Financial Instruments and Exchange Act

Except as otherwise prescribed in this Act, a specified non-financial information audit certification provider, certified specified non-financial information audit certification business association under Article 26-29, paragraph (2), a financial instruments business operator, etc., designated parent company, notifier of specially permitted services, notifier of specially permitted services for foreign investors, etc., financial instruments intermediary service provider, credit rating agency, high-speed trader, investment management-related services contractor, authorized financial instruments firms association, certified financial instruments business association under Article 78, paragraph (2), investor protection fund, financial instruments exchange or its member, etc., a self-regulatory organization under Article 85, paragraph (1), financial instruments exchange holding company, foreign financial instruments exchange or the participant in a foreign financial instruments exchange, a financial instruments clearing organization or its clearing member, a foreign financial instruments clearing organization or its clearing member, a securities finance company, designated dispute resolution organization provided for in Article 156-38, paragraph (1), trade repository, or specified financial index administrator must prepare and preserve the books, statements, correspondence, payment slips, and other documents concerning their business, or submit reports on their business, pursuant to the provisions of Cabinet Office Order (or, with regard to an investor protection fund, pursuant to the provisions of Cabinet Office Order and Ministry of Finance Order).

A trial examiner or official that conducts an inspection pursuant to the provisions of Article 26, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27); Article 26-27, paragraph (1); Article 26-35; Article 27-22, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)) or paragraph (2) of that Article; Article 27-30, paragraph (1); Article 27-35, paragraph (1); Article 27-37, paragraph (1); Article 56-2, paragraph (1) (including as applied mutatis mutandis pursuant to Article 65-3, paragraph (3)); Article 56-2, paragraphs (2) through (4); Article 57-10, paragraph (1); Article 57-23; Article 57-26, paragraph (2); Article 60-11 (including as applied mutatis mutandis pursuant to Article 60-12, paragraph (3) (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2)) and Article 60-14, paragraph (2)); Article 63-6 (including as applied mutatis mutandis pursuant to Article 63-3, paragraph (2)); Article 63-14 (including as applied mutatis mutandis pursuant to Article 63-11, paragraph (2)); Article 66-22; Article 66-45, paragraph (1); Article 66-67; Article 66-88; Article 75; Article 79-4; Article 79-77; Article 103-4; Article 106-6, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (2) of that Article); Article 106-16; Article 106-20, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (2) of that Article); Article 106-27 (including as applied mutatis mutandis pursuant to Article 109); Article 151 (including as applied mutatis mutandis pursuant to Article 153-4); Article 155-9; Article 156-5-4; Article 156-5-8; Article 156-15; Article 156-20-12; Article 156-34; Article 156-58; Article 156-80; Article 156-89; Article 177, paragraph (1), item (iii); Article 185-5; or Article 187, paragraph (1), item (iv) must carry an identification card and present the card to the person subject to inspection.

When the Prime Minister finds it necessary and appropriate for the public interest or protection of investors, the Prime Minister may, pursuant to the provisions of Cabinet Office Order, make public the name of a person that has committed an act in violation of this Act or orders issued under this Act (hereinafter referred to as an "act in violation of a law or regulation" in this Article) and other matters necessary for preventing the occurrence or spread of damage from the act in violation of a law or regulation or for ensuring fairness in transactions.

(Terms, Forms, and Preparation Methods for Financial Statements)Publication of Name, etc. of a Person That Has Committed an Act in Violation of a Law or Regulation

A balance sheet, profit When the Prime Minister finds it necessary and loss statement, appropriate for the public interest or other documents related to financial accounting submittedprotection of investors, the Prime Minister may, pursuant to the provisions of Cabinet Office Order, make public the name of a person that has committed an act in violation of this Act must be prepared or orders issued under this Act (hereinafter referred to as an "act in conformity with the terms, forms, violation of a law or regulation" in this Article) and preparation methods that other matters necessary for preventing the Prime Minister prescribes in Cabinet Office Order occurrence or spread of damage from the act in accordance with the manner generally accepted as fair and properviolation of a law or regulation or for ensuring fairness in transactions.

