「DIVISIONS」に関連した英語例文の一覧と使い方(22ページ目) - Weblio英語例文検索

③ Whether the Internal Audit Division grasps the risk management situation of audited divisions, establishes internal audit plans which take into consideration the frequency and depth in accordance with the nature and degree of risks involved, and conducts efficient and effective internal audits in accordance with such internal audit plans. 例文帳に追加

③ 内部監査部門は、被監査部門におけるリスク管理状況等を把握した上、リスクの種類・程度に応じて、頻度・深度に配慮した効率的かつ実効性ある内部監査計画を立案するとともに、内部監査計画に基づき効率的・実効性ある内部監査を実施しているか。 - 金融庁

③ Whether a management company analyzes the causes of irregularities occurring in the management company or group companies, gives feed back of the results of analysis to the heads of operational divisions for the prevention of the same, and whether a system for checking if measures are swiftly taken to prevent the recurrence of the same is established. 例文帳に追加

③経営管理会社においては、経営管理会社自身、又はグループ内会社において不祥事件の発生の原因を分析し、未然防止の観点から各業務部門長に分析結果を還元するとともに、再発防止のための措置を速やかに講じているかを検証する態勢が整備されているか。 - 金融庁

④ Whether a management company establishes a clear processing procedure for handling complaints received from its own customers or customers of group companies, report them to the internal audit divisions or such group companies in accordance with such procedure, and keep records of such complaints. 例文帳に追加

④経営管理会社が、自身の顧客又はグループ内会社の顧客から受けた苦情等については、明確な処理手続きを定め、これに従い内部監査部門等及び当該グループ内会社に報告するとともに、苦情等の内容について記録・保存しているか。 - 金融庁

④ Whether the Supervising Officers and Divisions judge the appropriateness of shifting to the post-integration operational system, including the system in accordance with the standards for shifting operations which have been appropriately defined and approved by the board of directors (including the system shifting standards) and carry them out subject to the approval of the board of directors. 例文帳に追加

④統括役員及び部門は、適切に策定され取締役会の承認を得た業務の移行判定基準（システムの移行判定基準を含む。）に従い、システムを含む統合後の業務運営体制への移行の可否を判断し、取締役会での承認を経て実行することとしているか。 - 金融庁

⑩ Whether a system for the internal audit divisions of the financial institutions which are going to conduct system integrations to conduct operational audits and system audits in cooperation with each other is developed. Whether staff thoroughly knowledgeable about the development process and other process audits is secured. 例文帳に追加

⑩システム統合を行おうとする金融機関の内部監査部門（以下、｢内部監査部門｣という。）は、協調して業務監査及びシステム監査を行うことができる体制となっているか。また、システムの開発過程等プロセス監査に精通した要員を確保しているか。 - 金融庁

The FSA will examine whether collaboration between divisions, including the product development division and the claims payment division, is functioning effectively, and whether ex-post-facto verification and internal audits are being conducted properly with respect to the payment of claims.Especially in regards to non-life insurance companies, the FSA will examine the implementation status of companies’ business improvement plans that have been put together based on administrative action against the non-payment of fringe claims, inappropriate payment associated with third-sector products and other such problems. 例文帳に追加

特に生命保険会社については、平成19年2月に発出した追加的な支払いを要する事案の件数等に係る報告徴求に関し、十分な原因分析に基づく各社の再発防止策を検証し、再発防止策に沿った対応状況を検証する。 - 金融庁

Although each firm issued instructions for improvements from headquarters to audit divisions and regional offices by way of formulating, and disseminating guidelines, notices by posting these on electronic messaging boards and offering training programs, there remain staff members who are unaware of the necessity of the improvements or the content thereof. 例文帳に追加

各法人ともに、本部から監査部門及び地方事務所への改善の指示はガイドライン及び通達等の制定、発出又は電子掲示板への掲載、研修の開催等により行われているが、社員や職員の中には改善の必要性の認識や改善策の内容の理解が十分でない者がみられる。 - 金融庁

Local Finance Bureaus (including the Fukuoka Local Finance Branch and the Okinawa General Bureau. The same shall apply hereinafter), as well as relevant divisions of the FSA, shall implement supervisory processes regarding Financial Instruments Business Operators, etc., that operate in their districts of jurisdiction based on this Guideline. 例文帳に追加

