「金融商品仲介業」に関連した英語例文の一覧と使い方 - Weblio英語例文検索

金融商品仲介業者の法令違反の防止措置例文帳に追加

Measures to Prevent Violation of Law by Financial Instruments Intermediary Service Providers  - 金融庁

諸手続 （金融商品仲介業者）例文帳に追加

Various Administrative Procedures (Financial Instruments Intermediary Service Providers)  - 金融庁

評価項目（金融商品仲介業者）例文帳に追加

Evaluation points (Financial Instruments Intermediary Service Provider)  - 金融庁

諸手続（金融商品仲介業者）例文帳に追加

Various administrative procedures (Financial Instruments Intermediary Service Provider)  - 金融庁

金融商品仲介業者への準用例文帳に追加

(2) Application Mutatis Mutandis to Financial Instruments Intermediary Service Providers  - 金融庁

－２ 諸手続（金融商品仲介業者）例文帳に追加

XI-2 Various Administrative Procedures (Financial Instruments Intermediary Service Providers)  - 金融庁

（８）金融商品仲介業務を行う登録金融機関にあっては、例文帳に追加

(8) Regarding registered financial institutions that conduct financial instruments intermediary services.  - 金融庁

一　金融商品取引業者又は金融商品仲介業者の行う金融商品取引業に対する苦情の解決例文帳に追加

(i) to resolve complaints filed with regard to Financial Instruments Business conducted by a Financial Instruments Business Operator or a Financial Instruments Intermediary Service Provider;  - 日本法令外国語訳データベースシステム

二　金融商品取引業者又は金融商品仲介業者の行う金融商品取引業に争いがある場合のあつせん例文帳に追加

(ii) to mediate in the case of disputes arisen from Financial Instruments Business conducted by a Financial Instruments Business Operator or a Financial Instruments Intermediary Service Provider; and  - 日本法令外国語訳データベースシステム

ニ　金融商品仲介業を行つたことの有無及び金融商品仲介業を行つたことのある者については、その行つた期間例文帳に追加

(d) whether the person has conducted Financial Instruments Intermediary Service, and for those who have conducted Financial Instruments Intermediary Service, the period during which they conducted such business; and  - 日本法令外国語訳データベースシステム

第六十六条の九　金融商品仲介業者は、自己の名義をもつて、他人に金融商品仲介業を行わせてはならない。例文帳に追加

Article 66-9 A Financial Instruments Intermediary Service Provider shall not have another person engage in Financial Instruments Intermediary Service under the name of said Financial Instruments Intermediary Service Provider.  - 日本法令外国語訳データベースシステム

一　当該金融商品仲介業者の商号、名称又は氏名例文帳に追加

(i) the trade name or name of said Financial Instruments Intermediary Service Provider;  - 日本法令外国語訳データベースシステム

① 金融商品取引業者等の市場仲介機能に係る検証例文帳に追加

1) Verification of market intermediary functions of financial instruments firms  - 金融庁

監督上の評価項目と諸手続（金融商品仲介業者）例文帳に追加

Supervisory Evaluation Points and Various Administrative Procedures (Financial Instruments Intermediary Service Providers)  - 金融庁

Ⅲ－２－１０ 金融商品仲介業者の法令違反の防止措置例文帳に追加

III-2-10 Measures to Prevent Violation of Law by Financial Instruments Intermediary Service Providers  - 金融庁

③ 金融商品仲介業者の法令遵守意識の徹底例文帳に追加

(iii) Efforts to Foster and Maintain Sense of Compliance at Financial Instruments Intermediary Service Providers  - 金融庁

．監督上の評価項目と諸手続（金融商品仲介業者）例文帳に追加

XI. Supervisory Evaluation Points and Various Administrative Procedures (Financial Instruments Intermediary Service Providers)  - 金融庁

金融商品仲介業者の届出については、Ⅲ－３－２（１）に準ずるほか、例文帳に追加

III-3-2(1) shall be applied mutatis mutandis to notifications made by financial instruments intermediary service providers.  - 金融庁

