「Securities & Exchange Law」に関連した英語例文の一覧と使い方 - Weblio英語例文検索

6 This shall apply only to financial institutions subject to timely disclosure rules under the Securities and Exchange Law. 例文帳に追加

6 金融商品取引法上の適時開示を求められる金融機関に限る。 - 金融庁

(2) Development of internal rules and operational procedures that are in accordance with laws and rules such as the Securities and Exchange Law and rules set by the Japan Securities Dealers Association and the like 例文帳に追加

②金融商品取引法等の法規制や日本証券業協会等の規則に沿った内部規程・業務細則等の整備 - 金融庁

① Whether measures for observance of the procedures for capital increases set forth in the Securities and Exchange Law (filing of the securities registration statement and solicitation, preparation and delivery of the prospectus, taking effect of the securities registration statement) are taken. 例文帳に追加

①証券取引法に定める増資手続き（有価証券届出書の提出と勧誘行為、目論見書の作成・交付、有価証券届出書の効力発生等）の遵守のための措置が講じられているか。 - 金融庁

(3) Development of internal rules and operational procedures that are in accordance with laws and rules such as the Securities and Exchange Law, the Law concerning Investment Trusts and Investment Corporations and rules set by the Japan Securities Dealers Association and the like. 例文帳に追加

③金融商品取引法、投資信託及び投資法人に関する法律等の法規制や日本証券業協会等の規則に沿った内部規程・業務細則等の整備 - 金融庁

At present, while the separation of banking and securities business has been maintained by Article 33 of the Financial Instruments and Exchange Law, cross entry between banks and securities business through subsidiaries in different types of business has been permitted by the Financial System Reform Law since 1993.例文帳に追加

現在でも、金融商品取引法第33条により、引き続き銀証分離は維持されているが、1993年、金融制度改革関連法により、銀行と証券間で業態別子会社方式による相互参入が解禁された。 - 経済産業省

The Basic Guidelines shall be applied to inspections, etc. conducted by FSA and by Local Finance Bureaus under commission from the FSA Commissioner, under the Banking Law, Long-Term Credit Bank Law, Shinkin Bank Law, Law Concerning Financial Services by Cooperative Unions, Labor Credit Association Law, Agricultural Cooperative Association Law, Fishery Cooperative Law, Norinchukin Bank Law, Law Concerning Concurrent Operation of Trust Business by Financial Institutions, Deposit Insurance Law, Insurance Business Law, Securities and Exchange Law, Law Concerning Foreign Securities Firms, Law Concerning Investment Trusts and Investment Corporations and Law Concerning Investment Advisory Business. 例文帳に追加

本基本指針は、銀行法、長期信用銀行法、信用金庫法、協同組合による金融事業に関する法律、労働金庫法、農業協同組合法、水産業協同組合法、農林中央金庫法、金融機関の信託業務の兼営等に関する法律、預金保険法、保険業法、証券取引法、外国証券業者に関する法律、投資信託及び投資法人に関する法律並びに有価証券に係る投資顧問業の規制等に関する法律に基づき、金融庁及び金融庁長官から委任を受けて財務局が実施する検査等に対して適用する。 - 金融庁

In Japan, Article 65 of the former Securities Exchange Law required the separation of banking and securities business using the Glass-Steagall Act (1933) in the United States as a reference.例文帳に追加

我が国では、米国のグラス・スティーガル法（1933年）を参考に、旧証券取引法第65条において銀行業と証券業の分離（銀証分離）を規定してきた。 - 経済産業省

③ Whether the Boards of Directors request written opinions of lawyers and auditing firms concerning the Commercial Code, the Anti-monopoly Law, the Securities and Exchange Law and other laws and regulations, as may be necessary, and take thorough measures for compliance. 例文帳に追加

③取締役会は、商法、独占禁止法及び証券取引法等の法令等に関し、必要に応じ、弁護士や監査法人から文書による意見を求める等、コンプライアンス上万全な対応をとることとしているか。 - 金融庁

