Article 156-41Duty of Confidentiality
第百五十六条の四十一（秘密保持義務等）
It is prohibited for a dispute resolution mediator (meaning a dispute resolution mediator appointed pursuant to Article 156-50, paragraph (2); the same applies in the following paragraph, paragraph (2) of the following Article, and Article 156-44, paragraphs (2) and (4)), the officer or employee of a designated dispute resolution organization, or a person that has held any of these positions, to divulge or use for personal benefit any secret learned in connection with dispute resolution services, etc.
指定紛争解決機関の紛争解決委員（第百五十六条の五十第二項の規定により選任された紛争解決委員をいう。次項、次条第二項並びに第百五十六条の四十四第二項及び第四項において同じ。）若しくは役員若しくは職員又はこれらの職にあつた者は、紛争解決等業務に関して知り得た秘密を漏らし、又は自己の利益のために使用してはならない。
With regard to the application of the Penal Code and other penal provisions, the dispute resolution mediator or officer or employee of a designated dispute resolution organization is deemed to be an official engaged in public service pursuant to laws and regulations.
Section 2 Services
第二節 業務
Article 156-42Services of a Designated Dispute Resolution Organization
第百五十六条の四十二（指定紛争解決機関の業務）
A designated dispute resolution organization is to perform dispute resolution services, etc. pursuant to the provisions of this Act and the operational rules.
A designated dispute resolution organization (including a dispute resolution mediator) may receive burden charges, fees, or any other remuneration for performing dispute resolution services, etc., pursuant to the basic contract for the implementation of dispute resolution procedures or any other contract concluded with a member person or firm involved in financial instruments transactions (meaning a person or firm involved in financial instruments transactions with which a basic contract for the implementation of dispute resolution procedures has been concluded; hereinafter the same applies in this Chapter) that is a party to procedures or with its customer (including a rights holder prescribed in Article 42, paragraph (1) other than a customer; hereinafter the same applies in this Chapter) or concluded with a person other than those persons.
第百五十六条の四十三（苦情処理手続又は紛争解決手続の業務の委託）
A designated dispute resolution organization must not entrust a person other than another designated dispute resolution organization or a person that has obtained designation under the provisions of another Act which is specified by Cabinet Order as being for services equivalent to dispute resolution services, etc. (such other designated dispute resolution organization or person is referred to as an "entrusted dispute resolution organization" in Article 156-50, paragraph (4) or (5)) with the operation of complaint processing procedures or dispute resolution procedures.
(Duty of Confidentiality)
With regard to the application of the Penal Code and other penal provisions, the dispute resolution mediator or officer or employee of a designated dispute resolution organization is deemed to be an…
指定紛争解決機関の紛争解決委員又は役員若しくは職員で紛争解決等業務に従事する者は、刑法その他の罰則の適用については、法令により公務に従事する職員とみなす。
Open this provision(Services of a Designated Dispute Resolution Organization)
A designated dispute resolution organization (including a dispute resolution mediator) may receive burden charges, fees, or any other remuneration for performing dispute resolution services, etc.…
指定紛争解決機関（紛争解決委員を含む。）は、当事者である加入金融商品取引関係業者（手続実施基本契約を締結した相手方である金融商品取引関係業者をいう。以下この章において同じ。）若しくはその顧客（顧客以外の第四十二条第一項に規定する権利者を含む。以下この章において同じ。）又はこれらの者以外の者との手続実施基本契約その他の…
Open this provision(Operational Rules)
The basic contract for the implementation of dispute resolution procedures referred to in item (i) of the preceding paragraph must have the following matters as its content:
前項第一号の手続実施基本契約は、次に掲げる事項を内容とするものでなければならない。
Open this provision(Operational Rules)
The operational rules with regard to the matters set forth in paragraph (1), item (iii), must conform to the following criteria:
第一項第三号に掲げる事項に関する業務規程は、次に掲げる基準に適合するものでなければならない。
Open this provision(Dispute Resolution Procedures by a Designated Dispute Resolution Organization)
When a designated dispute resolution organization receives the application referred to in the preceding paragraph, it is to appoint dispute resolution mediators.
