「"日本証券"」に関連した英語例文の一覧と使い方 - Weblio英語例文検索

②金融商品取引法等の法規制や日本証券業協会等の規則に沿った内部規程・業務細則等の整備例文帳に追加

(2) Development of internal rules and operational procedures that are in accordance with laws and rules such as the Securities and Exchange Law and rules set by the Japan Securities Dealers Association and the like  - 金融庁

グリーンシートとは、1997年に日本証券業協会が設立した、非上場企業の株式を売買することができる制度。例文帳に追加

The green sheet system was set up by the Japan Securities Dealers Association in 1997, and is a system whereby investors can buy and sell stocks of unlisted companies. - 経済産業省

当庁所管の金融機関（銀行、保険会社、証券会社、投資信託委託業者及び投資顧問業者等、以下「調査対象会社」）計1,252 社に対し、金融庁、財務局、日本証券業協会、日本証券投資顧問協会、投資信託協会を通じて調査票を配布した。例文帳に追加

Questionnaires were sent to the 1,252 financial institutions regulated by the FSA, including banks, insurance companies, securities companies, investment trust management companies and investment advisers (hereinafter ‘the surveyed companies’) through the FSA, local finance bureaus, the Japan Securities Dealers Association, the Investment Trusts Association and the Japan Securities Investment Advisers Association.  - 金融庁

このため、金融庁、証券取引等監視委員会、取引所、日本証券業協会等においては、執行態勢の充実と連携の一層の強化を図るべきである。例文帳に追加

Therefore, the Financial Services Agency (FSA), the Securities and Exchange Surveillance Commission (SESC), the stock exchanges, and JSDA should work together to improve their enforcement capabilities.  - 金融庁

日本国債清算機関や日本証券業協会等の市場関係者において、以下の各取組を進めることを前提に、国債取引の清算集中を法令上措置することを検討する。例文帳に追加

Based on the presumption that the JGBCC, JSDA and other market participants will proceed with the following efforts, the FSA will consider the mandatory CCP clearing of JGB transactions as a statutory measure.  - 金融庁

① 証券会社等は、日本証券業協会理事会決議「協会員における注文管理体制の整備について」を踏まえ、社内規則を適切に整備し、役職員に対する周知、徹底を図っているか。例文帳に追加

(i) Whether the securities company, etc., has developed appropriate internal rules based on “Regarding Development of Order Management Systems at Members,” which is a resolution adopted by the Japan Securities Dealers Association’s Board of Governors, and strives to ensure that all officers and employees are aware of and comply with them,  - 金融庁

証券会社等は、関係当局や日本証券業協会等との連携の下、反社会的勢力との関係を有する可能性のある投資家について十分な売買管理・売買審査を行うことが望まれる。例文帳に追加

It is desirable that securities companies, etc., conduct sufficient trading management and screening with regard to investors who may be affiliated with antisocial forces, in cooperation with relevant authorities, the Japan Securities Dealers Association and other organizations.  - 金融庁

⑨ 株券（ただし、金融商品取引所に上場されている株券又は日本証券業協会に備える店頭売買有価証券登録原簿に登録されている株券であり、かつ、（10）によるものに限る。Ⅳ－４－２－４において同じ。）例文帳に追加

(ix) Certificates of shares (limited to the certificates of shares listed in financial instruments exchanges or those registered in the registry of OTC traded securities held at the Japan Security Dealers Association, and those listed in (10); hereinafter the same shall apply in IV-4-2-4)  - 金融庁

そしてまた日本国債清算機関、日本証券クリアリング機構、証券保管振替機構、ほふりクリアリングについては、午前7時時点で業務を正常に開始したことを確認しております。例文帳に追加

on exchanges across Japan (Tokyo Stock Exchange, Osaka Securities Exchange, Nagoya Stock Exchange, Sapporo Securities Exchange and Fukuoka Stock Exchange). It has also been confirmed that the Japan Government Bond Clearing Organization, the Japan Securities Clearing Corporation, the Japan Securities Depository Center and JASDAQ DVP Clearing Corporation started operation at 7 a.m. as usual.  - 金融庁

また、日本証券業協会及び投資信託協会においても、通貨選択型ファンドの勧誘・販売態勢の充実などを図るべく、先日、協会通知を発出したものと承知いたしております。例文帳に追加

I understand that the Japan Securities Dealers Association and the Investment Trusts Association have recently issued a notice intended to enhance systems for solicitation and sales activities concerning currency-select-type funds.  - 金融庁

