「投資金融業者」に関連した英語例文の一覧と使い方 - Weblio英語例文検索

② 金融商品仲介業者の投資勧誘実態の把握及びその適正化例文帳に追加

(ii) Identification of the Actual State of Financial Instruments Intermediary Service Provider’s Solicitation for Investment and Efforts to Ensure Appropriate Solicitation  - 金融庁

③ 金融商品取引業者が累積投資業務を行うことができなくなったときに解約されること。例文帳に追加

(iii) Cancellation shall be effective when a Financial Instruments Business Operator can no longer conduct cumulative investment activities.  - 金融庁

そのため、「Ⅰ．基本的考え方」、「Ⅱ．金融商品取引業者等の監督に係る事務処理上の留意点」は、基本的には金融商品取引業者（第一種金融商品取引業、第二種金融商品取引業、投資運用業又は投資助言・代理業を行う者）又は登録金融機関を対象としつつ、適格機関投資家等特例業務を行う者、外国証券業者、金融商品仲介業者、証券金融会社、投資法人及び商品投資販売業者も念頭に置いた記述となっている。例文帳に追加

Accordingly, the contents of Section I “Basic Concept” and Section II “Points of Attention in the Conduct of Administrative Processes Regarding the Supervision of Financial Instruments Business Operators, etc.,” although basically covering persons engaging in Financial Instruments Business (Type I Financial Instruments Business, Type II Financial Instruments Business, Investment Management Business and Investment Advisory and Agency Business), also consider the supervision of persons engaging in businesses specially permitted for qualified institutional investors, foreign securities companies, financial instruments intermediary service providers, securities finance companies, investment corporations and commodities investment sales companies.  - 金融庁

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

金融商品取引法においては、投資家を「特定投資家」（いわゆる「プロ」）と「一般投資家」（いわゆる「アマ」）に区分し、この区分に応じて金融商品取引業者等の行為規制の適用を行うことにより、規制の柔軟化を図っている。例文帳に追加

Under the FIEA, investors are divided into “professional investors” and “general investors.”  - 金融庁

四　会員及び金融商品仲介業者の行う金融商品取引業に関する投資者からの苦情の解決例文帳に追加

(iv) to resolve complaints filed by investors with regard to Financial Instruments Business conducted by its members and Financial Instruments Intermediary Service Providers;  - 日本法令外国語訳データベースシステム

証券会社、投資ファンド、投資助言・代理業者、投資運用業者などの金融商品取引業者が取引内容につき広告を行う場合には、必ず以下の事項を表示する必要がある（金融商品取引法第３７条、金融商品取引法施行令第１６条及び金融商品取引業等に関する内閣府令第７３条から第７６条まで）。例文帳に追加

Where a financial instruments firm, such as a securities company, investment fund, investment advisory and brokerage company, or investment management company, advertises the contents of its transactions, such firm must indicate all of the following items, as required by Article 37 of the Financial Instruments and Exchange Law, Article 16 of the Cabinet Order for Enforcement of the Financial Instruments and Exchange Law and Articles 73 through 76 of the Cabinet Office Ordinance Regarding Financial Instruments Businesses, and other relevant laws:  - 経済産業省

第１種金融商品取引業者等130社（うち財務局等が行うもの 110社） 投資運用業者、投資助言・代理業者 65社（うち財務局等が行うもの 35社）自主規制機関必要に応じて実施第２種金融商品取引業者等 必要に応じて実施例文帳に追加

Type I Financial Instruments Businesses and Registered Financial Institutions.:130 firms (inc1uding 110 firms to be inspected by the Local Financial Bureaus) Asset management firms and Investment advisories/agencies: 65 firms (including 35 firms to be inspected by the Local Financial Bureaus) Self regulatory organizations: To be inspected as needed Type II Financial Instruments Business Operators, etc: To be inspected as needed  - 金融庁

