「証券業者」に関連した英語例文の一覧と使い方(2ページ目) - Weblio英語例文検索

証券管理サービス事業者サーバ６内の管理サーバ７は、ネットワーク５を介して、利用者端末４−１から送信される証券の売買注文を受信し、受信情報に含まれる利用者端末４−１のユーザIDからユーザを特定し、証券の売買注文を証券会社２に送信する。例文帳に追加

A managing server 7 in a security managing service trader server 6 receives the selling/buying order of a security transmitted from a user terminal 4-1 through a network 5, specifies a user from the user ID of the user terminal 4-1 contained in the received information and transmits the selling/ buying order of the security to a security company 2. - 特許庁

標的とする企業を買収するために魅力的でなくするように戦略を考案する証券引受業者例文帳に追加

an investment banker who devises strategies to make a target company less attractive for takeover  - 日本語WordNet

十二　外国証券業者に関する法律第二十二条第一項第八号及び第三十三条第一項例文帳に追加

(xii) Article 22, paragraph (1), item (viii) and Article 33, paragraph (1) of the Act on Foreign Securities Brokers;  - 日本法令外国語訳データベースシステム

３　金融商品取引業者等は、最良執行方針等に従い、有価証券等取引に関する注文を執行しなければならない。例文帳に追加

(3) A Financial Instruments Business Operator, etc. shall execute orders for Transactions of Securities, etc. in accordance with its Best Execution Policy, etc.  - 日本法令外国語訳データベースシステム

十二　協会員及び金融商品仲介業者の有価証券の売買その他の取引の勧誘に関する事項例文帳に追加

(xii) matters related to sales and purchase or other transactions of Securities solicited by Member Firms or Financial Instruments Intermediary Service Providers;  - 日本法令外国語訳データベースシステム

３　発行者、有価証券の売出しをする者、引受人又は金融商品取引業者等は、前項の請託をしてはならない。例文帳に追加

(3) No Issuer, person engaged in Secondary Distribution of Securities, Underwriter or Financial Instruments Business Operator, etc. shall make a request referred to in the preceding paragraph.  - 日本法令外国語訳データベースシステム

ロ　当該特定資産に有価証券及び不動産以外の政令で定める資産が含まれる場合　政令で定める金融商品取引業者例文帳に追加

(b) When assets other than the Securities and Real Property specified by a Cabinet Order are included in the Specified Assets: A Financial Instruments 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

ただし、顧客はいつでも金融商品取引業者に指示し、有価証券の買付けを中止することができるものとする。例文帳に追加

However, the client may instruct the Financial Instruments Business Operator to cancel the purchase of negotiable securities at any time.  - 金融庁

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

二　有価証券関連業又は有価証券関連業に付随する業務として内閣府令で定めるものに係る取引（店頭デリバティブ取引に該当するものその他政令で定める取引を除く。次項第二号及び第七十九条の二十において「対象有価証券関連取引」という。）に関し、顧客の計算において金融商品取引業者等が占有する有価証券又は金融商品取引業者等が顧客から預託を受けた有価証券（前号に掲げる有価証券、契約により金融商品取引業者等が消費できる有価証券その他政令で定める有価証券を除く。）例文帳に追加

(ii) the Securities possessed by the Financial Instruments Business Operator, etc. based on the account of a customer or Securities deposited to the Financial Instruments Business Operator, etc. from a customer (excluding the Securities listed in the preceding item, Securities that a Financial Instruments Business Operator, etc. may use under a contract, and other Securities specified by a Cabinet Order), with regard to transactions pertaining to Securities-Related Business or other businesses specified by a Cabinet Office Ordinance as being incidental to Securities-Related Business (excluding Over-the-Counter Transactions of Derivatives and other transactions specified by a Cabinet Order; hereinafter referred to as "Subject Securities-Related Transactions" in item (ii) of the following paragraph and Article 79-20).  - 日本法令外国語訳データベースシステム

第五十八条　この節において「外国証券業者」とは、金融商品取引業者及び銀行、協同組織金融機関その他政令で定める金融機関以外の者で、外国の法令に準拠し、外国において有価証券関連業を行う者をいう。例文帳に追加

