Article 185-7Decision to Issue an Administrative Monetary Penalty Payment Order
第百八十五条の七(課徴金の納付命令の決定等)
If, after the completion of trial procedures, the Prime Minister finds a fact set forth in any of the items of Article 178, paragraph (1) to have occurred, unless otherwise provided for in this Article, the Prime Minister must issue a decision against the respondent, ordering the respondent to pay the administrative monetary penalty under the provisions of Article 172, paragraph (1), paragraph (2) (including as applied mutatis mutandis pursuant to paragraph (4) of that Article), or paragraph (3) of that Article; Article 172-2, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (4) of that Article), paragraph (2) of that Article (including as applied mutatis mutandis pursuant to paragraph (5) of that Article), or paragraph (6) of that Article; Article 172-3, paragraph (1) or (2); Article 172-4, paragraph (1) or paragraph (2) (including as applied mutatis mutandis pursuant to paragraph (3) of that Article); Article 172-5; Article 172-6, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (2) of that Article); Articles 172-7 through 172-9; Article 172-10, paragraph (1) or (2); Article 172-11, paragraph (1); Article 172-12, paragraph (1); Article 173, paragraph (1); Article 174, paragraph (1); Article 174-2, paragraph (1); Article 174-3, paragraph (1); Article 175, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (9) of that Article) or paragraph (2) of that Article; or Article 175-2, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (13) of that Article) or paragraph (2) of that Article (including as applied mutatis mutandis pursuant to paragraph (14) of that Article) to the national treasury.
内閣総理大臣は、審判手続を経た後、第百七十八条第一項各号に掲げる事実のいずれかがあると認めるときは、この条に別段の定めがある場合を除き、被審人に対し、第百七十二条第一項、第二項(同条第四項において準用する場合を含む。)若しくは第三項、第百七十二条の二第一項(同条第四項において準用する場合を含む。)、第二項(同条第五項において準用する場合を含む。)若しくは第六項、第百七十二条の三第一項若しくは第二項、第百七十二条の四第一項若しくは第二項(同条第三項において準用する場合を含む。)、第百七十二条の五、第百七十二条の六第一項(同条第二項において準用する場合を含む。)、第百七十二条の七から第百七十二条の九まで、第百七十二条の十第一項若しくは第二項、第百七十二条の十一第一項、第百七十二条の十二第一項、第百七十三条第一項、第百七十四条第一項、第百七十四条の二第一項、第百七十四条の三第一項、第百七十五条第一項(同条第九項において準用する場合を含む。)若しくは第二項又は第百七十五条の二第一項(同条第十三項において準用する場合を含む。)若しくは第二項(同条第十四項において準用する場合を含む。)の規定による課徴金を国庫に納付することを命ずる旨の決定をしなければならない。
If the Prime Minister is required to issue the decision referred to the preceding paragraph in connection with a fact that falls under Article 172, paragraph (1) and a fact that falls under Article 172, paragraph (2) for the same public offering or secondary distribution (limited to a decision under Article 178, paragraph (1), item (i)), in lieu of the amount under Article 172, paragraph (1) or (2), the Prime Minister must issue an order for the relevant person to pay an administrative monetary penalty to the national treasury in an amount that is equivalent to the amount arrived at when the amount calculated pursuant to paragraph (1) of that Article is proportionally divided in parallel with the amounts calculated pursuant to paragraph (1) and paragraph (2) of that Article in respect of each fact subject to a decision.
Once the Prime Minister has issued a decision with regard to a public offering or secondary distribution that falls under both Article 172, paragraph (1) and paragraph (2) pursuant to the provisions of paragraph (1) (but only if the Prime Minister finds the fact set forth in Article 178, paragraph (1), item (i) to have occurred; hereinafter the same applies in this paragraph), the preceding paragraph, or paragraph (15) (but only if the Prime Minister finds the fact set forth in Article 178, paragraph (1), item (i) to have occurred), the Prime Minister may not issue a new decision with regard to such a public offering or secondary distribution pursuant to the preceding two paragraphs.
If the Prime Minister is required to issue the decision referred to in paragraph (1) (limited to a decision under Article 178, paragraph (1), item (iii)) in connection with the submission of ongoing disclosure documents (meaning an annual securities report or a semiannual securities report; the same applies in the following paragraph) covering the same business year subject to disclosure, for each of the fact that falls under Article 172-3, paragraph (1) and the fact that falls under paragraph (2) of that Article, in lieu of the amount set forth in Article 172-3, paragraph (1) or the amount set forth in Article 172-3, paragraph (2), the Prime Minister must issue an order for the relevant person to pay an administrative monetary penalty to the national treasury in an amount that is equivalent to the amount arrived at when the amount calculated pursuant to paragraph (1) of that Article is proportionally divided in parallel with the amount calculated for each decision (meaning the amount calculated pursuant to Article 172-3, paragraph (1) or (2) in respect of the fact subject to each decision).
内閣総理大臣は、同一の記載対象事業年度に係る継続開示書類(有価証券報告書又は半期報告書をいう。次項において同じ。)の提出について第百七十二条の三第一項に該当する事実及び同条第二項に該当する事実のそれぞれについて第一項の決定(第百七十八条第一項第三号に係るものに限る。)をしなければならないときは、第百七十二条の三第一項又は第二項の規定による額に代えて、同条第一項の規定により算出した額を個別決定ごとの算出額(それぞれの決定に係る事実について同条第一項又は第二項の規定により算出した額をいう。)に応じて按分して得た額に相当する額の課徴金を国庫に納付することを命ずる旨の決定をしなければならない。
If the Prime Minister is required to issue the decision referred to in paragraph (1) (but only if the Prime Minister finds a fact set forth in Article 178, paragraph (1), item (iii) to have occurred; hereinafter the same applies in this paragraph), and is required to issue a decision (hereinafter referred to as a "new decision" in this paragraph) in connection with an ongoing disclosure document for the same business year subject to disclosure as the ongoing disclosure document in connection with which a decision (hereinafter referred to as a "prior decision" in this paragraph) has already been made pursuant to paragraph (1) or paragraph (15) (but only if the Prime Minister found the fact set forth in Article 178, paragraph (1), item (iii) to have occurred; hereinafter the same applies in this paragraph), in lieu of the amount set forth in Article 172-3, paragraph (1) or the amount set forth in Article 172-3, paragraph (2), the Prime Minister must issue an order in respect of the new decision for the relevant person to pay an administrative monetary penalty to the national treasury in an amount equal to the amount arrived at when the amount specified in item (ii) is deducted from the amount specified in item (i); provided, however, that unless the amount specified in item (i) exceeds the amount specified in item (ii), the Prime Minister may not issue an administrative monetary penalty payment order under Article 172-3, paragraph (1) or (2):
内閣総理大臣は、第一項(第百七十八条第一項第三号に掲げる事実があると認める場合に限る。以下この項において同じ。)の決定をしなければならない場合において、既に第一項又は第十五項(同号に掲げる事実があると認める場合に限る。以下この項において同じ。)の規定によりなされた決定(以下この項において「既決定」という。)に係る継続開示書類と同一の記載対象事業年度に係る継続開示書類について決定(以下この項において「新決定」という。)をしなければならないときは、当該新決定について、第百七十二条の三第一項又は第二項の規定による額に代えて、第一号に掲げる額から第二号に掲げる額を控除した額の課徴金を国庫に納付することを命ずる旨の決定をしなければならない。ただし、第一号に掲げる額が第二号に掲げる額を超えないときは、同条第一項又は第二項の規定による課徴金の納付を命ずることができない。
the amount calculated pursuant to Article 172-3, paragraph (1);
第百七十二条の三第一項の規定により算出した額
the amount of the administrative monetary penalty under the provisions of Article 172-3, paragraph (1) or (2) or paragraph (15) of this Article related to that prior decision.
当該既決定に係る第百七十二条の三第一項若しくは第二項又は本条第十五項の規定による課徴金の額
If the Prime Minister is required to issue the decision referred to in paragraph (1) (limited to a decision under Article 178, paragraph (1), item (iv)) in connection with two or more ongoing disclosure documents, etc. covering the same business year subject to disclosure (meaning an annual securities report, etc. or a semiannual securities or extraordinary report, etc., but excluding an amended report to amend a false statement contained in any of those documents or to correct a deficiency in respect of a material particular that is required to be stated as prescribed in Article 7, paragraph (1), Article 9, paragraph (1), or Article 10, paragraph (1) as applied mutatis mutandis pursuant to Article 24-2, paragraph (1) and Article 24-5, paragraph (5) (these provisions including as applied mutatis mutandis pursuant to Article 27); the same applies in the following paragraph), and the sum total of the amounts calculated pursuant to Article 172-4, paragraph (1) or (2) (including as applied mutatis mutandis pursuant to paragraph (3) of that Article) in respect of each fact subject to a decision (hereinafter referred to as the "amount calculated for each decision" in this paragraph, the following paragraph, and paragraph (16) (but only if the Prime Minister finds the fact set forth in Article 178, paragraph (1), item (iv) to have occurred)) exceeds the higher of the amounts set forth in the following items, in lieu of the amount provided for in Article 172-4, paragraph (1) or (2) (including as applied mutatis mutandis pursuant to paragraph (3) of that Article), the Prime Minister must issue an order for the relevant person to pay an administrative monetary penalty to the national treasury in an amount that is equivalent to the amount arrived at when the higher of those amounts is proportionally divided in parallel with the amount calculated for each decision, pursuant to the provisions of Cabinet Office Order:
内閣総理大臣は、同一の記載対象事業年度に係る二以上の継続開示書類等(有価証券報告書等又は半期・臨時報告書等をいい、これらの書類に係る虚偽の記載を訂正し、又は記載すべき重要な事項の不備を補正する第二十四条の二第一項及び第二十四条の五第五項(これらの規定を第二十七条において準用する場合を含む。)において準用する第七条第一項、第九条第一項又は第十条第一項の規定による訂正報告書を除く。次項において同じ。)について第一項の決定(第百七十八条第一項第四号に係るものに限る。)をしなければならない場合において、それぞれの決定に係る事実について第百七十二条の四第一項又は第二項(同条第三項において準用する場合を含む。)の規定により算出した額(以下この項、次項及び第十六項(同号に掲げる事実があると認める場合に限る。)において「個別決定ごとの算出額」という。)を合計した額が次の各号に掲げる額のいずれか高い額を超えるときは、第百七十二条の四第一項又は第二項(同条第三項において準用する場合を含む。)の規定による額に代えて、当該高い額を内閣府令で定めるところにより当該個別決定ごとの算出額に応じて按分して得た額に相当する額の課徴金を国庫に納付することを命ずる旨の決定をしなければならない。
the highest of the amounts calculated pursuant to Article 172-4, paragraph (1) for the fact that has occurred in respect of the decision, for each annual securities report, etc.;
それぞれの有価証券報告書等についての当該決定に係る事実について第百七十二条の四第一項の規定により算出した額のうち最も高い額
the highest of the amounts arrived at when the amount calculated pursuant to Article 172-4, paragraph (2) (including as applied mutatis mutandis pursuant to paragraph (3) of that Article) for the fact that has occurred in respect of the decision is multiplied by two, for each semiannual securities or extraordinary report, etc.
それぞれの半期・臨時報告書等についての当該決定に係る事実について第百七十二条の四第二項(同条第三項において準用する場合を含む。)の規定により算出した額に二を乗じて得た額のうち最も高い額
If the Prime Minister is required to issue the decision referred to in paragraph (1) (but only if the Prime Minister finds the fact set forth in Article 178, paragraph (1), item (iv) to have occurred; hereinafter the same applies in this paragraph) or the decision referred to in the preceding paragraph, and is required to issue one or more decisions (hereinafter each is referred to as a "new decision" in this paragraph) in connection with an ongoing disclosure document, etc. for the same business year subject to disclosure, as an ongoing disclosure document, etc. in connection with which the Prime Minister has already issued one or more decisions pursuant to paragraph (1), the preceding paragraph, this paragraph, paragraph (14) (but only if the Prime Minister found the fact set forth in Article 178, paragraph (1), item (iv) to have occurred; hereinafter the same applies in this paragraph), paragraph (15) (but only if the Prime Minister found the fact set forth in Article 178, paragraph (1), item (iv) to have occurred; hereinafter the same applies in this paragraph), or paragraph (16) (but only if the Prime Minister found the fact set forth in Article 178, paragraph (1), item (iv) to have occurred; hereinafter the same applies in this paragraph) (each such a decision is hereinafter referred to as a "prior decision" in this paragraph), in lieu of the amount set forth in Article 172-4, paragraph (1) or (2) (including as applied mutatis mutandis pursuant to paragraph (3) of that Article) or the preceding paragraph, the Prime Minister must issue an order in respect of the new decisions, for the relevant person to pay an administrative monetary penalty to the national treasury in an amount that is equivalent to the amount arrived at when the amount specified in item (ii) is deducted from the amount specified in item (i), and the difference is then proportionally divided in parallel with the amount calculated for each decision in respect of each fact subject to a new decision, pursuant to the provisions of Cabinet Office Order; provided, however, that unless the amount specified in item (i) exceeds the amount specified in item (ii), the Prime Minister may not issue an administrative monetary penalty payment order under paragraph (1) or (2) of that Article (including as applied mutatis mutandis pursuant to paragraph (3) of that Article) or the preceding paragraph:
内閣総理大臣は、第一項(第百七十八条第一項第四号に掲げる事実があると認める場合に限る。以下この項において同じ。)又は前項の決定をしなければならない場合において、既に第一項、前項、この項、第十四項(同号に掲げる事実があると認める場合に限る。以下この項において同じ。)、第十五項(同号に掲げる事実があると認める場合に限る。以下この項において同じ。)又は第十六項(同号に掲げる事実があると認める場合に限る。以下この項において同じ。)の規定によりなされた一以上の決定(以下この項において「既決定」という。)に係る継続開示書類等と同一の記載対象事業年度に係る継続開示書類等について一以上の決定(以下この項において「新決定」という。)をしなければならないときは、当該新決定について、第百七十二条の四第一項若しくは第二項(同条第三項において準用する場合を含む。)又は前項の規定による額に代えて、第一号に掲げる額から第二号に掲げる額を控除した額を内閣府令で定めるところによりそれぞれの新決定に係る事実について個別決定ごとの算出額に応じて按分して得た額に相当する額の課徴金を国庫に納付することを命ずる旨の決定をしなければならない。ただし、第一号に掲げる額が第二号に掲げる額を超えないときは、同条第一項若しくは第二項(同条第三項において準用する場合を含む。)又は前項の規定による課徴金の納付を命ずることができない。
the sum total of the amounts calculated for each decision, in respect of each fact subject to a prior decision and to a new decision (if this amount exceeds the higher of the amounts set forth in the following (a) or (b), this means the higher of those amounts):
the highest of the amounts calculated pursuant to Article 172-4, paragraph (1) in respect of each fact subject to a prior decision and to a new decision for each annual report, etc.; or
それぞれの有価証券報告書等についての当該既決定又は当該新決定に係る事実について第百七十二条の四第一項の規定により算出した額のうち最も高い額
the highest of the amounts arrived at when the amounts calculated pursuant to Article 172-4, paragraph (2) (including as applied mutatis mutandis pursuant to paragraph (3) of that Article) in respect of each fact subject to a prior decision and to a new decision for each semiannual securities or extraordinary report, etc., are multiplied by two;
それぞれの半期・臨時報告書等についての当該既決定又は当該新決定に係る事実について第百七十二条の四第二項(同条第三項において準用する場合を含む。)の規定により算出した額に二を乗じて得た額のうち最も高い額
the sum of the amount of administrative monetary penalty under Article 172-4, paragraph (1) or (2) (including as applied mutatis mutandis pursuant to paragraph (3) of that Article), the preceding paragraph, this paragraph, and paragraphs (14) through (16), in connection with the prior decisions.
当該既決定に係る第百七十二条の四第一項若しくは第二項(同条第三項において準用する場合を含む。)又は前項、この項若しくは第十四項から第十六項までの規定による課徴金の額を合計した額
If the Prime Minister is required to issue the decision referred to in paragraph (1) in connection with two or more tender offer documents, etc. (meaning a public notice of the commencement of the tender offer, etc. or a tender offer statement; the same applies in the following paragraph) for the same tender offer (limited to a decision under Article 178, paragraph (1), item (vi)), in lieu of the amount set forth in Article 172-6, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (2) of that Article), the Prime Minister must issue an order for the relevant person to pay an administrative monetary penalty to the national treasury in an amount that is equivalent to the amount arrived at when the amount calculated pursuant to paragraph (1) of that Article is divided proportionally in parallel with the amounts calculated pursuant to that paragraph (including as applied mutatis mutandis pursuant to paragraph (2) of that Article) in respect of each fact subject to a decision.
If the Prime Minister has already issued a decision pursuant to paragraph (1) (but only if the Prime Minister found the fact set forth in Article 178, paragraph (1), item (vi) to have occurred; hereinafter the same applies in this paragraph), the preceding paragraph, or paragraph (15) (but only if the Prime Minister found the fact set forth in Article 178, paragraph (1), item (vi) to have occurred) in connection with a tender offer document, etc., the Prime Minister may not issue a new decision pursuant to paragraph (1) or the preceding paragraph in connection with a tender offer document, etc. linked to the same tender offer as that tender offer document, etc.
If the Prime Minister is required to issue the decision referred to in paragraph (1) (limited to a decision under Article 178, paragraph (1), item (xi)) in connection with two or more pieces of information on the issuer, etc. for the same business year subject to disclosure (excluding amended information on the issuer that amends false information contained in the relevant information on the issuer, etc. or that corrects a deficiency of information about a material particular that is required to be provided or disclosed; the same applies in the following paragraph), in lieu of the amount under Article 172-11, paragraph (1), the Prime Minister must issue an order for the relevant person to pay an administrative monetary penalty to the national treasury in an amount that is equivalent to the amount arrived at when the highest of the amounts calculated pursuant to that paragraph in respect of each fact subject to a decision (hereinafter referred to as the "amount calculated for each decision" in this paragraph, the following paragraph and paragraph (16) (but only if the Prime Minister finds the fact set forth in Article 178, paragraph (1), item (xi) to have occurred)) is proportionally divided in parallel with the amount calculated for each decision, pursuant to the provisions of Cabinet Office Order.
