第三十四条の三(特定投資家以外の顧客である法人が特定投資家とみなされる場合)
For each contract type, a corporation (excluding a professional investor) may request a financial instruments business operator, etc. to treat it as a professional investor with regard to financial instruments transaction contracts that are of the same contract type.
Before approving a request under the preceding paragraph, a financial instruments business operator, etc. must obtain the written consent of the corporation making the request (hereinafter referred to as the "applicant" in this Article), on a document that states the following particulars. In this, it must make the end date provided for in item (ii) the day on which one year elapses counting from the approval date provided for in item (i) (or, in a case specified by Cabinet Office Order, a day before that one year elapses, which is specified by Cabinet Office Order):
the day on which it gives the approval under this paragraph (hereinafter referred to as the "approval date" in this Article);
この項の規定による承諾をする日(以下この条において「承諾日」という。)
the last day of the period during which it will treat the applicant as a professional investor in soliciting the applicant to conclude a financial instruments transaction contract that is of the same contract type as the one to which the request pertains (hereinafter such a contract is referred to as a "subject contract" in this Article; hereinafter such day is referred to as the "end date" in this Article) or in concluding a subject contract with that applicant before the end date;
the contract type to which the subject contract belongs;
particulars specified by Cabinet Office Order as the content of special provisions on the application of this Act if a professional investor is solicited to conclude a subject contract by a financial instruments business operator, etc., if a professional investor offers a subject contract to the financial instruments business operator, etc., or concludes a subject contract with the financial instruments business operator, etc.; and
an indication of the risk of insufficient protection involved, if a person that it is inappropriate to treat as a professional investor in connection with the subject contracts, in light of its knowledge, experience, and the state of its assets, will be treated as a professional investor;
an indication that it will treat the applicant as a professional investor in soliciting the applicant to conclude a subject contract before the end date or in concluding a subject contract with the applicant before the end date;
an indication that it will treat the applicant as a customer other than a professional investor in soliciting the applicant to conclude a subject contract after the end date or in concluding a subject contract with the applicant after the end date; and
other particulars specified by cabinet office order.
その他内閣府令で定める事項
The provisions of paragraph (12) of the preceding Article apply mutatis mutandis to the written consent under the preceding paragraph.
With regard to the application of the provisions of this Act (excluding Article 29-5, paragraph (3) and this Subsection) if a financial instruments business operator, etc. gives the approval under paragraph (2), the applicant gives the written consent under that paragraph, and the applicant is a person set forth in any of the following items, the applicant is deemed to be a professional investor:
a person that the financial instruments business operator, etc. solicits to conclude a subject contract during the period from the approval date to the end date; or
a person with which the financial instruments business operator, etc. concludes a subject contract during the period from the approval date to the end date.
If the preceding paragraph applies to an applicant in connection with the conclusion of a subject contract (limited to one that entails the financial instruments business operator, etc. acting as an agent as provided in Article 2, paragraph (8), items (ii) through (iv), (x) and (xiii); hereinafter referred to as a "specified subject contract" in this and the following paragraphs), and the financial instruments business operator, etc., acting as the applicant's agent based on that specified subject contract, concludes a financial instruments transaction contract before the approval date, it must notify the counterparty financial instruments business operator, etc. with which the financial instruments transaction contract is to be concluded (referred to as the "counterparty financial instruments business operator, etc." in the following paragraph) in advance, that the applicant is deemed to be a professional investor with regard to the financial instruments transaction contract.
If a financial instruments business operator, etc. that has concluded a specified subject contract gives a notification under the preceding paragraph, the applicant is deemed to be a professional investor with regard to a financial instruments transaction contract that the financial instruments business operator, etc. concludes with the counterparty financial instruments business operator, etc. while acting as the agent of the applicant pursuant to the specified subject contract (limited to a financial instruments transaction contract concluded before the end date), and the provisions of this Act (excluding Article 29-5, paragraph (3) and this Subsection) apply.
特定対象契約を締結した金融商品取引業者等が前項の規定による告知をした場合には、当該金融商品取引業者等が当該特定対象契約に基づき申出者を代理して相手方金融商品取引業者等との間で締結する金融商品取引契約(期限日以前に締結するものに限る。)については、当該申出者を特定投資家とみなして、この法律(第二十九条の五第三項及びこの款を除く。)の規定を適用する。
If the applicant makes a request under paragraph (1) before the end date for the same contract type as the subject contracts (such a request is referred to as the "request for renewal" in the following paragraph), the applicant must do so on or after the day on which the period specified by Cabinet Office Order elapses counting from the approval date.