Article 58 The term "Foreign Securities Broker" in this Section means a person other than Financial Instruments Business Operators, banks, Cooperative Structured Financial Institution and other financial institutions specified by a Cabinet Order, which is governed by the laws and regulations of a foreign state, and which engages in Securities-Related Business in a foreign state.  - 日本法令外国語訳データベースシステム

第一条　この府令において「有価証券」、「有価証券の募集」、「有価証券の私募」、「有価証券の売出し」、「発行者」、「金融商品取引業」、「金融商品取引業者」、「金融商品市場」、「金融商品取引所」、「デリバティブ取引」、「市場デリバティブ取引」、「店頭デリバティブ取引」、「外国市場デリバティブ取引」、「金融商品」、「金融指標」、「有価証券等清算取次ぎ」、「特定投資家」、「特定上場有価証券」又は「信用格付」とは、それぞれ金融商品取引法（昭和二十三年法律第二十五号。以下「法」という。）第二条に規定する有価証券、有価証券の募集、有価証券の私募、有価証券の売出し、発行者、金融商品取引業、金融商品取引業者、金融商品市場、金融商品取引所、デリバティブ取引、市場デリバティブ取引、店頭デリバティブ取引、外国市場デリバティブ取引、金融商品、金融指標、有価証券等清算取次ぎ、特定投資家、特定上場有価証券又は信用格付をいう。例文帳に追加

Article 1 (1) As used in this Cabinet Office Ordinance, the term "Securities," "Public Offering of Securities," "Private Placement of Securities," "Secondary Distribution of Securities," "Issuer," "Financial Instruments Services," "Financial Instruments Specialist," "Financial Instruments Market," "Financial Instruments Exchange," "Derivatives Transactions," "Exchange-Traded Derivatives Transactions," "Over-the-Counter Transactions of Derivatives," "Exchange-Traded Derivatives Transactions in a Foreign Market," "Financial Instruments," "Financial Indicator," "Brokerage for the Clearing of Securities, etc.," "Professional Investor," "Specified Listed Securities," and "(a) Credit Rating(s)" respectively mean Securities, Public Offering of Securities, Private Placement of Securities, Secondary Distribution of Securities, Issuer, Financial Instruments Services, Financial Instruments Specialist, Financial Instruments Market, Financial Instruments Exchange, Derivatives Transactions, Exchange-Traded Derivatives Transactions, Over-the-Counter Transactions of Derivatives, Exchange-Traded Derivatives Transactions in a Foreign Market, Financial Instruments, Financial Indicator, Brokerage for the Clearing of Securities, etc., Professional Investor, Specified Listed Securities, and (a) Credit Rating(s) as defined in Article 2 of the Financial Instruments and Exchange Act (Act No. 25 of 1948; hereinafter referred to as the "Act").  - 日本法令外国語訳データベースシステム

一　第百十九条の規定により金融商品取引業者が一般顧客から預託を受けた金銭若しくは有価証券（有価証券関連デリバティブ取引に関して預託を受けたものに限る。）又は第百六十一条の二の規定により金融商品取引業者が一般顧客から預託を受けた金銭若しくは有価証券例文帳に追加

(i) the money or Securities deposited to a Financial Instruments Business Operator from a General Customer under the provisions of Article 119 (limited to that deposited with regard to Transactions of Securities-Related Derivatives) or money or Securities deposited to a Financial Instruments Business Operator from a General Customer under the provisions of Article 161-2;  - 日本法令外国語訳データベースシステム

証券会社、投資信託委託業者又は証券投資顧問業者を含む異なる業態の金融機関が、金融コングロマリットを形成している場合等においては、これらグループ全体の統合的なリスク管理の状況を的確かつ効率的に検証（注）する観点等から、証券取引等監視委員会との間で、同時検査の実施も含め必要な連携を行う。例文帳に追加

If a financial institution engages in different types of businesses-including those of a securities company, investment trust management company and securities investment advisory service-and comprises a financial conglomerate, etc., necessary collaboration with the Securities and Exchange Surveillance Commission (SESC) shall be performed, including conducting simultaneous inspections, in order to verify (Note) the consolidated risk management status of the group as a whole in an accurate and efficient manner.  - 金融庁

