The Prime Minister must refuse to effect a registration if the applicant for registration falls under any of the following items, or if the written application for registration or a document or electronic or magnetic record that is required to accompany it contains a false statement or record or omits a statement or record of a material fact:
内閣総理大臣は、登録申請者が次の各号のいずれかに該当するとき、又は登録申請書若しくはこれに添付すべき書類若しくは電磁的記録のうちに虚偽の記載若しくは記録があり、若しくは重要な事実の記載若しくは記録が欠けているときは、その登録を拒否しなければならない。
a person falling under any of the following:
次のいずれかに該当する者
a person that has had the registration referred to in Article 29 rescinded pursuant to the provisions of Article 52, paragraph (1), Article 53, paragraph (3), or Article 57-6, paragraph (3), has had the permission referred to in Article 60, paragraph (1) rescinded pursuant to the provisions of Article 60-8, paragraph (1), has had the permission under Article 60-14, paragraph (1) rescinded pursuant to the provisions of Article 60-8, paragraph (1) as applied mutatis mutandis pursuant to Article 60-14, paragraph (2), has been ordered to discontinue specially permitted services for qualified institutional investors, etc. (meaning the specially permitted services for qualified institutional investors, etc. prescribed in Article 63, paragraph (2); hereinafter the same applies in this item and item (ii) of this paragraph) pursuant to the provisions of Article 63-5, paragraph (3) (including as applied mutatis mutandis pursuant to Article 63-3, paragraph (2)), has been ordered to discontinue specially permitted services for foreign investors, etc. (meaning the specially permitted services for foreign investors, etc. prescribed in Article 63-8, paragraph (1); hereinafter the same applies in this item and item (ii) of this paragraph) pursuant to the provisions of Article 63-13, paragraph (3) (including as applied mutatis mutandis pursuant to Article 63-11, paragraph (2)), has had the registration referred to in Article 66 rescinded pursuant to the provisions of Article 66-20, paragraph (1), has had the registration referred to in Article 66-27 rescinded pursuant to the provisions of Article 66-42, paragraph (1), has had the registration referred to in Article 66-50 rescinded pursuant to the provisions of Article 66-63, paragraph (1), has had the registration referred to in Article 66-71 rescinded pursuant to the provisions of Article 66-85, paragraph (1), or has had the registration referred to in Article 12 of the Act on the Provision of Financial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) (excluding items (ii), (iii), and (v)) of that Act, and for whom five years have not passed since the date of the rescission or order; or a person that has had a registration or permission of the same kind that it holds in a foreign country (including authorization or any other administrative disposition similar to such a registration or permission) rescinded pursuant to the provisions of the laws and regulations of that foreign country that are equivalent to this Act or the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto, or has been ordered to discontinue services of the same kind as specially permitted services for qualified institutional investors, etc. or specially permitted services for foreign investors, etc., and for whom five years have not passed since the date of the rescission or order;
第五十二条第一項、第五十三条第三項若しくは第五十七条の六第三項の規定により第二十九条の登録を取り消され、第六十条の八第一項の規定により第六十条第一項の許可を取り消され、第六十条の十四第二項において準用する第六十条の八第一項の規定により第六十条の十四第一項の許可を取り消され、第六十三条の五第三項（第六十三条の三第二項において準用する場合を含む。）の規定により適格機関投資家等特例業務（第六十三条第二項に規定する適格機関投資家等特例業務をいう。以下この号及び第二号において同じ。）の廃止を命ぜられ、第六十三条の十三第三項（第六十三条の十一第二項において準用する場合を含む。）の規定により海外投資家等特例業務（第六十三条の八第一項に規定する海外投資家等特例業務をいう。以下この号及び第二号において同じ。）の廃止を命ぜられ、第六十六条の二十第一項の規定により第六十六条の登録を取り消され、第六十六条の四十二第一項の規定により第六十六条の二十七の登録を取り消され、第六十六条の六十三第一項の規定により第六十六条の五十の登録を取り消され、若しくは第六十六条の八十五第一項の規定により第六十六条の七十一の登録を取り消され、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、その取消し若しくは命令の日から五年を経過しない者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登録若しくは許可（当該登録又は許可に類する認可その他の行政処分を含む。）を取り消され、若しくは適格機関投資家等特例業務若しくは海外投資家等特例業務と同種類の業務の廃止を命ぜられ、その取消し若しくは命令の日から五年を経過しない者
a person falling under any of the following:
次のいずれかに該当する者
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of rescission of the registration referred to in Article 29 pursuant to the provisions of Article 52, paragraph (1), Article 53, paragraph (3), or Article 57-6, paragraph (3) and the day of making the disposition or deciding not to make the disposition, has made a notification under Article 50-2, paragraph (1) to the effect that the person falls under item (ii), (vi), or (vii) of that paragraph (excluding a person that, before the day on which the notice was given, had made a decision (meaning, if the person is a corporation, the decision by the organ responsible for making decisions on the execution of its operations) to discontinue financial instruments business, to cause all of the business relating to financial instruments business to be succeeded to in a company split, or to transfer all of the business relating to financial instruments business), and for whom five years have not passed since the date of that notification;
第五十二条第一項、第五十三条第三項又は第五十七条の六第三項の規定による第二十九条の登録の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第五十条の二第一項第二号、第六号又は第七号に該当する旨の同項の規定による届出をした者（当該通知があつた日前に金融商品取引業を廃止し、分割により金融商品取引業に係る事業の全部を承継させ、又は金融商品取引業に係る事業の全部の譲渡をすることについての決定（当該者が法人であるときは、その業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of rescission of the permission referred to in Article 60, paragraph (1) pursuant to the provisions of Article 60-8, paragraph (1) and the day of making the disposition or deciding not to make the disposition, has discontinued on-exchange transaction services (meaning the on-exchange transaction services prescribed in Article 60, paragraph (1); hereinafter the same applies in this item, item (ii), (f)(2), and Article 38, item (viii)) and, as a result, has made a notification under Article 60-7 to the effect that the case prescribed in that Article applies, as the authorized firm for on-exchange transactions (meaning the authorized firm for on-exchange transactions prescribed in Article 60-4, paragraph (1); hereinafter the same applies in this item, item (ii), and Article 38, item (viii)) pertaining to that notification (excluding a person that, before the day on which the notice was given, had made a decision (meaning the decision by the organ responsible for making decisions on the execution of the operations of that authorized firm for on-exchange transactions) to discontinue on-exchange transaction services), and for whom five years have not passed since the date of that notification;
第六十条の八第一項の規定による第六十条第一項の許可の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に取引所取引業務（同項に規定する取引所取引業務をいう。以下この号及び第二号ヘ（２）並びに第三十八条第八号において同じ。）を廃止したことにより第六十条の七に規定する場合に該当する旨の同条の規定による届出をした場合における当該届出に係る取引所取引許可業者（第六十条の四第一項に規定する取引所取引許可業者をいう。以下この号及び第二号並びに第三十八条第八号において同じ。）（当該通知があつた日前に取引所取引業務を廃止することについての決定（当該取引所取引許可業者の業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of rescission of the permission referred to in Article 60-14, paragraph (1) pursuant to the provisions of Article 60-8, paragraph (1) as applied mutatis mutandis pursuant to Article 60-14, paragraph (2) and the day of making the disposition or deciding not to make the disposition, has discontinued the business of conducting electronic over-the-counter derivatives transactions, etc. (meaning the business of conducting electronic over-the-counter derivatives transactions, etc. prescribed in Article 60-14, paragraph (1); hereinafter the same applies in this item and item (ii), (f)(3)) and, as a result, has made a notification under Article 60-7 as applied mutatis mutandis pursuant to Article 60-14, paragraph (2) to the effect that the case prescribed in that Article applies, as the business operator authorized to conduct electronic over-the-counter derivatives transactions, etc. (meaning the business operator authorized to conduct electronic over-the-counter derivatives transactions, etc. prescribed in Article 60-14, paragraph (2); hereinafter the same applies in this item and item (ii)) pertaining to that notification (excluding a person that, before the day on which the notice was given, had made a decision (meaning the decision by the organ responsible for making decisions on the execution of the operations of that business operator authorized to conduct electronic over-the-counter derivatives transactions, etc.) to discontinue the business of conducting electronic over-the-counter derivatives transactions, etc.), and for whom five years have not passed since the date of that notification;
第六十条の十四第二項において準用する第六十条の八第一項の規定による第六十条の十四第一項の許可の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に電子店頭デリバティブ取引等業務（同項に規定する電子店頭デリバティブ取引等業務をいう。以下この号及び第二号ヘ（３）において同じ。）を廃止したことにより第六十条の十四第二項において準用する第六十条の七に規定する場合に該当する旨の同条の規定による届出をした場合における当該届出に係る電子店頭デリバティブ取引等許可業者（同項に規定する電子店頭デリバティブ取引等許可業者をいう。以下この号及び第二号において同じ。）（当該通知があつた日前に電子店頭デリバティブ取引等業務を廃止することについての決定（当該電子店頭デリバティブ取引等許可業者の業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of discontinuation of specially permitted services for qualified institutional investors, etc. under Article 63-5, paragraph (3) and the day of making the disposition or deciding not to make the disposition, has made a notification under Article 63-2, paragraph (2) to the effect that the person has succeeded to the position of a notifier of specially permitted services (meaning a person that has made a notification under Article 63, paragraph (2); hereinafter the same applies in this item and item (ii)) pursuant to the provisions of Article 63-2, paragraph (1), or a notification under the provisions of paragraph (3) of that Article to the effect that the person falls under item (ii) of that paragraph (in the case where the person has made a notification under paragraph (2) of that Article to the effect that the person has succeeded to the position of a notifier of specially permitted services pursuant to the provisions of paragraph (1) of that Article, the person that was the notifier of specially permitted services pertaining to that notification; and excluding a person that, before the day on which the notice was given, had made a decision (meaning, if the person is a corporation, the decision by the organ responsible for making decisions on the execution of its operations) to transfer all of the business relating to specially permitted services for qualified institutional investors, etc., to cause all of that business to be succeeded to in a company split, or to discontinue specially permitted services for qualified institutional investors, etc.), and for whom five years have not passed since the date of that notification;
第六十三条の五第三項の規定による適格機関投資家等特例業務の廃止の処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十三条の二第一項の規定により特例業務届出者（第六十三条第二項の規定による届出をした者をいう。以下この号及び第二号において同じ。）の地位を承継した旨の第六十三条の二第二項の規定による届出又は同条第三項第二号に該当する旨の同項の規定による届出をした者（同条第一項の規定により特例業務届出者の地位を承継した旨の同条第二項の規定による届出をした場合にあつては、当該届出に係る特例業務届出者であつた者とし、当該通知があつた日前に適格機関投資家等特例業務に係る事業の全部の譲渡をし、分割により適格機関投資家等特例業務に係る事業の全部を承継させ、又は適格機関投資家等特例業務を廃止することについての決定（当該者が法人であるときは、その業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of discontinuation of specially permitted services for qualified institutional investors, etc. under Article 63-5, paragraph (3) as applied mutatis mutandis pursuant to Article 63-3, paragraph (2) and the day of making the disposition or deciding not to make the disposition, has made a notification under Article 50-2, paragraph (1) to the effect that the person falls under item (vi) or (vii) of that paragraph, or a notification under the provisions of Article 63-2, paragraph (3) as applied mutatis mutandis pursuant to Article 63-3, paragraph (2) to the effect that the person falls under item (ii) of Article 63-2, paragraph (3) as so applied (excluding a person that, before the day on which the notice was given, had made a decision (meaning, if the person is a corporation, the decision by the organ responsible for making decisions on the execution of its operations) to cause all of the business relating to specially permitted services for qualified institutional investors, etc. to be succeeded to in a company split, to transfer all of that business, or to discontinue specially permitted services for qualified institutional investors, etc.), and for whom five years have not passed since the date of that notification;
第六十三条の三第二項において準用する第六十三条の五第三項の規定による適格機関投資家等特例業務の廃止の処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第五十条の二第一項第六号若しくは第七号に該当する旨の同項の規定による届出又は第六十三条の三第二項において準用する第六十三条の二第三項第二号に該当する旨の同項の規定による届出をした者（当該通知があつた日前に分割により適格機関投資家等特例業務に係る事業の全部を承継させ、適格機関投資家等特例業務に係る事業の全部の譲渡をし、又は適格機関投資家等特例業務を廃止することについての決定（当該者が法人であるときは、その業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of discontinuation of specially permitted services for foreign investors, etc. under Article 63-13, paragraph (3) and the day of making the disposition or deciding not to make the disposition, has made a notification under Article 63-10, paragraph (2) to the effect that the person has succeeded to the position of a notifier of specially permitted services for foreign investors, etc. (meaning a person that has made a notification under Article 63-9, paragraph (1); hereinafter the same applies in this item and item (ii)) pursuant to the provisions of Article 63-10, paragraph (1), or a notification under the provisions of paragraph (3) of that Article to the effect that the person falls under item (ii) of that paragraph (in the case where the person has made a notification under paragraph (2) of that Article to the effect that the person has succeeded to the position of a notifier of specially permitted services for foreign investors, etc. pursuant to the provisions of paragraph (1) of that Article, the person that was the notifier of specially permitted services for foreign investors, etc. pertaining to that notification; and excluding a person that, before the day on which the notice was given, had made a decision (meaning, if the person is a corporation, the decision by the organ responsible for making decisions on the execution of its operations) to transfer all of the business relating to specially permitted services for foreign investors, etc., to cause all of that business to be succeeded to in a company split, or to discontinue specially permitted services for foreign investors, etc.), and for whom five years have not passed since the date of that notification;
第六十三条の十三第三項の規定による海外投資家等特例業務の廃止の処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十三条の十第一項の規定により海外投資家等特例業務届出者（第六十三条の九第一項の規定による届出をした者をいう。以下この号及び第二号において同じ。）の地位を承継した旨の第六十三条の十第二項の規定による届出又は同条第三項第二号に該当する旨の同項の規定による届出をした者（同条第一項の規定により海外投資家等特例業務届出者の地位を承継した旨の同条第二項の規定による届出をした場合にあつては、当該届出に係る海外投資家等特例業務届出者であつた者とし、当該通知があつた日前に海外投資家等特例業務に係る事業の全部の譲渡をし、分割により海外投資家等特例業務に係る事業の全部を承継させ、又は海外投資家等特例業務を廃止することについての決定（当該者が法人であるときは、その業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of discontinuation of specially permitted services for foreign investors, etc. under Article 63-13, paragraph (3) as applied mutatis mutandis pursuant to Article 63-11, paragraph (2) and the day of making the disposition or deciding not to make the disposition, has made a notification under Article 50-2, paragraph (1) to the effect that the person falls under item (vi) or (vii) of that paragraph, or a notification under the provisions of Article 63-10, paragraph (3) as applied mutatis mutandis pursuant to Article 63-11, paragraph (2) to the effect that the person falls under item (ii) of Article 63-10, paragraph (3) as so applied (excluding a person that, before the day on which the notice was given, had made a decision (meaning, if the person is a corporation, the decision by the organ responsible for making decisions on the execution of its operations) to cause all of the business relating to specially permitted services for foreign investors, etc. to be succeeded to in a company split, to transfer all of that business, or to discontinue specially permitted services for foreign investors, etc.), and for whom five years have not passed since the date of that notification;
第六十三条の十一第二項において準用する第六十三条の十三第三項の規定による海外投資家等特例業務の廃止の処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第五十条の二第一項第六号若しくは第七号に該当する旨の同項の規定による届出又は第六十三条の十一第二項において準用する第六十三条の十第三項第二号に該当する旨の同項の規定による届出をした者（当該通知があつた日前に分割により海外投資家等特例業務に係る事業の全部を承継させ、海外投資家等特例業務に係る事業の全部の譲渡をし、又は海外投資家等特例業務を廃止することについての決定（当該者が法人であるときは、その業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of rescission of the registration referred to in Article 66 pursuant to the provisions of Article 66-20, paragraph (1) and the day of making the disposition or deciding not to make the disposition, has made a notification under Article 66-19, paragraph (1) to the effect that the person falls under item (i) of that paragraph (excluding a person that, before the day on which the notice was given, had made a decision (meaning, if the person is a corporation, the decision by the organ responsible for making decisions on the execution of its operations) to discontinue financial instruments intermediary service, to cause all of the business relating to financial instruments intermediary service to be succeeded to in a company split, or to transfer all of the business relating to financial instruments intermediary service), and for whom five years have not passed since the date of that notification;
第六十六条の二十第一項の規定による第六十六条の登録の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十六条の十九第一項第一号に該当する旨の同項の規定による届出をした者（当該通知があつた日前に金融商品仲介業を廃止し、分割により金融商品仲介業に係る事業の全部を承継させ、又は金融商品仲介業に係る事業の全部の譲渡をすることについての決定（当該者が法人であるときは、その業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of rescission of the registration referred to in Article 66-27 pursuant to the provisions of Article 66-42, paragraph (1) and the day of making the disposition or deciding not to make the disposition, has made a notification under Article 66-40, paragraph (1) to the effect that the person falls under item (i) of that paragraph (excluding a person that, before the day on which the notice was given, had made a decision (meaning the decision by the organ responsible for making decisions on the execution of the person's operations) to discontinue credit rating services, to cause all of the business relating to credit rating services to be succeeded to in a company split, or to transfer all of the business relating to credit rating services), and for whom five years have not passed since the date of that notification;
