If a financial instruments intermediary service provider seeks to perform an act set forth in any of the items of Article 2, paragraph (11) (hereinafter referred to as the "intermediation for financial instruments" in this Chapter), it must clearly indicate the following particulars to customers in advance:
the trade name or the name of the entrusting financial instruments business operator, etc.;
所属金融商品取引業者等の商号又は名称
that the financial instruments intermediary service provider does not have authority of representation in respect of the entrusting financial instruments business operator, etc.;
所属金融商品取引業者等の代理権がない旨
the import of the provisions of Article 66-13; and
第六十六条の十三の規定の趣旨
other matters specified by Cabinet Office Order.
その他内閣府令で定める事項
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(Definitions)
The term "financial instruments intermediary service" as used in this Act means services that fall under the category of any of the following acts…
この法律において「金融商品仲介業」とは、金融商品取引業者（第二十八条第一項に規定する第一種金融商品取引業（第二十九条の四の二第九項に規定する第一種少額電子募集取扱業務及び第二十九条の四の四第八項に規定する非上場有価証券特例仲介等業務を除く。）又は第二十八条第四項に規定する投資運用業（第二十九条の五第一項に規定する適格…
Open this provision(Prohibition on Depositing Money)
A financial instruments intermediary service provider must not, for any reason, receive a deposit of money or securities from a customer, or have a person specified by Cabinet Order as being closely…
金融商品仲介業者は、いかなる名目によるかを問わず、その行う金融商品仲介業に関して、顧客から金銭若しくは有価証券の預託を受け、又は当該金融商品仲介業者と密接な関係を有する者として政令で定める者に顧客の金銭若しくは有価証券を預託させてはならない。
Open this provisionfinancial 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
entrusting financial instruments business operator, etc.
「所属金融商品取引業者等」
In Chapter III-2 (financial instruments intermediary service providers) and Chapter IV, the financial instruments business operator (金融商品取引業者) engaged in type-I financial instruments business or investment management business, or the registered financial institution (登録金融機関), that entrusts a financial instruments intermediary service provider (金融商品仲介業者) to act for it.
Short name set inArticle 66-2, paragraph (1), item (iv)· applies only in this chapter and in Chapter 4
intermediation for financial instruments
「金融商品仲介行為」
In Chapter III-2, any of the acts listed in the items of Article 2, paragraph (11), the intermediation and handling that make up financial instruments intermediary service (金融商品仲介業).
Short name set inArticle 66-11, paragraph (1)· applies only in this chapter