「内部管理責任者」に関連した英語例文の一覧と使い方 - Weblio英語例文検索

・ 社員会、最高経営責任者及び品質管理担当責任者の役割等が不明確であったことから、それぞれの指示監督が不十分となり、法令等遵守態勢、情報管理態勢、日常的監視、内部規程の整備・周知及び監査調書の管理などに不備がみられる。例文帳に追加

Those deficiencies led to defects in certain areas, such as the development of the firm's compliance system, information security, monitoring system, the establishment and notification of internal rules, and the retention of audit files.  - 金融庁

例えば、金融円滑化管理責任者に信用リスク管理部門や顧客説明管理責任者等、営業推進部門等が遵守すべき内部規程・業務細則等を特定させ、効果的な研修を定期的に行わせる等の具体的な施策を行うよう指示しているか。例文帳に追加

For example, does the Board of Directors or organization equivalent to the Board of Directors instruct the Finance Facilitation Manager to take concrete measures such as specifying the internal rules and operational procedures that must be observed by the Credit Risk Management Division, Customer Explanation Manager, Marketing and Sales Division, etc., and conducting effective training on a regular basis?  - 金融庁

（ⅱ）利益相反管理責任者は、顧客保護等管理方針に則り、利益相反管理の適切性を確保するための取決めを明確に定めた内部規程（以下「利益相反管理規程」という。）を策定しているか。例文帳に追加

(ii) Has the Conflict of Interest Manager developed internal rules that clearly define the arrangements for appropriate Conflict of Interest Management (hereinafter referred to as the “Conflict of Interest Management Rules”) in accordance with the Customer Protection Management Policy?  - 金融庁

取締役会等は、金融円滑化管理方針に則り、金融円滑化管理に関する取決めを明 確に定めた内部規程（以下「金融円滑化管理規程」という。）を、金融円滑化管理態勢を整備・確立するための金融円滑化管理全般を統括する責任者（以下「金融円滑化管理責任者」という。）に策定させているか。例文帳に追加

Has the Board of Directors or organization equivalent to the Board of Directors had the manager in charge of supervising overall Finance Facilitation Management for developing and establishing the Finance Facilitation Management system (hereinafter referred to as the “Finance Facilitation Manager”) develop internal rules that clearly specify the arrangements on the management of finance facilitation (hereinafter referred to as the “Finance Facilitation Management Rules”) in accordance with the Finance Facilitation Management Policy?  - 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

④内部管理部門に設置する非公開情報の管理を行う責任者等が、営業部門等に対し十分に牽制機能を発揮できるよう、例えば以下の措置が講じられているか。例文帳に追加

(iv) Whether the securities company, etc. has taken measures, such as the following, so that the person responsible for the management of non-disclosure information, assigned within the internal control division, can fully check the sales division, etc.  - 金融庁

（ⅰ）外部委託管理責任者は、外部委託に関し、その管理の方法、確認すべき項目及び手続に関する取決め及び判断基準等を定めた内部規程（以下「外部委託規程」という。）を策定しているか。例文帳に追加

(i) With regard to outsourcing management, has the Outsourcing Manager developed internal rules that specify the management method, the rules and arrangements on matters and procedures that must be checked and the judgment criteria (hereinafter referred to as the “Outsourcing Rules”)?  - 金融庁

団体内部における統計情報の収集・管理の責任者を明確に限定するとともに、外部や他部署との情報遮断を行う等の情報管理を徹底すること。例文帳に追加

The person responsible for the collection and management of statistical data within the trade association should be clearly restricted and information should be carefully managed by, for example, implementing an information firewall with regard to external parties and other departments. - 経済産業省

顧客情報統括管理責任者は、顧客情報管理担当者を通じて、各部門の内部規程及び顧客情報管理マニュアルの遵守状況及び顧客情報の管理状況について継続的にモニタリングを実施しているか。例文帳に追加

Does the Customer Information Supervisory Manager, through the person in charge of customer information management, monitor on an ongoing basis the status of compliance with the internal rules and the Customer Information Management Manual as well as the status of customer information management at each division?  - 金融庁

取締役会等は、顧客保護等管理方針に則り、顧客説明管理、顧客サポート等管理、顧客情報管理、外部委託管理、利益相反管理に関する取決めを明確に定めた内部規程（以下総称して「顧客保護等管理規程」という。）を各顧客保護等管理に係る管理責任者に策定させているか。例文帳に追加