The Commissioner of the Financial Services Agency may, pursuant to the provisions of Cabinet Order, delegate to the Commission, of the authority delegated pursuant to paragraph (1) (excluding that delegated to the Commission pursuant to the preceding paragraph), the authority under the provisions of Article 26 (and Article 26-3, paragraph (6) (including as these provisions are applied mutatis mutandis pursuant to Article 27); Article 27-22, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)), and paragraphs (2) and (3) of Article 27-22 (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)); Article 27-30; Article 27-35; Article 27-37; Article 56-2, paragraph (1) (including as applied mutatis mutandis pursuant to Article 65-3, paragraph (3)); Article 56-2, paragraphs (2) through (4); Article 57-10, paragraph (1); Article 57-23; Article 57-26, paragraph (2); Article 60-11 (including as applied mutatis mutandis pursuant to Article 60-12, paragraph (3) (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2)) and Article 60-14, paragraph (2)); Article 63-6 (including as applied mutatis mutandis pursuant to Article 63-3, paragraph (2)); Article 63-14 (including as applied mutatis mutandis pursuant to Article 63-11, paragraph (2)); Article 66-22; Article 66-45, paragraph (1); Article 66-67; Article 66-88; Article 75; Article 79-4; Article 79-77; Article 103-4; Article 106-6, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (2) of that Article); Article 106-16; Article 106-20, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (2) of that Article); Article 106-27 (including as applied mutatis mutandis pursuant to Article 109); Article 151 (including as applied mutatis mutandis pursuant to Article 153-4); Article 155-9; Article 156-5-4; Article 156-5-8; Article 156-15; Article 156-20-12; Article 156-34; Article 156-58; Article 156-80; Article 156-89; Article 192-2; and Article 193-2, paragraph (6)193.

when, in the case of a public offering of securities or secondary distribution of securities for which a notification under Article 4, paragraph (1) is required, a general solicitation involving securities acquired by a qualified institutional investor for which a notification under paragraph (2) of that Article is required, or a general solicitation , etc. involving securities acquired by a professional investor , etc. for which a notification under paragraph (3) of that Article is required, the person conducts that public offering, secondary distribution, general solicitation involving securities acquired by a qualified institutional investor, or general solicitation , etc. involving securities acquired by a professional investor, etc., or handles any of these, without those notifications having been accepted;

the person receives, by wrongful means, the registration referred to in Article 26-6, Article 66, Article 66-27, Article 66-50, or Article 66-71, the registration of a change referred to in Article 31, paragraph (4) or Article 66-75, paragraph (4), or the permission referred to in Article 59, paragraph (1), Article 60, paragraph (1), or Article 60-14, paragraph (1);

the person violates the provisions of Article 26-14, Article 36-3, Article 66-9, Article 66-34, or Article 66-79 in having another person perform specified non-financial information audit certification business, registered financial institution business, financial instruments intermediary service, credit rating services, or investment management-related services contracting business;

the person violates a disposition for suspending business under the provisions of Article 26-24, paragraph (1); Article 52, paragraph (1); Article 53, paragraph (2); Article 57-6, paragraph (1); Article 57-20, paragraph (2); Article 60-8, paragraph (1) (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2)); Article 63-5, paragraph (2) (including as applied mutatis mutandis pursuant to Article 63-3, paragraph (2)); Article 63-13, paragraph (2) (including as applied mutatis mutandis pursuant to Article 63-11, paragraph (2)); Article 66-20, paragraph (1); Article 66-42, paragraph (1); Article 66-63, paragraph (1); or Article 66-85, paragraph (1) (excluding a disposition for suspending business that is related to the authorization referred to in Article 30, paragraph (1));

