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Read the text in force →金融商品取引法
Chapter III-2 Financial Instruments Intermediary Service Providers (Articles 66-19 to 66-26)
The law as Act on the Arrangement of Related Acts to Promote the Use of Information and Communications Technology in Civil Procedures, etc. (Act No. 53 of 2023) 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 a financial instruments intermediary service provider comes to fall under any of the following items, the person specified in the relevant item must notify the Prime Minister of this within 30 days from the day in question:
金融商品仲介業者が次の各号のいずれかに該当することとなつたときは、当該各号に定める者は、その日から三十日以内に、その旨を内閣総理大臣に届け出なければならない。
the financial instruments intermediary service provider discontinues financial instruments intermediary service (including if the financial instruments intermediary service provider has the whole of its business (limited to business involved in financial instruments intermediary service; hereinafter the same applies in this item) succeeded to in a company split or transfers the whole of business):the individual or the corporation that discontinues or transfers the financial instruments intermediary services, or has the financial instruments intermediary services succeeded to;
金融商品仲介業を廃止したとき（分割により事業（金融商品仲介業に係るものに限る。以下この号において同じ。）の全部を承継させたとき、又は事業の全部を譲渡したときを含む。） その金融商品仲介業を廃止し、又は承継をさせ、若しくは譲渡をした個人又は法人
when an individual who is a financial instruments intermediary service provider dies:their heir;
金融商品仲介業者である個人が死亡したとき その相続人
when a corporation that is a financial instruments intermediary service provider disappears in a merger:the officer that has represented the corporation;
金融商品仲介業者である法人が合併により消滅したとき その法人を代表する役員であつた者
when a corporation that is a financial instruments intermediary service provider becomes subject to an order of commencement of bankruptcy proceedings:the bankruptcy trustee;
金融商品仲介業者である法人について破産手続開始の決定があつたとき その破産管財人
when a corporation that is a financial instruments intermediary service provider is dissolved for reasons other than a merger or an order of commencement of bankruptcy proceedings:the liquidator; and
金融商品仲介業者である法人が合併及び破産手続開始の決定以外の理由により解散したとき その清算人
when a financial instruments intermediary service provider has obtained the registration referred to in Article 12 of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto (limited to the registration related to the type of securities, etc. intermediary business operations) or the registration of change referred to in Article 16, paragraph (1) of that Act (limited to the registration related to the addition of the type of securities, etc. intermediary business operations):the financial instruments intermediary service provider that has obtained the registration or the registration of change.
金融サービスの提供及び利用環境の整備等に関する法律第十二条の登録（有価証券等仲介業務の種別に係るものに限る。）又は同法第十六条第一項の変更登録（有価証券等仲介業務の種別の追加に係るものに限る。）を受けたとき 当該登録又は変更登録を受けた者
If any of the following items applies, the Article 66 registration of the relevant financial instruments intermediary service provider ceases to be effective:
次の各号のいずれかに該当するときは、当該金融商品仲介業者の第六十六条の登録は、その効力を失う。
a financial instruments intermediary service provider comes to fall under any of the items of the preceding paragraph (excluding item (vi));
金融商品仲介業者が前項各号（第六号を除く。）のいずれかに該当することとなつたとき。
it no longer has any entrusting financial instruments business operator, etc.;
全ての所属金融商品取引業者等がなくなつたとき。
a financial instruments intermediary service provider (limited to one that conducts every business set forth in the items of Article 2, paragraph (11)) comes to fall under any of the following:
金融商品仲介業者（第二条第十一項各号に掲げる業務のいずれも行う者に限る。）が次のいずれかに該当することとなつたとき。
it comes to fall under item (vi) of the preceding paragraph and also becomes registered as referred to in Article 29 (but only if the financial instruments business operator that has obtained the registration engages in cryptoasset trading business) or has a change registered pursuant to the provisions of Article 31, paragraph (4) (limited to registration of a change to the effect that a person other than one engaged in cryptoasset trading business is to engage in cryptoasset trading business);
