外國間接口座管理機関承認(rèn)財務(wù)審査資料

1、外國間接口座管理機関承認(rèn)財務(wù)審査資料Financial Information for the Application for the Approval for Foreign Indirect Account Management InstitutionRegarding Book-Entry Transfer System for “Corporate Bonds” / / (DD) / (MM) / (YYYY)株式會社 証券保管振替機構(gòu)御中To: Japan Securities Depository Center,Inc.會社名Name of the company 代表者役職名Na

2、me of the Title of the Representative 氏名Name Signature 【注意】 本書記載內(nèi)容、申請者株式會社証券保管振替機構(gòu)（以下機構(gòu)。）対、社債、株式等振替関法律（平成13年法律第75號。以下法。）基一般債振替制度外國間接口座管理機関承認(rèn)申請場合、機構(gòu)、下記承認(rèn)基準(zhǔn)照申請承認(rèn)否判斷資料。本書記載內(nèi)容、事実反判明場合、申請者不利益斟酌。 Japan Securities Depository Center,Inc. (hereinafter referred to as “JASDEC”) intends to use information provi

3、ded by the applicant in this form to decide whether to grant approval as a Foreign Indirect Account Management Institution in Book-Entry Transfer System for “Corporate Bonds” (hereinafter referred to as “FIAMI”) based on the Act on Book-Entry Transfer of Company Bonds, Shares, etc (Act No.75 of 2001

4、; hereinafter referred to as the“Act”). JASDEC reviews this Application Form to determine whether the applicant satisfies the requirements set out in the following Requirements for approval as an FIAMI. If any item on this form is found to be untrue, this fact may be counted against the applicants i

5、nterests.審査事項 Information Necessary for Review of an Applicant to be Approved as FIAMI 機構(gòu)、外國間接口座管理機関承認(rèn)基準(zhǔn)下記示。以下確認(rèn)事項、當(dāng)該承認(rèn)基準(zhǔn)則、當(dāng)該承認(rèn)基準(zhǔn)御一読願。JASDECs Requirements for approval as FIAMI are available in the list below. Please read them thoroughly beforehand, since applicants are asked to provide information

6、on the following questions in accordance with such requirements.申請者法第44條第1項第13號掲A requirement to be approved as a FIAMI: “the applicant is an entity described in Item 13 of Paragraph 1, Article 44 of the Act. ”( )該當(dāng) I am an entity described in Item 13 of Paragraph 1, Article 44 of the Act.( )該當(dāng)I am

7、not an entity described in Item 13 of Paragraph 1, Article 44 of the Act.（注） 申請者法第44條第1項第13號掲該當(dāng)場合、追加的設(shè)問回答頂必要。If the applicant is not an entity described in Item 13 of Paragraph 1, Article 44 of the Act, JASDEC ask for the additional questions.（參考）【社債、株式等振替関法律第44條第1項第13號】（口座管理機関口座開設(shè)）第44條次掲者、法律及振替機関業(yè)務(wù)

8、規(guī)程定、他者、申出社債等振替行口座開設(shè)。（後略）（1號12號（省略）13號外國他人社債等又社債等類権利管理行、當(dāng)該外國法令規(guī)定當(dāng)該外國免許又登録他類処分受者、主務(wù)大臣指定者【Item 13 of Paragraph 1, Article 44 of the Act】Article 44: Establishment of Account by Account Management InstitutionParagraph 1: The persons mentioned in each of the Items below may establish an account for provid

9、ing book-entry transfer of corporate bonds, etc. for others upon their proposal pursuant to the provisions of this Act and the Business Regulations of book-entry transfer institution.(Items 1 to 12 omitted.)Item 13: The person designated by the competent ministers who has received a license or regis

10、tration or other disposition similar to these for managing corporate bonds, etc. or rights similar to corporate bonds, etc. of others in foreign countries pursuant to the provisions of laws and ordinances in the foreign countries.財産狀況問題 A Requirement to be approved as FIAMI: soundness of the applica

11、nts financial condition.財務(wù)指標(biāo)関法令上定The provisions of laws and/or regulations in the applicants home country concerning financial soundness 母國自己資本測定基準(zhǔn)関國際的統(tǒng)一化（昭和63年月銀行監(jiān)督委員會）又自己資本測定基準(zhǔn)関國際的統(tǒng)一化：改定枠組（平成16年6月銀行監(jiān)督委員會）基定法令規(guī)制適用受。以下該當(dāng)一選択、選択內(nèi)容応、.設(shè)問御回答。 Is the applicant subject to home-country regulations laid down

