1 article

Article 57-13Notification by a Designated Parent Company

第五十七条の十三（指定親会社による書類の届出等）

A designated parent company must submit a document to the Prime Minister in which it states the following particulars, by the day on which the period specified by Cabinet Order has elapsed since the day it became subject to the designation under the provisions of paragraph (1) of the preceding Article; provided, however, that this does not apply if the designated parent company is no longer the parent company of the subject special financial instruments business operator by such day:

指定親会社は、前条第一項の規定による指定を受けた日から起算して政令で定める期間を経過する日までに、次に掲げる事項を記載した書類を内閣総理大臣に届け出なければならない。ただし、当該指定親会社が当該日までに対象特別金融商品取引業者の親会社でなくなつた場合は、この限りでない。

its trade name or name;

商号又は名称

the amount of stated capital or the total amount of contributions;

資本金の額又は出資の総額

the names of its officers;

役員の氏名又は名称

the name and location of its head office or principal office;

本店又は主たる事務所の名称及び所在地

if applicable, an indication that the group consisting of the designated parent company and its subsidiary corporations, etc. is under the supervision of an administrative organization based on other laws and regulations (including if the group is under the supervision of a foreign administrative organization or any other equivalent organization based on foreign laws and regulations) with respect to the state of its business operations and assets;

当該指定親会社及びその子法人等の集団が、その業務の運営及び財産の状況について、他の法令に基づいて行政機関の監督を受けている場合（外国の法令に基づいて外国の行政機関その他これに準ずるものの監督を受けている場合を含む。）には、その旨

the particulars specified by Cabinet Office Order as the business outline and business method of the management of the subject special financial instruments business operator's business by the designated parent company or assistance with fund procurement for the subject special financial instruments business operator by the designated parent company or its subsidiary corporation, etc.; and

当該指定親会社による対象特別金融商品取引業者の経営管理又は当該指定親会社若しくはその子法人等による対象特別金融商品取引業者に対する資金調達に関する支援の内容及び方法として内閣府令で定める事項

other particulars specified by Cabinet Office Order.

その他内閣府令で定める事項

The following documents must accompany the document referred to in the preceding paragraph:

前項の書類には、次に掲げる書類を添付しなければならない。

a document pledging that the designated parent company does not fall under the purview of Article 57-20, paragraph (1), item (i) or (iv) (in the case of a foreign company, item (i) of that paragraph); and

第五十七条の二十第一項第一号及び第四号（外国会社にあつては、同項第一号）のいずれにも該当しないことを誓約する書面

its articles of incorporation, its certificate of registered information, and other documents specified by Cabinet Office Order.

定款、登記事項証明書その他内閣府令で定める書類

As concerns the documents set forth in item (ii) of the preceding paragraph accompanying the document under paragraph (1), if the articles of incorporation have been prepared as electronic or magnetic records, such electronic or magnetic records (limited to those specified by Cabinet Office Order) may accompany that document in lieu of written documents.

前項第二号に掲げる書類を添付する場合において、定款が電磁的記録で作成されているときは、書類に代えて電磁的記録（内閣府令で定めるものに限る。）を添付することができる。

Read this with the articles around it

Search

Article 57-13Notification by a Designated Parent Company