Article 194-5Submission of Materials to the Minister of Finance
第百九十四条の五(財務大臣への資料提出等)
If the Minister of Finance finds it to be necessary for planning or making policies for financial instruments trading systems related to the system for handling failed financial institutions and financial risk management under the Minister's jurisdiction, the Minister may request the Prime Minister to provide necessary materials and explanations.
財務大臣は、その所掌に係る金融破綻処理制度及び金融危機管理に関し、金融商品取引に係る制度の企画又は立案をするため必要があると認めるときは、内閣総理大臣に対し、必要な資料の提出及び説明を求めることができる。
If the Minister of Finance finds it to be particularly necessary for planning or making policies for financial instruments trading systems related to the system for handling failed financial institutions and financial risk management under the Minister's jurisdiction, the Minister may, to the extent necessary, request a financial instruments business operator, etc., designated parent company, authorized firm for on-exchange transactions, the business operator authorized to conduct electronic over-the-counter derivatives transactions, etc. business operator, financial instruments intermediary service provider, high-speed trader, authorized financial instruments firms association, certified financial instruments business association (meaning a certified financial instruments business association prescribed in Article 78, paragraph (2); the same applies in Article 194-7, paragraph (2), item (v)), financial instruments exchange, self-regulatory organization under Article 85, paragraph (1), financial instruments exchange holding company, foreign financial instruments exchange, financial instruments clearing organization, foreign financial instruments clearing organization, securities finance company, or other relevant persons to provide materials or explanations or any other cooperation.
財務大臣は、その所掌に係る金融破綻処理制度及び金融危機管理に関し、金融商品取引に係る制度の企画又は立案をするため特に必要があると認めるときは、その必要の限度において、金融商品取引業者等、指定親会社、取引所取引許可業者、電子店頭デリバティブ取引等許可業者、金融商品仲介業者、高速取引行為者、認可金融商品取引業協会、認定金融商品取引業協会(第七十八条第二項に規定する認定金融商品取引業協会をいう。第百九十四条の七第二項第五号において同じ。)、金融商品取引所、第八十五条第一項に規定する自主規制法人、金融商品取引所持株会社、外国金融商品取引所、金融商品取引清算機関、外国金融商品取引清算機関、証券金融会社その他の関係者に対し、資料の提出、説明その他の協力を求めることができる。
第百九十四条の六(農林水産大臣及び経済産業大臣との協議等)
Cabinet Order specifies consultations with the Minister of Agriculture, Forestry and Fisheries or the Minister of Economy, Trade and Industry, the notices to these Ministers, and other procedures, if, pursuant to the provisions of this Act, the Prime Minister establishes Cabinet Office Order (limited to those specified by Cabinet Order), issues an order or renders other dispositions (limited to those specified by Cabinet Order), or receives a notification (limited to those specified by Cabinet Order) or an application for registration, for the business of performing the following acts in connection with rights set forth in Article 2, paragraph (2), item (i), (ii), (v), or (vi) which fall under the rights specified by Cabinet Order as those whose purpose is for a person to engage in the commodity investment provided for in Article 2, paragraph (1) of the Act Regulating Business Involving Commodity Investment, or whose purpose is for a person to invest goods with substantial price volatility or goods generating a profit when used that is difficult to estimate, by acquiring them (including producing them), transferring them, using them, or causing them to be used:
この法律の規定により、第二条第二項第一号、第二号、第五号若しくは第六号に掲げる権利であつて、商品投資に係る事業の規制に関する法律第二条第一項に規定する商品投資その他価格の変動が著しい物品若しくはその使用により得られる収益の予測が困難な物品の取得(生産を含む。)をし、譲渡をし、使用をし、若しくは使用をさせることにより運用することを目的とするものとして政令で定めるものに該当するものに係る次に掲げる行為を行う業務に関し、内閣総理大臣が内閣府令(政令で定めるものに限る。)を定め、若しくは内閣総理大臣が命令その他の処分(政令で定めるものに限る。)を行う場合又は内閣総理大臣に対し届出(政令で定めるものに限る。)若しくは登録の申請があつた場合における農林水産大臣又は経済産業大臣との協議、これらに対する通知その他の手続については、政令で定める。
purchase and sales, or its intermediation, brokerage, or agency;
売買又はその媒介、取次ぎ若しくは代理
public offerings or private placements;
募集又は私募
secondary distributions; or
売出し
dealings in public offerings or secondary distributions, or dealings in private placements.