12、 in line with International Convergence of Capital Measurement and Capital Standards published by the Basel Committee on Banking Supervision in July 1988 or International Convergence of Capital Measurement and Capital Standards: a Revised Framework published by the Basel Committee on Banking Supervi

13、sion in June 2004 (hereinafter referred to as “the home-country regulations based on the Basel Accord”)? Please choose one and answer further questions in . or . below. （注） 承認(rèn)基準(zhǔn)、申請者母國、自己資本測定基準(zhǔn)関國際的統(tǒng)一化又自己資本測定基準(zhǔn)関國際的統(tǒng)一化：改定枠組基定法令規(guī)制適用受場合、申請者自己資本比率、適用受場合、申請者母國免許又登録他類処分（法第44條第1項第13號）関適用財務(wù)健全性基準(zhǔn)、審査行。 The Requ

14、irements stipulate that JASDEC reviews the applicants financial condition by: applicants capital adequacy ratios, if the applicant is subject to the home-country regulations based on the Basel Accord; or requirements on financial condition applied to an entity who has received a “l(fā)icense or registra

15、tion or other disposition similar to these” as prescribed in Item 13 of Paragraph 1, Article 44 of the Act, if the applicant is not subject to the home-country regulations based on the Basel Accord. ( )受（.設(shè)問御回答。）Yes, the applicant is subject to home-country regulations based on the Basel Accord (ple

16、ase answer questions in .).( )受（.設(shè)問御回答。）No, the applicant is not subject to home-country regulations based on the Basel Accord (please answer questions in .).受回答申請者伺。 The following questions are for applicants who answered “Yes” in question 1.（） 當(dāng)該規(guī)制、以下事項記載。 Please provide the following details of t

17、he home-country regulations based on the Basel Accord.(a) 以下各項目確認(rèn)當(dāng)該規(guī)制具體的法令名該當(dāng)條文番號 For each item below, please provide the names and the relevant article numbers of the laws and/or regulations, with which JASDEC can confirm the actual description of each requirement in the regulations.法令名（Name of Law

18、）條文番號（Number of Article）（注） 該當(dāng)條文、所管監(jiān)督當(dāng)局等作成英語訳添付。當(dāng)該英語訳入手困難場合、申請者等該當(dāng)箇所英語訳又日本語訳作成。 Please attach an official English translation of the relevant articles issued by the competent authority.If such translation is unavailable ,JASDEC accepts English or Japanese translation of those articles made or approv

19、ed by the applicant etc.(b) (a)法令要求具體的自己資本比率値 The level of capital adequacy ratio required under the homecountry regulations based on the Basel Accord mentioned in (a) above. 自己資本比率（Capital adequacy ratio）(c) (a)法令算出要求（単體/連結(jié)） What is the basis (i.e. non-consolidated, consolidated, or both) for calcu

20、lating the ratio stipulated in the home-country regulations based on the Basel Accord mentioned in (a) above? Please choose one.( )単體Only non-consolidated basis.( )連結(jié)Only consolidated basis.( )単體連結(jié)Both consolidated and non-consolidated bases.（） 以下過去年間自己資本比率（2(1)(C)御回答）記載。 Please provide the applican

21、ts capital adequacy ratios for the past three years, which the applicant answered in question 2(1)(c). （）自己資本比率Capital Adequacy Ratios年月期Year/Month年月期Year/Month年月期Year/Month単體Nonconsolidated Basis連結(jié)Consolidated Basis（注） 申請者母國會計基準(zhǔn)基記載。2(1)(c)御回答、申請者母國算出要求基記載。N/A記載。 Please calculate the capital adequac

22、y ratios based on the method set out in the accounting rules of the applicants home country based on the Basel Accord, which the applicant is subject to. Please calculate the ratios in accordance with the basis/bases required under the homecountry regulations based on the Basel Accord, as the applic

23、ant answered in 2(1)(c). For those items not required under the homecountry regulations, please indicate “N/A.” （注） 直前決算期末（中間期末含。）含過去年分自己資本比率記載。申請者初回決算行場合（申請者新営業(yè)開始場合含。）、申請者申告開業(yè)後年間決算期末見込計數(shù)記載。 Please provide the capital adequacy ratios for the past three years including the ratios at the end of the mo