① 金商業等府令第 32条第１号に規定する「金融商品取引業等又は金融商品仲介業の遂行のための業務」とは、金融商品取引業等又は金融商品仲介業に関して経営管理上の判断等を伴うことのない次に掲げる業務を行うことをいう。例文帳に追加

(i) “Operations for the execution of financial instruments business, etc., or financial instruments intermediary services,” prescribed in Article 32(i) of the FIB Cabinet Office Ordinance refers to the following operations that do not entail governance decisions in relation to financial instruments operations, etc., or financial instruments intermediary services:  - 金融庁

三　登録申請者以外の金融商品取引業者等又は金融商品仲介業者に所属する外務員として登録されている者例文帳に追加

(iii) a person who has been registered as a Sales Representative belonging to a Financial Instruments Business Operator, etc. or Financial Instruments Intermediary Service Provider other than the applicant; or  - 日本法令外国語訳データベースシステム

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

五　会員及び金融商品仲介業者の行う金融商品取引業に争いがある場合のあつせん例文帳に追加

(v) to mediate in the case of disputes arisen from the 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

第六十六条の二十四　金融商品仲介業者の所属金融商品取引業者等は、その委託を行つた金融商品仲介業者が金融商品仲介業につき顧客に加えた損害を賠償する責任を負う。ただし、当該所属金融商品取引業者等がその金融商品仲介業者への委託につき相当の注意をし、かつ、その者の行う金融商品仲介行為につき顧客に加えた損害の発生の防止に努めたときは、この限りでない。例文帳に追加

Article 66-24 An Entrusting Financial Instruments Business Operator, etc., of a Financial Instruments Intermediary Service Provider shall be held liable to compensate for the damage caused to a customer with regard to the Financial Instruments Intermediary Service rendered by the Financial Instruments Intermediary Service Provider to which it entrusted said service; provided, however, that this shall not apply to cases where said Entrusting Financial Instruments Business Operator, etc. has paid reasonable attention in entrustment to said Financial Instruments Intermediary Service Provider, and has endeavored to prevent the damage that it caused to a customer with regard to Acts of Financial Instruments Intermediation rendered by said Financial Instruments Intermediary Service Provider.  - 日本法令外国語訳データベースシステム

三　金融商品仲介業を行う営業所又は事務所の名称及び所在地例文帳に追加

(iii) the name and location of business office or office at which the Financial Instruments Intermediary Service shall be conducted;  - 日本法令外国語訳データベースシステム

第六十六条の十二　金融商品仲介業者（金融商品取引業者である者を除く。）は、その行う金融商品仲介業の顧客を相手方とし、所属金融商品取引業者等の委託を受けて行う金融商品仲介行為以外の第二条第八項各号に掲げる行為をしてはならない。例文帳に追加

Article 66-12 A Financial Instruments Intermediary Service Provider (excluding a person who is a Financial Instruments Business Operator) shall not conduct any act listed in the items of Article 2(8), except for the Acts of Financial Instruments Intermediation to which a customer of its Financial Instruments Intermediary Service is the other party, as entrusted by the Entrusting Financial Instruments Business Operator, etc.  - 日本法令外国語訳データベースシステム

一　金融商品仲介業に関連し、次に掲げるいずれかの行為を行うこと。例文帳に追加

(i) to conduct any of the following acts in relation to the Financial Instruments Intermediary Service:  - 日本法令外国語訳データベースシステム

二　金融商品仲介業者である個人が死亡したとき　その相続人例文帳に追加

(ii) when the individual that is a Financial Instruments Intermediary Service Provider has died: the heir thereof;  - 日本法令外国語訳データベースシステム

（１）金融商品仲介業者の法令違反の防止に係る留意事項例文帳に追加

(1) Points of Attention Regarding Prevention of Violation of Law by Financial Instruments Intermediary Service Providers  - 金融庁

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

（２）必要に応じ、各金融商品仲介業者が店舗に備え置いた日を確認するものとする。例文帳に追加

(2) Supervisors shall check the date on which each financial instruments intermediary service provider installed the documents at its branches as necessary.  - 金融庁

