Supplementary Provisions, Article 9Transitional Measures Concerning Provision, etc. of Information at the Time of Conclusion of Contract, etc. Pertaining to Financial Instruments Transaction Contracts
第九条（金融商品取引契約に係る契約締結時等の情報の提供等に関する経過措置）
The provisions of Article 37-4 of the Financial Instruments and Exchange Act as amended by the provisions of Article 1 (limited to the amending provisions set forth in Article 1, item (iv) of the Supplementary Provisions; hereinafter the same applies in this paragraph) (hereinafter referred to as the "item (iv) New Financial Instruments and Exchange Act") (including as applied mutatis mutandis with the terms replaced pursuant to Article 12-3, paragraph (2) of the Consumer Cooperatives Act (Act No. 200 of 1948), Article 9-7-5, paragraph (2) of the Small and Medium-Sized Enterprise Cooperatives Act (Act No. 181 of 1949) and Article 62-17, paragraph (1) of the Payment Services Act (Act No. 59 of 2009)) apply to the case where, on or after the date of enforcement of the provisions set forth in that item (hereinafter referred to as the "item (iv) effective date"), the time arrives at which a financial instruments transaction contract under Article 37-4 of the item (iv) New Financial Instruments and Exchange Act is concluded or any other time specified by Cabinet Office Order (in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-4 of the item (iv) New Financial Instruments and Exchange Act pursuant to Article 12-3, paragraph (2) of the Consumer Cooperatives Act, the time at which a specified mutual aid contract under that Article is concluded or any other time specified by Order of the Ministry of Health, Labour and Welfare; in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-4 of the item (iv) New Financial Instruments and Exchange Act pursuant to Article 9-7-5, paragraph (2) of the Small and Medium-Sized Enterprise Cooperatives Act, the time at which a specified mutual aid contract under that Article is concluded or any other time specified by order of the competent ministry; in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-4 of the item (iv) New Financial Instruments and Exchange Act pursuant to Article 62-17, paragraph (1) of the Payment Services Act, the time at which a specified electronic payment instruments, etc. transaction contract under that Article is concluded or any other time specified by Cabinet Office Order), and with respect to the case where, before the item (iv) effective date, the time has arrived at which a financial instruments transaction contract under Article 37-4, paragraph (1) of the Financial Instruments and Exchange Act before amendment by the provisions of Article 1 (hereinafter referred to as the "item (iv) Old Financial Instruments and Exchange Act") (including as applied mutatis mutandis with the terms replaced pursuant to Article 12-3, paragraph (2) of the Consumer Cooperatives Act, Article 9-7-5, paragraph (2) of the Small and Medium-Sized Enterprise Cooperatives Act and Article 62-17, paragraph (1) of the Payment Services Act) was concluded or any other time specified by Cabinet Office Order (in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-4, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act pursuant to Article 12-3, paragraph (2) of the Consumer Cooperatives Act, the time at which a specified mutual aid contract under that paragraph was concluded or any other time specified by Order of the Ministry of Health, Labour and Welfare; in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-4, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act pursuant to Article 9-7-5, paragraph (2) of the Small and Medium-Sized Enterprise Cooperatives Act, the time at which a specified mutual aid contract under that paragraph was concluded or any other time specified by order of the competent ministry; in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-4, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act pursuant to Article 62-17, paragraph (1) of the Payment Services Act, the time at which a specified electronic payment instruments, etc. transaction contract under that paragraph was concluded or any other time specified by Cabinet Office Order), the provisions then in force continue to govern.
