Section 1 Centralization of Clearing
第一節 清算集中
第百五十六条の六十二
If a financial instruments business operator, etc. conducts a transaction set forth in any of the following items, it must have the person prescribed in the relevant item bear its obligations and the counterparty's obligations from that transaction:
金融商品取引業者等は、次の各号に掲げる取引を行う場合には、当該取引に基づく自己及び相手方の債務をそれぞれ当該各号に定める者に負担させなければならない。
the over-the-counter derivatives transactions and other transactions specified by Cabinet Office Order as those which, in light of the transaction volume and other conditions of the transaction, if defaulted on, the default could have a material impact on Japan's capital market, and which, in consideration of the character of the transaction, need to be cleared in Japan:a financial instruments clearing organization;
店頭デリバティブ取引その他の取引のうち、取引高その他の取引の状況に照らして、その取引に基づく債務の不履行が我が国の資本市場に重大な影響を及ぼすおそれがあるものであつて、その特性にかんがみ、我が国において清算する必要があるものとして内閣府令で定める取引 金融商品取引清算機関
the over-the-counter derivatives transactions and other transactions specified by Cabinet Office Order as those which, in light of the transaction volume and other conditions of the transaction, if defaulted on, the default could have a material impact on Japan's capital market (other than a transaction set forth in the preceding item):a financial instruments clearing organization (if the financial instruments clearing organization provides collaborative financial instruments obligation assumption services, this includes the collaborating clearing organization, etc.) or foreign financial instruments clearing organization.
店頭デリバティブ取引その他の取引のうち、取引高その他の取引の状況に照らして、その取引に基づく債務の不履行が我が国の資本市場に重大な影響を及ぼすおそれがあるものとして内閣府令で定める取引(前号に掲げる取引を除く。) 金融商品取引清算機関(当該金融商品取引清算機関が連携金融商品債務引受業務を行う場合には、連携清算機関等を含む。)又は外国金融商品取引清算機関
Section 2 Preservation and Reporting of Trade Data
第二節 取引情報の保存及び報告等
第百五十六条の六十三(金融商品取引清算機関等による清算集中等取引情報の提供等)
A financial instruments clearing organization, etc. (meaning a financial instruments clearing organization or foreign financial instruments clearing organization; hereinafter the same applies in this Chapter) must, pursuant to the provisions of Cabinet Office Order, provide data on centrally cleared trades to a trade repository (meaning a person that has been designated under the provisions of Article 156-67, paragraph (1); the same applies hereinafter) or a designated foreign trade repository (meaning a person that conducts the same kind of business as a trade repository business (meaning a business concerning the collection and preservation of trade data; the same applies hereinafter) in a foreign country that is designated by the Prime Minister as a person from whom the Prime Minister expects to obtain trade data that has been collected and preserved by that person; the same applies in the following paragraph and the following Article).
金融商品取引清算機関等(金融商品取引清算機関又は外国金融商品取引清算機関をいう。以下この章において同じ。)は、内閣府令で定めるところにより、取引情報蓄積機関(第百五十六条の六十七第一項の規定による指定を受けた者をいう。以下同じ。)又は指定外国取引情報蓄積機関(外国において取引情報蓄積業務(取引情報の収集及び保存に関する業務をいう。以下同じ。)と同種類の業務を行う者のうち、内閣総理大臣がその者の収集及び保存に係る取引情報を取得することが見込まれる者として内閣総理大臣が指定する者をいう。次項及び次条において同じ。)に対し、清算集中等取引情報を提供しなければならない。
Notwithstanding the provisions of the preceding paragraph, if a financial instruments clearing organization, etc. is unable to provide data on centrally cleared trades to a trade repository or designated foreign trade repository due to a disaster or other compelling reasons specified by Cabinet Office Order, the financial instruments clearing organization, etc. must, pursuant to the provisions of Cabinet Office Order, prepare and preserve records concerning the particulars specified by Cabinet Office Order with regard to data on centrally cleared trades, and must, pursuant to the provisions of Cabinet Office Order, report the data on centrally cleared trades it has preserved to the Prime Minister.