With regard to the application of the provisions of paragraph (2) and the preceding paragraph if an applicant makes a request for renewal, in paragraph (2), the phrase "approval date prescribed in item (i)" is deemed to be replaced with "day following the previous end date" and in the preceding paragraph, the term "approval date" is deemed to be replaced with "day following the previous end date".
An applicant may request a financial instruments business operator, etc. to treat it as a customer other than a professional investor again with regard to subject contracts, at any time on or after the approval date.
After receiving a request under the provisions of the preceding paragraph, a financial instruments business operator, etc. must approve that request by the time it solicits the conclusion of the first subject contract thereafter or by the time it first concludes such a contract thereafter.
Before approving a request pursuant to the provisions of the preceding paragraph, a financial instruments business operator, etc. must deliver a document stating the day on which it gives the approval under the preceding paragraph and any other particulars specified by Cabinet Office Order to the corporation that submitted the request under paragraph (9).
The provisions of paragraph (4) of the preceding Article apply mutatis mutandis to the delivery of documents under the preceding paragraph.
If a financial instruments business operator, etc. gives the approval under paragraph (10), the provisions of paragraphs (4) through (9) do not apply for the period from the day of approval under paragraph (10) to the day immediately preceding the day on which it newly gives approval under paragraph (2).
金融商品取引業者等が第十項の規定による承諾をした場合には、同項の規定による承諾をした日以後新たに第二項の規定による承諾をする日の前日までの間は、第四項から第九項までの規定は、適用しない。
第三十四条の四(特定投資家以外の顧客である個人が特定投資家とみなされる場合)
For each contract type, an individual set forth in the following (excluding qualified institutional investors) may request a financial instruments business operator, etc. to treat that individual as a professional investor with regard to financial instruments transaction contracts that are of the same contract type:
an individual that is the proprietor of a business and that has concluded a silent partnership agreement as prescribed in Article 535 of the commercial code (excluding those specified by Cabinet Office Order), or any other individual specified by Cabinet Office Order as being similar thereto; and
商法第五百三十五条に規定する匿名組合契約を締結した営業者である個人(内閣府令で定めるものを除く。)その他これに類するものとして内閣府令で定める個人
an individual other than one set forth in the preceding item, which satisfies the requirements specified by Cabinet Office Order as a person equivalent to a professional investor, in light of such individual's knowledge and experience and the state of that individual's assets.
If a financial instruments business operator, etc. receives a request under the preceding paragraph, it must deliver a document stating the particulars set forth in paragraph (2), items (iv), (a) and (b) of the preceding Article to the individual that submitted the request (hereinafter referred to as an "applicant" in this Article), and must confirm that the applicant falls under any of the persons set forth in the items of the preceding paragraph.
The provisions of Article 34-2, paragraph (4) apply mutatis mutandis to the delivery of a document under the preceding paragraph.
第三十四条の二第四項の規定は、前項の規定による書面の交付について準用する。
An applicant may request a financial instruments business operator, etc. to treat it as a customer other than a professional investor again with regard to financial instruments transaction contracts that are of the same contract type as the one to which the request under paragraph (1) pertains, at any time on or after the day on which the financial instruments business operator, etc. gives the approval under paragraph (2) of the preceding Article as applied mutatis mutandis pursuant to paragraph (6).
After receiving a request under the provisions of the preceding paragraph, a financial instruments business operator, etc. must approve that request by the time it solicits the conclusion of the first financial instruments transaction contract thereafter that is of the contract type to which the request pertains, or by the time it concludes the first such contract thereafter.
