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Article 66-19Notification of Discontinuing Business

第六十六条の十九(廃業等の届出等)

If a financial instruments intermediary service provider comes to fall under any of the following items, the person specified in the relevant item must notify the Prime Minister of this within 30 days from the day in question:

金融商品仲介業者が次の各号のいずれかに該当することとなつたときは、当該各号に定める者は、その日から三十日以内に、その旨を内閣総理大臣に届け出なければならない。

the financial instruments intermediary service provider discontinues financial instruments intermediary service (including if the financial instruments intermediary service provider has the whole of its business (limited to business involved in financial instruments intermediary service; hereinafter the same applies in this item) succeeded to in a company split or transfers the whole of business):the individual or the corporation that discontinues or transfers the financial instruments intermediary services, or has the financial instruments intermediary services succeeded to;

金融商品仲介業を廃止したとき(分割により事業(金融商品仲介業に係るものに限る。以下この号において同じ。)の全部を承継させたとき、又は事業の全部を譲渡したときを含む。) その金融商品仲介業を廃止し、又は承継をさせ、若しくは譲渡をした個人又は法人

when an individual who is a financial instruments intermediary service provider dies:their heir;

金融商品仲介業者である個人が死亡したとき その相続人

when a corporation that is a financial instruments intermediary service provider disappears in a merger:the officer that has represented the corporation;

金融商品仲介業者である法人が合併により消滅したとき その法人を代表する役員であつた者

when a corporation that is a financial instruments intermediary service provider becomes subject to an order of commencement of bankruptcy proceedings:the bankruptcy trustee;

金融商品仲介業者である法人について破産手続開始の決定があつたとき その破産管財人

when a corporation that is a financial instruments intermediary service provider is dissolved for reasons other than a merger or an order of commencement of bankruptcy proceedings:the liquidator; and

金融商品仲介業者である法人が合併及び破産手続開始の決定以外の理由により解散したとき その清算人

when a financial instruments intermediary service provider has obtained the registration referred to in (limited to the registration related to the type of securities, etc. intermediary business operations) or the registration of change referred to in (limited to the registration related to the addition of the type of securities, etc. intermediary business operations):the financial instruments intermediary service provider that has obtained the registration or the registration of change.

の登録(有価証券等仲介業務の種別に係るものに限る。)又はの変更登録(有価証券等仲介業務の種別の追加に係るものに限る。)を受けたとき 当該登録又は変更登録を受けた者

If a financial instruments intermediary service provider comes to fall under any of the items of the preceding paragraph, if it no longer has an entrusting financial instruments business operator, etc., or if it becomes registered as referred to in Article 29 (but only if the registered financial instruments business operator engages in type-I financial instruments business), its Article 66 registration ceases to be effective.

金融商品仲介業者が前項各号のいずれかに該当することとなつたとき、所属金融商品取引業者等がなくなつたとき、又は第二十九条の登録(当該登録を受けた金融商品取引業者が第一種金融商品取引業を行うものに限る。)を受けたときは、当該金融商品仲介業者の第六十六条の登録は、その効力を失う。

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