「Financial Instruments」を含む例文一覧(2779)
＜前へ 1 2 .... 46 47 48 49 50 51 52 53 54 55 56 次へ＞- Article 145 (1) The provisions of Article 79, Article 80 (excluding items (ii), (vi), (ix) and (x)), Article 81 (excluding items (iii), (vi), (ix) and (x)), Article 82 and Article 83 of the Commercial Registration Act shall apply mutatis mutandis to the registration of a Membership-Type Financial Instruments Exchange upon a merger in the case set forth in Article 136(2)(i). In this case, the term "trade name and the head office" in Article 79 of said Act shall be deemed to be replaced with "name and the principal office,"; the term "daily newspaper or Electronic Public Notice" in Article 80(iii) and (viii), and Article 81(viii) of said Act shall be deemed to be replaced with "daily newspaper,"; the term "amount of the stated capital" in Article 80(iv) of said Act shall be deemed to be replaced with "total amount of contribution,"; the term "head office" in Articles 80(v) and 81(v) of said Act shall be deemed to be replaced with "office,"; the term "when a Company Absorbed in an Absorption-Type Merger is a membership company, the document proving the consent of all members (if special provisions exist in the articles of incorporation, the procedures under such provisions)" in Article 80(vii) of said Act shall be deemed to be replaced with "minutes of a general meeting of members concerning a merger of a Membership-Type Financial Instruments Exchange implementing an Absorption-Type Merger,"; the term "stock company or limited liability company" in Article 80(viii) and Article 81(viii) of said Act shall be deemed to be replaced with "Membership-Type Financial Instruments Exchange,"; the term "the following documents" in said Article shall be deemed to be replaced with "the following documents and the documents proving the qualification of the person having the authority of representation,"; the term "when a company extinguished upon a Consolidation-Type Merger is a membership company, the document proving the consent of all members (if special provisions exist in the articles of incorporation, the procedures under such provisions)" in Article 81(vii) shall be deemed to be replaced with "minutes of a general meeting of members concerning a merger of a Membership-Type Financial Instruments Exchange Extinguished upon a Consolidation-Type Merger,"; the term "the head office" in Article 82, paragraphs (2) to (4) inclusive and Article 83 of said Act shall be deemed to be replaced with "the principal office," and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
第百四十五条 商業登記法第七十九条、第八十条（第二号、第六号、第九号及び第十号を除く。）、第八十一条（第三号、第六号、第九号及び第十号を除く。）、第八十二条及び第八十三条の規定は、第百三十六条第二項第一号に掲げる場合における合併による会員金融商品取引所の登記について準用する。この場合において、同法第七十九条中「商号及び本店」とあるのは「名称及び主たる事務所」と、同法第八十条第三号及び第八号並びに第八十一条第八号中「日刊新聞紙又は電子公告」とあるのは「日刊新聞紙」と、同法第八十条第四号中「資本金の額」とあるのは「出資の総額」と、同条第五号及び同法第八十一条第五号中「本店」とあるのは「事務所」と、同法第八十条第七号中「吸収合併消滅会社が持分会社であるときは、総社員の同意（定款に別段の定めがある場合にあつては、その定めによる手続）があつたことを証する書面」とあるのは「吸収合併をする会員金融商品取引所の合併総会の議事録」と、同条第八号及び同法第八十一条第八号中「株式会社又は合同会社」とあるのは「会員金融商品取引所」と、同条中「次の書面」とあるのは「次の書面及び代表権を有する者の資格を証する書面」と、同条第七号中「新設合併消滅会社が持分会社であるときは、総社員の同意（定款に別段の定めがある場合にあつては、その定めによる手続）があつたことを証する書面」とあるのは「新設合併消滅会員金融商品取引所の合併総会の議事録」と、同法第八十二条第二項から第四項まで及び第八十三条中「本店」とあるのは「主たる事務所」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。 - 日本法令外国語訳データベースシステム - Article 13-4 The provisions of Chapter III, Section 1, Subsection 5 of the Financial Instruments and Exchange Act (excluding Article 34-2, paragraphs (6) to (8) inclusive (Cases Where a Professional Investor Will Be Deemed to Be a Customer Other than Professional Investor) and Article 34-3, paragraphs (5) and (6) inclusive (Cases Where a Juridical Person Who Is a Customer Other Than a Professional Investor Will Be Deemed to Be a Professional Investor)) (Professional Investors), Section 2, Subsection 1 of that Chapter (excluding Articles 35 to 36-4 inclusive (Scope of Business Activities of Persons Who Engage in Type I Financial Instruments Services or Investment Management, Scope of Concurrent Business Activities of Persons Who Only Engage in Type II Financial Instruments Services or Investment Advisory and Agency Services, Duty of Good Faith to Customers, Posting of Signs, Prohibition on Name Lending, Prohibition on Administration of Corporate Bonds), Article 37, paragraph (1), item (ii) (Regulations on Advertising, etc.), Article 37-2 (Obligation to Clarify Conditions of Transactions in Advance), Article 37-3, paragraph (1), items (ii) and (vi) and Article 37-3, paragraph (3) (Delivery of Documents Prior to the Conclusion of a Contract), Article 37-5 (Delivery of Documents Pertaining to the Receipt of Security Deposits), Article 37-7 (Obligation to Conclude a Contract, etc. with a Designated Dispute Resolution Organization), Article 38, items (i) and (ii) and Article 38-2 (Prohibited Acts), the proviso to Article 39, paragraph (3) and Article 39, paragraph (5) (Prohibition of Compensation of Loss, etc.) and Articles 40-2 to 40-5 inclusive (Best Execution Policy, Prohibition on Purchase and Sale, etc. Where Separate Management Is not Ensured, Limitation on the Purchase and Sale, etc. of Securities for Professional Investors, Obligation of Notification in Relation to Securities for Professional Investors)) (General Rules) and Article 45 (excluding items (iii) and (iv)) (Miscellaneous Provisions) of the Financial Instruments and Exchange Act shall apply mutatis mutandis to the conclusion of Contracts for Specified Deposits, etc. (meaning contracts on acceptance of Specified Deposits, etc. (meaning those that are specified by Cabinet Office Ordinance as deposits or Installment Savings, etc. with the risk of a principal loss caused by fluctuations pertaining to the interest rate, currency value, quotations on a financial instruments market prescribed in Article 2, paragraph (14) of that Act, or any other index); the same shall apply hereinafter) by a Bank. In this case, the term "Contract for a Financial Instruments Transaction" in these provisions shall be deemed to be replaced with "Contract for a Specified Deposit, etc."; the term "Financial Instruments Services" in these provisions shall be deemed to be replaced with "Concluding Contracts for Specified Deposits, etc."; the term "Act of Executing a Financial Instruments Transaction" in these provisions (excluding the provisions of Article 34 of that Act) shall be deemed to be replaced with "Conclusion of Contracts for Specified Deposits, etc."; the phrase "contract to conduct the Act of Financial Instruments Transactions (meaning an act listed in the items of Article 2, paragraph (8); the same shall apply hereinafter) with a customer as the other party or on behalf of a customer" in Article 34 of that Act shall be deemed to be replaced with "Contracts for Specified Deposits, etc. as Prescribed in Article 13-4 of the Banking Act"; the phrase "; provided" in Article 37-3, paragraph (1) of that Act shall be deemed to be replaced with "and shall, in order to contribute to the protection of Depositors, etc. (meaning Depositors, etc. prescribed in Article 2, paragraph (5) of the Banking Act; hereinafter the same shall apply in this paragraph), provide the customer with information on the contents of the Contract for a Specified Deposit, etc. and other information that would be helpful for the Depositors, etc. in advance, pursuant to the provisions of Cabinet Office Ordinance; provided"; the phrase "purchase and sale or other transaction of Securities (excluding a purchase and sale on condition of repurchase for which the repurchase price is set in advance and other transactions specified by Cabinet Order) or Derivative Transactions (hereinafter referred to as the "Purchase and Sale or Other Transaction of Securities, etc." in this Article)" in Article 39, paragraph (1), item (i) of that Act shall be deemed to be replaced with "conclusion of Contracts for Specified Deposits, etc."; the phrase "Securities or Derivative Transactions (hereinafter collectively referred to as "Securities, etc." in this Article)" in that item shall be deemed to be replaced with "Contracts for Specified Deposits, etc."; the phrase "customer (in cases where a Trust Company, etc. (meaning a trust company or financial institution that has obtained authorization under Article 1, paragraph (1) of the Act on Engagement in Trust Business by a Financial Institution; the same shall apply hereinafter) conducts the purchase and sale of Securities or Derivative Transactions on the account of the person who establishes a trust under a trust contract, including such person who establishes the trust; hereinafter the same shall apply in this Article)" in that item shall be deemed to be replaced with "Customers"; the phrase "make up for" in that item shall be deemed to be replaced with "make up for, outside that Contract for a Specified Deposit, etc."; the