The number of audit clients of each audit firm is 3,500 to 4,700 companies, of which approximately 2,000 companies were audited pursuant to the Securities and Exchange Law and the Law for Special Exceptions to the Commercial Code. 例文帳に追加

各監査法人が監査業務を行っている被監査会社は3,500社から4,700社であり、うち証券取引法又は商法特例法に基づく監査の被監査会社は約2,000社である。 - 金融庁

the term “recognised stock exchange” means: (i) any stock exchange established by a Financial Instruments Exchange or an approved-type financial instruments firms association under the terms of the Financial Instruments and Exchange Law (Law No. 25 of1948) of Japan; (ii) the Australian Securities Exchange and any other securities exchange recognised as such under the Corporations Act 2001 of Australia; and (iii) any other stock exchange which the competent authorities of the Contracting States agree to recognise for the purposes of this Article; 例文帳に追加

「公認の有価証券市場」とは、次のものをいう。(i)日本国の金融商品取引法（昭和二十三年法律第二十五号）に基づき設立された金融商品取引所又は認可金融商品取引業協会により設立された有価証券市場(ii)オーストラリア証券取引所及びオーストラリアの二千一年会社法に基づいて認定されたその他の証券取引所(iii)この条の規定の適用上、両締約国の権限のある当局が公認の有価証券市場として合意するもの - 財務省

I would like to refrain from making a specific comment on Nomura Securities' internal control system at this time, as the Securities and Exchange Surveillance Commission and the law enforcement authorities are currently investigating this case. 例文帳に追加

野村證券における内部管理態勢等については、現在、証券取引等監視委員会及び捜査当局において事実関係の解明が進められている段階でございますので、この段階において金融庁としての具体的なコメントは差し控えたいと思います。 - 金融庁

The securities market cannot fulfill its function unless corporate information is disclosed in a fair manner to the investors. However, improper practices have been observed recently concerning disclosure under the Securities and Exchange Law, and in particular that in the Annual Report. 例文帳に追加

証券市場がその機能を十全に発揮していくためには、投資者に対して企業情報が適正に開示されることが必要不可欠となるが、昨今、有価証券報告書の開示内容など証券取引法上のディスクロージャーをめぐり不適正な事例が発生している。 - 金融庁

(Note 1) "Financial Holding Company" means a holding company which falls under one or more of the following categories of holding companies: "Bank Holding Company" set forth in Article 2, paragraph 13 of the Banking Law; "Long-term Credit Bank Holding Company" set forth in Article 16-4 of the Long-term Credit Bank Law; "Insurance Holding Company" set forth in Article 2, paragraph 16 of the Insurance Business Law or a holding company owning, as its subsidiary, a securities firm set forth in Article 59, paragraph 1 of the Securities and Exchange Law (a holding company set forth in Article 9, paragraph 5, item 1 of the Law relating to Prohibition of Private Monopoly and Methods of Preserving Fair Trade; hereinafter referred to as a "Securities Holding Company" ) and which owns, as its subsidiaries, financial institutions engaged in more than one type of the following businesses: banks (including long-term credit banks), insurance companies, securities firms, etc. (securities firms, securities investment advisers and investment trust management companies). 例文帳に追加

（注１）「金融持株会社」とは、銀行法第２条第１３項に定める「銀行持株会社」、長期信用銀行法１６条の４に定める「長期信用銀行持株会社」、保険業法第２条第１６項に定める「保険持株会社」、又は証券取引法第５９条第１項に定める証券会社を子会社とする持株会社（私的独占の禁止及び公正取引の確保に関する法律第９条第５項第１号に規定する持株会社。以下「証券持株会社」という。）の複数に該当する持株会社又はこれらのいずれかであって、銀行（長期信用銀行含む）、保険会社、証券会社等（証券会社、証券投資顧問業者又は投資信託委託業者）のうち、２以上の異なる業態の金融機関を子会社とする会社をいう。 - 金融庁

