A person seeking the license referred to in the preceding Article must designate a domestic representative and submit a written license application to the Prime Minister, in which it states the following particulars:
前条の免許を受けようとする者は、国内における代表者を定め、次に掲げる事項を記載した免許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 or name;
商号又は名称
the amount of stated capital or the total amount of contributions;
資本金の額又は出資の総額
the location of its head office or principal office;
本店又は主たる事務所の所在の場所
the location of its office in Japan, if any;
国内に事務所があるときは、その所在の場所
the name and domestic address of its domestic representative; and
国内における代表者の氏名及び国内の住所
if the person conducts business other than financial instruments obligation assumption services, etc. and business incidental to this, the outline of that business.
金融商品債務引受業等及びこれに附帯する業務以外の業務を行うときは、その業務の内容
The following documents must accompany the written license application referred to in the preceding paragraph:
前項の免許申請書には、次に掲げる書類を添付しなければならない。
a document pledging that the applicant does not fall under the purview of the requirements set forth in paragraph (2), items (i) through (iv) of the following Article;
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 (including anything equivalent thereto; hereinafter the same applies in this Chapter);
定款（これに準ずるものを含む。以下この章において同じ。）
the business rules;
業務方法書
the balance sheet and profit and loss statement;
貸借対照表及び損益計算書
documents stating the expected income and expenditures;
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 156-20-9, 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, personnel, 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 license application in lieu of the written document.
Read this with the articles around it
(Licenses)
Notwithstanding the provisions of the preceding Section, a corporation incorporated based on foreign laws and regulations which performs services of the same type as financial instruments obligation…
外国の法令に準拠して設立された法人で外国において金融商品債務引受業と同種類の業務を行う者は、前節の規定にかかわらず、この節の定めるところにより、内閣総理大臣の免許を受けて金融商品債務引受業を行うことができる。
Open this provision(License Application)
A person seeking the license referred to in the preceding Article must designate a domestic representative and submit a written license application to the Prime Minister…
前条の免許を受けようとする者は、国内における代表者を定め、次に掲げる事項を記載した免許申請書を内閣総理大臣に提出しなければならない。
Open this provision(License Application)
The following documents must accompany the written license application referred to in the preceding paragraph:
前項の免許申請書には、次に掲げる書類を添付しなければならない。
Open this provision(License Application)
a document pledging that the applicant does not fall under the purview of the requirements set forth in paragraph (2), items (i) through (iv) of the following Article;
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
Open this provision(License Application)
the articles of incorporation (including anything equivalent thereto; hereinafter the same applies in this Chapter);
定款（これに準ずるものを含む。以下この章において同じ。）
Open this provision(License Application)
the business rules;
業務方法書
Open this provision(License Application)
the balance sheet and profit and loss statement;
貸借対照表及び損益計算書
Open this provision(License Application)
documents stating the expected income and expenditures;
収支の見込みを記載した書類
Open this provision(License Application)
a document outlining the method of securing the collateral needed to settle outstanding obligations (meaning outstanding obligations as prescribed in Article 156-20-9, paragraph (1); hereinafter the…
未決済債務等（第百五十六条の二十の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
Open this provision(Licensing Examination Criteria)
the applicant has an adequately developed structure and system for properly securing collateral to allocate for settling outstanding obligations, for managing highly reliable facilities in order to…
未決済債務等の決済に充当する担保の適切な徴求、当該決済が円滑に行われるための信頼性の高い設備の運用その他当該決済が適正かつ確実に行われるための仕組み及び体制が十分に整備されていること。
Open this provision(Licensing Examination Criteria)
the license applicant is a person for whom the period specified by Cabinet Order pass since it commenced the same kind of business as financial instruments obligation assumption services in a foreign…
免許申請者が外国の法令に準拠し、当該外国において金融商品債務引受業と同種類の業務を開始してから政令で定める期間を経過するまでの者であるとき（政令で定める場合に該当するときを除く。）。
