Banking Act

The provisions of Chapter III, Section 1, Subsection 5 of the Financial Instruments and Exchange Act (excluding Article 34-2, paragraphs (6) through (8) (Cases in Which a Professional Investor Is Deemed to Be a Customer Other Than a Professional Investor) and Article 34-3, paragraphs (5) and (6) (When a Customer Other than a Professional Investor Is a Corporation and That Corporation Is Deemed to Be a Professional Investor)) (Professional Investors); Section 2, Subsection 1 of that Chapter (excluding Articles 35 through 36-4 (Scope of Services for Persons Engaged in Type-I Financial Instruments Business or Investment Management Business; Scope of Concurrent Business by Persons Only Engaged in Type-II Financial Instruments Business or Investment Advisory and Agency Business; Establishment of an Operational Control System; Development of Systems to Protect the Interests of Customers, Posting Signs, etc., Prohibition on Lending One's Name, and Prohibition on Corporate Bond Management), Article 37, paragraph (1), item (ii) (Regulation of Advertising); Article 37-2 (Obligation to Clarify the Conditions of Transactions in Advance); Article 37-3, paragraph (1), items (ii) and (vi) and paragraph (3) (Provision of Information, etc. Prior to the Conclusion of a Contract); Article 37-5 (Delivery of Documents in Connection with the Receipt of a Security Deposit); Article 37-7 (Obligation to Conclude a Contract with a designated dispute resolution organization); Article 38, items (i), (ii), (vii) and (viii), Article 38-2 (Prohibited Actions); the proviso to Article 39, paragraph (3), and paragraphs (4), (6) and (7) of that Article (Prohibition on Compensation of Loss); Articles 40-2 through 40-7 (Best Execution Policy; Prohibition of Purchase and Sale If Separate Management Is Not Ensured; Prohibition of Public Offering If Money Has Been Diverted; Prohibition of Purchase and Sale If Provision of Information on the Status of the Business Subject to Investment Is Not Ensured; Prohibition of Public Offering If Information on the Status of the Business Subject to Investment Is Not Provided; Restrictions on the Purchase and Sale of Securities for Professional Investors, etc., Obligation to Notify in Connection with Securities for Professional Investors, etc., Prohibition of Trading Against Self, Obligation to Use an Electronic Data Processing System for Over-the-Counter Transactions of Derivatives)) (General Rules); and provisions of Article 45 (excluding items (iii) and (iv)) (Miscellaneous Provisions) of the Financial Instruments and Exchange Act apply mutatis mutandis to a bank's conclusion of a contract for specified deposit, etc. (meaning a contract for the acceptance of specified deposits, etc. (meaning those that are specified by Cabinet Office Order as deposits or installment savings, etc. that carry the risk of a loss of the principal due to fluctuations in the money rate, value of currencies, quotations on a financial instruments market as defined in Article 2, paragraph (14) of that Act, or any other index); the same applies hereinafter). In such a case, the term "financial instruments transaction contract" in these provisions is deemed to be replaced with "contract for specified deposit, etc."; the term "financial instruments business" in these provisions is deemed to be replaced with "services involved in entering into a contract for specified deposit, etc."; the phrase "act that constitutes a financial instruments transaction" in these provisions (excluding the provisions of Article 34 of that Act) is deemed to be replaced with "conclusion of a contract for specified deposit, etc."; the phrase "contract for the financial instruments business operator, etc. to perform an act that constitutes a financial instruments transaction (meaning an act set forth in the items of Article 2, paragraph (8); the same applies hereinafter) with the customer as the other party or on behalf of the customer" in Article 34 of that Act is deemed to be replaced with "contract for specified deposit, etc. prescribed in Article 13-4 of the Banking Act"; the phrase "matters set forth" in Article 37-3, paragraph (1) of that Act is deemed to be replaced with "matters set forth and, to contribute to the protection