Supplementary Provisions, Article 93
第九十三条
The provisions of Articles 79-52 through 79-58 of the New Financial Instruments and Exchange Act apply to payments to general customers by a financial instruments business operator pertaining to a certification made on or after the effective date under Article 79-54 of the New Financial Instruments and Exchange Act (referred to as a "new distressed financial instruments business operator" in the following Article), and with regard to payments to general customers by a securities company pertaining to a certification made before the effective date under Article 79-54 of the Former Securities and Exchange Act (referred to as a "former distressed securities company" in the following Article), the provisions then in force continue to govern.
新金融商品取引法第七十九条の五十二から第七十九条の五十八までの規定は、施行日以後に行う新金融商品取引法第七十九条の五十四の認定に係る金融商品取引業者（次条において「新認定金融商品取引業者」という。）の一般顧客に対する支払について適用し、施行日前に行った旧証券取引法第七十九条の五十四の認定に係る証券会社（次条において「旧認定証券会社」という。）の一般顧客に対する支払については、なお従前の例による。
(Submission of Reports and Materials)
When it is necessary in order for a fund to perform its services, that fund may request a financial instruments business operator that is its member to submit reports or materials that should serve…
基金は、その業務を行うため必要があるときは、その会員である金融商品取引業者に対し、当該金融商品取引業者の業務又は財産の状況に関し、参考となるべき報告又は資料の提出を求めることができる。
Open this provision(Notifying the Fund)
If a financial instruments business operator that is a member of a fund falls under any of the following items, it must immediately notify the fund to which it belongs of this:
基金の会員である金融商品取引業者は、次の各号のいずれかに該当する場合には、直ちに、その旨をその所属する基金に通知しなければならない。
Open this provision(Difficulty in Payment)
If a fund receives a notice under the provisions of paragraph (1) or paragraphs (3) through (5) of the preceding Article, it must, without delay, reach a finding as to whether it is difficult for the…
基金は、前条第一項又は第三項から第五項までの規定による通知を受けた場合には、投資者の保護に欠けるおそれがないことが明らかであると認められるときを除き、当該通知に係る金融商品取引業者（以下「通知金融商品取引業者」という。）につき、顧客資産の返還に係る債務の円滑な履行が困難であるかどうかの認定を、遅滞なく…
Open this provision(Public Notice of Findings)
If a fund, pursuant to the provisions of the preceding Article, reaches the finding that it is difficult for a financial instruments business operator that is the subject of a notice to smoothly…
基金は、通知金融商品取引業者につき、前条の規定により、顧客資産の返還に係る債務の円滑な履行が困難であるとの認定を行つた場合には、速やかに、次条第一項の請求の届出期間、届出場所その他政令で定める事項を定め、これを公告しなければならない。
Open this provision(Payment of Claims to Be Compensated)
At the request of the general customer of a distressed financial instruments business operator, the fund is to pay the amount calculated pursuant to the provisions of Cabinet Office Order and…
基金は、認定金融商品取引業者の一般顧客の請求に基づいて、前条第一項の規定により公告した日において現に当該一般顧客が当該認定金融商品取引業者に対して有する債権（当該一般顧客の顧客資産に係るものに限る。）であつて基金が政令で定めるところにより当該認定金融商品取引業者による円滑な弁済が困難であると認めるもの（以下「補償対象…
Open this provision(Amount of Payment)
Notwithstanding the provisions of paragraph (1) of the preceding Article, if the general customer of a distressed financial instruments business operator which makes the request set forth in that…
前条第一項の請求をした認定金融商品取引業者の一般顧客が次の各号に該当する場合において基金が同項の規定により支払をすべき金額は、同項の規定にかかわらず、同項の規定による金額から当該各号に定める額を控除した金額に相当する金額とする。
Open this provision(Application of the Income Tax Act)
If a general customer is an individual and that individual receives a payment set forth in Article 79-56, paragraph (1) on a claim to be compensated that the individual holds against a distressed…
一般顧客である個人が、認定金融商品取引業者に対して有する補償対象債権（有価証券に係るものに限る。以下この項において同じ。）に係る第七十九条の五十六第一項の支払を受けたときは、その支払を受けた時に、その支払を受けた金額により…
Open this provisionThe provisions of Articles 79-52, 79-53 and 79-59 of the New Financial Instruments and Exchange Act apply to loans of funds to a financial instruments business operator…
新金融商品取引法第七十九条の五十二、第七十九条の五十三及び第七十九条の五十九の規定は、施行日以後に行う新金融商品取引法第七十九条の五十三第一項又は第三項から第五項までの通知に係る金融商品取引業者（新認定金融商品取引業者を除く。）又は当該通知に係る金融商品取引業者の受益者代理人（新金融商品取引法第四十三条の二第二項に規…
Open this provisionthe 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 Securities and Exchange Actmachine translation
「旧証券取引法」
This Act as it stood before Article 3 of Act No. 65 of 2006 amended it.
Short name set inSupplementary Provisions, Article 14, paragraph (1)
financial instruments business operator
「金融商品取引業者」
In the supplementary provisions (附則) of Act No. 65 of 2006, from Article 18 on, a financial instruments business operator as defined in Article 2, paragraph (9) of this Act as amended by that Act.
Defined inSupplementary Provisions, Article 18, paragraph (1)
securities companymachine translation
「証券会社」
In the supplementary provisions (附則) of Act No. 65 of 2006, from Article 28, paragraph (4) on, a securities company as defined in Article 2, paragraph (9) of this Act under its former title (証券取引法), as it stood before that Act amended it.
Defined inSupplementary Provisions, Article 28, paragraph (4)
new distressed financial instruments business operatormachine translation
「新認定金融商品取引業者」
In Articles 93 and 94 of the supplementary provisions (附則) of Act No. 65 of 2006, a financial instruments business operator (金融商品取引業者) certified, on or after the date that Act comes into effect, under Article 79-54 of this Act as amended by Article 3 of that Act.
Short name set inSupplementary Provisions, Article 93, paragraph (1)· applies only in this provision and in Supplementary Provisions, Article 94
former distressed securities companymachine translation
「旧認定証券会社」
In Articles 93 and 94 of the supplementary provisions (附則) of Act No. 65 of 2006, a securities company (証券会社) certified, before the date that Act comes into effect, under Article 79-54 of this Act as it stood before Article 3 of that Act amended it.
Short name set inSupplementary Provisions, Article 93, paragraph (1)· applies only in this provision and in Supplementary Provisions, Article 94