term "Purchase and Sale or Other Transaction of Securities, etc." in Article 39, paragraph (1), items (ii) and (iii) of that Act shall be deemed to be replaced with "Conclusion of Contracts for Specified Deposits, etc."; the term "Securities, etc." in those items shall be deemed to be replaced with "Contracts for Specified Deposits, etc."; the phrase "make an addition to" in item (ii) of that paragraph shall be deemed to be replaced with "make an addition to, outside that Contract for a Specified Deposit, etc."; the term "make an addition to" in item (iii) of that paragraph shall be deemed to be replaced with "make an addition to, outside that Contract for a Specified Deposit, etc."; the term "Purchase and Sale or Other Transaction of Securities, etc." in paragraph (2) of that Article shall be deemed to be replaced with "Conclusion of Contracts for Specified Deposits, etc."; the phrase "that is specified by Cabinet Office Ordinance as a potential cause of" in paragraph (3) of that Article shall be deemed to be replaced with "that may be a potential cause of"; the phrase "Articles 37-2 to 37-6 inclusive, Article 40-2, paragraph (4), and Article 43-4" in Article 45, item (ii) of that Act shall be deemed to be replaced with "Article 37-3 (limited to the part pertaining to delivery of a document set forth in paragraph (1) and excluding items (ii) and (vi) of that paragraph and paragraph (3)), Article 37-4 and Article 37-6"; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
第十三条の四 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（特定投資家が特定投資家以外の顧客とみなされる場合）並びに第三十四条の三第五項及び第六項（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（第三十五条から第三十六条の四まで（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、顧客に対する誠実義務、標識の掲示、名義貸しの禁止、社債の管理の禁止等）、第三十七条第一項第二号（広告等の規制）、第三十七条の二（取引態様の事前明示義務）、第三十七条の三第一項第二号及び第六号並びに第三項（契約締結前の書面の交付）、第三十七条の五（保証金の受領に係る書面の交付）、第三十七条の七（指定紛争解決機関との契約締結義務等）、第三十八条第一号及び第二号並びに第三十八条の二（禁止行為）、第三十九条第三項ただし書及び第五項（損失補てん等の禁止）並びに第四十条の二から第四十条の五まで（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、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）を除く。）（通則）及び第四十五条（第三号及び第四号を除く。）（雑則）の規定は、銀行が行う特定預金等契約（特定預金等（金利、通貨の価格、同法第二条第十四項に規定する金融商品市場における相場その他の指標に係る変動によりその元本について損失が生ずるおそれがある預金又は定期積金等として内閣府令で定めるものをいう。）の受入れを内容とする契約をいう。以下同じ。）の締結について準用する。この場合において、これらの規定中「金融商品取引契約」とあるのは「特定預金等契約」と、「金融商品取引業」とあるのは「特定預金等契約の締結の業務」と、これらの規定（同法第三十四条の規定を除く。）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、同法第三十四条中「顧客を相手方とし、又は顧客のために金融商品取引行為（第二条第八項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」とあるのは「銀行法第十三条の四に規定する特定預金等契約」と、同法第三十七条の三第一項中「交付しなければならない」とあるのは「交付するほか、預金者等（銀行法第二条第五項に規定する預金者等をいう。以下この項において同じ。）の保護に資するため、内閣府令で定めるところにより、当該特定預金等契約の内容その他預金者等に参考となるべき情報の提供を行わなければならない」と、同法第三十九条第一項第一号中「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（以下この条において「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（以下この条において「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（信託会社又は金融機関の信託業務の兼営等に関する法律第一条第一項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。以下この条において同じ。）」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、同項第二号及び第三号中「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、「有価証券等」とあるのは「特定預金等契約」と、同項第二号中「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、同項第三号中「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、同条第二項中「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、同条第三項中「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、同法第四十五条第二号中「第三十七条の二から第三十七条の六まで、第四十条の二第四項及び第四十三条の四」とあるのは「第三十七条の三（第一項の書面の交付に係る部分に限り、同項第二号及び第六号並びに第三項を除く。）、第三十七条の四及び第三十七条の六」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。 - 日本法令外国語訳データベースシステム - Article 186 In the case where a cooperative engaged in mutual aid activities (which means a cooperative prescribed in Article 3 of the Small and Medium-Sized Enterprise Cooperatives Act after the revision under the provisions of Article 10 [hereinafter referred to as the "New Small and Medium-Sized Enterprise Cooperatives Act" in this Article] engaged in mutual aid activities prescribed in Article 9-2, paragraph (7) of the New Small and Medium-Sized Enterprise Cooperatives Act) has received an offer for a specified mutual aid contract (which means a specific mutual aid contract prescribed in Article 9-7-5, paragraph (3) of the New Small and Medium-Sized Enterprise Cooperatives Act) from a user (limited to a person set forth in Article 2, paragraph (31), item (iv) of the New Small and Medium-Sized Enterprise Cooperatives Act) for the first time since the enforcement of this Act, if it has, prior to the enforcement of this Act, notified said user in accordance with Article 34 of the New Financial Instruments and Exchange Act as applied mutatis mutandis in Article 9-7-5, paragraph (3) of the New Small and Medium-Sized Enterprise Cooperatives Act that he/she may make a offer under the provisions of Article 34-2, paragraph (1) of the New Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 9-7-5, paragraph (3) of the New Small and Medium-Sized Enterprise Cooperatives Act (including the case where it is applied mutatis mutandis pursuant to Article 9-9, paragraph (5) or paragraph (8) of the New Small and Medium-Sized Enterprise Cooperatives Act; hereinafter the same shall apply in this Article) after the enforcement of this Act, it shall be deemed to have given the notice prescribed in Article 34 of the New Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 9-7-5, paragraph (3) of the New Small and Medium-Sized Enterprise Cooperatives Act to said user.
第百八十六条 共済事業を行う組合（第十条の規定による改正後の中小企業等協同組合法（以下この条において「新中小企業等協同組合法」という。）第九条の二第七項に規定する共済事業を行う新中小企業等協同組合法第三条に規定する組合をいう。）は、この法律の施行後最初に特定共済契約（新中小企業等協同組合法第九条の七の五第三項に規定する特定共済契約をいう。）の申込みを利用者（新金融商品取引法第二条第三十一項第四号に掲げる者に限る。）から受けた場合であって、この法律の施行前に、当該利用者に対し、この法律の施行後に当該利用者が新中小企業等協同組合法第九条の七の五第三項（新中小企業等協同組合法第九条の九第五項又は第八項において準用する場合を含む。以下この条において同じ。）において準用する新金融商品取引法第三十四条の二第一項の規定による申出ができる旨を新中小企業等協同組合法第九条の七の五第三項において準用する新金融商品取引法第三十四条の例により告知しているときには、当該利用者に対し、新中小企業等協同組合法第九条の七の五第三項において準用する新金融商品取引法第三十四条に規定する告知をしたものとみなす。 - 日本法令外国語訳データベースシステム - (3) A Financial Instruments Exchange and an Authorized Financial Instruments Firms Association specified by the Cabinet Order shall, pursuant to the provisions of a Cabinet Office Ordinance, keep copies of the documents submitted under Article 6 (including the cases where it is applied mutatis mutandis pursuant to Article 12, 23-12(1), Article 24(7), Article 24-2(3), Article 24-4-2(5) (including the cases where it is applied mutatis mutandis pursuant to Article 24-4-8(1) and Article 24-5-2(1)), Article 24-4-3(2) (including the cases where it is applied mutatis mutandis pursuant to Article 24-4-8(2) and Article 24-5-2(2)), Article 24-4-4(5), Article 24-4-5(2), Article 24-4-7(5), Article 24-5(6) and Article 24-6(3); the same shall apply in paragraph (5)) and paragraph (4) of the preceding Article at their office and make copies of these documents listed in the items of paragraph (1) available for public inspection for the period from the day when the copies of these documents are submitted to the day when the period specified in the respective items is elapsed.
３ 金融商品取引所及び政令で定める認可金融商品取引業協会は、第六条（第十二条、第二十三条の十二第一項、第二十四条第七項、第二十四条の二第三項、第二十四条の四の二第五項（第二十四条の四の八第一項及び第二十四条の五の二第一項において準用する場合を含む。）、第二十四条の四の三第二項（第二十四条の四の八第二項及び第二十四条の五の二第二項において準用する場合を含む。）、第二十四条の四の四第五項、第二十四条の四の五第二項、第二十四条の四の七第五項、第二十四条の五第六項及び第二十四条の六第三項において準用する場合を含む。第五項において同じ。）及び前条第四項の規定により提出された第一項各号に掲げる書類の写しを、内閣府令で定めるところにより、その事務所に備え置き、これらの書類の写しの提出があつた日から当該各号に掲げる期間を経過する日までの間、公衆の縦覧に供しなければならない。 - 日本法令外国語訳データベースシステム - As a result of the crisis that started with the Greek sovereign debt risk, the conditions of currencies and finance have become unstable around the world, so exchange rate movements have been very volatile. That considerably affects currency-select-type funds that involve complex exchange risk. Therefore, as a priority supervisory issue, we have instructed financial instruments business operators to provide appropriate explanations suited to the nature and risk profile of products from the standpoint of customers.
やはりヨーロッパのギリシャのソブリンリスクに始まって、非常に今、通貨の状態、あるいは金融状態が全世界的に不安定ですから、そういった意味で、為替が非常に変動しておりますので、そういったことを含めて、複雑な為替リスクを伴う通貨選択型ファンド、こういったことは非常に影響を受けますので、そういったことで顧客目線に立って、商品特性、リスク特性に応じた適切なきちんとした説明をしっかり行いなさいということを、ご存じのように、監督上の重要（項目）として位置づけたということです。 - 金融庁 - The World Resource Communication Co., Ltd. was in the news broadcast by NHK and commercial TV stations today. In actual fact, the Kanto Local Finance Bureau summoned a representative of World Resource Communication Co., Ltd. at 8:45 a.m. today, and issued a letter of warning to the party concerned effective today, on the grounds that such an act is deemed to correspond to the public offering of securities without giving notification, which is prohibited under the Financial Instruments and Exchange Act. I have been informed that a statement to that effect is to be posted on the website today, to make it widely known among investors and the general public.