of depositors, etc. (meaning depositors, etc. as defined in Article 2, paragraph (5) of the Banking Act; hereinafter the same applies in this paragraph), the content of the relevant contract for specified deposit, etc. and other matters that should serve as a reference for depositors, etc. (referred to as "reference matters, etc." in the following paragraph)"; in paragraph (2) of that Article, the phrase "excluding the matters set forth in items (v) and (vi) of that paragraph and other matters specified by Cabinet Office Order)" is deemed to be replaced with "excluding the matters set forth in items (v) and (vi) of that paragraph and other matters specified by Cabinet Office Order) and the reference matters, etc."; in the proviso to that paragraph, the phrase "the relevant matters" is deemed to be replaced with "these matters"; in Article 39, paragraph (1), item (i) of that Act, the term "a purchase and sale or other transaction of securities (excluding a purchase and sale with a repurchase requirement and a predetermined repurchase price, and other transactions specified by Cabinet Order) or a derivatives transaction (hereinafter referred to as a 'purchase and sale or other transaction of securities, etc.' in this Article)" is deemed to be replaced with "the conclusion of a contract for specified deposit, etc.", the term "securities or derivatives transaction (hereinafter referred to as 'securities, etc.' in this Article)" is deemed to be replaced with "contract for specified deposit, etc.", the term "customer (if a trust company, etc. (meaning a trust company or a financial institution that has obtained the authorization referred to in Article 1, paragraph (1) of the Act on Engagement in Trust Business by Financial Institutions; the same applies hereinafter) conducts the purchase and sale of securities or a derivatives transaction on the account of a person that establishes a trust based on a trust contract, this includes the person that establishes the trust; hereinafter the same applies in this Article)" is deemed to be replaced with "customer", and the term "to supplement its profits" is deemed to be replaced with "to supplement its profits, other than as under the contract for specified deposit, etc."; in Article 39, paragraph (1), item (ii) of that Act, the term "a purchase and sale or other transaction of securities, etc." is deemed to be replaced with "the conclusion of a contract for specified deposit, etc.", the term "securities, etc." is deemed to be replaced with "contract for specified deposit, etc." and the term "in order to add to the profit that the customer has accrued in connection with those securities, etc." is deemed to be replaced with "in order to add to the profit that the customer has accrued in connection with those securities, etc., other than as under the contract for specified deposit, etc."; in item (iii) of that paragraph, the term "a purchase and sale or other transaction of securities, etc." is deemed to be replaced with "the conclusion of a contract for specified deposit, etc.", the term "securities, etc." is deemed to be replaced with "contract for specified deposit, etc." and the term "in order to add to the profit that the customer has accrued in connection with those securities, etc." is deemed to be replaced with "in order to add to the profit that the customer has accrued in connection with those securities, etc., other than as under the contract for specified deposit, etc."; in paragraph (2) of that Article, the term "a purchase and sale or other transaction of securities, etc." is deemed to be replaced with "the conclusion of a contract for specified deposit, etc."; in paragraph (3) of that Article, the term "which is specified by Cabinet Office Order as a potential cause of" is deemed to be replaced with "which is a potential cause of"; in Article 45, item (ii) of that Act, the phrase "Articles 37-2 through 37-6; Article 40-2, paragraph (4); and Article 43-4" is deemed to be replaced with "Article 37-3 (limited to the part related to paragraph (1), item (i), items (iii) through (v) and item (vii), and excluding paragraph (3)); Article 37-4; and Article 37-6"; and any other necessary technical replacement of terms is specified by Cabinet Order.

