「Instruments」に関連した英語例文の一覧と使い方(97ページ目) - Weblio英語例文検索

Therefore, supervisors of Financial Instruments Business Operators, etc., shall first refer to Section III and then to either of Sections IV to VII according to the attributes of the businesses they supervise. 例文帳に追加

従って、これら金融商品取引業者等を監督する者は、以下の表も参考にしつつ、まずは「Ⅲ共通編」を参照するとともに、対象となる業者の業務の属性に応じ、その業者に特有の留意事項が記されている「Ⅳ」から「Ⅶ」までの部分を参照することとする。 - 金融庁

Of Financial Instruments Business Operators, those who were registered under Article 28 of the former Securities and Exchange Act at the time when the FIEA was put into force, and those who started engaging in securities-related businesses after the FIEA was put into force are entitled to include the word “Securities” in their trade names. 例文帳に追加

金融商品取引業者で、金商法施行時に旧証券取引法第28条の登録を受けている者（みなし登録第一種業者）及び金商法施行後に有価証券関連業を行う者は、その商号中に「証券」という文字を使用することができる。 - 金融庁

When a Financial Instruments Business Operator, etc., under the jurisdiction of the FSA has obtained registration from a Local Finance Bureau under Article 29-3(1) or Article 33-4(1) of the FIEA, the director-general of the said bureau shall immediately send the original of the registration application and attached documents to the FSA Commissioner. 例文帳に追加

財務局長は、本庁監理金融商品取引業者等が金商法第29条の３第１項又は金商法第33条の４第１項の規定による登録を行った場合は、速やかに登録申請書の正本及び添付書類を金融庁長官へ送付すること。 - 金融庁

(viii) The directors-general of Local Finance Bureaus shall examine the status of the payment, for the previous business year, of the Registration and License Tax (the registration license tax as specified under Article 2 of the Registration and License Tax Act) by Financial Instruments Business Operators, etc., under their jurisdiction, and report the findings to the FSA Commissioner by April 30 every year. 例文帳に追加

財務局長は、財務局監理金融商品取引業者等の前事業年度における登録免許税（登録免許税法第２条に規定する登録免許税）の納付状況を調査し、毎年４月30日までに金融庁長官へ報告すること。 - 金融庁

The board of directors, as the highest decision-making body of the Financial Instruments Business Operator, is not only empowered to make specific decisions regarding the execution of business, but also has the functions of monitoring the execution of business by the representative director and the director in charge, and preventing autocratic management. 例文帳に追加

取締役会は、金融商品取引業者の経営の最高意思決定機関として、業務執行の具体的な決定を行う権限を有するとともに、代表取締役や担当取締役の行う業務執行を監視し独断的経営を抑止する機能を併せ持つ。 - 金融庁

It is necessary to examine whether the representative director, directors/the board of directors and auditors/the board of auditors are fully performing their important responsibilities for the management of the Financial Instruments Business Operator, by paying attention to the following points, for example: 例文帳に追加

このように、金融商品取引業者の経営にとって重大な役割を果たすべき代表取締役、取締役・取締役会、監査役・監査役会が、その機能を適切に発揮し、与えられた責務を全うしているかどうかを、例えば以下の点に留意して検証することとする。 - 金融庁

Whether the representative director fully understands that banning any relations with anti-social forces and firmly excluding such forces is vital for maintaining public confidence in the Financial Instruments Business Operator and securing the appropriateness and soundness of its business. 例文帳に追加

二．代表取締役は、断固たる態度で反社会的勢力との関係を遮断し排除していくことが、金融商品取引業者に対する公共の信頼を維持し、金融商品取引業者の業務の適切性及び健全性の確保のため不可欠であることを十分認識し、 - 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 Financial Instruments Business Operator grasps the actual state of the sale, purchase and other transactions of securities by its officers, employees and other persons associated with them, who are in a position to access corporate-related information, and whether it has implemented appropriate measures, such as revising the relevant methods as necessary. 例文帳に追加

