Supplementary Provisions, Article 28
第二十八条
If a person who, at the time of the enforcement of this Act, is a director, accounting advisor (or, if the accounting advisor is a corporation, a staff member who is to perform those duties), company auditor or executive officer of a financial instruments business operator (limited to a person engaged in securities-related services; hereinafter the same applies in this paragraph through paragraph (3)) and who concurrently serves as a director, accounting advisor, company auditor or executive officer (including a board member, auditor and any other person equivalent thereto; hereinafter the same applies in this paragraph) or employee of the parent bank, etc. of that financial instruments business operator (meaning the parent bank, etc. prescribed in Article 31-4, paragraph (5) of the New Financial Instruments and Exchange Act; hereinafter the same applies in this paragraph) makes a notification to the Prime Minister within one month from the effective date pursuant to Cabinet Office Order, then, notwithstanding the provisions of Article 31-4, paragraph (1) of the New Financial Instruments and Exchange Act, the person may continue to concurrently serve as the director, accounting advisor, company auditor or executive officer, or employee of that parent bank, etc. pertaining to that notification until the day on which one year has passed counting from the effective date.
この法律の施行の際現に金融商品取引業者（有価証券関連業を行う者に限る。以下この項から第三項までにおいて同じ。）の取締役、会計参与（会計参与が法人であるときは、その職務を行うべき社員）、監査役又は執行役である者で当該金融商品取引業者の親銀行等（新金融商品取引法第三十一条の四第五項に規定する親銀行等をいう。以下この項において同じ。）の取締役、会計参与、監査役若しくは執行役（理事、監事その他これに準ずる者を含む。以下この項において同じ。）又は使用人を兼ねている者が、施行日から一月以内に内閣府令で定めるところにより内閣総理大臣に届出をしたときは、同条第一項の規定にかかわらず、施行日から起算して一年を経過する日までの間は、引き続き当該届出に係る当該親銀行等の取締役、会計参与、監査役若しくは執行役又は使用人を兼ねることができる。
If a person who, at the time of the enforcement of this Act, is a director, accounting advisor, company auditor or executive officer, or employee of a financial instruments business operator and who concurrently serves as a director, accounting advisor (or, if the accounting advisor is a corporation, a staff member who is to perform those duties; hereinafter the same applies in this paragraph), company auditor or executive officer (including a board member, auditor and any other person equivalent thereto; hereinafter the same applies in this paragraph) of the subsidiary bank, etc. of that financial instruments business operator (meaning the subsidiary bank, etc. prescribed in Article 31-4, paragraph (6) of the New Financial Instruments and Exchange Act; hereinafter the same applies in this paragraph) makes a notification to the Prime Minister within one year from the effective date pursuant to Cabinet Office Order, then, until the day on which one year has passed counting from the effective date, notwithstanding the provisions of Article 31-4, paragraph (2) of the New Financial Instruments and Exchange Act, the person may continue to concurrently serve as the director, accounting advisor, company auditor or executive officer of that subsidiary bank, etc. pertaining to that notification.
この法律の施行の際現に金融商品取引業者の取締役、会計参与、監査役若しくは執行役又は使用人である者で当該金融商品取引業者の子銀行等（新金融商品取引法第三十一条の四第六項に規定する子銀行等をいう。以下この項において同じ。）の取締役、会計参与（会計参与が法人であるときは、その職務を行うべき社員。以下この項において同じ。）、監査役又は執行役（理事、監事その他これに準ずる者を含む。以下この項において同じ。）を兼ねている者が、施行日から一年以内に内閣府令で定めるところにより内閣総理大臣に届出をしたときは、施行日から起算して一年を経過する日までの間は、同条第二項の規定にかかわらず、引き続き当該届出に係る当該子銀行等の取締役、会計参与、監査役又は執行役を兼ねることができる。
If a person who, at the time of the enforcement of this Act, is a director (in the case of a company with committees, an executive officer) engaged in the ordinary business of a financial instruments business operator and who is engaged in the ordinary business of a bank, cooperative financial institution or any other financial institution specified by Cabinet Order makes a notification to the Prime Minister within one year from the effective date pursuant to Cabinet Office Order, excluding a case where the provisions of the preceding two paragraphs apply, then, until the day on which one year has passed counting from the effective date, the person may continue to be engaged in the ordinary business of that bank, cooperative financial institution or other financial institution specified by Cabinet Order pertaining to that notification.