The provisions of Chapter III, Section 1, Subsection 5 (excluding Article 34-2, paragraphs (6) through (8) (Cases in Which a Professional Investor Is Deemed to Be a Customer Other Than a Professional Investor) and Article 34-3, paragraph (5) and paragraph (6) (When a Customer Other than a Professional Investor Is a Corporation and That Corporation Is Deemed to Be a Professional Investor)) (Professional Investors), Section 2, Subsection 1 of that Chapter (excluding Articles 35 through 36-4 (Scope of Services for Persons Engaged in Type-I Financial Instruments Business or Investment Management Business; Scope of Concurrent Business by Persons Only Engaged in Type-II Financial Instruments Business or Investment Advisory and Agency Business; Establishment of an Operational Control System; Development of Systems to Protect the Interests of Customers; Posting Signs, etc.; Prohibition on Name Lending; Prohibition on Corporate Bond Management), Article 37, paragraph (1), item (ii) (Regulation of Advertising), Article 37-2 (Obligation to Clarify the Conditions of Transactions in Advance), Article 37-3, paragraph (1), items (ii) and (vi) and paragraph (3) (Provision of Information, etc. Prior to the Conclusion of a Contract), Articles 37-5 through 37-7 (Delivery of Documents in Connection with the Receipt of a Security Deposit; Written Cancellation; Obligation to Conclude a Contract with a designated dispute resolution organization), Article 38, item (i), item (ii), item (vii) and item (viii), and Article 38-2 (Prohibited Actions), the proviso to Article 39, paragraph (3), and paragraph (4), paragraph (6) and paragraph (7) of that Article (Prohibition on Compensation of Loss), and Articles 40-2 through 40-7 (Best Execution Policy; Prohibition of Purchase and Sale If Separate Management Is Not Ensured; Prohibition of Public Offering If Money Has Been Diverted; Prohibition of Purchase and Sale If Provision of Information on the Status of the Business Subject to Investment Is Not Ensured; Prohibition of Public Offering If Information on the Status of the Business Subject to Investment Is Not Provided; Restrictions on the Purchase and Sale of Securities for Professional Investors, etc.; Obligation to Notify in Connection with Securities for Professional Investors, etc.; Prohibition of Trading Against Self; Obligation to Use an Electronic Data Processing System for Over-the-Counter Transactions of Derivatives)) (General Rules), and Article 45 (excluding items (iii) and (iv)) (Miscellaneous Provisions) of the Financial Instruments and Exchange Act apply mutatis mutandis to actions as an agent or intermediary for a person's entry into a contract for specified deposit, etc. in connection with foreign bank agency services that a foreign bank's agent bank (meaning a bank that performs foreign bank agency services by obtaining the authorization referred to in Article 52-2, paragraph (1) or (2) or by filing a notification under the provisions of paragraph (3) of that Article; the same applies hereinafter) performs. In such a case, in these provisions, the term "financial instruments transaction contract" is deemed to be replaced with "contract for specified deposit, etc."; the term "financial instruments business" is deemed to be replaced with "services as an agent or intermediary in a person's entry into a contract for specified deposit, etc."; the phrase "soliciting the conclusion of or concluding" is deemed to be replaced with "soliciting the conclusion of, or acting as agent or intermediary for the conclusion of"; the term "act that constitutes a financial instruments transaction" in these provisions (excluding Article 34 (Obligation to Notify Professional Investors) of that Act) is deemed to be replaced with "conclusion of a contract for specified deposit, etc."; in Article 34 of that Act, the term "contract for the financial instruments business operator, etc. to perform an act that constitutes a financial instruments transaction (meaning an act set forth in the items of Article 2, paragraph (8); the same applies hereinafter) with the customer as the other party or on behalf of the customer" is deemed to be replaced with "contract for specified deposit, etc. prescribed in Article 13-4 of the Banking Act", the term "and has in the past concluded a financial instruments transaction contract with that professional investor" is deemed to be replaced with "and has in the past acted as agent or intermediary in a person's conclusion of a contract for specified deposit, etc. with that professional investor", and the term "concluding" is deemed to be replaced with "acting as agent or intermediary in a person's entry into"; in Article 34-2, paragraph (5), item (ii) of that Act, the term "concludes" is deemed to be replaced with "acts as agent or intermediary in a person's entry into"; the phrase "subject contract with" in Article 34-3, paragraph (2), item (iv), (a) of that Act is deemed to be replaced with "subject contract through agency or intermediation by"; the term "concludes" in Article 34-3, paragraph (4), item (ii) of that Act is deemed to be replaced