securities underwriting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

(f) other Managing Financial Instruments Business Operator for Underwriting (meaning a Financial Instruments Business Operator who holds discussion with the issuer or holder of the Securities for fixing the contents of the Wholesale Underwriting Contract, upon conclusion of the Wholesale Underwriting Contract); and発音を聞く 例文帳に追加

ヘ　他の引受幹事金融商品取引業者（元引受契約を締結するに際し、当該有価証券の発行者又は所有者と当該元引受契約の内容を確定させるための協議を行う金融商品取引業者をいう。） - 日本法令外国語訳データベースシステム

(iii) Subscribing or underwriting national government securities within the limit decided by the Diet as prescribed in the proviso of Article 5 of the Fiscal Act;発音を聞く 例文帳に追加

三　財政法第五条ただし書の規定による国会の議決を経た金額の範囲内において行う国債の応募又は引受け - 日本法令外国語訳データベースシステム

(a) Wholesale Underwriting of Securities that are specified by a Cabinet Order as those for which management of risks of loss is highly necessary;発音を聞く 例文帳に追加

イ　有価証券の元引受けであって、損失の危険の管理の必要性の高いものとして政令で定めるもの - 日本法令外国語訳データベースシステム

(iv) Whether the securities company, etc., has the function of examining and evaluating possible conflicts of interest between the underwriting division and other divisions.発音を聞く 例文帳に追加

④ 引受けを行うに当たり、社内の他の部署との利益相反を検証・評価する機能を有しているか。 - 金融庁

(ii) Independent underwriters are selected from among the securities companies, etc. that have sufficient experience in underwriting services and satisfy the following requirements:発音を聞く 例文帳に追加

② 以下の点に照らして引受業務に十分な経験を有する証券会社等を独立引受幹事会社とすること。 - 金融庁

Article 59 (1) Notwithstanding the provision of Article 29 and the preceding Article, a Foreign Securities Broker may, with the permission of the Prime Minister, participate in Wholesale Underwriting Contract (meaning the Wholesale Underwriting Contract prescribed in Article 21(4); hereinafter the same shall apply in paragraph (1), item (vi), sub-item (f) of the following Article) and conduct other acts specified by a Cabinet Order in Japan, amongst its business of underwriting of Securities (hereinafter collectively referred to as the "Underwriting Business" in this Section).発音を聞く 例文帳に追加

第五十九条　外国証券業者は、第二十九条及び前条の規定にかかわらず、内閣総理大臣の許可を受けて、その行う有価証券の引受けの業務のうち、元引受契約（第二十一条第四項に規定する元引受契約をいう。次条第一項第六号ヘにおいて同じ。）への参加その他の行為で政令で定めるものを国内において行うこと（以下この節において「引受業務」という。）ができる。 - 日本法令外国語訳データベースシステム

(iv) the Financial Instruments Business Operator or Registered Financial Institution that has concluded a Wholesale Underwriting Contract with the Issuer of the Securities for which the Public Offering was made or either the person specified in item (ii).発音を聞く 例文帳に追加

四　当該募集に係る有価証券の発行者又は第二号に掲げる者のいずれかと元引受契約を締結した金融商品取引業者又は登録金融機関 - 日本法令外国語訳データベースシステム