募集若しくは売出しの取扱い又は私募の取扱い
If the Prime Minister makes the registration referred to in Article 29 or Article 33-2 or accepts a notification referred to in Article 31, paragraph (1) or Article 33-6, paragraph (1) for a person seeking to perform an act set forth in any of the following items on a regular basis, the Prime Minister is to notify the Minister of Economy, Trade and Industry of the information set forth in Article 29-2, paragraph (1) or Article 33-3, paragraph (1) with regard to that person:
内閣総理大臣は、次の各号に掲げる行為を業として行おうとする者について、第二十九条若しくは第三十三条の二の登録を行い、又は第三十一条第一項若しくは第三十三条の六第一項の届出を受理した場合には、当該者に係る第二十九条の二第一項又は第三十三条の三第一項に掲げる事項を経済産業大臣に通知するものとする。
an act set forth in Article 2, paragraph (8), item (vii) (limited to an act involving a right based on a limited partnership agreement for investment prescribed in Article 3, paragraph (1) of the Limited Partnership Act for Investment, which falls under a right referred to in Article 2, paragraph (2), item (v) of this Act (hereinafter referred to as a "right in an investment limited partnership" in this Article)); or
an act set forth in Article 2, paragraph (8), item (xv) (limited to an act involving a right in an investment limited partnership).
第二条第八項第十五号に掲げる行為(投資事業有限責任組合権利に係るものに限る。)
If the Prime Minister accepts a notification based on the provisions of Article 63, paragraph (2) in connection with a person that seeks to perform an act set forth in any of the following items on a regular basis, the Prime Minister is to notify the Minister of Economy, Trade and Industry of the particulars set forth in the items of Article 63, paragraph (2) concerning that person:
an act set forth in Article 63, paragraph (1), item (i) (limited to an act involving a right in an investment limited partnership); and
第六十三条第一項第一号に掲げる行為(投資事業有限責任組合権利に係るものに限る。)
an act set forth in Article 63, paragraph (1), item (ii) (limited to an act involving a right in an investment limited partnership).
第六十三条第一項第二号に掲げる行為(投資事業有限責任組合権利に係るものに限る。)
If the Prime Minister accepts a notification based on the provisions of Article 63-9, paragraph (1) in connection with a person that seeks to perform an act set forth in one of the following items on a regular basis, the Prime Minister is to notify the Minister of Economy, Trade and Industry of the particulars set forth in the items of that paragraph concerning that person:
内閣総理大臣は、次の各号に掲げる行為を業として行おうとする者について、第六十三条の九第一項の規定に基づく届出を受理した場合には、当該者に係る同項各号に掲げる事項を経済産業大臣に通知するものとする。
an act set forth in Article 63-8, paragraph (1), item (i) (limited to an act involving a right in an investment limited partnership); and
第六十三条の八第一項第一号に掲げる行為(投資事業有限責任組合権利に係るものに限る。)
an act set forth in Article 63-8, paragraph (1), item (ii) (limited to an act involving a right in an investment limited partnership).
第六十三条の八第一項第二号に掲げる行為(投資事業有限責任組合権利に係るものに限る。)
Article 194-6-2Consultation with the Minister with Jurisdiction Over a Commodity Market
第百九十四条の六の二(商品市場所管大臣への協議等)
When the Prime Minister makes the following dispositions, the Prime Minister must consult with and obtain consent from the Minister with jurisdiction over a commodity market (meaning the Ministers specified in the items of Article 354, paragraph (1) of the Commodity Derivatives Transaction Act in accordance with the categories set forth in each of those items; the same applies hereinafter) in advance; provided, however, that, with regard to the dispositions set forth in item (ii), (c) through (e), item (iv), (b), or item (v), (b), when there is an urgent need for the public interest or protection of investors, it is sufficient to notify the Minister with jurisdiction over a commodity market of the outline of the necessary measures in advance:
granting a license under Article 80, paragraph (1) (limited to a license to be granted to a person that seeks to establish a financial instruments market for conducting commodity-related market derivatives transactions);
第八十条第一項の規定による免許(商品関連市場デリバティブ取引を行う金融商品市場を開設しようとする者に対するものに限る。)
making dispositions set forth in the following subitems (a) through (f) to a financial instruments exchange:
金融商品取引所に対する次のイからヘまでに掲げる処分