The provisions of paragraphs (2) through (8) of the preceding Article apply mutatis mutandis if a financial instruments business operator, etc. approves a request under paragraph (1), and the provisions of paragraphs (11) through (13) of that Article apply mutatis mutandis if a financial instruments business operator, etc. approves a request under paragraph (4). In this case, in Article 34-3, paragraph (2), the phrase "the corporation making the request" is deemed to be replaced with "the applicant under paragraph (2) of the following Article"; in Article 34-3, paragraph (4), the phrase "the approval under paragraph (2)" is deemed to be replaced with "the delivery of a document and the confirmation under paragraph (2) of the following Article and the approval under paragraph (2)"; in Article 34-3, paragraph (7), the term "paragraph (1)" is deemed to be replaced with "paragraph (1) of the following Article"; in Article 34-3, paragraph (11), the phrase "the preceding paragraph" is deemed to be replaced with "paragraph (5) of the following Article" and the phrase "the corporation that submitted the request under paragraph (9)" is deemed to be replaced with "the individual that submitted the request under paragraph (4) of that Article"; in Article 34-3, paragraph (13), the term "paragraph (10)" is deemed to be replaced with "paragraph (5) of the following Article", the phrase "gives approval under paragraph (2)" is deemed to be replaced with "delivers the documents and makes the confirmation under the provisions of paragraph (2) of that Article, as well as giving approval under paragraph (2)", and the term "(9)" is deemed to be replaced with "(8) and paragraph (4) of the following Article"; and any other necessary technical replacement of terms is specified by Cabinet Order.
前条第二項から第八項までの規定は第一項の規定による申出を承諾する場合について、同条第十一項から第十三項までの規定は第四項の規定による申出を承諾する場合について、それぞれ準用する。この場合において、同条第二項中「当該申出をした法人」とあるのは「次条第二項に規定する申出者」と、同条第四項中「第二項の規定による承諾」とあるのは「次条第二項の規定による書面の交付及び確認並びに第二項の規定による承諾」と、同条第七項中「第一項」とあるのは「次条第一項」と、同条第十一項中「前項」とあるのは「次条第五項」と、「第九項の規定による申出をした法人」とあるのは「同条第四項の規定による申出をした個人」と、同条第十三項中「第十項」とあるのは「次条第五項」と、「第二項の規定による承諾」とあるのは「同条第二項の規定による書面の交付及び確認並びに第二項の規定による承諾」と、「第九項まで」とあるのは「第八項まで及び次条第四項」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
Article 34-5Delegation to Cabinet Order
第三十四条の五(政令への委任)
Beyond what is provided for in this Subsection, procedures for if a professional investor is deemed to be a customer other than a professional investor or if a customer other than a professional investor is deemed to be a professional investor and necessary particulars otherwise relevant to the application of the provisions of this Subsection are specified by Cabinet Order.
この款に定めるもののほか、特定投資家が特定投資家以外の顧客とみなされる場合又は特定投資家以外の顧客が特定投資家とみなされる場合の手続その他この款の規定の適用に関し必要な事項は、政令で定める。
(Definitions)
the purchase and sale of securities or intermediation, brokerage, or agency for it, using an electronic data processing system, conducted through any of the following methods for deciding the trading…
有価証券の売買又はその媒介、取次ぎ若しくは代理であつて、電子情報処理組織を使用して、同時に多数の者を一方の当事者又は各当事者として次に掲げる売買価格の決定方法又はこれに類似する方法により行うもの(取り扱う有価証券の種類等に照らして取引所金融商品市場又は店頭売買有価証券市場(第六十七条第二項に規定する店頭売買有価証券市…
Open this provision(Definitions)
agency or intermediation for the conclusion of an investment advisory contract or a discretionary investment contract;
投資顧問契約又は投資一任契約の締結の代理又は媒介
Open this provision(Definitions)
intermediation, brokerage (excluding brokerage for clearing of securities, etc.), or agency for the purchase and sale of securities, market derivatives transactions…
有価証券の売買、市場デリバティブ取引又は外国市場デリバティブ取引の媒介、取次ぎ(有価証券等清算取次ぎを除く。)又は代理(有価証券の売買の媒介、取次ぎ又は代理にあつては、第十号に掲げるものを除く。)
Open this provision(Definitions)