前項の規定にかかわらず、金融商品取引清算機関等は、取引情報蓄積機関又は指定外国取引情報蓄積機関に対し、災害その他内閣府令で定めるやむを得ない理由により清算集中等取引情報を提供することができない場合には、内閣府令で定めるところにより、清算集中等取引情報について内閣府令で定める事項に関する記録を作成し、これを保存し、内閣府令で定めるところにより、その保存する清算集中等取引情報を内閣総理大臣に報告しなければならない。
The term "trade data" as used in paragraph (1) and this paragraph means data on trades specified by Cabinet Office Order as data for which the status of transactions by a financial instruments business operator, etc. is required to be made clear for the protection of investors, and the term "data on centrally cleared trades" as used in the preceding two paragraphs means trade data concerning transactions for which a financial instruments clearing organization, etc. bears obligations, which is related to the trade specified by Cabinet Office Order in consideration of the transactions set forth in the items of the preceding Article and the status of transactions, etc.
第一項及びこの項の「取引情報」とは、投資者保護のため、金融商品取引業者等の取引の状況を明らかにする必要があるものとして内閣府令で定める取引に関する情報をいい、前二項の「清算集中等取引情報」とは、取引情報のうち、金融商品取引清算機関等が債務を負担した取引に係る情報であつて、前条各号に掲げる取引その他取引の状況等を勘案して内閣府令で定める取引に関するものをいう。
第百五十六条の六十四(金融商品取引業者等による非清算集中等取引情報の提供等)
A financial instruments business operator, etc. must, pursuant to the provisions of Cabinet Office Order, provide data on non-centrally cleared trades (meaning trade data (meaning the trade data prescribed in paragraph (3) of the preceding Article; hereinafter the same applies in this Chapter), excluding data on centrally cleared trades (meaning the data on centrally cleared trades prescribed in that paragraph; the same applies in Article 198-6, item (xvii)-2-2); the same applies in the following paragraph and that item) to a trade repository or designated foreign trade repository.
金融商品取引業者等は、内閣府令で定めるところにより、取引情報蓄積機関又は指定外国取引情報蓄積機関に対し、非清算集中等取引情報(取引情報(前条第三項に規定する取引情報をいう。以下この章において同じ。)のうち、清算集中等取引情報(同項に規定する清算集中等取引情報をいう。第百九十八条の六第十七号の二の二において同じ。)を除いたものをいう。次項及び同号において同じ。)を提供しなければならない。
Notwithstanding the provisions of the preceding paragraph, if a financial instruments business operator, etc. is unable to provide data on non-centrally cleared trades to a trade repository or designated foreign trade repository due to a disaster or other compelling reasons specified by Cabinet Office Order, the financial instruments business operator, etc. must, pursuant to the provisions of Cabinet Office Order, prepare records on the particulars specified by Cabinet Office Order with regard to data on non-centrally cleared trades and preserve those records, and pursuant to the provisions of Cabinet Office Order, report the data on non-centrally cleared trades it has preserved to the Prime Minister.
前項の規定にかかわらず、金融商品取引業者等は、取引情報蓄積機関又は指定外国取引情報蓄積機関に対し、災害その他内閣府令で定めるやむを得ない理由により非清算集中等取引情報を提供することができない場合には、内閣府令で定めるところにより、非清算集中等取引情報について内閣府令で定める事項に関する記録を作成し、これを保存し、内閣府令で定めるところにより、その保存する非清算集中等取引情報を内閣総理大臣に報告しなければならない。
Article 156-65Preservation and Reporting of Trade Data by Trade Repositories
第百五十六条の六十五(取引情報蓄積機関による取引情報の保存及び報告)
A trade repository must, pursuant to the provisions of Cabinet Office Order, prepare records on the particulars specified by Cabinet Office Order with regard to the trade data that has been provided based on the provisions of Article 156-63, paragraph (1) and paragraph (1) of the preceding Article and preserve those records.
取引情報蓄積機関は、内閣府令で定めるところにより、第百五十六条の六十三第一項及び前条第一項の規定に基づき提供を受けた取引情報について内閣府令で定める事項に関する記録を作成し、これを保存しなければならない。
A trade repository must, pursuant to the provisions of Cabinet Office Order, report the trade data it has preserved based on the provisions of the preceding paragraph to the Prime Minister.
If a trade repository, in lieu of making a report under the provisions of the preceding paragraph, takes measures to enable the Prime Minister to inspect the trade data that is subject to the report under the provisions of that paragraph by means of using an electronic data processing system which is specified by Cabinet Office Order, the trade repository is deemed to have made the report.