Financial reporting includes those required by the Financial Instruments and Exchange Law, Company Law, and other laws and regulations, those required by contracts or agreements with banks or business partners, and voluntary disclosure to stakeholders. In the context of this standard, the term "financial reporting" refers to the financial statements and information that could have a material effect on the financial statements described in the disclosure documents (Annual Report and Securities Registration Statement) required by the Financial Instruments and Exchange Law. (for details, refer to "1.[1]. Scope of financial reporting" in "II. Assessment and Report on Internal Control Over Financial Reporting.") 例文帳に追加

本基準において、財務報告とは、金融商品取引法上の開示書類（有価証券報告書及び有価証券届出書）に記載される財務諸表及び財務諸表に重要な影響を及ぼす可能性のある情報をいう（詳細は、「Ⅱ．財務報告に係る内部統制の評価及び報告」１．①財務報告の範囲 参照。） - 金融庁

② If the application of the measures for prevention of harmful effects concerning concurrently serving in multiple positions of internal control divisions is exempted pursuant to the proviso to Article 45 of the Securities and Exchange Law, whether such system is appropriate. 例文帳に追加

②証券取引法第４５条但し書の規定に基づき、内部管理部署等の兼職の体制について弊害防止措置の適用除外を受けている場合には、その体制が適切ものとなっているか。 - 金融庁

⑦ Whether measures for preventing the occurrence of actions which fall under the unfair transaction method prohibited by the Securities and Exchange Law (prohibition of insider transactions, representations of favorable purchases, etc.) are taken within the group. 例文帳に追加

⑦ グループにおいて、証券取引法が禁止している不公正な取引（インサイダー取引、有利買付け等の表示の禁止等）に該当する行為の発生を防止する措置が講じられているか。 - 金融庁

② Whether measures for preventing the occurrence of actions which fall under the unfair transaction method prohibited by the Securities and Exchange Law (insider transactions, prohibition of representing favorable purchases, etc.) are taken within the group. 例文帳に追加

② グループにおいて、証券取引法が禁止している不公正な取引（インサイダー取引、有利買付け等の表示の禁止等）に該当する行為の発生を防止する措置が講じられているか。 - 金融庁

On Jan. 23, President Horie Takafumi of Livedoor, an Internet services company, and three other company executives were arrested on suspicion of Securities and Exchange Law violations. 例文帳に追加

１月23日，インターネットサービス会社ライブドアの堀(ほり)江(え)貴(たか)文(ふみ)社長ほか３人の同社幹部が証券取引法違反の疑いで逮捕された。 - 浜島書店 Catch a Wave

The Securities and Exchange Law prohibits such actions and the penalty for doing so is a maximum of five years imprisonment or a fine of up to five million yen. 例文帳に追加

証券取引法はそのような行為を禁止しており，それを行ったことに対する刑罰は５年以下の懲(ちょう)役(えき)または500万円以下の罰金だ。 - 浜島書店 Catch a Wave

Therefore, the Japanese government has been taking action to formulate guidelines on measures to safeguard acquisitions (May 2005, Ministry of Justice and Ministry of Economy, Trade and Industry) and submitted the bill to amend the Securities Exchange Law in order to improve the legal infrastructure for TOB (March 2006).例文帳に追加

このため、我が国政府は、買収防衛策に関する指針（2005年５月法務省・経済産業省）の策定や、TOBルール改善のための証券取引法改正案の国会提出（2006年３月）等の取組を進めてきている。 - 経済産業省

Where a financial instruments firm, such as a securities company, investment fund, investment advisory and brokerage company, or investment management company, advertises the contents of its transactions, such firm must indicate all of the following items, as required by Article 37 of the Financial Instruments and Exchange Law, Article 16 of the Cabinet Order for Enforcement of the Financial Instruments and Exchange Law and Articles 73 through 76 of the Cabinet Office Ordinance Regarding Financial Instruments Businesses, and other relevant laws: 例文帳に追加