第六十六条の四十二第一項の規定による第六十六条の二十七の登録の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十六条の四十第一項第一号に該当する旨の同項の規定による届出をした者（当該通知があつた日前に信用格付業を廃止し、分割により信用格付業に係る事業の全部を承継させ、又は信用格付業に係る事業の全部の譲渡をすることについての決定（当該者の業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of rescission of the registration referred to in Article 66-50 pursuant to the provisions of Article 66-63, paragraph (1) and the day of making the disposition or deciding not to make the disposition, has made a notification under Article 66-61, paragraph (1) to the effect that the person falls under item (ii), (vi), or (vii) of that paragraph (excluding a person that, before the day on which the notice was given, had made a decision (meaning, if the person is a corporation, the decision by the organ responsible for making decisions on the execution of its operations) to discontinue the business relating to high-speed trading, to cause all of that business to be succeeded to in a company split, or to transfer all of that business), and for whom five years have not passed since the date of that notification;
第六十六条の六十三第一項の規定による第六十六条の五十の登録の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十六条の六十一第一項第二号、第六号又は第七号に該当する旨の同項の規定による届出をした者（当該通知があつた日前に高速取引行為に係る業務を廃止し、分割により当該業務に係る事業の全部を承継させ、又は当該業務に係る事業の全部の譲渡をすることについての決定（当該者が法人であるときは、その業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, between the day on which a notice under Article 15 of the Administrative Procedure Act was given regarding the disposition of rescission of the registration referred to in Article 66-71 pursuant to the provisions of Article 66-85, paragraph (1) and the day of making the disposition or deciding not to make the disposition, has made a notification under Article 66-83, paragraph (1) to the effect that the person falls under item (ii), (vi), or (vii) of that paragraph (excluding a person that, before the day on which the notice was given, had made a decision (meaning, if the person is a corporation, the decision by the organ responsible for making decisions on the execution of its operations) to discontinue investment management-related services contracting business, to cause all of the business relating to investment management-related services contracting business to be succeeded to in a company split, or to transfer all of the business relating to investment management-related services contracting business), and for whom five years have not passed since the date of that notification;
第六十六条の八十五第一項の規定による第六十六条の七十一の登録の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十六条の八十三第一項第二号、第六号又は第七号に該当する旨の同項の規定による届出をした者（当該通知があつた日前に投資運用関係業務受託業を廃止し、分割により投資運用関係業務受託業に係る事業の全部を承継させ、又は投資運用関係業務受託業に係る事業の全部の譲渡をすることについての決定（当該者が法人であるときは、その業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
a person that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of rescission, under Article 38, paragraph (1) (excluding items (ii), (iii) and (v)) of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto, of the registration under Article 12 of that Act (limited to the registration related to the type of securities, etc. intermediary business operations) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 16, paragraph (3) of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto to the effect that the person falls under item (iii) of that paragraph (excluding a person that, before the day on which the notice was given, had made a decision (meaning, if the person is a corporation, a decision by the organ that is responsible for making decisions on the execution of its operations) to discontinue financial service intermediary business (meaning the financial service intermediary business prescribed in Article 11, paragraph (1) of that Act; the same applies in (12) and item (ii), (f)(12)), to have all of the business related to financial service intermediary business succeeded to by another through a company split, or to transfer all of the business related to financial service intermediary business), and for whom five years have not passed since the date of the notification;
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。）の規定による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。）の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に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十六条第三項第三号に該当する旨の同項の規定による届出をした者（当該通知があつた日前に金融サービス仲介業（同法第十一条第一項に規定する金融サービス仲介業をいう。（１２）及び第二号ヘ（１２）において同じ。）を廃止し、分割により金融サービス仲介業に係る事業の全部を承継させ、又は金融サービス仲介業に係る事業の全部の譲渡をすることについての決定（当該者が法人であるときは、その業務執行を決定する機関の決定をいう。）をしていた者を除く。）で、当該届出の日から五年を経過しないもの
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; the Secured Bond Trust Act (Act No. 52 of 1905); the Act on Engagement in Trust Business by Financial Institutions (Act No. 43 of 1943); the Commodity Derivatives Transaction Act; the Act on Investment Trusts and Investment Corporations; the Real Estate Brokerage Act (Act No. 176 of 1952); the Act Regulating the Receipt of Contributions, the Receipt of Deposits, and Interest Rates (Act No. 195 of 1954); the Installment Sales Act (Act No. 159 of 1961); the Money Lending Business Act (Act No. 32 of 1983); the Act on Deposit Transactions (Act No. 62 of 1986); the Act on Regulation of Commodity Investment (Act No. 66 of 1991); the Act on Specified Joint Real Estate Ventures; the Act on the Securitization of Assets; the Act on Issuance, etc. of Bonds for Financial Corporations' Loan Business (Act No. 32 of 1999); the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto; the Trust Business Act (Act No. 154 of 2004); the Payment Services Act; the Act on the Promotion of Business Financing, etc. (Act No. 52 of 2024); or any other laws specified by Cabinet Order, or for violating the provisions of a foreign law or regulation that is equivalent to any 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;
この法律、担保付社債信託法（明治三十八年法律第五十二号）、金融機関の信託業務の兼営等に関する法律（昭和十八年法律第四十三号）、商品先物取引法、投資信託及び投資法人に関する法律、宅地建物取引業法（昭和二十七年法律第百七十六号）、出資の受入れ、預り金及び金利等の取締りに関する法律（昭和二十九年法律第百九十五号）、割賦販売法（昭和三十六年法律第百五十九号）、貸金業法（昭和五十八年法律第三十二号）、預託等取引に関する法律（昭和六十一年法律第六十二号）、商品投資に係る事業の規制に関する法律（平成三年法律第六十六号）、不動産特定共同事業法、資産の流動化に関する法律、金融業者の貸付業務のための社債の発行等に関する法律（平成十一年法律第三十二号）、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、信託業法（平成十六年法律第百五十四号）、資金決済に関する法律、事業性融資の推進等に関する法律（令和六年法律第五十二号）その他政令で定め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しない者
a person that performs another business which is found to be contrary to the public interest;
他に行う事業が公益に反すると認められる者
a person falling under any of the following:
次のいずれかに該当する者
a person that is found, in light of its relationship with an organized crime group prescribed in Article 2, item (ii) of the Act on Prevention of Unjust Acts by Organized Crime Group Members (Act No. 77 of 1991) or a member of an organized crime group prescribed in item (vi) of that Article, or other circumstances, to be likely to cause a loss of confidence in the financial instruments business;
暴力団員による不当な行為の防止等に関する法律（平成三年法律第七十七号）第二条第二号に規定する暴力団又は同条第六号に規定する暴力団員との関係その他の事情に照らし、金融商品取引業の信用を失墜させるおそれがあると認められる者
any other person that falls under the criteria specified by Cabinet Office Order as a person that does not have a sufficient personnel structure to perform financial instruments business in an appropriate manner.
その他金融商品取引業を適確に遂行するに足りる人的構成を有しない者として内閣府令で定める基準に該当する者
a person that is found not to have in place the necessary system for performing financial instruments business in an appropriate manner;
金融商品取引業を適確に遂行するための必要な体制が整備されていると認められない者
if the person is a corporation, a person that is found not to have secured, for each of the services related to the financial instruments business subject to the application for registration, an officer (including a person that is found to have at least the same amount of authority over the corporation as a director, an executive officer or an equivalent person, irrespective of whether the person is called a counselor, an advisor or any other title; hereinafter the same applies in this item and the following item, Article 33-5, paragraph (1), item (iii), (a), Article 52, paragraph (2), Article 52-2, paragraph (2), Article 57-20, paragraph (1), item (i) and paragraph (3), Article 63, paragraph (7), item (i), (c), Article 63-9, paragraph (6), item (ii), (g), Article 66-53, item (v), (a), Article 66-63, paragraph (2), Article 66-74, item (vii), (a) and (c), and Article 66-85, paragraph (2)) or an employee who has the sufficient knowledge and experience necessary for the execution of the relevant services; provided, however, that if an applicant for registration entrusts investment management-related services to an investment management-related services contractor (limited to a person that has obtained the registration under Article 66-71 or the registration of a change under Article 66-75, paragraph (4) in order to conduct those investment management-related services), it is to be sufficient, with regard to those investment management-related services, to have secured an officer or employee who has the ability to appropriately supervise those services.
法人である場合においては、登録申請の対象となる金融商品取引業に係る業務のそれぞれにつき、その執行について必要となる十分な知識及び経験を有する役員（相談役、顧問その他いかなる名称を有する者であるかを問わず、当該法人に対し取締役、執行役又はこれらに準ずる者と同等以上の支配力を有するものと認められる者を含む。以下この号及び次号、第三十三条の五第一項第三号イ、第五十二条第二項、第五十二条の二第二項、第五十七条の二十第一項第一号及び第三項、第六十三条第七項第一号ハ、第六十三条の九第六項第二号ト、第六十六条の五十三第五号イ、第六十六条の六十三第二項、第六十六条の七十四第七号イ及びハ並びに第六十六条の八十五第二項において同じ。）又は使用人を確保していないと認められる者。ただし、登録申請者が投資運用関係業務を投資運用関係業務受託業者（当該投資運用関係業務を行うことにつき第六十六条の七十一の登録又は第六十六条の七十五第四項の変更登録を受けている者に限る。）に委託する場合における当該投資運用関係業務については、その業務の監督を適切に行う能力を有する役員又は使用人を確保していれば足りるものとする。
if the person is a corporation, a person that has an officer, or an employee specified by Cabinet Order, who falls under any of the following:
法人である場合においては、役員又は政令で定める使用人のうちに次のいずれかに該当する者のある者
a person specified by Cabinet Office Order as being unable to properly perform business related to financial instruments business due to a mental or physical disorder;
心身の故障により金融商品取引業に係る業務を適正に行うことができない者として内閣府令で定める者
a person that has become subject to an order to commence bankruptcy proceedings and has not obtained a restoration of rights, or a person that is treated in the same manner under foreign laws and regulations;
破産手続開始の決定を受けて復権を得ない者又は外国の法令上これと同様に取り扱われている者
a person that has been sentenced to imprisonment or a heavier punishment (including an equivalent sentence under foreign laws and regulations), and five years have not passed since the day on which that person finished serving the sentence or ceased to be subject to its enforcement;
拘禁刑以上の刑（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しない者
a person that, during the 30 days prior to the date of rescission or order, was the officer of a corporation, in a case in which the corporation was a financial instruments business operator but has had the registration referred to in Article 29 rescinded pursuant to the provisions of Article 52, paragraph (1), Article 53, paragraph (3), or Article 57-6, paragraph (3); in a case in which the corporation was an authorized firm for on-exchange transactions but has had the permission referred to in Article 60, paragraph (1) rescinded pursuant to the provisions of Article 60-8, paragraph (1); in a case in which a corporation that was a business operator authorized to conduct electronic over-the-counter derivatives transactions, etc. has had its permission under Article 60-14, paragraph (1) rescinded under the provisions of Article 60-8, paragraph (1) as applied mutatis mutandis pursuant to Article 60-14, paragraph (2); in a case in which the corporation was a notifier of specially permitted services but has been ordered to discontinue specially permitted services for qualified institutional investors, etc. pursuant to the provisions of Article 63-5, paragraph (3); in a case in which the corporation had given a notification under Article 63-3, paragraph (1) but has been ordered to discontinue specially permitted services for qualified institutional investors, etc. pursuant to the provisions of Article 63-5, paragraph (3) as applied mutatis mutandis pursuant to Article 63-3, paragraph (2); in a case in which the corporation was a notifier of specially permitted services for foreign investors, etc. but has been ordered as to discontinuation of specially permitted services for foreign investors, etc. pursuant to the provisions of Article 63-13, paragraph (3); in a case in which the corporation had made a notification under Article 63-11, paragraph (1) but has been ordered as to discontinuation of specially permitted services for foreign investors, etc. pursuant to the provisions of Article 63-13, paragraph (3) as applied mutatis mutandis pursuant to Article 63-11, paragraph (2); in a case in which the corporation was a financial instruments intermediary service provider but has had the registration referred to in Article 66 rescinded pursuant to the provisions of Article 66-20, paragraph (1); in a case in which the corporation was a credit rating agency but has had the registration referred to in Article 66-27 rescinded pursuant to the provisions of Article 66-42, paragraph (1); in a case in which the corporation was a high-speed trader but has had the registration referred to in Article 66-50 rescinded pursuant to the provisions of Article 66-63, paragraph (1); in a case in which the corporation was an investment management-related services contractor but has had the registration referred to in Article 66-71 rescinded pursuant to the provisions of Article 66-85, paragraph (1); or in a case in which the corporation was a financial service intermediary but has had the 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) (excluding items (ii), (iii), and (v)) of that Act; or in a case in which the corporation had obtained a registration or permission of the same kind in a foreign country 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 authorization or any other administrative disposition similar to that registration or permission; hereinafter the same applies in (d)), but has had that registration or permission of the same kind rescinded; or in a case in which the corporation had performed services of the same type as specially permitted services for qualified institutional investors, etc. or specially permitted services for foreign investors, etc. but has been ordered to discontinue those services; for whom five years have not passed since the date of the rescission or order;
金融商品取引業者であつた法人が第五十二条第一項、第五十三条第三項若しくは第五十七条の六第三項の規定により第二十九条の登録を取り消されたことがある場合、取引所取引許可業者であつた法人が第六十条の八第一項の規定により第六十条第一項の許可を取り消されたことがある場合、電子店頭デリバティブ取引等許可業者であつた法人が第六十条の十四第二項において準用する第六十条の八第一項の規定により第六十条の十四第一項の許可を取り消されたことがある場合、特例業務届出者であつた法人が第六十三条の五第三項の規定により適格機関投資家等特例業務の廃止を命ぜられたことがある場合、第六十三条の三第一項の規定による届出をした者であつた法人が同条第二項において準用する第六十三条の五第三項の規定により適格機関投資家等特例業務の廃止を命ぜられたことがある場合、海外投資家等特例業務届出者であつた法人が第六十三条の十三第三項の規定により海外投資家等特例業務の廃止を命ぜられたことがある場合、第六十三条の十一第一項の規定による届出をした者であつた法人が同条第二項において準用する第六十三条の十三第三項の規定により海外投資家等特例業務の廃止を命ぜられたことがある場合、金融商品仲介業者であつた法人が第六十六条の二十第一項の規定により第六十六条の登録を取り消されたことがある場合、信用格付業者であつた法人が第六十六条の四十二第一項の規定により第六十六条の二十七の登録を取り消されたことがある場合、高速取引行為者であつた法人が第六十六条の六十三第一項の規定により第六十六条の五十の登録を取り消されたことがある場合若しくは投資運用関係業務受託業者であつた法人が第六十六条の八十五第一項の規定により第六十六条の七十一の登録を取り消されたことがある場合若しくは金融サービス仲介業者であつた法人が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。）を取り消されたことがある場合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同種類の登録若しくは許可（当該登録又は許可に類する認可その他の行政処分を含む。ニにおいて同じ。）を受けていた法人が当該同種類の登録若しくは許可を取り消されたことがある場合若しくは適格機関投資家等特例業務若しくは海外投資家等特例業務と同種類の業務を行つていた法人が当該業務の廃止を命ぜられたことがある場合において、その取消し又は命令の日前三十日以内にこれらの法人の役員であつた者でその取消し又は命令の日から五年を経過しない者
an individual that was a financial instruments business operator but that has had the registration referred to in Article 29 rescinded pursuant to the provisions of Article 52, paragraph (1); an individual that was a notifier of specially permitted services but that has been ordered to discontinue specially permitted services for qualified institutional investors, etc. pursuant to the provisions of Article 63-5, paragraph (3); an individual that has given a notification under Article 63-3, paragraph (1) but that has been ordered to discontinue specially permitted services for qualified institutional investors, etc. pursuant to the provisions of Article 63-5, paragraph (3) as applied mutatis mutandis pursuant to Article 63-3, paragraph (2); an individual that was a notifier of specially permitted services for foreign investors, etc. but that has been ordered to discontinue specially permitted services for foreign investors, etc. pursuant to the provisions of Article 63-13, paragraph (3); an individual that has given a notification under Article 63-11, paragraph (1) but that has been ordered to discontinue specially permitted services for foreign investors, etc. pursuant to the provisions of Article 63-13, paragraph (3) as applied mutatis mutandis pursuant to Article 63-11, paragraph (2); an individual that was a financial instruments intermediary service provider but that has had the registration referred to in Article 66 rescinded pursuant to the provisions of Article 66-20, paragraph (1); an individual that was a high-speed trader but that has had the registration referred to in Article 66-50 rescinded pursuant to the provisions of Article 66-63, paragraph (1); an individual that was an investment management-related services contractor but that has had the registration referred to in Article 66-71 rescinded pursuant to the provisions of Article 66-85, paragraph (1); or an individual that was a financial service intermediary but that has had the 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) (excluding items (ii), (iii), and (v)) of that Act; or an individual that had obtained a registration of the same kind in a foreign country 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 such a registration; hereinafter the same applies in (e)) or that had obtained permission of the same kind as the permission referred to in Article 60, paragraph (1) or Article 60-14, paragraph (1) in a foreign country pursuant to the provisions of a foreign law or regulation that is equivalent to this Act (including permission or any other administrative disposition that is similar to that permission), but that has had that registration or permission of the same kind rescinded; or an individual that had performed services of the same type as specially permitted services for qualified institutional investors, etc. or specially permitted services for foreign investors, etc. but that has been ordered to discontinue those services; for whom five years have not passed since the date of the rescission or order;
金融商品取引業者であつた個人が第五十二条第一項の規定により第二十九条の登録を取り消されたことがある場合、特例業務届出者であつた個人が第六十三条の五第三項の規定により適格機関投資家等特例業務の廃止を命ぜられたことがある場合、第六十三条の三第一項の規定による届出をした者であつた個人が同条第二項において準用する第六十三条の五第三項の規定により適格機関投資家等特例業務の廃止を命ぜられたことがある場合、海外投資家等特例業務届出者であつた個人が第六十三条の十三第三項の規定により海外投資家等特例業務の廃止を命ぜられたことがある場合、第六十三条の十一第一項の規定による届出をした者であつた個人が同条第二項において準用する第六十三条の十三第三項の規定により海外投資家等特例業務の廃止を命ぜられたことがある場合、金融商品仲介業者であつた個人が第六十六条の二十第一項の規定により第六十六条の登録を取り消されたことがある場合、高速取引行為者であつた個人が第六十六条の六十三第一項の規定により第六十六条の五十の登録を取り消されたことがある場合若しくは投資運用関係業務受託業者であつた個人が第六十六条の八十五第一項の規定により第六十六条の七十一の登録を取り消されたことがある場合若しくは金融サービス仲介業者であつた個人が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。）を取り消されたことがある場合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同種類の登録（当該登録に類する許可その他の行政処分を含む。ホにおいて同じ。）を受けていた個人が当該同種類の登録を取り消されたことがある場合、第六十条第一項若しくは第六十条の十四第一項の許可と同種類の許可（当該許可に類する許可その他の行政処分を含む。ホにおいて同じ。）を受けていた個人が当該同種類の許可を取り消されたことがある場合若しくは適格機関投資家等特例業務若しくは海外投資家等特例業務と同種類の業務を行つていた個人が当該業務の廃止を命ぜられたことがある場合において、その取消し又は命令の日から五年を経過しない者
