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Article 13-4Application, Mutatis Mutandis of the Financial Instruments and Exchange Act

第十三条の四(金融商品取引法の準用)

The provisions of Chapter III, Section 1, Subsection 5 of the Financial Instruments and Exchange Act (excluding (Cases in Which a Professional Investor Is Deemed to Be a Customer Other Than a Professional Investor) and and (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 (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), (Regulation of Advertising); (Obligation to Clarify the Conditions of Transactions in Advance); and and (Provision of Information, etc. Prior to the Conclusion of a Contract); (Delivery of Documents in Connection with the Receipt of a Security Deposit); (Obligation to Conclude a Contract with a designated dispute resolution organization); , , and , (Prohibited Actions); the proviso to , and , and (Prohibition on Compensation of Loss); (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, Obligation to Notify in Connection with Securities for Professional Investors, 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 (excluding and ) (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 , 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 ) 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 ; the same applies hereinafter) with the customer as the other party or on behalf of the customer" in 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 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 ), 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 )"; in , the phrase "excluding the matters set forth in and and other matters specified by Cabinet Office Order)" is deemed to be replaced with "excluding the matters set forth in and and other matters specified by Cabinet Office Order) and the reference matters, etc."; in the proviso to , the phrase "the relevant matters" is deemed to be replaced with "these matters"; in , 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 )" 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 )" 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 ; 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 )" 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 , 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 , 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 , 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 , 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 , the phrase "; ; and " is deemed to be replaced with " (limited to the part related to , and , and excluding ); ; and "; and any other necessary technical replacement of terms is specified by Cabinet Order.

金融商品取引法第三章第一節第五款((特定投資家が特定投資家以外の顧客とみなされる場合)並びに及び(特定投資家以外の顧客である法人が特定投資家とみなされる場合)を除く。)(特定投資家)、同章第二節第一款((第一種金融商品取引業又は投資運用業を行う者の業務の範囲、第二種金融商品取引業又は投資助言・代理業のみを行う者の兼業の範囲、業務管理体制の整備、顧客の利益の保護のための体制整備、標識の掲示等、名義貸しの禁止、社債の管理の禁止等)、(広告等の規制)、(取引態様の事前明示義務)、及び並びに(契約締結前の情報の提供等)、(保証金の受領に係る書面の交付)、(指定紛争解決機関との契約締結義務等)、、、及び並びに(禁止行為)、ただし書、、及び(損失補塡等の禁止)並びに(最良執行方針等、分別管理が確保されていない場合の売買等の禁止、金銭の流用が行われている場合の募集等の禁止、出資対象事業の状況に係る情報の提供が確保されていない場合の売買等の禁止、出資対象事業の状況に係る情報が提供されていない場合の募集等の禁止、特定投資家向け有価証券の売買等の制限、特定投資家向け有価証券に関する告知義務、のみ行為の禁止、店頭デリバティブ取引に関する電子情報処理組織の使用義務等)を除く。)(通則)及び(及びを除く。)(雑則)の規定は、銀行が行う特定預金等契約(特定預金等(金利、通貨の価格、に規定する金融商品市場における相場その他の指標に係る変動によりその元本について損失が生ずるおそれがある預金又は定期積金等として内閣府令で定めるものをいう。)の受入れを内容とする契約をいう。以下同じ。)の締結について準用する。この場合において、これらの規定中「金融商品取引契約」とあるのは「特定預金等契約」と、「金融商品取引業」とあるのは「特定預金等契約の締結の業務」と、これらの規定(の規定を除く。)中「金融商品取引行為」とあるのは「特定預金等契約の締結」と、中「顧客を相手方とし、又は顧客のために金融商品取引行為(各号に掲げる行為をいう。以下同じ。)を行うことを内容とする契約」とあるのは「銀行法第十三条の四に規定する特定預金等契約」と、中「掲げる事項」とあるのは「掲げる事項及び預金者等(銀行法第二条第五項に規定する預金者等をいう。以下において同じ。)の保護に資するための当該特定預金等契約の内容その他預金者等に参考となるべき事項(において「参考事項等」という。)」と、中「除く。)」とあるのは「除く。)及び参考事項等」と、ただし書中「当該事項」とあるのは「これらの事項」と、中「有価証券の売買その他の取引(買戻価格があらかじめ定められている買戻条件付売買その他の政令で定める取引を除く。)又はデリバティブ取引(以下において「有価証券売買取引等」という。)」とあるのは「特定預金等契約の締結」と、「有価証券又はデリバティブ取引(以下において「有価証券等」という。)」とあるのは「特定預金等契約」と、「顧客(信託会社等(信託会社又はの認可を受けた金融機関をいう。以下同じ。)が、信託契約に基づいて信託をする者の計算において、有価証券の売買又はデリバティブ取引を行う場合にあつては、当該信託をする者を含む。以下において同じ。)」とあるのは「顧客」と、「補足するため」とあるのは「補足するため、当該特定預金等契約によらないで」と、中「有価証券売買取引等」とあるのは「特定預金等契約の締結」と、「有価証券等」とあるのは「特定預金等契約」と、「追加するため」とあるのは「追加するため、当該特定預金等契約によらないで」と、中「有価証券売買取引等」とあるのは「特定預金等契約の締結」と、「有価証券等」とあるのは「特定預金等契約」と、「追加するため、」とあるのは「追加するため、当該特定預金等契約によらないで」と、中「有価証券売買取引等」とあるのは「特定預金等契約の締結」と、中「原因となるものとして内閣府令で定めるもの」とあるのは「原因となるもの」と、中「、及び」とあるのは「(、及びに係る部分に限り、を除く。)、及び」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。

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