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Article 42-7Provision of Information on the Status of Investment

第四十二条の七(運用状況に係る情報の提供)

With regard to investment property, a financial instruments business operator, etc., pursuant to the provisions of Cabinet Office Order, must periodically provide the known right holders of that investment property with information on the status of investment of the investment property and other particulars specified by Cabinet Office Order; provided, however, that this does not apply in the cases specified by Cabinet Office Order as those in which, even if that information is not provided to the right holders, this will not compromise the protection of the right holders.

金融商品取引業者等は、運用財産について、内閣府令で定めるところにより、定期に、当該運用財産に係る知れている権利者に対し、当該運用財産に関する運用の状況その他の内閣府令で定める事項に係る情報を提供しなければならない。ただし、当該情報を権利者に提供しなくても権利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。

When a financial instruments business operator, etc. provides information pursuant to the provisions of the preceding paragraph in connection with the investment management business it conducts (limited to the business of performing the act set forth in Article 2, paragraph (8), item (xv)), it must notify the Prime Minister of that information without delay, pursuant to the provisions of Cabinet Office Order; provided, however, that this does not apply if the number of right holders to a single investment property is the number specified by Cabinet Order or less, or in other cases specified by Cabinet Office Order as those in which the protection of investors is not compromised.

金融商品取引業者等は、その行う投資運用業(第二条第八項第十五号に掲げる行為を行う業務に限る。)に関して、前項の規定により情報を提供するときは、内閣府令で定めるところにより、遅滞なく、当該情報を内閣総理大臣に届け出なければならない。ただし、一の運用財産の権利者の数が政令で定める数以下である場合その他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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