intermediation, brokerage, or agency for entrustment of the following transactions:
次に掲げる取引の委託の媒介、取次ぎ又は代理
Open this provision(Definitions)
over-the-counter derivatives transactions or intermediation, brokerage (excluding brokerage for clearing of securities, etc.), or agency for them…
店頭デリバティブ取引又はその媒介、取次ぎ(有価証券等清算取次ぎを除く。)若しくは代理(以下「店頭デリバティブ取引等」という。)
Open this provision(Special Provisions on Registration of Business Concerning Qualified Investors)
"qualified investor" referred to in paragraph (1), item (i) and the preceding paragraph means professional investor, or any other person specified by Cabinet Office Order as those equivalent to…
第一項第一号及び前項の「適格投資家」とは、特定投資家その他その知識、経験及び財産の状況に照らして特定投資家に準ずる者として内閣府令で定める者又は金融商品取引業者(第二十九条の登録を受けようとする者を含む。)と密接な関係を有する者として政令で定める者をいう。
Open this provision(Cases in Which a Professional Investor Is Deemed to Be a Customer Other Than a Professional Investor)
With the agreement of the person requesting reinstatement and pursuant to the provisions of Cabinet Order, in lieu of obtaining the written consent under the preceding paragraph…
金融商品取引業者等は、前項の規定による書面による同意に代えて、政令で定めるところにより、復帰申出者の承諾を得て、当該書面による同意を電子情報処理組織を使用する方法その他の情報通信の技術を利用する方法であつて内閣府令で定めるものにより得ることができる。
Open this provision(Cases in Which a Professional Investor Is Deemed to Be a Customer Other Than a Professional Investor)
With the consent of the applicant and pursuant to the provisions of Cabinet Order, in lieu of delivering the document under the provisions of the preceding paragraph…
金融商品取引業者等は、前項の規定による書面の交付に代えて、政令で定めるところにより、申出者の承諾を得て、当該書面に記載すべき事項を電子情報処理組織を使用する方法その他の情報通信の技術を利用する方法であつて内閣府令で定めるものにより提供することができる。
Open this provision(When a Customer Other than a Professional Investor Is a Corporation and That Corporation Is Deemed to Be a Professional Investor)
For each contract type, a corporation (excluding a professional investor) may request a financial instruments business operator, etc. to treat it as a professional investor with regard to financial…
法人(特定投資家を除く。)は、金融商品取引業者等に対し、契約の種類ごとに、当該契約の種類に属する金融商品取引契約に関して自己を特定投資家として取り扱うよう申し出ることができる。
Open this provision(When a Customer Other than a Professional Investor Is a Corporation and That Corporation Is Deemed to Be a Professional Investor)
For each contract type, a corporation (excluding a professional investor) may request a financial instruments business operator, etc. to treat it as a professional investor with regard to financial…
法人(特定投資家を除く。)は、金融商品取引業者等に対し、契約の種類ごとに、当該契約の種類に属する金融商品取引契約に関して自己を特定投資家として取り扱うよう申し出ることができる。
Open this provision(When a Customer Other than a Professional Investor Is a Corporation and That Corporation Is Deemed to Be a Professional Investor)
After receiving a request under the provisions of the preceding paragraph, a financial instruments business operator, etc. must approve that request by the time it solicits the conclusion of the…
金融商品取引業者等は、前項の規定による申出を受けた後最初に対象契約の締結の勧誘又は締結のいずれかを行うまでに、当該申出を承諾しなければならない。
Open this provision(When a Customer Other than a Professional Investor Is a Corporation and That Corporation Is Deemed to Be a Professional Investor)
Before approving a request pursuant to the provisions of the preceding paragraph, a financial instruments business operator, etc. must deliver a document stating the day on which it gives the…
金融商品取引業者等は、前項の規定により承諾する場合には、第九項の規定による申出をした法人に対し、あらかじめ、前項の規定による承諾をする日その他の内閣府令で定める事項を記載した書面を交付しなければならない。
Open this provision(When a Customer Other than a Professional Investor Is a Corporation and That Corporation Is Deemed to Be a Professional Investor)
The provisions of paragraph (4) of the preceding Article apply mutatis mutandis to the delivery of documents under the preceding paragraph.