Has the Board of Directors or organization equivalent to the Board of Directors had the Managers in charge of operations concerning Customer Protection Management develop internal rules that clearly specify the arrangements on the management of Customer Explanation and Customer Support, as well as Customer Information Management, Outsourcing Management and Conflict of Interest Management (hereinafter referred to as the “Customer Protection Management Rules”) in accordance with the Customer Protection Management Policy?  - 金融庁

（ⅱ）顧客サポート等管理責任者は、顧客保護等管理方針に則り、顧客サポート等の適切性及び十分性を確保するための取決めを決定し、当該業務についての管理を行うための取決めを明確に定めた内部規程（以下「顧客サポート等管理規程」という。）を策定しているか。例文帳に追加

(ii) Has the Customer Support Manager decided on the arrangements for securing appropriate and sufficient Customer Support and developed internal rules that clearly define the arrangements for managing the related business (hereinafter referred to as the “Customer Support Management Rules”) in accordance with the Customer Protection Management Policy?  - 金融庁

④開示等の求め及び苦情を受け付け、その処理に尽力するとともに、個人データの内容等について、開示、訂正、利用停止等の権限を有し、安全管理等個人データの管理について責任を有する者の氏名又は名称（共同利用者の中で、第一次的に苦情の受付・処理、開示・訂正等を行う権限を有する事業者を、「責任を有する者」といい、共同利用者の内部の担当責任者をいうのではない。）例文帳に追加

4) Name of an individual or business operator who accepts a request for disclosure as well as a complaint and makes efforts to handle it, has an authority to disclose, correct, and discontinue to utilize, etc. the content of personal data, etc., and is responsible for the management, including security control, of personal data (among joint users, a business operator, who primarily has the authority of accepting and handling a complaint as well as disclosing and correcting, etc. personal data, is called a “responsible individual or entity”, and a “responsible individual or entity” does not mean a responsible official within a joint user.)  - 経済産業省

③ 証券会社等及び非公開情報の授受を行う親子法人等のそれぞれにおいて、内部管理部門に非公開情報の管理を行う責任者を設置するなど、非公開情報の管理を一元的に行う体制が整備されているか。例文帳に追加

(iii) Whether the securities company, etc. and its parent/subsidiary corporations, etc., with which the former exchanges non-disclosure information, have developed centralized systems for management of non-disclosure information, including appointing a person responsible for management of non-disclosure information within their internal control divisions;  - 金融庁

（ⅰ）取締役会等は、信用リスク管理部門や顧客説明管理責任者等、営業推進部門等を含む金融円滑化管理の必要性が存在する部門・部署・職員等に対し、遵守すべき内部規程・業務細則等を周知させ、遵守させる態勢を整備しているか。例文帳に追加

(i) Does the Board of Directors or organization equivalent to the Board of Directors provide a system to disseminate internal rules and operational procedures to the divisions, departments and employees whose operations require Finance Facilitation Management, including the Credit Risk Management Division, Customer Explanation Manager, Marketing and Sales Division, etc., and have them comply with the rules and procedures?  - 金融庁

ニ．行おうとする業務の適確な遂行に必要な人員が各部門に配置され、内部管理等の責任者が適正に配置される組織体制、人員構成にあること。例文帳に追加

D. The Financial Instruments Business Operator must be staffed and organized so that managers in charge of internal control are appropriately allocated, and personnel necessary for conducting business in an appropriate manner are allocated to individual divisions.  - 金融庁

ハ．行おうとする業務の適確な遂行に必要な人員が各部門に配置され、内部管理等の責任者が適正に配置される組織体制、人員構成にあること。例文帳に追加

C. The market derivatives business operator must be staffed and organized so that personnel necessary for conducting business in an appropriate manner are allocated to individual divisions, and managers in charge of internal control are appropriately allocated.  - 金融庁

ホ．上記ハ及びニのほか、行おうとする業務の適確な遂行に必要な人員が各部門に配置され、内部管理等の責任者が適正に配置される組織体制、人員構成にあること。例文帳に追加