the person violates a disposition for measure under the provisions of Article 26-36, paragraph (1) or suspension, under the provisions of paragraph (2) of that Article, suspension, change, prohibition, or measure (excluding an order to dismiss officers) under the provisions of Article 74, paragraph (1), suspension or measure under the provisions of Article 79-6, paragraph (1) or suspension under the provisions of paragraph (2) of that Article, suspension, change, prohibition, or measure under the provisions of Article 152, paragraph (1) (including as applied mutatis mutandis pursuant to Article 153-4), change, prohibition, or measure under the provisions of Article 153-2, suspension, change, or prohibition under the provisions of Article 155-10, paragraph (1), suspension under the provisions of Article 156-17, paragraph (2) or Article 156-20-14, paragraph (2), suspension, change, or prohibition under the provisions of Article 156-20-22, or suspension under the provisions of Article 156-32, paragraph (1), Article 156-83, paragraph (1), or Article 156-90, paragraph (2); or

A person that violates the provisions of Article 26-12 is subject to punishment by imprisonment for not more than two years or a fine of not more than one million yen.

A public prosecution for the crime set forth in the preceding paragraph may not be instituted without a complaint.

the person makes a false statement or record in a written application, or a document or electronic or magnetic record required to be attached to it under the provisions of Article 26-7, paragraphs (1) through (3); Article 29-2, paragraphs (1) through (3); Article 33-3; Article 59-2, paragraph (1) or (3); Article 60-2, paragraph (1) or (3) (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2)); Article 66-2; Article 66-28; Article 66-51; Article 66-72; Article 67-3; Article 81; Article 102-15; Article 106-11; Article 155-2; Article 156-3; Article 156-20-3; Article 156-20-17; Article 156-24, paragraphs (2) to (4); Article 156-40; or Article 156-68, and submits the application, document, or record;

when the person fails to prepare or preserve a document or record under the provisions of Article 26-20, Article 46-2 (including as applied mutatis mutandis pursuant to Article 60-6 (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2))), Article 47, Article 48, Article 63-4, paragraph (1) (including as applied mutatis mutandis pursuant to Article 63-3, paragraph (2)), Article 63-12, paragraph (1) (including as applied mutatis mutandis pursuant to Article 63-11, paragraph (2)), Article 66-16, Article 66-37, Article 66-58, Article 66-81, or Article 188, or prepares a false document or record;

when the person fails to submit a report, document, or written document under the provisions of Article 26-21, paragraph (1); Article 46-3, paragraph (1) (including as applied mutatis mutandis pursuant to Article 60-6 (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2); hereinafter the same applies in this item)); Article 47-2; Article 48-2, paragraph (1); Article 49-3, paragraph (1) (including as applied mutatis mutandis pursuant to Article 60-6); Article 57-3, paragraph (1); Article 57-15, paragraph (1); Article 63-4, paragraph (2) (including as applied mutatis mutandis pursuant to Article 63-3, paragraph (2)); Article 63-12, paragraph (2) (including as applied mutatis mutandis pursuant to Article 63-11, paragraph (2)); Article 66-17, paragraph (1); Article 66-38; Article 66-59; Article 66-82; Article 155-5; Article 156-35; Article 156-57, paragraph (1); or Article 156-79, paragraph (1), or submits a report, document, or written document containing a false statement;

when the person fails to make an explanatory document or written document under the provisions of Article 26-22; Article 46-4; Article 47-3; Article 57-4; Article 57-16; Article 63, paragraph (6) (including as applied mutatis mutandis pursuant to Article 63-3, paragraph (2)); Article 63-4, paragraph (3) (including as applied mutatis mutandis pursuant to Article 63-3, paragraph (2)); Article 63-9, paragraph (5) (including as applied mutatis mutandis pursuant to Article 63-11, paragraph (2)); Article 63-12, paragraph (3) (including as applied mutatis mutandis pursuant to Article 63-11, paragraph (2)); Article 66-17, paragraph (2); or Article 66-18 available for public inspection and fails to make a disclosure under these provisions, or makes an explanatory document or written document in which the person has entered a false statement available for public inspection or makes a false disclosure;

