# 金融商品取引法 / Financial Instruments and Exchange Act — 第五十七条の五 (Article 57-5) - 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: 第五十七条の五 (Article 57-5)（経営の健全性の状況を記載した書面の届出等） — address `art-57-5` - 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-57-5 - Permanent URL (e-Gov law ID, never renamed): https://japanlaw.org/l/323AC0000000025/art-57-5 - 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. --- ### 第五十七条の五（経営の健全性の状況を記載した書面の届出等） — (Written Notification Stating the Soundness of Management) caption: Ministry of Justice translation — Japanese Law Translation Database System art-57-5 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-57-5 · https://japanlaw.org/l/323AC0000000025/art-57-5 **第一項** 内閣総理大臣は、特別金融商品取引業者の業務の健全かつ適切な運営に資するため、特別金融商品取引業者がその経営の健全性を判断するための基準として、当該特別金融商品取引業者及びその子法人等の保有する資産等に照らし当該特別金融商品取引業者及びその子法人等の自己資本の充実の状況が適当であるかどうかの基準その他の当該特別金融商品取引業者及びその子法人等における経営の健全性の状況を表示する基準を定めなければならない。 art-57-5/par-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-57-5/par-1 · https://japanlaw.org/l/323AC0000000025/art-57-5/par-1 In order to contribute to the sound and appropriate operation of the business of a special financial instruments business operator, the Prime Minister must establish criteria for whether the capital adequacy of the special financial instruments business operator and its subsidiary corporations, etc. is appropriate in light of the assets, etc. held by the special financial instruments business operator and its subsidiary corporations, etc. and other criteria that indicate soundness in the management of the special financial instruments business operator and its subsidiary corporation, etc., as criteria by which the special financial instruments business operator is to judge the soundness of its management. Ministry of Justice translation — Japanese Law Translation Database System **第二項** 特別金融商品取引業者は、届出日から起算して政令で定める期間が経過した日の属する四半期以降、四半期ごとに、内閣府令で定めるところにより、当該四半期の末日における前項に規定する基準を用いて表示される経営の健全性の状況（次項及び次条において単に「経営の健全性の状況」という。）を記載した書面を内閣総理大臣に届け出なければならない。 art-57-5/par-2 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-57-5/par-2 · https://japanlaw.org/l/323AC0000000025/art-57-5/par-2 For each quarter in and after the quarter that includes the day on which the period specified by Cabinet Order elapses counting from the notification date, a special financial instruments business operator must submit a document to the Prime Minister in which it describes the soundness of its management as of the last day of the quarter, as indicated by the criteria prescribed in the preceding paragraph (hereinafter simply referred to as the "integrity of management" in the following paragraph and the following Article), pursuant to the provisions of Cabinet Office Order. Ministry of Justice translation — Japanese Law Translation Database System **第三項** 特別金融商品取引業者は、届出日から起算して政令で定める期間が経過した日の属する四半期以降、四半期ごとに、当該四半期の末日から起算して政令で定める期間を経過した日から三月間、内閣府令で定めるところにより、経営の健全性の状況を記載した書面をすべての営業所又は事務所に備え置き、公衆の縦覧に供しなければならない。 art-57-5/par-3 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-57-5/par-3 · https://japanlaw.org/l/323AC0000000025/art-57-5/par-3 For each quarter in and after the quarter that includes the day on which the period specified by Cabinet Order elapses counting from the notification date and pursuant to the provisions of Cabinet Office Order, a special financial instruments business operator must keep a document in which it describes the integrity of management at all of its business offices and offices and make this document available for public inspection during the three-month period beginning from the day on which the period specified by Cabinet Order elapses counting from the end of the quarter. Ministry of Justice translation — Japanese Law Translation Database System --- ## Cites - art-57-5/par-2: 前項 → 金融商品取引法 第五十七条の五第一項 (Article 57-5, paragraph (1)), art-57-5/par-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-57-5/par-1 · https://japanlaw.org/l/323AC0000000025/art-57-5/par-1 - art-57-5/par-2: 次項 → 金融商品取引法 第五十七条の五第三項 (Article 57-5, paragraph (3)), art-57-5/par-3 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-57-5/par-3 · https://japanlaw.org/l/323AC0000000025/art-57-5/par-3 - art-57-5/par-2: 次条 → 金融商品取引法 第五十七条の六 (Article 57-6), art-57-6 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-57-6 · https://japanlaw.org/l/323AC0000000025/art-57-6 ## Cited by 6 provisions cite this one. No official source publishes this direction. - 金融商品取引法 第四十六条の六第三項（自己資本規制比率） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-46-6/par-3 · https://japanlaw.org/l/323AC0000000025/art-46-6/par-3 - 金融商品取引法 第五十七条の五第二項（経営の健全性の状況を記載した書面の届出等） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-57-5/par-2 · https://japanlaw.org/l/323AC0000000025/art-57-5/par-2 - 金融商品取引法 第五十七条の二十五第一項（適用除外） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-57-25/par-1 · https://japanlaw.org/l/323AC0000000025/art-57-25/par-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 第百九十八条の六第一項第六号の二 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-198-6/par-1/item-6-2 · https://japanlaw.org/l/323AC0000000025/art-198-6/par-1/item-6-2 - 金融商品取引法 第百九十八条の六第一項第七号 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-198-6/par-1/item-7 · https://japanlaw.org/l/323AC0000000025/art-198-6/par-1/item-7 --- ## 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 - This site's parser, version 212 — 金融商品取引法 — structure, counts, cross-references and defined terms, computed 2026-10-22