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Supplementary Provisions, Article 4

第四条

With regard to a securities company for which the fund received a notice by March 31, 2001 under the provisions of Article 79-53, paragraph (1) or paragraphs (3) through (5) (hereinafter referred to as a "company subject to the special rule"), the provisions of Article 79-57, paragraph (3) do not apply to the amount that the fund is to pay pursuant to the provisions of Article 79-56, paragraph (1) and Article 79-57, paragraph (1).

平成十三年三月三十一日までに基金が受けた第七十九条の五十三第一項又は第三項から第五項までの規定による通知に係る証券会社(以下「特例適用会社」という。)に関して、基金が第七十九条の五十六第一項及び第七十九条の五十七第一項の規定により支払をすべき金額については、同条第三項の規定は、適用しない。

Supplementary Provisions, Article 5

第五条

In each business year from the business year that includes the day of establishment of the fund through the business year of the fund that includes the day specified by Cabinet Order prescribed in Article 7, paragraph (1) of the Supplementary Provisions, the amount of burden charges prescribed in Article 79-64, paragraph (1) must not be less than the amount obtained by multiplying the amount that the fund specifies in its operational rules as the basis for calculating the burden charges to be paid by securities companies that are members (hereinafter referred to as the "calculation base amount") by the burden charge rate that the Prime Minister and the Minister of Finance specify in consideration of the estimated amount of costs required for services linked to funds for investor protection and the financial condition of the relevant securities company. In this case, the calculation base amount that the fund specifies must not be discriminatory against any specific securities company.

基金の成立の日を含む事業年度から附則第七条第一項に規定する政令で定める日の属する基金の事業年度までの各事業年度においては、第七十九条の六十四第一項に規定する負担金の額は、会員である証券会社の納付すべき負担金を算定する基礎として基金が業務規程で定める額(以下「算定基礎額」という。)に、投資者保護資金に係る業務に要する費用の予想額及び当該証券会社の財務の状況を勘案して内閣総理大臣及び財務大臣が定める負担金率を乗じて得た額を下回つてはならないものとする。この場合において、基金が定める算定基礎額は、特定の証券会社に対し差別的なものであつてはならない。

Supplementary Provisions, Article 6

第六条

With regard to the application of the provisions of Article 79-72 where the fund performs the services set forth in Article 79-49, items (i) through (iv) and item (vi) relating to a company subject to the special rule (including services deemed to be the services set forth in Article 79-49, item (i) or (ii) pursuant to Article 42, paragraph (7) or Article 43, paragraph (5) of the Supplementary Provisions of the Act on the Development of Related Acts, etc. for Financial System Reform (Act No. 107 of 1998); the same applies in the following Article), the phrase "financial institutions, etc. (meaning banks, securities companies, and others specified by Cabinet Office Order and Ministry of Finance Order)" in that Article is deemed to be replaced with "financial institutions, etc. (meaning banks, securities companies, and others specified by Cabinet Office Order and Ministry of Finance Order) or the Bank of Japan".

基金が、特例適用会社に係る第七十九条の四十九第一号から第四号まで及び第六号に掲げる業務(金融システム改革のための関係法律の整備等に関する法律(平成十年法律第百七号)附則第四十二条第七項又は同法附則第四十三条第五項の規定により第七十九条の四十九第一号又は第二号に掲げる業務とみなされるものを含む。次条において同じ。)を行う場合における第七十九条の七十二の規定の適用については、同条中「金融機関等(銀行、証券会社その他内閣府令・財務省令で定めるものをいう。)」とあるのは、「金融機関等(銀行、証券会社その他内閣府令・財務省令で定めるものをいう。)又は日本銀行」とする。

In the case where the provisions of the preceding paragraph apply, the Bank of Japan may carry out the lending of funds to the fund, notwithstanding the provisions of .

前項の規定の適用がある場合には、日本銀行は、の規定にかかわらず、基金に対し、資金の貸付けをすることができる。

If the fund borrows under the provisions of Article 79-72 as the terms are replaced pursuant to the provisions of paragraph (1), the government may, if it finds it necessary, notwithstanding the provisions of , guarantee the obligations of the fund pertaining to that borrowing within the limits of the amount approved by a resolution of the Diet.