指定紛争解決機関は、前項の申立てを受けたときは、紛争解決委員を選任するものとする。
Open this provision(Dispute Resolution Procedures by a Designated Dispute Resolution Organization)
A designated dispute resolution organization is to send the application referred to in paragraph (1) into dispute resolution procedures by the dispute resolution mediators appointed pursuant to…
指定紛争解決機関は、第一項の申立てを第二項の規定により選任した紛争解決委員（以下この条及び次条第一項において単に「紛争解決委員」という。）による紛争解決手続に付するものとする。
Open this provision(Dispute Resolution Procedures by a Designated Dispute Resolution Organization)
If the dispute resolution mediators decide not to implement dispute resolution procedures pursuant to the proviso to the preceding paragraph, or if they decide to entrust the operation to an…
前項ただし書の規定により紛争解決委員が紛争解決手続を実施しないこととしたとき、又は受託紛争解決機関に業務を委託することとしたときは、指定紛争解決機関は、第一項の申立てをした者に対し、その旨を理由を付して通知するものとする。
Open this provision(Obligation to Right Holders)
A financial instruments business operator, etc. must work faithfully on behalf of right holders (meaning persons prescribed in the following items in accordance with the category of business set…
金融商品取引業者等は、権利者（次の各号に掲げる業務の区分に応じ当該各号に定める者をいう。以下この款において同じ。）のため忠実に投資運用業を行わなければならない。
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
right holdermachine translation
「権利者」
In the subsection on investment management business that begins with Article 42, the persons for whom that business is carried on: the counterparty to a contract for managing a registered investment corporation's assets or to a discretionary investment contract (投資一任契約); holders of investment trust beneficiary certificates or other rights a Cabinet Order (政令) specifies, whose contributed money is being invested; and holders of trust beneficial interests, partnership-type rights or other rights a Cabinet Order specifies, whose contributed money is being invested mainly in securities or derivatives.
Defined inArticle 42, paragraph (1)· applies only in this subsection
designated dispute resolution organization
「指定紛争解決機関」
A person the Prime Minister has designated, on its application, under Article 156-39, paragraph (1) to carry on dispute resolution services, etc. (紛争解決等業務), having found that it meets the requirements listed there.
Defined inArticle 156-38, paragraph (1)· applies only in this chapter
complaint processing procedures
「苦情処理手続」
In Chapter V-5, on designated dispute resolution organizations (指定紛争解決機関), the procedures for handling complaints about financial instruments transaction services (金融商品取引業等業務), the kinds of business listed in Article 156-38, paragraph (8).
Defined inArticle 156-38, paragraph (9)· applies only in this chapter
dispute resolution procedures
「紛争解決手続」
In Chapter V-5, procedures for resolving, without a lawsuit, a dispute relating to financial instruments business, etc. services (金融商品取引業等業務) that the parties are able to settle.
Defined inArticle 156-38, paragraph (10)· applies only in this chapter
dispute resolution services, etc.
「紛争解決等業務」
The work of complaint processing procedures (苦情処理手続) and dispute resolution procedures (紛争解決手続), and work incidental to it.
Defined inArticle 156-38, paragraph (11)· applies only in this chapter
basic contract for the implementation of dispute resolution proceduresmachine translation
「手続実施基本契約」
A contract on carrying out dispute resolution services, etc. (紛争解決等業務) concluded between a designated dispute resolution organization (指定紛争解決機関) and a business operator involved in financial instruments transactions (金融商品取引関係業者) — a financial instruments business operator, etc. or a securities finance company.
Defined inArticle 156-38, paragraph (13)· applies only in this chapter
financial instruments transactions
「金融商品取引関係業者」
In Article 156-38, paragraph (13), Article 156-39, Article 156-42, paragraph (2), Article 156-44 and Article 156-56, item (i), a financial instruments business operator, etc. (金融商品取引業者等) or a securities finance company (証券金融会社), with which a designated dispute resolution organization (指定紛争解決機関) concludes a basic contract for implementing dispute resolution procedures (手続実施基本契約).
Defined inArticle 156-38, paragraph (13)· applies only in this provision and in Articles 156-39 and 156-44; Article 156-42, paragraph (2); and Article 156-56, paragraph (1), item (i)
operational rules
「業務規程」
The rules a designated dispute resolution organization (指定紛争解決機関) sets for carrying out its dispute resolution services, etc. (紛争解決等業務).
Short name set inArticle 156-39, paragraph (1), item (vii)
dispute resolution mediators
「紛争解決委員」
A dispute resolution mediator that a designated dispute resolution organization (指定紛争解決機関) appoints under Article 156-50, paragraph (2) when it receives a request for dispute resolution procedures (紛争解決手続).
Defined inArticle 156-41, paragraph (1)· applies only in this provision and in Article 156-41, paragraph (2); Article 156-42, paragraph (2); and Article 156-44, paragraphs (2) and (4)
member person or firm involved in financial instruments transactionsmachine translation
「加入金融商品取引関係業者」
In Chapter 5-5, a person or firm involved in financial instruments transactions (金融商品取引関係業者) that has concluded a basic contract for the implementation of dispute resolution procedures (手続実施基本契約) with a designated dispute resolution organization (指定紛争解決機関).
Defined inArticle 156-42, paragraph (2)· applies only in this chapter
entrusted dispute resolution organization
「受託紛争解決機関」
In Article 156-43, paragraph (1) and Article 156-50, paragraphs (4) and (5), another designated dispute resolution organization (指定紛争解決機関), or a person designated under another law for work equivalent to dispute resolution services, etc. (紛争解決等業務) as a Cabinet Order (政令) specifies; a designated dispute resolution organization may entrust its complaint processing or dispute resolution procedures only to one of these.
Short name set inArticle 156-43, paragraph (1)· applies only in this provision and in Article 156-50, paragraphs (4) and (5)