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この条文はまだされていません2027年7月22日までに施行予定（日付は政令で定める・遅くとも9か月後）
いまの条文を読む →第一節 総則（第二十九条の四）
金融商品取引法及び資金決済に関する法律の一部を改正する法律（令和八年法律第六十四号）による改正後の条文です。変わる言葉に印をつけています。
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内閣総理大臣は、登録申請者が次の各号のいずれかに該当するとき、又は登録申請書若しくはこれに添付すべき書類若しくは電磁的記録のうちに虚偽の記載若しくは記録があり、若しくは重要な事実の記載若しくは記録が欠けているときは、その登録を拒否しなければならない。
The Prime Minister must refuse to effect a registration if the applicant for registration falls under any of the following items, or if the written application for registration or a document or electronic or magnetic record that is required to accompany it contains a false statement or record or omits a statement or record of a material fact:
次のいずれかに該当する者
a person falling under any of the following:
第五十二条第一項、第五十三条第三項若しくは第五十七条の六第三項の規定により第二十九条の登録を取り消され、第六十条の八第一項の規定により第六十条第一項の許可を取り消され、第六十条の十四第二項において準用する第六十条の八第一項の規定により第六十条の十四第一項の許可を取り消され、第六十三条の五第三項（第六十三条の三第二項において準用する場合を含む。）の規定により適格機関投資家等特例業務（第六十三条第二項に規定する適格機関投資家等特例業務をいう。以下この号及び第二号において同じ。）の廃止を命ぜられ、第六十三条の十三第三項（第六十三条の十一第二項において準用する場合を含む。）の規定により海外投資家等特例業務（第六十三条の八第一項に規定する海外投資家等特例業務をいう。以下この号及び第二号において同じ。）の廃止を命ぜられ、第六十六条の二十第一項の規定により第六十六条の登録を取り消され、第六十六条の四十二第一項の規定により第六十六条の二十七の登録を取り消され、第六十六条の六十三第一項の規定により第六十六条の五十の登録を取り消され、若しくは第六十六条の八十五第一項の規定により第六十六条の七十一の登録を取り消され、若しくは第六十六条の百三第一項の規定により暗号資産管理関係業務の廃止を命ぜられ、若しくは金融サービスの提供及び利用環境の整備等に関する法律第三十八条第一項（第二号、第三号及び第五号を除く。）の規定により同法第十二条の登録（有価証券等仲介業務の種別に係るものに限る。）を取り消され、その取消し若しくは命令の日から五年を経過しない者又はこの法律若しくは金融サービスの提供及び利用環境の整備等に関する法律に相当する外国の法令の規定により当該外国において受けている同種類の登録若しくは許可（当該登録又は許可に類する認可その他の行政処分を含む。）を取り消され、若しくは適格機関投資家等特例業務若しくは、海外投資家等特例業務若しくは暗号資産管理関係業務と同種類の業務の廃止を命ぜられ、その取消し若しくは命令の日から五年を経過しない者
a person that has had the registration referred to in Article 29 rescinded pursuant to the provisions of Article 52, paragraph (1), Article 53, paragraph (3), or Article 57-6, paragraph (3), has had the permission referred to in Article 60, paragraph (1) rescinded pursuant to the provisions of Article 60-8, paragraph (1), has had the permission under Article 60-14, paragraph (1) rescinded pursuant to the provisions of Article 60-8, paragraph (1) as applied mutatis mutandis pursuant to Article 60-14, paragraph (2), has been ordered to discontinue specially permitted services for qualified institutional investors, etc. (meaning the specially permitted services for qualified institutional investors, etc. prescribed in Article 63, paragraph (2); hereinafter the same applies in this item and item (ii) of this paragraph) pursuant to the provisions of Article 63-5, paragraph (3) (including as applied mutatis mutandis pursuant to Article 63-3, paragraph (2)), has been ordered to discontinue specially permitted services for foreign investors, etc. (meaning the specially permitted services for foreign investors, etc. prescribed in Article 63-8, paragraph (1); hereinafter the same applies in this item and item (ii) of this paragraph) pursuant to the provisions of Article 63-13, paragraph (3) (including as applied mutatis mutandis pursuant to Article 63-11, paragraph (2)), has had the registration referred to in Article 66 rescinded pursuant to the provisions of Article 66-20, paragraph (1), has had the registration referred to in Article 66-27 rescinded pursuant to the provisions of Article 66-42, paragraph (1), has had the registration referred to in Article 66-50 rescinded pursuant to the provisions of Article 66-63, paragraph (1), has had the registration referred to in Article 66-71 rescinded pursuant to the provisions of Article 66-85, paragraph (1), or has been ordered to discontinue cryptoasset management-related services pursuant to the provisions of Article 66-103, paragraph (1), or has had the registration referred to in Article 12 of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto (limited to the registration related to the type of securities, etc. intermediary business operations) rescinded pursuant to the provisions of Article 38, paragraph (1) (excluding items (ii), (iii), and (v)) of that Act, and for whom five years have not passed since the date of the rescission or order; or a person that has had a registration or permission of the same kind that it holds in a foreign country (including authorization or any other administrative disposition similar to such a registration or permission) rescinded pursuant to the provisions of the laws and regulations of that foreign country that are equivalent to this Act or the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto, or has been ordered to discontinue services of the same kind as specially permitted services for qualified institutional investors, etc. or, specially permitted services for foreign investors, etc., or cryptoasset management-related services, and for whom five years have not passed since the date of the rescission or order;
次のいずれかに該当する者
a person falling under any of the following:
第五十二条第一項、第五十三条第三項又は第五十七条の六第三項の規定による第二十九条の登録の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第五十条の二第一項第二号、第六号又は第七号に該当する旨の同項の規定による届出をした者（当該通知があつた日前に金融商品取引業を廃止し、分割により金融商品取引業に係る事業の全部を承継させ、又は金融商品取引業に係る事業の全部の譲渡をすることについての決定（当該者が法人であるときは、その業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of rescission of the registration referred to in Article 29 pursuant to the provisions of Article 52, paragraph (1), Article 53, paragraph (3), or Article 57-6, paragraph (3) and the day of making the disposition or deciding not to make the disposition, has made a notification under Article 50-2, paragraph (1) to the effect that the person falls under item (ii), (vi), or (vii) of that paragraph (excluding a person that, before the day on which the notice was given, had made a decision (meaning, if the person is a corporation, the decision by the organ responsible for making decisions on the execution of its operations) to discontinue financial instruments business, to cause all of the business relating to financial instruments business to be succeeded to in a company split, or to transfer all of the business relating to financial instruments business), and for whom five years have not passed since the date of that notification;
第六十条の八第一項の規定による第六十条第一項の許可の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に取引所取引業務（同項に規定する取引所取引業務をいう。以下この号及び第二号ヘ（２）並びに第三十八条第八号において同じ。）を廃止したことにより第六十条の七に規定する場合に該当する旨の同条の規定による届出をした場合における当該届出に係る取引所取引許可業者（第六十条の四第一項に規定する取引所取引許可業者をいう。以下この号及び第二号並びに第三十八条第八号において同じ。）（当該通知があつた日前に取引所取引業務を廃止することについての決定（当該取引所取引許可業者の業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of rescission of the permission referred to in Article 60, paragraph (1) pursuant to the provisions of Article 60-8, paragraph (1) and the day of making the disposition or deciding not to make the disposition, has discontinued on-exchange transaction services (meaning the on-exchange transaction services prescribed in Article 60, paragraph (1); hereinafter the same applies in this item, item (ii), (f)(2), and Article 38, item (viii)) and, as a result, has made a notification under Article 60-7 to the effect that the case prescribed in that Article applies, as the authorized firm for on-exchange transactions (meaning the authorized firm for on-exchange transactions prescribed in Article 60-4, paragraph (1); hereinafter the same applies in this item, item (ii), and Article 38, item (viii)) pertaining to that notification (excluding a person that, before the day on which the notice was given, had made a decision (meaning the decision by the organ responsible for making decisions on the execution of the operations of that authorized firm for on-exchange transactions) to discontinue on-exchange transaction services), and for whom five years have not passed since the date of that notification;
第六十条の十四第二項において準用する第六十条の八第一項の規定による第六十条の十四第一項の許可の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に電子店頭デリバティブ取引等業務（同項に規定する電子店頭デリバティブ取引等業務をいう。以下この号及び第二号ヘ（３）において同じ。）を廃止したことにより第六十条の十四第二項において準用する第六十条の七に規定する場合に該当する旨の同条の規定による届出をした場合における当該届出に係る電子店頭デリバティブ取引等許可業者（同項に規定する電子店頭デリバティブ取引等許可業者をいう。以下この号及び第二号において同じ。）（当該通知があつた日前に電子店頭デリバティブ取引等業務を廃止することについての決定（当該電子店頭デリバティブ取引等許可業者の業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of rescission of the permission referred to in Article 60-14, paragraph (1) pursuant to the provisions of Article 60-8, paragraph (1) as applied mutatis mutandis pursuant to Article 60-14, paragraph (2) and the day of making the disposition or deciding not to make the disposition, has discontinued the business of conducting electronic over-the-counter derivatives transactions, etc. (meaning the business of conducting electronic over-the-counter derivatives transactions, etc. prescribed in Article 60-14, paragraph (1); hereinafter the same applies in this item and item (ii), (f)(3)) and, as a result, has made a notification under Article 60-7 as applied mutatis mutandis pursuant to Article 60-14, paragraph (2) to the effect that the case prescribed in that Article applies, as the business operator authorized to conduct electronic over-the-counter derivatives transactions, etc. (meaning the business operator authorized to conduct electronic over-the-counter derivatives transactions, etc. prescribed in Article 60-14, paragraph (2); hereinafter the same applies in this item and item (ii)) pertaining to that notification (excluding a person that, before the day on which the notice was given, had made a decision (meaning the decision by the organ responsible for making decisions on the execution of the operations of that business operator authorized to conduct electronic over-the-counter derivatives transactions, etc.) to discontinue the business of conducting electronic over-the-counter derivatives transactions, etc.), and for whom five years have not passed since the date of that notification;
第六十三条の五第三項の規定による適格機関投資家等特例業務の廃止の処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十三条の二第一項の規定により特例業務届出者（第六十三条第二項の規定による届出をした者をいう。以下この号及び第二号において同じ。）の地位を承継した旨の第六十三条の二第二項の規定による届出又は同条第三項第二号に該当する旨の同項の規定による届出をした者（同条第一項の規定により特例業務届出者の地位を承継した旨の同条第二項の規定による届出をした場合にあつては、当該届出に係る特例業務届出者であつた者とし、当該通知があつた日前に適格機関投資家等特例業務に係る事業の全部の譲渡をし、分割により適格機関投資家等特例業務に係る事業の全部を承継させ、又は適格機関投資家等特例業務を廃止することについての決定（当該者が法人であるときは、その業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of discontinuation of specially permitted services for qualified institutional investors, etc. under Article 63-5, paragraph (3) and the day of making the disposition or deciding not to make the disposition, has made a notification under Article 63-2, paragraph (2) to the effect that the person has succeeded to the position of a notifier of specially permitted services (meaning a person that has made a notification under Article 63, paragraph (2); hereinafter the same applies in this item and item (ii)) pursuant to the provisions of Article 63-2, paragraph (1), or a notification under the provisions of paragraph (3) of that Article to the effect that the person falls under item (ii) of that paragraph (in the case where the person has made a notification under paragraph (2) of that Article to the effect that the person has succeeded to the position of a notifier of specially permitted services pursuant to the provisions of paragraph (1) of that Article, the person that was the notifier of specially permitted services pertaining to that notification; and excluding a person that, before the day on which the notice was given, had made a decision (meaning, if the person is a corporation, the decision by the organ responsible for making decisions on the execution of its operations) to transfer all of the business relating to specially permitted services for qualified institutional investors, etc., to cause all of that business to be succeeded to in a company split, or to discontinue specially permitted services for qualified institutional investors, etc.), and for whom five years have not passed since the date of that notification;
