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Article 185-10Application, Mutatis Mutandis of Code of Civil Procedure

第百八十五条の十(民事訴訟法の準用)

The provisions of Article 99, Article 100, paragraph (1), Article 101, and Articles 102-2 through 108 of the Code of Civil Procedure apply mutatis mutandis to the service of documents. In this case, in Article 100, paragraph (1) of that Code, the term "the court" is deemed to be replaced with "the Prime Minister or a trial examiner"; in Article 101, paragraph (1) of that Code, the term "a court enforcement officer" is deemed to be replaced with "an official of the Financial Services Agency"; in Article 104, paragraph (1) of that Code, the phrase "party, legal representative, or litigation representative" is deemed to be replaced with "respondent or representative of the respondent" and the phrase "the court in charge of the case" is deemed to be replaced with "the Prime Minister or a trial examiner"; in Article 107, paragraph (1) of that Code, the term "the court clerk" is deemed to be replaced with "an official of the Financial Services Agency"; in item (iii) of that paragraph, the term "the case record" is deemed to be replaced with "the record of the case"; and in Article 108 of that Code, the term "the presiding judge" is deemed to be replaced with "the Prime Minister or the chief trial examiner (or a trial examiner, in the case of the proviso to Article 180, paragraph (1) of the Financial Instruments and Exchange Act)".

書類の送達については、民事訴訟法第九十九条、第百条第一項、第百一条及び第百二条の二から第百八条までの規定を準用する。この場合において、同項中「裁判所」とあるのは「内閣総理大臣又は審判官」と、同法第百一条第一項中「執行官」とあるのは「金融庁の職員」と、同法第百四条第一項中「当事者、法定代理人又は訴訟代理人」とあるのは「被審人又はその代理人」と、「受訴裁判所」とあるのは「内閣総理大臣又は審判官」と、同法第百七条第一項中「裁判所書記官」とあるのは「金融庁の職員」と、同項第三号中「訴訟記録」とあるのは「事件記録」と、同法第百八条中「裁判長」とあるのは「内閣総理大臣又は審判長(金融商品取引法第百八十条第一項ただし書の場合にあっては、審判官)」と読み替えるものとする。

Article 185-11Service by Publication

第百八十五条の十一(公示送達)

The Prime Minister or a trial examiner may make service by publication in the following cases:

内閣総理大臣又は審判官は、次に掲げる場合には、公示送達をすることができる。

the domicile or residence of the person to be served, or the place where to serve is unknown;

送達を受けるべき者の住所、居所その他送達をすべき場所が知れない場合

it is not possible to make the service pursuant the provisions of Article 107, paragraph (1) of the Code of Civil Procedure as applied mutatis mutandis pursuant to the preceding Article;

前条において準用する民事訴訟法第百七条第一項の規定により送達をすることができない場合

with regard to service that must be made in a foreign country, it is not possible to make the service through the means prescribed in Article 108 of the Code of Civil Procedure as applied mutatis mutandis pursuant to the preceding Article, or in a case that is found not possible to make the service even through those means; or

外国においてすべき送達について、前条において準用する民事訴訟法第百八条の規定によることができず、又はこれによつても送達をすることができないと認めるべき場合

even after six months have elapsed since the competent government agency of a foreign country is issued a request to make the service pursuant to the provisions of Article 108 of the Code of Civil Procedure as applied mutatis mutandis pursuant to the preceding Article, a document certifying that the agency has made the service have not been sent.

前条において準用する民事訴訟法第百八条の規定により外国の管轄官庁に嘱託を発した後六月を経過してもその送達を証する書面の送付がない場合

Service by publication is made by a posting made on the notice board of the Financial Services Agency indicating that the documents that are required to be served will be delivered to the person that is to be served with them at any time.

公示送達は、送達すべき書類を送達を受けるべき者にいつでも交付すべき旨を金融庁の掲示場に掲示することにより行う。

Service by publication becomes effective after two weeks have elapsed from the day on which the posting under the provisions of the preceding paragraph was made.

公示送達は、前項の規定による掲示を始めた日から二週間を経過することによつて、その効力を生ずる。

For service by publication in respect of service that must be made in a foreign country, the period referred to in the preceding paragraph is six weeks.

