necessary when the minister seeks to make the disposition pursuant to the provisions of paragraph (1), the minister may ask a witness to appear and hear their opinion or ask a witness to submit an opinion or report, or ask an expert to appear and have the expert give an expert opinion.
第一項の規定による認可の取消しに係る聴聞の期日における審理は、公開により行わなければならない。ただし、主務大臣が当該処分の名あて人となるべき者の業務に関する秘密を保つため必要があると認めるとき、又は公益上必要があると認めるときは、この限りでない。
(4)The proceedings taking place on the date for a hearing on the revocation of authorization under the provisions of paragraph (1) must be opened to the public; provided, however, that this does not apply if the competent minister finds it to be necessary in order to maintain the confidential information related to the business of the person that is to become subject to the disposition secret, or finds it to be necessary in the public interest.
第一項の規定は株式会社商品取引所の保有基準割合以上百分の五十以下の数の対象議決権を保有する商品取引所、商品取引所持株会社、金融商品取引所及び金融商品取引所持株会社について、第三項の規定はこの項において準用する第一項の規定による処分について準用する。
(5)The provisions of paragraph (1) apply mutatis mutandis to a commodity exchange, commodity exchange holding company, financial instruments exchange, or financial instruments exchange holding company that holds a number of subject voting rights in an incorporated commodity exchange that is equal to or greater than the threshold holding ratio, but is not greater than 50 percent; and the provisions of paragraph (3) apply mutatis mutandis to the disposition pursuant to the provisions of paragraph (1) as applied mutatis mutandis pursuant to this paragraph.
(認可の失効)
(Expiration of Authorization)
第九十六条の二十三株式会社商品取引所の主要株主が次の各号のいずれかに該当することとなつたときは、第九十六条の十九第一項の認可は、その効力を失う。
Article 96-23(1)If the major shareholder of an incorporated commodity exchange comes to fall under one of the following items, the authorization referred to in Article 96-19, paragraph (1) ceases to be effective:
認可を受けた日から六月以内に保有基準割合以上の数の対象議決権の保有者とならなかつたとき。
(i)the major shareholder has failed to become a holder of a number of subject voting rights that is equal to or greater than the threshold holding ratio within six months from the date on which they obtain authorization;
保有基準割合未満の数の対象議決権の保有者となつたとき。
(ii)the major shareholder has become the holder of a number of subject voting rights that is less than the threshold holding ratio; or
商品取引所、商品取引所持株会社、金融商品取引所又は金融商品取引所持株会社となつたとき。
(iii)the major shareholder has become a commodity exchange, commodity exchange holding company, financial instruments exchange, or financial instruments exchange holding company.
前項の規定により認可が失効したとき(同項第三号に係る場合にあつては、金融商品取引所又は金融商品取引所持株会社となつたときに限る。)は、主要株主であつた者は、遅滞なく、その旨を主務大臣に届け出なければならない。
(2)If an authorization ceases to be effective pursuant to the provisions of the preceding paragraph (in the case under item (iii) of that paragraph, this is limited to if the major shareholder becomes a financial instruments exchange or financial instruments exchange holding company), the person that was formerly a major shareholder must notify the competent minister of this without delay.
(対象議決権に係る規定の準用)
(Application, Mutatis Mutandis of Provisions on Subject Voting Rights)
第九十六条の二十四第八十六条第五項の規定は、第九十六条の十九第一項から第五項まで、第九十六条の二十第一項、第九十六条の二十一第二項、第九十六条の二十二第二項及び第五項並びに前条第一項の規定を適用する場合について準用する。
Article 96-24The provisions of Article 86, paragraph (5) apply mutatis mutandis when the provisions of Article 96-19, paragraphs (1) through (5), Article 96-20, paragraph (1), Article 96-21, paragraph (2), Article 96-22, paragraph (2) and paragraph (5), and paragraph (1) of the preceding Article are applicable.
第四款 商品取引所持株会社
Subsection 4 Commodity Exchange Holding Companies
(認可等)
(Authorization)
第九十六条の二十五株式会社商品取引所を子会社としようとする者又は株式会社商品取引所を子会社とする会社の設立をしようとする者は、あらかじめ、主務大臣の認可を受けなければならない。ただし、商品取引所、金融商品取引所又は金融商品取引所持株会社が株式会社商品取引所を子会社とする場合は、この限りでない。
Article 96-25(1)A person seeking to have an incorporated commodity exchange as its subsidiary company, or a person seeking to incorporate a company that is to have an incorporated commodity exchange as its subsidiary company, must obtain the authorization of the competent minister in advance; provided, however, that this does not apply if a commodity exchange, financial instruments exchange, or financial instruments exchange holding company is to have an incorporated commodity exchange as its subsidiary company.
前項の規定は、保有する対象議決権の数に増加がない場合その他の主務省令で定める場合において、株式会社商品取引所を子会社とすることとなるときには、適用しない。
(2)If the number of subject voting rights that a person holds does not increase or in any other case specified by order of the competent ministry, the provisions of the preceding paragraph do not apply if the person is to have an incorporated commodity exchange become its subsidiary company.
前項の場合において、株式会社商品取引所を子会社とすることとなつた会社(以下この条において「特定持株会社」という。)は、特定持株会社となつた日から三月以内に、株式会社商品取引所を子会社とする会社でなくなるために必要な措置をとらなければならない。ただし、当該特定持株会社が株式会社商品取引所を子会社とする会社であることについて主務大臣の認可を受けた場合は、この限りでない。
(3)In the case referred to in the preceding paragraph, a company that comes to have an incorporated commodity exchange as its subsidiary company (hereinafter referred to in this Article as a "specified holding company" in this Article) must take necessary measures for it to cease to be a company that has an incorporated commodity exchange as its subsidiary company, within three months from the day on which it becomes a specified holding company; provided, however, that this does not apply if the specified holding company obtains the authorization of the competent minister as a company that has an incorporated commodity exchange as its subsidiary company.
第九十六条の十九第三項及び第五項の規定は、特定持株会社について準用する。この場合において、同条第三項中「前項」とあるのは「第九十六条の二十五第二項」と、同条第五項中「前項」とあるのは「第九十六条の二十五第三項」と、「株式会社商品取引所の総株主の議決権の百分の五十以下の数の対象議決権の保有者となつたとき」とあるのは「株式会社商品取引所を子会社とする会社でなくなつたとき」と読み替えるものとする。
(4)The provisions of Article 96-19, paragraphs (3) and (5) apply mutatis mutandis to a specified holding company. In such a case, the term "the preceding paragraph" in paragraph (3) of that Article is deemed to be replaced with "Article 96-25, paragraph (2)"; the term "the preceding paragraph" in paragraph (5) of that Article is deemed to be replaced with "Article 96-25, paragraph (3)"; and the phrase "becomes the holder of a number of subject voting rights that constitutes 50 percent or less of all shareholders' voting rights in an incorporated commodity exchange" in that paragraph is deemed to be replaced with "ceases to be a company that has an incorporated commodity exchange as its subsidiary company".
第三条第二項及び第三項の規定は、第一項及び第三項ただし書の認可について準用する。
(5)The provisions of Article 3, paragraphs (2) and (3) apply mutatis mutandis to the authorization referred to in paragraph (1) and the proviso to paragraph (3).
(認可の申請)
(Application for Authorization)
第九十六条の二十六前条第一項又は第三項ただし書の認可を受けようとする者は、次に掲げる事項を記載した申請書を主務大臣に提出しなければならない。
Article 96-26(1)A person seeking the authorization referred to in paragraph (1) or the proviso to paragraph (3) of the preceding Article must submit a written application for authorization stating the following particulars to the competent minister:
商号
(i)the trade name;
資本金の額
(ii)the amount of stated capital;
本店、支店その他の営業所の所在地
(iii)the location of the head office, branch offices, and other business offices; and
役員の氏名又は名称及び住所
(iv)the names and addresses of the officers.
前項の申請書には、定款その他主務省令で定める書類を添付しなければならない。
(2)The articles of incorporation and the documents specified by order of the competent ministry must be attached to the written application referred to in the preceding paragraph.
前項の場合において、定款が電磁的記録で作成されているときは、書面に代えて電磁的記録を添付することができる。
(3)In the case referred to in the preceding paragraph, if the articles of incorporation have been prepared in the form of an electronic or magnetic record, electronic or magnetic records may be attached to the written application in lieu of documents.
(認可審査基準)
(Examination Criteria for Authorization)
第九十六条の二十七主務大臣は、前条第一項の規定による認可の申請があつた場合においては、その申請が次に掲げる基準に適合するかどうかを審査しなければならない。
Article 96-27(1)When an application is filed for the authorization pursuant to the provisions of paragraph (1) of the preceding Article, the competent minister must examine whether the application conforms to the following criteria:
認可申請者又は認可を受けて設立される会社(以下この条において「認可申請者等」という。)が専ら株式会社商品取引所又は株式会社商品取引所及び商品取引所関連会社(商品市場開設業務に附帯する業務を行う会社、商品市場開設業務に関連する業務及びこれに附帯する業務を行う会社、算定割当量に係る取引を行う市場の開設の業務及びこれに附帯する業務を行う会社、取引所金融商品市場の開設の業務及びこれに附帯する業務を行う会社又は取引所金融商品市場の開設に関連する業務及びこれに附帯する業務を行う会社をいう。第九十六条の三十六において同じ。)を子会社として保有することを目的とする者であること。
(i)the applicant for authorization or the company to be incorporated with the authorization (hereinafter referred to as an "applicant, etc. for authorization" in this Article) is a person whose sole purpose is to have an incorporated commodity exchange, an incorporated commodity exchange and a commodity exchange affiliated company (meaning a company engaging in business incidental to the operation of a commodity market; a company engaging in business that is connected to the business of operating a commodity market and business incidental thereto; a company engaging in the business of opening a market for trading carbon dioxide equivalent quotas and business incidental thereto; a company engaging in the business of opening a financial instruments exchange market and business incidental thereto; or a company engaging in business that is connected to the business of opening a financial instruments exchange market and business incidental thereto; the same applies in Article 96-36) as its subsidiary company;
認可申請者等及びその子会社となる株式会社商品取引所の収支の見込みが良好であること。
(ii)the applicant, etc. for authorization and the incorporated commodity exchange that is to become its subsidiary company have good prospects in terms of expected income and expenditure;
認可申請者等がその人的構成に照らして、その子会社となる株式会社商品取引所の経営管理を的確かつ公正に遂行することができる知識及び経験を有すること。
(iii)in light of its personnel structure, the applicant, etc. for authorization has the knowledge and experience to conduct business management of the incorporated commodity exchange that is to become its subsidiary company in an appropriate and fair manner; and
認可申請者が十分な社会的信用を有する者であること。
(iv)the applicant for authorization has sufficient social credibility.
主務大臣は、前項の規定により審査した結果、その申請が同項の基準に適合していると認めたときは、次の各号のいずれかに該当する場合を除いて、その認可を与えなければならない。
(2)If, as a result of having conducted an examination pursuant to the provisions of the preceding paragraph, the competent minister finds that the application conforms to the criteria referred to in that paragraph, the minister must grant the authorization, except in a case that falls under one of the following items:
認可申請者等が株式会社(次に掲げる機関を置くものに限る。)でないとき。
(i)the applicant, etc. for authorization is not a stock company (meaning a stock company with the following organs):
取締役会
(a)a board of company directors;
監査役、監査等委員会又は指名委員会等
(b)a company auditor, audit and supervisory committee, or nominating committee, etc.;
認可申請者がこの法律又はこの法律に相当する外国の法令の規定により罰金の刑(これに相当する外国の法令による刑を含む。)に処せられ、その執行の終わつた日又は執行を受けることがないこととなつた日から五年を経過しない者であるとき。
(ii)the applicant for authorization is a person that has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) pursuant to the provisions of this Act or pursuant to a foreign law or regulation that is equivalent to this Act, and for whom five years have not passed since the day on which the person finished serving the sentence or ceased to be subject to the sentence;
認可申請者が第九十六条の二十二第一項、第九十六条の三十四第一項若しくは第九十六条の四十第一項の規定により認可を取り消され、第百五十九条第一項若しくは第二項、第百八十六条第一項若しくは第二項、第二百三十五条第三項、第二百三十六条第一項若しくは第三百四十条第一項(第三百四十五条において準用する場合を含む。)の規定により許可を取り消され、若しくは第二百四十条の二十三第一項の規定により登録を取り消され、これらの取消しの日から五年を経過しない者又はこの法律に相当する外国の法令の規定により当該外国において受けている同種の認可、許可若しくは登録(当該認可、許可又は登録に類する免許その他の行政処分を含む。)を取り消され、その取消しの日から五年を経過しない者であるとき。
(iii)the applicant for authorization is a person that has had their authorization revoked pursuant to the provisions of Article 96-22, paragraph (1), Article 96-34, paragraph (1), or Article 96-40, paragraph (1), has had their permission revoked pursuant to the provisions of Article 159, paragraph (1) or paragraph (2), Article 186, paragraph (1) or paragraph (2), Article 235, paragraph (3), Article 236, paragraph (1), or Article 340, paragraph (1) (including as applied mutatis mutandis pursuant to Article 345), or has had their registration revoked pursuant to the provisions of Article 240-23, paragraph (1), and for whom five years have not passed since the date of the revocation, or is a person that had obtained the same kind of authorization, permission, or registration in a foreign state pursuant to the provisions of a foreign law or regulation that is equivalent to this Act (including a license or other administrative disposition similar to the authorization, permission, or registration) and has had the authorization, permission, or registration revoked, and for whom five years have not passed since the date of the revocation;
認可申請者等の役員のうちに第十五条第二項第一号イからルまでのいずれかに該当する者があるとき。
(iv)the applicant, etc. for authorization has a person falling under one of the persons referred to in Article 15, paragraph (2), item (i), sub-items (a) through (k) as an officer; or;
認可申請書又はこれに添付すべき書類若しくは電磁的記録のうちに重要な事項について虚偽の記載又は記録があるとき。
(v)the written application for authorization or documents that are required to be attached to the written application or an electronic or magnetic record includes a false statement or false record about a material particular.
(議決権の保有制限)
(Limitation on the Holding of Voting Rights)
第九十六条の二十八何人も、商品取引所持株会社の総株主の議決権の百分の二十(その財務及び営業の方針の決定に対して重要な影響を与えることが推測される事実として主務省令で定める事実がある場合には、百分の十五。以下この款(第九十六条の四十第四項を除く。)において「保有基準割合」という。)以上の数の対象議決権を取得し、又は保有してはならない。ただし、商品取引所又は金融商品取引所が取得し、又は保有する場合は、この限りでない。
Article 96-28(1)It is prohibited for any person to acquire or hold a number of subject voting rights that constitute twenty percent or more (or fifteen percent or more, if there is a fact that is specified by order of the competent ministry as a fact that is presumed to have a material influence on decisions about financial and operational policies; hereinafter referred to as "threshold holding ratio" in this Subsection (excluding Article 96-40, paragraph (4))) of all shareholders' voting rights in a commodity exchange holding company; provided, however, that this does not apply if a commodity exchange or a financial instruments exchange acquires or holds the subject voting rights.
前項本文の規定は、保有する対象議決権の数に増加がない場合その他の主務省令で定める場合において、商品取引所持株会社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、又は保有することとなるときには、適用しない。
(2)If the number of subject voting rights that a person holds does not increase or in any other case specified by order of the competent ministry, the provisions of the main clause of the preceding paragraph do not apply to the person that is to acquire or hold a number of subject voting rights in a commodity exchange holding company which is equal to or greater than the threshold holding ratio of all shareholders' voting rights.
前項の場合において、商品取引所持株会社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、又は保有することとなつた者(以下この条において「特定保有者」という。)は、特定保有者になつた旨その他主務省令で定める事項を、遅滞なく、主務大臣に届け出なければならない。
(3)In the case referred to in the preceding paragraph, a person that has come to acquire or hold a number of subject voting rights in a commodity exchange holding company that is equal to or greater than the threshold holding ratio of all shareholders' voting rights (hereinafter referred to as a "specified holder" in this Article) must notify the competent minister without delay that the person has become a specified holder and of other particulars specified by order of the competent ministry.
第二項の場合において、特定保有者は、特定保有者となつた日から三月以内に、商品取引所持株会社の保有基準割合未満の数の対象議決権の保有者となるために必要な措置をとらなければならない。ただし、当該特定保有者が地方公共団体等である場合であつて、当該地方公共団体等が第九十六条の三十一第一項の認可を受けたときは、この限りでない。
(4)In the case referred to in paragraph (2), a specified holder must take necessary measures to become the holder of a number of subject voting rights in a commodity exchange holding company which is less than the threshold holding ratio within three months from the day on which that person has become a specified holder; provided, however, that this does not apply if the specified holder is a local government, etc. and the local government, etc. obtains the authorization referred to in Article 96-31, paragraph (1).
前各項の規定の適用に関し必要な事項は、政令で定める。
(5)The necessary particulars for the application of the provisions of the preceding paragraphs are specified by Cabinet Order.
(対象議決権保有届出書の提出)
(Submission of a Notification of Holding Subject Voting Rights)
第九十六条の二十九商品取引所持株会社の総株主の議決権の百分の五を超える対象議決権の保有者(以下この条において「対象議決権保有者」という。)となつた者は、主務省令で定めるところにより、対象議決権保有割合(対象議決権保有者の保有する当該対象議決権の数を当該商品取引所持株会社の総株主の議決権の数で除して得た割合をいう。)、保有の目的その他主務省令で定める事項を記載した対象議決権保有届出書を、遅滞なく、主務大臣に提出しなければならない。
Article 96-29A person that has become a holder of subject voting rights exceeding five percent of all shareholders' voting rights in a commodity exchange holding company (hereinafter referred to as "holder of subject voting rights" in this Article) must submit a notification of holding subject voting rights to the competent minister, pursuant to the provisions of order of the competent ministry and without delay, in which the subject voting rights holding rate (meaning the rate obtained by dividing the number of subject voting rights held by the holder of subject voting rights by the number representing all shareholders' voting rights in the commodity exchange holding company), the purpose of the holding, and other particulars specified by order of the competent ministry are stated.
(対象議決権保有届出書の提出者に対する報告徴収及び立入検査)
(Collection of Reports from and On-site Inspections of Persons Submitting a Notification of Holding Subject Voting Rights)
第九十六条の三十主務大臣は、この法律の施行のため必要があると認めるときは、前条の対象議決権保有届出書の提出者に対し、その業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ、又はその職員に、その者の事務所若しくは営業所に立ち入り、帳簿、書類その他の物件の検査(当該対象議決権保有届出書の記載に関し必要な検査に限る。)をさせることができる。
Article 96-30(1)When the competent minister finds it to be necessary for the enforcement of this Act, the minister may order the person submitting a notification of holding subject voting rights referred to in the preceding Article to submit reports or materials that should serve as a reference on their business or property, or may have ministry officials enter the person's office or business office and inspect their books and documents or any other article (limited to inspection necessary in relation to the statements in the notification of holding subject voting rights).
第八十六条の三第二項及び第三項の規定は、前項の規定による立入検査について準用する。
(2)The provisions of Article 86-3, paragraphs (2) and (3) apply mutatis mutandis to an on-site inspection referred to in the preceding paragraph.
(主要株主に係る認可等)
(Authorization Related to Major Shareholders)
第九十六条の三十一地方公共団体等は、第九十六条の二十八第一項本文の規定にかかわらず、主務省令で定めるところにより、主務大臣の認可を受けて、商品取引所持株会社の総株主の議決権の保有基準割合以上百分の五十以下の数の対象議決権を取得し、又は保有することができる。
Article 96-31(1)Notwithstanding the provisions of the main clause of Article 96-28, paragraph (1), pursuant to the provisions of order of the competent ministry and by obtaining the authorization of the competent minister, a local government, etc. may acquire or hold a number of subject voting rights that is equal to or greater than the threshold holding ratio, but is not greater than 50 percent of all shareholders' voting rights in a commodity exchange holding company.
前項の認可を受けた地方公共団体等は、同項及び第九十六条の二十八第一項本文の規定にかかわらず、その保有する対象議決権の数に増加がない場合その他の主務省令で定める場合には、商品取引所持株会社の総株主の議決権の百分の五十を超える対象議決権を取得し、又は保有することができる。
(2)Notwithstanding the provisions of the preceding paragraph and the main clause of Article 96-28, paragraph (1), a local government, etc. that has obtained the authorization referred to in the preceding paragraph may acquire or hold subject voting rights exceeding 50 percent of all shareholders' voting rights in a commodity exchange holding company if the number of subject voting rights that it holds does not increase or in any other case specified by order of the competent ministry.