giving an order under Article 127, paragraph (1) (limited to an order related to commodity or financial indexes (limited the prices of commodities or the figures calculated based on them));
granting the authorization for changes to the operational rules under Article 149, paragraph (1) (limited to the authorization related to the particulars set forth in Article 117, paragraph (1), item (v) (limited the particulars concerning commodity-related market derivatives transactions) or item (viii) (limited to the particulars concerning transfer of commodities related to commodity-related market derivatives transactions) or the particulars concerning the detailed regulations prescribed in paragraph (2) of that Article);
第百四十九条第一項の規定による業務規程の変更の認可(第百十七条第一項第五号(商品関連市場デリバティブ取引に係るものに限る。)若しくは第八号(商品関連市場デリバティブ取引に係る商品の受渡しに係るものに限る。)に掲げる事項又は同条第二項に規定する細則に関する事項に係るものに限る。)
giving an order under Article 152, paragraph (1), item (i) (limited to an order to take necessary measures (limited to the measures for the particulars concerning clearing margins or other particulars specified by Cabinet Order), specified in the articles of incorporation or any other rules for commodity-related market derivatives transactions);
第百五十二条第一項第一号の規定による命令(商品関連市場デリバティブ取引に関し、定款その他の規則に定める必要な措置(取引証拠金に関する事項その他政令で定める事項に係るものに限る。)を命ずるものに限る。)
giving an order under Article 152, paragraph (1), item (ii) (limited to an order related to commodity-related market derivatives transactions);
第百五十二条第一項第二号の規定による命令(商品関連市場デリバティブ取引に係るものに限る。)
giving an order under Article 153 (limited to an order to change the operational rules concerning the particulars related to clearing margins for commodity market derivatives transactions or other orders specified by Cabinet Order); and
第百五十三条の規定による命令(商品関連市場デリバティブ取引に係る取引証拠金に関する事項についての業務規程の変更命令その他政令で定めるものに限る。)
granting the approval under Article 156-19, paragraph (1) (limited to the approval to a person that seeks to conduct financial instruments obligation assumption service in relation to commodity-related market derivatives transactions);
第百五十六条の十九第一項の規定による承認(商品関連市場デリバティブ取引について金融商品債務引受業を行おうとする者に対するものに限る。)
granting a license under Article 156-2 (limited to a license to a person that seeks to conduct financial instruments obligation assumption service in relation to commodity-related market derivatives transactions);
第百五十六条の二の規定による免許(商品関連市場デリバティブ取引について金融商品債務引受業を行おうとする者に対するものに限る。)
making dispositions set forth in the following sub-items (a) and (b) to a financial instruments clearing organization (excluding a financial instruments clearing organization that conducts commodity transaction debt assumption services, etc.):
金融商品取引清算機関(商品取引債務引受業等を行うものを除く。)に対する次のイ及びロに掲げる処分
granting the authorization to change business rules under Article 156-12 (limited to the authorization related to the particulars set forth in Article 156-7, paragraph (2), item (iv) which concerns particulars concerning transfer of commodities related to commodity-related market derivatives transactions); and
第百五十六条の十二の規定による業務方法書の変更の認可(第百五十六条の七第二項第四号に掲げる事項のうち商品関連市場デリバティブ取引に係る商品の受渡しに関する事項に係るものに限る。)
giving an order under Article 156-16 (limited to an order to change business rules on the particulars concerning clearing margins related to commodity-related market derivatives transactions);
第百五十六条の十六の規定による命令(商品関連市場デリバティブ取引に係る取引証拠金に関する事項についての業務方法書の変更命令に限る。)
making dispositions set forth in the following sub-items (a) and (b) to a financial instruments clearing organization (limited to a financial instruments clearing organization that conducts commodity transaction debt assumption services, etc.):
金融商品取引清算機関(商品取引債務引受業等を行うものに限る。)に対する次のイ及びロに掲げる処分
granting the authorization to change business rules under Article 156-12 (limited to the authorization related to the particulars concerning commodity-related market derivatives transactions); and
第百五十六条の十二の規定による業務方法書の変更の認可(商品関連市場デリバティブ取引に関する事項に係るものに限る。)
giving an order under Article 156-16 (limited to an order to change business rules on the particulars concerning clearing margins related to commodity-related market derivatives transactions).