第一条の規定（附則第一条第四号に掲げる改正規定に限る。以下この項において同じ。）による改正後の金融商品取引法（以下「第四号新金融商品取引法」という。）第三十七条の四（消費生活協同組合法（昭和二十三年法律第二百号）第十二条の三第二項、中小企業等協同組合法（昭和二十四年法律第百八十一号）第九条の七の五第二項及び資金決済に関する法律（平成二十一年法律第五十九号）第六十二条の十七第一項において読み替えて準用する場合を含む。）の規定は、同号に掲げる規定の施行の日（以下「第四号施行日」という。）以後に第四号新金融商品取引法第三十七条の四の金融商品取引契約が成立したときその他内閣府令で定めるとき（消費生活協同組合法第十二条の三第二項において第四号新金融商品取引法第三十七条の四の規定を読み替えて準用する場合にあっては同条の特定共済契約が成立したときその他厚生労働省令で定めるとき、中小企業等協同組合法第九条の七の五第二項において第四号新金融商品取引法第三十七条の四の規定を読み替えて準用する場合にあっては同条の特定共済契約が成立したときその他主務省令で定めるとき、資金決済に関する法律第六十二条の十七第一項において第四号新金融商品取引法第三十七条の四の規定を読み替えて準用する場合にあっては同条の特定電子決済手段等取引契約が成立したときその他内閣府令で定めるとき）が到来する場合について適用し、第四号施行日前に第一条の規定による改正前の金融商品取引法（以下「第四号旧金融商品取引法」という。）第三十七条の四第一項（消費生活協同組合法第十二条の三第二項、中小企業等協同組合法第九条の七の五第二項及び資金決済に関する法律第六十二条の十七第一項において読み替えて準用する場合を含む。）の金融商品取引契約が成立したときその他内閣府令で定めるとき（消費生活協同組合法第十二条の三第二項において第四号旧金融商品取引法第三十七条の四第一項の規定を読み替えて準用する場合にあっては同項の特定共済契約が成立したときその他厚生労働省令で定めるとき、中小企業等協同組合法第九条の七の五第二項において第四号旧金融商品取引法第三十七条の四第一項の規定を読み替えて準用する場合にあっては同項の特定共済契約が成立したときその他主務省令で定めるとき、資金決済に関する法律第六十二条の十七第一項において第四号旧金融商品取引法第三十七条の四第一項の規定を読み替えて準用する場合にあっては同項の特定電子決済手段等取引契約が成立したときその他内閣府令で定めるとき）が到来した場合については、なお従前の例による。
The provisions of Article 37-6, paragraph (1) of the item (iv) New Financial Instruments and Exchange Act (including as applied mutatis mutandis with the terms replaced pursuant to Article 62-17, paragraph (1) of the Payment Services Act) apply to the cancellation of a financial instruments transaction contract prescribed in Article 37-6, paragraph (1) of the item (iv) New Financial Instruments and Exchange Act that is concluded on or after the item (iv) effective date (in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-6, paragraph (1) of the item (iv) New Financial Instruments and Exchange Act pursuant to Article 62-17, paragraph (1) of the Payment Services Act, a specified electronic payment instruments, etc. transaction contract prescribed in that paragraph), and with respect to the cancellation of a financial instruments transaction contract prescribed in Article 37-6, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act (including as applied mutatis mutandis with the terms replaced pursuant to Article 62-17, paragraph (1) of the Payment Services Act) that was concluded before the item (iv) effective date (in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-6, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act pursuant to Article 62-17, paragraph (1) of the Payment Services Act, a specified electronic payment instruments, etc. transaction contract prescribed in that paragraph), the provisions then in force continue to govern.
第四号新金融商品取引法第三十七条の六第一項（資金決済に関する法律第六十二条の十七第一項において読み替えて準用する場合を含む。）の規定は、第四号施行日以後に成立する第四号新金融商品取引法第三十七条の六第一項に規定する金融商品取引契約（資金決済に関する法律第六十二条の十七第一項において第四号新金融商品取引法第三十七条の六第一項の規定を読み替えて準用する場合にあっては、同項に規定する特定電子決済手段等取引契約）の解除について適用し、第四号施行日前に成立した第四号旧金融商品取引法第三十七条の六第一項（資金決済に関する法律第六十二条の十七第一項において読み替えて準用する場合を含む。）に規定する金融商品取引契約（資金決済に関する法律第六十二条の十七第一項において第四号旧金融商品取引法第三十七条の六第一項の規定を読み替えて準用する場合にあっては、同項に規定する特定電子決済手段等取引契約）の解除については、なお従前の例による。
The provisions of Article 40-2, paragraph (5) of the item (iv) New Financial Instruments and Exchange Act apply to the case where a customer requests, on or after the item (iv) effective date, the provision of the information under that paragraph pertaining to transactions of securities, etc. (meaning transactions of securities, etc. prescribed in paragraph (1) of that Article), and with respect to the case where a customer requested, before the item (iv) effective date, the delivery of the document under Article 40-2, paragraph (5) of the item (iv) Old Financial Instruments and Exchange Act pertaining to transactions of securities, etc. (meaning transactions of securities, etc. prescribed in Article 40-2, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act), the provisions then in force continue to govern.