前条第四項の規定は、前項の規定による書面の交付について準用する。
Open this provision(When a Customer Other than a Professional Investor Is a Corporation and That Corporation Is Deemed to Be a Professional Investor)
If a financial instruments business operator, etc. gives the approval under paragraph (10), the provisions of paragraphs (4) through (9) do not apply for the period from the day of approval under…
金融商品取引業者等が第十項の規定による承諾をした場合には、同項の規定による承諾をした日以後新たに第二項の規定による承諾をする日の前日までの間は、第四項から第九項までの規定は、適用しない。
Open this provision(When a Customer Other than a Professional Investor Is a Corporation and That Corporation Is Deemed to Be a Professional Investor)
Before approving a request under the preceding paragraph, a financial instruments business operator, etc. must obtain the written consent of the corporation making the request…
金融商品取引業者等は、前項の規定による申出を承諾する場合には、あらかじめ、次に掲げる事項を記載した書面により、当該申出をした法人(以下この条において「申出者」という。)の同意を得なければならない。
Open this provision(When a Customer Other than a Professional Investor Is a Corporation and That Corporation Is Deemed to Be a Professional Investor)
the day on which it gives the approval under this paragraph (hereinafter referred to as the "approval date" in this Article);
この項の規定による承諾をする日(以下この条において「承諾日」という。)
Open this provision(When a Customer Other than a Professional Investor Is a Corporation and That Corporation Is Deemed to Be a Professional Investor)
the last day of the period during which it will treat the applicant as a professional investor in soliciting the applicant to conclude a financial instruments transaction contract that is of the same…
当該申出に係る契約の種類に属する金融商品取引契約(以下この条において「対象契約」という。)の締結の勧誘又は締結をする場合において、申出者を特定投資家として取り扱う期間の末日(以下この条において「期限日」という。)
Open this provision(When a Customer Other than a Professional Investor Is a Corporation and That Corporation Is Deemed to Be a Professional Investor)
an indication that the Applicant understands the following particulars:
当該申出者が次に掲げる事項を理解している旨
Open this provision(When a Customer Other than a Professional Investor Is a Corporation and That Corporation Is Deemed to Be a Professional Investor)
The provisions of paragraph (12) of the preceding Article apply mutatis mutandis to the written consent under the preceding paragraph.
前条第十二項の規定は、前項の規定による書面による同意について準用する。
Open this provision(When a Customer Other than a Professional Investor Is a Corporation and That Corporation Is Deemed to Be a Professional Investor)
With regard to the application of the provisions of this Act (excluding Article 29-5, paragraph (3) and this Subsection) if a financial instruments business operator…
金融商品取引業者等が第二項の規定による承諾をし、かつ、申出者が同項の規定による書面による同意をした場合であつて、当該申出者が次に掲げる者である場合におけるこの法律(第二十九条の五第三項及びこの款を除く。)の規定の適用については、当該申出者は、特定投資家とみなす。
Open this provision(When a Customer Other than a Professional Investor Is a Corporation and That Corporation Is Deemed to Be a Professional Investor)
If the preceding paragraph applies to an applicant in connection with the conclusion of a subject contract (limited to one that entails the financial instruments business operator, etc. acting as an…
金融商品取引業者等は、対象契約(第二条第八項第二号から第四号まで、第十号及び第十三号に規定する代理を行うことを内容とするものに限る。以下この項及び次項において「特定対象契約」という。)の締結に関して申出者が前項の規定の適用を受ける場合において…
Open this provision(When a Customer Other than a Professional Investor Is a Corporation and That Corporation Is Deemed to Be a Professional Investor)
If a financial instruments business operator, etc. that has concluded a specified subject contract gives a notification under the preceding paragraph, the applicant is deemed to be a professional…
特定対象契約を締結した金融商品取引業者等が前項の規定による告知をした場合には、当該金融商品取引業者等が当該特定対象契約に基づき申出者を代理して相手方金融商品取引業者等との間で締結する金融商品取引契約(期限日以前に締結するものに限る。)については、当該申出者を特定投資家とみなして…
Open this provision(When a Customer Other than a Professional Investor Is a Corporation and That Corporation Is Deemed to Be a Professional Investor)
If the applicant makes a request under paragraph (1) before the end date for the same contract type as the subject contracts…
申出者は、期限日以前に対象契約の属する契約の種類に係る第一項の規定による申出(次項において「更新申出」という。)をする場合には、承諾日から起算して内閣府令で定める期間を経過する日以後にしなければならない。
