「Securities & Exchange Commission」に関連した英語例文の一覧と使い方(3ページ目) - Weblio英語例文検索

However, in any case, regarding how to regulate and supervise investment advisory companies, we are now making strenuous efforts to accurately grasp the actual status of AIJ Investment Advisors' business operation management through the inspection of the company. After that, we will conduct a survey targeting all companies managing customers' assets based on discretionary investment contracts, and based on the results of the survey and deliberation on future actions, such as conducting inspection, the FSA and the Securities and Exchange Surveillance Commission (SESC) will make every possible effort to take measures to prevent the recurrence of cases like this without ruling out any option while maintaining close cooperation with relevant government ministries and agencies. 例文帳に追加

しかしながら、いずれにいたしましても、投資顧問会社等に関する規制・監督のあり方については、AIJ投資顧問に対する検査による業務運営等のまず実態の的確な把握に、今、鋭意努めさせていただいておりますけれども、それからすべての投資一任業者に対する一斉調査、それから一斉調査の結果を踏まえた検査の実施などの今後の対応の検討などを踏まえた上で、これは何回も私は申しておりますけれども、その見直しを含むあらゆる選択肢を排除することなく、関係省庁とも緊密に連携しながら、金融庁・証券取引等監視委員会総力を挙げて再発の防止に努めてまいりたいと考えております。 - 金融庁

I will talk about the personnel appointments first. As you know, the FSA (Financial Services Agency) has separate bureaus responsible for three functions, namely, planning of regulatory frameworks, inspection of financial institutions and monitoring of various market transactions-I think that the inspection and monitoring are very closely related - and supervision of financial institutions. I believe that it is increasingly important for these bureaus to enhance their cooperation and function in an integrated manner. In terms of organization, the FSA consists of the main body of the FSA in a narrow sense, which comprises the internal bureaus, and the Securities and Exchange Surveillance Commission (SESC). Cooperation between the internal bureaus and the SESC is also becoming increasingly important. 例文帳に追加

まず今般の人事でございますけれども、金融庁はご案内のとおり、制度の企画立案、金融機関等への検査やマーケットにおける様々な取引の監視、－この検査と監視は非常に近いと思います、－そして金融機関等への監督と、大きく三つの機能をもった部門が存在しているわけですけれども、この三つの部門がますます連携を強化して、一体として機能するということが重要になってきているということだと思います。組織上、金融庁の内部部局、いわば狭義の金融庁本体と、証券取引等監視委員会という区分があるわけですけれども、内部部局と証券取引等監視委員会の連携の強化ということも一層強まっているということでございます。 - 金融庁