前項の場合において、商品取引所持株会社の総株主の議決権の百分の五十を超える対象議決権を取得し、又は保有することとなつた地方公共団体等(以下この条において「特定保有団体等」という。)は、特定保有団体等となつた日から三月以内に、商品取引所持株会社の総株主の議決権の百分の五十以下の数の対象議決権の保有者となるために必要な措置をとらなければならない。
(3)In the case referred to in the preceding paragraph, a local government, etc. that has come to acquire or hold subject voting rights exceeding 50 percent of all shareholders' voting rights in a commodity exchange holding company (hereinafter referred to as a "specified holding entity, etc." in this Article) must take necessary measures to become the holder of a number of subject voting rights that constitutes 50 percent or less of all shareholders' voting rights in the commodity exchange holding company, within three months from the day on which it has become a specified holding entity, etc.
第九十六条の十九第三項及び第五項の規定は、特定保有団体等について準用する。この場合において、同条第三項中「前項」とあるのは「第九十六条の三十一第二項」と、同条第五項中「前項」とあるのは「第九十六条の三十一第三項」と読み替えるものとする。
(4)The provisions of Article 96-19, paragraphs (3) and (5) apply mutatis mutandis to a specified holding entity, etc. In such a case, the term "the preceding paragraph" in paragraph (3) of that Article is deemed to be replaced with "Article 96-31, paragraph (2)" and the term "the preceding paragraph" in paragraph (5) of that Article is deemed to be replaced with "Article 96-31, paragraph (3)".
第三条第二項及び第三項の規定は、第一項の認可について準用する。
(5)The provisions of Article 3, paragraphs (2) and (3) apply mutatis mutandis to the authorization referred to in paragraph (1).
(主要株主に係る認可基準)
(Criteria for Authorization for Major Shareholders)
第九十六条の三十二主務大臣は、前条第一項の認可の申請があつた場合においては、その申請が次に掲げる基準に適合するかどうかを審査しなければならない。
Article 96-32(1)When an application is filed for the authorization referred to in paragraph (1) of the preceding Article, the competent minister must examine whether the application conforms to the following criteria:
認可申請者がその対象議決権を行使することにより、商品取引所持株会社の子会社である株式会社商品取引所の業務の健全かつ適切な運営を損なうおそれがないこと。
(i)the exercise of the subject voting rights by an applicant for authorization is not likely to impair the sound and appropriate operation of the business of an incorporated commodity exchange that is the subsidiary company of the commodity exchange holding company; and
認可申請者が商品取引所の業務の公共性に関し十分な理解を有すること。
(ii)the applicant for authorization has a sufficient understanding of the public nature of the business of a commodity exchange.
第九十六条の二十第二項の規定は、前条第一項の認可について準用する。この場合において、第九十六条の二十第二項中「前項」とあるのは、「第九十六条の三十二第一項」と読み替えるものとする。
(2)The provisions of Article 96-20, paragraph (2) apply mutatis mutandis to the authorization referred to in paragraph (1) of the preceding Article. In such a case, the term "the preceding paragraph" in Article 96-20, paragraph (2) is deemed to be replaced with "Article 96-32, paragraph (1)".
(主要株主に対する報告徴収及び立入検査)
(Collection of Reports and On-Site Inspections of Major Shareholders)
第九十六条の三十三主務大臣は、この法律の施行のため必要があると認めるときは、商品取引所持株会社の主要株主(第九十六条の三十一第一項の認可を受けた者をいう。以下この款において同じ。)に対し、当該商品取引所持株会社若しくはその子会社である株式会社商品取引所の業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ、又はその職員に、当該主要株主の事務所若しくは営業所に立ち入り、帳簿、書類その他の物件の検査(当該商品取引所持株会社又はその子会社である株式会社商品取引所の業務又は財産に関し必要な検査に限る。)をさせることができる。
Article 96-33(1)When the competent minister finds it to be necessary for the enforcement of this Act, the minister may order the major shareholder of a commodity exchange holding company (meaning a person that has obtained the authorization referred to in Article 96-31, paragraph (1); hereinafter the same applies in this Subsection) to submit reports or materials that should serve as a reference on the business or property of the commodity exchange holding company or an incorporated commodity exchange that is its subsidiary company, or may have ministry officials enter the office or business office of the major shareholder and inspect their books and documents or any other article (limited to inspection necessary in relation to the business or property of the commodity exchange holding company or of an incorporated commodity exchange that is its subsidiary company).
前項の規定は、商品取引所持株会社の保有基準割合以上百分の五十以下の数の対象議決権を保有する金融商品取引所について準用する。
(2)The provisions of the preceding paragraph apply mutatis mutandis to a financial instruments exchange that holds a number of subject voting rights in a commodity exchange holding company that is equal to or greater than the threshold holding ratio, but is not greater than 50 percent.
第八十六条の三第二項及び第三項の規定は、第一項(前項において準用する場合を含む。)の規定による立入検査について準用する。
(3)The provisions of Article 86-3, paragraphs (2) and (3) apply mutatis mutandis to an on-site inspection under the provisions of paragraph (1) (including as applied mutatis mutandis pursuant to the preceding paragraph).
(主要株主に対する監督上の処分)
(Supervisory Dispositions for Major Shareholders)
第九十六条の三十四主務大臣は、商品取引所持株会社の主要株主がこの法律等に違反したとき、又は主要株主の行為が当該商品取引所持株会社の子会社である株式会社商品取引所の業務の健全かつ適切な運営を損なうおそれがあると認めるときは、当該主要株主に対し、第九十六条の三十一第一項の認可を取り消し、その他監督上必要な措置をとることを命ずることができる。
Article 96-34(1)If the major shareholder of a commodity exchange holding company violates this Act, etc., or if the competent minister finds that the act of a major shareholder is likely to impair the sound and appropriate operation of the business of an incorporated commodity exchange that is the subsidiary company of the commodity exchange holding company, the minister may revoke the authorization referred to in Article 96-31, paragraph (1), or may order other measures necessary for supervision to be taken against the major shareholder.
前項の規定により第九十六条の三十一第一項の認可を取り消された者は、当該認可を取り消された日から三月以内に、商品取引所持株会社の保有基準割合未満の数の対象議決権の保有者となるために必要な措置をとらなければならない。
(2)A person whose authorization referred to in Article 96-31, paragraph (1) has been revoked pursuant to the provisions of the preceding paragraph must take necessary measures to become the holder of a number of subject voting rights in a commodity exchange holding company which is less than the threshold holding ratio, within three months from the date of the revocation of that authorization.
第九十六条の二十二第三項の規定は第一項の規定による処分について、同条第四項の規定は第一項の規定による認可の取消しに係る聴聞について準用する。
(3)The provisions of Article 96-22, paragraph (3) apply mutatis mutandis to a disposition pursuant to the provisions of paragraph (1), and the provisions of paragraph (4) of that Article apply mutatis mutandis to a hearing on the revocation of authorization pursuant to the provisions of paragraph (1).
第一項の規定は商品取引所持株会社の保有基準割合以上百分の五十以下の数の対象議決権を保有する商品取引所及び金融商品取引所について、第九十六条の二十二第三項の規定はこの項において準用する第一項の規定による処分について準用する。
(4)The provisions of paragraph (1) apply mutatis mutandis to a commodity exchange or financial instruments exchange that holds a number of subject voting rights in a commodity exchange holding company which is equal to or greater than the threshold holding ratio, but is not greater than 50 percent; the provisions of Article 96-22, paragraph (3) apply mutatis mutandis to the disposition pursuant to the provisions of paragraph (1) as applied mutatis mutandis pursuant to this paragraph.
(主要株主に係る認可の失効)
(Expiration of Authorization for Major Shareholders)
第九十六条の三十五商品取引所持株会社の主要株主が次の各号のいずれかに該当することとなつたときは、第九十六条の三十一第一項の認可は、その効力を失う。
Article 96-35(1)If the major shareholder of a commodity exchange holding company comes to fall under one of the following items, the authorization referred to in Article 96-31, paragraph (1) ceases to be effective:
認可を受けた日から六月以内に保有基準割合以上の数の対象議決権の保有者とならなかつたとき。
(i)the major shareholder has failed to become the holder of a number of subject voting rights that is equal to or greater than the threshold holding ratio within six months from the date of obtaining authorization;
保有基準割合未満の数の対象議決権の保有者となつたとき。
(ii)the major shareholder has become the holder of a number of subject voting rights that is less than the threshold holding ratio;
商品取引所又は金融商品取引所となつたとき。
(iii)the major shareholder has become a commodity exchange or a financial instruments exchange.
前項の規定により認可が失効したとき(同項第三号に係る場合にあつては、金融商品取引所となつたときに限る。)は、主要株主であつた者は、遅滞なく、その旨を主務大臣に届け出なければならない。
(2)If authorization ceases to be effective pursuant to the provisions of the preceding paragraph (in the case under item (iii) of that paragraph, this is limited to if the major shareholder becomes a financial instruments exchange), the person that was formerly the major shareholder must notify the competent minister of this without delay.
(業務の範囲)
(Scope of Business)
第九十六条の三十六商品取引所持株会社は、子会社である株式会社商品取引所及び商品取引所関連会社の経営管理を行うこと並びにこれらに附帯する業務のほか、他の業務を行うことができない。
Article 96-36(1)A commodity exchange holding company may not conduct any business other than the business management of an incorporated commodity exchange and of the commodity exchange affiliated companies which are its subsidiary companies and business incidental to those businesses.
商品取引所持株会社は、その業務を行うに当たつては、子会社である株式会社商品取引所の業務の公共性に対する信頼及び健全かつ適切な運営を損なうことのないよう、子会社である株式会社商品取引所又は株式会社商品取引所及び商品取引所関連会社の適切な経営管理に努めなければならない。
(2)A commodity exchange holding company, in performing its business, must endeavor to ensure appropriate business management of the incorporated commodity exchange that is its subsidiary company or of the incorporated commodity exchange and commodity exchange affiliated companies that are its subsidiary companies, so as not to impair the confidence in the public nature of the business of the incorporated commodity exchange that is its subsidiary company, and the sound and appropriate operation of its business.
(子会社の範囲)
(Scope of Subsidiary Companies)
第九十六条の三十七商品取引所持株会社は、商品市場開設業務及びこれに附帯する業務を行う会社以外の会社を子会社としてはならない。ただし、主務省令で定めるところにより、主務大臣の認可を受けた場合は、商品市場開設業務に関連する業務及びこれに附帯する業務を行う会社、算定割当量に係る取引を行う市場の開設の業務及びこれに附帯する業務を行う会社、取引所金融商品市場の開設の業務及びこれに附帯する業務を行う会社又は取引所金融商品市場の開設に関連する業務及びこれに附帯する業務を行う会社を子会社とすることができる。
Article 96-37(1)A commodity exchange holding company must not have a company that engages in business other than the business of operating a commodity market and business incidental thereto as its subsidiary company; provided, however, that if a commodity exchange holding company obtains the authorization of the competent minister pursuant to order of the competent ministry, the commodity exchange holding company may have as its subsidiary company a company engaging in business that is connected with the business of operating a commodity market and business incidental thereto, a company engaging in the business of opening a market for trading carbon dioxide equivalent quotas and business incidental thereto, a company engaging in the business of opening a financial instruments exchange market and business incidental thereto, or a company engaging in business that is connected with the business of opening a financial instruments exchange market and business incidental thereto.
第三条第二項から第四項までの規定は、前項ただし書の認可について準用する。この場合において、同条第四項中「業務を行う」とあるのは「会社を子会社とする」と、「商品市場開設業務」とあるのは「商品取引所の商品市場開設業務」と読み替えるものとする。
(2)The provisions of Article 3, paragraphs (2) through (4) apply mutatis mutandis to the authorization referred to in the proviso to the preceding paragraph. In such a case, the phrase "the applicant's engagement in business which the application concerns" in paragraph (4) of that Article is deemed to be replaced with "the applicant having the company which the application concerns as its subsidiary company", and the phrase "business of operating a commodity market" in that paragraph is deemed to be replaced with "business of operating a commodity market of a commodity exchange".
(認可の取消し)
(Revocation of Authorization)
第九十六条の三十八主務大臣は、商品取引所持株会社が第九十六条の二十五第一項又は第三項ただし書の認可を受けた当時既に第九十六条の二十七第二項各号のいずれかに該当していたことが判明したときは、その認可を取り消すことができる。
Article 96-38If a commodity exchange holding company is discovered to have fallen under one of the items of Article 96-27, paragraph (2) at the time it obtained the authorization referred to in Article 96-25, paragraph (1) or in the proviso to paragraph (3), the competent minister may revoke its authorization.
(報告徴収及び立入検査)
(Collection of Reports and On-Site Inspections)
第九十六条の三十九主務大臣は、この法律の施行のため必要があると認めるときは、商品取引所持株会社若しくはその子会社に対し、当該商品取引所持株会社の業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ、又はその職員に、当該商品取引所持株会社若しくは当該子会社の事務所若しくは営業所に立ち入り、帳簿、書類その他の物件の検査(当該子会社にあつては、当該商品取引所持株会社の業務又は財産に関し必要な検査に限る。)をさせることができる。
Article 96-39(1)When the competent minister finds it to be necessary for the enforcement of this Act, the minister may order a commodity exchange holding company or its subsidiary company to submit reports or materials that should serve as a reference on the business or property of that commodity exchange holding company, or may have ministry officials enter the office or business office of a commodity exchange holding company or its subsidiary company and inspect its books and documents or any other article (for its subsidiary company, limited to inspection necessary in connection with the business or property of the commodity exchange holding company).
第八十六条の三第二項及び第三項の規定は、前項の規定による立入検査について準用する。
(2)The provisions of Article 86-3, paragraphs (2) and (3) apply mutatis mutandis to an on-site inspection under the provisions of the preceding paragraph.
(監督上の処分)
(Supervisory Dispositions)
第九十六条の四十主務大臣は、商品取引所持株会社がこの法律等に違反したとき、商品取引所持株会社の行為がその子会社である株式会社商品取引所の業務の健全かつ適切な運営を損なうおそれがあると認めるとき、又は商品取引所持株会社の子会社の行為が当該商品取引所持株会社の子会社である株式会社商品取引所の業務の健全な運営を損なうおそれがあるにもかかわらず、当該行為の是正のため必要な措置をとることを怠つたときは、当該商品取引所持株会社に対し、第九十六条の二十五第一項若しくは第三項ただし書又は第九十六条の三十七第一項ただし書の認可を取り消し、その他監督上必要な措置をとることを命ずることができる。
Article 96-40(1)If a commodity exchange holding company violates this Act, etc., if the competent minister finds that the act of a commodity exchange holding company is likely to impair the sound and appropriate operation of the business of an incorporated commodity exchange which is its subsidiary company, or if a commodity exchange holding company fails to take the necessary measures to correct the act of its subsidiary company despite being likely that such an act will impair the sound operation of the business of an incorporated commodity exchange which is a subsidiary company of that commodity exchange holding company, the competent minister may revoke the authorization granted to the commodity exchange holding company under Article 96-25, paragraph (1), the proviso to Article 96-25, paragraph (3), or the proviso to Article 96-37, paragraph (1), or may order other measures necessary for supervision to be taken against the commodity exchange holding company.
主務大臣は、商品取引所持株会社の役員がこの法律等に違反したときは、当該商品取引所持株会社に対し、当該役員の解任を命ずることができる。
(2)If an officer of a commodity exchange holding company violates this Act, etc., the competent minister may order the commodity exchange holding company to dismiss that officer.
第一項の規定により第九十六条の二十五第一項又は第三項ただし書の認可を取り消された商品取引所持株会社は、速やかに、当該株式会社商品取引所を子会社とする会社でなくなるために必要な措置をとらなければならない。
(3)A commodity exchange holding company that has had the authorization referred to in Article 96-25, paragraph (1) or the proviso of paragraph (3) of that Article revoked pursuant to the provisions of paragraph (1) must promptly take the necessary measures for it to cease to be a company that has an incorporated commodity exchange as its subsidiary company.
前項の措置がとられた場合において、当該措置をとつた者がなお株式会社商品取引所の保有基準割合以上の数の対象議決権の保有者であるときは、当該株式会社商品取引所を子会社とする会社でなくなつた日を第八十六条第四項の特定保有者となつた日とみなして、同項の規定を適用する。
(4)If the measures referred to in the preceding paragraph are taken but the person that has taken those measures remains the holder of a number of subject voting rights in an incorporated commodity exchange which is equal to or greater than the threshold holding ratio, the date on which the person ceases to be a company that has the incorporated commodity exchange as its subsidiary company is deemed to be the date on which the person becomes a specified holder referred to in Article 86, paragraph (4), and the provisions of that paragraph apply.
第九十六条の二十二第三項の規定は第一項又は第二項の規定による処分について、同条第四項の規定は第一項又は第二項の規定による認可の取消し又は役員の解任の命令に係る聴聞について準用する。
(5)The provisions of Article 96-22, paragraph (3) apply mutatis mutandis to a disposition pursuant to the provisions of paragraph (1) or (2), and the provisions of paragraph (4) of that Article apply mutatis mutandis to a hearing regarding the rescission of authorization or an order to dismiss an officer pursuant to the provisions of paragraph (1) or (2).
(認可の失効)
(Expiration of Authorization)
第九十六条の四十一商品取引所持株会社が次の各号のいずれかに該当することとなつたときは、第九十六条の二十五第一項又は第三項ただし書の認可は、その効力を失う。
Article 96-41(1)If a commodity exchange holding company comes to fall under one of the following items, the authorization referred to in Article 96-25, paragraph (1) or in the proviso to paragraph (3) of that Article ceases to be effective:
株式会社商品取引所を子会社とする会社でなくなつたとき(当該株式会社商品取引所の議決権の保有の態様その他の事情を勘案して主務省令で定める場合を除く。)。
(i)the company ceases to be a company that has an incorporated commodity exchange as its subsidiary company (excluding cases that are specified by order of the competent ministry in consideration of the manner in which the voting rights in the incorporated commodity exchange are acquired or held, or of any other circumstances);
解散したとき。
(ii)the company is dissolved;
設立、合併(当該合併により設立される会社が商品取引所持株会社であるものに限る。)又は新設分割(当該新設分割により設立された会社が商品取引所持株会社であるものに限る。)を無効とする判決が確定したとき。
(iii)a judgment invalidating its incorporation, merger (but only if the company to be incorporated in the merger is a commodity exchange holding company), or incorporation-type company split (but only if the company incorporated in the incorporation-type company split is a commodity exchange holding company) becomes final and binding; or
認可を受けた日から六月以内に株式会社商品取引所を子会社とする会社とならなかつたとき。
(iv)the company fails to become a company that has an incorporated commodity exchange as its subsidiary company within six months from the date on which it has obtained authorization.
前項の規定により認可が失効したときは、商品取引所持株会社であつた者は、遅滞なく、その旨を主務大臣に届け出なければならない。
(2)If an authorization ceases to be effective pursuant to the provisions of the preceding paragraph, the person that was the commodity exchange holding company must notify the competent minister of this without delay.
(対象議決権に係る規定の準用)
(Application, Mutatis Mutandis of Provisions on Subject Voting Rights)
第九十六条の四十二第八十六条第五項の規定は、第九十六条の二十五第二項、同条第四項において準用する第九十六条の十九第三項及び第五項、第九十六条の二十八第一項から第四項まで、第九十六条の二十九、第九十六条の三十一第一項から第三項まで、同条第四項において準用する第九十六条の十九第三項及び第五項、第九十六条の三十二第一項、第九十六条の三十三第二項、第九十六条の三十四第二項及び第四項、第九十六条の三十五第一項並びに第九十六条の四十第四項の規定を適用する場合について準用する。
Article 96-42The provisions of Article 86, paragraph (5) apply mutatis mutandis when Article 96-25, paragraph (2), Article 96-19, paragraph (3) and paragraph (5) as applied mutatis mutandis pursuant to paragraph (4) of that Article, Article 96-28, paragraphs (1) through (4), Article 96-29, Article 96-31, paragraphs (1) through (3), Article 96-19, paragraph (3) and paragraph (5) as applied mutatis mutandis pursuant to paragraph (4) of that Article, Article 96-32, paragraph (1), Article 96-33, paragraph (2), Article 96-34, paragraph (2) and paragraph (4), Article 96-35, paragraph (1), and Article 96-40, paragraph (4) are applicable.
