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Article 79-49Scope of Services

第七十九条の四十九（業務の範囲等）

A fund provides the following services in order to achieve the purpose prescribed in Article 79-21:

基金は、第七十九条の二十一に規定する目的を達成するため、次に掲げる業務を行う。

the payment of general customers under the provisions of Article 79-56, paragraph (1);

第七十九条の五十六第一項の規定による一般顧客に対する支払

the lending of funds under the provisions of Article 79-59, paragraph (1);

第七十九条の五十九第一項の規定による資金の貸付け

judicial or non-judicial act prescribed in Article 79-60, paragraph (1);

第七十九条の六十第一項に規定する裁判上又は裁判外の行為

services for contributing to the expeditious refunding of customer assets prescribed in Article 79-61;

第七十九条の六十一に規定する顧客資産の迅速な返還に資するための業務

collection and management of burden charges (meaning the burden charges prescribed in Article 79-28, paragraph (4) and Article 79-64, paragraph (1); the same applies in Article 79-51, paragraph (1));

負担金（第七十九条の二十八第四項及び第七十九条の六十四第一項に規定する負担金をいう。第七十九条の五十一第一項において同じ。）の徴収及び管理

the submission of the customer lists under the provisions of Chapter IV, Section 5, Chapter V, Section 3 and Chapter VI, Section 3 of the and other services under those provisions; and

第四章第五節、第五章第三節及び第六章第三節の規定による顧客表の提出その他これらの規定による業務

the business of a bankruptcy trustee, provisional administrator, bankruptcy trustee representative, or provisional administrator representative appointed under the Bankruptcy Act (Act No. 75 of 2004), a supervisor, trustee, provisional administrator, trustee representative, or provisional administrator representative appointed under the , a trustee, trustee representative, provisional administrator, provisional administrator representative, or supervisor appointed under the , or a recognition trustee, provisional administrator, recognition trustee representative, or provisional administrator representative appointed under the ;

破産法（平成十六年法律第七十五号）の規定により選任される破産管財人、保全管理人、破産管財人代理若しくは保全管理人代理、の規定により選任される監督委員、管財人、保全管理人、管財人代理若しくは保全管理人代理、の規定により選任される管財人、管財人代理、保全管理人、保全管理人代理若しくは監督委員又はの規定により選任される承認管財人、保全管理人、承認管財人代理若しくは保全管理人代理の業務

the business of the special surveillance agent prescribed in ;

に規定する特別監視代行者の業務

the business of the corporation agent prescribed in ; and

に規定する機構代理の業務

services incidental to the services set forth in the preceding items.

前各号に掲げる業務に附帯する業務

A fund may provide in its articles of incorporation that the scope of its business related to customer assets is limited to the business only related to the customer assets listed in Article 79-20, paragraph (3), items (i), (iii), (v) and (vii) (with regard to customer assets listed in item (vii), limited to those specified by Cabinet Office Order and Ministry of Finance Order as being related to subject securities-related transactions). In this case, with regard to the application of Article 79-26, paragraph (1), Article 79-28, paragraphs (1), (3) and (5) and Article 79-53, paragraph (1) to the relevant fund or a financial instruments business operator that is a member of the relevant fund, the term "financial instruments business operator" in Article 79-26, paragraph (1) is deemed to be replaced with "financial instruments business operator that conducts securities-related business"; the term "the registration of change set forth in Article 31, paragraph (4) to the effect that it stops conducting securities-related business and commodity derivatives transaction-related business, and" in Article 79-28, paragraph (1), item (i) and Article 79-53, paragraph (1), item (iii) is deemed to be replaced with "the registration of change set forth in Article 31, paragraph (4) to the effect that it stops conducting securities-related business and"; the term "becomes a member of another fund" in Article 79-28, paragraph (3) is deemed to be replaced with "becomes a member of another fund (limited to a fund whose articles of incorporation do not include the provisions prescribed in Article 79-49, paragraph (4)) or becomes a member only of another fund of which it is already a member (limited to a fund whose articles of incorporation do not include the provisions prescribed in Article 79-49, paragraphs (2) and (4))"; and the term "has taken procedures to join another fund as a member" in Article 79-28, paragraph (5), item (ii) is deemed to be replaced with "has taken procedures to join another fund (limited to a fund whose articles of incorporation do not include the provisions prescribed in Article 79-49, paragraph (4)) as a member or is already a member of another fund (limited to a fund whose articles of incorporation do not include the provisions prescribed in Article 79-49, paragraphs (2) and (4))".