財務局（福岡財務支局及び沖縄総合事務局を含む。以下同じ。）は本監督指針に基づき、管轄金融商品取引業者等の監督事務を実施するものとし、金融庁担当課室にあっても同様の扱いとする。 - 金融庁

Supervisors shall hold hearings with the internal audit sections of Financial Instruments Business Operators as necessary, with regard to their control environment for internal audits, the status of the implementation of internal audits and the correction of problems, from the viewpoint of identifying the status of the divisions’ exercise of their functions. 例文帳に追加

内部監査の機能発揮状況を把握する観点から、必要に応じ、金融商品取引業者の内部監査部門に対し、内部監査態勢、内部監査の実施状況及び問題点の是正状況等につきヒアリングを実施することとする。 - 金融庁

(i) Whether the management team recognizes the necessity and importance of ensuring the appropriateness of managing information related to customers, etc., and whether they have developed an internal control environment, such as establishing an organizational structure (including establishing appropriate checks between divisions) and formulating internal rules for ensuring the appropriateness. 例文帳に追加

経営陣は、顧客等に関する情報管理の適切性を確保する必要性及び重要性を認識し、適切性を確保するための組織体制の確立（部門間における適切な牽制の確保を含む。）、社内規程の策定等、内部管理態勢の整備を図っているか。 - 金融庁

A. With regard to the management of outsourced contractors, whether the Financial Instruments Business Operator has clarified the responsible divisions and confirms that outsourced contractors are properly managing the information related to customers, etc., such as by monitoring on a periodic or as-needed basis how business operations are being conducted at outsourced contractors. 例文帳に追加

イ．外部委託先の管理について、責任部署を明確化し、外部委託先における業務の実施状況を定期的又は必要に応じてモニタリングする等、外部委託先において顧客等に関する情報管理が適切に行われていることを確認しているか。 - 金融庁

(v) Whether the Financial Instruments Business Operator has established arrangements and procedures for appropriately reporting to responsible divisions, notifying customers and the public, and reporting to the authorities in a prompt and appropriate manner when information related to customers, etc. has been leaked, so that secondary damage can be prevented. 例文帳に追加

顧客等に関する情報の漏えい等が発生した場合に、適切に責任部署へ報告され、二次被害等の発生防止の観点から、対象となった顧客等への説明、当局への報告及び公表が迅速かつ適切に行われる体制が整備されているか。 - 金融庁

(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; 例文帳に追加

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。 - 金融庁

(c) Does the credit rating agency clarify the matters to be communicated, reported and discussed between the chief compliance officer and the sales divisions, etc., as well as the associated methods; and have business operations actually been conducted in accordance with them? 例文帳に追加

イ グループ法人内に存在する共通ルール（特に海外グループ法人が作成したルール）等を導入する際に、本邦法令等に照らして当該ルールが不適切ではないか又は不十分ではないか等について検討を行っているか。 - 金融庁

This debate will need to be conducted from various aspects, including planning, management and international considerations. Therefore, we intend to conduct the debate across different bureaus and divisions of the FSA. 例文帳に追加

また、この議論というのは、おそらく企画的な要素と運用的な要素、国際的な要素と3つ、様々な視点からの対応が必要かと思っております。そういった意味では、庁内横断的に様々な議論をしていきたいと考えているところでございます。 - 金融庁

Has the Board of Directors developed an organizational framework that enables the financial institution as a whole to conduct business and risk management appropriately and effectively, for example by establishing divisions between which conflicts of interest may arise and assigning them authority in a way to allow them to exercise a mutual check-and-balance system even as they maintain coordination? 例文帳に追加

取締役会は、利益相反が生じる可能性がある部門相互につき、連携しつつ、牽制機能が有効に発揮される形態で設置及び権限の付与を行う等、当該金融機関の業務及びリスクの管理が全体として適切かつ実効的に機能する組織体制の整備を行っているか。 - 金融庁

1 It is not necessary to develop a unified finance facilitation management policy that exhaustively covers all items that must be clearly specified, but it should suffice that all such items are covered by multiple policies etc.established by divisions etc. engaged in finance facilitation management. 例文帳に追加

1明確に記載されるべき項目を全て包含する統一的な金融円滑化管理方針を策定する必要はなく、金融円滑化管理を行う複数の部門等において定められる複数の方針等において、明確に記載されるべき項目が網羅的に定められていればよい。 - 金融庁