第四号新金融商品取引法第四十条の二第五項の規定は、第四号施行日以後に顧客から有価証券等取引（同条第一項に規定する有価証券等取引をいう。）に係る同条第五項の情報の提供を求められた場合について適用し、第四号施行日前に顧客から有価証券等取引（第四号旧金融商品取引法第四十条の二第一項に規定する有価証券等取引をいう。）に係る第四号旧金融商品取引法第四十条の二第五項の書面の交付を求められた場合については、なお従前の例による。
The provisions of Article 42-7 of the item (iv) New Financial Instruments and Exchange Act apply to the provision of the information pertaining to a covered period ending on or after the item (iv) effective date (meaning the period that is the subject of the provision of information on the status of management of the investment property under paragraph (1) of that Article and other matters specified by Cabinet Office Order, which is provided pursuant to the provisions of that paragraph), and with respect to the preparation and delivery of the investment management report under Article 42-7, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act pertaining to a covered period ending before the item (iv) effective date (meaning the period that is the subject of the preparation of the investment management report prepared pursuant to the provisions of Article 42-7, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act), the provisions then in force continue to govern.
第四号新金融商品取引法第四十二条の七の規定は、第四号施行日以後に終了する対象期間（同条第一項の規定により提供する同項の運用財産に関する運用の状況その他の内閣府令で定める事項に係る情報に関し提供の対象となる期間をいう。）に係る当該情報の提供について適用し、第四号施行日前に終了する対象期間（第四号旧金融商品取引法第四十二条の七第一項の規定により作成する運用報告書に関し作成の対象となる期間をいう。）に係る同項の運用報告書の作成及び交付については、なお従前の例による。
Provision of Information upon Conclusion of Contract, etc.
When a financial instruments business operator, etc. effects a financial instruments transaction contract or when otherwise specified by Cabinet Office Order…
金融商品取引業者等は、金融商品取引契約が成立したときその他内閣府令で定めるときは、内閣府令で定めるところにより、遅滞なく、顧客に対し、当該金融商品取引契約に関する事項その他の内閣府令で定める事項に係る情報を提供しなければならない。
Open this provision(Written Cancellation)
Except as otherwise specified by Cabinet Office Order, a customer that has concluded a financial instruments transaction contract…
金融商品取引業者等と金融商品取引契約（当該金融商品取引契約の内容その他の事情を勘案して政令で定めるものに限る。）を締結した顧客は、内閣府令で定める場合を除き、当該金融商品取引契約の成立に係る第三十七条の四の規定による情報の提供を受けた日として政令で定める日から起算して政令で定める日数を経過するまでの間…
Open this provision(Best Execution Policy)
A financial instruments business operator, etc., pursuant to the provisions of Cabinet Order, must establish a policy and method for executing orders from customers for the purchase and sale of…
金融商品取引業者等は、有価証券の売買及びデリバティブ取引（政令で定めるものを除く。以下この条において「有価証券等取引」という。）に関する顧客の注文について、政令で定めるところにより、最良の取引の条件で執行するための方針及び方法（以下この条において「最良執行方針等」という。）を定めなければならない。
Open this provision(Best Execution Policy)
If a financial instruments business operator, etc. is so requested by a customer within a period specified by Cabinet Office Order after executing the customer's order for a transaction of securities…
金融商品取引業者等は、有価証券等取引に関する顧客の注文を執行した後、内閣府令で定める期間内に当該顧客から求められたときは、当該注文が最良執行方針等に従つて執行された旨の説明その他の内閣府令で定める事項に係る情報を、内閣府令で定めるところにより、当該顧客に提供しなければならない。
Open this provisionProvision of Information on the Status of Investment
With regard to investment property, a financial instruments business operator, etc., pursuant to the provisions of Cabinet Office Order, must periodically provide the known right holders of that…
金融商品取引業者等は、運用財産について、内閣府令で定めるところにより、定期に、当該運用財産に係る知れている権利者に対し、当該運用財産に関する運用の状況その他の内閣府令で定める事項に係る情報を提供しなければならない。
Open this provisionProvision of Information on the Status of Investment
With regard to investment property, a financial instruments business operator, etc., pursuant to the provisions of Cabinet Office Order, must periodically provide the known right holders of that…
金融商品取引業者等は、運用財産について、内閣府令で定めるところにより、定期に、当該運用財産に係る知れている権利者に対し、当該運用財産に関する運用の状況その他の内閣府令で定める事項に係る情報を提供しなければならない。
Open this provisionEffective Date
the provisions in Article 1 amending the heading of Article 37-3 and Article 37-3, paragraphs (1) through (3) of the Financial Instruments and Exchange Act…