基金は、その顧客資産に係る業務の範囲を、第七十九条の二十第三項第一号、第三号、第五号及び第七号に掲げる顧客資産（同号に掲げる顧客資産については、対象有価証券関連取引に関するものとして内閣府令・財務省令で定めるものに限る。）のみに係る業務に限定する旨を定款で定めることができる。この場合において、当該基金又はその会員である金融商品取引業者についての第七十九条の二十六第一項、第七十九条の二十八第一項、第三項及び第五項並びに第七十九条の五十三第一項の規定の適用については、第七十九条の二十六第一項中「金融商品取引業者」とあるのは「有価証券関連業を行う金融商品取引業者」と、第七十九条の二十八第一項第一号及び第七十九条の五十三第一項第三号中「有価証券関連業及び商品デリバティブ取引関連業務を行わない旨の第三十一条第四項の変更登録並びに」とあるのは「有価証券関連業を行わない旨の第三十一条第四項の変更登録及び」と、第七十九条の二十八第三項中「他の基金の会員となる場合」とあるのは「他の基金（第七十九条の四十九第四項の規定による定款の定めがないものに限る。）の会員となる場合若しくは既に会員である他の基金（同条第二項及び第四項の規定による定款の定めのいずれもないものに限る。）のみの会員となる場合」と、同条第五項第二号中「他の基金に会員として加入する手続をとつていること」とあるのは「他の基金（第七十九条の四十九第四項の規定による定款の定めがないものに限る。）に会員として加入する手続をとつていること、又は既に他の基金（同条第二項及び第四項の規定による定款の定めのいずれもないものに限る。）の会員であること」とする。

A financial instruments business operator that is a member of a fund whose articles of incorporation include the provisions prescribed in the preceding paragraph and also conducts commodity derivatives transaction-related business (excluding a financial instruments business operator specified by Cabinet Order prescribed in Article 79-27, paragraph (1)) is to, notwithstanding the provisions of Article 79-27, paragraph (1), join any other fund whose articles of incorporation do not include the relevant provisions as a member. In this case, such other fund (limited to a fund whose articles of incorporation do not include the provisions prescribed in the following paragraph) may, with regard to the relevant financial instruments business operator, limit the scope of its business related to customer assets to the business related to customer assets other than customer assets prescribed in the preceding paragraph, and with regard to the application of Article 79-28, paragraphs (1), (3) and (5) and Article 79-53, paragraph (1) to a fund which has prescribed the relevant limitation or a financial instruments business operator that is a member of the relevant fund, the term "the registration of change set forth in Article 31, paragraph (4) to the effect that it stops conducting securities-related business and commodity derivatives transaction-related business, and" in Article 79-28, paragraph (1), item (i) and Article 79-53, paragraph (1), item (iii) is deemed to be replaced with "the registration of change set forth in Article 31, paragraph (4) to the effect that it stops conducting commodity derivatives transaction-related business and"; the term "becomes a member of another fund" in Article 79-28, paragraph (3) is deemed to be replaced with "becomes a member of another fund (limited to a fund whose articles of incorporation do not include the provisions prescribed in Article 79-49, paragraph (2)) or becomes a member only of another fund of which it is already a member (limited to a fund whose articles of incorporation do not include the provisions prescribed in Article 79-49, paragraphs (2) and (4))"; and the term "has taken procedures to join another fund as a member" in Article 79-28, paragraph (5), item (ii) is deemed to be replaced with "has taken procedures to join another fund (limited to a fund whose articles of incorporation do not include the provisions prescribed in Article 79-49, paragraph (2)) as a member or is already a member of another fund (limited to a fund whose articles of incorporation do not include the provisions prescribed in Article 79-49, paragraphs (2) and (4))".

前項の規定による定款の定めがある基金の会員である金融商品取引業者であつて商品デリバティブ取引関連業務を併せて行う者（第七十九条の二十七第一項に規定する政令で定める金融商品取引業者を除く。）は、同条第一項の規定にかかわらず、当該定款の定めがない他のいずれか一の基金にその会員として加入しなければならない。この場合において、当該他の基金（次項の規定による定款の定めがないものに限る。）は、当該金融商品取引業者に関しては、その顧客資産に係る業務の範囲を前項の顧客資産以外の顧客資産に係る業務に限定をすることができるものとし、かつ、当該限定をした基金又は当該基金の会員である金融商品取引業者についての第七十九条の二十八第一項、第三項及び第五項並びに第七十九条の五十三第一項の規定の適用については、第七十九条の二十八第一項第一号及び第七十九条の五十三第一項第三号中「有価証券関連業及び商品デリバティブ取引関連業務を行わない旨の第三十一条第四項の変更登録並びに」とあるのは「商品デリバティブ取引関連業務を行わない旨の第三十一条第四項の変更登録及び」と、第七十九条の二十八第三項中「他の基金の会員となる場合」とあるのは「他の基金（第七十九条の四十九第二項の規定による定款の定めがないものに限る。）の会員となる場合若しくは既に会員である他の基金（同条第二項及び第四項の規定による定款の定めのいずれもないものに限る。）のみの会員となる場合」と、同条第五項第二号中「他の基金に会員として加入する手続をとつていること」とあるのは「他の基金（第七十九条の四十九第二項の規定による定款の定めがないものに限る。）に会員として加入する手続をとつていること、又は既に他の基金（同項及び同条第四項の規定による定款の定めのいずれもないものに限る。）の会員であること」とする。

