A specified financial instruments business operator, etc., pursuant to the provisions of Cabinet Office Order, must appropriately manage information connected with financial instruments services (meaning services entailing acts that constitute financial instruments transactions and any other services specified by Cabinet Office Order), and must establish a system for properly supervising the implementation status of financial instruments services and take any other measures as are necessary, in line with the transactions that the specified financial instruments business operator, etc. or its parent financial institution, etc. or subsidiary financial institution, etc. conducts, so that the interests of the customers of the financial instruments services that the specified financial instruments business operator, etc. or its subsidiary financial institution, etc. provides are not unjustly prejudiced.
特定金融商品取引業者等は、当該特定金融商品取引業者等又はその親金融機関等若しくは子金融機関等が行う取引に伴い、当該特定金融商品取引業者等又はその子金融機関等が行う金融商品関連業務（金融商品取引行為に係る業務その他の内閣府令で定める業務をいう。）に係る顧客の利益が不当に害されることのないよう、内閣府令で定めるところにより、当該金融商品関連業務に関する情報を適正に管理し、かつ、当該金融商品関連業務の実施状況を適切に監視するための体制の整備その他必要な措置を講じなければならない。
The term "specified financial instruments business operator, etc." as used in this Article means a financial instruments business operator, etc. that conducts securities services (limited to a person registered as referred to in Article 29 to engage in type-I financial instruments business), or that is specified by Cabinet Order.
この条において「特定金融商品取引業者等」とは、金融商品取引業者等のうち、有価証券関連業を行う金融商品取引業者（第一種金融商品取引業を行うことにつき第二十九条の登録を受けた者に限る。）その他の政令で定める者をいう。
The term "parent financial institution, etc." as used in paragraph (1) means, among persons that Cabinet Order specifies as persons that hold the majority of the voting rights held by all the shareholders, etc. in a specified financial instruments business operator, etc. or as persons otherwise closely related to the relevant specified financial instruments business operator, etc., a financial instruments business operator, a bank, a cooperative financial institution, or any other person engaged in a financial business specified by Cabinet Order.
第一項の「親金融機関等」とは、特定金融商品取引業者等の総株主等の議決権の過半数を保有している者その他の当該特定金融商品取引業者等と密接な関係を有する者として政令で定める者のうち、金融商品取引業者、銀行、協同組織金融機関その他政令で定める金融業を行う者をいう。
The term "subsidiary financial institution, etc." as used in paragraph (1) means, among persons that Cabinet Order specifies as persons in which a specified financial instruments business operator, etc. holds the majority of the voting rights held by all the shareholders, etc. or as persons otherwise closely related to the relevant specified financial instruments business operator, etc., a financial instruments business operator, a bank, a cooperative financial institution, or any other person engaged in a financial business specified by Cabinet Order.
第一項の「子金融機関等」とは、特定金融商品取引業者等が総株主等の議決権の過半数を保有している者その他の当該特定金融商品取引業者等と密接な関係を有する者として政令で定める者のうち、金融商品取引業者、銀行、協同組織金融機関その他政令で定める金融業を行う者をいう。
Read this with the articles around it
(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 provisionEstablishment of a System for Protecting the Customers' Interests
A specified financial instruments business operator, etc., pursuant to the provisions of Cabinet Office Order, must appropriately manage information connected with financial instruments services…
特定金融商品取引業者等は、当該特定金融商品取引業者等又はその親金融機関等若しくは子金融機関等が行う取引に伴い、当該特定金融商品取引業者等又はその子金融機関等が行う金融商品関連業務（金融商品取引行為に係る業務その他の内閣府令で定める業務をいう。）に係る顧客の利益が不当に害されることのないよう…
Open this provisionEstablishment of a System for Protecting the Customers' Interests
A specified financial instruments business operator, etc., pursuant to the provisions of Cabinet Office Order, must appropriately manage information connected with financial instruments services…
特定金融商品取引業者等は、当該特定金融商品取引業者等又はその親金融機関等若しくは子金融機関等が行う取引に伴い、当該特定金融商品取引業者等又はその子金融機関等が行う金融商品関連業務（金融商品取引行為に係る業務その他の内閣府令で定める業務をいう。）に係る顧客の利益が不当に害されることのないよう…
Open this provisioncooperative 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)
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
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
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
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)
financial instruments business operator, etc.machine translation
「金融商品取引業者等」
A financial instruments business operator (金融商品取引業者) or a registered financial institution (登録金融機関).
Defined inArticle 34, paragraph (1)
act that constitutes a financial instruments transactionmachine translation
「金融商品取引行為」
Any of the acts listed in the items of Article 2, paragraph (8): the acts that, carried on as a business, make up financial instruments business (金融商品取引業).
Defined inArticle 34, paragraph (1)
specified financial instruments business operator, etc.
「特定金融商品取引業者等」
Among financial instruments business operators, etc. (金融商品取引業者等), a financial instruments business operator that carries on securities-related business (有価証券関連業) and is registered under Article 29 for type-I financial instruments business (第一種金融商品取引業), and others a Cabinet Order (政令) specifies.
Defined inArticle 36, paragraph (2)· applies only in this article
parent financial institution, etc.machine translation
「親金融機関等」
In Article 36, paragraph (1) and Article 56-2, paragraph (3), a person that holds a majority of the voting rights of all the shareholders, etc. of a specified financial instruments business operator, etc. (特定金融商品取引業者等), or that a Cabinet Order (政令) otherwise specifies as closely related to it, and that is a financial instruments business operator (金融商品取引業者), a bank, a cooperative financial institution (協同組織金融機関) or another person carrying on a financial business a Cabinet Order specifies.
Defined inArticle 36, paragraph (3)
subsidiary financial institution, etc.machine translation
「子金融機関等」
A financial instruments business operator, bank, cooperative financial institution or other person in a financial business a Cabinet Order (政令) specifies that is one of the persons a Cabinet Order specifies as closely related to a specified financial instruments business operator, etc. (特定金融商品取引業者等), such as one in which that operator holds a majority of the voting rights of all shareholders, etc.
Defined inArticle 36, paragraph (4)