第六十三条の三第二項において準用する第六十三条の五第三項の規定による適格機関投資家等特例業務の廃止の処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第五十条の二第一項第六号若しくは第七号に該当する旨の同項の規定による届出又は第六十三条の三第二項において準用する第六十三条の二第三項第二号に該当する旨の同項の規定による届出をした者（当該通知があつた日前に分割により適格機関投資家等特例業務に係る事業の全部を承継させ、適格機関投資家等特例業務に係る事業の全部の譲渡をし、又は適格機関投資家等特例業務を廃止することについての決定（当該者が法人であるときは、その業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of discontinuation of specially permitted services for qualified institutional investors, etc. under Article 63-5, paragraph (3) as applied mutatis mutandis pursuant to Article 63-3, paragraph (2) and the day of making the disposition or deciding not to make the disposition, has made a notification under Article 50-2, paragraph (1) to the effect that the person falls under item (vi) or (vii) of that paragraph, or a notification under the provisions of Article 63-2, paragraph (3) as applied mutatis mutandis pursuant to Article 63-3, paragraph (2) to the effect that the person falls under item (ii) of Article 63-2, paragraph (3) as so applied (excluding a person that, before the day on which the notice was given, had made a decision (meaning, if the person is a corporation, the decision by the organ responsible for making decisions on the execution of its operations) to cause all of the business relating to specially permitted services for qualified institutional investors, etc. to be succeeded to in a company split, to transfer all of that business, or to discontinue specially permitted services for qualified institutional investors, etc.), and for whom five years have not passed since the date of that notification;
第六十三条の十三第三項の規定による海外投資家等特例業務の廃止の処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十三条の十第一項の規定により海外投資家等特例業務届出者（第六十三条の九第一項の規定による届出をした者をいう。以下この号及び第二号において同じ。）の地位を承継した旨の第六十三条の十第二項の規定による届出又は同条第三項第二号に該当する旨の同項の規定による届出をした者（同条第一項の規定により海外投資家等特例業務届出者の地位を承継した旨の同条第二項の規定による届出をした場合にあつては、当該届出に係る海外投資家等特例業務届出者であつた者とし、当該通知があつた日前に海外投資家等特例業務に係る事業の全部の譲渡をし、分割により海外投資家等特例業務に係る事業の全部を承継させ、又は海外投資家等特例業務を廃止することについての決定（当該者が法人であるときは、その業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of discontinuation of specially permitted services for foreign investors, etc. under Article 63-13, paragraph (3) and the day of making the disposition or deciding not to make the disposition, has made a notification under Article 63-10, paragraph (2) to the effect that the person has succeeded to the position of a notifier of specially permitted services for foreign investors, etc. (meaning a person that has made a notification under Article 63-9, paragraph (1); hereinafter the same applies in this item and item (ii)) pursuant to the provisions of Article 63-10, paragraph (1), or a notification under the provisions of paragraph (3) of that Article to the effect that the person falls under item (ii) of that paragraph (in the case where the person has made a notification under paragraph (2) of that Article to the effect that the person has succeeded to the position of a notifier of specially permitted services for foreign investors, etc. pursuant to the provisions of paragraph (1) of that Article, the person that was the notifier of specially permitted services for foreign investors, etc. pertaining to that notification; and excluding a person that, before the day on which the notice was given, had made a decision (meaning, if the person is a corporation, the decision by the organ responsible for making decisions on the execution of its operations) to transfer all of the business relating to specially permitted services for foreign investors, etc., to cause all of that business to be succeeded to in a company split, or to discontinue specially permitted services for foreign investors, etc.), and for whom five years have not passed since the date of that notification;
第六十三条の十一第二項において準用する第六十三条の十三第三項の規定による海外投資家等特例業務の廃止の処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第五十条の二第一項第六号若しくは第七号に該当する旨の同項の規定による届出又は第六十三条の十一第二項において準用する第六十三条の十第三項第二号に該当する旨の同項の規定による届出をした者（当該通知があつた日前に分割により海外投資家等特例業務に係る事業の全部を承継させ、海外投資家等特例業務に係る事業の全部の譲渡をし、又は海外投資家等特例業務を廃止することについての決定（当該者が法人であるときは、その業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of discontinuation of specially permitted services for foreign investors, etc. under Article 63-13, paragraph (3) as applied mutatis mutandis pursuant to Article 63-11, paragraph (2) and the day of making the disposition or deciding not to make the disposition, has made a notification under Article 50-2, paragraph (1) to the effect that the person falls under item (vi) or (vii) of that paragraph, or a notification under the provisions of Article 63-10, paragraph (3) as applied mutatis mutandis pursuant to Article 63-11, paragraph (2) to the effect that the person falls under item (ii) of Article 63-10, paragraph (3) as so applied (excluding a person that, before the day on which the notice was given, had made a decision (meaning, if the person is a corporation, the decision by the organ responsible for making decisions on the execution of its operations) to cause all of the business relating to specially permitted services for foreign investors, etc. to be succeeded to in a company split, to transfer all of that business, or to discontinue specially permitted services for foreign investors, etc.), and for whom five years have not passed since the date of that notification;
第六十六条の二十第一項の規定による第六十六条の登録の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十六条の十九第一項第一号に該当する旨の同項の規定による届出をした者（当該通知があつた日前に金融商品仲介業を廃止し、分割により金融商品仲介業に係る事業の全部を承継させ、又は金融商品仲介業に係る事業の全部の譲渡をすることについての決定（当該者が法人であるときは、その業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of rescission of the registration referred to in Article 66 pursuant to the provisions of Article 66-20, paragraph (1) and the day of making the disposition or deciding not to make the disposition, has made a notification under Article 66-19, paragraph (1) to the effect that the person falls under item (i) of that paragraph (excluding a person that, before the day on which the notice was given, had made a decision (meaning, if the person is a corporation, the decision by the organ responsible for making decisions on the execution of its operations) to discontinue financial instruments intermediary service, to cause all of the business relating to financial instruments intermediary service to be succeeded to in a company split, or to transfer all of the business relating to financial instruments intermediary service), and for whom five years have not passed since the date of that notification;
第六十六条の四十二第一項の規定による第六十六条の二十七の登録の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十六条の四十第一項第一号に該当する旨の同項の規定による届出をした者（当該通知があつた日前に信用格付業を廃止し、分割により信用格付業に係る事業の全部を承継させ、又は信用格付業に係る事業の全部の譲渡をすることについての決定（当該者の業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of rescission of the registration referred to in Article 66-27 pursuant to the provisions of Article 66-42, paragraph (1) and the day of making the disposition or deciding not to make the disposition, has made a notification under Article 66-40, paragraph (1) to the effect that the person falls under item (i) of that paragraph (excluding a person that, before the day on which the notice was given, had made a decision (meaning the decision by the organ responsible for making decisions on the execution of the person's operations) to discontinue credit rating services, to cause all of the business relating to credit rating services to be succeeded to in a company split, or to transfer all of the business relating to credit rating services), and for whom five years have not passed since the date of that notification;
第六十六条の六十三第一項の規定による第六十六条の五十の登録の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十六条の六十一第一項第二号、第六号又は第七号に該当する旨の同項の規定による届出をした者（当該通知があつた日前に高速取引行為に係る業務を廃止し、分割により当該業務に係る事業の全部を承継させ、又は当該業務に係る事業の全部の譲渡をすることについての決定（当該者が法人であるときは、その業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of rescission of the registration referred to in Article 66-50 pursuant to the provisions of Article 66-63, paragraph (1) and the day of making the disposition or deciding not to make the disposition, has made a notification under Article 66-61, paragraph (1) to the effect that the person falls under item (ii), (vi), or (vii) of that paragraph (excluding a person that, before the day on which the notice was given, had made a decision (meaning, if the person is a corporation, the decision by the organ responsible for making decisions on the execution of its operations) to discontinue the business relating to high-speed trading, to cause all of that business to be succeeded to in a company split, or to transfer all of that business), and for whom five years have not passed since the date of that notification;
第六十六条の八十五第一項の規定による第六十六条の七十一の登録の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十六条の八十三第一項第二号、第六号又は第七号に該当する旨の同項の規定による届出をした者（当該通知があつた日前に投資運用関係業務受託業を廃止し、分割により投資運用関係業務受託業に係る事業の全部を承継させ、又は投資運用関係業務受託業に係る事業の全部の譲渡をすることについての決定（当該者が法人であるときは、その業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of rescission of the registration referred to in Article 66-71 pursuant to the provisions of Article 66-85, paragraph (1) and the day of making the disposition or deciding not to make the disposition, has made a notification under Article 66-83, paragraph (1) to the effect that the person falls under item (ii), (vi), or (vii) of that paragraph (excluding a person that, before the day on which the notice was given, had made a decision (meaning, if the person is a corporation, the decision by the organ responsible for making decisions on the execution of its operations) to discontinue investment management-related services contracting business, to cause all of the business relating to investment management-related services contracting business to be succeeded to in a company split, or to transfer all of the business relating to investment management-related services contracting business), and for whom five years have not passed since the date of that notification;