前項第六号に該当することとなり、かつ、第二十九条の登録（当該登録を受けた金融商品取引業者が暗号資産取引業を行うものに限る。）又は第三十一条第四項の規定による変更登録（暗号資産取引業を行う者以外の者が暗号資産取引業を行う旨の変更登録に限る。）を受けたとき。
it becomes registered as referred to in Article 29 (but only if the financial instruments business operator that has obtained the registration engages in type-I financial instruments business and cryptoasset trading business) or has a change registered pursuant to the provisions of Article 31, paragraph (4) (limited to registration of a change to the effect that a person other than one engaged in type-I financial instruments business and cryptoasset trading business is to engage in type-I financial instruments business and cryptoasset trading business);
第二十九条の登録（当該登録を受けた金融商品取引業者が第一種金融商品取引業及び暗号資産取引業を行うものに限る。）又は第三十一条第四項の規定による変更登録（第一種金融商品取引業及び暗号資産取引業を行う者以外の者が第一種金融商品取引業及び暗号資産取引業を行う旨の変更登録に限る。）を受けたとき。
it comes to fall under item (vi) of the preceding paragraph and also no longer has an entrusting financial instruments business operator, etc. relating to intermediary services for purchase and sale, etc. of cryptoassets;
前項第六号に該当することとなり、かつ、暗号資産売買媒介等業務に係る所属金融商品取引業者等がなくなつたとき。
it becomes registered as referred to in Article 29 (but only if the financial instruments business operator that has obtained the registration engages in type-I financial instruments business) or has a change registered pursuant to the provisions of Article 31, paragraph (4) (limited to registration of a change to the effect that a person other than one engaged in type-I financial instruments business is to engage in type-I financial instruments business), and also no longer has an entrusting financial instruments business operator, etc. relating to intermediary services for purchase and sale, etc. of cryptoassets;
第二十九条の登録（当該登録を受けた金融商品取引業者が第一種金融商品取引業を行うものに限る。）又は第三十一条第四項の規定による変更登録（第一種金融商品取引業を行う者以外の者が第一種金融商品取引業を行う旨の変更登録に限る。）を受け、かつ、暗号資産売買媒介等業務に係る所属金融商品取引業者等がなくなつたとき。
it becomes registered as referred to in Article 29 (but only if the financial instruments business operator that has obtained the registration engages in cryptoasset trading business) or has a change registered pursuant to the provisions of Article 31, paragraph (4) (limited to registration of a change to the effect that a person other than one engaged in cryptoasset trading business is to engage in cryptoasset trading business), and also no longer has an entrusting financial instruments business operator, etc. relating to securities purchase and sale intermediary business, etc.;
第二十九条の登録（当該登録を受けた金融商品取引業者が暗号資産取引業を行うものに限る。）又は第三十一条第四項の規定による変更登録（暗号資産取引業を行う者以外の者が暗号資産取引業を行う旨の変更登録に限る。）を受け、かつ、有価証券売買媒介等業務に係る所属金融商品取引業者等がなくなつたとき。
a financial instruments intermediary service provider (limited to one that conducts only securities purchase and sale intermediary business, etc.) comes to fall under item (vi) of the preceding paragraph, or becomes registered as referred to in Article 29 (but only if the financial instruments business operator that has obtained the registration engages in type-I financial instruments business) or has a change registered pursuant to the provisions of Article 31, paragraph (4) (limited to registration of a change to the effect that a person other than one engaged in type-I financial instruments business is to engage in type-I financial instruments business);
金融商品仲介業者（有価証券売買媒介等業務のみを行う者に限る。）が前項第六号に該当することとなつたとき、又は第二十九条の登録（当該登録を受けた金融商品取引業者が第一種金融商品取引業を行うものに限る。）若しくは第三十一条第四項の規定による変更登録（第一種金融商品取引業を行う者以外の者が第一種金融商品取引業を行う旨の変更登録に限る。）を受けたとき。
a financial instruments intermediary service provider (limited to one that conducts only intermediary services for purchase and sale, etc. of cryptoassets) becomes registered as referred to in Article 29 (but only if the financial instruments business operator that has obtained the registration engages in cryptoasset trading business) or has a change registered pursuant to the provisions of Article 31, paragraph (4) (limited to registration of a change to the effect that a person other than one engaged in cryptoasset trading business is to engage in cryptoasset trading business).
