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Article 37-7Obligation to Conclude a Contract with a Designated Dispute Resolution Organization

第三十七条の七（指定紛争解決機関との契約締結義務等）

A financial instruments business operator, etc. must take the measures specified in the following items in accordance with the category of cases set forth in each of those item:

金融商品取引業者等は、次の各号に掲げる場合の区分に応じ、当該各号に定める措置を講じなければならない。

if the financial instruments business operator, etc. (excluding a registered financial institution; the same applies in the following item to item (iv)) engages in type-I financial instruments business: the measures specified in the relevant of the following (a) and (b) for the category of cases set forth in (a) or (b):

当該金融商品取引業者等（登録金融機関を除く。次号から第四号までにおいて同じ。）が第一種金融商品取引業を行う者である場合　次のイ又はロに掲げる場合の区分に応じ、当該イ又はロに定める措置

if there is a designated type-I dispute resolution organization (meaning a designated dispute resolution organization (meaning a designated dispute resolution organization as defined in Article 156-38, paragraph (1); hereinafter the same applies in this Chapter and Chapter V-4) for which the category of dispute resolution services (meaning the category of dispute resolution services as defined in paragraph (12) of that Article; hereinafter the same applies in this Chapter and Chapter V-4) is specified type-I financial instruments business (meaning specified type-I financial instruments business as defined in paragraph (2) of that Article; hereinafter the same applies in this item); hereinafter the same applies in this item and paragraph (3), item (ii)):measures to conclude a basic contract for the implementation of dispute resolution procedures (meaning a basic contract for the implementation of dispute resolution procedures as defined in paragraph (13) of that Article; hereinafter the same applies in this Chapter and Chapter V-4) in connection with specified type-I financial instruments business with a single designated type-I dispute resolution organization;

指定第一種紛争解決機関（指定紛争解決機関（第百五十六条の三十八第一項に規定する指定紛争解決機関をいう。以下この章及び第五章の四において同じ。）であつてその紛争解決等業務の種別（同条第十二項に規定する紛争解決等業務の種別をいう。以下この章及び第五章の四において同じ。）が特定第一種金融商品取引業務（同条第二項に規定する特定第一種金融商品取引業務をいう。以下この号において同じ。）であるものをいう。以下この号及び第三項第二号において同じ。）が存在する場合　一の指定第一種紛争解決機関との間で特定第一種金融商品取引業務に係る手続実施基本契約（同条第十三項に規定する手続実施基本契約をいう。以下この章及び第五章の四において同じ。）を締結する措置

if there is no designated type-I dispute resolution organization:complaint processing measures (meaning measures to have the person set forth in Article 156-50, paragraph (3), item (iii) provide advice or guidance to the employee or any other worker engaged in the business of processing complaints from customers (including the right holders provided for in Article 42, paragraph (1) that are other than customers; the same applies in (b)) or any other measures specified by Cabinet Office Order as being equivalent thereto; hereinafter the same applies in this Chapter and Chapter V-4) and dispute resolution measures (meaning measures to resolve disputes with customers through certified dispute resolution procedures (meaning certified dispute resolution procedures as defined in ) or any other measures specified by Cabinet Office Order as being equivalent thereto) in connection with specified type-I financial instruments business;

指定第一種紛争解決機関が存在しない場合　特定第一種金融商品取引業務に関する苦情処理措置（顧客（顧客以外の第四十二条第一項に規定する権利者を含む。ロにおいて同じ。）からの苦情の処理の業務に従事する使用人その他の従業者に対する助言若しくは指導を第百五十六条の五十第三項第三号に掲げる者に行わせること又はこれに準ずるものとして内閣府令で定める措置をいう。以下この章及び第五章の四において同じ。）及び紛争解決措置（顧客との紛争の解決を認証紛争解決手続（に規定する認証紛争解決手続をいう。）により図ること又はこれに準ずるものとして内閣府令で定める措置をいう。以下この章及び第五章の四において同じ。）

if the financial instruments business operator, etc. engages in type-II financial instruments business: the measures specified in the relevant of the following (a) and (b) for the category of cases set forth in (a) or (b):

当該金融商品取引業者等が第二種金融商品取引業を行う者である場合　次のイ又はロに掲げる場合の区分に応じ、当該イ又はロに定める措置

if there is a designated type-II dispute resolution organization (meaning a designated dispute resolution organization for which the category of dispute resolution services is specified type-II financial instruments business (meaning specified type-II financial instruments business defined in Article 156-38, paragraph (3); hereinafter the same applies in this item); hereinafter the same applies in this item and paragraph (3), item (ii)):measures to conclude a basic contract for the implementation of dispute resolution procedures in connection with specified type-II financial instruments business with a single designated type-II dispute resolution organization;

