The provisions of Articles 29 and 33-2 do not apply to the acts set forth in the following items:
the private placement of rights set forth in Article 2, paragraph (2), item (v) or (vi) with qualified institutional investors, etc. (meaning persons that are not qualified institutional investors but that are specified by Cabinet Order (but only if they are no greater in number than the number specified by Cabinet Order) and qualified institutional investors; hereinafter the same applies in this Article) that do not fall under any of the following categories, as the counterparties (limited to private placements specified by Cabinet Order as having little likelihood of allowing persons that are not qualified institutional investors, etc. (that is, qualified institutional investors, etc. that do not fall under any of the following categories) to acquire the relevant rights and excluding those specified by Cabinet Office Order as being likely to compromise the protection of investors):
a special purpose company (meaning a special purpose company as provided in Article 2, paragraph (3) of the Act on Securitization of Assets) that issues asset backed securities (meaning asset backed securities as provided in Article 2, paragraph (11) of that Act) which have been acquired by persons other than qualified institutional investors;
その発行する資産対応証券（資産の流動化に関する法律第二条第十一項に規定する資産対応証券をいう。）を適格機関投資家以外の者が取得している特定目的会社（同条第三項に規定する特定目的会社をいう。）
the proprietor of a business or a person seeking to become the proprietor of a business in a silent partnership agreement (meaning a silent partnership agreement as provided in Article 535 of the Commercial Code) that concerns the investment business for the rights specified in Article 2, paragraph (2), item (v) or (vi) and that has a person other than a qualified institutional investor as a silent partner; and
a person that is specified by Cabinet Office Order as being equivalent to a person set forth in (a) or (b);
イ又はロに掲げる者に準ずる者として内閣府令で定める者
the act set forth in Article 2, paragraph (8), item (xv), of investing money (including anything specified by Cabinet Order as being similar to money) that has been invested or contributed by a qualified institutional investor, etc. that holds a right set forth in Article 2, paragraph (2), item (v) or (vi) (limited to rights in a business subject to investment (meaning a business subject to investment as provided in Article 2, paragraph (2), item (v)) in which qualified institutional investors, etc. are the only holders of those rights (limited to qualified institutional investors, etc. that do not fall under any of the categories in (a) through (c) of the preceding item)) (excluding those specified by Cabinet Office Order as being likely to compromise the protection of investors).
A person that will engage in specially permitted services for qualified institutional investors, etc. (meaning performing any of the acts set forth in the items of the preceding paragraph on a regular basis; the same applies hereinafter) (excluding financial instruments business operators, etc.) must notify the Prime Minister of the following particulars in advance, pursuant to the provisions of Cabinet Office Order:
the person's trade name or name;
商号、名称又は氏名
the amount of stated capital or total amount of contributions, if it is a corporation;
法人であるときは、資本金の額又は出資の総額
if the person has an employee that is specified by Cabinet Order, the name of that employee;
政令で定める使用人があるときは、その者の氏名
the type of business (meaning type of business related to the acts set forth in the items of the preceding paragraph);
業務の種別（前項各号に掲げる行為に係る業務の種別をいう。）
the name and location of the person's principal business office or principal office;
主たる営業所又は事務所の名称及び所在地
the name and location of the business office or office for conducting specially permitted services for qualified institutional investors, etc.;
適格機関投資家等特例業務を行う営業所又は事務所の名称及び所在地
if the person engages in other business, the type of business; and
他に事業を行つているときは、その事業の種類
other particulars specified by Cabinet Office Order.
その他内閣府令で定める事項
The following documents must accompany the notification under the preceding paragraph:
前項の規定による届出には、次に掲げる書類を添付しなければならない。
if the person is a corporation, a document pledging that the person does not fall under any of paragraph (7), item (i), (a) through (d), the articles of incorporation (including anything equivalent thereto), and the corporation's certificate of registered information (including anything equivalent thereto);
法人である場合においては、第七項第一号イからニまでのいずれにも該当しないことを誓約する書面、定款（これに準ずるものを含む。）及び法人の登記事項証明書（これに準ずるものを含む。）
if the person is an individual, a document pledging that the person does not fall under any of paragraph (7), item (ii), (a) through (d); and
個人である場合においては、第七項第二号イからニまでのいずれにも該当しないことを誓約する書面
other documents specified by Cabinet Office Order.
