A designated dispute resolution organization is to perform dispute resolution services, etc. pursuant to the provisions of this Act and the operational rules.
A designated dispute resolution organization (including a dispute resolution mediator) may receive burden charges, fees, or any other remuneration for performing dispute resolution services, etc., pursuant to the basic contract for the implementation of dispute resolution procedures or any other contract concluded with a member person or firm involved in financial instruments transactions (meaning a person or firm involved in financial instruments transactions with which a basic contract for the implementation of dispute resolution procedures has been concluded; hereinafter the same applies in this Chapter) that is a party to procedures or with its customer (including a rights holder prescribed in Article 42, paragraph (1) other than a customer; hereinafter the same applies in this Chapter) or concluded with a person other than those persons.
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(Obligation to Right Holders)
A financial instruments business operator, etc. must work faithfully on behalf of right holders (meaning persons prescribed in the following items in accordance with the category of business set…
金融商品取引業者等は、権利者（次の各号に掲げる業務の区分に応じ当該各号に定める者をいう。以下この款において同じ。）のため忠実に投資運用業を行わなければならない。
Open this provisionright holdermachine translation
「権利者」
In the subsection on investment management business that begins with Article 42, the persons for whom that business is carried on: the counterparty to a contract for managing a registered investment corporation's assets or to a discretionary investment contract (投資一任契約); holders of investment trust beneficiary certificates or other rights a Cabinet Order (政令) specifies, whose contributed money is being invested; and holders of trust beneficial interests, partnership-type rights or other rights a Cabinet Order specifies, whose contributed money is being invested mainly in securities or derivatives.
Defined inArticle 42, paragraph (1)· applies only in this subsection
designated dispute resolution organization
「指定紛争解決機関」
A person the Prime Minister has designated, on its application, under Article 156-39, paragraph (1) to carry on dispute resolution services, etc. (紛争解決等業務), having found that it meets the requirements listed there.
Defined inArticle 156-38, paragraph (1)· applies only in this chapter
dispute resolution services, etc.
「紛争解決等業務」
The work of complaint processing procedures (苦情処理手続) and dispute resolution procedures (紛争解決手続), and work incidental to it.
Defined inArticle 156-38, paragraph (11)· applies only in this chapter
basic contract for the implementation of dispute resolution proceduresmachine translation
「手続実施基本契約」
A contract on carrying out dispute resolution services, etc. (紛争解決等業務) concluded between a designated dispute resolution organization (指定紛争解決機関) and a business operator involved in financial instruments transactions (金融商品取引関係業者) — a financial instruments business operator, etc. or a securities finance company.
Defined inArticle 156-38, paragraph (13)· applies only in this chapter
financial instruments transactions
「金融商品取引関係業者」
In Article 156-38, paragraph (13), Article 156-39, Article 156-42, paragraph (2), Article 156-44 and Article 156-56, item (i), a financial instruments business operator, etc. (金融商品取引業者等) or a securities finance company (証券金融会社), with which a designated dispute resolution organization (指定紛争解決機関) concludes a basic contract for implementing dispute resolution procedures (手続実施基本契約).
Defined inArticle 156-38, paragraph (13)· applies only in this provision and in Articles 156-39 and 156-44; Article 156-42, paragraph (2); and Article 156-56, paragraph (1), item (i)
operational rules
「業務規程」
The rules a designated dispute resolution organization (指定紛争解決機関) sets for carrying out its dispute resolution services, etc. (紛争解決等業務).
Short name set inArticle 156-39, paragraph (1), item (vii)
dispute resolution mediators
「紛争解決委員」
A dispute resolution mediator that a designated dispute resolution organization (指定紛争解決機関) appoints under Article 156-50, paragraph (2) when it receives a request for dispute resolution procedures (紛争解決手続).
Defined inArticle 156-41, paragraph (1)· applies only in this provision and in Article 156-41, paragraph (2); Article 156-42, paragraph (2); and Article 156-44, paragraphs (2) and (4)
member person or firm involved in financial instruments transactionsmachine translation
「加入金融商品取引関係業者」
In Chapter 5-5, a person or firm involved in financial instruments transactions (金融商品取引関係業者) that has concluded a basic contract for the implementation of dispute resolution procedures (手続実施基本契約) with a designated dispute resolution organization (指定紛争解決機関).
Defined inArticle 156-42, paragraph (2)· applies only in this chapter