The provisions of Article 46-2, Article 46-3, and Article 49-3 apply mutatis mutandis to the on-exchange transaction services of an authorized firm for on-exchange transactions. In this case, in Article 46-3, paragraph (1), the phrase "within three months" is deemed to be replaced with "within the period specified by Cabinet Order".
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(Books and Documents Concerning Business)
A financial instruments business operator must prepare and preserve books and documents concerning its business pursuant to the provisions of Cabinet Office Order.
金融商品取引業者は、内閣府令で定めるところにより、その業務に関する帳簿書類を作成し、これを保存しなければならない。
Open this provision(Submission of Business Reports)
Each business year, pursuant to the provisions of Cabinet Office Order, a financial instruments business operator must prepare a business report and submit it to the Prime Minister within three…
金融商品取引業者は、事業年度ごとに、内閣府令で定めるところにより、事業報告書を作成し、毎事業年度経過後三月以内に、これを内閣総理大臣に提出しなければならない。
Open this provision(Submission of Business Reports)
Each business year, pursuant to the provisions of Cabinet Office Order, a financial instruments business operator must prepare a business report and submit it to the Prime Minister within three…
金融商品取引業者は、事業年度ごとに、内閣府令で定めるところにより、事業報告書を作成し、毎事業年度経過後三月以内に、これを内閣総理大臣に提出しなければならない。
Open this provision(Submission of Other Documents)
Each business year, pursuant to the provisions of Cabinet Office Order, a financial instruments business operator…
金融商品取引業者（第一種金融商品取引業を行う外国法人に限る。以下この款において同じ。）は、内閣府令で定めるところにより、事業年度ごとに、その行う業務の全部に関し作成した貸借対照表、損益計算書その他財務計算に関する書類及び当該事業年度における業務の概要を記載した書面を、当該事業年度経過後政令で定める期間内に…
Open this provisionon-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)
authorized firm for on-exchange transactions
「取引所取引許可業者」
A foreign securities firm (外国証券業者) that holds the Prime Minister's permission under Article 60, paragraph (1) to carry on on-exchange transaction services (取引所取引業務).
Short name set inArticle 60-4, paragraph (1)