With regard to the application of the provisions of Article 33, paragraphs (1) and (2), Article 33-2, Article 33-3, paragraph (1), Article 33-4, paragraph (1), item (i), Article 33-5, paragraph (1), item (iii), (a), Article 33-6, paragraph (1), Article 52-2, paragraph (1), item (iv), and Article 194-6, paragraph (2), if a bank or cooperative financial institution, or any other financial institution specified by Cabinet Order, is a financial institution that has obtained the authorization referred to in Article 1, paragraph (1) of the Act on Engagement in Trust Business by Financial Institutions, in Article 33, paragraph (1), the phrase "securities services or investment management business" is deemed to be replaced with "securities services"; in paragraph (2) of that Article, the phrase "transactions conducted based on its solicitation of a customer for such an order and transactions conducted upon the receipt of an order from the customer in connection with the financial institution's investment advisory business" is deemed to be replaced with "transactions conducted based on its solicitation of a customer for such an order"; in Article 33-2, the phrase "investment advisory and agency business or securities, etc. management" is deemed to be replaced with "investment advisory and agency business, investment management business (excluding the business of performing the acts set forth in Article 2, paragraph (8), item (xiv) or (xv) (limited to acts performed by holding the money or other property referred to in these provisions as trust property); the same applies hereinafter in this Chapter), or securities, etc. management"; in Article 33-3, paragraph (1), the phrase "the following particulars" is deemed to be replaced with "the following particulars and, in the case where investment management-related services are entrusted, an indication of this, the trade name, name, or personal name of the entrustee, the details of the investment management-related services to be entrusted to that entrustee, and other particulars specified by Cabinet Office Order"; in Article 33-4, paragraph (1), item (i), the phrase "set forth in the items of paragraph (1) of the preceding Article" is deemed to be replaced with "prescribed in paragraph (1) of the preceding Article"; in Article 33-5, paragraph (1), item (iii), (a), the phrase "a person found not to have secured, for each registered financial institution business, officers or employees who have sufficient knowledge and experience necessary for its execution" is deemed to be replaced with "a person found not to have secured, for each registered financial institution business, officers or employees who have sufficient knowledge and experience necessary for its execution; provided, however, that with regard to investment management-related services, in the case where the applicant for registration entrusts those investment management-related services to an investment management-related services contractor (limited to a person that has obtained the registration referred to in Article 66-71 or the registration of a change referred to in Article 66-75, paragraph (4) for performing those investment management-related services), it is to be sufficient if the applicant has secured officers or employees with the ability to appropriately supervise that business"; in Article 33-6, paragraph (1), the phrase "set forth in the items of Article 33-3, paragraph (1)" is deemed to be replaced with "prescribed in Article 33-3, paragraph (1)"; in Article 52-2, paragraph (1), item (iv), the phrase "investment advisory and agency business" is deemed to be replaced with "investment advisory and agency business or investment management business"; and in Article 194-6, paragraph (2), the phrase "set forth" is deemed to be replaced with "prescribed".
銀行、協同組織金融機関その他政令で定める金融機関が金融機関の信託業務の兼営等に関する法律第一条第一項の認可を受けた金融機関である場合における第三十三条第一項及び第二項、第三十三条の二、第三十三条の三第一項、第三十三条の四第一項第一号、第三十三条の五第一項第三号イ、第三十三条の六第一項、第五十二条の二第一項第四号並びに第百九十四条の六第二項の規定の適用については、第三十三条第一項中「有価証券関連業又は投資運用業」とあるのは「有価証券関連業」と、同条第二項中「行われるもの及び当該金融機関が行う投資助言業務に関しその顧客から注文を受けて行われるもの」とあるのは「行われるもの」と、第三十三条の二中「投資助言・代理業若しくは有価証券等管理業務」とあるのは「投資助言・代理業、投資運用業(第二条第八項第十四号又は第十五号に掲げる行為(これらの規定の金銭その他の財産を信託財産として所有して行うものに限る。)を行う業務を除く。以下この章において同じ。)若しくは有価証券等管理業務」と、第三十三条の三第一項中「事項を」とあるのは「事項並びに投資運用関係業務を委託する場合においては、その旨並びに委託先の商号、名称又は氏名及び当該委託先に委託する投資運用関係業務の内容その他内閣府令で定める事項を」と、第三十三条の四第一項第一号中「前条第一項各号に掲げる」とあるのは「前条第一項に規定する」と、第三十三条の五第一項第三号イ中「認められる者」とあるのは「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。」と、第三十三条の六第一項中「第三十三条の三第一項各号に掲げる」とあるのは「第三十三条の三第一項に規定する」と、第五十二条の二第一項第四号中「投資助言・代理業」とあるのは「投資助言・代理業又は投資運用業」と、第百九十四条の六第二項中「掲げる事項」とあるのは「規定する事項」とする。
