If the officer or official of a financial instruments business operator (or the domestic representative or officer stationed at a business office or office established in Japan, if the financial instruments business operator is a foreign corporation; hereinafter the same applies in this paragraph); the officer or official of an authorized financial instruments firms association, certified financial instruments business association prescribed in Article 78, paragraph (2), or financial instruments exchange (including a provisional board member, provisional inspector, provisional director, provisional executive officer, or provisional company auditor); or the domestic representative or official of a foreign financial instruments exchange (if the foreign financial instruments exchange has a domestic office, this includes any officer stationed there) accepts a bribe in connection with that person's duties (in the case of the officer or official of a financial instruments business operator, limited to duties involved in the business of a financial instruments business operator is entrusted by an investor protection fund pursuant to the provisions of Article 79-50, paragraph (1)), or requests or promises to do so, that person is subject to imprisonment for not more than five years.
金融商品取引業者の役員（当該金融商品取引業者が外国法人である場合には、国内における代表者及び国内に設ける営業所又は事務所に駐在する役員。以下この項において同じ。）若しくは職員、認可金融商品取引業協会若しくは第七十八条第二項に規定する認定金融商品取引業協会若しくは金融商品取引所の役員（仮理事及び仮監事並びに仮取締役、仮執行役及び仮監査役を含む。）若しくは職員又は外国金融商品取引所の国内における代表者（国内に事務所がある場合にあつては、当該事務所に駐在する役員を含む。）若しくは職員が、その職務（金融商品取引業者の役員又は職員にあつては、第七十九条の五十第一項の規定により投資者保護基金の委託を受けた金融商品取引業者の業務に係る職務に限る。）に関して、賄賂を収受し、又はその要求若しくは約束をしたときは、五年以下の拘禁刑に処する。
In the case referred to in the preceding paragraph, any bribe that is accepted is subject to confiscation. If all or part of a bribe cannot be confiscated, an equivalent value is to be collected.
A person that provides the bribe referred to in paragraph (1) or that offers or promises to do so is subject to imprisonment for not more than three years or by a fine of not more than three million yen.
第一項の賄賂を供与し、又はその申込み若しくは約束をした者は、三年以下の拘禁刑又は三百万円以下の罰金に処する。
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If the officer or official of a financial instruments business operator (or the domestic representative or officer stationed at a business office or office established in Japan, if the financial…
金融商品取引業者の役員（当該金融商品取引業者が外国法人である場合には、国内における代表者及び国内に設ける営業所又は事務所に駐在する役員。以下この項において同じ。）若しくは職員、認可金融商品取引業協会若しくは第七十八条第二項に規定する認定金融商品取引業協会若しくは金融商品取引所の役員（仮理事及び仮監事並びに仮取締役、仮…
Open this provision(Certification of Certified Financial Instruments Business Associations)
A general incorporated association certified pursuant to the preceding paragraph (hereinafter referred to as a "certified financial instruments business association" in this paragraph and the…
前項の規定により認定された一般社団法人（以下この項及び次条において「認定金融商品取引業協会」という。）は、次に掲げる業務を行うものとする。
Open this provision(Entrustment of Services)
A fund may entrust part of its services to a financial instruments firms association (meaning an authorized financial instruments firms association or certified financial instruments business…
基金は、あらかじめ内閣総理大臣及び財務大臣の認可を受けて、金融商品取引業協会（認可金融商品取引業協会又は第七十八条第二項に規定する認定金融商品取引業協会をいう。次項において同じ。）又は金融商品取引業者に対し、その業務の一部を委託することができる。
Open this provisionfinancial instruments business operator
「金融商品取引業者」
A person registered by the Prime Minister under Article 29 to carry on financial instruments business (金融商品取引業).
Defined inArticle 2, paragraph (9)· applies throughout the law
authorized financial instruments firms association
「認可金融商品取引業協会」
An association established under Subsection 1 of Section 1 of Chapter IV, whose purpose is to make the trading of securities and derivatives transactions, etc. fair and smooth and to contribute to the sound development of financial instruments business and to investor protection (Article 67).
Defined inArticle 2, paragraph (13)· applies throughout the law
financial instruments exchange
「金融商品取引所」
A membership corporation (金融商品会員制法人) or stock company (株式会社) licensed by the Prime Minister under Article 80, paragraph (1) to open a financial instruments market (金融商品市場).
Defined inArticle 2, paragraph (16)· applies throughout the law
foreign financial instruments exchange
「外国金融商品取引所」
An operator of a foreign financial instruments market (外国金融商品市場) authorized by the Prime Minister under Article 155, paragraph (1) to let financial instruments business operators or registered financial institutions trade on its market through input and output devices connected to its electronic data processing system.
