# 金融商品取引法 / Financial Instruments and Exchange Act — 第四十条 (Article 40) - 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: 第四十条 (Article 40)（適合性の原則等） — address `art-40` - Text in force since: 2026-08-12 - URL (the page that opens at this provision): https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-40 - Permanent URL (e-Gov law ID, never renamed): https://japanlaw.org/l/323AC0000000025/art-40 - 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. --- ### 第四十条（適合性の原則等） — (Principle of Suitability) caption: Ministry of Justice translation — Japanese Law Translation Database System art-40 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-40 · https://japanlaw.org/l/323AC0000000025/art-40 **第一項** 金融商品取引業者等は、業務の運営の状況が次の各号のいずれかに該当することのないように、その業務を行わなければならない。 art-40/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-40/par-1 · https://japanlaw.org/l/323AC0000000025/art-40/par-1 A financial instruments business operator, etc. must conduct its business in such a manner that the state of its business operations does not fall under any of the following items: Ministry of Justice translation — Japanese Law Translation Database System **一** 金融商品取引行為について、顧客の知識、経験、財産の状況及び金融商品取引契約を締結する目的に照らして不適当と認められる勧誘を行つて投資者の保護に欠けることとなつており、又は欠けることとなるおそれがあること。 art-40/par-1/item-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-40/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-40/par-1/item-1 its issuance of a solicitation in connection with an act that constitutes a financial instruments transaction which is found to be inappropriate in light of customer knowledge, customer experience, the state of customer assets, or the purpose for which a financial instruments transaction contract is concluded, results in or is likely to result in insufficient investor protection; and Ministry of Justice translation — Japanese Law Translation Database System **二** 前号に掲げるもののほか、業務に関して取得した顧客に関する情報の適正な取扱いを確保するための措置を講じていないと認められる状況、その他業務の運営の状況が公益に反し、又は投資者の保護に支障を生ずるおそれがあるものとして内閣府令で定める状況にあること。 art-40/par-1/item-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-40/par-1/item-2 · https://japanlaw.org/l/323AC0000000025/art-40/par-1/item-2 beyond what is set forth in the preceding item, the state of business operations is such that the financial instruments business operator, etc. is found not to have taken measures to ensure the appropriate handling of customer information it has obtained in the course of the business, or business operations are otherwise in a state specified by Cabinet Office Order as one that is contrary to the public interest or that is likely to compromise the protection of investors. Ministry of Justice translation — Japanese Law Translation Database System --- ## Cites - art-40/par-1/item-2: 前号 → 金融商品取引法 第四十条第一項第一号 (Article 40, paragraph (1), item (i)), art-40/par-1/item-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-40/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-40/par-1/item-1 ## Cited by 16 provisions cite this one. No official source publishes this direction. - 資金決済に関する法律 第六十三条の二十二の十五第一項（金融商品取引法等の準用） — https://japanlaw.org/ja/payment-services-act/art-63-22-15/par-1 · https://japanlaw.org/l/421AC0000000059/art-63-22-15/par-1 - 金融商品取引法 第四十条第一項第二号（適合性の原則等） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-40/par-1/item-2 · https://japanlaw.org/l/323AC0000000025/art-40/par-1/item-2 - 金融商品取引法 第四十五条第一項第一号 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-45/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-45/par-1/item-1 - 金融商品取引法 第五十条の二第四項（廃業等の届出等） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-50-2/par-4 · https://japanlaw.org/l/323AC0000000025/art-50-2/par-4 - 金融商品取引法 第六十条の十三第一項（取引所取引業務の規制） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-60-13/par-1 · https://japanlaw.org/l/323AC0000000025/art-60-13/par-1 - 金融商品取引法 第六十三条第十一項（適格機関投資家等特例業務） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-63/par-11 · https://japanlaw.org/l/323AC0000000025/art-63/par-11 - 金融商品取引法 第六十三条の三第三項第一号（金融商品取引業者等が適格機関投資家等特例業務を行う場合） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-63-3/par-3/item-1 · https://japanlaw.org/l/323AC0000000025/art-63-3/par-3/item-1 - 金融商品取引法 第六十三条の三第三項第二号（金融商品取引業者等が適格機関投資家等特例業務を行う場合） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-63-3/par-3/item-2 · https://japanlaw.org/l/323AC0000000025/art-63-3/par-3/item-2 - 金融商品取引法 第六十三条の九第八項（海外投資家等特例業務の届出等） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-63-9/par-8 · https://japanlaw.org/l/323AC0000000025/art-63-9/par-8 - 金融商品取引法 第六十三条の十一第三項第一号（金融商品取引業者等が海外投資家等特例業務を行う場合） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-63-11/par-3/item-1 · https://japanlaw.org/l/323AC0000000025/art-63-11/par-3/item-1 - 金融商品取引法 第六十三条の十一第三項第二号（金融商品取引業者等が海外投資家等特例業務を行う場合） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-63-11/par-3/item-2 · https://japanlaw.org/l/323AC0000000025/art-63-11/par-3/item-2 - 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/ja/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 第六十五条の五第二項（適用除外） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-65-5/par-2 · https://japanlaw.org/l/323AC0000000025/art-65-5/par-2 - 金融商品取引法 第六十五条の五第四項（適用除外） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-65-5/par-4 · https://japanlaw.org/l/323AC0000000025/art-65-5/par-4 - 金融商品取引法 第六十六条の十五第一項（損失補塡等の禁止等に関する金融商品取引業者等に係る規定の準用） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-15/par-1 · https://japanlaw.org/l/323AC0000000025/art-66-15/par-1 - 銀行法 第五十二条の六十の十七第一項（金融商品取引法の準用） — https://japanlaw.org/ja/banking-act/art-52-60-17/par-1 · https://japanlaw.org/l/356AC0000000059/art-52-60-17/par-1 --- ## 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