６　金融商品取引業者と投資顧問契約を締結した者、金融商品取引業者による投資顧問契約又は投資一任契約の代理又は媒介により投資顧問契約又は投資一任契約を締結した者及び金融商品取引業者による有価証券の売買又はその媒介、取次ぎ若しくは代理により有価証券の売買契約を締結した者は、これらの契約により生じた債権に関し、当該金融商品取引業者に係る営業保証金について、他の債権者に先立ち弁済を受ける権利を有する。例文帳に追加

(6) A person who has concluded an Investment Advisory Contract with a Financial Instruments Business Operator, who has concluded an Investment Advisory Contract or Discretionary Investment Contract through a Financial Instruments Business Operator's agency or intermediary service of an Investment Advisory Contract or an Discretionary Investment Contract, or who has concluded a sales and purchase contract of Securities through a Financial Instruments Business Operator's sales and purchase or intermediary, brokerage, or agency service therefor shall have the right to receive, in preference over other creditors, payment with regard to claims incurred under such contracts from a deposit for operation furnished by the Financial Instruments Business Operator.  - 日本法令外国語訳データベースシステム

代理・媒介業者が銀行等金融機関である場合には、投資顧問契約又は投資一任契約の締結の代理又は媒介を行うに当たり、これら金融商品と預金等との誤認防止のための態勢が整備されているか。例文帳に追加

In cases where banks and other deposit-taking financial institutions engage in agency/brokerage services for the signing of investment advisory and discretionary investment contracts, whether they have developed a control environment that prevents customers from mistakenly believing these investments to be deposits.  - 金融庁

ヘッジファンドが投資信託・投資一任業務等の形態をとっている場合、投資家保護の観点から、販売・勧誘を行う証券会社・登録金融機関や投資運用を行う投資信託委託業者・認可投資顧問業者に対して、各種行為規制が設けられており、検査・監督において問題が認められる場合には適切な対応をすることとしている。例文帳に追加

In case of hedge funds in form of investment trust and discretionary investment, securities companies and registered financial institutions who solicit and distribute hedge funds and investment trust managers and authorized investment advisors who conduct investment management of hedge funds shall comply with the numerous codes of conducts under the laws and related regulations.The FSA shall take appropriate measures if it finds any problems by way of the inspection and supervision of the companies and personnel.  - 金融庁

ヘッジ・ファンド運用者については、金融商品取引法において、登録投資一任運用業者、登録投資信託運用業者として、規制の対象として位置付けられている（上記「我が国の現在の規制の枠組み」参照）。例文帳に追加

Under the FIEA, hedge fund managers are subject to regulation as registered discretionary investment managers and as registered investment trust managers (see “Japan’s current regulatory framework” above).  - 金融庁

ａ．金地金累積投資に係る代理業務等の範囲は、顧客を募集金融商品取引業者等に取り次ぎ、顧客と募集金融商品取引業者等との間で行われるべき金地金累積投資に係る業務の一部又は全てを募集金融商品取引業者等に代わって行うこととし、金地金累積投資に係る代理業務等を行う金融商品取引業者は、募集金融商品取引業者等との間で代理業務等に係る契約を締結すること。例文帳に追加

a. The Agency Business, etc., related to Cumulative Gold Bullion Investment shall include brokering between customers and Offering Financial Instruments Business Operators, etc., and implementing all or part of the processes related to the Cumulative Gold Bullion Investment made between the customers and the Offering Financial Instruments Business Operators, etc., on behalf of the Offering Financial Instruments Business Operators, etc. The Financial Instruments Business Operators engaging in the Agency Service, etc., related to the Cumulative Gold Bullion Investment shall sign contracts regarding the Agency Business etc., with the Offering Financial Instruments Business Operators.  - 金融庁

二　委託者指図型投資信託の信託財産（以下この章において「投資信託財産」という。）を主として不動産に対する投資として運用することを目的とする投資信託契約　宅地建物取引業法第五十条の二第一項の認可を受けている金融商品取引業者例文帳に追加