第百五十六条の十六の規定による命令(商品関連市場デリバティブ取引に係る取引証拠金に関する事項についての業務方法書の変更命令に限る。)
(Particulars to be Stated in the Operational Rules)
the type and period of purchase and sales of securities or market derivatives transactions;
有価証券の売買又は市場デリバティブ取引の種類及び期限
Open this provision(Particulars to be Stated in the Operational Rules)
delivery and other means of settlement for purchase and sales of securities or market derivatives transactions; and
有価証券の売買又は市場デリバティブ取引の受渡しその他の決済方法
Open this provision(Particulars to be Stated in the Operational Rules)
A financial instruments exchange must, when establishing a financial instruments exchange market in which commodity-related market derivatives transactions are conducted…
金融商品取引所は、商品関連市場デリバティブ取引を行う金融商品市場を開設する場合にあつては、その業務規程において、その開設する取引所金融商品市場ごとに、前項各号に掲げる事項のほか、当該取引所金融商品市場における商品関連市場デリバティブ取引の種類ごとに…
Open this provision(Order to Delist)
If a financial instruments exchange violates its operational rules in seeking to list or delist financial instruments, etc. or in listing or delisting them…
内閣総理大臣は、金融商品取引所が業務規程に違反して金融商品等の上場又は上場の廃止を行おうとする場合又は行つた場合には、当該金融商品取引所に対し、当該上場を行つた金融商品等の上場の廃止又は当該上場の廃止を行つた金融商品等の再上場その他当該違反を是正するために必要な措置をとることを命ずることができる。
Open this provision(Authorization to Change the Articles of Incorporation)
A financial instruments exchange must obtain the authorization of the Prime Minister if it seeks to change its articles of incorporation, operational rules, or brokerage contract rules.
金融商品取引所は、定款、業務規程又は受託契約準則を変更しようとするときは、内閣総理大臣の認可を受けなければならない。
Open this provision(Supervisory Dispositions for Financial Instruments Exchanges)
if it violates a law or regulation, a disposition by a government agency which is based on a law or regulation, a condition attached to the authorization referred to in the proviso to Article 87-2…
法令、法令に基づく行政官庁の処分、第八十七条の二第一項ただし書若しくは第八十七条の三第一項ただし書の認可に付した条件若しくは定款その他の規則に違反したとき、又は会員等若しくは当該金融商品取引所に上場されている有価証券の発行者が法令、法令に基づく行政官庁の処分若しくは当該金融商品取引所の定款、業務規程…
Open this provision(Supervisory Dispositions for Financial Instruments Exchanges)
if the conduct of the financial instruments exchange, or the status of purchase and sales of securities or market derivatives transactions on a financial instruments exchange market operated by the…
金融商品取引所の行為又はその開設する取引所金融商品市場における有価証券の売買若しくは市場デリバティブ取引の状況が公益又は投資者保護のため有害であると認めるとき 十日以内の期間を定めて取引所金融商品市場における有価証券の売買若しくは市場デリバティブ取引の全部若しくは一部の停止を命じ、又は閣議の決定を経て…
Open this provision(Business Improvement Orders)
If the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors as concerns a financial instruments exchange's articles of incorporation…
内閣総理大臣は、金融商品取引所の定款、業務規程、受託契約準則その他の規則若しくは取引の慣行又は業務の運営若しくは財産の状況に関し、公益又は投資者保護のため必要かつ適当であると認めるときは、その必要の限度において、当該金融商品取引所に対し、定款、業務規程…
Open this provision(Authorization to Change the Articles of Incorporation or Business Rules)
A financial instruments clearing organization must obtain the authorization of the Prime Minister if it seeks to change its articles of incorporation or business rules.
金融商品取引清算機関は、定款又は業務方法書を変更しようとするときは、内閣総理大臣の認可を受けなければならない。
Open this provision(Business Improvement Orders)
If the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors as concerns a financial instruments clearing organization's business…
内閣総理大臣は、金融商品取引清算機関の業務の運営又は財産の状況に関し、公益又は投資者保護のため必要かつ適当であると認めるときは、その必要の限度において、当該金融商品取引清算機関に対し、業務の内容若しくは方法の変更その他業務の運営又は財産の状況の改善に必要な措置をとるべきことを命ずることができる。
Open this provisionFinancial Instruments Obligation Assumption Services, etc. by a Financial Instruments Exchange
Notwithstanding the provisions of Article 87-2, paragraph (1) and Article 156-2, a financial instruments exchange may perform financial instruments obligation assumption services…
金融商品取引所は、第八十七条の二第一項及び第百五十六条の二の規定にかかわらず、内閣府令で定めるところにより、内閣総理大臣の承認を受けて金融商品債務引受業等及びこれに附帯する業務を行うことができる。
Open this provision(License)
A person not licensed by the Prime Minister must not perform financial instruments obligation assumption services.