内閣総理大臣は、同一の記載対象事業年度に係る二以上の発行者等情報(発行者等情報に係る虚偽の情報を訂正し、又は提供し、若しくは公表すべき重要な事項に関する情報の不備を補正する訂正発行者情報を除く。次項において同じ。)について第一項の決定(第百七十八条第一項第十一号に係るものに限る。)をしなければならないときは、第百七十二条の十一第一項の規定による額に代えて、それぞれの決定に係る事実について同項の規定により算出した額(以下この項、次項及び第十六項(同号に掲げる事実があると認める場合に限る。)において「個別決定ごとの算出額」という。)のうち最も高い額を内閣府令で定めるところにより当該個別決定ごとの算出額に応じて按分して得た額に相当する額の課徴金を国庫に納付することを命ずる旨の決定をしなければならない。
If the Prime Minister is required to issue the decision referred to in paragraph (1) (but only if the Prime Minister finds the fact set forth in Article 178, paragraph (1), item (xi) to have occurred; hereinafter the same applies in this paragraph) or the preceding paragraph, and must issue one or more decisions (hereinafter each is referred to as a "new decision" in this paragraph) in connection with information on the issuer, etc. for the same business year subject to disclosure as information on the issuer, etc. in connection with which the Prime Minister has already issued one or more decisions pursuant to paragraph (1), the preceding paragraph, this paragraph, paragraph (14) (but only if the Prime Minister found the fact set forth in Article 178, paragraph (1), item (xi) to have occurred; hereinafter the same applies in this paragraph), paragraph (15) (but only if the Prime Minister found the fact set forth in that Article 178, paragraph (1), item (xi) to have occurred; hereinafter the same applies in this paragraph), or paragraph (16) (but only if the Prime Minister found the fact set forth in Article 178, paragraph (1), item (xi) to have occurred; hereinafter the same applies in this paragraph) (each such a decision is hereinafter referred to as a "prior decision" in this paragraph), in lieu of the amount set forth in Article 172-11, paragraph (1) or the preceding paragraph, the Prime Minister must issue an order in connection with the new decisions, for the relevant person to pay an administrative monetary penalty to the national treasury in an amount that is equivalent to the amount arrived at when the amount specified in item (ii) is deducted from the amount specified in item (i) and the difference is then divided proportionally in parallel with the amount calculated for each decision in respect of each fact subject to a new decision, pursuant to the provisions of Cabinet Office Order; provided, however, that unless the amount specified in item (i) exceeds the amount specified in item (ii), the Prime Minister may not issue an administrative monetary penalty payment order under Article 172-11, paragraph (1) or the preceding paragraph:
内閣総理大臣は、第一項(第百七十八条第一項第十一号に掲げる事実があると認める場合に限る。以下この項において同じ。)又は前項の決定をしなければならない場合において、既に第一項、前項、この項、第十四項(同号に掲げる事実があると認める場合に限る。以下この項において同じ。)、第十五項(同号に掲げる事実があると認める場合に限る。以下この項において同じ。)又は第十六項(同号に掲げる事実があると認める場合に限る。以下この項において同じ。)の規定によりなされた一以上の決定(以下この項において「既決定」という。)に係る発行者等情報と同一の記載対象事業年度に係る発行者等情報について一以上の決定(以下この項において「新決定」という。)をしなければならないときは、当該新決定について、第百七十二条の十一第一項又は前項の規定による額に代えて、第一号に掲げる額から第二号に掲げる額を控除した額を内閣府令で定めるところによりそれぞれの新決定に係る事実について個別決定ごとの算出額に応じて按分して得た額に相当する額の課徴金を国庫に納付することを命ずる旨の決定をしなければならない。ただし、第一号に掲げる額が第二号に掲げる額を超えないときは、同条第一項又は前項の規定による課徴金の納付を命ずることができない。
the highest of the amount calculated for each decision in respect of each fact subject to a prior decision or a new decision;
the sum of the amount of administrative monetary penalty under Article 172-11, paragraph (1), the preceding paragraph, this paragraph, and paragraphs (14) through (16) in connection with the prior decisions.
当該既決定に係る第百七十二条の十一第一項又は前項、この項若しくは第十四項から第十六項までの規定による課徴金の額を合計した額
When the Prime Minister is required to issue decisions under paragraph (1) (limited to the decision related to Article 178, paragraph (1), item (xvii)) in relation to two or more Acts of Violation (meaning the violation prescribed in Article 175-2, paragraph (1) or (2), and including the specified act of providing information, etc. prescribed in paragraphs (13) and (14) of that Article; hereinafter the same applies in this paragraph and the following paragraph) committed in relation to the same business of public offering, etc., the Prime Minister must issue an order to pay to the national treasury an administrative monetary penalty in an amount equivalent to the amount obtained by adding the amount set forth in paragraph (1), item (ii), (a) or paragraph (2), item (ii), (a) of that Article to the amount obtained by dividing the amount set forth in paragraph (1), item (ii), (b) or paragraph (2), item (ii), (b) of that Article by the number of such decisions, for the respective acts of violation, in lieu of the amount set forth in Article 175-2, paragraph (1) (including the cases where applied mutatis mutandis pursuant to paragraph (13) of that Article; hereinafter the same applies in this paragraph and the following paragraph) or paragraph (2) of that Article (including as applied mutatis mutandis pursuant to paragraph (14) of that Article; hereinafter the same applies in this paragraph and the following paragraph).
内閣総理大臣は、同一の募集等業務に関し行われた二以上の違反行為(第百七十五条の二第一項又は第二項に規定する違反行為をいい、同条第十三項及び第十四項に規定する特定伝達等行為を含む。以下この項及び次項において同じ。)について第一項の決定(第百七十八条第一項第十七号に係るものに限る。)をしなければならないときは、第百七十五条の二第一項(同条第十三項において準用する場合を含む。以下この項及び次項において同じ。)又は第二項(同条第十四項において準用する場合を含む。以下この項及び次項において同じ。)の規定による額に代えて、それぞれの違反行為について、同条第一項第二号イ又は第二項第二号イに掲げる額に、同条第一項第二号ロ又は第二項第二号ロに掲げる額を当該決定の件数で除して得た額を加えた額に相当する額の課徴金を国庫に納付することを命ずる旨の決定をしなければならない。
When the Prime Minister is required to issue a decision under paragraph (1) (limited to the cases where any fact specified in Article 178, paragraph (1), item (xvii) has been found; hereinafter the same applies in this paragraph) or the preceding paragraph, if the Prime Minister needs to issue one or more decisions (hereinafter referred to as the "new decision" in this paragraph) for the violation conducted in relation to the same business of public offering, etc. as that related to one or more decisions already issued under paragraph (1), the preceding paragraph, this paragraph, or paragraph (15) (limited to the cases where any fact specified in that item has been found), the Prime Minister must issue an order to pay to the national treasury an administrative monetary penalty equivalent to the amount set forth in paragraph (1), item (ii), (a) or paragraph (2), item (ii), (a) of that Article related to the respective acts of violation, in lieu of the amount set forth in Article 175-2, paragraph (1) or (2), with regard to the new decision.
内閣総理大臣は、第一項(第百七十八条第一項第十七号に掲げる事実があると認める場合に限る。以下この項において同じ。)又は前項の決定をしなければならない場合において、既に第一項、前項、この項又は第十五項(同号に掲げる事実があると認める場合に限る。)の規定によりなされた一以上の決定に係る募集等業務と同一の募集等業務に関し行われた違反行為について一以上の決定(以下この項において「新決定」という。)をしなければならないときは、当該新決定について、第百七十五条の二第一項若しくは第二項又は前項の規定による額に代えて、それぞれの違反行為に係る同条第一項第二号イ又は第二項第二号イに掲げる額に相当する額の課徴金を国庫に納付することを命ずる旨の決定をしなければならない。
If the Prime Minister is required to issue the decision referred to in paragraph (1) (limited to a case where the Prime Minister finds to have occurred any of the following: a fact set forth in Article 178, paragraph (1), item (ii) that falls under Article 172-2, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (4) of that Article; hereinafter the same applies in this paragraph); a fact set forth in Article 178, paragraph (1), item (iv) that falls under Article 172-4, paragraph (1) or (2); a fact set forth in Article 178, paragraph (1), item (vii); a fact set forth in Article 178, paragraph (1), item (x) that falls under Article 172-10, paragraph (1); a fact set forth in Article 178, paragraph (1), item (xi); a fact set forth in Article 178, paragraph (1), item (xi)-2; or a fact set forth in Article 178, paragraph (1), item (xvi) that falls under Article 175, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (9) of that Article); hereinafter the same applies in this paragraph), or the decision referred to in paragraph (6), (7), (10), or (11) (in the case where the Prime Minister finds to have occurred the fact set forth in Article 178, paragraph (1), item (xvi) that falls under Article 175, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (9) of that Article), this is limited to a case where the purchase and sale, etc. prescribed in Article 166, paragraph (1) involving that fact is an acquisition of own shares by the listed company, etc. prescribed in Article 175, paragraph (9) pursuant to the provisions of Article 156, paragraph (1) of the Companies Act (including as applied pursuant to the provisions of Article 163 and Article 165, paragraph (3) of that Act following the deemed replacement of terms) or a foreign law or regulation that is equivalent to those provisions, or any other case specified by Cabinet Office Order as being equivalent to this), and a person set forth in Column 1 of the following table has reported the fact to the Prime Minister pursuant to the provisions of Cabinet Office Order before the disposition set forth in Column 3 of that table is carried out with regard to the fact that falls under the provisions set forth in Column 2 of that table, in lieu of the amount set forth in Column 4 of that table, the Prime Minister must issue an order for the relevant person to pay an administrative monetary penalty to the national treasury in an amount that is equivalent to the amount arrived at when that amount is multiplied by 50 percent.
| Column 1 | Column 2 | Column 3 | Column 4 |
| An issuer prescribed in Article 172-2, paragraph (1) | Article 172-2, paragraph (1) | Any of an order to submit reports or materials or an inspection of books, documents, and other articles under Article 26, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27), or the dispositions set forth in the items of Article 177, paragraph (1) | The amount under Article 172-2, paragraph (1) (where the decision under paragraph (1) is required with regard to the submission of two or more disclosure documents for offerings (meaning the disclosure documents for offerings prescribed in paragraph (3) of that Article; hereinafter the same applies in this paragraph) or with regard to a secondary distribution pertaining to prospectuses, limited to the amount pertaining to the submission of the disclosure document for offerings, or the secondary distribution pertaining to a prospectus, for which the commencement of the submission or the secondary distribution is the latest) |
| An issuer prescribed in Article 172-4, paragraph (1) or (2) | Article 172-4, paragraph (1) or (2) | Any of an order to submit reports or materials or an inspection of books, documents, and other articles under Article 26, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27), or the dispositions set forth in the items of Article 177, paragraph (1) | The amount under Article 172-4, paragraph (1) or (2), or Article 185-7, paragraph (6) or (7) (where the decision under paragraph (1), (6), or (7) is required with regard to the submission of two or more annual securities reports, etc. or semiannual securities or extraordinary reports, etc., limited to the amount pertaining to the latest such submission of an annual securities report, etc. or semiannual securities or extraordinary report, etc.) |
| A person prescribed in Article 172-7 | Article 172-7 | Either an order to submit reports or materials under Article 27-30, paragraph (1) or an inspection of books, documents, and other articles | The amount under Article 172-7 (where the decision under paragraph (1) is required with regard to two or more statements of large-volume holdings or changes, limited to the amount pertaining to the statement of large-volume holdings or changes whose submission deadline is the latest) |
| An issuer prescribed in Article 172-10, paragraph (1) | Article 172-10, paragraph (1) | Any of an order to submit reports or materials or an inspection of books, documents, and other articles under Article 27-35, paragraph (1), or the dispositions set forth in the items of Article 177, paragraph (1) | The amount under Article 172-10, paragraph (1) (where the decision under paragraph (1) is required with regard to the provision or publication of two or more pieces of specified information on securities, etc., limited to the amount pertaining to the latest such provision or publication) |
| An issuer prescribed in Article 172-11, paragraph (1) | Article 172-11, paragraph (1) | Any of an order to submit reports or materials or an inspection of books, documents, and other articles under Article 27-35, paragraph (1), or the dispositions set forth in the items of Article 177, paragraph (1) | The amount under Article 172-11, paragraph (1), or Article 185-7, paragraph (10) or (11) (where the decision under paragraph (1), (10), or (11) is required with regard to the provision or publication of two or more pieces of information on the issuer, etc., limited to the amount pertaining to the latest such provision or publication) |
| A specified involved person prescribed in Article 172-12, paragraph (1) | Article 172-12, paragraph (1) (excluding the case where a person set forth in item (ii) of that paragraph has submitted the documents specified in that item) | Any of an order to submit reports or materials or an inspection of books, documents, and other articles under Article 26, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27), or the dispositions set forth in the items of Article 177, paragraph (1) | The amount under Article 172-12, paragraph (1) |
| A person prescribed in Article 175, paragraph (1) or a listed company, etc. prescribed in paragraph (9) of that Article | Article 175, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (9) of that Article) | Any of the dispositions set forth in the items of Article 177, paragraph (1) | The amount under Article 175, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (9) of that Article) (where the decision under paragraph (1) is required with regard to two or more purchases and sales, etc. prescribed in Article 166, paragraph (1), limited to the amount pertaining to the latest such purchase and sale, etc.) |
内閣総理大臣は、第一項(第百七十八条第一項第二号に掲げる事実のうち第百七十二条の二第一項(同条第四項において準用する場合を含む。以下この項において同じ。)に該当する事実、第百七十八条第一項第四号に掲げる事実のうち第百七十二条の四第一項若しくは第二項に該当する事実、第百七十八条第一項第七号に掲げる事実、同項第十号に掲げる事実のうち第百七十二条の十第一項に該当する事実、第百七十八条第一項第十一号に掲げる事実、同項第十一号の二に掲げる事実又は同項第十六号に掲げる事実のうち第百七十五条第一項(同条第九項において準用する場合を含む。)に該当する事実があると認める場合に限る。以下この項において同じ。)、第六項、第七項、第十項又は第十一項の決定をしなければならない場合(同号に掲げる事実のうち同条第一項(同条第九項において準用する場合を含む。)に該当する事実があると認める場合にあつては、当該事実に係る第百六十六条第一項に規定する売買等が、第百七十五条第九項に規定する上場会社等による会社法第百五十六条第一項(同法第百六十三条及び第百六十五条第三項の規定により読み替えて適用する場合を含む。)の規定又はこれらに相当する外国の法令の規定による自己の株式の取得である場合その他これに準ずる場合として内閣府令で定める場合に限る。)において、次の表の第一欄に掲げる者が、同表の第二欄に掲げる規定に該当する事実について同表の第三欄に掲げる処分が行われる前に、当該事実を内閣府令で定めるところにより内閣総理大臣に報告しているときは、同表の第四欄に掲げる額に代えて、当該額に百分の五十を乗じて得た額に相当する額の課徴金を国庫に納付することを命ずる旨の決定をしなければならない。
| 第一欄 | 第二欄 | 第三欄 | 第四欄 |
| 第百七十二条の二第一項に規定する発行者 | 第百七十二条の二第一項 | 第二十六条第一項(第二十七条において準用する場合を含む。)の規定による報告若しくは資料の提出の命令若しくは帳簿書類その他の物件の検査又は第百七十七条第一項各号に掲げる処分のいずれか | 第百七十二条の二第一項の規定による額(二以上の発行開示書類(同条第三項に規定する発行開示書類をいう。以下この項において同じ。)の提出又は目論見書に係る売出しについて第一項の決定をしなければならない場合には、当該発行開示書類の提出又は目論見書に係る売出しのうち当該提出又は当該売出しの開始が最も遅いものに係る額に限る。) |
| 第百七十二条の四第一項又は第二項に規定する発行者 | 第百七十二条の四第一項又は第二項 | 第二十六条第一項(第二十七条において準用する場合を含む。)の規定による報告若しくは資料の提出の命令若しくは帳簿書類その他の物件の検査又は第百七十七条第一項各号に掲げる処分のいずれか | 第百七十二条の四第一項若しくは第二項又は本条第六項若しくは第七項の規定による額(二以上の有価証券報告書等又は半期・臨時報告書等の提出について第一項、第六項又は第七項の決定をしなければならない場合には、当該有価証券報告書等又は半期・臨時報告書等の提出のうち最も遅いものに係る額に限る。) |
| 第百七十二条の七に規定する者 | 第百七十二条の七 | 第二十七条の三十第一項の規定による報告若しくは資料の提出の命令又は帳簿書類その他の物件の検査のいずれか | 第百七十二条の七の規定による額(二以上の大量保有・変更報告書について第一項の決定をしなければならない場合には、当該大量保有・変更報告書のうちその提出期限が最も遅いものに係る額に限る。) |
| 第百七十二条の十第一項に規定する発行者 | 第百七十二条の十第一項 | 第二十七条の三十五第一項の規定による報告若しくは資料の提出の命令若しくは帳簿書類その他の物件の検査又は第百七十七条第一項各号に掲げる処分のいずれか | 第百七十二条の十第一項の規定による額(二以上の特定証券等情報の提供又は公表について第一項の決定をしなければならない場合には、当該提供又は公表のうち最も遅いものに係る額に限る。) |
| 第百七十二条の十一第一項に規定する発行者 | 第百七十二条の十一第一項 | 第二十七条の三十五第一項の規定による報告若しくは資料の提出の命令若しくは帳簿書類その他の物件の検査又は第百七十七条第一項各号に掲げる処分のいずれか | 第百七十二条の十一第一項又は本条第十項若しくは第十一項の規定による額(二以上の発行者等情報の提供又は公表について第一項、第十項又は第十一項の決定をしなければならない場合には、当該提供又は公表のうち最も遅いものに係る額に限る。) |
| 第百七十二条の十二第一項に規定する特定関与者 | 第百七十二条の十二第一項(同項第二号に掲げる者が同号に定める書類を提出した場合を除く。) | 第二十六条第一項(第二十七条において準用する場合を含む。)の規定による報告若しくは資料の提出の命令若しくは帳簿書類その他の物件の検査又は第百七十七条第一項各号に掲げる処分のいずれか | 第百七十二条の十二第一項の規定による額 |
| 第百七十五条第一項に規定する者又は同条第九項に規定する上場会社等 | 第百七十五条第一項(同条第九項において準用する場合を含む。) | 第百七十七条第一項各号に掲げる処分のいずれか | 第百七十五条第一項(同条第九項において準用する場合を含む。)の規定による額(二以上の第百六十六条第一項に規定する売買等について第一項の決定をしなければならない場合には、当該売買等のうち最も遅いものに係る額に限る。) |
If the Prime Minister is required to issue the decision referred to in paragraph (1), paragraph (2), paragraphs (4) through (8), or paragraph (10) through the preceding paragraph, and the person subject to the decision that is set forth in the left column of the following table was, within five years counting back from the date set forth in the middle column of that table, subject to an administrative monetary penalty payment order as provided in Article 185-15, paragraph (1) (if, in connection with that administrative monetary penalty payment order, the action referred to in Article 185-18, paragraph (1) has been filed, this is limited to a case where the judicial decision on that action has become final and binding) or to a decision as provided in paragraph (18) (limited to a decision to the effect that paragraph (3), the proviso to paragraph (5), the proviso to paragraph (7), paragraph (9), the proviso to paragraph (11), the proviso to the following paragraph, or the proviso to paragraph (17) applies), in lieu of the amount set forth in the provisions specified in the right-hand column of that table, the Prime Minister must issue an order for the relevant person to pay an administrative monetary penalty to the national treasury in an amount that is equivalent to 150 percent of that amount.