証券会社、投資ファンド、投資助言・代理業者、投資運用業者などの金融商品取引業者が取引内容につき広告を行う場合には、必ず以下の事項を表示する必要がある（金融商品取引法第３７条、金融商品取引法施行令第１６条及び金融商品取引業等に関する内閣府令第７３条から第７６条まで）。 - 経済産業省

For the purposes of this Article: (a) the term “disproportionate class of shares” means any class of shares of a company that is a resident of a Contracting State which is subject to terms or other arrangements that entitle the holders of that class of shares to a portion of the income of the company derived from the other Contracting State that is larger than the portion such holders would receive absent such terms or arrangements; (b) the term “recognized stock exchange” means: (i) any stock exchange established under the terms of the Securities and Exchange Law(Law No. 25 of 1948) of Japan; (ii) the NASDAQ System and any stock exchange registered with the Securities and Exchange Commission as a national securities exchange under the Securities Exchange Act of 1934 of the United States; and (iii) any other stock exchange agreed upon by the competent authorities; and (c) the term “gross income” means the total revenues derived by a resident of a Contracting State from its business, less the direct costs of obtaining such revenues. 例文帳に追加

(a)「不均一分配株式」とは、一方の締約国の居住者である法人の株式で、その条件その他の取決め内容により、当該株式を所有する者が、当該条件その他の取決め内容が定められていないとした場合に比し、当該法人が他方の締約国において取得する所得の分配をより多く受ける権利を有するものをいう。(b)「公認の有価証券市場」とは、次のものをいう。(i)日本国の証券取引法（昭和二十三年法律第二十五号）に基づき設立された有価証券市場(ii)ナスダック市場及び合衆国の千九百三十四年証券取引法に基づき証券取引所として証券取引委員会に登録された有価証券市場(iii)その他の有価証券市場で両締約国の権限のある当局が合意するもの(c)「総所得」とは、一方の締約国の居住者がその事業から取得する総収入の額から当該収入を得るために直接に要した費用の額を差し引いた残額をいう。 - 財務省

Considering this situation, from the perspective of strengthening the surveillance of cross-border transactions, the FSA will encourage the development of human resources and the organization of the Securities and Exchange Surveillance Commission, including educating and recruiting professionals in the fields of international law, accounting and security transactions, and dispatching employees to overseas supervisory authorities, etc. 例文帳に追加

このような状況を踏まえ、クロスボーダー取引に対する監視を強化する観点から、国際的な法務・会計・証券取引等の専門家の育成･登用や海外の監視当局への職員派遣の推進等、証券取引等監視委員会の人材育成及び体制整備を進める。 - 金融庁

In these inspections, inspectors of the Board secretariat (“staff’’) visited each firm and inspected accounting records and other materials related to selected audit engagements, from the viewpoint of quality control of audits, that is to say, quality control as an audit firm and quality control at the level of individual audit engagements, as well as from the viewpoint of compliance with the CPA Law, the Securities and Exchange Law, and the GAAS, (which directly affects the quality of audits). 例文帳に追加

本検査は、監査の品質管理、すなわち法人としての品質管理及び個々の監査業務の品質管理の観点、また、公認会計士法、証券取引法、監査基準、会計基準等への準拠（これらは監査の品質に直接関係する。）の観点から、審査会事務局の検査官が各監査法人に立ち入り、その業務に関係ある帳簿書類その他の物件を検査したものである。 - 金融庁