その他内閣府令で定める書類
In attaching the documents set forth in item (i) of the preceding paragraph to a notification, if the articles of incorporation have been prepared as electronic or magnetic records, the electronic or magnetic records (limited to those specified by Cabinet Office Order) may accompany the notification in lieu of the written documents.
The Prime Minister must make available for public inspection the particulars which are set forth in the items of paragraph (2) related to a notifier of specially permitted services (meaning a person that has made a notification under paragraph (2) and excluding a person that has made a notification under paragraph (3) of the following Article to the effect that the person falls under item (ii) of that paragraph; the same applies hereinafter) and which are specified by Cabinet Office Order.
A notifier of specially permitted services that has made a notification under paragraph (2) or (8) must, without delay, prepare a document stating the particulars which are set forth in the items of paragraph (2) related to the notifier of specially permitted services and which are specified by Cabinet Office Order, and keep it at its principal business office or office and all of its business offices or offices for specially permitted services for qualified institutional investors, etc. and make it available for public inspection, or disclose it using the internet or through other means pursuant to the provisions of Cabinet Office Order.
特例業務届出者は、第二項又は第八項の規定による届出をしたときは、遅滞なく、当該特例業務届出者に係る第二項各号に掲げる事項のうち内閣府令で定める事項を記載した書面を作成し、これを主たる営業所若しくは事務所及び適格機関投資家等特例業務を行う全ての営業所若しくは事務所に備え置いて公衆の縦覧に供し、又は内閣府令で定めるところにより、インターネットの利用その他の方法により公表しなければならない。
A person that falls under any of the following items (excluding a financial instruments business operator, etc.) must not engage in specially permitted services for qualified institutional investors, etc.:
次の各号のいずれかに該当する者（金融商品取引業者等を除く。）は、適格機関投資家等特例業務を行つてはならない。
if the person is a corporation, a person that falls under any of the following:
法人である場合においては、次のいずれかに該当する者
a person that falls under any of Article 29-4, paragraph (1), item (i), (a) through (c);
第二十九条の四第一項第一号イからハまでのいずれかに該当する者
a person that falls under Article 29-4, paragraph (1), item (ii);
第二十九条の四第一項第二号に該当する者
a person that has an officer or an employee as specified by Cabinet Order that is a member of an organized crime group as defined in Article 2, item (vi) of the Act to Prevent Illegal Activities by Members of Organized Crime Groups or a person for whom five years have not passed since the day on which they ceased to be a member of an organized crime group as defined in that item (referred to as a "member of an organized crime group, etc." in (c) of the following item);
a foreign corporation that has not designated a domestic representative; or
外国法人であつて国内における代表者を定めていない者
a foreign corporation that has not been given the assurance referred to in Article 189, paragraph (2), item (i) by the foreign regulatory authority for financial instruments defined in paragraph (1) of that Article in a foreign country where its principal business office or office or its business office or office for specially permitted services for qualified institutional investors, etc. is located;
外国法人であつてその主たる営業所若しくは事務所又は適格機関投資家等特例業務を行う営業所若しくは事務所の所在するいずれかの外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者
if the person is an individual, a person that falls under any of the following:
個人である場合においては、次のいずれかに該当する者
a person that falls under any of Article 29-4, paragraph (1), item (i), (a) through (c);
第二十九条の四第一項第一号イからハまでのいずれかに該当する者
a person that falls under Article 29-4, paragraph (1), item (iii), (b);
第二十九条の四第一項第三号ロに該当する者
a member of an organized crime group, etc. or a person that has an employee as specified by Cabinet Order that is a member of an organized crime group, etc.;
暴力団員等又は政令で定める使用人のうちに暴力団員等のある者
an individual domiciled in a foreign country that has not designated a domestic agent; or
外国に住所を有する個人であつて国内における代理人を定めていない者
an individual domiciled in a foreign country that has not been given the assurance referred to in Article 189, paragraph (2), item (i) by the foreign regulatory authority for financial instruments defined in paragraph (1) of that Article in a foreign country where the individual's principal business office or office or the individual's business office or office for specially permitted services for qualified institutional investors, etc. is located.