a person falling under any of the following:
次のいずれかに該当する者
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of rescission of the registration under Article 29 pursuant to Article 52, paragraph (1), Article 53, paragraph (3) or Article 57-6, paragraph (3) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 50-2, paragraph (1) to the effect that it falls under any of items (ii) through (vii) of that paragraph (in the case of a notification to the effect that it falls under any of items (iii) through (v) of that paragraph, the corporation that was the financial instruments business operator concerned in the notification; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to discontinue financial instruments business, to merge (limited to a merger in which a financial instruments business operator is extinguished by the merger), to dissolve, to have all of the business related to financial instruments business succeeded to by another through a company split, or to transfer all of the business related to financial instruments business), and for whom five years have not passed since the date of the notification;
第五十二条第一項、第五十三条第三項又は第五十七条の六第三項の規定による第二十九条の登録の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第五十条の二第一項第二号から第七号までのいずれかに該当する旨の同項の規定による届出をした法人（同項第三号から第五号までのいずれかに該当する旨の同項の規定による届出をした場合にあつては、当該届出に係る金融商品取引業者であつた法人とし、当該通知があつた日前に金融商品取引業を廃止し、合併（金融商品取引業者が合併により消滅する場合の当該合併に限る。）をし、解散をし、分割により金融商品取引業に係る事業の全部を承継させ、又は金融商品取引業に係る事業の全部の譲渡をすることについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
if, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of rescission of the permission under Article 60, paragraph (1) pursuant to Article 60-8, paragraph (1) to the day on which the disposition is made or the decision not to make the disposition is made, a notification has been filed under Article 60-7 to the effect that a case prescribed in that Article applies, a person that was an officer of the authorized firm for on-exchange transactions concerned in the notification (excluding an authorized firm for on-exchange transactions that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of that authorized firm that is responsible for making decisions on the execution of its operations) to dissolve or to discontinue on-exchange transaction services), and for whom five years have not passed since the date of the notification;
if, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of rescission of the permission under Article 60-14, paragraph (1) pursuant to Article 60-8, paragraph (1) as applied mutatis mutandis pursuant to Article 60-14, paragraph (2) to the day on which the disposition is made or the decision not to make the disposition is made, a notification has been filed under Article 60-7 as applied mutatis mutandis pursuant to Article 60-14, paragraph (2) to the effect that a case prescribed in that Article applies, a person that was an officer of the business operator authorized to conduct electronic over-the-counter derivatives transactions, etc. concerned in the notification (excluding a business operator that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of that business operator that is responsible for making decisions on the execution of its operations) to dissolve or to discontinue business of conducting electronic over-the-counter derivatives transactions, etc.), and for whom five years have not passed since the date of the notification;
第六十条の十四第二項において準用する第六十条の八第一項の規定による第六十条の十四第一項の許可の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十条の十四第二項において準用する第六十条の七に規定する場合に該当する旨の同条の規定による届出をした場合における当該届出に係る電子店頭デリバティブ取引等許可業者（当該通知があつた日前に解散をし、又は電子店頭デリバティブ取引等業務を廃止することについての決定（当該電子店頭デリバティブ取引等許可業者の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of discontinuation of specially permitted services for qualified institutional investors, etc. under Article 63-5, paragraph (3) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 63-2, paragraph (2) to the effect that it succeeded to the position of a notifier of specially permitted services pursuant to paragraph (1) of that Article, a notification under paragraph (3) of that Article to the effect that it falls under item (ii) of that paragraph, or a notification under paragraph (4) of that Article to the effect that the case prescribed in that paragraph applies (in the case of a notification under Article 63-2, paragraph (2) to the effect that it succeeded to the position of a notifier of specially permitted services pursuant to paragraph (1) of that Article or a notification under paragraph (4) of that Article to the effect that the case prescribed in that paragraph applies, the corporation that was the notifier of specially permitted services concerned in those notifications; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to transfer all of the business related to specially permitted services for qualified institutional investors, etc., to merge (limited to a merger in which a notifier of specially permitted services is extinguished by the merger), to have all of the business related to specially permitted services for qualified institutional investors, etc. succeeded to by another through a company split, to discontinue specially permitted services for qualified institutional investors, etc., or to dissolve), and for whom five years have not passed since the date of the notification;
第六十三条の五第三項の規定による適格機関投資家等特例業務の廃止の処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十三条の二第一項の規定により特例業務届出者の地位を承継した旨の同条第二項の規定による届出、同条第三項第二号に該当する旨の同項の規定による届出又は同条第四項に規定するときに該当する旨の同項の規定による届出をした法人（同条第一項の規定により特例業務届出者の地位を承継した旨の同条第二項の規定による届出又は同条第四項に規定するときに該当する旨の同項の規定による届出をした場合にあつては、これらの届出に係る特例業務届出者であつた法人とし、当該通知があつた日前に適格機関投資家等特例業務に係る事業の全部の譲渡をし、合併（特例業務届出者が合併により消滅する場合の当該合併に限る。）をし、分割により適格機関投資家等特例業務に係る事業の全部を承継させ、適格機関投資家等特例業務を廃止し、又は解散をすることについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of discontinuation of specially permitted services for qualified institutional investors, etc. under Article 63-5, paragraph (3) as applied mutatis mutandis pursuant to Article 63-3, paragraph (2) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 50-2, paragraph (1) to the effect that it falls under any of items (iii) through (vii) of that paragraph, or a notification under Article 63-2, paragraph (3) as applied mutatis mutandis pursuant to Article 63-3, paragraph (2) to the effect that it falls under item (ii) of that paragraph (in the case of a notification under Article 50-2, paragraph (1) to the effect that it falls under any of items (iii) through (v) of that paragraph, the corporation that was the person that filed the notification under Article 63-3, paragraph (1) concerned in that notification; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to merge (limited to a merger in which a person that filed a notification under that paragraph is extinguished by the merger), to dissolve, to have all of the business related to specially permitted services for qualified institutional investors, etc. succeeded to by another through a company split, to transfer all of the business related to specially permitted services for qualified institutional investors, etc., or to discontinue specially permitted services for qualified institutional investors, etc.), and for whom five years have not passed since the date of the notification;
第六十三条の三第二項において準用する第六十三条の五第三項の規定による適格機関投資家等特例業務の廃止の処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第五十条の二第一項第三号から第七号までのいずれかに該当する旨の同項の規定による届出又は第六十三条の三第二項において準用する第六十三条の二第三項第二号に該当する旨の同項の規定による届出をした法人（第五十条の二第一項第三号から第五号までのいずれかに該当する旨の同項の規定による届出をした場合にあつては、当該届出に係る第六十三条の三第一項の規定による届出をした者であつた法人とし、当該通知があつた日前に合併（同項の規定による届出をした者が合併により消滅する場合の当該合併に限る。）をし、解散をし、分割により適格機関投資家等特例業務に係る事業の全部を承継させ、適格機関投資家等特例業務に係る事業の全部の譲渡をし、又は適格機関投資家等特例業務を廃止することについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of discontinuation of specially permitted services for foreign investors, etc. under Article 63-13, paragraph (3) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 63-10, paragraph (2) to the effect that it succeeded to the position of a notifier of specially permitted services for foreign investors, etc. pursuant to paragraph (1) of that Article, a notification under paragraph (3) of that Article to the effect that it falls under item (ii) of that paragraph, or a notification under paragraph (4) of that Article to the effect that the case prescribed in that paragraph applies (in the case of a notification under Article 63-10, paragraph (2) to the effect that it succeeded to the position of a notifier of specially permitted services for foreign investors, etc. pursuant to paragraph (1) of that Article or a notification under paragraph (4) of that Article to the effect that the case prescribed in that paragraph applies, the corporation that was the notifier of specially permitted services for foreign investors, etc. concerned in those notifications; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to transfer all of the business related to specially permitted services for foreign investors, etc., to merge (limited to a merger in which a notifier of specially permitted services for foreign investors, etc. is extinguished by the merger), to have all of the business related to specially permitted services for foreign investors, etc. succeeded to by another through a company split, to discontinue specially permitted services for foreign investors, etc., or to dissolve), and for whom five years have not passed since the date of the notification;
第六十三条の十三第三項の規定による海外投資家等特例業務の廃止の処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十三条の十第一項の規定により海外投資家等特例業務届出者の地位を承継した旨の同条第二項の規定による届出、同条第三項第二号に該当する旨の同項の規定による届出又は同条第四項に規定するときに該当する旨の同項の規定による届出をした法人（同条第一項の規定により海外投資家等特例業務届出者の地位を承継した旨の同条第二項の規定による届出又は同条第四項に規定するときに該当する旨の同項の規定による届出をした場合にあつては、これらの届出に係る海外投資家等特例業務届出者であつた法人とし、当該通知があつた日前に海外投資家等特例業務に係る事業の全部の譲渡をし、合併（海外投資家等特例業務届出者が合併により消滅する場合の当該合併に限る。）をし、分割により海外投資家等特例業務に係る事業の全部を承継させ、海外投資家等特例業務を廃止し、又は解散をすることについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of discontinuation of specially permitted services for foreign investors, etc. under Article 63-13, paragraph (3) as applied mutatis mutandis pursuant to Article 63-11, paragraph (2) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 50-2, paragraph (1) to the effect that it falls under any of items (iii) through (vii) of that paragraph, or a notification under Article 63-10, paragraph (3) as applied mutatis mutandis pursuant to Article 63-11, paragraph (2) to the effect that it falls under item (ii) of that paragraph (in the case of a notification under Article 50-2, paragraph (1) to the effect that it falls under any of items (iii) through (v) of that paragraph, the corporation that was the person that filed the notification under Article 63-11, paragraph (1) concerned in that notification; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to merge (limited to a merger in which a person that filed a notification under that paragraph is extinguished by the merger), to dissolve, to have all of the business related to specially permitted services for foreign investors, etc. succeeded to by another through a company split, to transfer all of the business related to specially permitted services for foreign investors, etc., or to discontinue specially permitted services for foreign investors, etc.), and for whom five years have not passed since the date of the notification;
第六十三条の十一第二項において準用する第六十三条の十三第三項の規定による海外投資家等特例業務の廃止の処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第五十条の二第一項第三号から第七号までのいずれかに該当する旨の同項の規定による届出又は第六十三条の十一第二項において準用する第六十三条の十第三項第二号に該当する旨の同項の規定による届出をした法人（第五十条の二第一項第三号から第五号までのいずれかに該当する旨の同項の規定による届出をした場合にあつては、当該届出に係る第六十三条の十一第一項の規定による届出をした者であつた法人とし、当該通知があつた日前に合併（同項の規定による届出をした者が合併により消滅する場合の当該合併に限る。）をし、解散をし、分割により海外投資家等特例業務に係る事業の全部を承継させ、海外投資家等特例業務に係る事業の全部の譲渡をし、又は海外投資家等特例業務を廃止することについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of rescission of the registration under Article 66 pursuant to Article 66-20, paragraph (1) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 66-19, paragraph (1) to the effect that it falls under item (i) or any of items (iii) through (v) of that paragraph (in the case of a notification to the effect that it falls under any of items (iii) through (v) of that paragraph, the corporation that was the financial instruments intermediary service provider concerned in the notification; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to discontinue financial instruments intermediary service, to have all of the business related to financial instruments intermediary service succeeded to by another through a company split, to transfer all of the business related to financial instruments intermediary service, to merge (limited to a merger in which a financial instruments intermediary service provider is extinguished by the merger), or to dissolve), and for whom five years have not passed since the date of the notification;
第六十六条の二十第一項の規定による第六十六条の登録の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十六条の十九第一項第一号又は第三号から第五号までのいずれかに該当する旨の同項の規定による届出をした法人（同項第三号から第五号までのいずれかに該当する旨の同項の規定による届出をした場合にあつては、当該届出に係る金融商品仲介業者であつた法人とし、当該通知があつた日前に金融商品仲介業を廃止し、分割により金融商品仲介業に係る事業の全部を承継させ、金融商品仲介業に係る事業の全部の譲渡をし、合併（金融商品仲介業者が合併により消滅する場合の当該合併に限る。）をし、又は解散することについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of rescission of the registration under Article 66-27 pursuant to Article 66-42, paragraph (1) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 66-40, paragraph (1) to the effect that it falls under any of the items of that paragraph (in the case of a notification to the effect that it falls under any of items (ii) through (iv) of that paragraph, the corporation that was the credit rating agency concerned in the notification; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to discontinue credit rating services, to have all of the business related to credit rating services succeeded to by another through a company split, to transfer all of the business related to credit rating services, to merge (limited to a merger in which a credit rating agency is extinguished by the merger), or to dissolve), and for whom five years have not passed since the date of the notification;
第六十六条の四十二第一項の規定による第六十六条の二十七の登録の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十六条の四十第一項各号のいずれかに該当する旨の同項の規定による届出をした法人（同項第二号から第四号までのいずれかに該当する旨の同項の規定による届出をした場合にあつては、当該届出に係る信用格付業者であつた法人とし、当該通知があつた日前に信用格付業を廃止し、分割により信用格付業に係る事業の全部を承継させ、信用格付業に係る事業の全部の譲渡をし、合併（信用格付業者が合併により消滅する場合の当該合併に限る。）をし、又は解散することについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of rescission of the registration under Article 66-50 pursuant to Article 66-63, paragraph (1) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 66-61, paragraph (1) to the effect that it falls under any of items (ii) through (vii) of that paragraph (in the case of a notification to the effect that it falls under any of items (iii) through (v) of that paragraph, the corporation that was the high-speed trader concerned in the notification; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to discontinue services related to high-speed trading, to merge (limited to a merger in which a high-speed trader is extinguished by the merger), to dissolve, to have all of the business related to those services succeeded to by another through a company split, or to transfer all of the business related to those services), and for whom five years have not passed since the date of the notification;
第六十六条の六十三第一項の規定による第六十六条の五十の登録の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十六条の六十一第一項第二号から第七号までのいずれかに該当する旨の同項の規定による届出をした法人（同項第三号から第五号までのいずれかに該当する旨の同項の規定による届出をした場合にあつては、当該届出に係る高速取引行為者であつた法人とし、当該通知があつた日前に高速取引行為に係る業務を廃止し、合併（高速取引行為者が合併により消滅する場合の当該合併に限る。）をし、解散をし、分割により当該業務に係る事業の全部を承継させ、又は当該業務に係る事業の全部の譲渡をすることについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of rescission of the registration under Article 66-71 pursuant to Article 66-85, paragraph (1) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 66-83, paragraph (1) to the effect that it falls under any of items (ii) through (vii) of that paragraph (in the case of a notification to the effect that it falls under any of items (iii) through (v) of that paragraph, the corporation that was the investment management-related services contractor concerned in the notification; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to discontinue investment management-related services contracting business, to merge (limited to a merger in which an investment management-related services contractor is extinguished by the merger), to dissolve, to have all of the business related to investment management-related services contracting business succeeded to by another through a company split, or to transfer all of the business related to investment management-related services contracting business), and for whom five years have not passed since the date of the notification;
第六十六条の八十五第一項の規定による第六十六条の七十一の登録の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に第六十六条の八十三第一項第二号から第七号までのいずれかに該当する旨の同項の規定による届出をした法人（同項第三号から第五号までのいずれかに該当する旨の同項の規定による届出をした場合にあつては、当該届出に係る投資運用関係業務受託業者であつた法人とし、当該通知があつた日前に投資運用関係業務受託業を廃止し、合併（投資運用関係業務受託業者が合併により消滅する場合の当該合併に限る。）をし、解散をし、分割により投資運用関係業務受託業に係る事業の全部を承継させ、又は投資運用関係業務受託業に係る事業の全部の譲渡をすることについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
a person that was an officer of a corporation that, during the period from the day on which notice under Article 15 of the Administrative Procedure Act was given regarding a disposition of rescission, under Article 38, paragraph (1) (excluding items (ii), (iii) and (v)) of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto, of the registration under Article 12 of that Act (limited to the registration related to the type of securities, etc. intermediary business operations) to the day on which the disposition is made or the decision not to make the disposition is made, filed a notification under Article 16, paragraph (3) of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto to the effect that it falls under item (iii) or any of items (v) through (vii) of that paragraph (in the case of a notification to the effect that it falls under any of items (v) through (vii) of that paragraph, the corporation that was the financial service intermediary concerned in the notification; excluding a corporation that, before the day on which the notice was given, had made a decision (meaning a decision by the organ of the corporation that is responsible for making decisions on the execution of its operations) to discontinue financial service intermediary business, to have all of the business related to financial service intermediary business succeeded to by another through a company split, to transfer all of the business related to financial service intermediary business, to merge (limited to a merger in which a financial service intermediary is extinguished by the merger), or to dissolve), and for whom five years have not passed since the date of the notification.