③ 法人関係情報を入手し得る立場にある、金融商品取引業者の役職員及びその関係者による有価証券の売買その他の取引等の実態把握を行い、必要に応じてその方法の見直しを行う等、適切な措置を講じているか。 - 金融庁

D. Whether the Financial Instruments Business Operator has developed a control environment wherein it improves the response provided at contact points according to the occurrence of complaints, etc., and wherein it can receive complaints, etc. extensively, such as by setting access hours and means of access (for example, phone, mail, facsimile, email) which are considerate of customer convenience. 例文帳に追加

ニ．苦情等の発生状況に応じ、受付窓口における対応の充実を図るとともに、顧客利便に配慮したアクセス時間・アクセス手段（例えば、電話、郵便、ファックス、電子メール等）を設定する等、広く苦情等を受け付ける態勢を整備しているか。 - 金融庁

C. With regard to complaints, etc. made by customers, whether the Financial Instruments Business Operator has developed a control environment wherein, rather than only dealing with a complaint, etc. itself, it refers customers to appropriate external organizations according to the nature of the complaint, etc. and the wishes of the customer, and it provides information such as an overview of the standard procedures. 例文帳に追加

ハ．申出のあった苦情等について、自ら対処するばかりでなく、苦情等の内容や顧客の要望等に応じて適切な外部機関等を顧客に紹介するとともに、その標準的な手続の概要等の情報を提供する態勢を整備しているか。 - 金融庁

A. Whether the Financial Instruments Business Operator has developed a control environment wherein complaints, etc. and the associated results from dealing with them are categorized and reported to the internal control division and sales division, and wherein information necessary for the particular case is shared between those concerned, such as reporting important cases to the audit division and senior managers. 例文帳に追加

イ．苦情等及びその対処結果等が類型化の上で内部管理部門や営業部門に報告されるとともに、重要案件は速やかに監査部門や経営陣に報告されるなど、事案に応じ必要な関係者間で情報共有が図られる態勢を整備しているか。 - 金融庁

E. Whether the Financial Instruments Business Operator has developed a control environment wherein, when reflecting the treatment of complaints, etc. in the conduct of business operations, senior managers supervise over any decisions to implement measures needed for business improvement or recurrence prevention, as well as any examination or ongoing review of how the control environment for dealing with complaints, etc. should be. 例文帳に追加

ホ．苦情等対処の結果を業務運営に反映させる際、業務改善・再発防止等必要な措置を講じることの判断並びに苦情等対処態勢の在り方についての検討及び継続的な見直しについて、経営陣が指揮する態勢を整備しているか。 - 金融庁

Financial Instruments Business Operators are required to ensure complete customer protection and to strive to improve customer confidence in financial products and services by implementing these measures properly and by resolving any complaints or disputes regarding financial products and services in a simple and expeditious manner. 例文帳に追加

金融商品取引業者においては、これらの措置を適切に実施し、金融商品・サービスに関する苦情・紛争を簡易・迅速に解決することにより、顧客保護の充実を確保し、金融商品・サービスへの顧客の信頼性の向上に努める必要がある。 - 金融庁

Supervisors shall examine whether the Financial Instruments Business Operator has developed a control environment in light of the size and specific characteristics of its business operations, wherein, in cases where it implements complaint processing measures and dispute resolution measures, it deals properly with any complaints or disputes made by customers while bearing in mind the objectives of the financial ADR system. 例文帳に追加

金融商品取引業者が、苦情処理措置・紛争解決措置を講じる場合、金融ＡＤＲ制度の趣旨を踏まえ、顧客からの苦情・紛争の申出に関し、業務の規模・特性に応じ、適切に対応する態勢を整備しているかを検証する。 - 金融庁

d. In cases where the Financial Instruments Business Operator utilizes an external organization, although it is not a requirement for the business operator to necessarily enter an outsourcing contract with the said external organization, it is desirable that they make arrangements in advance with regard to such matters as the flow of standard procedures and items regarding the burden of expenses. 例文帳に追加