Article 156-66Publication of Trade Data
第百五十六条の六十六(取引情報の公表)
A trade repository must, pursuant to the provisions of Cabinet Office Order, publicize the size of the trade and other particulars specified by Cabinet Office Order with regard to the trades related to the trade data that is subject to the reporting under the provisions of paragraph (2) of the preceding Article.
The Prime Minister is to publicize the size of the transaction and other necessary particulars for making clear the outline of the transaction with regard to the transactions related to the trade data reported under the provisions of Article 156-63, paragraph (2) or Article 156-64, paragraph (2).
内閣総理大臣は、第百五十六条の六十三第二項又は第百五十六条の六十四第二項の規定による報告を受けた取引情報に係る取引について、その規模その他当該取引の概要を明らかにするために必要な事項を公表するものとする。
Section 3 Trade Repositories
第三節 取引情報蓄積機関
Article 156-67Designation of an Entity to Perform Trade Repository Business
第百五十六条の六十七(取引情報蓄積業務を行う者の指定)
At the application of an entity satisfying the following requirements, the Prime Minister may designate that entity as an entity that conducts trade repository business pursuant to the provisions of this Section:
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、この節の定めるところにより取引情報蓄積業務を行う者として、指定することができる。
it is a corporation (including an organization without legal personality for which a representative or administrator has been designated and excluding a corporation incorporated based on foreign laws and regulations or any other foreign organization);
法人(法人でない団体で代表者又は管理人の定めのあるものを含み、外国の法令に準拠して設立された法人その他の外国の団体を除く。)であること。
it does not fall under an entity that has had a designation under this paragraph rescinded pursuant to Article 156-83, paragraph (1) and five years have not passed since the date of the rescission;
第百五十六条の八十三第一項の規定によりこの項の規定による指定を取り消され、その取消しの日から五年を経過しない者でないこと。
it does not fall under an entity that has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of this Act or for violating the provisions of a foreign law or regulation that is equivalent to this Act, and five years have not passed since the day on which the entity finished serving the sentence or ceased to be subject to its enforcement;
この法律又はこの法律に相当する外国の法令の規定に違反し、罰金の刑(これに相当する外国の法令による刑を含む。)に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなつた日から五年を経過しない者でないこと。
it has no officer (including the representative or administrator of an organization without legal personality for which a representative or administrator has been designated; hereinafter the same applies in this Section) that falls under any of the following persons:
役員(法人でない団体で代表者又は管理人の定めのあるものの代表者又は管理人を含む。以下この節において同じ。)のうちに、次のいずれかに該当する者がないこと。
a person specified by Cabinet Office Order as being unable to properly perform their duties due to a mental or physical disorder;
心身の故障のため職務を適正に執行することができない者として内閣府令で定める者
a person that has become subject to an order to commence bankruptcy proceedings and has not been released from bankruptcy restrictions, or a person that is treated in the same manner under foreign laws and regulations;
破産手続開始の決定を受けて復権を得ない者又は外国の法令上これと同様に取り扱われている者
a person that has been sentenced to imprisonment or a heavier punishment (including an equivalent sentence under foreign laws and regulations), and five years have not passed since the day on which the person finished serving the sentence or ceased to be subject to its enforcement;
拘禁刑以上の刑(これに相当する外国の法令による刑を含む。)に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなつた日から五年を経過しない者
a person that, during the 30 days prior to the date of rescission, was the officer (including a person treated in the same manner under foreign laws and regulations; the same applies in (e)) of a corporation (including an organization without legal personality for which a representative or administrator has been designated and a corporation or any other foreign organization incorporated based on foreign laws and regulations), in a case in which the designation under this paragraph has been rescinded pursuant to the provisions of Article 156-83, paragraph (1) or in a case in which an administrative disposition that is similar to the designation and that has been issued in a foreign country pursuant to the provisions of a foreign law or regulation that is equivalent to this Act, has been rescinded; for whom five years have not passed since the date of the rescission;
