売買担当者の英語

発注担当者が自分の出した有価証券売買の状況を常に把握できる表示システムなどを提供すること。例文帳に追加

To provide a display system capable of invariably grasping the state of the security transaction ordered by a person in charge of ordering. - 特許庁

運用担当者グループに属する運用担当者の運用能力の向上と、非常事態発生時において適切かつ迅速に、該当金融商品の運用能力が適した運用担当者グループへの金融商品の売買指示を行うことのできる金融商品運用装置を提供する。例文帳に追加

To provide a financial product operation device, capable of appropriately and rapidly performing, in a state of emergency, trade instruction of a financial product to an operation representative group with suitable operation capability for the financial product while improving the operation capabilities of operation representatives belonging to operation representative groups. - 特許庁

② 物件情報（売買に係る折衝状況等を含む。）について、一元的に管理できる態勢を構築し、利益相反取引防止の観点から、売買に係る折衝状況等をコンプライアンス担当者が管理できることとなっているか。例文帳に追加

(ii) Whether the real estate-related fund management company has developed a centralized management system for property information (including the state of negotiations concerning purchase and sales, etc.), and authorized compliance personnel to manage negotiations concerning sales and purchases from the perspective of preventing conflict of interest transactions.発音を聞く  - 金融庁

③ 格付担当者に対して利益相反のおそれのある有価証券の売買その他の取引等を行ってはならない旨を周知徹底しているか。例文帳に追加

(i) In order to ensure the adequate quality of information used in determining credit ratings, have policies and procedures for using that information been established? Have ratings actually been determined in accordance with those policies and procedures?発音を聞く  - 金融庁

これに関連して、信用格付業者は、金商業等府令第306条第１項第７号イにおいて、信用格付業に係る利益相反を防止するための業務管理体制の整備の一環として、格付担当者が利益相反のおそれのある有価証券の売買その他の取引等を行わないための措置等を講ずることが求められている（Ⅲ－２－１（６）参照）。例文帳に追加

In relation to this, as part of their development of operational control systems to prevent conflicts of interest related to the credit rating business, Article 306(1)(vii)(A) of the FIB Cabinet Office Ordinance requires credit rating agencies to implement measures, etc. designed to prevent their persons in charge of rating from conducting sales, purchases or other transaction of securities, etc. with a potential conflict of interest (see III-2-1(6)).発音を聞く  - 金融庁

②信用格付業者及びその役職員と格付関係者との関係が「密接な関係」に該当する場合のみならず、金商業等府令第306条第１項第７号イ（１）の「格付担当者が利益相反のおそれのある有価証券の売買その他の取引等」を行っている場合及び同号イ（２）の「役員又は使用人と格付関係者との間で利益相反のおそれのある場合」についても、役職員が、信用格付の付与に係る過程に関与しないような態勢となっているか。例文帳に追加

(ii) Whether there is a system in place to prevent officers and employees from being involved in processes relating to the determination of a credit rating, not only in cases where the relationship between the credit rating agency and its officers and employees and a rating stakeholder correspond to a “close relationship,” but also in cases where “a person in charge of rating conducts a sale, purchase or other transaction of securities, etc. with a potential conflict of interest” as prescribed in Article 306(1)(vii)(A)1. of the FIB Cabinet Office Ordinance, and “cases where there is a potential conflict of interest between an officer or employee and a rating stakeholder” as prescribed in clause (A)2. of the same article.発音を聞く  - 金融庁

ニ．どのような場合が金商業等府令第306条第１項第７号イ（１）の「格付担当者が利益相反のおそれのある有価証券の売買その他の取引等」を行っている場合及び同号イ（２）の「役員又は使用人と格付関係者との間で利益相反のおそれのある場合」に該当するかの基準をあらかじめ明確にし、これらに該当する場合には、役職員が信用格付の付与に係る過程に関与しない態勢となっているか。例文帳に追加

(d) Whether the credit rating agency has clearly established in advance the criteria for which cases correspond to cases where “a person in charge of rating conducts a sale, purchase or other transaction of securities, etc. with a potential conflict of interest” as prescribed in Article 306(1)(vii)(A)1. of the FIB Cabinet Office Ordinance, and “cases where there is a potential conflict of interest between an officer or employee and a rating stakeholder” as prescribed in clause (A)2. of the same article; and in applicable cases, whether there is a system in place to prevent officers and employees from being involved in processes relating to the determination of the credit rating.発音を聞く  - 金融庁