The provisions of Article 35-3 apply mutatis mutandis to on-exchange transaction services related to high-speed trading conducted by an authorized firm for on-exchange transactions, and the provisions of Article 36-3; Article 38 (limited to the part that involves items (viii) and (ix)); and Article 40 (limited to the part that involves item (ii)) apply mutatis mutandis to the on-exchange transaction services of an authorized firm for on-exchange transactions.
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(Establishment of an Operational Control System)
A financial instruments business operator, etc. must establish an operational control system for the fair and appropriate performance of its financial instruments business or services of a registered…
金融商品取引業者等は、その行う金融商品取引業又は登録金融機関業務を適確に遂行するため、内閣府令で定めるところにより、業務管理体制を整備しなければならない。
Open this provision(Prohibition of Lending One's Name)
A financial instruments business operator, etc. must not allow another person to engage in financial instruments business…
金融商品取引業者等は、自己の名義をもつて、他人に金融商品取引業（登録金融機関にあつては、登録金融機関業務。以下この款において同じ。）を行わせてはならない。
Open this provision(Prohibited Actions)
It is prohibited for a financial instruments business operator, etc. or their officer or employee to engage in any of the following acts; provided, however…
金融商品取引業者等又はその役員若しくは使用人は、次に掲げる行為をしてはならない。ただし、第四号から第六号までに掲げる行為にあつては、投資者の保護に欠け、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おそれのないものとして内閣府令で定めるものを除く。
Open this provision(Prohibited Actions)
accepting consignment of a purchase and sale of securities or a market derivatives transaction related to high-speed trading conducted by a person other than a high-speed trader…
高速取引行為者（金融商品取引業者等及び取引所取引許可業者（金融商品取引業若しくは登録金融機関業務又は取引所取引業務として高速取引行為を行う者として政令で定める者に限る。）を含む。）以外の者が行う高速取引行為に係る有価証券の売買又は市場デリバティブ取引の委託を受ける行為その他これに準ずるものとして内閣府令で定める行為
Open this provision(Prohibited Actions)
acts other than what is set forth in the preceding items, which are specified by Cabinet Office Order as acts that result in insufficient investor protection, harm the fairness of transactions…
前各号に掲げるもののほか、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
Open this provision(Principle of Suitability)
A financial instruments business operator, etc. must conduct its business in such a manner that the state of its business operations does not fall under any of the following items:
金融商品取引業者等は、業務の運営の状況が次の各号のいずれかに該当することのないように、その業務を行わなければならない。
Open this provision(Principle of Suitability)
beyond what is set forth in the preceding item, the state of business operations is such that the financial instruments business operator, etc. is found not to have taken measures to ensure the…
前号に掲げるもののほか、業務に関して取得した顧客に関する情報の適正な取扱いを確保するための措置を講じていないと認められる状況、その他業務の運営の状況が公益に反し、又は投資者の保護に支障を生ずるおそれがあるものとして内閣府令で定める状況にあること。
Open this provisionhigh-speed trading
「高速取引行為」
Buying and selling securities or conducting market derivatives transactions, entrusting either to another, or a similar act a Cabinet Order (政令) specifies, where the decision to do it is made automatically by an electronic data processing system and the information needed to carry it out is sent to a financial instruments exchange or other recipient a Cabinet Office Order (内閣府令) specifies by a method that Order sets for shortening the time sending it would normally take, other than acts a Cabinet Order exempts as posing no risk to the protection of investors.
Defined inArticle 2, paragraph (41)· applies throughout the law
on-exchange transaction services
「取引所取引業務」
Carrying out on-exchange transactions (取引所取引), as a business, which a foreign securities firm (外国証券業者) may do with the Prime Minister's permission under Article 60, paragraph (1).
Short name set inArticle 60, paragraph (1)
authorized firm for on-exchange transactions
「取引所取引許可業者」
A foreign securities firm (外国証券業者) that holds the Prime Minister's permission under Article 60, paragraph (1) to carry on on-exchange transaction services (取引所取引業務).
Short name set inArticle 60-4, paragraph (1)