「CREDIT RATING AGENCY」に関連した英語例文の一覧と使い方 - Weblio英語例文検索

(i) Has the credit rating agency made another person engage in credit rating business under the name of the said credit rating agency? 例文帳に追加

① 説明書類の記載事項(金商業府令第 318 条)は、正確かつ投資者に誤解を生じさせないよう記載されているか。 - 金融庁

From this perspective, sustained efforts by the senior management of a credit rating agency are required, including formulating management policies, developing internal control systems and operational control systems consistent with the policies, as well as to assessing and improving the effectiveness of such systems and operations on a timely basis. 例文帳に追加

⑶ 経営体制 - 金融庁

During an inspection as well, the inspectors verify whether any prohibited acts have been committed in the business of a credit rating agency. 例文帳に追加

⑶ その他禁止行為【金商業府令第 312 条】 - 金融庁

(i) Does the credit rating agency clearly prohibit the use of information acquired during the course of its credit rating business for purposes other than those for conducting the credit rating business fairly and appropriately, and has this principle been made fully known to all officers and employees? 例文帳に追加

② 苦情を受け付けた際の記録の保存、報告及び対処に関する手続が定められているか。 - 金融庁

Whether the credit rating agency has appropriately assigned the necessary number of credit rating analysts to conduct credit rating business appropriately and smoothly. 例文帳に追加

信用格付業の業務を適切かつ円滑に遂行するために必要な人数の格付アナリストを適切に配置しているか。 - 金融庁

(ii) When providing a credit rating or making it available for inspection, does the credit rating agency confirm in advance that the credit rating agency or the person in charge of the rating does not have a “close relationship” with a rating stakeholder? 例文帳に追加

市場参加者にとっての信用格付の有用性を高める観点からは、信用格付に関する情報開示に透明性・適時性が確保されることが重要であると考えられる。 - 金融庁

Furthermore, in cases where a credit rating agency is a foreign corporation, supervisory departments shall cooperate appropriately with the authorities in the home country of the said credit rating agency. 例文帳に追加

また、外国法人である信用格付業者については、当該信用格付業者の母国当局との適切な連携を図るものとする。 - 金融庁

Has the credit rating agency engaged in inappropriate acts such as using arbitrary data not based on the policies and processes for determining ratings 例文帳に追加

また、当該権限及び責任は明確にされているか。 - 金融庁

(i) Whether the credit rating agency has ensured the independence of the supervisory committee in accordance with the purpose of system. 例文帳に追加

①監督委員会は、制度の趣旨に則り、独立性を確保しているか。 - 金融庁

In the event it is found that the operation of a credit rating agency is not consistent with the operational control systems stated in the registration application, etc. (for example, in cases where credit rating activities are found that deviate from the agency’s internal rules established in terms of the development of operational control systems), the inspectors shall verify its background and decide whether the incident occurred by accident or was caused by some problem with the systems as well as whether the said credit rating agency is satisfactorily fulfilling its obligation to develop operational control systems. 例文帳に追加

⑵ 公正に信用格付行為を行うことについて重要な疑義がある者を採用しないための措置【金商業府令第 306 条第１項第３号】 - 金融庁

(ii) Has the credit rating agency established procedures relating to the keeping of records, reporting and processing when a complaint is received? In addition, does the credit rating agency deal with received complaints appropriately and quickly in accordance with those procedures? For example, does the credit rating agency conduct appropriate and swift investigations if a complaint is received which is deemed to require an internal investigation? 例文帳に追加

③ 信用格付を提供し、又は閲覧に供する場合に、法定の事項(金商業府令第 313条第３項第３号イ～ル)が正確に公表されているか(同条第３項第３号)。 - 金融庁

(iv) Whether the credit rating agency formulates its rating determination policy, etc. by categorizing them for each class and subclass of items that are subject to credit ratings, in accordance with the characteristics, size, complexity and other attributes of the said credit rating agency. 例文帳に追加