| A person prescribed in Article 172, paragraph (1) | the day on which any of the following was commenced: the public offering or secondary distribution of securities for which a notification under Article 4, paragraph (1) is required, the general solicitation involving securities acquired by a qualified institutional investor for which a notification under Article 4, paragraph (2) is required, or the general solicitation involving securities acquired by a professional investor for which a notification under Article 4, paragraph (3) is required | Article 172, paragraph (1) or Article 185-7, paragraph (2) |
| An issuer prescribed in Article 172, paragraph (2) or a person prescribed in that paragraph | the day on which, in violation of the provisions of Article 15, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27), the securities prescribed in that paragraph were caused to be acquired or were sold through a public offering or a secondary distribution prescribed in Article 172, paragraph (2) | Article 172, paragraph (2) or Article 185-7, paragraph (2) |
| A person prescribed in Article 172, paragraph (3) | the day on which, in violation of the provisions of Article 15, paragraph (2) (including as applied mutatis mutandis pursuant to Article 27), securities were sold through a secondary distribution prescribed in Article 172, paragraph (3) without delivering a prospectus | Article 172, paragraph (3) |
| An issuer prescribed in Article 172, paragraph (4) or a person prescribed in that paragraph | the day on which, in violation of the provisions of Article 23-8, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27), the securities prescribed in that paragraph were caused to be acquired or were sold through a public offering or a secondary distribution prescribed in Article 172, paragraph (2) | Article 172, paragraph (2) as applied mutatis mutandis pursuant to Article 172, paragraph (4) |
| An issuer prescribed in Article 172-2, paragraph (1) or its officer, etc. prescribed in paragraph (2) of that Article | the day on which a disclosure document for offerings prescribed in Article 172-2, paragraph (3) that contains a false statement about a material particular or omits a statement as to a material particular that is required to be stated was submitted | Article 172-2, paragraph (1) or (2), or the preceding paragraph (limited to a case where the Prime Minister finds a fact set forth in Article 178, paragraph (1), item (ii) that falls under Article 172-2, paragraph (1) to have occurred) |
| An issuer prescribed in Article 172-2, paragraph (4) or its officer, etc. prescribed in paragraph (2) of that Article | the day on which the secondary distribution prescribed in Article 172, paragraph (3) pertaining to a prospectus that contains a false statement about a material particular prescribed in Article 172-2, paragraph (4) or omits a statement as to a material particular prescribed in that paragraph that is required to be stated was commenced | Article 172-2, paragraph (1) as applied mutatis mutandis pursuant to paragraph (4) of that Article, Article 172-2, paragraph (2) as applied mutatis mutandis pursuant to paragraph (5) of that Article, or the preceding paragraph (limited to a case where the Prime Minister finds a fact set forth in Article 178, paragraph (1), item (ii) that falls under Article 172-2, paragraph (1) as applied mutatis mutandis pursuant to paragraph (4) of that Article to have occurred) |
| An issuer prescribed in Article 172-2, paragraph (6) | the day on which securities were caused to be acquired or were sold through a public offering or a secondary distribution prescribed in Article 172, paragraph (2) without submitting an amended offering disclosure document | Article 172-2, paragraph (6) |
| An issuer prescribed in the paragraphs of Article 172-3 | the respective submission deadlines for the annual securities report or the semiannual securities report (for the annual securities report under Article 24, paragraph (3) (including as applied mutatis mutandis pursuant to paragraph (5) of that Article, and these provisions including as applied mutatis mutandis pursuant to Article 27), the day on which the grounds arose on which that annual securities report must be submitted) | Article 172-3, paragraph (1) or (2), or Article 185-7, paragraph (4) or (5) |
| An issuer prescribed in Article 172-4, paragraph (1) or (2) | the respective days of submission of the annual securities report, etc. or the semiannual securities or extraordinary report, etc. that contains a false statement about a material particular or omits a statement as to a material particular that is required to be stated | Article 172-4, paragraph (1) or (2), or Article 185-7, paragraph (6), (7), or the preceding paragraph (limited to a case where the Prime Minister finds a fact set forth in Article 178, paragraph (1), item (iv) to have occurred) |
| An issuer prescribed in Article 172-4, paragraph (3) | the day on which the grounds arose on which an extraordinary report must be submitted | Article 172-4, paragraph (2) as applied mutatis mutandis pursuant to paragraph (3) of that Article, or Article 185-7, paragraph (6) or (7) |
| A person prescribed in Article 172-5 | the day on which, in violation of the provisions of Article 27-3, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)), a purchase, etc. prescribed in Article 27-2, paragraph (1) or Article 27-22-2, paragraph (1) of the share certificates, etc. prescribed in Article 27-2, paragraph (1) or of listed share certificates, etc. was made without giving a public notice of the commencement of a tender offer | Article 172-5 |
| A person prescribed in Article 172-6, paragraph (1) | the day on which a public notice of the commencement of a tender offer, etc. that contains a false indication of a material particular or omits an indication of a material particular that is required to be indicated was given, or the day on which a tender offer statement, etc. that contains a false statement about a material particular or omits a statement as to a material particular that is required to be stated was submitted | Article 172-6, paragraph (1) or Article 185-7, paragraph (8) |
| A person prescribed in Article 172-6, paragraph (2) | the submission deadline for the amended tender offer statement, etc. (for an amended statement under Article 27-8, paragraph (2) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)) or an amendment report under Article 27-8, paragraph (2) as applied mutatis mutandis pursuant to Article 27-10, paragraph (12), the day on which the grounds arose on which each of those documents must be submitted) | Article 172-6, paragraph (1) as applied mutatis mutandis pursuant to paragraph (2) of that Article, or Article 185-7, paragraph (8) |
| A person prescribed in Article 172-7 | the submission deadline for the statement of large-volume holdings or changes | Article 172-7 or the preceding paragraph (limited to a case where the Prime Minister finds a fact set forth in Article 178, paragraph (1), item (vii) to have occurred) |
| A person prescribed in Article 172-8 | the day on which a statement of large-volume holdings or changes, etc. that contains a false statement about a material particular or omits a statement as to a material particular that is required to be stated was submitted | Article 172-8 |
| A person prescribed in Article 172-9 | the day on which the specified solicitation, etc. was commenced | Article 172-9 |
| An issuer prescribed in Article 172-10, paragraph (1) or its officer, etc. prescribed in Article 172-2, paragraph (2) | the day on which specified information on securities, etc. that contains a falsehood, etc. was provided or publicized | Article 172-10, paragraph (1) or (2), or the preceding paragraph (limited to a case where the Prime Minister finds a fact set forth in Article 178, paragraph (1), item (x) to have occurred) |
| An issuer prescribed in Article 172-11, paragraph (1) | the day on which information on the issuer, etc. that contains a falsehood, etc. was provided or publicized | Article 172-11, paragraph (1), or Article 185-7, paragraph (10), (11), or the preceding paragraph (limited to a case where the Prime Minister finds a fact set forth in Article 178, paragraph (1), item (xi) to have occurred) |
| A specified involved person prescribed in Article 172-12, paragraph (1) | the day on which the specified involvement act prescribed in Article 172-12, paragraph (2) was commenced | Article 172-12, paragraph (1) or the preceding paragraph (limited to a case where the Prime Minister finds a fact set forth in Article 178, paragraph (1), item (xi)-2 to have occurred) |
| A violator prescribed in Article 173, paragraph (1) | the day on which the violation prescribed in Article 173, paragraph (1) was commenced | Article 173, paragraph (1) |
| A violator prescribed in Article 174, paragraph (1) | the day on which the violation prescribed in Article 174, paragraph (1) was commenced | Article 174, paragraph (1) |
| A violator prescribed in Article 174-2, paragraph (1) | the day on which the violation prescribed in Article 174-2, paragraph (1) was commenced | Article 174-2, paragraph (1) |
| A violator prescribed in Article 174-3, paragraph (1) | the day on which the violation prescribed in Article 174-3, paragraph (1) was commenced | Article 174-3, paragraph (1) |
| A person prescribed in Article 175, paragraph (1), a person prescribed in paragraph (2) of that Article, or a listed company, etc. prescribed in paragraph (9) of that Article | the day on which the purchase and sale, etc. prescribed in Article 166, paragraph (1) was conducted, or the day on which the purchase, etc. of the specified share certificates, etc. or related share certificates, etc. prescribed in Article 167, paragraph (1), or the sale, etc. of the share certificates, etc. prescribed in that paragraph, was conducted | Article 175, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (9) of that Article) or paragraph (2) of that Article, or the preceding paragraph (limited to a case where the Prime Minister finds a fact set forth in Article 178, paragraph (1), item (xvi) to have occurred) |
| A violator prescribed in Article 175-2, paragraph (1), a violator prescribed in paragraph (2) of that Article, a listed company, etc. prescribed in paragraph (13) of that Article, or a tender offeror, etc. prescribed in paragraph (14) of that Article | the day on which the violation prescribed in Article 175-2, paragraph (1) or (2), or the specified act of providing information, etc. prescribed in paragraph (13) or (14) of that Article, was conducted | Article 175-2, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (13) of that Article) or paragraph (2) (including as applied mutatis mutandis pursuant to paragraph (14) of that Article), or Article 185-7, paragraph (12) or (13) |
内閣総理大臣は、第一項、第二項、第四項から第八項まで又は第十項から前項までの規定により決定をしなければならない場合において、当該決定を受けるべき次の表の上欄に掲げる者が、同表の中欄に掲げる日から遡り五年以内に、第百八十五条の十五第一項に規定する課徴金納付命令(当該課徴金納付命令に係る第百八十五条の十八第一項の訴えの提起があつたときは、当該訴えに係る裁判が確定している場合に限る。)又は第十八項に規定する決定(第三項、第五項ただし書、第七項ただし書、第九項、第十一項ただし書、次項ただし書又は第十七項ただし書に該当する旨の決定に限る。)を受けたことがあるときは、同表の下欄に掲げる規定による額に代えて、当該額の一・五倍に相当する額の課徴金を国庫に納付することを命ずる旨の決定をしなければならない。
| 第百七十二条第一項に規定する者 | 第四条第一項の規定による届出を必要とする有価証券の募集若しくは売出し、同条第二項の規定による届出を必要とする適格機関投資家取得有価証券一般勧誘又は同条第三項の規定による届出を必要とする特定投資家等取得有価証券一般勧誘を開始した日 | 第百七十二条第一項又は本条第二項 |
| 第百七十二条第二項に規定する発行者又は同項に規定する者 | 第十五条第一項(第二十七条において準用する場合を含む。)の規定に違反して、同項に規定する有価証券を募集又は第百七十二条第二項に規定する売出しにより取得させ、又は売り付けた日 | 第百七十二条第二項又は本条第二項 |
| 第百七十二条第三項に規定する者 | 第十五条第二項(第二十七条において準用する場合を含む。)の規定に違反して、目論見書を交付しないで第百七十二条第三項に規定する売出しにより有価証券を売り付けた日 | 第百七十二条第三項 |
| 第百七十二条第四項に規定する発行者又は同項に規定する者 | 第二十三条の八第一項(第二十七条において準用する場合を含む。)の規定に違反して、同項に規定する有価証券を募集又は第百七十二条第二項に規定する売出しにより取得させ、又は売り付けた日 | 第百七十二条第四項において準用する同条第二項 |
| 第百七十二条の二第一項に規定する発行者又はその同条第二項に規定する役員等 | 重要な事項につき虚偽の記載があり、又は記載すべき重要な事項の記載が欠けている第百七十二条の二第三項に規定する発行開示書類を提出した日 | 第百七十二条の二第一項若しくは第二項又は前項(第百七十八条第一項第二号に掲げる事実のうち第百七十二条の二第一項に該当する事実があると認める場合に限る。) |
| 第百七十二条の二第四項に規定する発行者又はその同条第二項に規定する役員等 | 第百七十二条の二第四項に規定する重要な事項につき虚偽の記載があり、又は記載すべき同項に規定する重要な事項の記載が欠けている目論見書に係る第百七十二条第三項に規定する売出しを開始した日 | 第百七十二条の二第四項において準用する同条第一項若しくは同条第五項において準用する同条第二項又は前項(第百七十八条第一項第二号に掲げる事実のうち第百七十二条の二第四項において準用する同条第一項に該当する事実があると認める場合に限る。) |
| 第百七十二条の二第六項に規定する発行者 | 発行開示訂正書類を提出しないで募集又は第百七十二条第二項に規定する売出しにより有価証券を取得させ、又は売り付けた日 | 第百七十二条の二第六項 |
| 第百七十二条の三各項に規定する発行者 | 有価証券報告書又は半期報告書のそれぞれの提出期限(第二十四条第三項(同条第五項において準用し、及びこれらの規定を第二十七条において準用する場合を含む。)の規定による有価証券報告書にあつては当該有価証券報告書を提出しなければならない事由が生じた日) | 第百七十二条の三第一項若しくは第二項又は本条第四項若しくは第五項 |
| 第百七十二条の四第一項又は第二項に規定する発行者 | 重要な事項につき虚偽の記載があり、又は記載すべき重要な事項の記載が欠けている有価証券報告書等又は半期・臨時報告書等のそれぞれを提出した日 | 第百七十二条の四第一項若しくは第二項又は本条第六項、第七項若しくは前項(第百七十八条第一項第四号に掲げる事実があると認める場合に限る。) |
| 第百七十二条の四第三項に規定する発行者 | 臨時報告書を提出しなければならない事由が生じた日 | 第百七十二条の四第三項において準用する同条第二項又は本条第六項若しくは第七項 |
| 第百七十二条の五に規定する者 | 第二十七条の三第一項(第二十七条の二十二の二第二項において準用する場合を含む。)の規定に違反して、公開買付開始公告を行わないで第二十七条の二第一項に規定する株券等又は上場株券等の同項又は第二十七条の二十二の二第一項に規定する買付け等が行われた日 | 第百七十二条の五 |
| 第百七十二条の六第一項に規定する者 | 重要な事項につき虚偽の表示があり、若しくは表示すべき重要な事項の表示が欠けている公開買付開始公告等を行つた日又は重要な事項につき虚偽の記載があり、若しくは記載すべき重要な事項の記載が欠けている公開買付届出書等を提出した日 | 第百七十二条の六第一項又は本条第八項 |
| 第百七十二条の六第二項に規定する者 | 公開買付訂正届出書等の提出期限(第二十七条の八第二項(第二十七条の二十二の二第二項において準用する場合を含む。)の規定による訂正届出書又は第二十七条の十第十二項において準用する第二十七条の八第二項の規定による訂正報告書にあつては、これらの書類のそれぞれを提出しなければならない事由が生じた日) | 第百七十二条の六第二項において準用する同条第一項又は本条第八項 |
| 第百七十二条の七に規定する者 | 大量保有・変更報告書の提出期限 | 第百七十二条の七又は前項(第百七十八条第一項第七号に掲げる事実があると認める場合に限る。) |
| 第百七十二条の八に規定する者 | 重要な事項につき虚偽の記載があり、又は記載すべき重要な事項の記載が欠けている大量保有・変更報告書等を提出した日 | 第百七十二条の八 |
| 第百七十二条の九に規定する者 | 特定勧誘等を開始した日 | 第百七十二条の九 |
| 第百七十二条の十第一項に規定する発行者又はその第百七十二条の二第二項に規定する役員等 | 虚偽等のある特定証券等情報を提供し、又は公表した日 | 第百七十二条の十第一項若しくは第二項又は前項(第百七十八条第一項第十号に掲げる事実があると認める場合に限る。) |
| 第百七十二条の十一第一項に規定する発行者 | 虚偽等のある発行者等情報を提供し、又は公表した日 | 第百七十二条の十一第一項又は本条第十項、第十一項若しくは前項(第百七十八条第一項第十一号に掲げる事実があると認める場合に限る。) |
| 第百七十二条の十二第一項に規定する特定関与者 | 第百七十二条の十二第二項に規定する特定関与行為が開始された日 | 第百七十二条の十二第一項又は前項(第百七十八条第一項第十一号の二に掲げる事実があると認める場合に限る。) |
| 第百七十三条第一項に規定する違反者 | 第百七十三条第一項に規定する違反行為が開始された日 | 第百七十三条第一項 |
| 第百七十四条第一項に規定する違反者 | 第百七十四条第一項に規定する違反行為が開始された日 | 第百七十四条第一項 |
| 第百七十四条の二第一項に規定する違反者 | 第百七十四条の二第一項に規定する違反行為が開始された日 | 第百七十四条の二第一項 |
| 第百七十四条の三第一項に規定する違反者 | 第百七十四条の三第一項に規定する違反行為が開始された日 | 第百七十四条の三第一項 |
| 第百七十五条第一項に規定する者、同条第二項に規定する者又は同条第九項に規定する上場会社等 | 第百六十六条第一項に規定する売買等が行われた日又は第百六十七条第一項に規定する特定株券等若しくは関連株券等に係る買付け等若しくは同項に規定する株券等に係る売付け等が行われた日 | 第百七十五条第一項(同条第九項において準用する場合を含む。)若しくは第二項又は前項(第百七十八条第一項第十六号に掲げる事実があると認める場合に限る。) |
| 第百七十五条の二第一項に規定する違反者、同条第二項に規定する違反者、同条第十三項に規定する上場会社等又は同条第十四項に規定する公開買付者等 | 第百七十五条の二第一項若しくは第二項に規定する違反行為又は同条第十三項若しくは第十四項に規定する特定伝達等行為が行われた日 | 第百七十五条の二第一項(同条第十三項において準用する場合を含む。)若しくは第二項(同条第十四項において準用する場合を含む。)又は本条第十二項若しくは第十三項 |
If the Prime Minister is required to issue one or more decisions pursuant to paragraph (1) (but only if the Prime Minister finds the fact set forth in Article 178, paragraph (1), item (iv) or (xi) to have occurred), paragraph (6), paragraph (7), paragraph (10), paragraph (11), or the preceding two paragraphs (but only if the Prime Minister finds the fact set forth in Article 178, paragraph (1), item (iv) or (xi) to have occurred; hereinafter the same applies in this paragraph), and a final and binding judicial decision for the same case imposes a fine on the respondent, in lieu of the amount specified in Article 172-4, paragraph (1) or (2) (including as applied mutatis mutandis pursuant to paragraph (3) of that Article; hereinafter the same applies in this paragraph), Article 172-11, paragraph (1), or Article 185-7, paragraph (6), (7), (10), (11) or the preceding two paragraphs, the Prime Minister must issue an order for the relevant person to pay an administrative monetary penalty to the national treasury that is equivalent to the amount arrived at when the amount specified in item (ii) is deducted from the amount specified in item (i), and the difference is then proportionally divided in parallel with the amount calculated for each decision in respect of the facts subject to those one or more decisions, pursuant to the provisions of Cabinet Office Order; provided, however, that unless the amount specified in item (i) exceeds the amount specified in item (ii), the Prime Minister may not issue an administrative monetary penalty payment order under Article 172-4, paragraph (1) or (2), Article 172-11, paragraph (1), or Article 185-7, paragraph (6), (7), (10), (11) or the preceding two paragraphs:
内閣総理大臣は、第一項(第百七十八条第一項第四号又は第十一号に掲げる事実があると認める場合に限る。)、第六項、第七項、第十項、第十一項又は前二項(同条第一項第四号又は第十一号に掲げる事実があると認める場合に限る。以下この項において同じ。)の規定により一以上の決定をしなければならないときであつて、同一事件について、被審人に対し、罰金の確定裁判があるときは、第百七十二条の四第一項若しくは第二項(同条第三項において準用する場合を含む。以下この項において同じ。)、第百七十二条の十一第一項の規定又は第六項、第七項、第十項、第十一項若しくは前二項の規定による額に代えて、第一号に掲げる額から第二号に掲げる額を控除した額を内閣府令で定めるところにより当該一以上の決定に係る事実について個別決定ごとの算出額に応じて按分して得た額に相当する額の課徴金を国庫に納付することを命ずる旨の決定をしなければならない。ただし、第一号に掲げる額が第二号に掲げる額を超えないときは、第百七十二条の四第一項若しくは第二項、第百七十二条の十一第一項の規定又は第六項、第七項、第十項、第十一項若しくは前二項の規定による課徴金の納付を命ずることができない。
the sum total of the amounts calculated pursuant to the provisions of Article 172-4, paragraph (1) or (2), Article 172-11, paragraph (1), or Article 185-7, paragraph (6), (7), (10), (11), or the preceding two paragraphs, in respect of the facts subject to those one or more decisions;
当該一以上の決定に係る事実について第百七十二条の四第一項若しくは第二項、第百七十二条の十一第一項の規定又は第六項、第七項、第十項、第十一項若しくは前二項の規定により算出した額を合計した額
the amount of the fine.