このため、金融庁、取引所、日本証券業協会、日本公認会計士協会等による新興市場等の信頼性回復・活性化策に係る協議会を設置する。例文帳に追加

To achieve this, the FSA will set up a conference regarding restoring confidence in and stimulating the markets for growing companies, composed of the FSA, exchanges, Japan Securities Dealers Association and the Japanese Institute of Certified Public Accountants, etc.  - 金融庁

③金融商品取引法、投資信託及び投資法人に関する法律等の法規制や日本証券業協会等の規則に沿った内部規程・業務細則等の整備例文帳に追加

(3) Development of internal rules and operational procedures that are in accordance with laws and rules such as the Securities and Exchange Law, the Law concerning Investment Trusts and Investment Corporations and rules set by the Japan Securities Dealers Association and the like.  - 金融庁

株式がグリーンシート銘柄となるには、日本証券業協会が定める一定レベル以上のディスクロージャーを行うとともに、銘柄を取り扱う証券会社の審査が必要となる。例文帳に追加

For stocks to become green sheet stocks, companies need to satisfy certain disclosure rules set by the Japan Securities Dealers Association as well as submit to a screening process by the securities companies dealing with the stocks. - 経済産業省

先ほども申し上げましたように、自主規制機関である日本証券業協会においては、これに関連する自主規制ルールの策定作業に入るということがございましたし、また東京証券取引所においては同様の要請を自主規制機関として発出しているということでございまして、日本証券業協会、東京証券取引所といった自主規制機関と連携しつつ、当局としてもとりあえず同様の対応を促していくというのが本日の要請でございます。例文帳に追加

As I told you earlier, the JSDA, a self-regulatory body of the securities industry, plans to start working on relevant voluntary rules, while the Tokyo Stock Exchange also issued a request related to a similar matter as a self-regulatory body. In cooperation with self-regulatory bodies such as the JSDA and the TSE, we, the regulatory authorities, will encourage action in this regard. This is the purpose of our request today.  - 金融庁

６　旧法又は旧日本証券取引所法（昭和十八年法律第四十四号）の規定により罰金の刑に処せられた者は、第二十四条第一項第二号の規定の適用については、この法律により罰金の刑に処せられた者とみなす。例文帳に追加

(6) With regard to the application of the provisions of Article 24, paragraph (1), item (ii), those punished by the fine pursuant to the provisions of the Former Act or the Old Stock Exchange Act of Japan (Act No. 44 of 1943) shall be deemed to be those punished by the fine pursuant to this Act.  - 日本法令外国語訳データベースシステム

先般３月31日、日本証券業協会の特別委員会において、ジャスダック株式の譲渡について、大阪証券取引所が少なくとも過半数を取得することを認める方向で大阪証券取引所と協議を継続するといったことなどが合意されたというふうに承知をしております。例文帳に追加

My understanding is that an agreement was reached at a meeting of a special committee of the Japan Securities Dealers Association on March 31 that the negotiations with the OSE should be continued with a view to approving the purchase of a majority stake in Jasdaq by the OSE.  - 金融庁

またみなさまご承知のとおり、日本証券業協会におかれては、先日25日、「内部者取引防止に関する内部管理等検討ワーキング」を立ち上げ、協会員における法人関係情報の管理態勢等について検討を始めることを決定し発表されたところであります。例文帳に追加

As you know, the Japan Securities Dealers Association (JSDA) on April 25 announced a decision to establish a working group on the internal control for preventing insider trading in order to start a study on internal control systems regarding handling of corporate information by member companies.  - 金融庁

ＭＳＣＢ等に関しては、取引所や日本証券業協会において、適切な開示の確保や転換条件の適正化等の観点からルール整備が行われているが、これらのルールは、経済的にＭＳＣＢに類似した取引を十分に規律するものとなっていないとの問題がある。例文帳に追加

While rules concerning appropriate disclosure requirements and standardised terms of MSCB conversion have been developed by the stock exchanges and by Japan Securities Dealers Association (JSDA), a problem remains whereby these rules are insufficient to regulate instruments that are economically similar to MSCBs.  - 金融庁

うち、レポ取引の市場規模（残高）は、81兆円（平成 21年 10月末残、日本証券業協会統計）であり、コール市場の残高が 16兆円（平成 21年 10月末残、日本銀行統計）であることに比しても、レポ取引は、我が国の短期金融市場における金融機関の主要な資金調達手段としての位置付けを有している。例文帳に追加

