When advertising the contents of its financial instruments intermediary service or performing any similar act specified by Cabinet Office Order, a financial instruments intermediary service provider must give the following particulars, pursuant to the provisions of Cabinet Office Order:
the trade name or name of the financial instruments intermediary service provider;
当該金融商品仲介業者の商号、名称又は氏名
an indication that the financial instruments intermediary service provider is a financial instruments intermediary service provider, and its registration number; and
金融商品仲介業者である旨及び当該金融商品仲介業者の登録番号
the particulars of the contents of the financial instruments intermediary service that the financial instruments intermediary service provider engages in, which is specified by Cabinet Order as material particulars that may have an impact on customers' judgment.
When advertising the contents of its financial instruments intermediary service or engaging in any similar act specified by Cabinet Office Order, a financial instruments intermediary service provider must not make a representation that significantly conflicts with the fact of the matter or that could cause a person to have a serious misconception about the prospect of profiting from the performance of an act that constitutes a financial instruments transaction, or about any other matter that is specified by Cabinet Office Order.
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financial instruments intermediary servicemachine translation
「金融商品仲介業」
Business carried on, on entrustment by a financial instruments business operator (金融商品取引業者) carrying on Type I financial instruments business or investment management business (with some exceptions for small-amount electronic offerings, unlisted securities and qualified investors) or by a registered financial institution (登録金融機関), of any of these acts on its behalf: intermediating purchases and sales of securities; intermediating the entrustment of trades on a financial instruments exchange market or a foreign financial instruments market; handling public offerings, secondary distributions or private placements of securities; and intermediating investment advisory or discretionary investment contracts, subject to an exception for investment management business that paragraph sets.
Defined inArticle 2, paragraph (11)· applies throughout the law
financial instruments intermediary service provider
「金融商品仲介業者」
A person registered by the Prime Minister under Article 66 to carry on financial instruments intermediary service (金融商品仲介業).
Defined inArticle 2, paragraph (12)· applies throughout the law
act that constitutes a financial instruments transactionmachine translation
「金融商品取引行為」
Any of the acts listed in the items of Article 2, paragraph (8): the acts that, carried on as a business, make up financial instruments business (金融商品取引業).
Defined inArticle 34, paragraph (1)