ｄ．外部機関を利用する場合、必ずしも当該外部機関との間において業務委託契約等の締結までは求められていないが、標準的な手続のフローや、費用負担に関する事項等について予め取決めを行っておくことが望ましい。 - 金融庁

c. Whether the Financial Instruments Business Operator has developed a control environment wherein, in cases where it is presented with a proposed solution such as a reconciliation plan or mediation plan from an external organization that has commenced dispute resolution procedures (hereinafter referred to as a “proposed solution” in d and e below), it makes prompt decisions on whether to accept or not, in light of the rules, etc. of the external organization. 例文帳に追加

ｃ．紛争解決の手続を開始した外部機関から和解案、あっせん案等の解決案（以下、ｄ及びｅにおいて「解決案」という。）が提示された場合、当該外部機関の規則等も踏まえつつ、速やかに受諾の可否を判断する態勢を整備しているか。 - 金融庁

B. When implementing customer identification, whether the Financial Instruments Business Operator verifies the credibility and validity of the identity not only by identifying customer attributes properly, but also by requiring the submission of customer identification documents, for example. Whether it properly responds to and manages a problem identified in relation to a customer. 例文帳に追加

ロ．本人確認を行うに当たって、顧客の属性を適切に把握するとともに、本人確認書類の提出等により、その信憑性・妥当性の確認が行われているか。顧客に関して特に問題等が認められた場合、適正に対応・管理を行っているか。 - 金融庁

B. Whether the Financial Instruments Business Operator has prescribed specific guidelines for the financial intermediary service provider to manage customer information, such as customer attributes, based on careful deliberations made from the viewpoint of the confidentiality obligation, and has communicated the guidelines to the intermediary service provider and strives to ensure compliance therewith. 例文帳に追加

ロ．顧客属性等の顧客情報の管理について、守秘義務等の観点から十分に検討を行った上で、金融商品仲介業者に対して求める具体的な取扱基準を定め、当該基準を金融商品仲介業者に周知し、徹底させているか。 - 金融庁

It should be noted that if a Financial Instruments Business Operator delays specific actions to resolve a problem involving anti-social forces on the grounds that unexpected situations, such as the safety of employees being threatened, could otherwise arise, the delay could increase the extent of the damage that may be ultimately inflicted on the business operator. 例文帳に追加

なお、従業員の安全が脅かされる等不測の事態が危惧されることを口実に問題解決に向けた具体的な取組みを遅らせることは、かえって金融商品取引業者や役職員自身等への最終的な被害を大きくし得ることに留意する必要がある。 - 金融庁

(ii) Whether the Financial Instruments Business Operator has established a division in charge of supervising responses to unreasonable demands made by anti-social forces (hereinafter referred to as the “anti-social forces response division”) so as to develop a centralized control environment for preventing anti-social forces from inflicting damage, and whether this division is properly functioning. 例文帳に追加

② 反社会的勢力による不当要求が発生した場合の対応を総括する部署（以下「反社会的勢力対応部署」という。）を整備し、反社会的勢力による被害を防止するための一元的な管理態勢が構築され、機能しているか。 - 金融庁

In particular, whether the Financial Instruments Business Operator is prepared to report to the police immediately when it faces the imminent prospect of being threatened or becoming the target of an act of violence, by maintaining close communications with the police on a daily basis so as to develop a systematic reporting system and build a relationship that facilitates cooperation in the event of a problem. 例文帳に追加

特に、日常時より警察とのパイプを強化し、組織的な連絡体制と問題発生時の協力体制を構築することにより、脅迫・暴力行為の危険性が高く緊急を要する場合には直ちに警察に通報する体制となっているか。 - 金融庁

