「Financial Instruments」に関連した英語例文の一覧と使い方(7ページ目) - Weblio英語例文検索

(iii) when the Financial Instruments Business Operator abolishes its Financial Instruments Business (with regard to a Financial Instruments Business Operator which is a foreign juridical person, including abolition of Financial Instruments Business at all business offices or offices established in Japan; hereinafter the same shall apply in this item) or dissolved (with regard to a Financial Instruments Business Operator which is a foreign juridical person, including commencement of liquidation of business offices or offices established in Japan) or when the Financial Instruments Business Operator gives a public notice of abolition or dissolution of its Financial Instruments Business, etc. under the provision of Article 50-2(6); or 例文帳に追加

三　金融商品取引業の廃止（外国法人である金融商品取引業者にあつては、国内に設けられたすべての営業所又は事務所における金融商品取引業の廃止を含む。以下この号において同じ。）をしたとき若しくは解散（外国法人である金融商品取引業者にあつては、国内に設けられた営業所又は事務所の清算の開始を含む。）をしたとき、又は第五十条の二第六項の規定による金融商品取引業等の廃止若しくは解散の公告をしたとき。 - 日本法令外国語訳データベースシステム

(16) The term "Financial Instruments Exchange" as used in this Act means a Financial Instruments Membership Corporation or the stock company which has established a Financial Instruments Market with license granted by the Prime Minister under Article 80(1). 例文帳に追加

１６　この法律において「金融商品取引所」とは、第八十条第一項の規定により内閣総理大臣の免許を受けて金融商品市場を開設する金融商品会員制法人又は株式会社をいう。 - 日本法令外国語訳データベースシステム

Article 111 (1) Only the Member, etc. of the Financial Instruments Exchange which has established the Financial Instruments Exchange Market may conduct sales and purchase of Securities and Market Transactions of Derivatives in said Financial Instruments Exchange Market. 例文帳に追加

第百十一条　取引所金融商品市場における有価証券の売買及び市場デリバティブ取引は、当該取引所金融商品市場を開設する金融商品取引所の会員等に限り、行うことができる。 - 日本法令外国語訳データベースシステム

Supervisors shall examine whether Financial Instruments Business Operators are adequately staffed to properly conduct financial instruments business (limited to investment management business; the same shall apply to VI) in light of the following requirements regarding Financial Instruments Business Operators’ officers and employees. 例文帳に追加

金融商品取引業者の役員又は使用人に関する以下の事項に照らし、金融商品取引業（投資運用業に限る。Ⅵにおいて同じ。）を適確に遂行するに足りる人的構成が確保されていると認められるか。 - 金融庁

Article 35 (1) A Financial Instruments Business Operator (limited to those who engage in Type I Financial Instruments Business or Investment Management Business; hereinafter the same shall apply in this Article) may, in addition to Financial Instruments Business, conduct the following acts in the course of trade and engage in any other business incidental to Financial Instruments Business: 例文帳に追加

第三十五条　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を行う者に限る。以下この条において同じ。）は、金融商品取引業のほか、次に掲げる行為を業として行うことその他の金融商品取引業に付随する業務を行うことができる。 - 日本法令外国語訳データベースシステム

Article 35-2 (1) A Financial Instruments Business Operator (limited to those who only engage in Type II Financial Instruments Business or Investment Advisory and Agency Business; the same shall apply in the following paragraph) may, in addition to Financial Instruments Business (limited to Type II Financial Instruments Business or Investment Advisory and Agency Business), also engage in any other business as a subsidiary business. 例文帳に追加

第三十五条の二　金融商品取引業者（第二種金融商品取引業又は投資助言・代理業のみを行う者に限る。次項において同じ。）は、金融商品取引業（第二種金融商品取引業又は投資助言・代理業に限る。）のほか、他の業務を兼業することができる。 - 日本法令外国語訳データベースシステム

(2) As used in this Cabinet Office Ordinance, the term "Type I Financial Instruments Services," "Type II Financial Instruments Services," "Investment Management," and "Securities Services" respectively mean Type I Financial Instruments Services, Type II Financial Instruments Services, Investment Management, and Securities Services as defined in Article 28 of the Act. 例文帳に追加

２　この府令において「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「有価証券関連業」とは、それぞれ法第二十八条に規定する第一種金融商品取引業、第二種金融商品取引業、投資運用業又は有価証券関連業をいう。 - 日本法令外国語訳データベースシステム

