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Terms

medium-term objectives

中期目標(ちゅうきもくひょう)

Targets for the management of its operations that the Japan Agency for Local Authority Information Systems (機構) is to achieve, over a period of three to five years, in carrying out its Individual Number Card work (個人番号カード関係事務), which the competent ministers (主務大臣) set, give to it as instructions and publish.

integrity of management

経営の健全性の状況(けいえいのけんぜんせいのじょうきょう)

In Article 57-5, paragraphs (2) and (3) and Article 57-6, the soundness of management of a special financial instruments business operator (特別金融商品取引業者) and its subsidiary corporations, etc., as at the end of a quarter, expressed by the standards the Prime Minister sets under Article 57-5, paragraph (1), such as whether their capital is adequate for the assets they hold.

approved implementation plan for refund measures

認定実施予定返金措置計画(にんていじっしよていへんきんそちけいかく)

The plan for implementing refund measures (実施予定返金措置計画) as approved by the Prime Minister under Article 10, paragraph (1), or, where a change has been approved under paragraph (6) of that Article, as changed.

shelf registrant

発行登録者(はっこうとうろくしゃ)

A person who has made a shelf registration (発行登録) of a planned public offering or secondary distribution of securities.

impact corrective measures plan

影響是正措置計画(えいきょうぜせいそちけいかく)

The plan for the impact corrective measures (影響是正措置) that a person notified under Article 30 intends to carry out, which it prepares and submits to the Prime Minister within 60 days of receiving the notice, applying for approval.

the guidelines

指針(ししん)

The guidelines the Prime Minister sets so that business operators properly and effectively carry out the measures Article 22, paragraph (1) requires of them, such as setting up the systems needed to manage properly the premiums (景品類) they offer and their representations about the quality and content of their goods and services.

guidelines

指針(ししん)

In Article 11, the guidelines the Prime Minister (内閣総理大臣) sets for the proper and effective carrying out of the measures business operators (事業者) must take under Article 11, paragraphs (1) and (2): designating persons to handle whistleblowing (公益通報) and setting up the systems needed to deal with it.

merger, etc.

合併等(がっぺいとう)

In Article 31, a merger, company split, or transfer or acquisition of all or part of a business that needs the Prime Minister's authorization under Article 30.

competent ministers

主務大臣(しゅむだいじん)

In Article 2-2 and Article 2-3, paragraph (5), the Prime Minister (内閣総理大臣), the National Public Safety Commission (国家公安委員会), the Minister of Justice (法務大臣) and the Minister of Health, Labour and Welfare (厚生労働大臣), who must together set the basic policy (基本方針) on preventing spousal violence and protecting victims.

certified services

認定業務(にんていぎょうむ)

In Section 3 of Chapter IV, the work for which a certified investor protection organization (認定投資者保護団体) has been certified under Article 79-7, paragraph (1), such as resolving complaints about, and mediating disputes over, the financial instruments business of financial instruments business operators or financial instruments intermediary service providers.

financial statements, etc.

財務諸表等(ざいむしょひょうとう)

In Article 79-70, the balance sheet, profit and loss statement, inventory of property, business report and statement of accounts by budget category for the previous business year, which an investor protection fund (基金) must submit to the Prime Minister and the Minister of Finance for approval within three months after each business year begins.

last day of the grace period

猶予期限日(ゆうよきげんび)

In Article 52-9, paragraphs (2) and (4), the day one year after the end of the bank's business year in which a specified major shareholder (特定主要株主) came to hold voting rights at or above the bank's major shareholder threshold; by then it must fall below that threshold, unless the Prime Minister authorizes it to keep holding that many.

applicant for registration

登録申請者(とうろくしんせいしゃ)

In Article 52-60-4, Article 52-60-5, paragraph (2) and Article 52-60-6, a person seeking the registration under Article 52-60-3 to carry on electronic payment handling services (電子決済等取扱業).

material reference information

重要参考情報(じゅうようさんこうじょうほう)

In Article 27-30-7, paragraphs (4) and (5), information related to the matters made available for public inspection under paragraph (1) of that Article that would materially affect investors' investment decisions, such as the fact that the Prime Minister has taken a disposition under Article 25, paragraph (6) or Article 27-14, paragraph (5) or ordered a submission under Article 27-28, paragraph (4); the Prime Minister may make it available for public inspection with those matters.

recognition of eligibility

適格性の認定(てきかくせいのにんてい)

In Article 79-59, the Prime Minister's finding, which an applicant for a loan of funds for refunds (返還資金融資) must obtain before applying, that the loan is needed for the prompt return of customer assets (顧客資産) and that the money lent will certainly be used for that purpose.

specified holding company

特定持株会社(とくていもちかぶがいしゃ)

In Article 106-10, a company that has come to have an incorporated financial instruments exchange as its subsidiary company in a case a Cabinet Office Order (内閣府令) sets, such as where the number of voting rights it holds has not increased, in which the Prime Minister's prior authorization is not required.

investor protection guidelines

投資者保護指針(とうししゃほごししん)

Guidelines that a certified investor protection organization (認定団体) is to endeavour to draw up and publish, in line with the purpose of this Act, on the content of contracts for financial instruments transactions by the business operators it covers, how they manage assets, and other matters needed to protect investors.

financial instruments business operator

金融商品取引業者(きんゆうしょうひんとりひきぎょうしゃ)

A financial instruments business operator as defined in Article 2, paragraph (9) of the Financial Instruments and Exchange Act (Act No. 25 of 1948), counted here only where it carries on the type I financial instruments business described in Article 28, paragraph (1) of that Act.

entrusted dispute resolution organization

受託紛争解決機関(じゅたくふんそうかいけつきかん)

In Article 156-43, paragraph (1) and Article 156-50, paragraphs (4) and (5), another designated dispute resolution organization (指定紛争解決機関), or a person designated under another law for work equivalent to dispute resolution services, etc. (紛争解決等業務) as a Cabinet Order (政令) specifies; a designated dispute resolution organization may entrust its complaint processing or dispute resolution procedures only to one of these.

written decision to commence trial procedures

審判手続開始決定書(しんぱんてつづきかいしけっていしょ)

The written decision by which the Prime Minister commences trial procedures (審判手続) on an administrative monetary penalty (課徴金); it states the date and place of the first hearing, the facts the penalty rests on, and the amount to be paid and how it was calculated.