with "acts as an agent or intermediary for a person's conclusion of"; in Article 37-3, paragraph (1) of that Act, the term "seeks to conclude" is deemed to be replaced with "acts as agent or intermediary for a person's conclusion of" and the phrase "matters set forth" is deemed to be replaced with "matters set forth and, to contribute to the protection of depositors, etc. (meaning depositors, etc. as defined in Article 2, paragraph (5) of the Banking Act; hereinafter the same applies in this paragraph), the content of the relevant contract for specified deposit, etc. and other matters that should serve as a reference for depositors, etc. (referred to as "reference matters, etc." in the following paragraph)"; in Article 37-3, paragraph (1), item (i) of that Act, the term "the financial instruments business operator, etc." is deemed to be replaced with "the principal foreign bank (meaning a principal foreign bank as defined in Article 52-2, paragraph (1) of the Banking Act) with which the foreign bank's agent bank (meaning the foreign bank's agent bank as defined in Article 52-2-5 of that Act) is affiliated"; in paragraph (2) of that Article, the phrase "excluding the matters set forth in items (v) and (vi) of that paragraph and other matters specified by Cabinet Office Order)" is deemed to be replaced with "excluding the matters set forth in items (v) and (vi) of that paragraph and other matters specified by Cabinet Office Order) and the reference matters, etc."; in the proviso to that paragraph, the phrase "the relevant matters" is deemed to be replaced with "these matters"; in Article 39, paragraph (1), item (i) of that Act, the term "a purchase and sale or other transaction of securities (excluding a purchase and sale with a repurchase requirement and a predetermined repurchase price, and other transactions specified by Cabinet Order) or a derivatives transaction (hereinafter referred to as a 'purchase and sale or other transaction of securities, etc.' in this Article)" is deemed to be replaced with "the conclusion of a contract for specified deposit, etc.", the term "securities or derivatives transaction (hereinafter referred to as 'securities, etc.' in this Article)" is deemed to be replaced with "contract for specified deposit, etc.", the term "customer (if a trust company, etc. (meaning a trust company or a financial institution that has obtained the authorization referred to in Article 1, paragraph (1) of the Act on Engagement in Trust Business by Financial Institutions; the same applies hereinafter) conducts the purchase and sale of securities or a derivatives transaction on the account of a person that establishes a trust based on a trust contract, this includes the person that establishes the trust; hereinafter the same applies in this Article)" is deemed to be replaced with "customer", and the term "to supplement its profits" is deemed to be replaced with "to supplement its profits, other than as under the contract for specified deposit, etc."; in Article 39, paragraph (1), item (ii) of that Act, the term "a purchase and sale or other transaction of securities, etc." is deemed to be replaced with "the conclusion of a contract for specified deposit, etc.", the term "securities, etc." is deemed to be replaced with "contract for specified deposit, etc." and the term "in order to add to the profit that the customer has accrued in connection with those securities, etc." is deemed to be replaced with "in order to add to the profit that the customer has accrued in connection with those securities, etc., other than as under the contract for specified deposit, etc."; in item (iii) of that paragraph, the term "a purchase and sale or other transaction of securities, etc." is deemed to be replaced with "the conclusion of a contract for specified deposit, etc.", the term "securities, etc." is deemed to be replaced with "contract for specified deposit, etc." and the term "in order to add to the profit that the customer has accrued in connection with those securities, etc." is deemed to be replaced with "in order to add to the profit that the customer has accrued in connection with those securities, etc., other than as under the contract for specified deposit, etc."; in paragraph (2) of that Article, the term "a purchase and sale or other transaction of securities, etc." is deemed to be replaced with "the conclusion of a contract for specified deposit, etc."; in paragraph (3) of that Article, the term "which is specified by Cabinet Office Order as a potential cause of" is deemed to be replaced with "which is a potential cause of"; in Article 45, item (ii) of that Act, the phrase "Articles 37-2 through 37-6; Article 40-2, paragraph (4); and Article 43-4" is deemed to be replaced with "Article 37-3 (limited to the part related to paragraph (1), item (i), items (iii) through (v) and item (vii), and excluding paragraph (3)) and Article 37-4" and the term "concluded" is deemed to be replaced with "acted as agent or intermediary for a person's entry into"; and any other necessary technical replacement of terms is specified by Cabinet Order.