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。）の規定による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。）の取消しの処分に係る行政手続法第十五条の規定による通知があつた日から当該処分をする日又は処分をしないことの決定をする日までの間に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十六条第三項第三号又は第五号から第七号までのいずれかに該当する旨の同項の規定による届出をした法人（同項第五号から第七号までのいずれかに該当する旨の同項の規定による届出をした場合にあつては、当該届出に係る金融サービス仲介業者であつた法人とし、当該通知があつた日前に金融サービス仲介業を廃止し、分割により金融サービス仲介業に係る事業の全部を承継させ、金融サービス仲介業に係る事業の全部の譲渡をし、合併（金融サービス仲介業者が合併により消滅する場合の当該合併に限る。）をし、又は解散することについての決定（当該法人の業務執行を決定する機関の決定をいう。）をしていた者を除く。）の役員であつた者で、当該届出の日から五年を経過しないもの
an individual that falls under item (i), (b);
個人であつて、第一号ロに該当する者
an officer whose dismissal or removal has been ordered pursuant to the provisions of Article 52, paragraph (2), Article 60-8, paragraph (2) (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2)), Article 66-20, paragraph (2), Article 66-42, paragraph (2), Article 66-63, paragraph (2), or Article 66-85, paragraph (2), or pursuant to Article 38, paragraph (3) (excluding item (ii)) of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto, or an officer whose dismissal or removal has been ordered in a foreign country 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, for whom five years have not passed since the day of the disposition; or
第五十二条第二項、第六十条の八第二項（第六十条の十四第二項において準用する場合を含む。）、第六十六条の二十第二項、第六十六条の四十二第二項、第六十六条の六十三第二項若しくは第六十六条の八十五第二項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三項（第二号を除く。）の規定により解任若しくは解職を命ぜられた役員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解任を命ぜられた役員でその処分を受けた日から五年を経過しない者
a person that has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of any of the laws prescribed in item (i), (c) or the Act on Prevention of Unjust Acts by Organized Crime Group Members (excluding the provisions of Article 32-3, paragraph (7) and Article 32-11, paragraph (1) of that Act), or for violating the provisions of a foreign law or regulation that is equivalent to any of these laws, or committing a crime referred to in the Penal Code (Act No. 45 of 1907) or the Act on Punishment of Physical Violence and Other Acts (Act No. 60 of 1926), 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;
第一号ハに規定する法律の規定若しくは暴力団員による不当な行為の防止等に関する法律の規定（同法第三十二条の三第七項及び第三十二条の十一第一項の規定を除く。）若しくはこれらに相当する外国の法令の規定に違反し、又は刑法（明治四十年法律第四十五号）若しくは暴力行為等処罰に関する法律（大正十五年法律第六十号）の罪を犯し、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しない者
if the person is an individual, a person that falls under any of the following persons:
個人である場合においては、次のいずれかに該当する者
a person that is found not to have the sufficient knowledge and experience necessary for the execution of each of the services related to the financial instruments business subject to the application for registration;
登録申請の対象となる金融商品取引業に係る業務のそれぞれにつき、その執行について必要となる十分な知識及び経験を有していないと認められる者
a person that falls under any of (a) through (h), or (i) (excluding the part that involves the provisions of the Acts prescribed in item (i), (c)) of the preceding item, or a person that has an employee specified by Cabinet Order that falls under any of (a) through (i) of the preceding item.
a person falling under any of the following and seeking to engage in type-I financial instruments business, type-II financial instruments business, or investment management business:
第一種金融商品取引業、第二種金融商品取引業又は投資運用業を行おうとする場合にあつては、次のいずれかに該当する者
a corporation whose stated capital or contributions in total are less than the amount of money that is specified by Cabinet Order as necessary and appropriate in the public interest or for the protection of investors;
資本金の額又は出資の総額が、公益又は投資者保護のため必要かつ適当なものとして政令で定める金額に満たない法人
a corporation that does not have a business office or office in Japan;
国内に営業所又は事務所を有しない法人
a foreign corporation that has not designated a domestic representative (limited to one responsible for business at all business offices or offices that the foreign corporation operates in Japan so as to engage in type-I financial instruments business, type-II financial instruments business or investment management business); or
外国法人であつて国内における代表者（当該外国法人が第一種金融商品取引業、第二種金融商品取引業又は投資運用業を行うため国内に設ける全ての営業所又は事務所の業務を担当するものに限る。）を定めていない者
a person that has not joined an association (meaning an authorized financial instruments firms association or certified financial instruments business association prescribed in Article 78, paragraph (2) and limited to one whose main association members or members are persons that conduct the business which the applicant for registration seeks to conduct; hereinafter the same applies in this item and Article 33-5, paragraph (1), item (iv)) and that has not prepared internal rules (meaning rules with which that person or its officers or employees should comply) that have contents equivalent to the articles of incorporation or other rules (limited to those for ensuring fair and smooth purchase and sales and other transactions of securities or ensuring fair and smooth derivatives transactions, etc. as prescribed in Article 33, paragraph (3) or for protecting investors) of the association or that has not established a system for complying with the relevant internal rules;
協会（認可金融商品取引業協会又は第七十八条第二項に規定する認定金融商品取引業協会をいい、登録申請者が行おうとする業務を行う者を主要な協会員又は会員とするものに限る。以下この号及び第三十三条の五第一項第四号において同じ。）に加入しない者であつて、協会の定款その他の規則（有価証券の売買その他の取引若しくは第三十三条第三項に規定するデリバティブ取引等を公正かつ円滑にすること又は投資者の保護に関するものに限る。）に準ずる内容の社内規則（当該者又はその役員若しくは使用人が遵守すべき規則をいう。）を作成していないもの又は当該社内規則を遵守するための体制を整備していないもの
a person falling under any of the following and seeking to engage in type-I financial instruments business or investment management business:
第一種金融商品取引業又は投資運用業を行おうとする場合にあつては、次のいずれかに該当する者
a person other than a stock company (limited to one that has a board of directors, company auditors, supervisory committee, or nominating committee, etc. (meaning the nominating committee, etc. as defined in Article 2, item (xii) of the Companies Act; the same applies hereinafter)) or a corporation of the same kind as a company with a board of directors incorporated in compliance with foreign laws and regulations (if a person seeks to engage in type-I financial instruments business, limited to a person that engages in the same kind of business as type-I financial instruments business in a foreign country in compliance with foreign laws and regulations (including a person specified by Cabinet Order as equivalent to such a person));
株式会社（取締役会及び監査役、監査等委員会又は指名委員会等（会社法第二条第十二号に規定する指名委員会等をいう。以下同じ。）を置くものに限る。）又は外国の法令に準拠して設立された取締役会設置会社と同種類の法人（第一種金融商品取引業を行おうとする場合にあつては、当該外国の法令に準拠し、当該外国において第一種金融商品取引業と同種類の業務を行つている者（これに類するものとして政令で定める者を含む。）に限る。）でない者
a person whose net assets (meaning the figure arrived at when the total amount of liabilities is deducted from the total amount of assets pursuant to the provisions of Cabinet Office Order) are less than the amount of money that is specified by Cabinet Order as necessary and appropriate in the public interest or for the protection of investors;
純財産額（内閣府令で定めるところにより、資産の合計金額から負債の合計金額を控除して算出した額をいう。）が、公益又は投資者保護のため必要かつ適当なものとして政令で定める金額に満たない者
a person engaged in other business that does not fall under any of the categories of business prescribed in Article 35, paragraph (1) or business set forth in the items of Article 35, paragraph (2), and that is found to compromise investor protection due to difficulties in managing the risk of loss in connection with the relevant business;
a corporation (excluding a foreign corporation) that has a person falling under any of the following as an individual major shareholder (if the applicant is a subsidiary company of a holding company, this includes a major shareholder of the relevant holding company; the same applies in (e) and (f)):
a person specified by Cabinet Office Order as being unable to properly exercise the rights of a shareholder due to a mental or physical disorder (if the person has a proxy for exercising the rights of a shareholder due to a mental or physical disorder, limited to a person whose proxy is a person specified by that Cabinet Office Order or a person falling under any of (b) through (i) of item (ii));
心身の故障により株主の権利を適切に行使することができない者として内閣府令で定める者（心身の故障により株主の権利を行使することについて代理人を置く者にあつては、当該代理人が当該内閣府令で定める者又は第二号ロからリまでのいずれかに該当する者であるものに限る。）
a corporation (excluding a foreign corporation) that has a person falling under any of the following as a corporate major shareholder: or
法人である主要株主のうちに次のいずれかに該当する者のある法人（外国法人を除く。）
a person who has violated the provisions of the Acts prescribed in item (i), (c) or the provisions of foreign laws and regulations equivalent thereto and been sentenced to a fine (including a sentence under foreign laws and regulations equivalent thereto), and for whom five years have not passed since the day on which the execution of the sentence ended or the person ceased to be subject to execution of the sentence;
第一号ハに規定する法律の規定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しない者
a person that has, among the officers representing the corporation, a person falling under any of the following:
法人を代表する役員のうちに次のいずれかに該当する者のある者
a person specified by Cabinet Office Order as being unable to properly exercise the rights of a shareholder due to a mental or physical disorder;
心身の故障により株主の権利を適切に行使することができない者として内閣府令で定める者
a foreign corporation for which the foreign regulatory authority (meaning the foreign regulatory authority for financial instruments defined in Article 189, paragraph (1) or any other regulatory authority specified by Cabinet Order that enforces foreign laws and regulations) has not confirmed that a person equivalent to a major shareholder is unlikely to compromise the sound and appropriate operation of financial instruments business;
主要株主に準ずる者が金融商品取引業の健全かつ適切な運営に支障を及ぼすおそれがない者であることについて、外国の当局（第百八十九条第一項に規定する外国金融商品取引規制当局その他政令で定める外国の法令を執行する当局をいう。）による確認が行われていない外国法人
a person falling under any of the following if seeking to engage in type-I financial instruments business:
第一種金融商品取引業を行おうとする場合にあつては、次のいずれかに該当する者
a person whose ratio calculated based on the provisions of Article 46-6, paragraph (1) is less than 120 percent; or
第四十六条の六第一項の規定に準じて算出した比率が百二十パーセントを下回る者
a person seeking to use a trade name that another financial instruments business operator (limited to those engaged in type-I financial instruments business; the same applies in (b)) is already using or a trade name that could give rise to the misconception that it is another financial instruments business operator;
他の金融商品取引業者（第一種金融商品取引業を行う者に限る。ロにおいて同じ。）が現に用いている商号と同一の商号又は他の金融商品取引業者と誤認されるおそれのある商号を用いようとする者
a person falling under Article 66-53, item (vi), (b) or (c) or item (vii) if seeking to engage in high-speed trading as type-II financial instruments business (excluding the case of engaging in or seeking to engage in type-I financial instruments business or investment management business).
第二種金融商品取引業として高速取引行為を行おうとする場合（第一種金融商品取引業又は投資運用業を行い、又は行おうとする場合を除く。）にあつては、第六十六条の五十三第六号ロ若しくはハ又は第七号に該当する者
The term "major shareholder" as used in item (v), (d) through (f) of the preceding paragraph means a person that holds voting rights (including voting rights pertaining to shares or equity interests that cannot be asserted against the issuer pursuant to Article 147, paragraph (1) or Article 148, paragraph (1) of the Act on Book-Entry Transfer of Corporate Bonds and Shares (including as applied mutatis mutandis pursuant to Article 228, paragraph (1), Article 235, paragraph (1), Article 239, paragraph (1), and Article 276, item (ii) of that Act), and excluding the voting rights that are specified by Cabinet Office Order in consideration of the manner in which they are held and other circumstances; hereinafter referred to as "subject voting rights" in paragraph (5) and Article 32, paragraphs (1) and (4)) constituting 20 percent or more (or 15 percent or more, if a fact has occurred that is specified by Cabinet Office Order as a thing that is presumed to have a material influence on decisions about the company's financial and operational policies) of voting rights held by all of the shareholders, etc. (meaning the voting rights of all shareholders, all members, all partners, and all equity investors, and for a stock company, excluding voting rights in respect of shares that do not allow voting rights to be exercised with regard to all matters that can be resolved at a shareholders meeting, and including voting rights in respect of shares that are deemed to have voting rights pursuant to the provisions of Article 879, paragraph (3) of the Companies Act; the same applies hereinafter) of a company.
