checks and balancesとは 意味・読み方・使い方

(2) CHECKS-AND-BALANCES FUNCTION発音を聞く 例文帳に追加

③ 取締役会は、監査等（内部監査及び外部監査）により把握した問題点について、率先してその改善に取り組んでいるか。 - 金融庁

(a) Have appropriate systems and measures been adopted, such as ensuring the independence of the chief compliance officer from the rating and sales divisions, etc. (hereinafter referred to as “sales divisions, etc.”) and granting the authority to exercise checks-and-balances functions against the sales divisions, etc.?発音を聞く 例文帳に追加

イ 法令等遵守責任者は、営業部門等の業務運営状況に関する検証により問題点を把握した場合には、その原因を究明し、必要な対策を講じているか。 - 金融庁

C. Whether the Financial Instruments Business Operator has established a sufficient system of checks and balances by, for example, ensuring independence of the division in charge of managing administrative risk from divisions in charge of sales operations.発音を聞く 例文帳に追加

ハ．事務リスクの管理部門は、例えば営業部門から独立するなど、十分に牽制機能が発揮されるよう体制が整備されているか。事務に係る諸規程が明確に定められているか。 - 金融庁

Whether the Financial Instruments Business Operator properly manages market risks by developing a comprehensive control environment for risk management, properly recognizing and evaluating the risks, properly setting and managing position limits and establishing a system of checks and balances based on the clear allocation of roles and responsibilities.発音を聞く 例文帳に追加

総合的なリスク管理態勢の整備、適切なリスク認識と評価、ポジション枠等の適切な設定と管理、役割分担と権限の明確化による相互牽制体制の構築等により、市場リスクが適切に管理されているか。 - 金融庁

Whether the Financial Instruments Business Operator properly manages liquidity risk by taking measures such as the following, depending on the contents and scale of its business, with the aim of developing a comprehensive control environment for risk management, properly recognizing and evaluating the risks and establishing a system of checks and balances based on the clear allocation of roles and responsibilities.発音を聞く 例文帳に追加

総合的なリスク管理態勢の整備、適切なリスク認識と評価及び役割分担と権限の明確化による相互牽制体制の構築等を図るため、業務の内容・規模に応じて例えば以下のような措置を講じるなど、流動性リスクを適切に管理しているか。 - 金融庁

Whether the Financial Instruments Business Operator properly manages counterparty risk by developing a comprehensive control environment for risk management, properly recognizing and evaluating the risks, conducting internal screening when a new product or a new business is introduced and establishing a system of checks and balances based on the clear allocation of roles and responsibilities.発音を聞く 例文帳に追加

総合的なリスク管理態勢の整備、適切なリスク認識と評価、新商品・新規業務導入時の社内検証の実施、役割分担と権限の明確化による相互牽制体制の構築等により、取引先リスクが適切に管理されているか。 - 金融庁

Moreover, in order to ensure the effectiveness of the operational control system, in addition to the internal checks and balances function of internal audits and so forth being adequately demonstrated, there also needs to be conditions and systems in place whereby the internal rules, etc. can be revised as needed based on examinations of the validity and effectiveness of the operational control system.発音を聞く 例文帳に追加

また、業務管理体制の実効性を確保するためには、内部監査等の内部牽制機能が十分発揮されるとともに、業務管理体制の妥当性及び実効性の検証を踏まえて、必要に応じ社内規則等の見直しが行われる態勢となっている必要がある。 - 金融庁

Consequently, even in cases where, for instance, a “division” described in the Inspection Manual has not been physically established, rather than judging the credit agency as being unsuitable on account of this alone, it should be kept in mind that a verification is necessary of whether problems may exist, from the view points such as whether the adequate compliance function with laws and regulation is equipped, or whether appropriate organizational structure is well established for internal checks and balances, in keeping with the characteristics, size and other attributes of the inspected agency.発音を聞く 例文帳に追加

したがって、検査マニュアルに記載のない事項についても、実際の検査において検査対象先の態勢又は業務の状況の実態を把握するために必要と判断される事項については、適宜、検証を行うこととする。 - 金融庁