(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: 例文帳に追加

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。 - 金融庁

(2) When the Minister of Finance finds it particularly necessary for planning or drafting systems for Financial Instruments Transactions, in relation to a system for disposal of failed financial institutions and financial risk management under his/her jurisdiction, he/she may, within the limit necessary, request a Financial Instruments Business Operator, etc., Authorized Transaction-at-Exchange Operator, Financial Instruments Intermediary Service Provider, Authorized Financial Instruments Firms Association, Public Interest Corporation-Type Financial Instruments Firms Association (meaning a Public Interest Corporation-Type Financial Instruments Firms Association set forth in Article 78(2); the same shall apply in Article 194-7(2)(v)), Financial Instruments Exchange, Self-Regulation Organization under Article 85(1), Financial Instruments Exchange Holding Company, Foreign Financial Instruments Exchange, Financial Instruments Clearing Organization, Securities Finance Company or other persons concerned to provide materials or explanation or any other cooperation. 例文帳に追加

２　財務大臣は、その所掌に係る金融破綻処理制度及び金融危機管理に関し、金融商品取引に係る制度の企画又は立案をするため特に必要があると認めるときは、その必要の限度において、金融商品取引業者等、取引所取引許可業者、金融商品仲介業者、認可金融商品取引業協会、公益法人金融商品取引業協会（第七十八条第二項に規定する公益法人金融商品取引業協会をいう。第百九十四条の七第二項第五号において同じ。）、金融商品取引所、第八十五条第一項に規定する自主規制法人、金融商品取引所持株会社、外国金融商品取引所、金融商品取引清算機関、証券金融会社その他の関係者に対し、資料の提出、説明その他の協力を求めることができる。 - 日本法令外国語訳データベースシステム

EU also introduced the Markets in Financial Instruments Directive (MiFID) as one of measures for realizing integrated European financial market. 例文帳に追加

EUも、欧州金融市場の統合を実現させる措置の一つとして、金融商品市場指令（MiFID）を紹介した。 - 財務省

I hear that the new bank will become a registered financial institution under the Financial Instruments and Exchange Act. 例文帳に追加

同時に10月1日以降は、金融商品取引法上の登録金融機関となる予定と聞いております。 - 金融庁

In regard to accounting for financial instruments, we have to grasp the structure of various financial products.例文帳に追加

金融商品会計にあたっては、様々な金融商品の構造を十分把握しておかなくてはならない。 - Weblio英語基本例文集

The distributed purchase service part 1E controls the rate of each individual financial instrument forming the virtual financial instruments.例文帳に追加

分散購入サービス部１Ｅは、仮想金融商品を構成する各個別金融商品の割合を調節する。 - 特許庁

Article 198-5 In the case of act of violation set forth in any of the following items, a representative person, agent, employee or other worker of a Financial Instruments Business Operator, etc., Authorized Transaction-at-Exchange Operator, Financial Instruments Intermediary Service Provider, Authorized Financial Instruments Firms Association or Public Interest Corporation-Type Financial Instruments Firms Association prescribed in Article 78(2), Financial Instruments Exchange, Self-Regulation Organization prescribed in Article 85(1), Financial Instruments Exchange Holding Company, Foreign Financial Instruments Exchange, Financial Instruments Clearing Organization, or Securities Finance Company, or a Financial Instruments Business Operator or Financial Instruments Intermediary Service Provider that has committed such act shall be punished by imprisonment with work for not more than two years or by a fine of not more than three million yen, or both: 例文帳に追加

第百九十八条の五　次の各号に掲げる違反があつた場合においては、その行為をした金融商品取引業者等、取引所取引許可業者、金融商品仲介業者、認可金融商品取引業協会若しくは第七十八条第二項に規定する公益法人金融商品取引業協会、金融商品取引所、第八十五条第一項に規定する自主規制法人、金融商品取引所持株会社、外国金融商品取引所、金融商品取引清算機関若しくは証券金融会社の代表者、代理人、使用人その他の従業者又は金融商品取引業者若しくは金融商品仲介業者は、二年以下の懲役若しくは三百万円以下の罰金に処し、又はこれを併科する。 - 日本法令外国語訳データベースシステム