The provisions of Chapter III, Section 2, Subsection 1 of the Financial Instruments and Exchange Act (excluding Articles 35 through 36-4 (Scope of Services for Persons Engaged in Type-I Financial Instruments Business or Investment Management Business; Scope of Concurrent Business by Persons Only Engaged in Type-II Financial Instruments Business or Investment Advisory and Agency Business; Establishment of an Operational Control System; Development of Systems to Protect the Interests of Customers; Posting Signs, etc.; Prohibition on Lending of One's Name; Prohibition on Corporate Bond Management), Article 37, paragraph (1), item (ii) (Regulation of Advertising), Article 37-2 (Obligation to Clarify the Conditions of Transactions in Advance), Article 37-3, paragraph (1), items (ii) and (vi) and paragraph (3) (Provision of Information, etc. Prior to the Conclusion of a Contract), Article 37-5 (Delivery of Documents in Connection with the Receipt of a Security Deposit), Article 37-6, paragraphs (1) and (2), the proviso to paragraph (4), and paragraph (5) (Written Cancellation), Article 37-7 (Obligation to Conclude a Contract with a designated dispute resolution organization), Article 38, item (i), item (ii), item (vii) and item (viii), and Article 38-2 (Prohibited Actions), the proviso to Article 39, paragraph (3), and paragraph (4), paragraph (6) and paragraph (7) of that Article (Prohibition on Compensation of Loss), and Articles 40-2 through 40-7 (Best Execution Policy; Prohibition of Purchase and Sale If Separate Management Is Not Ensured; Prohibition of Public Offering If Money Has Been Diverted; Prohibition of Purchase and Sale If Provision of Information on the Status of the Business Subject to Investment Is Not Ensured; Prohibition of Public Offering If Information on the Status of the Business Subject to Investment Is Not Provided; Restrictions on the Purchase and Sale of Securities for Professional Investors, etc.; Obligation to Notify in Connection with Securities for Professional Investors, etc., Prohibition of Trading Against Self; Obligation to Use an Electronic Data Processing System for Over-the-Counter Transactions of Derivatives)) (General Rules) apply mutatis mutandis to a bank agent's actions as agent or intermediary for the conclusion of a contract for specified deposit, etc. in connection with bank agency services In such cases, the term "financial instruments business" in these provisions is deemed to be replaced with "services as an agent or intermediary in a person's conclusion of a contract for specified deposit, etc. as defined in Article 13-4 of the Banking Act"; the phrase "act that constitutes a financial instruments transaction" in these provisions is deemed to be replaced with "conclusion of a contract for specified deposit, etc. as defined in Article 13-4 of the Banking Act"; the term "financial instruments transaction contract" in these provisions (excluding Article 37-6, paragraph (3)) is deemed to be replaced with "contract for specified deposit, etc. as defined in Article 13-4 of the Banking Act"; the phrase "seeks to conclude" in Article 37-3, paragraph (1) of the Financial Instruments and Exchange Act is deemed to be replaced with "acts as agent or intermediary for the conclusion of"; the phrase "matters set forth" in Article 37-3, paragraph (1) of that Act is deemed to be replaced with "matters set forth and, to contribute to the protection of depositors, etc. (meaning depositors, etc. as defined in Article 2, paragraph (5) of the Banking Act; hereinafter the same applies in this paragraph), the content of the relevant contract for specified deposit, etc. and other matters that should serve as a reference for depositors, etc. (referred to as "reference matters, etc." in the following paragraph)"; the term "financial instruments business operator, etc." in Article 37-3, paragraph (1), item (i) of the Financial Instruments and Exchange Act is deemed to be replaced with "principal bank (meaning a principal bank as defined in Article 2, paragraph (16) of the Banking Act) on behalf of which the bank agent (meaning a bank agent as defined in Article 2, paragraph (15) of the Banking Act) is acting"; in paragraph (2) of that Article, the phrase "excluding the matters set forth in items (v) and (vi) of that paragraph and other matters specified by Cabinet Office Order)" is deemed to be replaced with "excluding the matters set forth in items (v) and (vi) of that paragraph and other matters specified by Cabinet Office Order) and the reference matters, etc."; in the proviso to that paragraph, the phrase "the relevant matters" is deemed to be replaced with "these matters"; in Article 37-6, paragraph (3) of that Act, the phrase "If a financial instruments transaction contract becomes subject to a cancellation" is deemed to be replaced with "If the financial instruments business operator, etc. has paid damages or other money to a bank in connection with the cancellation of a contract for specified deposit, etc. (meaning a contract for specified deposit, etc. as defined in Article 13-4 of the Banking Act; the same applies in Article 39)", the phrase "for the cancellation of that financial instruments