ワールド・リソースコミュニケーション（株）については、本日NHKや民放で放送していましたけれども、実は今朝8時45分に関東財務局がこのワールド・リソースコミュニケーション（株）の方を呼びまして、当行為は金融商品取引法上禁止されている無届けの有価証券の募集に該当すると認められることから、本日付で関東財務局より当事者に対して警告書を発したところでございまして、本日、その旨をホームページにも掲載し、投資者等の周知を図る予定と聞いております。 - 金融庁 - to apply the laws and regulations with regard to industrial property, the Register of Commerce and Companies and the Directory of Trades; to that end, the Institute shall be responsible for receiving the filing of applications for industrial property titles or titles ancillary to industrial property and for monitoring their maintenance; it shall centralize the Register of Commerce and Companies, the Directory of Trades and the Official Bulletin of Civil and Commercial Announcements; it shall disseminate the technical, commercial and financial information contained in industrial property titles and centralized instruments of statutory publication
工業所有権，商業・会社登録簿及び職種登録簿に関して法律及び規則を適用すること。この目的のために，同庁は，工業所有権を求め又は工業所有権に付随する権原を求める出願・申請の受領，及びその維持の監督に責任を有する。同庁は，商業・会社登録簿，職種登録簿，並びに民事・商事告示公報を集中管理する。同庁は，工業所有権及び法定公表の集中管理された証書に含まれている技術的，商業的及び財務的情報を広める - 特許庁 - (ii) In cases where the value specified or recorded in the articles of incorporation with respect to the Properties Contributed in Kind that are Securities (meaning the securities provided for in paragraph (1) of Article 2 of the Financial Instruments and Exchange Act (Act No. 25 of 1948), including rights deemed to be securities pursuant to the provisions of paragraph (2) of such Article. The same shall apply hereinafter.) with a market price does not exceed the value calculated by the method prescribed by the applicable Ordinance of the Ministry of Justice as the market price of such Securities: Matters listed in item (i) and item (ii) of Article 28 with respect to such Securities;
二 現物出資財産等のうち、市場価格のある有価証券（金融商品取引法（昭和二十三年法律第二十五号）第二条第一項に規定する有価証券をいい、同条第二項の規定により有価証券とみなされる権利を含む。以下同じ。）について定款に記載され、又は記録された価額が当該有価証券の市場価格として法務省令で定める方法により算定されるものを超えない場合 当該有価証券についての第二十八条第一号又は第二号に掲げる事項 - 日本法令外国語訳データベースシステム - (2) In cases where the number of the shareholders (excluding shareholders who may not exercise their votes on all matters which may be resolved at a shareholders meetings. The same shall apply in the next Article to Article 302 inclusive) is one thousand or more, the directors shall decide the matters listed in item (iii) of the preceding paragraph; provided, however, that this shall not apply to the cases where such Stock Company is a Stock Company which issues the shares provided for in Article 2(16) of the Financial Instruments and Exchange Act and is an entity prescribed by the applicable Ordinance of the Ministry of Justice.
２ 取締役は、株主（株主総会において決議をすることができる事項の全部につき議決権を行使することができない株主を除く。次条から第三百二条までにおいて同じ。）の数が千人以上である場合には、前項第三号に掲げる事項を定めなければならない。ただし、当該株式会社が金融商品取引法第二条第十六項に規定する証券取引所に上場されている株式を発行している株式会社であって法務省令で定めるものである場合は、この限りでない。 - 日本法令外国語訳データベースシステム - (5) Notwithstanding the provision of paragraph (2), when the Holding Ratio of Share Certificates, etc. of a Financial Instruments Business Operator, bank or any other person specified by a Cabinet Office Ordinance which is set forth in paragraph (1) has increased by 1% or more after the submission of the Report of Possession of Large Volume under the same paragraph or the Change Report under paragraph (2), and when any of said persons intends to conduct an Act of Making Important Suggestions, etc. within the period specified by a Cabinet Order from the date of said increase, such person shall submit to the Prime Minister a Change Report under the same paragraph by five days prior to the date of such Act of Making Important Suggestions, etc., pursuant to the provisions of a Cabinet Office Ordinance.
５ 第二項の規定にかかわらず、第一項に規定する金融商品取引業者、銀行その他の内閣府令で定める者は、同項の大量保有報告書又は第二項の変更報告書を提出した後に株券等保有割合が百分の一以上増加した場合であつて、当該増加した日から政令で定める期間内に重要提案行為等を行うときは、その五日前までに、内閣府令で定めるところにより、同項の変更報告書を内閣総理大臣に提出しなければならない。 - 日本法令外国語訳データベースシステム - (3) When a Financial Instruments Business Operator concludes a contract in which the operator promises that a deposit for operation required for the operator will be deposited in according with the order of the Prime Minister, and has notified to that effect to the Prime Minister, pursuant to the provisions of a Cabinet Order, he/she shall not have to deposit all or part of the deposit for operation set forth in paragraph (1) with regard to the amount of money to be deposited under said contract (hereinafter referred to as the "Contract Amount" in this Article) limited to the period during which said contract remains in force.
３ 金融商品取引業者は、政令で定めるところにより、当該金融商品取引業者のために所要の営業保証金が内閣総理大臣の命令に応じて供託される旨の契約を締結し、その旨を内閣総理大臣に届け出たときは、当該契約の効力の存する間、当該契約において供託されることとなつている金額（以下この条において「契約金額」という。）につき第一項の営業保証金の全部又は一部の供託をしないことができる。 - 日本法令外国語訳データベースシステム - (3) When a Financial Instruments Business Operator, etc. accepts a request under the provisions of the preceding paragraph, he/she shall deliver a document containing the following matters in advance to the Professional Investor who submitted the request under paragraph (1) (hereinafter referred to an "Applicant" in this Article). In this case, the Expiration Date provided by item (ii) shall be the day when one year has passed since the Date of Acceptance provided by item (i) (or the day specified by a Cabinet Office Ordinance which shall not be on or later than the day when one year has passed since the Date of Acceptance):
３ 金融商品取引業者等は、前項の規定により承諾する場合には、第一項の規定による申出をした特定投資家（以下この条において「申出者」という。）に対し、あらかじめ、次に掲げる事項を記載した書面を交付しなければならない。この場合において、第二号に規定する期限日は、第一号に規定する承諾日から起算して一年を経過する日（内閣府令で定める場合にあつては、当該経過する日前で内閣府令で定める日）としなければならない。 - 日本法令外国語訳データベースシステム - (9) Where a Financial Instruments Business Operator, etc. has received an application for a Subject Contract from an Applicant for the first time after the Expiration Date and has not received a request under paragraph (1) for the Kind of Contract to which the Subject Contract belongs (referred to as the "Request for Renewal" in the following paragraph) on or after the Date of Acceptance, he/she shall notify the Applicant that the Applicant will be treated as a Professional Investor with regard to the Subject Contract by the time when he/she concludes the Subject Contract pertaining to said application.
９ 金融商品取引業者等は、期限日後最初に対象契約の申込みを申出者から受けた場合であつて、承諾日以後において対象契約の属する契約の種類に係る第一項の規定による申出（次項において「更新申出」という。）を当該申出者から受けていない場合には、当該申込みに係る対象契約を締結するまでに、当該申出者に対し、対象契約に関して当該申出者を特定投資家として取り扱うこととなる旨を告知しなければならない。 - 日本法令外国語訳データベースシステム - (4) The provisions of paragraphs (2) to (7) of the preceding Article shall apply mutatis mutandis to cases where a Financial Instruments Business Operator, etc. accepts a request under paragraph (1). In this case, the term "the juridical person who submitted the request" in Article 34-3(2) shall be deemed to be replaced with "the Applicant under paragraph (2) of the following Article,"; the term "the acceptance under paragraph (2)" in Article 34-3(4) shall be deemed to be replaced with "the delivery of a document and the confirmation under paragraph (2) of the following Article and the acceptance under paragraph (2),"; and the term "paragraph (1)" in Article 34-3(7) shall be deemed to be replaced with "paragraph (1) of the following Article."
４ 前条第二項から第七項までの規定は、金融商品取引業者等が第一項の規定による申出を承諾する場合について準用する。この場合において、同条第二項中「当該申出をした法人」とあるのは「次条第二項に規定する申出者」と、同条第四項中「第二項の規定による承諾」とあるのは「次条第二項の規定による書面の交付及び確認並びに第二項の規定による承諾」と、同条第七項中「第一項」とあるのは「次条第一項」と読み替えるものとする。 - 日本法令外国語訳データベースシステム - Article 46-6 (1) A Financial Instruments Business Operator shall calculate the ratio of the total sum of the stated capital, reserve fund, and other amount specified by a Cabinet Office Ordinance after deduction of the total sum of the fixed assets and any others specified by a Cabinet Office Ordinance, to the total sum of the amount specified by a Cabinet Office Ordinance as the amount for covering possible risks which may accrue due to the fluctuation of prices of the Securities held or other reasons (hereinafter referred to as the "Capital-to-Risk Ratio"), and notify it to the Prime Minister at the end of each month and in the cases specified by a Cabinet Office Ordinance.
第四十六条の六 金融商品取引業者は、資本金、準備金その他の内閣府令で定めるものの額の合計額から固定資産その他の内閣府令で定めるものの額の合計額を控除した額の、保有する有価証券の価格の変動その他の理由により発生し得る危険に対応する額として内閣府令で定めるものの合計額に対する比率（以下「自己資本規制比率」という。）を算出し、毎月末及び内閣府令で定める場合に、内閣総理大臣に届け出なければならない。 - 日本法令外国語訳データベースシステム - (3) A juridical person established under the laws and regulations of a foreign state which is engaged in the Investment Management Business in Japan (limited to the business to perform the act listed in Article 2(8)(xv)) (excluding persons registered under Article 29) may, notwithstanding the provision of the same Article, perform the Investment Management Business (limited to the business specified in Article 2(8)(xv)) only for a Financial Instruments Business Operator engaged in the Investment Management Business or for other persons specified by a Cabinet Order. In this case, the provision of Article 63(2) shall not apply.