(監督上の処分等に係る規定の準用)
(Application, Mutatis Mutandis of Provisions on Supervisory Dispositions)
第九十六条の四十三第九十六条の三十六第二項及び第九十六条の四十第一項の規定は株式会社商品取引所を子会社とする商品取引所及び商品取引所持株会社を子会社とする商品取引所について、第九十六条の三十六第二項、第九十六条の三十九及び第九十六条の四十第一項の規定は株式会社商品取引所を子会社とする金融商品取引所及び金融商品取引所持株会社並びに商品取引所持株会社を子会社とする金融商品取引所について、第九十六条の二十二第三項の規定はこの項において準用する第九十六条の四十第一項の規定による処分について、それぞれ準用する。
Article 96-43The provisions of Article 96-36, paragraph (2) and Article 96-40, paragraph (1) apply mutatis mutandis to a commodity exchange that has an incorporated commodity exchange as its subsidiary company or to a commodity exchange that has a commodity exchange holding company as its subsidiary company; the provisions of Article 96-36, paragraph (2), Article 96-39, and Article 96-40, paragraph (1) apply mutatis mutandis to a financial instruments exchange or financial instruments exchange holding company that has an incorporated commodity exchange as its subsidiary company or to a financial instruments exchange that has a commodity exchange holding company as its subsidiary company; the provisions of Article 96-22, paragraph (3) apply mutatis mutandis to a disposition pursuant to the provisions of Article 96-40, paragraph (1) as applied mutatis mutandis pursuant to this Article.
第四節 商品市場における取引
Section 4 Transactions in a Commodity Market
(取引資格)
(Trading Qualification)
第九十七条会員商品取引所の開設する商品市場における取引は、当該会員商品取引所の会員でなければすることができない。
Article 97(1)Transactions in a commodity market operated by a member commodity exchange may only be conducted by a member of that member commodity exchange.
株式会社商品取引所の開設する商品市場における取引は、当該商品市場における取引参加者でなければすることができない。
(2)Transactions in a commodity market operated by an incorporated commodity exchange may only be conducted by a trading participant of that commodity market.
前二項の規定は、第一項の会員又は前項の取引参加者から委託を受けて商品清算取引を行う場合には、適用しない。
(3)The provisions of the preceding two paragraphs do not apply if a person conducts a commodity clearing transaction with which the person is entrusted by the member referred to in paragraph (1) or the trading participant referred to in the preceding paragraph.
(相互決済結了取引取決めに係る取引資格)
(Trading Qualification in Respect of an Agreement on Intermarket Linkage)
第九十八条前条の規定にかかわらず、商品取引所は、定款(株式会社商品取引所にあつては、業務規程。次条第一項、第百条、第百一条第一項、第百九条第一項、第百十三条第一項(第百十四条において準用する場合を含む。)及び第百十四条において同じ。)で定めるところにより、当該商品取引所と相互決済結了取引取決めを締結した他の商品取引所(商品取引所に相当する外国の施設を含む。次項において同じ。)の会員等に、当該相互決済結了取引取決めに基づいて取引の決済を結了させるための取引を行う目的の範囲内において、当該商品取引所の商品市場における取引をすることができる資格を与えることができる。
Article 98(1)Notwithstanding the provisions of the preceding Article, a commodity exchange, pursuant to the provisions of its articles of incorporation (or the operational rules, if it is an incorporated commodity exchange; the same applies in paragraph (1) of the following Article, Article 100, Article 101, paragraph (1), Article 109, paragraph (1), Article 113, paragraph (1) (including as applied mutatis mutandis pursuant to Article 114), and Article 114), may grant the member, etc. of another commodity exchange (including a facility in a foreign state equivalent to a commodity exchange; the same applies in the following paragraph) with which the commodity exchange has concluded an agreement on intermarket linkage, qualification for conducting transactions in a commodity market of that commodity exchange, within the scope of conducting transactions to complete the settlement of transactions based on the agreement on intermarket linkage.
前項に規定する相互決済結了取引取決めとは、当該商品取引所及び他の商品取引所が、それぞれ、他の商品取引所の会員等又は当該商品取引所の会員等に、他の商品取引所の商品市場(商品市場に相当する外国の市場を含む。以下この項において同じ。)又は当該商品取引所の商品市場において決済を結了していない取引について、当該商品取引所の商品市場又は他の商品取引所の商品市場においてその取引の決済を結了させるための取引をすることを、相互に認めるための取決めをいう。
(2)An agreement on intermarket linkage prescribed in the preceding paragraph means an agreement under which a commodity exchange and another commodity exchange mutually acknowledge that the members, etc. of another commodity exchange or the members, etc. of the commodity exchange may conduct transactions in the commodity market of the commodity exchange or in the commodity market of another commodity exchange for completing the settlement for transactions for which settlement has not been completed in the commodity market (including a market in a foreign state equivalent to a commodity market; hereinafter the same applies in this paragraph) of another commodity exchange or for which settlement has not been completed in the commodity market of the commodity exchange.
第一項の規定に基づき商品取引所により取引資格を与えられた者は、同項に規定する目的の範囲内において、第百一条第一項から第四項まで、第百三条、第百四条第三項及び第四項、第百八条第一項、第百十三条から第百十五条まで、第百十八条、第百五十七条、第百五十九条第一項、第百六十条第一項、第百六十五条、第百七十九条並びに第百八十八条の規定の適用については、会員等とみなす。この場合において、第百十三条第一項(第百十四条及び第百八十八条において準用する場合を含む。)中「から脱退した」とあるのは「において取引をすることができる資格を喪失した」と、第百六十条第一項及び第百六十五条中「の除名」とあるのは「の取引をすることができる資格の取消し」とする。
(3)A person granted trading qualification by a commodity exchange pursuant to the provisions of paragraph (1) is deemed to be a member, etc., within the scope of purpose prescribed in that paragraph, with regard to the application of the provisions of Article 101, paragraphs (1) through (4), Article 103, Article 104, paragraphs (3) and (4), Article 108, paragraph (1), Articles 113 through 115, Article 118, Article 157, Article 159, paragraph (1), Article 160, paragraph (1), Article 165, Article 179, and Article 188. In such a case, the term "withdraws from" in Article 113, paragraph (1) (including as applied mutatis mutandis pursuant to Article 114 and Article 188) is deemed to be replaced with "forfeits the qualification for conducting transactions in" and the term "expel that member" in Article 160, paragraph (1) and Article 165 is deemed to be replaced with "revoke the member's qualification that enable them to trade".
(会員等の純資産額)
(Amount of Net Assets of a Member)
第九十九条商品取引所は、その定款をもつて、商品市場ごとに、主務省令で定めるところにより、当該商品市場において取引をする会員等の純資産額の最低額を定めなければならない。ただし、当該商品市場において第百五条第二号又は第三号に掲げる方法による決済を行う場合については、この限りでない。
Article 99(1)A commodity exchange must specify, for each commodity market, the minimum amount of net assets of a member, etc. trading in that commodity market in its articles of incorporation, pursuant to the provisions of order of the competent ministry; provided, however, that this does not apply if settlement is made by the method set forth in Article 105, item (ii) or (iii) in that commodity market.
商品取引所は、前項の規定により会員等の純資産額の最低額を定めるときは、二以上の商品市場において、又は他の商品取引所の商品市場において取引をする会員等の純資産額の最低額が他の会員等の純資産額の最低額より多い額となるようにしなければならない。
(2)In deciding the minimum amount of net assets of a member, etc. pursuant to the provisions of the preceding paragraph, a commodity exchange must ensure that the minimum amount of net assets of a member, etc. trading in two or more commodity markets or in the commodity market of another commodity exchange is higher than the minimum amount of net assets of other members, etc.
会員等の純資産額が前二項の規定による最低額を下回ることとなつたときは、商品取引所は、遅滞なく、その者の商品市場における取引を停止し、かつ、その旨を主務大臣に報告しなければならない。
(3)If the net assets of a member, etc. fall below the minimum amount under the provisions of the preceding two paragraphs, the commodity exchange must suspend the member's transactions in the commodity market and report this to the competent minister without delay.
前項の場合において、当該会員等の商品市場における取引の停止をした日から六月以内にその者の純資産額が第一項又は第二項の規定による最低額以上になつたときは、商品取引所は、遅滞なく、前項の規定による取引の停止を解除し、かつ、その旨を主務大臣に報告しなければならない。
(4)In the case referred to in the preceding paragraph, if the net assets of the member, etc. reach or exceed the minimum amount under the provisions of paragraph (1) or (2) within six months from the day of the suspension of the member's transactions in the commodity market, the commodity exchange must cancel the suspension of transactions pursuant to the provisions of the preceding paragraph and report this to the competent minister without delay.
第三項の場合において、会員又は取引参加者の純資産額が前項に規定する期間内に第一項又は第二項の規定による最低額以上とならなかつたときは、商品取引所は、遅滞なく、当該会員の除名又は当該取引参加者の取引資格の取消しを行わなければならない。
(5)In the case referred to in paragraph (3), if the net assets of the member or trading participant does not reach the minimum amount under the provisions of paragraph (1) or (2) within the period prescribed in the preceding paragraph, the commodity exchange must expel the member or revoke the trading participant's trading qualification without delay.
商品取引所は、第三項の規定によりその取引を停止したとき、又は前項の規定により会員の除名若しくは取引参加者の取引資格の取消しを行つたときは、その理由を示し、遅滞なく、その旨を本人に通知しなければならない。
(6)If a commodity exchange suspends transactions pursuant to the provisions of paragraph (3), or expels a member or revokes a trading participant's trading qualification pursuant to the provisions of the preceding paragraph, the commodity exchange must notify that person to that effect without delay, indicating the reason for this.
第一項から第五項までの純資産額は、資産の合計金額から負債の合計金額を控除した額とし、主務省令で定めるところにより計算しなければならない。
(7)The amount of net assets referred to in paragraphs (1) through (5) must be an amount arrived at by deducting the total amount of debts from the total amount of assets, and must be calculated pursuant to the provisions of order of the competent ministry.
(会員等の数)
(Number of Members)
第百条商品取引所は、その定款をもつて、商品市場ごとに、当該商品市場において取引をする会員等の数又は委託を受けて当該商品市場において取引をする会員等の数の最高限度を設定することができる。
Article 100For each commodity market, a commodity exchange may set a maximum number of members, etc. that trade in that commodity market, or of members, etc. that are entrusted to trade in that commodity market, by specifying the number in its articles of incorporation.
(信認金)
(Guarantee Funds)
第百一条会員等は、定款で定めるところにより、商品取引所に対し、当該会員等が取引をする商品市場ごとに信認金を預託しなければならない。
Article 101(1)A member, etc. must deposit guarantee funds with the commodity exchange for each commodity market in which the member, etc. trades, pursuant to the provisions of the articles of incorporation.
会員等は、前項の信認金を預託した後でなければ、商品市場において取引をしてはならない。
(2)A member, etc. must not trade in a commodity market until it has deposited the guarantee funds referred to in the preceding paragraph.
信認金は、有価証券(国債証券、地方債証券並びに特別の法律により法人の発行する債券、取引所金融商品市場において売買取引されている社債券及び株券その他の政令で定める有価証券をいう。)をもつて、これに充てることができる。
(3)Securities (meaning national government bond certificates, local government bond certificates, bond certificates issued by a corporation pursuant to special laws, corporate bond certificates and share certificates purchased and sold in a financial instruments exchange market, and other securities specified by Cabinet Order) may be used as guarantee funds.
前項の有価証券の充用価格は、時価を参酌して主務省令で定めるところにより算出した価格を超えてはならない。
(4)The allocation price of the securities referred to in the preceding paragraph must not exceed the price calculated pursuant to the provisions of order of the competent ministry in consideration of the market price.
商品先物取引業者である会員等に対して商品市場における取引を委託した者(次項及び第百八条第二項において「取引委託者」という。)は、その委託により生じた債権に関し、当該商品市場についての当該会員等の信認金について、他の債権者に先立つて弁済を受ける権利を有する。
(5)A person that entrusts a member, etc. that is a commodity derivatives business operator with transactions in a commodity market (referred to as the "transaction consignor" in the following paragraph and Article 108, paragraph (2)) has the right to receive payment from the guarantee funds of the member, etc. of that commodity market for a claim arising from that consignment, in preference over other creditors.
前項の優先弁済を受ける権利が互いに競合するときは、会員等でない取引委託者の有する権利は、会員等である取引委託者の有する権利に対し優先する。
(6)If rights to receive preferential payment as referred to in the preceding paragraph conflict with each other, the right of a transaction consignor that is not a member, etc. takes precedence over the right of a transaction consignor that is a member, etc.
商品取引所は、商品取引債務引受業を行うことにより取得した会員等に対する債権と当該会員等に対する信認金に係る債務を相殺してはならない。
(7)A commodity exchange must not set off a claim held by a member, etc. that it has acquired by performing business of assuming commodity transaction debts against its obligations to that member, etc. related to guarantee funds.
(業務規程)
(Operational Rules)
第百二条商品取引所は、その業務規程において、その開設する商品市場ごとに、当該商品市場における次に掲げる事項(会員商品取引所にあつては、第一号から第三号まで及び第五号に掲げる事項を除く。)に関する細則を定めなければならない。
Article 102(1)A commodity exchange must establish detailed regulations on the following particulars (excluding the particulars set forth in items (i) through (iii) and item (v) for a member commodity exchange) in connection with the commodity markets it operates, for each of its commodity market, in its operational rules:
取引参加者に関する事項
(i)the particulars concerning its trading participants;
信認金に関する事項
(ii)the particulars concerning guarantee funds;
取引証拠金に関する事項
(iii)the particulars concerning clearing margins;
商品市場における取引の対象とする商品たる物品若しくは電力、商品指数又はオプション(実物オプション及び特定スワップオプションを含む。)
(iv)the goods or electric power which are commodities, commodity indices, or options (including spot options and specified swap options) underlying the transactions in the commodity market;
上場商品又は上場商品指数ごとの取引の種類
(v)the types of transaction for each listed commodity or listed commodity index;
取引の期限
(vi)the transaction period;
取引の開始及び終了
(vii)the start and end of a transaction;
取引の停止
(viii)the suspension of a transaction;
取引の契約の締結及びその制限に関する事項
(ix)the particulars concerning the conclusion of transaction contracts and of its restrictions;
受渡しその他の決済の方法
(x)delivery and other method of settlement; and
十一前各号に掲げる事項のほか、取引に関し必要な事項
(xi)in addition to the particulars set forth in the preceding items, necessary particulars concerning trading.
前項第九号に掲げる事項については、商品取引所は相場の変動又は決済を結了していない取引の数量を制限する措置を講ずることができる旨を定めなければならない。
(2)With regard to the particulars set forth in item (ix) of the preceding paragraph, a commodity exchange must specify that measures may be taken to limit fluctuations in the quotations or the volume of transactions for which settlement has not been completed.
株式会社商品取引所の業務規程には、第一項各号に掲げる事項のほか、株式会社商品取引所としての存続期間、商品市場の開設期限又は範囲変更期間(商品市場(第百五十六条第五項第二号に規定する期限付商品市場を除く。)における上場商品又は上場商品指数の範囲の変更(廃止又は範囲の縮小を除く。同条において同じ。)が行われる期間をいう。以下この項及び同条において同じ。)を定めたときは、その存続期間、開設期限又は範囲変更期間を記載し、又は記録するものとする。
(3)If, in addition to the particulars set forth in the item of paragraph (1), the term of existence as an incorporated commodity exchange, the expiration date of a commodity market, or the term for a change of scope (meaning the period during which the scope of a listed commodity or a listed commodity index of a commodity market (excluding a fixed-term commodity market prescribed in Article 156, paragraph (5), item (ii)) is changed (excluding discontinuation or narrowing of the scope; the same applies in that Article); hereinafter the same applies in this paragraph and that Article) of a commodity market has been decided, that term of existence, expiration date, or term for a change of scope is to be stated or recorded in the operational rules of an incorporated commodity exchange.
(取引証拠金)
(Clearing Margin)
第百三条商品取引所は、商品市場における取引(第百五条第一号に掲げる方法による決済を行う商品市場における取引に限り、第二条第十項第一号ニに掲げるものを除く。以下この条において同じ。)について、主務省令で定めるところにより、次の各号に掲げる場合の区分に応じ、当該各号に定める者から、取引証拠金の預託を受けなければならない。
Article 103(1)A commodity exchange must receive a deposit of clearing margin from the person prescribed in each of the following items in accordance with the category set forth in that item, in connection with transactions in a commodity market (limited to transactions in a commodity market for which settlement is made by the method set forth in Article 105, item (i), and excluding those set forth in Article 2, paragraph (10), item (i), (d); hereinafter the same applies in this Article) pursuant to the provisions of order of the competent ministry:
会員等が自己の計算において商品市場における取引を行う場合又は会員等がその受託した商品市場における取引(次項の規定に基づき委託証拠金の預託を受けて受託したものに限る。)を行う場合 当該会員等
(i)if a member, etc. conducts a transaction in a commodity market on its own account, or conducts a transaction in a commodity market with which it has been entrusted (limited to transactions with which it has been entrusted after receiving a deposit of customer margin based on the provisions of the following paragraph): the member, etc.;
会員等がその受託した商品市場における取引(その委託の取次ぎを受託した者(以下この条において「取次者」という。)から受託したものを除く。)を行う場合(前号に掲げる場合を除く。) 当該取引の委託者(会員等に対して商品市場における取引を委託した者であつて取次者でないものをいう。次項において同じ。)
(ii)if a member, etc. conducts a transaction in a commodity market with which it has been entrusted (excluding a transaction with which it has been entrusted by a person that has entrusted the brokerage of the consignment (hereinafter referred to as a "broker" in this Article)) (excluding the case set forth in the preceding item): the person entrusting the member, etc. with that transaction (meaning the person that entrusts the member, etc. with the transaction in the commodity market, who is not a broker; the same applies in the following paragraph);
会員等がその受託した商品市場における取引(第三項の規定に基づき取次証拠金の預託を受けている取次者から受託したものに限る。)を行う場合(第一号に掲げる場合を除く。) 当該取次者
(iii)if a member, etc. conducts a transaction in a commodity market with which it has been entrusted (limited to one with which it has been entrusted by a broker that has received a deposit of brokerage margin based on the provisions of paragraph (3)) (excluding the case set forth in item (i)): the broker;
会員等がその受託した商品市場における取引(取次者から受託したものに限る。)を行う場合(第一号及び前号に掲げる場合を除く。) 当該取引の委託の取次ぎの委託をした者(以下この条において「取次委託者」という。)
(iv)if a member, etc. conducts a transaction in a commodity market with which it has been entrusted (limited a transaction with which it has been entrusted by a broker) (excluding the case set forth in item (i) and the preceding item): the person that entrusted the brokerage of consignment of that transaction (hereinafter referred to as the "person that entrusts brokerage" in this Article).
会員等は、商品市場における取引の受託について、主務省令で定めるところにより、委託者又は取次者(当該取引が、次項の規定に基づく取次証拠金の預託を取次委託者から受けていない取次者から受託したものである場合にあつては、取次委託者)の承諾を得て、その者をして、当該会員等に委託証拠金を預託させることができる。
(2)In becoming entrusted with a transaction in a commodity market, a member, etc. may have the consignor or the broker (or the person that entrusts brokerage, if the transaction is one with which the member, etc. has been entrusted by a broker that has not received deposit of the brokerage margin based on the provisions of the following paragraph from the person that entrusts brokerage) deposit a customer margin with the member, etc. by obtaining the consent of that person, pursuant to the provisions of order of the competent ministry.
取次者は、商品市場における取引の委託の取次ぎの受託について、主務省令で定めるところにより、取次委託者の承諾を得て、その者をして、当該取次者に取次証拠金を預託させることができる。
(3)In becoming entrusted with brokerage of consignment of a transaction in a commodity market, a broker may have the person that entrusts brokerage deposit brokerage margin with the broker, with the consent of that person, pursuant to the provisions of order of the competent ministry.
商品取引所は、主務省令で定めるところにより、第一項の規定に基づき預託を受けた取引証拠金を管理しなければならない。
(4)A commodity exchange must manage the clearing margin deposited based on the provisions of paragraph (1), pursuant to the provisions of order of the competent ministry.
