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Terms
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.
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.
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).
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.
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.
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.
In Article 31, paragraph (3) and Article 33-6, paragraph (3), the part of the business content or methods stated in the document under Article 29-2, paragraph (2), item (ii) that concerns the acts referred to in Article 29-2, paragraph (1), item (viii) or (ix) and that a Cabinet Office Order (内閣府令) specifies as especially necessary for the public interest or investor protection.
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.
In Article 52-4, voting rights held, without the aim of controlling the business of the bank or bank holding company that issued the shares, by a bank, a financial instruments business operator (金融商品取引業者) carrying on securities-related services, a licensed trust company or another person a Cabinet Office Order (内閣府令) specifies that has notified the Prime Minister of its record dates, except where the holding ratio exceeds a figure, or the case is one, that a Cabinet Office Order sets.
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.
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.
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.
従前の適格消費者団体
In Article 35, the qualified consumer organization (適格消費者団体) that held a right to demand an injunction (差止請求権) before a designated qualified consumer organization (指定適格消費者団体) took that right over.
An International Strategic Comprehensive Special Zone as defined in Article 2, paragraph (1) of the Comprehensive Special Zones Act.
In the table in Article 24-5, paragraph (1), the particulars for the six months from the start of the business year, such as the financial condition of the company's corporate group (企業集団), that a Cabinet Office Order (内閣府令) specifies as necessary and appropriate in the public interest or for investor protection, which every semiannual securities report (半期報告書) must contain.
対象商品デリバティブ取引関連取引
In Articles 79-20 and 79-49, a transaction relating to commodity-related market derivatives transactions brokerage, etc. (商品関連市場デリバティブ取引取次ぎ等), or to business incidental to it that a Cabinet Office Order (内閣府令) specifies.
高額電子移転可能型前払式支払手段発行者
In Article 27, paragraph (1) and Article 32, paragraph (4), item (i)(b), the specified business operators (特定事業者) listed in Article 2, paragraph (2), item (xxx-2): issuers of prepaid payment instruments (前払式支払手段発行者) as defined in Article 2, paragraph (1) of the Payment Services Act that have made the notification under Article 11-2, paragraph (1) of that Act.
In Article 55, paragraph (2), the authorization under Article 52-9, paragraph (1) or the proviso to paragraph (2) of that Article to hold voting rights at or above a bank's major shareholder threshold (主要株主基準値); it ceases to have effect when the bank's major shareholder (銀行主要株主) no longer holds that many voting rights, or obtains authorization under Article 52-17 or Article 52-23 to make the bank its subsidiary company (子会社).
The document setting out the explanation (弁明) that a person who is to receive a payment order for an administrative monetary penalty (課徴金納付命令) gives in their defence; the explanation is given by submitting it unless the Prime Minister allows it to be given orally.
提出者
In Article 27-14, a person who has submitted a tender offer document that the Prime Minister makes available for public inspection under paragraph (1) of that Article — a tender offer statement, notice of withdrawal, tender offer report, target company's position statement or tender offeror's answer — and who must keep a copy at its head or principal office for public inspection for as long as the Prime Minister does.