金融商品仲介業者（暗号資産売買媒介等業務のみを行う者に限る。）が第二十九条の登録（当該登録を受けた金融商品取引業者が暗号資産取引業を行うものに限る。）又は第三十一条第四項の規定による変更登録（暗号資産取引業を行う者以外の者が暗号資産取引業を行う旨の変更登録に限る。）を受けたとき。
If a financial instruments intermediary service provider that conducts every business set forth in the items of Article 2, paragraph (11) comes to fall under any of the cases set forth in the following items (excluding the case where it falls under all of the cases set forth in the following items), it is deemed to have received a registration of a change pursuant to the provisions of Article 66-5, paragraph (4) with the content specified in the relevant item:
第二条第十一項各号に掲げる業務のいずれも行う金融商品仲介業者が、次の各号に掲げる場合のいずれかに該当することとなつたとき（次の各号に掲げる場合のいずれにも該当する場合を除く。）は、当該各号に定める内容の第六十六条の五第四項の規定による変更登録を受けたものとみなす。
in the case where it falls under any of the following, the content to the effect that it does not conduct securities purchase and sale intermediary business, etc. as regards the particulars set forth in Article 66-2, paragraph (1), item (iv):
次のいずれかに該当するとき 第六十六条の二第一項第四号に掲げる事項について有価証券売買媒介等業務を行わない旨
it comes to fall under paragraph (1), item (vi), or becomes registered as referred to in Article 29 (but only if the financial instruments business operator that has obtained the registration engages in type-I financial instruments business) or has a change registered pursuant to the provisions of Article 31, paragraph (4) (limited to registration of a change to the effect that a person other than one engaged in type-I financial instruments business is to engage in type-I financial instruments business);
第一項第六号に該当することとなつたとき、又は第二十九条の登録（当該登録を受けた金融商品取引業者が第一種金融商品取引業を行うものに限る。）若しくは第三十一条第四項の規定による変更登録（第一種金融商品取引業を行う者以外の者が第一種金融商品取引業を行う旨の変更登録に限る。）を受けたとき。
it no longer has an entrusting financial instruments business operator, etc. relating to securities purchase and sale intermediary business, etc.;
有価証券売買媒介等業務に係る所属金融商品取引業者等がなくなつたとき。
in the case where it falls under any of the following, the content to the effect that it does not conduct intermediary services for purchase and sale, etc. of cryptoassets as regards the particulars set forth in Article 66-2, paragraph (1), item (iv):
次のいずれかに該当するとき 第六十六条の二第一項第四号に掲げる事項について暗号資産売買媒介等業務を行わない旨
it becomes registered as referred to in Article 29 (but only if the financial instruments business operator that has obtained the registration engages in cryptoasset trading business) or has a change registered pursuant to the provisions of Article 31, paragraph (4) (limited to registration of a change to the effect that a person other than one engaged in cryptoasset trading business is to engage in cryptoasset trading business);
第二十九条の登録（当該登録を受けた金融商品取引業者が暗号資産取引業を行うものに限る。）又は第三十一条第四項の規定による変更登録（暗号資産取引業を行う者以外の者が暗号資産取引業を行う旨の変更登録に限る。）を受けたとき。
it no longer has an entrusting financial instruments business operator, etc. relating to intermediary services for purchase and sale, etc. of cryptoassets.
