If there is a dispute about a purchase and sale or other transaction of securities or about a derivatives transaction, etc. conducted by an association member or a financial instruments intermediary service provider, any of the parties to the transaction may file for mediation with an authorized association, for the purpose of attempting to resolve that dispute.
If an authorized association receives a filing under the preceding paragraph, it must appoint a mediator that has the relevant knowledge and experience and that has no special interest in the parties to the dispute subject to that filing (hereinafter referred to as the "case" in this Article), and must refer the case to mediation by that mediator; provided, however, that a mediator must not mediate if the mediator finds that the case is not suited for mediation due to its nature, or that the party has filed for mediation for unjust purposes and without due cause.
A mediator may hear the opinions of the parties and witnesses, request them to submit reports, and request the parties to submit books, documents, and any other articles that should serve as reference; and may prepare the mediation proposal that is needed to resolve the case and recommend that the parties accept it, as the mediator finds appropriate.
あつせん委員は、当事者若しくは参考人から意見を聴取し、若しくは報告書の提出を求め、又は当事者から参考となるべき帳簿書類その他の物件の提出を求め、適当と認めたときは、事件の解決に必要なあつせん案を作成し、その受諾を勧告することができる。
In the cases referred to in the preceding three paragraphs, if a financial instruments intermediary service provider is a party, its entrusting financial instruments business operator, etc. is also deemed to be a party.
前三項の場合において、金融商品仲介業者が当事者であるときは、その所属金融商品取引業者等も当事者とみなす。
If an association member or a financial instruments intermediary service provider has had a request under the provisions of paragraph (3), it must not refuse this request without just cause.
An authorized association may collect from the parties all or part of the expenses incurred in relation to mediation.
認可協会は、あつせんに関し要した費用の全部又は一部を、当事者から徴収することができる。
It is prohibited for a mediator or former mediator to divulge or misappropriate any secret learned in the course of duty.
あつせん委員又はその職にあつた者は、その職務に関して知り得た秘密を漏らし、又は盗用してはならない。
It is prohibited for a mediator or former mediator to use information learned in the course of duty for a purpose other than the business use of the authorized association for which the information is provided.
あつせん委員又はその職にあつた者は、その職務に関して知り得た情報を、認可協会の業務の用に供する目的以外に利用してはならない。
The provisions of paragraph (1) do not apply if an authorized association has obtained a designation under Article 156-39, paragraph (1) and the dispute referred to in paragraph (1) is in the category of dispute resolution services to which that designation pertains.
第一項の規定は、認可協会が第百五十六条の三十九第一項の規定による指定を受けている場合において、第一項の争いが当該指定に係る紛争解決等業務の種別に係るときは、適用しない。
Read this with the articles around it
(Designation of a Person that Conducts Dispute Resolution Services)
At the application of a person satisfying the following requirements, the Prime Minister may designate that person as a person that conducts dispute resolution services, etc.:
内閣総理大臣は、次に掲げる要件を備える者を、その申請により、紛争解決等業務を行う者として、指定することができる。
Open this provision(Mediation by Authorized Associations)
If there is a dispute about a purchase and sale or other transaction of securities or about a derivatives transaction, etc. conducted by an association member or a financial instruments intermediary…
協会員又は金融商品仲介業者の行う有価証券の売買その他の取引又はデリバティブ取引等につき争いがある場合においては、当事者は、その争いの解決を図るため、認可協会に申し立て、あつせんを求めることができる。
Open this provision(Mediation by Authorized Associations)
If there is a dispute about a purchase and sale or other transaction of securities or about a derivatives transaction, etc. conducted by an association member or a financial instruments intermediary…
協会員又は金融商品仲介業者の行う有価証券の売買その他の取引又はデリバティブ取引等につき争いがある場合においては、当事者は、その争いの解決を図るため、認可協会に申し立て、あつせんを求めることができる。
Open this provision(Mediation by Authorized Associations)
If an authorized association receives a filing under the preceding paragraph, it must appoint a mediator that has the relevant knowledge and experience and that has no special interest in the parties…
認可協会は、前項の規定による申立てを受けたときは、学識経験を有する者であつてその申立てに係る争い（以下この条において「事件」という。）の当事者と特別の利害関係のない者をあつせん委員として選任し、当該あつせん委員によるあつせんに付するものとする。
Open this provision(Mediation by Authorized Associations)
A mediator may hear the opinions of the parties and witnesses, request them to submit reports, and request the parties to submit books, documents, and any other articles that should serve as…
あつせん委員は、当事者若しくは参考人から意見を聴取し、若しくは報告書の提出を求め、又は当事者から参考となるべき帳簿書類その他の物件の提出を求め、適当と認めたときは、事件の解決に必要なあつせん案を作成し、その受諾を勧告することができる。
Open this provisionsecurities
「有価証券」
Securities as this Act defines them: the instruments listed in Article 2, paragraph (1), among them national government and local government bonds, corporate bonds, share certificates and share option certificates, preferred equity investment certificates, beneficiary certificates of investment trusts and other trusts, investment securities, certain promissory notes, mortgage securities, option certificates and depositary receipts, foreign instruments of the same nature, and other instruments a Cabinet Order (政令) specifies.
Defined inArticle 2, paragraph (1)· 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
derivatives transactions, etc.machine translation
「デリバティブ取引等」
In Article 33, the acts its paragraph (3) lists: market derivatives transactions (市場デリバティブ取引) and the intermediation, brokerage or agency in them (or in entrusting them) listed in Article 2, paragraph (8), items (ii) and (iii); over-the-counter derivatives transactions, etc. (店頭デリバティブ取引等); and foreign market derivatives transactions (外国市場デリバティブ取引) together with the same acts in relation to them.
Short name set inArticle 33, paragraph (3)
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
authorized association
「認可協会」
In Chapter IV, short for authorized financial instruments firms association (認可金融商品取引業協会): an association established under Subsection 1 of Section 1 of that Chapter, whose purpose is to make the trading of securities and derivatives transactions, etc. fair and smooth and to contribute to the sound development of financial instruments business and to investor protection.
Short name set inArticle 67, paragraph (1)· applies only in this chapter
association membermachine translation
「協会員」
In Section 1 of Chapter 4, a member of an authorized association (認可協会).
Defined inArticle 67, paragraph (2)· applies only in this section
case
「事件」
In Article 77-2, the dispute over a purchase and sale or other transaction of securities, or a derivatives transaction, etc. (デリバティブ取引等), by an association member (協会員) or financial instruments intermediary service provider (金融商品仲介業者) that a party has brought to an authorized association (認可協会) for mediation (あっせん).
Short name set inArticle 77-2, paragraph (2)· applies only in this article