第一項の取引証拠金、第二項の委託証拠金及び第三項の取次証拠金は、第百一条第三項に規定する有価証券又は当該商品取引所若しくは他の商品取引所の開設する商品市場における取引の決済のため受渡しの目的物とすることができる当該商品市場の上場商品の保管を証する倉荷証券をもつて、これに充てることができる。
(5)The securities prescribed in Article 101, paragraph (3) or a warehouse receipt certifying retention of a listed commodity that is listed on a commodity market and that can be made the subject of delivery in order to settle a transaction in a commodity market operated by the commodity exchange or by another commodity exchange may be used as the clearing margin referred to in paragraph (1), the consignor margin referred to in paragraph (2), or the brokerage margin referred to in paragraph (3).
第百一条第四項の規定は、前項の有価証券又は倉荷証券の充用価格について準用する。
(6)The provisions of Article 101, paragraph (4) apply mutatis mutandis to the allocation price of the securities or warehouse receipt referred to in the preceding paragraph.
第二項又は第三項の場合において、第二項の会員等又は第三項の取次者(以下この項及び第十項において「会員等又は取次者」という。)は、主務省令で定めるところにより、主務大臣の承認を受けて、銀行その他の主務省令で定める金融機関(以下この条において「銀行等」という。)と当該会員等又は取次者のために所要の取引証拠金に相当する金額が商品取引所の指示に応じて当該商品取引所に預託される旨の契約を締結して、その旨を当該商品取引所に届け出ることができる。
(7)In the case referred to in paragraph (2) or (3), the member, etc. referred to in paragraph (2) or the broker referred to in paragraph (3) (hereinafter referred to as the "member, etc. or broker" in this paragraph and paragraph (10)), with the approval of the competent minister and pursuant to the provisions of order of the competent ministry, may conclude a contract with a bank or other financial institution specified by order of the competent ministry (hereinafter referred to as a "bank, etc.") to have an amount corresponding to the required clearing margin deposited with a commodity exchange on its behalf as instructed by the commodity exchange, and notify the commodity exchange of this.
第一項第一号に掲げる場合(会員等が自己の計算において商品市場における取引を行う場合に限る。)又は同項第二号若しくは第四号に掲げる場合において、同項第一号に定める会員等、同項第二号に定める取引の委託者又は同項第四号に定める取次委託者(以下この条において「会員等、取引の委託者又は取次委託者」という。)は、主務省令で定めるところにより、銀行等と当該会員等、取引の委託者又は取次委託者のために所要の取引証拠金に相当する金額が商品取引所の指示に応じて当該商品取引所に預託される旨の契約を締結して、その旨を当該商品取引所に届け出ることができる。
(8)In the case referred to in paragraph (1), item (i) (limited to one in which a member, etc. conducts a transaction in a commodity market on its own account) or in the case referred to in item (ii) or (iv) of that paragraph, the member, etc. prescribed in item (i) of that paragraph, the person entrusting the relevant party with the transaction on the commodity market prescribed in item (ii) of that paragraph, or the person that entrusts brokerage prescribed in item (iv) of that paragraph (hereinafter referred to as a "member, etc., person entrusting the member, etc. with the transaction, or person that entrusts brokerage" in this Article), pursuant to the provisions of order of the competent ministry, may conclude a contract with a bank, etc. to have an amount corresponding to the required clearing margin deposited with the commodity exchange on its behalf as instructed by the commodity exchange, and notify the commodity exchange of this.
前二項の場合において、当該商品取引所は、当該契約の効力の存する間に限り、当該契約において当該商品取引所に預託されることとなつている金額に相当する取引証拠金の全部又は一部については、その預託を猶予することができる。
(9)In the cases referred to in the preceding two paragraphs, the commodity exchange may grant a grace period for the deposit of the whole or a part of the clearing margin corresponding to the amount of money to be deposited with the commodity exchange under the contract, but only as long as the contract remains in effect.
10商品取引所は、商品市場における取引の公正を確保し、又は委託者を保護するため必要があると認めるときは、会員等又は取次者と第七項の契約を締結した銀行等又は当該会員等又は取次者に対し、所要の取引証拠金に相当する金額又は前項の規定により預託を猶予した取引証拠金を当該商品取引所に預託すべき旨を指示しなければならない。
(10)If a commodity exchange finds it to be necessary for ensuring the fairness of transactions in a commodity market or for the protection of consignors, it must instruct a bank, etc. that has concluded a contract referred to in paragraph (7) with a member, etc. or broker, or instruct that member, etc. or broker, to deposit an amount of money with the commodity exchange that corresponds to the required clearing margin or the clearing margin for which it has granted a grace period pursuant to the provisions of the preceding paragraph.
11商品取引所は、商品市場における取引の公正を確保するため必要があると認めるときは、会員等、取引の委託者又は取次委託者と第八項の契約を締結した銀行等又は当該会員等、取引の委託者又は取次委託者に対し、所要の取引証拠金に相当する金額又は第九項の規定により預託を猶予した取引証拠金を当該商品取引所に預託すべき旨を指示しなければならない。
(11)If a commodity exchange finds it to be necessary for ensuring the fairness of transactions in a commodity market, it must instruct a member, etc., a bank, etc. that has concluded a contract referred to in paragraph (8) with the consignor or a person that entrusts brokerage, or a person entrusting the member, etc. with a transaction, or a person that entrusts brokerage, to deposit an amount of money with the commodity exchange that corresponds to the required clearing margin or the clearing margin for which it has granted a grace period pursuant to the provisions of paragraph (9).
(上場商品の格付)
(Grading of a Listed Commodity)
第百四条上場商品の格付の方法、格付表その他格付に関する事項は、業務規程で定めなければならない。
Article 104(1)The method of grading, the grade table, and other particulars concerning the grading of a listed commodity must be specified by the operational rules.
前項の場合において、商品市場における取引のために、当該上場商品の等級について定められた国定規格があるときは、商品取引所は、これに従わなければならない。
(2)In the case referred to in the preceding paragraph, if a national standard has been set for the grading of a listed commodity for transactions in a commodity market, the commodity exchange must comply with that standard.
会員等は、商品取引所が業務規程で定めるところにより行う格付に従わなければならない。
(3)A member, etc. must comply with the grading conducted by a commodity exchange pursuant to the provisions of the operational rules.
商品取引所は、格付人を選任する必要がある場合においては、当該商品取引所の会員等以外の者のうちから選任しなければならない。
(4)If it is necessary to appoint a grader, a commodity exchange must appoint the grader from among persons other than the members, etc. of the commodity exchange.
前項の格付人は、商品取引所の使用人としなければならない。ただし、主務大臣の承認を受けたときは、この限りでない。
(5)The grader referred to in the preceding paragraph must be an employee of the commodity exchange; provided, however, that this does not apply if the approval of the competent minister has been obtained.
(取引の決済)
(Settlement of Transactions)
第百五条商品市場における取引の決済は、定款で定めるところにより、商品市場ごとに、次の各号のいずれかに掲げる方法により行わなければならない。
Article 105Settlement of transactions in commodity markets must be made for each commodity market, by one of the methods set forth in the following items, pursuant to the provisions of the articles of incorporation:
商品取引所を経て行う方法
(i)through the commodity exchange;
商品取引所が第百七十三条第一項の承認を受けてその開設する商品市場における取引に基づく債務の引受けを行う方法
(ii)by a commodity exchange assuming the obligations arising from transactions in a commodity market that it operates, with the approval referred to in Article 173, paragraph (1); or
商品取引清算機関が商品市場における取引に基づく債務の引受けを行う方法(前号に掲げる方法を除く。)
(iii)by a commodity clearing organization assuming the obligations arising from transactions in a commodity market (other than the method set forth in the preceding item).
(取引の決済の繰延べの禁止)
(Prohibition to Defer Settlement of Transactions)
第百六条商品市場における取引は、商品取引所の格付の遅延その他商品取引所(前条第三号に掲げる方法による決済を行う商品市場にあつては、当該商品市場について商品取引債務引受業を行う商品取引清算機関を含む。)につき生じた事由による場合を除くほか、その履行期を繰り延べて決済してはならない。
Article 106Transactions in a commodity market must not be settled by deferring the performance period, unless this is caused by a delay in grading by the commodity exchange or other causes attributable to the commodity exchange (including a commodity clearing organization that performs business of assuming commodity transaction debts for the commodity market, for a commodity market in which settlement is made by the method set forth in item (iii) of the preceding Article).
(取引の臨時的開始等の届出)
(Notification of Irregular Start of Trading)
第百七条商品取引所は、商品市場ごとに、商品市場を開設することができることとなつた日以後最初にその取引を行つたとき、及び臨時に取引を開始し、若しくは終了し、又はその停止をし、若しくはその停止を解除したときは、遅滞なく、その旨を主務大臣に届け出なければならない。
Article 107When a commodity exchange has conducted transactions for the first time after the day on which it became possible to open a commodity market, or if it has irregularly opened, closed, or suspended trading, or cancelled a suspension, the commodity exchange must notify the competent minister to that effect without delay, for each commodity market.
(債務不履行による損害賠償)
(Damages Caused by Default)
第百八条会員等(第百五条第二号又は第三号に掲げる方法による決済を行う場合にあつては、清算参加者である会員等に限る。以下この条において同じ。)が商品市場における取引に基づく債務の不履行により他の会員等又は商品取引清算機関に損害を与えたときは、その損害を受けた会員等又は商品取引清算機関は、その損害を与えた会員等の当該取引に係る商品市場についての信認金及び当該取引についての取引証拠金(自己の計算による取引についてのものに限る。)について、他の債権者に先立つて弁済を受ける権利を有する。
Article 108(1)If a member, etc. (limited to a member, etc. that is a clearing participant, if settlement is to be made by the method set forth in Article 105, item (ii) or (iii); hereinafter the same applies in this Article) causes damage to another member, etc. or a commodity clearing organization as a result of defaulting on an obligation arising from a transaction in a commodity market, the member, etc. or commodity clearing organization that incurred the damages has the right to receive payment out of the guarantee funds for the commodity market related to the transactions by the member, etc. that has caused the damage, and out of the clearing margin for those transactions (limited to the margin for transactions conducted on the member's, etc. own account), in preference over other creditors.
第百一条第五項の規定による取引委託者が優先弁済を受ける権利は、前項の規定にかかわらず、同項の信認金についての会員等又は商品取引清算機関の権利に対して優先する。
(2)Notwithstanding the provisions of the preceding paragraph, the right of a transaction consignor to receive preferential payment pursuant to the provisions of Article 101, paragraph (5) takes precedence over the right of a member, etc. or commodity clearing organization concerning the guarantee funds referred to in that paragraph.
(特別担保金)
(Special Deposits)
第百九条第百五条第一号に掲げる方法による決済を行う場合において、商品取引所は、定款で定めるところにより、会員等をして、当該会員等が取引をする商品市場ごとに特別担保金を預託させることができる。
Article 109(1)If settlement is to be made by the method set forth in Article 105, item (i), a commodity exchange may have a member, etc. deposit special deposit for each commodity market on which the member, etc. trades, pursuant to the provisions of the articles of incorporation.
会員等は、商品市場における取引に基づく債務の不履行による債権に関し、前条第一項の規定により同項に規定する信認金及び取引証拠金について弁済を受け、なお不足があるときは、当該取引の相手方たる会員等の当該商品市場についての特別担保金について、他の債権者に先立つて弁済を受ける権利を有する。
(2)A member, etc. has the right to receive payment for a claim based on a party's default on an obligation arising from a transaction in a commodity market, out of the guarantee funds or clearing margin prescribed in paragraph (1) of the preceding Article pursuant to the provisions of the that paragraph, and if this amount is still insufficient, the member, etc. has the right to receive payment in preference over other creditors out of the special deposit of the member, etc. that is the other party to the transaction for that commodity market .
会員等は、前項の規定により同項の特別担保金について弁済を受け、なお不足があるときは、他の会員等の当該商品市場についての特別担保金について、その特別担保金の額に応じて、他の債権者に先立つて弁済を受ける権利を有する。ただし、その不足する額に、その会員等の当該商品市場についての特別担保金の額の同項に規定する取引の相手方たる会員等以外の会員等の当該商品市場についての特別担保金の総額に対する割合を乗じて得た額をその不足する額から控除した残額の範囲内に限る。
(3)If a member, etc. receives payment out of a special deposit pursuant to the provisions of the preceding paragraph, and the amount is still insufficient, the member, etc. has the right to receive payment out of special deposit of the other member, etc. for that commodity market, in preference over other creditors and in accordance with the amount of their special deposit; provided, however, that this is limited to the amount that remains after deducting from the shortfall the amount obtained by multiplying the shortfall by the percentage of the amount of the member's, etc. special deposit for the commodity market to the total amount of special deposits for that commodity market of a member's, etc. other than the member, etc. that was the counterparty to the transactions prescribed in the preceding paragraph.
前項の規定による弁済があつたときは、同項に規定する他の会員等は、第二項に規定する取引の相手方たる会員等に対し、求償権を有する。
(4)If a payment under the preceding paragraph has been made, the other members, etc. prescribed in that paragraph have the right to claim reimbursement from the member, etc. that was the counterparty to the transactions prescribed in paragraph (2).
(信認金等の運用方法)
(Method of Managing Guarantee Funds)
第百十条商品取引所は、国債の保有その他主務省令で定める方法によるほか、信認金又は特別担保金として預託を受けたものを運用することができない。
Article 110A commodity exchange may not manage funds that have been deposited as guarantee funds or special deposits, other than through holding national government bonds or any other method specified by order of the competent ministry.
(総取引高等の公表)
(Disclosure of Total Transaction Volume)
第百十一条商品取引所は、主務省令で定めるところにより、その開設する商品市場における次に掲げる事項について、速やかに、その会員等に通知し、公表しなければならない。
Article 111A commodity exchange must promptly notify its members, etc. of and also disclose the following particulars concerning a commodity market it operates, pursuant to order of the competent ministry:
毎日の総取引高
(i)the daily total transaction volume; and
取引の成立した対価の額又は約定価格若しくは約定数値(以下「約定価格等」という。)であつて主務省令で定めるもの
(ii)the amount of consideration for which a transaction is closed, or the contract price or agreed figure (hereinafter referred to as the "contract price, etc.") which is specified by order of the competent ministry.
(相場、取引高等の報告)
(Reporting of Quotations and Transaction Volume)
第百十二条商品取引所は、主務省令で定めるところにより、その開設する商品市場における次に掲げる事項について、主務大臣に報告しなければならない。
Article 112A commodity exchange must report the following particulars concerning a commodity market it operates to the competent minister, pursuant to the provisions of order of the competent ministry:
毎日及び毎月の相場及び取引高その他の主務省令で定める事項
(i)the daily and monthly quotations, transaction volumes, and other particulars specified by order of the competent ministry;
一の会員等の自己の計算による取引であつて決済を結了していないものの毎日の数量が商品市場ごとに主務省令で定める数量を超えている場合その他その商品市場における取引の状況が主務省令で定める要件に該当している場合における当該会員等の名称、当該数量その他の主務省令で定める事項
(ii)if the daily volume of transactions conducted by a single member, etc. on its own account for which settlement has not been completed exceeds the volume that is specified by order of the competent ministry for each commodity market, or if the status of transactions in a commodity market satisfies the requirement specified by order of the competent ministry, the name of the member, etc., the relevant volume, and other particulars specified by order of the competent ministry.
(脱退前又は取引資格の喪失前にした取引の決済の結了)
(Completing Settlement for Transactions Conducted Prior to Withdrawal or Forfeiture of Trading Qualification)
第百十三条会員が会員商品取引所から脱退した場合又は取引参加者が株式会社商品取引所の取引資格を喪失した場合において、その会員又は取引参加者が商品市場における取引の決済を結了していないときは、第三十七条第一項若しくは第二項、第四十条又は第八十三条の規定により承継する者がある場合を除き、商品取引所は、定款で定めるところにより、本人若しくはその決済が結了していない取引に係る権利及び義務を承継した者(以下この条において「承継者」という。)又は他の会員等(当該商品市場において取引をすることができる他の会員等に限る。以下この条において同じ。)をして当該取引の決済を結了させなければならない。
Article 113(1)If a member withdraws from a member commodity exchange or a trading participant forfeits trading qualification in an incorporated commodity exchange, and the member or trading participant has not completed settlement for a transaction in a commodity market, the commodity exchange must have that person or the person that succeeds to the rights and obligations related to the transactions that have not been settled (hereinafter referred to as the "successor" in this Article) or another member, etc. (limited to another member, etc. who is able to trade in the relevant commodity market; hereinafter the same applies in this Article) complete settlement for the transactions, pursuant to the provisions of the articles of incorporation, unless there is a person that succeeds to those rights and obligations pursuant to the provisions of Article 37, paragraph (1) or (2), Article 40, or Article 83.
前項の場合においては、本人又はその承継者(会員又は取引参加者であるものを除く。)は、当該取引の決済を結了する目的の範囲内において、会員又は取引参加者とみなす。
(2)In the case referred to in the preceding paragraph, the person or their successor (other than a successor that is a member or trading participant) is deemed to be a member or trading participant, to the extent required to complete the settlement of those transactions.
第一項の規定により商品取引所が他の会員等をして当該取引の決済を結了させるときは、本人又はその承継者と当該会員等との間には委任契約が成立しているものとみなす。
(3)If a commodity exchange has another member, etc. complete settlement of the transactions pursuant to the provisions of paragraph (1), a consignment contract is deemed to be established between the person or their successor and that member, etc.
(取引の停止の場合における取引の決済の結了)
(Completion of Settlement of Transactions in Cases of Suspension of Transactions)
第百十四条前条の規定は、会員等の商品市場における取引がこの法律又は商品取引所の定款で定めるところにより停止された場合に準用する。
Article 114The provisions of the preceding Article apply mutatis mutandis if transactions of a member, etc. in a commodity market are suspended pursuant to the provisions of this Act or the articles of incorporation of the commodity exchange.
(帳簿の区分経理及び保存)
(Separate Accounting in the Books and Preservation of Books)
第百十五条会員等は、主務省令で定めるところにより、商品市場における取引について、その他の取引と帳簿上区分して経理し、かつ、帳簿その他業務に関する書類を保存しておかなければならない。
Article 115A member, etc. must keep their accounting for transactions in a commodity market separate from that for other transactions in their books as well as preserve their books and other documents related to business pursuant to the provisions of order of the competent ministry.
(仮装取引、なれ合い取引等の禁止)
(Prohibition of Wash Trading and Accommodation Trading)
第百十六条何人も、次に掲げる行為をしてはならない。
Article 116It is prohibited for any person to perform the following acts:
商品市場における取引に関し、上場商品の所有権(電力にあつては、電力の供給を受ける権利)の移転を目的としない売買取引をすること。
(i)to conduct a purchase and sale transaction in a commodity market, without the intention to transfer ownership of the listed commodity (for electric power, the right to be supplied with electric power);
商品市場における取引に関し、仮装の取引をし、又は偽つて自己の名を用いないで取引をすること。
(ii)to engage in wash trading in a commodity market, or to engage in trading in a commodity market under false pretenses, avoiding the use of one's name;
商品市場における取引に関し、自己のする取引の申込みと同時期に、それと同一の対価の額又は約定価格等において、他人が当該取引を成立させることのできる申込みをすることをあらかじめその者と通謀の上、当該取引の申込みをすること。
(iii)to make an offer for a transaction in a commodity market after colluding with another person in advance to offer to conduct a transaction for oneself at the same time that the person makes an offer that will allow that transaction to be completed for the same amount of consideration or for the same contract price, etc.;
商品市場における取引に関し、単独で又は他人と共同して、当該商品市場における取引が繁盛であると誤解させるべき一連の取引又は当該商品市場における相場を変動させるべき一連の取引をすること。
(iv)to conduct a series of transactions in a commodity market which is likely to mislead people into believing that the transactions in a commodity market are thriving or which is likely to change the quotations on that commodity market, either independently or jointly with another person;
前各号のいずれかに掲げる行為の委託をし、又はその受託をし、若しくはその委託の取次ぎを受託すること。
(v)to entrust or become entrusted with one of the acts set forth in the preceding items, or to become entrusted with the brokerage of consignment of the entrustment;
商品市場における取引をする場合に、当該商品市場における相場を変動させる目的をもつて、商品市場外で上場商品構成品等の売買その他の取引をすること。
(vi)conducting transactions in a commodity market and making a purchase and sale or other transaction of component products of listed commodities, etc. or other transactions outside the commodity market with the intention of causing quotations on the commodity market to fluctuate;
商品市場における取引に関し、商品市場における相場が自己又は他人の市場操作によつて変動すべき旨を流布すること。
(vii)to spread information that quotations on a commodity market will fluctuate due to one's own or another party's market manipulation in relation to transactions in a commodity market; or
商品市場における取引をする場合に、重要な事項について虚偽の表示又は誤解を生ぜしむべき表示を故意にすること。
(viii)to conduct transactions in a commodity market and intentionally make a false representation about a material particular or a representation about a material particular that is likely to be misleading.