(iv) Whether the Financial Instruments Business Operator ensures that the division in charge of handling problematic conduct promptly conducts a fact-finding investigation upon request from the anti-social forces response division, in cases where the unreasonable demand from anti-social forces is based on problematic conduct related to business activity or involving an employee. 例文帳に追加

④ 反社会的勢力からの不当要求が、事業活動上の不祥事や従業員の不祥事を理由とする場合には、反社会的勢力対応部署の要請を受けて、不祥事案を担当する部署が速やかに事実関係を調査することとしているか。 - 金融庁

Whether the Financial Instruments Business Operator’s CSR report comprehensively covers the fields of economy, environment and society and whether its contents suit the objective of meeting the needs of a diverse range of stakeholders, including users, by using comprehensive descriptions and reflecting social backgrounds. 例文帳に追加

ＣＳＲ報告が、経済・環境・社会の各分野にわたる包括的なものであり、記述内容についても網羅的かつ社会的背景等を反映しているなど、利用者を含む多様なステークホルダーのニーズに的確に対応するという目的に適合したものとなっているか。 - 金融庁

(i) When a notification pursuant to Article 50(1)(vii) and Article 50-2(7) of the FIEA and Article 199(v) of the FIB Cabinet Office Ordinance, is received from a Financial Instruments Business Operator, the following points shall be verified by, for example, conducting inspections: 例文帳に追加

① 金融商品取引業者から金商法第50条第１項第７号、第50条の２第７項及び金商業等府令第199条第５号の規定に基づく届出書を受理した場合には、検査を行うなどによって、次の点について確認するものとする。 - 金融庁

For their part, supervisors need to encourage Financial Instruments Business Operators to make voluntary efforts to maintain the soundness of their financial conditions through their offsite monitoring, which should complement the efforts the business operators make on their own responsibility to maintain an appropriate level of capital adequacy ratio. 例文帳に追加

当局としては、自己責任原則の下で行われる適切な自己資本規制比率の維持等を補完する役割を果たすものとして、オフサイト・モニタリングを通じ、金融商品取引業者の財務の健全性の確保のための自主的な取組みを促していく必要がある。 - 金融庁

(iv) In the following cases, whether the Financial Instruments Business Operator acknowledges the intentional provision of funds to the subordinated loan lender/the subordinated bond holder as specified under Article 176(4)(iii) of the FIB Cabinet Office Ordinance and accordingly deducts the amount of the said funds from the subordinated loan/bond amount. 例文帳に追加

④ 次のような場合には、金商業等府令第176条第４項第３号に規定する劣後特約付借入金の借入先又は劣後特約付社債の保有者に意図的に資金の提供を行っているものとして、当該資金の額を控除しているか。 - 金融庁

Supervisors shall strive to identify and keep track of the status of a Financial Instruments Business Operator’s market risk and its risk management through monthly offsite monitoring reports and hearings based thereon and, when necessary, require it to submit a report based on Article 56-2(1) of the FIEA and urge it to make improvement efforts. 例文帳に追加

月次のオフサイト・モニタリング報告やそれに基づくヒアリング等を通じて、市場リスクの状況やリスク管理態勢の把握に努めるものとし、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徴求を行い、改善を促すこととする。 - 金融庁

b. Instead of using the management method described in A. above, a Financial Instruments Business Operator may manage proprietary stock trading operations so as to keep them within the allowable market risk value, etc., during the daytime with similar methods using the position amount, as described below: 例文帳に追加

ｂ．日中における株式の自己売買業務が許容市場リスク額等の範囲内で行われることの管理については、上記イに代え、自己売買業務に係る現在の管理手法を勘案した、例えば以下のようなポジション額を用いた近似的な手法により行うことができる。 - 金融庁

B. After the auction of the relevant government bond has been conducted and the issue name, coupon rate and other details have been announced, the Financial Instruments Business Operator should recalculate the value of the risk equivalent based on the actual coupon rate without any delay, and use it for the calculation of the capital adequacy ratio on and after the announcement date of the said coupon rate. 例文帳に追加

