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Article 63-5Supervisory Measures for Notifiers of Specially Permitted Services

第六十三条の五(特例業務届出者に対する監督上の処分等)

If the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors as concerns business operations of a notifier of specially permitted services, the Prime Minister may, to the extent necessary, order the notifier of specially permitted services to take measures that are necessary for improving its business operations.

内閣総理大臣は、特例業務届出者の業務の運営に関し、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、当該特例業務届出者に対し、業務の運営の改善に必要な措置をとるべきことを命ずることができる。

If a notifier of specially permitted services violates a law or regulation or a disposition made by a government agency which is based on a law or regulation, in connection with specially permitted services for qualified institutional investors, etc., the Prime Minister may order the notifier of specially permitted services to suspend all or a part of the services during a fixed period of no longer than six months.

内閣総理大臣は、特例業務届出者が適格機関投資家等特例業務に関し法令又は法令に基づいてする行政官庁の処分に違反した場合には、当該特例業務届出者に対し、六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 a notifier of specially permitted services violates a law or regulation or a disposition made by a government agency which is based on a law or regulation, in connection with specially permitted services for qualified institutional investors, etc., and the purpose of supervision cannot be achieved by any other method, the Prime Minister may order the notifier of specially permitted services to discontinue the services.

内閣総理大臣は、特例業務届出者が適格機関投資家等特例業務に関し法令又は法令に基づいてする行政官庁の処分に違反した場合であつて、他の方法により監督の目的を達成することができないときは、当該特例業務届出者に対し、業務の廃止を命ずることができる。

Irrespective of the category of proceeding for hearing statements of opinions under Article 13, paragraph (1) of the Administrative Procedure Act, before seeking to issue a disposition under the provisions of the preceding three paragraphs, the Prime Minister must conduct a hearing.

内閣総理大臣は、前三項の規定による処分をしようとするときは、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。

If the Prime Minister decides to issue a disposition under the provisions of paragraphs (1) through (3), the Prime Minister must notify the notifier of specially permitted services of this in writing.

内閣総理大臣は、第一項から第三項までの規定による処分をすることとしたときは、書面により、その旨を特例業務届出者に通知しなければならない。

If the Prime Minister orders the suspension of all or a part of specially permitted services for qualified institutional investors, etc. pursuant to paragraph (2) or discontinuation of specially permitted services for qualified institutional investors, etc. pursuant to paragraph (3), the Prime Minister must issue public notice of this pursuant to the provisions of Cabinet Office Order.

内閣総理大臣は、第二項の規定により適格機関投資家等特例業務の全部若しくは一部の停止を命じたとき、又は第三項の規定により適格機関投資家等特例業務の廃止を命じたときは、内閣府令で定めるところにより、その旨を公告しなければならない。

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