The provisions of Article 29 do not apply if a person set forth in any of the following items acts as the agent for a registered financial institution in providing the services prescribed in the relevant item (hereinafter referred to as "specified financial instruments business" in this Article) pursuant to the provisions of Cabinet Order. In this case, the person that provides specified financial instruments business is deemed to be an employee of the registered financial institution that the person acts as the agent for, and the provisions of this Act apply:
a person that acts as the agent for a registered financial institution and that is specified by Cabinet Order:the business of performing acts specified in Article 33, paragraph (2), item (ii) with regard to securities set forth in that item;
登録金融機関の代理を行う者のうち政令で定める者 第三十三条第二項第二号に掲げる有価証券につき同号に定める行為を行う業務
a person that acts as agent for a registered financial institution and that is set forth in the following: among transactions set forth in Article 2, paragraph (22), item (ii) that are connected with the financial indexes set forth in Article 2, paragraph (25), item (ii), the business of performing acts in which the registered financial institution promises to receive money from the other party to a transaction and to pay the other party the amount of money calculated based on the difference between the agreed figure and the actual figure (but only if that other party has no risk of incurring a loss exceeding the amount of money the other party has paid in advance due to the fluctuation of a financial index set forth in Article 2, paragraph (25), item (ii)):
登録金融機関の代理を行う者のうち次に掲げる者 第二条第二十五項第二号に掲げる金融指標に係る同条第二十二項第二号に掲げる取引のうち、当該登録金融機関が当該取引の相手方から金銭を受領し、これに対して約定数値と現実数値の差に基づいて算出される金銭を支払うことを約する行為(同条第二十五項第二号に掲げる金融指標に係る変動により当該相手方があらかじめ支払つた金銭の額を上回る損失を受けるおそれがないものに限る。)を行う業務
a non-life insurance agent (meaning a non-life insurance agent as prescribed in Article 2, paragraph (21) of the Insurance Business Act; hereinafter the same applies in this item) that is an individual;
個人である損害保険代理店(保険業法第二条第二十一項に規定する損害保険代理店をいう。以下この号において同じ。)
the employee of an individual non-life insurance agent, for which the notification under the provisions of Article 302 of the Insurance Business Act has been made;
個人である損害保険代理店の使用人のうち保険業法第三百二条の規定による届出が行われているもの
the officer or employee of a corporate non-life insurance agent, for which a notification under the provisions of Article 302 of the Insurance Business Act has been made; and
an officer that holds the authority of representation for a corporate non-life insurance agent.
A registered financial institution for which a person that provides specified financial instruments business acts as an agent is liable for the damages that the person causes to a customer in connection with specified financial instruments transaction services; provided, however, that this does not apply if the registered financial institution exercises due care in appointing the person, and endeavors to prevent the damage that the person causes to a customer in connection with the specified financial instruments business that the person performs.
特定金融商品取引業務を行う者が代理する登録金融機関は、その者が特定金融商品取引業務につき顧客に加えた損害を賠償する責任を負う。ただし、当該登録金融機関がその者の選任につき相当の注意をし、かつ、その者の行う特定金融商品取引業務につき顧客に加えた損害の発生の防止に努めたときは、この限りでない。
Read this with the articles around it
(Consultation with the Minister of Agriculture, Forestry and Fisheries and the Minister of Economy, Trade and Industry)
If the Prime Minister makes the registration referred to in Article 29 or Article 33-2 or accepts a notification referred to in Article 31, paragraph (1) or Article 33-6…
内閣総理大臣は、次の各号に掲げる行為を業として行おうとする者について、第二十九条若しくは第三十三条の二の登録を行い、又は第三十一条第一項若しくは第三十三条の六第一項の届出を受理した場合には、当該者に係る第二十九条の二第一項又は第三十三条の三第一項に掲げる事項を経済産業大臣に通知するものとする。
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a transaction comprising the parties' promises to pay and receive an amount of money calculated based on the difference between the agreed figure…
約定数値(第二十四項第三号の三又は第五号に掲げる金融商品に係る金融指標の数値を除く。)と現実数値(これらの号に掲げる金融商品に係る金融指標の数値を除く。)の差に基づいて算出される金銭の授受を約する取引又はこれに類似する取引
Open this provision(Definitions)
the numerical values associated with the results of meteorological observations published by the meteorological agency and others;
気象庁その他の者が発表する気象の観測の成果に係る数値
Open this provision(Definitions)
the management (excluding management that falls under the category of act set forth in item (xii)) of money or other property contributed by a person that holds rights indicated on the securities…
