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行政書士 無料相談



新宿オフィス 新宿駅

秋葉原オフィス 秋葉原駅

名古屋オフィス 名駅

大阪オフィス 西梅田駅

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

The definitions of ‘deemed securities’ are provided in Article 2, section 1 of the Financial Instruments and Exchange Act as follows.

1

Beneficial interest of a trust

2

Rights which are claimable against a foreign person and which have the nature of the rights specified in (i)

3

Membership rights of a general partnership company or limited partnership company or membership rights of a limited liability company

4

Membership rights of a foreign juridical person which has the nature of rights specified in the preceding item

5

Among rights based on a partnership contract provided in Article 667(1) of the Civil Code, an Anonymous Partnership Agreement in Article 535 of the Commercial Code, a limited partnership agreement for investment provided in Article 3(1) of the Limited Partnership Act for Investment or a limited liability partnership agreement provided in Article 3(1) of the Limited Liability Partnership Act, membership rights of an incorporated association or other rights, rights for which the holders thereof can receive dividend of profits arising from the business conducted by using money invested or contributed by the Equity Investors or distribution of the assets of the Invested Business and which does not fall under any category listed in the following items: (a) rights of an Equity Investor in cases where all of the Equity Investors participate in the Invested Business as specified by a Cabinet Order, (b) rights of an Equity Investor where it is provided that Equity Investors will not receive dividend of profits or distribution of the assets of the Invested Business in an amount exceeding the amount invested or contributed by them, (c) rights based on an insurance contract in which a person who engages in insurance business as defined in Article 2(1) of the Insurance Business Act is the insurer, a mutual aid contract concluded with a cooperative specified in Article 5 of the Agricultural Cooperatives Act which engages in the service specified in Article 10(1)(x) of said Act, a mutual aid contract concluded with a cooperative provided in Article 3 of the Small and Medium Sized Enterprise, Cooperatives Act which engages in the mutual aid service specified in Article 9-2(7) of said Act or a real estate specified joint enterprise contract defined in Article 2(3) of the Real Estate Specified Joint Enterprise Act

6

Rights based on laws and regulations of a Foreign State which are similar to those specified in the preceding item

7

In addition to what is listed in the preceding items, rights prescribed by a Cabinet Order as those for which it is found, when taking into consideration the fact that they have an economic nature similar to Securities provided in the preceding paragraph and rights listed in the preceding items and other circumstances, necessary and appropriate to secure the public interest or protection of investors by regarding them as Securities

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