These figures illustrate that repos are positioned as a major means of financing by financial institutions in Japan’s short-term money market.  - 金融庁

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。例文帳に追加

(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.  - 金融庁

そのため、日本証券業協会理事会決議「会員における顧客による不公正取引の防止のための売買管理体制の整備について」も踏まえ、顧客の不公正取引を防止するための売買管理に関して、以下の点に留意する必要がある。例文帳に追加

Therefore, in examining the management of trading by securities companies, etc., conducted to prevent illegal trading by customers, supervisors shall pay attention to the following points with due consideration of “Regarding Members’ Development of Trading Management System for Prevention of Illegal Trading by Customers,” which is a resolution adopted by the Japan Securities Dealers Association’s Board of Governors.  - 金融庁

そのため、信託受益権販売業者がこのような信託受益権の販売等を行う場合においても、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」に準じて、以下のような点に留意するものとする。例文帳に追加

With this in mind, in the case of trust beneficiary rights sellers who handle the sale, etc. of trust beneficiary rights, supervisors shall pay attention to the following points, in accordance with the self-regulatory regulations of the Japan Securities Dealers Association, entitled “Regulations Concerning the Distribution, etc. of Securitized Products.  - 金融庁

① 金融商品仲介業務を行う者（金融商品仲介業務を行う役員、内部管理等の責任者等）が、日本証券業協会が実施する証券外務員資格試験に合格した者であり、法令、諸規則等につき一定以上の知識を有しているか。例文帳に追加

(i) Whether persons engaging in financial intermediary services (officers and employees engaging in financial intermediary services and managers in charge of internal control and other matters) have passed the securities sales representative qualification examination conducted by the Japan Securities Dealers Association and have a prescribed level of knowledge regarding relevant laws, regulations and rules.  - 金融庁

６ 旧法又は旧日本証券取引所法（昭和十八年法律第四十四号）の規定により罰金の刑に処せられた者は、第二十四条第一項第二号の規定の適用については、この法律により罰金の刑に処せられた者とみなす。例文帳に追加

(6) With regard to the application of the provisions of Article 24, paragraph 1, item 2, those punished by the fine pursuant to the provisions of the Old Act or the Old Stock Exchange Act of Japan (Act No. 44 of 1943) shall be deemed to be those punished by the fine pursuant to this Act.  - 経済産業省

金融庁としては、新制度の円滑な移行に向けて、ウェブサイトでの広報のほか、日本証券業協会等関係団体とも連携しながら各証券会社等における顧客への説明を推進する等々といった、全体としての新制度の適切な周知に努めていきたいというふうに思っております。例文帳に追加

In order to smooth the way for a shift to the new system, the FSA will strive to fully communicate the substance of the new system to all the people by promoting explanations to customers by securities companies through cooperation with relevant organizations such as the Japan Securities Dealers Association, in addition to public relations activities conducted via our website.  - 金融庁

（注２）本プリンシプルをとりまとめるにあたっては、主な金融サービス提供者として全国銀行協会、全国地方銀行協会、第二地方銀行協会、全国信用金庫協会、全国信用組合中央協会、信託協会、国際銀行協会、生命保険協会、日本損害保険協会、外国損害保険協会、日本証券業協会と意見交換会を開催し、議論を行った。例文帳に追加

(Note2) In putting together the Principles, the FSA held a series of meetings to exchange views with the following major industry associations: the Japanese Bankers Association; the Regional Banks Association of Japan; the Second Association of Regional Banks; the National Association of Shinkin Banks; the National Central Society of Credit Cooperatives; the Trust Companies Association of Japan; the International Bankers Association; the Life Insurance Association of Japan; the General Insurance Association of Japan; the Foreign Non-Life Insurance Association of Japan and the Japan Securities Dealers Association.  - 金融庁

したがって、上記（１）、（２）で述べた対応に加え、取引所及び日本証券業協会においては、経済的にＭＳＣＢと類似したスキームについても、ＭＳＣＢと同様の規制に服するようルール整備を図るとともに、ＭＳＣＢ等の発行条件の合理性や発行後の行使状況等に係る開示の充実を図る等の措置が講じられるべきである。例文帳に追加

