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Read the text in force →金融商品取引法
Chapter VIII Penal Provisions (Articles 207-2 to 207-6)
The law as Act Partially Amending the Financial Instruments and Exchange Act and the Payment Services Act (Act No. 64 of 2026) leaves it, with the words it changes marked.
The main text is read a page at a time: a chapter to a page, and a long chapter in runs of articles. The whole main text, and the supplementary provisions and appended tables this amendment changes. Those it leaves untouched are on the page for the text in force.
If the person provided for in Article 197-2, paragraph (2), item (ii), Article 198, paragraph (2), or Article 203, paragraph (1) is a corporation, those provisions apply to the director, executive officer, or other officer or manager that executes the business of the corporation who has committed that act.
第百九十七条の二第二項第二号、第百九十八条第二項又は第二百三条第一項に規定する者が法人であるときは、これらの規定は、その行為をした取締役、執行役その他業務を執行する役員又は支配人に適用する。
In the following cases, the officer (including a provisional board member, provisional auditor, provisional director, provisional accounting advisor, provisional company auditor, and provisional executive officer) of an authorized financial instruments firms association, financial instruments exchange, self-regulatory organization prescribed in Article 85, paragraph (1), or financial instruments exchange holding company is sentenced to a civil fine of not more than one million yen:
認可金融商品取引業協会、金融商品取引所、第八十五条第一項に規定する自主規制法人又は金融商品取引所持株会社の役員（仮理事及び仮監事並びに仮取締役、仮会計参与、仮監査役及び仮執行役を含む。）は、次の場合においては、百万円以下の過料に処する。
the officer violates an order under the provisions of Article 73 or Article 153 (including as applied mutatis mutandis pursuant to Article 153-4);
第七十三条又は第百五十三条（第百五十三条の四において準用する場合を含む。）の規定による命令に違反したとき。
the officer fails to record the amount of capital reserves prescribed in Article 101-8;
第百一条の八に規定する資本準備金の額を計上しなかつたとき。
the officer fails to give a notice under the provisions of Article 101-10, paragraph (1) or (4);
第百一条の十第一項又は第四項の規定による通知をしなかつたとき。
the officer fails to complete the registration under the provisions of Article 101-20, paragraph (1);
第百一条の二十第一項の規定による登記をすることを怠つたとき。
the officer violates the provisions of Article 102-31, paragraph (1) or Article 105-16, paragraph (1) in failing to keep minutes;
第百二条の三十一第一項又は第百五条の十六第一項の規定に違反して、議事録を備え置かなかつたとき。
the officer violates the provisions of Article 105-5, paragraph (1) in failing to select a majority of the members of the self-regulatory committee from among outside directors; or
第百五条の五第一項の規定に違反して、自主規制委員の過半数を社外取締役から選定しなかつたとき。
the officer fails to make the list under the provisions of Article 105-18 available for public inspection.
第百五条の十八の規定による名簿を公衆の縦覧に供することを怠つたとき。
A person that falls under any of the following items is sentenced to a civil fine of not more than one million yen:
次の各号のいずれかに該当する者は、百万円以下の過料に処する。
a person that, in violation of the provisions of Article 26-18, assumes the position of an officer of a specified submitter prescribed in that Article or of its subsidiary company, etc.;
第二十六条の十八の規定に違反して、同条に規定する特定提出者又はその子会社等の役員に就いた者
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 to in Article 941 of the Companies Act;
第五十条の二第十項及び第六十六条の四十第六項において準用する会社法第九百四十一条の規定に違反して、同条の調査を求めなかつた者
a person that, in violation of the provisions of Article 946, paragraph (3) 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 report;
第五十条の二第十項及び第六十六条の四十第六項において準用する会社法第九百四十六条第三項の規定に違反して、報告をせず、又は虚偽の報告をした者
a person that refuses the request set forth in any of the items of Article 951, paragraph (2) or Article 955, paragraph (2) of the Companies Act as applied mutatis mutandis pursuant to Article 50-2, paragraph (10) and Article 66-40, paragraph (6), without just cause; or
正当な理由がないのに、第五十条の二第十項及び第六十六条の四十第六項において準用する会社法第九百五十一条第二項各号又は第九百五十五条第二項各号に掲げる請求を拒んだ者
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.
正当な理由がないのに、第百二条の三十一第二項又は第百五条の十六第二項若しくは第三項（同条第四項において準用する場合を含む。）に規定する閲覧又は謄写を拒んだ者
A director or executive officer of a financial instruments business operator, a domestic representative of a financial instruments business operator that is a foreign corporation, or a person equivalent to any of them, or an officer of an association (including a provisional board member), is subject to a civil fine of not more than one million yen in any of the following cases:
金融商品取引業者の取締役若しくは執行役若しくは外国法人である金融商品取引業者の国内における代表者若しくはこれらに準ずる者又は協会の役員（仮理事を含む。）は、次の各号のいずれかに該当する場合には、百万円以下の過料に処する。
the person fails to hand over affairs to a customer property administrator appointed under the provisions of Article 57-30, paragraph (2); or
第五十七条の三十第二項の規定により選任された顧客財産管理人に事務の引渡しをしないとき。
the person, in violation of Article 57-31, paragraph (3), refuses without a justifiable ground to become a customer property administrator.
第五十七条の三十一第三項の規定に違反して、正当な理由がないのに、顧客財産管理人となることを拒否したとき。
A customer property administrator is subject to a civil fine of not more than one million yen in any of the following cases:
顧客財産管理人は、次の各号のいずれかに該当する場合には、百万円以下の過料に処する。
the person fails to hand over affairs to a director, executive officer, or liquidator of a financial instruments business operator under management, a domestic representative of a financial instruments business operator under management that is a foreign corporation, or a person equivalent to any of them, even though the disposition ordering administration has been rescinded under the provisions of Article 57-29, paragraph (1); or
第五十七条の二十九第一項の規定により管理を命ずる処分が取り消されたにもかかわらず、被管理金融商品取引業者の取締役、執行役若しくは清算人若しくは外国法人である被管理金融商品取引業者の国内における代表者又はこれらに準ずる者に事務の引渡しをしないとき。
the person violates an order under the provisions of Article 57-30, paragraph (3).
第五十七条の三十第三項の規定による命令に違反したとき。
A person that, in violation of a disposition under Article 189, paragraph (1), fails to appear, fails to give a statement, or gives a false statement, or fails to make a report or submit materials, or makes a false report or submits false materials, is subject to a civil fine of not more than 500,000 yen.
第百八十九条第一項の規定による処分に違反して、出頭をせず、陳述をせず、若しくは虚偽の陳述をし、又は報告若しくは資料の提出をせず、若しくは虚偽の報告若しくは資料の提出をした者は、五十万円以下の過料に処する。