when the person fails to make a notification under the provisions of Article 26-23, paragraph (1); Article 50-2, paragraph (1) or (7); Article 57-18, paragraph (2); Article 60-7 (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2)); Article 66-40, paragraph (1) or (4); Article 66-61, paragraph (1); or Article 66-83, paragraph (1), or makes a false notification;

when the person fails to make a report or submit materials under the provisions of Article 26-27, paragraph (1); Article 56-2; Article 57-10, paragraph (1); Article 57-23; Article 57-26, paragraph (2); Article 60-11 (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2)); Article 63-6 (including as applied mutatis mutandis pursuant to Article 63-3, paragraph (2)); Article 63-14 (including as applied mutatis mutandis pursuant to Article 63-11, paragraph (2)); Article 66-22; Article 66-45, paragraph (1); Article 66-67; Article 66-88; Article 103-4; Article 106-6, paragraph (1); Article 106-16; Article 106-20, paragraph (1); Article 156-5-4; Article 156-5-8; or Article 156-89, or makes a false report or submits false materials;

when the person refuses, hinders, or evades an inspection under the provisions of Article 26-27, paragraph (1); Article 26-35; Article 56-2; Article 57-10, paragraph (1); Article 57-23; Article 57-26, paragraph (2); Article 60-11 (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2)); Article 63-6 (including as applied mutatis mutandis pursuant to Article 63-3, paragraph (2)); Article 63-14 (including as applied mutatis mutandis pursuant to Article 63-11, paragraph (2)); Article 66-22; Article 66-45, paragraph (1); Article 66-67; Article 66-88; Article 75; Article 79-4; Article 103-4; Article 106-6, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (2) of that Article); Article 106-16; Article 106-20, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (2) of that Article); Article 106-27 (including as applied mutatis mutandis pursuant to Article 109); Article 151 (including as applied mutatis mutandis pursuant to Article 153-4); Article 155-9; Article 156-5-4; Article 156-5-8; Article 156-15; Article 156-20-12; Article 156-34; Article 156-80; Article 156-89; Article 185-5; or Article 187, paragraph (1), item (iv);

If a person fails to submit a report or materials under the provisions of Article 26-35; Article 75; Article 79-4; Article 106-6, paragraph (1) as applied mutatis mutandis pursuant to paragraph (2) of that Article; Article 106-20, paragraph (1) as applied mutatis mutandis pursuant to paragraph (2) of that Article; Article 106-27 (including as applied mutatis mutandis pursuant to Article 109); Article 151 (including as applied mutatis mutandis pursuant to Article 153-4); Article 155-9; Article 156-15; Article 156-20-12; Article 156-34; Article 156-58; or Article 156-80, or submits a false report or false materials, the person who committed the act, being the representative, agent, employee, or other worker of a certified specified non-financial information audit certification business association prescribed in Article 26-29, paragraph (2), an authorized financial instruments firms association or certified financial instruments business association prescribed in Article 78, paragraph (2), financial instruments exchange, self-regulatory organization prescribed in Article 85, paragraph (1), financial instruments exchange holding company, commodity exchange, commodity exchange holding company, foreign financial instruments exchange, financial instruments clearing organization, foreign financial instruments clearing organization, securities finance company, designated dispute resolution organization prescribed in Article 156-38, paragraph (1), or trade repository (hereinafter referred to as "authorized financial instruments firms certified specified non-financial information audit certification business association, etc." in this Article), a subsidiary company of a financial instruments exchange (meaning a subsidiary company prescribed in Article 87-3, paragraph (3); the same applies hereinafter in this Article), a subsidiary company of a financial instruments exchange holding company, a subsidiary company of a commodity exchange, a subsidiary company of a commodity exchange holding company, a commodity trading participant, an issuer of securities listed on a financial instruments exchange or over-the-counter traded securities, a participant in a foreign financial instruments exchange of the foreign financial instruments exchange, a clearing member of a financial instruments clearing organization or foreign financial instruments clearing organization, or a person that has concluded a contract for trade data collection with a trade repository, or a person entrusted with business by an authorized financial instruments firmsa certified specified non-financial information audit certification business association, etc. (including a person entrusted by that person (including entrustment in two or more stages) and, if it is a corporation, its representative, agent, employee, or other worker), is subject to imprisonment for not more than one year, a fine of not more than three million yen, or both.

