A financial instruments business operator, etc. must conduct its business in such a manner that the state of its business operations does not fall under any of the following items:
金融商品取引業者等は、業務の運営の状況が次の各号のいずれかに該当することのないように、その業務を行わなければならない。
its issuance of a solicitation in connection with an act that constitutes a financial instruments transaction which is found to be inappropriate in light of customer knowledge, customer experience, the state of customer assets, or the purpose for which a financial instruments transaction contract is concluded, results in or is likely to result in insufficient investor protection; and
beyond what is set forth in the preceding item, the state of business operations is such that the financial instruments business operator, etc. is found not to have taken measures to ensure the appropriate handling of customer information it has obtained in the course of the business, or business operations are otherwise in a state specified by Cabinet Office Order as one that is contrary to the public interest or that is likely to compromise the protection of investors.
前号に掲げるもののほか、業務に関して取得した顧客に関する情報の適正な取扱いを確保するための措置を講じていないと認められる状況、その他業務の運営の状況が公益に反し、又は投資者の保護に支障を生ずるおそれがあるものとして内閣府令で定める状況にあること。
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(Principle of Suitability)
its issuance of a solicitation in connection with an act that constitutes a financial instruments transaction which is found to be inappropriate in light of customer knowledge, customer experience…
金融商品取引行為について、顧客の知識、経験、財産の状況及び金融商品取引契約を締結する目的に照らして不適当と認められる勧誘を行つて投資者の保護に欠けることとなつており、又は欠けることとなるおそれがあること。
Open this provisionfinancial instruments transaction contract
「金融商品取引契約」
A contract under which a financial instruments business operator, etc. (金融商品取引業者等) carries out financial instruments transactions (金融商品取引行為) — the acts listed in the items of Article 2, paragraph (8) — with a customer as the other party or on the customer's behalf.
Short name set inArticle 34, paragraph (1)
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)