A fund may provide in its articles of incorporation that the scope of its business related to customer assets is limited to the business only related to customer assets listed in Article 79-20, paragraph (3), items (ii), (iv), (vi) and (vii) (with regard to customer assets prescribed in item (vii), limited to those specified by Cabinet Office Order and Ministry of Finance Order as being related to subject commodity derivatives transaction-related transactions). In this case, with regard to the application of Article 79-26, paragraph (1), Article 79-28, paragraphs (1), (3) and (5) and Article 79-53, paragraph (1) to the relevant fund or a financial instruments business operator that is a member of that fund, the term "financial instruments business operator" in Article 79-26, paragraph (1) is deemed to be replaced with "financial instruments business operator that conducts commodity derivatives transaction-related business"; the term "the registration of change set forth in Article 31, paragraph (4) to the effect that it stops conducting securities-related business and commodity derivatives transaction-related business, and" in Article 79-28, paragraph (1), item (i) and Article 79-53, paragraph (1), item (iii) is deemed to be replaced with "the registration of change set forth in Article 31, paragraph (4) to the effect that it stops conducting commodity derivatives transaction-related business and"; the term "becomes a member of another fund" in Article 79-28, paragraph (3) is deemed to be replaced with "becomes a member of another fund (limited to a fund whose articles of incorporation do not include the provisions prescribed in Article 79-49, paragraph (2)) or becomes a member only of another fund of which it is already a member (limited to a fund whose articles of incorporation do not include the provisions prescribed in Article 79-49, paragraphs (2) and (4))"; and the term "has taken procedures to join another fund as a member" in Article 79-28, paragraph (5), item (ii) is deemed to be replaced with "has taken procedures to join another fund (limited to a fund whose articles of incorporation do not include the provisions prescribed in Article 79-49, paragraph (2)) as a member or is already a member of another fund (limited to a fund whose articles of incorporation do not include the provisions prescribed in Article 79-49, paragraphs (2) and (4))".

基金は、その顧客資産に係る業務の範囲を、第七十九条の二十第三項第二号、第四号、第六号及び第七号に掲げる顧客資産（同号に掲げる顧客資産については、対象商品デリバティブ取引関連取引に関するものとして内閣府令・財務省令で定めるものに限る。）のみに係る業務に限定する旨を定款で定めることができる。この場合において、当該基金又はその会員である金融商品取引業者についての第七十九条の二十六第一項、第七十九条の二十八第一項、第三項及び第五項並びに第七十九条の五十三第一項の規定の適用については、第七十九条の二十六第一項中「金融商品取引業者」とあるのは「商品デリバティブ取引関連業務を行う金融商品取引業者」と、第七十九条の二十八第一項第一号及び第七十九条の五十三第一項第三号中「有価証券関連業及び商品デリバティブ取引関連業務を行わない旨の第三十一条第四項の変更登録並びに」とあるのは「商品デリバティブ取引関連業務を行わない旨の第三十一条第四項の変更登録及び」と、第七十九条の二十八第三項中「他の基金の会員となる場合」とあるのは「他の基金（第七十九条の四十九第二項の規定による定款の定めがないものに限る。）の会員となる場合若しくは既に会員である他の基金（同条第二項及び第四項の規定による定款の定めのいずれもないものに限る。）のみの会員となる場合」と、同条第五項第二号中「他の基金に会員として加入する手続をとつていること」とあるのは「他の基金（第七十九条の四十九第二項の規定による定款の定めがないものに限る。）に会員として加入する手続をとつていること、又は既に他の基金（同項及び同条第四項の規定による定款の定めのいずれもないものに限る。）の会員であること」とする。