A notification made by a director or executive officer of a securities company (meaning a securities company prescribed in Article 2, paragraph (9) of the Former Securities and Exchange Act; the same applies hereinafter) pursuant to the provisions of Article 32, paragraph (4) of the Former Securities and Exchange Act before the effective date is deemed to be a notification made pursuant to the provisions of Article 31-4, paragraph (4) of the New Financial Instruments and Exchange Act.
証券会社（旧証券取引法第二条第九項に規定する証券会社をいう。以下同じ。）の取締役又は執行役が施行日前に旧証券取引法第三十二条第四項の規定により行った届出は、新金融商品取引法第三十一条の四第四項の規定により行った届出とみなす。
If a person who is a director or executive officer of a person who, at the time of the enforcement of this Act, is continuing to engage in financial instruments business on or after the effective date pursuant to the provisions of Article 17, paragraph (1) of the Supplementary Provisions (limited to a person engaged in type-I financial instruments business (meaning the type-I financial instruments business prescribed in Article 28, paragraph (1) of the New Financial Instruments and Exchange Act; the same applies hereinafter) or investment management business (meaning the investment management business prescribed in Article 28, paragraph (4) of the New Financial Instruments and Exchange Act; the same applies hereinafter), and excluding a deemed registered type-I financial instruments business operator) has assumed the position of director, accounting advisor (or, if the accounting advisor is a corporation, a staff member who is to perform those duties; hereinafter the same applies in this paragraph), company auditor or executive officer of another company (including a case where a director, accounting advisor, company auditor or executive officer of another company concurrently serves as a director or executive officer of a financial instruments business operator), the person must notify the Prime Minister of that fact and the date of that assumption without delay on or after the effective date.
この法律の施行の際現に附則第十七条第一項の規定により施行日以後引き続き金融商品取引業を行っている者（第一種金融商品取引業（新金融商品取引法第二十八条第一項に規定する第一種金融商品取引業をいう。以下同じ。）又は投資運用業（新金融商品取引法第二十八条第四項に規定する投資運用業をいう。以下同じ。）を行う者に限り、みなし登録第一種業者を除く。）の取締役又は執行役である者で他の会社の取締役、会計参与（会計参与が法人であるときは、その職務を行うべき社員。以下この項において同じ。）、監査役又は執行役に就任している場合（他の会社の取締役、会計参与、監査役又は執行役が金融商品取引業者の取締役又は執行役を兼ねている場合を含む。）には、施行日以後、遅滞なく、その旨及び当該就任をした日を内閣総理大臣に届け出なければならない。
The term "type-I financial instruments business" as used in this Chapter means the performance of any of the following acts on a regular basis, as part of financial instruments business:
この章において「第一種金融商品取引業」とは、金融商品取引業のうち、次に掲げる行為のいずれかを業として行うことをいう。
Open this provisionThe term "investment management business" as used in this Chapter means the performance of any of the following acts on a regular basis, within the financial instruments business…
この章において「投資運用業」とは、金融商品取引業のうち、次に掲げる行為のいずれかを業として行うことをいい、銀行、協同組織金融機関その他政令で定める金融機関が、当該行為のいずれかを業として行うことを含むものとする。
Open this provision(Notification on Assumption of the Position of Director)
If the director or executive officer of a financial instruments business operator (limited to a person engaged in type-I financial instruments business or investment management business; hereinafter…
金融商品取引業者（第一種金融商品取引業又は投資運用業を行う者に限る。以下この項において同じ。）の取締役又は執行役は、他の会社の取締役、会計参与（会計参与が法人であるときは、その職務を行うべき社員。以下この項及び次項において同じ。）…
Open this provision(Notification on Assumption of the Position of Director)
If the director or executive officer of a financial instruments business operator (limited to a person engaged in securities services other than type-I financial instruments business) assumes the…
