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Article 198

第百九十八条

If any of the following items applies, the person who has committed the violation is subject to punishment by imprisonment for not more than three years, a fine of not more than three million yen, or both:

次の各号のいずれかに該当する場合には、当該違反行為をした者は、三年以下の拘禁刑若しくは三百万円以下の罰金に処し、又はこれを併科する。

the person receives, by wrongful means, the registration referred to in Article 66, Article 66-27, Article 66-50, or Article 66-71, the registration of a change referred to in Article 31, paragraph (4) or Article 66-75, paragraph (4), or the permission referred to in Article 59, paragraph (1), Article 60, paragraph (1), or Article 60-14, paragraph (1);

the person violates Article 38, item (i) (limited to cases in which the violation has been committed in connection with investment management business);

第三十八条第一号の規定に違反したとき(当該違反が投資運用業に関して行われたものである場合に限る。)。

the person violates Article 38, item (vii) or Article 66-14, item (i), (c);

第三十八条第七号又は第六十六条の十四第一号ハの規定に違反したとき。

the person, in violation of Article 42-7, paragraph (1), fails to carry out the provision of information under the provisions of that paragraph or carries out the provision of false information;

第四十二条の七第一項の規定に違反して、同項の規定による情報の提供をせず、又は虚偽の情報の提供をしたとき。

the person violates the provisions of Article 59, paragraph (1), Article 60, paragraph (1), or Article 60-14, paragraph (1), in conducting business prescribed in Article 59, paragraph (1), Article 60, paragraph (1), or Article 60-14, paragraph (1), without obtaining permission of the Prime Minister;

第五十九条第一項、第六十条第一項又は第六十条の十四第一項の規定に違反して内閣総理大臣の許可を受けないで第五十九条第一項、第六十条第一項又は第六十条の十四第一項に規定する業務を行つたとき。

the person violates the provisions of Article 36-3 as applied mutatis mutandis pursuant to Article 59-6 or Article 60-13 (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2)), in having another person conduct the business prescribed in Article 59, paragraph (1), Article 60, paragraph (1), or Article 60-14, paragraph (1);

第五十九条の六又は第六十条の十三(第六十条の十四第二項において準用する場合を含む。)において準用する第三十六条の三の規定に違反して他人に第五十九条第一項、第六十条第一項又は第六十条の十四第一項に規定する業務を行わせたとき。

the person, in violation of Article 66-50, conducts high-speed trading without obtaining registration from the Prime Minister;

第六十六条の五十の規定に違反して内閣総理大臣の登録を受けないで高速取引行為を行つたとき。

the person, in violation of Article 66-56, has another person conduct high-speed trading;

第六十六条の五十六の規定に違反して他人に高速取引行為を行わせたとき。

the person, in violation of Article 80, paragraph (1) or Article 155, paragraph (1), establishes a financial instruments market, or has another person conduct transactions on a foreign financial instruments market;

第八十条第一項又は第百五十五条第一項の規定に違反して金融商品市場を開設したとき、又は外国金融商品市場における取引を行わせたとき。

the person, in violation of Article 102-14, performs self-regulatory services prescribed in Article 84, paragraph (2) without obtaining authorization of the Prime Minister;

第百二条の十四の規定に違反して内閣総理大臣の認可を受けないで第八十四条第二項に規定する自主規制業務を行つたとき。

第百五十六条の二の規定に違反して金融商品債務引受業を行つたとき。

the person, in violation of Article 156-20-16, paragraph (1), performs collaborating financial instruments obligation assumption services without obtaining authorization of the Prime Minister;

第百五十六条の二十の十六第一項の規定に違反して内閣総理大臣の認可を受けないで連携金融商品債務引受業務を行つたとき。

the person, in violation of Article 156-24, paragraph (1), conducts business prescribed in that paragraph without obtaining a license from the Prime Minister; or

第百五十六条の二十四第一項の規定に違反して内閣総理大臣の免許を受けないで同項に規定する業務を行つたとき。

the person violates an order of the court under the provisions of Article 192, paragraph (1) or (2).

第百九十二条第一項又は第二項の規定による裁判所の命令に違反したとき。

An officer (including a provisional board member or provisional auditor) or inspector of an incorporated association-operated financial instruments exchange, or a person that is to be the director or company auditor of an incorporated financial instruments exchange, who has made a false statement to or concealed a fact from the Prime Minister, the court, or the members of a general meeting with regard to subscription or payment for the total number of shares to be issued pursuant to the provisions of Article 101-9, the delivery of property other than money, or the particulars set forth in Article 101-9, item (iii), is subject to punishment by imprisonment for not more than three years, a fine of not more than three million yen, or both.

第百一条の九の規定により発行する株式の総数の引受け、払込み若しくは金銭以外の財産の給付又は同条第三号に掲げる事項について、内閣総理大臣、裁判所又は会員の総会に対して虚偽の申述を行い、又は事実を隠蔽した会員金融商品取引所の役員(仮理事及び仮監事を含む。)若しくは検査役又は株式会社金融商品取引所の取締役若しくは監査役となるべき者は、三年以下の拘禁刑若しくは三百万円以下の罰金に処し、又はこれを併科する。

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