(仮装取引等をした者の損害賠償責任)
(Compensatory Liability of a Person that Has Engaged in Wash Trading)
第百十七条前条の規定に違反した者は、当該違反行為により形成された対価の額又は約定価格等により当該商品市場における取引又はその委託をした者が当該取引又は委託につき受けた損害を賠償する責めに任ずる。
Article 117(1)A person that has violated the provisions of the preceding Article is liable to compensate for damages that a person conducting a transaction in the commodity market or a person entrusting a person with the transaction, incurs in conducting or entrusting a transaction based on the amount of consideration or contract price, etc. that is formed due to that violation.
前項の規定による賠償の請求権は、請求権者が前条の規定に違反する行為があつたことを知つた時から一年間又は当該行為があつた時から三年間これを行わないときは、時効によつて消滅する。
(2)A claim for damages under the provisions of the preceding paragraph is extinguished by prescription if it is not exercised within one year from the time the claimant learns that an act in violation of the provisions of the preceding Article has taken place or within three years from the time the act has taken place.
(会員等の取引の制限等)
(Restriction on Transactions by a Member)
第百十八条主務大臣は、商品市場において、買占め、売崩しその他の方法により過当な数量の取引が行われ若しくは行われるおそれがあり、又は不当な対価の額若しくは約定価格等が形成され若しくは形成されるおそれがある場合において、商品市場における秩序を維持し、かつ、公益を保護するため必要があると認めるときは、次の各号に掲げる者に対して、当該各号に定める事項を命ずることができる。
Article 118If an excessive volume of transactions are conducted or are likely to be conducted through act of buying up, selling off, or any other method, or an unfair amount of consideration or contract price, etc. is formed or is likely to be formed on a commodity market, and the competent minister finds it to be necessary in order to maintain order in the commodity market and to protect the public interest, the minister may issue orders on the particulars specified in each of the following items to the persons set forth in that item:
会員等 商品市場における取引又はその受託の制限
(i)a member, etc.: restrictions on transactions in a commodity market or on becoming entrusted with the transactions;
商品取引所 当該商品取引所の開設する商品市場における相場の変動又は決済を結了していない取引の数量を制限する措置を講ずること、取引証拠金の額の変更その他商品市場における取引の公正を確保するための事項として主務省令で定める事項
(ii)a commodity exchange: to take measures to limit fluctuations in the quotations or volume of transactions for which settlement has not been completed in a commodity market that the commodity exchange operates, to change the amount of clearing margins, or other particulars specified by order of the competent ministry as particulars for ensuring the fairness of transactions in a commodity market;
商品取引清算機関 取引証拠金の額の変更その他商品市場における取引の公正を確保するための事項として主務省令で定める事項
(iii)a commodity clearing organization: to change the amount of clearing margin or other particulars specified by order of the competent ministry as particulars for ensuring the fairness of transactions in a commodity market.
(受託契約準則)
(Entrustment Contract Regulations)
第百十九条商品取引所は、その受託契約準則において、次に掲げる事項に関する細則を定めなければならない。
Article 119A commodity exchange must establish detailed regulations concerning the following particulars in its entrustment contract regulations:
商品市場における取引等(商品清算取引を除く。第三号において同じ。)の受託の条件
(i)requirements for becoming entrusted with transactions in a commodity market, etc. (excluding commodity clearing transactions; the same applies in item (iii));
受渡しその他の決済の方法
(ii)delivery and other methods of settlement;
前二号に掲げる事項のほか、商品市場における取引等の受託に関し必要な事項
(iii)necessary particulars in becoming entrusted with transactions in a commodity market, etc., other than the particulars set forth in the preceding two items.
(紛争の処理)
(Resolution of Disputes)
第百二十条商品取引所は、当該商品取引所の商品市場における取引に関して会員等の間、商品先物取引業者の間又は商品先物取引業者と委託者との間に生じた紛争について当事者である会員等、商品先物取引業者又は委託者から仲介の申出があつたときは、紛争処理規程で定めるところにより、仲介を行うものとする。
Article 120(1)When a commodity exchange receives an application for mediation from a member, etc., commodity derivatives business operator, or consignor that is party to a dispute that has arisen between members, etc., between commodity derivatives business operators, or between a commodity derivatives business operator and a consignor concerning a transaction in that commodity exchange's commodity market, the commodity exchange is to act as an intermediary pursuant to the provisions of its dispute resolution rules.
商品取引所は、その紛争処理規程において、次に掲げる事項に関する細則を定めなければならない。
(2)A commodity exchange must establish detailed regulations concerning the following particulars in its dispute resolution rules:
仲介の申出手続
(i)the procedures for applying for intermediation;
仲介の方法
(ii)the intermediation method;
前二号に掲げる事項のほか、仲介に関し必要な事項
(iii)beyond what is set forth in the preceding two items, necessary particulars concerning intermediation.
第五節 組織変更
Section 5 Entity Conversion
(会員商品取引所から株式会社商品取引所への組織変更)
(Entity Conversion from a Member Commodity Exchange to an Incorporated Commodity Exchange)
第百二十一条会員商品取引所は、その組織を変更して株式会社商品取引所になることができる。
Article 121A member commodity exchange may become an incorporated commodity exchange through an entity conversion.
(組織変更計画)
(Entity Conversion Plan)
第百二十二条会員商品取引所は、前条の組織変更(以下この節において「組織変更」という。)をするには、組織変更計画を作成して、会員総会の決議によつて、その承認を受けなければならない。
Article 122(1)In order to implement the entity conversion referred to in the preceding Article (hereinafter referred to as "entity conversion" in this Section), a member commodity exchange must prepare an entity conversion plan and have the plan approved by a resolution of a general meeting of members.
第六十一条の規定は、前項の決議について準用する。
(2)The provisions of Article 61 apply mutatis mutandis to the resolution referred to in the preceding paragraph.
第一項の会員総会の招集は、組織変更計画の要領及び組織変更後の株式会社(以下「組織変更後株式会社商品取引所」という。)の定款を示してしなければならない。
(3)To convene the general meeting of members referred to in paragraph (1), an outline of the entity conversion plan and the articles of incorporation of the stock company after the entity conversion (hereinafter referred to as the "incorporated commodity exchange after entity conversion") must be presented.
会員商品取引所が組織変更をする場合には、当該会員商品取引所は、組織変更計画において、次に掲げる事項を定めなければならない。
(4)When a member commodity exchange implements an entity conversion, the member commodity exchange must provide for the following particulars in its entity conversion plan:
組織変更後株式会社商品取引所の目的、商号、本店の所在地及び発行可能株式総数
(i)the purpose, trade name, location of the head office, and total number of authorized shares of the incorporated commodity exchange after entity conversion;
前号に掲げるもののほか、組織変更後株式会社商品取引所の定款で定める事項
(ii)beyond what is set forth in the preceding item, particulars that are specified by the articles of incorporation of the incorporated commodity exchange after entity conversion;
組織変更後株式会社商品取引所の取締役の氏名及び会計監査人の氏名又は名称
(iii)the names of company directors and the name of the financial auditor of the incorporated commodity exchange after entity conversion;
次に掲げる場合の区分に応じ、次に定める事項
(iv)the particulars prescribed in the each of the following in accordance with the category of cases set forth in the item:
組織変更後株式会社商品取引所が会計参与設置会社である場合 組織変更後株式会社商品取引所の会計参与の氏名又は名称
(a)if the incorporated commodity exchange after entity conversion is a company with an accounting advisor: the name of the accounting advisor of the incorporated commodity exchange after entity conversion;
組織変更後株式会社商品取引所が監査役設置会社(監査役の監査の範囲を会計に関するものに限定する旨の定款の定めがある株式会社を含む。)である場合 組織変更後株式会社商品取引所の監査役の氏名
(b)if the incorporated commodity exchange after entity conversion is a company with company auditors (including a stock company whose articles of incorporation provide that the scope of audits by a company auditor is limited to particulars related to accounting): the names of the company auditors of the incorporated commodity exchange after entity conversion.
組織変更をする会員商品取引所の会員が組織変更に際して取得する組織変更後株式会社商品取引所の株式の数(組織変更後株式会社商品取引所が種類株式発行会社である場合にあつては、株式の種類及び種類ごとの数)又はその数の算定方法
(v)the number of shares in the incorporated commodity exchange after entity conversion which the members of the member commodity exchange implementing the entity conversion is to acquire upon entity conversion (if the incorporated commodity exchange after entity conversion is a company with class shares, the classes of shares and the number of shares in each class) or the method of calculating the number of the shares;
組織変更をする会員商品取引所の会員に対する前号の株式の割当てに関する事項
(vi)the particulars of the allotment of the shares referred to in the preceding item to members of the member commodity exchange implementing the entity conversion;
組織変更後株式会社商品取引所が組織変更に際して組織変更をする会員商品取引所の会員に対してその持分に代わる金銭を交付するときは、その額又はその算定方法
(vii)if, upon entity conversion, the incorporated commodity exchange after entity conversion is to deliver money to the members of the member commodity exchange implementing the entity conversion in lieu of their equity interest, the amount of money or the method of calculating the amount;
前号に規定する場合には、組織変更をする会員商品取引所の会員に対する同号の金銭の割当てに関する事項
(viii)in the case prescribed in the preceding item, the particulars concerning the allotment of money referred to in that item to members of the member commodity exchange implementing the entity conversion;
組織変更後株式会社商品取引所の資本金及び準備金の額に関する事項
(ix)the particulars concerning the amount of stated capital and reserves of the incorporated commodity exchange after entity conversion;
組織変更がその効力を生ずべき日(以下この節において「効力発生日」という。)
(x)the day on which the entity conversion is to come into effect (hereinafter referred to as the "effective date" in this Section);
十一前各号に掲げる事項のほか、主務省令で定める事項
(xi)beyond what is set forth in the preceding items, the particulars specified by order of the competent ministry.
組織変更後株式会社商品取引所が監査等委員会設置会社である場合には、前項第三号に掲げる事項(組織変更後株式会社商品取引所の取締役に係る事項に限る。)は、監査等委員である取締役とそれ以外の取締役とを区別して定めなければならない。
(5)If an incorporated commodity exchange after entity conversion is a company with audit and supervisory committee, the particulars set forth in item (iii) of the preceding paragraph (limited to the particulars regarding company directors of an incorporated commodity exchange after entity conversion) must be specified separately for company directors who are audit and supervisory committee members and other company directors.
(組織変更計画に関する書面等の備置き及び閲覧等)
(Keeping and Inspection of Documents Related to an Entity Conversion Plan)
第百二十三条組織変更をする会員商品取引所は、前条第一項の会員総会の会議開催日の十日前から組織変更の効力が生ずる日の前日までの間、組織変更計画の内容その他主務省令で定める事項を記載し、又は記録した書面又は電磁的記録を主たる事務所に備え置かなければならない。
Article 123(1)A member commodity exchange implementing an entity conversion must keep the documents or electronic or magnetic records that state or contain the content of the entity conversion plan and other particulars specified by order of the competent ministry at its principal office, during the period from 10 days prior to the day of the general meeting of members as referred to in paragraph (1) of the preceding Article until the day preceding the day on which the entity conversion comes into effect.
組織変更をする会員商品取引所の会員及び債権者は、会員商品取引所に対して、その事業時間内は、いつでも、次に掲げる請求をすることができる。ただし、第二号又は第四号に掲げる請求をするには、当該組織変更をする会員商品取引所の定めた費用を支払わなければならない。
(2)The member or creditor of a member commodity exchange implementing an entity conversion may make the following requests to the member commodity exchange at any time during its business hours; provided, however, that in making the request set forth in item (ii) or (iv), the member or creditor must pay the cost specified by the member commodity exchange implementing the entity conversion:
前項の書面の閲覧の請求
(i)a request to inspect a document referred to in the preceding paragraph;
前項の書面の謄本又は抄本の交付の請求
(ii)a request to be issued a certified copy or extract of a document referred to in the preceding paragraph;
前項の電磁的記録に記録された事項を主務省令で定める方法により表示したものの閲覧の請求
(iii)a request to inspect a thing that displays the information that have been recorded in an electronic or magnetic record referred to in the preceding paragraph by the means specified by order of the competent ministry;
前項の電磁的記録に記録された事項を電磁的方法であつて主務省令で定めるものにより提供することの請求又はその事項を記載した書面の交付の請求
(iv)a request to be provided with the information recorded in an electronic or magnetic record referred to in the preceding paragraph by an electronic or magnetic means specified by order of the competent ministry, or a request to be issued a document that states the information.
組織変更をする会員商品取引所は、前項の規定による請求があつたときは、正当な理由がないのにこれを拒んではならない。
(3)If a member commodity exchange implementing an entity conversion has received a request under the provisions of the preceding paragraph, it must not refuse the request without legitimate grounds.
(債権者の異議)
(Objection by Creditors)
第百二十四条組織変更をする会員商品取引所の債権者は、当該会員商品取引所に対し、組織変更について異議を述べることができる。
Article 124(1)The creditor of a member commodity exchange implementing an entity conversion may state an objection to the member commodity exchange with regard to the entity conversion.
組織変更をする会員商品取引所は、次に掲げる事項を官報に公告し、かつ、知れている債権者には、各別にこれを催告しなければならない。ただし、第二号の期間は、一月を下ることができない。
(2)A member commodity exchange implementing an entity conversion must issue public notice of the following particulars in the Official Gazette, and must issue a notice of those particulars to its known creditors individually; provided, however, that the period referred to in item (ii) may not be shorter than one month:
組織変更をする旨
(i)that an entity conversion will be implemented;
債権者が一定の期間内に異議を述べることができる旨
(ii)that creditors may state an objection within a certain period.
前項の規定にかかわらず、組織変更をする会員商品取引所が同項の規定による公告を、官報のほか、第十一条第六項の規定による定款の定めに従い、同項第二号又は第三号に掲げる公告方法によりするときは、前項の規定による各別の催告は、することを要しない。
(3)Notwithstanding the provisions of the preceding paragraph, if a member commodity exchange implementing an entity conversion issues public notice under the provisions of that paragraph in the Official Gazette as well as by the means of public notice set forth in Article 11, paragraph (6), item (ii) or (iii) in accordance with the provisions of the articles of incorporation pursuant to the provisions of that paragraph, the member commodity exchange is not required to give individual notice under the provisions of the preceding paragraph.
債権者が第二項第二号の期間内に異議を述べなかつたときは、当該債権者は、当該組織変更について承認をしたものとみなす。
(4)If a creditor does not state an objection within the period referred to in paragraph (2), item (ii), the creditor is deemed to have approved the entity conversion.
債権者が第二項第二号の期間内に異議を述べたときは、組織変更をする会員商品取引所は、当該債権者に対し、弁済し、若しくは相当の担保を提供し、又は当該債権者に弁済を受けさせることを目的として信託会社等(信託会社及び信託業務を営む金融機関(金融機関の信託業務の兼営等に関する法律(昭和十八年法律第四十三号)第一条第一項の認可を受けた金融機関をいう。)をいう。以下同じ。)に相当の財産を信託しなければならない。ただし、当該組織変更をしても当該債権者を害するおそれがないときは、この限りでない。
(5)If a creditor states an objection within the period referred to in paragraph (2), item (ii), the member commodity exchange implementing the entity conversion must make a payment or provide suitable collateral to the creditor, or deposit suitable property with a trust company, etc. (meaning a trust company or a financial institution engaged in trust business (meaning a financial institution that has obtained the authority under Article 1, paragraph (1) of the Act on the Provision of Trust Services by Financial Institutions (Act No. 43 of 1943)); the same applies hereinafter) for the purpose of ensuring that the creditor receive the payment; provided, however, that this does not apply if the entity conversion is not likely to harm the creditor.
(組織変更手続の経過等の書面等の備置き及び閲覧等)
(Keeping and Inspection of Documents on the Progress of the Entity Conversion Procedure)
第百二十五条組織変更後株式会社商品取引所は、組織変更の効力が生じた日から六月間、第百二十三条第一項の書面又は電磁的記録及び前条の規定による手続の経過その他の組織変更に関する事項として主務省令で定める事項を記載し、又は記録した書面又は電磁的記録を本店に備え置かなければならない。
Article 125(1)The incorporated commodity exchange after entity conversion must keep the documents or electronic or magnetic records referred to in Article 123, paragraph (1) and documents or electronic or magnetic records that state or contain the progress of the procedure pursuant to the provisions of the preceding Articles and other particulars specified by order of the competent ministry as those related to entity conversion at its head office, during the period of six months from the day on which the entity conversion comes into effect.
組織変更後株式会社商品取引所の株主及び債権者は、組織変更後株式会社商品取引所に対して、その営業時間内は、いつでも、次に掲げる請求をすることができる。ただし、第二号又は第四号に掲げる請求をするには、当該組織変更後株式会社商品取引所の定めた費用を支払わなければならない。
(2)The shareholder or creditor of an incorporated commodity exchange after entity conversion may make the following requests to the incorporated commodity exchange at any time during its business hours; provided, however, that in making the request set forth in item (ii) or (iv), the shareholder or creditor must pay the cost specified by the member commodity exchange implementing the entity conversion:
前項の書面の閲覧の請求
(i)a request to inspect a document referred to in the preceding paragraph;
前項の書面の謄本又は抄本の交付の請求
(ii)a request to be issued a certified copy or extract of a document referred to in the preceding paragraph;
前項の電磁的記録に記録された事項を主務省令で定める方法により表示したものの閲覧の請求
(iii)a request to inspect a thing that displays the information that have been recorded in an electronic or magnetic record referred to in the preceding paragraph by the means specified by order of the competent ministry;
前項の電磁的記録に記録された事項を電磁的方法であつて主務省令で定めるものにより提供することの請求又はその事項を記載した書面の交付の請求
(iv)a request to be provided with the information that have been recorded in an electronic or magnetic record referred to in the preceding paragraph by an electronic or magnetic means specified by order of the competent ministry, or a request to be issued a document that states the information.
組織変更後株式会社商品取引所は、前項の規定による請求があつたときは、正当な理由がないのにこれを拒んではならない。
(3)If an incorporated commodity exchange after entity conversion has received a request under the provisions of the preceding paragraph, it must not refuse the request without legitimate grounds.
(会員への株式の割当て)
(Allotment of Shares to Members)
第百二十六条会員商品取引所の会員は、組織変更計画の定めるところにより、組織変更後株式会社商品取引所の株式又は金銭の割当てを受けるものとする。
Article 126(1)The member of a member commodity exchange is to receive an allotment of shares in the incorporated commodity exchange after entity conversion or an allotment of money, as specified by the entity conversion plan.
会社法第二百三十四条第一項から第五項まで、第八百六十八条第一項、第八百六十九条、第八百七十一条、第八百七十四条(第四号に係る部分に限る。)、第八百七十五条及び第八百七十六条の規定は、前項の規定により株式又は金銭の割当てを受ける場合について準用する。この場合において、必要な技術的読替えは、政令で定める。
(2)The provisions of Article 234, paragraphs (1) through (5), Article 868, paragraph (1), Article 869, Article 871, Article 874 (limited to the part related to item (iv)), Article 875, and Article 876 of the Companies Act apply mutatis mutandis if shares or money is allotted pursuant to the provisions of the preceding paragraph. In such a case, the necessary technical replacement of terms is specified by Cabinet Order.
(資本金として計上すべき額)
(Amount Required to be Reported as Stated Capital)
第百二十七条組織変更後株式会社商品取引所の資本金として計上すべき額については、主務省令で定める。
Article 127The amount that is required to be reported as the stated capital of an incorporated commodity exchange after entity conversion is specified by order of the competent ministry.
(資本準備金として計上すべき額等)
(Amount Required to be Reported as Capital Reserves)
第百二十八条組織変更に際して資本準備金として計上すべき額その他組織変更に際しての計算に関し必要な事項は、主務省令で定める。
Article 128The amount that is required to be reported as the capital reserves at the time of entity conversion and other particulars necessary for the calculation at the time of entity conversion are specified by order of the competent ministry.
