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法第二十二条第一項に基づき信託会社から信託業務の委託を受けて行う業務をいう。次号において同じ。）を行う場合において、当該信託業等に基づく信託財産の管理又は処分に係る有価証券の売買その他の取引、市場デリバティブ取引又は外国市場デリバティブ取引に関する情報を利用して、当該信託財産に係る顧客以外の顧客に対して有価証券の売買その他の取引の委託等（金融商品取引法第四十四条第一号に規定する委託等をいう。第百十八条第四号において同じ。）を勧誘する行為"]}]}]},{"tag":"Item","attr":{"Num":"22"},"children":[{"tag":"ItemTitle","attr":{},"children":["二十二"]},{"tag":"ItemSentence","attr":{},"children":[{"tag":"Sentence","attr":{"Num":"1","WritingMode":"vertical"},"children":["信託業等を行う場合において、当該信託業等に基づく信託契約又は委託者の指図に基づいて行った有価証券の売買その他の取引を結了させ、又は反対売買を行わせるため、当該信託契約に係る顧客以外の顧客に対して有価証券の売買その他の取引を勧誘する行為"]}]}]},{"tag":"Item","attr":{"Num":"23"},"children":[{"tag":"ItemTitle","attr":{},"children":["二十三"]},{"tag":"ItemSentence","attr":{},"children":[{"tag":"Sentence","attr":{"Num":"1","WritingMode":"vertical"},"children":["金融機関代理業（再編強化法代理業務を含む。次号において同じ。）を行う場合において、有価証券等仲介業務に従事する金融サービス仲介業者又はその役員（役員が法人であるときは、その職務を行うべき社員を含む。）若しくは使用人が、有価証券（金融商品取引法第三十三条第二項第一号に掲げる有価証券並びに同法第二条第一項第十七号に掲げる有価証券であって同項第一号及び第二号の性質を有する有価証券を除く。以下この号において同じ。）の発行者である顧客の非公開融資等情報（金融機関代理業務（金融機関代理業のうち事業のための資金の貸付け又は手形の割引を内容とする契約の締結の代理又は媒介に係る業務をいい、再編強化法代理業務のうち事業のための資金の貸付け又は手形の割引を内容とする契約の締結の代理又は媒介に係る業務を含む。以下この号及び次号並びに第百十八条第七号において同じ。）に従事する金融サービス仲介業者若しくはその役員若しくは使用人が職務上知り得たその顧客の行う事業に係る公表されていない情報その他の特別な情報であって有価証券等仲介業務に従事する金融サービス仲介業者若しくはその役員若しくは使用人が勧誘する当該有価証券に係る顧客の投資判断に影響を及ぼすと認められるもの又は有価証券等仲介業務に従事する金融サービス仲介業者若しくはその役員若しくは使用人が職務上知り得たその顧客の有価証券の売買、市場デリバティブ取引又は外国市場デリバティブ取引に係る注文の動向その他の特別の情報であって当該有価証券の発行者に係る金融機関代理業務に重要な影響を及ぼすと認められるもの（これらの情報のうち外国法人（法人でない外国の団体で代表者又は管理人の定めのあるものを含む。）に係るものを除く。）をいう。以下この号及び第百十八条第七号において同じ。）を金融機関代理業務に従事する金融サービス仲介業者若しくはその役員若しくは使用人から受領し、又は金融機関代理業務に従事する金融サービス仲介業者若しくはその役員若しくは使用人に提供する行為（次に掲げる場合を除く。）"]}]},{"tag":"Subitem1","attr":{"Num":"1"},"children":[{"tag":"Subitem1Title","attr":{},"children":["イ"]},{"tag":"Subitem1Sentence","attr":{},"children":[{"tag":"Sentence","attr":{"Num":"1","WritingMode":"vertical"},"children":["非公開融資等情報の提供につき、事前に顧客の書面又は電磁的記録による同意を得て提供する場合"]}]}]},{"tag":"Subitem1","attr":{"Num":"2"},"children":[{"tag":"Subitem1Title","attr":{},"children":["ロ"]},{"tag":"Subitem1Sentence","attr":{},"children":[{"tag":"Sentence","attr":{"Num":"1","WritingMode":"vertical"},"children":["有価証券等仲介業務に係る法令を遵守するために、金融機関代理業務に従事する金融サービス仲介業者又はその役員若しくは使用人から非公開融資等情報を受領する必要があると認められる場合"]}]}]},{"tag":"Subitem1","attr":{"Num":"3"},"children":[{"tag":"Subitem1Title","attr":{},"children":["ハ"]},{"tag":"Subitem1Sentence","attr":{},"children":[{"tag":"Sentence","attr":{"Num":"1","WritingMode":"vertical"},"children":["非公開融資等情報を有価証券等仲介業務を実施する組織（金融機関代理業務を併せて実施する組織に限る。）