金融商品債務引受業は、内閣総理大臣の免許を受けた者でなければ、行つてはならない。
Open this provision(Business Rules)
the particulars of the taking over, novating, or other bearing of obligations that the clearing organization performs as financial instruments obligation assumption services…
金融商品債務引受業として行う引受け、更改その他の方法による債務の負担及びその履行に関する事項
Open this provision(Consultation with the Minister of Agriculture, Forestry and Fisheries and the Minister of Economy, Trade and Industry)
Cabinet Order specifies consultations with the Minister of Agriculture, Forestry and Fisheries or the Minister of Economy, Trade and Industry, the notices to these Ministers, and other procedures, if…
この法律の規定により、第二条第二項第一号、第二号、第五号若しくは第六号に掲げる権利であつて、商品投資に係る事業の規制に関する法律第二条第一項に規定する商品投資その他価格の変動が著しい物品若しくはその使用により得られる収益の予測が困難な物品の取得(生産を含む。)をし、譲渡をし、使用をし…
Open this provision(Consultation with the Minister with Jurisdiction Over a Commodity Market)
making dispositions set forth in the following subitems (a) through (f) to a financial instruments exchange:
金融商品取引所に対する次のイからヘまでに掲げる処分
Open this provision(Consultation with the Minister with Jurisdiction Over a Commodity Market)
making dispositions set forth in the following sub-items (a) and (b) to a financial instruments clearing organization…
金融商品取引清算機関(商品取引債務引受業等を行うものを除く。)に対する次のイ及びロに掲げる処分
Open this provision(Consultation with the Minister with Jurisdiction Over a Commodity Market)
making dispositions set forth in the following sub-items (a) and (b) to a financial instruments clearing organization…
金融商品取引清算機関(商品取引債務引受業等を行うものに限る。)に対する次のイ及びロに掲げる処分
Open this provision(Delegation of Authority to the Commissioner of the Financial Services Agency)
the authority under the provisions of Article 79-4 (limited to the authority over the business specified by Cabinet Order as the business of a certified financial instruments business association in…
第七十九条の四の規定による権限(有価証券の売買その他の取引及びデリバティブ取引等の公正の確保に係る認定金融商品取引業協会の業務として政令で定める業務に関するものに限る。)
Open this provision(Definitions)
a beneficial interest in a trust (excluding a beneficial interest that must be indicated on the beneficiary certificates of an investment trust specified in item (x) of the preceding paragraph and a…
信託の受益権(前項第十号に規定する投資信託の受益証券に表示されるべきもの及び同項第十二号から第十四号までに掲げる有価証券に表示されるべきもの並びに資金決済に関する法律第二条第五項第三号又は第四号に掲げるものに該当するもので有価証券とみなさなくても公益又は投資者の保護のため支障を生ずることがないと認められるものとして政…
Open this provision(Definitions)
rights that are claimable against a foreign person and which have the nature of the rights specified in the preceding item…
外国の者に対する権利で前号に掲げる権利の性質を有するもの(前項第十号に規定する外国投資信託の受益証券に表示されるべきもの並びに同項第十七号及び第十八号に掲げる有価証券に表示されるべきものに該当するものを除く。)
Open this provision(Definitions)
among the rights based on a partnership contract provided for in Article 667, paragraph (1) of the Civil Code (Act No. 89 of 1896), a silent partnership agreement provided for in Article 535 of the…
民法(明治二十九年法律第八十九号)第六百六十七条第一項に規定する組合契約、商法(明治三十二年法律第四十八号)第五百三十五条に規定する匿名組合契約、投資事業有限責任組合契約に関する法律(平成十年法律第九十号)第三条第一項に規定する投資事業有限責任組合契約又は有限責任事業組合契約に関する法律(平成十七年法律第四十号)第三…
Open this provision(Definitions)
rights based on foreign laws and regulations which are similar to those specified in the preceding item; or
外国の法令に基づく権利であつて、前号に掲げる権利に類するもの
Open this provision(Definitions)
the management (excluding management that falls under the category of act set forth in item (xii) or the preceding item) of money or other property invested or contributed by a person that holds the…
金融商品の価値等の分析に基づく投資判断に基づいて主として有価証券又はデリバティブ取引に係る権利に対する投資として、次に掲げる権利その他政令で定める権利を有する者から出資又は拠出を受けた金銭その他の財産の運用を行うこと(第十二号及び前号に掲げる行為に該当するものを除く。)。
Open this provision(Definitions)
the public offering or private placement of securities (limited to those set forth in the following items):
有価証券(次に掲げるものに限る。)の募集又は私募
Open this provision(Registration)
A person may not engage in financial instruments business if that person has not been registered by the Prime Minister.