金融商品仲介業者登録簿に記載する登録番号は次のとおりとする。例文帳に追加

(i) The registration numbers to be recorded in a registry of financial institutions shall be specified as follows:  - 金融庁

が、金融商品仲介業者が作成及び保存の義務を負うことに留意するものとする。例文帳に追加

However, it should be noted that the financial instruments intermediary service providers bear the responsibility for the compilation and storage of the account documents.  - 金融庁

２　金融商品仲介業者が前項各号のいずれかに該当することとなつたとき、所属金融商品取引業者等がなくなつたとき、又は第二十九条の登録（当該登録を受けた金融商品取引業者が第一種金融商品取引業を行うものに限る。）を受けたときは、当該金融商品仲介業者の第六十六条の登録は、その効力を失う。例文帳に追加

(2) When a Financial Instruments Intermediary Service Provider has come to fall under any of the items of the preceding paragraph, or has come to have no Entrusting Financial Instruments Business Operator, etc., or when the registration under Article 29 (limited to cases where the registered Financial Instruments Business Operator operates Type I Financial Instruments Business) has been granted, the registration of said Financial Instruments Intermediary Service Provider under Article 66 shall lose its effect.  - 日本法令外国語訳データベースシステム

② 金融商品取引業者から金商業等府令第199条第11号トの規定に基づく届出書の提出があった場合で、金融商品仲介業者に委託を行わなくなった理由が当該金融商品仲介業者が金融商品仲介業務を廃止するためであるときは、当該金融商品仲介業者につき、金商法第66条の20第１項の規定による登録取消の事由が存しないことを当該金融商品取引業者が確認しているかを届出書の提出時に確認することとする。例文帳に追加

(ii) In the case where a Financial Instruments Business Operator submits a notification prescribed in the provision of Article 199(xi)(g) of the FIB Cabinet Office Ordinance, and when the reason for the termination of entrustment to a financial instruments intermediary services provider is that the said financial instruments intermediary services provider is to discontinue the financial instruments intermediary services, a confirmation shall be made at the time of the submission of the notification that the said Financial Instruments Business Operator has confirmed that there are no grounds for rescission of registration of the said financial instruments intermediary services provider pursuant to the provision of Article 66-20(1) of the FIEA.  - 金融庁

第六十六条の六　金融商品仲介業者でない者は、金融商品仲介業者という商号若しくは名称又はこれに紛らわしい商号若しくは名称を用いてはならない。例文帳に追加

Article 66-6 A person who is not a Financial Instruments Intermediary Service Provider shall not use a trade name or name as a Financial Instruments Intermediary Service Provider or any trade name or name confusingly similar thereto.  - 日本法令外国語訳データベースシステム

三　当該金融商品仲介業者の行う金融商品仲介業の内容に関する事項であつて、顧客の判断に影響を及ぼすこととなる重要なものとして政令で定めるもの例文帳に追加

(iii) the matters concerning the contents of the Financial Instruments Intermediary Service conducted by said Financial Instruments Intermediary Service Provider which are specified by a Cabinet Order as important matters that may have an impact on customers' judgment.  - 日本法令外国語訳データベースシステム

第六十六条の十六　金融商品仲介業者は、内閣府令で定めるところにより、金融商品仲介業に関する帳簿書類を作成し、これを保存しなければならない。例文帳に追加

Article 66-16 A Financial Instruments Intermediary Service Provider shall, pursuant to the provisions of a Cabinet Office Ordinance, prepare and preserve the books and documents on its Financial Instruments Intermediary Service.  - 日本法令外国語訳データベースシステム

イ．金融商品仲介業者の法令遵守意識の徹底について、研修の目的及び対象者等を考慮した事例研修及び外部研修等を実施し、金融商品仲介業者の法令遵守意識の向上に努めているか。例文帳に追加

A. Whether the Financial Instruments Business Operator provides case study training, external training and other types of training with a view to enhancing the entrusted financial instruments intermediary service provider’s sense of compliance.  - 金融庁