Open this provision(Licensing Examination Criteria)
the license applicant is a person that has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of this Act or the Act on the…
免許申請者がこの法律若しくは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又はこれらに相当する外国の法令の規定に違反し、罰金の刑（これに相当する外国の法令による刑を含む。）に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなつた日から五年を経過するまでの者であるとき。
Open this provision(Licensing Examination Criteria)
the license applicant is a person that has had its license rescinded pursuant to the provisions of Article 156-20-14, paragraph (1) or (2); a person that has had their registration rescinded pursuant…
免許申請者が第百五十六条の二十の十四第一項若しくは第二項の規定により免許を取り消され、第五十二条第一項、第五十三条第三項、第五十七条の六第三項、第六十六条の二十第一項、第六十六条の四十二第一項、第六十六条の六十三第一項若しくは第六十六条の八十五第一項の規定により登録を取り消され…
Open this provision(Licensing Examination Criteria)
the license applicant has a person falling under any of the provisions of Article 82, paragraph (2), item (iii), (a) through (f) as an officer or domestic representative;
免許申請者の役員又は国内における代表者のうちに第八十二条第二項第三号イからヘまでのいずれかに該当する者があるとき。
Open this provision(Procedures at the Commencement of Special Liquidation Proceedings)
If a foreign financial instruments clearing organization establishes provisions in its business rules for the method of netting off outstanding obligations…
外国金融商品取引清算機関が業務方法書で未決済債務等（清算参加者が行つた対象取引の相手方から金融商品債務引受業として引受け、更改その他の方法により負担した当該対象取引に基づく債務、当該清算参加者から当該対象取引に基づく債務を負担した対価として当該清算参加者に対して取得した債権（当該債務と同一の内容を有するものに限る。）…
Open this provisionelectronic or magnetic recordmachine translation
「電磁的記録」
A record made in electronic, magnetic or any other form people cannot perceive directly, for use in computer processing.
Defined inArticle 13, paragraph (5)
officer
「役員」
A director, accounting advisor, company auditor or executive officer, or a person equivalent to one, in this Act other than Articles 163 to 167.
Defined inArticle 21, paragraph (1), item (i)· applies from here on, except in Articles 163 to 167
financial instruments obligation assumption services, etc.
「金融商品債務引受業等」
Financial instruments obligation assumption service (金融商品債務引受業), together with the business under Article 156-6, paragraph (1) of taking on obligations under subject transactions (対象取引) of persons other than financial instruments business operators, registered financial institutions and securities finance companies, as a clearing organization's operational rules provide.
Short name set inArticle 156-3, paragraph (1), item (vi)
outstanding obligationscorrected by this site
「未決済債務等」
In Article 156-20-3, paragraph (2), item (vi) and Article 156-20-4, paragraph (1), item (v), outstanding obligations, etc. as defined in Article 156-20-9, paragraph (1): the obligations a foreign financial instruments clearing organization has taken on from the counterparties to its clearing members' (清算参加者) subject transactions, the matching claims it acquired against those members, and collateral.
Defined inArticle 156-20-3, paragraph (2), item (vi)· applies only in this provision and in Article 156-20-4, paragraph (1), item (v)
articles of incorporation
定款
A company's own basic rules, written by its founders when it is formed: at least its purpose, its trade name, where its head office is, the value of the property contributed at incorporation and who the founders are (Companies Act, Article 27). A stock company's must be certified by a notary before it takes effect (Article 30, paragraph (1)), and can later be changed by a resolution of the shareholders meeting (Article 466). Many rules in the Act apply "unless the articles of incorporation provide otherwise", so a company's articles decide a great deal of how the Act applies to it.
Written by AI using Companies Act, Arts. 26, 27, 30, 466, 575 as a reference.
Prime Minister
内閣総理大臣
The head of the Cabinet. Designated by the Diet from among its own members, and appointed by the Emperor on that designation (Articles 67 and 6). The Prime Minister appoints and may dismiss the other Ministers of State at will, and a majority of them must be members of the Diet (Article 68). No Minister of State can be subjected to legal action while in office without the Prime Minister's consent (Article 75).
Written by AI using Constitution, Arts. 6, 67, 68, 75 and Wikipedia: Prime Minister of Japan as a reference.