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Article 66-85Supervisory Dispositions

第六十六条の八十五(監督上の処分)

In the case where an investment management-related services contractor falls under any of the following items, the Prime Minister may rescind the Article 66-71 registration of that investment management-related services contractor, or specify a period not exceeding six months and order the suspension of all or part of its investment management-related services contracting business.

内閣総理大臣は、投資運用関係業務受託業者が次の各号のいずれかに該当する場合においては、当該投資運用関係業務受託業者の第六十六条の七十一の登録を取り消し、又は六月以内の期間を定めて投資運用関係業務受託業の業務の全部若しくは一部の停止を命ずることができる。

it comes to fall under any of the items of Article 66-74 (excluding item (vii), (a));

第六十六条の七十四各号(第七号イを除く。)のいずれかに該当することとなつたとき。

it has received the Article 66-71 registration by wrongful means;

不正の手段により第六十六条の七十一の登録を受けたとき。

it violates a law or regulation or a disposition by a government agency which is based on a law or regulation, in connection with its investment management-related services contracting business;

投資運用関係業務受託業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とき。

in connection with its investment management-related services contracting business, it has committed an unlawful or grossly inappropriate act, and the circumstances are particularly serious.

投資運用関係業務受託業に関し、不正又は著しく不当な行為をした場合において、その情状が特に重いとき。

If an officer of an investment management-related services contractor (for a foreign corporation, this is limited to an officer stationed at its domestic business office or office, or its domestic representative; hereinafter the same applies in this paragraph) comes to fall under Article 66-74, item (vii), (a)(1) or (2), is discovered to have already fallen under (a)(1) or (2) of that item at the time of the Article 66-71 registration, or comes to fall under item (iii) or (iv) of the preceding paragraph, the Prime Minister may order the investment management-related services contractor to dismiss that officer.

内閣総理大臣は、投資運用関係業務受託業者の役員(外国法人にあつては、国内における営業所若しくは事務所に駐在する役員又は国内における代表者に限る。以下この項において同じ。)が、第六十六条の七十四第七号イ(1)若しくは(2)に該当することとなつたとき、第六十六条の七十一の登録当時既に同号イ(1)若しくは(2)に該当していたことが判明したとき、又は前項第三号若しくは第四号に該当することとなつたときは、当該投資運用関係業務受託業者に対して、当該役員の解任を命ずることができる。

If the Prime Minister is unable to ascertain the location of the business offices or offices of an investment management-related services contractor, or is unable to ascertain the whereabouts of an investment management-related services contractor (where it is a corporation, the whereabouts of the officer representing that corporation), the Prime Minister, pursuant to the provisions of Cabinet Office Order, may issue public notice of that fact and rescind the registration of that investment management-related services contractor if no filing is made by that investment management-related services contractor even after 30 days past the day of the public notice.

内閣総理大臣は、投資運用関係業務受託業者の営業所若しくは事務所の所在地を確知できないとき、又は投資運用関係業務受託業者の所在(法人である場合においては、その法人を代表する役員の所在)を確知できないときは、内閣府令で定めるところにより、その事実を公告し、その公告の日から三十日を経過しても当該投資運用関係業務受託業者から申出がないときは、当該投資運用関係業務受託業者の登録を取り消すことができる。

The provisions of Chapter III of the Administrative Procedure Act do not apply to a disposition under the preceding paragraph.

前項の規定による処分については、行政手続法第三章の規定は、適用しない。

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