投資金融業者の英語

そのため、「Ⅰ．基本的考え方」、「Ⅱ．金融商品取引業者等の監督に係る事務処理上の留意点」は、基本的には金融商品取引業者（第一種金融商品取引業、第二種金融商品取引業、投資運用業又は投資助言・代理業を行う者）又は登録金融機関を対象としつつ、適格機関投資家等特例業務を行う者、外国証券業者、金融商品仲介業者、証券金融会社、投資法人及び商品投資販売業者も念頭に置いた記述となっている。例文帳に追加

Accordingly, the contents of Section I “Basic Concept” and Section II “Points of Attention in the Conduct of Administrative Processes Regarding the Supervision of Financial Instruments Business Operators, etc.,” although basically covering persons engaging in Financial Instruments Business (Type I Financial Instruments Business, Type II Financial Instruments Business, Investment Management Business and Investment Advisory and Agency Business), also consider the supervision of persons engaging in businesses specially permitted for qualified institutional investors, foreign securities companies, financial instruments intermediary service providers, securities finance companies, investment corporations and commodities investment sales companies.発音を聞く  - 金融庁

当庁所管の金融機関（銀行、保険会社、証券会社、投資信託委託業者及び投資顧問業者等、以下「調査対象会社」）計1,252 社に対し、金融庁、財務局、日本証券業協会、日本証券投資顧問協会、投資信託協会を通じて調査票を配布した。例文帳に追加

Questionnaires were sent to the 1,252 financial institutions regulated by the FSA, including banks, insurance companies, securities companies, investment trust management companies and investment advisers (hereinafter ‘the surveyed companies’) through the FSA, local finance bureaus, the Japan Securities Dealers Association, the Investment Trusts Association and the Japan Securities Investment Advisers Association.発音を聞く  - 金融庁

金融商品取引法においては、投資家を「特定投資家」（いわゆる「プロ」）と「一般投資家」（いわゆる「アマ」）に区分し、この区分に応じて金融商品取引業者等の行為規制の適用を行うことにより、規制の柔軟化を図っている。例文帳に追加

Under the FIEA, investors are divided into “professional investors” and “general investors.”発音を聞く  - 金融庁

四　会員及び金融商品仲介業者の行う金融商品取引業に関する投資者からの苦情の解決例文帳に追加

(iv) to resolve complaints filed by investors with regard to Financial Instruments Business conducted by its members and Financial Instruments Intermediary Service Providers;発音を聞く  - 日本法令外国語訳データベースシステム

証券会社、投資ファンド、投資助言・代理業者、投資運用業者などの金融商品取引業者が取引内容につき広告を行う場合には、必ず以下の事項を表示する必要がある（金融商品取引法第３７条、金融商品取引法施行令第１６条及び金融商品取引業等に関する内閣府令第７３条から第７６条まで）。例文帳に追加

Where a financial instruments firm, such as a securities company, investment fund, investment advisory and brokerage company, or investment management company, advertises the contents of its transactions, such firm must indicate all of the following items, as required by Article 37 of the Financial Instruments and Exchange Law, Article 16 of the Cabinet Order for Enforcement of the Financial Instruments and Exchange Law and Articles 73 through 76 of the Cabinet Office Ordinance Regarding Financial Instruments Businesses, and other relevant laws:発音を聞く  - 経済産業省

第１種金融商品取引業者等130社（うち財務局等が行うもの 110社） 投資運用業者、投資助言・代理業者 65社（うち財務局等が行うもの 35社）自主規制機関必要に応じて実施第２種金融商品取引業者等 必要に応じて実施例文帳に追加

Type I Financial Instruments Businesses and Registered Financial Institutions.:130 firms (inc1uding 110 firms to be inspected by the Local Financial Bureaus) Asset management firms and Investment advisories/agencies: 65 firms (including 35 firms to be inspected by the Local Financial Bureaus) Self regulatory organizations: To be inspected as needed Type II Financial Instruments Business Operators, etc: To be inspected as needed発音を聞く  - 金融庁

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。例文帳に追加

(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  - 日本法令外国語訳データベースシステム

代理・媒介業者が銀行等金融機関である場合には、投資顧問契約又は投資一任契約の締結の代理又は媒介を行うに当たり、これら金融商品と預金等との誤認防止のための態勢が整備されているか。例文帳に追加

In cases where banks and other deposit-taking financial institutions engage in agency/brokerage services for the signing of investment advisory and discretionary investment contracts, whether they have developed a control environment that prevents customers from mistakenly believing these investments to be deposits.発音を聞く  - 金融庁