④格付付与方針等は、当該信用格付業者の特性・規模・複雑性等に応じ、信用格付の対象となる事項の区分及びその細目ごとに分類して策定しているか。 - 金融庁

On the other hand, for a credit rating in which an unregistered business operator within the group is involved in its determination, in cases where: . the credit rating agency examines whether the business activity pertaining to the said credit rating has been conducted appropriately under an adequate operational control system and in accordance with the rating policy, etc. of the said credit rating agency; and . after having verified that there are no problems, the credit rating agency approves the determination of the said credit rating, or the credit rating committee passes a resolution (if the credit rating is found to have problems, then the approval of or resolution on the said credit rating is not conducted), it should be kept in mind that the said credit rating, which has either been approved by the credit rating agency or resolved by the credit rating committee, will be recognized as having been determined by the credit rating agency, and will not fall under the category of name lending to an unregistered business operator within the group. 例文帳に追加

一方、グループ内の無登録業者が付与に関与する信用格付であっても、信用格付業者において、・当該信用格付に関する業務遂行が、十分な業務管理体制の下で、当該信用格付業者の格付方針等に則って適正に行われているかを検証し、・問題がないことを確認した上で、当該信用格付の付与について決裁し、又は格付委員会の議決を行う（問題があると認められる場合には、当該信用格付についての決裁又は議決は行わない）こととされている場合には、信用格付業者が決裁し、又は格付委員会の議決が行われた当該信用格付は、信用格付業者が付与したものと認められ、グループ内の無登録業者への名義貸しに該当しないことに留意する。 - 金融庁

Whether the credit rating agency has properly established a policy and procedures for examining the results of past work of a credit rating analyst in cases where the said credit rating analyst has taken up alternative employment as an officer of a rating stakeholder. 例文帳に追加

格付アナリストが格付関係者の役員等に転職した場合において、当該格付アナリストの過去の作業結果を検証するための方針と手続を適切に定めているか。 - 金融庁

(i) Has the credit rating agency taken consideration of items of information which are deemed important for a third party to assess the validity of a credit rating, so that the content and risks of asset securitization products can be appropriately grasped? 例文帳に追加

② 格付担当者が信用格付の手数料に関する交渉に参加することを明確に禁じ、これを役職員に周知しているか。 - 金融庁

(ii) With respect to information acquired during the course of its credit rating business, has the credit rating agency clearly established the scope in which the information is identified as confidential? 例文帳に追加

また、当該手続に則して信用格付業者に寄せられた苦情を適切かつ迅速に処理しているか。 - 金融庁

(b) Whether the credit rating agency has developed a system wherein it can confirm, when necessary, whether there is a conflict of interest or a potential conflict of interest when conducting its credit rating activities. 例文帳に追加

ロ．信用格付行為を行うに際し、利益相反又はそのおそれの有無について、必要な確認が図られる態勢となっているか。 - 金融庁

Whether the credit rating agency clearly prohibits its person in charge of ratings from participating in negotiations for credit rating fees. 例文帳に追加

格付担当者が信用格付の手数料に関する交渉に参加することを明確に禁止しているか。 - 金融庁

When a credit rating agency is registered in the Registry of Credit Rating Agencies, a notification of registration shall be issued to the registration applicant using Attached Form III-2. 例文帳に追加

信用格付業者登録簿に登録した場合は、別紙様式Ⅲ－２による登録済通知書を登録申請者に交付するものとする。 - 金融庁

(i) In determining credit ratings, whether the credit rating agency has developed, in advance, systems whereby it can confirm, when necessary, the relationships between the credit rating agency and its officers and employees on the one hand and a rating stakeholder on the other (including whether there is any sale, purchase or other transaction of securities, etc. relating to the rating stakeholder). 例文帳に追加

①信用格付の付与を行うに当たっては、あらかじめ、信用格付業者及びその役職員と格付関係者との関係（格付関係者に関する有価証券の売買その他の取引等の有無を含む。）について、必要な確認を行う態勢となっているか。 - 金融庁

