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Article 63-11When a Financial Instruments Business Operator Conducts Specially Permitted Services for Foreign Investors

第六十三条の十一（金融商品取引業者等が海外投資家等特例業務を行う場合）

Notwithstanding the provisions of Article 29, a financial instruments business operator (excluding one that has obtained the registration referred to in Article 29 for performing an act set forth in the items of Article 63-8, paragraph (1) on a regular basis) may conduct specially permitted services for foreign investors, etc. by notifying the Prime Minister of its intention to conduct the specially permitted services for foreign investors, etc., the particulars set forth in Article 63-9, paragraph (1), items (v) and (vii), and any other particulars specified by Cabinet Office Order in advance pursuant to the provisions of Cabinet Office Order; provided, however, that this does not apply if the financial instruments business operator comes to fall under paragraph (3), item (ii) of the preceding Article as applied mutatis mutandis pursuant to the following paragraph.

金融商品取引業者（第六十三条の八第一項各号の行為を業として行うことについて第二十九条の登録を受けている者を除く。）は、同条の規定にかかわらず、あらかじめ、内閣府令で定めるところにより、海外投資家等特例業務を行う旨、第六十三条の九第一項第五号及び第七号に掲げる事項その他内閣府令で定める事項を内閣総理大臣に届け出て、海外投資家等特例業務を行うことができる。ただし、次項において準用する前条第三項第二号に該当することとなつたときは、この限りでない。

The provisions of Article 63-9, paragraph (4), paragraph (5), paragraph (7), paragraphs (9) through (11), paragraph (3) of the preceding Article, and the following Article through Article 63-14 apply mutatis mutandis to a financial instruments business operator that has given a notification under the provisions of the preceding paragraph. In such a case, the term "of paragraph (1)" in Article 63-9, paragraph (4) is deemed to be replaced with "of Article 63-11, paragraph (1)"; the term "paragraph (1) or (7)" in paragraph (5) of that Article is deemed to be replaced with "Article 63-11, paragraph (1) or (7) as applied mutatis mutandis pursuant to paragraph (2) of that Article"; the term "a particular set forth in one of the items of paragraph (1)" in paragraph (7) of that Article is deemed to be replaced with "a particular set forth in paragraph (1), item (v) or (vii) or other particulars specified by Cabinet Office Order"; and any other necessary technical replacement of terms is specified by Cabinet Order.

第六十三条の九第四項、第五項、第七項及び第九項から第十一項まで、前条第三項並びに次条から第六十三条の十四までの規定は、前項の規定による届出をした金融商品取引業者について準用する。この場合において、第六十三条の九第四項中「第一項の」とあるのは「第六十三条の十一第一項の」と、同条第五項中「第一項又は第七項」とあるのは「第六十三条の十一第一項又は同条第二項において準用する第七項」と、同条第七項中「第一項各号に掲げる事項」とあるのは「第一項第五号及び第七号に掲げる事項その他内閣府令で定める事項」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。

If a financial instruments business operator, etc. conducts the business set forth in the following items, the provisions prescribed in the each of those items do not apply:

金融商品取引業者等が次の各号に掲げる業務を行う場合においては、当該各号に定める規定は、適用しない。

the business of performing the act set forth in Article 63-8, paragraph (1), item (i): the provisions of Section 2, Subsection 1 (excluding Article 35-3, Article 36-3, Article 37, Article 37-3, Article 37-4, Article 38 (limited to the part that involves items (i), (ii), and (ix)), Article 39 (excluding paragraphs (4) and (6)), and Article 40), and Subsection 3 (excluding Article 42, Article 42-2, Article 42-4, and Article 42-7); and

the business of performing the act set forth in Article 63-8, paragraph (1), item (ii): the provisions of Section 2, Subsection 1 (excluding Article 35-3, Article 36-3, Article 37, Article 37-3, Article 37-4, Article 38 (limited to the part that involves items (i), (ii), and (ix)), Article 39 (excluding paragraphs (4) and (6)), Article 40, Article 40-3, and Article 40-3-2).

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