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Supplementary Provisions, Article 2Transitional Measures

第二条（経過措置）

A notifier of specially permitted services under the Former Act (meaning a notifier of specially permitted services prescribed in prior to amendment by this Act (hereinafter in this paragraph referred to as "the Former Act"); the same applies in the following paragraph and paragraph (1) of the following Article) and a financial instruments business operator, etc. that gave notification under the Former Act (meaning a financial instruments business operator, etc. (meaning a financial instruments business operator, etc. prescribed in of the Former Act) that gave notification under of the Former Act; the same applies in paragraph (3) and paragraph (1) of the following Article) that are, at the time of enforcement of this Act, actually conducting the specially permitted services for qualified institutional investors, etc. prescribed in of the Former Act pertaining to the acts set forth in item (ii) of paragraph (1) of that Article (excluding those pertaining to the acts set forth in Article 63, paragraph (1), item (ii) of the Financial Instruments and Exchange Act as amended by this Act (hereinafter referred to as "the New Act"); hereinafter in this paragraph referred to as "item (ii) specially permitted services for qualified institutional investors, etc. under the Former Act") may, notwithstanding the provisions of Article 29 of the New Act, continue to conduct specially permitted investment management services for qualified institutional investors, etc. under the Former Act until the completion of those item (ii) specially permitted services for qualified institutional investors, etc. under the Former Act (limited to those pertaining to rights for which solicitation of offers for acquisition was commenced before the date of enforcement of this Act (hereinafter referred to as "the effective date"); hereinafter in this Article referred to as "specially permitted investment management services for qualified institutional investors, etc. under the Former Act").

この法律の施行の際現にこの法律による改正前の金融商品取引法（以下この項において「旧法」という。）に掲げる行為に係るに規定する適格機関投資家等特例業務（この法律による改正後の金融商品取引法（以下「新法」という。）第六十三条第一項第二号に掲げる行為に係るものを除く。以下この項において「旧法第二号適格機関投資家等特例業務」という。）を行っている旧法特例業務届出者（に規定する特例業務届出者をいう。次項及び次条第一項において同じ。）及び旧法届出金融商品取引業者等（の規定による届出をした金融商品取引業者等（に規定する金融商品取引業者等をいう。）をいう。第三項及び次条第一項において同じ。）は、当該適格機関投資家等特例業務（この法律の施行の日（以下「施行日」という。）前に取得の申込みの勧誘を開始した権利に係るものに限る。以下この条において「旧法適格機関投資家等特例投資運用業務」という。）が終了するまでの間は、新法第二十九条の規定にかかわらず、引き続き旧法適格機関投資家等特例投資運用業務を行うことができる。

Where, pursuant to the provisions of the preceding paragraph, a notifier of specially permitted services under the former Act continues to conduct specially permitted investment management services for qualified institutional investors, etc. under the former Act, the provisions of Article 63, paragraphs (5) through (8) and paragraphs (11) through (13), Article 63-2, Articles 63-4 through 63-7, Article 63-9, paragraph (6), Article 65-2, Article 65-4, Article 188, and Article 194-7, paragraphs (2) and (3) of the Financial Instruments and Exchange Act, and the provisions of Chapter VIII and Chapter VIII-2 of pertaining to those provisions, apply by deeming that notifier of specially permitted services under the former Act to be a notifier of specially permitted services prescribed in Article 63, paragraph (5) of the Financial Instruments and Exchange Act. In this case, the phrase "specially permitted services for qualified institutional investors, etc." in Article 63, paragraph (6) of that Act is deemed to be replaced with "specially permitted investment management services for qualified institutional investors, etc. under the former Act (meaning specially permitted investment management services for qualified institutional investors, etc. under the former Act prescribed in Article 2, paragraph (1) of the Supplementary Provisions of the Act Partially Amending the Financial Instruments and Exchange Act (Act No. 32 of 2015); the same applies hereinafter)", and the phrase "specially permitted services for qualified institutional investors, etc." in Article 63, paragraph (7) and paragraphs (11) through (13) of that Act, Article 63-2, paragraphs (1) and (3), Article 63-4, paragraph (3), Article 63-5, paragraphs (2), (3) and (6), Article 63-7 and Article 63-9, paragraph (6) of that Act is deemed to be replaced with "specially permitted investment management services for qualified institutional investors, etc. under the former Act"; beyond that, any other necessary technical replacement of terms is specified by Cabinet Order.

