Article 109Application, Mutatis Mutandis of Provisions on Supervisory Dispositions
第百九条（監督上の処分等に係る規定の準用）
The provisions of Article 106-23, paragraph (3) and Article 106-28, paragraphs (1) and (5) apply mutatis mutandis to an authorized financial instruments firms association or financial instruments exchange that has an incorporated financial instruments exchange as its subsidiary company and to an authorized financial instruments firms association or financial instruments exchange that has a financial instruments exchange holding company as its subsidiary company, and the provisions of Article 106-23, paragraph (3), Article 106-27, and Article 106-28, paragraphs (1) and (5) apply mutatis mutandis to a parent commodity exchange, etc. or commodity exchange that has a financial instruments exchange holding company as its subsidiary company.
第百六条の二十三第三項並びに第百六条の二十八第一項及び第五項の規定は株式会社金融商品取引所を子会社とする認可金融商品取引業協会及び金融商品取引所並びに金融商品取引所持株会社を子会社とする認可金融商品取引業協会及び金融商品取引所について、第百六条の二十三第三項、第百六条の二十七並びに第百六条の二十八第一項及び第五項の規定は親商品取引所等及び金融商品取引所持株会社を子会社とする商品取引所について、それぞれ準用する。
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(Scope of Business)
In conducting its business, a financial instruments exchange holding company must endeavor to ensure confidence in the public nature and the sound and appropriate operation of the business of the…
金融商品取引所持株会社は、その業務を行うに当たつては、その子会社である株式会社金融商品取引所の業務の公共性に対する信頼及び健全かつ適切な運営の確保に努めなければならない。
Open this provision(Collection of Reports and Inspections)
When the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister may order a financial instruments exchange holding…
内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、金融商品取引所持株会社若しくはその子会社に対し当該金融商品取引所持株会社の業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ…
Open this provision(Supervisory Dispositions)
If a financial instruments exchange holding company violates a law or regulation, or if the Prime Minister finds it to be necessary, in light of the state of the business of a financial instruments…
内閣総理大臣は、金融商品取引所持株会社が法令に違反したとき、又は金融商品取引所持株会社の業務の状況に照らして、その子会社である株式会社金融商品取引所の業務の公共性に対する信頼及び健全かつ適切な運営を確保するために必要があると認めるときは…
Open this provision(Supervisory Dispositions)
Irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act, before seeking to order the necessary measures…
内閣総理大臣は、第一項の規定により必要な措置を命じようとするときは、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
Open this provisionauthorized financial instruments firms association
「認可金融商品取引業協会」
An association established under Subsection 1 of Section 1 of Chapter IV, whose purpose is to make the trading of securities and derivatives transactions, etc. fair and smooth and to contribute to the sound development of financial instruments business and to investor protection (Article 67).
Defined inArticle 2, paragraph (13)· applies throughout the law
financial instruments exchange
「金融商品取引所」
A membership corporation (金融商品会員制法人) or stock company (株式会社) licensed by the Prime Minister under Article 80, paragraph (1) to open a financial instruments market (金融商品市場).
Defined inArticle 2, paragraph (16)· applies throughout the law
incorporated financial instruments exchange
「株式会社金融商品取引所」
A stock company that operates a financial instruments exchange market.
Short name set inArticle 2, paragraph (18)
financial instruments exchange holding company
「金融商品取引所持株会社」
A stock company that has as its subsidiary company (子会社) a stock company opening a financial instruments exchange market (株式会社金融商品取引所), and that was incorporated with, or has received, the Prime Minister's authorization under Article 106-10, paragraph (1) or the proviso to paragraph (3) of that Article.
Defined inArticle 2, paragraph (18)· applies throughout the law
commodity exchange
「商品取引所」
A member commodity exchange (会員商品取引所) or an incorporated commodity exchange (株式会社商品取引所) under the Commodity Derivatives Transaction Act — a membership association, or a stock company holding a permit, that opens a market for futures transactions in commodities or commodity indices — the incorporated ones limited to those a Cabinet Order (政令) specifies as regulated to a level equal to incorporated financial instruments exchanges.
Defined inArticle 2, paragraph (38)· applies throughout the law
parent commodity exchange, etc.machine translation
「親商品取引所等」
In Chapter V, a commodity exchange (商品取引所) that has a financial instruments exchange as its subsidiary company, or a commodity exchange holding company (商品取引所持株会社) that has one as its subsidiary company, other than a commodity exchange that is itself a financial instruments exchange or a holding company that is itself a financial instruments exchange holding company.
Defined inArticle 102-3, paragraph (1)· applies only in this chapter
subsidiary company
「子会社」
A subsidiary company (子会社) as defined in Article 87-3, paragraph (3): a company in which a corporation holds a majority of the voting rights of all its shareholders, etc., including one in which the corporation and its subsidiary companies, or those subsidiary companies alone, hold such a majority.
Defined inArticle 102-23, paragraph (3)· applies only in this chapter