金融サービスの提供及び利用環境の整備等に関する法律第三十八条第六十六条の百三第一項（第二号、第三号及び第五号を除く。）の規定による同法第十二条の登録（有価証券等仲介暗号資産管理関係業務の種別に係るものに限る。）の取消し廃止の処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に金融サービスの提供及び利用環境の整備等に関する法律第第六十六条第三項第三号の百一第二号、第六号又は第七号に該当する旨の同項条の規定による届出をした者（当該通知があつた日前に金融サービス仲介業（同法第十一条第一項に規定する金融サービス仲介業をいう。（１２）及び第二号ヘ（１２）において同じ。）暗号資産管理関係業務を廃止し、分割により金融サービス仲介業暗号資産管理関係業務に係る事業の全部を承継させ、又は金融サービス仲介業暗号資産管理関係業務に係る事業の全部の譲渡をすることについての決定（当該者が法人であるときは、その業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of rescission, under Article 38, paragraph (1) (excluding items (ii), (iii) and (v)) of the Act on the Provision of Financial Services and the Developmentdiscontinuation of the Accessible Environment Thereto, of the registrationcryptoasset management-related services under Article 12 of that Act (limited to the registration related to the type of securities, etc. intermediary business operations66-103, paragraph (1) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 16, paragraph (3) of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto66-101 to the effect that the person falls under item (iii) ii), (vi) or (vii) of that paragraphArticle (excluding a person that, before the day on which the notice was given, had made a decision (meaning, if the person is a corporation, a decision by the organ that is responsible for making decisions on the execution of its operations) to discontinue financial service intermediary business (meaning the financial service intermediary business prescribed in Article 11, paragraph (1) of that Act; the same applies in (12) and item (ii), (f)(12))cryptoasset management-related services, to have all of the business related to financial service intermediary businesscryptoasset management-related services succeeded to by another through a company split, or to transfer all of the business related to financial service intermediary businesscryptoasset management-related services), and for whom five years have not passed since the date of the notification;
金融サービスの提供及び利用環境の整備等に関する法律第三十八条第一項（第二号、第三号及び第五号を除く。）の規定による同法第十二条の登録（有価証券等仲介業務の種別に係るものに限る。）の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に金融サービスの提供及び利用環境の整備等に関する法律第十六条第三項第三号に該当する旨の同項の規定による届出をした者（当該通知があつた日前に金融サービス仲介業（同法第十一条第一項に規定する金融サービス仲介業をいう。（１３）及び第二号ヘ（１３）において同じ。）を廃止し、分割により金融サービス仲介業に係る事業の全部を承継させ、又は金融サービス仲介業に係る事業の全部の譲渡をすることについての決定（当該者が法人であるときは、その業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of rescission, under Article 38, paragraph (1) (excluding items (ii), (iii) and (v)) of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto, of the registration under Article 12 of that Act (limited to the registration related to the type of securities, etc. intermediary business operations) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 16, paragraph (3) of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto to the effect that the person falls under item (iii) of that paragraph (excluding a person that, before the day on which the notice was given, had made a decision (meaning, if the person is a corporation, a decision by the organ that is responsible for making decisions on the execution of its operations) to discontinue financial service intermediary business (meaning the financial service intermediary business prescribed in Article 11, paragraph (1) of that Act; the same applies in (13) and item (ii), (f)(13)), to have all of the business related to financial service intermediary business succeeded to by another through a company split, or to transfer all of the business related to financial service intermediary business), and for whom five years have not passed since the date of the notification;
この法律、担保付社債信託法（明治三十八年法律第五十二号）、金融機関の信託業務の兼営等に関する法律（昭和十八年法律第四十三号）、商品先物取引法、投資信託及び投資法人に関する法律、宅地建物取引業法（昭和二十七年法律第百七十六号）、出資の受入れ、預り金及び金利等の取締りに関する法律（昭和二十九年法律第百九十五号）、割賦販売法（昭和三十六年法律第百五十九号）、貸金業法（昭和五十八年法律第三十二号）、預託等取引に関する法律（昭和六十一年法律第六十二号）、商品投資に係る事業の規制に関する法律（平成三年法律第六十六号）、不動産特定共同事業法、資産の流動化に関する法律、金融業者の貸付業務のための社債の発行等に関する法律（平成十一年法律第三十二号）、金融サービスの提供及び利用環境の整備等に関する法律、信託業法（平成十六年法律第百五十四号）、資金決済に関する法律、事業性融資の推進等に関する法律（令和六年法律第五十二号）その他政令で定める法律又はこれらに相当する外国の法令の規定に違反し、罰金の刑（これに相当する外国の法令による刑を含む。）に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなつた日から五年を経過しない者
a person that has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of this Act; the Secured Bond Trust Act (Act No. 52 of 1905); the Act on Engagement in Trust Business by Financial Institutions (Act No. 43 of 1943); the Commodity Derivatives Transaction Act; the Act on Investment Trusts and Investment Corporations; the Real Estate Brokerage Act (Act No. 176 of 1952); the Act Regulating the Receipt of Contributions, the Receipt of Deposits, and Interest Rates (Act No. 195 of 1954); the Installment Sales Act (Act No. 159 of 1961); the Money Lending Business Act (Act No. 32 of 1983); the Act on Deposit Transactions (Act No. 62 of 1986); the Act on Regulation of Commodity Investment (Act No. 66 of 1991); the Act on Specified Joint Real Estate Ventures; the Act on the Securitization of Assets; the Act on Issuance, etc. of Bonds for Financial Corporations' Loan Business (Act No. 32 of 1999); the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto; the Trust Business Act (Act No. 154 of 2004); the Payment Services Act; the Act on the Promotion of Business Financing, etc. (Act No. 52 of 2024); or any other laws specified by Cabinet Order, or for violating the provisions of a foreign law or regulation that is equivalent to any of these Acts, and five years have not passed since the day on which the person finished serving the sentence or ceased to be subject to its enforcement;
他に行う事業が公益に反すると認められる者
a person that performs another business which is found to be contrary to the public interest;
次のいずれかに該当する者
a person falling under any of the following:
暴力団員による不当な行為の防止等に関する法律第二条第二号に規定する暴力団又は同条第六号に規定する暴力団員との関係その他の事情に照らし、金融商品取引業の信用を失墜させるおそれがあると認められる者
a person that is found, in light of its relationship with an organized crime group prescribed in Article 2, item (ii) of the Act on Prevention of Unjust Acts by Organized Crime Group Members or a member of an organized crime group prescribed in item (vi) of that Article, or other circumstances, to be likely to cause a loss of confidence in the financial instruments business;
その他金融商品取引業を適確に遂行するに足りる人的構成を有しない者として内閣府令で定める基準に該当する者
any other person that falls under the criteria specified by Cabinet Office Order as a person that does not have a sufficient personnel structure to perform financial instruments business in an appropriate manner.
金融商品取引業を適確に遂行するための必要な体制が整備されていると認められない者
a person that is found not to have in place the necessary system for performing financial instruments business in an appropriate manner;
法人である場合においては、登録申請の対象となる金融商品取引業に係る業務のそれぞれにつき、その執行について必要となる十分な知識及び経験を有する役員（相談役、顧問その他いかなる名称を有する者であるかを問わず、当該法人に対し取締役、執行役又はこれらに準ずる者と同等以上の支配力を有するものと認められる者を含む。以下この号及び次号、次号及び第八号ハ、第三十三条の五第一項第三号イ、第五十二条第二項、第五十二条の二第二項、第五十七条の二十第一項第一号及び第三項、第六十三条第七項第一号ハ、第六十三条の九第六項第二号ト、第六十六条の五十三第五号イ、第六十六条の六十三第二項、第六十六条の七十四第七号イ及びハ並びに、第六十六条の八十五第二項、第六十六条の九十四第五項第三号イ及びニ並びに第六十六条の百三第二項において同じ。）又は使用人を確保していないと認められる者。ただし、登録申請者が投資運用関係業務を投資運用関係業務受託業者（当該投資運用関係業務を行うことにつき第六十六条の七十一の登録又は第六十六条の七十五第四項の変更登録を受けている者に限る。）に委託する場合における当該投資運用関係業務については、その業務の監督を適切に行う能力を有する役員又は使用人を確保していれば足りるものとする。
if the person is a corporation, a person that is found not to have secured, for each of the services related to the financial instruments business subject to the application for registration, an officer (including a person that is found to have at least the same amount of authority over the corporation as a director, an executive officer or an equivalent person, irrespective of whether the person is called a counselor, an advisor or any other title; hereinafter the same applies in this item and, the following item, item (viii), (c), Article 33-5, paragraph (1), item (iii), (a), Article 52, paragraph (2), Article 52-2, paragraph (2), Article 57-20, paragraph (1), item (i) and paragraph (3), Article 63, paragraph (7), item (i), (c), Article 63-9, paragraph (6), item (ii), (g), Article 66-53, item (v), (a), Article 66-63, paragraph (2), Article 66-74, item (vii), (a) and (c), Article 66-85, paragraph (2), Article 66-94, paragraph (5), item (iii), (a) and (d), and Article 66-8566-103, paragraph (2)) or an employee who has the sufficient knowledge and experience necessary for the execution of the relevant services; provided, however, that if an applicant for registration entrusts investment management-related services to an investment management-related services contractor (limited to a person that has obtained the registration under Article 66-71 or the registration of a change under Article 66-75, paragraph (4) in order to conduct those investment management-related services), it is to be sufficient, with regard to those investment management-related services, to have secured an officer or employee who has the ability to appropriately supervise those services.
法人である場合においては、役員又は政令で定める使用人のうちに次のいずれかに該当する者のある者
if the person is a corporation, a person that has an officer, or an employee specified by Cabinet Order, who falls under any of the following:
心身の故障により金融商品取引業に係る業務を適正に行うことができない者として内閣府令で定める者
a person specified by Cabinet Office Order as being unable to properly perform business related to financial instruments business due to a mental or physical disorder;
破産手続開始の決定を受けて復権を得ない者又は外国の法令上これと同様に取り扱われている者
a person that has become subject to an order to commence bankruptcy proceedings and has not obtained a restoration of rights, or a person that is treated in the same manner under foreign laws and regulations;
拘禁刑以上の刑（これに相当する外国の法令による刑を含む。）に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなつた日から五年を経過しない者
a person that has been sentenced to imprisonment or a heavier punishment (including an equivalent sentence under foreign laws and regulations), and five years have not passed since the day on which that person finished serving the sentence or ceased to be subject to its enforcement;
金融商品取引業者であつた法人が第五十二条第一項、第五十三条第三項若しくは第五十七条の六第三項の規定により第二十九条の登録を取り消されたことがある場合、取引所取引許可業者であつた法人が第六十条の八第一項の規定により第六十条第一項の許可を取り消されたことがある場合、電子店頭デリバティブ取引等許可業者であつた法人が第六十条の十四第二項において準用する第六十条の八第一項の規定により第六十条の十四第一項の許可を取り消されたことがある場合、特例業務届出者であつた法人が第六十三条の五第三項の規定により適格機関投資家等特例業務の廃止を命ぜられたことがある場合、第六十三条の三第一項の規定による届出をした者であつた法人が同条第二項において準用する第六十三条の五第三項の規定により適格機関投資家等特例業務の廃止を命ぜられたことがある場合、海外投資家等特例業務届出者であつた法人が第六十三条の十三第三項の規定により海外投資家等特例業務の廃止を命ぜられたことがある場合、第六十三条の十一第一項の規定による届出をした者であつた法人が同条第二項において準用する第六十三条の十三第三項の規定により海外投資家等特例業務の廃止を命ぜられたことがある場合、金融商品仲介業者であつた法人が第六十六条の二十第一項の規定により第六十六条の登録を取り消されたことがある場合、信用格付業者であつた法人が第六十六条の四十二第一項の規定により第六十六条の二十七の登録を取り消されたことがある場合、高速取引行為者であつた法人が第六十六条の六十三第一項の規定により第六十六条の五十の登録を取り消されたことがある場合若しくは、投資運用関係業務受託業者であつた法人が第六十六条の八十五第一項の規定により第六十六条の七十一の登録を取り消されたことがある場合若しくは暗号資産管理関係業務提供者であつた法人が第六十六条の百三第一項の規定により暗号資産管理関係業務の廃止を命ぜられたことがある場合若しくは金融サービス仲介業者であつた法人が金融サービスの提供及び利用環境の整備等に関する法律第三十八条第一項（第二号、第三号及び第五号を除く。）の規定により同法第十二条の登録（有価証券等仲介業務の種別に係るものに限る。）を取り消されたことがある場合又はこの法律若しくは金融サービスの提供及び利用環境の整備等に関する法律に相当する外国の法令の規定により当該外国において同種類の登録若しくは許可（当該登録又は許可に類する認可その他の行政処分を含む。ニにおいて同じ。）を受けていた法人が当該同種類の登録若しくは許可を取り消されたことがある場合若しくは適格機関投資家等特例業務若しくは、海外投資家等特例業務若しくは暗号資産管理関係業務と同種類の業務を行つていた法人が当該業務の廃止を命ぜられたことがある場合において、その取消し又は命令の日前三十日以内にこれらの法人の役員であつた者でその取消し又は命令の日から五年を経過しない者