ロ．当該国債に係る入札が実施され、銘柄名、表面利率等が発表された際には、遅滞なく、当該表面利率等に基づき再計算を実施し、当該表面利率発表日以降の自己資本規制比率の計算に適用すること。 - 金融庁

Supervisors shall strive to identify and keep track of the status of a Financial Instruments Business Operator’s counterparty risk and its risk management, through monthly offsite monitoring reports and hearings based thereon and, when necessary, require it to submit a report based on Article 56-2(1) of the FIEA and urge it to make improvement efforts. 例文帳に追加

月次のオフサイト・モニタリング報告やそれに基づくヒアリング等を通じて、取引先リスクの状況やリスク管理態勢の把握に努めるものとし、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徴求を行い、改善を促すこととする。 - 金融庁

Liquidity risk refers to the risk that because of deterioration in business performance or other factors, a Financial Instruments Business Operator will face a credit crunch as it fails to raise necessary funds, or incurs losses as it is forced to obtain funds at markedly higher interest rates than under normal circumstances (funding risk). 例文帳に追加

流動性リスクとは、金融商品取引業者の業績の悪化等により必要な資金が確保できなくなり、資金繰りがつかなくなる場合や、資金の確保に通常よりも著しく高い金利での資金調達を余儀なくされることにより損失を被るリスク（資金繰りリスク）と、 - 金融庁

Whether the Financial Instruments Business Operator properly manages liquidity risk by taking measures such as the following, depending on the contents and scale of its business, with the aim of developing a comprehensive control environment for risk management, properly recognizing and evaluating the risks and establishing a system of checks and balances based on the clear allocation of roles and responsibilities. 例文帳に追加

総合的なリスク管理態勢の整備、適切なリスク認識と評価及び役割分担と権限の明確化による相互牽制体制の構築等を図るため、業務の内容・規模に応じて例えば以下のような措置を講じるなど、流動性リスクを適切に管理しているか。 - 金融庁

Supervisors shall strive to identify and keep track of the status of a Financial Instruments Business Operator’s liquidity risk and its risk management through monthly offsite monitoring reports and hearings based thereon and, when necessary, require it to submit a report based on Article 56-2(1) of the FIEA and urge it to make improvement efforts. 例文帳に追加

月次のオフサイト・モニタリング報告やそれに基づくヒアリング等を通じて、流動性リスクの状況やリスク管理態勢の把握に努めるものとし、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徴求を行い改善を促すこととする。 - 金融庁

However, it is also important from the viewpoint of improving the reliability of the financial instruments market through an appropriate exercise of the market intermediary function of securities companies, etc., that the supervisory authorities take necessary actions based on the following viewpoints and with the following supervisory methods, while giving consideration to voluntary rules. 例文帳に追加

監督当局においても、証券会社等の市場仲介機能等の適切な発揮による金融商品市場の信頼性向上の観点から、自主ルール等も踏まえつつ、以下のような着眼点・監督手法をもって必要な対応を行っていくことが重要である。 - 金融庁

(iv) Regarding currency-related transactions, the “major terms and other basic items regarding derivatives trading,” as specified under Article 93(1)(vii) of the FIB Cabinet Office Ordinance shall include items related to the method of determining prices of financial instruments, etc., and the Swap Point. 例文帳に追加

④ 通貨に係る取引である場合、金商業等府令第93条第１項第７号に規定する「デリバティブ取引に関する主要な用語及びその他の基礎的な事項」には、金融商品等の価格等の決定方法に関する事項及びスワップポイントを含むものとする。 - 金融庁

The “date of the receipt of deposits by the relevant Financial Instruments Business Operators, etc.,” as specified under Article 114(1)(iv) of the FIB Cabinet Office Ordinance may be either the date on which the deposit is made or a date after that date, depending on the agreement between the business operator and the customer. 例文帳に追加