(ii) An Investment Trust Contract concluded for the purpose of investing trust property of an Investment Trust Managed under Instructions from the Settlor (hereinafter such trust property shall be referred to as "Investment Trust Property" in this Chapter) mainly in Real Property: The Financial Instruments Business Operator who has obtained authorization under Article 50-2, paragraph (1) of the Building Lots and Buildings Transaction Business Act; and  - 日本法令外国語訳データベースシステム

第四条　金融商品取引業者は、投資信託契約を締結しようとするときは、あらかじめ、当該投資信託契約に係る委託者指図型投資信託約款（以下この章において「投資信託約款」という。）の内容を内閣総理大臣に届け出なければならない。例文帳に追加

Article 4 (1) When a Financial Instruments Business Operator intends to conclude an Investment Trust Contract, it shall notify the Prime Minister of the contents of the basic terms and conditions of the Investment Trust Managed under Instructions from the Settlor pertaining to said Investment Trust Contract (hereinafter referred to as the "Basic Terms and Conditions of the Investment Trust" in this Chapter) in advance.  - 日本法令外国語訳データベースシステム

（１）　当該金融商品取引業者等は、対象権利者のため忠実に投資運用業を行わなければならないこと。例文帳に追加

1. that said Financial Instruments Specialist, etc. will engage in the Investment Management for the Subject Right Holder in a loyal manner; and  - 日本法令外国語訳データベースシステム

（２）　当該金融商品取引業者等は、対象権利者に対し、善良な管理者の注意をもって投資運用業を行わなければならないこと。例文帳に追加

2. that said Financial Instruments Specialist, etc. will carry out Investment Management while paying the due care of a prudent manager for the Subject Right Holders;  - 日本法令外国語訳データベースシステム

第四十一条　金融商品取引業者等は、顧客のため忠実に投資助言業務を行わなければならない。例文帳に追加

Article 41 (1) A Financial Instruments Business Operator, etc. shall engage in Investment Advisory Business with loyalty to customers.  - 日本法令外国語訳データベースシステム

２　金融商品取引業者等は、顧客に対し、善良な管理者の注意をもつて投資助言業務を行わなければならない。例文帳に追加

(2) A Financial Instruments Business Operator, etc. shall engage in Investment Advisory Business with due care of a prudent manager for customers.  - 日本法令外国語訳データベースシステム

第四十一条の二　金融商品取引業者等は、その行う投資助言業務に関して、次に掲げる行為をしてはならない。例文帳に追加

Article 41-2 A Financial Instruments Business Operator, etc. shall not conduct any of the following acts with regard to his/her Investment Advisory Business:  - 日本法令外国語訳データベースシステム

２　金融商品取引業者等は、権利者に対し、善良な管理者の注意をもつて投資運用業を行わなければならない。例文帳に追加

(2) A Financial Instruments Business Operator, etc. shall engage in Investment Management Business with due care of a prudent manager for Right Holders.  - 日本法令外国語訳データベースシステム

第四十二条の八　信託業法第四章の規定は、金融商品取引業者等が投資運用業を行う場合については、適用しない。例文帳に追加

Article 42-8 The provisions of Chapter IV of the Trust Business Act shall not apply where a Financial Instruments Business Operator, etc. engages in Investment Management Business.  - 日本法令外国語訳データベースシステム

三　第四十一条の四及び第四十一条の五　金融商品取引業者等が締結した投資顧問契約の相手方例文帳に追加

(iii) Article 41-4 and Article 41-5: the other party to an Investment Advisory Contract concluded by a Financial Instruments Business Operator, etc.; and  - 日本法令外国語訳データベースシステム

四　第四十二条の五から第四十二条の七まで　金融商品取引業者等が締結した投資一任契約の相手方例文帳に追加

(iv) Articles 42-5 to 42-7: the other party to a Discretionary Investment Contract concluded by a Financial Instruments Business Operator, etc.  - 日本法令外国語訳データベースシステム

三　前二号に掲げるもののほか、政令で定める投資信託契約　政令で定める金融商品取引業者例文帳に追加

(iii) In addition to what is listed in the preceding two items, an Investment Trust Contract as specified by a Cabinet Order: A Financial Instrument Business Operator as specified by a Cabinet Order.  - 日本法令外国語訳データベースシステム