金融商品取引業は、内閣総理大臣の登録を受けた者でなければ、行うことができない。
Open this provision(Application for Registration)
A person seeking the registration referred to in the preceding Article must submit a written application for registration to the Prime Minister, in which it states the following particulars:
前条の登録を受けようとする者は、次に掲げる事項を記載した登録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(Registration of a Change)
If a particular set forth in the items of Article 29-2, paragraph (1) (excluding items (v) through (vi), item (vii), (b), item (viii), and item (ix)) changes…
金融商品取引業者は、第二十九条の二第一項各号(第五号から第六号まで、第七号ロ、第八号及び第九号を除く。)に掲げる事項について変更があつたときは、その日から二週間以内に、その旨を内閣総理大臣に届け出なければならない。
Open this provision(Registration of Financial Institutions)
A financial institution must be registered by the Prime Minister if it seeks to perform any of the following acts on a regular basis, or if it seeks to provide investment advisory and agency business…
金融機関は、次に掲げる行為のいずれかを業として行おうとするとき、又は投資助言・代理業若しくは有価証券等管理業務を行おうとするときは、内閣総理大臣の登録を受けなければならない。
Open this provision(Application for the Registration of a Financial Institution)
A person seeking the registration referred to in the preceding Article must submit a written application for registration to the Prime Minister, in which it states the following particulars:
前条の登録を受けようとする者は、次に掲げる事項を記載した登録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(Notification of a Change)
If the particulars set forth in the items of Article 33-3, paragraph (1) changes, the registered financial institution must notify the Prime Minister of this within two weeks from the day of the…
登録金融機関は、第三十三条の三第一項各号に掲げる事項について変更があつたときは、その日から二週間以内に、その旨を内閣総理大臣に届け出なければならない。
Open this provision(Specially Permitted Services for Foreign Investors)
the act set forth in Article 2, paragraph (8), item (xv), of investing money (including anything specified by Cabinet Order as being similar to money; the same applies in this item and paragraph (9)…
第二条第二項第五号又は第六号に掲げる権利(同一の出資対象事業(同項第五号に規定する出資対象事業をいう。)に係る当該権利を有する者が海外投資家等(次のいずれにも該当しないものに限る。)のみであるものに限る。)を有する海外投資家等から出資され…
Open this provision(Specially Permitted Services for Foreign Investors)
the public offering or private placement related to rights set forth in Article 2, paragraph (2), item (v) or (vi) made to foreign investors, etc. that do not fall under any of (a) through (c) of the…
その行う前号に掲げる行為に関して海外投資家等で同号イからハまでのいずれにも該当しない者を相手方として行う第二条第二項第五号又は第六号に掲げる権利に係る募集又は私募(海外投資家等(前号イからハまでのいずれにも該当しないものに限る。)以外の者が当該権利を取得するおそれが少ないものとして政令で定めるものに限り、投資者の保護…
Open this provision(Notification of Specially Permitted Services for Foreign Investors)
Notwithstanding the provisions of Article 29, a person other than a financial instruments business operator and a financial institution prescribed in Article 33…
金融商品取引業者及び第三十三条第一項に規定する金融機関以外の者は、第二十九条の規定にかかわらず、あらかじめ、内閣府令で定めるところにより、次に掲げる事項を内閣総理大臣に届け出て、海外投資家等特例業務を行うことができる。ただし、次条第三項第二号に該当することとなつたときは、この限りでない。
Open this provision(Specially Permitted Services for Qualified Institutional Investors)
the private placement of rights set forth in Article 2, paragraph (2), item (v) or (vi) with qualified institutional investors, etc.…
適格機関投資家等(適格機関投資家以外の者で政令で定めるもの(その数が政令で定める数以下の場合に限る。)及び適格機関投資家をいう。以下この条において同じ。)で次のいずれにも該当しない者を相手方として行う第二条第二項第五号又は第六号に掲げる権利に係る私募(適格機関投資家等(次のいずれにも該当しないものに限る。)以外の者が…
Open this provision(Specially Permitted Services for Qualified Institutional Investors)
the act set forth in Article 2, paragraph (8), item (xv), of investing money (including anything specified by Cabinet Order as being similar to money) that has been invested or contributed by a…
第二条第二項第五号又は第六号に掲げる権利(同一の出資対象事業(同項第五号に規定する出資対象事業をいう。)に係る当該権利を有する者が適格機関投資家等(前号イからハまでのいずれにも該当しないものに限る。)のみであるものに限る。)を有する適格機関投資家等から出資され…
Open this provision(Specially Permitted Services for Qualified Institutional Investors)
A person that will engage in specially permitted services for qualified institutional investors, etc. (meaning performing any of the acts set forth in the items of the preceding paragraph on a…
適格機関投資家等特例業務(前項各号に掲げる行為のいずれかを業として行うことをいう。以下同じ。)を行う者(金融商品取引業者等を除く。)は、あらかじめ、内閣府令で定めるところにより、次に掲げる事項を内閣総理大臣に届け出なければならない。
Open this provision(Certification of Certified Financial Instruments Business Associations)
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…
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。
Open this provision(Licensing)
With the exception of an authorized financial instruments firms Association, a person must not operate a financial instruments market unless it is licensed by the Prime Minister.