(組織変更における株式の発行)
(Issuance of Shares upon Entity Conversion)
第百二十九条会員商品取引所は、第百二十六条第一項の規定による株式の割当てを行うほか、組織変更に際して、組織変更後株式会社商品取引所の株式を発行することができる。この場合においては、組織変更計画において、次に掲げる事項を定めなければならない。
Article 129At the time of an entity conversion, a member commodity exchange may issue shares in the incorporated commodity exchange after entity conversion, in addition to allotting shares under the provisions of Article 126, paragraph (1). In such a case, the member commodity exchange must specify the following particulars in the entity conversion plan:
この条の規定により発行する株式(以下この節において「組織変更時発行株式」という。)の数(種類株式発行会社にあつては、組織変更時発行株式の種類及び数。以下この節において同じ。)
(i)the number of shares issued pursuant to the provisions of this Article (hereinafter referred to as the "shares issued upon entity conversion" in this Section) (if it is a company with class shares, the classes and the number of shares issued upon entity conversion; hereinafter the same applies in this Section);
組織変更時発行株式の払込金額(組織変更時発行株式一株と引換えに払い込む金銭又は給付する金銭以外の財産の額をいう。以下この節において同じ。)又はその算定方法
(ii)the amount to be paid in for the shares issued upon entity conversion (meaning the amount of money to be paid in or property other than money to be delivered in exchange for a single share issued upon entity conversion; hereinafter the same applies in this Section) or the method of calculating the amount;
金銭以外の財産を出資の目的とするときは、その旨並びに当該財産の内容及び価額
(iii)if property other than money is to be the subject of contribution, that fact and the content and value of the property;
組織変更時発行株式と引換えにする金銭の払込み又は前号の財産の給付の期日
(iv)the date for the payment of money or for the delivery of the property referred to in the preceding item to be made in exchange for a share issued upon entity conversion;
増加する資本金及び資本準備金に関する事項
(v)the particulars concerning the increased stated capital or capital reserves.
(組織変更時発行株式の申込み等)
(Offers Involving Shares Issued upon Entity Conversion)
第百三十条会員商品取引所は、組織変更時発行株式の引受けの申込みをしようとする者に対し、次に掲げる事項を通知しなければならない。
Article 130(1)A member commodity exchange must notify a person that seeks to make an offer to subscribe for shares issued upon entity conversion of the following particulars:
組織変更後株式会社商品取引所の商号
(i)the trade name of the incorporated commodity exchange after entity conversion;
前条各号に掲げる事項
(ii)the particulars set forth in the items of the preceding Article;
金銭の払込みをすべきときは、払込みの取扱いの場所
(iii)if money is to be paid in, the place that handles the payments;
前三号に掲げるもののほか、主務省令で定める事項
(iv)beyond what is set forth in the preceding three items, particulars that are specified by order of the competent ministry.
組織変更時発行株式の引受けの申込みをする者は、次に掲げる事項を記載した書面を会員商品取引所に交付しなければならない。
(2)A person making an offer to subscribe for shares issued upon entity conversion must deliver a document stating the following particulars to the member commodity exchange:
申込みをする者の氏名又は名称及び住所
(i)the name and address of the person that offers to subscribe;
引き受けようとする組織変更時発行株式の数
(ii)the number of the shares issued upon entity conversion for which the person seeks to subscribe.
前項の申込みをする者は、同項の書面の交付に代えて、政令で定めるところにより、会員商品取引所の承諾を得て、同項の書面に記載すべき事項を電磁的方法により提供することができる。この場合において、当該申込みをした者は、同項の書面を交付したものとみなす。
(3)A person making the offer referred to in the preceding paragraph may provide a member commodity exchange with the particulars that are required to be stated in the document referred to in that paragraph by electronic or magnetic means with the consent of the member commodity exchange and pursuant to the provisions of Cabinet Order, in lieu of delivering the document referred to in the preceding paragraph. In such a case, the person making the offer is deemed to have delivered the document referred to in that paragraph.
会員商品取引所は、第一項各号に掲げる事項について変更があつたときは、直ちに、その旨及び当該変更があつた事項を第二項の申込みをした者(以下この節において「申込者」という。)に通知しなければならない。
(4)If a particular set forth in the items of paragraph (1) changes, the member commodity exchange must immediately notify a person that has made the offer referred to in paragraph (2) (hereinafter referred to as an "offeror" in this Section) of that fact and the particular that has changed.
会員商品取引所が申込者に対してする通知又は催告は、第二項第一号の住所(当該申込者が別に通知又は催告を受ける場所又は連絡先を当該会員商品取引所に通知した場合にあつては、その場所又は連絡先)にあてて発すれば足りる。
(5)It is sufficient for a notice or demand that a member commodity exchange issues to an offeror to be sent to the address referred to in paragraph (2), item (i) (or, if the offeror notifies the member commodity exchange of another place or contact address for receiving notices or demands, that place or contact address).
前項の通知又は催告は、その通知又は催告が通常到達すべきであつた時に、到達したものとみなす。
(6)The notice or demand referred to in the preceding paragraph is deemed to have arrived at the time that the notice or demand would normally arrive.
(組織変更時発行株式の割当て)
(Allotment of Shares Issued upon Entity Conversion)
第百三十一条会員商品取引所は、申込者の中から組織変更時発行株式の割当てを受ける者を定め、かつ、その者に割り当てる組織変更時発行株式の数を定めなければならない。この場合において、会員商品取引所は、当該申込者に割り当てる組織変更時発行株式の数を、前条第二項第二号の数よりも減少することができる。
Article 131(1)A member commodity exchange must decide which persons among the offerors the shares issued upon entity conversion is to be allotted to, and decide the number of the shares issued upon entity conversion to be allotted to those persons. In such a case, the member commodity exchange may reduce the number of shares issued upon entity conversion to be allotted to those offerors to below the number referred to in paragraph (2), item (ii) of the preceding Article.
会員商品取引所は、第百二十九条第四号の期日の前日までに、申込者に対し、当該申込者に割り当てる組織変更時発行株式の数を通知しなければならない。
(2)A member commodity exchange must notify an offeror of the number of shares issued upon entity conversion that will be allotted to the offeror no later than the day preceding the due date referred to in Article 129, item (iv).
(組織変更時発行株式の引受け)
(Subscription for Shares Issued upon Entity Conversion)
第百三十一条の二申込者は、会員商品取引所の割り当てた組織変更時発行株式の数について組織変更時発行株式の引受人となる。
Article 131-2An offeror becomes a subscriber for shares issued upon entity conversion, in respect of the number of shares issued upon entity conversion allotted to that offeror by the member commodity exchange.
(出資の履行)
(Performance of Contributions)
第百三十一条の三組織変更時発行株式の引受人(第百二十九条第三号の財産(以下この節において「現物出資財産」という。)を給付する者を除く。)は、同条第四号の期日に、会員商品取引所が定めた銀行等(会社法第三十四条第二項に規定する銀行等をいう。)の払込みの取扱いの場所において、それぞれの組織変更時発行株式の払込金額の全額を払い込まなければならない。
Article 131-3(1)On the due date referred to in Article 129, item (iv), a subscriber for shares issued upon entity conversion (excluding a person delivering the property referred to in Article 129, item (iii) (hereinafter referred to as "property contributed in kind" in this Section)) must pay the full amount of the amount to be paid in for each share issued upon entity conversion, at the place that handles the payment of the bank, etc. (meaning a bank, etc. prescribed in Article 34, paragraph (2) of the Companies Act) specified by the member commodity exchange.
組織変更時発行株式の引受人(現物出資財産を給付する者に限る。)は、第百二十九条第四号の期日に、それぞれの組織変更時発行株式の払込金額の全額に相当する現物出資財産を給付しなければならない。
(2)On the due date referred to in Article 129, item (iv), a subscriber for shares issued upon entity conversion (limited to a person who delivers the property contributed in kind) must deliver the property contributed in kind that is equivalent to the full amount to be paid in for each share issued upon entity conversion.
組織変更時発行株式の引受人は、第一項の規定による払込み又は前項の規定による給付(以下この節において「出資の履行」という。)をする債務と会員商品取引所に対する債権とを相殺することができない。
(3)A subscriber for shares issued upon entity conversion may not set off its obligation to make the payment under the provisions of paragraph (1) or the delivery under the provisions of the preceding paragraph (hereinafter referred to as the "performance of contributions" in this Section) against a claim that the subscriber has against the member commodity exchange.
出資の履行をすることにより組織変更時発行株式の株主となる権利の譲渡は、組織変更後株式会社商品取引所に対抗することができない。
(4)The transfer of the right to become the shareholder of shares issued upon entity conversion through the performance of contributions may not be asserted against the incorporated commodity exchange after entity conversion.
組織変更時発行株式の引受人は、出資の履行をしないときは、当該出資の履行をすることにより組織変更時発行株式の株主となる権利を失う。
(5)If a subscriber for shares issued upon entity conversion fails to make the performance of contributions, they lose the right to become the shareholder of shares issued upon entity conversion through the performance of contributions.
(株主となる時期)
(Time of Becoming a Shareholder)
第百三十一条の四組織変更時発行株式の引受人は、組織変更の効力が生じた日に、出資の履行をした組織変更時発行株式の株主となる。
Article 131-4A subscriber for shares issued upon entity conversion becomes the shareholder of the shares issued upon entity conversion for which the subscriber has made the performance of contributions, on the day on which the entity conversion comes into effect.
(引受けの無効又は取消しの制限)
(Restriction on the Invalidation or Rescission of a Subscription)
第百三十一条の五民法(明治二十九年法律第八十九号)第九十三条第一項ただし書及び第九十四条第一項の規定は、組織変更時発行株式の引受けの申込み及び割当てに係る意思表示については、適用しない。
Article 131-5(1)The provisions of the proviso to Article 93, paragraph (1) and Article 94, paragraph (1) of the Civil Code (Act No. 89 of 1896) do not apply to the manifestation of an intention to make an offer to subscribe for shares issued upon entity conversion or the allotment of those shares.
組織変更時発行株式の引受人は、組織変更の効力が生じた日から一年を経過した後又はその株式について権利を行使した後は、錯誤、詐欺又は強迫を理由として組織変更時発行株式の引受けの取消しをすることができない。
(2)Once one year has passed since the day on which an entity conversion comes into effect or once the subscriber for shares issued upon entity conversion exercises a right in respect of those shares, the subscriber may not rescind the subscription for shares issued upon entity conversion due to a mistake, fraud, or duress.
(金銭以外の財産を出資の目的とする場合についての会社法の準用)
(Application, Mutatis Mutandis of the Companies Act When Property Other than Money is the Subject of Contribution)
第百三十一条の六会社法第二百七条、第二百十二条(第一項第一号を除く。)、第二百十三条(第一項第一号及び第三号を除く。)、第八百六十八条第一項、第八百七十条第一項(第一号及び第四号に係る部分に限る。)、第八百七十一条、第八百七十二条(第四号に係る部分に限る。)、第八百七十四条(第一号に係る部分に限る。)、第八百七十五条及び第八百七十六条の規定は、第百二十九条第三号に規定する場合について準用する。この場合において、同法第二百七条第一項、第七項及び第九項第二号から第五号まで並びに第二百十二条第一項第二号及び第二項中「第百九十九条第一項第三号」とあるのは「商品先物取引法第百二十九条第三号」と、同法第二百七条第四項、第六項及び第九項第三号並びに第二百十三条第一項第二号中「法務省令」とあるのは「主務省令」と、同法第二百七条第八項及び第二百十二条第二項中「申込み又は第二百五条第一項の契約」とあるのは「申込み」と、同法第二百七条第十項第一号中「取締役、会計参与、監査役若しくは執行役」とあるのは「会員商品取引所の理事長、理事若しくは監事」と、同法第二百十二条第一項第二号中「第二百九条第一項」とあるのは「商品先物取引法第百三十一条の四」と、同法第八百七十条第一項第四号中「第百九十九条第一項第三号又は第二百三十六条第一項第三号」とあるのは「商品先物取引法第百二十九条第三号」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
Article 131-6The provisions of Article 207, Article 212 (excluding paragraph (1), item (i)), Article 213 (excluding paragraph (1), items (i) and (iii)), Article 868, paragraph (1), Article 870 (limited to the part related to items (i) and (iv)); Article 871, Article 872 (limited to the part related item (iv)), Article 874 (limited to the part related to item (i)), Article 875, and Article 876 of the Companies Act apply mutatis mutandis to the case prescribed in Article 129, item (iii). In such a case, in Article 207, paragraph (1), paragraph (7) and paragraph (9), items (ii) through (v) and Article 212, paragraph (1), item (ii) and paragraph (2) of the Compnaies Act, the term "Article 199, paragraph (1), item (iii)" is deemed to be replaced with "Article 129, item (iii) of the Commodity Derivatives Transaction Act"; in Article 207, paragraph (4), paragraph (6), and paragraph (9), item (iii) and Article 213, paragraph (1), item (ii) of that Act, the term "Order of the Ministry of Justice" is deemed to be replaced with "order of the competent ministry", in Article 207, paragraph (8) and Article 212, paragraph (2) of that Act, the phrase "subscription for an offered share or a contract referred to in Article 205, paragraph (1)" is deemed to be replaced with "subscription for an offered share", in Article 207, paragraph (10), item (i) of that Act, the phrase "A company director, accounting advisor, company auditor or executive officer" is deemed to be replaced with "The president, director, or auditor of a member commodity exchange", in Article 212, paragraph (1), item (ii) of that Act, the term "Article 209, paragraph (1)" is deemed to be replaced with "Article 131-4 of the Commodity Derivatives Transaction Act", in Article 870, item (vii) of that Act, the phrase "Article 199, paragraph (1), item (iii) or Article 236, paragraph (1), item (iii)" is deemed to be replaced with "Article 129, item (iii) of the Commodity Derivatives Transaction Act", and other necessary technical replacement of terms is specified by Cabinet Order.
(出資の履行を仮装した場合の組織変更時発行株式の引受人の責任等についての会社法の準用)
(Application, Mutatis Mutandis of the Companies Act to Liabilities of a Subscriber to the Shares Issued upon Entity Conversion in Cases of Falsifying the Performance of Contributions)
第百三十一条の七会社法第二百九条第二項及び第三項、第二百十三条の二並びに第二百十三条の三の規定は、組織変更時発行株式について準用する。この場合において、同法第二百十三条の二第一項第一号中「第二百八条第一項」とあるのは「商品先物取引法第百三十一条の三第一項」と、同項第二号中「第二百八条第二項」とあるのは「商品先物取引法第百三十一条の三第二項」と、同法第二百十三条の三第一項中「取締役(指名委員会等設置会社にあっては、執行役を含む。)」とあるのは「会員商品取引所の理事長又は理事」と、「法務省令」とあるのは「主務省令」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
Article 131-7The provisions of Article 209, paragraphs (2) and (3), Article 213-2, and Article 213-3 of the Companies Act apply mutatis mutandis to shares issued upon entity conversion. In such a case, the term "Article 208, paragraph (1)" in Article 213-2, paragraph (1), item (i) of that Act is deemed to be replaced with "Article 131-3, paragraph (1) of the Commodity Derivatives Transaction Act", the term "Article 208, paragraph (2)" in item (ii) of that paragraph is deemed to be replaced with "Article 131-3, paragraph (2) of the Commodity Derivatives Transaction Act," the terms "directors (including executive officers in the case of a company with nominating committee, etc.)" and "Order of the Ministry of Justice" in Article 213-3, paragraph (1) of that Act are deemed to be replaced with "the president or directors of a member commodity exchange" and "order of the competent ministry," respectively, and other necessary technical replacement of terms is specified by Cabinet Order.
(組織変更の認可)
(Authorization for Entity Conversion)
第百三十二条組織変更は、主務大臣の認可を受けなければ、その効力を生じない。
Article 132(1)An entity conversion does not become effective without the authorization of the competent minister.
前項の認可を受けようとする者は、組織変更後株式会社商品取引所について第七十九条第一項第一号から第三号まで、第五号及び第六号に掲げる事項を記載した申請書を主務大臣に提出しなければならない。
(2)A person seeking the authorization referred to in the preceding paragraph must submit a written application stating the particulars set forth in Article 79, paragraph (1), items (i) through (iii), item (v), and item (vi) concerning the incorporated commodity exchange after entity conversion to the competent minister.
前項の申請書には、組織変更計画の内容を記載した書面、組織変更後株式会社商品取引所の定款、業務規程、受託契約準則、紛争処理規程及び市場取引監視委員会規程その他主務省令で定める書面を添付しなければならない。
(3)A document stating the content of the entity conversion plan, the articles of incorporation, operational rules, entrustment contract regulations, dispute resolution rules, and market transactions surveillance committee rules of the incorporated commodity exchange after entity conversion, and other documents specified by order of the competent ministry must be attached to the written application referred to in the preceding paragraph.
(認可基準)
(Criteria for Authorization)
第百三十三条主務大臣は、前条第一項の認可の申請が次に掲げる基準に適合していると認めるときは、認可をしなければならない。
Article 133(1)If the competent minister finds that an application for the authorization referred to in paragraph (1) of the preceding Article conforms to the following criteria, the minister must grant an authorization:
組織変更後株式会社商品取引所の資本金の額が第八十条第一項第一号の政令で定める金額以上であること。
(i)the amount of stated capital of the incorporated commodity exchange after entity conversion is equal to or greater than the amount specified by Cabinet Order as referred to in Article 80, paragraph (1), item (i);
組織変更後株式会社商品取引所の定款、業務規程、受託契約準則、紛争処理規程及び市場取引監視委員会規程の規定が法令に違反せず、かつ、定款、業務規程、受託契約準則、紛争処理規程又は市場取引監視委員会規程に規定する取引の方法又は管理、取引参加者の資格、取引参加者の数の最高限度を定めた場合におけるその最高限度、特別担保金の預託義務を定めた場合におけるその預託に関する事項その他の事項が適当であつて、商品市場における取引の公正を確保し、及び委託者を保護するため十分であること。
(ii)the provisions of the articles of incorporation, operational rules, entrustment contract regulations, dispute resolution rules, and market transactions surveillance committee rules of the incorporated commodity exchange after entity conversion do not violate laws and regulations, and the method or management of trade, qualification of trading participants, maximum number of trading participants if it is specified, particulars of deposits, if the obligation to deposit a special deposit is specified, and other particulars prescribed in the articles of incorporation, operational rules, entrustment contract regulations, dispute resolution rules, and market transactions surveillance committee rules are appropriate and sufficient for ensuring the fairness of transactions in the commodity market and for protecting consignors;
組織変更後株式会社商品取引所が商品市場を適切に運営するに足りる人的構成を有するものであること。
(iii)the incorporated commodity exchange after entity conversion is to have a sufficient personnel structure to appropriately operate the commodity market;
組織変更後株式会社商品取引所が株式会社商品取引所としてこの法律の規定に適合するように組織されるものであること。
(iv)the incorporated commodity exchange after entity conversion is to be organized as an incorporated commodity exchange in a manner that conforms to the provisions of this Act.
主務大臣は、前条第一項の認可の申請が次の各号のいずれかに該当する場合には、前項の規定にかかわらず、同条第一項の認可をしてはならない。
(2)Notwithstanding the provisions of the preceding paragraph, if an application for the authorization referred to in paragraph (1) of the preceding Article falls under one of the following items, the competent minister must not grant the authorization referred to in that paragraph:
組織変更後株式会社商品取引所の役員のうちに第十五条第二項第一号イからルまでのいずれかに該当する者があるとき。
(i)the incorporated commodity exchange after entity conversion has a person falling under a person referred to in Article 15, paragraph (2), item (i), sub-items (a) through (k) as an officer;
申請書又はこれに添付すべき書面のうちに重要な事項について虚偽の記載があるとき。
(ii)the application or a document that is required to be attached includes a false statement about a material particular.
第十五条第五項から第九項までの規定は、前条第一項の認可について準用する。
(3)The provisions of Article 15, paragraphs (5) through (9) apply mutatis mutandis to the authorization referred to in paragraph (1) of the preceding Article.
前条第一項の認可を受けて組織変更が行われた株式会社は、当該組織変更の時に、第七十八条の許可を受けたものとみなす。
(4)A stock company that has undergone an entity conversion by obtaining the authorization referred to in paragraph (1) of the preceding Article is deemed to have received the license referred to in Article 78 at the time of entity conversion.
組織変更をする会員商品取引所が開設していた商品市場において取引をしていた会員であつて、組織変更後株式会社商品取引所が開設する当該商品市場と同一の商品市場(同一の上場商品又は上場商品指数について同一の取引の方法により取引を行う商品市場をいう。第百四十九条第二項及び第四項において同じ。)において取引をしようとする者は、組織変更の時に、その商品市場における第八十二条第一項の取引資格を与えられたものとみなす。
(5)A member that has been trading on a commodity market operated by a member commodity exchange that is to implement entity conversion, and that seeks to trade in a commodity market operated by the incorporated commodity exchange after entity conversion which is the same as that commodity market (meaning a commodity market in which transactions are conducted for the same listed commodity or listed commodity index by the same method of trade; the same applies in Article 149, paragraphs (2) and (4)) is deemed to have been granted the trading qualification referred to in Article 82, paragraph (1) for that commodity market at the time of entity conversion.