Therefore, in addition to the initiatives as discussed in (1) and (2) above, stock exchanges and JSDA should extend the remit of the MSCB rules to capture schemes that are economically similar to MSCBs. In addition, they should also stipulate disclosure requirements to enable assessment of the MSCB issuance terms, and to disclose on a regular basis concerning the exercise of conversion rights.  - 金融庁

財務局等において、問題のある大量保有報告書等を把握した場合には、調査・確認の段階に応じて、金融商品取引所、日本証券業協会のほか、必要に応じ、外国当局、外国取引所に対して速やかに情報提供を行うなど適切な連絡・連携を図っていくことが重要である。この連絡・連携は、例文帳に追加

When the local finance bureaus, etc., find suspicious large shareholding reports, it is important to properly communicate and cooperate with stock exchanges, the Japan Securities Dealers Association and, if necessary, overseas authorities and foreign stock exchanges, by promptly providing them with information in the course of the stages of investigation and confirmation. Such communication and cooperation is necessary at each of the following junctures:  - 金融庁

現在の金融商品毎に清算機関（日本証券クリアリング機構、ほふりクリアリング、日本国債清算機関、大阪証券取引所、東京金融取引所）が分立している状態の改善が図られれば、システム投資その他の共通コストの節減等を通じた提供サービスの効率化をはじめ、我が国市場の競争力強化に資するとの考え方がある。例文帳に追加

There is a view that, if improvements can be made to the current situation where CCPs are separately established for each type of financial instrument (Japan Securities Clearing Corporation, JASDEC DVP Clearing Corporation, JGBCC, Osaka Securities Exchange, and Tokyo Financial Exchange), then this will contribute to make Japan’s markets more competitive, including greater efficiencies in provided services, in part, through cutting systems investment costs and other common costs.  - 金融庁

Ｘ＝（類似の債券に係る「個人向け社債等の店頭気配情報発表制度」上の報告値（募集を行う日の前日付で発表された値）の平均値（注））－（類似の債券と償還日が最も近い国債の日本証券業協会発表の公社債売買参考統計値の平均値単利（募集を行う日の同日付で発表された値））例文帳に追加

X = (average (refer to Note) of reported values, as specified under the “System for Publication of Over-the-Counter Quotations Regarding Corporate Bonds, etc., Intended for Individuals” (values published on the day before the offer date) regarding the similar bond) - (average simple yield (the value published on the same day as the offer date), calculated on the basis of reference bond trading statistics published by the Japan Securities Dealers Association, of the government bond whose maturity date is closest to that of the similar bond)  - 金融庁

（注）「類似の債券に係る「個人向け社債等の店頭気配情報発表制度」上の報告値の平均値」は、「個人向け社債等の店頭気配情報発表制度」に基づき日本証券業協会に報告・発表される、当該類似の債券に係る各報告会員の報告値（単利）を単純平均したものとする。例文帳に追加

(Note) The “average of reported values as specified under the ‘System for Publication of Over-the-Counter Quotations Regarding Corporate Bonds, etc. Intended for Individuals’ regarding the similar bond” shall be a simple average of values (simple yields) that are reported by reporting members to and published by the Japan Securities Dealers Association under this system.  - 金融庁

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。例文帳に追加

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.”  - 金融庁

証券会社等においては、日本証券業協会理事会決議「信用取引に係る委託保証金代用有価証券の掛目の変更等の取扱いについて」を踏まえ、掛目の変更等を行う事象の顧客への事前説明・周知、掛目変更に当たっての顧客への通知、変更に当たっての周知期間の設定、社内規則の制定等が適切に図られているか。例文帳に追加

Whether the securities company, etc., in accordance with “Regarding Treatment of Changes in Assessment Rates for Cash Margin Deposit Substitute Securities Related to Margin Trading,” a resolution adopted by the Japan Securities Dealers Association’s Board of Governors, implements appropriate measures such as the provision of prior explanations regarding incidents which may lead to changes in the assessment rates, so as to ensure that all customers are aware of the changes, the notification of changes, the setting of the notification periods and the establishment of relevant internal rules.  - 金融庁

反社会的勢力又は反社会的勢力と密接な関係のある企業の株式等の上場を未然に防止する観点から、証券会社等は、関係当局や日本証券業協会等との連携の下、引受け等審査においてその事実を適切に把握するとともに、場合によっては引受け等を行わないこととするなどの対応を行うことが望まれる。例文帳に追加

