十三　投資顧問契約又は投資一任契約の締結の代理又は媒介例文帳に追加

(xiii) agency or intermediary service for conclusion of an Investment Advisory Contract or a Discretionary Investment Contract;発音を聞く  - 日本法令外国語訳データベースシステム

（１）投資顧問契約の解除（クーリングオフ）に係る留意事項例文帳に追加

(1) Points of Attention Regarding Cancellation of Investment Advisory Contracts発音を聞く  - 金融庁

ヘ．投資顧問契約又は投資一任契約の締結の媒介を業務として行おうとする場合その旨例文帳に追加

F. In cases where the service provider intends to act as a broker for investment advisory contracts or discretionary investment contracts, the intention must be indicated.発音を聞く  - 金融庁

一　投資顧問契約、投資一任契約若しくは第二条第八項第十二号イに掲げる契約の締結又は解約に関し、偽計を用い、又は暴行若しくは脅迫をする行為例文帳に追加

(i) an act of using fraudulent means or committing assault or intimidation with regard to the conclusion or cancellation of an Investment Advisory Contract, Discretionary Investment Contract or contract specified in Article 2(8)(xii)(b); and発音を聞く  - 日本法令外国語訳データベースシステム

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

三　第四十一条の四及び第四十一条の五　金融商品取引業者等が締結した投資顧問契約の相手方例文帳に追加

(iii) Article 41-4 and Article 41-5: the other party to an Investment Advisory Contract concluded by a Financial Instruments Business Operator, etc.; and発音を聞く  - 日本法令外国語訳データベースシステム

AIJ（投資顧問）の問題は、2月17日、金曜日でございますが、証券取引等監視委員会より、本年1月から実施しておりますAIJ投資顧問への検査の過程で、当社において投資一任契約に基づいて行う顧客資産の運用状況について疑義が生じている旨の連絡を受けました。例文帳に追加

As to the case of AIJ Investment Advisors, the SESC informed us on February 17 that questions had arisen during the inspection of the company about the status of investment of customers' assets based on discretionary investment contracts.発音を聞く  - 金融庁

金商法等による投資一任契約の締結に係る偽計の嫌疑で、今、AIJ投資顧問ほか関係先に対して強制捜査に着手しているわけでございまして、これはしっかりと内容把握に努めていきたいと、そう考えています。例文帳に追加

AIJ Investment Advisors and others concerned are under criminal investigation on suspicion of having committed fraud in relation to the conclusion of discretionary investment contracts under the Financial Instruments and Exchange Act. We will make strenuous efforts to identify facts.発音を聞く  - 金融庁

① 金商業等府令第115条第１項第１号に規定する「投資顧問契約の締結のために通常要する費用の額」とは、電話代、封筒代等をいい、旅費等は含まれない。例文帳に追加

(i) The “usual expenses necessary for the signing of an investment advisory contract,” as specified under Article 115(1)(i) of the FIB Cabinet Office Ordinance, include the costs of communications using telephone calls, mail and other means, but do not include travel expenses.発音を聞く  - 金融庁

それは私がたまたま所掌しているところが金融庁（の）担当国務大臣でございますから、特に投資顧問業者の（投資）一任（契約）について、まず事実を確認して、特に何か問題があれば、まずそこをきちんとやっていくということが私は大事だと思っております。例文帳に追加

As I am the Minister for Financial Services, I believe that it is important to identify facts, especially in relation to the discretionary investment contracts, and to take appropriate action if any particular problem is found.発音を聞く  - 金融庁

十一　当事者の一方が相手方に対して次に掲げるものに関し、口頭、文書（新聞、雑誌、書籍その他不特定多数の者に販売することを目的として発行されるもので、不特定多数の者により随時に購入可能なものを除く。）その他の方法により助言を行うことを約し、相手方がそれに対し報酬を支払うことを約する契約（以下「投資顧問契約」という。）を締結し、当該投資顧問契約に基づき、助言を行うこと。例文帳に追加

(xi) conclusion of a contract in which one of the parties promises to provide the other party with advice on the following matters, orally, in writing (excluding newspapers, magazines, books or others which are issued to be sold to many and unspecified persons and many and unspecified persons can buy as needed) or otherwise, and the other party promises to pay remuneration therefor (such a contract is hereinafter referred to as an "Investment Advisory Contract"), and provision of advice under the Investment Advisory Contract;発音を聞く  - 日本法令外国語訳データベースシステム