指定第二種紛争解決機関（指定紛争解決機関であつてその紛争解決等業務の種別が特定第二種金融商品取引業務（第百五十六条の三十八第三項に規定する特定第二種金融商品取引業務をいう。以下この号において同じ。）であるものをいう。以下この号及び第三項第二号において同じ。）が存在する場合　一の指定第二種紛争解決機関との間で特定第二種金融商品取引業務に係る手続実施基本契約を締結する措置

if the financial instruments business operator, etc. engages in investment advisory and agency business: the measures specified in the relevant of the following (a) and (b) for the category of cases set forth in (a) or (b):

当該金融商品取引業者等が投資助言・代理業を行う者である場合　次のイ又はロに掲げる場合の区分に応じ、当該イ又はロに定める措置

if there is a designated investment advisory and agency business dispute resolution organization (meaning a designated dispute resolution organization for which the category of dispute resolution services is specified investment advisory and agency business (meaning specified investment advisory and agency business as defined in Article 156-38, paragraph (4); hereinafter the same applies in this item); hereinafter the same applies in this item and paragraph (3), item (ii)):measures to conclude a basic contract for the implementation of dispute resolution procedures in connection with specified investment advisory and agency business with a single designated investment advisory and agency business dispute resolution organization;

指定投資助言・代理紛争解決機関（指定紛争解決機関であつてその紛争解決等業務の種別が特定投資助言・代理業務（第百五十六条の三十八第四項に規定する特定投資助言・代理業務をいう。以下この号において同じ。）であるものをいう。以下この号及び第三項第二号において同じ。）が存在する場合　一の指定投資助言・代理紛争解決機関との間で特定投資助言・代理業務に係る手続実施基本契約を締結する措置

if the financial instruments business operator, etc. engages in investment management business: the measures specified in the relevant of the following (a) and (b) for the category of cases set forth in (a) or (b):

当該金融商品取引業者等が投資運用業を行う者である場合　次のイ又はロに掲げる場合の区分に応じ、当該イ又はロに定める措置

if there is a designated investment management dispute resolution organization (meaning a designated dispute resolution organization for which the category of dispute resolution services is specified investment management business (meaning specified investment management business as defined in Article 156-38, paragraph (5); hereinafter the same applies in this item); hereinafter the same applies in this item and paragraph (3), item (ii)):measures to conclude a basic contract for the implementation of dispute resolution procedures in connection with specified investment management business with a single designated investment management dispute resolution organization;

指定投資運用紛争解決機関（指定紛争解決機関であつてその紛争解決等業務の種別が特定投資運用業務（第百五十六条の三十八第五項に規定する特定投資運用業務をいう。以下この号において同じ。）であるものをいう。以下この号及び第三項第二号において同じ。）が存在する場合　一の指定投資運用紛争解決機関との間で特定投資運用業務に係る手続実施基本契約を締結する措置

if the financial instruments business operator, etc. is a registered financial institution: the measures specified in the relevant of the following (a) and (b) for the category of cases set forth in (a) or (b):

当該金融商品取引業者等が登録金融機関である場合　次のイ又はロに掲げる場合の区分に応じ、当該イ又はロに定める措置

if there is a designated dispute resolution organization for registered financial institutions (meaning a designated dispute resolution organization for which the category of dispute resolution services is the specified services of a registered financial institution (meaning specified services of a registered financial institution as defined in Article 156-38, paragraph (6); hereinafter the same applies in this item); hereinafter the same applies in this item and paragraph (3), item (ii)):measures to conclude a basic contract for the implementation of dispute resolution procedures in connection with the specified services of a registered financial institution with a single designated dispute resolution organization for registered financial institutions;

指定登録金融機関紛争解決機関（指定紛争解決機関であつてその紛争解決等業務の種別が特定登録金融機関業務（第百五十六条の三十八第六項に規定する特定登録金融機関業務をいう。以下この号において同じ。）であるものをいう。以下この号及び第三項第二号において同じ。）が存在する場合　一の指定登録金融機関紛争解決機関との間で特定登録金融機関業務に係る手続実施基本契約を締結する措置

if there is no designated registered financial institutions dispute resolution organization:complaint processing measures and dispute resolution measures in connection with the specified services of a registered financial institution.

指定登録金融機関紛争解決機関が存在しない場合　特定登録金融機関業務に関する苦情処理措置及び紛争解決措置

Once a financial instruments business operator has taken measures to conclude a basic contract for the implementation of dispute resolution procedures pursuant to the provisions of the preceding paragraph, it must disclose the trade name or name of the designated dispute resolution organization that is the counterparty to the basic contract for the implementation of dispute resolution procedures.

