investment advisory serviceとは 意味・読み方・使い方

(6) A person who has concluded an Investment Advisory Contract with a Financial Instruments Business Operator, who has concluded an Investment Advisory Contract or Discretionary Investment Contract through a Financial Instruments Business Operator's agency or intermediary service of an Investment Advisory Contract or an Discretionary Investment Contract, or who has concluded a sales and purchase contract of Securities through a Financial Instruments Business Operator's sales and purchase or intermediary, brokerage, or agency service therefor shall have the right to receive, in preference over other creditors, payment with regard to claims incurred under such contracts from a deposit for operation furnished by the Financial Instruments Business Operator.発音を聞く 例文帳に追加

６　金融商品取引業者と投資顧問契約を締結した者、金融商品取引業者による投資顧問契約又は投資一任契約の代理又は媒介により投資顧問契約又は投資一任契約を締結した者及び金融商品取引業者による有価証券の売買又はその媒介、取次ぎ若しくは代理により有価証券の売買契約を締結した者は、これらの契約により生じた債権に関し、当該金融商品取引業者に係る営業保証金について、他の債権者に先立ち弁済を受ける権利を有する。 - 日本法令外国語訳データベースシステム

(Note) Cases where newspapers, magazines and books containing investment information, etc., are displayed in bookstores and other shops for purchase by any person at any time based on the judgment on their contents shall not be deemed to fall under the category of activities regarding investment advisory service.発音を聞く 例文帳に追加

（注）一般の書店、売店等の店頭に陳列され、誰でも、いつでも自由に内容をみて判断して購入できる状態にある場合。 - 金融庁

In cases where the agency/brokerage service providers concurrently engage in other services in particular, whether the investment advisory business operator not only examines the possibility of the nature of the other services damaging public confidence in the service providers, but also conducts sufficient deliberations from the viewpoint of reputational risk for the primary business operator. (The “primary business operator” refers to an investment advisory business operator which signs investment advisory contracts through agency/brokerage services provided by agency/brokerage service providers. The same shall apply in VII.)発音を聞く 例文帳に追加

特に、代理・媒介業者が兼業業務を行う場合にあっては、当該兼業業務の内容について、代理・媒介業者としての社会的信用を損なうおそれがないこと等に係る検討を行うことに留まらず、所属業者（代理・媒介業者の代理又は媒介によって投資顧問契約を締結する投資助言業者をいう。Ⅶにおいて同じ。）のレピュテーション等の観点からも十分な検討が行われているか。 - 金融庁

(Note) Cases where investment analysis tools and other software products are offered through Internet-based downloading sales services for purchase by any person, based on the judgment on the algorithm and other investment analysis functions of the products, shall not be deemed to fall under the category of investment advisory service.発音を聞く 例文帳に追加

（注）販売店による店頭販売や、ネットワークを経由したダウンロード販売等により、誰でも、いつでも自由にコンピュータソフトウェアの投資分析アルゴリズム・その他機能等から判断して、当該ソフトウェアを購入できる状態にある場合。 - 金融庁

(Note) It should be kept in mind that although merely notifying customers of the trade names of investment advisory business operators and discretionary investment business operators and their contacts does not constitute a brokerage service, explaining how to fill out documents distributed and provided to customers may be deemed to constitute a brokerage service.発音を聞く 例文帳に追加

（注）このとき、単に投資助言業者又は投資一任業者の商号や連絡先等を伝えることは差し支えないが、配布又は交付する書類の記載方法等の説明をする場合には、媒介に当たることがあり得ることに留意する。 - 金融庁

B. Whether the investment advisory business operator conducts sufficient deliberations on whether the agency/brokerage service providers have sufficient qualifications to conduct the entrusted business operations in a sound and appropriate manner.発音を聞く 例文帳に追加

ロ．代理・媒介業者が、当該業務を健全かつ適切に運営できる資質を有しているか否かについて、十分に検討が行われているか。 - 金融庁

(i) an act of soliciting Entrustment, etc. (meaning application for intermediary, brokerage or agency service; the same shall apply hereinafter) for the Sales and Purchase or Other Transactions of Securities, etc. by using the information concerning Sales and Purchase or Other Transaction of Securities, etc. conducted by a customer who has received advice pertaining to Investment Advisory Business or the information concerning the Sales and Purchase or Other Transactions of Securities, etc. conducted by such customer as investment pertaining to Investment Management Business;発音を聞く 例文帳に追加

一　投資助言業務に係る助言を受けた顧客が行う有価証券の売買その他の取引等に関する情報又は投資運用業に係る運用として行う有価証券の売買その他の取引等に関する情報を利用して、有価証券の売買その他の取引等の委託等（媒介、取次ぎ又は代理の申込みをいう。以下同じ。）を勧誘する行為 - 日本法令外国語訳データベースシステム

Therefore, the atmosphere was such that people felt as if they would miss the bus if they did not use the service of investment advisory companies to gain a favorable return on assets, and there were people and government organizations who actively promoted such moves, although I would not name them.発音を聞く 例文帳に追加

だから、早く投資顧問会社とか有利な運用をしないと、要するにバスに乗り遅れるというような雰囲気がありまして、がんがんそういうことを推進する人たち、あるいは推進している役所もあったのだろうと思います。 具体的には言いませんけれども。 - 金融庁