It is prohibited for a financial instruments intermediary service provider or its officer or employee to engage in the following acts:
the performance of any of the following acts in connection with financial instruments intermediary services:
金融商品仲介業に関連し、次に掲げるいずれかの行為を行うこと。
an act that falls under Article 38, item (i);
第三十八条第一号に該当する行為
an act that falls under any of the categories in Article 38, items (ii) through (vi);
第三十八条第二号から第六号までに該当する行為
an act that falls under Article 38, item (vii);
第三十八条第七号に該当する行為
if it provides investment advisory business (meaning investment advisory business set forth in Article 28, paragraph (6); the same applies in (c)), using information about a purchase and sale or other transaction of securities that a customer makes based on the advice provided through its investment advisory business in order to solicit a customer other than the customer in question; or if it engages in investment management business, using information about a purchase and sale or other transaction of securities made as an investment in connection with its investment management business, in order to solicit a customer other than the customer in question;
投資助言業務(第二十八条第六項に規定する投資助言業務をいう。ニにおいて同じ。)を行う場合には当該投資助言業務に係る助言に基づいて顧客が行う有価証券の売買その他の取引等又は投資運用業を行う場合には当該投資運用業に係る運用として行う有価証券の売買その他の取引等に関する情報を利用してこれらの顧客以外の顧客に対して勧誘する行為
if it engages in business other than financial instruments intermediary service, using information about an issuer of securities learned in the course of that other business (limited to undisclosed information about the operations, business, or assets of an issuer of securities that would influence customers' investment decisions in connection with financial instruments intermediary service) to conduct solicitation; or
conducting a solicitation with the financial instruments intermediary service provider's lending of money or granting of other credit as a condition (excluding acts specified in Cabinet Office Order as acts that are found to have little likelihood of resulting in insufficient investor protection);
金銭の貸付けその他信用の供与をすることを条件として勧誘する行為(投資者の保護に欠けるおそれが少ないと認められるものとして内閣府令で定めるものを除く。)
making a purchase and sale or other transaction of securities on the intermediary's, officer's, or employee's own account, using the ordering trends for purchase and sales and other transactions of securities made by customers of its financial instruments intermediary service or other special information learned in the course of financial instruments intermediary service; and
金融商品仲介業により知り得た金融商品仲介業に係る顧客の有価証券の売買その他の取引等に係る注文の動向その他特別の情報を利用して、自己の計算において有価証券の売買その他の取引等を行う行為
acts beyond what is set forth in the preceding two items, which are specified by Cabinet Office Order as acts that result in insufficient investor protection, harm the fairness of transactions, or cause a loss of confidence in financial instruments intermediary services.
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The term "investment advisory business" as used in this Chapter means services within investment advisory and agency business which are connected with the act set forth in paragraph (3), item (i).
この章において「投資助言業務」とは、投資助言・代理業に係る業務のうち、第三項第一号に掲げる行為に係る業務をいう。
Open this provision(Prohibited Actions)
providing a customer with false information in connection with the conclusion of a financial instruments transaction contract or in connection with its solicitation;
金融商品取引契約の締結又はその勧誘に関して、顧客に対し虚偽のことを告げる行為
Open this provision(Prohibited Actions)
providing a customer with a conclusive assessment of a matter that is uncertain or with information that could mislead the customer into believing that a matter that is uncertain is actually certain…
顧客に対し、不確実な事項について断定的判断を提供し、又は確実であると誤解させるおそれのあることを告げて金融商品取引契約の締結の勧誘をする行為
Open this provision(Prohibited Actions)
supplying a customer with a credit rating that has been determined by a person engaged in credit rating services other than a credit rating agency…
顧客に対し、信用格付業者以外の信用格付業を行う者の付与した信用格付(投資者の保護に欠けるおそれが少ないと認められるものとして内閣府令で定めるものを除く。)について、当該信用格付を付与した者が第六十六条の二十七の登録を受けていない者である旨及び当該登録の意義その他の事項として内閣府令で定める事項を告げることなく提供して…
Open this provision(Prohibited Actions)
visiting or telephoning a customer that is not asking to be solicited for the conclusion of a financial instruments transaction contract…
金融商品取引契約(当該金融商品取引契約の内容その他の事情を勘案し、投資者の保護を図ることが特に必要なものとして政令で定めるものに限る。)の締結の勧誘の要請をしていない顧客に対し、訪問し又は電話をかけて、金融商品取引契約の締結の勧誘をする行為
Open this provision(Prohibited Actions)