他方、国内に拠点を有しない無登録の外国証券業者であっても、有価証券関連業に係る行為についての勧誘をすることなく、あるいは金融商品取引業者（第一種金融商品取引業に限る。）による代理又は媒介により、国内にある者の注文を受けて外国からその者を相手方として有価証券関連業に係る行為を行うことについては許容されている。例文帳に追加

Meanwhile, unregistered foreign securities companies with no business base in Japan are allowed to engage in activities concerning securities-related businesses with persons in Japan as their transaction counterparts, if they take orders from the said persons without conducting solicitation regarding activities concerning securities-related businesses or take orders through agency and brokerage services provided by Financial Instruments Business Operators (limited to Type I Financial Instruments Business Operators).  - 金融庁

そこで、金商法により新たに信用格付業者が証券監視委の検査対象に加わったことを踏まえ、ここに「信用格付業者検査マニュアル」を策定する。例文帳に追加

The basic policy and procedures pertaining to the SESC’s inspections are in the “Basic Inspection Guidelines” as well as the “Basic Inspection Policy and Inspection Program,” which are prepared each business year (http://www.fsa.go.jp/sesc/english/index.htm). While inspections of credit rating agencies, in principle, shall be conducted in accordance with these basic guidelines and other procedures, the SESC considers that the Inspection Manual, which describes inspection items tailored for each business category, is also practical as a “handbook for inspections” for verifying complex and diverse business operations since the categories of businesses inspected by the SESC vary widely.  - 金融庁

これにより、証券仲介業者１２は、仲介業者用顧客情報管理システム１１ｆを経由してデータベース１１ｈに蓄積されている最新の顧客情報を取得することができる。例文帳に追加

The securities broker 12 can acquire the latest customer information stored in the database 11h via the broker-oriented customer relationship management system 11f. - 特許庁

第四十三条の三　金融商品取引業者等は、その行うデリバティブ取引等（有価証券関連デリバティブ取引等に該当するものを除く。次項において同じ。）に関し、第百十九条の規定により顧客から預託を受けた金銭又は有価証券その他の保証金又は有価証券については、内閣府令で定めるところにより、自己の固有財産と区分して管理しなければならない。例文帳に追加

Article 43-3 (1) A Financial Instruments Business Operator, etc. shall, with regard to his/her Derivative Transactions, etc. (excluding those that fall within the category of Transactions of Securities-Related Derivatives, etc.; the same shall apply in the following paragraph), manage the money or Securities deposited from a customer under Article 119 or other security deposit and Securities, separately from his/her own property pursuant to the provisions of a Cabinet Office Ordinance.  - 日本法令外国語訳データベースシステム

イ．取引所金融商品市場又は店頭売買有価証券市場における有価証券の売買の取次ぎを行い、又は他の単一の金融商品取引業者に有価証券の売買の取次ぎを行うシステムについては、私設取引システム及び取引所金融商品市場等に該当しないものとする。例文帳に追加

A. A system acting as an agent for transactions involving securities in the financial instruments exchange markets or the over-the-counter (OTC) securities markets, or acting as an agent for transactions involving securities for another Financial Instruments Business Operator shall not fall under the category of the PTS or financial instruments exchange market, etc.  - 金融庁

ただし、顧客が当該契約に基づいて有価証券を金融商品取引業者等に寄託した場合において、当該有価証券の果実又は償還金による預り金のみを対価として前回買付けの日より１年以内に有価証券の買付けを行うことができる場合の当該契約についてはこの限りでない。例文帳に追加

However, this shall not apply to the cases where a client can purchase securities solely for the consideration of the deposited money from fruits or redemption of investment in the said securities when the client has deposited the securities to a Financial Instruments Business Operator, etc., pursuant to the said contract.  - 金融庁

外国証券業者は、日本国内における有価証券関連業の本拠として設ける主たる営業所又は事務所について登録を受けない限り、国内にある者を相手方として金商法第28条第８項各号に掲げる行為（以下「有価証券関連業に係る行為」という。）を行うことはできない。例文帳に追加