の業務を統括する金融サービス仲介業者又はその役員若しくは使用人に提供する場合"]}]}]},{"tag":"Subitem1","attr":{"Num":"4"},"children":[{"tag":"Subitem1Title","attr":{},"children":["ニ"]},{"tag":"Subitem1Sentence","attr":{},"children":[{"tag":"Sentence","attr":{"Num":"1","WritingMode":"vertical"},"children":["当該金融サービス仲介業者が当該顧客（第十二号ニ（１）から（４）までのいずれかに該当する者に限る。）の求めに応じて当該非公開融資等情報の有価証券等仲介業務に従事する金融サービス仲介業者若しくはその役員若しくは使用人又は金融機関代理業務に従事する金融サービス仲介業者若しくはその役員若しくは使用人への提供を停止することとしている場合であって、その旨について、あらかじめ、当該顧客が容易に知り得る状態に置いているとき（その求めがある場合を除く。）。"]}]}]}]},{"tag":"Item","attr":{"Num":"24"},"children":[{"tag":"ItemTitle","attr":{},"children":["二十四"]},{"tag":"ItemSentence","attr":{},"children":[{"tag":"Sentence","attr":{"Num":"1","WritingMode":"vertical"},"children":["金融機関代理業を行う場合において、金融機関代理業務に従事する金融サービス仲介業者又はその役員若しくは使用人が、職務上知り得た公表されていない情報であって有価証券の投資判断に影響を及ぼすと認められるものに基づいて、有価証券の売買その他の取引、市場デリバティブ取引又は外国市場デリバティブ取引（金融商品取引法第二条第二十七項に規定する有価証券等清算取次ぎを除く。）をする行為"]}]}]},{"tag":"Item","attr":{"Num":"25"},"children":[{"tag":"ItemTitle","attr":{},"children":["二十五"]},{"tag":"ItemSentence","attr":{},"children":[{"tag":"Sentence","attr":{"Num":"1","WritingMode":"vertical"},"children":["委託金融商品取引業者（金融サービス仲介業者に有価証券等仲介業務の委託を行う第一種金融商品取引業を行う金融商品取引業者をいう。）が当該委託金融商品取引業者の親法人等又は子法人等に対して借入金に係る債務を有する者が発行する有価証券（金融商品取引法第三十三条第二項第一号に掲げる有価証券並びに同法第二条第一項第十七号に掲げる有価証券であって同項第一号及び第二号の性質を有する有価証券を除く。）又は処分する自己株式の引受人（同条第六項に規定する引受人をいう。以下この号において同じ。）となる場合において、これらの有価証券に係る手取金が当該借入金に係る債務の弁済に充てられることを当該金融サービス仲介業者が知りながら、その事情を顧客に告げることなく当該有価証券に係る法第十一条第四項第一号に掲げる行為（当該委託金融商品取引業者が引受人となった日から六月を経過する日までの間に当該有価証券を売却するものに係るものに限る。）又は同項第三号に掲げる行為を行うこと。"]}]}]},{"tag":"Item","attr":{"Num":"26"},"children":[{"tag":"ItemTitle","attr":{},"children":["二十六"]},{"tag":"ItemSentence","attr":{},"children":[{"tag":"Sentence","attr":{"Num":"1","WritingMode":"vertical"},"children":["顧客に対し、あらかじめ、次に掲げる事項を説明しないで、投資信託受益証券に関する金融サービス仲介行為を行うこと。"]}]},{"tag":"Subitem1","attr":{"Num":"1"},"children":[{"tag":"Subitem1Title","attr":{},"children":["イ"]},{"tag":"Subitem1Sentence","attr":{},"children":[{"tag":"Sentence","attr":{"Num":"1","WritingMode":"vertical"},"children":["手数料、報酬、費用その他いかなる名称によるかを問わず、当該金融サービス仲介行為に関して金融サービス仲介業者が顧客以外の者から受領する金銭の額若しくはその上限額又はこれらの計算方法（当該計算方法が特定の数値に一定の割合を乗ずる方法である場合には、当該割合を含むものに限る。）及び当該金銭を対価とする役務の内容並びに当該金銭を受領することにより当該金融サービス仲介業者と顧客との利益が相反するおそれがある旨"]}]}]},{"tag":"Subitem1","attr":{"Num":"2"},"children":[{"tag":"Subitem1Title","attr":{},"children":["ロ"]},{"tag":"Subitem1Sentence","attr":{},"children":[{"tag":"Sentence","attr":{"Num":"1","WritingMode":"vertical"},"children":["投資信託受益証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