六　金融商品取引法第二条第十二項（定義）に規定する金融商品仲介業者のうち、金融商品仲介業（同条第十一項（定義）に規定する金融商品仲介業をいい、次に掲げる行為のいずれかを業として行うものに限る。以下この号において同じ。）のほか、金融商品仲介業に付随する業務その他の内閣府令で定める業務を専ら行うもの（以下「証券仲介専門会社」という。）例文帳に追加

(vi) A Financial Instruments Intermediary Service Provider as defined in Article 2, paragraph (12) (Definitions) of the Financial Instruments and Exchange Act that, apart from the Financial Instruments Intermediary Service (referring to the Financial Instruments Intermediary Service defined in Article 2, paragraph (11) (Definitions) of that Act and limited to the business of carrying out any of the following acts on a regular basis; hereinafter the same shall apply in this item), exclusively engages in any of the businesses specified by a Cabinet Office Ordinance, such as a business incidental to the Financial Instruments Intermediary Service (hereinafter referred to as "Company Specialized in Securities Intermediary Service");  - 日本法令外国語訳データベースシステム

四　金融商品取引法第二条第十二項（定義）に規定する金融商品仲介業者のうち、金融商品仲介業（同条第十一項（定義）に規定する金融商品仲介業をいい、次に掲げる行為のいずれかを営む業務に係るものに限る。以下この号において同じ。）のほか、金融商品仲介業に付随する業務その他の内閣府令で定める業務を専ら営むもの（以下「証券仲介専門会社」という。）例文帳に追加

(iv) Financial Instruments Intermediary Service Providers prescribed in Article 2(12) (Definitions) of the Financial Instruments and Exchange Act which, apart from Financial Instruments Intermediary Service (meaning Financial Instruments Intermediary Service prescribed in Article 2(11) (Definitions) of that Act and limited to service of carrying out any of the acts listed in the following; hereinafter the same shall apply in this item), exclusively engage in activities incidental to Financial Instruments Intermediary Service and other services specified by a Cabinet Office Ordinance (hereinafter referred to as "Company Specialized in Securities Intermediary Service");  - 日本法令外国語訳データベースシステム

九　協会員の役員及び使用人並びに金融商品仲介業者（協会員を所属金融商品取引業者等とする金融商品仲介業者に限る。以下この節において同じ。）並びにその役員及び使用人の資質の向上に関する事項例文帳に追加

(ix) matters related to improvements in qualities of Officers and employees of the Member Firms, and qualities of the Financial Instruments Intermediary Service Providers (limited to the Financial Instruments Intermediary Service Providers of which Entrusting Financial Instruments Business Operator, etc. is a Member Firm; hereinafter the same shall apply in this Section) and their Officers and employees;  - 日本法令外国語訳データベースシステム

第六十六条の二十二　内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、金融商品仲介業者若しくはこれと取引をする者に対し当該金融商品仲介業者の金融商品仲介業務に関し参考となるべき報告若しくは資料の提出を命じ、又は当該職員をして当該金融商品仲介業者の金融商品仲介業務の状況若しくは書類その他の物件の検査をさせることができる。例文帳に追加

Article 66-22 When the Prime Minister finds it necessary and appropriate for the public interest or protection of investors, he/she may order a Financial Instruments Intermediary Service Provider or a person who conducts transactions with said Financial Instruments Intermediary Service Provider to submit reports or materials that will be helpful for understanding the Financial Instruments Intermediary Service of said Financial Instruments Intermediary Service Provider, or have the officials inspect the status, or the documents or other articles of the Financial Instruments Intermediary Service of said Financial Instruments Intermediary Service Provider.  - 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

三　第三十六条の三又は第六十六条の九の規定に違反して他人に金融商品取引業、登録金融機関業務又は金融商品仲介業を行わせた者例文帳に追加

(iii) a person who has, in violation of Article 36-3 or Article 66-9, made other persons conduct Financial Instruments Business, Registered Financial Institution Business, or Financial Instruments Intermediary Service;  - 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