第百五十六条の八十三第一項の規定によりこの項の規定による指定を取り消された場合又はこの法律に相当する外国の法令の規定により当該外国において受けている当該指定に類する行政処分を取り消された場合において、その取消しの日前三十日以内にその法人(法人でない団体で代表者又は管理人の定めのあるもの及び外国の法令に準拠して設立された法人その他の外国の団体を含む。)の役員(外国の法令上これと同様に取り扱われている者を含む。ホにおいて同じ。)であつた者でその取消しの日から五年を経過しない者
a person falling under an officer whose dismissal has been ordered pursuant to the provisions of Article 156-83, paragraph (1) or the provisions of a foreign law or regulation that is equivalent to this Act, for whom five years have not passed since the day of the disposition; or
第百五十六条の八十三第一項の規定又はこの法律に相当する外国の法令の規定により解任を命ぜられた役員でその処分を受けた日から五年を経過しない者
a person that has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of this Act or the provisions of a foreign law or regulation that is equivalent to this Act, and five years have not passed since the day on which the person finished serving the sentence or ceased to be subject to its enforcement;
この法律又はこの法律に相当する外国の法令の規定に違反し、罰金の刑(これに相当する外国の法令による刑を含む。)に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなつた日から五年を経過しない者
the relevant entity has a financial basis sufficient to soundly conduct trade repository business, and has good prospects in terms of expected income and expenditures in connection with trade repository business; and
取引情報蓄積業務を健全に遂行するに足りる財産的基礎を有し、かつ、取引情報蓄積業務に係る収支の見込みが良好であると認められること。
in light of its personnel structure, the relevant entity is found to have sufficient knowledge and experience for conducting trade repository business properly and reliably, and to have sufficient social credibility.
その人的構成に照らして、取引情報蓄積業務を適正かつ確実に遂行することができる知識及び経験を有し、かつ、十分な社会的信用を有すると認められること。
Upon making a designation under the preceding paragraph, the Prime Minister must make public notice of the trade name or name and the location of the principal business office or office of the trade repository, and of the day on which the Prime Minister made that designation, in the Official Gazette.
Article 156-68Application for Designation
第百五十六条の六十八(指定の申請)
An entity seeking designation under paragraph (1) of the preceding Article must submit a written application for designation stating the following particulars to the Prime Minister:
前条第一項の規定による指定を受けようとする者は、次に掲げる事項を記載した指定申請書を内閣総理大臣に提出しなければならない。
its trade name or name;
商号又は名称
the name and location of its principal business office or office and any other business offices or offices for conducting trade repository business;
主たる営業所又は事務所その他取引情報蓄積業務を行う営業所又は事務所の名称及び所在地
transactions subject to trade repository business; and
取引情報蓄積業務の対象とする取引
if the entity conducts business other than trade repository business and business incidental to trade repository business, the details of that business.
取引情報蓄積業務及び取引情報蓄積業務に付随する業務以外の業務を行うときは、その業務の内容
The following documents must be attached to the written application for designation referred to in the preceding paragraph:
前項の指定申請書には、次に掲げる書類を添付しなければならない。
a document pledging that the applicant satisfies the requirements set forth in paragraph (1), items (iii) and (iv) of the preceding Article;
the articles of incorporation and certificate of registered information of the corporation (including documents equivalent to them);
定款及び法人の登記事項証明書(これらに準ずるものを含む。)
an inventory of property, balance sheet, profit and loss statement or income statement, and business report;
財産目録、貸借対照表及び損益計算書又は収支計算書並びに事業報告書
documents stating the expected income and expenditures; and
収支の見込みを記載した書類
documents other than what is set forth in the preceding items, which are specified by Cabinet Office Order.
前各号に掲げるもののほか、内閣府令で定める書類
In the case referred to in the preceding paragraph, if the articles of incorporation, inventory of property, balance sheet, profit and loss statement or income statement, or business report has been prepared as an electronic or magnetic record, the electronic or magnetic record may be attached to the written application for designation in lieu of a written document.