金融商品市場は、認可金融商品取引業協会を除き、内閣総理大臣の免許を受けた者でなければ、開設してはならない。
Open this provision(Entrustment of Self-Regulatory Services)
With the authorization of the Prime Minister, a financial instruments exchange may entrust all or part of the self-regulatory services of the financial instruments exchange to a self-regulatory…
金融商品取引所は、内閣総理大臣の認可を受けて、自主規制法人(自主規制業務(前条第二項に規定する自主規制業務をいう。以下この章において同じ。)を行うことを目的として、次節第一款の二の規定に基づいて設立された法人をいう。以下この章において同じ。)に対し…
Open this provisioncommodity-related market derivatives transactions
「商品関連市場デリバティブ取引」
A market derivatives transaction (市場デリバティブ取引) on the commodities listed in Article 2, paragraph (24), item (iii)-3, or on financial indicators limited to their prices and figures calculated from them.
Short name set inArticle 2, paragraph (8), item (i)
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
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 Chapter IV, 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 (Article 67).
Defined inArticle 2, paragraph (13)· applies throughout the law
financial instruments market
「金融商品市場」
A market for buying and selling securities or for market derivatives transactions (市場デリバティブ取引), other than one dealing only in commodity-related market derivatives transactions (商品関連市場デリバティブ取引).
Defined inArticle 2, paragraph (14)· applies throughout the law
financial instruments exchange
「金融商品取引所」
A membership corporation (金融商品会員制法人) or stock company (株式会社) licensed by the Prime Minister under Article 80, paragraph (1) to open a financial instruments market (金融商品市場).
Defined inArticle 2, paragraph (16)· applies throughout the law
financial instruments exchange holding company
「金融商品取引所持株会社」
A stock company that has as its subsidiary company (子会社) a stock company opening a financial instruments exchange market (株式会社金融商品取引所), and that was incorporated with, or has received, the Prime Minister's authorization under Article 106-10, paragraph (1) or the proviso to paragraph (3) of that Article.
Defined inArticle 2, paragraph (18)· applies throughout the law
commodities
「商品」
Commodities as defined in Article 2, paragraph (1) of the Commodity Derivatives Transaction Act that a Cabinet Order (政令) specifies, having regard to price stabilisation measures and how their prices are formed and their supply and demand, as ones whose proper price formation market derivatives transactions would not harm and in which such transactions on a financial instruments exchange market would benefit the national economy.
Defined inArticle 2, paragraph (24), item (iii-3)
financial index
「金融指標」
Prices of financial instruments (金融商品), and interest rates, etc. on financial instruments other than currencies and commodities; figures from weather observations published by the Japan Meteorological Agency (気象庁) or others; indicators that cannot practically be influenced and that greatly affect businesses, or socio-economic statistics, that a Cabinet Order (政令) specifies, with exclusions; and figures calculated from any of these.
Defined inArticle 2, paragraph (25)· applies throughout the law
foreign financial instruments exchange
「外国金融商品取引所」
An operator of a foreign financial instruments market (外国金融商品市場) authorized by the Prime Minister under Article 155, paragraph (1) to let financial instruments business operators or registered financial institutions trade on its market through input and output devices connected to its electronic data processing system.
Defined inArticle 2, paragraph (26)· applies throughout the law
financial instruments obligation assumption servicemachine translation
「金融商品債務引受業」
Carrying on as a business taking on, by assumption, novation or other means, the obligations under subject transactions (対象取引) of financial instruments business operators, registered financial institutions or securities finance companies, with them as counterparties; subject transactions are purchases and sales of securities and derivatives transactions, other than those a Cabinet Order (政令) excludes, and transactions incidental or related to them that a Cabinet Order specifies.
