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Financial Instruments and Exchange Act

金融商品取引法(きんゆうしょうひんとりひきほう)

Chapter IX Investigations in Criminal Cases (Articles 211-4 to 220)

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.

Article 211-4第二百十一条の四

Dispositions in Lieu of the Seizure of a Recording Medium Containing Electronic or Magnetic Records(電磁的記録に係る記録媒体の差押えに代わる処分)
Article 211-4, paragraph (1)

If the object to be seized is a recording medium containing electronic or magnetic records, a Commission official may make any of the following dispositions in lieu of the seizure of the recording medium:

差し押さえるべき物件が電磁的記録に係る記録媒体であるときは、委員会職員は、その差押えに代えて次に掲げる処分をすることができる。

Article 211-4, paragraph (1), item (i)

copying, printing out, or transferring the electronic or magnetic records contained in the recording medium to be seized onto another recording medium, and then seizing that other recording medium; or

差し押さえるべき記録媒体に記録された電磁的記録を他の記録媒体に複写し、印刷し、又は移転した上、当該他の記録媒体を差し押さえること。

Article 211-4, paragraph (1), item (ii)

having the person subject to the seizure copy, print out, or transfer the electronic or magnetic records contained in the recording medium to be seized onto another recording medium, and then seizing that other recording medium.

差押えを受ける者に差し押さえるべき記録媒体に記録された電磁的記録を他の記録媒体に複写させ、印刷させ、又は移転させた上、当該他の記録媒体を差し押さえること。

Article 212第二百十二条

Restriction on the Execution of Inspection, Search, or Seizure at Night, etc.(臨検、捜索又は差押えの夜間執行の制限等)
Article 212, paragraph (1)

It is prohibited for an inspection, a search, or a seizure to be made during the period between sunset and sunrise unless the warrant states or records that this may be executed at night.

臨検、捜索又は差押えは、許可状に夜間でも執行することができる旨の記載又は記録がなければ、日没から日出までの間には、してはならない。

Article 212, paragraph (2)

An inspection, a search, or a seizure that was initiated before sunset may be continued after sunset, if this is found to be necessary.

日没前に開始した臨検、捜索又は差押えは、必要があると認めるときは、日没後まで継続することができる。

Article 212, paragraph (3)

Notwithstanding the provisions of paragraph (2) of the following Article, during the period between sunset and sunrise, a person may not enter a person's residence, or a mansion, building, or vessel that a person watches over, in order to take the measures under paragraph (1) of that Article in the case of issuing an order to provide electronic or magnetic records, unless the warrant (limited to one in which the places to be entered under paragraph (3) of that Article are stated or recorded) states or records that the presentation of the warrant may be made even at night.

次条第二項の規定にかかわらず、日没から日出までの間には、許可状(同条第三項の規定により立ち入るべき場所が記載され、又は記録されたものに限る。)に夜間でも許可状の提示をすることができる旨の記載又は記録がなければ、電磁的記録提供命令をする場合における同条第一項の規定による措置をとるため、人の住居又は人の看守する邸宅、建造物若しくは船舶内に入ることはできない。

Article 213第二百十三条

Presentation of a Warrant, etc.(許可状の提示等)
Article 213, paragraph (1)

With regard to the warrant for an inspection, a search, a seizure, or an order to provide electronic or magnetic records, the measures specified in each of the following items must be taken toward the person subject to those dispositions, in accordance with the category of cases set forth in that item.

臨検、捜索、差押え又は電磁的記録提供命令の許可状については、これらの処分を受ける者に対し、次の各号に掲げる場合の区分に応じ、当該各号に定める措置をとらなければならない。

Article 213, paragraph (1), item (i)

If the warrant is in writing: the warrant is shown;

許可状が書面である場合 許可状を示すこと。

Article 213, paragraph (1), item (ii)

If the warrant is an electronic or magnetic record: the particulars recorded in the warrant and the name of the judge of the district court or summary court relating to the measure under Article 211, paragraph (10) (limited to the part pertaining to item (ii)) are shown, in accordance with Cabinet Office Order, by displaying them on the screen of a computer, on paper, or on another thing, or by having the person subject to the disposition display them on the screen of a computer used by that person, on paper, or on another thing.

許可状が電磁的記録である場合 内閣府令で定めるところにより、許可状に記録された事項及び第二百十一条第十項(第二号に係る部分に限る。)の規定による措置に係る地方裁判所又は簡易裁判所の裁判官の氏名を、電子計算機の映像面、書面その他のものに表示して示すこと又は処分を受ける者をしてその使用に係る電子計算機の映像面、書面その他のものに表示させて示すこと。

Article 213, paragraph (2)

If a Commission official issues an order to provide electronic or magnetic records and it is necessary for taking the measures under the preceding paragraph, the official may, with the permission of the judge of the district court or summary court, enter a person's residence, or a mansion, building, or vessel that a person watches over.

