附則第六条
- 新設附則第六条第一項
この法律の施行の際現に新金融商品取引業を行っている金融商品取引業者(当該新金融商品取引業が投資助言・代理業(金融商品取引法第二十八条第三項に規定する投資助言・代理業をいう。以下この項において同じ。)に該当する場合にあっては、投資助言・代理業を行うことにつきこの法律の施行の際既に金融商品取引法第二十九条の登録又は同法第三十一条第四項の変更登録を受けている者を除き、当該新金融商品取引業が投資運用業(同法第二十八条第四項に規定する投資運用業をいう。以下この項において同じ。)に該当する場合にあっては、投資運用業を行うことにつきこの法律の施行の際既に金融商品取引法第二十九条の登録又は同法第三十一条第四項の変更登録を受けている者を除く。)については、施行日において新金融商品取引法第二十九条の二第一項第五号に掲げる事項について変更(当該新金融商品取引業に係る業務の種別の追加に係るものに限る。)をしようとするものとみなして、金融商品取引法第三十一条第四項の規定を適用する。この場合において、当該金融商品取引業者は、施行日から起算して六月間(同項の変更登録の申請をした場合において当該期間内にその申請について同条第五項において準用する新金融商品取引法第二十九条の四第一項の規定による変更登録の拒否の処分があったときは、当該処分のあった日までの間)は、当該事項について金融商品取引法第三十一条第四項の変更登録を受けないでも、この法律の施行の際現に行っている当該新金融商品取引業の顧客を相手方とし、又は当該顧客のために、この法律の施行の際現に当該新金融商品取引業において取り扱っている暗号資産と同一の銘柄について、当該新金融商品取引業を行うことができる。
With respect to a financial instruments business operator that is, at the time of enforcement of this Act, engaged in new financial instruments business (excluding, in the case where the new financial instruments business falls under investment advisory and agency business (meaning the investment advisory and agency business prescribed in Article 28, paragraph (3) of the Financial Instruments and Exchange Act; hereinafter the same applies in this paragraph), a person that, at the time of enforcement of this Act, has already received registration under Article 29 of that Act or change registration under Article 31, paragraph (4) of that Act for conducting investment advisory and agency business, and, in the case where the new financial instruments business falls under investment management business (meaning the investment management business prescribed in Article 28, paragraph (4) of that Act; hereinafter the same applies in this paragraph), a person that, at the time of enforcement of this Act, has already received registration under Article 29 of that Act or change registration under Article 31, paragraph (4) of that Act for conducting investment management business), the provisions of Article 31, paragraph (4) of the Financial Instruments and Exchange Act apply on the premise that the operator is deemed to be about to make, on the effective date, a change (limited to one relating to the addition of a category of business pertaining to the new financial instruments business) to the particulars set forth in Article 29-2, paragraph (1), item (v) of the New Financial Instruments and Exchange Act. In this case, the financial instruments business operator may, for six months counted from the effective date (or, in the case where it has filed an application for change registration under that paragraph and, within that period, a disposition of refusal of registration of change under Article 29-4, paragraph (1) of the New Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 31, paragraph (5) of the Financial Instruments and Exchange Act is made on the application, until the day of that disposition), conduct the new financial instruments business with respect to the same issue as the cryptoassets handled in that new financial instruments business at the time of enforcement of this Act, with the customers of the new financial instruments business it is conducting at the time of enforcement of this Act as the counterparty, or for those customers, without receiving the change registration under Article 31, paragraph (4) of the Financial Instruments and Exchange Act for those particulars.
- 新設附則第六条第二項
前項の規定により新金融商品取引業を行うことができる金融商品取引業者が施行日から起算して六月を経過する日までに金融商品取引法第三十一条第四項の変更登録の申請をした場合において、その申請について変更登録又は変更登録の拒否の処分が行われることなく、その期間を経過したときは、その申請についてこれらの処分があるまでの間も、前項と同様とする。ただし、施行日から起算して二年を経過したときは、この限りでない。
In the case where a financial instruments business operator that may conduct new financial instruments business under the provisions of the preceding paragraph has filed an application for change registration under Article 31, paragraph (4) of the Financial Instruments and Exchange Act by the day on which six months elapse counted from the effective date, if that period has elapsed without a disposition of change registration or refusal of registration of change having been made on the application, the same applies as in the preceding paragraph until such a disposition is made on the application. However, this does not apply once two years have elapsed counted from the effective date.
- 新設附則第六条第三項
新金融商品取引法第四十六条及び第三章第七節の規定は、前二項の規定により新金融商品取引業を行うことができる金融商品取引業者が行う当該新金融商品取引業については、適用しない。
The provisions of Article 46 and Chapter III, Section 7 of the New Financial Instruments and Exchange Act do not apply to the new financial instruments business conducted by a financial instruments business operator that may conduct new financial instruments business under the provisions of the preceding two paragraphs.