当該罰金の額
In the case referred to in paragraph (1) (but only if the Prime Minister finds a fact set forth in Article 178, paragraph (1), items (xii) through (xvi) to have occurred), paragraph (14) of that Article (but only if the Prime Minister finds a fact set forth in Article 178, paragraph (1), items (xii) through (xvi) to have occurred; hereinafter the same applies in this paragraph), or in paragraph (15) of that Article (but only if the Prime Minister finds a fact set forth in Article 178, paragraph (1), items (xii) through (xvi) to have occurred; hereinafter the same applies in this paragraph), if the final and binding judicial decision in the same case imposes on the respondent a confiscation of the properties set forth in the items of Article 198-2, paragraph (1) or the collection of the value of the properties set forth in the items of Article 198-2, paragraph (1), in lieu of the amount set forth in Article 173, paragraph (1), Article 174, paragraph (1), Article 174-2, paragraph (1), Article 174-3, paragraph (1), or Article 175, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (9) of that Article) or paragraph (2) of that Article, or Article 185-7, paragraph (14) or (15), the Prime Minister must issue an order for the relevant person to pay an administrative monetary penalty to the national treasury in an amount after the amount equivalent to the properties set forth in the items of Article 198-2, paragraph (1) whose confiscation is ordered in that judicial decision, or the amount equivalent to the value of the properties set forth in the items of Article 198-2, paragraph (1) whose collection is ordered in that judicial decision (or, if both the confiscation of the properties set forth in the items of Article 198-2, paragraph (1) and the collection of the value of the properties set forth in the items of Article 198-2, paragraph (1) are ordered in that judicial decision, this means the sum total of the amount equivalent to the properties set forth in the items of Article 198-2, paragraph (1) whose confiscation is ordered in that judicial decision and the amount equivalent to the values of the properties set forth in the items of Article 198-2, paragraph (1) whose collection is ordered in that judicial decision; hereinafter referred to as the "amount equivalent to confiscated properties, etc." in this paragraph), is deducted from the relevant of those amounts; provided, however, that unless the amount set forth in Article 173, paragraph (1), Article 174, paragraph (1), Article 174-2, paragraph (1), Article 174-3, paragraph (1), Article 175, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (9) of that Article) or paragraph (2) of that Article, or Article 185-7, paragraph (14) or (15) exceeds the amount equivalent to confiscated properties, etc., the Prime Minister may not issue an administrative monetary penalty payment order under those provisions.
内閣総理大臣は、第一項(第百七十八条第一項第十二号から第十六号までに掲げる事実のいずれかがあると認める場合に限る。)、第十四項(同号に掲げる事実があると認める場合に限る。以下この項において同じ。)又は第十五項(同条第一項第十二号から第十六号までに掲げる事実のいずれかがあると認める場合に限る。以下この項において同じ。)の場合において、同一事件について、被審人に対し、第百九十八条の二第一項各号に掲げる財産の没収又は同項各号に掲げる財産の価額の追徴の確定裁判があるときは、第百七十三条第一項、第百七十四条第一項、第百七十四条の二第一項、第百七十四条の三第一項若しくは第百七十五条第一項(同条第九項において準用する場合を含む。)若しくは第二項の規定又は第十四項若しくは第十五項の規定による額に代えて、当該額から当該裁判において没収を命じられた第百九十八条の二第一項各号に掲げる財産に相当する額又は当該裁判において追徴を命じられた同項各号に掲げる財産の価額に相当する額(当該裁判において同項各号に掲げる財産の没収及び同項各号に掲げる財産の価額の追徴が命じられたときは、当該裁判において没収を命じられた同項各号に掲げる財産に相当する額及び当該裁判において追徴を命じられた同項各号に掲げる財産の価額に相当する額の合計額。以下この項において「没収等相当額」という。)を控除した額の課徴金を国庫に納付することを命ずる旨の決定をしなければならない。ただし、第百七十三条第一項、第百七十四条第一項、第百七十四条の二第一項、第百七十四条の三第一項若しくは第百七十五条第一項(同条第九項において準用する場合を含む。)若しくは第二項の規定又は第十四項若しくは第十五項の規定による額が、没収等相当額を超えないときは、これらの規定による課徴金の納付を命ずることができない。
If, after the conclusion of trial procedures, the Prime Minister finds no fact to have occurred that falls under an item of Article 178, paragraph (1), or in a case to which paragraph (3), the proviso to paragraph (5), the proviso to paragraph (7), paragraph (9), the proviso to paragraph (11), the proviso to paragraph (16), or the proviso to the preceding paragraph is applicable, the Prime Minister must issue a decision that gives a clear indication of this.
A decision referred to in paragraphs (1), (2), (4) through (8), and (10) to the preceding paragraph must be issued in writing based on the draft decision submitted by a trial examiner pursuant to the provisions of the preceding Article.
第一項、第二項、第四項から第八項まで及び第十項から前項までの決定は、文書によつて、前条の規定により審判官が提出した決定案に基づいて行わなければならない。
The written decision pertaining to the decision prescribed in the preceding paragraph must state the facts found by the Prime Minister and the application of laws and regulations to those facts (for a decision under paragraph (1), (2), (4) through (8), or (10) through (17), including the basis for the calculation of the administrative monetary penalty and the due date of payment).
前項に規定する決定に係る決定書には、内閣総理大臣が認定した事実及びこれに対する法令の適用(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にあつては、課徴金の計算の基礎及び納付期限を含む。)を記載しなければならない。
The due date for payment as referred to in the preceding paragraph is the day on which two months have elapsed since the date on which a certified copy of the written decision provided for in that paragraph (limited to one for a decision under paragraphs (1), (2), (4) through (8), and (10) through (17)) is issued.
前項の納付期限は、同項に規定する決定書(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に係るものに限る。)の謄本を発した日から二月を経過した日とする。
A decision provided for in paragraph (19) becomes effective through the service of a certified copy of the written decision related to the decision on the respondent.
Notwithstanding the provisions of the preceding paragraph, if, at the time of the decision referred to in paragraph (1) (limited to a decision connected with Article 178, paragraph (1), item (iv) or (xi)) or a decision as referred to in paragraph (6), paragraph (7), paragraph (10), paragraph (11), paragraph (14) (but only if the Prime Minister finds a fact set forth in Article 178, paragraph (1), item (iv) or (xi) to have occurred), or paragraph (15) (but only if the Prime Minister finds a fact set forth in Article 178, paragraph (1), item (iv) or (xi) to have occurred), prosecution has been instituted for the same case and that case is still pending before the court, the decision comes into effect once the judicial decision in that case becomes final and binding; provided, however, that if the final and binding judicial decision in that case imposes a fine on the person subject to the decision, the decision comes into effect once a certified copy of a document concerning a disposition for changes under the provisions of paragraph (6) of the following Article is served.
第一項の決定(第百七十八条第一項第四号又は第十一号に係るものに限る。)並びに第六項、第七項、第十項、第十一項、第十四項(同条第一項第四号又は第十一号に掲げる事実があると認める場合に限る。)及び第十五項(同条第一項第四号又は第十一号に掲げる事実があると認める場合に限る。)の決定は、これらの決定の時において、同一事件について公訴が提起されている場合であつて、当該事件が裁判所に係属するときは、前項の規定にかかわらず、当該事件についての裁判が確定した時から、その効力を生ずる。ただし、当該事件について、当該決定を受けた者に対し、罰金の確定裁判があつたときは、次条第六項の規定による変更の処分に係る文書の謄本が送達された時から、その効力を生ずる。
Notwithstanding the provisions of paragraph (22), if, at the time of the decision referred to in paragraph (1) (limited to a decision connected with any of Article 178, paragraph (1), items (xii) through (xvi)), paragraph (14) (but only if the Prime Minister finds a fact set forth in any of Article 178, paragraph (1), items (xii) through (xvi) to have occurred) and paragraph (15) (but only if the Prime Minister finds a fact set forth in any of Article 178, paragraph (1), items (xii) through (xvi) to have occurred), prosecution has been instituted for the same case and that case is still pending before the court, the decision comes into effect once the judicial decision in that case becomes final and binding; provided, however, that if the final and binding judicial decision in that case imposes the confiscation of the properties set forth in the items of Article 198-2, paragraph (1) or the collection of the value of the properties set forth in the items of Article 198-2, paragraph (1) against the person subject to the decision, the decision comes into effect once a certified copy of a document concerning a disposition for changes under paragraph (7) of the following Article is served.
第一項の決定(第百七十八条第一項第十二号から第十六号までに係るものに限る。)並びに第十四項(同号に掲げる事実があると認める場合に限る。)及び第十五項(同条第一項第十二号から第十六号までに掲げる事実のいずれかがあると認める場合に限る。)の決定は、当該決定の時において、同一事件について公訴が提起されている場合であつて、当該事件が裁判所に係属するときは、第二十二項の規定にかかわらず、当該事件についての裁判が確定した時から、その効力を生ずる。ただし、当該事件について、当該決定を受けた者に対し、第百九十八条の二第一項各号に掲げる財産の没収又は同項各号に掲げる財産の価額の追徴の確定裁判があつたときは、次条第七項の規定による変更の処分に係る文書の謄本が送達された時から、その効力を生ずる。
The provisions of the main clause of paragraph (23) and the main clause of the preceding paragraph do not apply if a certified copy of the written decision in respect of the decision referred to in paragraphs (1), (6), (7), (10), (11), (14) or (15) is not served as of the time the judicial decision in the same case becomes final and binding.
The provisions of the proviso to paragraph (23) do not apply if a certified copy of the written decision in respect of the decision referred to in paragraph (1) (limited to a decision connected with Article 178, paragraph (1), item (iv) or (xi)), paragraph (6), paragraph (7), paragraph (10), paragraph (11), paragraph (14) (but only if the Prime Minister finds a fact set forth in Article 178, paragraph (1), item (iv) or (xi) to have occurred) or paragraph (15) (but only if the Prime Minister finds a fact set forth in Article 178, paragraph (1), item (iv) or (xi) to have occurred) is not served as of the time that a certified copy of a document concerning a disposition for changes under paragraph (6) of the following Article is served.
第二十三項ただし書の規定は、次条第六項の規定による変更の処分に係る文書の謄本が送達された時において、第一項の決定(第百七十八条第一項第四号又は第十一号に係るものに限る。)又は第六項、第七項、第十項、第十一項、第十四項(第百七十八条第一項第四号又は第十一号に掲げる事実があると認める場合に限る。)若しくは第十五項(第百七十八条第一項第四号又は第十一号に掲げる事実があると認める場合に限る。)の決定に係る決定書の謄本が送達されていない場合には、適用しない。
The provisions of the proviso to paragraph (24) do not apply if a certified copy of the written decision in respect of the decision referred to in paragraph (1) (limited to a decision connected with Article 178, paragraph (1), items (xii) through (xvi)), paragraph (14) (but only if the Prime Minister finds a fact set forth in any of Article 178, paragraph (1), items (xii) through (xvi) to have occurred), or paragraph (15) (but only if the Prime Minister finds a fact set forth in any of Article 178, paragraph (1), items (xii) through (xvi) to have occurred) is not served as of the time that a certified copy of a document concerning a disposition for changes under paragraph (7) of the following Article is served.
第二十四項ただし書の規定は、次条第七項の規定による変更の処分に係る文書の謄本が送達された時において、第一項の決定(第百七十八条第一項第十二号から第十六号までに係るものに限る。)又は第十四項(同号に掲げる事実があると認める場合に限る。)若しくは第十五項(第百七十八条第一項第十二号から第十六号までに掲げる事実のいずれかがあると認める場合に限る。)の決定に係る決定書の謄本が送達されていない場合には、適用しない。
Notwithstanding the provisions of paragraph (21), in the case referred to in the main clause of paragraph (23) or the main clause of paragraph (24), the due date for the payment of an administrative monetary penalty is the day on which two months have elapsed since the day on which the judicial decision in the case becomes final and binding.
Notwithstanding the provisions of paragraph (21), in the case referred to in the proviso to paragraph (23) or the proviso to paragraph (24), the due date for the payment of an administrative monetary penalty is the day on which two months have elapsed since the day on which a certified copy of a document concerning a disposition for changes under the provisions of paragraph (6) or (7) of the following Article is dispatched.
If the amount of an administrative monetary penalty calculated pursuant to the provisions of paragraph (2), paragraphs (4) through (8), and paragraphs (10) through (16), includes an amount that is less than one yen, the amount is rounded down to the nearest one yen.
第二項、第四項から第八項まで及び第十項から第十六項までの規定により計算した課徴金の額に一円未満の端数があるときは、その端数は、切り捨てる。
The term "business year subject to disclosure" as used in paragraphs (4) through (7), and paragraphs (10) and (11) means the business year specified in the relevant of the following items for the category of documents or information set forth in that item:
第四項から第七項まで、第十項及び第十一項の「記載対象事業年度」とは、次の各号に掲げる書類又は情報の区分に応じ、当該各号に定める事業年度をいう。
an annual securities report or accompanying document under Article 24, paragraph (1) or (3) (including as applied mutatis mutandis pursuant to paragraph (5) of that Article, and also including as applied mutatis mutandis pursuant to Article 27) or Article 24, paragraph (6) (including as applied mutatis mutandis pursuant to Article 27), as well as under Article 7,paragraph (1), Article 9, paragraph (1), or Article 10, paragraph (1) as applied mutatis mutandis pursuant to Article 24-2, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27), or any amended report in connection with the same:the business year of the annual securities report or accompanying document;
a semiannual securities report under Article 24-5, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (3) of that Article, and also including as applied mutatis mutandis pursuant to Article 27), as well as under Article 7,paragraph (1), Article 9, paragraph (1), or Article 10, paragraph (1) as applied mutatis mutandis pursuant to Article 24-5, paragraph (5) (including as applied mutatis mutandis pursuant to Article 27) or any amended report in connection with the same:the business year that includes the period to which that semiannual securities report pertains;
第二十四条の五第一項(同条第三項において準用し、及びこれらの規定を第二十七条において準用する場合を含む。)及び第二十四条の五第五項(第二十七条において準用する場合を含む。)において準用する第七条第一項、第九条第一項又は第十条第一項の規定による半期報告書及びその訂正報告書 当該半期報告書に係る期間の属する事業年度
an extraordinary report under Article 24-5, paragraph (4) (including as applied mutatis mutandis pursuant to Article 27), as well as under Article 7,paragraph (1), Article 9, paragraph (1), or Article 10, paragraph (1) as applied mutatis mutandis pursuant to Article 24-5, paragraph (5) (including as applied mutatis mutandis pursuant to Article 27) or any amended report in connection with the same:the business year that includes the day on which the extraordinary report was submitted; and
第二十四条の五第四項(第二十七条において準用する場合を含む。)及び第二十四条の五第五項(第二十七条において準用する場合を含む。)において準用する第七条第一項、第九条第一項又は第十条第一項の規定による臨時報告書及びその訂正報告書 当該臨時報告書を提出した日の属する事業年度
the information on the issuer or any amended information on the issuer in connection with the same:the business year for the relevant information on the issuer.
