Supplementary Provisions, Article 155
第百五十五条
An act committed by a deemed registered type-II financial instruments business operator before the effective date that falls under Article 82, paragraph (1), item (iii) of the Former Trust Business Act is deemed to be an act that falls under Article 52, paragraph (1), item (vii) of the Financial Instruments and Exchange Act, and the provisions of that paragraph apply.
みなし登録第二種業者が施行日前にした旧信託業法第八十二条第一項第三号に該当する行為は、金融商品取引法第五十二条第一項第七号に該当する行為とみなして、同項の規定を適用する。
The provisions of Article 52, paragraph (2) of the New Financial Instruments and Exchange Act do not apply, until the day on which five years elapse from the effective date, in the case where a person who, at the time this Act comes into effect, is an officer of a deemed registered type-II financial instruments business operator and falls under any of Article 29-4, paragraph (1), item (ii), (a) through (g) of the New Financial Instruments and Exchange Act (excluding a person who falls under any of Article 5, paragraph (2), item (viii), (a) through (h) of the Former Trust Business Act) continues to fall under any of Article 29-4, paragraph (1), item (ii), (a) through (g) of the New Financial Instruments and Exchange Act.
新金融商品取引法第五十二条第二項の規定は、この法律の施行の際現に新金融商品取引法第二十九条の四第一項第二号イからトまでのいずれかに該当しているみなし登録第二種業者の役員である者（旧信託業法第五条第二項第八号イからチまでのいずれかに該当している者を除く。）が、引き続き新金融商品取引法第二十九条の四第一項第二号イからトまでのいずれかに該当している場合については、施行日から起算して五年を経過する日までの間は、適用しない。
A disposition made before the effective date against a deemed registered type-II financial instruments business operator under the provisions of Article 82, paragraph (1) or (2) of the Former Trust Business Act is deemed to be a disposition under the provisions of Article 52, paragraph (1) or (2) of the New Financial Instruments and Exchange Act.
施行日前にみなし登録第二種業者に対してされた旧信託業法第八十二条第一項又は第二項の規定による処分は、新金融商品取引法第五十二条第一項又は第二項の規定による処分とみなす。
(Refusal of Registration)
if the person is a corporation, a person that has an officer, or an employee specified by Cabinet Order, who falls under any of the following:
法人である場合においては、役員又は政令で定める使用人のうちに次のいずれかに該当する者のある者
Open this provision(Supervisory Measures for Financial Instruments Business Operators)
If a financial instruments business operator falls under any of the following items, the Prime Minister may rescind its Article 29 registration, rescind its Article 30, paragraph (1) authorization…
内閣総理大臣は、金融商品取引業者が次の各号のいずれかに該当する場合においては、当該金融商品取引業者の第二十九条の登録を取り消し、第三十条第一項の認可を取り消し、又は六月以内の期間を定めて業務の全部若しくは一部の停止を命ずることができる。
Open this provision(Supervisory Measures for Financial Instruments Business Operators)
it violates a law or regulation (other than Article 46-6, paragraph (2)) or a disposition by a government agency which is based on a law or regulation…
金融商品取引業又はこれに付随する業務に関し法令（第四十六条の六第二項を除く。）又は法令に基づいてする行政官庁の処分に違反したとき。
Open this provision(Supervisory Measures for Financial Instruments Business Operators)
If the officer of a financial instruments business operator (for a foreign corporation, this is limited to an officer stationed at its domestic business office or office, and its domestic…
内閣総理大臣は、金融商品取引業者の役員（外国法人にあつては、国内における営業所若しくは事務所に駐在する役員又は国内における代表者に限る。以下この項及び次条第二項において同じ。）が、第二十九条の四第一項第二号イからリまでのいずれかに該当することとなつたとき…
Open this provisionofficer
「役員」
A director, accounting advisor, company auditor or executive officer, or a person equivalent to one, in this Act other than Articles 163 to 167.
Defined inArticle 21, paragraph (1), item (i)· applies from here on, except in Articles 163 to 167
the effective datemachine translation
「施行日」
The date Act No. 65 of 2006, the amending Act these supplementary provisions (附則) belong to, comes into effect.
Short name set inSupplementary Provisions, Article 1, paragraph (1)
New Financial Instruments and Exchange Actmachine translation
「新金融商品取引法」
This Act as amended by Article 3 of Act No. 65 of 2006.
Short name set inSupplementary Provisions, Article 14, paragraph (1)
Former Trust Business Actmachine translation
「旧信託業法」
In the supplementary provisions (附則) of Act No. 65 of 2006, the Trust Business Act (Act No. 154 of 2004) as it stood before Article 20 of that Act amended it.
Short name set inSupplementary Provisions, Article 147, paragraph (1)
deemed registered type-II financial instruments business operatormachine translation
「みなし登録第二種業者」
In Articles 147 to 155 of the supplementary provisions (附則) of Act No. 65 of 2006, a person that Article 147, paragraph (1) of those supplementary provisions treats as registered under Article 29 of this Act as Act No. 65 of 2006 amended it as a financial instruments business operator (金融商品取引業者) carrying on type-II financial instruments business (第二種金融商品取引業), because of a registration it held under the trust business legislation then in force when that Act came into effect (banks, cooperative financial institutions (協同組織金融機関) and other financial institutions a Cabinet Order (政令) specifies excepted).
Short name set inSupplementary Provisions, Article 147, paragraph (2)· applies only in this article and in Supplementary Provisions, Articles 148 to 155