Article 60-8Supervisory Measures for Authorized Firms for On-Exchange Transactions
第六十条の八（取引所取引許可業者に対する監督上の処分）
If an authorized firm for on-exchange transactions falls under any of the following items, the Prime Minister may rescind the Article 60, paragraph (1) permission of the authorized firm for on-exchange transactions, order the suspension of all or a part of on-exchange transaction services during a fixed period of no longer than six months, order a change of business methods for on-exchange transaction services, or issue orders with respect to matters that are otherwise necessary from a supervisory perspective:
it comes to fall under Article 60-3, paragraph (1), item (i) (excluding (c) and (j)), or item (ii) or (iii);
第六十条の三第一項第一号（ハ及びヌを除く。）、第二号又は第三号に該当することとなつたとき。
it obtains the permission referred to in Article 60, paragraph (1) by wrongful means;
不正の手段により第六十条第一項の許可を受けたとき。
it violates a law or regulation (including a foreign law or regulation) or a disposition by a government agency which is based on a law or regulation, in connection with its on-exchange transaction services or any services incidental to them (excluding if it violates the provisions of Article 46-6, paragraph (2));
取引所取引業務又はこれに付随する業務に関し法令（外国の法令を含む。）又は当該法令に基づく行政官庁の処分に違反したとき（第四十六条の六第二項の規定に違反したときを除く。）。
in light of the state of its business or assets, it is likely to become insolvent; or
業務又は財産の状況に照らし支払不能に陥るおそれがあるとき。
it violates the conditions attached to the permission referred to in Article 60, paragraph (1).
第六十条第一項の許可に付した条件に違反したとき。
If the domestic representative of an authorized firm for on-exchange transactions (if the authorized firm for on-exchange transactions has a domestic office or other facilities, this includes any officer stationed there) comes to fall under any of the categories set forth in Article 29-4, paragraph (1), item (ii), (a) through(i), or engages in conduct that falls under item (iii) or (v) of the preceding paragraph, the Prime Minister may order the authorized firm for on-exchange transactions to dismiss or remove that domestic representative.
If the Prime Minister rescinds the permission referred to in Article 60, paragraph (1) pursuant to the provisions of paragraph (1), or orders the suspension of all or a part of services, the Prime Minister must give public notice of this pursuant to the provisions of Cabinet Office Order.
If the Prime Minister decides to issue a disposition pursuant to the provisions of paragraph (1) or (2), the Prime Minister must notify the authorized firm for on-exchange transactions of this in writing.
Irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act, before seeking to issue a disposition pursuant to the provisions of paragraph (1) or (2), the Prime Minister must conduct a hearing.
内閣総理大臣は、第一項又は第二項の規定に基づいて処分をしようとするときは、行政手続法第十三条第一項の規定による意見陳述のための区分にかかわらず、聴聞を行わなければならない。
Read this with the articles around it
(Refusal of Registration)
if the person is a corporation, a person that has an officer, or an employee specified by Cabinet Order, who falls under any of the following:
法人である場合においては、役員又は政令で定める使用人のうちに次のいずれかに該当する者のある者
Open this provision(Capital Adequacy Ratio)
A financial instruments business operator must not allow its capital adequacy ratio to fall below 120 percent.
金融商品取引業者は、自己資本規制比率が百二十パーセントを下回ることのないようにしなければならない。
Open this provision(Requirement to Refuse Permission for On-Exchange Transaction Services)
the applicant for permission falls under any of the following:
許可申請者が次のいずれかに該当するとき。
Open this provision(Requirement to Refuse Permission for On-Exchange Transaction Services)
the foreign regulatory authority for financial instruments provided for in Article 189, paragraph (1), in the state where the head office or any of the on-exchange transaction offices of the…
許可申請者の本店及び取引所取引店の所在するいずれかの国の第百八十九条第一項に規定する外国金融商品取引規制当局の同条第二項第一号の保証がないとき。
Open this provision(Requirement to Refuse Permission for On-Exchange Transaction Services)
the foreign financial instruments trading market operator of which the on-exchange transaction office of the applicant for permission is a member and the financial instruments exchange in which the…
許可申請者の取引所取引店が加入している外国金融商品取引市場開設者と当該許可申請者が取引参加者となる金融商品取引所との間で情報の提供に関する取決めの締結その他の当該金融商品取引所によるこの法律及びこの法律に基づく命令又は定款その他の規則により認められた権能を行使するための措置が講じられていないとき。
Open this provision(Supervisory Measures for Authorized Firms for On-Exchange Transactions)
If an authorized firm for on-exchange transactions falls under any of the following items, the Prime Minister may rescind the Article 60, paragraph (1) permission of the authorized firm for…
内閣総理大臣は、取引所取引許可業者が次の各号のいずれかに該当するときは、当該取引所取引許可業者の第六十条第一項の許可を取り消し、六月以内の期間を定めて取引所取引業務の全部又は一部の停止を命じ、取引所取引業務の方法の変更を命じ、その他監督上必要な事項を命ずることができる。
Open this provision(Supervisory Measures for Authorized Firms for On-Exchange Transactions)
it violates a law or regulation (including a foreign law or regulation) or a disposition by a government agency which is based on a law or regulation, in connection with its on-exchange transaction…
取引所取引業務又はこれに付随する業務に関し法令（外国の法令を含む。）又は当該法令に基づく行政官庁の処分に違反したとき（第四十六条の六第二項の規定に違反したときを除く。）。
Open this provision(Supervisory Measures for Authorized Firms for On-Exchange Transactions)
it violates the conditions attached to the permission referred to in Article 60, paragraph (1).
第六十条第一項の許可に付した条件に違反したとき。
Open this provision(Supervisory Measures for Authorized Firms for On-Exchange Transactions)
If the domestic representative of an authorized firm for on-exchange transactions (if the authorized firm for on-exchange transactions has a domestic office or other facilities, this includes any…
内閣総理大臣は、取引所取引許可業者の国内における代表者（国内に事務所その他の施設がある場合にあつては、当該施設に駐在する役員を含む。）が、第二十九条の四第一項第二号イからリまでのいずれかに該当することとなつたとき、又は前項第三号若しくは第五号に該当する行為をしたときは、取引所取引許可業者に対して…
Open this provision(Permission for On-Exchange Transaction Services)
Notwithstanding the provisions of Article 29 and Article 58-2, with the permission of the Prime Minister, a foreign securities services provider may engage in the purchase and sale of securities and…
外国証券業者は、第二十九条及び第五十八条の二の規定にかかわらず、内閣総理大臣の許可を受けて、金融商品取引所における有価証券の売買及び市場デリバティブ取引（有価証券等清算取次ぎ（第二条第二十七項第一号に係るものに限る。以下この項において同じ。）の委託者として当該有価証券等清算取次ぎを行う者を代理してこれらの取引を行う場…
Open this provision(Procedures When Intending to Render Adverse Dispositions)
If an administrative agency intends to render adverse dispositions, as specified in this Chapter in accordance with the category referred to in the following items…
行政庁は、不利益処分をしようとする場合には、次の各号の区分に従い、この章の定めるところにより、当該不利益処分の名あて人となるべき者について、当該各号に定める意見陳述のための手続を執らなければならない。
Open this provisionofficer
「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
domestic representative
「代表者」
In Section 5 of Chapter 3, a foreign securities firm's (外国証券業者) representative in Japan as defined in Article 817, paragraph (1) of the Companies Act.
Defined inArticle 59-4, paragraph (1), item (iii)· applies only in this section
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)
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.