(1) PROHIBITION OF ACTS OF PROVIDING OR MAKING AVAILABLE FOR INSPECTION A CREDIT RATING ON A MATTER IN WHICH THE SAID RATING STAKEHOLDER HAS AN INTEREST IN CASES WHERE A CREDIT RATING AGENCY OR AN OFFICER OR EMPLOYEE THEREOF HAS A CLOSE RELATIONSHIP WITH A RATING STAKEHOLDER, [ARTICLE 66-35(I) OF THE FIEA] 例文帳に追加

例えば、グループ内の無登録の格付会社が信用格付行為を行うに際して、登録業者である自社の名義で信用格付行為を行ったこととするなどの不適切な行為をしていないか。 - 金融庁

Whether the credit rating agency has taken appropriate measures for preventing credit rating activities from being unduly influenced, in such cases as where a person in charge of rating attempts to gain employment as an officer of a rating stakeholder. 例文帳に追加

格付担当者が格付関係者の役員等に就こうとする場合等において、信用格付行為に不当な影響が及ばないようにするための措置を適切に講じているか。 - 金融庁

(ii) Does the credit rating agency provide the credit rating and make it available for inspection without delay after the determination of the said credit rating (Article 313(3)(i) of the FIB Cabinet Office Ordinance)? 例文帳に追加

イ 格付付与に際して、収集した金融商品又は法人の信用状態に係るすべての情報資料を総合して判断の基礎としているか（金商業府令第 313 条第２項第２号）。 - 金融庁

Whether the credit rating agency has clearly established the authority and responsibility of the credit rating committee, and whether it has properly established the process for appointing committee members, the process by which the credit rating committee will make decisions and other procedures pertaining to the administration of the committee. 例文帳に追加

格付委員会の権限及び責任を明確にし、構成員の選任方法、格付委員会の意思決定の方法その他の運営に関する手続を適切に定めているか。 - 金融庁

Also, whether the credit rating agency has taken appropriate measures, such as separating the division that conducts its credit rating activities from the division that negotiates the credit rating fees. 例文帳に追加

また、例えば、信用格付行為を行う部門と信用格付の手数料に関する交渉を行う部門とを分離するなど、適切な措置を講じているか。 - 金融庁

(2) Inspectors shall ensure that there is no inappropriate operation which is against the spirit of laws and regulations, even when the credit rating agency is conducting business that consistent with the operational control systems stated in its registration application, etc. 例文帳に追加

① 役職員の採用に関する方針・手続等が適切に定められているか。 - 金融庁

In the event that an inappropriate incident is identified, inspectors shall assess whether the said credit rating agency is satisfactorily fulfilling its obligation to develop operational control systems by means of verifying whether its systems work effectively and are reviewed periodically. 例文帳に追加

また、それらに則した採用を実際に行っているか。 - 金融庁

(iii) Has the supervisory committee put in place a framework for verifying, based on the viewpoint of independent members, whether the operational control systems of the credit rating agency have been implemented appropriately? 例文帳に追加

以上を考慮のうえ、主に以下の項目を参考に、禁止行為について検証を行う。 - 金融庁

Major credit rating agency Fitch has downgraded government bonds issued by Spain by three notches. 例文帳に追加

大手格付会社のフィッチが、スペイン国債の格付を3段階引き下げました。 - 金融庁

(3) Measures for ensuring the appropriateness of the business of a credit rating agency (internal control system) 例文帳に追加

（３）信用格付業者の業務の適正を確保するための措置（内部統制システム） - 金融庁

(c) Whether the credit rating agency makes sure to properly follow up on how internal allegations are being handled. 例文帳に追加

ハ．内部通報への対応状況について、適切にフォローアップが行われる態勢となっているか。 - 金融庁

Whether the credit rating agency takes appropriate measures for avoiding conflicts of interest in cases where there is a conflict of interest or a potential conflict of interest. 例文帳に追加

利益相反又はそのおそれがある場合には、適切な利益相反回避措置を講じているか。 - 金融庁

Whether the credit rating agency has properly established a policy for determining the remuneration, etc. of officers and employees, and whether it is applying the policy appropriately. 例文帳に追加

役職員の報酬等の決定方針を適切に定め、適切に適用しているか。 - 金融庁

(ii) Whether the credit rating agency has developed a system for providing full explanations in the event it receives a complaint or inquiry. 例文帳に追加

