A financial instruments business operator, etc. must establish an operational control system for the fair and appropriate performance of its financial instruments business or services of a registered financial institution, pursuant to the provisions of Cabinet Office Order.
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financial instruments business
「金融商品取引業」
Carrying on as a business any of the acts listed in Article 2, paragraph (8) — such as trading and brokering securities and derivatives, underwriting, handling public offerings and private placements, giving investment advice, managing investments and holding customers' money or securities — other than acts a Cabinet Order (政令) excludes as posing no risk to investor protection, and certain of those acts when banks, cooperative financial institutions (協同組織金融機関) and other financial institutions a Cabinet Order specifies carry them out.
Defined inArticle 2, paragraph (8)· applies throughout the law
registered financial institution businessmachine translation
「登録金融機関業務」
The business a registered financial institution (登録金融機関) carries on under its registration under Article 33-2.
Defined inArticle 33-3, paragraph (1), item (vi), (a)
financial instruments business operator, etc.machine translation
「金融商品取引業者等」
A financial instruments business operator (金融商品取引業者) or a registered financial institution (登録金融機関).
Defined inArticle 34, paragraph (1)