From the viewpoint of preventing the listing of stocks issued by antisocial forces or by companies affiliated therewith, it is desirable that securities companies, etc., make sure to properly identify attempts to list such stocks in their screening for underwriting, through cooperation with relevant authorities, the Japan Securities Dealers Association and other organizations. and that they refuse to underwrite such stocks in some cases.  - 金融庁

それから３番目として、証券投資の裾野の拡大ということで、私に対して、これは特に総理からのご発想でございますけれども、従業員持株会による株式取得の円滑化を進めたいということで日本証券業協会の方に検討をお願いをいたしましたので、これも直ちに実行出来るというふうに考えてございます。例文帳に追加

Another planned measure is facilitating stock purchases by employees’ stock ownership schemes, which has been proposed by the Prime Minister. We have requested the Japan Securities Dealers Association to consider this measure, so we expect that it will be able to be implemented immediately.  - 金融庁

今後、各事項の内容の具体化に向け、金融庁に限らず、各取引所、日本証券業協会、日本公認会計士協会等の市場関係者も主体となって検討を行い、具体的な取組の実施期限を明確にした工程表を平成23年前半を目途に作成・公表することを求めることとする。例文帳に追加

The FSA will request market participants, such as each exchange, Japan Securities Dealers Association and the Japanese Institute of Certified Public Accountants to actively consider more specific details through studies of their own and will also seek to have them publish a timetable in the first half of 2011, with clear implementation deadlines for specific actions.  - 金融庁

これらの事項の多くは、上場等に係る実務・運営に関するものであることから、各取引所、日本証券業協会、日本公認会計士協会等の市場関係者が主体となってその内容の具体化につき検討を行い、具体的な取組の実施期限を明確にした工程表を、平成 23年前半を目途に作成・公表することを求めることとする。例文帳に追加

Many of these items are closely related to listing practices and operations. Therefore, the FSA will request market participants, such as each exchange, Japan Securities Dealers Association, and the Japanese Institute of Certified Public Accountants to actively consider more specific details through studies of their own. The FSA will also seek to have them publish a timetable in the first half of 2011, with clear implementation deadlines for specific actions.  - 金融庁

・日本公認会計士協会、日本証券業協会及び取引所の間で、例えば監査法人等との間でアドバイザリー契約を一定期間締結した実績がある等、一定水準の体制が整っていると認められる企業に対していわゆる遡及監査を行うことについての考え方を確認する。例文帳に追加

.The Japanese Institute of Certified Public Accountants, Japanese Securities Dealers Association and exchanges will cooperate to confirm concepts about conducting so-called retroactive audits for companies deemed to have a certain level of structures, such as companies that have signed an advisory contract with an audit firm for a certain period.  - 金融庁

大阪証券取引所とジャスダックの統合協議についてですが、日本証券業協会が大阪証券取引所にジャスダック株の売却交渉を決めたにもかかわらず、ジャスダックではシステム統合を拒否するなど、協議の難航も予想されておりますが、現状に対するご見解と、新興市場の低迷が続くとされる中での日本のマーケットとして競争力が上がる取引所の再編について、お考えがあればお聞かせ願います。例文帳に追加

I will ask you about negotiations about a plan to integrate the Osaka Securities Exchange (OSE) and Jasdaq. Jasdaq has refused to accept the ntegration of its system with the OSE's despite the decision by the Japan Securities Dealers Association (which owns Jasdaq) to enter negotiations with the OSE about the sale of shares in Jasdaq. The negotiations are thus expected to remain difficult. What is your assessment of the present situation and how Japan's exchanges should be realigned in order to enhance Japan's markets as a whole amid expectations that trading activity will remain sluggish on the markets for emerging companies?  - 金融庁

上場廃止銘柄を保有する投資者に対し、換金の場を提供するため、現在、グリーンシート市場の中に置かれているフェニックス銘柄（上場廃止銘柄）の分離、フェニックス銘柄の指定基準の緩和、証券保管振替機構における受渡決済業務の取扱い等について、日本証券業協会等での検討を踏まえ、平成１９年度中を目途に、関係者による制度整備を推進する。例文帳に追加

In order to provide investors with a venue to sell their holdings of delisted stocks, the FSA will promote the work by the parties concerned to develop, by end-March 2008, a framework for a secondary market for these stocks, including the separation of "phoenix stocks (delisted stocks)" from the "Green Sheet" market, the relaxation of the criteria for designating phoenix stocks, and handling of delivery and settlement operations by the Japan Securities Depository Center, Inc..This effort will be based on the deliberations made by the Japan Securities Dealers Association and others.  - 金融庁