前項第五号ニからヘまでの「主要株主」とは、会社の総株主等の議決権（総株主、総社員、総会員、総組合員又は総出資者の議決権をいい、株式会社にあつては、株主総会において決議をすることができる事項の全部につき議決権を行使することができない株式についての議決権を除き、会社法第八百七十九条第三項の規定により議決権を有するものとみなされる株式についての議決権を含む。以下同じ。）の百分の二十（会社の財務及び業務の方針の決定に対して重要な影響を与えることが推測される事実として内閣府令で定める事実がある場合には、百分の十五）以上の数の議決権（社債、株式等の振替に関する法律第百四十七条第一項又は第百四十八条第一項（これらの規定を同法第二百二十八条第一項、第二百三十五条第一項、第二百三十九条第一項及び第二百七十六条第二号において準用する場合を含む。）の規定により発行者に対抗することができない株式又は持分に係る議決権を含み、保有の態様その他の事情を勘案して内閣府令で定めるものを除く。第五項並びに第三十二条第一項及び第四項において「対象議決権」という。）を保有している者をいう。
The term "holding company" as used in paragraph (1), item (v), (d) means a company for which the ratio of the total amount of the acquisition value (or any other value if it is so listed in the latest balance sheet) of shares or equity in subsidiary companies (limited to domestic companies) to the amount calculated by deducting the amount of assets specified by Cabinet Office Order (meaning the amount calculated pursuant to the provisions of Cabinet Office Order) from the total asset value (meaning the total monetary value of assets calculated by a method specified by Cabinet Office Order) exceeds 50 percent.
The term "subsidiary company" as used in paragraph (1), item (v), (d) and the preceding paragraph means a second company in which a first company holds the majority of the voting rights held by all the shareholders, etc. In such a case, a second company in which a first company and one or more of its subsidiary companies hold the majority of the voting rights held by all the shareholders, etc., or in which one or more of a first company's subsidiary companies hold the majority of the voting rights held by all the shareholders, etc., is deemed to be the subsidiary company of the relevant first company.
With regard to the application of the provisions of paragraph (2) in a case set forth in any of the following items, the person set forth in the relevant item is deemed to hold the subject voting rights prescribed in that item:
if a person has the authority to exercise the company's subject voting rights or the authority to give instructions on the exercise of the relevant voting rights based on a money trust contract or other contract or based on the provisions of the law:the relevant subject voting rights; and
if a person that is related to the relevant person through a shareholding relationship, familial relationship, or other special relationship specified by Cabinet Order, holds subject voting rights in a corporation:the subject voting rights held by the person with the special relationship to the relevant person.
株式の所有関係、親族関係その他の政令で定める特別の関係にある者が法人の対象議決権を保有する場合 当該特別の関係にある者が保有する当該対象議決権
The necessary particulars relevant to the application of the provisions of paragraph (2) and the preceding paragraph are specified by Cabinet Order.
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(Providing Investigatory Cooperation to a Foreign Regulatory Authority for Financial Instruments)
If the Prime Minister receives a request for cooperation from the foreign authority that is responsible for the enforcement of a foreign law or regulation that is equivalent to this Act…
内閣総理大臣は、この法律に相当する外国の法令を執行する当局（以下この条において「外国金融商品取引規制当局」という。）から、その所掌に属する当該この法律に相当する外国の法令を執行するために行う行政上の調査に関し、協力の要請があつた場合において、当該要請に応ずることが相当と認めるときは…
Open this provision(Registration)
A person may not engage in financial instruments business if that person has not been registered by the Prime Minister.
金融商品取引業は、内閣総理大臣の登録を受けた者でなければ、行うことができない。
Open this provision(Refusal of Registration)
a person falling under any of the following:
次のいずれかに該当する者
Open this provision(Refusal of Registration)
if the person is a corporation, a person that is found not to have secured, for each of the services related to the financial instruments business subject to the application for registration…
法人である場合においては、登録申請の対象となる金融商品取引業に係る業務のそれぞれにつき、その執行について必要となる十分な知識及び経験を有する役員（相談役、顧問その他いかなる名称を有する者であるかを問わず、当該法人に対し取締役、執行役又はこれらに準ずる者と同等以上の支配力を有するものと認められる者を含む。以下この号及び…
Open this provision(Refusal of Registration)
if the person is a corporation, a person that has an officer, or an employee specified by Cabinet Order, who falls under any of the following:
法人である場合においては、役員又は政令で定める使用人のうちに次のいずれかに該当する者のある者
Open this provision(Refusal of Registration)
a person falling under any of the following and seeking to engage in type-I financial instruments business, type-II financial instruments business, or investment management business:
第一種金融商品取引業、第二種金融商品取引業又は投資運用業を行おうとする場合にあつては、次のいずれかに該当する者
Open this provision(Refusal of Registration)
a person falling under any of the following and seeking to engage in type-I financial instruments business or investment management business:
第一種金融商品取引業又は投資運用業を行おうとする場合にあつては、次のいずれかに該当する者
Open this provision(Refusal of Registration)
The term "major shareholder" as used in item (v), (d) through (f) of the preceding paragraph means a person that holds voting rights…
前項第五号ニからヘまでの「主要株主」とは、会社の総株主等の議決権（総株主、総社員、総会員、総組合員又は総出資者の議決権をいい、株式会社にあつては、株主総会において決議をすることができる事項の全部につき議決権を行使することができない株式についての議決権を除き、会社法第八百七十九条第三項の規定により議決権を有するものとみ…
Open this provision(Refusal of Registration)
The term "holding company" as used in paragraph (1), item (v), (d) means a company for which the ratio of the total amount of the acquisition value…
第一項第五号ニの「持株会社」とは、子会社（国内の会社に限る。）の株式又は持分の取得価額（最終の貸借対照表において別に付した価額があるときは、その価額）の合計額の総資産の額（内閣府令で定める方法による資産の合計金額をいう。）から内閣府令で定める資産の額（内閣府令で定めるところにより算出した額をいう。）を除いた額に対する…
Open this provision(Refusal of Registration)
With regard to the application of the provisions of paragraph (2) in a case set forth in any of the following items, the person set forth in the relevant item is deemed to hold the subject voting…
次の各号に掲げる場合における第二項の規定の適用については、当該各号に定める対象議決権は、これを保有しているものとみなす。
Open this provision(Submission of a Statement of Holdings in Subject Voting Rights)
A person that has become the major shareholder (meaning a major shareholder as prescribed in Article 29-4, paragraph (2); hereinafter the same applies in this Section) of a financial instruments…
金融商品取引業者（第一種金融商品取引業又は投資運用業を行う者に限り、外国法人を除く。以下この款において同じ。）の主要株主（第二十九条の四第二項に規定する主要株主をいう。以下この節において同じ。）となつた者は、内閣府令で定めるところにより…
Open this provision(Submission of a Statement of Holdings in Subject Voting Rights)
The term "specified major shareholder" as used in the preceding paragraph means a person that holds subject voting rights exceeding 50 percent of voting rights held by all the shareholders…
前項の「特定主要株主」とは、会社の総株主等の議決権の百分の五十を超える対象議決権を保有している者をいう。
Open this provision(Refusal to Register a Financial Institution)
a person falling under any of the following:
次のいずれかに該当する者
Open this provision(Refusal to Register a Financial Institution)
a person that has not joined an association and that has not prepared internal rules (meaning rules with which that person or its officers or employees should comply) that have contents equivalent to…
協会に加入しない者であつて、協会の定款その他の規則（有価証券の売買その他の取引若しくはデリバティブ取引等を公正かつ円滑にすること又は投資者の保護に関するものに限る。）に準ずる内容の社内規則（当該者又はその役員若しくは使用人が遵守すべき規則をいう。）を作成していないもの又は当該社内規則を遵守するための体制を整備していな…
Open this provision(Prohibition on Engagement in Securities Services by Financial Institutions)
The provisions of Article 29 do not apply if a financial institution performs on a regular basis acts, among the following acts (hereinafter referred to as "derivatives transactions, etc.")…
第二十九条の規定は、金融機関が、次に掲げる行為（以下「デリバティブ取引等」という。）のうち第二十八条第八項第三号から第六号までに掲げるもの（以下「有価証券関連デリバティブ取引等」という。）以外のものを業として行う場合、第二条第八項第五号に掲げる行為のうち第二十八条第八項第七号に掲げるもの以外のものを業として行う場合…
Open this provision(Scope of Services for Persons Engaged in Type-I Financial Instruments Business or Investment Management Business)
A financial instruments business operator (limited to one engaged in type-I financial instruments business or investment management business; hereinafter the same applies in this Article)…
金融商品取引業者（第一種金融商品取引業又は投資運用業を行う者に限る。以下この条において同じ。）は、金融商品取引業のほか、次に掲げる行為を業として行うことその他の金融商品取引業に付随する業務を行うことができる。
Open this provision(Scope of Services for Persons Engaged in Type-I Financial Instruments Business or Investment Management Business)
A financial instruments business operator, beyond the financial instruments business and other services provided pursuant to the provisions of the preceding paragraph…
金融商品取引業者は、金融商品取引業及び前項の規定により行う業務のほか、次に掲げる業務を行うことができる。
Open this provision(Prohibited Actions)
accepting consignment of a purchase and sale of securities or a market derivatives transaction related to high-speed trading conducted by a person other than a high-speed trader…
高速取引行為者（金融商品取引業者等及び取引所取引許可業者（金融商品取引業若しくは登録金融機関業務又は取引所取引業務として高速取引行為を行う者として政令で定める者に限る。）を含む。）以外の者が行う高速取引行為に係る有価証券の売買又は市場デリバティブ取引の委託を受ける行為その他これに準ずるものとして内閣府令で定める行為
Open this provision(Capital Adequacy Ratio)
A financial instruments business operator must calculate the ratio of the sum of the amounts of its stated capital, reserve funds, and any other things specified by Cabinet Office Order less the sum…
金融商品取引業者は、資本金、準備金その他の内閣府令で定めるものの額の合計額から固定資産その他の内閣府令で定めるものの額の合計額を控除した額の、保有する有価証券の価格の変動その他の理由により発生し得る危険に対応する額として内閣府令で定めるものの合計額に対する比率（以下「自己資本規制比率」という。）を算出し…
Open this provision(Notification of Discontinuing Business)
If a financial instruments business operator, etc. comes to fall under any of the following items, the person specified in that item must notify the Prime Minister of this within 30 days from the day…
金融商品取引業者等が次の各号のいずれかに該当することとなつたときは、当該各号に定める者は、その日から三十日以内に、その旨を内閣総理大臣に届け出なければならない。
Open this provision(Notification of Discontinuing Business)
the financial instruments business operator, etc. discontinues financial instruments business, etc.:that corporation or individual;
金融商品取引業等を廃止したとき その法人又は個人
Open this provision(Notification of Discontinuing Business)
the financial instruments business operator, etc. is a corporation, and that corporation disappears in a merger:the officer that represented the corporation;
金融商品取引業者等である法人が合併により消滅したとき その法人を代表する役員であつた者
Open this provision(Notification of Discontinuing Business)
the financial instruments business operator, etc. is a corporation, and that corporation is dissolved due to an order to commence bankruptcy proceedings:the bankruptcy trustee;
金融商品取引業者等である法人が破産手続開始の決定により解散したとき その破産管財人
Open this provision(Notification of Discontinuing Business)
the financial instruments business operator, etc. is a corporation, and that corporation is dissolved for reasons other than a merger or an order to commence bankruptcy proceedings:the liquidator;
金融商品取引業者等である法人が合併及び破産手続開始の決定以外の理由により解散したとき その清算人
Open this provision(Notification of Discontinuing Business)
the financial instruments business operator, etc. is a corporation, and that corporation has the whole or part of its business succeeded to in a company split:that corporation;
金融商品取引業者等である法人が分割により事業の全部又は一部を承継させたとき その法人
Open this provision(Notification of Discontinuing Business)
the financial instruments business operator, etc. transfers the whole or part of its business:that corporation or individual; or
事業の全部又は一部を譲渡したとき その法人又は個人
Open this provision(Supervisory Measures for Registered Financial Institutions)
If the officer of a registered financial institution comes to fall under any of the categories in items (iii) through (v) of the preceding paragraph, the Prime Minister may order the registered…
内閣総理大臣は、登録金融機関の役員が、前項第三号から第五号までのいずれかに該当することとなつたときは、当該登録金融機関に対して、当該役員の解任を命ずることができる。
Open this provision(Supervisory Measures for Financial Instruments Business Operators)
If a financial instruments business operator falls under any of the following items, the Prime Minister may rescind its Article 29 registration, rescind its Article 30, paragraph (1) authorization…
内閣総理大臣は、金融商品取引業者が次の各号のいずれかに該当する場合においては、当該金融商品取引業者の第二十九条の登録を取り消し、第三十条第一項の認可を取り消し、又は六月以内の期間を定めて業務の全部若しくは一部の停止を命ずることができる。
Open this provision(Supervisory Measures for Financial Instruments Business Operators)
If the officer of a financial instruments business operator (for a foreign corporation, this is limited to an officer stationed at its domestic business office or office, and its domestic…
内閣総理大臣は、金融商品取引業者の役員（外国法人にあつては、国内における営業所若しくは事務所に駐在する役員又は国内における代表者に限る。以下この項及び次条第二項において同じ。）が、第二十九条の四第一項第二号イからリまでのいずれかに該当することとなつたとき…
Open this provision(Orders Involving the Capital Adequacy Ratio)
If the Prime Minister orders the suspension of all or part of the business pursuant to the provisions of the preceding paragraph, and finds that the capital adequacy ratio of the financial…
内閣総理大臣は、前項の規定により業務の全部又は一部の停止を命じた場合において、その日から三月を経過した日における当該金融商品取引業者の自己資本規制比率が引き続き百パーセントを下回り、かつ、当該金融商品取引業者の自己資本規制比率の状況が回復する見込みがないと認められるときは…
Open this provision(Order for Measures to Be Taken by a Designated Parent Company)
it has a person falling under any of the provisions of Article 29-4, paragraph (1), item (ii), (a) through (i) as an officer;
役員のうちに第二十九条の四第一項第二号イからリまでのいずれかに該当する者があるとき。
Open this provision(Order for Measures to Be Taken by a Designated Parent Company)
If the officer of a designated parent company (for a foreign company, this is limited to an officer stationed at its domestic offices; hereinafter the same applies in this paragraph) comes to fall…
内閣総理大臣は、指定親会社の役員（外国会社にあつては、国内における事務所に駐在する役員に限る。以下この項において同じ。）が、第二十九条の四第一項第二号イからリまでのいずれかに該当することとなつたとき、又は前項第一号に該当することとなつたときは、当該指定親会社に対して、当該役員の解任を命ずることができる。
Open this provision(Supervisory Dispositions Corresponding with the Soundness of Management)
If the Prime Minister orders a special financial instruments business operator to suspend all or part of the business pursuant to the provisions of paragraph (1)…
内閣総理大臣は、第一項の規定により特別金融商品取引業者に対しその業務の全部又は一部の停止を命じた場合において、その日から三月を経過した日において当該特別金融商品取引業者及びその子法人等の経営の健全性の状況が改善せず、かつ、改善する見込みがないと認められるときは…
Open this provisionA person that is governed by the laws and regulations of a foreign country and conducts over-the-counter derivatives transactions, etc. on a regular basis in a foreign country…
外国の法令に準拠し、外国において店頭デリバティブ取引等を業として行う者であつて、金融商品取引業者又は金融機関（銀行、協同組織金融機関その他政令で定める金融機関をいう。）のいずれにも該当しないものは、有価証券関連業を行う者を相手方とする場合その他これに準ずる場合として政令で定める場合には…
Open this provisionThe provisions of Article 60, paragraphs (2) through (4), Article 60-2 (excluding paragraph (1), items (iv), (vii) and (x)) and Article 60-3 (excluding paragraph (1), item (i), (d) and item (iii))…
第六十条第二項から第四項まで、第六十条の二（第一項第四号、第七号及び第十号を除く。）及び第六十条の三（第一項第一号ニ及び第三号を除く。）の規定は前項の許可について、第四十条の七第二項及び第六十条の四から前条までの規定は前項の許可を受けた者（以下「電子店頭デリバティブ取引等許可業者」という。）の電子店頭デリバティブ取引…
Open this provision(Acting Representatives)
If there is a vacant position for the domestic representative of a foreign securities services provider that has obtained the permission referred to in Article 60…
内閣総理大臣は、第六十条第一項の許可を受けた外国証券業者（以下「取引所取引許可業者」という。）の国内における代表者が欠けた場合において、必要があると認めるときは、一時その職務を行うべき者（次項において「職務代行者」という。）を選任することができる。
Open this provision(Validity of Permission If an Authorized Firm for On-Exchange Transactions Is Dissolved)
If an authorized firm for on-exchange transactions is dissolved, or if on-exchange transaction services are discontinued, the permission under Article 60, paragraph (1) ceases to be effective.
