Article 37-5Delivery of Documents in Connection with the Receipt of a Security Deposit
第三十七条の五（保証金の受領に係る書面の交付）
When a financial instruments business operator, etc. receives a security deposit that is payable by the customer (limited to those specified by Cabinet Office Order) in connection the financial instruments business that it conducts, it must immediately deliver a document stating this to the customer, pursuant to the provisions of Cabinet Office Order.
The provisions of Article 34-2, paragraph (4) apply mutatis mutandis to the delivery of a document under the preceding paragraph.
第三十四条の二第四項の規定は、前項の規定による書面の交付について準用する。
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(Cases in Which a Professional Investor Is Deemed to Be a Customer Other Than a Professional Investor)
With the consent of the applicant and pursuant to the provisions of Cabinet Order, in lieu of delivering the document under the provisions of the preceding paragraph…
金融商品取引業者等は、前項の規定による書面の交付に代えて、政令で定めるところにより、申出者の承諾を得て、当該書面に記載すべき事項を電子情報処理組織を使用する方法その他の情報通信の技術を利用する方法であつて内閣府令で定めるものにより提供することができる。
Open this provision(Delivery of Documents in Connection with the Receipt of a Security Deposit)
When a financial instruments business operator, etc. receives a security deposit that is payable by the customer (limited to those specified by Cabinet Office Order) in connection the financial…
金融商品取引業者等は、その行う金融商品取引業に関して顧客が預託すべき保証金（内閣府令で定めるものに限る。）を受領したときは、顧客に対し、直ちに、内閣府令で定めるところにより、その旨を記載した書面を交付しなければならない。
Open this provisionfinancial 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, 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)