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Article 201

第二百一条

If any of the following items applies, the person who has committed the violation is subject to punishment by imprisonment for not longer than one year, a fine of not more than one million yen, or both:

次の各号のいずれかに該当する場合には、当該違反行為をした者は、一年以下の拘禁刑若しくは百万円以下の罰金に処し、又はこれを併科する。

the person conducts business prescribed in Article 30, paragraph (1) without obtaining authorization under the provisions of that paragraph (excluding the case where the person conducts it pursuant to the provisions of the proviso to that paragraph);

第三十条第一項の規定による認可を受けないで同項に規定する業務を行つたとき(同項ただし書の規定により行う場合を除く。)。

the person violates the provisions of Article 31, paragraph (6);

第三十一条第六項の規定に違反したとき。

the person conducts financial instruments business or performs services prescribed in Article 35, paragraph (1) and services other than those set forth in the items of Article 35, paragraph (2), without obtaining the approval under the provisions of Article 35, paragraph (4);

第三十五条第四項の規定による承認を受けないで金融商品取引業並びに同条第一項に規定する業務及び同条第二項各号に掲げる業務以外の業務を行つたとき。

the person violates a disposition for the suspension of business under Article 52, paragraph (1) (limited to the part involving the authorization referred to in Article 30, paragraph (1)) or Article 52-2, paragraph (1);

第五十二条第一項(第三十条第一項の認可に係るものに限る。)又は第五十二条の二第一項の規定による業務の停止の処分に違反したとき。

the person violates the provisions of Article 64, paragraph (2) (including as applied mutatis mutandis pursuant to Article 66-25) in allowing a person to perform the duties of a sales representative;

第六十四条第二項(第六十六条の二十五において準用する場合を含む。)の規定に違反して、外務員の職務を行わせたとき。

the person violates the provisions of Article 67-7, Article 97, or Article 102-21;

第六十七条の七、第九十七条又は第百二条の二十一の規定に違反したとき。

the person entrusts the self-regulatory services prescribed in Article 84, paragraph (2) to a self-regulatory organization prescribed in that paragraph without obtaining the authorization from the Prime Minster, in violation of Article 85, paragraph (1);

第八十五条第一項の規定に違反して内閣総理大臣の認可を受けないで同項に規定する自主規制法人に第八十四条第二項に規定する自主規制業務の委託を行つたとき。

the person violates an order under the provisions of Article 106-7, paragraph (1) as applied mutatis mutandis pursuant to paragraph (4) of that Article, or under the provisions of Article 106-21, paragraph (1) as applied mutatis mutandis pursuant to paragraph (4) of that Article;

第百六条の七第四項において準用する同条第一項又は第百六条の二十一第四項において準用する同条第一項の規定による命令に違反したとき。

the person violates an order under the provisions of Article 106-28, paragraph (1) (including as applied mutatis mutandis pursuant to Article 109);

第百六条の二十八第一項(第百九条において準用する場合を含む。)の規定による命令に違反したとき。

the person conducts business other than that prescribed in Article 156-24, paragraph (1) and the items of Article 156-27, paragraph (1) without obtaining the approval under the provisions of Article 156-27, paragraph (3); and

第百五十六条の二十七第三項の規定による承認を受けないで第百五十六条の二十四第一項及び第百五十六条の二十七第一項各号に規定する業務以外の業務を行つたとき。

the person performs an act that is allowed only with the authorization of the Prime Minister pursuant to Article 156-28, paragraph (1), without obtaining the authorization under the provisions of that paragraph.

第百五十六条の二十八第一項の規定による認可を受けないで、同項の規定により内閣総理大臣の認可を受けてできることとされる行為をしたとき。

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