②苦情等を受けた場合には、十分な説明を行う態勢となっているか。 - 金融庁

(v) Whether the credit rating agency makes appropriate improvements with respect to matters pointed out by the supervisory committee. 例文帳に追加

⑤監督委員会の指摘事項について、適切に改善が図られているか。 - 金融庁

Whether the credit rating agency has clarified in its internal rules, etc. the scope of advice that is prohibited. 例文帳に追加

社内規則等において、禁止の対象となる助言の範囲を明確化しているか。 - 金融庁

Also, whether the credit rating agency appropriately publicizes its explanatory documents through methods such as posting them on its website. 例文帳に追加

また、ホームページへの掲載等の方法により、適切に公表されているか。 - 金融庁

(2) Exclusion from the application of “measures for ensuring the appropriateness of the business of a credit rating agency (internal control system)” 例文帳に追加

（２）「信用格付業者の業務の適正を確保するための措置（内部統制システム）」の適用除外 - 金融庁

(ii) Whether the credit rating agency has properly recorded and stored credit ratings in which a lead rating analyst or a member of the credit rating committee (refers to the consultative body which makes the final decision for the credit rating agency regarding the determination of credit ratings; the same shall apply hereinafter) has been involved in the rating process, so that it can properly adhere to the measures prescribed in Article 306(1)(ii)(A) or (B) of the FIB Cabinet Office Ordinance. 例文帳に追加

②金商業等府令第306条第１項第２号イの措置又は同号ロの措置を適切に遵守できるよう、主任格付アナリスト又は格付委員会（信用格付の付与に係る信用格付業者としての最終的な意思決定を行う合議体をいう。以下同じ。）の構成員が格付プロセスに関与した信用格付を適切に記録し、保存しているか。 - 金融庁

(iii) Measures to prevent a credit rating from being determined in cases where the credit rating agency cannot secure sufficient personnel having expert knowledge and skills for determining the credit rating, or in cases where it cannot ensure sufficient quality for the information used in determining the credit rating 例文帳に追加

③信用格付の付与のために専門的知識及び技能を有する人員を十分に確保できない場合又は信用格付の付与のために用いられる情報について十分な品質を確保できない場合には、当該信用格付を付与しないための措置 - 金融庁

(i) Does the credit rating agency make the rating policy, etc. universally known by training for officers and employees and other methods? 例文帳に追加

例えば、以下のような観点について格付付与方針等に則った信用格付の付与がなされているかを検証するものとする。 - 金融庁

The credit rating agency Standard and Poor's downgraded Spain's rating by two notches. How do you expect that will affect the market? 例文帳に追加

格付会社のスタンダード＆プアーズがスペインの格付けを2段階下げましたが、これは市場への影響はどういうふうに見ていますか。 - 金融庁

On the other hand, even a credit rating determined by a credit rating agency that is a foreign corporation, if it is determined at a location in Japan, will not fall under the category of a non-Japan-related rating, and so FIEA regulation will apply. 例文帳に追加

他方、外国法人である信用格付業者が付与する信用格付であっても、国内の拠点で付与されるものについては、非日本関連格付に該当せず、金商法の規制が適用されることとなる。 - 金融庁

Whether the credit rating agency has properly established a policy and procedures for ensuring the quality of information provided by rating stakeholders for the purpose of determining a credit rating, and whether it examines the information appropriately in accordance with that policy and procedures. 例文帳に追加

信用格付の付与のために格付関係者から提供を受ける情報について、その品質を確保するための方針及び手続を適切に定め、当該方針等に従って適切に検証を行っているか。 - 金融庁

(i) Whether the credit rating agency has clearly designated the division that is in charge of complaints and inquiries from rating stakeholders, investors and other credit-rating users, and whether it has established specific procedures for handling them, so as to ensure that the complaints and so forth are processed and a response is made in a prompt and appropriate manner. 例文帳に追加

①格付関係者、投資者その他信用格付の利用者からの苦情や問合せ等の担当部署及び処理手順を明確に定め、迅速かつ適切に処理・対応を行う態勢となっているか。 - 金融庁