A financial instruments intermediary service provider must not allow another person to engage in financial instruments intermediary services using the name of the relevant financial instruments intermediary service provider.
When advertising the contents of its financial instruments intermediary service or performing any similar act specified by Cabinet Office Order, a financial instruments intermediary service provider must give the following particulars, pursuant to the provisions of Cabinet Office Order:
一
当該金融商品仲介業者の商号、名称又は氏名
the trade name or name of the financial instruments intermediary service provider;
二
金融商品仲介業者である旨及び当該金融商品仲介業者の登録番号
an indication that the financial instruments intermediary service provider is a financial instruments intermediary service provider, and its registration number; and
the particulars of the contents of the financial instruments intermediary service that the financial instruments intermediary service provider engages in, which is specified by Cabinet Order as material particulars that may have an impact on customers' judgment.
When advertising the contents of its financial instruments intermediary service or engaging in any similar act specified by Cabinet Office Order, a financial instruments intermediary service provider must not make a representation that significantly conflicts with the fact of the matter or that could cause a person to have a serious misconception about the prospect of profiting from the performance of an act that constitutes a financial instruments transaction, or about any other matter that is specified by Cabinet Office Order.
If a financial instruments intermediary service provider seeks to perform an act prescribed in any of the items of Article 2, paragraph (11) (hereinafter referred to as the "intermediation for financial instruments" in this Chapter), it must clearly indicate the following particulars to customers in advance:
一
所属金融商品取引業者等の商号又は名称
the trade name or the name of the entrusting financial instruments business operator, etc.;
二
所属金融商品取引業者等の代理権がない旨
that the financial instruments intermediary service provider does not have authority of representation in respect of the entrusting financial instruments business operator, etc.;
三
第六十六条の十三の規定の趣旨
the import of the provisions of Article 66-13; and
四
その他内閣府令で定める事項
other matters specified by Cabinet Office Order.
第六十六条の十二
(金融商品仲介業者に係る制限)Limitations on Financial Instruments Intermediary Service Providers
A financial instruments intermediary service provider (excluding a person that is a financial instruments business operator) must not engage in any act set forth in the items of Article 2, paragraph (8), except for the intermediation for financial instruments to which a customer of its financial instruments intermediary service is the other party, as entrusted by the entrusting financial instruments business operator, etc.
A financial instruments intermediary service provider must not, for any reason, receive a deposit of money or securities from a customer, or have a person specified by Cabinet Order as being closely related to that financial instruments intermediary service provider deposit a customer's money or securities, in connection with the financial instruments intermediary service it conducts.
第六十六条の十四
(禁止行為)Prohibited Actions
第一項
金融商品仲介業者又はその役員若しくは使用人は、次に掲げる行為をしてはならない。
It is prohibited for a financial instruments intermediary service provider or its officer or employee to engage in the following acts:
一
金融商品仲介業に関連し、次に掲げるいずれかの行為を行うこと。
the performance of any of the following acts in connection with financial instruments intermediary services:
イ
第三十八条第一号に該当する行為
an act that falls under Article 38, item (i);
ロ
第三十八条第二号から第六号までに該当する行為
an act that falls under any of the categories in Article 38, items (ii) through (vi);
if it provides investment advisory business (meaning investment advisory business set forth in Article 28, paragraph (7); the same applies in (d)), using information about a purchase and sale or other transaction of securities that a customer makes based on the advice provided through its investment advisory business in order to solicit a customer other than the customer in question; or if it engages in investment management business, using information about a purchase and sale or other transaction of securities made as an investment in connection with its investment management business, in order to solicit a customer other than the customer in question;
if it engages in business other than financial instruments intermediary service, using information about an issuer of securities learned in the course of that other business (limited to undisclosed information about the operations, business, or assets of an issuer of securities that would influence customers' investment decisions in connection with financial instruments intermediary service) to conduct solicitation; or
conducting a solicitation with the financial instruments intermediary service provider's lending of money or granting of other credit as a condition (excluding acts specified in Cabinet Office Order as acts that are found to have little likelihood of resulting in insufficient investor protection);
making a purchase and sale or other transaction of securities on the intermediary's, officer's, or employee's own account, using the ordering trends for purchase and sales and other transactions of securities made by customers of its financial instruments intermediary service or other special information learned in the course of financial instruments intermediary service; and
acts beyond what is set forth in the preceding two items, which are specified by Cabinet Office Order as acts that result in insufficient investor protection, harm the fairness of transactions, or cause a loss of confidence in financial instruments intermediary services.
