Supplementary Provisions, Article 138
第百三十八条
The provisions of Article 156-14, paragraph (2) of the New Financial Instruments and Exchange Act do not apply, until the day on which five years elapse from the effective date, to the case where a person who is an officer of a person deemed to have obtained the license pursuant to the provisions of Article 135 of the Supplementary Provisions and who, at the time of enforcement of this Act, falls under any of Article 82, paragraph (2), item (iii), (a), (b) or (e) of the New Financial Instruments and Exchange Act (excluding a person who falls under any of Article 83, paragraph (2), item (iii), (a), (b) or (e) of the Former Securities and Exchange Act) continues to fall under any of Article 82, paragraph (2), item (iii), (a), (b) or (e) of the New Financial Instruments and Exchange Act.
新金融商品取引法第百五十六条の十四第二項の規定は、この法律の施行の際現に新金融商品取引法第八十二条第二項第三号イ、ロ又はホのいずれかに該当している附則第百三十五条の規定により免許を受けたものとみなされる者の役員である者（旧証券取引法第八十三条第二項第三号イ、ロ又はホのいずれかに該当している者を除く。）が、引き続き新金融商品取引法第八十二条第二項第三号イ、ロ又はホのいずれかに該当している場合については、施行日から起算して五年を経過する日までの間は、適用しない。
(Grounds for Disqualification of Officers)
The director, accounting advisor, company auditor, or executive officer of a financial instruments clearing organization loses that position upon coming to fall under the person provided for in the…
金融商品取引清算機関の取締役、会計参与、監査役又は執行役が前項に規定する者に該当することとなつたときは、その職を失う。
Open this provision(Licensing Examination Criteria)
the license applicant has a person falling under any of the provisions of the following sub-items (a) through (f) as an officer:
免許申請者の役員のうちに次のイからヘまでのいずれかに該当する者があるとき。
Open this provisionA person who, at the time of enforcement of this Act, has obtained the license under Article 156-2 of the Former Securities and Exchange Act is deemed to have obtained the license under Article 156-2…
この法律の施行の際現に旧証券取引法第百五十六条の二の免許を受けている者は、施行日において新金融商品取引法第百五十六条の二の免許を受けたものとみなす。この場合において、新金融商品取引法第百五十六条の五第二項及び第百九十四条の四第一項の規定は、適用しない。
Open this provisionofficer
「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
the effective datemachine translation
「施行日」
The date Act No. 65 of 2006, the amending Act these supplementary provisions (附則) belong to, comes into effect.
Short name set inSupplementary Provisions, Article 1, paragraph (1)
New Financial Instruments and Exchange Actmachine translation
「新金融商品取引法」
This Act as amended by Article 3 of Act No. 65 of 2006.
Short name set inSupplementary Provisions, Article 14, paragraph (1)
Former Securities and Exchange Actmachine translation
「旧証券取引法」
This Act as it stood before Article 3 of Act No. 65 of 2006 amended it.
Short name set inSupplementary Provisions, Article 14, paragraph (1)