Foreign securities companies are not allowed to engage in the activities specified under each item of Article 28(8) of the FIEA (hereinafter referred to as “activities concerning securities-related businesses”) with persons located in Japan as their transaction counterparts, unless their main Japanese sales branches or main business offices engaging in securities-related businesses are registered.  - 金融庁

一方、証券会社１１においては、業務ホスト１１ｄから直接、または証券会社内ＣＲＭ（顧客情報管理）システム１１ｂを中継して、証券仲介業者１２が担当する顧客１３の顧客情報をデータベース１１ｈへ蓄積管理したり、データ更新手段１１ｉによってデータベース１１ｈに蓄積されている顧客情報を更新する。例文帳に追加

The securities company 11 stores and manages customer information about a customer 13 in the charge of the securities broker 12 in a database 11h direct from a work host 11d or via an in-house customer relationship management (CRM) system 11b, and updates the customer information stored in the database 11h via a data update means 11i. - 特許庁

船荷証券の発行方法、船荷証券の発行装置、船荷証券発行システム、貨物トラッキング情報の検索方法、貨物トラッキング情報の検索システム、貨物の物流費請求方法、貨物の請求書発行システム、貨物代金決済方法、貨物代金検索システムおよび物流業者選定システム例文帳に追加

ISSUING METHOD FOR BILL OF LADING, ISSUING DEVICE FOR BILL OF LADING, BILL OF LADING ISSUING SYSTEM, RETRIEVAL METHOD FOR CARGO TRACKING INFORMATION, RETRIEVAL SYSTEM FOR CARGO TRACKING INFORMATION, PHYSICAL DISTRIBUTION COST BILLING METHOD AND BILL ISSUING SYSTEM FOR CARGO - 特許庁

一　当該有価証券を取得させることを目的として当該有価証券の全部又は一部を発行者又は所有者（金融商品取引業者及び登録金融機関を除く。次号において同じ。）から取得することを内容とする契約例文帳に追加

(i) a contract in which it is agreed that a party will acquire all or part of the Securities from their Issuer or holder (excluding cases where the holder is a Financial Instruments Business Operator or Registered Financial Institution; the same shall apply in the following item) for the purpose of having other persons acquire them; or  - 日本法令外国語訳データベースシステム

七　累積投資契約（金融商品取引業者（有価証券等管理業務を行う者に限る。）が顧客から金銭を預かり、当該金銭を対価としてあらかじめ定めた期日において当該顧客に有価証券を継続的に売り付ける契約をいう。）の締結（内閣府令で定めるものに限る。）例文帳に追加

(vii) conclusion of a Contract for Cumulative Investment (meaning a contract wherein a Financial Instruments Business Operator (limited to those who engage in Securities, etc. Management Business) receives deposit money from a customer and sells Securities to that customer continuously on dates designated in advance while receiving consideration from that money) (limited to those specified by a Cabinet Office Ordinance);  - 日本法令外国語訳データベースシステム

第四十三条の二　金融商品取引業者等は、次に掲げる有価証券（次項の規定により管理する有価証券を除く。）を、確実にかつ整然と管理する方法として内閣府令で定める方法により、自己の固有財産と分別して管理しなければならない。例文帳に追加

Article 43-2 (1) A Financial Instruments Business Operator, etc. shall manage the following Securities (excluding the Securities to be managed under the following paragraph) separately from his/her own property by a method specified by a Cabinet Office Ordinance as a method for managing property in a reliable and orderly manner:  - 日本法令外国語訳データベースシステム

第四十四条の四　有価証券の引受人となつた金融商品取引業者は、当該有価証券を売却する場合において、引受人となつた日から六月を経過する日までは、その買主に対し買入代金につき貸付けその他信用の供与をしてはならない。例文帳に追加

Article 44-4 A Financial Instruments Business Operator who has become an Underwriter of Securities, upon selling said Securities, shall not conduct money loan or other credit granting to the purchaser of the Securities for the purchase price until six months have elapsed from the day on which the Financial Instruments Business Operator became an Underwriter.  - 日本法令外国語訳データベースシステム

第九条の六　事業協同組合が倉荷証券を発行した場合については、商法第六百十六条から第六百十九条まで及び第六百二十四条から第六百二十六条まで（寄託者又は証券の所持人の権利及び倉庫営業者の責任）の規定を準用する。例文帳に追加

