Article 66-24Compensatory Liability of an Entrusting Financial Instruments Business Operator
第六十六条の二十四（所属金融商品取引業者等の賠償責任）
The entrusting financial instruments business operator, etc., of a financial instruments intermediary service provider is liable for damages that the financial instruments intermediary service provider it entrusts causes to a customer in connection with financial instruments intermediary services; provided, however, that this does not apply if the entrusting financial instruments business operator, etc. exercises due care in entrusting the financial instruments intermediary service provider, and endeavors to prevent the damage that the person causes to a customer in connection with the intermediation for financial instruments that the person performs.
金融商品仲介業者の所属金融商品取引業者等は、その委託を行つた金融商品仲介業者が金融商品仲介業につき顧客に加えた損害を賠償する責任を負う。ただし、当該所属金融商品取引業者等がその金融商品仲介業者への委託につき相当の注意をし、かつ、その者の行う金融商品仲介行為につき顧客に加えた損害の発生の防止に努めたときは、この限りでない。
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financial instruments intermediary servicemachine translation
「金融商品仲介業」
Business carried on, on entrustment by a financial instruments business operator (金融商品取引業者) carrying on Type I financial instruments business or investment management business (with some exceptions for small-amount electronic offerings, unlisted securities and qualified investors) or by a registered financial institution (登録金融機関), of any of these acts on its behalf: intermediating purchases and sales of securities; intermediating the entrustment of trades on a financial instruments exchange market or a foreign financial instruments market; handling public offerings, secondary distributions or private placements of securities; and intermediating investment advisory or discretionary investment contracts, subject to an exception for investment management business that paragraph sets.
Defined inArticle 2, paragraph (11)· applies throughout the law
financial instruments intermediary service provider
「金融商品仲介業者」
A person registered by the Prime Minister under Article 66 to carry on financial instruments intermediary service (金融商品仲介業).
Defined inArticle 2, paragraph (12)· applies throughout the law
entrusting financial instruments business operator, etc.
「所属金融商品取引業者等」
In Chapter III-2 (financial instruments intermediary service providers) and Chapter IV, the financial instruments business operator (金融商品取引業者) engaged in type-I financial instruments business or investment management business, or the registered financial institution (登録金融機関), that entrusts a financial instruments intermediary service provider (金融商品仲介業者) to act for it.
Short name set inArticle 66-2, paragraph (1), item (iv)· applies only in this chapter and in Chapter 4
intermediation for financial instruments
「金融商品仲介行為」
In Chapter III-2, any of the acts listed in the items of Article 2, paragraph (11), the intermediation and handling that make up financial instruments intermediary service (金融商品仲介業).
Short name set inArticle 66-11, paragraph (1)· applies only in this chapter