取締役会等は、監査役監査、内部監査及び外部監査の結果、各種調査結果並びに各部門からの報告等全ての法令等遵守の状況に関する情報に基づき、法令等遵守の状況を的確に分析し、法令等遵守態勢の実効性の評価を行った上で、態勢上の弱点、問題点等改善すべき点の有無及びその内容を適切に検討するとともに、その原因を適切に検証しているか。例文帳に追加

Does the Board of Directors or organization equivalent to the Board of Directors appropriately determine whether there are any weaknesses or problems in the legal compliance system and the particulars thereof, and appropriately examine their causes by precisely analyzing the status of legal compliance and assessing the effectiveness of the legal compliance system, based on all information available regarding the status of legal compliance, such as the results of audits by corporate auditors, internal audits and external audits, findings of various investigations and reports from various divisions?発音を聞く  - 金融庁

取締役会は、監査役監査、内部監査及び外部監査の結果、各種調査結果並びに各部門からの報告等の内部監査の状況に関する情報（内部監査実施要領及び内部監査計画の遵守状況に関する情報を含む。）に基づき、内部監査の状況を的確に把握し、内部監査の実効性の分析・評価を行った上で、態勢上の弱点、問題点等改善すべき点の有無及びその内容を適切に検討するとともに、その原因を適切に検証しているか。例文帳に追加

Does the Board of Directors appropriately determine whether there are any weaknesses or problems in the internal audit system and the particulars thereof, and appropriately examine their causes by precisely grasping the status of internal audits and analyzing and assessing the effectiveness of internal audits, based on all information available regarding the status of internal audits (including the status of compliance with the Internal Audit Implementation Guidelines and the Internal Audit Plan), such as the results of audits by corporate auditors, internal audits and external audits, findings of various investigations and reports from various divisions?発音を聞く  - 金融庁

① 取締役会は、法令等遵守・内部管理及び内部監査等の重要性を認識し、会社の業務内容等に応じた適切な組織体制を構築しているか。例文帳に追加

During the inspection, the SESC shall verify primarily the following items from the perspective of whether business management systems have been built and, whether the senior management is performing such role.発音を聞く  - 金融庁

内部監査部門は、被監査部門等における経営相談・経営指導等をはじめとした金融円滑化、法令等遵守、顧客保護等及びリスク管理の状況を把握した上、頻度及び深度等に配慮した効率的かつ実効性のある内部監査計画を立案し、重点項目を含む基本的事項について取締役会等の承認を受けているか。例文帳に追加

Does the Internal Audit Division formulate a plan for implementing internal audits in an efficient and effective manner with due consideration for the frequency and depth of necessary audits based on its understanding of the status of business consultation and guidance and other finance facilitation, legal compliance, customer protection and risk management at the divisions audited and obtain approval by the Board of Directors or organization equivalent to the Board of Directors of basic matters concerning the plan, including its key priority items?発音を聞く  - 金融庁

（ⅰ）取締役会等は、被監査部門等における経営相談・経営指導等をはじめとした金融円滑化、法令等遵守、顧客保護等及びリスク管理の状況を把握した上、頻度及び深度等に配慮した効率的かつ実効性のある内部監査の計画（以下「内部監査計画」という。）を内部監査部門又は内部監査部門長に策定させ、その重点項目を含む基本的事項を承認しているか。例文帳に追加

(i) Does the Board of Directors or organization equivalent to the Board of Directors have the Internal Audit Division or the chief of the division grasp the status of business consultation and guidance and other finance facilitation, legal compliance, customer protection and risk management at the divisions audited and formulate a plan for implementing internal audits in an efficient and effective manner with due consideration for the frequency and depth of necessary audits (hereinafter referred to as the “Internal Audit Plan”) and approve basic matters concerning the plan, including its key priority items?発音を聞く  - 金融庁

ロ．法令等遵守部門又は内部監査部門においては、格付関係者との交渉経過の把握に努め、適切な交渉が行われているかなどについて検証を行うとともに、必要に応じ社内規則等の見直しを行うなど、その実効性を確保する態勢の構築に努めているか。例文帳に追加

(b) Whether the legal compliance division or the internal audit division strives to keep track of the progress of negotiations with rating stakeholders, and whether it examines if negotiations are being conducted appropriately; and whether it strives to establish systems for ensuring the effectiveness thereof, such as by revising the internal rules, etc. when necessary.発音を聞く  - 金融庁

取締役は、業務の規模・特性、業務に適用される法令等の内容及びリスク・プロファイルに応じた実効性ある内部監査態勢を整備することが、経営相談・経営指導等をはじめとした金融円滑化、適切な法令等遵守、顧客保護等及びリスク管理に必要不可欠であることを十分に認識しているか。例文帳に追加

Do directors fully understand that the development of an effective internal audit system suited to the scales and natures of the financial institution’s business and its risk profile as well as the Laws applicable to the business are vital for business consultation and guidance and other finance facilitation, appropriate legal compliance, customer protection and risk management?発音を聞く  - 金融庁