A financial instruments business operator, etc. must not, for any reason, receive a deposit of money or securities from a customer, or have a person specified by Cabinet Order as being closely related to the financial instruments business operator, etc. deposit a customer's money or securities, in connection with the investment management business it conducts (limited to the business of performing the acts specified in Article 2, paragraph (8), item (xii); hereinafter the same applies in this and the following Articles), unless it does so as securities, etc. management, or unless it does so in a case that is specified by Cabinet Order; provided, however, that this does not apply if the financial instruments business operator, etc. performs any of the acts set forth in Article 2, paragraph (8), items (i) through (iv) or commodity-related market derivatives transactions in connection with its investment management business on behalf of a customer, and such a deposit is necessary for the settlement of the transaction conducted through such an act.
金融商品取引業者等は、有価証券等管理業務として行う場合その他政令で定める場合を除くほか、その行う投資運用業（第二条第八項第十二号に掲げる行為を行う業務に限る。以下この条及び次条において同じ。）に関して、いかなる名目によるかを問わず、顧客から金銭若しくは有価証券の預託を受け、又は当該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に顧客の金銭若しくは有価証券を預託させてはならない。ただし、当該金融商品取引業者等がその行う投資運用業に関し、顧客のために同項第一号から第四号までに掲げる行為又は商品関連市場デリバティブ取引を行う場合において、これらの行為による取引の決済のために必要なときは、この限りでない。
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(Definitions)
the purchase and sale of securities (excluding those falling under the category of derivatives transactions; the same applies hereinafter), market derivatives transactions…
有価証券の売買（デリバティブ取引に該当するものを除く。以下同じ。）、市場デリバティブ取引（金融商品（第二十四項第三号の三に掲げるものに限る。）又は金融指標（当該金融商品の価格及びこれに基づいて算出した数値に限る。）に係る市場デリバティブ取引（以下「商品関連市場デリバティブ取引」という。）を除く。）又は外国市場デリバテ…
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conclusion of the following contracts, and the management of money or any other property (including instructions for that management; the same applies hereinafter), based on such contract…
次に掲げる契約を締結し、当該契約に基づき、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、金銭その他の財産の運用（その指図を含む。以下同じ。）を行うこと。
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intermediation, brokerage (excluding brokerage for clearing of securities, etc.), or agency for the purchase and sale of securities, market derivatives transactions…
有価証券の売買、市場デリバティブ取引又は外国市場デリバティブ取引の媒介、取次ぎ（有価証券等清算取次ぎを除く。）又は代理（有価証券の売買の媒介、取次ぎ又は代理にあつては、第十号に掲げるものを除く。）
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intermediation, brokerage, or agency for entrustment of the following transactions:
次に掲げる取引の委託の媒介、取次ぎ又は代理
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over-the-counter derivatives transactions or intermediation, brokerage (excluding brokerage for clearing of securities, etc.), or agency for them…
店頭デリバティブ取引又はその媒介、取次ぎ（有価証券等清算取次ぎを除く。）若しくは代理（以下「店頭デリバティブ取引等」という。）
Open this provision(Prohibition on Receiving Deposits of Money or Securities)
A financial instruments business operator, etc. must not, for any reason, receive a deposit of money or securities from a customer, or have a person specified by Cabinet Order as being closely…
金融商品取引業者等は、有価証券等管理業務として行う場合その他政令で定める場合を除くほか、その行う投資運用業（第二条第八項第十二号に掲げる行為を行う業務に限る。以下この条及び次条において同じ。）に関して、いかなる名目によるかを問わず、顧客から金銭若しくは有価証券の預託を受け…
Open this provision(Prohibition on the Lending of Money or Securities)
A financial instruments business operator, etc. must not lend money or securities to a customer or perform intermediation, brokerage, or agency for a third party's lending of money or securities to a…
金融商品取引業者等は、その行う投資運用業に関して、顧客に対し金銭若しくは有価証券を貸し付け、又は顧客への第三者による金銭若しくは有価証券の貸付けにつき媒介、取次ぎ若しくは代理をしてはならない。
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
commodity-related market derivatives transactions
「商品関連市場デリバティブ取引」
A market derivatives transaction (市場デリバティブ取引) on the commodities listed in Article 2, paragraph (24), item (iii)-3, or on financial indicators limited to their prices and figures calculated from them.
Short name set inArticle 2, paragraph (8), item (i)
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
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)