取引所取引許可業者が解散したとき、又は取引所取引業務を廃止したときは、第六十条第一項の許可は、その効力を失う。この場合において、その国内における代表者又は代表者であつた者は、その日から三十日以内に、その旨を内閣総理大臣に届け出なければならない。
Open this provision(Supervisory Measures for Authorized Firms for On-Exchange Transactions)
If an authorized firm for on-exchange transactions falls under any of the following items, the Prime Minister may rescind the Article 60, paragraph (1) permission of the authorized firm for…
内閣総理大臣は、取引所取引許可業者が次の各号のいずれかに該当するときは、当該取引所取引許可業者の第六十条第一項の許可を取り消し、六月以内の期間を定めて取引所取引業務の全部又は一部の停止を命じ、取引所取引業務の方法の変更を命じ、その他監督上必要な事項を命ずることができる。
Open this provision(Supervisory Measures for Authorized Firms for On-Exchange Transactions)
If the domestic representative of an authorized firm for on-exchange transactions (if the authorized firm for on-exchange transactions has a domestic office or other facilities, this includes any…
内閣総理大臣は、取引所取引許可業者の国内における代表者（国内に事務所その他の施設がある場合にあつては、当該施設に駐在する役員を含む。）が、第二十九条の四第一項第二号イからリまでのいずれかに該当することとなつたとき、又は前項第三号若しくは第五号に該当する行為をしたときは、取引所取引許可業者に対して…
Open this provision(Permission for On-Exchange Transaction Services)
Notwithstanding the provisions of Article 29 and Article 58-2, with the permission of the Prime Minister, a foreign securities services provider may engage in the purchase and sale of securities and…
外国証券業者は、第二十九条及び第五十八条の二の規定にかかわらず、内閣総理大臣の許可を受けて、金融商品取引所における有価証券の売買及び市場デリバティブ取引（有価証券等清算取次ぎ（第二条第二十七項第一号に係るものに限る。以下この項において同じ。）の委託者として当該有価証券等清算取次ぎを行う者を代理してこれらの取引を行う場…
Open this provision(Succession to the Position of a Notifier of Specially Permitted Services for Foreign Investors)
If a notifier of specially permitted services for foreign investors, etc. transfers all of its business linked with specially permitted services for foreign investors, etc.…
海外投資家等特例業務届出者が海外投資家等特例業務に係る事業の全部を譲渡したとき、又は海外投資家等特例業務届出者について合併、分割（当該事業の全部を承継させるものに限る。）若しくは相続があつたときは、当該事業の全部を譲り受けた者又は合併後存続する法人若しくは合併により設立された法人…
Open this provision(Succession to the Position of a Notifier of Specially Permitted Services for Foreign Investors)
A person that succeeds to the position of a notifier of specially permitted services for foreign investors, etc. pursuant to the provisions of the preceding paragraph must notify the Prime Minister…
前項の規定により海外投資家等特例業務届出者の地位を承継した者は、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
Open this provision(Succession to the Position of a Notifier of Specially Permitted Services for Foreign Investors)
If a notifier of specially permitted services for foreign investors, etc. comes to fall under any of the following cases, the notifier must notify the Prime Minister of this without delay:
海外投資家等特例業務届出者は、次の各号のいずれかに該当することとなつたときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
Open this provision(Succession to the Position of a Notifier of Specially Permitted Services for Foreign Investors)
the notifier discontinues specially permitted services for foreign investors, etc.; or
海外投資家等特例業務を廃止したとき。
Open this provision(Succession to the Position of a Notifier of Specially Permitted Services for Foreign Investors)
If a notifier of specially permitted services for foreign investors, etc. is a corporation, and that corporation is dissolved for reasons other than a merger…
海外投資家等特例業務届出者である法人が合併以外の事由により解散したときは、その清算人（解散が破産手続開始の決定による場合にあつては、破産管財人）は、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
Open this provision(When a Financial Instruments Business Operator Conducts Specially Permitted Services for Foreign Investors)
Notwithstanding the provisions of Article 29, a financial instruments business operator (excluding one that has obtained the registration referred to in Article 29 for performing an act set forth in…
金融商品取引業者（第六十三条の八第一項各号の行為を業として行うことについて第二十九条の登録を受けている者を除く。）は、同条の規定にかかわらず、あらかじめ、内閣府令で定めるところにより、海外投資家等特例業務を行う旨、第六十三条の九第一項第五号及び第七号に掲げる事項その他内閣府令で定める事項を内閣総理大臣に届け出て…
Open this provision(When a Financial Instruments Business Operator Conducts Specially Permitted Services for Foreign Investors)
The provisions of Article 63-9, paragraph (4), paragraph (5), paragraph (7), paragraphs (9) through (11), paragraph (3) of the preceding Article, and the following Article through Article 63-14 apply…
第六十三条の九第四項、第五項、第七項及び第九項から第十一項まで、前条第三項並びに次条から第六十三条の十四までの規定は、前項の規定による届出をした金融商品取引業者について準用する。
Open this provision(Supervisory Dispositions for Notifiers of Specially Permitted Services for Foreign Investors)
If a notifier of specially permitted services for foreign investors, etc. falls under any of the items of the preceding paragraph, and the purpose of supervision cannot be achieved by any other…
内閣総理大臣は、海外投資家等特例業務届出者が前項各号のいずれかに該当する場合であつて、他の方法により監督の目的を達成することができないときは、当該海外投資家等特例業務届出者に対し、業務の廃止を命ずることができる。
Open this provision(Succession to the Position of a Notifier of Specially Permitted Services)
If a notifier of specially permitted services transfers the whole of its business linked with specially permitted services for qualified institutional investors, etc., or is subject to a merger…
特例業務届出者が適格機関投資家等特例業務に係る事業の全部を譲渡したとき、又は特例業務届出者について合併、分割（当該事業の全部を承継させるものに限る。）若しくは相続があつたときは、当該事業の全部を譲り受けた者又は合併後存続する法人若しくは合併により設立された法人…
Open this provision(Succession to the Position of a Notifier of Specially Permitted Services)
A person that succeeds to the position of a notifier of specially permitted services pursuant to the provisions of the preceding paragraph must notify the Prime Minister of this without delay.
前項の規定により特例業務届出者の地位を承継した者は、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
Open this provision(Succession to the Position of a Notifier of Specially Permitted Services)
If a notifier of specially permitted services comes to fall under any of the following items, it must notify the Prime Minister of this without delay:
特例業務届出者は、次の各号のいずれかに該当することとなつたときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
Open this provision(Succession to the Position of a Notifier of Specially Permitted Services)
it discontinues specially permitted services for qualified institutional investors, etc.; or
適格機関投資家等特例業務を廃止したとき。
Open this provision(Succession to the Position of a Notifier of Specially Permitted Services)
If a notifier of specially permitted services is a corporation, and that corporation is dissolved for reasons other than a merger, the liquidator…
特例業務届出者である法人が合併以外の事由により解散したときは、その清算人（解散が破産手続開始の決定による場合にあつては、破産管財人）は、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
Open this provision(When a Financial Instruments Business Operator Engages in Specially Permitted Services for Qualified Institutional Investors)
Before a financial instruments business operator, etc. engages in specially permitted services for qualified institutional investors, etc.…
適格機関投資家等特例業務を行う金融商品取引業者等（第六十三条第一項各号の行為を業として行うことについて第二十九条又は第三十三条の二の登録を受けている者を除く。）は、あらかじめ、内閣府令で定めるところにより、内閣総理大臣にその旨…
Open this provision(When a Financial Instruments Business Operator Engages in Specially Permitted Services for Qualified Institutional Investors)
The provisions of Article 63, paragraphs (5), (6), (8) through (10), (12), and (13), paragraph (3) of the preceding Article, and the following Article to Article 63-6 apply mutatis mutandis to a…
第六十三条第五項、第六項、第八項から第十項まで、第十二項及び第十三項、前条第三項並びに次条から第六十三条の六までの規定は、前項の規定による届出をした金融商品取引業者等について準用する。
Open this provision(Supervisory Measures for Notifiers of Specially Permitted Services)
If a notifier of specially permitted services violates a law or regulation or a disposition made by a government agency which is based on a law or regulation…
内閣総理大臣は、特例業務届出者が適格機関投資家等特例業務に関し法令又は法令に基づいてする行政官庁の処分に違反した場合であつて、他の方法により監督の目的を達成することができないときは、当該特例業務届出者に対し、業務の廃止を命ずることができる。
Open this provision(Specially Permitted Services for Foreign Investors)
The term "specially permitted services for foreign investors, etc." as used in this Section means performing any of the following acts on a regular basis:
この節において「海外投資家等特例業務」とは、次に掲げる行為のいずれかを業として行うことをいう。
Open this provision(Notification of Specially Permitted Services for Foreign Investors)
Notwithstanding the provisions of Article 29, a person other than a financial instruments business operator and a financial institution prescribed in Article 33…
金融商品取引業者及び第三十三条第一項に規定する金融機関以外の者は、第二十九条の規定にかかわらず、あらかじめ、内閣府令で定めるところにより、次に掲げる事項を内閣総理大臣に届け出て、海外投資家等特例業務を行うことができる。ただし、次条第三項第二号に該当することとなつたときは、この限りでない。
Open this provision(Notification of Specially Permitted Services for Foreign Investors)
if the person is a corporation, a person that falls under any of the following persons:
法人である場合においては、次のいずれかに該当する者
Open this provision(Specially Permitted Services for Qualified Institutional Investors)
A person that will engage in specially permitted services for qualified institutional investors, etc. (meaning performing any of the acts set forth in the items of the preceding paragraph on a…
適格機関投資家等特例業務（前項各号に掲げる行為のいずれかを業として行うことをいう。以下同じ。）を行う者（金融商品取引業者等を除く。）は、あらかじめ、内閣府令で定めるところにより、次に掲げる事項を内閣総理大臣に届け出なければならない。
Open this provision(Specially Permitted Services for Qualified Institutional Investors)
if the person is a corporation, a person that falls under any of the following:
法人である場合においては、次のいずれかに該当する者
Open this provision(Registration)
Notwithstanding the provisions of Article 29, a person other than a bank, a cooperative financial institution, or a financial institution specified by Cabinet Order…
銀行、協同組織金融機関その他政令で定める金融機関以外の者（第一種金融商品取引業（第二十八条第一項に規定する第一種金融商品取引業をいう。以下この章において同じ。）を行う者及び登録金融機関の役員及び使用人を除く。）は、第二十九条の規定にかかわらず、内閣総理大臣の登録を受けて、金融商品仲介業を行うことができる。
Open this provision(Notification of Discontinuing Business)
If a financial instruments intermediary service provider comes to fall under any of the following items, the person specified in the relevant item must notify the Prime Minister of this within 30…
金融商品仲介業者が次の各号のいずれかに該当することとなつたときは、当該各号に定める者は、その日から三十日以内に、その旨を内閣総理大臣に届け出なければならない。
Open this provision(Notification of Discontinuing Business)
the financial instruments intermediary service provider discontinues financial instruments intermediary service…
金融商品仲介業を廃止したとき（分割により事業（金融商品仲介業に係るものに限る。以下この号において同じ。）の全部を承継させたとき、又は事業の全部を譲渡したときを含む。） その金融商品仲介業を廃止し、又は承継をさせ、若しくは譲渡をした個人又は法人
Open this provision(Notification of Discontinuing Business)
when a corporation that is a financial instruments intermediary service provider disappears in a merger:the officer that has represented the corporation;
金融商品仲介業者である法人が合併により消滅したとき その法人を代表する役員であつた者
Open this provision(Notification of Discontinuing Business)
when a corporation that is a financial instruments intermediary service provider becomes subject to an order of commencement of bankruptcy proceedings:the bankruptcy trustee;
金融商品仲介業者である法人について破産手続開始の決定があつたとき その破産管財人
Open this provision(Notification of Discontinuing Business)
when a corporation that is a financial instruments intermediary service provider is dissolved for reasons other than a merger or an order of commencement of bankruptcy proceedings:the liquidator; and
金融商品仲介業者である法人が合併及び破産手続開始の決定以外の理由により解散したとき その清算人
Open this provision(Supervisory Dispositions)
If a financial instruments intermediary service provider falls under any of the following items, the Prime Minister may rescind its Article 66 registration…
内閣総理大臣は、金融商品仲介業者が次の各号のいずれかに該当する場合においては、当該金融商品仲介業者の第六十六条の登録を取り消し、六月以内の期間を定めて業務の全部又は一部の停止を命じ、業務の方法の変更を命じ、その他監督上必要な事項を命ずることができる。
Open this provision(Supervisory Dispositions)
If the officer of a financial instruments intermediary service provider comes to fall under any of the categories in Article 29-4, paragraph (1), item (ii), (a) through (i)…
内閣総理大臣は、金融商品仲介業者の役員が、第二十九条の四第一項第二号イからリまでのいずれかに該当することとなつたとき、又は前項第三号に該当する行為をしたときは、当該金融商品仲介業者に対して、当該役員の解任を命ずることができる。
Open this provision(Registration)
A corporation engaged in credit rating services (including an organization without legal personality whose representative or administrator has been designated; hereinafter the same applies in this…
信用格付業を行う法人（法人でない団体で代表者又は管理人の定めのあるものを含む。次条第一項第二号及び第六十六条の四十七を除き、以下この章において同じ。）は、内閣総理大臣の登録を受けることができる。
Open this provision(Notification of Discontinuing Business)
If a credit rating agency comes to fall under any of the following items, the person specified in the relevant item must notify the Prime Minister of this within 30 days from the day in question:
信用格付業者が次の各号のいずれかに該当することとなつたときは、当該各号に定める者は、その日から三十日以内に、その旨を内閣総理大臣に届け出なければならない。
Open this provision(Notification of Discontinuing Business)
the credit rating agency discontinues credit rating services (including if the credit rating agency has the whole of its business (limited to business involved in credit rating services; hereinafter…
信用格付業を廃止したとき（分割により事業（信用格付業に係るものに限る。以下この条において同じ。）の全部を承継させたとき、又は事業の全部を譲渡したときを含む。） その信用格付業を廃止し、又は承継をさせ、若しくは譲渡をした法人
Open this provision(Notification of Discontinuing Business)
the credit rating agency is a corporation, and that corporation disappears in a merger:the officer that represented the corporation;
信用格付業者である法人が合併により消滅したとき その法人を代表する役員であつた者
Open this provision(Notification of Discontinuing Business)
the credit rating agency is a corporation, and that corporation is dissolved due to an order to commence bankruptcy proceedings:the bankruptcy trustee; and
信用格付業者である法人が破産手続開始の決定により解散したとき その破産管財人
Open this provision(Notification of Discontinuing Business)
the credit rating agency is a corporation, and that corporation is dissolved for reasons other than a merger or an order to commence bankruptcy proceedings:the liquidator.