He made efforts to establish instititions such as Osaka Stock Exchange (present Osaka Securities Exchange) the Osaka Chamber of Commercial Law (present the Osaka Chamber of Commerce and Industry, the first chairman was Tomoatsu GODAI), and Osaka Commercial Training Institute (present Osaka City University and Osaka Municipal Tennoji Business High School), and companies such as Osaka Seido (copper metallurgy company), Kansai Boeki (trading company), Kyodo Unyu (transporting company), Kobe Sanbashi (shipping company), Osaka Shosen (shipping company), and Hankai Railway (present Nankai Electric Railway Co., Ltd.). 例文帳に追加

大阪株式取引所（現・大阪証券取引所）、大阪商法会議所（現・大阪商工会議所、初代会頭は五代友厚）、大阪商業講習所（現・大阪市立大学、大阪市立天王寺商業高等学校）、大阪製銅、関西貿易社、共同運輸会社、神戸桟橋、大阪商船、阪堺鉄道（現・南海電気鉄道）などの設立に関わった。 - Wikipedia日英京都関連文書対訳コーパス

the term “recognised stock exchange” means: (i) the London Stock Exchange and any other recognised investment exchange within the meaning of the Financial Services Act 1986or, as the case may be, the Financial Services and Markets Act 2000; (ii) any stock exchange established by a Stock Exchange or a securities dealers association under the terms of the Securities and Exchange Law (Law No. 25 of 1948) of Japan; (iii) the Swiss Stock Exchange, the Irish Stock Exchange and the stock exchanges of Amsterdam, Brussels, Dusseldorf, Frankfurt, Hamburg, Johannesburg, Luxembourg, Madrid, Milan, New York, Paris, Singapore, Stockholm, Sydney, Toronto and Vienna and the NASDAQ System; and (iv) any other stock exchange which the competent authorities agree to recognise for the purposes of this Article; 例文帳に追加

「公認の有価証券市場」とは、次のものをいう。(i)ロンドン証券取引所及び千九百八十六年金融サービス法又は二千年金融サービス市場法に基づき公認された有価証券市場(ii)日本国の証券取引法（昭和二十三年法律第二十五号）に基づき設立された証券取引所又は証券業協会により設立された有価証券市場(iii)スイス証券取引所、アイルランド証券取引所、アムステルダム証券取引所、ブリュッセル証券取引所、デュッセルドルフ証券取引所、フランクフルト証券取引所、ハンブルク証券取引所、ヨハネスブルク証券取引所、ルクセンブルク証券取引所、マドリッド証券取引所、ミラノ証券取引所、ニューヨーク証券取引所、パリ証券取引所、シンガポール証券取引所、ストックホルム証券取引所、シドニー証券取引所、トロント証券取引所及びウィーン証券取引所並びにナスダック市場(iv)この条の適用上、両締約国の権限のある当局が公認の有価証券市場として合意するもの - 財務省

As progress at present in system reforms towards smoother company reorganizations, the following were implemented: removal of prohibition on holding companies (1997), introduction of a system for exchange and transfer of shares (1999), introduction of the Corporate Division System and accompanying development of company reorganization tax system (2001), enactment of the Revised Revitalization Law (2003), formulation of the “Guidline on Takeover Defense Measures to Secure or Increase Company Share Price and Stockholder Joint Interest” by the Ministry of Economy, Trade and Industry and the Ministry of Justice (2005), enactment of the Corporations Act (2006), Revision of the Securities and Exchange Law (2006), etc.例文帳に追加

これまでの進捗として、持株会社の解禁（1997年）、株式交換・移転制度の導入（1999 年）、会社分割制度の導入とそれに伴う企業組織再編税制の整備（2001 年）、改正産業再生法の施行（2003 年）、経済産業省及び法務省による「企業価値・株主共同の利益の確保又は向上のための買収防衛策に関する指針」の策定（2005 年）、会社法の施行（2006 年）、証券取引法の改正（2006 年）等、企業組織再編の円滑化に向けた制度改正や指針づくりが行われている。 - 経済産業省