a person that, during the 30 days prior to the date of rescission or order, was the officer of a corporation, in a case in which the corporation was a financial instruments business operator but has had the registration referred to in Article 29 rescinded pursuant to the provisions of Article 52, paragraph (1), Article 53, paragraph (3), or Article 57-6, paragraph (3); in a case in which the corporation was an authorized firm for on-exchange transactions but has had the permission referred to in Article 60, paragraph (1) rescinded pursuant to the provisions of Article 60-8, paragraph (1); in a case in which a corporation that was a business operator authorized to conduct electronic over-the-counter derivatives transactions, etc. has had its permission under Article 60-14, paragraph (1) rescinded under the provisions of Article 60-8, paragraph (1) as applied mutatis mutandis pursuant to Article 60-14, paragraph (2); in a case in which the corporation was a notifier of specially permitted services but has been ordered to discontinue specially permitted services for qualified institutional investors, etc. pursuant to the provisions of Article 63-5, paragraph (3); in a case in which the corporation had given a notification under Article 63-3, paragraph (1) but has been ordered to discontinue specially permitted services for qualified institutional investors, etc. pursuant to the provisions of Article 63-5, paragraph (3) as applied mutatis mutandis pursuant to Article 63-3, paragraph (2); in a case in which the corporation was a notifier of specially permitted services for foreign investors, etc. but has been ordered as to discontinuation of specially permitted services for foreign investors, etc. pursuant to the provisions of Article 63-13, paragraph (3); in a case in which the corporation had made a notification under Article 63-11, paragraph (1) but has been ordered as to discontinuation of specially permitted services for foreign investors, etc. pursuant to the provisions of Article 63-13, paragraph (3) as applied mutatis mutandis pursuant to Article 63-11, paragraph (2); in a case in which the corporation was a financial instruments intermediary service provider but has had the registration referred to in Article 66 rescinded pursuant to the provisions of Article 66-20, paragraph (1); in a case in which the corporation was a credit rating agency but has had the registration referred to in Article 66-27 rescinded pursuant to the provisions of Article 66-42, paragraph (1); in a case in which the corporation was a high-speed trader but has had the registration referred to in Article 66-50 rescinded pursuant to the provisions of Article 66-63, paragraph (1); in a case in which the corporation was an investment management-related services contractor but has had the registration referred to in Article 66-71 rescinded pursuant to the provisions of Article 66-85, paragraph (1); in a case in which the corporation was a cryptoasset management-related service provider but has been ordered to discontinue cryptoasset management-related services pursuant to the provisions of Article 66-103, paragraph (1); or in a case in which the corporation was a financial service intermediary but has had the registration referred to in Article 12 of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto (limited to the registration related to the type of securities, etc. intermediary business operations) rescinded pursuant to the provisions of Article 38, paragraph (1) (excluding items (ii), (iii), and (v)) of that Act; or in a case in which the corporation had obtained a registration or permission of the same kind in a foreign country pursuant to the provisions of a foreign law or regulation that is equivalent to this Act or the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto (including authorization or any other administrative disposition similar to that registration or permission; hereinafter the same applies in (d)), but has had that registration or permission of the same kind rescinded; or in a case in which the corporation had performed services of the same type as specially permitted services for qualified institutional investors, etc. or, specially permitted services for foreign investors, etc., or cryptoasset management-related services but has been ordered to discontinue those services; for whom five years have not passed since the date of the rescission or order;
金融商品取引業者であつた個人が第五十二条第一項の規定により第二十九条の登録を取り消されたことがある場合、特例業務届出者であつた個人が第六十三条の五第三項の規定により適格機関投資家等特例業務の廃止を命ぜられたことがある場合、第六十三条の三第一項の規定による届出をした者であつた個人が同条第二項において準用する第六十三条の五第三項の規定により適格機関投資家等特例業務の廃止を命ぜられたことがある場合、海外投資家等特例業務届出者であつた個人が第六十三条の十三第三項の規定により海外投資家等特例業務の廃止を命ぜられたことがある場合、第六十三条の十一第一項の規定による届出をした者であつた個人が同条第二項において準用する第六十三条の十三第三項の規定により海外投資家等特例業務の廃止を命ぜられたことがある場合、金融商品仲介業者であつた個人が第六十六条の二十第一項の規定により第六十六条の登録を取り消されたことがある場合、高速取引行為者であつた個人が第六十六条の六十三第一項の規定により第六十六条の五十の登録を取り消されたことがある場合若しくは、投資運用関係業務受託業者であつた個人が第六十六条の八十五第一項の規定により第六十六条の七十一の登録を取り消されたことがある場合若しくは暗号資産管理関係業務提供者であつた個人が第六十六条の百三第一項の規定により暗号資産管理関係業務の廃止を命ぜられたことがある場合若しくは金融サービス仲介業者であつた個人が金融サービスの提供及び利用環境の整備等に関する法律第三十八条第一項（第二号、第三号及び第五号を除く。）の規定により同法第十二条の登録（有価証券等仲介業務の種別に係るものに限る。）を取り消されたことがある場合又はこの法律若しくは金融サービスの提供及び利用環境の整備等に関する法律に相当する外国の法令の規定により当該外国において同種類の登録（当該登録に類する許可その他の行政処分を含む。ホにおいて同じ。）を受けていた個人が当該同種類の登録を取り消されたことがある場合、第六十条第一項若しくは第六十条の十四第一項の許可と同種類の許可（当該許可に類する許可その他の行政処分を含む。ホにおいて同じ。）を受けていた個人が当該同種類の許可を取り消されたことがある場合若しくは適格機関投資家等特例業務若しくは、海外投資家等特例業務若しくは暗号資産管理関係業務と同種類の業務を行つていた個人が当該業務の廃止を命ぜられたことがある場合において、その取消し又は命令の日から五年を経過しない者
an individual that was a financial instruments business operator but that has had the registration referred to in Article 29 rescinded pursuant to the provisions of Article 52, paragraph (1); an individual that was a notifier of specially permitted services but that has been ordered to discontinue specially permitted services for qualified institutional investors, etc. pursuant to the provisions of Article 63-5, paragraph (3); an individual that has given a notification under Article 63-3, paragraph (1) but that has been ordered to discontinue specially permitted services for qualified institutional investors, etc. pursuant to the provisions of Article 63-5, paragraph (3) as applied mutatis mutandis pursuant to Article 63-3, paragraph (2); an individual that was a notifier of specially permitted services for foreign investors, etc. but that has been ordered to discontinue specially permitted services for foreign investors, etc. pursuant to the provisions of Article 63-13, paragraph (3); an individual that has given a notification under Article 63-11, paragraph (1) but that has been ordered to discontinue specially permitted services for foreign investors, etc. pursuant to the provisions of Article 63-13, paragraph (3) as applied mutatis mutandis pursuant to Article 63-11, paragraph (2); an individual that was a financial instruments intermediary service provider but that has had the registration referred to in Article 66 rescinded pursuant to the provisions of Article 66-20, paragraph (1); an individual that was a high-speed trader but that has had the registration referred to in Article 66-50 rescinded pursuant to the provisions of Article 66-63, paragraph (1); an individual that was an investment management-related services contractor but that has had the registration referred to in Article 66-71 rescinded pursuant to the provisions of Article 66-85, paragraph (1); an individual that was a cryptoasset management-related service provider but that has been ordered to discontinue cryptoasset management-related services pursuant to the provisions of Article 66-103, paragraph (1); or an individual that was a financial service intermediary but that has had the registration referred to in Article 12 of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto (limited to the registration related to the type of securities, etc. intermediary business operations) rescinded pursuant to the provisions of Article 38, paragraph (1) (excluding items (ii), (iii), and (v)) of that Act; or an individual that had obtained a registration of the same kind in a foreign country pursuant to the provisions of a foreign law or regulation that is equivalent to this Act or the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto (including permission or any other administrative disposition similar to such a registration; hereinafter the same applies in (e)) or that had obtained permission of the same kind as the permission referred to in Article 60, paragraph (1) or Article 60-14, paragraph (1) in a foreign country pursuant to the provisions of a foreign law or regulation that is equivalent to this Act (including permission or any other administrative disposition that is similar to that permission); hereinafter the same applies in (e)), but that has had that registration or permission of the same kind rescinded; or an individual that had performed services of the same type as specially permitted services for qualified institutional investors, etc. or, specially permitted services for foreign investors, etc., or cryptoasset management-related services but that has been ordered to discontinue those services; for whom five years have not passed since the date of the rescission or order;
次のいずれかに該当する者
a person falling under any of the following:
第五十二条第一項、第五十三条第三項又は第五十七条の六第三項の規定による第二十九条の登録の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第五十条の二第一項第二号から第七号までのいずれかに該当する旨の同項の規定による届出をした法人（同項第三号から第五号までのいずれかに該当する旨の同項の規定による届出をした場合にあつては、当該届出に係る金融商品取引業者であつた法人とし、当該通知があつた日前に金融商品取引業を廃止し、合併（金融商品取引業者が合併により消滅する場合の当該合併に限る。）をし、解散をし、分割により金融商品取引業に係る事業の全部を承継させ、又は金融商品取引業に係る事業の全部の譲渡をすることについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of rescission of the registration under Article 29 pursuant to Article 52, paragraph (1), Article 53, paragraph (3) or Article 57-6, paragraph (3) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 50-2, paragraph (1) to the effect that it falls under any of items (ii) through (vii) of that paragraph (in the case of a notification to the effect that it falls under any of items (iii) through (v) of that paragraph, the corporation that was the financial instruments business operator concerned in the notification; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to discontinue financial instruments business, to merge (limited to a merger in which a financial instruments business operator is extinguished by the merger), to dissolve, to have all of the business related to financial instruments business succeeded to by another through a company split, or to transfer all of the business related to financial instruments business), and for whom five years have not passed since the date of the notification;
第六十条の八第一項の規定による第六十条第一項の許可の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十条の七に規定する場合に該当する旨の同条の規定による届出をした場合における当該届出に係る取引所取引許可業者（当該通知があつた日前に解散をし、又は取引所取引業務を廃止することについての決定（当該取引所取引許可業者の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
if, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of rescission of the permission under Article 60, paragraph (1) pursuant to Article 60-8, paragraph (1) to the day on which the disposition is made or the decision not to make the disposition is made, a notification has been filed under Article 60-7 to the effect that a case prescribed in that Article applies, a person that was an officer of the authorized firm for on-exchange transactions concerned in the notification (excluding an authorized firm for on-exchange transactions that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of that authorized firm that is responsible for making decisions on the execution of its operations) to dissolve or to discontinue on-exchange transaction services), and for whom five years have not passed since the date of the notification;