24、st recent accounting period. Applicants (including entities planning to start business) that have not yet closed their books at the end of the first accounting period should provide the estimated capital adequacy ratios for the first three years after the start of business. （） （）御回答計數(shù)確認(rèn)Annual Accoun

25、ts等（該當(dāng)箇所）添付。 Please attach documents such as Annual Accounts with which JASDEC can confirm the actual capital adequacy ratios mentioned in (2).受回答申請者伺。The following questions are for applicants who answered “No” in question 1.（） 申請者母國、免許又登録他類処分（法第44條第1項第13號規(guī)定）関適用財務(wù)健全性基準(zhǔn)、以下事項記載。 Please provide the fo

26、llowing details of the requirements on financial soundness, which the applicant is subject to. The requirements on financial soundness are the conditions imposed in the applicants home country on an entity who has received a “l(fā)icense, registration or other disposition similar to these” as prescribed

27、 in Item 13 of Paragraph 1, Article 44 of the Act.(a) 以下各項目確認(rèn)當(dāng)該規(guī)制具體的法令名該當(dāng)條文番號 For each item below ,please provide the names and the relevant article numbers of the laws and/or regulations ,with which JASDEC can confirm the actual description of each requirement in the regulations.法令名（Name of Law）條文番

28、號（Number of the Article）（注） 該當(dāng)條文、所轄監(jiān)督當(dāng)局等作成英語訳添付。當(dāng)該英語訳入手困難場合、申請者等當(dāng)該箇所英語訳又日本語訳作成。 Please attach an official English translation of the relevant articles issued by the competent authority. If such translation is unavailable ,JASDEC accepts English or Japanese translation of those articles made or appro

29、ved by the applicant etc.(b) (a)法令、対象財務(wù)項目 Items the applicant is required to provide under the laws and regulation mentioned in (a) above, for example, net tangible assets and own funds.財務(wù)項目（Name of the Items）(c) (a)法令要求具體的(b)値 The specific level the applicant is required to meet for items in (b) ab

30、ove. 値（Specific Level）(d) (a)法令算出要求（単體/連結(jié)） What is the basis (i.e., non-consolidated, consolidated, or both) for calculating items in (b) stipulated in the laws and regulations mentioned in (a) above? Please choose one.( )単體Only non-consolidated basis.( )連結(jié)Only consolidated basis.( )単體連結(jié)Both consoli

31、dated and non-consolidated bases.（） 以下過去年間當(dāng)該健全性基準(zhǔn)対象事項(3(1)(b)御回答)申請者計數(shù)記載。 Please provide the applicants figures for the past three years regarding the requirements on financial soundness, which the applicant answered in question 3(1)(b). （単位/Unit： ）年月期Year/Month年月期Year/Month年月期Year/Month対象財務(wù)項目Name o

32、f the item上記係申請者計數(shù)Applicants figures of the item（注） 申請者母國會計基準(zhǔn)基記載。 Please calculate the figures based on the method set out in the accounting rules of the applicants home country. Please calculate the figures on the basis/bases required under such rules. （注） 直前決算期末（中間期末含。）含過去年分當(dāng)該健全性基準(zhǔn)対象事項申請者計數(shù)記載。申請者初

33、回決算行場合（申請者新営業(yè)開始場合含。）、申請者申告開業(yè)後年間決算期末見込計數(shù)記載。 Please provide the figures for the past three years including the figures at the end of the most recent accounting period. Applicants (including entities planning to start business) that have not yet closed their books at the end of the first accounting per

34、iod should provide the estimated figures for the first three years after the start of business.（） （）御回答計數(shù)確認(rèn)Annual Accounts等（該當(dāng)箇所）添付。 Please attach documents such as Annual Accounts with which JASDEC can confirm the figures mentioned in (2).経営指標(biāo) Financial Data （単位/Unit： ）年月期Year/Month年月期Year/Month年月期

35、Year/Month総資産Total assets貸出金Loans預(yù)金Total deposits経常収益Current income業(yè)務(wù)純益Net operating profits経常利益Current profits當(dāng)期利益Net income（注） 申請者母國會計基準(zhǔn)基記載。N/A記載。 Please calculate these items based on the method set out in the accounting rules of the applicants home country. For those items not required under the

