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トップページ > About Derivative Transactions
金商法でのファンド規制


The Financial Instruments and Exchange Act provides the explanation of derivative transactions as Market Transactions of Derivatives, Over-the-Counter Transactions of Derivatives or Foreign Market Derivatives Transactions.

●Financial instruments used in derivative transactions are as follows:

1. Securities
2. Among claims based on a deposit contract or other rights, or securities or
  certificates indicating these claims or rights, those which are designated by
  a Cabinet Order
3. Currencies
4. In addition to what is listed in the preceding three items, assets for which
  there are many of the same kind, which have substantial price volatility,
  and which are designated by a Cabinet Order as those for which it is found
  necessary to secure the protection of investors with regard to Derivative
  Transactions (or other similar transactions) pertaining thereto the
  Commodity Exchange Act
5. Standardized instruments which are created by a Financial Instruments
  Exchange for the purpose of facilitating Market Transactions of Derivatives
  by standardizing interest rates, the maturity period and/or other conditions
  of Financial Instruments listed in item (1) or (2) or the preceding item and
  designated in a Cabinet Office Ordinance


●Financial Indicator in derivative transactions indicates as follows:

1. Price of Financial Instruments or interest rates, etc. of Financial
  Instruments
2. Figures pertaining to the results of meteorological observations published
  by the Meteorological Agency or others
3. Among indicators which it is impossible or extremely difficult for a person to
  exert his/her influence on the fluctuation in and which may have serious
  influence on business activities of business operators (excluding those
  specified in the preceding item) or statistical figures pertaining to social or
  economic conditions, indicators or figures designated by a Cabinet Order
  as those for which it is found necessary to secure the protection of
  investors with regard to Derivative Transactions (or other similar
  transactions) pertaining thereto

●Financial Instruments Market in derivative transactions indicates as follows:

1. Commodity futures trading
2. Index futures trading
3. Futures options trading
4. Interest rate swap trading
5. Credit derivative transactions, other types of derivative transactions
6. transactions similar to transactions listed in the preceding items and
  provided in a Cabinet Order.

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