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Article 53Orders Involving the Capital Adequacy Ratio

第五十三条(自己資本規制比率についての命令)

If a financial instruments business operator (limited to one engaged in type-I financial instruments business; hereinafter the same applies in this Article) violates the provisions of Article 46-6, paragraph (2) and the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister may, to the extent necessary, order a change of business methods, order assets to be deposited, or otherwise issue orders with respect to particulars that are necessary from a supervisory perspective.

内閣総理大臣は、金融商品取引業者(第一種金融商品取引業を行う者に限る。以下この条において同じ。)が第四十六条の六第二項の規定に違反している場合において、公益又は投資者保護のため必要かつ適当であると認めるときは、その必要の限度において、業務の方法の変更を命じ、財産の供託その他監督上必要な事項を命ずることができる。

If a financial instruments business operator violates the provisions of Article 46-6, paragraph (2) (but only if the capital adequacy ratio is less than 100 percent) and the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister may, to the extent necessary, order the suspension of all or part of business during a fixed period of no longer than three months.

内閣総理大臣は、金融商品取引業者が第四十六条の六第二項の規定に違反している場合(自己資本規制比率が、百パーセントを下回るときに限る。)において、公益又は投資者保護のため必要かつ適当であると認めるときは、その必要の限度において、三月以内の期間を定めて業務の全部又は一部の停止を命ずることができる。

If the Prime Minister orders the suspension of all or part of the business pursuant to the provisions of the preceding paragraph, and finds that the capital adequacy ratio of the financial instruments business operator as of the day on which three months have elapsed since the day of the order continues to be less than 100 percent and that the financial instruments business operator's capital adequacy ratio status is not likely to recover, the Prime Minister may rescind the Article 29 registration of that financial instruments business operator.

内閣総理大臣は、前項の規定により業務の全部又は一部の停止を命じた場合において、その日から三月を経過した日における当該金融商品取引業者の自己資本規制比率が引き続き百パーセントを下回り、かつ、当該金融商品取引業者の自己資本規制比率の状況が回復する見込みがないと認められるときは、当該金融商品取引業者の第二十九条の登録を取り消すことができる。

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