(Order to Submit an Amended Statement and Order Suspending the Validity of a Notification Due to a False Statement)
If the Prime Minister discovers that a securities registration statement contains a false statement regarding a material particular, lacks a statement of a material particular that is required to be…
内閣総理大臣は、有価証券届出書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けていることを発見したときは、いつでも、届出者に対し、訂正届出書の提出を命じ、必要があると認めるときは…
Open this provision(Prohibition of Transactions in Securities Prior to a Notification Coming into Effect, and Delivery of Prospectus)
It is prohibited for an issuer, person that conducts a secondary distribution of securities, underwriter (including a person that, with regard to a general solicitation involving securities acquired…
発行者、有価証券の売出しをする者、引受人(適格機関投資家取得有価証券一般勧誘(開示が行われている場合における有価証券に係るものを除く。)又は特定投資家等取得有価証券一般勧誘(開示が行われている場合における有価証券に係るものを除く。)に際し、第二条第六項各号のいずれかを行う者を含む。以下この章において同じ。)…
Open this provision(Prohibition of Transactions in Securities Prior to a Notification Coming into Effect, and Delivery of Prospectus)
When an issuer, person that conducts a secondary distribution of securities, underwriter, financial instruments business operator, registered financial institution…
発行者、有価証券の売出しをする者、引受人、金融商品取引業者、登録金融機関若しくは金融商品仲介業者又は金融サービス仲介業者は、前項の有価証券又は既に開示された有価証券を募集又は売出しにより取得させ、又は売り付ける場合には…
Open this provision(Acts Prohibited for Company Insiders)
A person set forth in the following items (hereinafter referred to as a "company insider" in this Article) that comes to know a material fact about the business of a listed company…
次の各号に掲げる者(以下この条において「会社関係者」という。)であつて、上場会社等に係る業務等に関する重要事実(当該上場会社等の子会社に係る会社関係者(当該上場会社等に係る会社関係者に該当する者を除く。)については、当該子会社の業務等に関する重要事実であつて、次項第五号から第八号までに規定するものに限る。以下同じ。)…
Open this provision(Acts Prohibited for Persons Affiliated with the Tender Offeror)
A person set forth in any of the following items (hereinafter referred to as a "person affiliated with the tender offeror, etc." in this Article) that comes to know the fact that a tender offer…
次の各号に掲げる者(以下この条において「公開買付者等関係者」という。)であつて、第二十七条の二第一項に規定する株券等で金融商品取引所に上場されているもの、店頭売買有価証券若しくは取扱有価証券に該当するもの(以下この条において「上場等株券等」という。)の同項に規定する公開買付け(同項本文の規定の適用を受ける場合に限る。…
Open this provision(Administrative Monetary Penalty Payment Order Issued to an Issuer That Has Provided or Disclosed Specified Information on Securities That Contains a Falsehood)
If an issuer that provides or discloses specified information on securities, etc. which contains false information about a material particular or which lacks information about a material particular…
重要な事項につき虚偽の情報があり、又は提供し、若しくは公表すべき重要な事項に関する情報が欠けている特定証券等情報(以下この条、第百七十二条の十二第一項、第百七十八条第二十項及び第百八十五条の七第十五項において「虚偽等のある特定証券等情報」という。)を提供し、又は公表した発行者が…
Open this provision(Administrative Monetary Penalty Payment Order Issued to an Issuer That Has Provided or Disclosed Specified Information on Securities That Contains a Falsehood)
If an issuer provides or discloses specified information on securities, etc. that contains a falsehood, etc., and an officer, etc. that is involved in providing or disclosing that specified…
虚偽等のある特定証券等情報を提供し、又は公表した発行者の役員等であつて、当該虚偽等のある特定証券等情報に虚偽の情報があり、又は提供し、若しくは公表すべき事項に関する情報が欠けていることを知りながら当該虚偽等のある特定証券等情報の提供又は公表に関与した者が…
Open this provision(Administrative Monetary Penalty Payment Order Issued to an Issuer That Provides or Discloses Information on the Issuer That Contains a Falsehood)
If an issuer provides or discloses information on the issuer, etc. that contains false information about a material particular or that lacks information about a material particular that is required…
発行者が、重要な事項につき虚偽の情報があり、又は提供し、若しくは公表すべき重要な事項に関する情報が欠けている発行者等情報(以下この項、次条第一項、第百七十八条第二十一項及び第百八十五条の七第十五項において「虚偽等のある発行者等情報」という。)を提供し、又は公表したときは、内閣総理大臣は、次節に定める手続に従い…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Conducted an Act Which Facilitates or Incites Submission of Fake Disclosure Documents)
When a person specified in the following items (the person is referred to as a "person submitting disclosure documents, etc." in the following paragraph) has submitted, provided…
次の各号に掲げる者(次項において「開示書類提出者等」という。)が当該各号に定める書類又は情報(同項において「虚偽開示書類等」という。)を提出し、提供し又は公表した場合において、特定関与行為を行つた者(以下この項において「特定関与者」という。)があるときは、内閣総理大臣は、次節に定める手続に従い、当該特定関与者に対し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Conducted an Act Which Facilitates or Incites Submission of Fake Disclosure Documents)
tender offeror prescribed in Article 27-3, paragraph (2) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)):tender offer notification…
第二十七条の三第二項(第二十七条の二十二の二第二項において準用する場合を含む。)に規定する公開買付者 重要な事項につき虚偽の記載があり、又は記載すべき重要な事項の記載が欠けている公開買付届出書等
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Conducted an Act Which Facilitates or Incites Submission of Fake Disclosure Documents)
The term "specified involvement act" as used in the preceding paragraph means an act which facilitates the submission, provision, or public announcement of fake disclosure documents…
前項の「特定関与行為」とは、開示書類提出者等が虚偽開示書類等を提出し、提供し若しくは公表することを容易にすべき行為であつて次の各号のいずれかに該当するもの又は開示書類提出者等が虚偽開示書類等を提出し、提供し若しくは公表することを唆す行為をいう。
Open this provision(Administrative Monetary Penalty Payment Order Issued to an Issuer That Submits Disclosure Documents for Offerings Containing a False Statement)
If an issuer that submits a disclosure document for offerings that contains a false statement about a material particular or lacks a statement of a material particular that is required to be stated…
重要な事項につき虚偽の記載があり、又は記載すべき重要な事項の記載が欠けている発行開示書類を提出した発行者が、当該発行開示書類に基づく募集又は売出し(当該発行者が所有する有価証券の売出しに限る。)により有価証券を取得させ、又は売り付けたときは、内閣総理大臣は、次節に定める手続に従い、当該発行者に対し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to an Issuer That Submits Disclosure Documents for Offerings Containing a False Statement)
If an issuer submits a disclosure document for offerings that contains a false statement about a material particular or that lacks a statement of a material particular that is required to be stated…
重要な事項につき虚偽の記載があり、又は記載すべき重要な事項の記載が欠けている発行開示書類を提出した発行者の役員等(当該発行者の役員、代理人、使用人その他の従業者をいう。以下この項、第五項及び第百七十二条の十第二項において同じ。)であつて、当該発行開示書類に虚偽の記載があり…
Open this provision(Administrative Monetary Penalty Payment Order Issued to an Issuer That Submits Disclosure Documents for Offerings Containing a False Statement)
The term "disclosure document for offerings" as used in the preceding two paragraphs means a statement and other documents under Article 5…
前二項の「発行開示書類」とは、第五条(第二十七条において準用する場合を含む。)の規定による届出書類(第五条第四項の規定の適用を受ける届出書の場合には、当該届出書に係る参照書類を含む。)、第七条第一項…
Open this provision(Administrative Monetary Penalty Payment Order Issued to an Issuer That Submits Disclosure Documents for Offerings Containing a False Statement)
The provisions of paragraph (1) (excluding item (i)) apply mutatis mutandis if an issuer that uses a prospectus that contains a false statement about a material particular…
第一項(第一号を除く。)の規定は、重要な事項(第五条第一項各号(第二十七条において準用する場合を含む。)に掲げる事項に係るものに限る。以下この項及び次項において同じ。)につき虚偽の記載があり、又は記載すべき重要な事項の記載が欠けている目論見書を使用した発行者が…
Open this provision(Administrative Monetary Penalty Payment Order Issued to an Issuer That Submits Disclosure Documents for Offerings Containing a False Statement)
The provisions of paragraph (2) apply mutatis mutandis if an issuer uses a prospectus that contains a false statement about a material particular or omits a statement as to a material particular that…
第二項の規定は、重要な事項につき虚偽の記載があり、又は記載すべき重要な事項の記載が欠けている目論見書を使用した発行者の役員等であつて、当該目論見書に虚偽の記載があり、又は記載すべき事項の記載が欠けていることを知りながら当該目論見書の作成に関与した者が…
Open this provision(Administrative Monetary Penalty Payment Order Issued to an Issuer That Submits Disclosure Documents for Offerings Containing a False Statement)
If an issuer that is required to submit an amended offering disclosure document (meaning an amended statement under the first sentence of Article 7, paragraph (1), (including as applied mutatis…
発行開示訂正書類(第七条第一項前段(第二十七条において準用する場合を含む。)の規定による訂正届出書又は第二十三条の四前段(第二十七条において準用する場合を含む。)の規定による訂正発行登録書をいう。以下この章において同じ。)を提出すべき発行者が…
Open this provision(Administrative Monetary Penalty Payment Order Issued to an Issuer That Fails to Submit an Annual Securities Report)
If an issuer violates the provisions of Article 24, paragraph (1) or (3) (including as applied mutatis mutandis pursuant to Article 24, paragraph (5), and also including as applied mutatis mutandis…
第二十四条第一項又は第三項(これらの規定を同条第五項において準用し、及びこれらの規定を第二十七条において準用する場合を含む。)の規定に違反して、有価証券報告書を提出しない発行者があるときは、内閣総理大臣は、次節に定める手続に従い、当該発行者に対し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to an Issuer That Fails to Submit an Annual Securities Report)
If an issuer violates the provisions of Article 24, paragraph (1) or (3) (including as applied mutatis mutandis pursuant to Article 24, paragraph (5), and also including as applied mutatis mutandis…
第二十四条第一項又は第三項(これらの規定を同条第五項において準用し、及びこれらの規定を第二十七条において準用する場合を含む。)の規定に違反して、有価証券報告書を提出しない発行者があるときは、内閣総理大臣は、次節に定める手続に従い、当該発行者に対し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to an Issuer That Fails to Submit an Annual Securities Report)
If an issuer violates the provisions of Article 24-5, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (3) of that Article, and also including as applied mutatis mutandis…
第二十四条の五第一項(同条第三項において準用し、及びこれらの規定を第二十七条において準用する場合を含む。)の規定に違反して、半期報告書を提出しない発行者があるときは、内閣総理大臣は、次節に定める手続に従い、当該発行者に対し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to an Issuer That Submits an Annual Securities Report Containing a False Statement)
If an issuer submits an annual securities report, etc. (meaning an annual securities report as prescribed in Article 24, paragraph (1) or (3) (including as applied mutatis mutandis pursuant to…
発行者が、重要な事項につき虚偽の記載があり、又は記載すべき重要な事項の記載が欠けている有価証券報告書等(第二十四条第一項若しくは第三項(これらの規定を同条第五項において準用し、及びこれらの規定を第二十七条において準用する場合を含む。)及び第二十四条第六項(第二十七条において準用する場合を含む。)の規定による有価証券報…
Open this provision(Administrative Monetary Penalty Payment Order Issued to an Issuer That Submits an Annual Securities Report Containing a False Statement)
If an issuer submits a semiannual securities or extraordinary report, etc. (meaning a semiannual securities report or extraordinary report under Article 24-5, paragraph (1) (including as applied…
発行者が、重要な事項につき虚偽の記載があり、又は記載すべき重要な事項の記載が欠けている半期・臨時報告書等(第二十四条の五第一項(同条第三項において準用する場合を含む。)若しくは第四項(これらの規定を第二十七条において準用する場合を含む。)の規定による半期報告書若しくは臨時報告書又は第二十四条の五第五項(第二十七条にお…
Open this provision(Administrative Monetary Penalty Payment Order Issued to an Issuer That Submits an Annual Securities Report Containing a False Statement)
The provisions of the preceding paragraph apply mutatis mutandis if an issuer fails to submit an extraordinary report under Article 24-5, paragraph (4)…
前項の規定は、第二十四条の五第四項(第二十七条において準用する場合を含む。)の規定による臨時報告書のうち投資者の投資判断に重要な影響を及ぼすものとして内閣府令で定める事項を記載すべきものを提出しない発行者がある場合について準用する。
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person Making a Purchase of Share Certificates Without Issuing Public Notice of the Commencement of a Tender Offer)
If a person violates the provisions of Article 27-3, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2); hereinafter the same applies in this Article) in…
第二十七条の三第一項(第二十七条の二十二の二第二項において準用する場合を含む。以下この条において同じ。)の規定に違反して、第二十七条の三第一項の規定による公告(以下この章において「公開買付開始公告」という。)を行わないで株券等(第二十七条の二第一項に規定する株券等をいう。以下この条、次条及び第百七十八条第十三項におい…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person Issuing a Public Notice of the Commencement of a Tender Offer That Contains a False Representation)
If a person makes a public notice of the commencement of a tender offer, etc. (meaning a public notice of the commencement of a tender offer or a public notice or public announcement amending the…
重要な事項につき虚偽の表示があり、若しくは表示すべき重要な事項の表示が欠けている公開買付開始公告等(公開買付開始公告又は第二十七条の七第二項(第二十七条の二十二の二第二項において準用する場合を含む。)の規定により公開買付開始公告の内容を訂正する公告若しくは公表をいう。以下この章において同じ。)を行つた者又は重要な事項…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person Issuing a Public Notice of the Commencement of a Tender Offer That Contains a False Representation)
The provisions of the preceding paragraph apply mutatis mutandis if a person fails to submit an amended tender offer statement, etc.…
前項の規定は、公開買付訂正届出書等(第二十七条の三第二項(第二十七条の二十二の二第二項において準用する場合を含む。)に規定する公開買付届出書、第二十七条の八第二項(第二十七条の二十二の二第二項において準用する場合を含む。)の規定による訂正届出書、第二十七条の十第十一項に規定する対質問回答報告書又は同条第十二項において…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Fails to Submit a Statement of Large-Volume Holdings or Changes)
If a person violates the provisions of Article 27-23, paragraph (1), Article 27-25, paragraph (1), or Article 27-26, paragraph (1), (2), (4), or (5) in failing to submit a statement of large-volume…
第二十七条の二十三第一項、第二十七条の二十五第一項又は第二十七条の二十六第一項、第二項、第四項若しくは第五項の規定に違反して、大量保有報告書又は変更報告書(以下この章において「大量保有・変更報告書」という。)を提出しない者があるときは、内閣総理大臣は、次節に定める手続に従い、その者に対し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person Submitting a Statement of Large-Volume Holdings or Changes That Contains a False Statement)
If a person submits a statement of large-volume holdings or changes, etc. (meaning a statement of large-volume holdings or changes or an amended statement prescribed in Article 9, paragraph (1) or…
重要な事項につき虚偽の記載があり、又は記載すべき重要な事項の記載が欠けている大量保有・変更報告書等(大量保有・変更報告書又は第二十七条の二十五第三項(第二十七条の二十六第六項において準用する場合を含む。)若しくは第二十七条の二十九第一項において準用する第九条第一項若しくは第十条第一項の規定による訂正報告書をいう。以下…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Makes a Specified Solicitation When Specified Information on Securities is not Provided or Disclosed)
If a person makes a specified solicitation, etc. (if the person makes a specified solicitation for selling, etc., this is limited to a specified solicitation for selling, etc. securities that the…
有価証券の発行者が当該有価証券に係る特定証券情報を第二十七条の三十一第二項に定めるところにより、その相手方に提供し、又は公表していないのに特定勧誘等をした者(特定売付け勧誘等をした者については、自己の所有する有価証券に関して特定売付け勧誘等をした者に限る。)があるときは、内閣総理大臣は、次節に定める手続に従い…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person that Conducts a Public Offering of Securities Without Having Its Notification Accepted by the Prime Minister)
If, in respect of a public offering or secondary distribution of securities subject to a notification under Article 4, paragraph (1), a general solicitation involving securities acquired by a…
第四条第一項の規定による届出を必要とする有価証券の募集若しくは売出し、同条第二項の規定による届出を必要とする適格機関投資家取得有価証券一般勧誘又は同条第三項の規定による届出を必要とする特定投資家等取得有価証券一般勧誘について、これらの届出が受理されていないのに当該募集若しくは売出し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person that Conducts a Public Offering of Securities Without Having Its Notification Accepted by the Prime Minister)
If an issuer violates the provisions of Article 15, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27) in causing securities set forth in Article 15…
第十五条第一項(第二十七条において準用する場合を含む。)の規定に違反して、同項に規定する有価証券を募集(第四条第一項に規定する有価証券の募集をいう。第百七十三条から第百七十四条の三までを除き、以下この章において同じ。)により取得させた発行者又は売出し(第四条第四項に規定する有価証券の売出しをいう。次項、次条第四項及び…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person that Conducts a Public Offering of Securities Without Having Its Notification Accepted by the Prime Minister)
If a person violates the provisions of Article 15, paragraph (2) (including as applied mutatis mutandis pursuant to Article 27) in selling securities that it owns through a secondary distribution…
第十五条第二項(第二十七条において準用する場合を含む。)の規定に違反して、目論見書(第十三条第一項に規定する既に開示された有価証券の売出し(同項に規定する有価証券の売出しをいう。以下この項、次条第四項及び第五項、第百七十八条第五項及び第八項並びに第百八十五条の七第十四項において同じ。)に係る目論見書に限る。以下この章…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person that Conducts a Public Offering of Securities Without Having Its Notification Accepted by the Prime Minister)
The provisions of paragraph (2) apply mutatis mutandis if an issuer violates the provisions of Article 23-8, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27) in causing…
第二項の規定は、第二十三条の八第一項(第二十七条において準用する場合を含む。)の規定に違反して、同項に規定する有価証券を募集により取得させた発行者又は売出しにより売り付けた者(自己の所有する有価証券を売り付けた者に限る。)がある場合について準用する。
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Influences the Price of Securities by Spreading Unfounded Rumors)
If a person, in violation of the provisions of Article 158, spreads unfounded rumors or uses fraudulent means, or influences the prices of securities, etc. by spreading those unfounded rumors or…
第百五十八条の規定に違反して、風説を流布し、又は偽計を用い、当該風説の流布又は偽計(以下この条において「違反行為」という。)により有価証券等の価格に影響を与えた者(以下この条において「違反者」という。)があるときは、内閣総理大臣は、次節に定める手続に従い、当該違反者に対し、次の各号に掲げる場合の区分に応じ…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Makes a Series of Purchase and Sales of Securities for the Purpose of Inducing Transactions)
If a person makes a series of purchase and sales of securities, etc. (meaning purchase and sales of securities, etc. prescribed in Article 159, paragraph (2)) that is in violation of the provisions…
第百五十九条第二項第一号の規定に違反する一連の有価証券売買等(同項に規定する有価証券売買等をいう。)又はその申込み若しくは委託等(以下この条において「違反行為」という。)をした者(以下この条において「違反者」という。)があるときは、内閣総理大臣は、次節に定める手続に従い、当該違反者に対し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person Violating the Prohibition on Stabilizing Transactions)
If a person makes a series of purchase and sales of securities, etc. that is in violation of the provisions of Article 159, paragraph (3)…
第百五十九条第三項の規定に違反する一連の有価証券売買等(同条第二項に規定する有価証券売買等をいう。)又はその申込み若しくは委託等(以下この条において「違反行為」という。)をした者(以下この条において「違反者」という。)があるときは、内閣総理大臣は、次節に定める手続に従い、当該違反者に対し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Makes a Purchase and Sale of Securities For the Purpose of Misleading Other Persons on the Status of Transactions)
If a person makes a purchase and sale of securities, market derivatives transaction, or over-the-counter derivatives transaction that is in violation of the provisions of Article 159, paragraph (1)…
第百五十九条第一項の規定に違反する有価証券の売買、市場デリバティブ取引若しくは店頭デリバティブ取引又はこれらの取引の申込み若しくは委託等(以下この条において「違反行為」という。)をした者(以下この条において「違反者」という。)があるときは、内閣総理大臣は、次節に定める手続に従い、当該違反者に対し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Has Violated the Prohibition on Providing Information on Unpublished Material Facts)
When a person has, in violation of the provisions of Article 167-2, paragraph (1), performed the act of providing information set forth in that paragraph or recommending the purchase and sale…
第百六十七条の二第一項の規定に違反して、同項の伝達をし、又は同項の売買等をすることを勧める行為(以下この項において「違反行為」という。)をした者(以下この項において「違反者」という。)があるときは…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Has Violated the Prohibition on Providing Information on Unpublished Material Facts)
when the violation has been committed in relation to business related to the acts set forth in Article 2, paragraph (8), item (ix) concerning regulated securities…
当該特定有価証券等に係る第二条第八項第九号に掲げる行為に係る業務(以下この号、次項第二号並びに第百八十五条の七第十二項及び第十三項において「募集等業務」という。)に関し違反行為をした場合 次のイ及びロに掲げる額の合計額
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Has Violated the Prohibition on Providing Information on Unpublished Material Facts)
The provisions of paragraph (1) apply mutatis mutandis to the case in which an officer, etc. specified in Article 166, paragraph (1), item (i) of a listed company…
第一項の規定は、上場会社等の業務として特定伝達等行為(第百六十七条の二第一項に規定する目的をもつて同項の伝達をし、又は同項の売買等をすることを勧める行為をいう。)をした当該上場会社等の第百六十六条第一項第一号に規定する役員等がある場合について準用する。
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Has Violated the Prohibition on Providing Information on Unpublished Material Facts)
The provisions of paragraph (2) apply mutatis mutandis to the case in which an officer, etc. specified in Article 166, paragraph (1), item (i) of a tender offeror…
第二項の規定は、公開買付者等(第百六十七条第一項に規定する公開買付者等をいい、同項第一号に規定する親会社を含む。)の業務として特定伝達等行為(第百六十七条の二第二項に規定する目的をもつて同項の伝達をし、又は同項の買付け等若しくは売付け等をすることを勧める行為をいう。)をした当該公開買付者等の第百六十六条第一項第一号に…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Has Violated the Prohibition on Providing Information on Unpublished Material Facts)
When a person has, in violation of the provisions of Article 167-2, paragraph (2), performed the act of providing information set forth in that paragraph or recommending the purchase…
第百六十七条の二第二項の規定に違反して、同項の伝達をし、又は同項の買付け等若しくは売付け等をすることを勧める行為(以下この項において「違反行為」という。)をした者(以下この項において「違反者」という。)があるときは…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Has Violated the Prohibition on Providing Information on Unpublished Material Facts)
when the violation has been committed in relation to business of public offering, etc. related to the share certificates, etc.: the sum of the amounts listed in (a) and (b):
当該株券等に係る募集等業務に関し違反行為をした場合 次のイ及びロに掲げる額の合計額
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Violates Acts Prohibited for Company Insiders)
If a person violates the provisions of Article 166 paragraph (1) or (3) in making a purchase and sale, etc. prescribed in Article 166 paragraph (1), the Prime Minister must…
第百六十六条第一項又は第三項の規定に違反して、同条第一項に規定する売買等をした者があるときは、内閣総理大臣は、次節に定める手続に従い、その者に対し、次の各号に掲げる場合の区分に応じ…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Violates Acts Prohibited for Company Insiders)
If a person violates the provisions of Article 167, paragraph (1) or (3) in making a purchase, etc. involving the specified share certificates, etc. or related share certificates…
第百六十七条第一項又は第三項の規定に違反して、同条第一項に規定する特定株券等若しくは関連株券等に係る買付け等又は同項に規定する株券等に係る売付け等をした者があるときは、内閣総理大臣は、次節に定める手続に従い、その者に対し、次の各号に掲げる場合の区分に応じ…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Violates Acts Prohibited for Company Insiders)
The provisions of paragraph (1) (excluding item (iii)) apply mutatis mutandis if the officer, etc., prescribed in Article 166, paragraph (1), item (i), of a listed company…
第一項(第三号を除く。)の規定は、第百六十六条第一項又は第三項の規定に違反して、上場会社等(第百六十三条第一項に規定する上場会社等をいい、第百六十六条第一項第一号に規定する親会社、子会社、資産運用会社及び特定関係法人を含む。次条第十三項において同じ。)の計算において第百六十六条第一項に規定する売買等をした当該上場会社…
Open this provision(Dispositions for Conducting Investigations)
The Prime Minister may have relevant officials make the following dispositions in order to conduct the necessary investigation into a case concerning an administrative monetary penalty under the…
内閣総理大臣は、第百七十二条の十二第一項、第百七十三条第一項、第百七十四条第一項、第百七十四条の二第一項、第百七十四条の三第一項、第百七十五条第一項(同条第九項において準用する場合を含む。)若しくは第二項又は第百七十五条の二第一項(同条第十三項において準用する場合を含む。)若しくは第二項(同条第十四項において準用する…
Open this provision(Decision to Commence Trial Procedures)
If the Prime Minister finds that any of the following facts have occurred, the Prime Minister must issue a decision to commence trial procedures for a case that involves that fact:
内閣総理大臣は、次に掲げる事実のいずれかがあると認めるときは、当該事実に係る事件について審判手続開始の決定をしなければならない。
Open this provision(Decision to Commence Trial Procedures)
a fact that falls under Article 172, paragraph (1) or paragraph (2) (including as applied mutatis mutandis pursuant to paragraph (4) of that Article) or paragraph (3) of that Article;
第百七十二条第一項、第二項(同条第四項において準用する場合を含む。)又は第三項に該当する事実
Open this provision(Decision to Commence Trial Procedures)
a fact that falls under the paragraphs of Article 172-10;
第百七十二条の十各項に該当する事実
Open this provision(Decision to Commence Trial Procedures)
a fact that falls under Article 172-11, paragraph (1);
第百七十二条の十一第一項に該当する事実
Open this provision(Decision to Commence Trial Procedures)
the fact which falls under Article 172-12, paragraph (1);
第百七十二条の十二第一項に該当する事実
Open this provision(Decision to Commence Trial Procedures)
a fact that falls under Article 173, paragraph (1);
第百七十三条第一項に該当する事実
Open this provision(Decision to Commence Trial Procedures)
a fact that falls under Article 174, paragraph (1);
第百七十四条第一項に該当する事実
Open this provision(Decision to Commence Trial Procedures)
a fact that falls under Article 174-2, paragraph (1);
第百七十四条の二第一項に該当する事実
Open this provision(Decision to Commence Trial Procedures)
a fact that falls under Article 174-3, paragraph (1); or
第百七十四条の三第一項に該当する事実
Open this provision(Decision to Commence Trial Procedures)
a fact that falls under Article 175, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (9) of that Article) or paragraph (2) of that Article;
第百七十五条第一項(同条第九項において準用する場合を含む。)又は第二項に該当する事実
Open this provision(Decision to Commence Trial Procedures)
a fact which falls under Article 175-2, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (13) of that Article) or paragraph (2) of that Article…
第百七十五条の二第一項(同条第十三項において準用する場合を含む。)又は第二項(同条第十四項において準用する場合を含む。)に該当する事実
Open this provision(Decision to Commence Trial Procedures)
a fact that falls under Article 172-2, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (4) of that Article), paragraph (2) of that Article…
第百七十二条の二第一項(同条第四項において準用する場合を含む。)、第二項(同条第五項において準用する場合を含む。)又は第六項に該当する事実
Open this provision(Decision to Commence Trial Procedures)
a fact that falls under any of the paragraphs of Article 172-3;
第百七十二条の三各項に該当する事実
Open this provision(Decision to Commence Trial Procedures)
a fact that falls under Article 172-4, paragraph (1) or paragraph (2) (including as applied mutatis mutandis pursuant to paragraph (3) of that Article);
第百七十二条の四第一項又は第二項(同条第三項において準用する場合を含む。)に該当する事実
Open this provision(Decision to Commence Trial Procedures)
a fact that falls under Article 172-6, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (2) of that Article);
第百七十二条の六第一項(同条第二項において準用する場合を含む。)に該当する事実
Open this provision(Decision to Commence Trial Procedures)
a fact that falls under Article 172-7;
第百七十二条の七に該当する事実
Open this provision(Execution of an Administrative Monetary Penalty Payment Order)
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…
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…
Open this provisionAn 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。
Open this provision(Submission of a Draft Decision)
After the completion of trial procedures, trial examiners must prepare a draft decision on a trial case and submit the draft decision to the Prime Minister.
