A certified organization must endeavor to prepare and publish guidelines that are in line with the purport of the provisions of this Act, with regard to the content of contracts for financial instruments transactions by covered operators, the nature of asset management by covered operators, and particulars that are otherwise necessary for ensuring the protection of investors (hereinafter referred to as "investor protection guidelines"), in order to ensure the sound development of the financial instruments business and the protection of investors.
Once a certified organization publishes investor protection guidelines pursuant to the preceding paragraph, it must endeavor to provide the covered operators with the necessary guidance and recommendations, and take other measures for having the covered operators comply with the investor protection guidelines.
A certified organization must endeavor to further the sound development of the financial instruments business and the protection of investors through the dissemination of financial knowledge and through educational and publicity campaigns.
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(Investor Protection Guidelines)
A certified organization must endeavor to prepare and publish guidelines that are in line with the purport of the provisions of this Act, with regard to the content of contracts for financial…
認定団体は、金融商品取引業の健全な発展及び投資者の保護のために、対象事業者による金融商品取引の契約内容、対象事業者による資産運用のあり方その他投資者の保護を図るため必要な事項に関し、この法律の規定の趣旨に沿つた指針（以下「投資者保護指針」という。）を作成し、公表するよう努めなければならない。
Open this provisionfinancial instruments business
「金融商品取引業」
Carrying on as a business any of the acts listed in Article 2, paragraph (8) — such as trading and brokering securities and derivatives, underwriting, handling public offerings and private placements, giving investment advice, managing investments and holding customers' money or securities — other than acts a Cabinet Order (政令) excludes as posing no risk to investor protection, and certain of those acts when banks, cooperative financial institutions (協同組織金融機関) and other financial institutions a Cabinet Order specifies carry them out.
Defined inArticle 2, paragraph (8)· applies throughout the law
covered business operators
「対象事業者」
In the section on certified investor protection organizations (認定投資者保護団体), the financial instruments business operators, financial instruments intermediary service providers and other persons a Cabinet Office Order (内閣府令) specifies that a certified organization's work covers.
Defined inArticle 79-11, paragraph (1)· applies only in this section
certified organization
「認定団体」
In Section 3 of Chapter IV, short for certified investor protection organization (認定投資者保護団体): a body the Prime Minister has certified under Article 79-7, paragraph (1) to carry on work such as resolving complaints about, and mediating disputes over, the financial instruments business of financial instruments business operators or financial instruments intermediary service providers.
Short name set inArticle 79-11, paragraph (1)· applies only in this section
investor protection guidelines
「投資者保護指針」
Guidelines that a certified investor protection organization (認定団体) is to endeavour to draw up and publish, in line with the purpose of this Act, on the content of contracts for financial instruments transactions by the business operators it covers, how they manage assets, and other matters needed to protect investors.
Short name set inArticle 79-17, paragraph (1)