Supplementary Provisions, Article 94
第九十四条
The 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 (excluding a new distressed financial instruments business operator) that is the subject of a notice given on or after the effective date under Article 79-53, paragraph (1) or paragraphs (3) through (5) of the New Financial Instruments and Exchange Act, or to the agent of the beneficiary of a trust (meaning the agent of the beneficiary of a trust prescribed in Article 43-2, paragraph (2) of the New Financial Instruments and Exchange Act) of the financial instruments business operator that is the subject of that notice, and with regard to loans of funds to a securities company (excluding a former distressed securities company) that is the subject of a notice given before the effective date under Article 79-53, paragraph (1) or paragraphs (3) through (5) of the Former Securities and Exchange Act, or to the agent of the beneficiary of a trust (meaning the agent of the beneficiary of a trust prescribed in Article 47, paragraph (3) of the Former Securities and Exchange Act) of the securities company that is the subject of that notice, 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、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定する信託の受益者代理人をいう。）に対する資金の貸付けについて適用し、施行日前に行った旧証券取引法第七十九条の五十三第一項又は第三項から第五項までの通知に係る証券会社（旧認定証券会社を除く。）又は当該通知に係る証券会社の受益者代理人（旧証券取引法第四十七条第三項に規定する信託の受益者代理人をいう。）に対する資金の貸付けについては、なお従前の例による。
(Separate Management)
As regards the money or securities set forth in the following items, a financial instruments business operator, etc. must manage the amount of money calculated pursuant to the provisions of Cabinet…
金融商品取引業者等は、次に掲げる金銭又は有価証券について、当該金融商品取引業者等が金融商品取引業（登録金融機関業務を含む。以下この項において同じ。）を廃止した場合その他金融商品取引業を行わないこととなつた場合に顧客に返還すべき額として内閣府令で定めるところにより算定したものに相当する金銭を…
Open this provision(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(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(Notifying the Fund)
If the Prime Minister issues any of the following dispositions with regard to a financial instruments business operator that is a member of a fund, the Prime Minister must immediately notify the…
内閣総理大臣は、基金の会員である金融商品取引業者に対し次に掲げる処分をしたときは、直ちに、その旨を財務大臣及び当該金融商品取引業者が所属する基金に通知しなければならない。
Open this provision(Notifying the Fund)
The Prime Minister must, when having filed a petition for commencement of reorganization proceedings under the provisions of Article 377, paragraph (1) of the Act on Special Treatment of Corporate…
内閣総理大臣は、基金の会員である金融商品取引業者につき、裁判所に対し、金融機関等の更生手続の特例等に関する法律第三百七十七条第一項の規定による更生手続開始の申立て、同法第四百四十六条第一項の規定による再生手続開始の申立て又は同法第四百九十条第一項の規定による破産手続開始の申立てをしたときは、直ちに…
Open this provision(Notifying the Fund)
If the Prime Minister receives a notice under the provisions of Article 379; Article 448; or Article 492 of the Act on Special Treatment of Corporate Reorganization Proceedings and Other Insolvency…
内閣総理大臣は、基金の会員である金融商品取引業者につき、金融機関等の更生手続の特例等に関する法律第三百七十九条、第四百四十八条又は第四百九十二条の規定による通知その他特別清算に関する通知を受けたときは、直ちに、その旨を財務大臣及び当該金融商品取引業者が所属する基金に通知しなければならない。
Open this provision(Loans of Funds for Refunds)
At the application of a financial instruments business operator that is the subject of a notice (excluding a distressed financial instruments business operator) or the agent of the beneficiary of a…
基金は、通知金融商品取引業者（認定金融商品取引業者を除く。）又は通知金融商品取引業者に係る第四十三条の二第二項に規定する信託の受益者代理人の申込みに基づき、その必要と認められる金額の範囲内において、これらの者に対し…
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