(登記)
(Registration)
第百三十四条会員商品取引所が組織変更をしたときは、組織変更の効力が生じた日から、その主たる事務所及び本店の所在地においては二週間以内に、その従たる事務所及び支店の所在地においては三週間以内に、組織変更をする会員商品取引所については解散の登記を、組織変更後株式会社商品取引所の本店については設立の登記を、組織変更後株式会社商品取引所の支店については会社法第九百三十条第二項各号に掲げる事項の登記をしなければならない。
Article 134(1)Once a member commodity exchange implements an entity conversion, it must register the dissolution for the member commodity exchange implementing the entity conversion, register the incorporation for the head office of the incorporated commodity exchange after the entity conversion, and register the particulars set forth in the items of Article 930, paragraph (2) of the Companies Act for the branch offices of the incorporated commodity exchange after the entity conversion, within two weeks from the day on which the entity conversion becomes effective at the location of the principal office and the head office, and within three weeks from the day on which the entity conversion becomes effective at the location of the secondary office and branch offices.
前項の設立の登記の申請書には、商業登記法第十八条、第十九条及び第四十六条に定める書面のほか、次に掲げる書面を添付しなければならない。
(2)In addition to the documents specified in Article 18, Article 19, and Article 46 of the Commercial Registration Act, the following documents must be attached to the written application for registration of incorporation referred to in the preceding paragraph:
組織変更計画書
(i)the entity conversion plan;
定款
(ii)the articles of incorporation;
組織変更をする会員商品取引所の組織変更会員総会の議事録
(iii)the minutes of the proceedings of the general meeting of members concerning the entity conversion of the member commodity exchange implementing the entity conversion;
組織変更後株式会社商品取引所の取締役(組織変更後株式会社商品取引所が監査役設置会社(監査役の監査を会計に関するものに限定する旨の定款の定めがある株式会社を含む。)である場合にあつては、取締役及び監査役)が就任を承諾したことを証する書面
(iv)a document certifying that the company directors of the incorporated commodity exchange after the entity conversion (or, if the incorporated commodity exchange after entity conversion is a company with company auditors (including a stock company whose articles of incorporation provide that audits by company auditors are limited to particulars related to accounting), the company directors and company auditors) have accepted the assumption of office;
組織変更時における組織変更前の会員商品取引所に現に存する純資産額を証する書面
(v)a document certifying the amount of net assets that the member commodity exchange before entity conversion has at the time of the entity conversion;
組織変更後株式会社商品取引所の会計参与又は会計監査人を定めたときは、商業登記法第五十四条第二項各号に掲げる書面
(vi)if an accounting advisor or a financial auditor has been appointed for the incorporated commodity exchange after entity conversion, the documents set forth in the items of Article 54, paragraph (2) of the Commercial Registration Act;
株主名簿管理人を置いたときは、その者との契約を証する書面
(vii)if an administrator of the shareholder register has been appointed, a document certifying that the contract with that person has been concluded;
第百二十四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に掲載する方法又は電子公告によつてした場合にあつては、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当該組織変更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
(viii)if public notice or demand under Article 124, paragraph (2) (or, if public notice is issued in the Official Gazette as well as by publication in a daily newspaper that publishes matters on current events or electronic public notice pursuant to the provisions of the paragraph (3) of that Article, public notice through those means) has been issued and a creditor has stated an objection, a document certifying that payment has been made or suitable collateral has been provided to the creditor or that suitable property has been deposited in trust for the purpose of enabling the creditor to receive the payment, or that the entity conversion is unlikely to harm the creditor;
第百二十九条の規定により組織変更に際して株式を発行したときは、次に掲げる書面
(ix)if shares have been issued upon entity conversion pursuant to the provisions of Article 129, the following documents:
株式の引受けの申込みを証する書面
(a)a document certifying that offers to subscribe for shares have been made;
金銭を出資の目的とするときは、第百三十一条の三第一項の規定による払込みがあつたことを証する書面
(b)if money is the subject of contributions, a document certifying that the payments under the provisions of Article 131-3, paragraph (1) have been made;
金銭以外の財産を出資の目的とするときは、次に掲げる書面
(c)if property other than money is the subject of contribution, the following documents:
(1)検査役が選任されたときは、検査役の調査報告を記載した書面及びその附属書類
1.if an inspector has been appointed, a document stating the investigation report by the inspector and its annexed documents;
(2)第百三十一条の六において準用する会社法第二百七条第九項第三号に掲げる場合には、有価証券の市場価格を証する書面
2.in the case set forth in Article 207, paragraph (9), item (iii) of the Companies Act as applied mutatis mutandis pursuant to Article 131-6, a document certifying the market price of the securities;
(3)第百三十一条の六において準用する会社法第二百七条第九項第四号に掲げる場合には、同号に規定する証明を記載した書面及びその附属書類
3.in the case set forth in Article 207, paragraph (9), item (iv) of the Companies Act as applied mutatis mutandis pursuant to Article 131-6, a document stating the verification prescribed in that item and its annexed documents;
(4)第百三十一条の六において準用する会社法第二百七条第九項第五号に掲げる場合には、同号の金銭債権について記載された会計帳簿
4.in the case set forth in Article 207, paragraph (9), item (v) of the Companies Act as applied mutatis mutandis pursuant to Article 131-6, the account book stating the monetary claim referred to in that item.
検査役の報告に関する裁判があつたときは、その謄本
(d)if a judicial decision related to a report by an inspector has been rendered, a certified copy of that judicial decision.
商業登記法第七十六条及び第七十八条の規定は、第一項の会員商品取引所の組織変更の登記について準用する。
(3)The provisions of Article 76 and Article 78 of the Commercial Registration Act apply mutatis mutandis to the registration of the entity conversion of a member commodity exchange referred to in paragraph (1).
(組織変更の効力の発生等)
(Coming into Effect of Entity Conversions)
第百三十五条組織変更をする会員商品取引所は、効力発生日又は第百三十二条第一項の主務大臣の認可を受けた日のいずれか遅い日に、株式会社商品取引所となる。
Article 135(1)A member commodity exchange implementing an entity conversion becomes a incorporated commodity exchange on the effective date or the day on which it obtains the authorization of the competent minister referred to in Article 132, paragraph (1), whichever comes later.
組織変更をする会員商品取引所は、組織変更の効力が生じた日に、第百二十二条第四項第一号及び第二号に掲げる事項についての定めに従い、当該事項に係る定款の変更をしたものとみなす。
(2)A member commodity exchange implementing an entity conversion is deemed to have changed its articles of incorporation in respect of the particulars set forth in Article 122, paragraph (4), items (i) and (ii), in accordance with the provisions on those particulars, on the day on which the entity conversion comes into effect.
組織変更をする会員商品取引所の会員は、組織変更の効力が生じた日に、第百二十二条第四項第六号に掲げる事項についての定めに従い、同項第五号の株式の株主となる。
(3)The member of a member commodity exchange implementing an entity conversion becomes the shareholder of the shares referred to in Article 122, paragraph (4), item (v), in accordance with the provisions on the particulars set forth in item (vi) of that paragraph, on the day on which the entity conversion comes into effect.
前三項の規定は、第百二十四条の規定による手続が終了していない場合又は組織変更を中止した場合には、適用しない。
(4)The provisions of the preceding three paragraphs do not apply if the procedure under Article 124 has not been completed or if the entity conversion is canceled.
第百三十六条削除
Article 136Deleted
(組織変更の無効の訴え)
(Action to Invalidate an Entity Conversion)
第百三十七条会社法第八百二十八条第一項(第六号に係る部分に限る。)及び第二項(第六号に係る部分に限る。)、第八百三十四条(第六号に係る部分に限る。)、第八百三十五条第一項、第八百三十六条から第八百三十九条まで、第八百四十六条並びに第九百三十七条第三項(第一号に係る部分に限る。)の規定は、組織変更の無効の訴えについて準用する。この場合において、同項中「各会社の本店」とあるのは、「株式会社商品取引所の本店及び支店並びに会員商品取引所の主たる事務所及び従たる事務所」と読み替えるものとする。
Article 137The provisions of Article 828, paragraph (1) (limited to the part related to item (vi)) and paragraph (2) (limited to the part related to item (vi)), Article 834 (limited to the part related to item (vi)), Article 835, paragraph (1), Articles 836 through 839, Article 846, and Article 937, paragraph (3) (limited to the part related to item (i)) of the Companies Act apply mutatis mutandis to an action to invalidate an entity conversion. In such a case, the phrase "the head office of each company" in that paragraph is deemed to be replaced with "the head office and branch offices of the incorporated commodity exchange and the principal office and secondary offices of the member commodity exchange".
(政令への委任)
(Delegation to Cabinet Order)
第百三十八条この法律に定めるもののほか、商品取引所の組織変更に関し必要な事項は、政令で定める。
Article 138Beyond what is provided for in this Act, necessary particulars for the entity conversion of a commodity exchange are specified by Cabinet Order.
第六節 合併
Section 6 Mergers
第一款 総則
Subsection 1 General Provisions
第百三十九条会員商品取引所は、他の会員商品取引所又は株式会社商品取引所と合併をすることができる。この場合においては、合併をする商品取引所は、合併契約を締結しなければならない。
Article 139(1)A member commodity exchange may merge with another member commodity exchange or with an incorporated commodity exchange. In such a case, the commodity exchanges that implements the merger must conclude a merger agreement.
会員商品取引所が吸収合併(商品取引所が他の商品取引所とする合併であつて、合併により消滅する商品取引所(以下この節において「吸収合併消滅商品取引所」という。)の権利義務の全部を合併後存続する商品取引所(以下この節において「吸収合併存続商品取引所」という。)に承継させるものをいう。以下同じ。)又は新設合併(二以上の商品取引所がする合併であつて、合併により消滅する商品取引所(以下この節において「新設合併消滅商品取引所」という。)の権利義務の全部を合併により設立する商品取引所(以下この節において「新設合併設立商品取引所」という。)に承継させるものをいう。以下同じ。)をする場合には、吸収合併存続商品取引所又は新設合併設立商品取引所は、次の各号に掲げる場合の区分に応じ、当該各号に定める者でなければならない。
(2)If a member commodity exchange implements an absorption-type merger (meaning the merger of a commodity exchange with another commodity exchange, in which the commodity exchange surviving the merger (hereinafter referred to as the "commodity exchange surviving the absorption-type merger" in this Section) succeeds to all of the rights and obligations of the commodity exchange that disappears in the merger (hereinafter referred to as the "commodity exchange dissolved in an absorption-type merger" in this Section); the same applies hereinafter) or a consolidation-type merger (meaning the merger of two or more commodity exchanges, in which the commodity exchange incorporated in the merger (hereinafter referred to as the "commodity exchange incorporated in the consolidation-type merger" in this Section) succeeds to all of the rights and obligations of the commodity exchanges dissolved as a result of the merger (hereinafter referred to as the "commodity exchange dissolved in the consolidation-type merger" in this Section); the same applies hereinafter), the commodity exchange surviving the absorption-type merger or the commodity exchange incorporated in the consolidation-type merger must be the entity prescribed in each of the following items in accordance with the category set forth in that item:
会員商品取引所と会員商品取引所とが合併する場合 会員商品取引所
(i)a merger between a member commodity exchange and a member commodity exchange: a member commodity exchange;
会員商品取引所と株式会社商品取引所とが合併する場合 株式会社商品取引所
(ii)a merger between a member commodity exchange and an incorporated commodity exchange: an incorporated commodity exchange.
第二款 会員商品取引所と会員商品取引所との合併
Subsection 2 Mergers Between a Member Commodity Exchange and a Member Commodity Exchange
(会員商品取引所と会員商品取引所との吸収合併契約)
(Absorption-Type Merger Agreement Between a Member Commodity Exchange and a Member Commodity Exchange)
第百四十条会員商品取引所と会員商品取引所とが吸収合併をする場合には、吸収合併契約において、次に掲げる事項を定めなければならない。
Article 140If a member commodity exchange and a member commodity exchange implement an absorption-type merger, the following particulars must be specified in the absorption-type merger agreement:
会員商品取引所である吸収合併存続商品取引所(以下この節において「吸収合併存続会員商品取引所」という。)及び会員商品取引所である吸収合併消滅商品取引所(以下この節において「吸収合併消滅会員商品取引所」という。)の名称及び住所
(i)the name and address of the commodity exchange surviving an absorption-type merger that is a member commodity exchange (hereinafter referred to as the "member commodity exchange surviving an absorption-type merger" in this Section) and the name and address of the commodity exchange dissolved in an absorption-type merger that is a member commodity exchange (hereinafter referred to as the "member commodity exchange dissolved in an absorption-type merger" in this Section);
吸収合併がその効力を生ずべき日(以下この節において「効力発生日」という。)
(ii)the day on which the absorption-type merger is to come into effect (hereinafter referred to as the "effective date" in this Section);
前二号に掲げる事項のほか、主務省令で定める事項
(iii)beyond what is set forth in the preceding two items, particulars specified by order of the competent ministry.
(会員商品取引所と会員商品取引所との新設合併契約)
(Consolidation-Type Merger Agreement Between a Member Commodity Exchange and a Member Commodity Exchange)
第百四十一条会員商品取引所と会員商品取引所とが新設合併をする場合には、新設合併契約において、次に掲げる事項を定めなければならない。
Article 141If a member commodity exchange and a member commodity exchange implement a consolidation-type merger, the following particulars must be specified in the consolidation-type merger agreement:
会員商品取引所である新設合併消滅商品取引所(以下この節において「新設合併消滅会員商品取引所」という。)の名称及び住所
(i)the name and address of the commodity exchange dissolved in the consolidation-type merger that is a member commodity exchange (hereinafter referred to as the "member commodity exchange dissolved in a consolidation-type merger" in this Section);
会員商品取引所である新設合併設立商品取引所(以下この節において「新設合併設立会員商品取引所」という。)の目的、名称及び主たる事務所の所在地
(ii)the purpose, name, and location of the principal office of the commodity exchange incorporated in the consolidation-type merger that is a member commodity exchange (hereinafter referred to as the "member commodity exchange established in a consolidation-type merger" in this Section);
前号に掲げるもののほか、新設合併設立会員商品取引所の定款で定める事項
(iii)beyond what is set forth in the preceding item, particulars specified by the articles of incorporation of the member commodity exchange established by a consolidation-type merger;
新設合併設立会員商品取引所の設立に際して理事長、理事及び監事となる者の氏名
(iv)the names of the persons that will become the president, directors, and auditors at the time of the establishment of the member commodity exchange established by a consolidation-type merger;
前各号に掲げる事項のほか、主務省令で定める事項
(v)beyond what is set forth in the preceding items, particulars specified by order of the competent ministry.
第三款 会員商品取引所と株式会社商品取引所との合併
Subsection 3 Mergers Between a Member Commodity Exchange and an Incorporated Commodity Exchange
(会員商品取引所と株式会社商品取引所との吸収合併契約)
(Absorption-Type Merger Agreement Between a Member Commodity Exchange and an Incorporated Commodity Exchange)
第百四十二条会員商品取引所と株式会社商品取引所とが吸収合併をする場合には、吸収合併契約において、次に掲げる事項を定めなければならない。
Article 142If a member commodity exchange and an incorporated commodity exchange implement an absorption-type merger, the following particulars must be specified in the absorption-type merger agreement:
株式会社商品取引所である吸収合併存続商品取引所(以下この節において「吸収合併存続株式会社商品取引所」という。)の商号及び住所並びに吸収合併消滅会員商品取引所の名称及び住所
(i)the trade name and address of the commodity exchange surviving the absorption-type merger that is an incorporated commodity exchange (hereinafter referred to as the "incorporated commodity exchange surviving an absorption-type merger" in this Section) and the name and address of the member commodity exchange dissolved in an absorption-type merger;
吸収合併存続株式会社商品取引所が吸収合併に際して吸収合併消滅会員商品取引所の会員に対してその持分に代わる株式等(株式又は金銭をいう。以下同じ。)を交付するときは、当該株式等についての次に掲げる事項
(ii)if the incorporated commodity exchange surviving an absorption-type merger is to deliver shares, etc. in lieu of equity interest (meaning shares or money; the same applies hereinafter) to the members of the member commodity exchange dissolved in an absorption-type merger at the time of the absorption-type merger, the following particulars related to those shares, etc.:
当該株式等が吸収合併存続株式会社商品取引所の株式であるときは、当該株式の数(種類株式発行会社にあつては、株式の種類及び種類ごとの数)又はその数の算定方法並びに当該吸収合併存続株式会社商品取引所の資本金及び準備金の額に関する事項
(a)if the shares, etc. are shares in the incorporated commodity exchange surviving an absorption-type merger, their number (or, for a company issuing class shares, the classes of shares and the number of shares in each class) or the method of calculating the number, and the particulars concerning the amount of stated capital and reserves of the incorporated commodity exchange surviving an absorption-type merger;
当該株式等が金銭であるときは、当該金銭の額又はその算定方法
(b)if the shares, etc. are money, the amount of the money or the method of calculating the amount.
前号に規定する場合には、吸収合併消滅会員商品取引所の会員に対する同号の株式等の割当てに関する事項
(iii)in the case prescribed in the preceding item, the particulars of the allotment of the shares, etc. referred to in that item to members of the member commodity exchange dissolved in an absorption-type merger;
効力発生日
(iv)the effective date; and
前各号に掲げる事項のほか、主務省令で定める事項
(v)beyond what is set forth in the preceding items, particulars specified by order of the competent ministry.
(会員商品取引所と株式会社商品取引所との新設合併契約)
(Consolidation-Type Merger Agreement between a Member Commodity Exchange and an Incorporated Commodity Exchange)
第百四十三条会員商品取引所と株式会社商品取引所とが新設合併をする場合には、新設合併契約において、次に掲げる事項を定めなければならない。
Article 143(1)If a member commodity exchange and an incorporated commodity exchange implement a consolidation-type merger, the following particulars must be specified in the consolidation-type merger agreement:
新設合併消滅会員商品取引所の名称及び住所並びに株式会社商品取引所である新設合併消滅商品取引所(以下この節において「新設合併消滅株式会社商品取引所」という。)の商号及び住所
(i)the name and address of the member commodity exchanges dissolved in a consolidation-type merger and the trade name and address of the incorporated commodity exchange dissolved in a consolidation-type merger that is an incorporated commodity exchange (hereinafter referred to as the "incorporated commodity exchange dissolved in a consolidation-type merger" in this Section);
株式会社商品取引所である新設合併設立商品取引所(以下この節において「新設合併設立株式会社商品取引所」という。)の目的、商号、本店の所在地及び発行可能株式総数
(ii)the purpose, trade name, location of the head office, and total number of authorized shares of the commodity exchange established by a consolidation-type merger that is an incorporated commodity exchange (hereinafter referred to as the "incorporated commodity exchange established by a consolidation-type merger" in this Section);
前号に掲げるもののほか、新設合併設立株式会社商品取引所の定款で定める事項
(iii)beyond what is set forth in the preceding item, particulars specified in the articles of incorporation of the incorporated commodity exchange established by a consolidation-type merger;
新設合併設立株式会社商品取引所の設立に際して取締役となる者の氏名及びその設立に際して会計監査人となる者の氏名又は名称
(iv)the name of the persons that are to become company directors at the time of the establishment of the incorporated commodity exchange established by a consolidation-type merger, and the name of the person that is to become the financial auditor at the time of its establishment;
次に掲げる場合の区分に応じ、次に定める事項
(v)the particulars prescribed in each of the following sub-items in accordance with the category of cases set forth in that sub-item:
新設合併設立株式会社商品取引所が会計参与設置会社である場合 新設合併設立株式会社商品取引所の設立に際して会計参与となる者の氏名又は名称
(a)if the incorporated commodity exchange established by a consolidation-type merger is a company with an accounting advisor: the name of the person that is to become the accounting advisor at the time of the establishment of the incorporated commodity exchange established by a consolidation-type merger;
新設合併設立株式会社商品取引所が監査役設置会社(監査役の監査の範囲を会計に関するものに限定する旨の定款の定めがある株式会社を含む。)である場合 新設合併設立株式会社商品取引所の設立に際して監査役となる者の氏名
(b)if the incorporated commodity exchange established by a consolidation-type merger is a company with a company auditor (including a stock company whose articles of incorporation provide that the scope of audits by a company auditor is limited to particulars related to accounting): the name of the person that is to become the company auditor at the time of the establishment of the incorporated commodity exchange established by a consolidation-type merger.