E. In addition to securing the personnel described in C. and D. above, the Financial Instruments Business Operator must be staffed and organized so that personnel necessary for conducting relevant business in an appropriate manner are allocated to individual divisions and managers in charge of internal control are appropriately allocated.  - 金融庁

① 行おうとする業務の適確な遂行に必要な人員が各部門に配置され、内部管理等の責任者が適正に配置される組織体制、人員構成となっているか。例文帳に追加

(i) Whether the registered financial institution is staffed and organized so that personnel necessary for conducting relevant business in an appropriate manner are allocated to individual divisions and managers in charge of internal control are appropriately allocated.  - 金融庁

例えば、各管理責任者に、営業推進部門等が遵守すべき内部規程・業務細則等を特定させ、効果的な研修を定期的に行わせる等の具体的な施策を行うよう指示しているか。例文帳に追加

For example, does the Board of Directors or organization equivalent to the Board of Directors instruct the Managers to take concrete measures such as specifying the internal rules and operational procedures that must be observed by the Marketing and Sales Division, etc. and conducting effective training on a regular basis?  - 金融庁

（ⅱ）顧客サポート等管理責任者は、顧客からの相談・苦情等の内容及び処理結果を、適時にコンプライアンス統括部門、内部監査部門等に報告しているか。例文帳に追加

(ii) Does the Customer Support Manager report the details of Consultation Requests, Complaints and the results of the processing thereof in a timely manner to the Compliance Control and Internal Audit Divisions, etc.?  - 金融庁

＊個人データの安全管理に関する従業者の役割・責任を職務分掌規程、職務権限規程等の内部規程、契約書、職務記述書等に具体的に定めることが望ましい。例文帳に追加

* It is preferable to concretely stipulate the role and responsibility of worker regarding the security control of personal data in the internal regulations including regulations for segregation of duties and regulations for official authority, contract, and job description, etc.  - 経済産業省

ロ．取引実態の把握において、取引内容を直接顧客に確認する必要があると判断した顧客については、例えば各営業部門における管理責任者等（担当者以外の責任者で内部管理責任者、部店長等を含む。以下同じ。）による顧客面談等を適時・適切に実施し、取引実態の的確な把握に努めているか。また、契約締結以降も、長期にわたって取引が継続するデリバティブ取引等の実態の把握について、同様の取組みをしているか。例文帳に追加

B. Regarding customers who are deemed to require direct contact in order to check the contents of their transactions, whether the Financial Instruments Business Operator strives to identify the actual transaction status by appropriately, for example, having a sales division manager (this should be a person other than the employee in charge of handling the said customers but may be the manager in charge of internal control or the head of a division, a branch office or a person with a similar status; the same shall apply hereafter) conduct an interview with the said customers in a timely and appropriate manner.  - 金融庁

（ⅱ）顧客情報統括管理責任者は、顧客保護等管理方針に則り、顧客情報管理の適切性を確保するための組織体制及び顧客情報管理に関するモニタリングの方法を決定し、当該業務についての管理を行うための取決めを明確に定めた内部規程（以下「顧客情報管理規程」という。）を策定しているか。例文帳に追加

(ii) Has the Customer Information Supervisory Manager decided the method of monitoring and the organizational framework for securing appropriate Customer Information Management and developed internal rules that clearly define the arrangements for managing the relevant business (hereinafter referred to as the “Customer Information Management Rules”) in accordance with the Customer Protection Management Policy?  - 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

（ⅱ）顧客説明管理責任者は、顧客保護等管理方針に則り、顧客説明の適切性及び十分性を確保する必要性のある業務の特定、顧客説明に関するモニタリングの方法を決定し、これに基づいた当該業務についての管理を行うための取決めを明確に定めた内部規程（以下「顧客説明管理規程」という。）を策定しているか。例文帳に追加

(ii) Has the Customer Explanation Manager, in accordance with the Customer Protection Management Policy, specified the business which require appropriate and sufficient Customer Explanation, decided the method of monitoring with regard to Customer Explanation and developed internal rules that clearly define the arrangements for managing those business (hereinafter referred to as the “Customer Explanation Management Rules”)?  - 金融庁

顧客保護等管理責任者は、統合的リスク管理方針に定める新規商品等に関し、統合的リスク管理部門の要請を受けた場合、事前に当該新規商品等に関する規制、内部規程等を調査し、顧客保護等の観点から生じうる問題点を洗い出した上で、統合的リスク管理部門に適時に報告しているか。例文帳に追加

