Securities Exchange Lawとは 意味・読み方・使い方

① Whether measures for observance of the procedures for capital increases set forth in the Securities and Exchange Law (filing of the securities registration statement and solicitation, preparation and delivery of the prospectus, taking effect of the securities registration statement) are taken.発音を聞く 例文帳に追加

①証券取引法に定める増資手続き（有価証券届出書の提出と勧誘行為、目論見書の作成・交付、有価証券届出書の効力発生等）の遵守のための措置が講じられているか。 - 金融庁

(3) Development of internal rules and operational procedures that are in accordance with laws and rules such as the Securities and Exchange Law, the Law concerning Investment Trusts and Investment Corporations and rules set by the Japan Securities Dealers Association and the like.発音を聞く 例文帳に追加

③金融商品取引法、投資信託及び投資法人に関する法律等の法規制や日本証券業協会等の規則に沿った内部規程・業務細則等の整備 - 金融庁

At present, while the separation of banking and securities business has been maintained by Article 33 of the Financial Instruments and Exchange Law, cross entry between banks and securities business through subsidiaries in different types of business has been permitted by the Financial System Reform Law since 1993.例文帳に追加

現在でも、金融商品取引法第33条により、引き続き銀証分離は維持されているが、1993年、金融制度改革関連法により、銀行と証券間で業態別子会社方式による相互参入が解禁された。 - 経済産業省

The Basic Guidelines shall be applied to inspections, etc. conducted by FSA and by Local Finance Bureaus under commission from the FSA Commissioner, under the Banking Law, Long-Term Credit Bank Law, Shinkin Bank Law, Law Concerning Financial Services by Cooperative Unions, Labor Credit Association Law, Agricultural Cooperative Association Law, Fishery Cooperative Law, Norinchukin Bank Law, Law Concerning Concurrent Operation of Trust Business by Financial Institutions, Deposit Insurance Law, Insurance Business Law, Securities and Exchange Law, Law Concerning Foreign Securities Firms, Law Concerning Investment Trusts and Investment Corporations and Law Concerning Investment Advisory Business.発音を聞く 例文帳に追加

本基本指針は、銀行法、長期信用銀行法、信用金庫法、協同組合による金融事業に関する法律、労働金庫法、農業協同組合法、水産業協同組合法、農林中央金庫法、金融機関の信託業務の兼営等に関する法律、預金保険法、保険業法、証券取引法、外国証券業者に関する法律、投資信託及び投資法人に関する法律並びに有価証券に係る投資顧問業の規制等に関する法律に基づき、金融庁及び金融庁長官から委任を受けて財務局が実施する検査等に対して適用する。 - 金融庁

In Japan, Article 65 of the former Securities Exchange Law required the separation of banking and securities business using the Glass-Steagall Act (1933) in the United States as a reference.例文帳に追加

我が国では、米国のグラス・スティーガル法（1933年）を参考に、旧証券取引法第65条において銀行業と証券業の分離（銀証分離）を規定してきた。 - 経済産業省

③ Whether the Boards of Directors request written opinions of lawyers and auditing firms concerning the Commercial Code, the Anti-monopoly Law, the Securities and Exchange Law and other laws and regulations, as may be necessary, and take thorough measures for compliance.発音を聞く 例文帳に追加

③取締役会は、商法、独占禁止法及び証券取引法等の法令等に関し、必要に応じ、弁護士や監査法人から文書による意見を求める等、コンプライアンス上万全な対応をとることとしているか。 - 金融庁

The number of audit clients of each audit firm is 3,500 to 4,700 companies, of which approximately 2,000 companies were audited pursuant to the Securities and Exchange Law and the Law for Special Exceptions to the Commercial Code.発音を聞く 例文帳に追加

各監査法人が監査業務を行っている被監査会社は3,500社から4,700社であり、うち証券取引法又は商法特例法に基づく監査の被監査会社は約2,000社である。 - 金融庁

the term “recognised stock exchange” means: (i) any stock exchange established by a Financial Instruments Exchange or an approved-type financial instruments firms association under the terms of the Financial Instruments and Exchange Law (Law No. 25 of1948) of Japan; (ii) the Australian Securities Exchange and any other securities exchange recognised as such under the Corporations Act 2001 of Australia; and (iii) any other stock exchange which the competent authorities of the Contracting States agree to recognise for the purposes of this Article;発音を聞く 例文帳に追加

「公認の有価証券市場」とは、次のものをいう。(i)日本国の金融商品取引法（昭和二十三年法律第二十五号）に基づき設立された金融商品取引所又は認可金融商品取引業協会により設立された有価証券市場(ii)オーストラリア証券取引所及びオーストラリアの二千一年会社法に基づいて認定されたその他の証券取引所(iii)この条の規定の適用上、両締約国の権限のある当局が公認の有価証券市場として合意するもの - 財務省