第六十条の十四第二項において準用する第六十条の八第一項の規定による第六十条の十四第一項の許可の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十条の十四第二項において準用する第六十条の七に規定する場合に該当する旨の同条の規定による届出をした場合における当該届出に係る電子店頭デリバティブ取引等許可業者（当該通知があつた日前に解散をし、又は電子店頭デリバティブ取引等業務を廃止することについての決定（当該電子店頭デリバティブ取引等許可業者の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
if, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of rescission of the permission under Article 60-14, paragraph (1) pursuant to Article 60-8, paragraph (1) as applied mutatis mutandis pursuant to Article 60-14, paragraph (2) to the day on which the disposition is made or the decision not to make the disposition is made, a notification has been filed under Article 60-7 as applied mutatis mutandis pursuant to Article 60-14, paragraph (2) to the effect that a case prescribed in that Article applies, a person that was an officer of the business operator authorized to conduct electronic over-the-counter derivatives transactions, etc. concerned in the notification (excluding a business operator that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of that business operator that is responsible for making decisions on the execution of its operations) to dissolve or to discontinue business of conducting electronic over-the-counter derivatives transactions, etc.), and for whom five years have not passed since the date of the notification;
第六十三条の五第三項の規定による適格機関投資家等特例業務の廃止の処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十三条の二第一項の規定により特例業務届出者の地位を承継した旨の同条第二項の規定による届出、同条第三項第二号に該当する旨の同項の規定による届出又は同条第四項に規定するときに該当する旨の同項の規定による届出をした法人（同条第一項の規定により特例業務届出者の地位を承継した旨の同条第二項の規定による届出又は同条第四項に規定するときに該当する旨の同項の規定による届出をした場合にあつては、これらの届出に係る特例業務届出者であつた法人とし、当該通知があつた日前に適格機関投資家等特例業務に係る事業の全部の譲渡をし、合併（特例業務届出者が合併により消滅する場合の当該合併に限る。）をし、分割により適格機関投資家等特例業務に係る事業の全部を承継させ、適格機関投資家等特例業務を廃止し、又は解散をすることについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of discontinuation of specially permitted services for qualified institutional investors, etc. under Article 63-5, paragraph (3) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 63-2, paragraph (2) to the effect that it succeeded to the position of a notifier of specially permitted services pursuant to paragraph (1) of that Article, a notification under paragraph (3) of that Article to the effect that it falls under item (ii) of that paragraph, or a notification under paragraph (4) of that Article to the effect that the case prescribed in that paragraph applies (in the case of a notification under Article 63-2, paragraph (2) to the effect that it succeeded to the position of a notifier of specially permitted services pursuant to paragraph (1) of that Article or a notification under paragraph (4) of that Article to the effect that the case prescribed in that paragraph applies, the corporation that was the notifier of specially permitted services concerned in those notifications; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to transfer all of the business related to specially permitted services for qualified institutional investors, etc., to merge (limited to a merger in which a notifier of specially permitted services is extinguished by the merger), to have all of the business related to specially permitted services for qualified institutional investors, etc. succeeded to by another through a company split, to discontinue specially permitted services for qualified institutional investors, etc., or to dissolve), and for whom five years have not passed since the date of the notification;
第六十三条の三第二項において準用する第六十三条の五第三項の規定による適格機関投資家等特例業務の廃止の処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第五十条の二第一項第三号から第七号までのいずれかに該当する旨の同項の規定による届出又は第六十三条の三第二項において準用する第六十三条の二第三項第二号に該当する旨の同項の規定による届出をした法人（第五十条の二第一項第三号から第五号までのいずれかに該当する旨の同項の規定による届出をした場合にあつては、当該届出に係る第六十三条の三第一項の規定による届出をした者であつた法人とし、当該通知があつた日前に合併（同項の規定による届出をした者が合併により消滅する場合の当該合併に限る。）をし、解散をし、分割により適格機関投資家等特例業務に係る事業の全部を承継させ、適格機関投資家等特例業務に係る事業の全部の譲渡をし、又は適格機関投資家等特例業務を廃止することについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of discontinuation of specially permitted services for qualified institutional investors, etc. under Article 63-5, paragraph (3) as applied mutatis mutandis pursuant to Article 63-3, paragraph (2) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 50-2, paragraph (1) to the effect that it falls under any of items (iii) through (vii) of that paragraph, or a notification under Article 63-2, paragraph (3) as applied mutatis mutandis pursuant to Article 63-3, paragraph (2) to the effect that it falls under item (ii) of that paragraph (in the case of a notification under Article 50-2, paragraph (1) to the effect that it falls under any of items (iii) through (v) of that paragraph, the corporation that was the person that filed the notification under Article 63-3, paragraph (1) concerned in that notification; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to merge (limited to a merger in which a person that filed a notification under that paragraph is extinguished by the merger), to dissolve, to have all of the business related to specially permitted services for qualified institutional investors, etc. succeeded to by another through a company split, to transfer all of the business related to specially permitted services for qualified institutional investors, etc., or to discontinue specially permitted services for qualified institutional investors, etc.), and for whom five years have not passed since the date of the notification;
第六十三条の十三第三項の規定による海外投資家等特例業務の廃止の処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十三条の十第一項の規定により海外投資家等特例業務届出者の地位を承継した旨の同条第二項の規定による届出、同条第三項第二号に該当する旨の同項の規定による届出又は同条第四項に規定するときに該当する旨の同項の規定による届出をした法人（同条第一項の規定により海外投資家等特例業務届出者の地位を承継した旨の同条第二項の規定による届出又は同条第四項に規定するときに該当する旨の同項の規定による届出をした場合にあつては、これらの届出に係る海外投資家等特例業務届出者であつた法人とし、当該通知があつた日前に海外投資家等特例業務に係る事業の全部の譲渡をし、合併（海外投資家等特例業務届出者が合併により消滅する場合の当該合併に限る。）をし、分割により海外投資家等特例業務に係る事業の全部を承継させ、海外投資家等特例業務を廃止し、又は解散をすることについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of discontinuation of specially permitted services for foreign investors, etc. under Article 63-13, paragraph (3) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 63-10, paragraph (2) to the effect that it succeeded to the position of a notifier of specially permitted services for foreign investors, etc. pursuant to paragraph (1) of that Article, a notification under paragraph (3) of that Article to the effect that it falls under item (ii) of that paragraph, or a notification under paragraph (4) of that Article to the effect that the case prescribed in that paragraph applies (in the case of a notification under Article 63-10, paragraph (2) to the effect that it succeeded to the position of a notifier of specially permitted services for foreign investors, etc. pursuant to paragraph (1) of that Article or a notification under paragraph (4) of that Article to the effect that the case prescribed in that paragraph applies, the corporation that was the notifier of specially permitted services for foreign investors, etc. concerned in those notifications; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to transfer all of the business related to specially permitted services for foreign investors, etc., to merge (limited to a merger in which a notifier of specially permitted services for foreign investors, etc. is extinguished by the merger), to have all of the business related to specially permitted services for foreign investors, etc. succeeded to by another through a company split, to discontinue specially permitted services for foreign investors, etc., or to dissolve), and for whom five years have not passed since the date of the notification;
第六十三条の十一第二項において準用する第六十三条の十三第三項の規定による海外投資家等特例業務の廃止の処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第五十条の二第一項第三号から第七号までのいずれかに該当する旨の同項の規定による届出又は第六十三条の十一第二項において準用する第六十三条の十第三項第二号に該当する旨の同項の規定による届出をした法人（第五十条の二第一項第三号から第五号までのいずれかに該当する旨の同項の規定による届出をした場合にあつては、当該届出に係る第六十三条の十一第一項の規定による届出をした者であつた法人とし、当該通知があつた日前に合併（同項の規定による届出をした者が合併により消滅する場合の当該合併に限る。）をし、解散をし、分割により海外投資家等特例業務に係る事業の全部を承継させ、海外投資家等特例業務に係る事業の全部の譲渡をし、又は海外投資家等特例業務を廃止することについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of discontinuation of specially permitted services for foreign investors, etc. under Article 63-13, paragraph (3) as applied mutatis mutandis pursuant to Article 63-11, paragraph (2) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 50-2, paragraph (1) to the effect that it falls under any of items (iii) through (vii) of that paragraph, or a notification under Article 63-10, paragraph (3) as applied mutatis mutandis pursuant to Article 63-11, paragraph (2) to the effect that it falls under item (ii) of that paragraph (in the case of a notification under Article 50-2, paragraph (1) to the effect that it falls under any of items (iii) through (v) of that paragraph, the corporation that was the person that filed the notification under Article 63-11, paragraph (1) concerned in that notification; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to merge (limited to a merger in which a person that filed a notification under that paragraph is extinguished by the merger), to dissolve, to have all of the business related to specially permitted services for foreign investors, etc. succeeded to by another through a company split, to transfer all of the business related to specially permitted services for foreign investors, etc., or to discontinue specially permitted services for foreign investors, etc.), and for whom five years have not passed since the date of the notification;
第六十六条の二十第一項の規定による第六十六条の登録の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十六条の十九第一項第一号又は第三号から第五号までのいずれかに該当する旨の同項の規定による届出をした法人（同項第三号から第五号までのいずれかに該当する旨の同項の規定による届出をした場合にあつては、当該届出に係る金融商品仲介業者であつた法人とし、当該通知があつた日前に金融商品仲介業を廃止し、分割により金融商品仲介業に係る事業の全部を承継させ、金融商品仲介業に係る事業の全部の譲渡をし、合併（金融商品仲介業者が合併により消滅する場合の当該合併に限る。）をし、又は解散することについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of rescission of the registration under Article 66 pursuant to Article 66-20, paragraph (1) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 66-19, paragraph (1) to the effect that it falls under item (i) or any of items (iii) through (v) of that paragraph (in the case of a notification to the effect that it falls under any of items (iii) through (v) of that paragraph, the corporation that was the financial instruments intermediary service provider concerned in the notification; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to discontinue financial instruments intermediary service, to have all of the business related to financial instruments intermediary service succeeded to by another through a company split, to transfer all of the business related to financial instruments intermediary service, to merge (limited to a merger in which a financial instruments intermediary service provider is extinguished by the merger), or to dissolve), and for whom five years have not passed since the date of the notification;