Open this provision(When a Customer Other than a Professional Investor Is a Corporation and That Corporation Is Deemed to Be a Professional Investor)
With regard to the application of the provisions of paragraph (2) and the preceding paragraph if an applicant makes a request for renewal, in paragraph (2)…
申出者が更新申出をする場合における第二項及び前項の規定の適用については、第二項中「第一号に規定する承諾日」とあるのは「前回の期限日の翌日」と、前項中「承諾日」とあるのは「前回の期限日の翌日」とする。
Open this provision(When a Customer Other than a Professional Investor Is a Corporation and That Corporation Is Deemed to Be a Professional Investor)
An applicant may request a financial instruments business operator, etc. to treat it as a customer other than a professional investor again with regard to subject contracts…
申出者は、承諾日以後いつでも、金融商品取引業者等に対し、対象契約に関して自己を再び特定投資家以外の顧客として取り扱うよう申し出ることができる。
Open this provision(When a Customer Other Than a Professional Investor Is an Individual and That Individual Is Deemed to Be a Professional Investor)
For each contract type, an individual set forth in the following (excluding qualified institutional investors) may request a financial instruments business operator…
次に掲げる個人(適格機関投資家を除く。)は、金融商品取引業者等に対し、契約の種類ごとに、当該契約の種類に属する金融商品取引契約に関して自己を特定投資家として取り扱うよう申し出ることができる。
Open this provision(When a Customer Other Than a Professional Investor Is an Individual and That Individual Is Deemed to Be a Professional Investor)
For each contract type, an individual set forth in the following (excluding qualified institutional investors) may request a financial instruments business operator…
次に掲げる個人(適格機関投資家を除く。)は、金融商品取引業者等に対し、契約の種類ごとに、当該契約の種類に属する金融商品取引契約に関して自己を特定投資家として取り扱うよう申し出ることができる。
Open this provision(When a Customer Other Than a Professional Investor Is an Individual and That Individual Is Deemed to Be a Professional Investor)
an individual that is the proprietor of a business and that has concluded a silent partnership agreement as prescribed in Article 535 of the commercial code…
商法第五百三十五条に規定する匿名組合契約を締結した営業者である個人(内閣府令で定めるものを除く。)その他これに類するものとして内閣府令で定める個人
Open this provision(When a Customer Other Than a Professional Investor Is an Individual and That Individual Is Deemed to Be a Professional Investor)
If a financial instruments business operator, etc. receives a request under the preceding paragraph, it must deliver a document stating the particulars set forth in paragraph (2), items (iv)…
金融商品取引業者等は、前項の規定による申出を受けた場合には、当該申出をした個人(以下この条において「申出者」という。)に対し、前条第二項第四号イ及びロに掲げる事項を記載した書面を交付するとともに、申出者が前項各号に掲げる者のいずれかに該当することを確認しなければならない。
Open this provision(When a Customer Other Than a Professional Investor Is an Individual and That Individual Is Deemed to Be a Professional Investor)
An applicant may request a financial instruments business operator, etc. to treat it as a customer other than a professional investor again with regard to financial instruments transaction contracts…
申出者は、金融商品取引業者等が第六項において準用する前条第二項の規定による承諾をする日以後いつでも、当該金融商品取引業者等に対し、第一項の規定による申出に係る契約の種類に属する金融商品取引契約に関して自己を再び特定投資家以外の顧客として取り扱うよう申し出ることができる。
Open this provision(When a Customer Other Than a Professional Investor Is an Individual and That Individual Is Deemed to Be a Professional Investor)
After receiving a request under the provisions of the preceding paragraph, a financial instruments business operator, etc. must approve that request by the time it solicits the conclusion of the…
金融商品取引業者等は、前項の規定による申出を受けた後最初に当該申出に係る契約の種類に属する金融商品取引契約の締結の勧誘又は締結のいずれかを行うまでに、当該申出を承諾しなければならない。
Open this provision(When a Customer Other Than a Professional Investor Is an Individual and That Individual Is Deemed to Be a Professional Investor)
The provisions of paragraphs (2) through (8) of the preceding Article apply mutatis mutandis if a financial instruments business operator, etc. approves a request under paragraph (1)…
前条第二項から第八項までの規定は第一項の規定による申出を承諾する場合について、同条第十一項から第十三項までの規定は第四項の規定による申出を承諾する場合について、それぞれ準用する。
Open this provisionqualified institutional investormachine translation
「適格機関投資家」
A person specified by Cabinet Office Order (内閣府令) as having expert knowledge of and experience with investment in securities.