３ 外国の法令に準拠して設立された法人で外国において投資運用業（第二条第八項第十五号に掲げる行為を行う業務に限る。）を行う者（第二十九条の登録を受けた者を除く。）は、同条の規定にかかわらず、金融商品取引業者のうち投資運用業を行う者その他政令で定める者のみを相手方として投資運用業（同号に掲げる行為を行う業務に限る。）を行うことができる。この場合において、第六十三条第二項の規定は、適用しない。 - 日本法令外国語訳データベースシステム - (2) An Internal Control Report which shall be submitted pursuant to the provisions of Article 24-4-4 by an issuer company of Securities listed on a Financial Instruments Exchange or any other person specified by a Cabinet Order shall require an audit certification by a certified public accountant or audit firm that has no special interest in said company or person; provided, however, that this shall not apply to cases where said company or person has obtained an approval from the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance as cases where omission of an audit certification will not impair the public interest or protection of investors.
２ 金融商品取引所に上場されている有価証券の発行会社その他の者で政令で定めるものが、第二十四条の四の四の規定に基づき提出する内部統制報告書には、その者と特別の利害関係のない公認会計士又は監査法人の監査証明を受けなければならない。ただし、監査証明を受けなくても公益又は投資者保護に欠けることがないものとして内閣府令で定めるところにより内閣総理大臣の承認を受けた場合は、この限りでない。 - 日本法令外国語訳データベースシステム - Article 269 (1) The term "General Customer" as used in this Chapter shall mean a person who has consigned a Transaction on a Commodity Market, etc. (excluding a Commodity Clearing Transaction; the same shall apply in this paragraph) to a Futures Commission Merchant (excluding a Futures Commission Merchant, a qualified institutional investor under Article 2, paragraph (3), item (i) of the Financial Instruments and Exchange Act, a commodities investment advisor under Article 2, paragraph (4) of the Act on Regulation of Business Pertaining to Commodity Investment [Act No. 66 of 1991] and any other person specified by a Cabinet Order).
第二百六十九条 この章において「一般委託者」とは、商品取引員に対し商品市場における取引等（商品清算取引を除く。次項において同じ。）を委託した者（商品取引員、金融商品取引法第二条第三項第一号に規定する適格機関投資家、商品投資に係る事業の規制に関する法律（平成三年法律第六十六号）第二条第四項に規定する商品投資顧問業者その他の政令で定める者を除く。）をいう。 - 日本法令外国語訳データベースシステム - shall register the following matters in a registry of Financial Instruments Business Operators, except when he/she refuses the registration under the provisions of paragraph (1) of the following Article. In this case, when the person who intends to obtain the registration set forth in Article 29 intends to conduct Specified Investment Management Activities in the course of business, the Prime Minister shall, in advance, hear the opinions of the Minister of Land, Infrastructure, Transport and Tourism or another head of an administrative organ specified by a Cabinet Order which is found to be related thereto, with regard to whether or not the person is a person who has a personnel structure sufficient to carry out the business of conducting said Specified Investment Management Activities in an appropriate manner, taking into consideration the contents and method of said business:
登録しなければならない。この場合において、内閣総理大臣は、第二十九条の登録を受けようとする者が業として特定投資運用行為を行おうとするときは、あらかじめ、その者が当該特定投資運用行為を行う業務を適確に遂行するに足りる人的構成を有する者であるかどうかにつき、当該業務の内容及び方法を勘案して関係があると認められる国土交通大臣その他の政令で定める行政機関の長の意見を聴くものとする - 日本法令外国語訳データベースシステム - (i) A person who has failed to appear or make a statement, who has made a false statement, who has failed to submit opinions or reports, or who has submitted false opinions or reports, in violation of the dispositions for the persons concerned or witnesses under Article 187, item (i) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 26, paragraph (7) (including the cases where it is applied mutatis mutandis pursuant to Article 54, paragraph (1)), Article 60, paragraph (3), Article 219, paragraph (3) or Article 223, paragraph (3);
一 第二十六条第七項（第五十四条第一項において準用する場合を含む。）、第六十条第三項、第二百十九条第三項又は第二百二十三条第三項において準用する金融商品取引法第百八十七条第一号の規定による関係人又は参考人に対する処分に違反して、出頭せず、陳述をせず、若しくは虚偽の陳述をし、又は意見若しくは報告を提出せず、若しくは虚偽の意見若しくは報告を提出した者 - 日本法令外国語訳データベースシステム - (ii) rights based on a contract under which Business Associates of a company that issues share certificates (meaning persons who are designated by said company as business associates of said company; hereinafter the same shall apply in this item) promise to purchase (limited to purchases made through applying for intermediation, brokerage or agency to a Financial Instruments Specialist) the share certificates of said company on a continual basis, jointly with the other Business Associates of said company, according to a certain plan, without depending on an individual investment decision (limited to a contract wherein each Business Associate is to contribute less than one million yen on each occasion).
二 株券の発行者である会社の取引関係者（当該会社の指定する当該会社と取引関係にある者をいう。以下この号において同じ。）が当該会社の他の取引関係者と共同して当該会社の株券の買付け（金融商品取引業者に媒介、取次ぎ又は代理の申込みをして行うものに限る。）を、一定の計画に従い、個別の投資判断に基づかず、継続的に行うことを約する契約（各取引関係者の一回当たりの拠出金額が百万円に満たないものに限る。）に基づく権利 - 日本法令外国語訳データベースシステム - (x) the acts which are listed in Article 2, paragraph (8), item (xv) of the Act, and in which a person who conducts said act (hereinafter referred to as a "Subject Person" in this item) concludes a Discretionary Investment Contract with a Financial Instruments Specialist, etc., and entrusts all of his/her authority to make investments on behalf of the person entitled to the rights under sub-items (a) to (c) inclusive of item (xv) of that paragraph (such a person is hereinafter referred to as the "Subject Rights Holder" in this item, and such rights are hereinafter referred to as the "Subject Rights" in this item), based on said Discretionary Investment Contract, in which case all of the requirements listed the following sub-items are met:
十 法第二条第八項第十五号に掲げる行為のうち、当該行為を行う者（以下この号において「対象行為者」という。）が金融商品取引業者等との間で投資一任契約を締結し、当該契約に基づき、当該行為に係る同項第十五号イからハまでに掲げる権利（以下この号において「対象権利」という。）を有する者（以下この号において「対象権利者」という。）のため運用を行う権限の全部を委託するものであって、次に掲げる要件のすべてに該当するもの - 日本法令外国語訳データベースシステム - (ix) transactions listed in Article 2, paragraph (22), item (iii) or (iv) of the Act: the party to grant and the party to acquire the Options, the contents of the transaction to be effected by the exercise of the Options (in the case of a transaction listed in Article 2, paragraph (22) item (iii), sub-item (a) of the Act, meaning information as to whether the type of transaction is a sale or purchase, the issues of the Financial Instruments, the volumes or amounts, prices and the date of delivery; and in the case of a transaction listed in sub-item (b) of that item, meaning the matters prescribed in the preceding two items, the following item or item (xi)), the amount of the consideration for the Options and the date of delivery;
九 法第二条第二十二項第三号又は第四号に掲げる取引 オプションを付与する立場の当事者となるか又は取得する立場の当事者となるかの別、オプションの行使により成立する取引の内容（法第二条第二十二項第三号イに掲げる取引にあっては、売買の別、金融商品の銘柄、数又は金額、価格及び受渡日をいい、同号ロに掲げる取引にあっては、前二号、次号又は第十一号に規定する事項をいう。）、オプションの対価の額及び受渡日 - 日本法令外国語訳データベースシステム - (2) The provisions of Article 217 to Article 219 inclusive shall apply mutatis mutandis to Specified Transferors handling Public Offerings, etc. of Asset-Backed Securities. In this case the phrases "this Act" and "business or property thereof" in Article 217(1) shall be deemed to be replaced with "this Act or the provisions of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 209(1)" and "handling the Public Offering, etc. of Asset-Backed Securities," respectively, and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
２ 第二百十七条から第二百十九条までの規定は、資産対応証券の募集等の取扱いを行う特定譲渡人について準用する。この場合において、第二百十七条第一項中「この法律」とあるのは「この法律又は第二百九条第一項において準用する金融商品取引法の規定」と、「その業務若しくは財産」とあるのは「その資産対応証券の募集等の取扱い」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。 - 日本法令外国語訳データベースシステム - (2) In cases where Financial Instruments Business Operators, etc., who have received business improvement orders based on Article 51 and 51-2 of the FIEA are required to submit reports on the implementation of their business improvement plans continuously without any set timeframe, the requirement shall be removed when it is recognized that sufficient improvement measures have been taken in line with their business improvement plans with regard to the problems that constituted the basis of the issuance of the orders.