transaction contract beyond the amount specified by Cabinet Office Order as the amount of fees, remuneration, or other consideration payable by the customer with regard to that financial instruments transaction contract (referred to as a 'consideration' in the following paragraph) for the period until the cancellation of that financial instruments transaction contract" is deemed to be replaced with "in connection with that payment", and the phrase "request the customer to pay damages or a penalty" is deemed to be replaced with "request the person who has cancelled the contract to pay damages or other money"; in Article 39, paragraph (1), item (i) of that Act, the term "a purchase and sale or other transaction of securities (excluding a purchase and sale with a repurchase requirement and a predetermined repurchase price, and other transactions specified by Cabinet Order) or a derivatives transaction (hereinafter referred to as a 'purchase and sale or other transaction of securities, etc.' in this Article)" is deemed to be replaced with "the conclusion of a contract for specified deposit, etc.", the term "securities or derivatives transaction (hereinafter referred to as 'securities, etc.' in this Article)" is deemed to be replaced with "contract for specified deposit, etc.", the term "customer (if a trust company, etc. (meaning a trust company or a financial institution that has obtained the authorization referred to in Article 1, paragraph (1) of the Act on Engagement in Trust Business by Financial Institutions; the same applies hereinafter) conducts the purchase and sale of securities or a derivatives transaction on the account of a person that establishes a trust based on a trust contract, this includes the person that establishes the trust; hereinafter the same applies in this Article)" is deemed to be replaced with "customer", and the term "to supplement its profits" is deemed to be replaced with "to supplement its profits, other than as under the contract for specified deposit, etc."; in Article 39, paragraph (1), item (ii) of that Act, the term "a purchase and sale or other transaction of securities, etc." is deemed to be replaced with "the conclusion of a contract for specified deposit, etc.", the term "securities, etc." is deemed to be replaced with "contract for specified deposit, etc." and the term "in order to add to the profit that the customer has accrued in connection with those securities, etc." is deemed to be replaced with "in order to add to the profit that the customer has accrued in connection with those securities, etc., other than as under the contract for specified deposit, etc."; in item (iii) of that paragraph, the term "a purchase and sale or other transaction of securities, etc." is deemed to be replaced with "the conclusion of a contract for specified deposit, etc.", the term "securities, etc." is deemed to be replaced with "contract for specified deposit, etc." and the term "in order to add to the profit that the customer has accrued in connection with those securities, etc." is deemed to be replaced with "in order to add to the profit that the customer has accrued in connection with those securities, etc., other than as under the contract for specified deposit, etc."; in paragraph (2) of that Article, the term "a purchase and sale or other transaction of securities, etc." is deemed to be replaced with "the conclusion of a contract for specified deposit, etc."; in paragraph (3) of that Article, the term "which is specified by Cabinet Office Order as a potential cause of" is deemed to be replaced with "which is a potential cause of"; and any other necessary technical replacement of terms is specified by Cabinet Order.

The provisions of Chapter III, Section 1, Subsection 5 of the Financial Instruments and Exchange Act (excluding Article 34-2, paragraphs (6) through (8) (Cases in Which a Professional Investor Is Deemed to Be a Customer Other Than a Professional Investor) and Article 34-3, paragraphs (5) and (6) (Cases in Which a Corporation That Is a Customer Other Than a Professional Investor Is Deemed to Be a Professional Investor)) (Professional Investors), Section 2, Subsection 1 of that Chapter (excluding Articles 35 through 36-4 (Scope of Services for Persons Engaged in Type-I Financial Instruments Business or Investment Management Business; Scope of Concurrent Business by Persons That Only Engage in Type-II Financial Instruments Business or Investment Advisory and Agency Business; Establishment of an Operational Control System; Development of Systems to Protect the Interests of Customers; Posting Signs, etc.; Prohibition on Name Lending; Prohibition on Corporate Bond Management, etc.), Article 37-2 (Obligation to Clarify the Conditions of Transactions in Advance), Article 37-3, paragraph (1), item (vi) and paragraph (3) (Provision of Information Prior to the Conclusion of a Contract, etc.), Article 37-5 (Delivery of Documents in Connection with the Receipt of a Security Deposit), Article 37-6, paragraphs (1) and (2), the proviso to paragraph (4), and paragraph (5) (Written Cancellation), Article 37-7 (Obligation to Conclude a Contract with a designated dispute resolution organization, etc.), Article 