信用格付業者である法人が合併及び破産手続開始の決定以外の理由により解散したとき その清算人
Open this provision(Supervisory Dispositions)
If a credit rating agency falls under any of the following items, the Prime Minister may rescind its Article 66-27 registration, or may order the suspension of all or part of the business during a…
内閣総理大臣は、信用格付業者が次の各号のいずれかに該当する場合においては、当該信用格付業者の第六十六条の二十七の登録を取り消し、又は六月以内の期間を定めて信用格付業の業務の全部若しくは一部の停止を命ずることができる。
Open this provision(Supervisory Dispositions)
If the officer of a credit rating agency (for a foreign corporation, this is limited to an officer stationed at its domestic business office or office, or its domestic representative; hereinafter the…
内閣総理大臣は、信用格付業者の役員（外国法人にあつては、国内における営業所若しくは事務所に駐在する役員又は国内における代表者に限る。以下この項において同じ。）が、第六十六条の三十第一項第三号イ若しくはロに該当することとなつたとき、第六十六条の二十七の登録当時既に同号イ若しくはロに該当していたことが判明したとき…
Open this provision(Registration)
A person other than a financial instruments business operator, etc. and authorized firm for on-exchange transactions…
金融商品取引業者等及び取引所取引許可業者（金融商品取引業若しくは登録金融機関業務又は取引所取引業務として高速取引行為を行い、又は行おうとする者に限る。）以外の者は、高速取引行為を行おうとするときは、内閣総理大臣の登録を受けなければならない。
Open this provision(Refusal of Registration)
if the applicant is a corporation, a person that falls under any of the following:
法人である場合においては、次のいずれかに該当する者
Open this provision(Refusal of Registration)
if the applicant is an individual, a person that falls under any of the following persons:
個人である場合においては、次のいずれかに該当する者
Open this provision(Refusal of Registration)
a person whose net assets (meaning the figure arrived at when the total amount of liabilities is deducted from the total amount of assets pursuant to the provisions of Cabinet Office Order) are less…
純財産額（内閣府令で定めるところにより、資産の合計金額から負債の合計金額を控除して算出した額をいう。）が、公益又は投資者保護のため必要かつ適当なものとして政令で定める金額に満たない者
Open this provision(Notification of Discontinuing Business)
If a high-speed trader comes to fall under any of the following items, the person specified in that item must notify the Prime Minister of this within 30 days from the day in question:
高速取引行為者が次の各号のいずれかに該当することとなつたときは、当該各号に定める者は、その日から三十日以内に、その旨を内閣総理大臣に届け出なければならない。
Open this provision(Notification of Discontinuing Business)
the high-speed trader discontinues services related to high-speed trading:that corporation or individual;
高速取引行為に係る業務を廃止したとき その法人又は個人
Open this provision(Notification of Discontinuing Business)
the high-speed trader is a corporation, and that corporation disappears in a merger:the officer that represented the corporation;
高速取引行為者である法人が合併により消滅したとき その法人を代表する役員であつた者
Open this provision(Notification of Discontinuing Business)
the high-speed trader is a corporation, and that corporation is dissolved due to an order to commence bankruptcy proceedings:the bankruptcy trustee;
高速取引行為者である法人が破産手続開始の決定により解散したとき その破産管財人
Open this provision(Notification of Discontinuing Business)
the high-speed trader is a corporation, and that corporation is dissolved for reasons other than a merger or an order to commence bankruptcy proceedings:the liquidator;
高速取引行為者である法人が合併及び破産手続開始の決定以外の理由により解散したとき その清算人
Open this provision(Notification of Discontinuing Business)
the high-speed trader is a corporation, and that corporation has the whole of its business succeeded to in a company split:that corporation; or
高速取引行為者である法人が分割により事業の全部を承継させたとき その法人
Open this provision(Notification of Discontinuing Business)
the high-speed trader transfers the whole of its business:that corporation or individual.
事業の全部を譲渡したとき その法人又は個人
Open this provision(Supervisory Dispositions)
If a high-speed trader falls under any of the following items, the Prime Minister may rescind its registration referred to in Article 66-50 or order the suspension of all or part of the business…
内閣総理大臣は、高速取引行為者が次の各号のいずれかに該当する場合においては、当該高速取引行為者の第六十六条の五十の登録を取り消し、又は六月以内の期間を定めて業務の全部若しくは一部の停止を命ずることができる。
Open this provision(Supervisory Dispositions)
If an officer of a high-speed trader (for a foreign corporation, this is limited to an officer stationed at its domestic business office or office and its domestic representative; hereinafter the…
内閣総理大臣は、高速取引行為者の役員（外国法人にあつては、国内における営業所若しくは事務所に駐在する役員又は国内における代表者に限る。以下この項において同じ。）が、第六十六条の五十三第五号イ（１）若しくは（２）に該当することとなつたとき…
Open this provisionRegistration
A person that conducts investment management-related services contracting business may be registered by the Prime Minister.
投資運用関係業務受託業を行う者は、内閣総理大臣の登録を受けることができる。
Open this provisionRefusal of Registration
if the person is a corporation, a person that falls under any of the following persons:
法人である場合においては、次のいずれかに該当する者
Open this provisionRegistration of a Change
If an investment management-related services contractor seeks to change the particular set forth in Article 66-72, paragraph (1), item (vi), it must obtain the registration of a change made by the…
投資運用関係業務受託業者は、第六十六条の七十二第一項第六号に掲げる事項について変更をしようとするときは、内閣府令で定めるところにより、内閣総理大臣の行う変更登録を受けなければならない。
Open this provisionNotification of Discontinuing Business
If an investment management-related services contractor comes to fall under any of the following items, the person specified in the relevant item must notify the Prime Minister to that effect within…
投資運用関係業務受託業者が次の各号のいずれかに該当することとなつたときは、当該各号に定める者は、その日から三十日以内に、その旨を内閣総理大臣に届け出なければならない。
Open this provisionNotification of Discontinuing Business
it discontinues the investment management-related services contracting business (limited to that for which it has received the Article 66-71 registration or the Article 66-75, paragraph (4)…
投資運用関係業務受託業（第六十六条の七十一の登録又は第六十六条の七十五第四項の変更登録を受けているものに限る。第六号において同じ。）を廃止したとき その法人又は個人
Open this provisionNotification of Discontinuing Business
a corporation that is an investment management-related services contractor is extinguished by a merger:the person who was an officer representing that corporation;
投資運用関係業務受託業者である法人が合併により消滅したとき その法人を代表する役員であつた者
Open this provisionNotification of Discontinuing Business
a corporation that is an investment management-related services contractor dissolves as a result of an order to commence bankruptcy proceedings:the bankruptcy trustee;
投資運用関係業務受託業者である法人が破産手続開始の決定により解散したとき その破産管財人
Open this provisionNotification of Discontinuing Business
a corporation that is an investment management-related services contractor dissolves for reasons other than a merger or an order to commence bankruptcy proceedings:the liquidator;
投資運用関係業務受託業者である法人が合併及び破産手続開始の決定以外の理由により解散したとき その清算人
Open this provisionNotification of Discontinuing Business
a corporation that is an investment management-related services contractor has another person succeed to the whole of its business…
投資運用関係業務受託業者である法人が分割により事業（投資運用関係業務受託業に係る事業に限る。次号において同じ。）の全部を承継させたとき その法人
Open this provisionNotification of Discontinuing Business
it transfers the whole of its business:that corporation or individual.
事業の全部を譲渡したとき その法人又は個人
Open this provisionSupervisory Dispositions
In the case where an investment management-related services contractor falls under any of the following items, the Prime Minister may rescind the Article 66-71 registration of that investment…
内閣総理大臣は、投資運用関係業務受託業者が次の各号のいずれかに該当する場合においては、当該投資運用関係業務受託業者の第六十六条の七十一の登録を取り消し、又は六月以内の期間を定めて投資運用関係業務受託業の業務の全部若しくは一部の停止を命ずることができる。
Open this provisionSupervisory Dispositions
If an officer of an investment management-related services contractor (for a foreign corporation, this is limited to an officer stationed at its domestic business office or office, or its domestic…
内閣総理大臣は、投資運用関係業務受託業者の役員（外国法人にあつては、国内における営業所若しくは事務所に駐在する役員又は国内における代表者に限る。以下この項において同じ。）が、第六十六条の七十四第七号イ（１）若しくは（２）に該当することとなつたとき…
Open this provision(Certification of Certified Financial Instruments Business Associations)
A general incorporated association certified pursuant to the preceding paragraph (hereinafter referred to as a "certified financial instruments business association" in this paragraph and the…
前項の規定により認定された一般社団法人（以下この項及び次条において「認定金融商品取引業協会」という。）は、次に掲げる業務を行うものとする。
Open this provision(Manner of Notifying Hearings)
In conducting hearings, an administrative agency must provide a written notice of the following matters to the person who is to be subject to an adverse disposition…
行政庁は、聴聞を行うに当たっては、聴聞を行うべき期日までに相当な期間をおいて、不利益処分の名宛人となるべき者に対し、次に掲げる事項を書面により通知しなければならない。
Open this provision(Definitions)
"company with nominating committee, etc." means any stock company which has a nominating committee, an audit committee and a remuneration committee…
指名委員会等設置会社 指名委員会、監査委員会及び報酬委員会（以下「指名委員会等」という。）を置く株式会社をいう。
Open this provision(Jurisdiction over a Special Liquidation Case)
With regard to application of the preceding two paragraphs, the shareholder prescribed by Ministry of Justice Order referred to in Article 308, paragraph (1) is deemed to have voting rights with…
前二項の規定の適用については、第三百八条第一項の法務省令で定める株主は、その有する株式について、議決権を有するものとみなす。
Open this provisionsecurities
「有価証券」
Securities as this Act defines them: the instruments listed in Article 2, paragraph (1), among them national government and local government bonds, corporate bonds, share certificates and share option certificates, preferred equity investment certificates, beneficiary certificates of investment trusts and other trusts, investment securities, certain promissory notes, mortgage securities, option certificates and depositary receipts, foreign instruments of the same nature, and other instruments a Cabinet Order (政令) specifies.
Defined inArticle 2, paragraph (1)· applies throughout the law
issuer
「発行者」
A person who issues or intends to issue securities, or for securities a Cabinet Office Order (内閣府令) specifies, the person it specifies; for rights treated as securities under Article 2, paragraph (2), the person a Cabinet Office Order specifies for each kind of right is treated as issuing them, at the time it specifies.
Defined inArticle 2, paragraph (5)
financial instruments business
「金融商品取引業」
Carrying on as a business any of the acts listed in Article 2, paragraph (8) — such as trading and brokering securities and derivatives, underwriting, handling public offerings and private placements, giving investment advice, managing investments and holding customers' money or securities — other than acts a Cabinet Order (政令) excludes as posing no risk to investor protection, and certain of those acts when banks, cooperative financial institutions (協同組織金融機関) and other financial institutions a Cabinet Order specifies carry them out.
Defined inArticle 2, paragraph (8)· applies throughout the law
financial instruments business operator
「金融商品取引業者」
A person registered by the Prime Minister under Article 29 to carry on financial instruments business (金融商品取引業).
Defined inArticle 2, paragraph (9)· applies throughout the law
financial instruments intermediary servicemachine translation
「金融商品仲介業」
Business carried on, on entrustment by a financial instruments business operator (金融商品取引業者) carrying on Type I financial instruments business or investment management business (with some exceptions for small-amount electronic offerings, unlisted securities and qualified investors) or by a registered financial institution (登録金融機関), of any of these acts on its behalf: intermediating purchases and sales of securities; intermediating the entrustment of trades on a financial instruments exchange market or a foreign financial instruments market; handling public offerings, secondary distributions or private placements of securities; and intermediating investment advisory or discretionary investment contracts, subject to an exception for investment management business that paragraph sets.
Defined inArticle 2, paragraph (11)· applies throughout the law
financial instruments intermediary service provider
「金融商品仲介業者」
A person registered by the Prime Minister under Article 66 to carry on financial instruments intermediary service (金融商品仲介業).
Defined inArticle 2, paragraph (12)· applies throughout the law
authorized 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
credit rating services
「信用格付業」
Carrying on, as a business, the assignment of credit ratings (信用格付) and providing them or making them available for inspection, other than acts a Cabinet Office Order (内閣府令) specifies as posing little risk to investor protection given whom they are made to or how.
Defined inArticle 2, paragraph (35)· applies throughout the law
credit rating agency
「信用格付業者」
A person registered with the Prime Minister under Article 66-27 to carry on credit rating services (信用格付業).
Defined inArticle 2, paragraph (36)· applies throughout the law
high-speed trading
「高速取引行為」
Buying and selling securities or conducting market derivatives transactions, entrusting either to another, or a similar act a Cabinet Order (政令) specifies, where the decision to do it is made automatically by an electronic data processing system and the information needed to carry it out is sent to a financial instruments exchange or other recipient a Cabinet Office Order (内閣府令) specifies by a method that Order sets for shortening the time sending it would normally take, other than acts a Cabinet Order exempts as posing no risk to the protection of investors.
Defined inArticle 2, paragraph (41)· applies throughout the law
high-speed trader
「高速取引行為者」
A person registered by the Prime Minister (内閣総理大臣) under Article 66-50 to carry on high-speed trading (高速取引行為).
Defined inArticle 2, paragraph (42)· applies throughout the law
investment management-related servicesmachine translation
「投資運用関係業務」
Services carried out in connection with investment management business, etc. (投資運用業等): calculating the value of the property under management (運用対象財産) from the securities and other assets in it, the interest or dividends they yield and the fees for managing it; and guiding compliance with laws and regulations, administrative dispositions under them, and articles of incorporation and other rules (法令等).
Defined inArticle 2, paragraph (43)· applies throughout the law
investment management-related services contracting businessmachine translation
「投資運用関係業務受託業」
Carrying on as a business, on entrustment by a person allowed by this Act to carry on investment management business, etc. (投資運用業等), any of the investment management-related services (投資運用関係業務) in Article 2, paragraph (43) for that person.
Defined inArticle 2, paragraph (44)· applies throughout the law
investment management-related services contractormachine translation
「投資運用関係業務受託業者」
A person registered with the Prime Minister under Article 66-71 to carry on investment management-related services contracting business (投資運用関係業務受託業).
Defined inArticle 2, paragraph (45)· applies throughout the law
electronic or magnetic recordmachine translation
「電磁的記録」
A record made in electronic, magnetic or any other form people cannot perceive directly, for use in computer processing.
Defined inArticle 13, paragraph (5)
securities, etc. intermediary businessmachine translation
「有価証券等仲介業務」
Securities, etc. intermediary business as defined in Article 11, paragraph (4) of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto (Act No. 101 of 2000); in this Act a financial service intermediary (金融サービス仲介業者) is counted only where it carries on this business.
Defined inArticle 15, paragraph (1)
officer
「役員」
A director, accounting advisor, company auditor or executive officer, or a person equivalent to one, in this Act other than Articles 163 to 167.
Defined inArticle 21, paragraph (1), item (i)· applies from here on, except in Articles 163 to 167
type-I financial instruments business
「第一種金融商品取引業」
The part of financial instruments business (金融商品取引業) that consists of carrying on, as a business, any of the acts listed in Article 28, paragraph (1), such as dealing in securities (other than most rights treated as securities) and brokerage for them, over-the-counter derivatives transactions, the underwriting of securities, and trading securities through an electronic system as Article 2, paragraph (8), item (x) describes.
Defined inArticle 28, paragraph (1)· applies only in this chapter
type-II financial instruments business
「第二種金融商品取引業」
In Chapter III, the part of financial instruments business (金融商品取引業) that consists of carrying on, as a business, any of the acts listed in Article 28, paragraph (2), such as the public offering or private placement of the securities set out in Article 2, paragraph (8), item (vii), and dealing in and brokerage for rights treated as securities under Article 2, paragraph (2).
Defined inArticle 28, paragraph (2)· applies only in this chapter
investment management business
「投資運用業」
Investment management business as defined in Article 28, paragraph (4): the part of financial instruments business (金融商品取引業) that consists in carrying on as a business the acts in Article 2, paragraph (8), items (xii), (xiv) and (xv) — managing money or other property, on investment decisions (投資判断) based on an analysis of the value, etc. of financial instruments, as an investment in securities or in rights under derivatives transactions, whether under a discretionary investment contract (投資一任契約) or an asset management contract with a registered investment corporation (登録投資法人), or for the holders of the rights items (xiv) and (xv) list who contributed it — including where a bank, a cooperative financial institution or another financial institution a Cabinet Order (政令) specifies carries them on.