soliciting a customer to conclude a financial instruments transaction contract (limited to one that is specified by Cabinet Order in consideration of the contents of the financial instruments…
金融商品取引契約(当該金融商品取引契約の内容その他の事情を勘案し、投資者の保護を図ることが必要なものとして政令で定めるものに限る。)の締結につき、その勧誘に先立つて、顧客に対し、その勧誘を受ける意思の有無を確認することをしないで勧誘をする行為
Open this provision(Prohibited Actions)
continuing to solicit a customer to conclude a financial instruments transaction contract (limited to one that is specified by Cabinet Order in consideration of the content of the financial…
金融商品取引契約(当該金融商品取引契約の内容その他の事情を勘案し、投資者の保護を図ることが必要なものとして政令で定めるものに限る。)の締結の勧誘を受けた顧客が当該金融商品取引契約を締結しない旨の意思(当該勧誘を引き続き受けることを希望しない旨の意思を含む。)を表示したにもかかわらず、当該勧誘を継続する行為
Open this provision(Prohibited Actions)
providing a specified financial index administrator (meaning the specified financial index administrator prescribed in Article 156-85, paragraph (1); hereinafter the same applies in this item) with…
自己又は第三者の利益を図る目的をもつて、特定金融指標算出者(第百五十六条の八十五第一項に規定する特定金融指標算出者をいう。以下この号において同じ。)に対し、特定金融指標の算出に関し…
Open this provision(Prohibited Actions)
the performance of any of the following acts in connection with financial instruments intermediary services:
金融商品仲介業に関連し、次に掲げるいずれかの行為を行うこと。
Open this provision(Prohibited Actions)
making a purchase and sale or other transaction of securities on the intermediary's, officer's, or employee's own account, using the ordering trends for purchase and sales and other transactions of…
金融商品仲介業により知り得た金融商品仲介業に係る顧客の有価証券の売買その他の取引等に係る注文の動向その他特別の情報を利用して、自己の計算において有価証券の売買その他の取引等を行う行為
Open this provisionsecurities
「有価証券」
Securities as this Act defines them: the instruments listed in Article 2, paragraph (1), among them national government and local government bonds, corporate bonds, share certificates and share option certificates, preferred equity investment certificates, beneficiary certificates of investment trusts and other trusts, investment securities, certain promissory notes, mortgage securities, option certificates and depositary receipts, foreign instruments of the same nature, and other instruments a Cabinet Order (政令) specifies.
Defined inArticle 2, paragraph (1)· applies throughout the law
issuer
「発行者」
A person who issues or intends to issue securities, or for securities a Cabinet Office Order (内閣府令) specifies, the person it specifies; for rights treated as securities under Article 2, paragraph (2), the person a Cabinet Office Order specifies for each kind of right is treated as issuing them, at the time it specifies.
Defined inArticle 2, paragraph (5)
investment decisionmachine translation
「投資判断」
A decision on the kind, issue, number and price of securities to invest in and on whether, how and when to buy or sell them, or on the content and timing of derivatives transactions (デリバティブ取引) to be carried out.
Defined inArticle 2, paragraph (8), item (xi), (b)
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
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
purchase and sale or other transaction of securities
「有価証券の売買その他の取引等」
A purchase and sale or other transaction of securities, or a derivatives transaction.
Short name set inArticle 41-2, paragraph (1), item (iv)
investment management business
「投資運用業」
Investment management business as defined in Article 28, paragraph (4): the part of financial instruments business (金融商品取引業) that consists in carrying on as a business the acts in Article 2, paragraph (8), items (xii), (xiv) and (xv) — managing money or other property, on investment decisions (投資判断) based on an analysis of the value, etc. of financial instruments, as an investment in securities or in rights under derivatives transactions, whether under a discretionary investment contract (投資一任契約) or an asset management contract with a registered investment corporation (登録投資法人), or for the holders of the rights items (xiv) and (xv) list who contributed it — including where a bank, a cooperative financial institution or another financial institution a Cabinet Order (政令) specifies carries them on.
Defined inArticle 66-2, paragraph (1), item (iv)· applies only in this provision and in Article 66-14, paragraph (1), item (i), (d)
investment advisory business
「投資助言業務」
Within investment advisory and agency business (投資助言・代理業), the services connected with giving advice under an investment advisory contract (投資顧問契約) — the act in Article 28, paragraph (3), item (i).
Defined inArticle 66-14, paragraph (1), item (i), (d)· applies only in this provision