（２）金商法第51条又は金商法第51条の２の規定に基づき業務改善命令を発出している金融商品取引業者等に対して、当該業者の提出した業務改善計画の履行状況について、期限を定めることなく継続的に報告を求めている場合には、業務改善命令を発出する要因となった問題に関して、業務改善計画に沿って十分な改善措置が講じられたと認められるときには、当該計画の履行状況の報告義務を解除するものとする。 - 金融庁 - B. Regarding customers who are deemed to require direct contact in order to check the contents of their transactions, whether the Financial Instruments Business Operator strives to identify the actual transaction status by appropriately, for example, having a sales division manager (this should be a person other than the employee in charge of handling the said customers but may be the manager in charge of internal control or the head of a division, a branch office or a person with a similar status; the same shall apply hereafter) conduct an interview with the said customers in a timely and appropriate manner.
ロ．取引実態の把握において、取引内容を直接顧客に確認する必要があると判断した顧客については、例えば各営業部門における管理責任者等（担当者以外の責任者で内部管理責任者、部店長等を含む。以下同じ。）による顧客面談等を適時・適切に実施し、取引実態の的確な把握に努めているか。また、契約締結以降も、長期にわたって取引が継続するデリバティブ取引等の実態の把握について、同様の取組みをしているか。 - 金融庁 - In particular, whether it avoids providing explanations that could lead customers to erroneously believe that the principal is guaranteed; whether the Financial Instruments Business Operator, in connection with transactions of derivatives, avoids providing explanations that could lead customers to erroneously believe, despite the possibility of the risk of a call for additional margin (referring to additional deposits that must be made when the total existing deposits have fallen short of the required level; the same shall apply hereinafter) due to the fluctuations of prices, that such risk rarely exists or that the amount of additional margin to be required is very small compared with the actual product features.
特に、金融商品取引業者等によって元本が保証されているとの誤解を与えるおそれのある説明をしていないか。また、デリバティブ取引等について、相場の変動等により追証（顧客が預託する保証金の総額が必要額より不足した場合に追加しなくてはならない保証金をいう。以下同じ。）が発生するおそれがあるにも関わらず、そのおそれが著しく少ない又は追証の額が実際の商品性に比して著しく小さいとの誤解を与えるおそれのある説明をしていないか。 - 金融庁 - When Financial Instruments Business Operators have announced plans to integrate computer systems as part of planned mergers and other management restructuring moves, they shall be required, as necessary, to submit specific plans for smoothly implementing the system integration, including the schedules and timetables, and documents regarding the internal control environment for managing information technology risk (including internal audits) and other matters, as well as to continue periodically submitting reports based on Article 56-2(1) of the FIEA until the integration is completed.
金融商品取引業者が、合併等の経営再編に伴いシステム統合等を公表したとき、又はシステム統合等を公表した場合には、必要に応じて、システム統合に向けたスケジュール等及びその進捗状況について、システム統合等を円滑に実施するための具体的な計画、システム統合リスクに係る内部管理態勢（内部監査を含む。）、その他の事項について資料の提出を求めるとともに、合併等の公表後から当該システム統合完了までの間、金商法第56条の２第１項の規定に基づく報告を定期的に求めるものとする。 - 金融庁 - (i) A Director-General of the Finance Bureau who has received a notification of change in the location of head office, etc., to an area beyond his/her jurisdiction shall send the necessary documents to a Director-General of the Finance Bureau who will process the new registration; such necessary documents include the relevant sections of the notification of change and the registry of Financial Instruments Business Operators prescribed in Article 20(2) of the FIB Cabinet Office Ordinance together with other documents, including the copy of the application for registration, other attached documents, and a report of the most recent inspection.
① 財務局の管轄区域を越える本店等の位置を変更した届出書を受理した財務局長は、金商業等府令第20条第２項に規定する当該変更届出書及び金融商品取引業者登録簿のうち当該金融商品取引業者に係る部分と併せてその他の書類として、登録申請書及びその添付書類並びに直前に行った検査の報告書の写しを添付して、新たに登録を行うこととなる財務局長に送付するものとする。 - 金融庁 - (2) When the above notification shows that the Financial Instruments Business Operator’s capital adequacy ratio is below 120%, supervisors shall check the contents of the Plan Regarding Specific Voluntary Measures to Be Taken in Order to Improve the Capital Adequacy Ratio” attached to the notification and, when necessary, identify the specific method with which to bring the capital adequacy ratio back above the prescribed level and the estimated date of the recovery, as well as the status of segregated management of customer assets and fund-raising by, for example, requiring the submission of a report based on Article 56-2(1) of the FIEA.
（２）上記の届出において、自己資本規制比率が120％を下回っている場合は、届出書に添付された「自己資本規制比率の状況を回復させるために自らとるべき具体的措置に関する計画書」を確認するとともに、必要に応じて金商法第56条の２第１項の規定に基づく報告徴求を行う等により、自己資本規制比率回復のための具体的方策及び時期、顧客資産の分別管理の状況、資金繰りの状況を把握し、改善のための努力を促すこととする。 - 金融庁 - A. In calculating the value of the risk equivalent, the Financial Instruments Business Operator should use a coupon rate calculated in a reasonable manner in light of the prevailing rate in the secondary market at the time of the calculation, or use the coupon rate on the most recent government bond with the same maturity and the same issuance format with the relevant government bond (in the case of a government bond whose coupon rate is determined through the formula “standard interest rate . α of the previous bond,” “the most recent standard interest rate . α”) as a provisional coupon rate, and the same calculation method should continue to be used.
イ．リスク相当額の算出に当たっては、算出時点の流通市場における実勢価格を考慮して合理的に算定された利率、又は当該取引の対象となる国債と償還年限及び発行形式が同一である国債の直近発行例における表面利率（利率が「基準金利－α」により決定される国債については、「直近の基準金利－前回債の α」）を、仮の表面利率として利用するものとし、その際、当該計算方法については、継続して使用すること。 - 金融庁 - (ii) When a client has not paid, in part nor in full, the buying price of securities for a consecutive period of one year or more, cancellation shall be effective; provided, however, that this shall not apply to contracts prescribed in the provisions of (7) below which allows purchase of negotiable certificates within one year of the date of previous purchase, solely as the consideration of the fruits of investment in securities or deposit in redemption, when the client has deposited securities to a Financial Instruments Business Operator based on a cumulative investment contract.
② 顧客が有価証券の買付代金の全部又は一部の払込みを引き続き１年を超えて行わなかったときに解約されること。ただし、顧客が累積投資契約に基づいて有価証券を金融商品取引業者に寄託した場合において、当該有価証券の果実又は償還金による預り金のみを対価として前回買付の日より１年以内に有価証券の買付けを行うことができる場合の当該契約及び下記（７）に規定する契約についてはこの限りでないこと。 - 金融庁 - (i) In cases where a discretionary investment business operator concurrently undertakes services unrelated to discretionary investment business and where it receives remuneration related to discretionary investment business and fees related to other services collectively under the same contract, the business operator must separately specify the remuneration related to discretionary investment business and the fees related to other services with regard to the “matters concerning fees, remuneration or any other consideration payable by the customer with regard to said Contract for Financial Instruments Transaction,” as specified under Article 37-3(1)(iv) of the FIEA.
① 投資一任業者が投資一任業に係る業務以外の業務を行う場合で、投資一任業に係る業務の報酬と当該業務以外の業務に係る手数料等を同一契約において一体として徴収するときは、金商法第37条の３第１項第４号の「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関する事項」には、投資一任に係る業務に対する報酬の額と当該業務以外の業務に対する手数料等の額との区分を明確にすること。 - 金融庁 - Article 185-10 The provisions of Article 99, Articles 101 to 103 inclusive, Article 105, Article 106, Article 107, paragraph (1) (excluding items (ii) and (iii)) and paragraph (3), Article 108 and Article 109 of the Code of Civil Procedure shall apply mutatis mutandis to service of documents. In this case, the term "court execution officer" in Article 99(1) of said Code and the term "the court clerk" in Article 107(1) of said Code shall be deemed to be replaced with "an official of the Financial Services Agency"; the term "a presiding judge" in Article 108 of said Code shall be deemed to be replaced with "the Prime Minister or the chief trial examiner (the trial examiner, in cases where the proviso to Article 180(1) of the Financial Instruments and Exchange Act applies)"; and the term "the court" in Article 109 of the same Code shall be deemed to be replaced with "the Prime Minister or the trial examiner."
第百八十五条の十 書類の送達については、民事訴訟法第九十九条、第百一条から第百三条まで、第百五条、第百六条、第百七条第一項（第二号及び第三号を除く。）及び第三項、第百八条並びに第百九条の規定を準用する。この場合において、同法第九十九条第一項中「執行官」とあり、及び同法第百七条第一項中「裁判所書記官」とあるのは「金融庁の職員」と、同法第百八条中「裁判長」とあるのは「内閣総理大臣又は審判長（金融商品取引法第百八十条第一項ただし書の場合にあっては、審判官）」と、同法第百九条中「裁判所」とあるのは「内閣総理大臣又は審判官」と読み替えるものとする。 - 日本法令外国語訳データベースシステム - Article 224-2 Where the Prime Minister establishes a Cabinet Office Ordinance (limited to one specified by a Cabinet Order) or issues an order or other disposition (limited to one specified by a Cabinet Order), or where a notification (limited to one specified by a Cabinet Order) or an application for registration has been filed with the Prime Minister in relation to Real Property and Specified Assets specified by a Cabinet Order pursuant to the provisions of this Act and the provisions of the Financial Instruments and Exchange Act, the Trust Business Act , or the Act on Concurrent Operation of Trust Business by a Financial Institution as applied by replacing terms pursuant to Article 223-3, those matters related to consultation between the Prime Minister and the Minister of Finance or another head of an administrative organ, notices to be given to the Minister of Finance or another head of an administrative organ, and other procedures shall be specified by a Cabinet Order.