Defined inArticle 2, paragraph (28)· 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
securities finance company
「証券金融会社」
A person licensed by the Prime Minister under Article 156-24 to lend members, etc. of a financial instruments exchange, or members of an authorized financial instruments firms association (認可金融商品取引業協会), the money or securities needed to settle margin transactions (信用取引) and other transactions a Cabinet Order (政令) specifies, through the settlement system of the exchange market or over-the-counter securities market concerned.
Defined inArticle 2, paragraph (30)· applies throughout the law
high-speed trader
「高速取引行為者」
A person registered by the Prime Minister (内閣総理大臣) under Article 66-50 to carry on high-speed trading (高速取引行為).
Defined inArticle 2, paragraph (42)· applies throughout the law
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)
designated parent company
「指定親会社」
A parent company of a special financial instruments business operator (特別金融商品取引業者) that the Prime Minister has designated under Article 57-12, paragraph (1) as subject to the rules of that Subsection, because it carries on the business management of the operator, or it or its subsidiary corporations, etc. give the operator funding support on which its sound operation depends, and designation is especially needed in the public interest or to protect investors.
Short name set inArticle 57-12, paragraph (3)
authorized firm for on-exchange transactions
「取引所取引許可業者」
A foreign securities firm (外国証券業者) that holds the Prime Minister's permission under Article 60, paragraph (1) to carry on on-exchange transaction services (取引所取引業務).
Short name set inArticle 60-4, paragraph (1)
business operator authorized to conduct electronic over-the-counter derivatives transactions, etc.machine translation
「電子店頭デリバティブ取引等許可業者」
A person established under foreign law that has the Prime Minister's (内閣総理大臣) permission under Article 60-14, paragraph (1) to carry on the business of conducting electronic over-the-counter derivatives transactions, etc. (電子店頭デリバティブ取引等業務): regularly conducting specified over-the-counter derivatives transactions, or their intermediation, brokerage or agency, through the electronic data processing system it uses in its over-the-counter derivatives business, with counterparties engaged in securities-related business (有価証券関連業) or in similar cases a Cabinet Order (政令) specifies.
Short name set inArticle 60-14, paragraph (2)
self-regulatory organizationmachine translation
「自主規制法人」
In Chapter V, a corporation incorporated under Subsection 1-2 of Section 2 of that Chapter to carry on self-regulatory business (自主規制業務), to which a financial instruments exchange may, with the Prime Minister's authorization, entrust that business.
Defined inArticle 85, paragraph (1)· applies only in this chapter
commodity transaction debt assumption services, etc.machine translation
「商品取引債務引受業等」
Commodity transaction debt assumption services, etc. as defined in Article 170, paragraph (2) of the Commodity Derivatives Transaction Act — assuming obligations arising from transactions on a commodity market, and assuming obligations from over-the-counter commodity derivatives transactions with clearing participants — which a financial instruments clearing organization (金融商品取引清算機関) may also carry on with the Prime Minister's approval.
Defined inArticle 156-6, paragraph (2)
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)
certified financial instruments business association
「認定金融商品取引業協会」
A general incorporated association (一般社団法人) set up by financial instruments business operators that the Prime Minister has certified under Article 78, paragraph (1) to carry on the work listed in paragraph (2) of that Article for its members and the financial instruments intermediary service providers tied to them, such as guiding them to comply with the law, investigating them, resolving investors' complaints and disputes, registering sales representatives and making rules.
Defined inArticle 194-5, paragraph (2)· applies only in this provision and in Article 194-7, paragraph (2), item (v)
right in an investment limited partnership
「投資事業有限責任組合権利」
In Article 194-6, a right under an investment limited partnership agreement (投資事業有限責任組合契約) as defined in Article 3, paragraph (1) of the Limited Partnership Act for Investment that falls under Article 2, paragraph (2), item (v) of this Act.
Short name set inArticle 194-6, paragraph (2), item (i)· applies only in this article
Minister with jurisdiction over a commodity marketmachine translation
「商品市場所管大臣」
The minister or ministers that Article 354, paragraph (1) of the Commodity Derivatives Transaction Act makes responsible for the case concerned: the Minister of Agriculture, Forestry and Fisheries for markets and bodies dealing only in commodities under that ministry, the Minister of Economy, Trade and Industry for those dealing only in other commodities, and both ministers otherwise.
Defined inArticle 194-6-2, paragraph (1)
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.
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.