If a financial instruments business operator, etc. conducts a transaction set forth in any of the following items, it must have the person prescribed in the relevant item bear its obligations and the…
金融商品取引業者等は、次の各号に掲げる取引を行う場合には、当該取引に基づく自己及び相手方の債務をそれぞれ当該各号に定める者に負担させなければならない。
Open this provisionthe over-the-counter derivatives transactions and other transactions specified by Cabinet Office Order as those which, in light of the transaction volume and other conditions of the transaction…
店頭デリバティブ取引その他の取引のうち、取引高その他の取引の状況に照らして、その取引に基づく債務の不履行が我が国の資本市場に重大な影響を及ぼすおそれがあるものであつて、その特性にかんがみ、我が国において清算する必要があるものとして内閣府令で定める取引 金融商品取引清算機関
Open this provision(Provision of Data on Centrally Cleared Trades by Financial Instruments Clearing Organizations)
A financial instruments clearing organization, etc. (meaning a financial instruments clearing organization or foreign financial instruments clearing organization; hereinafter the same applies in this…
金融商品取引清算機関等(金融商品取引清算機関又は外国金融商品取引清算機関をいう。以下この章において同じ。)は、内閣府令で定めるところにより、取引情報蓄積機関(第百五十六条の六十七第一項の規定による指定を受けた者をいう。以下同じ。)又は指定外国取引情報蓄積機関(外国において取引情報蓄積業務(取引情報の収集及び保存に関す…
Open this provision(Provision of Data on Centrally Cleared Trades by Financial Instruments Clearing Organizations)
Notwithstanding the provisions of the preceding paragraph, if a financial instruments clearing organization, etc. is unable to provide data on centrally cleared trades to a trade repository or…
前項の規定にかかわらず、金融商品取引清算機関等は、取引情報蓄積機関又は指定外国取引情報蓄積機関に対し、災害その他内閣府令で定めるやむを得ない理由により清算集中等取引情報を提供することができない場合には、内閣府令で定めるところにより、清算集中等取引情報について内閣府令で定める事項に関する記録を作成し、これを保存し…
Open this provision(Provision of Data on Centrally Cleared Trades by Financial Instruments Clearing Organizations)
The term "trade data" as used in paragraph (1) and this paragraph means data on trades specified by Cabinet Office Order as data for which the status of transactions by a financial instruments…
第一項及びこの項の「取引情報」とは、投資者保護のため、金融商品取引業者等の取引の状況を明らかにする必要があるものとして内閣府令で定める取引に関する情報をいい、前二項の「清算集中等取引情報」とは、取引情報のうち、金融商品取引清算機関等が債務を負担した取引に係る情報であつて…
Open this provision(Provision of Data on Non-Centrally Cleared Trades by Financial Instruments Business Operators)
A financial instruments business operator, etc. must, pursuant to the provisions of Cabinet Office Order, provide data on non-centrally cleared trades…
金融商品取引業者等は、内閣府令で定めるところにより、取引情報蓄積機関又は指定外国取引情報蓄積機関に対し、非清算集中等取引情報(取引情報(前条第三項に規定する取引情報をいう。以下この章において同じ。)のうち、清算集中等取引情報(同項に規定する清算集中等取引情報をいう。第百九十八条の六第十七号の二の二において同じ。)を除…
Open this provision(Provision of Data on Non-Centrally Cleared Trades by Financial Instruments Business Operators)
A financial instruments business operator, etc. must, pursuant to the provisions of Cabinet Office Order, provide data on non-centrally cleared trades…
金融商品取引業者等は、内閣府令で定めるところにより、取引情報蓄積機関又は指定外国取引情報蓄積機関に対し、非清算集中等取引情報(取引情報(前条第三項に規定する取引情報をいう。以下この章において同じ。)のうち、清算集中等取引情報(同項に規定する清算集中等取引情報をいう。第百九十八条の六第十七号の二の二において同じ。)を除…
Open this provision(Provision of Data on Non-Centrally Cleared Trades by Financial Instruments Business Operators)
Notwithstanding the provisions of the preceding paragraph, if a financial instruments business operator, etc. is unable to provide data on non-centrally cleared trades to a trade repository or…
前項の規定にかかわらず、金融商品取引業者等は、取引情報蓄積機関又は指定外国取引情報蓄積機関に対し、災害その他内閣府令で定めるやむを得ない理由により非清算集中等取引情報を提供することができない場合には、内閣府令で定めるところにより、非清算集中等取引情報について内閣府令で定める事項に関する記録を作成し、これを保存し…
Open this provision(Preservation and Reporting of Trade Data by Trade Repositories)
A trade repository must, pursuant to the provisions of Cabinet Office Order, prepare records on the particulars specified by Cabinet Office Order with regard to the trade data that has been provided…
取引情報蓄積機関は、内閣府令で定めるところにより、第百五十六条の六十三第一項及び前条第一項の規定に基づき提供を受けた取引情報について内閣府令で定める事項に関する記録を作成し、これを保存しなければならない。
Open this provision(Preservation and Reporting of Trade Data by Trade Repositories)
A trade repository must, pursuant to the provisions of Cabinet Office Order, report the trade data it has preserved based on the provisions of the preceding paragraph to the Prime Minister.
