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Article 172-4Administrative Monetary Penalty Payment Order Issued to an Issuer That Submits an Annual Securities Report Containing a False Statement

第百七十二条の四（虚偽記載のある有価証券報告書等を提出した発行者等に対する課徴金納付命令）

If an issuer submits an annual securities report, etc. (meaning an annual securities report as prescribed in Article 24, paragraph (1) or (3) (including as applied mutatis mutandis pursuant to Article 24, paragraph (5) and also including as applied mutatis mutandis pursuant to Article 27) and Article 24, paragraph (6) (including as applied mutatis mutandis pursuant to Article 27) and accompanying documents, or an amended report as prescribed in Article 7,paragraph (1), Article 9, paragraph (1), or Article 10, paragraph (1) as applied mutatis mutandis pursuant to Article 24-2, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27); hereinafter the same applies in this Chapter) that contains a false statement about a material particular or that omits a statement as to a material particular that is required to be stated, the Prime Minister, in accordance with the proceedings prescribed in the following Section, must order the issuer to pay an administrative monetary penalty to the national treasury in an amount that is equivalent to the amount specified in item (i) (or, if the amount set forth in item (ii) exceeds the amount set forth in item (i), the amount set forth in item (ii)); provided, however, that if the issuer's business year is other than one year in length, the Prime Minister must order the issuer to pay an administrative monetary penalty to the national treasury in an amount that is equivalent to the amount arrived at when the number of months in its business year is divided by 12 and the quotient is multiplied by that amount:

発行者が、重要な事項につき虚偽の記載があり、又は記載すべき重要な事項の記載が欠けている有価証券報告書等（第二十四条第一項若しくは第三項（これらの規定を同条第五項において準用し、及びこれらの規定を第二十七条において準用する場合を含む。）及び第二十四条第六項（第二十七条において準用する場合を含む。）の規定による有価証券報告書及びその添付書類又は第二十四条の二第一項（第二十七条において準用する場合を含む。）において準用する第七条第一項、第九条第一項若しくは第十条第一項の規定による訂正報告書をいう。以下この章において同じ。）を提出したときは、内閣総理大臣は、次節に定める手続に従い、当該発行者に対し、第一号に掲げる額（第二号に掲げる額が第一号に掲げる額を超えるときは、第二号に掲げる額）に相当する額の課徴金を国庫に納付することを命じなければならない。ただし、発行者の事業年度が一年である場合以外の場合においては、当該額に当該事業年度の月数を十二で除して得た数を乗じて得た額に相当する額の課徴金を国庫に納付することを命じなければならない。

six million yen; or

六百万円

the amount arrived at when the amount specified in (a) is multiplied by the number specified in (b):

イに掲げる額にロに掲げる数を乗じて得た額

the total market value of index securities for calculation (meaning share certificates, preferred equity investment certificates under the Act on Preferred Equity Investment, and other securities specified by Cabinet Order as being equivalent to them; hereinafter the same applies in this item and Article 172-11, paragraph (1)) issued by the issuer, as calculated pursuant to the provisions of Cabinet Office Order (if the index securities for calculation have no market value or if the issuer has not issued any index securities for calculation, the amount calculated pursuant to the provisions of Cabinet Order as being equivalent to this); and

当該発行者が発行する算定基準有価証券（株券、優先出資法に規定する優先出資証券その他これらに準ずるものとして政令で定める有価証券をいう。以下この号及び第百七十二条の十一第一項において同じ。）の内閣府令で定めるところにより算出される市場価額の総額（当該算定基準有価証券の市場価額がないとき又は当該発行者が算定基準有価証券を発行していないときは、これに相当するものとして政令で定めるところにより算出した額）

six hundred thousandths.

十万分の六

If an issuer submits a semiannual securities or extraordinary report, etc. (meaning a semiannual securities report or extraordinary report under Article 24-5, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (3) of that Article) or paragraph (4) of that Article (these provisions including as applied mutatis mutandis pursuant to Article 27), or an amended report under Article 7, paragraph (1), Article 9, paragraph (1), or Article 10, paragraph (1) as applied mutatis mutandis pursuant to Article 24-5, paragraph (5) (including as applied mutatis mutandis pursuant to Article 27); hereinafter the same applies in this Chapter) which contains a false statement about a material particular or omits a statement as to a material particular that is required to be stated, the Prime Minister, in accordance with the procedures prescribed in the following Section, must order the issuer to pay an administrative monetary penalty to the national treasury in an amount that is equivalent to half of the amount set forth in item (i) of the preceding paragraph (or, if the amount set forth in item (ii) of that paragraph exceeds the amount set forth in item (i) of that paragraph, the amount set forth in item (ii) of that paragraph). In such a case, the proviso to that paragraph applies mutatis mutandis.

発行者が、重要な事項につき虚偽の記載があり、又は記載すべき重要な事項の記載が欠けている半期・臨時報告書等（第二十四条の五第一項（同条第三項において準用する場合を含む。）若しくは第四項（これらの規定を第二十七条において準用する場合を含む。）の規定による半期報告書若しくは臨時報告書又は第二十四条の五第五項（第二十七条において準用する場合を含む。）において準用する第七条第一項、第九条第一項若しくは第十条第一項の規定による訂正報告書をいう。以下この章において同じ。）を提出したときは、内閣総理大臣は、次節に定める手続に従い、当該発行者に対し、前項第一号に掲げる額（同項第二号に掲げる額が同項第一号に掲げる額を超えるときは、同項第二号に掲げる額）の二分の一に相当する額の課徴金を国庫に納付することを命じなければならない。この場合においては、同項ただし書の規定を準用する。

The provisions of the preceding paragraph apply mutatis mutandis if an issuer fails to submit an extraordinary report under Article 24-5, paragraph (4) (including as applied mutatis mutandis pursuant to Article 27) stating the particulars specified by Cabinet Office Order as having a material influence on investors' investment decisions.

前項の規定は、第二十四条の五第四項（第二十七条において準用する場合を含む。）の規定による臨時報告書のうち投資者の投資判断に重要な影響を及ぼすものとして内閣府令で定める事項を記載すべきものを提出しない発行者がある場合について準用する。

The number of months referred to in the proviso to paragraph (1) (including as applied mutatis mutandis pursuant to the second sentence of paragraph (2) (including as applied mutatis mutandis pursuant to the preceding paragraph)) is calculated in accordance with the calendar, and if a period of less than one month is subject to calculation, it is counted as one month.

第一項ただし書（第二項後段（前項において準用する場合を含む。）において準用する場合を含む。）の月数は、暦に従つて計算し、一月に満たない端数を生じたときは、これを一月とする。

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Article 172-4Administrative Monetary Penalty Payment Order Issued to an Issuer That Submits an Annual Securities Report Containing a False Statement