金融商品取引業者（第一種金融商品取引業以外の有価証券関連業を行う者に限る。）の取締役又は執行役は、当該金融商品取引業者の親銀行等若しくは子銀行等の取締役、会計参与、監査役若しくは執行役に就任した場合（当該親銀行等又は子銀行等の取締役、会計参与、監査役又は執行役が当該金融商品取引業者の取締役又は執行役を兼ねることとなつ…
Open this provision(Notification on Assumption of the Position of Director)
The term "subsidiary bank, etc." as used in paragraph (2) means a bank or cooperative financial institution, or an entity that falls under a financial institution specified by Cabinet Order…
第二項の「子銀行等」とは、金融商品取引業者が総株主等の議決権の過半数を保有していることその他の当該金融商品取引業者と密接な関係を有する法人その他の団体として政令で定める要件に該当する者（第三十三条の三第二項第三号及び第四十四条の三において「子法人等」という。）のうち、銀行…
Open this provision(Notification on Assumption of the Position of Director)
The necessary particulars for the determination of whether the majority of the voting rights are held by all the shareholders, etc. as prescribed in paragraph (3) are specified by Cabinet Office…
第三項に規定する総株主等の議決権の過半数の保有の判定に関し必要な事項は、その保有の態様その他の事情を勘案して、内閣府令で定める。
Open this provisionA person who, at the time this Act comes into effect, is actually engaged in financial instruments business (meaning financial instruments business prescribed in Article 2, paragraph (8) of the New…
この法律の施行の際現に新有価証券（新金融商品取引法第二条第一項各号に掲げる有価証券又は同条第二項の規定により有価証券とみなされる同項各号に掲げる権利（旧有価証券を除く。）をいう。以下同じ。）につき金融商品取引業（新金融商品取引法第二条第八項に規定する金融商品取引業をいう。以下同じ。）を行っている者（次条第一項並びに附…
Open this provisionIf a person who, at the time of the enforcement of this Act, is a director, accounting advisor (or, if the accounting advisor is a corporation, a staff member who is to perform those duties)…
この法律の施行の際現に金融商品取引業者（有価証券関連業を行う者に限る。以下この項から第三項までにおいて同じ。）の取締役、会計参与（会計参与が法人であるときは、その職務を行うべき社員）…
Open this provisionIf a person who, at the time of the enforcement of this Act, is a director, accounting advisor, company auditor or executive officer, or employee of a financial instruments business operator and who…
この法律の施行の際現に金融商品取引業者の取締役、会計参与、監査役若しくは執行役又は使用人である者で当該金融商品取引業者の子銀行等（新金融商品取引法第三十一条の四第六項に規定する子銀行等をいう。以下この項において同じ。）の取締役、会計参与（会計参与が法人であるときは、その職務を行うべき社員。以下この項において同じ。）…
Open this provisionIf a person who, at the time of the enforcement of this Act, is a director (in the case of a company with committees, an executive officer) engaged in the ordinary business of a financial instruments…
この法律の施行の際現に金融商品取引業者の常務に従事する取締役（委員会設置会社にあっては、執行役）である者で銀行、協同組織金融機関その他政令で定める金融機関の常務に従事している者が、前二項の規定の適用がある場合を除き、施行日から一年以内に内閣府令で定めるところにより内閣総理大臣に届出をしたときは…
Open this provisionIf a person who is a director or executive officer of a person who, at the time of the enforcement of this Act, is continuing to engage in financial instruments business on or after the effective…
この法律の施行の際現に附則第十七条第一項の規定により施行日以後引き続き金融商品取引業を行っている者（第一種金融商品取引業（新金融商品取引法第二十八条第一項に規定する第一種金融商品取引業をいう。以下同じ。）又は投資運用業（新金融商品取引法第二十八条第四項に規定する投資運用業をいう。以下同じ。）を行う者に限り、みなし登録…
Open this provisionthe 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)
cooperative financial institution
「協同組織金融機関」
A cooperative financial institution as defined in Article 2, paragraph (1) of the Act on Preferred Equity Investment by Cooperative Structured Financial Institution: the Norinchukin Bank (農林中央金庫), credit cooperatives (信用協同組合), shinkin banks (信用金庫) and labour banks (労働金庫), and agricultural, fishery and fishery processing cooperatives that carry on credit business, together with their federations.
Defined inSupplementary Provisions, Article 17, paragraph (1)
financial instruments business
「金融商品取引業」
In the supplementary provisions (附則) of Act No. 65 of 2006, from Article 17 on, financial instruments business as defined in Article 2, paragraph (8) of this Act as amended by that Act.