金商業等府令第114条第１項第４号に規定する「当該金融商品取引業者等が保証金を受領した日付」については、各社において顧客との間で約した取決めに基づき、入金された当日又は翌営業日等とすることができるものとする。 - 金融庁

a. In the case of a PTS that handles share certificates and bonds with share options and determines prices by a method other than auctions (limited to those listed in financial instruments exchanges or those registered pursuant to Article 67-11(1) of the FIEA): 例文帳に追加

ａ．競売買以外の方法により価格決定を行う私設取引システム業務において株券又は新株予約権付社債券（金融商品取引所に上場されているもの又は金商法第67条の11第１項の規定により登録を受けたものに限る。）を対象とする場合 - 金融庁

(ii) In the case of (i) above, when the total amount of payments from the clients is less than the purchase value of the government bonds, the Financial Instruments Business Operator shall jointly buy the bonds by paying the difference between the purchase value of the minimum unit and the said amount. 例文帳に追加

② 上記①の場合、顧客からの払込金等の合算額について国債の買付価額に満たない金額が生ずるときは、金融商品取引業者は、最小単位の買付価額と当該金額との差額を払い込むことにより、顧客と共同して買い付けること。 - 金融庁

(3) In cases where offsite monitoring, inspection results, notifications of problematic conduct or the like mentioned in (1) above reveal a problem in the business operation or internal control environment of the Business Management Company or a Financial Instruments Business Operator, supervisors shall require the submission of a report based on Article 56-2(1) or (2) of the FIEA, as necessary (excluding the items listed in (2)). 例文帳に追加

（３）上記（１）のオフサイト・モニタリング、検査結果及び事故届出等により、指定親会社グループの業務運営や内部管理態勢等に問題があると認められる場合には、必要に応じ、金商法第57条の23の規定に基づき報告を求める（（２）に掲げる項目を除く。）。 - 金融庁

It should be noted that if the Financial Instruments Business Operator is an individual person, supervisors shall examine the qualifications of the person from the above viewpoints, in order to judge whether the person is sufficiently qualified, and take necessary supervisory actions. 例文帳に追加

なお、個人である金融商品取引業者の場合は、当該個人の資質について上記着眼点に照らして検証し、法人の場合と同様、金融商品取引業を適確に遂行するに足りる人的構成の有無を判断し、必要な監督対応を講じるものとする。 - 金融庁

(excluding cases where the transaction does not involve the direct delivery of cash and securities between the customer and the Financial Instruments Business Operator, such as when the delivery of cash is made through a financial institution and when the delivery of securities is made through a transfer settlement.) must be notified to customers. 例文帳に追加

（ただし、金融機関を通じて金銭の受渡しを行う場合、振替決済により有価証券の受渡しを行う場合等、顧客との間で直接金銭又は有価証券の受渡しを行わない場合における当該受渡しに関する事項を除く。） - 金融庁

Therefore, it should be noted that there is a likelihood that a financial instruments business operator will file a petition for commencement of bankruptcy proceedings, rehabilitation proceedings or reorganization proceedings (hereinafter referred to as a “petition for commencement of bankruptcy proceedings, etc.”) before the supervisory authorities properly identify the business operator’s financial conditions. 例文帳に追加

従って、監督部局がその財務状況を的確に把握するに至る段階までに、金融商品取引業者において破産手続・再生手続・更生手続の開始の申立て（以下「破産等手続開始の申立て」という。）を行うおそれに留意が必要である。 - 金融庁

Furthermore, in cases where it has been identified that, for example, a Financial Instruments Business Operator is insolvent and it could end up being unable to make payments, supervisors must strive to confirm facts in order to fully examine the need for action from the perspective of protecting investors. 例文帳に追加

また、例えば金融商品取引業者が債務超過状態にあり、支払い不能に陥るおそれがあることを把握した場合には、投資者保護の観点からの対応の必要性について十分に検証するため、事実確認等に努めていくことが必要である。 - 金融庁