第二百二十四条の二 この法律の規定又は第二百二十三条の三の規定により読み替えて適用する金融商品取引法、信託業法若しくは金融機関の信託業務の兼営等に関する法律の規定により、不動産その他の政令で定める特定資産に関し、内閣総理大臣が内閣府令（政令で定めるものに限る。）を定め、若しくは内閣総理大臣が命令その他の処分（政令で定めるものに限る。）を行う場合又は内閣総理大臣に対し届出（政令で定めるものに限る。）若しくは登録の申請があつた場合における国土交通大臣その他の関係行政機関の長との協議、これに対する通知その他の手続については、政令で定める。 - 日本法令外国語訳データベースシステム - (i) The said book-entry transfer local government bonds were held by a nonresident, foreign corporation, any of the domestic corporations listed in Appended Table 1, item (i) of the Income Tax Act or a trustee of a charitable trust, etc., or a financial institution prescribed in Article 8(1) (limited to a domestic corporation), financial instruments business operator, etc. prescribed in Article 8(2) (limited to a domestic corporation) or domestic corporation prescribed in Article 8(3) (in the case of book-entry transfer local government bonds that were held by a nonresident or foreign corporation: limited to those specified by a Cabinet Order; in the case of book-entry transfer local government bonds that were held by a trustee of a charitable trust, etc.: limited to those included in the trust property under the said charitable trust, etc.), and any of those persons held entries or records under the book-entry transfer system regarding the said book-entry transfer local government bonds immediately before the acquisition thereof.
一 非居住者、外国法人、所得税法別表第一第一号に掲げる内国法人若しくは公益信託等の受託者又は第八条第一項に規定する金融機関（内国法人に限る。）、同条第二項に規定する金融商品取引業者等（内国法人に限る。）若しくは同条第三項に規定する内国法人により所有されていた振替地方債（非居住者又は外国法人により所有されていた振替地方債については政令で定めるものに限るものとし、公益信託等の受託者により所有されていた振替地方債については当該公益信託等の信託財産に属していたものに限る。）で、その取得の直前においてこれらの者が振替記載等を受けていたものであること。 - 日本法令外国語訳データベースシステム - (3) The provisions of Article 207, Article 212 (excluding item (i), paragraph (1)), Article 213 (excluding items (i) and (iii) of paragraph (1)), Article 868 (1), Article 870 (limited to the part pertaining to items (ii) and (vii)), Article 871, Article 872 (limited to the part pertaining to item (iv)), Article 874 (limited to the part pertaining to item (i)), Article 875 and Article 876 of the Companies Act shall apply mutatis mutandis to a case where property other than money will be subject to contribution as prescribed in Article 101-9(iii). In this case, the term "Article 199(1)(iii)" in Article 207, paragraph (1) and (7) and items (ii) to (v) inclusive of paragraph (9) and Article 212(1)(ii) and (2) of that Act shall be deemed to be replaced with "Article 101-9(iii) of the Financial Instruments and Exchange Act,"; the term "Ordinance of the Ministry of Justice" in Article 207(4), (6) and (9)(iii) and Article 213(1)(ii) of that Act shall be deemed to be replaced with "a Cabinet Office Ordinance,"; the term "his/her applications for subscription for Shares for Subscription, or his/her manifestation of intention relating to the contract provided for in Article 205" in Article 207(8) and Article 212(2) of that Act shall be deemed to be replaced with "his/her manifestation of intention relating to an application for subscription for Shares for Subscription,"; the term "A director, an accounting advisor, a company auditor or executive officer," in Article 207(10)(i) of that Act shall be deemed to be replaced with "a president, a board member or an auditor of a Membership-Type Financial Instruments Exchange,"; the term "Article 209" in Article 212(1)(ii) of that Act shall be deemed to be replaced with "Article 101-14 of the Financial Instruments and Exchange Act"; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
３ 会社法第二百七条、第二百十二条（第一項第一号を除く。）、第二百十三条（第一項第一号及び第三号を除く。）、第八百六十八条第一項、第八百七十条（第二号及び第七号に係る部分に限る。）、第八百七十一条、第八百七十二条（第四号に係る部分に限る。）、第八百七十四条（第一号に係る部分に限る。）、第八百七十五条及び第八百七十六条の規定は、第百一条の九第三号に規定する金銭以外の財産を出資の目的とする場合について準用する。この場合において、同法第二百七条第一項、第七項及び第九項第二号から第五号まで並びに第二百十二条第一項第二号及び第二項中「第百九十九条第一項第三号」とあるのは「金融商品取引法第百一条の九第三号」と、同法第二百七条第四項、第六項及び第九項第三号並びに第二百十三条第一項第二号中「法務省令」とあるのは「内閣府令」と、同法第二百七条第八項及び第二百十二条第二項中「申込み又は第二百五条の契約」とあるのは「申込み」と、同法第二百七条第十項第一号中「取締役、会計参与、監査役若しくは執行役」とあるのは「会員金融商品取引所の理事長、理事若しくは監事」と、同法第二百十二条第一項第二号中「第二百九条」とあるのは「金融商品取引法第百一条の十四」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。 - 日本法令外国語訳データベースシステム - (2) With regard to the application of the provision of Article 53-2, paragraph (1), item (iii) of the Revised Insurance Business Act (hereinafter referred to as the "Newly Revised Insurance Business Act" in this paragraph) (including the cases where it is applied mutatis mutandis pursuant to Article 53-5, paragraph (1), Article 53-26, paragraph (4) and Article 180-4, paragraph (3) of the Newly Revised Insurance Business Act), pursuant to the provision of Article 18 (limited to the revised provision in Article 53-2, paragraph (1), item (iii) (limited to the segments that revise "Securities and Exchange Act" to "Financial Instruments and Exchange Act", "(xxi) or (xxii)" to "(xx) or (xxi)", "securities company etc." to "Financial Instruments Business Operators etc." and "(xv) or (xvi)" to "(xix) or (xx)"), any person who has violated the provisions of Article197 Article 197-2, items (i) to (x) inclusive or item (xiii), Article 198, item (viii), Article 199, Article 200, items (i) to (xii) inclusive, item (xxi) or (xxii), Article 203, paragraph (3) or Article 205, items (i) to (vi) inclusive, item (xv) or (xvi) of the Former Securities and Exchange Act (including these provisions where the provisions then in force remain applicable pursuant to the provisions of Article 218 of the Supplementary Provisions) and has been punished shall be deemed to have violated the provisions of Article 197, Article 197-2, items (i) to (x) inclusive or item (xiii), Article 198, item (viii), Article199, Article 200, items (i) to (xii) inclusive, item (xx) or (xxi), Article 203, paragraph (3) or Article 205, items (i) to (vi) inclusive, item (xix) or (xx) of the New Financial Instruments and Exchange Act and to have been punished.