Defined inSupplementary Provisions, Article 17, paragraph (1)
financial instruments business operator
「金融商品取引業者」
In the supplementary provisions (附則) of Act No. 65 of 2006, from Article 18 on, a financial instruments business operator as defined in Article 2, paragraph (9) of this Act as amended by that Act.
Defined inSupplementary Provisions, Article 18, paragraph (1)
deemed registered type-I financial instruments business operatormachine translation
「みなし登録第一種業者」
In the supplementary provisions (附則) of Act No. 65 of 2006, a person that was registered under Article 28 of this Act as it stood before Act No. 65 of 2006 amended it, under its former title (証券取引法) when that Act came into effect, and that Article 18, paragraph (1) of those supplementary provisions therefore treats as registered under Article 29 of this Act as Act No. 65 of 2006 amended it as a financial instruments business operator (金融商品取引業者) for the businesses that paragraph lists.
Short name set inSupplementary Provisions, Article 18, paragraph (2)
securities-related servicesmachine translation
「有価証券関連業」
In the supplementary provisions (附則) of Act No. 65 of 2006, securities-related business as defined in Article 28, paragraph (8) of this Act as that Act amended it.
Defined inSupplementary Provisions, Article 25, paragraph (2)
parent bank, etc.
「親銀行等」
In Article 28, paragraph (1) of the supplementary provisions (附則) of Act No. 65 of 2006, a parent bank, etc. as defined in Article 31-4, paragraph (5) of this Act as amended by that Act.
Defined inSupplementary Provisions, Article 28, paragraph (1)· applies only in this paragraph
subsidiary bank, etc.
「子銀行等」
In Article 28, paragraph (2) of the supplementary provisions (附則) of Act No. 65 of 2006, a subsidiary bank, etc. as defined in Article 31-4, paragraph (6) of this Act as that Act amended it.
Defined inSupplementary Provisions, Article 28, paragraph (2)· applies only in this paragraph
securities companymachine translation
「証券会社」
In the supplementary provisions (附則) of Act No. 65 of 2006, from Article 28, paragraph (4) on, a securities company as defined in Article 2, paragraph (9) of this Act under its former title (証券取引法), as it stood before that Act amended it.
Defined inSupplementary Provisions, Article 28, paragraph (4)
investment management business
「投資運用業」
In the supplementary provisions (附則) of Act No. 65 of 2006, investment management business as defined in Article 28, paragraph (4) of this Act as amended by Article 3 of that Act.
Defined inSupplementary Provisions, Article 28, paragraph (5)
type-I financial instruments business
「第一種金融商品取引業」
In the supplementary provisions (附則) of Act No. 65 of 2006, type-I financial instruments business as defined in Article 28, paragraph (1) of the Financial Instruments and Exchange Act as amended by that Act.
Defined inSupplementary Provisions, Article 28, paragraph (5)
company auditor
監査役
An officer of a stock company, elected by the shareholders meeting (Companies Act, Article 329, paragraph (1)), whose job is to audit how the directors carry out their duties and to write an audit report on it (Article 381, paragraph (1)). Not an outside accountant — that is the financial auditor (会計監査人) — and not a director: a company auditor may not also be a director or employee of the company or its subsidiaries (Article 335, paragraph (2)). The term normally runs to the annual shareholders meeting for the last business year ending within four years of election (Article 336, paragraph (1)).
Written by AI using Companies Act, Arts. 329, 335, 336, 381 as a reference.
director
取締役
An officer of a stock company, elected by the shareholders meeting (Companies Act, Article 329, paragraph (1)). Every stock company has at least one (Article 326, paragraph (1)). Where there is no board of directors, the directors run the company's business unless the articles of incorporation say otherwise (Article 348, paragraph (1)), and each of them represents it unless the company has chosen representative directors (代表取締役) or others to do that (Article 349, paragraphs (1) and (3)). Where there is a board (取締役会, board of directors), the directors are its members, and the board decides the business and normally chooses the representative directors from among them (Article 362). The term normally runs to the annual shareholders meeting for the last business year ending within two years of election (Article 332, paragraph (1)).
Written by AI using Companies Act, Arts. 326, 329, 332, 348, 349, 362 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.