(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? 例文帳に追加

（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。 - 金融庁

Does the Finance Facilitation Manager issue instructions to divisions engaged in relevant business and sales branches ,etc. with regard to specific measures for securing appropriate execution of finance facilitation, and manage them in ways to ensure that finance facilitation is done appropriately at each division? 例文帳に追加

また、金融円滑化管理責任者は、関係業務部門及び営業店等に対し、金融円滑化の適切な実施を確保するための具体的な方策を指示し、各部署における金融円滑化が適切に行われるよう管理しているか。 - 金融庁

For example, does the Board of Directors or organization equivalent to the Board of Directors instruct the Manager or the Compliance Control Division to identify the Laws, internal rules and operational procedures to be observed by the operation divisions and to regularly carry out specific measures for ensuring observance such as providing effective training suited to the nature and responsibilities of the operations? 例文帳に追加

例えば、管理者又はコンプライアンス統括部門に、各部門が遵守すべき法令等、内部規程・業務細則等を特定させ、業務の内容や職責に応じた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。 - 金融庁

(ii) With regard to complaints that involve information related to violation of Laws, including suspected ones, does the Manager provide a system to require and obtain reports from divisions, departments and individuals that hold the relevant information and analyze and examine it so as to provide feedback to the division in charge of processing complaints? 例文帳に追加

（ⅱ）管理者は、相談・苦情等の中で法令等違反行為又はその疑いに関する情報が含まれるものについて、情報を保有する部門、部署、個人等から適切に情報を報告させ、取得し、分析・検討の上、顧客サポート等管理責任者等に還元を行う態勢を整備しているか。 - 金融庁

From the viewpoint of ensuring the full enforcement of legal compliance throughout the institution, does the Compliance Control Division collect, manage, analyze and examine in an integrated manner Compliance-related Information scattered across the institution’s divisions and departments and, based on the results of the analysis and examination, take appropriate steps and measures? 例文帳に追加

コンプライアンス統括部門は、金融機関全体の法令等遵守の徹底を図る観点から、金融機関の様々な部署に散在するコンプライアンス関連情報を一元的に収集、管理、分析及び検討し、その結果に基づき適時に適切な措置・方策を講じているか。 - 金融庁

For example, does the division conduct monitoring by requiring reports in a regular and timely manner or on an as needed basis from persons in charge of compliance with regard to the status of legal compliance at operation divisions and sales branches, etc., or by collecting information on an ongoing basis and conducting a field survey in a timely manner? 例文帳に追加

例えば、定期的に又は必要に応じて随時、コンプライアンス担当者から、法令等遵守の状況の報告を求め、又は継続的に情報を収集し、適時に実地調査を行う等の方法によりモニタリングを行っているか。 - 金融庁

(ii) Does the Compliance Control Division immediately report to the Manager an incident determined as a result of the fact-investigation mentioned in (i) above as constituting a violation of Laws or as having a high probability of constituting an illegal act and take appropriate measures in coordination with the relevant divisions and departments? 例文帳に追加

（ⅱ）コンプライアンス統括部門は、上記（ⅰ）の事実確認の結果、法令等違反行為に該当する又はそのおそれが強いと判断した事象について、直ちに管理者に報告し、関連する部門又は部署等と連携して適切な対処を行っているか。 - 金融庁

(iv) Does the Compliance Control Division feed back the results of the analysis mentioned above to the Managers of the relevant divisions and sales branches in order to prevent the recurrence of the case and promptly take prevention measures or have another division do so? 例文帳に追加

（ⅳ）コンプライアンス統括部門は、上記（ⅲ）の分析結果を、再発防止の観点から関連業務部門の管理者や営業店長等に還元するとともに、将来の未然防止のための措置を速やかに講じ、又は他の部門に講じさせているか。 - 金融庁

(iii) With regard to requests for consultations and complaints that involve information concerning violation of Laws, does the Compliance Control Division require and obtain reports from divisions, departments and individuals that hold the relevant information in an appropriate manner, analyze and examine the information and provide feedback to the division in charge of processing complaints? 例文帳に追加

（ⅲ）コンプライアンス統括部門は、相談・苦情等の中で法令等違反行為に関する情報が含まれるものについて、情報を保有する部門、部署、個人等から適切に情報を報告させ、取得し、分析・検討の上、顧客サポート等管理責任者等に還元を行っているか。 - 金融庁

There are other various organizational frameworks for Customer Protection Management. For example, a financial institution may establish a dedicated division or department in charge of Customer Protection Management, or assign persons in charge of such management to divisions and departments which require Customer Protection, including the Marketing and Sales Division. 例文帳に追加