第六十六条の四十二第一項の規定による第六十六条の二十七の登録の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十六条の四十第一項各号のいずれかに該当する旨の同項の規定による届出をした法人（同項第二号から第四号までのいずれかに該当する旨の同項の規定による届出をした場合にあつては、当該届出に係る信用格付業者であつた法人とし、当該通知があつた日前に信用格付業を廃止し、分割により信用格付業に係る事業の全部を承継させ、信用格付業に係る事業の全部の譲渡をし、合併（信用格付業者が合併により消滅する場合の当該合併に限る。）をし、又は解散することについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of rescission of the registration under Article 66-27 pursuant to Article 66-42, paragraph (1) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 66-40, paragraph (1) to the effect that it falls under any of the items of that paragraph (in the case of a notification to the effect that it falls under any of items (ii) through (iv) of that paragraph, the corporation that was the credit rating agency concerned in the notification; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to discontinue credit rating services, to have all of the business related to credit rating services succeeded to by another through a company split, to transfer all of the business related to credit rating services, to merge (limited to a merger in which a credit rating agency is extinguished by the merger), or to dissolve), and for whom five years have not passed since the date of the notification;
第六十六条の六十三第一項の規定による第六十六条の五十の登録の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十六条の六十一第一項第二号から第七号までのいずれかに該当する旨の同項の規定による届出をした法人（同項第三号から第五号までのいずれかに該当する旨の同項の規定による届出をした場合にあつては、当該届出に係る高速取引行為者であつた法人とし、当該通知があつた日前に高速取引行為に係る業務を廃止し、合併（高速取引行為者が合併により消滅する場合の当該合併に限る。）をし、解散をし、分割により当該業務に係る事業の全部を承継させ、又は当該業務に係る事業の全部の譲渡をすることについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of rescission of the registration under Article 66-50 pursuant to Article 66-63, paragraph (1) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 66-61, paragraph (1) to the effect that it falls under any of items (ii) through (vii) of that paragraph (in the case of a notification to the effect that it falls under any of items (iii) through (v) of that paragraph, the corporation that was the high-speed trader concerned in the notification; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to discontinue services related to high-speed trading, to merge (limited to a merger in which a high-speed trader is extinguished by the merger), to dissolve, to have all of the business related to those services succeeded to by another through a company split, or to transfer all of the business related to those services), and for whom five years have not passed since the date of the notification;
第六十六条の八十五第一項の規定による第六十六条の七十一の登録の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十六条の八十三第一項第二号から第七号までのいずれかに該当する旨の同項の規定による届出をした法人（同項第三号から第五号までのいずれかに該当する旨の同項の規定による届出をした場合にあつては、当該届出に係る投資運用関係業務受託業者であつた法人とし、当該通知があつた日前に投資運用関係業務受託業を廃止し、合併（投資運用関係業務受託業者が合併により消滅する場合の当該合併に限る。）をし、解散をし、分割により投資運用関係業務受託業に係る事業の全部を承継させ、又は投資運用関係業務受託業に係る事業の全部の譲渡をすることについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of rescission of the registration under Article 66-71 pursuant to Article 66-85, paragraph (1) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 66-83, paragraph (1) to the effect that it falls under any of items (ii) through (vii) of that paragraph (in the case of a notification to the effect that it falls under any of items (iii) through (v) of that paragraph, the corporation that was the investment management-related services contractor concerned in the notification; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to discontinue investment management-related services contracting business, to merge (limited to a merger in which an investment management-related services contractor is extinguished by the merger), to dissolve, to have all of the business related to investment management-related services contracting business succeeded to by another through a company split, or to transfer all of the business related to investment management-related services contracting business), and for whom five years have not passed since the date of the notification;
金融サービスの提供及び利用環境の整備等に関する法律第三十八条第六十六条の百三第一項（第二号、第三号及び第五号を除く。）の規定による同法第十二条の登録（有価証券等仲介暗号資産管理関係業務の種別に係るものに限る。）の取消し廃止の処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に金融サービスの提供及び利用環境の整備等に関する法律第第六十六条第三項第三号又は第五の百一第二号から第七号までのいずれかに該当する旨の同項条の規定による届出をした法人（同項第五条第三号から第七五号までのいずれかに該当する旨の同項条の規定による届出をした場合にあつては、当該届出に係る金融サービス仲介業暗号資産管理関係業務提供者であつた法人とし、当該通知があつた日前に金融サービス仲介業暗号資産管理関係業務を廃止し、合併（暗号資産管理関係業務提供者が合併により消滅する場合の当該合併に限る。）をし、解散をし、分割により金融サービス仲介業暗号資産管理関係業務に係る事業の全部を承継させ、金融サービス仲介業又は暗号資産管理関係業務に係る事業の全部の譲渡をし、合併（金融サービス仲介業者が合併により消滅する場合の当該合併に限る。）をし、又は解散することについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of rescission, under Article 38, paragraph (1) (excluding items (ii), (iii) and (v)) of the Act on the Provision of Financial Services and the Developmentdiscontinuation of the Accessible Environment Thereto, of the registrationcryptoasset management-related services under Article 12 of that Act (limited to the registration related to the type of securities, etc. intermediary business operations66-103, paragraph (1) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 16, paragraph (3) of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto66-101 to the effect that it falls under item (iii) or any of items (vii) through (vii) of that paragraphArticle (in the case of a notification to the effect that it falls under any of items (viii) through (viiv) of that paragraphArticle, the corporation that was the financial cryptoasset management-related service intermediaryprovider concerned in the notification; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to discontinue financial service intermediary businesscryptoasset management-related services, to have all of the business related to financial service intermediary business succeeded to by another through a company splitmerge (limited to a merger in which a cryptoasset management-related service provider is extinguished by the merger), to dissolve, to transferhave all of the business related to financial service intermediary business,cryptoasset management-related services succeeded to merge (limited toby another through a merger in which a financial service intermediary is extinguished bycompany split, or to transfer all of the merger), orbusiness related to dissolvecryptoasset management-related services), and for whom five years have not passed since the date of the notification.;
金融サービスの提供及び利用環境の整備等に関する法律第三十八条第一項（第二号、第三号及び第五号を除く。）の規定による同法第十二条の登録（有価証券等仲介業務の種別に係るものに限る。）の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に金融サービスの提供及び利用環境の整備等に関する法律第十六条第三項第三号又は第五号から第七号までのいずれかに該当する旨の同項の規定による届出をした法人（同項第五号から第七号までのいずれかに該当する旨の同項の規定による届出をした場合にあつては、当該届出に係る金融サービス仲介業者であつた法人とし、当該通知があつた日前に金融サービス仲介業を廃止し、分割により金融サービス仲介業に係る事業の全部を承継させ、金融サービス仲介業に係る事業の全部の譲渡をし、合併（金融サービス仲介業者が合併により消滅する場合の当該合併に限る。）をし、又は解散することについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of rescission, under Article 38, paragraph (1) (excluding items (ii), (iii) and (v)) of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto, of the registration under Article 12 of that Act (limited to the registration related to the type of securities, etc. intermediary business operations) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 16, paragraph (3) of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto to the effect that it falls under item (iii) or any of items (v) through (vii) of that paragraph (in the case of a notification to the effect that it falls under any of items (v) through (vii) of that paragraph, the corporation that was the financial service intermediary concerned in the notification; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to discontinue financial service intermediary business, to have all of the business related to financial service intermediary business succeeded to by another through a company split, to transfer all of the business related to financial service intermediary business, to merge (limited to a merger in which a financial service intermediary is extinguished by the merger), or to dissolve), and for whom five years have not passed since the date of the notification.
個人であつて、第一号ロに該当する者
an individual that falls under item (i), (b);
第五十二条第二項、第六十条の八第二項（第六十条の十四第二項において準用する場合を含む。）、第六十六条の二十第二項、第六十六条の四十二第二項、第六十六条の六十三第二項若しくは第六十六条の八十五第二項若しくは金融サービスの提供及び利用環境の整備等に関する法律第三十八条第三項（第二号を除く。）の規定により解任若しくは解職を命ぜられた役員又はこの法律若しくは金融サービスの提供及び利用環境の整備等に関する法律に相当する外国の法令の規定により当該外国において解任を命ぜられた役員でその処分を受けた日から五年を経過しない者
an officer whose dismissal or removal has been ordered pursuant to the provisions of Article 52, paragraph (2), Article 60-8, paragraph (2) (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2)), Article 66-20, paragraph (2), Article 66-42, paragraph (2), Article 66-63, paragraph (2), or Article 66-85, paragraph (2), or pursuant to Article 38, paragraph (3) (excluding item (ii)) of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto, or an officer whose dismissal or removal has been ordered in a foreign country pursuant to the provisions of a foreign law or regulation that is equivalent to this Act or the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto, for whom five years have not passed since the day of the disposition; or
第一号ハに規定する法律の規定若しくは暴力団員による不当な行為の防止等に関する法律の規定（同法第三十二条の三第七項及び第三十二条の十一第一項の規定を除く。）若しくはこれらに相当する外国の法令の規定に違反し、又は刑法（明治四十年法律第四十五号）若しくは暴力行為等処罰に関する法律（大正十五年法律第六十号）の罪を犯し、罰金の刑（これに相当する外国の法令による刑を含む。）に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなつた日から五年を経過しない者
a person that has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of any of the laws prescribed in item (i), (c) or the Act on Prevention of Unjust Acts by Organized Crime Group Members (excluding the provisions of Article 32-3, paragraph (7) and Article 32-11, paragraph (1) of that Act), or for violating the provisions of a foreign law or regulation that is equivalent to any of these laws, or committing a crime referred to in the Penal Code (Act No. 45 of 1907) or the Act on Punishment of Physical Violence and Other Acts (Act No. 60 of 1926), and five years have not passed since the day on which the person finished serving the sentence or ceased to be subject to its enforcement;
個人である場合においては、次のいずれかに該当する者
if the person is an individual, a person that falls under any of the following persons:
登録申請の対象となる金融商品取引業に係る業務のそれぞれにつき、その執行について必要となる十分な知識及び経験を有していないと認められる者
a person that is found not to have the sufficient knowledge and experience necessary for the execution of each of the services related to the financial instruments business subject to the application for registration;
前号イからチまで若しくはリ（第一号ハに規定する法律の規定に係る部分を除く。）のいずれかに該当する者又は政令で定める使用人のうち前号イからリまでのいずれかに該当する者のある者
a person that falls under any of (a) through (h), or (i) (excluding the part that involves the provisions of the Acts prescribed in item (i), (c)) of the preceding item, or a person that has an employee specified by Cabinet Order that falls under any of (a) through (i) of the preceding item.
