If a financial instruments business operator, etc. or its officer or employee does two or more types of business (meaning types of business provided for in Article 29-2, paragraph (1), item (v)), the operator, etc., officer, or employee must not perform any of the following acts:
金融商品取引業者等又はその役員若しくは使用人は、二以上の業務の種別（第二十九条の二第一項第五号に規定する業務の種別をいう。）に係る業務を行う場合には、次に掲げる行為をしてはならない。
soliciting a customer to entrust, etc. it (meaning to request it to provide intermediation, brokerage, or agency; the same applies hereinafter) with a purchase and sale or other transaction of securities, using information about a purchase and sale or other transaction of securities conducted by a customer that has received advice in connection with investment advisory business or using information about a purchase and sale or other transaction of securities conducted by such a customer as an investment in connection with investment management business;
投資助言業務に係る助言を受けた顧客が行う有価証券の売買その他の取引等に関する情報又は投資運用業に係る運用として行う有価証券の売買その他の取引等に関する情報を利用して、有価証券の売買その他の取引等の委託等（媒介、取次ぎ又は代理の申込みをいう。以下同じ。）を勧誘する行為
giving advice in connection with the investment advisory business it conducts, involving a transaction that is unnecessary in light of the transaction policy, the amount of the transaction, or the market conditions to be conducted, or making an investment in connection with the investment management business it conducts, involving a transaction that is unnecessary in light of the investment policy, the amount of investment property, or the market conditions to be conducted, for the purpose of benefitting from business other than investment advisory business and investment management business; and
any act other than what is set forth in the preceding two items, which is specified by Cabinet Office Order as resulting in insufficient investor protection, harming the fairness of transactions, or causing a loss of confidence in the financial instruments business.
Read this with the articles around it
(Application for Registration)
the business category (meaning which of the acts set forth in Article 28, paragraph (1), item (i), item (i)-2, item (ii), item (iii), (a) through (c), or item (iv), or which, among securities, etc.…
業務の種別（第二十八条第一項第一号、第一号の二、第二号、第三号イからハまで及び第四号に掲げる行為に係る業務並びに有価証券等管理業務、第二種金融商品取引業、投資助言・代理業並びに投資運用業の種別をいう。）
Open this provision(Prohibited Actions When Doing Two or More Types of Business)
soliciting a customer to entrust, etc. it (meaning to request it to provide intermediation, brokerage, or agency; the same applies hereinafter) with a purchase and sale or other transaction of…
投資助言業務に係る助言を受けた顧客が行う有価証券の売買その他の取引等に関する情報又は投資運用業に係る運用として行う有価証券の売買その他の取引等に関する情報を利用して、有価証券の売買その他の取引等の委託等（媒介、取次ぎ又は代理の申込みをいう。以下同じ。）を勧誘する行為
Open this provision(Prohibited Actions When Doing Two or More Types of Business)
giving advice in connection with the investment advisory business it conducts, involving a transaction that is unnecessary in light of the transaction policy, the amount of the transaction…
投資助言業務及び投資運用業以外の業務による利益を図るため、その行う投資助言業務に関して取引の方針、取引の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした助言を行い、又はその行う投資運用業に関して運用の方針、運用財産の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした運用を行うこと。
Open this provisionfinancial 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
officer
「役員」
A director, accounting advisor, company auditor or executive officer, or a person equivalent to one, in this Act other than Articles 163 to 167.
Defined inArticle 21, paragraph (1), item (i)· applies from here on, except in Articles 163 to 167
investment management business
「投資運用業」
Investment management business as defined in Article 28, paragraph (4): the part of financial instruments business (金融商品取引業) that consists in carrying on as a business the acts in Article 2, paragraph (8), items (xii), (xiv) and (xv) — managing money or other property, on investment decisions (投資判断) based on an analysis of the value, etc. of financial instruments, as an investment in securities or in rights under derivatives transactions, whether under a discretionary investment contract (投資一任契約) or an asset management contract with a registered investment corporation (登録投資法人), or for the holders of the rights items (xiv) and (xv) list who contributed it — including where a bank, a cooperative financial institution or another financial institution a Cabinet Order (政令) specifies carries them on.
Defined inArticle 28, paragraph (4)· applies only in this chapter
investment advisory business
「投資助言業務」
Within investment advisory and agency business (投資助言・代理業), the services connected with giving advice under an investment advisory contract (投資顧問契約) — the act in Article 28, paragraph (3), item (i).
Defined inArticle 28, paragraph (6)· 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)
investment propertymachine translation
「運用財産」
Money and other property that a financial instruments business operator, etc. (金融商品取引業者等) carrying on investment management business (投資運用業) manages on behalf of rights holders (権利者) under Article 42, paragraph (1).
Defined inArticle 35, paragraph (1), item (xv)
purchase and sale or other transaction of securities
「有価証券の売買その他の取引等」
A purchase and sale or other transaction of securities, or a derivatives transaction.
Short name set inArticle 41-2, paragraph (1), item (iv)
entrustment, etc.machine translation
「委託等」
A request to another to act as intermediary, broker or agent, here in a purchase and sale or other transaction of securities.
Defined inArticle 44, paragraph (1), item (i)