Article 40-3-3Prohibition of Purchase and Sale, etc. If the Provision of Information on the Status of Business Subject to Investment Is Not Ensured
第四十条の三の三（出資対象事業の状況に係る情報の提供が確保されていない場合の売買等の禁止）
With regard to rights in a lending business, etc., a financial instruments business operator, etc. must not perform the acts set forth in Article 2, paragraph (8), item (i), item (ii), or items (vii) through (ix) unless the rights are those specified by Cabinet Office Order as ones for which it is ensured, in the contract or other juridical act pertaining to those rights in a lending business, etc., that information on the status of the business subject to investment pertaining to those rights is provided to the person who holds those rights.
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(Definitions)
the purchase and sale of securities (excluding those falling under the category of derivatives transactions; the same applies hereinafter), market derivatives transactions…
有価証券の売買（デリバティブ取引に該当するものを除く。以下同じ。）、市場デリバティブ取引（金融商品（第二十四項第三号の三に掲げるものに限る。）又は金融指標（当該金融商品の価格及びこれに基づいて算出した数値に限る。）に係る市場デリバティブ取引（以下「商品関連市場デリバティブ取引」という。）を除く。）又は外国市場デリバテ…
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intermediation, brokerage (excluding brokerage for clearing of securities, etc.), or agency for the purchase and sale of securities, market derivatives transactions…
有価証券の売買、市場デリバティブ取引又は外国市場デリバティブ取引の媒介、取次ぎ（有価証券等清算取次ぎを除く。）又は代理（有価証券の売買の媒介、取次ぎ又は代理にあつては、第十号に掲げるものを除く。）
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the public offering or private placement of securities (limited to those set forth in the following items):
有価証券（次に掲げるものに限る。）の募集又は私募
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secondary distribution of securities or solicitation for selling, etc. only for professional investors;
有価証券の売出し又は特定投資家向け売付け勧誘等
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the handling of a public offering or secondary distribution of securities, or the handling of a private placement of securities or solicitation for selling, etc. only for professional investors;
有価証券の募集若しくは売出しの取扱い又は私募若しくは特定投資家向け売付け勧誘等の取扱い
Open this provisionbusiness subject to investment
「出資対象事業」
In Article 29-2, paragraph (1), item (x) and Article 40-3-3, the business carried on with the money or other property contributed by the holders of the rights in Article 2, paragraph (2), items (iii) to (vi).
Defined inArticle 29-2, paragraph (1), item (x)· applies only in this provision and in Article 40-3-3
rights in a lending business, etc.machine translation
「貸付事業等権利」
In Chapter III, rights listed in Article 2, paragraph (2), items (iii) to (vi) whose investment business (出資対象事業) — the business run with the money or other property the holders contributed — mainly lends money, and other such rights a Cabinet Order (政令) specifies.
Defined inArticle 29-2, paragraph (1), item (x)· applies only in this chapter
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)
juridical act
法律行為
An act by which a person, by manifesting their intention (意思表示), brings about the legal effect they intend, such as making a contract or buying everyday goods (Civil Code, Articles 3-2, 9, paragraph (1), and 91; Act on General Rules for Application of Laws, Article 10, paragraphs (1) and (4)). A contract is formed when one party's offer, a manifestation of intention showing its terms, is accepted by the other (Civil Code, Article 522, paragraph (1)). Where the parties to a juridical act manifest an intention that differs from a provision of laws and regulations not related to public policy, their intention prevails (Article 91). It is void if a party lacked mental capacity (意思能力) when manifesting the intention (Article 3-2), or if it goes against public order or good morals (公の秩序又は善良の風俗) (Article 90). A minor (under 18, Article 4) needs the consent of their legal representative to do one, except one by which they merely acquire a right or are released from an obligation, or a disposal of property the representative has allowed them to dispose of, and one done without that consent may be rescinded (取消し) (Article 5); a rescinded act is treated as void from the start (Article 121), and a void act does not take effect even if the parties later confirm it, though confirming it knowing it is void counts as doing a new act (Article 119). One made subject to a condition precedent (停止条件) takes effect when the condition is fulfilled, and one subject to a condition subsequent (解除条件) loses effect then (Article 127, paragraphs (1) and (2)). Under the Act on General Rules for Application of Laws, the formation and effect of a juridical act are governed by the law of the place its parties chose when they did it (Article 7), or, where they chose none, by the law of the place most closely connected with it at that time (Article 8, paragraph (1)); but a consumer can ask for the protective rules of the law where they habitually live, which governs a consumer contract where no law was chosen, and a worker can ask for those of the place most closely connected with the labor contract, usually where the work is done (Articles 11 and 12) — except in the cases Article 11, paragraph (6) lists, such as a consumer who went to a place under the same law as the business's office and made the contract there, unless the business had invited them, where they habitually live, to make it there.
Written by AI using Civil Code, Arts. 3-2, 4, 5, 9, 90, 91, 119, 121, 127, 522 and Act on General Rules for Application of Laws, Arts. 7, 8, 10, 11, 12 as a reference.