38, items (i), (ii), (vii) and (viii) and Article 38-2 (Prohibited Actions), the proviso to Article 39, paragraph (3), and paragraphs (4), (6) and (7) of that Article (Prohibition on Compensation of Loss), and Articles 40-2 through 40-7 (Best Execution Policy, etc.; Prohibition of Purchase and Sale, etc. If Separate Management Is Not Ensured; Prohibition of Public Offering, etc. If Money Has Been Diverted; Prohibition of Purchase and Sale, etc. If Provision of Information on the Status of the Business Subject to Investment Is Not Ensured; Prohibition of Public Offering, etc. If Information on the Status of the Business Subject to Investment Has Not Been Provided; Restrictions on the Purchase and Sale, etc. of Securities for Professional Investors, etc.; Obligation to Notify in Connection with Securities for Professional Investors, etc.; Prohibition of Trading Against Self; Obligation to Use an Electronic Data Processing System for Over-the-Counter Transactions of Derivatives, etc.)) (General Rules), and Article 45 (excluding items (iii) and (iv)) (Miscellaneous Provisions) of that Act apply mutatis mutandis to an electronic payment handling service provider that engages in electronic payment-related deposit intermediary services concerning a contract for specified deposit, etc. In such casesa case, the term "financial instruments transaction contract" in these provisions (excluding the provisions of Article 34 and Article 37-6, paragraph (3) of that Act) is deemed to be replaced with "contract for specified deposit, etc."; in Article 34 of that Act, the phrase "contract for performing an act that constitutes a financial instruments transaction (meaning an act set forth in the items of Article 2, paragraph (8); the same applies hereinafter) with a customer as the counterparty or on behalf of a customer (hereinafter referred to as a 'financial instruments transaction contract'" is deemed to be replaced with "contract for specified deposit, etc. (meaning a contract for specified deposit, etc. prescribed in Article 13-4 of the Banking Act; the same applies hereinafter", the phrase "paragraph (31), item (iv) of that Article" is deemed to be replaced with "Article 2, paragraph (31), item (iv)", the phrase "financial instruments transaction contract that is the same as the financial instruments transaction contract" is deemed to be replaced with "contract for specified deposit, etc. that is the same as the contract for specified deposit, etc.", the phrase "financial instruments transaction contract in the past" is deemed to be replaced with "provision of intermediary services for the conclusion of a contract for specified deposit, etc. in the past", the term "concluded" is deemed to be replaced with "performed", and the phrase "concludes a financial instruments transaction contract" is deemed to be replaced with "provides intermediary services for the conclusion of a contract for specified deposit, etc."; the term "or concludes" in Article 34-2, paragraph (2) of that Act is deemed to be replaced with "or provides intermediary services for"; the term "concluding" in paragraph (3), item (iii) of that Article is deemed to be replaced with "providing intermediary services for"; the term "concludes" in paragraph (5), item (ii) of that Article is deemed to be replaced with "provides intermediary services for concluding"; the term "concluding" in Article 34-3, paragraph (2), item (ii) of that Act is deemed to be replaced with "providing intermediary services for"; the phrase "and a subject contract" in item (iv), sub-item (a) of that paragraph is deemed to be replaced with "through the intermediary services of a subject contract"; the term "concluding" in items (v) and (vi) of that paragraph is deemed to be replaced with "providing intermediary services for"; the term "concludes" in paragraph (4), item (ii) of that Article is deemed to be replaced with "provides intermediary services for concluding"; the term "or concludes" in paragraph (10) of that Article and Article 34-4, paragraph (5) of that Act is deemed to be replaced with "or provides intermediary services for"; the phrase "trade name, name or full name" in Article 37, paragraph (1), item (i) of that Act is deemed to be replaced with "trade name"; the phrase "performing an act that constitutes a financial instruments transaction" in paragraph (2) of that Article is deemed to be replaced with "concluding a contract for specified deposit, etc."; in Article 37-3, paragraph (1) of that Act, the phrase "seeks to conclude" is deemed to be replaced with "provides intermediary services for concluding", and the phrase "matters set forth" is deemed to be replaced with "matters set forth and, in order to contribute to the protection of customers, the content of that contract for specified deposit, etc. and other matters that should serve as a reference for the customer (referred to as 'reference matters, etc.' in the following paragraph)"; the phrase "trade name, name or full name" in item (i) of that paragraph is deemed to be replaced with "and the trade name of the entrusting bank (meaning the entrusting bank prescribed in Article 2, paragraph (17), item (ii) of the Banking Act; the