政府は、基金が第一項の規定により読み替えられた第七十九条の七十二の規定により借入れをする場合において、必要があると認めるときは、の規定にかかわらず、国会の議決を経た金額の範囲内において、当該借入れに係る基金の債務の保証をすることができる。

Supplementary Provisions, Article 7

第七条

If, on the last day of the business year that includes the date specified by Cabinet Order as the date on which the fund ended the services listed in Article 79-49, items (i) through (iv) and item (vi) pertaining to a company subject to the special rule, there is a remaining balance of borrowings guaranteed by the government under the provisions of paragraph (3) of the preceding Article, the fund must, with regard to the accounting for the performance of the obligations pertaining to those borrowings, keep it separate from other accounting and settle it by establishing a special account (hereinafter referred to as the "liquidation account").

基金は、特例適用会社に係る第七十九条の四十九第一号から第四号まで及び第六号に掲げる業務を終了した日として政令で定める日の属する事業年度終了の日において、前条第三項の規定による政府の保証に係る借入金の残額があるときは、当該借入金に係る債務の弁済に関する経理については、他の経理と区分し、特別の勘定(以下「清算勘定」という。)を設けて整理しなければならない。

On the last day of the business year prescribed in the preceding paragraph, the fund is to cause the obligations pertaining to the borrowings referred to in that paragraph, the claims for burden charges (meaning, where there are unpaid burden charges under the provisions of Article 79-28, paragraph (4) or Article 79-64, paragraph (1), the claims pertaining to those burden charges; hereinafter the same applies in this paragraph), and the reserve as of that day (meaning the reserve prescribed in Article 79-71, paragraph (1); hereinafter the same applies in this paragraph) to vest in the liquidation account, and is to transfer to the liquidation account from the funds for investor protection an amount equivalent to their balance as of that day, only up to the amount equivalent to the amount obtained by deducting the amount of the claims for burden charges and the amount of the reserve from the balance of those borrowings.

基金は、前項に規定する事業年度終了の日において、同項の借入金に係る債務及び負担金債権(第七十九条の二十八第四項又は第七十九条の六十四第一項の規定による負担金について未納のものがある場合におけるその負担金に係る債権をいう。以下この項において同じ。)並びに同日における準備金(第七十九条の七十一第一項に規定する準備金をいう。以下この項において同じ。)を清算勘定に帰属させるとともに、投資者保護資金から同日におけるその残高に相当する金額を、当該借入金の残高から当該負担金債権の額及び当該準備金の額を控除した額に相当する金額に限り、清算勘定に繰り入れるものとする。

Supplementary Provisions, Article 8

第八条

In each business year from the business year following the business year prescribed in paragraph (1) of the preceding Article to the business year that includes the day on which the liquidation account of the fund to which a securities company belongs is abolished pursuant to the provisions of Article 10 of the Supplementary Provisions, if the amount of the obligations pertaining to the borrowings that have come to vest in the liquidation account pursuant to the provisions of paragraph (2) of the preceding Article exceeds the amount of the assets belonging to the liquidation account, the securities company must, in addition to the burden charges under the provisions of Article 79-64, paragraph (1), pay burden charges to the fund as funds for the fund to apply to the performance of those obligations, as provided by the operational rules.

証券会社は、前条第一項に規定する事業年度の翌事業年度から附則第十条の規定によりその所属する基金の清算勘定が廃止される日の属する事業年度までの各事業年度においては、前条第二項の規定により清算勘定に帰属することとなつた借入金に係る債務の額が清算勘定に属する資産の額を上回るときは、第七十九条の六十四第一項の規定による負担金のほか、当該基金が当該債務の弁済に充てるための資金として、業務規程の定めるところにより、当該基金に対し、負担金を納付しなければならない。

The provisions of Article 79-64, paragraph (2), Article 79-65, paragraph (1), and Article 79-66 apply mutatis mutandis to the burden charges set forth in the preceding paragraph.

The amount of the burden charges under the provisions of paragraph (1) is not to be less than the amount obtained by multiplying the calculation base amount by the burden charge rate that the Prime Minister and the Minister of Finance specify in consideration of the amount required for the performance of the obligations pertaining to the borrowings that have come to vest in the liquidation account pursuant to the provisions of paragraph (2) of the preceding Article.