Defined inArticle 2, paragraph (3), item (i)
professional investor
「特定投資家」
A professional investor: a qualified institutional investor (適格機関投資家), the State, the Bank of Japan, or an investor protection fund (投資者保護基金) or other corporation a Cabinet Office Order (内閣府令) specifies.
Defined inArticle 2, paragraph (31)· applies throughout the law
contract type
「契約の種類」
A type of financial instruments transaction contract (金融商品取引契約), as a Cabinet Office Order (内閣府令) classifies them, used to decide when a professional investor (特定投資家) must be told it may ask to be treated as a customer other than a professional investor, and for what such requests cover.
Short name set inArticle 34, paragraph (1)· applies only in this subsection
financial instruments transaction contract
「金融商品取引契約」
A contract under which a financial instruments business operator, etc. (金融商品取引業者等) carries out financial instruments transactions (金融商品取引行為) — the acts listed in the items of Article 2, paragraph (8) — with a customer as the other party or on the customer's behalf.
Short name set inArticle 34, paragraph (1)
financial instruments business operator, etc.machine translation
「金融商品取引業者等」
A financial instruments business operator (金融商品取引業者) or a registered financial institution (登録金融機関).
Defined inArticle 34, paragraph (1)
applicant
「申出者」
In Article 34-3, a corporation, not itself a professional investor (特定投資家), that has asked a financial instruments business operator, etc. (金融商品取引業者等) under paragraph (1) of that Article to treat it as a professional investor for a kind of contract.
Short name set inArticle 34-3, paragraph (2)· applies only in this article
approval date
「承諾日」
In Articles 34-2 and 34-3, the day on which a financial instruments business operator, etc. (金融商品取引業者等) approves a customer's request concerning a kind of contract — in Article 34-2, a professional investor's (特定投資家) request to be treated as a customer other than a professional investor; in Article 34-3, a corporation's request to be treated as a professional investor.
Short name set inArticle 34-3, paragraph (2), item (i)· applies only in this article
subject contract
「対象契約」
In Article 34-3, a financial instruments transaction contract (金融商品取引契約) of the contract type (契約の種類) that a corporation's request to be treated as a professional investor (特定投資家) concerns.
Short name set inArticle 34-3, paragraph (2), item (ii)· applies only in this article
end date
「期限日」
In Article 34-3, the last day of the period during which a financial instruments business operator, etc. treats a corporation that asked to be treated as a professional investor (特定投資家) as one, when soliciting or concluding contracts of the type concerned; it is in principle the day on which one year has passed from the approval date (承諾日).
Short name set inArticle 34-3, paragraph (2), item (ii)· applies only in this article
specified subject contract
「特定対象契約」
A subject contract (対象契約) under which the financial instruments business operator, etc. acts as agent of the applicant, of the kinds in Article 2, paragraph (8), items (ii) to (iv), (x) and (xiii).
Short name set inArticle 34-3, paragraph (5)· applies only in this paragraph and in Article 34-3, paragraph (6)
counterparty financial instruments business operator, etc.
「相手方金融商品取引業者等」
Another financial instruments business operator, etc. (金融商品取引業者等) that is the counterparty to a financial instruments transaction contract that a financial instruments business operator, etc. concludes as agent for a customer under a specified subject contract (特定対象契約), and that must be told in advance whether the customer is deemed a professional investor (特定投資家) for that contract.
Short name set inArticle 34-3, paragraph (5)· applies only in this provision and in Article 34-3, paragraph (6)
request for renewal
「更新申出」
In Article 34-3, paragraph (8), a further request under paragraph (1) of that Article, made on or before the end date (期限日) of the current period, by a corporation that a financial instruments business operator, etc. has agreed to treat as a professional investor (特定投資家), to be treated as one again for the same type of contract.
Short name set inArticle 34-3, paragraph (7)· applies only in this provision and in Article 34-3, paragraph (8)
applicant
「申出者」
In Article 34-4, an individual that has asked a financial instruments business operator, etc. (金融商品取引業者等) under paragraph (1) of that Article to treat them as a professional investor (特定投資家) for a kind of contract.
Short name set inArticle 34-4, paragraph (2)· applies only in this article