If a fund receives a notice under the provisions of paragraph (1) or paragraphs (3) through (5) of the preceding Article, it must, without delay, reach a finding as to whether it is difficult for the financial instruments business operator to which the notice pertains (hereinafter referred to as a "financial instruments business operator that is the subject of a notice") to smoothly perform its obligations in connection with the refunding of customer assets, unless it is found to be clearly unlikely that not reaching such a finding would result in insufficient investor protection.
基金は、前条第一項又は第三項から第五項までの規定による通知を受けた場合には、投資者の保護に欠けるおそれがないことが明らかであると認められるときを除き、当該通知に係る金融商品取引業者（以下「通知金融商品取引業者」という。）につき、顧客資産の返還に係る債務の円滑な履行が困難であるかどうかの認定を、遅滞なく、行わなければならない。
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(Notifying the Fund)
If a financial instruments business operator that is a member of a fund falls under any of the following items, it must immediately notify the fund to which it belongs of this:
基金の会員である金融商品取引業者は、次の各号のいずれかに該当する場合には、直ちに、その旨をその所属する基金に通知しなければならない。
Open this provision(Notifying the Fund)
If the Prime Minister issues any of the following dispositions with regard to a financial instruments business operator that is a member of a fund, the Prime Minister must immediately notify the…
内閣総理大臣は、基金の会員である金融商品取引業者に対し次に掲げる処分をしたときは、直ちに、その旨を財務大臣及び当該金融商品取引業者が所属する基金に通知しなければならない。
Open this provision(Notifying the Fund)
The Prime Minister must, when having filed a petition for commencement of reorganization proceedings under the provisions of Article 377, paragraph (1) of the Act on Special Treatment of Corporate…
内閣総理大臣は、基金の会員である金融商品取引業者につき、裁判所に対し、金融機関等の更生手続の特例等に関する法律第三百七十七条第一項の規定による更生手続開始の申立て、同法第四百四十六条第一項の規定による再生手続開始の申立て又は同法第四百九十条第一項の規定による破産手続開始の申立てをしたときは、直ちに…
Open this provision(Notifying the Fund)
If the Prime Minister receives a notice under the provisions of Article 379; Article 448; or Article 492 of the Act on Special Treatment of Corporate Reorganization Proceedings and Other Insolvency…
内閣総理大臣は、基金の会員である金融商品取引業者につき、金融機関等の更生手続の特例等に関する法律第三百七十九条、第四百四十八条又は第四百九十二条の規定による通知その他特別清算に関する通知を受けたときは、直ちに、その旨を財務大臣及び当該金融商品取引業者が所属する基金に通知しなければならない。
Open this provisionfinancial 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
customer assets
「顧客資産」
In Chapter IV-2 on investor protection funds (投資者保護基金), the money, securities and other property listed in Article 79-20, paragraph (3) that a financial instruments business operator holds for its general customers (一般顧客): what they deposit with it under Articles 119 and 161-2, and the money, securities and commodities on their account or deposited by them in connection with its securities-related business (有価証券関連業) or commodity derivatives transaction-related business (商品デリバティブ取引関連業務), each within the limits and exclusions that paragraph sets, and anything else a Cabinet Order (政令) specifies.
Defined inArticle 79-20, paragraph (3)· applies only in this chapter
fund
「基金」
An investor protection fund (投資者保護基金): a body that protects investors by making payments to general customers under Article 79-56, paragraph (1) and carrying on its other business, so as to maintain confidence in securities transactions and commodity-related market derivatives transactions.
Short name set inArticle 79-21, paragraph (1)· applies only in this chapter
financial instruments business operator that is the subject of a noticemachine translation
「通知金融商品取引業者」
A financial instruments business operator (金融商品取引業者) about which its investor protection fund (基金) has received a notice under Article 79-53, paragraph (1) or paragraphs (3) to (5) — paragraph (1) covers, for example, the cancellation of its registration or a petition for bankruptcy — and about which the fund must find whether it will have difficulty smoothly meeting its obligations to return customer assets (顧客資産).
Short name set inArticle 79-54, paragraph (1)