36、 home-country regulations, please indicate “N/A.”（注） 直前決算期末（中間期末含。）含過去年分経営指標(biāo)記載。申請者初回決算行場合（申請者新営業(yè)開始場合含。）、申請者申告開業(yè)後年間決算期末見込計數(shù)記載。 Please provide the applicants financial data for the past three years including the figures at the end of the most recent accounting period. Applicants (including entities pl

37、anning to start business) that have not yet closed their books at the end of the first accounting period should provide the estimated data for the first three years after the start of business. 企業(yè)存在場合、屬企業(yè)間資本関係記載。If the applicant belongs to a financial/corporate group, please describe the capital rel

38、ationships within the group. 記【外國間接口座管理機関承認(rèn)基準(zhǔn)】【Requirements for approval as FIAMI】外國間接口座管理機関承認(rèn)関基準(zhǔn)細(xì)目以下。 申請者、下表基準(zhǔn)満場合、申請者財産狀況問題取扱。、申請者下表基準(zhǔn)満場合、申請者経営內(nèi)容（直前決算期末以後狀況変化含。）照、下表基準(zhǔn)満狀態(tài)維持困難機構(gòu)認(rèn)、限。The financial condition of an applicant shall be deemed sound if it satisfies the requirements in the table. Even in ca

39、ses where an applicant satisfies these requirements, the applicant's financial condition shall not be deemed sound if JASDEC considers that, based on the applicant's situation at the time of application,* the applicant would not be capable of fulfilling the requirements after joining the sys

40、tem. * Including changes in the applicant's situation after the end of the most recent accounting period (if the most recent accounting period is semiannual, the end of such semiannual period). 申請者、組織再編現(xiàn)口座管理機関者事業(yè)全部承継場合（現(xiàn)口座管理機関者外國証券會社場合、申請者、當(dāng)該外國証券會社在日拠點事業(yè)全部承継場合含。）、申請者口座管理機関、當(dāng)該現(xiàn)口座管理機関者口座管理機関地位存続同視

41、機構(gòu)認(rèn)、下表基準(zhǔn)適用、申請書財産狀況問題取扱。組織再編、次掲行為又組合。（） 合併（） 會社分割（） 事業(yè)全部譲渡In the case where the applicant acquires the whole business of a current Direct Participant that can establish a Customer's Account, an Indirect Participant, or a Foreign Indirect Participant (hereafter collectively referred to as a "

42、Participant") due to organizational restructuring (in the case where the predecessor is a foreign corporation providing the first financial instruments business pursuant to Article 28, Paragraph 1 of the Financial Instruments and Exchange Act, it includes the case where the applicant acquires t

43、he whole business of its Japanese branches), and if JASDEC considers that the admission of the applicant as a Participant is equivalent to succession to the position of the current Participant, the financial condition of the applicant shall be deemed sound and the requirements in the table shall not

44、 apply.Organizational restructuring refers to one of the cases described below or a combination of these cases.(1) Merger(2) Corporate split(3) Acquisition of the whole business【表】申請者Applicants基準(zhǔn)Criteria母國自己資本測定基準(zhǔn)関國際的統(tǒng)一化（昭和年月銀行監(jiān)督委員會）又自己資本測定基準(zhǔn)関國際的統(tǒng)一化：改訂枠組（平成年月銀行監(jiān)督委員會）基定法令規(guī)制適用受者Entities subject to hom

45、e-country statutory regulations laid down in line with International Convergence of Capital Measurement and Capital Standards (July 1988) or International Convergence of Capital Measurement and Capital Standards: a Revised Framework (June 2004) published by the Basel Committee on Banking Supervision

46、.直前決算期末（中間期末含）自己資本比率（注）、申請者母國申請者適用法令基準(zhǔn)満。The capital adequacy ratio (Note 3) at the end of the most recent accounting period (if the most recent accounting period is semiannual, the end of such semiannual period) must meet the standard required by home-country statutory regulations.上記以外（注）Except abov

47、e (Note 2)直前決算期末（中間期末含）財産狀況、法第44條第1項第13號規(guī)定免許又登録他類処分関申請者適用財務(wù)健全性基準(zhǔn)満。The financial condition at the end of the most recent accounting period (if the most recent accounting period is semiannual, the end of such semiannual period) must satisfy the requirements on financial soundness as applied to an entity who has