第一項の規定による負担金の額は、算定基礎額に、前条第二項の規定により清算勘定に帰属することとなつた借入金に係る債務の弁済に要する額を勘案して内閣総理大臣及び財務大臣が定める負担金率を乗じて得た額を下回つてはならないものとする。

Supplementary Provisions, Article 9

第九条

In each business year from the business year that includes the day of establishment of the fund until the business year that includes the day on which the liquidation account was abolished pursuant to the provisions of the following Article, in the case where a liquidation account has been established, or until the business year that includes the date specified by Cabinet Order prescribed in Article 7, paragraph (1) of the Supplementary Provisions, in the case where a liquidation account has not been established, the fund must, notwithstanding the provisions of Article 79-69, obtain the authorization of the Prime Minister and the Minister of Finance for the budget and financial plan for that business year prepared pursuant to the provisions of that Article, before the commencement of that business year (with regard to a business year that includes the day of establishment of the fund, without delay after the establishment of the fund). The same applies if the fund seeks to change them.

基金は、基金の成立の日を含む事業年度から、清算勘定が設けられた場合にあつては次条の規定により清算勘定を廃止した日の属する事業年度まで、清算勘定が設けられなかつた場合にあつては附則第七条第一項に規定する政令で定める日の属する事業年度までの各事業年度においては、第七十九条の六十九の規定にかかわらず、当該事業年度の開始前に(基金の成立の日を含む事業年度にあつては、成立後遅滞なく)、同条の規定により作成する当該事業年度の予算及び資金計画について、内閣総理大臣及び財務大臣の認可を受けなければならない。これを変更しようとするときも、同様とする。

The provisions of the preceding paragraph do not preclude the founders of the fund, on behalf of the fund, before the commencement of the business year that includes the day of establishment of the fund, from applying for the authorization of the Prime Minister and the Minister of Finance under the provisions of the preceding paragraph for the budget and financial plan for that business year determined by an organizational meeting resolution pursuant to the provisions of Article 79-29, paragraph (6), and obtaining that authorization.

前項の規定は、基金の発起人が、基金のために、基金の成立の日を含む事業年度の開始前に、第七十九条の二十九第六項の規定により創立総会の議決を経て決定された当該事業年度の予算及び資金計画について、前項の規定による内閣総理大臣及び財務大臣の認可を申請し、当該認可を受けることを妨げない。

Supplementary Provisions, Article 10

第十条

The fund is to abolish the liquidation account on the day on which the performance of the obligations pertaining to the borrowings that have come to vest in the liquidation account pursuant to the provisions of Article 7, paragraph (2) of the Supplementary Provisions is completed.

基金は、附則第七条第二項の規定により清算勘定に帰属することとなつた借入金に係る債務の弁済が完了した日において、清算勘定を廃止するものとする。

Supplementary Provisions, Article 11

第十一条

In applying the provisions of Article 79-49, item (v) in the case where a liquidation account has been established in the fund pursuant to the provisions of Article 7, paragraph (1) of the Supplementary Provisions, the phrase "burden charges (meaning the burden charges prescribed in Article 79-28, paragraph (4) and Article 79-64, paragraph (1); the same applies in Article 79-51, paragraph (1))" in that item is deemed to be replaced with "burden charges (meaning the burden charges prescribed in Article 79-28, paragraph (4), Article 79-64, paragraph (1) and Article 8, paragraph (1) of the Supplementary Provisions; the same applies in Article 79-51, paragraph (1))".

附則第七条第一項の規定により基金に清算勘定が設けられている場合における第七十九条の四十九第五号の規定の適用については、同号中「負担金(第七十九条の二十八第四項及び第七十九条の六十四第一項に規定する負担金をいう。第七十九条の五十一第一項において同じ。)」とあるのは、「負担金(第七十九条の二十八第四項、第七十九条の六十四第一項及び附則第八条第一項に規定する負担金をいう。第七十九条の五十一第一項において同じ。)」とする。

Supplementary Provisions, Article 12

第十二条

If the fund fails to obtain the authorization of the Prime Minister and the Minister of Finance in violation of the provisions of Article 9, paragraph (1) of the Supplementary Provisions, the officer of the fund (including a provisional board member and provisional inspector) who committed the act is sentenced to a civil fine of 300,000 yen or less.

附則第九条第一項の規定に違反して、内閣総理大臣及び財務大臣の認可を受けなかつた場合においては、その行為をした基金の役員(仮理事及び仮監事を含む。)は、三十万円以下の過料に処する。

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