(6) Expansion of Profit/loss Offset Scope and Loss Carryforward Period for Financial Instruments 例文帳に追加

(6)金融商品に係る損益通算範囲及び損失繰越期間の拡大 - 金融庁

Subsection 2 Financial Instruments Business Operators (Article 29 - Article 31-5) 例文帳に追加

第二款　金融商品取引業者（第二十九条―第三十一条の五） - 日本法令外国語訳データベースシステム

Section 3 (Sales and Purchase of Securities, etc. in Financial Instruments Exchange Market) 例文帳に追加

第三節　取引所金融商品市場における有価証券の売買等 - 日本法令外国語訳データベースシステム

(iii) where the Financial Instruments Exchange falls under any of the items of Article 134(1). 例文帳に追加

三　第百三十四条第一項各号のいずれかに該当するとき。 - 日本法令外国語訳データベースシステム

Cabinet Office Ordinance on Definitions under Article 2 of the Financial Instruments and Exchange Act 例文帳に追加

金融商品取引法第二条に規定する定義に関する内閣府令 - 日本法令外国語訳データベースシステム

(ii) the Parent Company, etc. of the Financial Instruments Specialist prescribed in item (viii) of paragraph (1); or 例文帳に追加

二　第一項第八号の金融商品取引業者の親会社等 - 日本法令外国語訳データベースシステム

Mutatis Mutandis Application of the Financial Instruments and Exchange Act Concerning a Foreign Bank's Agent Bank 例文帳に追加

外国銀行代理銀行についての金融商品取引法の準用 - 日本法令外国語訳データベースシステム

Purpose of Supervision of Financial Instruments Business Operators, etc., and Role of Supervisory Departments 例文帳に追加

金融商品取引業者等の監督の目的と監督部局の役割 - 金融庁

Application Table for the Comprehensive Guidelines for Supervision of Financial Instruments Business Operators, etc 例文帳に追加

金融商品取引業者等向けの総合的な監督指針 適用表 - 金融庁

An indictment of a Financial Instruments Business Operator or officers and employees thereof 例文帳に追加

(b) 金融商品取引業者又はその役職員が告発等を受けたとき。 - 金融庁

A. Whether the Financial Instruments Business Operator has appropriately appointed staff in charge of dealing with complaints, etc. 例文帳に追加

イ．苦情等への対処に関し、適切に担当者を配置しているか。 - 金融庁

The Financial Instruments Business Operator shall develop its own operational system and internal rules, and shall publicize them. 例文帳に追加

ⅱ）自社で業務運営体制・社内規則を整備し、公表等すること - 金融庁

E. Whether the Financial Instruments Business Operator has developed a contingency plan for dealing with an unexpected incident. 例文帳に追加

ホ．不測の事態に対応するため、コンティンジェンシープラン等を整備しているか。 - 金融庁

IV. Supervisory Evaluation Points and Various Administrative Procedures (Type I Financial Instruments Business) 例文帳に追加

Ⅳ．監督上の評価項目と諸手続（第一種金融商品取引業） - 金融庁

V. Supervisory Evaluation Points and Various Administrative Procedures (Type II Financial Instruments Business) 例文帳に追加

Ⅴ．監督上の評価項目と諸手続（第二種金融商品取引業） - 金融庁

III-3-2(1) shall be applied mutatis mutandis to notifications made by financial instruments intermediary service providers. 例文帳に追加

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、 - 金融庁

The process further includes creating instruments representing investment in the financial product.例文帳に追加

本プロセスは、金融商品への投資を表す証券の作成をさらに含む。 - 特許庁

From the viewpoint of reinforcing the international competitiveness of Japan's exchanges, it is essential to put in place an institutional framework that allows, through alliances among exchanges, a full product line-up from stocks, bonds and financial derivatives to commodity derivatives. To this end, consideration will be given by the end of 2008 to revisions necessary to make alliances possible between financial instruments exchanges and commodity exchanges, under the overall framework that financial instruments and financial transactions are regulated under the Financial Instruments and Exchange Act while transactions of commodity derivatives are regulated under the Commodity Exchange Act. 例文帳に追加

我が国取引所の国際競争力を強化する観点から、取引所間の資本提携を通じたグループ化等によって、株式、債券や金融デリバティブに加え、商品デリバティブまでのフルラインの品揃えを可能とするための制度的土台を整備することが必要である。 - 金融庁