委員会職員は、電磁的記録提供命令をする場合において、前項の規定による措置をとるため必要があるときは、地方裁判所又は簡易裁判所の裁判官の許可を受けて、人の住居又は人の看守する邸宅、建造物若しくは船舶内に入ることができる。

Article 213, paragraph (3)

When granting the permission under the preceding paragraph, the judge of the district court or summary court must state or record the place to be entered in the warrant.

地方裁判所又は簡易裁判所の裁判官は、前項の許可をするときは、許可状に立ち入るべき場所を記載し、又は記録しなければならない。

Article 213, paragraph (4)

With regard to taking the measures under paragraph (1) in the case where a Commission official issues an order to provide electronic or magnetic records (limited to the case where the permission under paragraph (2) has been obtained), the official may make the following dispositions and other necessary dispositions.

委員会職員が電磁的記録提供命令をする場合(第二項の許可を受けた場合に限る。)における第一項の規定による措置をとるについては、次に掲げる処分その他必要な処分をすることができる。

Article 213, paragraph (4), item (i)

Releasing a lock;

錠を外すこと。

Article 213, paragraph (4), item (ii)

Prohibiting any person from entering or exiting the place where those measures are taken without the permission of a Commission official;

何人に対しても、委員会職員の許可を受けないで当該措置をとる場所に出入りすることを禁止すること。

Article 213, paragraph (4), item (iii)

Having a person who does not comply with a disposition under this paragraph (limited to the part pertaining to the preceding item) leave, or placing a guard over that person until those measures have been completed.

この項(前号に係る部分に限る。)の規定による処分に従わない者について、これを退去させ、又は当該措置をとり終わるまでこれに看守者を付すること。

Article 214第二百十四条

Proof of Identity(身分の証明)
Article 214, paragraph (1)

When carrying out questioning, examination, retention, inspection, search, seizure, or an order to provide electronic or magnetic records pursuant to the provisions of this Chapter, a Commission official must carry an identification card and present it if requested by a person concerned.

委員会職員は、この章の規定により質問、検査、領置、臨検、捜索、差押え又は電磁的記録提供命令をするときは、その身分を示す証票を携帯し、関係者の請求があつたときは、これを提示しなければならない。

Article 215第二百十五条

Necessary Dispositions at the Time of Inspection, Search, or Seizure(臨検、捜索又は差押え等に際しての必要な処分)
Article 215, paragraph (1)

If it is necessary to do so in order to carry out an inspection, a search, or a seizure, a Commission official may release a lock, open a seal, or make other necessary dispositions.

委員会職員は、臨検、捜索又は差押えをするため必要があるときは、錠を外し、封を開き、その他必要な処分をすることができる。

Article 215, paragraph (2)

The dispositions referred to in the preceding paragraph may also be made with respect to retained objects, seized objects, or a recording medium submitted pursuant to an order to provide electronic or magnetic records (limited to one ordering provision by the method set forth in Article 211, paragraph (1), item (i), (a)).

前項の処分は、領置物件、差押物件又は電磁的記録提供命令(第二百十一条第一項第一号イに掲げる方法による提供を命ずるものに限る。)により提出させた記録媒体についても、することができる。

Article 215, paragraph (3)

If a Commission official has had electronic or magnetic records provided pursuant to an order to provide electronic or magnetic records (limited to one ordering provision by the method set forth in Article 211, paragraph (1), item (i), (b)), the official may take measures to confirm the content of those electronic or magnetic records and make other necessary dispositions.

委員会職員は、電磁的記録提供命令(第二百十一条第一項第一号ロに掲げる方法による提供を命ずるものに限る。)により電磁的記録を提供させた場合には、当該電磁的記録の内容を確認するための措置をとることその他必要な処分をすることができる。

Article 215-2第二百十五条の二

Request for Cooperation from the Person Subject to the Disposition(処分を受ける者に対する協力要請)
Article 215-2, paragraph (1)

If the object to be inspected or the object to be seized is a recording medium containing electronic or magnetic records, a Commission official may ask the person subject to the inspection, search, or seizure to operate the computer or provide other necessary cooperation.

臨検すべき物件又は差し押さえるべき物件が電磁的記録に係る記録媒体であるときは、委員会職員は、臨検又は捜索若しくは差押えを受ける者に対し、電子計算機の操作その他の必要な協力を求めることができる。

Article 216第二百十六条

Prohibiting Entrance and Exit During Dispositions(処分中の出入りの禁止)
Article 216, paragraph (1)

While carrying out questioning, examination, retention, inspection, search, or seizure pursuant to the provisions of this Chapter, a Commission official may prohibit any person from entering or exiting the place without permission.

