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Article 106-12Examination Criteria for Authorization

第百六条の十二（認可審査基準）

When an application for authorization under the provisions of paragraph (1) of the preceding Article is filed, the Prime Minister must examine whether the application conforms to the following criteria:

内閣総理大臣は、前条第一項の規定による認可の申請があつた場合においては、その申請が次に掲げる基準に適合するかどうかを審査しなければならない。

the applicant for authorization or the company that would be incorporated after obtaining authorization (hereinafter collectively referred to as the "applicant for authorization, etc." in this Article) is a person whose sole purpose is to have an incorporated financial instruments exchange, an incorporated financial instruments exchange, or any of the following companies, as its subsidiary company:

認可申請者又は認可を受けて設立される会社（以下この条において「認可申請者等」という。）が専ら株式会社金融商品取引所又は株式会社金融商品取引所及び次のいずれかに掲げる会社を子会社として保有することを目的とする者であること。

a company engaged in business incidental to the operation of a financial instruments exchange market;

取引所金融商品市場の開設に附帯する業務を行う会社

a company engaged in business that is linked to the operation of a financial instruments exchange market;

取引所金融商品市場の開設に関連する業務を行う会社

a company engaged in the operation of a commodity market; or

商品市場開設業務を行う会社

a company engaged in business that is linked to the operation of the necessary market for effecting commodity futures transactions;

商品先物取引をするために必要な市場の開設に関連する業務を行う会社

the applicant for authorization, etc. and the incorporated financial instruments exchange that would become its subsidiary company have good prospects in terms of income and expenditures;

認可申請者等及びその子会社となる株式会社金融商品取引所の収支の見込みが良好であること。

in light of its personnel structure, the applicant for authorization, etc. has the knowledge and experience to manage the business of the incorporated financial instruments exchange that is to become its subsidiary company, in an appropriate and fair manner; and

認可申請者等がその人的構成に照らして、その子会社となる株式会社金融商品取引所の経営管理を適確かつ公正に遂行することができる知識及び経験を有すること。

the applicant for authorization has sufficient social credibility.

認可申請者が十分な社会的信用を有する者であること。

If, as a result of having conducted an examination pursuant to the provisions of the preceding paragraph, the Prime Minister finds that an application conforms to the criteria in that paragraph, the Prime Minister must grant authorization, except in a case that falls under any of the following items:

内閣総理大臣は、前項の規定により審査した結果、その申請が同項の基準に適合していると認めたときは、次の各号のいずれかに該当する場合を除いて、その認可を与えなければならない。

the applicant for authorization, etc. is not a stock company (meaning a stock company that has in place the following organs):

認可申請者等が株式会社（次に掲げる機関を置くものに限る。）でないとき。

a board of directors; and

取締役会

a company auditor, supervisory committee, or nominating committee, etc.;

監査役、監査等委員会又は指名委員会等

the applicant for authorization is 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 or the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto or for violating the provisions of a foreign law or regulation that is equivalent to one 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;

認可申請者が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するまでの者であるとき。

the applicant for authorization is a person that has had their license rescinded pursuant to the provisions of Article 148, Article 152, paragraph (1), Article 156-17, paragraph (1) or (2), Article 148 as applied mutatis mutandis pursuant to Article 156-26, or Article 156-32, paragraph (1); a person that has had their registration rescinded pursuant to the provisions of Article 52, paragraph (1), Article 53, paragraph (3), Article 57-6, paragraph (3), Article 66-20, paragraph (1), Article 66-42, paragraph (1), Article 66-63, paragraph (1) or Article 66-85, paragraph (1); a person that has had their authorization rescinded pursuant to the provisions of Article 106-7, paragraph (1), Article 106-21, paragraph (1), Article 106-28, paragraph (1) or Article 156-5-9, paragraph (1); a person that has had their 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) of that Act (excluding items (ii), (iii), and (v)); or a person that had a license or registration of the same kind obtained in a foreign country rescinded 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 the license or registration); for whom five years have not passed since the date of the rescission;

認可申請者が第百四十八条、第百五十二条第一項、第百五十六条の十七第一項若しくは第二項、第百五十六条の二十六において準用する第百四十八条若しくは第百五十六条の三十二第一項の規定により免許を取り消され、第五十二条第一項、第五十三条第三項、第五十七条の六第三項、第六十六条の二十第一項、第六十六条の四十二第一項、第六十六条の六十三第一項若しくは第六十六条の八十五第一項の規定により登録を取り消され、若しくは第百六条の七第一項、第百六条の二十一第一項、第百六条の二十八第一項若しくは第百五十六条の五の九第一項の規定により認可を取り消され、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、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免許若しくは登録（当該免許又は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するまでの者であるとき。

the applicant for authorization, etc. has a person falling under any of the provisions of Article 82, paragraph (2), item (iii), (a) through (f) as an officer; or

認可申請者等の役員のうちに第八十二条第二項第三号イからヘまでのいずれかに該当する者があるとき。

the application for authorization, or a document or electronic or magnetic record that is required to be attached to it contains a false statement or false record regarding a material particular.

認可申請書又はこれに添付すべき書類若しくは電磁的記録のうちに重要な事項について虚偽の記載又は記録があるとき。

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Article 106-12Examination Criteria for Authorization