Financial Instruments and Exchange Act

It is not permitted to order the payment of an administrative monetary penalty if the amount of the administrative monetary penalty calculated pursuant to the provisions of Articles 172 through the preceding Article is less than ten thousand yen.

If the amount of the administrative monetary penalty calculated pursuant to the provisions of Article 172 through the preceding Article includes an amount that is less than ten thousand yen, the amount is rounded down to the nearest ten thousand yen.

A person that is issued an order under the provisions of Article 172 through the preceding Article must pay the administrative monetary penalty under those provisions.

If a person prescribed in the paragraphs of Article 172; an issuer prescribed in Article 172-2, paragraph (1), (4), or (6); an issuer prescribed in the paragraphs of Article 172-3; an issuer prescribed in Article 172-4, paragraphs (1) through (3); a person prescribed in Article 172-5; a person prescribed in the paragraphs of Article 172-6; a person prescribed in Article 172-7; a person prescribed in Article 172-8; a person prescribed in Article 172-9; an issuer prescribed in Article 172-10, paragraph (1); an issuer prescribed in Article 172-11, paragraph (1); a specified involved person prescribed in Article 172-12, paragraph (1); a violator prescribed in Article 173, paragraph (1); a violator prescribed in Article 174, paragraph (1); a violator prescribed in Article 174-2, paragraph (1); a violator prescribed in Article 174-3, paragraph (1); a person prescribed in Article 175, paragraph (1); a person prescribed in paragraph (2) of that Article; a listed company, etc. prescribed in paragraph (9) of that Article; a violator prescribed in paragraph (1) of the preceding Article; a violator prescribed in paragraph (2) of that Article; a listed company, etc. prescribed in paragraph (13) of that Article; or a tender offeror, etc. prescribed in paragraph (14) of that Article is a corporation, and if that corporation disappears in a merger, the acts performed by the corporation that has disappeared are deemed to be acts performed by the corporation that has survived the merger or by the corporation incorporated in the merger, and the provisions of Article 172 through the preceding Article and the preceding three paragraphs apply.

The Prime Minister may have relevant officials make the following dispositions in order to conduct the necessary investigation into a case concerning an administrative monetary penalty under the provisions of Article 172-12, paragraph (1), Article 173, paragraph (1); Article 174, paragraph (1); Article 174-2, paragraph (1); Article 174-3, paragraph (1); Article 175, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (9) of that Article) paragraph (2) of that Article, Article 175-2, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (13) of that Article), or paragraph (2) of the Article (including as applied mutatis mutandis pursuant to paragraph (14) of that Article):

requesting a person concerned in the case or a witness to appear and asking them questions, or obtaining their opinions or reports; and

ordering a person concerned with a case to submit books, documents, and any other articles, or retaining the submitted articles; and

entering the business office of a person concerned in the case and other necessary places to inspect the books, documents, and any other articles.

The Prime Minister may make inquiries to public offices or public or private organizations and request them to report necessary particulars with regard to the investigation under the preceding paragraph.