Article 2 (1) The licensing, permission, authorization, approval, Designation and other dispositions, or notification and other acts carried out by the Prime Minister or other organs of the State pursuant to the provisions of the Secured Bond Trust Act, Trust Business Act, Norinchukin Bank Act, Mutual Loan Business Act, Act on Simplification of Banking Business Procedures, etc., Act on Provision, etc. of Trust Business by Financial Institutions, Act on Prohibition of Private Monopolization and Maintenance of Fair Trade, Agricultural Cooperative Association Act, Securities and Exchange Act, Act on Non-Life Insurance Rating Organizations, Fisheries Cooperative Association Act, Act on the Cooperative Associations of Small and Medium Enterprises, etc., Act on Financial Businesses by Cooperative, Shipowners Mutual Insurance Association Act, Local Tax Act, Act on Securities Investment Trust and Securities Investment Corporations, Shinkin Bank Act, Long-Term Credit Bank Act, Loan Trust Act, Medium and Small Fishery Loan Guarantee Act, Credit Guarantee Companies Act, Labor Bank Act, Automobile Liability Security Act, Agricultural Credit Guarantee Insurance Act, Act on Earthquake Insurance, Registration and License Tax Act, Act on Financial Institutions' Merger and Conversion, Act on Foreign Securities Brokers, Act on the Promotion of Introduction of Industry, etc. into Agricultural Regions, Agricultural and Fishery Cooperation Savings Insurance Act, Banking Act, Act on Controls, etc. on Money Lending, Act on Regulation, etc. on Investment Advisory Business Pertaining to Securities, Act on Regulation, etc. for Mortgage Corporations, Financial Futures Trading Act, Act on Regulation, etc. on Advanced Payment Certificate, Act on Regulations of Business Pertaining to Commodities Investment, Act on Special Provisions for the Narcotics and Psychotropics Control Act, etc. and Other Matters for the Prevention of Activities Encouraging Illicit Conduct and Other Activities Involving Controlled Substances through International Cooperation, Act on the Regulation of Business Pertaining to Specified Claims, etc., Act on Revision, etc. of Related Acts for the Reform of Financial System and Securities Exchange System, Act on Preferred Equity Investment by Cooperative Structured Financial Institution, Real Estate Specified Joint Enterprise Act, Insurance Business Act, Act on Special Treatment, etc. of Corporate Reorganization Proceedings and Other Insolvency Proceedings of Financial Institution, Act on the Merger of the Norinchukin Bank and the Federation of Credit Agricultural Cooperatives, etc., Bank of Japan Act, Act on Special Measures, etc. for Merger Procedures Pertaining to Banks, etc. for the Creation of Bank Holding Company, Act on the Liquidation of Specified Assets by Special Purpose Companies, or Act on Revision, etc. of Related Acts for the Financial System Reform, prior to the revision by this Act (hereinafter referred to as "Former Secured Bond Trust Act, etc."), shall be deemed as licensing, permission, authorization, approval, Designation and other dispositions, or notification and other acts carried out by the Financial Reconstruction Commission or other corresponding organs of the State pursuant to the corresponding provisions of the Secured Bond Trust Act, Trust Business Act, Norinchukin Bank Act, Mutual Loan Business Act, Act on Simplification of Banking Business Procedures, etc., Act on Provision, etc. of Trust Business by Financial Institutions, Act on Prohibition of Private Monopolization and Maintenance of Fair Trade, Agricultural Cooperative Association Act, Securities and Exchange Act, Act on Non-Life Insurance Rating Organizations, Fisheries Cooperative Association Act, Act on the Cooperative Associations of Small and Medium Enterprises, etc., Act on Financial Businesses by Cooperative, Shipowners Mutual Insurance Association Act, Local Tax Act, Act on Securities Investment Trust and Securities Investment Corporations, Shinkin Bank Act, Long-Term Credit Bank Act, Loan Trust Act, Medium and Small Fishery Loan Guarantee Act, Credit Guarantee Companies Act, Labor Bank Act, Automobile Liability Security Act, Agricultural Credit Guarantee Insurance Act, Act on Earthquake Insurance, Registration and License Tax Act, Act on Financial Institutions' Merger and Conversion, Act on Foreign Securities Brokers, Act on the Promotion of Introduction of Industry, etc. into Agricultural Regions, Agricultural and Fishery Cooperation Savings Insurance Act, Banking Act, Act on Controls, etc. on Money Lending, Act on Regulation, etc. on Investment Advisory Business Pertaining to Securities, Act on Regulation, etc. for Mortgage Corporations, Financial Futures Trading Act, Act on Regulation, etc. on Advanced Payment Certificate, Act on Regulations of Business Pertaining to Commodities Investment, Act on Special Provisions for the Narcotics and Psychotropics Control Act, etc. and Other Matters for the Prevention of Activities Encouraging Illicit Conduct and Other Activities Involving Controlled Substances through International Cooperation, Act on the Regulation of Business Pertaining to Specified Claims, etc., Act on Revision, etc. of Related Acts for the Reform of Financial System and Securities Exchange System, Act on Preferred Equity Investment by Cooperative Structured Financial Institution, Real Estate Specified Joint Enterprise Act, Insurance Business Act, Act on Special Treatment of Corporate Reorganization Proceedings and Other Insolvency Proceedings of Financial Institution, Act on the Merger of the Norinchukin Bank and the Federation of Credit Agricultural Cooperatives, etc., Bank of Japan Act, Act on Special Measures, etc. for Merger Procedures Pertaining to Banks, etc. for the Creation of Bank Holding Company, Act on the Liquidation of Specified Assets by Special Purpose Companies, or Act on Revision, etc. of Related Acts for the Financial System Reform, revised by this Act (hereinafter referred to as "Current Secured Bond Trust Act, etc."). 例文帳に追加

