# 金融商品取引法 / Financial Instruments and Exchange Act — 第三十三条の五 (Article 33-5) - Law: 金融商品取引法 (Financial Instruments and Exchange Act), 昭和二十三年法律第二十五号 - English title "Financial Instruments and Exchange Act": Ministry of Justice translation - Kind: Act — the distinction between 法律 (Act), 政令 (Cabinet Order), 省令 (Ministerial Order) and 条例 (local ordinance) decides who may issue it and what it may say. - Provision: 第三十三条の五 (Article 33-5)（金融機関の登録の拒否等） — address `art-33-5` - Text in force since: 2026-08-12 - URL (the page that opens at this provision): https://japanlaw.org/en/financial-instruments-and-exchange-act/art-33-5 - Permanent URL (e-Gov law ID, never renamed): https://japanlaw.org/l/323AC0000000025/art-33-5 - Every provision below carries its address and both URLs on the line under it. - Japanese text: e-Gov 法令検索, Digital Agency (デジタル庁). English: as marked on each line below. Only the Japanese as published by the government has legal effect; the text below is a copy of it. Every English rendering below is a translation and says which kind: the Ministry of Justice's translation, or this site's machine translation, whose model and date the Sources list names. They are never merged and never substituted for one another. --- ### 第三十三条の五（金融機関の登録の拒否等） — (Refusal to Register a Financial Institution) caption: Ministry of Justice translation — Japanese Law Translation Database System art-33-5 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-33-5 · https://japanlaw.org/l/323AC0000000025/art-33-5 **第一項** 内閣総理大臣は、登録申請者が次の各号のいずれかに該当するとき、又は登録申請書若しくはこれに添付すべき書類若しくは電磁的記録のうちに虚偽の記載若しくは記録があり、若しくは重要な事実の記載若しくは記録が欠けているときは、その登録を拒否しなければならない。 art-33-5/par-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-33-5/par-1 · https://japanlaw.org/l/323AC0000000025/art-33-5/par-1 The Prime Minister must refuse to effect a registration if the applicant for registration falls under any of the following items, or if the written application for registration or a document or electronic or magnetic record that is required to accompany it contains a false statement or record or omits a statement or record of a material fact: machine translation, not official **一** 第五十二条の二第一項の規定により第三十三条の二の登録を取り消され、第六十六条の二十第一項の規定により第六十六条の登録を取り消され、第六十六条の四十二第一項の規定により第六十六条の二十七の登録を取り消され、第六十六条の六十三第一項の規定により第六十六条の五十の登録を取り消され、若しくは第六十六条の八十五第一項の規定により第六十六条の七十一の登録を取り消され、若しくは金融サービスの提供及び利用環境の整備等に関する法律第三十八条第一項（第二号、第三号及び第五号を除く。）の規定により同法第十二条の登録（有価証券等仲介業務の種別に係るものに限る。）を取り消され、その取消しの日から五年を経過しない者又はこの法律若しくは金融サービスの提供及び利用環境の整備等に関する法律に相当する外国の法令の規定により当該外国において受けている同種類の登録（当該登録に類する許可その他の行政処分を含む。）を取り消され、その取消しの日から五年を経過しない者 art-33-5/par-1/item-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-33-5/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-33-5/par-1/item-1 a person that has had the registration referred to in Article 33-2 rescinded pursuant to the provisions of Article 52-2, paragraph (1), has had the registration referred to in Article 66 rescinded pursuant to the provisions of Article 66-20, paragraph (1), has had the registration referred to in Article 66-27 rescinded pursuant to Article 66-42, paragraph (1), has had the registration referred to in Article 66-50 rescinded pursuant to Article 66-63, paragraph (1), or has had the registration referred to in Article 66-71 rescinded pursuant to Article 66-85, paragraph (1), or that has had the registration referred to in Article 12 of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto (limited to the registration related to the type of securities, etc. intermediary business operations) rescinded pursuant to the provisions of Article 38, paragraph (1) of that Act (excluding items (ii), (iii), and (v)), for whom five years have not passed since the date of that rescission; or a person that had a registration of the same kind (including permission or any other administrative disposition similar to the registration) obtained in a foreign state rescinded pursuant to the provisions of a law or regulation of that foreign state that is equivalent to this Act or the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto, for whom five years have not passed since the date of the rescission; machine translation, not official **二** この法律、担保付社債信託法、金融機関の信託業務の兼営等に関する法律、商品先物取引法、投資信託及び投資法人に関する法律、宅地建物取引業法、出資の受入れ、預り金及び金利等の取締りに関する法律、割賦販売法、貸金業法、預託等取引に関する法律、商品投資に係る事業の規制に関する法律、不動産特定共同事業法、資産の流動化に関する法律、金融業者の貸付業務のための社債の発行等に関する法律、金融サービスの提供及び利用環境の整備等に関する法律、信託業法、資金決済に関する法律、事業性融資の推進等に関する法律その他政令で定める法律又はこれらに相当する外国の法令の規定に違反し、罰金の刑（これに相当する外国の法令による刑を含む。）