外国に住所を有する個人であつてその主たる営業所若しくは事務所又は適格機関投資家等特例業務を行う営業所若しくは事務所の所在するいずれかの外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者
If any particular set forth in the items of paragraph (2) changes, a notifier of specially permitted services must notify the Prime Minister of this without delay.
If a notifier of specially permitted services engages in specially permitted services for qualified institutional investors, etc. which are specified by Cabinet Order as those for which it is particularly necessary to ensure the protection of investors, the notifier of specially permitted services must stipulate, in a contract concerning the rights set forth in Article 2, paragraph (2), item (v) or (vi) related to the specially permitted services for qualified institutional investors, etc., the particulars specified by Cabinet Office Order as those necessary for ensuring appropriateness in specially permitted services for qualified institutional investors, etc., and after making a notification under paragraph (2) or a notification under the preceding paragraph (limited to a notification related to a change to any of the particulars set forth in the items of paragraph (2) which are specified by Cabinet Office Order), submit a copy of that contract to the Prime Minister pursuant to the provisions of Cabinet Office Order.
If any particular specified by Cabinet Office Order as prescribed in the preceding paragraph with regard to a contract changes, the notifier of specially permitted services that has submitted a copy of the contract pursuant to the provisions of that paragraph must submit a copy of the contract concerning the change to the Prime Minister pursuant to the provisions of Cabinet Office Order without delay.
If a notifier of specially permitted services engages in specially permitted services for qualified institutional investors, etc., the notifier of specially permitted services is deemed to be a financial instruments business operator and the provisions of Section 1, Subsection 5, 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, Article 40-3-2, Article 42, Article 42-2, Article 42-4, Article 42-7, Article 43-6, and Article 45, and the provisions of Chapters VIII and VIII-2 in connection with these Articles apply.
If a business activity connected with an act set forth in paragraph (1), item (ii) which a notifier of specially permitted services has commenced as specially permitted services for qualified institutional investors, etc. comes to no longer come under the purview of specially permitted services for qualified institutional investors, etc. (but only if a person that is not a qualified institutional investor, etc. (that is, a qualified institutional Investor, etc. that does not fall under any of the categories in paragraph (1), item (i), (a) through (c)) comes to hold the right prescribed in paragraph (1), item (ii); the same applies in the following paragraph), the Prime Minister may order the notifier of specially permitted services to take the necessary measures within a fixed period of no longer than three months.
If a business activity connected with an act set forth in paragraph (1), item (ii) which a notifier of specially permitted services has commenced as specially permitted services for qualified institutional investors, etc. comes to no longer come under the purview of specially permitted services for qualified institutional investors, etc., the notifier of specially permitted services must notify the Prime Minister of this without delay.