２ 第十八条の規定（第五十三条の二第一項第三号の改正規定（「証券取引法」を「金融商品取引法」に、「第二十一号若しくは第二十二号」を「第二十号若しくは第二十一号」に、「証券会社等」を「金融商品取引業者等」に、「第十五号若しくは第十六号」を「第十九号若しくは第二十号」に改める部分に限る。）に限る。）による改正後の保険業法（以下この項において「新々保険業法」という。）第五十三条の二第一項第三号（新々保険業法第五十三条の五第一項、第五十三条の二十六第四項及び第百八十条の四第三項において準用する場合を含む。）の規定の適用については、旧証券取引法第百九十七条、第百九十七条の二第一号から第十号まで若しくは第十三号、第百九十八条第八号、第百九十九条、第二百条第一号から第十二号まで、第二十一号若しくは第二十二号、第二百三条第三項又は第二百五条第一号から第六号まで、第十五号若しくは第十六号の規定（附則第二百十八条の規定によりなお従前の例によることとされる場合におけるこれらの規定を含む。）に違反し、刑に処せられた者は、新金融商品取引法第百九十七条、第百九十七条の二第一号から第十号まで若しくは第十三号、第百九十八条第八号、第百九十九条、第二百条第一号から第十二号まで、第二十号若しくは第二十一号、第二百三条第三項又は第二百五条第一号から第六号まで、第十九号若しくは第二十号の規定に違反し、刑に処せられたものとみなす。 - 日本法令外国語訳データベースシステム - Article 13-4 The provisions of Subsection 5 of Section 1 of Chapter III of the Financial Instruments and Exchange Act (excluding Article 34-2(6) to (8) inclusive (Cases Where a Professional Investor Will be Deemed to be a Customer Other than Professional Investor) and Article 34-3(5) and (6) inclusive (Cases Where a Juridical Person who Is a Customer Other Than Professional Investor Will Be Deemed to Be a Professional Investor)) (Professional Investors), Subsection 1 of Section 2 of that Chapter (excluding Articles 35 to 36-4 inclusive (' Scope of Businesses of Persons Who Engage in Type I Financial Instruments Business or Investment Management Business, Scope of Subsidiary Businesses of Persons Who Only Engage in Type II Financial Instruments Business or Investment Advisory and Agency Business, Duty of Good Faith to Customers, Posting of Signs, Prohibition of Name Lending, and Prohibition of Administration of Bonds), Article 37(1)(ii) (Regulation of Advertising, etc.), Article 37-2 (Obligation to Clarify Conditions of Transactions in Advance), Article 37-3(1)(ii) and (vi) and Article 37-3(3) (Delivery of Document Prior to Conclusion of Contract), Article 37-5 (Delivery of Document Pertaining to Receipt of Security Deposit), Article 38(i) and (ii) and Article 38-2 (Prohibited Acts), the proviso to Article 39(3) and Article 39(5) (Prohibition of Compensation of Loss, etc.), Article 40-2 (Best Execution Policy) and Article 40-3 (Prohibition of Sales and Purchase, etc. Where Separate Management Is not Ensured)) (General Rules) and Article 45 (excluding items (iii) and (iv)) (Miscellaneous Provisions) shall apply mutatis mutandis to conclusion of Contracts for Specified Deposits, etc. (meaning contracts on acceptance of Specified Deposits, etc. (meaning those that are specified by a Cabinet Office Ordinance as deposits or Installment Savings, etc. with the risk of a principal loss caused by fluctuations pertaining to the interest rate, currency value, quotations on a financial instruments market prescribed in Article 2(14) of that Act, or any other index); the same shall apply hereinafter) by a Bank. In this case, the term "Contract for Financial Instruments Transaction" in these provisions shall be deemed to be replaced with "Contract for a Specified Deposit, etc.,"; the term "Financial Instruments Business" shall be deemed to be replaced with "Business of Concluding Contracts for Specified Deposits, etc.,"; the term "Act of Financial Instruments Transaction" in these provisions (excluding the provisions in Article 34 of that Act) shall be deemed to be replaced with "Conclusion of Contracts for Specified Deposits, etc.,"; the phrase "contract to conduct Acts of Financial Instruments Transaction (meaning acts listed in each item of Article 2(8); the same shall apply hereinafter) with a customer as the other party or on behalf of a customer" in Article 34 of that Act shall be deemed to be replaced with "Contracts for Specified Deposits, etc. as Prescribed in Article 13-4 of the Banking Act,"; the phrase "; provided" in Article 37-3(1) of that Act shall be deemed to be replaced with "and shall, in order to contribute to the protection of Depositors, etc. (meaning Depositors, etc. prescribed in Article 2(5) of the Banking Act; hereinafter the same shall apply in this paragraph), provide the customer in advance with information on the contents of the Contract for a Specified Deposit, etc. and other information that would be helpful for the Depositors, etc., pursuant to the provisions of a Cabinet Office Ordinance; provided,"; the phrase "sales and purchase and any other transaction of Securities (excluding sales and purchase on condition of repurchase for which the repurchase price is set in advance and other transactions specified by a Cabinet Order) or of Derivative Transactions (hereinafter referred to as "Sales and Purchase or Other Transaction of Securities, etc." in this Article)" in Article 39(1)(i) of that Act shall be deemed to be replaced with "conclusion of Contracts for Specified Deposits, etc.,"; the phrase "Securities or Derivative Transactions (hereinafter referred to as "Securities, etc." in this Article)" in that item shall be deemed to be replaced with "Contracts for Specified Deposits, etc.,"; the phrase "customer (in the case where a Trust Company, etc. (meaning a trust company or financial institution that has obtained authorization under Article 1(1) of the Act on Provision, etc. of Trust Business by Financial Institutions; the same shall apply hereinafter) conducts sales and purchase of Securities or Derivative Transactions for the account of the person who sets a trust under a trust contract, including that person who sets the trust; hereinafter the same shall apply in this Article)" in that item shall be deemed to be replaced with "Customers,"; the phrase "make up for" in that item shall be deemed to be replaced with "make up, outside that Contract for a Specified Deposit, etc., for,"; the term "Sales and Purchase or Other Transaction of Securities, etc." in items (ii) and (iii) of that paragraph shall be deemed to be replaced with "Conclusion of Contracts for Specified Deposits, etc.,"; the term "Securities, etc." in those items shall be deemed to be replaced with "Contracts for Specified Deposits, etc.,"; the phrase "make an addition to" in item (ii) of that paragraph shall be deemed to be replaced with "make an addition, outside that Contract for a Specified Deposit, etc., to,"; the term "make an addition to" in item (iii) of that paragraph shall be deemed to be replaced with "make an addition, outside that Contract for a Specified Deposit, etc., to,"; the term "Sales and Purchase or Other Transaction of Securities, etc." in paragraph (2) of that Article shall be deemed to be replaced with "Conclusion of Contracts for Specified Deposits, etc.,"; the phrase "that is specified by a Cabinet Office Ordinance as a potential cause of" in paragraph (3) of that Article shall be deemed to be replaced with "that is a potential cause of,"; the phrase "Articles 37-2 to 37-6 inclusive, Article 40-2(4), and Article 43-4" in Article 45(ii) of that Act shall be deemed to be replaced with "Article 37-3 (limited to the part pertaining to delivery of a document set forth in paragraph (1) and excluding items (ii) and (vi) of that paragraph and paragraph (3)), Article 37-4 and Article 37-6,"; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
第十三条の四 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（特定投資家が特定投資家以外の顧客とみなされる場合）並びに第三十四条の三第五項及び第六項（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（第三十五条から第三十六条の四まで（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、顧客に対する誠実義務、標識の掲示、名義貸しの禁止及び社債の管理の禁止等）、第三十七条第一項第二号（広告等の規制）、第三十七条の二（取引態様の事前明示義務）、第三十七条の三第一項第二号及び第六号並びに第三項（契約締結前の書面の交付）、第三十七条の五（保証金の受領に係る書面の交付）、第三十八条第一号及び第二号並びに第三十八条の二（禁止行為）、第三十九条第三項ただし書及び第五項（損失補てん等の禁止）、第四十条の二（最良執行方針等）並びに第四十条の三（分別管理が確保されていない場合の売買等の禁止）を除く。）（通則）及び第四十五条（第三号及び第四号を除く。）（雑則）の規定は、銀行が行う特定預金等契約（特定預金等（金利、通貨の価格、同法第二条第十四項に規定する金融商品市場における相場その他の指標に係る変動によりその元本について損失が生ずるおそれがある預金又は定期積金等として内閣府令で定めるものをいう。）の受入れを内容とする契約をいう。以下同じ。）の締結について準用する。この場合において、これらの規定中「金融商品取引契約」とあるのは「特定預金等契約」と、「金融商品取引業」とあるのは「特定預金等契約の締結の業務」と、これらの規定（同法第三十四条の規定を除く。）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、同法第三十四条中「顧客を相手方とし、又は顧客のために金融商品取引行為（第二条第八項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」とあるのは「銀行法第十三条の四に規定する特定預金等契約」と、同法第三十七条の三第一項中「交付しなければならない」とあるのは「交付するほか、預金者等（銀行法第二条第五項に規定する預金者等をいう。以下この項において同じ。）の保護に資するため、内閣府令で定めるところにより、当該特定預金等契約の内容その他預金者等に参考となるべき情報の提供を行わなければならない」と、同法第三十九条第一項第一号中「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（以下この条において「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（以下この条において「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（信託会社又は金融機関の信託業務の兼営等に関する法律第一条第一項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。以下この条において同じ。）」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、同項第二号及び第三号中「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、「有価証券等」とあるのは「特定預金等契約」と、同項第二号中「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、同項第三号中「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、同条第二項中「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、同条第三項中「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、同法第四十五条第二号中「第三十七条の二から第三十七条の六まで、第四十条の二第四項及び第四十三条の四」とあるのは「第三十七条の三（第一項の書面の交付に係る部分に限り、同項第二号及び第六号並びに第三項を除く。）、第三十七条の四及び第三十七条の六」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。 - 日本法令外国語訳データベースシステム - I understand that you are seeking my comment on a media report that the TSE may list its stock by the end of this year. However, I am not aware of any announcement made by the TSE in relation to the media report you mentioned. As you know, the Financial Instruments and Exchange Act requires approval by the FSA when the holding company of an exchange seeks to list its stock. When an application for such approval has been filed, the FSA will process the application in an appropriate manner.
東証が年内にも株式を上場するという報道があるが如何にということだと思いますが、ご指摘の報道については、東京証券取引所より何ら公表があったとは承知しておりません。金融庁としてのコメントは差し控えさせて頂きます。なお、ご存じのように、金商法では、取引所、または取引所の持ち株会社が発行する株式を上場する場合には、金融庁当局の承認が必要となっておりまして、承認申請がなされた場合には、金融庁として適切な処理で対応してまいりたいというふうに思っております。 - 金融庁 - Regarding the system glitch that occurred at the TSE on Thursday, February 2, we recognized problems such as the obstruction of investors' transactions and the risk that it could affect the credibility of the Japanese market and the international competitiveness of the exchange business, so the FSA Commissioner summoned President Saito within the same day and issued an order for the submission of a report based on the Financial Instruments and Exchange Act (FIEA), as I told you. We have required the TSE to examine the cause and draw up measures to prevent a recurrence of the system glitch.
ご存じのように2月2日の木曜日でございますが、東証で発生したシステム障害については、投資家の取引が行えなくなったこと、それから我が国市場への信頼や取引所ビジネスにおける国際競争力に影響を与えかねないこと、等の問題があると考えており、同日中に金融商品取引法上の報告徴取命令を斉藤社長さんに金融庁に来て頂きまして、金融庁長官から発出させて頂いたということは皆さん方に申し上げたわけでございますけれども、原因究明と再発防止策の策定を求めたところであります。 - 金融庁 - Regarding Mitsubishi UFJ Securities – there may be some overlaps with what you mentioned – we examined a report submitted by the company based on an order for the submission of a report issued after the revelation of a case of customer information leakage and a report compiled by an investigative committee established by the company. As a result, it was found out that the company's system for internal control, including the management of information concerning individual customers, is not adequate. Consequently, we issued against the company an order for business improvement based on the Financial Instruments and Exchange Act and a recommendation based on the Act on the Protection of Personal Information.