金融商品取引業者等は、前項の規定により手続実施基本契約を締結する措置を講じた場合には、当該手続実施基本契約の相手方である指定紛争解決機関の商号又は名称を公表しなければならない。

The provisions of paragraph (1) do not apply during the period specified in the relevant of the following items for the category of cases set forth in each item:

第一項の規定は、次の各号に掲げる場合の区分に応じ、当該各号に定める期間においては、適用しない。

if a case that fell under a category of cases set forth in paragraph (1), item (i), (a); item (ii), (a); item (iii), (a); item (iv), (a); or item (v), (a); has come to fall under a category of cases set forth in item (i), (b); item (ii), (b); item (iii), (b); item (iv), (b); or item (v), (b) of that paragraph:the period specified by the Prime Minister as the period needed for taking the measures specified in paragraph (1), item (i), (b); item (ii), (b); item (iii), (b); item (iv), (b); or item (v), (b); at the time of granting authorization for the discontinuation of dispute resolution services under Article 156-60, paragraph (1) or at the time of rescinding the designation under Article 156-61, paragraph (1);

第一項第一号イ、第二号イ、第三号イ、第四号イ又は第五号イに掲げる場合に該当していた場合において、同項第一号ロ、第二号ロ、第三号ロ、第四号ロ又は第五号ロに掲げる場合に該当することとなつたとき　第百五十六条の六十第一項の規定による紛争解決等業務の廃止の認可又は第百五十六条の六十一第一項の規定による指定の取消しの時に、第一項第一号ロ、第二号ロ、第三号ロ、第四号ロ又は第五号ロに定める措置を講ずるために必要な期間として内閣総理大臣が定める期間

if a case formerly fell under a category of cases set forth in paragraph (1), item (i), (a); item (ii), (a); item (iii), (a); item (iv), (a); or item (v), (a); but the discontinuation of the dispute resolution services of a single designated type-I dispute resolution organization under item (i), (a) of that paragraph; a single designated type-II dispute resolution organization under item (ii), (a) of that paragraph; a single designated investment advisory and agency business dispute resolution organization under item (iii), (a) of that paragraph; a single designated investment management dispute resolution organization under item (iv), (a) of that paragraph; or a single designated dispute resolution organization for registered financial institutions (hereinafter collectively referred to as the "designated dispute resolution organization for each category of business" in this item) has been authorized under Article 156-60, paragraph (1) or the designation under Article 156-39, paragraph (1) has been rescinded for the designated dispute resolution organization for each category of business pursuant to Article 156-61, paragraph (1) (excluding in a case set forth in the preceding item):the period specified by the Prime Minister as the period needed for taking the measures specified in paragraph (1), item (i), (a); item (ii), (a); item (iii), (a); item (iv), (a); or item (v), (a); at the time of granting such authorization or at the time of rescinding the designation; and

第一項第一号イ、第二号イ、第三号イ、第四号イ又は第五号イに掲げる場合に該当していた場合において、同項第一号イの一の指定第一種紛争解決機関、同項第二号イの一の指定第二種紛争解決機関、同項第三号イの一の指定投資助言・代理紛争解決機関、同項第四号イの一の指定投資運用紛争解決機関若しくは同項第五号イの一の指定登録金融機関紛争解決機関（以下この号において「指定種別紛争解決機関」と総称する。）の紛争解決等業務の廃止が第百五十六条の六十第一項の規定により認可されたとき、又は指定種別紛争解決機関の第百五十六条の三十九第一項の規定による指定が第百五十六条の六十一第一項の規定により取り消されたとき（前号に掲げる場合を除く。）　その認可又は取消しの時に、第一項第一号イ、第二号イ、第三号イ、第四号イ又は第五号イに定める措置を講ずるために必要な期間として内閣総理大臣が定める期間

if a case formerly fell under a category of cases set forth in paragraph (1), item (i), (b); item (ii), (b); item (iii), (b); item (iv), (b); or item (v), (b); but come to fall under the cases set forth in item (i), (a); item (ii), (a); item (iii), (a); item (iv), (a); or item (v), (a) of that paragraph:the period specified by the Prime Minister as the period needed for taking the measures specified in paragraph (1), item (i), (a); item (ii), (a); item (iii), (a); item (iv), (a); or item (v), (a) at the time of the designation under Article 156-39, paragraph (1).

第一項第一号ロ、第二号ロ、第三号ロ、第四号ロ又は第五号ロに掲げる場合に該当していた場合において、同項第一号イ、第二号イ、第三号イ、第四号イ又は第五号イに掲げる場合に該当することとなつたとき　第百五十六条の三十九第一項の規定による指定の時に、第一項第一号イ、第二号イ、第三号イ、第四号イ又は第五号イに定める措置を講ずるために必要な期間として内閣総理大臣が定める期間

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