に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなつた日から五年を経過しない者 art-33-5/par-1/item-2 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-33-5/par-1/item-2 · https://japanlaw.org/l/323AC0000000025/art-33-5/par-1/item-2 a person that has been sentenced to a fine (including an equivalent sentence under a law or regulation of a foreign state) for violating the provisions of this Act; the Secured Bond Trust Act; the Act on Engagement in Trust Business by Financial Institutions; the Commodity Derivatives Transaction Act; the Act on Investment Trusts and Investment Corporations; the Real Estate Brokerage Act; the Act Regulating the Receipt of Contributions, the Receipt of Deposits, and Interest Rates; the Installment Sales Act; the Money Lending Business Act; the Act on Deposit Transactions; the Act on Regulation of Commodity Investment; the Act on Specified Joint Real Estate Ventures; the Act on the Securitization of Assets; the Act on Issuance, etc. of Bonds for Financial Corporations' Loan Business; the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto; the Trust Business Act; the Payment Services Act; the Act on the Promotion of Business Financing, etc.; or any other laws specified by Cabinet Order, or for violating the provisions of a law or regulation of a foreign state that is equivalent to any of these laws, and five years have not passed since the day on which the person finished serving the sentence or ceased to be subject to its enforcement; machine translation, not official **三** 次のいずれかに該当する者 art-33-5/par-1/item-3 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-33-5/par-1/item-3 · https://japanlaw.org/l/323AC0000000025/art-33-5/par-1/item-3 a person falling under any of the following: machine translation, not official **イ** 登録金融機関業務のそれぞれにつき、その執行について必要となる十分な知識及び経験を有する役員又は使用人を確保していないと認められる者 art-33-5/par-1/item-3/sub-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-33-5/par-1/item-3/sub-1 · https://japanlaw.org/l/323AC0000000025/art-33-5/par-1/item-3/sub-1 a person found not to have secured, for each registered financial institution business, officers or employees who have sufficient knowledge and experience necessary for its execution; machine translation, not official **ロ** 暴力団員による不当な行為の防止等に関する法律第二条第二号に規定する暴力団又は同条第六号に規定する暴力団員との関係その他の事情に照らし、登録金融機関業務の信用を失墜させるおそれがあると認められる者 art-33-5/par-1/item-3/sub-2 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-33-5/par-1/item-3/sub-2 · https://japanlaw.org/l/323AC0000000025/art-33-5/par-1/item-3/sub-2 a person found likely to cause registered financial institution business to lose credibility, in light of the person's relationship with an organized crime group prescribed in Article 2, item (ii) of the Act on Prevention of Unjust Acts by Organized Crime Group Members or an organized crime group member prescribed in item (vi) of that Article, and other circumstances; machine translation, not official **ハ** その他登録金融機関業務を適確に遂行するに足りる人的構成を有しない者として内閣府令で定める基準に該当する者 art-33-5/par-1/item-3/sub-3 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-33-5/par-1/item-3/sub-3 · https://japanlaw.org/l/323AC0000000025/art-33-5/par-1/item-3/sub-3 any other person that falls under the criteria specified by Cabinet Office Order as a person that does not have a personnel structure sufficient to perform registered financial institution business appropriately; machine translation, not official **四** 協会に加入しない者であつて、協会の定款その他の規則（有価証券の売買その他の取引若しくはデリバティブ取引等を公正かつ円滑にすること又は投資者の保護に関するものに限る。）