Does the Manager in charge of Customer Protection Management conduct prior investigations with regard to the public and internal rules that concern new products specified in the Comprehensive Risk Management Policy when requested by the Comprehensive Risk Management Division and report to the division in a timely manner after identifying issues that may arise from the viewpoint of Customer Protection?  - 金融庁

③ 優越的地位を不当に利用する行為を防止するための措置を講じる責任を有する部署を設置し、又は担当者を配置し、かつ、それらの部署又は担当者によって当該行為の防止措置が適切に講じられているかを検証するための内部管理態勢が整備されているか。例文帳に追加

(iii) Whether the securities company, etc. has established a division responsible for the implementation of measures to prevent abuse of a superior position or appointed a person responsible therefor, and developed an internal control environment for examining whether the said division or person is properly implementing the prevention measures.  - 金融庁

① 当該行為を防止するための措置を講ずる責任を有する部署を設置し、又は担当者を配置し、かつ、それらの部署又は担当者によって当該行為の防止措置が適切に講じられているかを検証するための内部管理態勢が整備されているか。例文帳に追加

(i) Whether the registered financial institution has established a division responsible for the implementation of measures to prevent the said abuse or appointed a person responsible therefor and developed an internal control environment for examining whether the said division or person is properly implementing the prevention measures.  - 金融庁

この担当者／チームは、データ管理計画の実施・維持、インベントリの質の継続的な改善、内部のデータ交換および外部の双方向交流（サプライヤー、報告プログラム、アシュランス実施者などとの交流）の調整に対する責任を負う。例文帳に追加

This person/team should be responsible for implementing and maintaining the data management plan, continually improving the quality of the inventory, and coordinating internal data exchanges and external interactions (such as with suppliers, reporting programs and assurance providers).  - 経済産業省

監査人は、重要な欠陥以外の不備を積極的に発見することを要求されてはいないが、監査の過程において、財務報告に係る内部統制のその他の不備を発見した場合には、適切な管理責任者に適時に報告しなければならない。例文帳に追加

When external auditors identify deficiencies other than material weaknesses over financial reporting in the process of the audit, even though they are not required to do so proactively, they should also report such deficiencies to appropriate managers on a timely basis.  - 金融庁

ｃ．取引所取引業務の適確な遂行に必要な人員が適切な部門に配置され、内部管理等の責任者が営業部門から独立して配置されるなど、適正に業務を遂行できる組織体制、人員構成にあること。例文帳に追加

c. The foreign securities company must be staffed and organized so that it can execute business operations appropriately, including having personnel necessary for conducting transaction-at-exchange operations in an appropriate manner allocated to appropriate divisions, and having managers in charge of internal control and other matters appropriately allocated to divisions independent from sales divisions.  - 金融庁

監査人は、開示すべき重要な不備以外の不備を積極的に発見することを要求されてはいないが、監査の過程において、財務報告に係る内部統制のその他の不備を発見した場合には、適切な管理責任者に適時に報告しなければならない。例文帳に追加

hen external auditors identify deficiencies other than material weaknesses over financial reporting in the process of the audit, even though they are not required to do so proactively, they should also report such deficiencies to appropriate managers on a timely basis.  - 金融庁

ニ　イの内部点検、ロの精度管理及びハの外部精度管理調査の結果（改善措置が必要な場合にあつては、当該改善措置の内容を含む。）を製品検査部門責任者に対して文書により報告するとともに、その記録を法第四十四条の帳簿（以下「帳簿」という。）に記載すること。例文帳に追加

(d) Reporting the results of internal checking set forth in (a), accuracy control set forth in (b), and external investigation of accuracy control set forth in (c) (when improvement measures are required, including the contents of said improvement measures) to persons responsible for departments conducting product inspections in writing and entering the record in the books set forth in Article 44 of the Act (hereinafter referred to as the "books");  - 日本法令外国語訳データベースシステム

ハ．内部管理部門においては、各営業部門における管理責任者等が行う顧客面談等に係る具体的な方法を定め、当該方法を役職員に周知徹底するとともに、顧客面談等の状況を把握･検証し、当該方法の見直し等、その実効性を確保する態勢を構築するよう努めているか。例文帳に追加