第一条中金融商品取引法第三十七条の三の見出し及び同条第一項から第三項までの改正規定、同法第三十七条の四の見出し及び同条第一項の改正規定、同条第二項を削る改正規定、同法第三十七条の六第一項の改正規定、同法第四十条の二第四項及び第五項の改正規定、同条第六項を削る改正規定、同法第四十二条の七の見出し及び同条第一項の改正規定…
Open this provisionTransitional Measures Concerning Provision, etc. of Information at the Time of Conclusion of Contract, etc. Pertaining to Financial Instruments Transaction Contracts
The provisions of Article 37-4 of the Financial Instruments and Exchange Act as amended by the provisions of Article 1…
第一条の規定（附則第一条第四号に掲げる改正規定に限る。以下この項において同じ。）による改正後の金融商品取引法（以下「第四号新金融商品取引法」という。）第三十七条の四（消費生活協同組合法（昭和二十三年法律第二百号）第十二条の三第二項、中小企業等協同組合法（昭和二十四年法律第百八十一号）第九条の七の五第二項及び資金決済に…
Open this provision(Application Mutatis Mutandis of the Financial Instruments and Exchange Act)
The provisions of Chapter III, Section 1, Subsection 5 (excluding Article 34-2, paragraphs (6) through (8) and Article 34-3, paragraphs (5) and (6)), Section 2…
金融商品取引法第三章第一節第五款（第三十四条の二第六項から第八項まで並びに第三十四条の三第五項及び第六項を除く。）、同章第二節第一款（第三十五条から第三十六条の四まで、第三十七条の二、第三十七条の三第三項、第三十七条の五、第三十七条の七、第三十八条第七号及び第八号、第三十八条の二、第三十九条並びに第四十条の二から第四…
Open this provisionfinancial instruments transaction contract
「金融商品取引契約」
A contract under which a financial instruments business operator, etc. (金融商品取引業者等) carries out financial instruments transactions (金融商品取引行為) — the acts listed in the items of Article 2, paragraph (8) — with a customer as the other party or on the customer's behalf.
Short name set inArticle 34, paragraph (1)
investment propertymachine translation
「運用財産」
Money and other property that a financial instruments business operator, etc. (金融商品取引業者等) carrying on investment management business (投資運用業) manages on behalf of rights holders (権利者) under Article 42, paragraph (1).
Defined inArticle 35, paragraph (1), item (xv)
transactions of securities, etc.
「有価証券等取引」
In Article 40-2, purchases and sales of securities and derivatives transactions, other than those a Cabinet Order (政令) excludes.
Short name set inArticle 40-2, paragraph (1)· applies only in this article
item (iv) New Financial Instruments and Exchange Actmachine translation
「第四号新金融商品取引法」
In the supplementary provisions (附則) of Act No. 79 of 2023, the Financial Instruments and Exchange Act (Act No. 25 of 1948) as amended by Article 1 of that Act, counting only the amendments listed in Article 1, item (iv) of those supplementary provisions.
Short name set inSupplementary Provisions, Article 9, paragraph (1)
item (iv) effective datemachine translation
「第四号施行日」
The date the provisions listed in Article 1, item (iv) of the supplementary provisions (附則) of Act No. 79 of 2023 come into effect, a date a Cabinet Order (政令) sets within one year and six months of the Act's promulgation.
Short name set inSupplementary Provisions, Article 9, paragraph (1)
item (iv) Old Financial Instruments and Exchange Actmachine translation
「第四号旧金融商品取引法」
This Act as it stood before Article 1 of Act No. 79 of 2023 amended it.
Short name set inSupplementary Provisions, Article 9, paragraph (1)
cancellation
解除
Ending a contract by one party's notice to the other, where the contract or the law gives that party a right to cancel (Civil Code, Article 540, paragraph (1)). The Civil Code lets a party cancel for the other's failure to perform: after a demand to perform within a reasonable time that is not met, unless what is still missing is minor (Article 541), or at once where performance has become wholly impossible, or the other party has clearly refused to perform, among other cases where performance clearly will not come (Article 542, paragraph (1)). On cancellation each party must put the other back in the position before the contract, and damages can still be claimed (Article 545, paragraphs (1) and (4)); a lease, though, ends only from then on (Article 620). Cancellation differs from rescission (取消し), after which the act is treated as void from the start (Article 121).
Written by AI using Civil Code, Arts. 121, 540, 541, 542, 545, 620 as a reference.