⑥ 注文伝票、媒介又は代理に係る取引記録、募集若しくは売出し又は私募に係る取引記録、募集若しくは売出しの取扱い又は私募の取扱いに係る取引記録及び投資顧問契約又は投資一任契約の締結の代理又は媒介に係る取引記録の作成に当たり、取引を行う際に取引契約書を取り交わす場合には、それぞれの帳簿書類の記載事項がすべて記載されている取引契約書をもってそれぞれの帳簿書類とすることができる。例文帳に追加

(vi) Individual books and documents may be substituted by the transaction contracts that list all the items to be listed in the respective books and documents, when creating: order forms; transaction records concerning intermediary or agency services; transaction records concerning public offering, secondary distribution or private offering; transaction records concerning the handling of public offering or secondary distribution or the handling of private offering; or transaction records concerning agency or intermediary services for concluding investment advisory contracts or discretionary investment contracts.発音を聞く  - 金融庁

年金資産の受託者としての信託銀行のあり方に問題はないのかというご質問だと思いますが、本件においては信託銀行は契約上、年金基金等顧客から投資一任を受けたAIJ投資顧問からの運用指図に従い顧客の資産運用・管理を行うこととなっており、投資判断を行う立場になかったものと承知をしております。例文帳に追加

I presume that you are asking whether there is not any problem with the role played by trust banks as the custodian of pension assets. In this case, under the contract terms, trust banks were responsible for managing and administering assets in accordance with instructions given by AIJ Investment Advisors based on discretionary investment contracts with pension fund operators and other clients, so I understand that they were not in a position to make investment decisions.発音を聞く  - 金融庁

それから経緯につきましては、もう今さっき大体申し上げましたけれども、まず、2月17日に、証券取引等監視委員会より、本年1月から実施しておりますAIJ投資顧問への検査の過程で、当社において投資一任契約に基づいて行う顧客資産の運用状況について疑義が生じている旨の連絡を受けました。例文帳に追加

As for the chronology of events, the SESC informed us on February 17 that questions had arisen about the status of AIJ Investment Advisors' management of customers' assets based on discretionary investment contracts during its inspection of the company, which has been continuing since January this year.発音を聞く  - 金融庁

また、証券取引等監視委員会は、同日、6月19日に金融商品取引法の「投資一任契約の締結に係る偽計」の嫌疑で、ＡＩＪ投資顧問ほか関係先に対し、２回目の強制調査を実施し、刑事告発を目指し調査を進めておりまして、必要に応じ捜査当局とも連携が図られているものと承知をしています。例文帳に追加

I am also aware that on the same day, the Securities and Exchange Surveillance Commission (SESC) conducted its second criminal investigation of AIJ Investment Advisors and relevant parties on suspicion of engaging in fraudulent practices related to the conclusion of discretionary investment contracts. The SESC is investigating this case while cooperating with the investigative authorities as needed, with a view to filing criminal accusations.発音を聞く  - 金融庁

九　法第二条第八項第十二号に掲げる行為（投資一任契約に係るものに限る。）のうち、商品投資顧問業者等（商品投資に係る事業の規制に関する法律（平成三年法律第六十六号）第三十三条第一項に規定する商品投資顧問業者等をいう。）が商品投資（同法第二条第一項に規定する商品投資をいう。）に付随して、通貨デリバティブ取引に係る権利に対する投資として、金銭その他の財産の運用を行う行為（当該商品投資に係る為替変動による損失の可能性を減殺することを目的とするものに限る。）例文帳に追加

(ix) the acts which are listed in Article 2, paragraph (8), item (xii) of the Act (limited to one pertaining to a Discretionary Investment Contract), in which a Commodity Trading Advisor, etc. (meaning a Commodity Trading Advisor, etc. as prescribed in Article 33, paragraph (1) of the Act on Control for Business Pertaining to Commodity Investment (Act No. 66 of 1991)) makes an investment of money or other properties as an investment in rights pertaining to a Currency Derivative Transaction in association with a Commodity Investment (meaning Commodity Investment as prescribed in Article 2, paragraph (1) of that Act) (limited to an act whose purpose is to abate any possible loss due to a fluctuation in the exchange rates pertaining to said Commodity Investment);発音を聞く  - 日本法令外国語訳データベースシステム

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。例文帳に追加

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  - 金融庁