委員会職員は、この章の規定により質問、検査、領置、臨検、捜索又は差押えをする間は、何人に対しても、許可を受けないでその場所に出入りすることを禁止することができる。

Article 217第二百十七条

Attendance of the Person in Charge(責任者等の立会い)
Article 217, paragraph (1)

When carrying out an inspection, a search, or a seizure at a person's residence, or at a mansion, building, or other place that a person watches over, a Commission official must have the owner or manager (or a representative, agent, or other person that may act on the owner's or manager's behalf) or the employee or co-habiting adult relative of the owner or manager, present at the site.

委員会職員は、人の住居又は人の看守する邸宅若しくは建造物その他の場所で臨検、捜索又は差押えをするときは、その所有者若しくは管理者(これらの者の代表者、代理人その他これらの者に代わるべき者を含む。)又はこれらの者の使用人若しくは同居の親族で成年に達した者を立ち会わせなければならない。

Article 217, paragraph (2)

In the case referred to in the preceding paragraph, if it is not possible to have any of the persons prescribed in that paragraph present at the site, a Commission official must have an adult neighbor of the person, or another police officer or official of the local government, present at the site.

前項の場合において、同項に規定する者を立ち会わせることができないときは、その隣人で成年に達した者又はその地の警察官若しくは地方公共団体の職員を立ち会わせなければならない。

Article 217, paragraph (3)

When searching a female, a Commission official must have an adult female present; provided, however, that this does not apply in cases of urgency.

女子の身体について捜索するときは、成年の女子を立ち会わせなければならない。ただし、急速を要する場合はこの限りでない。

Article 218第二百十八条

Assistance of Police Officers(警察官の援助)
Article 218, paragraph (1)

A Commission official may request the assistance of police officers if this is necessary at the time the Commission official carries out an inspection, a search, a seizure, or an order to provide electronic or magnetic records.

委員会職員は、臨検、捜索、差押え又は電磁的記録提供命令をするに際し必要があるときは、警察官の援助を求めることができる。

Article 219第二百十九条

Preparation of a Record(調書の作成)
Article 219, paragraph (1)

Upon carrying out questioning pursuant to the provisions of this Chapter, a Commission official must prepare a record of the questioning (including one prepared as an electronic or magnetic record; the same applies hereinafter in this Article), have the person the official questioned inspect what is specified in each of the following items in accordance with the category of cases set forth in that item, or read it aloud to the person, ask the person whether it contains any errors, and if the person makes a proposal for an addition to, deletion from, or alteration of the record, state or record the person's statement in the record.

委員会職員は、この章の規定により質問をしたときは、その調書(電磁的記録をもつて作成するものを含む。以下この条において同じ。)を作成し、次の各号に掲げる場合の区分に応じ、当該各号に定めるものを質問を受けた者に閲覧させ、又は読み聞かせて、誤りがないかどうかを問い、質問を受けた者が増減変更の申立てをしたときは、その陳述を調書に記載し、又は記録しなければならない。

Article 219, paragraph (1), item (i)

If the record is prepared in writing: the record;

調書を書面をもつて作成する場合 調書

Article 219, paragraph (1), item (ii)

If the record is prepared as an electronic or magnetic record: a display of the content of the record.

調書を電磁的記録をもつて作成する場合 調書の内容を表示したもの

Article 219, paragraph (2)

With regard to the record referred to in the preceding paragraph, a Commission official must take, together with the person questioned, the measure specified in each of the following items in accordance with the category of cases set forth in that item; provided, however, that if the person questioned does not take that measure or cannot take it, it is sufficient to append a note of this.

前項の調書には、委員会職員は、次の各号に掲げる場合の区分に応じ、質問を受けた者とともに当該各号に定める措置をとらなければならない。ただし、質問を受けた者が当該措置をとらず、又は当該措置をとることができないときは、その旨を付記すれば足りる。

Article 219, paragraph (2), item (i)

If the record is prepared in writing: signing and sealing the record;

調書を書面をもつて作成する場合 調書に署名押印すること。

Article 219, paragraph (2), item (ii)

If the record is prepared as an electronic or magnetic record: taking a measure specified by Cabinet Office Order in place of signing and sealing the record.

調書を電磁的記録をもつて作成する場合 調書に内閣府令で定める署名押印に代わる措置をとること。

Article 219, paragraph (3)

Upon carrying out an examination, retention, or order to provide electronic or magnetic records pursuant to the provisions of this Chapter, a Commission official must prepare a record of this, and take the measure specified in each of the following items in accordance with the category of cases set forth in that item.