第二条　この法律による改正前の担保附社債信託法、信託業法、農林中央金庫法、無尽業法、銀行等の事務の簡素化に関する法律、金融機関の信託業務の兼営等に関する法律、私的独占の禁止及び公正取引の確保に関する法律、農業協同組合法、証券取引法、損害保険料率算出団体に関する法律、水産業協同組合法、中小企業等協同組合法、協同組合による金融事業に関する法律、船主相互保険組合法、地方税法、証券投資信託及び証券投資法人に関する法律、信用金庫法、長期信用銀行法、貸付信託法、中小漁業融資保証法、信用保証協会法、労働金庫法、自動車損害賠償保障法、農業信用保証保険法、地震保険に関する法律、登録免許税法、金融機関の合併及び転換に関する法律、外国証券業者に関する法律、農村地域工業等導入促進法、農水産業協同組合貯金保険法、銀行法、貸金業の規制等に関する法律、有価証券に係る投資顧問業の規制等に関する法律、抵当証券業の規制等に関する法律、金融先物取引法、前払式証票の規制等に関する法律、商品投資に係る事業の規制に関する法律、国際的な協力の下に規制薬物に係る不正行為を助長する行為等の防止を図るための麻薬及び向精神薬取締法等の特例等に関する法律、特定債権等に係る事業の規制に関する法律、金融制度及び証券取引制度の改革のための関係法律の整備等に関する法律、協同組織金融機関の優先出資に関する法律、不動産特定共同事業法、保険業法、金融機関等の更生手続の特例等に関する法律、農林中央金庫と信用農業協同組合連合会との合併等に関する法律、日本銀行法、銀行持株会社の創設のための銀行等に係る合併手続の特例等に関する法律、特定目的会社による特定資産の流動化に関する法律又は金融システム改革のための関係法律の整備等に関する法律（以下「旧担保附社債信託法等」という。）の規定により内閣総理大臣その他の国の機関がした免許、許可、認可、承認、指定その他の処分又は通知その他の行為は、この法律による改正後の担保附社債信託法、信託業法、農林中央金庫法、無尽業法、銀行等の事務の簡素化に関する法律、金融機関の信託業務の兼営等に関する法律、私的独占の禁止及び公正取引の確保に関する法律、農業協同組合法、証券取引法、損害保険料率算出団体に関する法律、水産業協同組合法、中小企業等協同組合法、協同組合による金融事業に関する法律、船主相互保険組合法、地方税法、証券投資信託及び証券投資法人に関する法律、信用金庫法、長期信用銀行法、貸付信託法、中小漁業融資保証法、信用保証協会法、労働金庫法、自動車損害賠償保障法、農業信用保証保険法、地震保険に関する法律、登録免許税法、金融機関の合併及び転換に関する法律、外国証券業者に関する法律、農村地域工業等導入促進法、農水産業協同組合貯金保険法、銀行法、貸金業の規制等に関する法律、有価証券に係る投資顧問業の規制等に関する法律、抵当証券業の規制等に関する法律、金融先物取引法、前払式証票の規制等に関する法律、商品投資に係る事業の規制に関する法律、国際的な協力の下に規制薬物に係る不正行為を助長する行為等の防止を図るための麻薬及び向精神薬取締法等の特例等に関する法律、特定債権等に係る事業の規制に関する法律、金融制度及び証券取引制度の改革のための関係法律の整備等に関する法律、協同組織金融機関の優先出資に関する法律、不動産特定共同事業法、保険業法、金融機関等の更生手続の特例等に関する法律、農林中央金庫と信用農業協同組合連合会との合併等に関する法律、日本銀行法、銀行持株会社の創設のための銀行等に係る合併手続の特例等に関する法律、特定目的会社による特定資産の流動化に関する法律又は金融システム改革のための関係法律の整備等に関する法律（以下「新担保附社債信託法等」という。）の相当規定に基づいて、金融再生委員会その他の相当の国の機関がした免許、許可、認可、承認、指定その他の処分又は通知その他の行為とみなす。 - 日本法令外国語訳データベースシステム

(A) Trade name of the firm; (B) The fact that the firm is a financial instruments firm15 and its registration number; (C) The breakdown and total of the commission, trust charge, expenses and other consideration (except the consideration for securities or rights relating to derivatives, etc.) payable by customers for the relevant transactions, the maximum amount thereof, or its calculation method; (D) In the case of transactions that require the deposit of consignment guarantee money, the amount thereof and its calculation method; (E) If there is a risk of loss exceeding the amount of consignment guarantee money in a derivatives transaction, etc., that fact and the ratio of the transaction amount of such derivative transaction, etc. to the amount of consignment guarantee money (if calculation of such ratio is impossible, that fact and the reasons thereof); (F) If there is a risk of loss arising directly from such indicators as the interest rate, exchange rates or stock index, such indicators and the fact that fluctuation thereof may result in loss, and the reasons thereof; (G) If there is a risk of loss as referred to in the preceding item that exceeds the amount of consignment guarantee money, the indicator(s) which may directly lead to such loss, the fact that there is a risk of such loss, and the reasons thereof; (H) In regard to over-the-counter derivative transactions such as foreign exchange margin trading, where there is a difference between the selling price and buying price indicated by a financial instruments firm, etc., that fact; (I) Disadvantageous facts for customers in relation to other important matters; and (J) If the firm is a member of the Financial Instruments Firms Association, that fact and the name of the specific association. 例文帳に追加

①業者の商号②金融商品取引業者等である旨及び登録番号③手数料、信託報酬、費用その他顧客が当該取引につき支払うべき対価（有価証券の対価やデリバティブなどの権利の対価を除く）の種類ごと及び合計の金額、金額の上限又は計算方法④委託保証金を預託すべき取引については委託保証金の額又はその計算方法⑤デリバティブ取引等で損失が委託保証金を上回る可能性がある場合には、その旨及び当該デリバティブ取引等の額の委託保証金に対する比率（計算できない場合にはその旨及びその理由）⑥金利、為替相場、株価指数等の指標を直接の原因として損失が生じるおそれがある場合には、当該指標とその変動により損失が生じるおそれがある旨及びその理由⑦前号の損失が委託保証金の額を上回るおそれがある場合には、かかる損失のおそれを生じさせる直接の原因となる指標、かかる損失が生じるおそれがある旨及びその理由⑧外国為替証拠金取引のような店頭デリバティブ取引について、金融商品取引業者等が表示する金融商品の売付け価格と買付け価格に差がある場合にはその旨⑨その他重要な事項について顧客の不利益となる事実⑩業者が金融商品取引業協会に加盟している場合にはその旨及び協会名 - 経済産業省