(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. 例文帳に追加

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。 - 日本法令外国語訳データベースシステム

(i) In the case of a Financial Instruments Business Operator which does not belong to any Financial Instruments Firms’ Association or have membership in or trading participant rights at any financial instruments exchange (referred to as “Non-Affiliated Business Operators” in IV-3-4), whether it has developed internal rules with due consideration of rules set by Financial Instruments Firms’ Associations, articles of incorporation set by financial instruments exchanges and other rules and regulations (hereinafter referred to as the “Rules Set by Associations, etc.”). 例文帳に追加

① 金融商品取引業協会に加入せず、又は金融商品取引所の会員若しくは取引参加者となっていない金融商品取引業者（以下、Ⅳ－３－４において「協会等未加入業者」という。）は、金融商品取引業協会又は金融商品取引所の定款その他の規則（以下「協会等規則」という。）を考慮し、社内規則を適切に整備しているか。 - 金融庁

Article 123 The provisions of the preceding Article shall apply mutatis mutandis to a Financial Instruments Exchange Holding Company. In this case, the term "established by said Financial Instruments Exchange (including the Financial Instruments Exchange which is its Subsidiary Company) and by the Financial Instruments Exchange which holds the subject voting rights exceeding 50% of the voting rights of all shareholders of said Financial Instruments Exchange" in Article 122(1) shall be deemed to be replaced with "established by the Financial Instruments Exchange which is the Subsidiary Company (meaning the Subsidiary Company prescribed in Article 105-16(4) of said Financial Instruments Exchange Holding Company; hereinafter the same shall apply in the following paragraph) and by the Financial Instruments Exchange which holds the subject voting rights exceeding 50% of the voting rights of all shareholders of said Financial Instruments Exchange Holding Company,"; and the term "the Financial Instruments Exchange, or the Financial Instruments Exchange which is its Subsidiary Company" in Article 122(2) shall be deemed to be replaced with "the Financial Instruments Exchange which is its Subsidiary Company." 例文帳に追加

第百二十三条　前条の規定は、金融商品取引所持株会社について準用する。この場合において、同条第一項中「当該金融商品取引所（その子会社である金融商品取引所を含む。）及び当該金融商品取引所の総株主の議決権の百分の五十を超える対象議決権を保有する金融商品取引所が開設する」とあるのは「当該金融商品取引所持株会社の子会社（第百五条の十六第四項に規定する子会社をいう。次項において同じ。）である金融商品取引所及び当該金融商品取引所持株会社の総株主の議決権の百分の五十を超える対象議決権を保有する金融商品取引所が開設する」と、同条第二項中「当該金融商品取引所又はその子会社である金融商品取引所」とあるのは「当該金融商品取引所持株会社の子会社である金融商品取引所」と読み替えるものとする。 - 日本法令外国語訳データベースシステム

When conducting inspections of globally operating financial instruments firms in particular, the SESC will therefore verify the overall quality of the firms’ management of risks, including the IT operational risk and the financial soundness of financial instruments firms. 例文帳に追加

こうした点を踏まえ、特に、グローバルに活動する金融商品取引業者等に対する検査においては、システムリスクや財務の健全性の確保を含め、リスク管理態勢を広く検証する。 - 金融庁

(ii) Articles 37-2 to 37-6, Article 40-2(4), and Article 43-4: the other party to a Contract for Financial Instruments Transaction for which a Financial Instruments Business Operator, etc. has received an application or which a Financial Instruments Business Operator, etc. has concluded; 例文帳に追加

二　第三十七条の二から第三十七条の六まで、第四十条の二第四項及び第四十三条の四　金融商品取引業者等が申込みを受け、又は締結した金融商品取引契約の相手方 - 日本法令外国語訳データベースシステム

(v) an applicant any of whose Entrusting Financial Instruments Business Operators, etc. is not a member of the Association (meaning the Authorized Financial Instruments Firms Association or a Public Interest Corporation-Type Financial Instruments Firms Association prescribed in Article 78(2)); or 例文帳に追加

五　登録申請者の所属金融商品取引業者等のいずれかが協会（認可金融商品取引業協会又は第七十八条第二項に規定する公益法人金融商品取引業協会をいう。）に加入していない者 - 日本法令外国語訳データベースシステム