・金商法第２条第１項第10号に規定する外国投資信託の受益証券及び同項第11号規定する外国投資証券のうち、外国投資法人の発行する投資証券に類する証券募集の取扱い又は私募の取扱いを業として行う者（上記⑦の事項を除き、⑨～8の事項は、日本証券業協会規則「外国証券の取引に関する規則」第21条第３項規定する代行協会員が設置されている場合にあっては、当該代行協会員に限る。）例文帳に追加

• Persons who engage in the business of handling public offerings or private placements of foreign investment trust beneficiary certificates specified in Article 2(1)(x) of the FIEA and foreign investment certificates specified in Article 2(1)(xi), which are similar to investment certificates issued by foreign investment corporations (excluding items in (vii) above; for items in (ix) to (xii), in cases where an Agent Association Member as specified in Article 21(3) of the Japan Securities Dealers Association’s “Regulations Concerning Foreign Securities Transactions” has been established, limited to that Agent Association Member);  - 金融庁

証券会社等がプレ・ヒアリングを自ら又は第三者に委託して行う場合には、金商業等府令及び日本証券業協会理事会決議「協会員におけるプレ・ヒアリングの適正な取扱いについて」を踏まえ、①法令遵守管理部門による承認、②調査対象者との間における当該有価証券等の売買等及び当該法人関係情報の提供をしないことを約する契約の締結、③記録書面の作成・保存を、自ら行う又は第三者に行わせることとしているか。例文帳に追加

In cases where a securities company, etc., holds pre-hearings or entrusts third-party entities to do so, whether it makes sure to either implement or entrust third-party entities with the implementation of (i) approval by the legal compliance division, (ii) signing of an agreement with the surveyed entity to not provide information regarding transactions related to the relevant securities and the relevant corporation and (iii) compilation and storage of written records based on the FIB Cabinet Office Ordinance and “Regarding Appropriate Treatment of Pre-Hearings by Members,” a resolution adopted by the Japan Securities Dealers Association’s Board of Governors.  - 金融庁

② 金融商品仲介業務に従事する者が法令を遵守するために顧客に告知しなければならない融資業務に係る情報や、金融商品仲介業務を行うため又は委託金融商品取引業者の法令遵守のために行われる当該委託金融商品取引業者との間での顧客情報の授受について、内部管理責任者（日本証券業協会自主規制規則「協会員の内部管理責任者等に関する規則」に定める内部管理責任者をいう。）等が適切に管理を行っているか。例文帳に追加

(ii) Whether internal administrators (referring to internal administrators prescribed in the self-regulatory regulations of the Japan Securities Dealers Association, entitled “Regulations Concerning Internal Administrators, etc., of Association Members”) appropriately control information exchanged among Financial Instruments Business Operators. Such information includes that pertaining to loan business to be given to clients for the purpose of legal compliance of those engaged in financial instruments intermediary services, as well as information for the purpose of conducting financial instruments intermediary services and the purpose of legal compliance of entrusted Financial Instruments Business Operators.  - 金融庁

証券優遇税制の関連で追加したいのですが、今のところ、幹事長が出されたものと、自民党の合同部会が出したもの、更に、日証協（日本証券業協会）が表面化させたもの、の3案が主なところではオープンになっていると思うのですが、それらはいずれをみても、既存の、金融庁が去年まとめたような形のものに更に上乗せしたり、年齢で分けたりと、税制としては非常に複雑なものにならざるを得ないと思うのですが、税制の簡素化であったり、あるいは、そもそも「貯蓄から投資へ」ということを考えると、景気対策で証券優遇（税制）を考えるべきではないという考え方もあると思うのですが、金融庁としてどういう方向を目指されていくのか、どういう方向で案を出すよう指示されるのか、もう少し教えていただけないでしょうか。例文帳に追加

I would like to ask you another question about tax breaks for securities investment. For now, there are three major proposals that have been made public: one from LDP Secretary-General Aso, one from the LDP's joint committee and one from the Japan Securities Dealers Association. Either of them would inevitably make the tax system very complicated, by making an addition to the existing measures adopted by the FSA on a provisional basis or by dividing taxpayers into age groups. It may be argued that from the viewpoint of simplifying the tax system or promoting a shift "from savings to investment," it would not be appropriate to consider introducing tax breaks as an economic stimulus measure. Could you tell me more about what kind of proposal will be made by the FSA?  - 金融庁