Article 9-6 With regard to the case where a business cooperative has issued a warehouse receipt, the provisions of Articles 616 to 619 and Articles 624 to 626 (Rights of the Depositor or the Holder of the Receipt and the Responsibilities of the Warehouse Business Operator) of the Commercial Code shall apply mutatis mutandis.  - 日本法令外国語訳データベースシステム

金融商品取引法を含めた累次の制度改革の結果、証券監視委の検査対象は、数百社余りの証券会社から、９千社以上もの多種多様な業態を包含する、金融商品取引業者等へと大幅に増加している。例文帳に追加

As a result of a series of regulatory reforms, including the revision of the Financial Instruments and Exchange Act (FIEA), the scope of business operators subject to SESC’s inspection has grown from several hundreds of securities firms to more than nine thousand financial instruments firms, encompassing a wide variety of different business sectors.  - 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

例えば、証券取引においては、市場部門でのディーリング・システムによるポジションと事務管理部門での金融商品取引業者及びカストディ部門等に確認後の勘定系の証券保有残高との照合を定期的（最低限月１回）に行っているか。例文帳に追加

For example, in securities trading, does the institution regularly (at least once per month) check positions as shown in the dealing system of the Office (Trading, Banking) Division against the securities balances on the accounts of the Back-Office Division that have been confirmed with securities companies and the Custody Division, etc.?  - 金融庁

（注１）「金融持株会社」とは、銀行法第２条第１３項に定める「銀行持株会社」、長期信用銀行法１６条の４に定める「長期信用銀行持株会社」、保険業法第２条第１６項に定める「保険持株会社」、又は証券取引法第５９条第１項に定める証券会社を子会社とする持株会社（私的独占の禁止及び公正取引の確保に関する法律第９条第５項第１号に規定する持株会社。以下「証券持株会社」という。）の複数に該当する持株会社又はこれらのいずれかであって、銀行（長期信用銀行含む）、保険会社、証券会社等（証券会社、証券投資顧問業者又は投資信託委託業者）のうち、２以上の異なる業態の金融機関を子会社とする会社をいう。例文帳に追加

(Note 1) "Financial Holding Company" means a holding company which falls under one or more of the following categories of holding companies: "Bank Holding Company" set forth in Article 2, paragraph 13 of the Banking Law; "Long-term Credit Bank Holding Company" set forth in Article 16-4 of the Long-term Credit Bank Law; "Insurance Holding Company" set forth in Article 2, paragraph 16 of the Insurance Business Law or a holding company owning, as its subsidiary, a securities firm set forth in Article 59, paragraph 1 of the Securities and Exchange Law (a holding company set forth in Article 9, paragraph 5, item 1 of the Law relating to Prohibition of Private Monopoly and Methods of Preserving Fair Trade; hereinafter referred to as a "Securities Holding Company" ) and which owns, as its subsidiaries, financial institutions engaged in more than one type of the following businesses: banks (including long-term credit banks), insurance companies, securities firms, etc. (securities firms, securities investment advisers and investment trust management companies).  - 金融庁

第五十八条の二　外国証券業者は、国内にある者を相手方として第二十八条第八項各号に掲げる行為を行つてはならない。ただし、金融商品取引業者のうち、有価証券関連業を行う者を相手方とする場合その他政令で定める場合は、この限りでない。例文帳に追加

Article 58-2 A Foreign Securities Broker shall not conduct any acts listed in the items of Article 28(8) to a person in Japan as the counterparty; provided, however, that this shall not apply to cases where a Foreign Securities Broker conducts said acts to a Financial Instruments Business Operator engaged in Securities-Related Business as the counterparty, or to any other cases specified by a Cabinet Order.  - 日本法令外国語訳データベースシステム

三　当該外国証券業者の役員又は国内における代表者（当該外国証券業者が個人である場合にあつては、当該個人）が、第二十九条の四第一項第二号イからトまでに掲げる者のいずれかに該当することとなつた場合又は前号の行為をした場合において、当該許可に係る行為が公正に行われないこととなるおそれがあると認められるとき。例文帳に追加