特例業務届出者は、適格機関投資家等特例業務として開始した第一項第二号に掲げる行為に係る業務が適格機関投資家等特例業務に該当しなくなつたときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
Read this with the articles around it
(Providing Investigatory Cooperation to a Foreign Regulatory Authority for Financial Instruments)
If the Prime Minister receives a request for cooperation from the foreign authority that is responsible for the enforcement of a foreign law or regulation that is equivalent to this Act…
内閣総理大臣は、この法律に相当する外国の法令を執行する当局（以下この条において「外国金融商品取引規制当局」という。）から、その所掌に属する当該この法律に相当する外国の法令を執行するために行う行政上の調査に関し、協力の要請があつた場合において、当該要請に応ずることが相当と認めるときは…
Open this provision(Providing Investigatory Cooperation to a Foreign Regulatory Authority for Financial Instruments)
the foreign regulatory authority for financial instruments has not given its assurance that the authority will accommodate similar requests from Japan;
我が国が行う同種の要請に応ずる旨の当該外国金融商品取引規制当局の保証がないとき。
Open this provision(Definitions)
among the rights based on a partnership contract provided for in Article 667, paragraph (1) of the Civil Code (Act No. 89 of 1896), a silent partnership agreement provided for in Article 535 of the…
民法（明治二十九年法律第八十九号）第六百六十七条第一項に規定する組合契約、商法（明治三十二年法律第四十八号）第五百三十五条に規定する匿名組合契約、投資事業有限責任組合契約に関する法律（平成十年法律第九十号）第三条第一項に規定する投資事業有限責任組合契約又は有限責任事業組合契約に関する法律（平成十七年法律第四十号）第三…
Open this provision(Definitions)
rights based on foreign laws and regulations which are similar to those specified in the preceding item; or
外国の法令に基づく権利であつて、前号に掲げる権利に類するもの
Open this provision(Definitions)
the management (excluding management that falls under the category of act set forth in item (xii) or the preceding item) of money or other property invested or contributed by a person that holds the…
金融商品の価値等の分析に基づく投資判断に基づいて主として有価証券又はデリバティブ取引に係る権利に対する投資として、次に掲げる権利その他政令で定める権利を有する者から出資又は拠出を受けた金銭その他の財産の運用を行うこと（第十二号及び前号に掲げる行為に該当するものを除く。）。
Open this provision(Registration)
A person may not engage in financial instruments business if that person has not been registered by the Prime Minister.
金融商品取引業は、内閣総理大臣の登録を受けた者でなければ、行うことができない。
Open this provision(Refusal of Registration)
a person falling under any of the following:
次のいずれかに該当する者
Open this provision(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(Refusal of Registration)
if the person is an individual, a person that falls under any of the following persons:
個人である場合においては、次のいずれかに該当する者
Open this provision(Registration of Financial Institutions)
A financial institution must be registered by the Prime Minister if it seeks to perform any of the following acts on a regular basis, or if it seeks to provide investment advisory and agency business…
金融機関は、次に掲げる行為のいずれかを業として行おうとするとき、又は投資助言・代理業若しくは有価証券等管理業務を行おうとするときは、内閣総理大臣の登録を受けなければならない。
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(Regulation of Advertising)
When advertising the contents of its financial instruments business or performing any similar act specified by Cabinet Office Order, a financial instruments business operator…
金融商品取引業者等は、その行う金融商品取引業の内容について広告その他これに類似するものとして内閣府令で定める行為をするときは、内閣府令で定めるところにより、次に掲げる事項を表示しなければならない。
Open this provisionProvision of Information, etc. Prior to Conclusion of a Contract
If a financial instruments business operator, etc. seeks to conclude a financial instruments transaction contract, it must provide the customer in advance…
金融商品取引業者等は、金融商品取引契約を締結しようとするときは、内閣府令で定めるところにより、あらかじめ、顧客に対し、次に掲げる事項に係る情報を提供しなければならない。ただし、投資者の保護に支障を生ずることがない場合として内閣府令で定める場合は、この限りでない。
Open this provisionProvision of Information upon Conclusion of Contract, etc.