委員会職員は、この章の規定により検査、領置又は電磁的記録提供命令をしたときは、その調書を作成し、次の各号に掲げる場合の区分に応じ、当該各号に定める措置をとらなければならない。

Article 219, paragraph (3), item (i)

If the record is prepared in writing: signing and sealing the record;

調書を書面をもつて作成する場合 調書に署名押印すること。

Article 219, paragraph (3), item (ii)

If the record is prepared as an electronic or magnetic record: taking a measure specified by Cabinet Office Order in place of signing and sealing the record.

調書を電磁的記録をもつて作成する場合 調書に内閣府令で定める署名押印に代わる措置をとること。

Article 219, paragraph (4)

Upon carrying out an inspection, search, or seizure pursuant to the provisions of this Chapter, a Commission official must prepare a record of this, and show a person who was present what is specified in each of the following items in accordance with the category of cases set forth in that item.

委員会職員は、この章の規定により臨検、捜索又は差押えをしたときは、その調書を作成し、次の各号に掲げる場合の区分に応じ、当該各号に定めるものを立会人に示さなければならない。

Article 219, paragraph (4), item (i)

If the record is prepared in writing: the record;

調書を書面をもつて作成する場合 調書

Article 219, paragraph (4), item (ii)

If the record is prepared as an electronic or magnetic record: a display of the content of the record.

調書を電磁的記録をもつて作成する場合 調書の内容を表示したもの

Article 219, paragraph (5)

With regard to the record referred to in the preceding paragraph, a Commission official must take, together with the person who was present, the measure specified in each of the following items in accordance with the category of cases set forth in that item; provided, however, that if the person who was present does not take that measure or cannot take it, it is sufficient to append a note of this.

前項の調書には、委員会職員は、次の各号に掲げる場合の区分に応じ、立会人とともに当該各号に定める措置をとらなければならない。ただし、立会人が当該措置をとらず、又は当該措置をとることができないときは、その旨を付記すれば足りる。

Article 219, paragraph (5), item (i)

If the record is prepared in writing: signing and sealing the record;

調書を書面をもつて作成する場合 調書に署名押印すること。

Article 219, paragraph (5), item (ii)

If the record is prepared as an electronic or magnetic record: taking a measure specified by Cabinet Office Order in place of signing and sealing the record.

調書を電磁的記録をもつて作成する場合 調書に内閣府令で定める署名押印に代わる措置をとること。

Article 220第二百二十条

Preparation of a Retention Inventory(領置目録等の作成等)
Article 220, paragraph (1)

Upon carrying out a retention or seizure, or upon having a recording medium submitted pursuant to an order to provide electronic or magnetic records (limited to one ordering provision by the method set forth in Article 211, paragraph (1), item (i), (a)), a Commission official must prepare an inventory in writing or as an electronic or magnetic record and provide it to the owner, possessor, or keeper of the retained object or seized object (including a person rendered a disposition under the provisions of Article 211-4), or the person who received that order to provide electronic or magnetic records, or to any other person that may act on their behalf.

委員会職員は、領置若しくは差押えをしたとき又は電磁的記録提供命令(第二百十一条第一項第一号イに掲げる方法による提供を命ずるものに限る。)により記録媒体を提出させたときは、書面又は電磁的記録をもつてその目録を作成し、領置物件若しくは差押物件の所有者、所持者若しくは保管者(第二百十一条の四の規定による処分を受けた者を含む。)若しくは当該電磁的記録提供命令を受けた者又はこれらの者に代わるべき者に提供しなければならない。

Article 220, paragraph (2)

In the case where electronic or magnetic records have been provided pursuant to an order to provide electronic or magnetic records (limited to one ordering provision by the method set forth in Article 211, paragraph (1), item (i), (b)), an inventory must be prepared in writing or as an electronic or magnetic record and provided to the person who received that order to provide electronic or magnetic records or to any other person that may act on that person's behalf.

電磁的記録提供命令(第二百十一条第一項第一号ロに掲げる方法による提供を命ずるものに限る。)により電磁的記録を提供させた場合には、書面又は電磁的記録をもつてその目録を作成し、当該電磁的記録提供命令を受けた者又はこれに代わるべき者に提供しなければならない。

Article 220, paragraph (3)

Notwithstanding the provisions of the preceding two paragraphs, an inventory prepared as an electronic or magnetic record may not be provided if the person who is to receive it objects.

前二項の規定にかかわらず、電磁的記録をもつて作成する目録の提供は、これを受ける者に異議があるときは、することができない。

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