取引情報蓄積機関は、内閣府令で定めるところにより、前項の規定に基づき保存する取引情報を内閣総理大臣に報告しなければならない。
Open this provision(Designation of an Entity to Perform Trade Repository Business)
At the application of an entity satisfying the following requirements, the Prime Minister may designate that entity as an entity that conducts trade repository business pursuant to the provisions of…
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、この節の定めるところにより取引情報蓄積業務を行う者として、指定することができる。
Open this provision(Designation of an Entity to Perform Trade Repository Business)
it does not fall under an entity that has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of this Act or for violating the…
この法律又はこの法律に相当する外国の法令の規定に違反し、罰金の刑(これに相当する外国の法令による刑を含む。)に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなつた日から五年を経過しない者でないこと。
Open this provision(Designation of an Entity to Perform Trade Repository Business)
it has no officer (including the representative or administrator of an organization without legal personality for which a representative or administrator has been designated; hereinafter the same…
役員(法人でない団体で代表者又は管理人の定めのあるものの代表者又は管理人を含む。以下この節において同じ。)のうちに、次のいずれかに該当する者がないこと。
Open this provision(Application for Designation)
An entity seeking designation under paragraph (1) of the preceding Article must submit a written application for designation stating the following particulars to the Prime Minister:
前条第一項の規定による指定を受けようとする者は、次に掲げる事項を記載した指定申請書を内閣総理大臣に提出しなければならない。
Open this provision(Application for Designation)
The following documents must be attached to the written application for designation referred to in the preceding paragraph:
前項の指定申請書には、次に掲げる書類を添付しなければならない。
Open this provision(Application for Designation)
a document pledging that the applicant satisfies the requirements set forth in paragraph (1), items (iii) and (iv) of the preceding Article;
前条第一項第三号及び第四号に掲げる要件に該当することを誓約する書面
Open this provision(Application for Designation)
the articles of incorporation and certificate of registered information of the corporation (including documents equivalent to them);
定款及び法人の登記事項証明書(これらに準ずるものを含む。)
Open this provision(Application for Designation)
its operational rules;
業務規程
Open this provision(Application for Designation)
an inventory of property, balance sheet, profit and loss statement or income statement, and business report;
財産目録、貸借対照表及び損益計算書又は収支計算書並びに事業報告書
Open this provision(Application for Designation)
documents stating the expected income and expenditures; and
収支の見込みを記載した書類
Open this provision(Rescission of a Designation)
If a trade repository falls under any of the following items, the Prime Minister may rescind the designation under Article 156-67, paragraph (1) or the approval set forth in the proviso to Article…
内閣総理大臣は、取引情報蓄積機関が次の各号のいずれかに該当するときは、第百五十六条の六十七第一項の規定による指定若しくは第百五十六条の七十二第一項ただし書の承認を取り消し、六月以内の期間を定めて、その業務の全部若しくは一部の停止を命じ、又はその役員の解任を命ずることができる。
Open this provisionwhen the person fails to provide data on centrally cleared trades or data on non-centrally cleared trades under the provisions of Article 156-63, paragraph (1) or Article 156-64, paragraph (1)…
第百五十六条の六十三第一項又は第百五十六条の六十四第一項の規定による清算集中等取引情報若しくは非清算集中等取引情報の提供をせず、又は虚偽の清算集中等取引情報若しくは非清算集中等取引情報の提供をしたとき。
Open this provisionover-the-counter derivatives transactions
「店頭デリバティブ取引」
A transaction listed in Article 2, paragraph (22) — such as forward, index, option and swap transactions on financial instruments or financial indicators — carried out outside financial instruments markets and foreign financial instruments markets, other than those a Cabinet Order (政令) excludes as posing no risk to the public interest or the protection of investors.