二　当該登録投資法人の監督役員に対して継続的な報酬を与えている金融商品取引業者例文帳に追加

(ii) A Financial Instruments Business Operator that continuously gives remuneration to supervisory officers of said Registered Investment Corporation; and  - 日本法令外国語訳データベースシステム

当該顧客が共同して買付けた上場投資信託受益証券の名義は金融商品取引業者名義とする例文帳に追加

The name of the listed investment trust beneficiary certificates purchased jointly among the said clients shall be the name of the Financial Instruments Business Operator.  - 金融庁

当該顧客が共同して買付けた上場投資証券の名義は金融商品取引業者名義とする例文帳に追加

The name of the listed investment certificates purchased jointly among the said clients shall be the name of the Financial Instruments Business Operator.  - 金融庁

１１　この法律において「投資信託委託会社」とは、委託者指図型投資信託の委託者である金融商品取引業者（金融商品取引法第二条第九項に規定する金融商品取引業者（同法第二十八条第四項に規定する投資運用業を行う者に限り、信託会社を除く。）をいう。第二百八条第二項第二号を除き、以下同じ。）をいう。例文帳に追加

(11) The term "Settlor Company of an Investment Trust" as used in this Act shall mean a Financial Instruments Business Operator (meaning an Financial Instruments Business Operator as prescribed in Article 2, paragraph (9) of the Financial Instruments and Exchange Act (except that in cases where a Financial Instruments Business Operator conducts Investment Management Business as provided in Article 28, paragraph (4) of that Act, this shall exclude Trust Companies); hereinafter the same shall apply except in Article 208, paragraph (2), item (ii)) who is the settlor of an Investment Trust Managed under Instructions from the Settlor.  - 日本法令外国語訳データベースシステム

二　投資信託委託会社が合併により解散した場合において、当該合併後存続する法人が金融商品取引業者（第三条各号に掲げる投資信託契約にあつては、当該各号に定める金融商品取引業者。次号において同じ。）であるとき。例文帳に追加

(ii) In cases where a Settlor Company of an Investment Trust has been dissolved as a result of a merger, when the juridical person surviving the merger is a Financial Instruments Business Operator (in cases of an Investment Trust Contract listed in the items of Article 3, the Financial Instruments Business Operator provided in said items; the same shall apply in the following items);  - 日本法令外国語訳データベースシステム

一　設立しようとする投資法人が主として投資の対象とする特定資産と同種の資産を運用の対象とする金融商品取引業者（次のイ又はロに掲げる場合にあつては、当該イ又はロに定める金融商品取引業者）例文帳に追加

(i) A Financial Instruments Business Operator who invests in the same kind of assets as the Specified Assets which are to be the main subject of investment of the Investment Corporation that said person intends to establish (in the cases listed in the following sub-item (a) or (b), the Financial Instruments Business Operator specified in the respective sub-item (a) or (b)):  - 日本法令外国語訳データベースシステム

ⅰ）金地金累積投資に係る代理業務等を行う金融商品取引業者は、顧客に対し、申込みに係る金地金累積投資が募集金融商品取引業者等との間で行われる旨を十分説明し、あらかじめ顧客の承諾を受けること。例文帳に追加

i) Financial instruments business operations engaging in the Agency Business, etc., related to Cumulative Gold Bullion Investment shall provide customers with sufficient explanations to enable them to understand that the counterparties to their the Cumulative Gold Bullion Investment transactions are Offering Financial Instruments Business Operators, etc., and obtain their prior consent regarding this.  - 金融庁

二　第一種金融商品取引業、第二種金融商品取引業又は投資運用業を行う金融商品取引業者が、第二十九条の四第一項第四号に該当することとなつたとき。例文帳に追加

(ii) when a Financial Instruments Business Operator engaged in Type I Financial Instruments Business, Type II Financial Instruments Business, or Investment Management Business comes to fall under Article 29-4(1)(iv);  - 日本法令外国語訳データベースシステム

