A person seeking to obtain the permission referred to in paragraph (1) of the preceding Article must designate a domestic representative and submit a written application for permission to the Prime Minister, in which the person states the following particulars:
its trade name and the location of its head office;
商号及び本店の所在の場所
the amount of stated capital;
資本金の額
the title and name of the officer (including a representative person in the state where the business offices or offices for on-exchange transaction services are located (excluding the state where its head office is located) (hereinafter referred to as the "on-exchange transaction office"; such a representative is hereinafter referred to as the "representative in the state where the on-exchange transaction office is located" in paragraph (1), item (i), (j) of the following Article));
the following particulars concerning high-speed trading:
高速取引行為に関する次に掲げる事項
if the person conducts high-speed trading as on-exchange transaction services, an indication of this; and
beyond the case provided for in (a), if the person conducts high-speed trading, an indication of this;
イに規定する場合のほか、高速取引行為を行う場合にあつては、その旨
the name of the on-exchange transaction office and the state and place where it is located;
取引所取引店の名称並びにその所在する国及び場所
if the person engages in other business, the business type;
他に事業を行つているときは、その事業の種類
the trade name or name of the foreign financial instruments trading market operator of which the head office and the on-exchange transaction office are members (meaning the person that operates a foreign financial instruments market; hereinafter the same applies in paragraph (1), item (i), (d) and item (iii) of the following Article);
the location of its domestic offices and other facilities, if any;
国内に事務所その他の施設があるときは、その所在の場所
the name and domestic address of the domestic representative;
国内における代表者の氏名及び国内の住所
the trade name or name of the financial instruments exchange in which the applicant would become a trading participant; and
other particulars specified by Cabinet Office Order.
その他内閣府令で定める事項
The calculation of the amount of stated capital provided for in item (ii) of the preceding paragraph is specified by Cabinet Order.
前項第二号に規定する資本金の額の計算については、政令で定める。
The following documents must accompany the written application for permission referred to in paragraph (1):
第一項の許可申請書には、次に掲げる書類を添付しなければならない。
a document pledging that the applicant does not fall under the purview of paragraph (1), item (i), (a) through (h), or (j) of the following Article;
次条第一項第一号イからチまで及びヌに該当しないことを誓約する書面
a document stating the things specified by Cabinet Office Order as constituting the business outline and business methods for on-exchange transaction services at the on-exchange transaction office;
the articles of incorporation and the certificate of registered information of the applicant for permission (including any document equivalent to these), and a document giving its business outline and stating its business methods;
定款及び許可申請者の登記事項証明書（これらに準ずるものを含む。）並びに業務の内容及び方法を記載した書類
the certificate of registered information in Japan of the applicant for permission;
国内における許可申請者の登記事項証明書
the balance sheets and profit and loss statements for each business year ending during the latest three years; and
直近三年間に終了した各事業年度に関する貸借対照表及び損益計算書
other documents specified by Cabinet Office Order.
その他内閣府令で定める書類
Read this with the articles around it
(Application for Permission for On-Exchange Transaction Services)
A person seeking to obtain the permission referred to in paragraph (1) of the preceding Article must designate a domestic representative and submit a written application for permission to the Prime…
前条第一項の許可を受けようとする者は、国内における代表者を定め、次に掲げる事項を記載した許可申請書を内閣総理大臣に提出しなければならない。
Open this provision(Application for Permission for On-Exchange Transaction Services)
the amount of stated capital;
資本金の額
Open this provision(Requirement to Refuse Permission for On-Exchange Transaction Services)
The Prime Minister must refuse permission if the application for permission referred to in the provisions of paragraph (1) of the preceding Article falls under any of the following items:
内閣総理大臣は、前条第一項の規定による許可の申請が次の各号のいずれかに該当するときは、その許可を拒否しなければならない。
Open this provision(Requirement to Refuse Permission for On-Exchange Transaction Services)
the applicant for permission falls under any of the following:
許可申請者が次のいずれかに該当するとき。
Open this provision(Requirement to Refuse Permission for On-Exchange Transaction Services)
the foreign financial instruments trading market operator of which the on-exchange transaction office of the applicant for permission is a member and the financial instruments exchange in which the…
許可申請者の取引所取引店が加入している外国金融商品取引市場開設者と当該許可申請者が取引参加者となる金融商品取引所との間で情報の提供に関する取決めの締結その他の当該金融商品取引所によるこの法律及びこの法律に基づく命令又は定款その他の規則により認められた権能を行使するための措置が講じられていないとき。
Open this provision(Permission for On-Exchange Transaction Services)
Notwithstanding the provisions of Article 29 and Article 58-2, with the permission of the Prime Minister, a foreign securities services provider may engage in the purchase and sale of securities and…
外国証券業者は、第二十九条及び第五十八条の二の規定にかかわらず、内閣総理大臣の許可を受けて、金融商品取引所における有価証券の売買及び市場デリバティブ取引（有価証券等清算取次ぎ（第二条第二十七項第一号に係るものに限る。以下この項において同じ。）の委託者として当該有価証券等清算取次ぎを行う者を代理してこれらの取引を行う場…
Open this provisionforeign financial instruments market
「外国金融商品市場」
A market located in a foreign state that is similar to a financial instruments exchange market (取引所金融商品市場).