C. Whether the internal control division strives to develop a control environment that ensures the effectiveness of interviews to be conducted by sales division managers with customers by, for example, prescribing a specific interview method, communicating the method to all directors, officers and employees and revising the method as necessary after examining how interviews have been conducted.  - 金融庁

② 申請者が法人又は金融商品仲介業務を行う使用人のある個人である場合、その行う業務の内容及び規模に応じて、行おうとする業務の適確な遂行に必要な人員が配置され、内部管理等の責任者が適正に配置される組織体制、人員構成となっているか。例文帳に追加

(ii) In cases where the applicant is a corporation or an individual person who employs persons engaging in financial instruments intermediary services, whether the applicant has a staff and an organization that ensure an appropriate allocation of personnel necessary for conducting the relevant service in an appropriate manner and managers in charge of internal control, according to the nature and scale of the relevant service.  - 金融庁

議長は機関の最高執行責任者であり，機関の事業の監督及び指示を次に掲げる事項も含めて行う: (a) 委員の間に担当事業を割り振ること並びに機関に係わる事業を取り扱う委員，機関の聴聞に参加する委員，及び聴聞又はその他の手続を主宰する委員を任命すること (b) 統括的に，機関の事業を指揮すること，並びにその内部事項及び職員の職務を管理すること例文帳に追加

The Chairperson is the chief executive officer of the Board and has supervision over and direction of the work of the Board, including (a) the apportionment of the work among the members thereof and the assignment of members to deal with matters before the Board and to sit at hearings of the Board and to preside at hearings or other proceedings; and (b) generally, the conduct of the work of the Board, the management of its internal affairs and the duties of its staff.  - 特許庁

顧客説明管理責任者は、広告及び勧誘に用いる資料等における表示（以下「広告等」という。）に関する内部規程等に従い、取引又は商品に関する広告等について事前にリーガル・チェック等を受け、銀行法、金融商品取引法、私的独占の禁止及び公正取引の確保に関する法律及びその告示、不当景品類及び不当表示防止法その他の関係法令及び自主規制機関の規則等に反しないものとなっているか、また顧客に対する説明として十分かつ適切なものとなっているか確認し、又は広告審査担当者等に確認させる態勢を整備しているか。例文帳に追加

Does the Customer Explanation Manager, in accordance with internal rules concerning the representations used in materials for advertisement and solicitation (hereinafter referred to as the “Advertisements, etc.”), etc., subject the Advertisements etc. of Transactions and products to legal checks, etc. in advance and verify that there is no violation of the Banking Law, the Financial Instruments and Exchange Law, the Act Against Unjustifiable Premiums and Misleading Representations and the notification thereof, the Act concerning Prohibition of Private Monopolization and Maintenance of Fair Trade and other relevant Laws as well as rules established by voluntary regulatory organizations and that the Advertisements etc. provide appropriate and sufficient explanations to customers, or does the Customer Explanation Manager have a person in charge of screening of Advertisements, etc. conduct such checks?  - 金融庁

顧客説明管理責任者は、広告及び勧誘に用いる資料等における表示（以下「広告等」という。）に関する内部規程等に従い、取引又は商品に関する広告等について事前にリーガル・チェック等を受け、銀行法 11、金融商品取引法、私的独占の禁止及び公正取引の確保に関する法律及びその告示、不当景品類及び不当表示防止法その他の関係法令及び自主規制機関の規則等に反しないものとなっているか、また顧客に対する説明として十分かつ適切なものとなっているか確認し、又は広告審査担当者等に確認させる態勢を整備しているか。例文帳に追加

Does the Customer Explanation Manager, in accordance with internal rules concerning the representations used in materials for advertisement and solicitation (hereinafter referred to as the "Advertisements, etc."), etc., subject the Advertisements etc. of Transactions and products to legal checks, etc. in advance and verify that there is no violation of the Banking Law8, the Securities and Exchange Law, the Act Against Unjustifiable Premiums and Misleading Representations and the notification thereof, the Act concerning Prohibition of Private Monopolization and Maintenance of Fair Trade and other relevant Laws as well as rules established by voluntary regulatory organizations and that the Advertisements etc. provide appropriate and sufficient explanations to customers, or does the Customer Explanation Manager have a person in charge of screening of Advertisements, etc. conduct such checks? - 金融庁