In order to contribute to the sound and appropriate operation of the business of a special financial instruments business operator, the Prime Minister must establish criteria for whether the capital adequacy of the special financial instruments business operator and its subsidiary corporations, etc. is appropriate in light of the assets, etc. held by the special financial instruments business operator and its subsidiary corporations, etc. and other criteria that indicate soundness in the management of the special financial instruments business operator and its subsidiary corporation, etc., as criteria by which the special financial instruments business operator is to judge the soundness of its management.
内閣総理大臣は、特別金融商品取引業者の業務の健全かつ適切な運営に資するため、特別金融商品取引業者がその経営の健全性を判断するための基準として、当該特別金融商品取引業者及びその子法人等の保有する資産等に照らし当該特別金融商品取引業者及びその子法人等の自己資本の充実の状況が適当であるかどうかの基準その他の当該特別金融商品取引業者及びその子法人等における経営の健全性の状況を表示する基準を定めなければならない。
For each quarter in and after the quarter that includes the day on which the period specified by Cabinet Order elapses counting from the notification date, a special financial instruments business operator must submit a document to the Prime Minister in which it describes the soundness of its management as of the last day of the quarter, as indicated by the criteria prescribed in the preceding paragraph (hereinafter simply referred to as the "integrity of management" in the following paragraph and the following Article), pursuant to the provisions of Cabinet Office Order.
For each quarter in and after the quarter that includes the day on which the period specified by Cabinet Order elapses counting from the notification date and pursuant to the provisions of Cabinet Office Order, a special financial instruments business operator must keep a document in which it describes the integrity of management at all of its business offices and offices and make this document available for public inspection during the three-month period beginning from the day on which the period specified by Cabinet Order elapses counting from the end of the quarter.
特別金融商品取引業者は、届出日から起算して政令で定める期間が経過した日の属する四半期以降、四半期ごとに、当該四半期の末日から起算して政令で定める期間を経過した日から三月間、内閣府令で定めるところにより、経営の健全性の状況を記載した書面をすべての営業所又は事務所に備え置き、公衆の縦覧に供しなければならない。
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(Written Notification Stating the Soundness of Management)
In order to contribute to the sound and appropriate operation of the business of a special financial instruments business operator, the Prime Minister must establish criteria for whether the capital…
内閣総理大臣は、特別金融商品取引業者の業務の健全かつ適切な運営に資するため、特別金融商品取引業者がその経営の健全性を判断するための基準として、当該特別金融商品取引業者及びその子法人等の保有する資産等に照らし当該特別金融商品取引業者及びその子法人等の自己資本の充実の状況が適当であるかどうかの基準その他の当該特別金融商品…
Open this provision(Written Notification Stating the Soundness of Management)
For each quarter in and after the quarter that includes the day on which the period specified by Cabinet Order elapses counting from the notification date and pursuant to the provisions of Cabinet…
特別金融商品取引業者は、届出日から起算して政令で定める期間が経過した日の属する四半期以降、四半期ごとに、当該四半期の末日から起算して政令で定める期間を経過した日から三月間、内閣府令で定めるところにより、経営の健全性の状況を記載した書面をすべての営業所又は事務所に備え置き、公衆の縦覧に供しなければならない。
Open this provision(Supervisory Dispositions Corresponding with the Soundness of Management)
If the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors in light of the integrity of management of a special financial instruments…
内閣総理大臣は、特別金融商品取引業者及びその子法人等の経営の健全性の状況に照らして公益又は投資者保護のため必要かつ適当であると認めるときは、その必要の限度において、当該特別金融商品取引業者に対し、三月以内の期間を定めて業務の全部若しくは一部の停止を命じ、又は業務の方法の変更…
Open this provisionquarter
「四半期」
In Article 46-6, paragraph (3), Article 57-2, paragraph (5) and Article 57-5, paragraphs (2) and (3), each of the three-month periods into which a business year is divided; in the first business year after the last day of the business year is changed, the periods a Cabinet Office Order (内閣府令) sets.
Defined inArticle 46-6, paragraph (3)· applies only in this provision and in Article 57-2, paragraph (5); and Article 57-5, paragraphs (2) and (3)
notification date
「届出日」
In the subsection on special financial instruments business operators, the day a financial instruments business operator gave notice under Article 57-2, paragraph (1) that its total assets had come to exceed the threshold amount a Cabinet Order (政令) sets.
Short name set inArticle 57-2, paragraph (2)· applies only in this subsection
special financial instruments business operator
「特別金融商品取引業者」
A financial instruments business operator engaged in type-I financial instruments business (not a foreign corporation) that has notified the Prime Minister under Article 57-2, paragraph (1) that its total assets exceed the threshold a Cabinet Order (政令) sets, other than one whose total assets have since stayed at or below that threshold for two years.
Defined inArticle 57-2, paragraph (2)· applies only in this section
subsidiary corporation, etc.
「子法人等」
A subsidiary corporation, etc. as defined in Article 57-2, paragraph (9): a subsidiary company (子会社) of another company, or another corporation or organization meeting requirements a Cabinet Order (政令) sets as closely related to that company.
Defined inArticle 57-3, paragraph (1)· applies only in this section
integrity of management
「経営の健全性の状況」
In Article 57-5, paragraphs (2) and (3) and Article 57-6, the soundness of management of a special financial instruments business operator (特別金融商品取引業者) and its subsidiary corporations, etc., as at the end of a quarter, expressed by the standards the Prime Minister sets under Article 57-5, paragraph (1), such as whether their capital is adequate for the assets they hold.
Short name set inArticle 57-5, paragraph (2)· applies only in this provision and in Article 57-5, paragraph (3); and Article 57-6
Prime Minister
内閣総理大臣
The head of the Cabinet. Designated by the Diet from among its own members, and appointed by the Emperor on that designation (Articles 67 and 6). The Prime Minister appoints and may dismiss the other Ministers of State at will, and a majority of them must be members of the Diet (Article 68). No Minister of State can be subjected to legal action while in office without the Prime Minister's consent (Article 75).
Written by AI using Constitution, Arts. 6, 67, 68, 75 and Wikipedia: Prime Minister of Japan as a reference.