Article 156-20-17Application for Authorization

一its trade name;

二the trade name or name of the collaborating clearing organization, etc.;

三if the collaborating clearing organization, etc. is neither a financial instruments clearing organization nor a foreign financial instruments clearing organization, the following matters:

イthe amount of stated capital or total amount of contributions of the collaborating clearing organization, etc.;

ロthe location of the head office or principal office of the collaborating clearing organization, etc.;

ハif an office of the collaborating clearing organization, etc. is in Japan, its location; and

ニthe titles and names of the officers of the collaborating clearing organization, etc.;

四the transactions giving rise to obligations that are subject to collaborative financial instruments obligation assumption services; and

五the particulars of the business method for collaborative financial instruments obligation assumption services.

一a copy of the contract for collaborative financial instruments obligation assumption services (hereinafter referred to as the "collaboration agreement");

三if the collaborating clearing organization, etc. is neither a financial instruments clearing organization nor a foreign financial instruments clearing organization, the following matters:

イa document pledging that the collaborating clearing organization, etc. does not fall under the purview of the requirement set forth in paragraph (2), items (i) through (iv) of the following Article;

ロthe articles of incorporation and business rules of the collaborating clearing organization, etc. (including anything equivalent to these, and limited to those that are related to collaborative financial instruments obligation assumption services; hereinafter the same applies in this Section);

ハa document stating the things specified by Cabinet Office Order as constituting the business outline and business methods of the collaborating clearing organization, etc. (limited to business related to collaborating financial instruments obligation assumption services);

ニthe balance sheet and profit and loss statement of the collaborating clearing organization, etc.; and

ホdocuments stating the expected income and expenditures of the collaborating clearing organization, etc.;

四a document outlining the method of securing the collateral needed to settle outstanding obligations (meaning outstanding obligations as prescribed in Article 156-20-19, paragraph (1); hereinafter the same applies in paragraph (1), item (v) of the following Article) and other arrangements for settling them, and outlining the facilities, staff, and other systems for performing such settlement operations; and

五beyond what is set forth in the preceding items, documents specified by Cabinet Office Order.