Defined inArticle 28, paragraph (4)· applies only in this chapter
specially permitted services for foreign investors, etc.
「海外投資家等特例業務」
Carrying on as a business either of these: managing money contributed by foreign investors, etc. (海外投資家等) who are the only holders of partnership-type rights (Article 2, paragraph (2), items (v) and (vi)) in an investment business — leaving out special purpose companies, silent partnership operators and similar persons with other investors — where that money comes mainly from non-residents; or, in connection with that management, offering or privately placing such rights to those foreign investors, etc. in ways a Cabinet Order (政令) specifies as unlikely to let anyone else acquire them.
Defined inArticle 29-4, paragraph (1), item (i), (a)· applies only in this item and in Article 29-4, paragraph (1), item (ii)
specially permitted services for qualified institutional investors, etc.machine translation
「適格機関投資家等特例業務」
In Article 29-4, paragraph (1), items (i) and (ii), as Article 63, paragraph (2) defines it: carrying on as a business any of the acts listed in Article 63, paragraph (1): privately placing rights in collective investment schemes (Article 2, paragraph (2), item (v) or (vi)) with qualified institutional investors, etc. (適格機関投資家等), or investing money contributed by them, within the limits that paragraph sets; a person other than a financial instruments business operator, etc. may do so after notifying the Prime Minister.
Defined inArticle 29-4, paragraph (1), item (i), (a)· applies only in this item and in Article 29-4, paragraph (1), item (ii)
on-exchange transaction services
「取引所取引業務」
Carrying out on-exchange transactions (取引所取引), as a business, which a foreign securities firm (外国証券業者) may do with the Prime Minister's permission under Article 60, paragraph (1).
Defined inArticle 29-4, paragraph (1), item (i), (b), (2)· applies only in this item
authorized firm for on-exchange transactions
「取引所取引許可業者」
A foreign securities firm (外国証券業者) that holds the Prime Minister's permission under Article 60, paragraph (1) to carry on on-exchange transaction services (取引所取引業務).
Defined inArticle 29-4, paragraph (1), item (i), (b), (2)· applies only in this item and in Article 29-4, paragraph (1), item (ii); and Article 38, paragraph (1), item (viii)
business of conducting electronic over-the-counter derivatives transactions, etc.machine translation
「電子店頭デリバティブ取引等業務」
The business that a person established under foreign law, which conducts over-the-counter derivatives transactions, etc. as a business in a foreign country and is neither a financial instruments business operator nor a financial institution, may carry on with the Prime Minister's (内閣総理大臣) permission under Article 60-14, paragraph (1): regularly conducting specified over-the-counter derivatives transactions, or their intermediation, brokerage (other than brokerage for clearing of securities, etc.) or agency, using the electronic data processing system it uses in its over-the-counter derivatives business, where the counterparty is engaged in securities-related business (有価証券関連業) or in similar cases a Cabinet Order (政令) specifies.
Defined inArticle 29-4, paragraph (1), item (i), (b), (3)· applies only in this item
business operator authorized to conduct electronic over-the-counter derivatives transactions, etc.machine translation
「電子店頭デリバティブ取引等許可業者」
A person established under foreign law that has the Prime Minister's (内閣総理大臣) permission under Article 60-14, paragraph (1) to carry on the business of conducting electronic over-the-counter derivatives transactions, etc. (電子店頭デリバティブ取引等業務): regularly conducting specified over-the-counter derivatives transactions, or their intermediation, brokerage or agency, through the electronic data processing system it uses in its over-the-counter derivatives business, with counterparties engaged in securities-related business (有価証券関連業) or in similar cases a Cabinet Order (政令) specifies.
Defined inArticle 29-4, paragraph (1), item (i), (b), (3)· applies only in this item and in Article 29-4, paragraph (1), item (ii)
notifier of specially permitted servicesmachine translation
「特例業務届出者」
In Article 29-4, paragraph (1), items (i) and (ii), a person that has notified the Prime Minister under Article 63, paragraph (2) that it will carry on specially permitted services for qualified institutional investors, etc. (適格機関投資家等特例業務).
Defined inArticle 29-4, paragraph (1), item (i), (b), (4)· applies only in this item and in Article 29-4, paragraph (1), item (ii)
notifier of specially permitted services for foreign investors, etc.machine translation
「海外投資家等特例業務届出者」
In Article 29-4, paragraph (1), items (i) and (ii), a person that has notified the Prime Minister under Article 63-9, paragraph (1) that it will carry on specially permitted services for foreign investors, etc. (海外投資家等特例業務).
Defined inArticle 29-4, paragraph (1), item (i), (b), (6)· applies only in this item and in Article 29-4, paragraph (1), item (ii)
associationmachine translation
「協会」
In Article 29-4, paragraph (1), item (iv) and Article 33-5, paragraph (1), item (iv), an authorized financial instruments firms association (認可金融商品取引業協会) or a certified financial instruments business association (認定金融商品取引業協会), limited to one whose main members carry on the business that the applicant for registration intends to carry on.
Defined inArticle 29-4, paragraph (1), item (iv), (d)· applies only in this item and in Article 33-5, paragraph (1), item (iv)
nominating committees, etc.machine translation
「指名委員会等」
The three committees of a company with nominating committee, etc.: its nominating committee, audit committee and remuneration committee.
Defined inArticle 29-4, paragraph (1), item (v), (a)
major shareholder
「主要株主」
A person holding 20 percent or more (15 percent or more where a fact a Cabinet Office Order (内閣府令) specifies suggests material influence over its financial and business policies) of the voting rights of all shareholders, etc. (総株主等の議決権) of a company, counting voting rights on shares that cannot be asserted against the issuer under Article 147, paragraph (1) or Article 148, paragraph (1) of the Act on Book-Entry Transfer of Corporate Bonds and Shares and leaving out those the Order excludes, as Article 29-4, paragraph (2) defines it.
Defined inArticle 29-4, paragraph (2)
subject voting rights
「対象議決権」
In Article 29-4, paragraph (5) and Article 32, paragraphs (1) and (4), voting rights in a company counted to decide whether a person holds 20 percent or more of them (15 percent where facts set by Cabinet Office Order apply) and so is a major shareholder, including those of shares or equity that cannot be asserted against the issuer under the Act on Book-Entry Transfer of Corporate Bonds and Shares, and excluding those a Cabinet Office Order (内閣府令) excludes in view of how they are held.
Short name set inArticle 29-4, paragraph (2)· applies only in this provision and in Article 29-4, paragraph (5); and Article 32, paragraphs (1) and (4)
voting rightsmachine translation
「議決権」
From Article 29-4, paragraph (2) on, the voting rights of all the shareholders, partners, members, cooperative members or contributors of an entity (総株主等の議決権); for a stock company, not counting votes on shares that cannot be voted on any matter a shareholders' meeting may resolve, and counting votes on shares deemed to carry voting rights under Article 879, paragraph (3) of the Companies Act.
Defined inArticle 29-4, paragraph (2)
holding company
「持株会社」
In Article 29-4, paragraph (1), item (v), (d) and elsewhere in this Act, a company for which the total acquisition value (or the value given on its latest balance sheet) of the shares or equity interests (持分) it holds in its domestic subsidiary companies (子会社) exceeds 50% of its total assets, calculated as a Cabinet Office Order (内閣府令) sets, less the assets a Cabinet Office Order specifies.
Defined inArticle 29-4, paragraph (3)
subsidiary company
「子会社」
Another company in which a company holds a majority of the voting rights of all its shareholders, etc.; a company in which the company and its subsidiary companies, or those subsidiary companies alone, hold such a majority is treated as its subsidiary company too.
Defined inArticle 29-4, paragraph (4)
derivatives transactions, etc.machine translation
「デリバティブ取引等」
In Article 33, the acts its paragraph (3) lists: market derivatives transactions (市場デリバティブ取引) and the intermediation, brokerage or agency in them (or in entrusting them) listed in Article 2, paragraph (8), items (ii) and (iii); over-the-counter derivatives transactions, etc. (店頭デリバティブ取引等); and foreign market derivatives transactions (外国市場デリバティブ取引) together with the same acts in relation to them.
Short name set inArticle 33, paragraph (3)
certified financial instruments business association
「認定金融商品取引業協会」
A general incorporated association (一般社団法人) set up by financial instruments business operators that the Prime Minister has certified under Article 78, paragraph (1) to carry on the work listed in paragraph (2) of that Article for its members and the financial instruments intermediary service providers tied to them, such as guiding them to comply with the law, investigating them, resolving investors' complaints and disputes, registering sales representatives and making rules.
Short name set inArticle 78, paragraph (2)· applies only in this paragraph and in Article 78-2
value
「価額」
The price at which securities were sold, etc. or bought, etc., multiplied by the quantity, as used in working out the administrative monetary penalty (課徴金) under paragraph (1) of Articles 173, 174, 174-2 and 174-3.
Defined inArticle 173, paragraph (4)
foreign regulatory authority for financial instruments
「外国金融商品取引規制当局」
In Article 189, an authority of a foreign state that enforces that state's laws corresponding to this Act.
Short name set inArticle 189, paragraph (1)· applies only in this article
articles of incorporation
定款
A company's own basic rules, written by its founders when it is formed: at least its purpose, its trade name, where its head office is, the value of the property contributed at incorporation and who the founders are (Companies Act, Article 27). A stock company's must be certified by a notary before it takes effect (Article 30, paragraph (1)), and can later be changed by a resolution of the shareholders meeting (Article 466). Many rules in the Act apply "unless the articles of incorporation provide otherwise", so a company's articles decide a great deal of how the Act applies to it.
Written by AI using Companies Act, Arts. 26, 27, 30, 466, 575 as a reference.
assert against
対抗
To be able to rely on a right, or on a fact about it, against someone who is not a party to it. Acquiring, losing or changing a right in rem (物権) in land or a building cannot be asserted against third parties until it is registered (登記) (Civil Code, Article 177), and a registered lease of land or a building can be asserted against a person who acquires a right in rem in it, such as a buyer, and against other third parties (Article 605). The Act on Land and Building Leases lets a tenant do without registering the lease itself: a right to use land for a building (借地権) can be asserted against third parties once the tenant owns a registered building on the land (Article 10, paragraph (1)), and a building lease takes effect against anyone who later acquires a right in rem in the building, such as a new owner, once the building has been handed over (Article 31). Some rules protect only a third party who did not know: a rescission for fraud cannot be asserted against a third party who did not know of the fraud and was not careless in not knowing (善意でかつ過失がない) (Civil Code, Article 96, paragraph (3)).
Written by AI using Civil Code, Arts. 96, 177, 605 and Act on Land and Building Leases, Arts. 10, 31 as a reference.
board of directors
取締役会
The body made up of all of a stock company's directors (Companies Act, Article 362, paragraph (1)). It decides how the company's business is carried out, supervises the directors, and appoints and removes the representative directors (代表取締役) (Article 362, paragraphs (2) and (3)) — except in a company with a nominating committee and the other committees (指名委員会等設置会社), where it appoints representative executive officers (代表執行役) instead (Articles 416 and 420). Some decisions, such as disposing of important assets or borrowing a large amount, it normally may not hand to the directors (Article 362, paragraph (4)). A company with an audit and supervisory committee (監査等委員会設置会社) can hand more of them to directors (Article 399-13, paragraphs (5) and (6)), and a company with the committees hands them to executive officers (執行役) rather than directors (Article 416, paragraphs (3) and (4)). A company chooses in its articles of incorporation whether to have one (Article 326, paragraph (2)), but a public company (公開会社), among others, must (Article 327, paragraph (1)): a public company is one whose articles of incorporation let at least some of its shares change hands without the company's approval (Article 2, item (v)). A company with a board must have at least three directors (Article 331, paragraph (5)).
Written by AI using Companies Act, Arts. 2, 326, 327, 331, 362, 399-13, 416, 420 as a reference.
company auditor
監査役
An officer of a stock company, elected by the shareholders meeting (Companies Act, Article 329, paragraph (1)), whose job is to audit how the directors carry out their duties and to write an audit report on it (Article 381, paragraph (1)). Not an outside accountant — that is the financial auditor (会計監査人) — and not a director: a company auditor may not also be a director or employee of the company or its subsidiaries (Article 335, paragraph (2)). The term normally runs to the annual shareholders meeting for the last business year ending within four years of election (Article 336, paragraph (1)).
Written by AI using Companies Act, Arts. 329, 335, 336, 381 as a reference.
fine
罰金
A criminal punishment of paying money to the state, of 10,000 yen or more, or less where it is reduced (Penal Code, Article 15). It ranks below imprisonment (拘禁刑) and above penal detention (拘留) and a petty fine (科料) (Articles 9 and 10, paragraph (1)). A person who cannot pay it in full is held in a workhouse (労役場) for one day to two years, or up to three years where fines are imposed together, a period set when the sentence is passed (Article 18, paragraphs (1), (3) and (4)); not within thirty days of the sentence becoming final without the person's consent (paragraph (5)). If it is not enforced for three years after the sentence becomes final, the person is released from it by prescription (Articles 31 and 32, item (v)); the three years do not run while its execution is suspended under law or the person is abroad, and an act of execution interrupts them (Articles 33 and 34, paragraph (2)).
Written by AI using Penal Code, Arts. 9, 10, 15, 18, 31 to 34 as a reference.
director
取締役
An officer of a stock company, elected by the shareholders meeting (Companies Act, Article 329, paragraph (1)). Every stock company has at least one (Article 326, paragraph (1)). Where there is no board of directors, the directors run the company's business unless the articles of incorporation say otherwise (Article 348, paragraph (1)), and each of them represents it unless the company has chosen representative directors (代表取締役) or others to do that (Article 349, paragraphs (1) and (3)). Where there is a board (取締役会, board of directors), the directors are its members, and the board decides the business and normally chooses the representative directors from among them (Article 362). The term normally runs to the annual shareholders meeting for the last business year ending within two years of election (Article 332, paragraph (1)).
Written by AI using Companies Act, Arts. 326, 329, 332, 348, 349, 362 as a reference.
imprisonment
拘禁刑
The punishment of being held in a penal institution (刑事施設), for life or for a fixed term of one month to twenty years (Penal Code, Article 12, paragraphs (1) and (2)); a fixed term can be raised to thirty years where the punishment is aggravated, or cut below one month where it is reduced (Article 14, paragraph (2)). To help the person reform and rehabilitate, they may be made to do work or given guidance (Article 12, paragraph (3)). It ranks below the death penalty and above a fine (罰金) among the principal punishments (Articles 9 and 10, paragraph (1)). It replaced imprisonment with work (懲役) and imprisonment without work (禁錮) when the Act Partially Amending the Penal Code, etc. (Act No. 67 of 2022) came into force (Act No. 67 of 2022, Article 2), and a person sentenced to either is treated, for the rules on a person's qualifications, as sentenced to imprisonment for the same term (Act No. 68 of 2022, Article 443, paragraph (1)).
Written by AI using Penal Code, Arts. 9, 10, 12, 14, Act No. 67 of 2022, Art. 2 and Act No. 68 of 2022, Art. 443 as a reference.
Prime Minister
内閣総理大臣
The head of the Cabinet. Designated by the Diet from among its own members, and appointed by the Emperor on that designation (Articles 67 and 6). The Prime Minister appoints and may dismiss the other Ministers of State at will, and a majority of them must be members of the Diet (Article 68). No Minister of State can be subjected to legal action while in office without the Prime Minister's consent (Article 75).
Written by AI using Constitution, Arts. 6, 67, 68, 75 and Wikipedia: Prime Minister of Japan as a reference.
shareholders meeting
株主総会
The meeting of a stock company's shareholders, and the body through which they decide the company's basic matters. It elects the directors and company auditors (Companies Act, Article 329, paragraph (1)) and changes the articles of incorporation (Article 466). In a company without a board of directors it may decide any matter about the company; in one with a board, only what the Act or the articles of incorporation leave to it (Article 295). An annual shareholders meeting must be called after the end of every business year, and another may be called whenever needed (Article 296). A resolution normally passes by a majority of the votes present, with holders of a majority of the votes entitled to vote attending (Article 309, paragraph (1)).
Written by AI using Companies Act, Arts. 295, 296, 309, 329, 466 as a reference.