An authorized association may entrust the complaint resolution services prescribed in Article 77, paragraph (1) and the mediation services prescribed in paragraph (1) of the preceding Article to a person that has a financial basis and personnel structure sufficient for performing these services in an appropriate manner.
Notwithstanding the provisions of the preceding paragraph, an authorized association may not entrust the complaint resolution services and mediation services referred to in that paragraph to a person that falls under any of the following items:
a person that has been sentenced pursuant to any provisions of this Act, for whom two years have not passed since the day on which the person finished serving that sentence or ceased to be subject to its enforcement;
この法律の規定により刑に処せられ、その執行を終わり、又は執行を受けることがなくなつた日から二年を経過しない者
a person whose authorization has been rescinded pursuant to Article 74, paragraph (1), for whom two years have not passed since the date of rescission; or
第七十四条第一項の規定により認可を取り消され、その取消しの日から二年を経過しない者
a person that has a person falling under any of the following persons as an officer who conducts its business:
その業務を行う役員のうちに、次のいずれかに該当する者がある者
a person that has been sentenced to imprisonment or a heavier punishment or has been sentenced pursuant to any provisions of this Act, for whom two years have not passed since the day on which the person finished serving that sentence or ceased to be subject to its enforcement; or
拘禁刑以上の刑に処せられ、若しくはこの法律の規定により刑に処せられ、その執行を終わり、又は執行を受けることがなくなつた日から二年を経過しない者
a person that, during the 30 days before the date of rescission, was the officer of an authorized association whose authorization has been rescinded pursuant to Article 74, paragraph (1), and for whom two years have not passed since the date of rescission.
A person entrusted with services pursuant to the provisions of paragraph (1) may not further entrust the services under that entrustment.
第一項の規定により業務の委託を受けた者は、当該委託に係る業務を再委託することができない。
The provisions of the preceding two Articles apply mutatis mutandis to the services entrusted by an authorized association pursuant to the provisions of paragraph (1).
Read this with the articles around it
(Rescission of Authorization, Suspension of Business, and Dismissal of Officers, Due to Violation of Laws and Regulations)
If an authorized association violates a law or regulation, a disposition by a government agency which is based on a law or regulation, or its articles of incorporation or other rules…
内閣総理大臣は、認可協会が法令、法令に基づく行政官庁の処分若しくは当該認可協会の定款その他の規則（以下この条において「法令等」という。）に違反した場合又は協会員、金融商品仲介業者若しくは店頭売買有価証券若しくは取扱有価証券の発行者が法令等に違反し…
Open this provision(Responding to Complaints from Investors)
If an investor files for the resolution of a complaint involving business carried out by an association member or a financial instruments intermediary service provider…
認可協会は、投資者から協会員又は金融商品仲介業者の行う業務に関する苦情について解決の申出があつたときは、その相談に応じ、申出人に必要な助言をし、その苦情に係る事情を調査するとともに、当該協会員又は金融商品仲介業者に対し、その苦情の内容を通知してその迅速な処理を求めなければならない。
Open this provision(Mediation by Authorized Associations)
If there is a dispute about a purchase and sale or other transaction of securities or about a derivatives transaction, etc. conducted by an association member or a financial instruments intermediary…
協会員又は金融商品仲介業者の行う有価証券の売買その他の取引又はデリバティブ取引等につき争いがある場合においては、当事者は、その争いの解決を図るため、認可協会に申し立て、あつせんを求めることができる。
Open this provision(Mediation by Authorized Associations)
If there is a dispute about a purchase and sale or other transaction of securities or about a derivatives transaction, etc. conducted by an association member or a financial instruments intermediary…
協会員又は金融商品仲介業者の行う有価証券の売買その他の取引又はデリバティブ取引等につき争いがある場合においては、当事者は、その争いの解決を図るため、認可協会に申し立て、あつせんを求めることができる。
Open this provision(Entrustment of Mediation Services to Third Parties)
An authorized association may entrust the complaint resolution services prescribed in Article 77, paragraph (1) and the mediation services prescribed in paragraph (1) of the preceding Article to a…
認可協会は、第七十七条第一項に規定する苦情についての解決の業務及び前条第一項に規定するあつせんの業務について、これらの業務を適確に遂行するに足りる財産的基礎及び人的構成を有する者にこれらの業務を委託することができる。
Open this provision(Responding to Complaints from Investors)
If an investor files for the resolution of a complaint involving business carried out by an association member or a financial instruments intermediary service provider…
認可協会は、投資者から協会員又は金融商品仲介業者の行う業務に関する苦情について解決の申出があつたときは、その相談に応じ、申出人に必要な助言をし、その苦情に係る事情を調査するとともに、当該協会員又は金融商品仲介業者に対し、その苦情の内容を通知してその迅速な処理を求めなければならない。
Open this provisionofficer
「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
authorized association
「認可協会」
In Chapter IV, short for authorized financial instruments firms association (認可金融商品取引業協会): an association established under Subsection 1 of Section 1 of that Chapter, whose purpose is to make the trading of securities and derivatives transactions, etc. fair and smooth and to contribute to the sound development of financial instruments business and to investor protection.
Short name set inArticle 67, paragraph (1)· applies only in this chapter
imprisonment
拘禁刑
The punishment of being held in a penal institution (刑事施設), for life or for a fixed term of one month to twenty years (Penal Code, Article 12, paragraphs (1) and (2)); a fixed term can be raised to thirty years where the punishment is aggravated, or cut below one month where it is reduced (Article 14, paragraph (2)). To help the person reform and rehabilitate, they may be made to do work or given guidance (Article 12, paragraph (3)). It ranks below the death penalty and above a fine (罰金) among the principal punishments (Articles 9 and 10, paragraph (1)). It replaced imprisonment with work (懲役) and imprisonment without work (禁錮) when the Act Partially Amending the Penal Code, etc. (Act No. 67 of 2022) came into force (Act No. 67 of 2022, Article 2), and a person sentenced to either is treated, for the rules on a person's qualifications, as sentenced to imprisonment for the same term (Act No. 68 of 2022, Article 443, paragraph (1)).
Written by AI using Penal Code, Arts. 9, 10, 12, 14, Act No. 67 of 2022, Art. 2 and Act No. 68 of 2022, Art. 443 as a reference.