Defined inArticle 2, paragraph (22)· applies throughout the law
foreign financial instruments clearing organization
「外国金融商品取引清算機関」
A foreign financial instruments clearing organization as defined in Article 2, paragraph (29) of the Financial Instruments and Exchange Act: one that carries on financial instruments obligation assumption business (金融商品債務引受業) under a licence from the Prime Minister under Article 156-20-2 of that Act.
Defined inArticle 2, paragraph (29)
financial instruments clearing organization
「金融商品取引清算機関」
A person carrying on financial instruments obligation assumption service (金融商品債務引受業) under a licence from the Prime Minister under Article 156-2 or an approval under Article 156-19, paragraph (1).
Defined inArticle 2, paragraph (29)· applies throughout the law
electronic or magnetic recordmachine translation
「電磁的記録」
A record made in electronic, magnetic or any other form people cannot perceive directly, for use in computer processing.
Defined inArticle 13, paragraph (5)
officer
「役員」
A director, accounting advisor, company auditor or executive officer, or a person equivalent to one, in this Act other than Articles 163 to 167.
Defined inArticle 21, paragraph (1), item (i)· applies from here on, except in Articles 163 to 167
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)
collaborating clearing organization, etc.machine translation
「連携清算機関等」
Another financial instruments clearing organization (金融商品取引清算機関), a foreign financial instruments clearing organization (外国金融商品取引清算機関), or a corporation established under foreign law that carries on, abroad, business of the same kind as financial instruments obligation assumption service (金融商品債務引受業); with the Prime Minister's authorization, a financial instruments clearing organization may contract with one to carry on collaborating financial instruments obligation assumption services (連携金融商品債務引受業務).
Defined inArticle 156-20-16, paragraph (1)
collaborating financial instruments obligation assumption servicesmachine translation
「連携金融商品債務引受業務」
Carrying on as a business an act specified by Cabinet Office Order (内閣府令) by which a financial instruments clearing organization has a third party take on a clearing member's (清算参加者) obligations under a subject transaction (対象取引) other than those in Article 156-62, item (i), and itself takes on the obligations of that clearing member's counterparty; a clearing organization may do so, with the Prime Minister's authorization, under a contract with a collaborating clearing organization, etc. (連携清算機関等).
Defined inArticle 156-20-16, paragraph (1)
operational rules
「業務規程」
The rules a designated dispute resolution organization (指定紛争解決機関) sets for carrying out its dispute resolution services, etc. (紛争解決等業務).
Short name set inArticle 156-39, paragraph (1), item (vii)
trade repository businessmachine translation
「取引情報蓄積業務」
The business of collecting and preserving trade data (取引情報).
Defined inArticle 156-63, paragraph (1)
trade repositorymachine translation
「取引情報蓄積機関」
A person designated under Article 156-67, paragraph (1) to carry on trade repository business (取引情報蓄積業務).
Defined inArticle 156-63, paragraph (1)
designated foreign trade repositorymachine translation
「指定外国取引情報蓄積機関」
A person carrying on, in a foreign country, business of the same kind as trade repository business (取引情報蓄積業務) — collecting and preserving trade data (取引情報) — whom the Prime Minister designates as one from whom the Prime Minister expects to obtain the trade data it collects and preserves.
Defined inArticle 156-63, paragraph (1)· applies only in this provision and in Article 156-63, paragraph (2); and Article 156-64
financial instruments clearing organization, etc.machine translation
「金融商品取引清算機関等」
In Chapter V-6, a financial instruments clearing organization (金融商品取引清算機関) or a foreign financial instruments clearing organization (外国金融商品取引清算機関).
Defined inArticle 156-63, paragraph (1)· applies only in this chapter
trade data
「取引情報」
Information on transactions that a Cabinet Office Order (内閣府令) specifies as needing to be made clear, for investor protection, to show the state of the transactions of financial instruments business operators, etc. (金融商品取引業者等).
Defined inArticle 156-63, paragraph (3)· applies only in this paragraph
data on centrally cleared trades
「清算集中等取引情報」
The part of trade data (取引情報) that concerns transactions whose obligations a financial instruments clearing organization, etc. has assumed — the transactions that must be centrally cleared under Article 156-62 and other transactions a Cabinet Office Order (内閣府令) specifies.
Defined inArticle 156-63, paragraph (3)
trade data
「取引情報」
Information on transactions that a Cabinet Office Order (内閣府令) specifies as needing to be made clear, for investor protection, to show the state of the transactions of financial instruments business operators, etc. (金融商品取引業者等).
