scope of securitiesとは 意味・読み方・使い方

At present, discussions on the scope of hedge funds to be regulated, the content of the regulation and other such topics are continuing at various international fora, including at the International Organization of Securities Commissions (IOSCO), and Japan has been an active participant.発音を聞く 例文帳に追加

現在、証券監督者国際機構（IOSCO）等の国際的な議論の場において、規制すべきヘッジ・ファンドの範囲、規制の内容等について議論が続けられており、我が国も積極的に参加しているところである。 - 金融庁

As a result of a series of regulatory reforms, including the revision of the Financial Instruments and Exchange Act (FIEA), the scope of business operators subject to SESC’s inspection has grown from several hundreds of securities firms to more than nine thousand financial instruments firms, encompassing a wide variety of different business sectors.発音を聞く 例文帳に追加

金融商品取引法を含めた累次の制度改革の結果、証券監視委の検査対象は、数百社余りの証券会社から、９千社以上もの多種多様な業態を包含する、金融商品取引業者等へと大幅に増加している。 - 金融庁

(ii) Whether the securities company, etc. has prepared a summary of the conflict of interest management policy to be publicized, while taking into consideration the contents, characteristics, scales, etc. of the securities company, etc. and its parent/subsidiary financial institutions, and whether such summary specifies, in an easily understandable manner, the types of transactions involving the risk of conflict of interest, methods of conflict of interest management, conflict of interest management system, and scope of companies subject to conflict of interest management.発音を聞く 例文帳に追加

② 公表すべき利益相反管理方針の概要は、証券会社等及びその親金融機関等又は子金融機関等の業務の内容・特性・規模等を勘案した上で、利益相反のおそれのある取引の類型、利益相反管理の方法、利益相反管理体制及び利益相反管理の対象となる会社の範囲を分かりやすく記載したものとなっているか。 - 金融庁

However, given that it is also considered that the goal of encouraging the diverse business development and the diversification and differentiation of management of securities companies under a registration system should continue to be maintained, the introduction of ex ante regulation, such as outright restrictions on the scope of business, should be avoided.発音を聞く 例文帳に追加

しかしながら、登録制の下、証券会社の多様な業務展開を促し、経営の多様化・差別化を促すべきとの目標は引き続き維持すべきと考えられることから、業務範囲規制のような事前規制の導入は避けるべきと考えられる。 - 金融庁

The project for reviewing the securities inspection process that was announced by the SESC is intended to verify the effectiveness of securities inspection, including the present way of examining the soundness of securities companies’ financial positions and risk management systems, and to check whether any improvement is necessary in light of new developments, such as regulatory changes, including an expansion of the scope of companies subject to inspection following the entry into force of the Financial Instruments and Exchange Act and the launch of the “Better Regulation” (improvement in the quality of financial regulation) initiative.発音を聞く 例文帳に追加

監視委員会が発表した「証券検査に係る業務点検プロジェクト」の実施は、金融商品取引法施行による検査対象業者の範囲の拡大といった制度面の変更やベター・レギュレーション（金融規制の質的向上）の取組みといった新しい動きを踏まえて、これまでの証券会社の財務の健全性やリスク管理態勢の検証を含む証券検査の実効性を改めて確認しつつ、改善すべき点があるかどうかについて検証するものであると思っております。 - 金融庁

(iii) Financial Instruments Specialists that, apart from Securities Services (meaning Securities Services as defined in Article 28, paragraph (8) (General Rules) of the Financial Instruments and Exchange Act; the same shall apply hereinafter), exclusively engage in business activities for carrying out the acts listed in any of items (i) to (viii) inclusive of Article 35, paragraph (1) (Scope of Business Activities of Persons Who Engage in Type I Financial Instruments Services or Investment Management) of that Act and other business activities specified by Cabinet Office Ordinance (hereinafter referred to as "Specialized Securities Companies");発音を聞く 例文帳に追加

三　金融商品取引業者のうち、有価証券関連業（金融商品取引法第二十八条第八項（通則）に規定する有価証券関連業をいう。以下同じ。）のほか、同法第三十五条第一項第一号から第八号まで（第一種金融商品取引業又は投資運用業を行う者の業務の範囲）に掲げる行為を行う業務その他の内閣府令で定める業務を専ら営むもの（以下「証券専門会社」という。） - 日本法令外国語訳データベースシステム

(i) Whether the securities company, etc. has, in advance, notified corporate customers of the scope of non-disclosure information to be exchanged with its parent/subsidiary corporations, etc., the scope of the parent/subsidiary corporations, etc. with which it will exchange non-disclosure information, the method of exchange of non-disclosure information, the method of management of non-disclosure information employed by the recipients of the information, the purpose of use of non-disclosure information by the recipients, and the method of management of non-disclosure information in the event of suspension of exchange of the information.発音を聞く 例文帳に追加

① 法人顧客に対し、あらかじめ親子法人等との間で授受を行う非公開情報の範囲、非公開情報の授受を行う親子法人等の範囲、非公開情報の授受の方法、提供先における非公開情報の管理の方法、提供先における非公開情報の利用目的及び親子法人等との間での非公開情報の授受を停止した場合における当該非公開情報の管理方法を通知しているか。 - 金融庁

(iii) Financial Instruments Business Operators (meaning Financial Instruments Business Operators as defined in Article 2(9) (Definitions) of the Financial Instruments and Exchange Act; the same shall apply in Article 52-4(1) of this Act) which, apart from Securities-Related Business (meaning Securities-Related Business as defined in Article 28(8) (Definitions) of that Act; the same shall apply hereinafter), exclusively engage in business of carrying out the acts listed in any of item (i) to (viii) inclusive of Article 35(1) (Scope of Businesses of Persons Who Engage in Type I Financial Instruments Business or Investment Management Business) of that Act and other businesses specified by a Cabinet Office Ordinance (hereinafter referred to as a "Companies Specialized in Securities Business");発音を聞く 例文帳に追加

三　金融商品取引業者（金融商品取引法第二条第九項（定義）に規定する金融商品取引業者をいう。第五十二条の四第一項において同じ。）のうち、有価証券関連業（同法第二十八条第八項（定義）に規定する有価証券関連業をいう。以下同じ。）のほか、同法第三十五条第一項第一号から第八号まで（第一種金融商品取引業又は投資運用業を行う者の業務の範囲）に掲げる行為を行う業務その他の内閣府令で定める業務を専ら営むもの（以下「証券専門会社」という。） - 日本法令外国語訳データベースシステム