(iii) when an Officer or a Representative Person in Japan of said Foreign Securities Broker (in cases where said Foreign Securities Broker is an individual, said individual) comes to fall under any of the persons listed in Article 29-4(1)(ii)(a) to (g) or has committed any acts set forth in the preceding item, when it is found that there are risks that the acts pertaining to said permission may not be fairly conducted.  - 日本法令外国語訳データベースシステム

第六十六条の十三　金融商品仲介業者は、いかなる名目によるかを問わず、その行う金融商品仲介業に関して、顧客から金銭若しくは有価証券の預託を受け、又は当該金融商品仲介業者と密接な関係を有する者として政令で定める者に顧客の金銭若しくは有価証券を預託させてはならない。例文帳に追加

Article 66-13 A Financial Instruments Intermediary Service Provider, for any reason, shall not receive from a customer any deposit of money or Securities with regard to its Financial Instruments Intermediary Service, or have the person specified by a Cabinet Order as having a close relationship with said Financial Instruments Intermediary Service Provider deposit the customer's money or Securities.  - 日本法令外国語訳データベースシステム

また、「Ⅷ」以降においては、登録金融機関、適格機関投資家等特例業務を行う者、外国証券業者、金融商品仲介業者及び証券金融会社それぞれの監督上の評価項目と諸手続が、それまでの部分を適宜準用するかたち等で記されているので、これも参照することとする。例文帳に追加

Section VIII and the following sections set forth supervisory viewpoints and various administrative procedures regarding registered financial institutions, qualified institutional investors engaging in specially permitted businesses, foreign securities companies, financial instruments intermediary service providers and securities finance companies, selecting suitable points of attention and procedures from among those specified in the preceding sections and applying them mutatis mutandis, so supervisors should refer to them when necessary.  - 金融庁

日常の監督事務や、事故届出等を通じて把握されたみなし有価証券販売業者等の勧誘・説明態勢に関する課題については、深度あるヒアリングを行うことや、必要に応じて金商法第56条の２第１項の規定に基づく報告を求めることを通じて、みなし有価証券販売業者等における自主的な改善状況を把握することとする。例文帳に追加

When supervisors have recognized an issue of supervisory concern regarding the control environment for customer solicitation and explanations of a securities equivalents seller, etc., through daily supervisory administration and the reporting of problematic conduct, they shall identify and keep track of the status of voluntary improvement made by the securities equivalents seller etc., by requiring the submission of reports based on Article 56-2(1) of the FIEA.  - 金融庁

みなし有価証券販売業者等が、本店その他の営業所を他の金融機関と同一の建物に設置してその業務を行う場合には、顧客が当該みなし有価証券販売業者等を当該金融機関と誤認することを防止する観点から、以下の点について顧客に十分に説明しているかに留意して検証することとする。例文帳に追加

In cases where the securities equivalent seller, etc. conducts business operations, with its headquarters or sales branches located in a building also occupied by another financial institution, supervisors shall examine whether the securities equivalents seller, etc. provides sufficient explanations regarding the following matters to customers, from the viewpoint of preventing customers from misrecognizing the said securities equivalents seller, etc. as the said financial institution.  - 金融庁

日常の監督事務や、事故届出等を通じて把握されたみなし有価証券販売業者等の誤認防止措置に関する課題については、深度あるヒアリングを行うことや、必要に応じて金商法第56条の２第１項の規定に基づく報告を求めることを通じて、みなし有価証券販売業者等における自主的な業務改善状況を把握することとする。例文帳に追加

When supervisors have recognized an issue of supervisory concern regarding misrecognition prevention measures taken by a securities equivalents seller, etc., through daily supervisory administration and the reporting of problematic conduct, they shall identify and keep track of the status of voluntary improvement made by the securities equivalents seller, etc., by holding in-depth hearings and, when necessary, requiring the submission of reports based on Article 56-2 (1) of the FIEA.  - 金融庁

第六十条　外国証券業者は、第二十九条及び第五十八条の二の規定にかかわらず、内閣総理大臣の許可を受けて、金融商品取引所における有価証券の売買及び市場デリバティブ取引（有価証券等清算取次ぎ（第二条第二十七項第一号に係るものに限る。以下この項において同じ。）の委託者として当該有価証券等清算取次ぎを行う者を代理してこれらの取引を行う場合を含む。以下「取引所取引」という。）を業として行うこと（以下この款において「取引所取引業務」という。）ができる。例文帳に追加