When a financial instruments business operator, etc. effects a financial instruments transaction contract or when otherwise specified by Cabinet Office Order…
金融商品取引業者等は、金融商品取引契約が成立したときその他内閣府令で定めるときは、内閣府令で定めるところにより、遅滞なく、顧客に対し、当該金融商品取引契約に関する事項その他の内閣府令で定める事項に係る情報を提供しなければならない。
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)
providing a customer with false information in connection with the conclusion of a financial instruments transaction contract or in connection with its solicitation;
金融商品取引契約の締結又はその勧誘に関して、顧客に対し虚偽のことを告げる行為
Open this provision(Prohibited Actions)
providing a customer with a conclusive assessment of a matter that is uncertain or with information that could mislead the customer into believing that a matter that is uncertain is actually certain…
顧客に対し、不確実な事項について断定的判断を提供し、又は確実であると誤解させるおそれのあることを告げて金融商品取引契約の締結の勧誘をする行為
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(Prohibition on Compensation of Loss)
A financial instruments business operator, etc. must not engage in any of the following acts:
金融商品取引業者等は、次に掲げる行為をしてはならない。
Open this provision(Prohibition on Compensation of Loss)
The provisions of paragraph (1) (limited to the part that involves item (iii)) do not apply if the economic benefit referred to in that item has been provided by a financial instruments business…
第一項（第三号に係る部分に限る。）の規定は、同号の財産上の利益が、顧客と金融商品取引業者等との間で行われる有価証券の売買その他の取引に係る金銭の授受の用に供することを目的としてその受益権が取得され…
Open this provision(Prohibition on Compensation of Loss)
The provisions of paragraph (2) (limited to the part that involves item (iii)) do not apply if the economic benefit referred to in that item has been provided by a financial instruments business…
第二項（第三号に係る部分に限る。）の規定は、同号の財産上の利益が、第四項の投資信託の元本に生じた損失の全部又は一部を補塡するため金融商品取引業者等により提供されたものである場合には、適用しない。
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(Prohibition of Purchase and Sale If Separate Management Is Not Ensured)
With regard to the rights set forth in Article 2, paragraph (2), item (v) or (vi) or the securities set forth in Article 2, paragraph (1), item (xxi) (limited to those specified by Cabinet Order) or…
金融商品取引業者等は、第二条第二項第五号若しくは第六号に掲げる権利又は同条第一項第二十一号に掲げる有価証券（政令で定めるものに限る。）若しくは同条第二項第七号に掲げる権利（政令で定めるものに限る。）については、当該権利又は有価証券に関し出資され…
Open this provision(Prohibition of Public Offering If Money Has Been Diverted)
A financial instruments business operator, etc. must not conduct any of the acts specified in Article 2, paragraph (8), items (vii) through (ix) with regard to the rights set forth in Article 2…
金融商品取引業者等は、第二条第二項第五号若しくは第六号に掲げる権利又は同項第七号に掲げる権利（同項第五号又は第六号に掲げる権利と同様の経済的性質を有するものとして政令で定める権利に限る。）については、これらの権利に関し出資され…
Open this provision(Obligation to Right Holders)
A financial instruments business operator, etc. must work faithfully on behalf of right holders (meaning persons prescribed in the following items in accordance with the category of business set…
金融商品取引業者等は、権利者（次の各号に掲げる業務の区分に応じ当該各号に定める者をいう。以下この款において同じ。）のため忠実に投資運用業を行わなければならない。
Open this provision(Prohibited Actions)
A financial instruments business operator, etc. must not perform any of the following acts in connection with the investment management business it conducts; provided, however…
金融商品取引業者等は、その行う投資運用業に関して、次に掲げる行為をしてはならない。ただし、第一号及び第二号に掲げる行為にあつては、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(Separate Management of Assets)
A financial instruments business operator, etc. must manage investment property separately from its own property and other investment property, pursuant to the provisions of Cabinet Office Order…
金融商品取引業者等は、その行う投資運用業（第二条第八項第十五号に掲げる行為を行う業務に限る。）に関して、内閣府令で定めるところにより、運用財産と自己の固有財産及び他の運用財産とを分別して管理しなければならない。
Open this provisionProvision of Information on the Status of Investment
With regard to investment property, a financial instruments business operator, etc., pursuant to the provisions of Cabinet Office Order, must periodically provide the known right holders of that…
金融商品取引業者等は、運用財産について、内閣府令で定めるところにより、定期に、当該運用財産に係る知れている権利者に対し、当該運用財産に関する運用の状況その他の内閣府令で定める事項に係る情報を提供しなければならない。
Open this provisionWhen a financial instruments business operator, etc. conducts cryptoasset-related business (meaning performing an act that constitutes a financial instruments transaction as specified by Cabinet…
