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Article 156-20-17Application for Authorization

第百五十六条の二十の十七（認可の申請）

A financial instruments clearing organization seeking the authorization referred to in paragraph (1) of the preceding Article must submit a written application for authorization to the Prime Minister, in which it states the following particulars:

前条第一項の認可を受けようとする金融商品取引清算機関は、次に掲げる事項を記載した認可申請書を内閣総理大臣に提出しなければならない。

its trade name;

商号

the trade name or name of the collaborating clearing organization, etc.;

連携清算機関等の商号又は名称

if the collaborating clearing organization, etc. is neither a financial instruments clearing organization nor a foreign financial instruments clearing organization, the following matters:

連携清算機関等が金融商品取引清算機関又は外国金融商品取引清算機関以外の者であるときは、次に掲げる事項

the amount of stated capital or total amount of contributions of the collaborating clearing organization, etc.;

連携清算機関等の資本金の額又は出資の総額

the location of the head office or principal office of the collaborating clearing organization, etc.;

連携清算機関等の本店又は主たる事務所の所在の場所

if an office of the collaborating clearing organization, etc. is in Japan, its location; and

国内に連携清算機関等の事務所があるときは、その所在の場所

the titles and names of the officers of the collaborating clearing organization, etc.;

連携清算機関等の役員の役職名及び氏名

the transactions giving rise to obligations that are subject to collaborative financial instruments obligation assumption services; and

連携金融商品債務引受業務の対象とする債務の起因となる取引

the particulars of the business method for collaborative financial instruments obligation assumption services.

連携金融商品債務引受業務の方法に関する事項

The following documents must accompany the written application for authorization referred to in the preceding paragraph:

前項の認可申請書には、次に掲げる書類を添付しなければならない。

a copy of the contract for collaborative financial instruments obligation assumption services (hereinafter referred to as the "collaboration agreement");

連携金融商品債務引受業務に係る契約書（以下「連携契約書」という。）の写し

a document stating the things specified by Cabinet Office Order as constituting the business outline and business methods for collaborative financial instruments obligation assumption services;

連携金融商品債務引受業務の内容及び方法として内閣府令で定めるものを記載した書類

if the collaborating clearing organization, etc. is neither a financial instruments clearing organization nor a foreign financial instruments clearing organization, the following matters:

連携清算機関等が金融商品取引清算機関又は外国金融商品取引清算機関以外の者であるときは、次に掲げる書類

a document pledging that the collaborating clearing organization, etc. does not fall under the purview of the requirement set forth in paragraph (2), items (i) through (iv) of the following Article;

連携清算機関等が次条第二項第一号から第四号までに掲げる要件に該当しない旨を誓約する書面

the articles of incorporation and business rules of the collaborating clearing organization, etc. (including anything equivalent to these, and limited to those that are related to collaborative financial instruments obligation assumption services; hereinafter the same applies in this Section);

連携清算機関等の定款及び業務方法書（これに準ずるものを含み、連携金融商品債務引受業務に係るものに限る。以下この節において同じ。）

a document stating the things specified by Cabinet Office Order as constituting the business outline and business methods of the collaborating clearing organization, etc. (limited to business related to collaborating financial instruments obligation assumption services);

連携清算機関等の業務（連携金融商品債務引受業務に係るものに限る。）の内容及び方法として内閣府令で定めるものを記載した書類

the balance sheet and profit and loss statement of the collaborating clearing organization, etc.; and

連携清算機関等の貸借対照表及び損益計算書

documents stating the expected income and expenditures of the collaborating clearing organization, etc.;

連携清算機関等の収支の見込みを記載した書類

a document outlining the method of securing the collateral needed to settle outstanding obligations (meaning outstanding obligations as prescribed in Article 156-20-19, paragraph (1); hereinafter the same applies in paragraph (1), item (v) of the following Article) and other arrangements for settling them, and outlining the facilities, staff, and other systems for performing such settlement operations; and

未決済債務等（第百五十六条の二十の十九第一項に規定する未決済債務等をいう。次条第一項第五号において同じ。）の決済を行うために必要な担保の徴求の方法その他の当該決済の仕組み及び当該決済の業務を行うための設備、人員その他の体制の概要を記載した書類

beyond what is set forth in the preceding items, documents specified by Cabinet Office Order.

前各号に掲げるもののほか、内閣府令で定める書類

In the case referred to in the preceding paragraph, if the articles of incorporation or balance sheet has been prepared as an electronic or magnetic record or an electronic or magnetic record has been prepared for a profit and loss statement in lieu of a written document, the electronic or magnetic record (limited to those specified by Cabinet Office Order) may accompany the written application for authorization in lieu of the written document.

前項の場合において、定款若しくは貸借対照表が電磁的記録で作成されているとき、又は損益計算書について書面に代えて電磁的記録の作成がされているときは、書類に代えて電磁的記録（内閣府令で定めるものに限る。）を添付することができる。

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Article 156-20-17Application for Authorization