審判官は、審判手続を経た後、審判事件についての決定案を作成し、内閣総理大臣に提出しなければならない。
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If, after the completion of trial procedures, the Prime Minister finds a fact set forth in any of the items of Article 178, paragraph (1) to have occurred…
内閣総理大臣は、審判手続を経た後、第百七十八条第一項各号に掲げる事実のいずれかがあると認めるときは、この条に別段の定めがある場合を除き、被審人に対し、第百七十二条第一項、第二項(同条第四項において準用する場合を含む。)若しくは第三項、第百七十二条の二第一項(同条第四項において準用する場合を含む。)…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If, after the completion of trial procedures, the Prime Minister finds a fact set forth in any of the items of Article 178, paragraph (1) to have occurred…
内閣総理大臣は、審判手続を経た後、第百七十八条第一項各号に掲げる事実のいずれかがあると認めるときは、この条に別段の定めがある場合を除き、被審人に対し、第百七十二条第一項、第二項(同条第四項において準用する場合を含む。)若しくは第三項、第百七十二条の二第一項(同条第四項において準用する場合を含む。)…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If the Prime Minister is required to issue the decision referred to in paragraph (1) (limited to a decision under Article 178, paragraph (1), item (xi)) in connection with two or more pieces of…
内閣総理大臣は、同一の記載対象事業年度に係る二以上の発行者等情報(発行者等情報に係る虚偽の情報を訂正し、又は提供し、若しくは公表すべき重要な事項に関する情報の不備を補正する訂正発行者情報を除く。次項において同じ。)について第一項の決定(第百七十八条第一項第十一号に係るものに限る。)をしなければならないときは…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If the Prime Minister is required to issue the decision referred to in paragraph (1) (but only if the Prime Minister finds the fact set forth in Article 178, paragraph (1), item (xi) to have…
内閣総理大臣は、第一項(第百七十八条第一項第十一号に掲げる事実があると認める場合に限る。以下この項において同じ。)又は前項の決定をしなければならない場合において、既に第一項、前項、この項、第十四項(同号に掲げる事実があると認める場合に限る。以下この項において同じ。)…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
the highest of the amount calculated for each decision in respect of each fact subject to a prior decision or a new decision;
それぞれの既決定及び新決定に係る事実について個別決定ごとの算出額のうち最も高い額
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
the sum of the amount of administrative monetary penalty under Article 172-11, paragraph (1), the preceding paragraph, this paragraph, and paragraphs (14) through (16) in connection with the prior…
当該既決定に係る第百七十二条の十一第一項又は前項、この項若しくは第十四項から第十六項までの規定による課徴金の額を合計した額
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
When the Prime Minister is required to issue decisions under paragraph (1) (limited to the decision related to Article 178, paragraph (1), item (xvii)) in relation to two or more Acts of Violation…
内閣総理大臣は、同一の募集等業務に関し行われた二以上の違反行為(第百七十五条の二第一項又は第二項に規定する違反行為をいい、同条第十三項及び第十四項に規定する特定伝達等行為を含む。以下この項及び次項において同じ。)について第一項の決定(第百七十八条第一項第十七号に係るものに限る。)をしなければならないときは…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
When the Prime Minister is required to issue a decision under paragraph (1) (limited to the cases where any fact specified in Article 178, paragraph (1), item (xvii) has been found; hereinafter the…
内閣総理大臣は、第一項(第百七十八条第一項第十七号に掲げる事実があると認める場合に限る。以下この項において同じ。)又は前項の決定をしなければならない場合において、既に第一項、前項…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If the Prime Minister is required to issue the decision referred to in paragraph (1) (limited to a case where the Prime Minister finds to have occurred any of the following: a fact set forth in…
内閣総理大臣は、第一項(第百七十八条第一項第二号に掲げる事実のうち第百七十二条の二第一項(同条第四項において準用する場合を含む。以下この項において同じ。)に該当する事実、第百七十八条第一項第四号に掲げる事実のうち第百七十二条の四第一項若しくは第二項に該当する事実、第百七十八条第一項第七号に掲げる事実、同項第十号に掲げ…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If the Prime Minister is required to issue the decision referred to in paragraph (1), paragraph (2), paragraphs (4) through (8), or paragraph (10) through the preceding paragraph…
内閣総理大臣は、第一項、第二項、第四項から第八項まで又は第十項から前項までの規定により決定をしなければならない場合において、当該決定を受けるべき次の表の上欄に掲げる者が、同表の中欄に掲げる日から遡り五年以内に…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If the Prime Minister is required to issue one or more decisions pursuant to paragraph (1) (but only if the Prime Minister finds the fact set forth in Article 178, paragraph (1), item (iv) or (xi) to…
内閣総理大臣は、第一項(第百七十八条第一項第四号又は第十一号に掲げる事実があると認める場合に限る。)、第六項、第七項、第十項、第十一項又は前二項(同条第一項第四号又は第十一号に掲げる事実があると認める場合に限る。以下この項において同じ。)の規定により一以上の決定をしなければならないときであつて、同一事件について…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
In the case referred to in paragraph (1) (but only if the Prime Minister finds a fact set forth in Article 178, paragraph (1), items (xii) through (xvi) to have occurred)…
内閣総理大臣は、第一項(第百七十八条第一項第十二号から第十六号までに掲げる事実のいずれかがあると認める場合に限る。)、第十四項(同号に掲げる事実があると認める場合に限る。以下この項において同じ。)又は第十五項(同条第一項第十二号から第十六号までに掲げる事実のいずれかがあると認める場合に限る。以下この項において同じ。)…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If, after the conclusion of trial procedures, the Prime Minister finds no fact to have occurred that falls under an item of Article 178, paragraph (1), or in a case to which paragraph (3)…
内閣総理大臣は、審判手続を経た後、第百七十八条第一項各号に掲げる事実がないと認めるとき又は第三項、第五項ただし書、第七項ただし書、第九項、第十一項ただし書、第十六項ただし書若しくは前項ただし書に該当するときは、その旨を明らかにする決定をしなければならない。
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
A decision referred to in paragraphs (1), (2), (4) through (8), and (10) to the preceding paragraph must be issued in writing based on the draft decision submitted by a trial examiner pursuant to the…
第一項、第二項、第四項から第八項まで及び第十項から前項までの決定は、文書によつて、前条の規定により審判官が提出した決定案に基づいて行わなければならない。
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If the Prime Minister is required to issue the decision referred to the preceding paragraph in connection with a fact that falls under Article 172, paragraph (1) and a fact that falls under Article…
内閣総理大臣は、同一の募集又は売出しについて第百七十二条第一項に該当する事実及び同条第二項に該当する事実のそれぞれについて前項の決定(第百七十八条第一項第一号に係るものに限る。)をしなければならないときは、第百七十二条第一項又は第二項の規定による額に代えて…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
The written decision pertaining to the decision prescribed in the preceding paragraph must state the facts found by the Prime Minister and the application of laws and regulations to those facts…
前項に規定する決定に係る決定書には、内閣総理大臣が認定した事実及びこれに対する法令の適用(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にあつては、課徴金の計算の基礎及び納付期限を含む。)を記載しなければならない。
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
The due date for payment as referred to in the preceding paragraph is the day on which two months have elapsed since the date on which a certified copy of the written decision provided for in that…
前項の納付期限は、同項に規定する決定書(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に係るものに限る。)の謄本を発した日から二月を経過した日とする。
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
A decision provided for in paragraph (19) becomes effective through the service of a certified copy of the written decision related to the decision on the respondent.
第十九項に規定する決定は、被審人に当該決定に係る決定書の謄本を送達することによつて、その効力を生ずる。
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
Notwithstanding the provisions of the preceding paragraph, if, at the time of the decision referred to in paragraph (1)…
第一項の決定(第百七十八条第一項第四号又は第十一号に係るものに限る。)並びに第六項、第七項、第十項、第十一項、第十四項(同条第一項第四号又は第十一号に掲げる事実があると認める場合に限る。)及び第十五項(同条第一項第四号又は第十一号に掲げる事実があると認める場合に限る。)の決定は、これらの決定の時において…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
Notwithstanding the provisions of paragraph (22), if, at the time of the decision referred to in paragraph (1) (limited to a decision connected with any of Article 178, paragraph (1), items (xii)…
第一項の決定(第百七十八条第一項第十二号から第十六号までに係るものに限る。)並びに第十四項(同号に掲げる事実があると認める場合に限る。)及び第十五項(同条第一項第十二号から第十六号までに掲げる事実のいずれかがあると認める場合に限る。)の決定は、当該決定の時において、同一事件について公訴が提起されている場合であつて…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
Once the Prime Minister has issued a decision with regard to a public offering or secondary distribution that falls under both Article 172, paragraph (1) and paragraph (2) pursuant to the provisions…
内閣総理大臣は、第百七十二条第一項及び第二項のいずれにも該当する募集又は売出しについて既に第一項(第百七十八条第一項第一号に掲げる事実があると認める場合に限る。以下この項において同じ。)、前項又は第十五項(同号に掲げる事実があると認める場合に限る。)の規定により決定をしているときは…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If the Prime Minister is required to issue the decision referred to in paragraph (1) (limited to a decision under Article 178, paragraph (1), item (iii)) in connection with the submission of ongoing…
内閣総理大臣は、同一の記載対象事業年度に係る継続開示書類(有価証券報告書又は半期報告書をいう。次項において同じ。)の提出について第百七十二条の三第一項に該当する事実及び同条第二項に該当する事実のそれぞれについて第一項の決定(第百七十八条第一項第三号に係るものに限る。)をしなければならないときは…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If the Prime Minister is required to issue the decision referred to in paragraph (1) (but only if the Prime Minister finds a fact set forth in Article 178, paragraph (1), item (iii) to have occurred…
内閣総理大臣は、第一項(第百七十八条第一項第三号に掲げる事実があると認める場合に限る。以下この項において同じ。)の決定をしなければならない場合において、既に第一項又は第十五項(同号に掲げる事実があると認める場合に限る。以下この項において同じ。)の規定によりなされた決定(以下この項において「既決定」という。)に係る継続…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
the amount calculated pursuant to Article 172-3, paragraph (1);
第百七十二条の三第一項の規定により算出した額
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
the amount of the administrative monetary penalty under the provisions of Article 172-3, paragraph (1) or (2) or paragraph (15) of this Article related to that prior decision.
当該既決定に係る第百七十二条の三第一項若しくは第二項又は本条第十五項の規定による課徴金の額
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If the Prime Minister is required to issue the decision referred to in paragraph (1) (limited to a decision under Article 178, paragraph (1), item (iv)) in connection with two or more ongoing…
内閣総理大臣は、同一の記載対象事業年度に係る二以上の継続開示書類等(有価証券報告書等又は半期・臨時報告書等をいい、これらの書類に係る虚偽の記載を訂正し、又は記載すべき重要な事項の不備を補正する第二十四条の二第一項及び第二十四条の五第五項(これらの規定を第二十七条において準用する場合を含む。)において準用する第七条第一…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
the highest of the amounts calculated pursuant to Article 172-4, paragraph (1) for the fact that has occurred in respect of the decision, for each annual securities report, etc.;
それぞれの有価証券報告書等についての当該決定に係る事実について第百七十二条の四第一項の規定により算出した額のうち最も高い額
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
the highest of the amounts arrived at when the amount calculated pursuant to Article 172-4, paragraph (2) (including as applied mutatis mutandis pursuant to paragraph (3) of that Article) for the…
それぞれの半期・臨時報告書等についての当該決定に係る事実について第百七十二条の四第二項(同条第三項において準用する場合を含む。)の規定により算出した額に二を乗じて得た額のうち最も高い額
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If the Prime Minister is required to issue the decision referred to in paragraph (1) (but only if the Prime Minister finds the fact set forth in Article 178, paragraph (1), item (iv) to have…
内閣総理大臣は、第一項(第百七十八条第一項第四号に掲げる事実があると認める場合に限る。以下この項において同じ。)又は前項の決定をしなければならない場合において、既に第一項、前項、この項、第十四項(同号に掲げる事実があると認める場合に限る。以下この項において同じ。)…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If the Prime Minister is required to issue the decision referred to in paragraph (1) in connection with two or more tender offer documents, etc.…
内閣総理大臣は、同一の公開買付けに係る二以上の公開買付書類等(公開買付開始公告等又は公開買付届出書等をいう。次項において同じ。)について第一項の決定(第百七十八条第一項第六号に係るものに限る。)をしなければならないときは、第百七十二条の六第一項(同条第二項において準用する場合を含む。)の規定による額に代えて…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If the Prime Minister has already issued a decision pursuant to paragraph (1) (but only if the Prime Minister found the fact set forth in Article 178, paragraph (1), item (vi) to have occurred…
内閣総理大臣は、公開買付書類等について既に第一項(第百七十八条第一項第六号に掲げる事実があると認める場合に限る。以下この項において同じ。)、前項又は第十五項(同号に掲げる事実があると認める場合に限る。)の規定により決定をしているときは…
Open this provision(Suspension of the Validity of a Decision)
After the issuance of the decision referred to in paragraph (1) of the preceding Article or the decision referred to in paragraph (6), (7), (10), (11), (14) or (15) of that Article…
内閣総理大臣は、前条第一項の決定又は同条第六項、第七項、第十項、第十一項、第十四項若しくは第十五項の決定の後、同一事件について、当該決定を受けた者に対し、罰金の確定裁判があつたときは、当該決定に係る課徴金の額を、これらの規定による額から…
Open this provision(Suspension of the Validity of a Decision)
After the decision referred to in paragraph (1), (14), or (15) of the preceding Article, if the final and binding judicial decision in the same case imposes a confiscation of the properties set forth…
内閣総理大臣は、前条第一項の決定又は同条第十四項若しくは第十五項の決定の後、同一事件について、当該決定を受けた者に対し、第百九十八条の二第一項各号に掲げる財産の没収又は同項各号に掲げる財産の価額の追徴の確定裁判があつたときは、前条第一項の決定又は同条第十四項若しくは第十五項の決定に係る課徴金の額を…
Open this provisionThe following property is to be confiscated; provided, however, that if it is not appropriate to confiscate all or part of the property in light of the circumstances of its acquisition…
次に掲げる財産は、没収する。ただし、その取得の状況、損害賠償の履行の状況その他の事情に照らし、当該財産の全部又は一部を没収することが相当でないときは、これを没収しないことができる。
Open this provision(Submission of Shelf Registration Supplements)
It is prohibited for an issuer, person that engages in the secondary distribution of securities, underwriter, financial instruments business operator, registered financial institution or financial…
発行登録者、有価証券の売出しをする者、引受人、金融商品取引業者、登録金融機関若しくは金融商品仲介業者又は金融サービス仲介業者は、発行登録によりあらかじめその募集又は売出しが登録されている有価証券については、当該発行登録がその効力を生じており、かつ、当該有価証券の募集又は売出しごとにその発行価額又は売出価額の総額…
Open this provision(Mutatis Mutandis Application of Provisions on Amended Statements)
The provisions of Article 7, paragraph (1),Article 9, paragraph (1), and Article 10, paragraph (1) apply mutatis mutandis to an annual securities report and accompanying documents.