金融商品取引業者等は、暗号等資産関連業務（暗号等資産に関する内閣府令で定める金融商品取引行為（次項において「暗号等資産関連行為」という。）を業として行うことをいう。同項において同じ。）を行うときは、内閣府令で定めるところにより、暗号等資産の性質に関する説明をしなければならない。
Open this provisionThe provisions set forth in each of the following items do not apply if the person specified in the relevant item is a professional investor; provided, however…
次の各号に掲げる規定は、当該各号に定める者が特定投資家である場合には、適用しない。ただし、公益又は特定投資家の保護のため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場合は、この限りでない。
Open this provision(Specially Permitted Services for Qualified Institutional Investors)
The provisions of Articles 29 and 33-2 do not apply to the acts set forth in the following items:
次の各号に掲げる行為については、第二十九条及び第三十三条の二の規定は、適用しない。
Open this provision(Succession to the Position of a Notifier of Specially Permitted Services)
If a notifier of specially permitted services comes to fall under any of the following items, it must notify the Prime Minister of this without delay:
特例業務届出者は、次の各号のいずれかに該当することとなつたときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
Open this provision(Succession to the Position of a Notifier of Specially Permitted Services)
it discontinues specially permitted services for qualified institutional investors, etc.; or
適格機関投資家等特例業務を廃止したとき。
Open this provision(Specially Permitted Services for Qualified Institutional Investors)
The provisions of Articles 29 and 33-2 do not apply to the acts set forth in the following items:
次の各号に掲げる行為については、第二十九条及び第三十三条の二の規定は、適用しない。
Open this provision(Specially Permitted Services for Qualified Institutional Investors)
the private placement of rights set forth in Article 2, paragraph (2), item (v) or (vi) with qualified institutional investors, etc.…
適格機関投資家等（適格機関投資家以外の者で政令で定めるもの（その数が政令で定める数以下の場合に限る。）及び適格機関投資家をいう。以下この条において同じ。）で次のいずれにも該当しない者を相手方として行う第二条第二項第五号又は第六号に掲げる権利に係る私募（適格機関投資家等（次のいずれにも該当しないものに限る。）以外の者が…
Open this provision(Specially Permitted Services for Qualified Institutional Investors)
the act set forth in Article 2, paragraph (8), item (xv), of investing money (including anything specified by Cabinet Order as being similar to money) that has been invested or contributed by a…
第二条第二項第五号又は第六号に掲げる権利（同一の出資対象事業（同項第五号に規定する出資対象事業をいう。）に係る当該権利を有する者が適格機関投資家等（前号イからハまでのいずれにも該当しないものに限る。）のみであるものに限る。）を有する適格機関投資家等から出資され…
Open this provision(Specially Permitted Services for Qualified Institutional Investors)
If a business activity connected with an act set forth in paragraph (1), item (ii) which a notifier of specially permitted services has commenced as specially permitted services for qualified…
特例業務届出者は、適格機関投資家等特例業務として開始した第一項第二号に掲げる行為に係る業務が適格機関投資家等特例業務に該当しなくなつたときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
Open this provision(Specially Permitted Services for Qualified Institutional Investors)
A person that will engage in specially permitted services for qualified institutional investors, etc. (meaning performing any of the acts set forth in the items of the preceding paragraph on a…
適格機関投資家等特例業務（前項各号に掲げる行為のいずれかを業として行うことをいう。以下同じ。）を行う者（金融商品取引業者等を除く。）は、あらかじめ、内閣府令で定めるところにより、次に掲げる事項を内閣総理大臣に届け出なければならない。
Open this provision(Specially Permitted Services for Qualified Institutional Investors)
if the person is a corporation, a document pledging that the person does not fall under any of paragraph (7), item (i), (a) through (d), the articles of incorporation…
法人である場合においては、第七項第一号イからニまでのいずれにも該当しないことを誓約する書面、定款（これに準ずるものを含む。）及び法人の登記事項証明書（これに準ずるものを含む。）
Open this provision(Specially Permitted Services for Qualified Institutional Investors)
if the person is a corporation, a person that falls under any of the following:
法人である場合においては、次のいずれかに該当する者
Open this provision(Specially Permitted Services for Qualified Institutional Investors)
if the person is an individual, a person that falls under any of the following:
個人である場合においては、次のいずれかに該当する者
Open this provision(Specially Permitted Services for Qualified Institutional Investors)
If any particular set forth in the items of paragraph (2) changes, a notifier of specially permitted services must notify the Prime Minister of this without delay.
