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Article 52-60-17Application, Mutatis Mutandis of the Financial Instruments and Exchange Act

第五十二条の六十の十七(金融商品取引法の準用)

The provisions of Chapter III, Section 1, Subsection 5 of the Financial Instruments and Exchange Act (excluding (Cases in Which a Professional Investor Is Deemed to Be a Customer Other Than a Professional Investor) and and (Cases in Which a Corporation That Is a Customer Other Than a Professional Investor Is Deemed to Be a Professional Investor)) (Professional Investors), Section 2, Subsection 1 of that Chapter (excluding (Scope of Services for Persons Engaged in Type-I Financial Instruments Business or Investment Management Business; Scope of Concurrent Business by Persons That Only Engage in Type-II Financial Instruments Business or Investment Advisory and Agency Business; Establishment of an Operational Control System; Development of Systems to Protect the Interests of Customers; Posting Signs, etc.; Prohibition on Name Lending; Prohibition on Corporate Bond Management, etc.), (Obligation to Clarify the Conditions of Transactions in Advance), and (Provision of Information Prior to the Conclusion of a Contract, etc.), (Delivery of Documents in Connection with the Receipt of a Security Deposit), and , the proviso to , and (Written Cancellation), (Obligation to Conclude a Contract with a designated dispute resolution organization, etc.), , , and and (Prohibited Actions), the proviso to , and , and (Prohibition on Compensation of Loss), and (Best Execution Policy, etc.; Prohibition of Purchase and Sale, etc. If Separate Management Is Not Ensured; Prohibition of Public Offering, etc. If Money Has Been Diverted; Prohibition of Purchase and Sale, etc. If Provision of Information on the Status of the Business Subject to Investment Is Not Ensured; Prohibition of Public Offering, etc. If Information on the Status of the Business Subject to Investment Has Not Been Provided; Restrictions on the Purchase and Sale, etc. of Securities for Professional Investors; Obligation to Notify in Connection with Securities for Professional Investors; Prohibition of Trading Against Self; Obligation to Use an Electronic Data Processing System for Over-the-Counter Transactions of Derivatives, etc.)) (General Rules), and (excluding and ) (Miscellaneous Provisions) of apply mutatis mutandis to an electronic payment handling service provider that engages in electronic payment-related deposit intermediary services concerning a contract for specified deposit, etc. In such cases, the term "financial instruments transaction contract" in these provisions (excluding the provisions of and ) is deemed to be replaced with "contract for specified deposit, etc."; in , the phrase "contract for performing an act that constitutes a financial instruments transaction (meaning an act set forth in the items of ; the same applies hereinafter) with a customer as the counterparty or on behalf of a customer (hereinafter referred to as a 'financial instruments transaction contract'" is deemed to be replaced with "contract for specified deposit, etc. (meaning a contract for specified deposit, etc. prescribed in Article 13-4 of the Banking Act; the same applies hereinafter", the phrase "" is deemed to be replaced with "", the phrase "financial instruments transaction contract that is the same as the financial instruments transaction contract" is deemed to be replaced with "contract for specified deposit, etc. that is the same as the contract for specified deposit, etc.", the phrase "financial instruments transaction contract in the past" is deemed to be replaced with "provision of intermediary services for the conclusion of a contract for specified deposit, etc. in the past", the term "concluded" is deemed to be replaced with "performed", and the phrase "concludes a financial instruments transaction contract" is deemed to be replaced with "provides intermediary services for the conclusion of a contract for specified deposit, etc."; the term "or concludes" in is deemed to be replaced with "or provides intermediary services for"; the term "concluding" in is deemed to be replaced with "providing intermediary services for"; the term "concludes" in is deemed to be replaced with "provides intermediary services for concluding"; the term "concluding" in is deemed to be replaced with "providing intermediary services for"; the phrase "and a subject contract" in is deemed to be replaced with "through the intermediary services of a subject contract"; the term "concluding" in and is deemed to be replaced with "providing intermediary services for"; the term "concludes" in is deemed to be replaced with "provides intermediary services for concluding"; the term "or concludes" in and is deemed to be replaced with "or provides intermediary services for"; the phrase "trade name, name or full name" in is deemed to be replaced with "trade name"; the phrase "performing an act that constitutes a financial instruments transaction" in is deemed to be replaced with "concluding a contract for specified deposit, etc."; in , the