(4) The provisions of paragraph (1) and the preceding paragraph shall apply mutatis mutandis to an Authorized Financial Instruments Firms Association and a Financial Instruments Exchange that holds the Subject Voting Rights of a Stock Company-Type Financial Instruments Exchange not less than the Holding Ratio Threshold. 例文帳に追加

４　第一項及び前項の規定は、株式会社金融商品取引所の保有基準割合以上の数の対象議決権を保有する認可金融商品取引業協会及び金融商品取引所について準用する。 - 日本法令外国語訳データベースシステム

(4) The provisions of paragraph (1) and the preceding paragraph shall apply mutatis mutandis to an Authorized Financial Instruments Firms Association and a Financial Instruments Exchange that holds the Subject Voting Rights of a Financial Instruments Exchange Holding Company not less than the Holding Ratio Threshold. 例文帳に追加

４　第一項及び前項の規定は、金融商品取引所持株会社の保有基準割合以上の数の対象議決権を保有する認可金融商品取引業協会及び金融商品取引所について準用する。 - 日本法令外国語訳データベースシステム

(i) when a Financial Instruments Exchange Holding Company has ceased to be a company which has a Stock Company-Type Financial Instruments Exchange as its Subsidiary Company (excluding the cases specified by a Cabinet Office Ordinance by taking into consideration the manner of acquisition or holding of the voting rights of said Stock Company-Type Financial Instruments Exchange, or any other relevant circumstances); 例文帳に追加

一　株式会社金融商品取引所を子会社とする会社でなくなつたとき（当該株式会社金融商品取引所の議決権の保有の態様その他の事情を勘案して内閣府令で定める場合を除く。）。 - 日本法令外国語訳データベースシステム

b) The Financial Instruments Business Operators prescribed in Article 2, paragraph (9) of the Financial Instruments and Exchange Act (Act No. 25 of 1948) (limited to those engaged in Type I Financial Instruments Business prescribed in Article 28, paragraph (1) of the same Act 例文帳に追加

ロ　金融商品取引法（昭和二十三年法律第二十五号）第二条第九項に規定する金融商品取引業者（同法第二十八条第一項に規定する第一種金融商品取引業を行う者に限る。） - 日本法令外国語訳データベースシステム

It should be noted that the bonds as referred to in IV-3-1-2(4) are the securities as specified under Article 281(vii) of the FIB Cabinet Office Ordinance and that regarding theoretical prices mentioned in IV-3-1-2(4)(iii) A. and B. and internal rules mentioned in (4) (iii) B. and C. in relation to financial instruments intermediary services, financial instruments service providers may use prices calculated and rules established by Financial Instruments Business Operators to which their business operations are entrusted. 例文帳に追加

なお、Ⅳ－３－１－２（５)③イ及びロの理論価格、並びに③ロ及びニの社内ルールについては、委託金融商品取引業者等において算出又は策定したものを使用することができるものとする。 - 金融庁

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"). 例文帳に追加

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。 - 日本法令外国語訳データベースシステム

Article 201 In the case of act of violation set forth in any of the following items, a representative person, agent, employee or other worker of a Financial Instruments Business Operator, etc., person who obtained permission under Article 59, Authorized Transaction-at-Exchange Operator, Financial Instruments Intermediary Service Provider, Authorized Financial Instruments Firms Association, Financial Instruments Exchange, Self-Regulation Organization prescribed in Article 85(1), Financial Instruments Exchange Holding Company, Foreign Financial Instruments Exchange, or Securities Finance Company, or a Financial Instruments Business Operator or Financial Instruments Intermediary Service Provider that has committed such act shall be punished by imprisonment with work for not more than one year or by a fine of not more than one million yen, or both: 例文帳に追加

第二百一条　次の各号に掲げる違反があつた場合においては、その行為をした金融商品取引業者等、第五十九条の規定により許可を受けた者、取引所取引許可業者、金融商品仲介業者、認可金融商品取引業協会、金融商品取引所、第八十五条第一項に規定する自主規制法人、金融商品取引所持株会社、外国金融商品取引所若しくは証券金融会社の代表者、代理人、使用人その他の従業者又は金融商品取引業者若しくは金融商品仲介業者は、一年以下の懲役若しくは百万円以下の罰金に処し、又はこれを併科する。 - 日本法令外国語訳データベースシステム