金融商品の価値等の分析に基づく投資判断に基づいて有価証券又はデリバティブ取引に係る権利に対する投資として、第一項第十号に掲げる有価証券に表示される権利その他の政令で定める権利を有する者から拠出を受けた金銭その他の財産の運用を行うこと(第十二号に掲げる行為に該当するものを除く。)。
Open this provision(Definitions)
the management (excluding management that falls under the category of act set forth in item (xii) or the preceding item) of money or other property invested or contributed by a person that holds the…
金融商品の価値等の分析に基づく投資判断に基づいて主として有価証券又はデリバティブ取引に係る権利に対する投資として、次に掲げる権利その他政令で定める権利を有する者から出資又は拠出を受けた金銭その他の財産の運用を行うこと(第十二号及び前号に掲げる行為に該当するものを除く。)。
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(Registration of Financial Institutions)
A financial institution must be registered by the Prime Minister if it seeks to perform any of the following acts on a regular basis, or if it seeks to provide investment advisory and agency business…
金融機関は、次に掲げる行為のいずれかを業として行おうとするとき、又は投資助言・代理業若しくは有価証券等管理業務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(Application for the Registration of a Financial Institution)
A person seeking the registration referred to in the preceding Article must submit a written application for registration to the Prime Minister, in which it states the following particulars:
前条の登録を受けようとする者は、次に掲げる事項を記載した登録申請書を内閣総理大臣に提出しなければならない。
Open this provision(Registration in a Financial Institutions Register)
the particulars set forth in the items of paragraph (1) of the preceding Article; and
前条第一項各号に掲げる事項
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(Notification of a Change)
If the particulars set forth in the items of Article 33-3, paragraph (1) changes, the registered financial institution must notify the Prime Minister of this within two weeks from the day of the…
登録金融機関は、第三十三条の三第一項各号に掲げる事項について変更があつたときは、その日から二週間以内に、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(Special Provisions on Cases in Which Trust Business Is Conducted)
With regard to the application of the provisions of Article 33, paragraphs (1) and (2), Article 33-2, Article 33-3, paragraph (1), Article 33-4, paragraph (1), item (i), Article 33-5, paragraph (1)…
銀行、協同組織金融機関その他政令で定める金融機関が金融機関の信託業務の兼営等に関する法律第一条第一項の認可を受けた金融機関である場合における第三十三条第一項及び第二項、第三十三条の二、第三十三条の三第一項、第三十三条の四第一項第一号、第三十三条の五第一項第三号イ、第三十三条の六第一項…
Open this provision(Special Provisions on Cases in Which Trust Business Is Conducted)
a person that acts as agent for a registered financial institution and that is set forth in the following: among transactions set forth in Article 2, paragraph (22)…
登録金融機関の代理を行う者のうち次に掲げる者 第二条第二十五項第二号に掲げる金融指標に係る同条第二十二項第二号に掲げる取引のうち、当該登録金融機関が当該取引の相手方から金銭を受領し…
Open this provision(Prohibition on Engagement in Securities Services by Financial Institutions)
It is prohibited for a bank or cooperative financial institution, or for any other 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(以下この条及び次条において「金融機関」という。)は、有価証券関連業又は投資運用業を行つてはならない。ただし、有価証券関連業については、金融機関が他の法律の定めるところにより投資の目的をもつて…
Open this provision(Prohibition on Engagement in Securities Services by Financial Institutions)
The provisions of the main clause of the preceding paragraph do not apply if a financial institution conducts brokerage with written orders…
前項本文の規定は、金融機関が、書面取次ぎ行為(顧客の書面による注文を受けてその計算において有価証券の売買又は有価証券関連デリバティブ取引を行うことをいい、当該注文に関する顧客に対する勧誘に基づき行われるもの及び当該金融機関が行う投資助言業務に関しその顧客から注文を受けて行われるものを除く。次条第一号において同じ。)又…
Open this provision(Prohibition on Engagement in Securities Services by Financial Institutions)
securities set forth in Article 2, paragraph (1), items (x) and (xi) (excluding short-term investment corporation bonds, etc.):acts set forth in Article 2, paragraph (8), items (i) through (iii)…
第二条第一項第十号及び第十一号に掲げる有価証券(短期投資法人債等を除く。) 同条第八項第一号から第三号までに掲げる行為及び同項第九号に掲げる行為(有価証券の売出しの取扱い及び特定投資家向け売付け勧誘等の取扱いを除く。)
Open this provision(Supervisory Measures for Registered Financial Institutions)
a fact has occurred in connection with the operation of its investment advisory and agency business, which is detrimental to the investors' interests; or
投資助言・代理業の運営に関し、投資者の利益を害する事実があるとき。
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 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 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
cooperative financial institution
「協同組織金融機関」
A cooperative financial institution as defined in Article 2, paragraph (1) of the Act on Preferred Equity Investment by Cooperative Structured Financial Institution: the Norinchukin Bank (農林中央金庫), credit cooperatives (信用協同組合), shinkin banks (信用金庫) and labour banks (労働金庫), and agricultural, fishery and fishery processing cooperatives that carry on credit business, together with their federations.