A financial instruments business operator that is a member of a fund whose articles of incorporation include the provisions prescribed in the preceding paragraph and also conducts securities-related business (excluding a financial instruments business operator specified by Cabinet Order prescribed in Article 79-27, paragraph (1)) is to, notwithstanding the provisions of paragraph (1) of that Article, join any other fund whose articles of incorporation do not include the relevant provisions as a member. In this case, such other fund (limited to a fund whose articles of incorporation do not include the provisions prescribed in paragraph (2)) may, with regard to the relevant financial instruments business operator, limit the scope of its business related to customer assets to the business related to customer assets other than customer assets prescribed in the preceding paragraph, and with regard to the application of Article 79-28, paragraphs (1), (3) and (5) and Article 79-53, paragraph (1) to a fund which has prescribed that limitation or a financial instruments business operator that is a member of the relevant fund, the term "the registration of change set forth in Article 31, paragraph (4) to the effect that it stops conducting securities-related business and commodity derivatives transaction-related business, and" in Article 79-28, paragraph (1), item (i) and Article 79-53, paragraph (1), item (iii) is deemed to be replaced with "the registration of change set forth in Article 31, paragraph (4) to the effect that it stops conducting securities-related business, and"; the term "becomes a member of another fund" in Article 79-28, paragraph (3) is deemed to be replaced with "becomes a member of another fund (limited to a fund whose articles of incorporation do not include the provisions prescribed in Article 79-49, paragraph (4)) or becomes a member only of another fund of which it is already a member (limited to a fund whose articles of incorporation do not include the provisions prescribed in Article 79-49, paragraphs (2) and (4))"; and the term "has taken procedures to join another fund as a member" in Article 79-28, paragraph (5), item (ii) is deemed to be replaced with "has taken procedures to join another fund (limited to a fund whose articles of incorporation do not include the provisions prescribed in Article 79-49, paragraph (4)) as a member or is already a member of another fund (limited to a fund whose articles of incorporation do not contain the provisions prescribed in Article 79-49, paragraphs (2) and (4))".

前項の規定による定款の定めがある基金の会員である金融商品取引業者であつて有価証券関連業を併せて行う者（第七十九条の二十七第一項に規定する政令で定める金融商品取引業者を除く。）は、同条第一項の規定にかかわらず、当該定款の定めがない他のいずれか一の基金にその会員として加入しなければならない。この場合において、当該他の基金（第二項の規定による定款の定めがないものに限る。）は、当該金融商品取引業者に関しては、その顧客資産に係る業務の範囲を前項の顧客資産以外の顧客資産に係る業務に限定をすることができるものとし、かつ、当該限定をした基金又は当該基金の会員である金融商品取引業者についての第七十九条の二十八第一項、第三項及び第五項並びに第七十九条の五十三第一項の規定の適用については、第七十九条の二十八第一項第一号及び第七十九条の五十三第一項第三号中「有価証券関連業及び商品デリバティブ取引関連業務を行わない旨の第三十一条第四項の変更登録並びに」とあるのは「有価証券関連業を行わない旨の第三十一条第四項の変更登録及び」と、第七十九条の二十八第三項中「他の基金の会員となる場合」とあるのは「他の基金（第七十九条の四十九第四項の規定による定款の定めがないものに限る。）の会員となる場合若しくは既に会員である他の基金（同条第二項及び第四項の規定による定款の定めのいずれもないものに限る。）のみの会員となる場合」と、同条第五項第二号中「他の基金に会員として加入する手続をとつていること」とあるのは「他の基金（第七十九条の四十九第四項の規定による定款の定めがないものに限る。）に会員として加入する手続をとつていること、又は既に他の基金（同条第二項及び第四項の規定による定款の定めのいずれもないものに限る。）の会員であること」とする。

The provisions of Article 79-27, paragraphs (2) and (3) apply mutatis mutandis to a financial instruments business operator that is a member of a fund whose articles of incorporation include the provisions prescribed in paragraph (2) or a financial instruments business operator that is a member of a fund whose articles of incorporation include the provisions prescribed in paragraph (4), in each case, that seeks to conduct commodity derivatives transaction-related business or securities-related business by obtaining the registration of change set forth in Article 31, paragraph (4) (excluding a person specified by Cabinet Order prescribed in Article 79-27, paragraph (2)). In this case, the term "any one of the funds" in Article 79-27, paragraph (2) is deemed to be replaced with "any one of the funds whose articles of incorporation do not include the relevant provisions".

第七十九条の二十七第二項及び第三項の規定は、第二項の規定による定款の定めがある基金の会員である金融商品取引業者又は第四項の規定による定款の定めがある基金の会員である金融商品取引業者であつて、第三十一条第四項の変更登録を受けて商品デリバティブ取引関連業務又は有価証券関連業を行おうとする者（第七十九条の二十七第二項に規定する政令で定める者を除く。）について準用する。この場合において、第七十九条の二十七第二項中「いずれか一の基金」とあるのは、「当該定款の定めがない他のいずれか一の基金」と読み替えるものとする。

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