If the officer or official of a financial instruments business operator (or the domestic representative or officer stationed at a business office or office established in Japan, if the financial instruments business operator is a foreign corporation; hereinafter the same applies in this paragraph); the officer or official of a certified specified non-financial information audit certification business association prescribed in Article 26-29, paragraph (2); the officer or official of an authorized financial instruments firms association, certified financial instruments business association prescribed in Article 78, paragraph (2), or financial instruments exchange (including a provisional board member, provisional inspector, provisional director, provisional executive officer, or provisional company auditor); or the domestic representative or official of a foreign financial instruments exchange (if the foreign financial instruments exchange has a domestic office, this includes any officer stationed there) accepts a bribe in connection with that person's duties (in the case of the officer or official of a financial instruments business operator, limited to duties involved in the business of a financial instruments business operator that is entrusted by an investor protection fund pursuant to the provisions of Article 79-50, paragraph (1)), or requests or promises to do so, that person is subject to imprisonment for not more than five years.

A person that violates the provisions of Article 26-32, Article 72 (including as applied mutatis mutandis pursuant to Article 79 or Article 79-14); Article 77-2, paragraph (7) or (8) (including as applied mutatis mutandis pursuant to Article 77-3, paragraph (4), Article 78-7, Article 78-8, paragraph (4), or Article 79-13), Article 79-47, Article 87-8, Article 156-8, Article 156-20-7, or Article 156-70 is subject to punishment by imprisonment for not more than one year, or a fine of not more than 500 thousand yen.

when the person fails to make a report or submit materials under Article 26, paragraph (1) (or Article 26-3, paragraph (6) (including as applied mutatis mutandis pursuant to Article 27); Article 27-22, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)), Article 27-22, paragraph (2), Article 27-30, paragraph (1) or (2), Article 27-35, paragraph (1), Article 27-37, paragraph (1), or Article 193-227-37, paragraph (61), or makes a false report or submits false materials;

when the person fails to make a notification under Article 26-10, paragraph (1) or (3); Article 31, paragraph (1), (3) or (7); Article 32-3, paragraph (1) (including as applied mutatis mutandis pursuant to Article 32-4 orand Article 57-26, paragraph (1)) or Article 32-3, paragraph (2); Article 33-6, paragraph (1) or (3); Article 35, paragraph (3) or (6); Article 50, paragraph (1); Article 57-2, paragraph (4) or (6); Article 57-14; Article 57-18, paragraph (1); Article 60-5 (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2)); Article 63, paragraph (8) (including as applied mutatis mutandis pursuant to Article 63-3, paragraph (2)); Article 63-2, paragraph (2); Article 63-2, paragraph (3) (including as applied mutatis mutandis pursuant to Article 63-3, paragraph (2)) or Article 63-2, paragraph (4); Article 63-9, paragraph (7) (including as applied mutatis mutandis pursuant to Article 63-11, paragraph (2)); Article 63-10, paragraph (2), Article 63-10, paragraph (3) (including as applied mutatis mutandis pursuant to Article 63-11, paragraph (2)), or Article 63-10, paragraph (4); Article 64-4 (including as applied mutatis mutandis pursuant to Article 66-25); Article 66-5, paragraph (1) or (3); Article 66-19, paragraph (1); Article 66-31, paragraph (1) or (3); Article 66-54, paragraph (1) or (3); Article 66-60; Article 66-75, paragraph (1) or (3); Article 79-27, paragraph (4); Article 106-3, paragraph (5) (including as applied mutatis mutandis pursuant to Article 106-10, paragraph (4) orand Article 106-17, paragraph (4)); Article 156-5-5, paragraph (5); Article 156-55, paragraph (1); Article 156-56; Article 156-60, paragraph (2); Article 156-82, paragraph (2); Article 156-86, paragraph (4); or Article 156-88, or makes a false notification;