phrase "seeks to conclude" is deemed to be replaced with "provides intermediary services for concluding", and the phrase "matters set forth" is deemed to be replaced with "matters set forth and, in order to contribute to the protection of customers, the content of that contract for specified deposit, etc. and other matters that should serve as a reference for the customer (referred to as 'reference matters, etc.' in )"; the phrase "trade name, name or full name" in is deemed to be replaced with "and the trade name of the entrusting bank (meaning the entrusting bank prescribed in Article 2, paragraph (17), item (ii) of the Banking Act; the same applies in ) pertaining to that contract for specified deposit, etc."; the phrase "an act that constitutes a financial instruments transaction to be performed" in is deemed to be replaced with "a contract for specified deposit, etc. to be concluded"; the phrase "excluded)" in is deemed to be replaced with "excluded) and the reference matters, etc."; the phrase "that matter" in the proviso to is deemed to be replaced with "those matters"; in , the phrase "the provisions of " is deemed to be replaced with "a request from the customer", the phrase "if a financial instruments transaction contract is cancelled" is deemed to be replaced with "in the case where damages or other money has been paid to the entrusting bank in connection with the cancellation of a contract for specified deposit, etc.", the phrase "fees, remuneration or other consideration payable by the customer in relation to that financial instruments transaction contract that corresponds to the period until the cancellation of the financial instruments transaction contract (referred to as 'consideration' in ), in excess of the amount specified by Cabinet Office Order as the amount of that consideration, the cancellation of that financial instruments transaction contract" is deemed to be replaced with "payment", and the phrase "or the payment of a penalty" is deemed to be replaced with "payment of other money, to that customer,"; in , the phrase "the provisions of " is deemed to be replaced with "a request from the customer" and the term "customer" is deemed to be replaced with "that customer"; in , the phrase "purchase and sale or other transaction of securities (excluding a purchase and sale with a repurchase requirement in which the repurchase price is determined in advance and other transactions specified by Cabinet Order) or derivatives transaction (hereinafter referred to as 'purchase and sale or other transaction of securities, etc.' in )" is deemed to be replaced with "conclusion of a contract for specified deposit, etc.", the phrase "securities or derivatives transaction (hereinafter referred to as 'securities, etc.' in )" is deemed to be replaced with "contract for specified deposit, etc.", the phrase "customer (including, where a trust company, etc. (meaning a trust company or a financial institution that has obtained the authorization under ; the same applies hereinafter) conducts a purchase and sale of securities or a derivatives transaction on account of a person who establishes a trust based on a trust contract, that person who establishes the trust; the same applies hereinafter in )" is deemed to be replaced with "customer", and the phrase "in order to supplement" is deemed to be replaced with "in order to supplement, otherwise than under that contract for specified deposit, etc."; in , the term "purchase and sale or other transaction of securities, etc." is deemed to be replaced with "conclusion of a contract for specified deposit, etc.", the term "securities, etc." is deemed to be replaced with "contract for specified deposit, etc.", and the phrase "in order to add" is deemed to be replaced with "in order to add, otherwise than under that contract for specified deposit, etc."; in , the term "purchase and sale or other transaction of securities, etc." is deemed to be replaced with "conclusion of a contract for specified deposit, etc.", the term "securities, etc." is deemed to be replaced with "contract for specified deposit, etc.", and the phrase "in order to add," is deemed to be replaced with "in order to add, otherwise than under that contract for specified deposit, etc."; the term "purchase and sale or other transaction of securities, etc." in each item of is deemed to be replaced with "conclusion of a contract for specified deposit, etc."; the phrase "that which is specified by Cabinet Order as becoming a cause" in is deemed to be replaced with "that which becomes a cause"; the phrase "an act that constitutes a financial instruments transaction" in is deemed to be replaced with "the conclusion of a contract for specified deposit, etc."; and in , the phrase ", and " is deemed to be replaced with " (limited to the part pertaining to and , and excluding ), , and and (excluding the proviso)" and the term "concluded" is deemed to be replaced with "provided intermediary services for the conclusion of"; in addition, any other technical replacement of terms that is necessary is specified by Cabinet Order.