多少繰り返しになりますけれども、三菱UFJ証券について申し上げれば、顧客情報等の流出事案の発覚以降、報告徴求命令に対する同社からの報告書や、同社が設置した調査委員会の報告を踏まえて検討したところ、「個人顧客情報の管理をはじめとする内部管理態勢が十分でない」という事実が認められました。これを受けまして、同社に対して情報セキュリティ管理態勢の充実・強化等を図るため、金融商品取引法に基づく業務改善命令、また個人情報保護法に基づく勧告を発出いたしました。 - 金融庁 - (2) When the notified information or the documents containing said information prescribed in the preceding paragraph are made available for public inspection under the provision of said paragraph, the Laws and Regulations on Financial Instruments shall apply to the documents prescribed in Article 25(3) (including the cases where it is applied mutatis mutandis pursuant to Article 27), Article 27-14(3) (including the cases where it is applied mutatis mutandis pursuant to Article 27-22-2(2)) or Article 27-28(2) (including the cases where it is applied mutatis mutandis pursuant to Article 27-29(2)), by deeming that said information or documents have been made available for public inspection under those provisions.
２ 前項の規定により同項に規定する通知された事項又は当該事項を記載した書類を公衆の縦覧に供した場合には、第二十五条第三項（第二十七条において準用する場合を含む。）、第二十七条の十四第三項（第二十七条の二十二の二第二項において準用する場合を含む。）又は第二十七条の二十八第二項（第二十七条の二十九第二項において準用する場合を含む。）に規定する書類について、これらの規定により公衆の縦覧に供されたものとみなして、金融商品取引法令の規定を適用する。 - 日本法令外国語訳データベースシステム - Article 60 (1) Notwithstanding the provisions of Article 29 and Article 58-2, a Foreign Securities Broker may, with the permission of the Prime Minister, engage in sales and purchase of Securities and Market Transactions of Derivatives on a Financial Instruments Exchange (including the cases where said Foreign Securities Broker conducts these transactions on behalf of the person who provides Brokerage for Clearing of Securities, etc. (limited to those pertaining to Article 2(27)(i); hereinafter the same shall apply in this paragraph) as the entrusting person of Brokerage for Clearing of Securities, etc.; these transactions are hereinafter collectively referred to as the "Transaction at Exchange") in the course of trade (hereinafter referred to as the "Transaction-at-Exchange Operation" in this Subsection)
第六十条 外国証券業者は、第二十九条及び第五十八条の二の規定にかかわらず、内閣総理大臣の許可を受けて、金融商品取引所における有価証券の売買及び市場デリバティブ取引（有価証券等清算取次ぎ（第二条第二十七項第一号に係るものに限る。以下この項において同じ。）の委託者として当該有価証券等清算取次ぎを行う者を代理してこれらの取引を行う場合を含む。以下「取引所取引」という。）を業として行うこと（以下この款において「取引所取引業務」という。）ができる。 - 日本法令外国語訳データベースシステム - Article 64-9 When a Financial Instruments Business Operator, etc. has any complaints about inaction on the application for registration filed under Article 64(3) or rejection of registration under Article 64-2(1) by an Association that conducts Registration Work under Article 64-7(1) or (2), or disposition given under Article 64-5(1) by an Association that conducts Registration Work under Article 64-7(1), he/she may file an application for examination to the Prime Minister under the Administrative Appeal Act (Act No. 160 of 1962).
第六十四条の九 第六十四条の七第一項若しくは第二項の規定により登録事務を行う協会の第六十四条第三項の規定による登録の申請に係る不作為若しくは第六十四条の二第一項の規定による登録の拒否又は第六十四条の七第一項の規定により登録事務を行う協会の第六十四条の五第一項の規定による処分について不服がある金融商品取引業者等は、内閣総理大臣に対し、行政不服審査法（昭和三十七年法律第百六十号）による審査請求をすることができる。 - 日本法令外国語訳データベースシステム - (2) An Authorized Association may establish a market where Over-the-Counter Traded Securities are traded (limited to the cases where Member Firms(meaning the members of an Authorized Association; hereinafter the same shall apply in this Section) conduct such transactions on their respective account, and the case where Member Firms provide intermediary, brokerage or agency service; the same shall apply in Article 67-11(1)) (hereinafter referred to as the "Over-the-Counter Securities Market"), in order to facilitate distribution of Securities (limited to Securities not listed on a Financial Instruments Exchange; the same shall apply in Article 67-11(1)), to ensure fairness of the sales and purchase or other transactions of Securities, and to contribute to the protection of investors.
２ 認可協会は、有価証券（金融商品取引所に上場されていないものに限る。第六十七条の十一第一において同じ。）の流通を円滑にし、有価証券の売買その他の取引の公正を確保し、かつ、投資者の保護に資するため、店頭売買有価証券の売買（協会員（認可協会の会員をいう。以下この節において同じ。）が自己の計算において行うもの並びに協会員が媒介、取次ぎ及び代理を行うものに限る。同項において同じ。）のための市場（以下「店頭売買有価証券市場」という。）を開設することができる。 - 日本法令外国語訳データベースシステム - (iv) when sales and purchase of the Tradable Securities (meaning the Share Certificates, bonds with share option or any other Securities specified by a Cabinet Office Ordinance for which solicitation of sales and purchase or other transactions has not been prohibited by said Authorized Association under its rules (excluding Securities listed on a Financial Instruments Exchange and Over-the-Counter Traded Securities; the same shall apply hereinafter) conducted on the Member Firm's own account, or sales and purchase of the Tradable Securities for which the Member Firm has provided intermediary, brokerage or agency services has been effected: the kinds, issues, prices or volumes or other matters specified by a Cabinet Office Ordinance pertaining to the Securities for which the sales and purchase is effected;
四 自己の計算において行う取扱有価証券（当該認可協会がその規則において、売買その他の取引の勧誘を行うことを禁じていない株券、新株予約権付社債券その他内閣府令で定める有価証券（金融商品取引所に上場されている有価証券及び店頭売買有価証券を除く。）をいう。以下同じ。）の売買又は媒介、取次ぎ若しくは代理を行う取扱有価証券の売買が成立した場合 当該売買に係る有価証券の種類、銘柄、価格、数量その他内閣府令で定める事項 - 日本法令外国語訳データベースシステム - (4) A resolution of a shareholders meeting set forth in paragraph (1) shall be adopted by at least a two-thirds majority (in cases where a higher proportion is provided for in the articles of incorporation, such proportion or more) of voting rights of the shareholders present when Shareholders holding a majority (if a proportion of one-third or more has been specified by articles of incorporation, at least such proportion) of the voting rights of Shareholders who are entitled to exercise voting rights at said shareholders meeting are present. In this case, the Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger shall not be precluded from prescribing in its articles of incorporation a requirement to obtain the consent of a certain number or more of shareholders or other requirements in addition to the requirement for such resolution.
４ 第一項の株主総会の決議は、当該株主総会において議決権を行使することができる株主の議決権の過半数（三分の一以上の割合を定款で定めた場合にあつては、その割合以上）を有する株主が出席し、出席した当該株主の議決権の三分の二（これを上回る割合を定款で定めた場合にあつては、その割合）以上に当たる多数をもつて行わなければならない。この場合においては、当該決議の要件に加えて、一定の数以上の株主の賛成を要する旨その他の要件を定款で定めることを妨げない。 - 日本法令外国語訳データベースシステム - (2) The resolution of the shareholders meeting set forth in the preceding paragraph shall be adopted by at least a two-thirds majority (in cases where a higher proportion is provided for in the articles of incorporation, such proportion) of voting rights of the shareholders present when shareholders holding a majority (if a proportion of one-third or more has been specified by the articles of incorporation, at least such proportion) of the voting rights of shareholders who are entitled to exercise voting rights at said shareholders meeting are present. In this case, the Stock Company-Type Financial Instruments Exchange Extinguished upon a Consolidation-Type Merger shall not be precluded from prescribing in its articles of incorporation a requirement to obtain the consent of a certain number or more of shareholders or other requirements in addition to the requirement for such resolution.
２ 前項の株主総会の決議は、当該株主総会において議決権を行使することができる株主の議決権の過半数（三分の一以上の割合を定款で定めた場合にあつては、その割合以上）を有する株主が出席し、出席した当該株主の議決権の三分の二（これを上回る割合を定款で定めた場合にあつては、その割合）以上に当たる多数をもつて行わなければならない。この場合においては、当該決議の要件に加えて、一定の数以上の株主の賛成を要する旨その他の要件を定款で定めることを妨げない。 - 日本法令外国語訳データベースシステム - Article 193-2 (1) A balance sheet, profit and loss statement and other statements on finance and accounting as specified by a Cabinet Office Ordinance which shall be submitted under the provisions of this Act by an issuer company of Securities listed on a Financial Instruments Exchange or any other person specified by a Cabinet Order shall require an audit certification by a certified public accountant or audit firm that has no special interest in said company or person; provided, however, that this shall not apply to cases where said company or person has obtained an approval from the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance as cases where omission of an audit certification will not impair the public interest or protection of investors.
第百九十三条の二 金融商品取引所に上場されている有価証券の発行会社その他の者で政令で定めるものが、この法律の規定により提出する貸借対照表、損益計算書その他の財務計算に関する書類で内閣府令で定めるものには、その者と特別の利害関係のない公認会計士又は監査法人の監査証明を受けなければならない。ただし、監査証明を受けなくても公益又は投資者保護に欠けることがないものとして内閣府令で定めるところにより内閣総理大臣の承認を受けた場合は、この限りでない。 - 日本法令外国語訳データベースシステム
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