self-qualifiedとは 意味・読み方・使い方

As transactions involving securitization products are basically made between professional investors (e.g., securities companies, etc., and qualified institutional investors), they are unlikely to be subject to the legal regulation on disclosure and the legal obligation for explanations. However, regarding the sale of securitization products, supervisors shall pay attention to the following with due consideration of the viewpoint described above as well as the self-regulatory regulations of the Japan Securities Dealers Association, entitled “Regulations Concerning the Distribution, etc. of Securitized Products.”発音を聞く 例文帳に追加

証券化商品の取引は、基本的にはプロ同士（証券会社等と適格機関投資家等）の取引と考えられるため、法令上の開示規制や業者の説明義務の対象にはならない可能性が高いものの、その販売に関しては、上記の視点も勘案し、日本証券業協会自主規制規則「証券化商品の販売等に関する規則」を踏まえ、以下のような点に留意するものとする。 - 金融庁

When securities equivalents sellers, etc., (business operators engaging in the activities specified under Article 28(2)(i) of the FIEA (hereinafter referred to as “self-offering companies”) and business operators engaging in Article 28(1)(ii) of the FIEA (hereinafter referred to as “securities equivalent sellers”) that do not fall under the category of business operators engaging in specially permitted businesses for qualified institutional investors) have failed to properly notify customers of the following items, the situation shall be deemed to fall under the category of “situations in which information necessary for customers with regard to the status of delivery and other matters regarding the customers’ securities transactions is deemed not to have been properly provided,” as specified under Article 123(1)(viii) of the FIB Cabinet Office Ordinance.発音を聞く 例文帳に追加

みなし有価証券販売業者等（金商法第28条第２項第１号に規定する行為を業として行う者（以下「自己募集業者」という。）又は同項第２号に規定する行為を業として行う者（以下「みなし有価証券販売業者」という。）であって、金商法第63条第２項に規定する適格機関投資家等特例業務を行う者に該当しない者をいう。）が、次に掲げる事項を顧客に適切に通知していない場合は、金商業等府令第123条第１項第８号の規定「顧客の有価証券の売買その他の取引等に関し、受渡状況その他の顧客に必要な情報を適切に通知していないと認められる状況」に該当するものとする。 - 金融庁