第七条第一項、第九条第一項及び第十条第一項の規定は、有価証券報告書及びその添付書類について準用する。この場合において、第七条第一項中「第四条第一項から第三項までの規定による届出の日以後当該届出がその効力を生ずることとなる日前において、第五条第一項及び第十三項の規定による届出書類」とあるのは「有価証券報告書及びその添付…
Open this provision(Submission of Semiannual Securities Reports and Extraordinary Reports)
A company that is required to submit an annual securities report under Article 24, paragraph (1) (including a company that has submitted an annual securities report pursuant to Article 23-3…
第二十四条第一項の規定による有価証券報告書を提出しなければならない会社(第二十三条の三第四項の規定により有価証券報告書を提出した会社を含む。第四項において同じ。)は、事業年度ごとに、当該事業年度が開始した日から六月が経過したときは、内閣府令で定めるところにより、次の表の各号の上欄に掲げる区分に応じ、それぞれ…
Open this provision(Submission of Semiannual Securities Reports and Extraordinary Reports)
The provisions of paragraph (1) (excluding the proviso and items (i) and (ii) of the table in that paragraph; hereinafter the same applies in this paragraph) and the preceding paragraph apply mutatis…
第一項(ただし書並びに同項の表の第一号及び第二号を除く。以下この項において同じ。)及び前項の規定は、第二十四条第五項において準用する同条第一項の規定による有価証券報告書を提出しなければならない会社(第二十三条の三第四項の規定により当該有価証券報告書を提出した会社を含む。次項及び第二十項において同じ。)について準用する。
Open this provision(Submission of Semiannual Securities Reports and Extraordinary Reports)
If a public offering or secondary distribution of securities issued by a company that is required to submit the annual securities report under Article 24…
第二十四条第一項(同条第五項において準用する場合を含む。)の規定による有価証券報告書を提出しなければならない会社は、その会社が発行者である有価証券の募集又は売出しが外国において行われるとき、その他公益又は投資者保護のため必要かつ適当なものとして内閣府令で定める場合に該当することとなつたときは…
Open this provision(Submission of Semiannual Securities Reports and Extraordinary Reports)
The provisions of Article 7, paragraph (1), Article 9, paragraph (1), and Article 10, paragraph (1) apply mutatis mutandis to semiannual securities reports and extraordinary reports…
第七条第一項、第九条第一項及び第十条第一項の規定は半期報告書及び臨時報告書について、第二十二条の規定は半期報告書及び臨時報告書並びにこれらの訂正報告書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けている場合について、それぞれ準用する。
Open this provision(Submission of Annual Securities Reports)
If securities issued by a company (excluding regulated securities; hereinafter the same applies in this Article, except in the following items) fall under any of the categories set forth in the…
有価証券の発行者である会社は、その会社が発行者である有価証券(特定有価証券を除く。次の各号を除き、以下この条において同じ。)が次に掲げる有価証券のいずれかに該当する場合には、内閣府令で定めるところにより、事業年度ごとに、当該会社の商号…
Open this provision(Submission of Annual Securities Reports)
If the securities issued by a company to which the main clause of paragraph (1) does not apply, come to fall under a category of securities specified in items (i) to (iii) of that paragraph…
第一項本文の規定の適用を受けない会社が発行者である有価証券が同項第一号から第三号までに掲げる有価証券に該当することとなつたとき(内閣府令で定める場合を除く。)は、当該会社は、内閣府令で定めるところにより、その該当することとなつた日の属する事業年度の直前事業年度に係る有価証券報告書を、遅滞なく…
Open this provision(Submission of Annual Securities Reports)
The provisions of the preceding paragraphs apply mutatis mutandis if regulated securities issued by a company fall under a category specified in an item of paragraph (1).
前各項の規定は、特定有価証券が第一項各号に掲げる有価証券のいずれかに該当する場合について準用する。この場合において、同項本文中「有価証券の発行者である会社」とあるのは「有価証券の発行者である会社(内閣府令で定める有価証券については、内閣府令で定める者を除く。)」と…
Open this provision(Submission of Annual Securities Reports)
The articles of incorporation or other documents that are specified by Cabinet Office Order as necessary and appropriate in the public interest or for the protection of investors must accompany an…
有価証券報告書には、定款その他の書類で公益又は投資者保護のため必要かつ適当なものとして内閣府令で定めるものを添付しなければならない。
Open this provision(Collection of Reports and Inspection of a Person Submitting a Securities Registration Statement)
When the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister may order a person that has submitted public documents…
内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、縦覧書類を提出した者若しくは提出すべきであると認められる者若しくは有価証券の引受人その他の関係者若しくは参考人に対し参考となるべき報告若しくは資料の提出を命じ、又は当該職員をしてその者の帳簿書類その他の物件を検査させることができる。
Open this provision(Mutatis Mutandis Application of Provisions for an Issuer That Is Not a Company)
The provisions of Article 2-3; Articles 5 through 13; Articles 15 through 24-5-2; and Article 24-7 through the preceding Article apply mutatis mutandis if the issuer is a person other than a company…
第二条の三、第五条から第十三条まで、第十五条から第二十四条の五の二まで及び第二十四条の七から前条までの規定は、発行者が会社以外の者(第五条第六項から第九項まで、第七条第二項、第九条第二項、第十条第二項、第二十四条第八項から第十三項まで、第二十四条の二第四項、第二十四条の四の二第六項(第二十四条の五の二第一項において準…
Open this provision(Submission of a Target Company's Position Statement and Tender Offeror's Answer)
The provisions of Article 27-8, paragraphs (1) through (5) (excluding Article 27-8, paragraph (3), items (ii) and (iii)) apply mutatis mutandis to a tender offeror's answer.
第二十七条の八第一項から第五項まで(第三項第二号及び第三号を除く。)の規定は、対質問回答報告書について準用する。この場合において、同条第一項中「訂正届出書」とあるのは「訂正報告書」と、同条第二項中「買付条件等の変更」とあるのは「回答内容の変更」と、「訂正届出書」とあるのは「訂正報告書」と…
Open this provision(Tender Offers for Share Certificates by Persons Other Than the Issuer)
A purchase, etc. of share certificates, corporate bond certificates with share options, or other securities specified by Cabinet Order…
その株券、新株予約権付社債券その他の有価証券で政令で定めるもの(以下この章及び第二十七条の三十の十一(第五項を除く。)において「株券等」という。)について有価証券報告書を提出しなければならない発行者又は特定上場有価証券(流通状況がこれに準ずるものとして政令で定めるものを含み、株券等に限る。)の発行者の株券等につき…
Open this provision(Tender Offers for Listed Share Certificates by the Issuer)
A purchase, etc. (meaning a purchase or other acquisition for value; hereinafter the same applies in this Article and the following Article) of listed share certificates…
上場株券等の当該上場株券等の発行者による取引所金融商品市場外における買付け等(買付けその他の有償の譲受けをいう。以下この条及び次条において同じ。)のうち、次に掲げるものに該当するものについては、公開買付けによらなければならない。
Open this provision(Tender Offers for Listed Share Certificates by the Issuer)
The provisions of Article 27-2, paragraphs (2) through (6); Article 27-3 (excluding the second sentence of paragraph (1) and paragraph (2), item (ii)); Article 27-4…
第二十七条の二第二項から第六項まで、第二十七条の三(第一項後段及び第二項第二号を除く。)、第二十七条の四、第二十七条の五(各号列記以外の部分に限る。第五項及び次条第五項において同じ。)、第二十七条の六から第二十七条の九まで(第二十七条の八第六項、第十項及び第十二項を除く。)…
Open this provision(Public Notice of the Commencement of a Tender Offer and Submission of a Tender Offer Statement)
A person that, pursuant to the main clause of paragraph (1) of the preceding Article, is required to effect any purchase, etc. of share certificates, etc. through a tender offer as prescribed in…
前条第一項本文の規定により同項に規定する公開買付け(以下この節において「公開買付け」という。)によつて株券等の買付け等を行わなければならない者は、政令で定めるところにより、当該公開買付けについて、その目的、買付け等の価格…
Open this provision(Collection of Reports and Inspection of a Person Submitting a Statement of Large-Volume Holdings)
When the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister may order a person that has submitted a statement of…
内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、大量保有報告書を提出した者若しくは提出すべきであると認められる者若しくはこれらの共同保有者(第二十七条の二十三第五項に規定する共同保有者をいう。)その他の関係者若しくは参考人に対し参考となるべき報告若しくは資料の提出を命じ…
Open this provision(Collection of Reports and Inspection of a Provider of Specified Information)
When the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister may order an issuer that has provided or disclosed…
内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、特定情報を提供し、若しくは公表した発行者若しくは特定情報を提供し、若しくは公表すべきであると認められる発行者若しくは当該特定情報に係る有価証券の引受人その他の関係者若しくは参考人に対し参考となるべき報告若しくは資料の提出を命じ…
Open this provision(Submission of an Amended Statement in Connection with a Tender Offer Statement)
If, on or after the day on which a tender offer statement is submitted and before the last day of the tender offer period, the terms of purchase, etc. change…
公開買付届出書を提出した日以後当該公開買付期間の末日までの間において、買付条件等の変更(第二十七条の十第三項の規定による買付け等の期間の延長を除く。)その他の公開買付届出書に記載すべき重要な事項の変更その他当該公開買付届出書の内容を訂正すべき内閣府令で定める事情があるときは、当該公開買付届出書を提出した公開買付者は…
Open this provision(Notification of Public Offering or Secondary Distribution)
It is not permitted for a person to conduct a public offering of securities (including specified procedures related to the issuance of securities during a corporate reorganization; the same applies…
有価証券の募集(特定組織再編成発行手続を含む。第十三条及び第十五条第二項から第六項までを除き、以下この章及び次章において同じ。)又は有価証券の売出し(次項に規定する適格機関投資家取得有価証券一般勧誘及び第三項に規定する特定投資家等取得有価証券一般勧誘に該当するものを除き、特定組織再編成交付手続を含む。以下この項におい…
Open this provision(Notification of Public Offering or Secondary Distribution)
It is not permitted for a person to issue a solicitation with a view to delivering existing securities (meaning a solicitation for selling, etc. or procedures related to the delivery of securities…
その有価証券発行勧誘等(取得勧誘及び組織再編成発行手続をいう。以下同じ。)又は有価証券交付勧誘等(売付け勧誘等及び組織再編成交付手続をいう。以下同じ。)が次に掲げる場合に該当するものであつた有価証券(第二号に掲げる場合にあつては第二条第三項第一号の規定により多数の者から除かれた適格機関投資家が取得した有価証券に限り、…
Open this provision(Notification of Public Offering or Secondary Distribution)
It is not permitted for a person to issue a solicitation with a view to delivering existing securities that involves securities falling under any of the following items…
次の各号のいずれかに該当する有価証券(第二十四条第一項各号のいずれかに該当するもの又は多数の特定投資家に所有される見込みが少ないと認められるものとして政令で定めるものを除く。以下「特定投資家向け有価証券」という。)の有価証券交付勧誘等で…
Open this provision(Voluntary Submission of Amended Statements)
If, on or after the day on which a notification under Article 4, paragraphs (1) through (3) is filed and before the day on which that notification comes into effect…
第四条第一項から第三項までの規定による届出の日以後当該届出がその効力を生ずることとなる日前において、第五条第一項及び第十三項の規定による届出書類に記載すべき重要な事項の変更その他公益又は投資者保護のため当該書類の内容を訂正する必要があるものとして内閣府令で定める事情があるときは…
Open this provision(Order to Submit an Amended Statement Due to a Formal Deficiency)
If the Prime Minister finds a formal deficiency in a statement or other document under Article 5, paragraph (1) or paragraph (13) or Article 7, paragraph (1) or finds such statement or other document…
内閣総理大臣は、第五条第一項及び第十三項若しくは第七条第一項の規定による届出書類に形式上の不備があり、又はその書類に記載すべき重要な事項の記載が不十分であると認めるときは、届出者に対し、訂正届出書の提出を命ずることができる。
Open this provision(Determination of Matters Regarding Acquisition of Shares)
A stock company must prescribe the following matters by a resolution at a shareholders meeting in advance in order to acquire for value own shares by agreement with its shareholders; provided…
株式会社が株主との合意により当該株式会社の株式を有償で取得するには、あらかじめ、株主総会の決議によって、次に掲げる事項を定めなければならない。ただし、第三号の期間は、一年を超えることができない。
Open this provision(Acquisition of Shares from Subsidiary Companies)
If a stock company acquires shares in relevant stock company that are held by its subsidiary company, for the purpose of the application of the provisions of Article 156, paragraph (1)…
株式会社がその子会社の有する当該株式会社の株式を取得する場合における第百五十六条第一項の規定の適用については、同項中「株主総会」とあるのは、「株主総会(取締役会設置会社にあっては、取締役会)」とする。この場合においては、第百五十七条から第百六十条までの規定は、適用しない。
Open this provisionIf the provisions of the articles of incorporation under the provisions of the preceding paragraph is created, for the purpose of the application of the provisions of Article 156, paragraph (1)…
前項の規定による定款の定めを設けた場合における第百五十六条第一項の規定の適用については、同項中「株主総会」とあるのは、「株主総会(第百六十五条第一項に規定する場合にあっては、株主総会又は取締役会)」とする。
Open this provisionsecurities
「有価証券」
Securities as this Act defines them: the instruments listed in Article 2, paragraph (1), among them national government and local government bonds, corporate bonds, share certificates and share option certificates, preferred equity investment certificates, beneficiary certificates of investment trusts and other trusts, investment securities, certain promissory notes, mortgage securities, option certificates and depositary receipts, foreign instruments of the same nature, and other instruments a Cabinet Order (政令) specifies.
Defined inArticle 2, paragraph (1)· applies throughout the law
public offering of securities
「有価証券の募集」
A public offering of securities: a solicitation of applications to acquire newly issued securities (取得勧誘) that, for paragraph (1) securities (第一項有価証券), is made to many persons as a Cabinet Order (政令) sets or falls under none of the exemptions for solicitations made only to qualified institutional investors, only to professional investors, or to a small number of persons, and that, for paragraph (2) securities (第二項有価証券), will lead a fairly large number of persons, as a Cabinet Order sets, to hold the securities.
Defined inArticle 2, paragraph (3)
issuer
「発行者」
A person who issues or intends to issue securities, or for securities a Cabinet Office Order (内閣府令) specifies, the person it specifies; for rights treated as securities under Article 2, paragraph (2), the person a Cabinet Office Order specifies for each kind of right is treated as issuing them, at the time it specifies.
Defined inArticle 2, paragraph (5)
prospectus
「目論見書」
A document setting out an explanation of the issuer's business and other matters, for a public offering or secondary distribution of securities, or for a general solicitation of securities acquired by qualified institutional investors (適格機関投資家取得有価証券一般勧誘) under Article 4, paragraph (2) or of securities acquired by professional investors, etc. (特定投資家等取得有価証券一般勧誘) under Article 4, paragraph (3) that is not a secondary distribution, which is delivered to the other party, or delivered when the other party asks for it.
Defined inArticle 2, paragraph (10)· applies throughout the law
general solicitation involving securities acquired by a qualified institutional investormachine translation
「適格機関投資家取得有価証券一般勧誘」
A solicitation with a view to delivering existing securities (有価証券交付勧誘等) that a qualified institutional investor (適格機関投資家) makes to persons who are not qualified institutional investors, involving securities whose original solicitation fell under one of the cases listed in Article 4, paragraph (2) (in the cases in items (ii) and (iv), only securities acquired by qualified institutional investors left out of the count of persons solicited).
Short name set inArticle 4, paragraph (2)
general solicitation involving securities acquired by a professional investormachine translation
「特定投資家等取得有価証券一般勧誘」
A solicitation with a view to delivering existing securities for professional investors (特定投資家向け有価証券) that is not made through a financial instruments business operator, etc. on entrustment to professional investors, etc. (特定投資家等) — other than one made to the State, the Bank of Japan or qualified institutional investors and others a Cabinet Order (政令) specifies; the issuer must have notified the Prime Minister before it can be made.
Short name set inArticle 4, paragraph (3)
annual securities report
「有価証券報告書」
An annual securities report: the report that a company issuing securities listed on a financial instruments exchange, or otherwise falling under Article 24, paragraph (1), must submit to the Prime Minister for each business year, setting out its trade name, the state of its corporate group and its accounts, and other important matters about its business, within three months after the year ends for a domestic company.
Short name set inArticle 24, paragraph (1)
listed company, etc.
「上場会社等」
In the table in Article 24-5, paragraph (1), a company that issues the securities in Article 24, paragraph (1), item (i) or securities whose circulation is comparable, or another body a Cabinet Order (政令) specifies.
Short name set inArticle 24-5, paragraph (1)
semiannual securities reportmachine translation
「半期報告書」
The report that every company required to submit annual securities reports (有価証券報告書) must submit to the Prime Minister under Article 24-5, paragraph (1) for the first six months of each business year, stating the particulars the table in that paragraph sets for its category, within the period the table sets.
Defined inArticle 24-5, paragraph (1)
extraordinary report
「臨時報告書」
A report that a company required to file annual securities reports (有価証券報告書) must file with the Prime Minister without delay when its securities are publicly offered or distributed abroad or another case a Cabinet Office Order (内閣府令) specifies arises, stating what has happened.
Short name set inArticle 24-5, paragraph (4)
purchase, etc.machine translation
「買付け等」
In Articles 27-22-2 and 27-22-3, on tender offers (公開買付け) by the issuer of listed share certificates, etc. (上場株券等), a purchase or other acquisition for value.
Defined inArticle 27-22-2, paragraph (1)· applies only in this article and in Article 27-22-3
information on the issuermachine translation
「発行者情報」
Information about an issuer that a Cabinet Office Order (内閣府令) specifies, which an issuer of securities for professional investors (特定投資家向け有価証券), or an issuer that has provided or published specified information on securities (特定証券情報), must, unless a Cabinet Office Order excuses it, provide to the holders of those securities or publish at least once each business year or other period a Cabinet Office Order specifies.
Short name set inArticle 27-32, paragraph (1)
amended information on the issuer
「訂正発行者情報」
Information correcting issuer information (発行者情報), which an issuer listed in Article 27-32, paragraph (1) must provide or publish, as a Cabinet Office Order (内閣府令) sets, when something in its issuer information needs correcting.
Short name set inArticle 27-32, paragraph (3)
specified information on securities, etc.machine translation
「特定証券等情報」
Specified information on securities (特定証券情報), the reference information (参照情報) for it where Article 27-31, paragraph (3) applies, or amended specified information on securities (訂正特定証券情報) together with its reference information.
Defined inArticle 27-33, paragraph (1)
specified solicitation, etc.machine translation
「特定勧誘等」
An exclusive solicitation for acquisition (特定取得勧誘) or a specified solicitation for selling, etc. (特定売付け勧誘等): a solicitation only for professional investors, or another solicitation a Cabinet Order (政令) specifies, that is not subject to the notification requirements of Article 4 and for which the issuer must provide or publish specified information on securities (特定証券情報) by the time it is made.
Defined inArticle 27-34, paragraph (1)
information on the issuer, etc.machine translation
「発行者等情報」
Information on the issuer (発行者情報) or amended information on the issuer (訂正発行者情報).
Defined inArticle 27-34, paragraph (1)
purchase and sale, etc.machine translation
「売買等」
In Article 166 and the provisions it names, a purchase and sale or other transfer or acquisition for value of a listed company's regulated securities, etc. (特定有価証券等), a succession to them in a merger or company split, or a derivatives transaction in them.
Short name set inArticle 166, paragraph (1)· applies only in this article and in Article 167-2, paragraph (1); Article 175-2, paragraph (1); and Article 197-2, paragraph (1), item (xiv)
share certificates, etc.
「株券等」
In Article 167, Article 167-2, paragraph (2), Article 175-2 and Article 197-2, paragraph (1), item (xv), specified share certificates, etc. (特定株券等) — share certificates, corporate bond certificates with share options and other securities a Cabinet Order (政令) specifies, issued by the company whose shares are the subject of a tender offer, etc. — and related share certificates, etc. (関連株券等), such as securities under Article 2, paragraph (1), item (xix) that represent options on them.
Short name set inArticle 167, paragraph (1)· applies only in this article and in Article 167-2, paragraph (2); Article 175-2; and Article 197-2, paragraph (1), item (xv)
specified share certificates, etc.machine translation
「特定株券等」
In Article 167, paragraph (1), share certificates, corporate bond certificates with share options (新株予約権付社債券) and other securities a Cabinet Order (政令) specifies, issued by the company that issues the listed or other share certificates, etc. (上場等株券等) or listed share certificates, etc. (上場株券等) for which a tender offer, etc. (公開買付け等) is made.
Short name set inArticle 167, paragraph (1)· applies only in this paragraph
public offeringmachine translation
「募集」
In Chapter 6-2, other than in Articles 173 to 174-3, a public offering of securities (有価証券の募集) as defined in Article 4, paragraph (1).