when the person violates the provisions of the second sentence of Article 26-34, paragraph (1) or the second sentence of Article 79-3, paragraph (1);

a person that, in violation of the provisions of Article 941 of the Companies Act as applied mutatis mutandis pursuant to Article 50-2, paragraph (10) and Article 66-40, paragraph (6), fails to request the investigation referred to26-18, assumes the position of an officer of a specified submitter prescribed in that Article 941or of the Companies Actits subsidiary company, etc.;

a person that, in violation of the provisions of Article 946, paragraph (3)941 of the Companies Act as applied mutatis mutandis pursuant to Article 50-2, paragraph (10) and Article 66-40, paragraph (6), fails to make a report or gives a false reportrequest the investigation referred to in Article 941 of the Companies Act;

a person that refuses the request set forth, in anyviolation of the itemsprovisions of Article 951, paragraph (2) or Article 955946, paragraph (23) of the Companies Act as applied mutatis mutandis pursuant to Article 50-2, paragraph (10) and Article 66-40, paragraph (6), without just cause; orfails to make a report or gives a false report;

a person that refuses to allow the inspection or copying prescribed in the request set forth in any of the items of Article 102-31951, paragraph (2) or Article 105-16955, paragraph (2) or (3) (including of the Companies Act as applied mutatis mutandis pursuant to Article 50-2, paragraph (4) of that10) and Article 66-40, paragraph (6), without just cause.; or

a person that refuses to allow the inspection or copying prescribed in Article 102-31, paragraph (2) or Article 105-16, paragraph (2) or (3) (including as applied mutatis mutandis pursuant to paragraph (4) of that Article), without just cause.

In any of the following cases, the representative or officer of an issuer of securities, a specified non-financial information audit certification provider, a financial instruments business operator, etc., specified major shareholder of a financial instruments business operator, designated parent company, notifier of specially permitted services, notifier of specially permitted services for foreign investors, etc., financial instruments intermediary service provider, high-speed trader, or investment management-related services contractor; a financial instruments business operator that is an individual, individual who is a specified major shareholder of a financial instruments business operator, notifier of specially permitted services that is an individual, notifier of specially permitted services for foreign investors, etc. that is an individual, financial instruments intermediary service provider that is an individual, high-speed trader that is an individual, or investment management-related services contractor that is an individual; the domestic representative of a specified non-financial information audit certification provider that is a foreign corporation, a financial instruments business operator that is a foreign corporation, person that has obtained permission under Article 59, authorized firm for on-exchange transactions, business operator authorized to conduct electronic over-the-counter derivatives transactions, etc., notifier of specially permitted services that is a foreign corporation, notifier of specially permitted services for foreign investors, etc. that is a foreign corporation, high-speed trader that is a foreign corporation, or investment management-related services contractor that is a foreign corporation; the officer of a credit rating agency (including the representative or administrator of an organization without legal personality for which a representative or administrator has been designated); the domestic representative of a credit rating agency that is a foreign corporation (including an organization without legal personality for which a representative or administrator has been designated); the officer (including a provisional board member) or the former representative of a certified specified non-financial information audit certification business association prescribed in Article 26-29, paragraph (2), an authorized financial instruments firms association or the certified financial instruments business association prescribed in Article 78, paragraph (2); the officer (including a provisional board member or provisional inspector) or liquidator of an investor protection fund; the officer (including a provisional board member, provisional director, or provisional executive officer), former representative, or liquidator of a financial instruments exchange or the self-regulatory organization prescribed in Article 85, paragraph (1); the domestic representative or former domestic representative of a foreign financial instruments exchange; the representative or officer of a financial instruments clearing organization; the domestic representative of a foreign financial instruments clearing organization; the representative or officer of a securities finance company; the officer of the designated dispute resolution organization prescribed in Article 156-38, paragraph (1) (including the representative or administrator of an organization without legal personality for which a representative or administrator has been designated); the officer of a trade repository (including the representative or administrator of an organization without legal personality for which a representative or administrator has been designated); the officer of a specified financial index administrator (including the representative or administrator of an organization without legal personality for which a representative or administrator has been designated); or a specified financial index administrator that is an individual is sentenced to a civil fine of 300,000 yen or less:

