Securities Dealers Association of Japanとは 意味・読み方・使い方

(i) Whether the securities company, etc., has established appropriate rules regarding the screening of matters used for judgment as to the appropriateness of underwriting, such as the financial condition and business performance of issuers based on the self-regulatory regulations of the Japan Securities Dealers Association, entitled “Regulations Concerning Underwriting, etc. of Securities,” and whether it conducts effective screening in an appropriate manner.発音を聞く 例文帳に追加

① 日本証券業協会自主規制規則「有価証券の引受け等に関する規則」等を踏まえ、発行体の財務状態及び経営成績その他引受けの適否の判断に資する事項の審査に関する適切な規程が整備され、実質的な審査が的確に行われているか。 - 金融庁

Y = (subscribers’ yield (average simple yield) of the relevant bond (newly issued bond)) -(average simple yield (the value published one day after the terms-setting date), calculated on the basis of reference bond trading statistics published by the Japan Securities Dealers Association, of the government bond whose maturity date is closest to that of the relevant bond (newly issued bond))発音を聞く 例文帳に追加

Ｙ＝（当該債券（新発債）の応募者利回り（単利））－（当該債券（新発債）と償還日が最も近い国債の公社債売買参考統計値の平均値単利(条件決定日の翌日付で発表された値)） - 金融庁

(ix) Certificates of shares (limited to the certificates of shares listed in financial instruments exchanges or those registered in the registry of OTC traded securities held at the Japan Security Dealers Association, and those listed in (10); hereinafter the same shall apply in IV-4-2-4)発音を聞く 例文帳に追加

⑨ 株券（ただし、金融商品取引所に上場されている株券又は日本証券業協会に備える店頭売買有価証券登録原簿に登録されている株券であり、かつ、（10）によるものに限る。Ⅳ－４－２－４において同じ。） - 金融庁

To achieve this, the FSA will set up a conference regarding restoring confidence in and stimulating the markets for growing companies, composed of the FSA, exchanges, Japan Securities Dealers Association and the Japanese Institute of Certified Public Accountants, etc.発音を聞く 例文帳に追加

このため、金融庁、取引所、日本証券業協会、日本公認会計士協会等による新興市場等の信頼性回復・活性化策に係る協議会を設置する。 - 金融庁

Therefore, in examining the management of trading by securities companies, etc., conducted to prevent illegal trading by customers, supervisors shall pay attention to the following points with due consideration of “Regarding Members’ Development of Trading Management System for Prevention of Illegal Trading by Customers,” which is a resolution adopted by the Japan Securities Dealers Association’s Board of Governors.発音を聞く 例文帳に追加

そのため、日本証券業協会理事会決議「会員における顧客による不公正取引の防止のための売買管理体制の整備について」も踏まえ、顧客の不公正取引を防止するための売買管理に関して、以下の点に留意する必要がある。 - 金融庁

(i) Whether persons engaging in financial intermediary services (officers and employees engaging in financial intermediary services and managers in charge of internal control and other matters) have passed the securities sales representative qualification examination conducted by the Japan Securities Dealers Association and have a prescribed level of knowledge regarding relevant laws, regulations and rules.発音を聞く 例文帳に追加

① 金融商品仲介業務を行う者（金融商品仲介業務を行う役員、内部管理等の責任者等）が、日本証券業協会が実施する証券外務員資格試験に合格した者であり、法令、諸規則等につき一定以上の知識を有しているか。 - 金融庁

Whether the securities company, etc., in accordance with “Regarding Treatment of Changes in Assessment Rates for Cash Margin Deposit Substitute Securities Related to Margin Trading,” a resolution adopted by the Japan Securities Dealers Association’s Board of Governors, implements appropriate measures such as the provision of prior explanations regarding incidents which may lead to changes in the assessment rates, so as to ensure that all customers are aware of the changes, the notification of changes, the setting of the notification periods and the establishment of relevant internal rules.発音を聞く 例文帳に追加

証券会社等においては、日本証券業協会理事会決議「信用取引に係る委託保証金代用有価証券の掛目の変更等の取扱いについて」を踏まえ、掛目の変更等を行う事象の顧客への事前説明・周知、掛目変更に当たっての顧客への通知、変更に当たっての周知期間の設定、社内規則の制定等が適切に図られているか。 - 金融庁

With this in mind, in the case of trust beneficiary rights sellers who handle the sale, etc. of trust beneficiary rights, supervisors shall pay attention to the following points, in accordance with the self-regulatory regulations of the Japan Securities Dealers Association, entitled “Regulations Concerning the Distribution, etc. of Securitized Products.発音を聞く 例文帳に追加

そのため、信託受益権販売業者がこのような信託受益権の販売等を行う場合においても、日本証券業協会自主規制規則「証券化商品の販売等に関する規則」に準じて、以下のような点に留意するものとする。 - 金融庁