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Article 44-2Prohibited Actions Involving Other Business

第四十四条の二（その他業務に係る禁止行為）

If a financial instruments business operator, etc. or its officer or employee does business other than the financial instruments business and business incidental to that business (hereinafter referred to as "business other than those of a financial instruments business operator" in items (ii) and (iii)), the operator, etc., officer, or employee must not perform any of the following acts:

金融商品取引業者又はその役員若しくは使用人は、金融商品取引業及びこれに付随する業務以外の業務（第二号及び第三号において「金融商品取引業者その他業務」という。）を行う場合には、次に掲げる行為をしてはならない。

act of becoming entrusted, etc. with the purchase and sale of securities (meaning becoming entrusted with the purchase and sale; the same applies hereinafter) on the condition that the person will lend money or otherwise grant credit to a person through a means other than a margin transaction prescribed in Article 156-24, paragraph (1) (excluding acts specified by Cabinet Office Order as those that are found to have little likelihood of resulting in insufficient investor protection);

第百五十六条の二十四第一項に規定する信用取引以外の方法による金銭の貸付けその他信用の供与をすることを条件として有価証券の売買の受託等（委託等を受けることをいう。以下同じ。）をする行為（投資者の保護に欠けるおそれが少ないと認められるものとして内閣府令で定めるものを除く。）

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, that involves a transaction being conducted that is unnecessary in light of the investment policy, the amount of investment property, or the market conditions, with the aim of benefitting from business other than those of a financial instruments business operator; and

金融商品取引業者その他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。

any act other than what is set forth in the preceding two items, which is set forth in the items of Article 2, paragraph (8), which is performed in connection with business other than those of a financial instruments business operator, and 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.

前二号に掲げるもののほか、金融商品取引業者その他業務に関連して行う第二条第八項各号に掲げる行為で投資者の保護に欠け、若しくは取引の公正を害し、又は金融商品取引業の信用を失墜させるものとして内閣府令で定める行為

If a registered financial institution or its officer or employee does business other than engaging in the services of a registered financial institution (referred to as "business other than those of a registered financial institution" in item (ii) and item (iii) below), the institution, officer, or employee must not perform any of the following acts:

登録金融機関又はその役員若しくは使用人は、登録金融機関業務以外の業務（第二号及び第三号において「登録金融機関その他業務」という。）を行う場合には、次に掲げる行為をしてはならない。

entrusting, etc. the purchase and sale of securities, conditional on it lending money or otherwise granting credit to a person (excluding acts specified by Cabinet Office Order as acts that are found to have little likelihood of resulting in insufficient investor protection);

金銭の貸付けその他信用の供与をすることを条件として有価証券の売買の受託等をする行為（投資者の保護に欠けるおそれが少ないと認められるものとして内閣府令で定めるものを除く。）

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 those of a registered financial institution; and

登録金融機関その他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。

beyond what is set forth in the preceding two items, an act that is performed in connection with business other than those of a registered financial institution, which is specified by Cabinet Office Order as resulting in insufficient investor protection, harming the fairness of transactions, or causing the financial instruments business to lose credibility.

前二号に掲げるもののほか、登録金融機関その他業務に関連して行う登録金融機関業務に係る行為で投資者の保護に欠け、若しくは取引の公正を害し、又は登録金融機関業務の信用を失墜させるものとして内閣府令で定める行為

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Article 44-2Prohibited Actions Involving Other Business