Defined inArticle 2, paragraph (8), item (iii), (b)
financial instruments exchange
「金融商品取引所」
A membership corporation (金融商品会員制法人) or stock company (株式会社) licensed by the Prime Minister under Article 80, paragraph (1) to open a financial instruments market (金融商品市場).
Defined inArticle 2, paragraph (16)· applies throughout the law
trading participant
「取引参加者」
A person that may take part in purchases and sales of securities or market derivatives transactions (市場デリバティブ取引) on a financial instruments exchange market (取引所金融商品市場) under a trading qualification granted under Article 112, paragraph (1) or (2) or Article 113, paragraph (1) or (2).
Defined inArticle 2, paragraph (19)· applies throughout the law
high-speed trading
「高速取引行為」
Buying and selling securities or conducting market derivatives transactions, entrusting either to another, or a similar act a Cabinet Order (政令) specifies, where the decision to do it is made automatically by an electronic data processing system and the information needed to carry it out is sent to a financial instruments exchange or other recipient a Cabinet Office Order (内閣府令) specifies by a method that Order sets for shortening the time sending it would normally take, other than acts a Cabinet Order exempts as posing no risk to the protection of investors.
Defined inArticle 2, paragraph (41)· applies throughout the law
officer
「役員」
A director, accounting advisor, company auditor or executive officer, or a person equivalent to one, in this Act other than Articles 163 to 167.
Defined inArticle 21, paragraph (1), item (i)· applies from here on, except in Articles 163 to 167
domestic representative
「代表者」
In Section 5 of Chapter 3, a foreign securities firm's (外国証券業者) representative in Japan as defined in Article 817, paragraph (1) of the Companies Act.
Defined inArticle 59-4, paragraph (1), item (iii)· applies only in this section
on-exchange transaction services
「取引所取引業務」
Carrying out on-exchange transactions (取引所取引), as a business, which a foreign securities firm (外国証券業者) may do with the Prime Minister's permission under Article 60, paragraph (1).
Short name set inArticle 60, paragraph (1)
on-exchange transaction officemachine translation
「取引所取引店」
A business office or other office of a foreign securities firm (外国証券業者) at which it carries on on-exchange transaction services (取引所取引業務).
Short name set inArticle 60-2, paragraph (1), item (iii)
representative in the state where the on-exchange transaction office is locatedmachine translation
「取引所取引店所在国における代表者」
In Article 60-2, paragraph (1), item (iii) and Article 60-3, paragraph (1), item (i)(j), a foreign securities firm's (外国証券業者) representative in a country, other than that of its head office, where one of its on-exchange transaction offices (取引所取引店) is located.
Short name set inArticle 60-2, paragraph (1), item (iii)· applies only in this provision and in Article 60-3, paragraph (1), item (i), (j)
foreign financial instruments trading market operatormachine translation
「外国金融商品取引市場開設者」
A person that operates a foreign financial instruments market (外国金融商品市場).
Defined inArticle 60-2, paragraph (1), item (vii)· applies only in this provision and in Article 60-3, paragraph (1), item (iii); and Article 60-3, paragraph (1), item (i), (d)
articles of incorporation
定款
A company's own basic rules, written by its founders when it is formed: at least its purpose, its trade name, where its head office is, the value of the property contributed at incorporation and who the founders are (Companies Act, Article 27). A stock company's must be certified by a notary before it takes effect (Article 30, paragraph (1)), and can later be changed by a resolution of the shareholders meeting (Article 466). Many rules in the Act apply "unless the articles of incorporation provide otherwise", so a company's articles decide a great deal of how the Act applies to it.
Written by AI using Companies Act, Arts. 26, 27, 30, 466, 575 as a reference.
Prime Minister
内閣総理大臣
The head of the Cabinet. Designated by the Diet from among its own members, and appointed by the Emperor on that designation (Articles 67 and 6). The Prime Minister appoints and may dismiss the other Ministers of State at will, and a majority of them must be members of the Diet (Article 68). No Minister of State can be subjected to legal action while in office without the Prime Minister's consent (Article 75).
Written by AI using Constitution, Arts. 6, 67, 68, 75 and Wikipedia: Prime Minister of Japan as a reference.