暗号資産売買媒介等業務に係る所属金融商品取引業者等がなくなつたとき。
If the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors as concerns the operations of a financial instruments intermediary service provider, the Prime Minister may, to the extent necessary, order the financial instruments intermediary service provider to take measures that are necessary for improving its business operations, such as a change of business methods.
内閣総理大臣は、金融商品仲介業者の業務の運営に関し、公益又は投資者保護のため必要かつ適当であると認めるときは、その必要の限度において、当該金融商品仲介業者に対し、業務の方法の変更その他業務の運営の改善に必要な措置をとるべきことを命ずることができる。
If a financial instruments intermediary service provider falls under any of the following items, the Prime Minister may rescind its Article 66 registration or order the suspension of all or part of the business during a fixed period of no longer than six months:
内閣総理大臣は、金融商品仲介業者が次の各号のいずれかに該当する場合においては、当該金融商品仲介業者の第六十六条の登録を取り消し、又は六月以内の期間を定めて業務の全部若しくは一部の停止を命ずることができる。
the financial instruments intermediary service provider comes to fall under any of the categories in the items of Article 66-4 (excluding item (ii), (b) and item (vi), (c));
第六十六条の四各号（第二号ロ及び第六号ハを除く。）のいずれかに該当することとなつたとき。
the financial instruments intermediary service provider receives its Article 66 registration by wrongful means; or
不正の手段により第六十六条の登録を受けたとき。
the financial instruments intermediary service provider violates a law or regulation or a disposition made by a government agency which is based on a law or regulation, in connection with financial instruments intermediary services.
金融商品仲介業に関し法令又は法令に基づいてする行政官庁の処分に違反したとき。
If the officer of a financial instruments intermediary service provider comes to fall under any of the categories in Article 29-4, paragraph (1), item (ii), (a) through (i) (in the case of an officer of a financial instruments intermediary service provider that conducts intermediary services for purchase and sale, etc. of cryptoassets, (a) through (i) of that item or (c) 1. through 3. of item (viii) of that paragraph), or engages in an act that falls under item (iii) of the preceding paragraph, the Prime Minister may order the financial instruments intermediary service provider to dismiss that officer.
内閣総理大臣は、金融商品仲介業者の役員が、第二十九条の四第一項第二号イからリまで（暗号資産売買媒介等業務を行う金融商品仲介業者の役員にあつては、同号イからリまで又は同項第八号ハ（１）から（３）まで）のいずれかに該当することとなつたとき、又は前項第三号に該当する行為をしたときは、当該金融商品仲介業者に対して、当該役員の解任を命ずることができる。
If the Prime Minister is unable to ascertain the location of the business offices or offices of a financial instruments intermediary service provider or is unable to ascertain the whereabouts of the financial instruments intermediary service provider (if it is a corporation, the whereabouts of the officer representing the corporation), the Prime Minister, pursuant to the provisions of Cabinet Office Order, may issue public notice of that fact and rescind the registration of the financial instruments intermediary service provider if no filing is made by the financial instruments intermediary service provider even after 30 days past the day of the public notice.
内閣総理大臣は、金融商品仲介業者の営業所若しくは事務所の所在地を確知できないとき、又は金融商品仲介業者の所在（法人である場合においては、その法人を代表する役員の所在）を確知できないときは、内閣府令で定めるところにより、その事実を公告し、その公告の日から三十日を経過しても当該金融商品仲介業者から申出がないときは、当該金融商品仲介業者の登録を取り消すことができる。
The provisions of Chapter III of the Administrative Procedure Act do not apply to a disposition under the provisions of the preceding paragraph.
前項の規定による処分については、行政手続法第三章の規定は、適用しない。
If an Article 66 registration loses its validity pursuant to the provisions of Article 66-19, paragraph (2) or if the Prime Minister rescinds an Article 66 registration pursuant to the provisions of paragraph (1) or (3) of the preceding Article, the Prime Minister must delete that registration.