Defined inArticle 172, paragraph (2)· applies only in this chapter, except in Articles 173 to 174-3
secondary distributionmachine translation
「売出し」
In the chapter on administrative monetary penalties (課徴金), apart from the provisions the defining sentence excepts, a secondary distribution of securities (有価証券の売出し) as Article 4, paragraph (4) uses the term: one as defined in Article 2, paragraph (4), together with the general solicitations and specified reorganization deliveries that paragraph adds.
Defined inArticle 172, paragraph (2)· applies only in this chapter, except in Article 172, paragraph (3); Article 172-2, paragraphs (4) and (5); Article 178, paragraphs (3), (5) and (8); and Article 185-7, paragraphs (14) and (15)
officer, etc.
「役員等」
In Article 172-2, paragraphs (2) and (5) and Article 172-10, paragraph (2), an officer, agent, employee or other worker of the issuer concerned.
Defined inArticle 172-2, paragraph (2)· applies only in this paragraph and in Article 172-2, paragraph (5); and Article 172-10, paragraph (2)
disclosure document for offerings
「発行開示書類」
A securities registration statement and the documents filed with it under Article 5, an amended registration statement under Article 7, paragraph (1), Article 9, paragraph (1) or Article 10, paragraph (1), a shelf registration statement (発行登録書) and its attachments, an amended shelf registration statement (訂正発行登録書), or a shelf registration supplement (発行登録追補書類) and its attachments, each with the reference documents (参照書類) for it, including where those provisions apply under Article 27.
Defined inArticle 172-2, paragraph (3)
amended offering disclosure document
「発行開示訂正書類」
In Chapter VI-2, an amended securities registration statement under the first sentence of Article 7, paragraph (1), or an amended shelf registration statement (訂正発行登録書) under the first sentence of Article 23-4, including as either applies under Article 27.
Defined inArticle 172-2, paragraph (6)· applies only in this chapter
annual securities report, etc.machine translation
「有価証券報告書等」
In Chapter VI-2, annual securities reports and their attached documents under Article 24, paragraph (1) or (3) (including as applied under paragraph (5) of that Article and under Article 27) and Article 24, paragraph (6), and amendment reports under Article 7, paragraph (1), Article 9, paragraph (1) or Article 10, paragraph (1) as applied under Article 24-2, paragraph (1).
Defined inArticle 172-4, paragraph (1)· applies only in this chapter
semiannual securities or extraordinary report, etc.machine translation
「半期・臨時報告書等」
In Chapter 6-2, a semiannual securities report (半期報告書) or extraordinary report (臨時報告書) under Article 24-5, paragraph (1) or (4), or an amended report under Article 7, paragraph (1), Article 9, paragraph (1) or Article 10, paragraph (1) as Article 24-5, paragraph (5) applies them (including each of these as Article 27 applies them).
Defined inArticle 172-4, paragraph (2)· applies only in this chapter
listed share certificates, etc.
「上場株券等」
Share certificates listed on a financial instruments exchange (金融商品取引所), share certificates a Cabinet Order (政令) treats as comparable in how they circulate, and other securities a Cabinet Order specifies, as Article 24-6, paragraph (1) defines them.
Defined inArticle 172-5, paragraph (1)· applies only in this article and in Article 172-6; Article 178, paragraph (13); and Article 185-7, paragraph (15)
public notice of the commencement of a tender offer
「公開買付開始公告」
In Chapter 6-2, the public notice that Article 27-3, paragraph (1) (including as Article 27-22-2, paragraph (2) applies it) requires on the commencement of a tender offer, stating its purpose, purchase price, the number of share certificates, etc. to be bought, the purchase period and other matters.
Short name set inArticle 172-5, paragraph (1)· applies only in this chapter
tender offer statement, etc.machine translation
「公開買付届出書等」
In Chapter 6-2, a tender offer statement (公開買付届出書) under Article 27-3, paragraph (2), an amended statement under Article 27-8, paragraphs (1) to (4), a tender offeror's answer (対質問回答報告書) under Article 27-10, paragraph (11), or an amended report for it (including each of these as Article 27-22-2, paragraph (2) applies to an issuer's tender offer for its own listed share certificates, etc.).
Defined inArticle 172-6, paragraph (1)· applies only in this chapter
public notice of the commencement of a tender offer, etc.machine translation
「公開買付開始公告等」
In Chapter 6-2, a public notice of the commencement of a tender offer (公開買付開始公告), or a public notice or announcement correcting its contents under Article 27-7, paragraph (2) (including as Article 27-22-2, paragraph (2) applies it).
Defined inArticle 172-6, paragraph (1)· applies only in this chapter
tender offer
「公開買付け」
In Article 172-6 and Article 185-7, paragraphs (8) and (9), a tender offer as defined in Article 27-2, paragraph (1) or Article 27-22-2, paragraph (1): one made by someone other than the issuer, or one an issuer makes for its own listed share certificates, etc. (上場株券等).
Defined inArticle 172-6, paragraph (1), item (i)· applies only in this article and in Article 185-7, paragraphs (8) and (9)
amended tender offer statement, etc.machine translation
「公開買付訂正届出書等」
In Chapter 6-2, a tender offer statement (公開買付届出書) under Article 27-3, paragraph (2), an amended statement under Article 27-8, paragraph (2), a tender offeror's answer (対質問回答報告書) under Article 27-10, paragraph (11), or an amended report for it under Article 27-8, paragraph (2) as Article 27-10, paragraph (12) applies it (including each of these as Article 27-22-2, paragraph (2) applies to an issuer's tender offer for its own listed share certificates, etc.).
Defined inArticle 172-6, paragraph (2)· applies only in this chapter
statement of large-volume holdings or changes
「大量保有・変更報告書」
In the chapter on administrative monetary penalties (課徴金), a statement of large-volume holdings (大量保有報告書) or a statement of changes (変更報告書).
Short name set inArticle 172-7, paragraph (1)· applies only in this chapter
statement of large-volume holdings or changes, etc.machine translation
「大量保有・変更報告書等」
In the chapter on administrative monetary penalties (課徴金), a statement of large-volume holdings or changes (大量保有・変更報告書), or an amended statement of one submitted under Article 27-25, paragraph (3) (also as applied by Article 27-26, paragraph (6)) or under Article 9, paragraph (1) or Article 10, paragraph (1) as applied by Article 27-29, paragraph (1).
Defined inArticle 172-8, paragraph (1)· applies only in this chapter
specified information on securities, etc. that contains a falsehood, etc.machine translation
「虚偽等のある特定証券等情報」
In Article 172-10 and in Article 172-12, paragraph (1), Article 178, paragraph (20) and Article 185-7, paragraph (15), specified information on securities, etc. (特定証券等情報) that contains false information on a material matter or lacks information on a material matter that must be provided or published; Article 172-10 orders an administrative monetary penalty (課徴金) on an issuer that provides or publishes it and sells securities through a solicitation based on it.
Short name set inArticle 172-10, paragraph (1)· applies only in this article and in Article 172-12, paragraph (1); Article 178, paragraph (20); and Article 185-7, paragraph (15)
information on the issuer, etc. that contains a falsehood, etc.machine translation
「虚偽等のある発行者等情報」
In Article 172-11, paragraph (1) and in Article 172-12, paragraph (1), Article 178, paragraph (21) and Article 185-7, paragraph (15), information on the issuer, etc. (発行者等情報) that contains false information on a material matter or lacks information on a material matter that must be provided or published; Article 172-11 orders an administrative monetary penalty (課徴金) on an issuer that provides or publishes it.
Short name set inArticle 172-11, paragraph (1)· applies only in this paragraph and in Article 172-12, paragraph (1); Article 178, paragraph (21); and Article 185-7, paragraph (15)
specified involved person
「特定関与者」
In Article 172-12, paragraph (1), a person who has carried out a specified involvement act (特定関与行為) — helping in the ways paragraph (2) lists, or inducing, an issuer or tender offeror to submit, provide or publish disclosure documents with a false statement or a material omission — and who must pay an administrative monetary penalty (課徴金) for it.
Short name set inArticle 172-12, paragraph (1)· applies only in this paragraph
specified involvement act
「特定関与行為」
An act that induces a person submitting disclosure documents, etc. (開示書類提出者等) to submit, provide or publish fake disclosure documents, etc. (虚偽開示書類等), or that makes it easier for them to do so by advising the person who prepares those documents on the basis of a concealment or disguise of the facts underlying the accounting, or by knowingly carrying out any part of that concealment or disguise (other than giving an audit certification).
Defined inArticle 172-12, paragraph (2)
violator
「違反者」
In Article 173, a person who, in breach of Article 158, spread a rumour or used fraudulent means and thereby affected the price of securities, etc. (有価証券等).
Short name set inArticle 173, paragraph (1)· applies only in this article
violation
「違反行為」
In Article 173, spreading a rumour or using fraudulent means in breach of Article 158.
Short name set inArticle 173, paragraph (1)· applies only in this article
violator
「違反者」
In Article 174, a person who, in breach of Article 159, paragraph (1), bought or sold securities or carried out market or over-the-counter derivatives transactions, or applied for or entrusted such transactions.
Short name set inArticle 174, paragraph (1)· applies only in this article
violation
「違反行為」
In Article 174, buying or selling securities or carrying out market or over-the-counter derivatives transactions, or applying for or entrusting such transactions, in breach of Article 159, paragraph (1).
Short name set inArticle 174, paragraph (1)· applies only in this article
violator
「違反者」
In Article 174-2, a person who, in breach of Article 159, paragraph (2), item (i), carried out a series of purchases and sales of securities, etc. (有価証券売買等), or applied for or entrusted them.
Short name set inArticle 174-2, paragraph (1)· applies only in this article
violation
「違反行為」
In Article 174-2, a series of purchases and sales of securities, etc. (有価証券売買等), or applications for or entrustments of them, in breach of Article 159, paragraph (2), item (i).
Short name set inArticle 174-2, paragraph (1)· applies only in this article
violator
「違反者」
In Article 174-3, a person who, in breach of Article 159, paragraph (3), carried out a series of purchases and sales of securities, etc. (有価証券売買等), or applied for or entrusted them.
Short name set inArticle 174-3, paragraph (1)· applies only in this article
violation
「違反行為」
In Article 174-3, a series of purchases and sales of securities, etc. (有価証券売買等), or applications for or entrustments of them, in breach of Article 159, paragraph (3).
Short name set inArticle 174-3, paragraph (1)· applies only in this article
value
「価額」
The price at which securities were sold, etc. or bought, etc., multiplied by the quantity, as used in working out the administrative monetary penalty (課徴金) under paragraph (1) of Articles 173, 174, 174-2 and 174-3.
Defined inArticle 174-3, paragraph (4)
violator
「違反者」
In Article 175-2, paragraph (1), a person who, in breach of Article 167-2, paragraph (1), passed on information or recommended a purchase or sale, etc. as that paragraph forbids.
Short name set inArticle 175-2, paragraph (1)· applies only in this paragraph
business of public offering, etc.
「募集等業務」
In Article 175-2, paragraph (1), item (ii) and paragraph (2), item (ii) and Article 185-7, paragraphs (12) and (13), business consisting of handling a public offering or secondary distribution, or a private placement or solicitation for selling, etc. only for professional investors, of specified securities, etc. (特定有価証券等) (the acts in Article 2, paragraph (8), item (ix)).
Short name set inArticle 175-2, paragraph (1), item (ii)· applies only in this item and in Article 175-2, paragraph (2), item (ii); and Article 185-7, paragraphs (12) and (13)
violator
「違反者」
In Article 175-2, paragraph (2), a person who, in breach of Article 167-2, paragraph (2), passed on information or recommended a purchase, etc. or sale, etc. as that paragraph forbids.
Short name set inArticle 175-2, paragraph (2)· applies only in this paragraph
violation
「違反行為」
In Article 175-2, paragraph (2), passing on information or recommending a purchase, etc. or sale, etc. in breach of Article 167-2, paragraph (2).
Short name set inArticle 175-2, paragraph (2)· applies only in this paragraph
respondent
「被審人」
In Section 2 of Chapter VI-2, on hearing procedures (審判手続), the person whom the Prime Minister proposes to order to pay an administrative monetary penalty (課徴金); the hearing procedure starts when a copy of the written decision to start it is served on that person.
Short name set inArticle 179, paragraph (3)· applies only in this section
ongoing disclosure documentmachine translation
「継続開示書類」
In Article 185-7, paragraphs (4) and (5), an annual securities report (有価証券報告書) or a semiannual securities report (半期報告書).
Defined inArticle 185-7, paragraph (4)· applies only in this provision and in Article 185-7, paragraph (5)
new decision
「新決定」
In each of Article 185-7, paragraphs (5), (7), (11) and (13), the decision or decisions ordering payment of an administrative monetary penalty (課徴金) that the Prime Minister must make when one or more decisions have already been made on the same documents or information for the same business year (paragraphs (5), (7) and (11)) or on the same public offering business (募集等業務) (paragraph (13)); that paragraph then sets the penalty in place of the usual amount, taking the earlier decisions into account.
Short name set inArticle 185-7, paragraph (5)· applies only in this paragraph
prior decision
「既決定」
In each of Article 185-7, paragraphs (5), (7) and (11), the decision or decisions ordering payment of an administrative monetary penalty (課徴金) already made under the provisions that paragraph lists on documents or information for the same business year as the new decision (新決定) the Prime Minister must now make; the penalties already ordered under them are taken into account in setting the new one.
Short name set inArticle 185-7, paragraph (5)· applies only in this paragraph
new decision
「新決定」
In each of Article 185-7, paragraphs (5), (7), (11) and (13), the decision or decisions ordering payment of an administrative monetary penalty (課徴金) that the Prime Minister must make when one or more decisions have already been made on the same documents or information for the same business year (paragraphs (5), (7) and (11)) or on the same public offering business (募集等業務) (paragraph (13)); that paragraph then sets the penalty in place of the usual amount, taking the earlier decisions into account.
Short name set inArticle 185-7, paragraph (7)· applies only in this paragraph
prior decision
「既決定」
In each of Article 185-7, paragraphs (5), (7) and (11), the decision or decisions ordering payment of an administrative monetary penalty (課徴金) already made under the provisions that paragraph lists on documents or information for the same business year as the new decision (新決定) the Prime Minister must now make; the penalties already ordered under them are taken into account in setting the new one.
Short name set inArticle 185-7, paragraph (7)· applies only in this paragraph
tender offer documents, etc.machine translation
「公開買付書類等」
In Article 185-7, paragraphs (8) and (9), a public notice of the commencement of a tender offer, etc. (公開買付開始公告等) or a tender offer statement, etc. (公開買付届出書等).
Defined inArticle 185-7, paragraph (8)· applies only in this provision and in Article 185-7, paragraph (9)
new decision
「新決定」
In each of Article 185-7, paragraphs (5), (7), (11) and (13), the decision or decisions ordering payment of an administrative monetary penalty (課徴金) that the Prime Minister must make when one or more decisions have already been made on the same documents or information for the same business year (paragraphs (5), (7) and (11)) or on the same public offering business (募集等業務) (paragraph (13)); that paragraph then sets the penalty in place of the usual amount, taking the earlier decisions into account.
Short name set inArticle 185-7, paragraph (11)· applies only in this paragraph
prior decision
「既決定」
In each of Article 185-7, paragraphs (5), (7) and (11), the decision or decisions ordering payment of an administrative monetary penalty (課徴金) already made under the provisions that paragraph lists on documents or information for the same business year as the new decision (新決定) the Prime Minister must now make; the penalties already ordered under them are taken into account in setting the new one.
Short name set inArticle 185-7, paragraph (11)· applies only in this paragraph
violation
「違反行為」
In Article 185-7, paragraphs (12) and (13), a violation as defined in Article 175-2, paragraph (1) or (2), including the specified communication acts, etc. (特定伝達等行為) of paragraphs (13) and (14) of that Article.
Defined inArticle 185-7, paragraph (12)· applies only in this paragraph and in Article 185-7, paragraph (13)
new decision
「新決定」
In each of Article 185-7, paragraphs (5), (7), (11) and (13), the decision or decisions ordering payment of an administrative monetary penalty (課徴金) that the Prime Minister must make when one or more decisions have already been made on the same documents or information for the same business year (paragraphs (5), (7) and (11)) or on the same public offering business (募集等業務) (paragraph (13)); that paragraph then sets the penalty in place of the usual amount, taking the earlier decisions into account.
Short name set inArticle 185-7, paragraph (13)· applies only in this paragraph
disclosure document for offerings
「発行開示書類」
A securities registration statement and the documents filed with it under Article 5, an amended registration statement under Article 7, paragraph (1), Article 9, paragraph (1) or Article 10, paragraph (1), a shelf registration statement (発行登録書) and its attachments, an amended shelf registration statement (訂正発行登録書), or a shelf registration supplement (発行登録追補書類) and its attachments, each with the reference documents (参照書類) for it, including where those provisions apply under Article 27.
Defined inArticle 185-7, paragraph (14)· applies only in this paragraph
amount equivalent to confiscated properties, etc.
「没収等相当額」
In Article 185-7, paragraph (17), the amount equal to the property listed in Article 198-2, paragraph (1) that a final judgment in the same case ordered confiscated, or to the value of such property it ordered collected, or the total of both where it ordered both — the amount taken off the administrative monetary penalty (課徴金) otherwise due.
Short name set inArticle 185-7, paragraph (17)· applies only in this paragraph
business year subject to disclosure
「記載対象事業年度」
As used in Article 185-7, paragraphs (4) to (7), (10) and (11), the business year a document or information relates to: for an annual securities report and its attachments (and their amendment reports), the business year they cover; for a semiannual securities report (and its amendment report), the business year that contains the period it covers; for an extraordinary report (and its amendment report), the business year in which it was submitted; for issuer information (発行者情報) and its amendments, the business year it covers.
Defined inArticle 185-7, paragraph (31)
administrative monetary penalty payment order
「課徴金納付命令」
In Articles 185-15 and 185-16, a decision under Article 185-7, paragraph (1), (2), (4) to (8) or (10) to (17) ordering payment of an administrative monetary penalty (課徴金), including one changed under Article 185-8, paragraph (6) or (7); where the person does not pay by the deadline in a demand, it is enforced by order of the Prime Minister.
Short name set inArticle 185-15, paragraph (1)· applies only in this article and in Article 185-16
confiscation
没収
A punishment that can only be added to a principal one (付加刑) (Penal Code, Article 9): a thing connected with the crime is confiscated. What may be confiscated is the thing that makes up the crime, a thing used or meant to be used for it, a thing it produced or gained or that was received as a reward for it, and what was received in exchange for such a thing (Article 19, paragraph (1)); only a thing belonging to no one but the offender, unless someone else acquired it after the crime knowing the facts (paragraph (2)). For a crime punishable only by penal detention (拘留) or a petty fine (科料), only the thing that makes up the crime may be confiscated, unless a special provision says otherwise (Article 20). Where a thing gained by the crime cannot be confiscated, its value may be collected instead (追徴) (Article 19-2).
Written by AI using Penal Code, Arts. 9, 19, 19-2, 20 as a reference.
fine
罰金
A criminal punishment of paying money to the state, of 10,000 yen or more, or less where it is reduced (Penal Code, Article 15). It ranks below imprisonment (拘禁刑) and above penal detention (拘留) and a petty fine (科料) (Articles 9 and 10, paragraph (1)). A person who cannot pay it in full is held in a workhouse (労役場) for one day to two years, or up to three years where fines are imposed together, a period set when the sentence is passed (Article 18, paragraphs (1), (3) and (4)); not within thirty days of the sentence becoming final without the person's consent (paragraph (5)). If it is not enforced for three years after the sentence becomes final, the person is released from it by prescription (Articles 31 and 32, item (v)); the three years do not run while its execution is suspended under law or the person is abroad, and an act of execution interrupts them (Articles 33 and 34, paragraph (2)).
Written by AI using Penal Code, Arts. 9, 10, 15, 18, 31 to 34 as a reference.
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.