Solicitation Policyとは 意味・読み方・使い方

a. Whether the policies on the preparation of the list of parties to whom new shares are to be allocated and the solicitation of offers to purchase are adequately in accordance with the "principle of capital substantiation" and the policy of ensuring the soundness of capital.発音を聞く 例文帳に追加

イ．割当先名簿の作成及び取得の申込みの勧誘に係る方針は、「資本充実の原則」及び自己資本としての健全性の確保の観点を十分踏まえたものとなっているか。 - 金融庁

1) The FSA will examine the status of observance of sales and solicitation rules for insurance products, by making use of reports from insurance companies, etc., results of inspections conducted by inspection bureaus, information from the Counseling Office for Financial Services Users (such as the extent to which customers are provided with explanations of a "policy overview" and "alerting information," and the extent to which sales and solicitation rules for insurance products with strong investment characteristics subject to the Financial Instruments and Exchange Act are observed).発音を聞く 例文帳に追加

① 保険会社等からの報告、検査部局による検査の結果、金融サービス利用者相談室等からの情報などを活用し、保険商品の販売・勧誘ルールの遵守状況（例えば、「契約概要」や「注意喚起情報」の顧客への説明状況、金融商品取引法が適用される投資性の強い保険商品に係る販売・勧誘ルールの遵守状況等）を検証する。 - 金融庁

(2) The method specified by a Cabinet Order as prescribed in Article 9, paragraph (3) of the Act on Sales, etc. of Financial Products as applied mutatis mutandis pursuant to Article 220-3 of the Act shall be the method of posting the solicitation policy in a clearly visible manner or providing the solicitation policy for public inspection at the head office of the Futures Commission Merchant (with regard to a juridical person established in accordance with the laws and regulations of a foreign state, the principal business office in Japan; hereinafter the same shall apply in this paragraph and Article 29, paragraph (1), item (iv) and paragraph (3) of the same Article), and, in the cases listed in the following items, the methods specified respectively in those items:発音を聞く 例文帳に追加

２　法第二百二十条の三の規定により準用する金融商品の販売等に関する法律第九条第三項に規定する政令で定める方法は、商品取引員の本店（外国の法令に準拠して設立された法人にあつては、国内における主たる営業所。以下この項並びに第二十九条第一項第四号及び第三項において同じ。）において勧誘方針を見やすいように掲示する方法又は勧誘方針を閲覧に供する方法及び次の各号に掲げる場合に該当するときは、当該各号に定める方法とする。 - 日本法令外国語訳データベースシステム

(i) Cases where the Futures Commission Merchant concludes Brokerage Contracts at branch offices or any other business offices other than the head office (with regard to a juridical person established in accordance with the laws and regulations of a foreign state, secondary business offices in Japan; hereinafter referred to as the "Branch Office(s), etc." in this item and Article 29, paragraphs (2) and (3))- The method of posting the solicitation policy in a clearly visible manner or providing the solicitation policy for public inspection at each Branch Office, etc. where Brokerage Contracts will be concluded発音を聞く 例文帳に追加

一　商品取引員が、支店その他の本店以外の営業所（外国の法令に準拠して設立された法人にあつては、国内における従たる営業所。以下この号並びに第二十九条第二項及び第三項において「支店等」という。）において受託契約の締結を行う場合　受託契約の締結を行う支店等ごとに、勧誘方針を見やすいように掲示する方法又は勧誘方針を閲覧に供する方法 - 日本法令外国語訳データベースシステム

The FSA will examine the status of observance of sales and solicitation rules for insurance products by making use of reports from insurance companies, results of inspections conducted by inspection departments/bureaus, information from the Counseling Office for Financial Services Users In particular, the FSA will examine the extent to which policyholders are provided with explanations of a “policy overview” and “alerting information”, the extent to which “intention confirmation forms” are utilized so that prospective policyholders can select insurance products that meet their needs, and the extent to which insurance companies observe precautions upon providing comparison information.発音を聞く 例文帳に追加

保険会社等からの報告、検査部局による検査の結果、金融サービス利用者相談室等からの情報などを活用し、保険商品の販売・勧誘ルールの遵守状況を検証する。 - 金融庁

However, generally speaking, I understand that when a shareholder makes a proxy solicitation, he or she must provide clear explanations so that other shareholders can make appropriate judgment, while the company must also fully explain such matters as its management policy.発音を聞く 例文帳に追加

しかし、一般論で申し上げれば、いわゆる「委任状勧誘」を行う場合には、株主が適切に判断できるよう、分かりやすい説明が求められるとともに、会社側においても、その経営方針等について、十分な説明が求められるものだと考えております。 - 金融庁

(ii) Cases where the Futures Commission Merchant concludes Brokerage Contracts by making automatic transmissions, by wireless communications or wire telecommunications, intended for direct reception by the public, upon request from the public (hereinafter referred to as "automatic transmission" in this item) (excluding the cases set forth in the preceding item)- The method of making automatic transmission of the solicitation policy発音を聞く 例文帳に追加

二　商品取引員が、公衆によつて直接受信されることを目的として公衆からの求めに応じ自動的に無線通信又は有線電気通信の送信を行うこと（以下この号において「自動送信」という。）により受託契約の締結を行う場合（前号に掲げる場合に該当する場合を除く。）　勧誘方針を自動送信する方法 - 日本法令外国語訳データベースシステム

As a specific action based on this supervisory policy, on December 5, the FSA initiated the public comment procedure concerning a proposal to partially revise the Comprehensive Guidelines for Supervision of Financial Instruments Business Operators, etc. in an effort to enhance systems for solicitation and sales activities concerning currency-select-type funds, which involve complex exchange risk.発音を聞く 例文帳に追加

こうした監督方針を踏まえた具体的な取組みとして、12月5日、「金融商品取引業者等向けの総合的な監督指針」の一部改正案をパブリックコメントに付し、複雑な為替リスクを伴う通貨選択型ファンドの勧誘・販売態勢の充実などを図るところとしたところでございます。 - 金融庁