Short name set inArticle 2, paragraph (8)
registered financial institutionmachine translation
「登録金融機関」
A bank, cooperative financial institution (協同組織金融機関) or other financial institution a Cabinet Order (政令) specifies that is registered under Article 33-2.
Defined inArticle 2, paragraph (11)
actual figure
「現実数値」
The actual value of a financial index (金融指標) at a set time in the future, in a transaction in which the parties exchange money worked out from the difference between it and the figure they agreed in advance (約定数値).
Short name set inArticle 2, paragraph (21), item (ii)
agreed figure
「約定数値」
The figure the parties agree in advance as the value of a financial index (金融指標), compared with the actual figure (現実数値) of that index at a set future time to work out the money exchanged in the transaction.
Short name set inArticle 2, paragraph (21), item (ii)
financial index
「金融指標」
Prices of financial instruments (金融商品), and interest rates, etc. on financial instruments other than currencies and commodities; figures from weather observations published by the Japan Meteorological Agency (気象庁) or others; indicators that cannot practically be influenced and that greatly affect businesses, or socio-economic statistics, that a Cabinet Order (政令) specifies, with exclusions; and figures calculated from any of these.
Defined inArticle 2, paragraph (25)· 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 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
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
investment advisory and agency business
「投資助言・代理業」
In Chapter III, the part of financial instruments business (金融商品取引業) that consists in carrying on as a business either giving advice under an investment advisory contract (投資顧問契約) (Article 2, paragraph (8), item (xi)) or acting as agent or intermediary in concluding an investment advisory contract or a discretionary investment contract (投資一任契約) (item (xiii)).
Defined inArticle 28, paragraph (3)· 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
securities, etc. management
「有価証券等管理業務」
In Chapter III, the part of type-I financial instruments business made up of the acts in Article 28, paragraph (1), item (v): taking deposits of money, securities or electronically recorded transferable rights from customers in connection with one's dealings in securities and derivatives (Article 2, paragraph (8), item (xvi)), and transferring corporate bonds, shares and the like through book-entry accounts (item (xvii) of that paragraph).
Defined inArticle 28, paragraph (5)· applies only in this chapter
investment advisory business
「投資助言業務」
Within investment advisory and agency business (投資助言・代理業), the services connected with giving advice under an investment advisory contract (投資顧問契約) — the act in Article 28, paragraph (3), item (i).
Defined inArticle 28, paragraph (6)· applies only in this chapter
securities services
「有価証券関連業」
In Chapter III, carrying on as a business any of these: buying and selling securities, or intermediating, brokering (other than brokerage for clearing of securities, etc.) or acting as agent in such trades; intermediating, brokering or acting as agent for entrustments of securities trades on a financial instruments exchange market or a foreign financial instruments market; securities-related market and over-the-counter derivatives transactions, similar transactions on foreign markets, and intermediation, brokerage or agency for them; brokerage for clearing of securities trades and securities-related derivatives transactions; and underwriting, secondary distributions, and handling public offerings, secondary distributions and private placements of securities (Article 28, paragraph (8), items (i) to (viii)).
Defined inArticle 28, paragraph (8)· applies only in this chapter
specified financial instruments business
「特定金融商品取引業務」
The business that the persons set out in the items of Article 33-8, paragraph (2) — persons a Cabinet Order (政令) specifies among those acting as agent of a registered financial institution (登録金融機関), and non-life insurance agents (損害保険代理店) and certain of their officers and employees — carry on as agent of a registered financial institution: acts concerning the securities of Article 33, paragraph (2), item (ii), and transactions on a financial index of Article 2, paragraph (25), item (ii) in which the customer cannot lose more than the money it paid in advance.
Short name set inArticle 33-8, paragraph (2)· applies only in this article
non-life insurance agent
「損害保険代理店」
In Article 33-8, paragraph (2), item (ii), a non-life insurance agent as defined in Article 2, paragraph (21) of the Insurance Business Act.
Defined inArticle 33-8, paragraph (2), item (ii), (a)· applies only in this item