第六十六条の十四の二
(特定投資家等向け有価証券の売買の媒介等の制限)Limitation on Intermediation for the Purchase and Sale of Securities for Professional Investors, etc.
A financial instruments intermediary service provider must not conduct any of the acts specified in Article 2, paragraph (11), item (i), (a) or (b) in connection with securities for professional investors, etc. with a general investor (meaning a person other than a professional investor, etc., a non-resident, the issuer of the securities for professional investors, etc., or any other person specified by Cabinet Office Order; hereinafter the same applies in this Article) as the other party; provided, however, that this does not apply in a case in which disclosure has been made with regard to the securities for professional investors, etc., a case in which the financial instruments intermediary service provider intermediates, a purchase for an entrusting financial instruments business operator, etc. which is not based on a solicitation of general investors, or any other case specified by Cabinet Office Order as having little likelihood of resulting in insufficient investor protection.
第六十六条の十五
(業務管理体制の整備等に関する金融商品取引業者等に係る規定の準用)Application Mutatis Mutandis of Provisions on Financial Instruments Business Operators, etc. in Relation to the Establishment, etc. of an Operational Control System
The provisions of Article 35-3, Article 38-2, Article 39, paragraphs (1), (3), (4), and (7), Article 40, and Article 43-6 apply mutatis mutandis to a financial instruments intermediary service provider, Article 39, paragraphs (2), (5), and (6) apply mutatis mutandis to the customer of a financial instruments intermediary service provider, and Article 43-13 applies mutatis mutandis to a financial instruments intermediary service provider that conducts intermediary services for purchase and sale, etc. of cryptoassets. In this case, in Article 39, paragraph (3), the phrase "if the financial instruments business operator, etc. receives" is deemed to be replaced with "if the entrusting financial instruments business operator, etc. of the financial instruments intermediary service provider receives", and any other necessary technical replacement of terms is specified by Cabinet Order.
第三節 経理
第六十六条の十六
(業務に関する帳簿書類)Books and Documents Concerning Service
A financial instruments intermediary service provider must prepare and preserve books and documents for its financial instruments intermediary service pursuant to the provisions of Cabinet Office Order.
Each business year, a financial instruments intermediary service provider must prepare a report on its financial instruments intermediary service and submit it to the Prime Minister within three months after the end of the business year, pursuant to the provisions of Cabinet Office Order.
Each business year, pursuant to the provisions of Cabinet Office Order, a financial instruments intermediary service provider must prepare documents stating those of the particulars stated in the business report referred to in the preceding paragraph which are specified by Cabinet Office Order as particulars that are found to be necessary in terms of investor protection, and must, pursuant to the provisions of Cabinet Office Order, keep those documents at all of the business offices and offices at which it conducts financial instruments intermediary service and make them available for public inspection, or disclose them using the internet or through other means.
第六十六条の十八
(説明書類の縦覧)Public Inspection of Explanatory Documents
For each business year of an entrusting financial instruments business operator, etc., a financial instruments intermediary service provider must, pursuant to the provisions of Cabinet Office Order, keep the explanatory documents that the entrusting financial instruments business operator, etc. prepares pursuant to the provisions of Article 46-4 or Article 47-3 (if the entrusting financial instruments business operator, etc., is a registered financial institution, the documents that it prepares pursuant to the provisions of Article 21, paragraphs (1) and (2) of the Banking Act (Act No. 59 of 1981) or other provisions specified by Cabinet Order) at all of the business offices and offices at which it conducts financial instruments intermediary service, and must make them available for public inspection, or disclose them using the internet or through other means.