内閣総理大臣は、第六十六条の十九第二項の規定により第六十六条の登録がその効力を失つたとき、又は前条第一項若しくは第三項の規定により第六十六条の登録を取り消したときは、当該登録を抹消しなければならない。
When the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister may order a financial instruments intermediary service provider, a person that conducts transactions with the financial instruments intermediary service provider, or a person that the financial instruments intermediary service provider has entrusted with its business (including a person that has received entrustment from the person (including entrustment at two or more degrees of separation from the original entrustment); hereinafter the same applies in this Article), to submit reports or materials that should serve as a reference with regard to financial instruments intermediation operations of the financial instruments intermediary service provider, or may have the relevant officials inspect the state of the business, or documents and other articles, of the financial instruments intermediary service provider or a person that the financial instruments intermediary service provider has entrusted with its business (in the case of a person that the financial instruments intermediary service provider has entrusted with its business, limited to an inspection that is necessary with regard to the financial instruments intermediation operations of the financial instruments intermediary service provider).
内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、金融商品仲介業者、これと取引をする者若しくは当該金融商品仲介業者から業務の委託を受けた者（その者から委託（二以上の段階にわたる委託を含む。）を受けた者を含む。以下この条において同じ。）に対し当該金融商品仲介業者の金融商品仲介業務に関し参考となるべき報告若しくは資料の提出を命じ、又は当該職員をして当該金融商品仲介業者若しくは当該金融商品仲介業者から業務の委託を受けた者の業務の状況若しくは書類その他の物件の検査（当該金融商品仲介業者から業務の委託を受けた者にあつては、当該金融商品仲介業者の金融商品仲介業務に関し必要な検査に限る。）をさせることができる。
The provisions of Article 57, paragraphs (1) and (3) apply mutatis mutandis to the registration referred to in Article 66 and the registration of a change referred to in Article 66-5, paragraph (4), and the provisions of Article 57, paragraphs (2) and (3) and Article 65-6 apply mutatis mutandis to a financial instruments intermediary service provider. In such a case, the necessary technical replacement of terms is specified by Cabinet Order.
第五十七条第一項及び第三項の規定は第六十六条の登録及び第六十六条の五第四項の変更登録について、第五十七条第二項及び第三項並びに第六十五条の六の規定は金融商品仲介業者について、それぞれ準用する。この場合において、必要な技術的読替えは、政令で定める。
The entrusting financial instruments business operator, etc., of a financial instruments intermediary service provider is liable for damages that the financial instruments intermediary service provider it entrusts causes to a customer in connection with financial instruments intermediary services; provided, however, that this does not apply if the entrusting financial instruments business operator, etc. exercises due care in entrusting the financial instruments intermediary service provider, and endeavors to prevent the damage that the person causes to a customer in connection with the intermediation for financial instruments that the person performs.
金融商品仲介業者の所属金融商品取引業者等は、その委託を行つた金融商品仲介業者が金融商品仲介業につき顧客に加えた損害を賠償する責任を負う。ただし、当該所属金融商品取引業者等がその金融商品仲介業者への委託につき相当の注意をし、かつ、その者の行う金融商品仲介行為につき顧客に加えた損害の発生の防止に努めたときは、この限りでない。
The provisions of Articles 64 through 64-9 (excluding Article 64-7, paragraph (2)) apply mutatis mutandis to a financial instruments intermediary service provider. In such a case, the necessary technical replacement of terms is specified by Cabinet Order.
第六十四条から第六十四条の九まで（第六十四条の七第二項を除く。）の規定は、金融商品仲介業者について準用する。この場合において、必要な技術的読替えは、政令で定める。
The procedures for implementing the provisions of Article 66 through the preceding Article and other necessary particulars for the implementation are specified by Cabinet Office Order.
第六十六条から前条までの規定を実施するための手続その他必要な事項は、内閣府令で定める。