If a financial instruments business operator that is a member of a fund falls under any of the following items, it must immediately notify the fund to which it belongs of this:
its Article 29 registration is rescinded pursuant to the provisions of Article 52, paragraph (1); Article 53, paragraph (3); Article 54; or Article 57-6, paragraph (3);
第五十二条第一項、第五十三条第三項、第五十四条又は第五十七条の六第三項の規定により第二十九条の登録を取り消されたとき。
it files a petition to commence bankruptcy proceedings, rehabilitation proceedings, reorganization proceedings, or special liquidation proceedings (or if the financial instruments business operator is a foreign corporation, it files a petition to commence bankruptcy proceedings, rehabilitation proceedings, reorganization proceedings, or special liquidation proceedings in Japan, or a petition of the same kind in the country where its head office is located based on the laws and regulations of that country);
破産手続開始、再生手続開始、更生手続開始又は特別清算開始の申立てを行つたとき（外国法人である金融商品取引業者にあつては、国内において破産手続開始、再生手続開始、更生手続開始若しくは特別清算開始の申立てを行つたとき、又は本店の所在する国において当該国の法令に基づき同種類の申立てを行つたとき。）。
it discontinues its financial instruments business (including 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 with regard to a financial instruments business operator that is a foreign corporation, this includes the discontinuation of financial instruments business at all business offices and offices it has established in Japan; hereinafter the same applies in this item) or is dissolved (with regard to a financial instruments business operator that is a foreign corporation, this includes the commencement of liquidation of the business offices and offices it has established in Japan) or it issues a public notice of its discontinuation of financial instruments business, etc. under the provisions of Article 50-2, paragraph (6) or of its dissolution; or
it becomes subject to an order for the suspension of all or part of the business under the provisions of Article 52, paragraph (1) (limited to a case falling under item (viii) of that paragraph).
If a fund receives a notice under the provisions of the preceding paragraph, it must immediately report this to the Prime Minister and the Minister of Finance.
If the Prime Minister issues any of the following dispositions with regard to a financial instruments business operator that is a member of a fund, the Prime Minister must immediately notify the Minister of Finance and the fund to which that financial instruments business operator:
the Article 52, paragraph (1) or (4); Article 53, paragraph (3); Article 54; or Article 57-6, paragraph (3) rescission of an Article 29 registration; or
an order for the suspension of all or part of the business under the provisions of Article 52, paragraph (1) (limited to the case falling under item (viii) of that paragraph).
The Prime Minister must, when having filed a petition for commencement of reorganization proceedings under the provisions of Article 377, paragraph (1) of the Act on Special Treatment of Corporate Reorganization Proceedings and Other Insolvency Proceedings of Financial Institutions, a petition for commencement of rehabilitation proceedings under the provisions of Article 446, paragraph (1) of that Act, and a petition for commencement of bankruptcy proceedings under the provisions of Article 490, paragraph (1) of that Act with the court with regard to a financial instruments business operator which is a member of a fund, immediately notify to that effect to the Minister of Finance and the fund to which the relevant financial instruments business operator belongs.
If the Prime Minister receives a notice under the provisions of Article 379; Article 448; or Article 492 of the Act on Special Treatment of Corporate Reorganization Proceedings and Other Insolvency Proceedings of Financial Institutions or any other notice concerning special liquidation proceedings with regard to a financial instruments business operator that is a member of a fund, the Prime Minister must immediately notify the Minister of Finance and the fund to which the financial instruments business operator belongs of this.
Read this with the articles around it
(Registration)
A person may not engage in financial instruments business if that person has not been registered by the Prime Minister.
