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Article 37-3Provision of Information, etc. Prior to Conclusion of a Contract

第三十七条の三（契約締結前の情報の提供等）

If a financial instruments business operator, etc. seeks to conclude a financial instruments transaction contract, it must provide the customer in advance, pursuant to the provisions of Cabinet Office Order, with information on the following particulars; provided, however, that this does not apply in cases specified by Cabinet Office Order as those in which its not doing so does not compromise the protection of investors:

金融商品取引業者等は、金融商品取引契約を締結しようとするときは、内閣府令で定めるところにより、あらかじめ、顧客に対し、次に掲げる事項に係る情報を提供しなければならない。ただし、投資者の保護に支障を生ずることがない場合として内閣府令で定める場合は、この限りでない。

the trade name or name and address of the financial instruments business operator, etc.;

当該金融商品取引業者等の商号、名称又は氏名及び住所

an indication that it is a financial instruments business operator, etc., and its registration number;

金融商品取引業者等である旨及び当該金融商品取引業者等の登録番号

an outline of the relevant financial instruments transaction contract;

当該金融商品取引契約の概要

the particulars specified by Cabinet Office Order with regard to any fees, remuneration, or other consideration payable by the customer in connection with the financial instruments transaction contract;

手数料、報酬その他の当該金融商品取引契約に関して顧客が支払うべき対価に関する事項であつて内閣府令で定めるもの

an indication of any risk that a loss will be incurred due to fluctuations in the money rate, the value of currencies, quotations on the financial instruments market, and other indicators, in connection with an act that constitutes a financial instruments transaction carried out by the customer;

顧客が行う金融商品取引行為について金利、通貨の価格、金融商品市場における相場その他の指標に係る変動により損失が生ずることとなるおそれがあるときは、その旨

an indication of any risk that the amount of the loss set forth in the preceding item will exceed the amount of customer margin or any other security deposit, or anything specified by Cabinet Office Order that is payable by the customer; and

前号の損失の額が顧客が預託すべき委託証拠金その他の保証金その他内閣府令で定めるものの額を上回るおそれがあるときは、その旨

the particulars of the contents of the relevant financial instruments business other than what is set forth in the preceding items, which are specified by Cabinet Office Order as material particulars that may have an impact on customers' judgment.

前各号に掲げるもののほか、金融商品取引業の内容に関する事項であつて、顧客の判断に影響を及ぼすこととなる重要なものとして内閣府令で定める事項

When a financial instruments business operator, etc. provides information pursuant to the provisions of the preceding paragraph, it must explain to the customer the particulars set forth in the items of that paragraph (excluding the particulars set forth in items (v) and (vi) of that paragraph and other particulars specified by Cabinet Office Order), by the method and to the extent necessary for the customer to understand them, in light of customer knowledge, customer experience, the state of customer assets, and the purpose for which the financial instruments transaction contract is to be concluded (hereinafter referred to as "customer attributes" in this paragraph); provided, however, that this does not apply in cases specified by Cabinet Office Order, such as the case where, in light of customer attributes, it has been confirmed by an appropriate method that the customer has understood the contents of those particulars through the provision of that information alone.

金融商品取引業者等は、前項の規定による情報の提供を行うときは、顧客に対し、同項各号に掲げる事項（同項第五号及び第六号に掲げる事項その他内閣府令で定める事項を除く。）について、顧客の知識、経験、財産の状況及び当該金融商品取引契約を締結しようとする目的（以下この項において「顧客属性」という。）に照らして、当該顧客に理解されるために必要な方法及び程度により、説明をしなければならない。ただし、顧客属性に照らして、当該情報の提供のみで当該顧客が当該事項の内容を理解したことを適切な方法により確認した場合その他の内閣府令で定める場合は、この限りでない。

Before soliciting (limited to a public offering or secondary distribution, or dealings in a public offering or secondary distribution specified by Cabinet Order) the conclusion of a financial instruments transaction contract for any of the rights set forth in the items of Article 2, paragraph (2) that are deemed to be securities under that paragraph, a financial instruments business operator, etc. must notify the Prime Minister, pursuant to the provisions of Cabinet Office Order, of the contents of the information provided pursuant to the provisions of paragraph (1) regarding the relevant financial instruments transaction contract; provided, however, that this does not apply in cases specified by Cabinet Office Order as those in which its not doing so does not compromise the protection of investors.

金融商品取引業者等は、第二条第二項の規定により有価証券とみなされる同項各号に掲げる権利に係る金融商品取引契約の締結の勧誘（募集若しくは売出し又は募集若しくは売出しの取扱いであつて、政令で定めるものに限る。）を行う場合には、内閣府令で定めるところにより、あらかじめ、当該金融商品取引契約に係る第一項の規定により提供する情報の内容を内閣総理大臣に届け出なければならない。ただし、投資者の保護に支障を生ずることがない場合として内閣府令で定める場合は、この限りでない。

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Article 37-3Provision of Information, etc. Prior to Conclusion of a Contract