Defined inArticle 2, paragraph (26)· applies throughout the law
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
certified financial instruments business association
「認定金融商品取引業協会」
A general incorporated association (一般社団法人) set up by financial instruments business operators that the Prime Minister has certified under Article 78, paragraph (1) to carry on the work listed in paragraph (2) of that Article for its members and the financial instruments intermediary service providers tied to them, such as guiding them to comply with the law, investigating them, resolving investors' complaints and disputes, registering sales representatives and making rules.
Short name set inArticle 78, paragraph (2)· applies only in this paragraph and in Article 78-2
value
「価額」
The price at which securities were sold, etc. or bought, etc., multiplied by the quantity, as used in working out the administrative monetary penalty (課徴金) under paragraph (1) of Articles 173, 174, 174-2 and 174-3.
Defined inArticle 174-3, paragraph (4)
company auditor
監査役
An officer of a stock company, elected by the shareholders meeting (Companies Act, Article 329, paragraph (1)), whose job is to audit how the directors carry out their duties and to write an audit report on it (Article 381, paragraph (1)). Not an outside accountant — that is the financial auditor (会計監査人) — and not a director: a company auditor may not also be a director or employee of the company or its subsidiaries (Article 335, paragraph (2)). The term normally runs to the annual shareholders meeting for the last business year ending within four years of election (Article 336, paragraph (1)).
Written by AI using Companies Act, Arts. 329, 335, 336, 381 as a reference.
confiscation
没収
A punishment that can only be added to a principal one (付加刑) (Penal Code, Article 9): a thing connected with the crime is confiscated. What may be confiscated is the thing that makes up the crime, a thing used or meant to be used for it, a thing it produced or gained or that was received as a reward for it, and what was received in exchange for such a thing (Article 19, paragraph (1)); only a thing belonging to no one but the offender, unless someone else acquired it after the crime knowing the facts (paragraph (2)). For a crime punishable only by penal detention (拘留) or a petty fine (科料), only the thing that makes up the crime may be confiscated, unless a special provision says otherwise (Article 20). Where a thing gained by the crime cannot be confiscated, its value may be collected instead (追徴) (Article 19-2).
Written by AI using Penal Code, Arts. 9, 19, 19-2, 20 as a reference.
fine
罰金
A criminal punishment of paying money to the state, of 10,000 yen or more, or less where it is reduced (Penal Code, Article 15). It ranks below imprisonment (拘禁刑) and above penal detention (拘留) and a petty fine (科料) (Articles 9 and 10, paragraph (1)). A person who cannot pay it in full is held in a workhouse (労役場) for one day to two years, or up to three years where fines are imposed together, a period set when the sentence is passed (Article 18, paragraphs (1), (3) and (4)); not within thirty days of the sentence becoming final without the person's consent (paragraph (5)). If it is not enforced for three years after the sentence becomes final, the person is released from it by prescription (Articles 31 and 32, item (v)); the three years do not run while its execution is suspended under law or the person is abroad, and an act of execution interrupts them (Articles 33 and 34, paragraph (2)).
Written by AI using Penal Code, Arts. 9, 10, 15, 18, 31 to 34 as a reference.
director
取締役
An officer of a stock company, elected by the shareholders meeting (Companies Act, Article 329, paragraph (1)). Every stock company has at least one (Article 326, paragraph (1)). Where there is no board of directors, the directors run the company's business unless the articles of incorporation say otherwise (Article 348, paragraph (1)), and each of them represents it unless the company has chosen representative directors (代表取締役) or others to do that (Article 349, paragraphs (1) and (3)). Where there is a board (取締役会, board of directors), the directors are its members, and the board decides the business and normally chooses the representative directors from among them (Article 362). The term normally runs to the annual shareholders meeting for the last business year ending within two years of election (Article 332, paragraph (1)).
Written by AI using Companies Act, Arts. 326, 329, 332, 348, 349, 362 as a reference.
imprisonment
拘禁刑
The punishment of being held in a penal institution (刑事施設), for life or for a fixed term of one month to twenty years (Penal Code, Article 12, paragraphs (1) and (2)); a fixed term can be raised to thirty years where the punishment is aggravated, or cut below one month where it is reduced (Article 14, paragraph (2)). To help the person reform and rehabilitate, they may be made to do work or given guidance (Article 12, paragraph (3)). It ranks below the death penalty and above a fine (罰金) among the principal punishments (Articles 9 and 10, paragraph (1)). It replaced imprisonment with work (懲役) and imprisonment without work (禁錮) when the Act Partially Amending the Penal Code, etc. (Act No. 67 of 2022) came into force (Act No. 67 of 2022, Article 2), and a person sentenced to either is treated, for the rules on a person's qualifications, as sentenced to imprisonment for the same term (Act No. 68 of 2022, Article 443, paragraph (1)).
Written by AI using Penal Code, Arts. 9, 10, 12, 14, Act No. 67 of 2022, Art. 2 and Act No. 68 of 2022, Art. 443 as a reference.