第一種金融商品取引業、第二種金融商品取引業又は、投資運用業又は暗号資産取引業を行おうとする場合にあつては、次のいずれかに該当する者
a person falling under any of the following and seeking to engage in type-I financial instruments business, type-II financial instruments business, or investment management business, or cryptoasset trading business:
資本金の額又は出資の総額が、公益又は投資者保護のため必要かつ適当なものとして政令で定める金額に満たない法人
a corporation whose stated capital or contributions in total are less than the amount of money that is specified by Cabinet Order as necessary and appropriate in the public interest or for the protection of investors;
国内に営業所又は事務所を有しない法人
a corporation that does not have a business office or office in Japan;
外国法人であつて国内における代表者（当該外国法人が第一種金融商品取引業、第二種金融商品取引業又は、投資運用業又は暗号資産取引業を行うため国内に設ける全ての営業所又は事務所の業務を担当するものに限る。）を定めていない者
a foreign corporation that has not designated a domestic representative (limited to one responsible for business at all business offices or offices that the foreign corporation operates in Japan so as to engage in type-I financial instruments business, type-II financial instruments business or, investment management business or cryptoasset trading business); or
協会（認可金融商品取引業協会又は第七十八条第二項に規定する認定金融商品取引業協会をいい、登録申請者が行おうとする業務を行う者を主要な協会員又は会員とするものに限る。以下この号及び第三十三条の五第一項第四号において同じ。）に加入しない者であつて、協会の定款その他の規則（有価証券若しくは暗号資産の売買その他の取引若しくは第三十三条第三項に規定するデリバティブ取引等を公正かつ円滑にすること又は投資者の保護に関するものに限る。）に準ずる内容の社内規則（当該者又はその役員若しくは使用人が遵守すべき規則をいう。）を作成していないもの又は当該社内規則を遵守するための体制を整備していないもの
a person that has not joined an association (meaning an authorized financial instruments firms association or certified financial instruments business association prescribed in Article 78, paragraph (2) and limited to one whose main association members or members are persons that conduct the business which the applicant for registration seeks to conduct; hereinafter the same applies in this item and Article 33-5, paragraph (1), item (iv)) and that has not prepared internal rules (meaning rules with which that person or its officers or employees should comply) that have contents equivalent to the articles of incorporation or other rules (limited to those for ensuring fair and smooth purchase and sales and other transactions of securities or cryptoassets or ensuring fair and smooth derivatives transactions, etc. as prescribed in Article 33, paragraph (3) or for protecting investors) of the association or that has not established a system for complying with the relevant internal rules;
第一種金融商品取引業又は、投資運用業又は暗号資産取引業を行おうとする場合にあつては、次のいずれかに該当する者
a person falling under any of the following and seeking to engage in type-I financial instruments business or, investment management business, or cryptoasset trading business:
株式会社（取締役会及び監査役、監査等委員会又は指名委員会等（会社法第二条第十二号に規定する指名委員会等をいう。以下同じ。）を置くものに限る。）又は外国の法令に準拠して設立された取締役会設置会社と同種類の法人（第一種金融商品取引業又は暗号資産取引業を行おうとする場合にあつては、当該外国の法令に準拠し、当該外国において当該第一種金融商品取引業又は暗号資産取引業と同種類の業務を行つている者（これに類するものとして政令で定める者を含む。）に限る。）でない者
a person other than a stock company (limited to one that has a board of directors, company auditors, supervisory committee, or nominating committee, etc. (meaning the nominating committee, etc. as defined in Article 2, item (xii) of the Companies Act; the same applies hereinafter)) or a corporation of the same kind as a company with a board of directors incorporated in compliance with foreign laws and regulations (if a person seeks to engage in type-I financial instruments business or cryptoasset trading business, limited to a person that engages in the same kind of business as that type-I financial instruments business or cryptoasset trading business in a foreign country in compliance with foreign laws and regulations (including a person specified by Cabinet Order as equivalent to such a person));
純財産額（内閣府令で定めるところにより、資産の合計金額から負債の合計金額を控除して算出した額をいう。）が、公益又は投資者保護のため必要かつ適当なものとして政令で定める金額に満たない者
a person whose net assets (meaning the figure arrived at when the total amount of liabilities is deducted from the total amount of assets pursuant to the provisions of Cabinet Office Order) are less than the amount of money that is specified by Cabinet Order as necessary and appropriate in the public interest or for the protection of investors;
他に行つている事業が第三十五条第一項に規定する業務及び同条第二項各号に掲げる業務個人である主要株主（登録申請者が持株会社の子会社であるときは、当該持株会社の主要株主を含む。ニ及びホにおいて同じ。）のうちに次のいずれにも該当せず、かつ、当該事業に係る損失の危険の管理が困難であるために投資者保護に支障を生ずると認められる者かに該当する者のある法人（外国法人を除く。）
a person engaged in other businesscorporation (excluding a foreign corporation) that does not fall has a person falling under any of the categories of business prescribed in Article 35, paragraph (1) or business set forth in the itemsfollowing as an individual major shareholder (if the applicant is a subsidiary company of Article 35, paragraph (2), and that is found to compromise investor protection due to difficulties in managinga holding company, this includes a major shareholder of the relevant holding company; the risk of losssame applies in connection with the relevant business;(d) and (e)):
心身の故障により株主の権利を適切に行使することができない者として内閣府令で定める者（心身の故障により株主の権利を行使することについて代理人を置く者にあつては、当該代理人が当該内閣府令で定める者又は第二号ロからリまで（暗号資産取引業を行おうとする場合にあつては、当該内閣府令で定める者又は同号ロからリまで若しくは第八号ハ（１）から（３）まで）のいずれかに該当する者であるものに限る。）
a person specified by Cabinet Office Order as being unable to properly exercise the rights of a shareholder due to a mental or physical disorder (if the person has a proxy for exercising the rights of a shareholder due to a mental or physical disorder, limited to a person whose proxy is a person specified by that Cabinet Office Order or a person falling under any of (b) through (i) of item (ii) (in the case of seeking to engage in cryptoasset trading business, a person specified by that Cabinet Office Order or a person falling under any of (b) through (i) of that item or item (viii), (c)(1) through (3)));
第二号ロからリまで（暗号資産取引業を行おうとする場合にあつては、同号ロからリまで又は第八号ハ（１）から（３）まで）のいずれかに該当する者
a person falling under any of (b) through (i) of item (ii) (in the case of seeking to engage in cryptoasset trading business, any of (b) through (i) of that item or item (viii), (c)(1) through (3));
個法人である主要株主（登録申請者が持株会社の子会社であるときは、当該持株会社の主要株主を含む。ホ及びヘにおいて同じ。）のうちに次のいずれかに該当する者のある法人（外国法人を除く。）
a corporation (excluding a foreign corporation) that has a person falling under any of the following as an individual major shareholder (if the applicant is a subsidiary company of a holding company, this includes aa corporate major shareholder of the relevant holding company; the same applies in (e) and (f)):: or
心身の故障により株主の権利を適切に行使することができない者として内閣府令で定める者（心身の故障により株主の権利を行使することについて代理人を置く者第一号イ又はロ（暗号資産取引業を行おうとする場合にあつては、当該代理人が当該内閣府令で定める者同号イ若しくはロ又は第二号ロからリまでのいずれか八号イ若しくはロ）に該当する者であるものに限る。）
a person specified by Cabinet Office Order as being unable to properly exercise the rights of a shareholder due to a mentalfalling under (a) or physical disorder (if the person has a proxy for exercising(b) of item (i) (in the rightscase of a shareholder dueseeking to a mental or physical disorder, limited to a person whose proxy is a person specified byengage in cryptoasset trading business, (a) or (b) of that Cabinet Office Orderitem or a person falling under any of (b) through (i(a) or (b) of item (iiviii));
第二号ロからリまでのいずれかに該一号ハに規定する法律の規定又はこれらに相当する外国の法令の規定に違反し、罰金の刑（これに相当する外国の法令による刑を含む。）に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなつた日から五年を経過しない者
a person falling under any who has violated the provisions of (b) through the Acts prescribed in item (i) , (c) or the provisions of item (ii).foreign laws and regulations equivalent thereto and been sentenced to a fine (including a sentence under foreign laws and regulations equivalent thereto), and for whom five years have not passed since the day on which the execution of the sentence ended or the person ceased to be subject to execution of the sentence;
法人を代表する役員のうちに次のいずれかに該当する者のある者
a person that has, among the officers representing the corporation, a person falling under any of the following:
心身の故障により株主の権利を適切に行使することができない者として内閣府令で定める者
a person specified by Cabinet Office Order as being unable to properly exercise the rights of a shareholder due to a mental or physical disorder;
第二号ロからリまで（暗号資産取引業を行おうとする場合にあつては、同号ロからリまで又は第八号ハ（１）から（３）まで）のいずれかに該当する者
a person falling under any of (b) through (i) of item (ii) (in the case of seeking to engage in cryptoasset trading business, any of (b) through (i) of that item or item (viii), (c)(1) through (3));
法人である主要株主のうちに次のいずれかに該当する者のある法人（外国法人を除く。）に準ずる者が金融商品取引業の健全かつ適切な運営に支障を及ぼすおそれがない者であることについて、外国の当局（第百八十九条第一項に規定する外国金融商品取引規制当局その他政令で定める外国の法令を執行する当局をいう。）による確認が行われていない外国法人
a foreign corporation (excluding afor which the foreign regulatory authority (meaning the foreign corporation) regulatory authority for financial instruments defined in Article 189, paragraph (1) or any other regulatory authority specified by Cabinet Order that enforces foreign laws and regulations) has not confirmed that a person falling under any of equivalent to a major shareholder is unlikely to compromise the following as a corporate major shareholder: orsound and appropriate operation of financial instruments business;
第一号イ又はロに該当する者
a person falling under (a) or (b) of item (i);
第一号ハに規定する法律の規定又はこれらに相当する外国の法令の規定に違反し、罰金の刑（これに相当する外国の法令による刑を含む。）に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなつた日から五年を経過しない者
a person who has violated the provisions of the Acts prescribed in item (i), (c) or the provisions of foreign laws and regulations equivalent thereto and been sentenced to a fine (including a sentence under foreign laws and regulations equivalent thereto), and for whom five years have not passed since the day on which the execution of the sentence ended or the person ceased to be subject to execution of the sentence;
法人を代表する役員のうちに次のいずれかに該当する者のある者
a person that has, among the officers representing the corporation, a person falling under any of the following:
心身の故障により株主の権利を適切に行使することができない者として内閣府令で定める者
a person specified by Cabinet Office Order as being unable to properly exercise the rights of a shareholder due to a mental or physical disorder;
第二号ロからリまでのいずれかに該当する者
a person falling under any of (b) through (i) of item (ii).