前項の規定により旧法特例業務届出者が引き続き旧法適格機関投資家等特例投資運用業務を行う場合においては、当該旧法特例業務届出者を金融商品取引法第六十三条第五項に規定する特例業務届出者とみなして、同項から同条第八項まで及び同条第十一項から第十三項まで並びに同法第六十三条の二、第六十三条の四から第六十三条の七まで、第六十三条の九第六項、第六十五条の二、第六十五条の四、第百八十八条並びに第百九十四条の七第二項及び第三項の規定並びにこれらの規定に係る第八章及び第八章の二の規定を適用する。この場合において、同法第六十三条第六項中「適格機関投資家等特例業務」とあるのは「旧法適格機関投資家等特例投資運用業務（金融商品取引法の一部を改正する法律（平成二十七年法律第三十二号）附則第二条第一項に規定する旧法適格機関投資家等特例投資運用業務をいう。以下同じ。）」と、同条第七項及び第十一項から第十三項まで並びに同法第六十三条の二第一項及び第三項、第六十三条の四第三項、第六十三条の五第二項、第三項及び第六項、第六十三条の七並びに第六十三条の九第六項中「適格機関投資家等特例業務」とあるのは「旧法適格機関投資家等特例投資運用業務」とするほか、必要な技術的読替えは、政令で定める。

Where, pursuant to the provisions of paragraph (1), a financial instruments business operator, etc. that gave notification under the former Act continues to conduct specially permitted investment management services for qualified institutional investors, etc. under the former Act, the provisions of Article 63, paragraphs (5), (6), (8), (12) and (13), Article 63-2, paragraph (3) and Articles 63-4 through 63-6 of the New Act as applied mutatis mutandis pursuant to Article 63-3, paragraph (2) of the New Act, the provisions of Article 63-3, paragraph (3) (limited to the part pertaining to item (ii)), Article 63-7, Article 65-2, Article 65-4, Article 188, and Article 194-7, paragraphs (2) and (3) of the New Act, and the provisions of Chapter VIII of the New Act pertaining to those provisions, apply by deeming that financial instruments business operator, etc. that gave notification under the former Act to be a financial instruments business operator, etc. (meaning a financial instruments business operator, etc. prescribed in Article 34 of the New Act) that gave notification under Article 63-3, paragraph (1) of the New Act. In this case, the phrase "specially permitted services for qualified institutional investors, etc." in Article 63, paragraph (6) of the New Act as applied mutatis mutandis pursuant to Article 63-3, paragraph (2) of the New Act is deemed to be replaced with "specially permitted investment management services for qualified institutional investors, etc. under the former Act (meaning specially permitted investment management services for qualified institutional investors, etc. under the former Act prescribed in Article 2, paragraph (1) of the Supplementary Provisions of the Act Partially Amending the Financial Instruments and Exchange Act (Act No. 32 of 2015); the same applies hereinafter)", and the phrase "specially permitted services for qualified institutional investors, etc." in Article 63, paragraphs (12) and (13), Article 63-2, paragraph (3), Article 63-4, paragraph (3), and Article 63-5, paragraphs (2), (3) and (6) of the New Act as applied mutatis mutandis pursuant to Article 63-3, paragraph (2) of the New Act, and in Article 63-7 of the New Act is deemed to be replaced with "specially permitted investment management services for qualified institutional investors, etc. under the former Act"; beyond that, any other necessary technical replacement of terms is specified by Cabinet Order.

第一項の規定により旧法届出金融商品取引業者等が引き続き旧法適格機関投資家等特例投資運用業務を行う場合においては、当該旧法届出金融商品取引業者等を新法第六十三条の三第一項の規定による届出をした金融商品取引業者等（新法第三十四条に規定する金融商品取引業者等をいう。）とみなして、新法第六十三条の三第二項において準用する新法第六十三条第五項、第六項、第八項、第十二項及び第十三項、第六十三条の二第三項並びに第六十三条の四から第六十三条の六までの規定並びに新法第六十三条の三第三項（第二号に係る部分に限る。）、第六十三条の七、第六十五条の二、第六十五条の四、第百八十八条並びに第百九十四条の七第二項及び第三項の規定並びにこれらの規定に係る新法第八章の規定を適用する。この場合において、新法第六十三条の三第二項において準用する新法第六十三条第六項中「適格機関投資家等特例業務」とあるのは「旧法適格機関投資家等特例投資運用業務（金融商品取引法の一部を改正する法律（平成二十七年法律第三十二号）附則第二条第一項に規定する旧法適格機関投資家等特例投資運用業務をいう。以下同じ。）」と、新法第六十三条の三第二項において準用する新法第六十三条第十二項及び第十三項、第六十三条の二第三項、第六十三条の四第三項並びに第六十三条の五第二項、第三項及び第六項並びに新法第六十三条の七中「適格機関投資家等特例業務」とあるのは「旧法適格機関投資家等特例投資運用業務」とするほか、必要な技術的読替えは、政令で定める。

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