これ以外にも組織体制のあり方は様々であり、当該金融機関が、部門や部署を設置して管理させる方法や、営業推進部門等を含む顧客保護の必要性がある部門や部署等に担当者を配置する等の方法により管理を行っている場合もある。 - 金融庁

(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 Customer Protection Management, including the Marketing and Sales Division, etc., and have them observe the rules and procedures? 例文帳に追加

（ⅰ）取締役会等は、営業推進部門等を含む顧客保護等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。 - 金融庁

Does the Customer Explanation Manager issue instructions to divisions engaged in relevant business and sales branches with regard to specific measures for securing appropriate and sufficient Customer Explanation and manage them in ways to ensure that Customer Explanation is made appropriately and sufficiently at each division? 例文帳に追加

また、顧客説明管理責任者は、関係業務部門及び営業店等に対し、顧客に対する適切かつ十分な説明を確保するための具体的な方策を指示し、各部署における顧客説明が適切かつ十分に行われるよう管理しているか。 - 金融庁

The purpose of this manual is not to require the establishment of an independent division in charge of capital management, or to seek to bar a financial institution from having two or more divisions conduct capital management operations in accordance with their respective polices and internal rules as mentioned above. 例文帳に追加

本マニュアルは、自己資本管理の役割を担う独立した部門の整備を求めるものではなく、上記のように、複数の部門が、複数の方針・内部規程に従って自己資本管理業務を行うことを否定するものではない。 - 金融庁

1 It is not necessary to develop a unified capital management policy that exhaustively covers all items that must be clearly specified, but it should suffice that all such items are covered by two or more policies established by divisions engaged in capital management and corporate management plans. 例文帳に追加

1明確に記載されるべき項目を全て包含する統一的な自己資本管理方針を策定する必要はなく、自己資本管理を行う複数の部門等において定められる複数の方針及び経営計画において、明確に記載されるべき項目が網羅的に定められていればよい。 - 金融庁

6 It is not necessary to develop a unified set of capital management rules that exhaustively covers all it that must be clearly specified, but it should suffice that all such items are covered by two or more sets of internal rules established by divisions engaged in capital management. 例文帳に追加

6明確に記載されるべき項目を全て包含する統一的な自己資本管理規程を策定する必要はなく、自己資本管理を行う複数の部門等において定められる複数の内部規程において、明確に記載されるべき項目が網羅的に定められていればよい。 - 金融庁

(ii) Has the Manager specified the information necessary for conducting an appropriate capital management befitting the financial institution's risk profile, and does he or she make sure to receive reports from divisions which hold the necessary information in a regular and timely manner or on an as needed basis? 例文帳に追加

（ⅱ）管理者は、リスク・プロファイルに見合った適切な自己資本管理を行う観点から、取得すべき情報を特定し、当該情報を保有する部門から定期的に又は必要に応じて随時、報告を受ける態勢を整備しているか。 - 金融庁

- Sales branches and the Sales Division of the headquarters conduct a first-stage assessment, to be followed by a second-stage assessment conducted by the Loan Approval Division of the headquarters, and then a division independent from the Sales-Related Divisions verifies the appropriateness of the assessment. 例文帳に追加

・ 自己査定の実施部門において個別貸倒引当金の算定を行い、決算関連部門において一般貸倒引当金の算定を行った上で、営業関連部門及び決算関連部門から独立した部門がその適切性の検証を行う方法 - 金融庁

(i) Does the Manager, in accordance with the Self-Assessment Standards and the Write-off/Loan Loss Provision Standards, provide for measures to have the self-assessment and Write-Off/Loan Loss Provision Management Divisions exercise a check-and-balance system in order to ensure that the institution implements write-offs and loan loss provisions appropriately? 例文帳に追加

（ⅰ）管理者は、自己査定基準及び償却・引当基準に基づき適切な自己査定及び償却・引当を行うため、自己査定及び償却・引当管理部門の態勢を整備し、牽制機能を発揮させるための施策を実施しているか。 - 金融庁

When developing the strategic objectives for the Office (Trading, Banking) Divisions, does the Board of Directors give due consideration to the asset and liability structure (including off-balance sheet items), marketability and liquidity and take into account the status of its capital? 例文帳に追加

市場部門の戦略目標の策定に当たっては、各業務分野の戦略目標との整合性も確保し、資産・負債（オフ・バランスを含む。）の構成、市場性及び流動性を勘案し、かつ自己資本の状況を踏まえ検討しているか。 - 金融庁