新設合併設立株式会社商品取引所が新設合併に際して新設合併消滅会員商品取引所の会員又は新設合併消滅株式会社商品取引所の株主に対して交付するその持分又は株式に代わる当該新設合併設立株式会社商品取引所の株式の数(種類株式発行会社にあつては、株式の種類及び種類ごとの数)又はその数の算定方法並びに当該新設合併設立株式会社商品取引所の資本金及び準備金の額に関する事項
(vi)the number of shares in the incorporated commodity exchange established by a consolidation-type merger (or, for a company with class shares, the classes of shares and the number of shares in each class) that the incorporated commodity exchange established by a consolidation-type merger is to deliver to members of the member commodity exchange dissolved in a consolidation-type merger or shareholders of the incorporated commodity exchange dissolved in a consolidation-type merger in lieu of their equity interest or shares, at the time of the consolidation-type merger, or the method of calculating that number, and the particulars concerning the amount of stated capital or reserves of the incorporated commodity exchange established by a consolidation-type merger;
新設合併消滅会員商品取引所の会員又は新設合併消滅株式会社商品取引所の株主(新設合併消滅商品取引所を除く。)に対する前号の株式の割当てに関する事項
(vii)the particulars concerning the allotment of the shares referred to in the preceding item to members of the member commodity exchange dissolved in a consolidation-type merger or shareholders of the incorporated commodity exchange dissolved in a consolidation-type merger (excluding the commodity exchange dissolved in a consolidation-type merger);
新設合併消滅株式会社商品取引所が新株予約権を発行しているときは、新設合併設立株式会社商品取引所が新設合併に際して当該新株予約権の新株予約権者に対して交付する当該新株予約権に代わる当該新設合併設立株式会社商品取引所の新株予約権又は金銭についての次に掲げる事項
(viii)if the incorporated commodity exchange dissolved in a consolidation-type merger has issued share options, the following particulars concerning share options in or money of the incorporated commodity exchange established by a consolidation-type merger it is to deliver to the holders of share options in the incorporated commodity exchange dissolved in a consolidation-type merger at the time of the consolidation-type merger in lieu of the share options in the incorporated commodity exchange dissolved in a consolidation-type merger:
当該新設合併消滅株式会社商品取引所の新株予約権の新株予約権者に対して新設合併設立株式会社商品取引所の新株予約権を交付するときは、当該新株予約権の内容及び数又はその算定方法
(a)if share options in the incorporated commodity exchange established by a consolidation-type merger are delivered to the holders of share options in the incorporated commodity exchange dissolved in a consolidation-type merger, the content and number of share options or the method of calculating the number;
イに規定する場合において、イの新設合併消滅株式会社商品取引所の新株予約権が新株予約権付社債に付された新株予約権であるときは、新設合併設立株式会社商品取引所が当該新株予約権付社債についての社債に係る債務を承継する旨並びにその承継に係る社債の種類及び種類ごとの各社債の金額の合計額又はその算定方法
(b)in the case prescribed in sub-item (a), if share options in the incorporated commodity exchange dissolved in a consolidation-type merger referred to in sub-item (a) are share options that are attached to bonds with share options, the fact that the incorporated commodity exchange established by a consolidation-type merger will succeed to the obligations regarding the bonds related to the bonds with share options, the classes of bonds subject to the succession, and the total amounts of the bonds in each class or the method of calculating the amounts;
当該新設合併消滅株式会社商品取引所の新株予約権の新株予約権者に対して金銭を交付するときは、当該金銭の額又はその算定方法
(c)if money is to be delivered to the holders of share options in the incorporated commodity exchange dissolved in a consolidation-type merger, the amount of that money or the method of calculating the amount.
前号に規定する場合には、新設合併消滅株式会社商品取引所の新株予約権の新株予約権者に対する同号の新設合併設立株式会社商品取引所の新株予約権又は金銭の割当てに関する事項
(ix)in the case prescribed in the preceding item, the particulars concerning the allotment of share options in the incorporated commodity exchange established by a consolidation-type merger or of the money referred to in that item to the holders of share options in the incorporated commodity exchange dissolved in a consolidation-type merger.
新設合併設立株式会社商品取引所が監査等委員会設置会社である場合には、前項第四号に掲げる事項(新設合併設立株式会社商品取引所の設立に際して取締役となる者に係る事項に限る。)は、新設合併設立株式会社商品取引所の設立に際して監査等委員である取締役となる者とそれ以外の取締役となる者とを区別して定めなければならない。
(2)If an incorporated commodity exchange established by a consolidation-type merger is a company with audit and supervisory committee, the particulars set forth in item (iv) of the preceding paragraph (limited to the particulars regarding the persons to become company directors at the time of the establishment of the incorporated commodity exchange established by a consolidation-type merger) must be specified separately for the persons to become company directors who are audit and supervisory committee members at the time of the establishment of the incorporated commodity exchange established by a consolidation-type merger and the persons to become other company directors.
第一項に規定する場合において、新設合併消滅株式会社商品取引所の全部又は一部が種類株式発行会社であるときは、新設合併消滅株式会社商品取引所の発行する種類の株式の内容に応じ、同項第七号に掲げる事項(新設合併消滅株式会社商品取引所の株主に係る事項に限る。次項において同じ。)として次に掲げる事項を定めることができる。
(3)In the case referred to in paragraph (1), if the whole or a part of the incorporated commodity exchange dissolved in a consolidation-type merger is a company with class shares, the following particulars may be specified as the particulars set forth in item (vii) of that paragraph (limited to particulars concerning the shareholders of the incorporated commodity exchange dissolved in a consolidation-type merger; the same applies in the following paragraph) in accordance with the features of the classes of shares issued by the incorporated commodity exchange dissolved in a consolidation-type merger:
ある種類の株式の株主に対して新設合併設立株式会社商品取引所の株式の割当てをしないこととするときは、その旨及び当該株式の種類
(i)if it decides not to allot shares in the incorporated commodity exchange established by a consolidation-type merger to shareholders of a certain class of shares, that fact and the class of those shares; or
前号に掲げる事項のほか、新設合併設立株式会社商品取引所の株式の割当てについて株式の種類ごとに異なる取扱いを行うこととするときは、その旨及び当該異なる取扱いの内容
(ii)beyond what is set forth in the preceding item, if it decides to handle the allotment of shares in the incorporated commodity exchange established by a consolidation-type merger differently for each class of shares, that fact and the content of such different handling.
第一項に規定する場合には、同項第七号に掲げる事項についての定めは、新設合併消滅株式会社商品取引所の株主(新設合併消滅商品取引所及び前項第一号の種類の株式の株主を除く。)の有する株式の数(前項第二号に掲げる事項についての定めがある場合にあつては、各種類の株式の数)に応じて新設合併設立株式会社商品取引所の株式を交付することを内容とするものでなければならない。
(4)In the case prescribed in paragraph (1), the provisions concerning the particulars set forth in item (vii) of that paragraph must provide that shares in the incorporated commodity exchange established by a consolidation-type merger will be issued in proportion to the number of shares (if the particulars set forth in item (ii) of the preceding paragraph are provided for, the number of shares in each class) held by the shareholders of the incorporated commodity exchange dissolved in a consolidation-type merger (excluding shareholders of the commodity exchange dissolved in a consolidation-type merger and shareholders of the class of shares referred to in item (i) of the preceding paragraph).
第四款 会員商品取引所の合併の手続
Subsection 4 Merger Procedures for Member Commodity Exchanges
(吸収合併消滅会員商品取引所の手続)
(Procedures for a Member Commodity Exchange Dissolved in an Absorption-Type Merger)
第百四十四条吸収合併消滅会員商品取引所は、第四項の会員総会の日の十日前の日から吸収合併の効力が生ずる日までの間、吸収合併契約の内容その他主務省令で定める事項を記載し、又は記録した書面又は電磁的記録を主たる事務所に備え置かなければならない。
Article 144(1)A member commodity exchange dissolved in an absorption-type merger must keep documents or electronic or magnetic records that state or record the content of the absorption-type merger agreement and the particulars specified by order of the competent ministry at its principal office, during the period from 10 days prior to the day of the general meeting of members as referred to in paragraph (4) until the day on which the absorption-type merger comes into effect.
吸収合併消滅会員商品取引所の会員及び債権者は、吸収合併消滅会員商品取引所に対して、その事業時間内は、いつでも、次に掲げる請求をすることができる。ただし、第二号又は第四号に掲げる請求をするには、当該吸収合併消滅会員商品取引所の定めた費用を支払わなければならない。
(2)The member or creditor of a member commodity exchange dissolved in an absorption-type merger may make the following requests to the member commodity exchange dissolved in an absorption-type merger at any time during its business hours; provided, however, that in making the request set forth in item (ii) or (iv), the member or creditor must pay the cost specified by the member commodity exchange dissolved in an absorption-type merger:
前項の書面の閲覧の請求
(i)a request to inspect a document referred to in the preceding paragraph;
前項の書面の謄本又は抄本の交付の請求
(ii)a request to be issued a certified copy or extract of a document referred to in the preceding paragraph;
前項の電磁的記録に記録された事項を主務省令で定める方法により表示したものの閲覧の請求
(iii)a request to inspect a thing that displays the information that have been recorded in an electronic or magnetic record referred to in the preceding paragraph by the means specified by order of the competent ministry;
前項の電磁的記録に記録された事項を電磁的方法であつて主務省令で定めるものにより提供することの請求又はその事項を記載した書面の交付の請求
(iv)a request to be provided with the information that has been recorded in an electronic or magnetic record referred to in the preceding paragraph by an electronic or magnetic means specified by order of the competent ministry, or a request to be issued a document that states the information.
吸収合併消滅会員商品取引所は、前項の規定による請求があつたときは、正当な理由がないのにこれを拒んではならない。
(3)If a member commodity exchange dissolved in an absorption-type merger has received a request under the provisions of the preceding paragraph, it must not refuse the request without legitimate grounds.
吸収合併消滅会員商品取引所は、効力発生日の前日までに、会員総会の決議によつて、吸収合併契約の承認を受けなければならない。
(4)A member commodity exchange dissolved in an absorption-type merger must gain approval for the absorption-type merger agreement by a resolution of a general meeting of members by the day preceding the effective date.
吸収合併が法令又は定款に違反する場合において、吸収合併消滅会員商品取引所の会員が不利益を受けるおそれがあるときは、吸収合併消滅会員商品取引所の会員は、吸収合併消滅会員商品取引所に対し、当該吸収合併をやめることを請求することができる。
(5)When an absorption-type merger is in violation of laws and regulations or the articles of incorporation and the members of the member commodity exchange dissolved in an absorption-type merger are likely to suffer disadvantages, the members of the member commodity exchange dissolved in an absorption-type merger may demand the member commodity exchange dissolved in an absorption-type merger to refrain from implementing the absorption-type merger.
第百二十四条の規定は、吸収合併消滅会員商品取引所について準用する。
(6)The provisions of Article 124 apply mutatis mutandis to a member commodity exchange dissolved in an absorption-type merger.
吸収合併消滅会員商品取引所は、吸収合併存続商品取引所との合意により、効力発生日を変更することができる。
(7)A member commodity exchange dissolved in an absorption-type merger may change the effective date by an agreement with the commodity exchange surviving an absorption-type merger.
前項の場合には、吸収合併消滅会員商品取引所は、変更前の効力発生日(変更後の効力発生日が変更前の効力発生日前の日である場合にあつては、当該変更後の効力発生日)の前日までに、変更後の効力発生日を公告しなければならない。
(8)In the case referred to in the preceding paragraph, the member commodity exchange dissolved in an absorption-type merger must issue public notice of the new effective date by the day preceding the former effective date (or, if the new effective date comes before the former effective date, by the day preceding the new effective date).
第七項の規定により効力発生日を変更したときは、変更後の効力発生日を効力発生日とみなして、この節の規定を適用する。
(9)If the effective date is changed pursuant to the provisions of paragraph (7), the new effective date is deemed to be the effective date and the provisions of this Section apply.
(吸収合併存続会員商品取引所の手続)
(Procedures for a Member Commodity Exchange Surviving an Absorption-Type Merger)
第百四十四条の二吸収合併存続会員商品取引所は、次項の会員総会の日の十日前の日から吸収合併の効力が生じた日後六月を経過する日までの間、吸収合併契約の内容その他主務省令で定める事項を記載し、又は記録した書面又は電磁的記録を主たる事務所に備え置かなければならない。
Article 144-2(1)A member commodity exchange surviving an absorption-type merger must keep documents or electronic or magnetic records that state or record the content of the absorption-type merger agreement and the particulars specified by order of the competent ministry at its principal office, during the period from 10 days prior to the day of the general meeting of members referred to in the following paragraph until the day on which six months have passed from the day the absorption-type merger comes into effect,.
吸収合併存続会員商品取引所は、効力発生日の前日までに、会員総会の決議によつて、吸収合併契約の承認を受けなければならない。
(2)A member commodity exchange surviving an absorption-type merger must obtain approval for the absorption-type merger agreement by a resolution of a general meeting of members by the day preceding the effective date.
吸収合併が法令又は定款に違反する場合において、吸収合併存続会員商品取引所の会員が不利益を受けるおそれがあるときは、吸収合併存続会員商品取引所の会員は、吸収合併存続会員商品取引所に対し、当該吸収合併をやめることを請求することができる。
(3)When an absorption-type merger is in violation of laws and regulations or the articles of incorporation and the members of the member commodity exchange surviving an absorption-type merger are likely to suffer disadvantages, the members of the member commodity exchange surviving an absorption-type merger may demand the member commodity exchange surviving an absorption-type merger to refrain from implementing the absorption-type merger.
第百二十四条の規定は、吸収合併存続会員商品取引所について準用する。
(4)The provisions of Article 124 apply mutatis mutandis to a member commodity exchange surviving an absorption-type merger.
吸収合併存続会員商品取引所は、吸収合併の効力が生じた日後遅滞なく、吸収合併により吸収合併存続会員商品取引所が承継した吸収合併消滅会員商品取引所の権利義務その他の吸収合併に関する事項として主務省令で定める事項を記載し、又は記録した書面又は電磁的記録を作成しなければならない。
(5)A member commodity exchange surviving an absorption-type merger must prepare a document or an electronic or magnetic record that states or records the particulars concerning the rights and obligations of the member commodity exchange dissolved in an absorption-type merger to which the member commodity exchange surviving the absorption-type merger has succeeded to as a result of the absorption-type merger, and also states or records other particulars specified by order of the competent ministry as being related to the absorption-type merger, without delay after the day on which the absorption-type merger comes into effect.
吸収合併存続会員商品取引所は、吸収合併の効力が生じた日から六月間、前項の書面又は電磁的記録をその主たる事務所に備え置かなければならない。
(6)A member commodity exchange surviving an absorption-type merger must keep the document or electronic or magnetic record referred to in the preceding paragraph at its principal office, during a six-month period beginning from the day on which the absorption-type merger comes into effect.
吸収合併存続会員商品取引所の会員及び債権者は、吸収合併存続会員商品取引所に対して、その事業時間内は、いつでも、次に掲げる請求をすることができる。ただし、第二号又は第四号に掲げる請求をするには、当該吸収合併存続会員商品取引所の定めた費用を支払わなければならない。
(7)The member or creditor of a member commodity exchange surviving an absorption-type merger may make the following requests to the member commodity exchange surviving an absorption-type merger at any time during its business hours; provided, however, that in making the request set forth in item (ii) or (iv), the member or creditor must pay the cost specified by the member commodity exchange surviving an absorption-type merger:
第一項又は前項の書面の閲覧の請求
(i)a request to inspect a document referred to in paragraph (1) or the preceding paragraph;
第一項又は前項の書面の謄本又は抄本の交付の請求
(ii)a request to be issued a certified copy or extract of a document referred to in paragraph (1) or the preceding paragraph;
第一項又は前項の電磁的記録に記録された事項を主務省令で定める方法により表示したものの閲覧の請求
(iii)a request to inspect a thing that displays the information that have been recorded in an electronic or magnetic record referred to in paragraph (1) or the preceding paragraph by the means specified by order of the competent ministry;
第一項又は前項の電磁的記録に記録された事項を電磁的方法であつて主務省令で定めるものにより提供することの請求又はその事項を記載した書面の交付の請求
(iv)a request to be provided with the information that has been recorded in an electronic or magnetic record referred to in paragraph (1) or the preceding paragraph by an electronic or magnetic means specified by order of the competent ministry, or a request to be issued a document that states the information.
吸収合併存続会員商品取引所は、前項の規定による請求があつたときは、正当な理由がないのにこれを拒んではならない。
(8)If a member commodity exchange surviving an absorption-type merger has received a request under the provisions of the preceding paragraph, it must not refuse that request without legitimate grounds.
(新設合併消滅会員商品取引所の手続)
(Procedures for a Member Commodity Exchange Dissolved in a Consolidation-Type Merger)
第百四十四条の三新設合併消滅会員商品取引所は、第四項の会員総会の日の十日前の日から新設合併設立商品取引所の成立の日までの間、新設合併契約の内容その他主務省令で定める事項を記載し、又は記録した書面又は電磁的記録を主たる事務所に備え置かなければならない。
Article 144-3(1)A member commodity exchange dissolved in a consolidation-type merger must keep documents or electronic or magnetic records that state or record the content of the consolidation-type merger agreement and the particulars specified by order of the competent ministry at its principal office, during the period from 10 days prior to the day of the general meeting of members referred to in paragraph (4) until the day of the establishment of the commodity exchange established by a consolidation-type merger.
新設合併消滅会員商品取引所の会員及び債権者は、新設合併消滅会員商品取引所に対して、その事業時間内は、いつでも、次に掲げる請求をすることができる。ただし、第二号又は第四号に掲げる請求をするには、当該新設合併消滅会員商品取引所の定めた費用を支払わなければならない。
(2)The member or creditor of a member commodity exchange dissolved in a consolidation-type merger may make the following requests to a member commodity exchange dissolved in a consolidation-type merger at any time during its business hours; provided, however, that in making the request set forth in item (ii) or (iv), the member or creditor must pay the cost specified by the member commodity exchange dissolved in a consolidation-type merger:
前項の書面の閲覧の請求
(i)a request to inspect a document referred to in the preceding paragraph;
前項の書面の謄本又は抄本の交付の請求
(ii)a request to be issued a certified copy or extract of a document referred to in the preceding paragraph;
前項の電磁的記録に記録された事項を主務省令で定める方法により表示したものの閲覧の請求
(iii)a request to inspect a thing that displays the information that has been recorded in an electronic or magnetic record referred to in the preceding paragraph by the means specified by order of the competent ministry;
前項の電磁的記録に記録された事項を電磁的方法であつて主務省令で定めるものにより提供することの請求又はその事項を記載した書面の交付の請求
(iv)a request to be provided with the information that has been recorded in an electronic or magnetic record referred to in the preceding paragraph by an electronic or magnetic means specified by order of the competent ministry, or a request to be issued a document that states the information.
新設合併消滅会員商品取引所は、前項の規定による請求があつたときは、正当な理由がないのにこれを拒んではならない。
(3)If a member commodity exchange dissolved in a consolidation-type merger has received a request under the provisions of the preceding paragraph, it must not refuse the request without legitimate grounds.
新設合併消滅会員商品取引所は、会員総会の決議によつて、新設合併契約の承認を受けなければならない。
(4)A member commodity exchange dissolved in a consolidation-type merger must obtain approval for the consolidation-type merger agreement by a resolution of a general meeting of members.
新設合併が法令又は定款に違反する場合において、新設合併消滅会員商品取引所の会員が不利益を受けるおそれがあるときは、新設合併消滅会員商品取引所の会員は、新設合併消滅会員商品取引所に対し、当該新設合併をやめることを請求することができる。
(5)When a consolidation-type merger is in violation of laws and regulations or the articles of incorporation and the members of the member commodity exchange dissolved in a consolidation-type merger are likely to suffer disadvantages, the members of the member commodity exchange dissolved in a consolidation-type merger may demand the member commodity exchange dissolved in a consolidation-type merger to refrain from implementing the consolidation-type merger.
第百二十四条の規定は、新設合併消滅会員商品取引所について準用する。