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Article 78Certification of Certified Financial Instruments Business Associations

第七十八条(認定金融商品取引業協会の認定)

The Prime Minister, pursuant to the provisions of Cabinet Order, may certify a general incorporated association that has been incorporated by a financial instruments business operator and that is found to satisfy the following requirements, to conduct the services set forth in the following paragraph, at the application of such a general incorporated association:

内閣総理大臣は、政令で定めるところにより、金融商品取引業者が設立した一般社団法人であつて、次に掲げる要件に該当すると認められるものを、その申請により、次項に規定する業務を行う者として認定することができる。

its aim is to ensure fair and smooth purchase and sales and other transactions of securities and to ensure fair and smooth derivatives transactions, etc., as well as contributing to the sound development of the financial instruments business and to the protection of investors;

有価証券の売買その他の取引及びデリバティブ取引等を公正かつ円滑にし、並びに金融商品取引業の健全な発展及び投資者の保護に資することを目的とすること。

its articles of incorporation stipulate that its members be financial instruments business operators;

金融商品取引業者を会員とする旨の定款の定めがあること。

it has established the necessary methods of business implementation for it to perform the services prescribed in the following paragraph properly and reliably; and

次項に規定する業務を適正かつ確実に行うに必要な業務の実施の方法を定めているものであること。

it has the necessary knowledge, ability, and financial basis for performing the services prescribed in the following paragraph properly and reliably.

次項に規定する業務を適正かつ確実に行うに足りる知識及び能力並びに財産的基礎を有するものであること。

A general incorporated association certified pursuant to the preceding paragraph (hereinafter referred to as a "certified financial instruments business association" in this paragraph and the following Article) is to conduct the following services:

前項の規定により認定された一般社団法人(以下この項及び次条において「認定金融商品取引業協会」という。)は、次に掲げる業務を行うものとする。

providing its members and financial instruments intermediary service providers (limited to those whose entrusting financial instruments business operators, etc. are its members; hereinafter the same applies in this Section) with guidance, recommendations, and other services in order to have them comply the provisions of this Act and other laws and regulations while operating in financial instruments business;

金融商品取引業を行うに当たり、この法律その他法令の規定を遵守させるための会員及び金融商品仲介業者(会員を所属金融商品取引業者等とするものに限る。以下この節において同じ。)に対する指導、勧告その他の業務

conducting the necessary investigations and providing the necessary guidance, recommendations, and other services for ensuring the propriety of contracts and of asset management, and for otherwise protecting investors with regard to the financial instruments business in which its members and financial instruments intermediary service providers operate;

会員及び金融商品仲介業者の行う金融商品取引業に関し、契約の内容の適正化、資産運用の適正化、その他投資者の保護を図るため必要な調査、指導、勧告その他の業務

investigating members' and financial instruments intermediary service providers' compliance with this Act, orders that are based on this Act, dispositions that are based on this Act or on such orders, the articles of incorporation and other rules, and the principle of good faith in transactions;

会員及び金融商品仲介業者のこの法律若しくはこの法律に基づく命令若しくはこれらに基づく処分若しくは定款その他の規則又は取引の信義則の遵守の状況の調査

resolving complaints filed by investors with regard to the financial instruments business in which its members and financial instruments intermediary service providers operate;

会員及び金融商品仲介業者の行う金融商品取引業に関する投資者からの苦情の解決

resolving disputes arisen from the financial instruments business in which its members and financial instruments intermediary service providers operate;

会員及び金融商品仲介業者の行う金融商品取引業に関する紛争の解決

carrying out the registration work that is done pursuant to Article 64-7, paragraph (1) (including as applied mutatis mutandis pursuant to Article 66-25) or Article 64-7, paragraph (2);

第六十四条の七第一項(第六十六条の二十五において準用する場合を含む。)又は第二項の規定により行う登録事務

establishing the necessary rules and providing other services for ensuring propriety in its members' and financial instruments intermediary service providers' solicitation in respect of purchase and sales and other transactions of securities;

会員及び金融商品仲介業者の有価証券の売買その他の取引の勧誘の適正化に必要な業務のため必要な規則の制定その他の業務

conducting public relations aimed at investors and providing other services that are necessary for the certified financial instruments business association to achieve its purpose; and

投資者に対する広報その他認定金融商品取引業協会の目的を達成するため必要な業務

services beyond what is set forth in the preceding items, which contribute to the sound development of the financial instruments business and to the protection of investors.

前各号に掲げるもののほか、金融商品取引業の健全な発展又は投資者の保護に資する業務

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