Article 60 (1) Notwithstanding the provisions of Article 29 and Article 58-2, a Foreign Securities Broker may, with the permission of the Prime Minister, engage in sales and purchase of Securities and Market Transactions of Derivatives on a Financial Instruments Exchange (including the cases where said Foreign Securities Broker conducts these transactions on behalf of the person who provides Brokerage for Clearing of Securities, etc. (limited to those pertaining to Article 2(27)(i); hereinafter the same shall apply in this paragraph) as the entrusting person of Brokerage for Clearing of Securities, etc.; these transactions are hereinafter collectively referred to as the "Transaction at Exchange") in the course of trade (hereinafter referred to as the "Transaction-at-Exchange Operation" in this Subsection)  - 日本法令外国語訳データベースシステム

② 顧客が有価証券の買付代金の全部又は一部の払込みを引き続き１年を超えて行わなかったときに解約されること。ただし、顧客が累積投資契約に基づいて有価証券を金融商品取引業者に寄託した場合において、当該有価証券の果実又は償還金による預り金のみを対価として前回買付の日より１年以内に有価証券の買付けを行うことができる場合の当該契約及び下記（７）に規定する契約についてはこの限りでないこと。例文帳に追加

(ii) When a client has not paid, in part nor in full, the buying price of securities for a consecutive period of one year or more, cancellation shall be effective; provided, however, that this shall not apply to contracts prescribed in the provisions of (7) below which allows purchase of negotiable certificates within one year of the date of previous purchase, solely as the consideration of the fruits of investment in securities or deposit in redemption, when the client has deposited securities to a Financial Instruments Business Operator based on a cumulative investment contract.  - 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

２　発行者、有価証券の売出しをする者、引受人、金融商品取引業者、登録金融機関又は金融商品仲介業者は、前項の有価証券又は既に開示された有価証券を募集又は売出しにより取得させ、又は売り付ける場合には、第十三条第二項第一号に定める事項に関する内容を記載した目論見書をあらかじめ又は同時に交付しなければならない。ただし、次に掲げる場合は、この限りでない。例文帳に追加

(2) In cases where the Issuer, a person who engages in Secondary Distribution of Securities, an Underwriter, a Financial Instruments Business Operator, a Registered Financial Institution, or a Financial Instruments Intermediary Service Provider has another person acquire Securities referred to in the preceding paragraph or Already Disclosed Securities, or sells such Securities to another person, through Public Offering or Secondary Distribution, they shall deliver the Prospectus containing the matters specified in Article 13(2)(i) to the other person in advance of, or at the same time as, having the Securities acquired or selling the Securities; provided, however, that this shall not apply to the following cases:  - 日本法令外国語訳データベースシステム

３　発行者、有価証券の売出しをする者、引受人、金融商品取引業者、登録金融機関又は金融商品仲介業者は、第一項の有価証券（政令で定めるものに限る。以下この項において同じ。）又は既に開示された有価証券を募集又は売出しにより取得させ、又は売り付ける場合において、その取得させ、又は売り付ける時までに、相手方から第十三条第二項第二号に定める事項に関する内容を記載した目論見書の交付の請求があつたときには、直ちに、当該目論見書を交付しなければならない。例文帳に追加

(3) In cases where the Issuer, a person who engages in Secondary Distribution of Securities, an Underwriter, a Financial Instruments Business Operator, a Registered Financial Institution, or a Financial Instruments Intermediary Service Provider has another person acquire Securities referred to in paragraph (1) (limited to those so specified by a Cabinet Order; hereinafter the same shall apply in this paragraph) or Already Disclosed Securities, or sells such Securities to another person, through Public Offering or Secondary Distribution, if the other person requests the Prospectus stating the matters specified in Article 13(2)(ii) by the time when such Securities are acquired or sold through Public Offering or Secondary Distribution, they shall deliver the Prospectus to the other person immediately.  - 日本法令外国語訳データベースシステム