五　投資法人の発行する投資口を引き受ける者の募集の委託を受けた金融商品取引業者等（金融商品取引法第三十四条に規定する金融商品取引業者等をいう。）若しくは金融商品仲介業者（同法第二条第十二項に規定する金融商品仲介業者をいう。以下この号において同じ。）若しくはこれらの子会社の役員若しくは使用人若しくは個人である金融商品仲介業者又はこれらの者のうちの一若しくは二以上であつたもの例文帳に追加

(v) A person who is an Officer or employee of a Financial Instruments Business Operator, etc. (meaning a Financial Instruments Business Operator, etc. set forth in Article 34 of the Financial Instruments and Exchange Act) or a Financial Instruments Intermediary Service Provider (meaning a Financial Instruments Intermediary Service Provider as provided in Article 2(1) of that Act; hereinafter the same shall apply in this item) or the Subsidiary Company thereof, or a Financial Instruments Intermediary Service Provider who is an individual, who has been entrusted to solicit persons to subscribe for the Investment Equity issued by an Investment Corporation or a person who has held one or more of such positions; and  - 日本法令外国語訳データベースシステム

四　委託を受ける金融商品取引業者（第一種金融商品取引業又は投資運用業（第二十八条第四項に規定する投資運用業をいう。第六十六条の十四第一号ハにおいて同じ。）を行う者に限る。）又は登録金融機関（以下この章及び次章において「所属金融商品取引業者等」という。）の商号又は名称例文帳に追加

(iv) the trade name or name of the Financial Instruments Business Operator (limited to those who are engaged in the Type I Financial Instruments Business or the Investment Management Business (meaning the Investment Management Business prescribed in Article 28(4); the same shall apply in Article 66-14(i)(c)) or the Registered Financial Institution, which will make entrustment (hereinafter referred to as the "Entrusting Financial Instruments Business Operators, etc." in this Chapter and the following Chapter);  - 日本法令外国語訳データベースシステム

第三十八条の二　金融商品取引業者等は、その行う投資助言・代理業又は投資運用業に関して、次に掲げる行為をしてはならない。例文帳に追加

Article 38-2 A Financial Instruments Business Operator, etc. shall not conduct any of the following acts with regard to his/her Investment Advisory and Agency Business or Investment Management Business:  - 日本法令外国語訳データベースシステム

一　登録投資法人が投資の対象とする資産に不動産が含まれる場合　宅地建物取引業法第三条第一項の免許を受けている金融商品取引業者例文帳に追加

(i) In cases where Real Property shall be one of the assets subject to investment by a Registered Investment Corporation: A Financial Instruments Business Operator that has obtained a license as set forth in Article 3, paragraph (1) of the Building Lots and Buildings Transaction Business Act;  - 日本法令外国語訳データベースシステム

二　登録投資法人が主として不動産に対する投資として運用することを目的とする場合　宅地建物取引業法第五十条の二第一項の認可を受けている金融商品取引業者例文帳に追加

(ii) In cases where the purpose of a Registered Investment Corporation is to invest mainly in Real Property: A Financial Instruments Business Operator who has obtained authorization set forth in Article 50-2, paragraph (1) of the Building Lots and Buildings Transaction Business Act; and  - 日本法令外国語訳データベースシステム

⑤ 金融商品取引業者は、顧客が共有している上場投資証券に係る分配金を、各顧客の持分に応じて配分し、再投資すること。例文帳に追加

(v) Dividends on the listed investment certificates co-owned by clients will be distributed according to their respective shares and shall then be re-invested.  - 金融庁

代理・媒介業の制度が創設されたことにより、投資者の投資サービスに対するアクセスの確保・向上及び金融商品取引業者等の多様な販売チャネルの効率的な活用が期待されるが、例文帳に追加

The establishment of the framework for agency/brokerage services is expected to contribute to securing and improving investors’ access to investment services and facilitate efficient use of various sales channels, including Financial Instruments Business Operators.  - 金融庁