Does the Market Risk Management Division conduct monitoring for whether the Office (Trading, Banking) Divisions are conducting risk control and other activities appropriately and report the status of activities to the Board of Directors or equivalent organization to the Board of Directors in a regular and timely manner or on an as needed basis? 例文帳に追加

市場リスク管理部門は、市場部門においてリスク・コントロール等の適切な市場業務運営が行われているかどうかをモニタリングし、定期的に又は必要に応じて随時、取締役会等に報告しているか。 - 金融庁

The inspector should bear in mind that the scope of the roles and responsibilities of such divisions varies from institution to institution and review whether the liquidity risk management system as a whole is functioning effectively. 例文帳に追加

検査官は、金融機関によって流動性リスク管理部門と資金繰り管理部門の果たすべき役割と負うべき責任の範囲が異なることに留意し、流動性リスク管理が全体として適切に機能しているかを検証する必要がある。 - 金融庁

When developing the liquidity strategy, does the Board of Directors also ensure its consistency with the strategic objectives of operational divisions, take account of the assets and liabilities structure, marketability and liquidity on a currency-by-currency basis, a product-by-product basis and a term-by-term basis as well as its capital status? 例文帳に追加

流動性戦略の策定に当たっては、各業務分野の戦略目標との整合性も確保し、通貨・商品・期間別の資産・負債構成、市場性及び流動性を勘案し、かつ自己資本の状況を踏まえ検討しているか。 - 金融庁

(ii) Has the Board of Directors allocated to the Liquidity Risk Management Division and the Funds Management Division Managers with the necessary knowledge and experience to supervise these divisions and enabled the Managers to implement management business by assigning them the necessary authority therefor? 例文帳に追加

（ⅱ）取締役会は、流動性リスク管理部門及び資金繰り管理部門に、当該部門を統括するのに必要な知識と経験を有する管理者を配置し、当該管理者に対し管理業務の遂行に必要な権限を与えて管理させているか。 - 金融庁

For example, does the Board of Directors or equivalent organization to the Board of Directors instruct the Manager of the Liquidity Risk Management Division to identify the internal rules and operational procedures that should be observed by such divisions and to carry out specific measures for ensuring observance such as providing effective training on a regular basis? 例文帳に追加

例えば、流動性リスク管理部門の管理者に、資金繰り管理部門、市場部門、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。 - 金融庁

- This chapter lists the check items to be used when the inspector reviews the roles and responsibilities that must be performed by the Liquidity Risk Management and Funds Management Divisions as well as their Managers. 例文帳に追加

・本章においては、流動性リスク管理部門の管理者及び資金繰り管理部門の管理者並びに流動性リスク管理部門及び資金繰り管理部門が果たすべき役割と負うべき責任について検査官が検証するためのチェック項目を記載している。 - 金融庁

The inspector should bear in mind that the scope of the roles and responsibilities of such divisions varies according to the scales and natures of businesses of financial institutions and their risk profile, etc. and review whether the liquidity risk management as a whole is functioning effectively. 例文帳に追加

なお、金融機関の業務の規模・特性及びリスク・プロファイル等によって、流動性リスク管理部門と資金繰り管理部門の果たすべき役割と負うべき責任の範囲が異なることに留意し、流動性リスク管理が全体として適切に機能しているかを検証する必要がある。 - 金融庁

(vi) Do the Managers of the Liquidity Risk Management and Funds Management Divisions ensure the provision of training and education to enhance the ability of employees to conduct liquidity risk management in an effective manner, thus developing human resources with relevant expertise? 例文帳に追加

（ⅵ）流動性リスク管理部門の管理者及び資金繰り管理部門の管理者は、流動性リスク管理を実効的に行う能力を向上させるための研修・教育態勢を整備し、専門性を持った人材の育成を行っているか。 - 金融庁

When investing in a long-term investment product for which early redemption of the contract is difficult7, for example, do the Office (Trading, Banking) Divisions take account of various risks (credit, market risks, etc) involved in the gap between the maturities of funds invested and raised and consider an extraordinary long-term financing plan? 例文帳に追加

例えば、長期運用商品で中途解約が困難な商品に投資する場合には、運用・調達の期間のギャップに伴う各種リスク（信用・市場等）や、通常の資金運用計画ではカバーできない長期の資金計画について勘案しているか。 - 金融庁