主要株主に準ずる者が金融商品取引業の健全かつ適切な運営に支障を及ぼすおそれがない者であることについて、外国の当局（第百八十九条第一項に規定する外国金融商品取引規制当局その他政令で定める外国の法令を執行する当局をいう。）による確認が行われていない外国法人
a foreign corporation for which the foreign regulatory authority (meaning the foreign regulatory authority for financial instruments defined in Article 189, paragraph (1) or any other regulatory authority specified by Cabinet Order that enforces foreign laws and regulations) has not confirmed that a person equivalent to a major shareholder is unlikely to compromise the sound and appropriate operation of financial instruments business;
第一種金融商品取引業又は投資運用業を行おうとする場合にあつては、他に行つている事業が第三十五条第一項に規定する業務及び同条第二項各号に掲げる業務のいずれにも該当せず、かつ、当該事業に係る損失の危険の管理が困難であるために投資者保護に支障を生ずると認められる者
a person engaged in other business that does not fall under any of the categories of business prescribed in Article 35, paragraph (1) or business set forth in the items of Article 35, paragraph (2), and that is found to compromise investor protection due to difficulties in managing the risk of loss in connection with the relevant business, if seeking to engage in type-I financial instruments business or investment management business;
第一種金融商品取引業又は暗号資産取引業を行おうとする場合にあつては、次のいずれかに該当する者
a person falling under any of the following if seeking to engage in type-I financial instruments business or cryptoasset trading business:
第四十六条の六第一項の規定に準じて算出した比率が百二十パーセントを下回る者
a person whose ratio calculated based on the provisions of Article 46-6, paragraph (1) is less than 120 percent; or
他の金融商品取引業者（第一種金融商品取引業又は暗号資産取引業を行う者に限る。ロにおいて同じ。）が現に用いている商号と同一の商号又は他の金融商品取引業者と誤認されるおそれのある商号を用いようとする者
a person seeking to use a trade name that another financial instruments business operator (limited to those engaged in type-I financial instruments business or cryptoasset trading business; the same applies in (b)) is already using or a trade name that could give rise to the misconception that it is another financial instruments business operator;
第二種金融商品取引業として高速取引行為を行おうとする場合（第一種金融商品取引業又は、投資運用業又は暗号資産取引業を行い、又は行おうとする場合を除く。）にあつては、第六十六条の五十三第六号ロ若しくはハ又は第七号に該当する者
a person falling under Article 66-53, item (vi), (b) or (c) or item (vii) if seeking to engage in high-speed trading as type-II financial instruments business (excluding the case of engaging in or seeking to engage in type-I financial instruments business or, investment management business). or cryptoasset trading business);
暗号資産取引業を行おうとする場合にあつては、次のいずれかに該当する者
a person falling under any of the following if seeking to engage in cryptoasset trading business:
資金決済に関する法律第六十二条の二十二第一項若しくは第二項の規定により同法第六十二条の三の登録を取り消され、若しくは同法第六十三条の二十第一項若しくは第二項の規定により同法第六十三条の二の登録を取り消され、その取消しの日から五年を経過しない者又は同法に相当する外国の法令の規定により当該外国において受けている同種類の登録（当該登録に類する許可その他の行政処分を含む。）を取り消され、その取消しの日から五年を経過しない者
a person whose registration under Article 62-3 of the Payment Services Act has been rescinded pursuant to Article 62-22, paragraph (1) or (2) of that Act, or whose registration under Article 63-2 of that Act has been rescinded pursuant to Article 63-20, paragraph (1) or (2) of that Act, and for whom five years have not passed since the date of the rescission, or a person whose registration of the same kind (including a permission or any other administrative disposition similar to that registration) obtained in a foreign country pursuant to the provisions of a foreign law or regulation equivalent to that Act has been rescinded, and for whom five years have not passed since the date of the rescission;
資金決済に関する法律第六十二条の八第二項の規定により読み替えて適用する同法第六十二条の二十二第一項の規定により電子決済手段等取引業（同法第二条第十項に規定する電子決済手段等取引業をいう。以下同じ。）の廃止を命ぜられ、その命令の日から五年を経過しない者又は同法若しくは銀行法等（同法第二条第三十項に規定する銀行法等をいう。ハ（２）において同じ。）に相当する外国の法令の規定により電子決済手段等取引業と同種類の業務の廃止を命ぜられ、その命令の日から五年を経過しない者
a person that has been ordered to discontinue electronic payment instruments services (meaning the electronic payment instruments services prescribed in Article 2, paragraph (10) of the Payment Services Act; the same applies hereinafter) pursuant to Article 62-22, paragraph (1) of the Payment Services Act as applied with terms replaced pursuant to Article 62-8, paragraph (2) of that Act, and for whom five years have not passed since the date of the order, or a person that has been ordered to discontinue services of the same kind as electronic payment instruments services pursuant to the provisions of a foreign law or regulation equivalent to the Payment Services Act or the Banking Act, etc. (meaning the Banking Act, etc. prescribed in Article 2, paragraph (30) of the Payment Services Act; the same applies in (c)(2)), and for whom five years have not passed since the date of the order;
役員又は政令で定める使用人のうちに次のいずれかに該当する者のある者
a person that has, among its officers or employees specified by Cabinet Order, a person falling under any of the following:
電子決済手段等取引業者（資金決済に関する法律第二条第十二項に規定する電子決済手段等取引業者をいう。）であつた法人が同法第六十二条の二十二第一項若しくは第二項の規定により同法第六十二条の三の登録を取り消されたことがある場合若しくは電子決済手段サービス仲介業者（同法第二条第十五項に規定する電子決済手段サービス仲介業者をいう。（３）において同じ。）であつた法人が同法第六十三条の二十第一項若しくは第二項の規定により同法第六十三条の二の登録を取り消されたことがある場合又は同法に相当する外国の法令の規定により当該外国において同種類の登録（当該登録に類する許可その他の行政処分を含む。（１）において同じ。）を受けていた法人が当該同種類の登録を取り消されたことがある場合において、その取消しの日前三十日以内にこれらの法人の役員であつた者でその取消しの日から五年を経過しない者
a person that, during the 30 days prior to the date of rescission, was the officer of a corporation, in a case in which a corporation that was an electronic payment instruments service provider (meaning the electronic payment instruments service provider prescribed in Article 2, paragraph (12) of the Payment Services Act) has had the registration referred to in Article 62-3 of that Act rescinded pursuant to the provisions of Article 62-22, paragraph (1) or (2) of that Act; in a case in which a corporation that was an electronic payment instruments intermediary service provider (meaning the electronic payment instruments intermediary service provider prescribed in Article 2, paragraph (15) of that Act; the same applies in (3)) has had the registration referred to in Article 63-2 of that Act rescinded pursuant to the provisions of Article 63-20, paragraph (1) or (2) of that Act; or in a case in which a corporation that had obtained a registration of the same kind (including a permission or any other administrative disposition similar to that registration; the same applies in (1)) in a foreign country pursuant to the provisions of a foreign law or regulation equivalent to that Act has had that registration of the same kind rescinded, and for whom five years have not passed since the date of the rescission;
資金決済に関する法律第六十二条の八第一項の規定により電子決済手段等取引業を行う同項に規定する発行者であつた法人が同条第二項の規定により読み替えて適用する同法第六十二条の二十二第一項の規定により電子決済手段等取引業の廃止を命ぜられたことがある場合又は同法若しくは銀行法等に相当する外国の法令の規定により電子決済手段等取引業と同種類の業務を行つていた法人が当該業務の廃止を命ぜられたことがある場合において、その命令の日前三十日以内にこれらの法人の役員であつた者でその命令の日から五年を経過しない者
a person that, during the 30 days prior to the date of the order, was the officer of a corporation, in a case in which a corporation that was an issuer prescribed in Article 62-8, paragraph (1) of the Payment Services Act that conducts electronic payment instruments services pursuant to that paragraph has been ordered to discontinue electronic payment instruments services pursuant to the provisions of Article 62-22, paragraph (1) of that Act as applied with terms replaced pursuant to Article 62-8, paragraph (2) of that Act; or in a case in which a corporation that had conducted services of the same kind as electronic payment instruments services pursuant to the provisions of a foreign law or regulation equivalent to that Act or the Banking Act, etc. has been ordered to discontinue those services, and for whom five years have not passed since the date of the order;
電子決済手段サービス仲介業者であつた個人が資金決済に関する法律第六十三条の二十第一項若しくは第二項の規定により同法第六十三条の二の登録を取り消されたことがある場合又は同法に相当する外国の法令の規定により当該外国において同種類の登録（当該登録に類する許可その他の行政処分を含む。（３）において同じ。）を受けていた個人が当該同種類の登録を取り消されたことがある場合において、その取消しの日から五年を経過しない者
in a case in which an individual that was an electronic payment instruments intermediary service provider has had the registration referred to in Article 63-2 of the Payment Services Act rescinded pursuant to the provisions of Article 63-20, paragraph (1) or (2) of that Act, or in a case in which an individual that had obtained a registration of the same kind (including a permission or any other administrative disposition similar to that registration; the same applies in (3)) in a foreign country pursuant to the provisions of a foreign law or regulation equivalent to that Act has had that registration of the same kind rescinded, a person for whom five years have not passed since the date of the rescission;
暗号資産等管理業務を行おうとする場合にあつては、第四号イ、第五号ロ及び第六号イに掲げるもののほか、暗号資産等管理業務を適正かつ確実に遂行するために必要と認められる内閣府令で定める基準に適合する財産的基礎を有しない者
if seeking to engage in cryptoasset, etc. management, a person that, in addition to those set forth in item (iv), (a), item (v), (b) and item (vi), (a), does not have a financial basis that conforms to the standards specified by Cabinet Office Order as found necessary for performing cryptoasset, etc. management properly and reliably.
前項第五号ニからヘハからホまでの「主要株主」とは、会社の総株主等の議決権の百分の二十（会社の財務及び業務の方針の決定に対して重要な影響を与えることが推測される事実として内閣府令で定める事実がある場合には、百分の十五）以上の数の議決権（社債、株式等の振替に関する法律第百四十七条第一項又は第百四十八条第一項（これらの規定を同法第二百二十八条第一項、第二百三十五条第一項、第二百三十九条第一項及び第二百七十六条第二号において準用する場合を含む。）の規定により発行者に対抗することができない株式又は持分に係る議決権を含み、保有の態様その他の事情を勘案して内閣府令で定めるものを除く。第五項並びに第三十二条第一項及び第四項において「対象議決権」という。）を保有している者をいう。
The term "major shareholder" as used in item (v), (dc) through (fe) of the preceding paragraph means a person that holds voting rights (including voting rights pertaining to shares or equity interests that cannot be asserted against the issuer pursuant to Article 147, paragraph (1) or Article 148, paragraph (1) of the Act on Book-Entry Transfer of Corporate Bonds and Shares (including as applied mutatis mutandis pursuant to Article 228, paragraph (1), Article 235, paragraph (1), Article 239, paragraph (1), and Article 276, item (ii) of that Act), and excluding the voting rights that are specified by Cabinet Office Order in consideration of the manner in which they are held and other circumstances; hereinafter referred to as "subject voting rights" in paragraph (5) and Article 32, paragraphs (1) and (4)) constituting 20 percent or more (or 15 percent or more, if a fact has occurred that is specified by Cabinet Office Order as a thing that is presumed to have a material influence on decisions about the company's financial and operational policies) of voting rights held by all of the shareholders, etc. of a company.
第一項第五号ニハの「持株会社」とは、子会社（国内の会社に限る。）の株式又は持分の取得価額（最終の貸借対照表において別に付した価額があるときは、その価額）の合計額の総資産の額（内閣府令で定める方法による資産の合計金額をいう。）から内閣府令で定める資産の額（内閣府令で定めるところにより算出した額をいう。）を除いた額に対する割合が百分の五十を超える会社をいう。
The term "holding company" as used in paragraph (1), item (v), (dc) means a company for which the ratio of the total amount of the acquisition value (or any other value if it is so listed in the latest balance sheet) of shares or equity in subsidiary companies (limited to domestic companies) to the amount calculated by deducting the amount of assets specified by Cabinet Office Order (meaning the amount calculated pursuant to the provisions of Cabinet Office Order) from the total asset value (meaning the total monetary value of assets calculated by a method specified by Cabinet Office Order) exceeds 50 percent.
第一項第五号ニハ及び前項の「子会社」とは、会社がその総株主等の議決権の過半数を保有する他の会社をいう。この場合において、会社及びその一若しくは二以上の子会社又は当該会社の一若しくは二以上の子会社がその総株主等の議決権の過半数を保有する他の会社は、当該会社の子会社とみなす。
The term "subsidiary company" as used in paragraph (1), item (v), (dc) and the preceding paragraph means a second company in which a first company holds the majority of the voting rights held by all the shareholders, etc. In such a case, a second company in which a first company and one or more of its subsidiary companies hold the majority of the voting rights held by all the shareholders, etc., or in which one or more of a first company's subsidiary companies hold the majority of the voting rights held by all the shareholders, etc., is deemed to be the subsidiary company of the relevant first company.
次の各号に掲げる場合における第二項の規定の適用については、当該各号に定める対象議決権は、これを保有しているものとみなす。
With regard to the application of the provisions of paragraph (2) in a case set forth in any of the following items, the person set forth in the relevant item is deemed to hold the subject voting rights prescribed in that item:
金銭の信託契約その他の契約又は法律の規定に基づき、会社の対象議決権を行使することができる権限又は当該議決権の行使について指図を行うことができる権限を有する場合 当該対象議決権
if a person has the authority to exercise the company's subject voting rights or the authority to give instructions on the exercise of the relevant voting rights based on a money trust contract or other contract or based on the provisions of the law:the relevant subject voting rights; and
株式の所有関係、親族関係その他の政令で定める特別の関係にある者が法人の対象議決権を保有する場合 当該特別の関係にある者が保有する当該対象議決権
if a person that is related to the relevant person through a shareholding relationship, familial relationship, or other special relationship specified by Cabinet Order, holds subject voting rights in a corporation:the subject voting rights held by the person with the special relationship to the relevant person.
第二項及び前項の規定の適用に関し必要な事項は、政令で定める。
The necessary particulars relevant to the application of the provisions of paragraph (2) and the preceding paragraph are specified by Cabinet Order.