金融商品市場において、投資者が積極的に資産運用を行うとともに、企業が円滑に資金調達を図るためには、金融商品市場が公正かつ効率的なものであることが大前提であり、金融商品取引業者等（金融商品取引業者又は登録金融機関をいう。以下同じ。）は、このような金融商品市場の仲介者として、重要な役割を果たしている。例文帳に追加

The primary preconditions for investors to actively make investments and for companies to smoothly raise funds in the financial instruments market are that the market be fair and efficient, and that Financial Instruments Business Operators, etc., (“Financial Instruments Business Operators, etc.” refers to Financial Business Operators and Registered Financial Institutions; the same shall apply hereinafter) play an important role as market intermediaries.  - 金融庁

また、投資者等の誤認を防ぐ観点から、過去に存在した証券会社、金融先物取引業者、投資信託委託業者、投資顧問業者等の名称は、事業譲渡等により業務に継続性が認められる業者が使用する場合などを除き、極力使用されないことを確保することとする。例文帳に追加

From the viewpoint of preventing misunderstandings by investors, etc., it shall be ensured that the use of the names of securities companies, financial futures transaction companies, investment trust management companies, and investment advisory service companies that existed in the past is avoided as much as possible, except for the case where a business operator, which is allowed to continue the business due to business transfer, etc., uses such a name.  - 金融庁

第七十九条の十一　認定投資者保護団体（以下この節において「認定団体」という。）は、当該認定団体の構成員である金融商品取引業者若しくは金融商品仲介業者又は認定業務の対象となることについて同意を得た金融商品取引業者、金融商品仲介業者その他内閣府令で定める者を対象事業者（当該認定団体の業務の対象となる金融商品取引業者、金融商品仲介業者その他内閣府令で定める者をいう。以下この節において同じ。）としなければならない。例文帳に追加

Article 79-11 (1) The Certified Investor Protection Organization (hereinafter referred to as the "Certified Organization" in this Section) shall have Financial Instruments Business Operators or Financial Instruments Intermediary Service Providers which are members of said Certified Organization, or Financial Instruments Business Operators or Financial Instruments Intermediary Service Providers which have agreed to be subject to the Certified Businesses, or any other person specified by a Cabinet Office Ordinance become its Target Business Operators (meaning Financial Instruments Business Operators, Financial Instruments Intermediary Service Providers, or any other person specified by a Cabinet Office Ordinance that are subject to businesses of said Certified Organization; hereinafter the same shall apply in this Section).  - 日本法令外国語訳データベースシステム

第七十九条の十七　認定団体は、金融商品取引業の健全な発展及び投資者の保護のために、対象事業者による金融商品取引の契約内容、対象事業者による資産運用のあり方その他投資者の保護を図るため必要な事項に関し、この法律の規定の趣旨に沿つた指針（以下「投資者保護指針」という。）を作成し、公表するよう努めなければならない。例文帳に追加

Article 79-17 (1) A Certified Organization shall endeavor to prepare and publicize guidelines in line with the purport of the provisions of this Act, with regard to the contents of a contract of Financial Instruments Transactions conducted by the Target Business Operators, the nature of asset investment conducted by the Target Business Operators and other matters necessary for achieving protection of investors (hereinafter referred to as "Investor Protection Guidelines"), in order to ensure sound development of Financial Instruments Businesses and protection of investors.  - 日本法令外国語訳データベースシステム

投資助言業者（金融商品取引業者のうち、投資助言業（金商法第２条第８項第11号に規定する業務をいう。Ⅶにおいて同じ。）を行う者をいう。Ⅶにおいて同じ。）は、顧客に対して有価証券の価値等又は金融商品の価値等の分析に基づく投資判断に関する情報を提供することにより、当該顧客の財産形成に寄与すべき役割を担っている。例文帳に追加

Investment advisory business operators (Financial Instruments Business Operators engaging in investment advisory business (as specified under Article 2(8)(xi) of the FIEA; the same shall apply in VII); the same shall apply in VII) have the function of contributing to the buildup of customers’ assets by providing them with information regarding investment decisions based on the analysis of the values of securities, financial products and other items.  - 金融庁