外国においてすべき送達についてした公示送達にあつては、前項の期間は、六週間とする。

Article 185-12Use of an Electronic Data Processing System for Disposition Notices

第百八十五条の十二(処分通知等の電子情報処理組織の使用)

When an official of the Financial Services Agency uses an electronic data processing system prescribed in pursuant to the provisions of to conduct administrative affairs involving a disposition notice, etc. prescribed in , which is to be served with a document pursuant to the provisions of this Section or Cabinet Office Order, the official must use the electronic data processing system to record the particulars concerning the service under the provisions of Article 100, paragraph (1) of the Code of Civil Procedure as applied mutatis mutandis pursuant to Article 185-10, in a file that is stored on a computer (this includes an input or output device) used by the Financial Services Agency in lieu of preparing and submitting a document that states those particulars.

金融庁の職員が、に規定する処分通知等であつてこの節又は内閣府令の規定により書類の送達により行うこととしているものに関する事務を、の規定によりに規定する電子情報処理組織を使用して行つたときは、第百八十五条の十において準用する民事訴訟法第百条第一項の規定による送達に関する事項を記載した書面の作成及び提出に代えて、当該事項を当該電子情報処理組織を使用して金融庁の使用に係る電子計算機(入出力装置を含む。)に備えられたファイルに記録しなければならない。

Article 185-13Inspection of Case Records

第百八十五条の十三(事件記録の閲覧等)

After a decision to commence trial procedures is issued, an interested party may file a request with the Prime Minister to inspect or copy the case records, or to be issued a certified copy of the written decision in respect of a decision prescribed in Article 185-7, paragraph (19), or an extract of the same. In such a case, the Prime Minister may not refuse the request, unless the inspection or issuance would be detrimental to the interests of a third party or unless there are any other legitimate grounds for refusal.

利害関係人は、内閣総理大臣に対し、審判手続開始の決定後、事件記録の閲覧若しくは謄写又は第百八十五条の七第十九項に規定する決定に係る決定書の謄本若しくは抄本の交付を求めることができる。この場合において、内閣総理大臣は、第三者の利益を害するおそれがあるときその他正当な理由があるときでなければ、これを拒むことができない。

Article 185-14Demand for Payment

第百八十五条の十四(納付の督促)

If a person fails to pay an administrative monetary penalty by the due date of payment, the Prime Minister must demand payment of the administrative monetary penalty by designating a deadline in the written demand.

内閣総理大臣は、課徴金をその納付期限までに納付しない者があるときは、督促状により期限を指定してその納付を督促しなければならない。

If the Prime Minister makes the demand for payment under the provisions of the preceding paragraph, the Prime Minister may collect a delinquent charge at a rate of 14.5 percent per annum accrued on the amount of the administrative monetary penalty referred to in that paragraph, calculated based on the number of days from the day after the due date of payment to the day on which the administrative monetary penalty is paid; provided, however, that this does not apply if the amount of the delinquent charge is less than one thousand yen.

内閣総理大臣は、前項の規定による督促をしたときは、同項の課徴金の額につき年十四・五パーセントの割合で、納付期限の翌日からその納付の日までの日数により計算した延滞金を徴収することができる。ただし、延滞金の額が千円未満であるときは、この限りでない。

If the amount of the delinquent charge calculated pursuant to the provisions of the preceding paragraph includes an amount that is less than one hundred yen, the amount is rounded down to the nearest hundred yen.

前項の規定により計算した延滞金の額に百円未満の端数があるときは、その端数は、切り捨てる。

Article 185-15Execution of an Administrative Monetary Penalty Payment Order

第百八十五条の十五(課徴金納付命令の執行)

If a person that is issued a demand pursuant to paragraph (1) of the preceding Article fails to pay the amount that person is required to pay by the designated due date, a decision under Article 185-7, paragraphs (1), (2), (4) through (8), and (10) through (17) (including a decision following a modification under Article 185-8, paragraph (6) or (7); hereinafter referred to as an "administrative monetary penalty payment order" in this Article and the following Article) is executed by order of the Prime Minister. This order has the same effect as that of an enforceable title of obligation.