Under the Financial Instrument and Exchange Law which will be implemented around the summer of 2007, several new treatments for investor protections will be introduced by including wide range of the interest of funds into the definition of the ‘deemed securities’.Specifically, companies or persons who distribute or solicit the interest of funds and companies or persons who manage hedge funds assets shall register with the FSA. 例文帳に追加

本年夏頃目途に施行予定の金融商品取引法においては、投資信託・投資一任業務等以外の形態のファンド持分も広く「みなし有価証券」の定義に含め、その販売・勧誘やファンド財産の投資運用を行う業務を原則として登録制により規制する等、投資家保護の拡充を図っている。 - 金融庁

However, as I mentioned earlier, if a violation of law is found, the story is different. In the Olympus case, I hear that the Public Prosecutors Office, the National Police Agency and the Securities and Exchange Surveillance Commission are already conducting investigation. If we treat all matters in the same way without making distinction, a liberal economy would not function well. 例文帳に追加

しかし、今さっき言いましたように法律違反があった場合は、これは既にオリンパスの場合も検察庁、警察庁、証券取引等監視委員会が捜査をしているやに聞いていますけれども、それとは別の話であり、そこら辺はきちんと分けないと、何でもかんでも一緒といったら、自由主義経済というのは（うまく機能しないと思います）。 - 金融庁

(vi) Dispositions and Administrative Guidance rendered by the Commissioner of the National Tax Agency, directors of the Regional Taxation Bureaus, the chiefs of tax offices, tax collectors, the superintendents of custom houses, customs officers, or local tax officials (including those who perform the duties of these offices pursuant to the provisions of other laws and regulations) pursuant to laws and regulations relating to national or local tax law violations (including cases where such laws and regulations are applied mutatis mutandis pursuant to other laws and regulations ), and Dispositions and Administrative Guidance rendered by the Securities and Exchange Surveillance Commission, personnel of that Commission (including those persons deemed as its personnel pursuant to applicable laws and regulations), directors of Local Finance Bureaus, and directors of the Local Finance Branch Bureaus pursuant to laws and regulations relating to violations of securities and exchange and financial futures trading regulations; 例文帳に追加

六　国税又は地方税の犯則事件に関する法令（他の法令において準用する場合を含む。）に基づいて国税庁長官、国税局長、税務署長、収税官吏、税関長、税関職員又は徴税吏員（他の法令の規定に基づいてこれらの職員の職務を行う者を含む。）がする処分及び行政指導並びに証券取引又は金融先物取引の犯則事件に関する法令に基づいて証券取引等監視委員会、その職員（当該法令においてその職員とみなされる者を含む。）、財務局長又は財務支局長がする処分及び行政指導 - 日本法令外国語訳データベースシステム

Does the Customer Explanation Manager, in accordance with internal rules concerning the representations used in materials for advertisement and solicitation (hereinafter referred to as the "Advertisements, etc."), etc., subject the Advertisements etc. of Transactions and products to legal checks, etc. in advance and verify that there is no violation of the Banking Law8, the Securities and Exchange Law, the Act Against Unjustifiable Premiums and Misleading Representations and the notification thereof, the Act concerning Prohibition of Private Monopolization and Maintenance of Fair Trade and other relevant Laws as well as rules established by voluntary regulatory organizations and that the Advertisements etc. provide appropriate and sufficient explanations to customers, or does the Customer Explanation Manager have a person in charge of screening of Advertisements, etc. conduct such checks?例文帳に追加

顧客説明管理責任者は、広告及び勧誘に用いる資料等における表示（以下「広告等」という。）に関する内部規程等に従い、取引又は商品に関する広告等について事前にリーガル・チェック等を受け、銀行法 11、金融商品取引法、私的独占の禁止及び公正取引の確保に関する法律及びその告示、不当景品類及び不当表示防止法その他の関係法令及び自主規制機関の規則等に反しないものとなっているか、また顧客に対する説明として十分かつ適切なものとなっているか確認し、又は広告審査担当者等に確認させる態勢を整備しているか。 - 金融庁