compliance officerとは 意味・読み方・使い方

(c) Whether the credit rating agency has established a system for communicating and reporting compliance-related information appropriately among the management team, the divisions in charge of the credit rating activities, and the legal compliance division, chief compliance officer or other person in charge.発音を聞く 例文帳に追加

ハ．法令等遵守関連の情報が、信用格付行為を行う部門、法令等遵守部門／法令等遵守責任者等の担当者及び経営陣の間で、的確に連絡・報告される体制となっているか。 - 金融庁

(b) Whether the credit rating agency has clearly established the authority and responsibility of the chief compliance officer, and whether there is a system in place for his/her function to be fully exercised.発音を聞く 例文帳に追加

ロ．法令等遵守責任者の権限と責任を明確にし、その機能が十分に発揮される態勢となっているか。 - 金融庁

With regard to operation divisions and sales branches for which it is especially necessary to secure the effectiveness of the legal compliance system, for example because it is difficult to monitor their operations (e.g. overseas branches), does the Board of Directors allocate a compliance officer responsible for securing legal compliance at such divisions and branches and ensure that coordination with the Compliance Control Division is maintained through the coordination between the compliance officer and the Manager while keeping independence from the Marketing and Sales Division?発音を聞く 例文帳に追加

また、モニタリングが困難等の事情により法令等遵守態勢の実効性を確保する必要が高い業務部門や営業店等（例えば海外拠点等）には、例えば、当該部署の法令等遵守を確保するコンプライアンス・オフィサーを配置し、営業推進部門等からの独立性を確保しつつ、管理者と連携させる等の工夫によりコンプライアンス統括部門との連携を保っているか。 - 金融庁

(3) The amount of security money set forth in item (ii) of the preceding paragraph shall be determined by the regulating officer, in accordance with the classification, manner and other conditions of the incident and in compliance with the standards specified by the competent minister, pursuant to the provision of the Cabinet Order.発音を聞く 例文帳に追加

３　前項第二号の担保金の額は、事件の種別及び態様その他の情状に応じ、政令で定めるところにより、主務大臣の定める基準に従つて、取締官が決定するものとする。 - 日本法令外国語訳データベースシステム

(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

(a) In the event the chief compliance officer identifies a problem through verification of the business operations of the sales divisions, etc., does he/she investigate the causes and take necessary actions?発音を聞く 例文帳に追加

ハ 社内規程は、法令等の改正、組織又は業務運営環境の変化等に応じ、適時、必要な見直しが行われているか。⑤ 実践計画・行動規範 - 金融庁

For interception against the intellectual property infringement, the tariff officer and other competent officers at the border shall have rights and duty in inspecting the imported-exported goods, seizing and confiscating the intellectual property infringed goods, in compliance with the laws and regulations.例文帳に追加

知的財産の侵害阻止のため、関税官及び他の担当官は国境で、法と規則に従い知的財産の侵害品を押収及び没収し、輸出入商品の査察を行う権利と義務を有する。 - 特許庁

(c) Does the credit rating agency clarify the matters to be communicated, reported and discussed between the chief compliance officer and the sales divisions, etc., as well as the associated methods; and have business operations actually been conducted in accordance with them?発音を聞く 例文帳に追加

イ グループ法人内に存在する共通ルール（特に海外グループ法人が作成したルール）等を導入する際に、本邦法令等に照らして当該ルールが不適切ではないか又は不十分ではないか等について検討を行っているか。 - 金融庁