the person violates an order under the provisions of Article 26-24, paragraph (1), Article 32-2, paragraph (2), Article 51, Article 51-2, Article 53, paragraph (1), Article 57-6, paragraph (1), Article 57-19, Article 57-21, paragraph (1) or (4), Article 60-8, paragraph (1) (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2); hereinafter the same applies in this item), Article 63-5, paragraph (1) (including as applied mutatis mutandis pursuant to Article 63-3, paragraph (2)), Article 63-13, paragraph (1) (including as applied mutatis mutandis pursuant to Article 63-11, paragraph (2)), Article 66-20, paragraph (1), Article 66-41, Article 66-62, Article 66-84, Article 79-37, paragraph (5), Article 79-75, Article 156-16, Article 156-20-13, Article 156-33, paragraph (1), Article 156-81, or Article 156-90, paragraph (1) (if this is an order referred to in Article 26-24, paragraph (1), Article 57-6, paragraph (1), Article 60-8, paragraph (1), or Article 66-20, paragraph (1), excluding a disposition for the suspension of business);

the person fails to make the list under the provisions of Article 26-30, paragraph (1), Article 68, paragraph (6), Article 78-2, paragraph (2), or Article 156-53 available for public inspection;

a person that violates , in violation of the provisions of Article 79-2326-41, paragraph (2)1) (including as applied mutatis mutandis pursuant to paragraph (4) of that Article (including as applied mutatis mutandis pursuant to Article 27) and as applied mutatis mutandis pursuant to Article 27), fails to give a notice or gives a false notice;

a person that violates , in violation of the provisions of Article 16226-41, paragraph (12) (including as applied mutatis mutandis pursuant to paragraph (24) of that Article) (including as applied mutatis mutandis pursuant to Article 27) and as applied mutatis mutandis pursuant to Article 27), fails to make a proposal or makes a false proposal;

a person that violates , in violation of the Cabinet Office Order under the provisions provisions of Article 26-41, paragraph (3) (including as applied mutatis mutandis pursuant to paragraph (4) of that Article 162-2(including as applied mutatis mutandis pursuant to Article 27) and as applied mutatis mutandis pursuant to Article 27), fails to give a notice or gives a false notice;

a person that violates the provisions of Article 193-379-23, paragraph (12);

a person that, in violation of violates the provisions of Article 193-3162, paragraph (2), fails to make a proposal or makes a false proposal; or1) (including as applied mutatis mutandis pursuant to paragraph (2) of that Article);

a person that, in violation of violates the provisions of Article 193-3, paragraph (3), fails to give a notice or gives a false notice.Cabinet Office Order under the provisions of Article 162-2;

a person that violates the provisions of Article 23-13, paragraph (1), paragraph (3), paragraph (4), or paragraph (46) (including as applied mutatis mutandis pursuant to Article 27);

a person that, in violation of the provisions of Article 23-13, paragraph (2) , (5), or (57) (including as applied mutatis mutandis pursuant to Article 27), fails to deliver a written document;

a person that violates an order under the provisions of Article 26-37, paragraph (2), Article 60-4, paragraph (2) (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2)), Article 65, paragraph (2), Article 66-46, paragraph (2), or Article 66-90, paragraph (2);