金融商品取引法第三章第一節第五款((特定投資家が特定投資家以外の顧客とみなされる場合)並びに及び(特定投資家以外の顧客である法人が特定投資家とみなされる場合)を除く。)(特定投資家)、同章第二節第一款((第一種金融商品取引業又は投資運用業を行う者の業務の範囲、第二種金融商品取引業又は投資助言・代理業のみを行う者の兼業の範囲、業務管理体制の整備、顧客の利益の保護のための体制整備、標識の掲示等、名義貸しの禁止、社債の管理の禁止等)、(取引態様の事前明示義務)、及び(契約締結前の情報の提供等)、(保証金の受領に係る書面の交付)、、、ただし書及び(書面等による解除)、(指定紛争解決機関との契約締結義務等)、、、及び並びに(禁止行為)、ただし書、、及び(損失補塡等の禁止)並びに(最良執行方針等、分別管理が確保されていない場合の売買等の禁止、金銭の流用が行われている場合の募集等の禁止、出資対象事業の状況に係る情報の提供が確保されていない場合の売買等の禁止、出資対象事業の状況に係る情報が提供されていない場合の募集等の禁止、特定投資家向け有価証券の売買等の制限、特定投資家向け有価証券に関する告知義務、のみ行為の禁止、店頭デリバティブ取引に関する電子情報処理組織の使用義務等)を除く。)(通則)及び(及びを除く。)(雑則)の規定は、特定預金等契約に係る電子決済等関連預金媒介業務を行う電子決済等取扱業者について準用する。この場合において、これらの規定(及びの規定を除く。)中「金融商品取引契約」とあるのは「特定預金等契約」と、中「顧客を相手方とし、又は顧客のために金融商品取引行為(各号に掲げる行為をいう。以下同じ。)を行うことを内容とする契約(以下「金融商品取引契約」という」とあるのは「特定預金等契約(銀行法第十三条の四に規定する特定預金等契約をいう。以下同じ」と、「」とあるのは「」と、「金融商品取引契約と同じ金融商品取引契約」とあるのは「特定預金等契約と同じ特定預金等契約」と、「金融商品取引契約を過去」とあるのは「特定預金等契約の締結の媒介を過去」と、「締結した」とあるのは「行つた」と、「金融商品取引契約を締結する」とあるのは「特定預金等契約の締結の媒介を行う」と、中「又は締結」とあるのは「又は媒介」と、中「締結をする」とあるのは「媒介を行う」と、中「締結する」とあるのは「締結の媒介を行う」と、中「締結をする」とあるのは「媒介を行う」と、イ中「と対象契約」とあるのは「の媒介により対象契約」と、及び中「締結をする」とあるのは「媒介を行う」と、中「締結する」とあるのは「締結の媒介を行う」と、及び中「又は締結」とあるのは「又は媒介」と、中「商号、名称又は氏名」とあるのは「商号」と、中「金融商品取引行為を行う」とあるのは「特定預金等契約を締結する」と、中「を締結しようとする」とあるのは「の締結の媒介を行う」と、「掲げる事項」とあるのは「掲げる事項及び顧客の保護に資するための当該特定預金等契約の内容その他顧客に参考となるべき事項(において「参考事項等」という。)」と、中「の商号、名称又は氏名」とあるのは「及び当該特定預金等契約に係る委託銀行(銀行法第二条第十七項第二号に規定する委託銀行をいう。において同じ。)の商号」と、中「行う金融商品取引行為」とあるのは「締結する特定預金等契約」と、中「除く。)」とあるのは「除く。)及び参考事項等」と、ただし書中「当該事項」とあるのは「これらの事項」と、中「の規定」とあるのは「顧客からの申出」と、「金融商品取引契約の解除があつた場合には」とあるのは「特定預金等契約の解除に伴い委託銀行に損害賠償その他の金銭の支払をした場合において」と、「金融商品取引契約の解除までの期間に相当する手数料、報酬その他の当該金融商品取引契約に関して顧客が支払うべき対価(において「対価」という。)の額として内閣府令で定める金額を超えて当該金融商品取引契約の解除」とあるのは「支払」と、「又は違約金の支払を」とあるのは「その他の金銭の支払を、当該顧客に対し、」と、中「の規定」とあるのは「顧客からの申出」と、「顧客」とあるのは「当該顧客」と、中「有価証券の売買その他の取引(買戻価格があらかじめ定められている買戻条件付売買その他の政令で定める取引を除く。)又はデリバティブ取引(以下において「有価証券売買取引等」という。)」とあるのは「特定預金等契約の締結」と、「有価証券又はデリバティブ取引(以下において「有価証券等」という。)」とあるのは「特定預金等契約」と、「顧客(信託会社等(信託会社又はの認可を受けた金融機関をいう。以下同じ。)が、信託契約に基づいて信託をする者の計算において、有価証券の売買又はデリバティブ取引を行う場合にあつては、当該信託をする者を含む。以下において同じ。)」とあるのは「顧客」と、「補足するため」とあるのは「補足するため、当該特定預金等契約によらないで」と、中「有価証券売買取引等」とあるのは「特定預金等契約の締結」と、「有価証券等」とあるのは「特定預金等契約」と、「追加するため」とあるのは「追加するため、当該特定預金等契約によらないで」と、中「有価証券売買取引等」とあるのは「特定預金等契約の締結」と、「有価証券等」とあるのは「特定預金等契約」と、「追加するため、」とあるのは「追加するため、当該特定預金等契約によらないで」と、各号中「有価証券売買取引等」とあるのは「特定預金等契約の締結」と、中「原因となるものとして内閣府令で定めるもの」とあるのは「原因となるもの」と、中「金融商品取引行為」とあるのは「特定預金等契約の締結」と、中「、及び」とあるのは「(及びに係る部分に限り、を除く。)、並びに及び(ただし書を除く。)」と、「締結した」とあるのは「締結の媒介を行つた」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。

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