Defined inArticle 156-64, paragraph (1)· applies only in this chapter
data on centrally cleared trades
「清算集中等取引情報」
The part of trade data (取引情報) that concerns transactions whose obligations a financial instruments clearing organization, etc. has assumed — the transactions that must be centrally cleared under Article 156-62 and other transactions a Cabinet Office Order (内閣府令) specifies.
Defined inArticle 156-64, paragraph (1)· applies only in this provision and in Article 198-6, paragraph (1), item (xvii-2-2)
data on non-centrally cleared tradesmachine translation
「非清算集中等取引情報」
In Article 156-64, paragraphs (1) and (2) and Article 198-6, item (xvii)-2-2, the trade data (取引情報) defined in Article 156-63, paragraph (3) other than the data on centrally cleared trades (清算集中等取引情報), which a financial instruments business operator, etc. (金融商品取引業者等) must provide to a trade repository (取引情報蓄積機関) or designated foreign trade repository.
Defined inArticle 156-64, paragraph (1)· applies only in this provision and in Article 156-64, paragraph (2); and Article 198-6, paragraph (1), item (xvii-2-2)
articles of incorporation
定款
A company's own basic rules, written by its founders when it is formed: at least its purpose, its trade name, where its head office is, the value of the property contributed at incorporation and who the founders are (Companies Act, Article 27). A stock company's must be certified by a notary before it takes effect (Article 30, paragraph (1)), and can later be changed by a resolution of the shareholders meeting (Article 466). Many rules in the Act apply "unless the articles of incorporation provide otherwise", so a company's articles decide a great deal of how the Act applies to it.
Written by AI using Companies Act, Arts. 26, 27, 30, 466, 575 as a reference.
fine
罰金
A criminal punishment of paying money to the state, of 10,000 yen or more, or less where it is reduced (Penal Code, Article 15). It ranks below imprisonment (拘禁刑) and above penal detention (拘留) and a petty fine (科料) (Articles 9 and 10, paragraph (1)). A person who cannot pay it in full is held in a workhouse (労役場) for one day to two years, or up to three years where fines are imposed together, a period set when the sentence is passed (Article 18, paragraphs (1), (3) and (4)); not within thirty days of the sentence becoming final without the person's consent (paragraph (5)). If it is not enforced for three years after the sentence becomes final, the person is released from it by prescription (Articles 31 and 32, item (v)); the three years do not run while its execution is suspended under law or the person is abroad, and an act of execution interrupts them (Articles 33 and 34, paragraph (2)).
Written by AI using Penal Code, Arts. 9, 10, 15, 18, 31 to 34 as a reference.
imprisonment
拘禁刑
The punishment of being held in a penal institution (刑事施設), for life or for a fixed term of one month to twenty years (Penal Code, Article 12, paragraphs (1) and (2)); a fixed term can be raised to thirty years where the punishment is aggravated, or cut below one month where it is reduced (Article 14, paragraph (2)). To help the person reform and rehabilitate, they may be made to do work or given guidance (Article 12, paragraph (3)). It ranks below the death penalty and above a fine (罰金) among the principal punishments (Articles 9 and 10, paragraph (1)). It replaced imprisonment with work (懲役) and imprisonment without work (禁錮) when the Act Partially Amending the Penal Code, etc. (Act No. 67 of 2022) came into force (Act No. 67 of 2022, Article 2), and a person sentenced to either is treated, for the rules on a person's qualifications, as sentenced to imprisonment for the same term (Act No. 68 of 2022, Article 443, paragraph (1)).
Written by AI using Penal Code, Arts. 9, 10, 12, 14, Act No. 67 of 2022, Art. 2 and Act No. 68 of 2022, Art. 443 as a reference.
Prime Minister
内閣総理大臣
The head of the Cabinet. Designated by the Diet from among its own members, and appointed by the Emperor on that designation (Articles 67 and 6). The Prime Minister appoints and may dismiss the other Ministers of State at will, and a majority of them must be members of the Diet (Article 68). No Minister of State can be subjected to legal action while in office without the Prime Minister's consent (Article 75).
Written by AI using Constitution, Arts. 6, 67, 68, 75 and Wikipedia: Prime Minister of Japan as a reference.