金融商品取引業は、内閣総理大臣の登録を受けた者でなければ、行うことができない。
Open this provision(Registration of a Change)
If a financial instruments business operator seeks to change the particular set forth in Article 29-2, paragraph (1), items (v) through (vi), item (vii), (b), item (viii), or item (ix)…
金融商品取引業者は、第二十九条の二第一項第五号から第六号まで、第七号ロ、第八号又は第九号に掲げる事項について変更をしようとするときは、内閣府令で定めるところにより、内閣総理大臣の行う変更登録を受けなければならない。
Open this provision(Notification of Discontinuing Business)
If a financial instruments business operator, etc. seeks to discontinue financial instruments business, etc. (excluding investment advisory and agency business; the same applies in paragraph (8) and…
金融商品取引業者等は、金融商品取引業等（投資助言・代理業を除く。第八項及び第五十六条第一項において同じ。）の廃止をし、合併（当該金融商品取引業者等が合併により消滅する場合の当該合併に限る。）をし、合併及び破産手続開始の決定以外の理由による解散をし、分割による事業の全部若しくは一部の承継をさせ…
Open this provision(Supervisory Measures for Financial Instruments Business Operators)
If a financial instruments business operator falls under any of the following items, the Prime Minister may rescind its Article 29 registration, rescind its Article 30, paragraph (1) authorization…
内閣総理大臣は、金融商品取引業者が次の各号のいずれかに該当する場合においては、当該金融商品取引業者の第二十九条の登録を取り消し、第三十条第一項の認可を取り消し、又は六月以内の期間を定めて業務の全部若しくは一部の停止を命ずることができる。
Open this provision(Supervisory Measures for Financial Instruments Business Operators)
in light of the state of its business or assets, it is likely to become insolvent;
業務又は財産の状況に照らし支払不能に陥るおそれがあるとき。
Open this provision(Supervisory Measures for Financial Instruments Business Operators)
If the Prime Minister is unable to ascertain the location of the business offices or offices of a financial instruments business operator or is unable to ascertain the whereabouts of a financial…
内閣総理大臣は、金融商品取引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、又は金融商品取引業者の所在（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金融商品取引業者から申出がないときは…
Open this provision(Orders Involving the Capital Adequacy Ratio)
If the Prime Minister orders the suspension of all or part of the business pursuant to the provisions of the preceding paragraph, and finds that the capital adequacy ratio of the financial…
内閣総理大臣は、前項の規定により業務の全部又は一部の停止を命じた場合において、その日から三月を経過した日における当該金融商品取引業者の自己資本規制比率が引き続き百パーセントを下回り、かつ、当該金融商品取引業者の自己資本規制比率の状況が回復する見込みがないと認められるときは…
Open this provision(Rescission of Registration Due to Non-Commencement or Suspension of Business)
If, without legitimate grounds for doing so, a financial instruments business operator, etc. does not commence business within three months of the day on which it is permitted to begin engaging in…
内閣総理大臣は、金融商品取引業者等が正当な理由がないのに、金融商品取引業等を行うことができることとなつた日から三月以内に業務を開始しないとき、又は引き続き三月以上その業務を休止したときは、当該金融商品取引業者等の第二十九条又は第三十三条の二の登録を取り消すことができる。
Open this provision(Supervisory Dispositions Corresponding with the Soundness of Management)
If the Prime Minister orders a special financial instruments business operator to suspend all or part of the business pursuant to the provisions of paragraph (1)…
内閣総理大臣は、第一項の規定により特別金融商品取引業者に対しその業務の全部又は一部の停止を命じた場合において、その日から三月を経過した日において当該特別金融商品取引業者及びその子法人等の経営の健全性の状況が改善せず、かつ、改善する見込みがないと認められるときは…
Open this provision(Notifying the Fund)
If a financial instruments business operator that is a member of a fund falls under any of the following items, it must immediately notify the fund to which it belongs of this:
基金の会員である金融商品取引業者は、次の各号のいずれかに該当する場合には、直ちに、その旨をその所属する基金に通知しなければならない。
Open this provision(Notifying the Fund)
it discontinues its financial instruments business (including the registration of change set forth in Article 31, paragraph (4) to the effect that it stops conducting securities-related business and…
金融商品取引業の廃止（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外国法人である金融商品取引業者にあつては、国内に設けられた全ての営業所又は事務所における金融商品取引業の廃止を含む。以下この号において同じ。）をしたとき若しくは解散（外国法人である金融商品取引業者にあつて…
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
financial instruments business operator
「金融商品取引業者」
A person registered by the Prime Minister under Article 29 to carry on financial instruments business (金融商品取引業).
Defined inArticle 2, paragraph (9)· applies throughout the law
commodity derivatives transaction-related business
「商品デリバティブ取引関連業務」
In the chapter on investor protection funds (投資者保護基金), business relating to commodity-related market derivatives transactions brokerage, etc. (商品関連市場デリバティブ取引取次ぎ等).
Short name set inArticle 79-20, paragraph (1)· applies only in this chapter
securities-related business
「有価証券関連業」
In Chapter IV-2, securities-related business as defined in Article 28, paragraph (8): carrying on as a business any of these: buying and selling securities, or intermediating, brokering (other than brokerage for clearing of securities, etc.) or acting as agent in such trades; intermediating, brokering or acting as agent for entrustments of securities trades on a financial instruments exchange market or a foreign financial instruments market; securities-related market and over-the-counter derivatives transactions, similar transactions on foreign markets, and intermediation, brokerage or agency for them; brokerage for clearing of securities trades and securities-related derivatives transactions; and underwriting, secondary distributions, and handling public offerings, secondary distributions and private placements of securities.
Short name set inArticle 79-20, paragraph (1)· applies only in this chapter
fund
「基金」
An investor protection fund (投資者保護基金): a body that protects investors by making payments to general customers under Article 79-56, paragraph (1) and carrying on its other business, so as to maintain confidence in securities transactions and commodity-related market derivatives transactions.
Short name set inArticle 79-21, paragraph (1)· applies only in this chapter
Prime Minister
内閣総理大臣
The head of the Cabinet. Designated by the Diet from among its own members, and appointed by the Emperor on that designation (Articles 67 and 6). The Prime Minister appoints and may dismiss the other Ministers of State at will, and a majority of them must be members of the Diet (Article 68). No Minister of State can be subjected to legal action while in office without the Prime Minister's consent (Article 75).
Written by AI using Constitution, Arts. 6, 67, 68, 75 and Wikipedia: Prime Minister of Japan as a reference.