に準ずる内容の社内規則（当該者又はその役員若しくは使用人が遵守すべき規則をいう。）を作成していないもの又は当該社内規則を遵守するための体制を整備していないもの art-33-5/par-1/item-4 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-33-5/par-1/item-4 · https://japanlaw.org/l/323AC0000000025/art-33-5/par-1/item-4 a person that has not joined an association and that has not prepared internal rules (meaning rules with which that person or its officers or employees should comply) that have contents equivalent to the articles of incorporation or other rules (limited to those for ensuring fair and smooth purchase and sales and other transactions of securities or ensuring fair and smooth derivatives transactions, etc. or for protecting investors) of the association or that has not established a system for complying with the relevant internal rules; Ministry of Justice translation — Japanese Law Translation Database System **五** 登録金融機関業務を適確に遂行するための必要な体制が整備されていると認められない者 art-33-5/par-1/item-5 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-33-5/par-1/item-5 · https://japanlaw.org/l/323AC0000000025/art-33-5/par-1/item-5 a person that is found not to have in place the necessary system for performing services of a registered financial institution in an appropriate manner. Ministry of Justice translation — Japanese Law Translation Database System **第二項** 内閣総理大臣は、銀行、協同組織金融機関その他政令で定める金融機関に、第三十三条第二項第五号に掲げる取引について、同号に定める行為を業として行うことを登録する場合には、株券に係る取引の公正の確保のため必要な範囲内において内閣府令で定める条件を付してするものとする。 art-33-5/par-2 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-33-5/par-2 · https://japanlaw.org/l/323AC0000000025/art-33-5/par-2 If the Prime Minister registers that a bank or cooperative financial institution, or any other financial institution specified by Cabinet Order, performs the act specified in Article 33, paragraph (2), item (v) in connection with transactions set forth in that item on a regular basis, the Prime Minister must add the conditions specified by Cabinet Office Order within the necessary scope for ensuring fair transactions in connection with share certificates. Ministry of Justice translation — Japanese Law Translation Database System --- ## Cites - art-33-5/par-1/item-1: 第五十二条の二第一項 → 金融商品取引法 第五十二条の二第一項 (Article 52-2, paragraph (1)), art-52-2/par-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-52-2/par-1 · https://japanlaw.org/l/323AC0000000025/art-52-2/par-1 - art-33-5/par-1/item-1: 第三十三条の二 → 金融商品取引法 第三十三条の二 (Article 33-2), art-33-2 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-33-2 · https://japanlaw.org/l/323AC0000000025/art-33-2 - art-33-5/par-1/item-1: 第六十六条の二十第一項 → 金融商品取引法 第六十六条の二十第一項 (Article 66-20, paragraph (1)), art-66-20/par-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-20/par-1 · https://japanlaw.org/l/323AC0000000025/art-66-20/par-1 - art-33-5/par-1/item-1: 第六十六条 → 金融商品取引法 第六十六条 (Article 66), art-66 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66 · https://japanlaw.org/l/323AC0000000025/art-66 - art-33-5/par-1/item-1: 第六十六条の四十二第一項 → 金融商品取引法 第六十六条の四十二第一項 (Article 66-42, paragraph (1)), art-66-42/par-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-42/par-1 · https://japanlaw.org/l/323AC0000000025/art-66-42/par-1 - art-33-5/par-1/item-1: 第六十六条の二十七 → 金融商品取引法 第六十六条の二十七 (Article 66-27), art-66-27 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-27 · https://japanlaw.org/l/323AC0000000025/art-66-27 - art-33-5/par-1/item-1: 第六十六条の六十三第一項 → 金融商品取引法 第六十六条の六十三第一項 (Article 66-63, paragraph (1)), art-66-63/par-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-63/par-1 · https://japanlaw.org/l/323AC0000000025/art-66-63/par-1 - art-33-5/par-1/item-1: 第六十六条の五十 → 金融商品取引法 第六十六条の五十 (Article 66-50), art-66-50 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-50 · https://japanlaw.org/l/323AC0000000025/art-66-50 - art-33-5/par-1/item-1: 第六十六条の八十五第一項 → 金融商品取引法 第六十六条の八十五第一項 (Article 66-85, paragraph (1)), art-66-85/par-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-85/par-1 · https://japanlaw.org/l/323AC0000000025/art-66-85/par-1 - art-33-5/par-1/item-1: 第六十六条の七十一 → 金融商品取引法 第六十六条の七十一 (Article 66-71), art-66-71 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-71 · https://japanlaw.org/l/323AC0000000025/art-66-71 - art-33-5/par-1/item-1: 金融サービスの提供及び利用環境の整備等に関する法律第三十八条第一項 → e-Gov law 412AC0000000101, 第三十八条第一項 (Article 38, paragraph (1)), art-38/par-1 — not held in this collection - art-33-5/par-1/item-1: 第二号 → e-Gov law 412AC0000000101, 第三十八条第一項第二号 (Article 38, paragraph (1), item (ii)), art-38/par-1/item-2 — not held in this collection - art-33-5/par-1/item-1: 第三号 → e-Gov law 412AC0000000101, 第三十八条第一項第三号 (Article 38, paragraph (1), item (iii)), art-38/par-1/item-3 — not held in this collection - art-33-5/par-1/item-1: 第五号 → e-Gov law 412AC0000000101, 第三十八条第一項第五号 (Article 38, paragraph (1), item (v)), art-38/par-1/item-5 — not held in this collection - art-33-5/par-1/item-1: 同法第十二条 → e-Gov law 412AC0000000101, 第十二条 (Article 12), art-12 — not held in this collection - art-33-5/par-1/item-3/sub-2: 暴力団員による不当な行為の防止等に関する法律第二条第二号 → e-Gov law 403AC0000000077, 第二条第一項第二号 (Article 2, paragraph (1), item (ii)), art-2/par-1/item-2 — not held in this collection - art-33-5/par-1/item-3/sub-2: 同条第六号 → e-Gov law 403AC0000000077, 第二条第一項第六号 (Article 2, paragraph (1), item (vi)), art-2/par-1/item-6 — not held in this collection - art-33-5/par-2: 第三十三条第二項第五号 → 金融商品取引法 第三十三条第二項第五号 (Article 33, paragraph (2), item (v)), art-33/par-2/item-5 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-33/par-2/item-5 · https://japanlaw.org/l/323AC0000000025/art-33/par-2/item-5 ## Cited by 8 provisions cite this one. No official source publishes this direction. - 金融商品取引法 第二十九条の四第一項第一号の二（登録の拒否） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-29-4/par-1/item-1-2 · https://japanlaw.org/l/323AC0000000025/art-29-4/par-1/item-1-2 - 金融商品取引法 第二十九条の四第一項第四号ニ（登録の拒否） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-29-4/par-1/item-4/sub-4 · https://japanlaw.org/l/323AC0000000025/art-29-4/par-1/item-4/sub-4 - 金融商品取引法 第三十三条の三第二項第一号（金融機関の登録申請） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-33-3/par-2/item-1 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-2/item-1 - 金融商品取引法 第三十三条の四第一項（金融機関登録簿への登録） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-33-4/par-1 · https://japanlaw.org/l/323AC0000000025/art-33-4/par-1 - 金融商品取引法 第三十三条の八第一項（信託業務を営む場合等の特例等） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-33-8/par-1 · https://japanlaw.org/l/323AC0000000025/art-33-8/par-1 - 金融商品取引法 第五十二条の二第一項第一号（登録金融機関に対する監督上の処分） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-52-2/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-52-2/par-1/item-1 - 金融商品取引法 第六十五条の四第一項（内閣府令への委任） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-65-4/par-1 · https://japanlaw.org/l/323AC0000000025/art-65-4/par-1 - 金融商品取引法 附則第十七条第二項 — https://japanlaw.org/en/financial-instruments-and-exchange-act/suppl-4181-65/art-17/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-17/par-2 --- ## Sources - e-Gov 法令検索, Digital Agency (デジタル庁) — 金融商品取引法 — the text in force from 2026-08-12 (https://laws.e-gov.go.jp/law/323AC0000000025/20260812_508AC0000000064), retrieved 2026-10-22 - Japanese Law Translation Database System, Ministry of Justice (法務省) — Financial Instruments and Exchange Act — Ministry of Justice translation (https://www.japaneselawtranslation.go.jp/en/laws/view/4633/tb), retrieved 2026-10-22 - claude-sonnet-5-5 — Machine translation, batch financial-instruments-and-exchange-act-20261023T035921-006, translated 2026-10-23 - claude-sonnet-5-5, corrected on review by claude-opus-5-5 — Machine translation corrected on review, batch financial-instruments-and-exchange-act-20261023T035921-006, translated 2026-10-23 - This site's parser, version 212 — 金融商品取引法 — structure, counts, cross-references and defined terms, computed 2026-10-22