前条第一項の規定により督促を受けた者がその指定する期限までにその納付すべき金額を納付しないときは、内閣総理大臣の命令で、第百八十五条の七第一項、第二項、第四項から第八項まで及び第十項から第十七項までの決定(第百八十五条の八第六項又は第七項の規定による変更後のものを含む。以下この条及び次条において「課徴金納付命令」という。)を執行する。この命令は、執行力のある債務名義と同一の効力を有する。

An administrative monetary penalty payment order is executed in accordance with the provisions of the Civil Execution Act (Act No. 4 of 1979) and other laws and regulations on enforcement proceedings.

課徴金納付命令の執行は、民事執行法(昭和五十四年法律第四号)その他強制執行の手続に関する法令の規定に従つてする。

If the Prime Minister finds it to be necessary for executing an administrative monetary penalty payment order, the Prime Minister may make inquiries to public offices or public and private organizations, and request them to report necessary particulars.

内閣総理大臣は、課徴金納付命令の執行に関して必要があると認めるときは、公務所又は公私の団体に照会して必要な事項の報告を求めることができる。

Article 185-16Claim for an Administrative Monetary Penalty

第百八十五条の十六(課徴金等の請求権)

In applying the provisions of the Bankruptcy Act, the Civil Rehabilitation Act, the Corporate Reorganization Act, and the Act on Special Measures for the Reorganization Proceedings of Financial Institutions, a claim for an administrative monetary penalty under an administrative monetary penalty payment order or a claim for delinquent charges under the provisions of Article 185-14, paragraph (2) is deemed to be a claim for a civil fine.

破産法、民事再生法、会社更生法及び金融機関等の更生手続の特例等に関する法律の規定の適用については、課徴金納付命令に係る課徴金の請求権及び第百八十五条の十四第二項の規定による延滞金の請求権は、過料の請求権とみなす。

Article 185-17Delegation to Cabinet Office Order

第百八十五条の十七(内閣府令への委任)

Beyond what is provided for in this Section, necessary particulars relevant to trial procedures are specified by Cabinet Office Order.

この節に定めるもののほか、審判手続に関し必要な事項は、内閣府令で定める。

Section 3 Litigation

第三節 訴訟

Article 185-18

第百八十五条の十八

An action to rescind a decision under Article 185-7, paragraphs (1), (2), (4) through (8), and (10) through (17) must be filed within 30 days from the day on which the decision becomes valid.

第百八十五条の七第一項、第二項、第四項から第八項まで及び第十項から第十七項までの決定の取消しの訴えは、決定がその効力を生じた日から三十日以内に提起しなければならない。

The period set forth in the preceding paragraph is a peremptory term.

前項の期間は、不変期間とする。

Section 4 Miscellaneous Provisions

第四節 雑則

Article 185-19Request for Travel Expenses by Witnesses

第百八十五条の十九(参考人等の旅費等の請求)

A witness or expert that is ordered to appear or to present an expert opinion pursuant to the provisions of Article 177, paragraph (1), item (i) or Article 185, paragraph (1) or Article 185-4, paragraph (1) may request travel expenses and an allowance, pursuant to the provisions of Cabinet Order.

第百七十七条第一項第一号若しくは第百八十五条第一項又は第百八十五条の四第一項の規定により出頭又は鑑定を命ぜられた参考人又は鑑定人は、政令で定めるところにより、旅費及び手当を請求することができる。

Article 185-20Exclusion from Application of the Administrative Procedure Act

第百八十五条の二十(行政手続法の適用除外)

The provisions of Chapter II and Chapter III of the Administrative Procedure Act do not apply to a decision or other disposition that the Prime Minister renders pursuant to the provisions of Section 1 or Section 2 (including a disposition that a trial examiner renders pursuant to the provisions of those Sections).

内閣総理大臣が第一節又は第二節の規定によつてする決定その他の処分(同節の規定によつて審判官がする処分を含む。)については、行政手続法第二章及び第三章の規定は、適用しない。

Article 185-21Requests for Review

第百八十五条の二十一(審査請求)

A request for review may not be filed against a decision or other disposition that the Prime Minister renders pursuant to the provisions of Section 1 or Section 2 (including a disposition that a trial examiner reaches pursuant to the provisions of those Sections) or against the inaction of the disposition.

内閣総理大臣が第一節又は第二節の規定により行う決定その他の処分(同節の規定により審判官が行う処分を含む。)又はその不作為については、審査請求をすることができない。

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