特例業務届出者は、第二項各号に掲げる事項に変更があつたときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
Open this provision(Specially Permitted Services for Qualified Institutional Investors)
If a notifier of specially permitted services engages in specially permitted services for qualified institutional investors, etc. which are specified by Cabinet Order as those for which it is…
特例業務届出者は、適格機関投資家等特例業務のうち投資者の保護を図ることが特に必要なものとして政令で定めるものを行う場合には、当該適格機関投資家等特例業務に係る第二条第二項第五号又は第六号に掲げる権利に係る契約において、適格機関投資家等特例業務の適正を確保するために必要なものとして内閣府令で定める事項を定め…
Open this provisionbusiness subject to investment
「出資対象事業」
In Article 2, paragraph (2), item (v), the business carried on with the money (or similar things a Cabinet Order (政令) specifies) that the holders of rights such as partnership interests contribute, from whose profits or property they receive dividends or distributions.
Short name set inArticle 2, paragraph (2), item (v)· applies only in this item
qualified institutional investormachine translation
「適格機関投資家」
A person specified by Cabinet Office Order (内閣府令) as having expert knowledge of and experience with investment in securities.
Defined inArticle 2, paragraph (3), item (i)
financial instruments business operator
「金融商品取引業者」
A person registered by the Prime Minister under Article 29 to carry on financial instruments business (金融商品取引業).
Defined inArticle 2, paragraph (9)· applies throughout the law
electronic or magnetic recordmachine translation
「電磁的記録」
A record made in electronic, magnetic or any other form people cannot perceive directly, for use in computer processing.
Defined inArticle 13, paragraph (5)
officer
「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
financial instruments business operator, etc.machine translation
「金融商品取引業者等」
A financial instruments business operator (金融商品取引業者) or a registered financial institution (登録金融機関).
Defined inArticle 34, paragraph (1)
qualified institutional investor, etc.machine translation
「適格機関投資家等」
In Article 63, qualified institutional investors (適格機関投資家) together with persons other than qualified institutional investors that a Cabinet Order (政令) specifies, the latter only where their number does not exceed one that Cabinet Order sets.
Defined inArticle 63, paragraph (1), item (i)· applies only in this article
specially permitted services for qualified institutional investors, etc.machine translation
「適格機関投資家等特例業務」
Specially permitted services for qualified institutional investors, etc.: carrying on as a business any of the acts listed in Article 63, paragraph (1): privately placing rights in collective investment schemes (Article 2, paragraph (2), item (v) or (vi)) with qualified institutional investors, etc. (適格機関投資家等), or investing money contributed by them, within the limits that paragraph sets; a person other than a financial instruments business operator, etc. may do so after notifying the Prime Minister.
Defined inArticle 63, paragraph (2)
notifier of specially permitted servicesmachine translation
「特例業務届出者」
A person that has notified the Prime Minister under Article 63, paragraph (2) that it will carry on specially permitted services for qualified institutional investors, etc. (適格機関投資家等特例業務), other than one that has since given notice under Article 63-2, paragraph (3), item (ii) that it has discontinued them.
Defined inArticle 63, paragraph (5)
member of an organized crime group, etc.
「暴力団員等」
An organized crime group member as defined in Article 2, item (vi) of the Act on Prevention of Unjust Acts by Organized Crime Group Members, or a person who ceased to be one less than five years ago.
Short name set inArticle 63, paragraph (7), item (i), (c)· applies only in this provision and in Article 63, paragraph (7), item (ii), (c)
foreign regulatory authority for financial instruments
「外国金融商品取引規制当局」
In Article 189, an authority of a foreign state that enforces that state's laws corresponding to this Act.
Short name set inArticle 189, paragraph (1)· applies only in this article
articles of incorporation
定款
A company's own basic rules, written by its founders when it is formed: at least its purpose, its trade name, where its head office is, the value of the property contributed at incorporation and who the founders are (Companies Act, Article 27). A stock company's must be certified by a notary before it takes effect (Article 30, paragraph (1)), and can later be changed by a resolution of the shareholders meeting (Article 466). Many rules in the Act apply "unless the articles of incorporation provide otherwise", so a company's articles decide a great deal of how the Act applies to it.
Written by AI using Companies Act, Arts. 26, 27, 30, 466, 575 as a reference.
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.