same applies in Article 37-6, paragraph (3)) pertaining to that contract for specified deposit, etc."; the phrase "an act that constitutes a financial instruments transaction to be performed" in item (v) of that paragraph is deemed to be replaced with "a contract for specified deposit, etc. to be concluded"; the phrase "excluded)" in paragraph (2) of that Article is deemed to be replaced with "excluded) and the reference matters, etc."; the phrase "that matter" in the proviso to that paragraph is deemed to be replaced with "those matters"; in Article 37-6, paragraph (3) of that Act, the phrase "the provisions of paragraph (1)" is deemed to be replaced with "a request from the customer", the phrase "if a financial instruments transaction contract is cancelled" is deemed to be replaced with "in the case where damages or other money has been paid to the entrusting bank in connection with the cancellation of a contract for specified deposit, etc.", the phrase "fees, remuneration or other consideration payable by the customer in relation to that financial instruments transaction contract that corresponds to the period until the cancellation of the financial instruments transaction contract (referred to as 'consideration' in the following paragraph), in excess of the amount specified by Cabinet Office Order as the amount of that consideration, the cancellation of that financial instruments transaction contract" is deemed to be replaced with "payment", and the phrase "or the payment of a penalty" is deemed to be replaced with "payment of other money, to that customer,"; in paragraph (4) of that Article, the phrase "the provisions of paragraph (1)" is deemed to be replaced with "a request from the customer" and the term "customer" is deemed to be replaced with "that customer"; in Article 39, paragraph (1), item (i) of that Act, the phrase "purchase and sale or other transaction of securities (excluding a purchase and sale with a repurchase requirement in which the repurchase price is determined in advance and other transactions specified by Cabinet Order) or derivatives transaction (hereinafter referred to as 'purchase and sale or other transaction of securities, etc.' in this Article)" is deemed to be replaced with "conclusion of a contract for specified deposit, etc.", the phrase "securities or derivatives transaction (hereinafter referred to as 'securities, etc.' in this Article)" is deemed to be replaced with "contract for specified deposit, etc.", the phrase "customer (including, where a trust company, etc. (meaning a trust company or a financial institution that has obtained the authorization under Article 1, paragraph (1) of the Act on Engagement in Trust Business by Financial Institutions; the same applies hereinafter) conducts a purchase and sale of securities or a derivatives transaction on account of a person who establishes a trust based on a trust contract, that person who establishes the trust; the same applies hereinafter in this Article)" is deemed to be replaced with "customer", and the phrase "in order to supplement" is deemed to be replaced with "in order to supplement, otherwise than under that contract for specified deposit, etc."; in item (ii) of that paragraph, the term "purchase and sale or other transaction of securities, etc." is deemed to be replaced with "conclusion of a contract for specified deposit, etc.", the term "securities, etc." is deemed to be replaced with "contract for specified deposit, etc.", and the phrase "in order to add" is deemed to be replaced with "in order to add, otherwise than under that contract for specified deposit, etc."; in item (iii) of that paragraph, the term "purchase and sale or other transaction of securities, etc." is deemed to be replaced with "conclusion of a contract for specified deposit, etc.", the term "securities, etc." is deemed to be replaced with "contract for specified deposit, etc.", and the phrase "in order to add," is deemed to be replaced with "in order to add, otherwise than under that contract for specified deposit, etc."; the term "purchase and sale or other transaction of securities, etc." in each item of paragraph (2) of that Article is deemed to be replaced with "conclusion of a contract for specified deposit, etc."; the phrase "that which is specified by Cabinet Order as becoming a cause" in paragraph (3) of that Article is deemed to be replaced with "that which becomes a cause"; the phrase "an act that constitutes a financial instruments transaction" in Article 40, item (i) of that Act is deemed to be replaced with "the conclusion of a contract for specified deposit, etc."; and in Article 45, item (ii) of that Act, the phrase "Articles 37-2 through 37-6, Article 40-2, paragraph (4) and Article 43-4" is deemed to be replaced with "Article 37-3 (limited to the part pertaining to items (i) through (v) and item (vii) of paragraph (1), and excluding paragraph (3)), Article 37-4, and Article 37-6, paragraphs (3) and (4) (excluding the proviso)" and the term "concluded" is deemed to be replaced with "provided intermediary services for the conclusion of"; in addition, any other technical replacement of terms that is necessary is specified by Cabinet Order.