chief compliance officerとは 意味・読み方・使い方

(b) Does the chief compliance officer endeavor to grasp information on legal compliance, and report necessary information to the board of directors, etc?発音を聞く 例文帳に追加

④ 社内規程の策定 - 金融庁

(ii) Establishment of the chief compliance officer発音を聞く 例文帳に追加

③ 法令等遵守に関する業務の運営 - 金融庁

(b) Do the internal rules clearly require the sales divisions, etc. to confirm with the chief compliance officer, etc. in relation to the interpretation of laws, regulations or internal rules, etc.?発音を聞く 例文帳に追加

⑥ 内部通報制度 - 金融庁

Does the chief compliance officer appropriately exercise his/her invested authority?発音を聞く 例文帳に追加

ロ 定期的な研修等、役職員の社内教育は十分行われているか。 - 金融庁

(c) Whether the credit rating agency has established a system for communicating and reporting compliance-related information appropriately among the management team, the divisions in charge of the credit rating activities, and the legal compliance division, chief compliance officer or other person in charge.発音を聞く 例文帳に追加

ハ．法令等遵守関連の情報が、信用格付行為を行う部門、法令等遵守部門／法令等遵守責任者等の担当者及び経営陣の間で、的確に連絡・報告される体制となっているか。 - 金融庁

(b) Whether the credit rating agency has clearly established the authority and responsibility of the chief compliance officer, and whether there is a system in place for his/her function to be fully exercised.発音を聞く 例文帳に追加

ロ．法令等遵守責任者の権限と責任を明確にし、その機能が十分に発揮される態勢となっているか。 - 金融庁

(a) Have appropriate systems and measures been adopted, such as ensuring the independence of the chief compliance officer from the rating and sales divisions, etc. (hereinafter referred to as “sales divisions, etc.”) and granting the authority to exercise checks-and-balances functions against the sales divisions, etc.?発音を聞く 例文帳に追加

イ 法令等遵守責任者は、営業部門等の業務運営状況に関する検証により問題点を把握した場合には、その原因を究明し、必要な対策を講じているか。 - 金融庁