「compliance audit」に関連した英語例文の一覧と使い方 - Weblio英語例文検索

Whether the Financial Instruments Business Operator has promptly reported to the internal control and internal audit section as well as to the board of directors, etc., in accordance with compliance rules. 例文帳に追加

イ．コンプライアンス規程等に則り内部管理部門、内部監査部門へ迅速な報告及び取締役会等への報告を行っているか。 - 金融庁

This organization must establish a governance system, an internal control system and an audit system (compliance system). 例文帳に追加

日本年金機構に求められることは、例えば組織ガバナンスの確立であり、内部統制や監査体制（コンプライアンス体制）の確立であります。 - 金融庁

Do the administrative divisions promote enhancement of the level of administrative work pertaining to compliance with the Foreign Exchange Act, etc. at sales branches in coordination with the Internal Audit Division, etc.? 例文帳に追加

事務部門は、内部監査部門等と連携して、営業店の外為法令等の遵守に係る事務水準の向上を図っているか。 - 財務省

The audit of the execution of the Institute’s budget shall be effected a posteriori in compliance with the conditions laid down by a Conseil d’Etat decree. 例文帳に追加

同庁予算の執行についての監査は，国務院布告によって定められた条件に従い，事後的に行われる。 - 特許庁

Further, by conducting another audit one or two years later, try to improve the quality of the compliance program. (Corporation D, European corporation )例文帳に追加

さらに、１ないし２年後に再び監査を実施することで質の向上を図っている。［欧州企業Ｄ社］ - 経済産業省

Concerning the quality control of individual audit engagements, deficiencies were identified in the compliance with generally accepted audit standards (“GAAS”). 例文帳に追加

個々の監査業務に関する品質管理においては、一般に公正妥当と認められる監査の基準（以下「監査基準」という。）への準拠に不十分なものが認められる。 - 金融庁

Does the Internal Audit Division analyze the results, etc. of internal audit which are related to items pertaining to compliance with the Foreign Exchange Act, etc., and accurately notify the results of analysis to operational divisions and sales branches? In addition, do operational division managers and sales branch heads, etc. use these results, etc. of internal audit for compliance with the Foreign Exchange Act, etc.? 例文帳に追加

内部監査部門は、内部監査の結果等のうち外為法令等の遵守に係る項目に関するものについて分析をし、これを的確に各業務部門及び営業店へ通知しているか。また、各業務部門管理者及び営業店長等は、これらの内部監査の結果等を外為法令等の遵守に役立てているか。 - 財務省

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

(ii) by verifying and confirming whether the Firm’s Audit and Attestation Services are in compliance with the laws, regulations and standards, mainly, such as, 例文帳に追加

② 外国監査法人等における監査証明業務に相当すると認められる業務が主に以下の法令諸基準等に準拠して実施されているかどうかについて確認・検証する。 - 金融庁

The FSA will examine whether an adequate system has been built for compliance-related divisions to monitor branches and for audit divisions to conduct verification in order to ensure the effectiveness of the query and complaint- handling system. 例文帳に追加

相談・苦情について、その内容を的確に把握・分析した上で、契約者等に対して誠実かつ公正に対応するための態勢が構築されているか検証する。 - 金融庁

(ii) by verifying and confirming whether the Firm’s Audit and Attestation Services are in compliance with the laws, regulations and standards, mainly, such as, 例文帳に追加

② 外国監査法人等における監査証明業務に相当すると認められる業務が主に以下の法令諸基準等に準拠して実施されているかについて確認・検証する。 - 金融庁

A. Whether the authorized transaction-at-exchange operator has promptly reported to the internal control and internal audit divisions as well as to the board of directors, etc. in accordance with compliance rules. 例文帳に追加

イ．コンプライアンス規程等に則り内部管理部門・内部監査部門への迅速な報告及び取締役会等への報告を行っているか。 - 金融庁

(v) In the case where the Internal Audit Division detects an obvious or suspected illegal act during the process of internal audits, does the division immediately report it to the Compliance Control Division? 例文帳に追加

（ⅴ）内部監査部門は、内部監査の過程で法令違反行為又はそのおそれのある行為を認識した場合、速やかにコンプライアンス統括部門 5に報告しているか。 - 金融庁

Does the Internal Audit Division accurately identify problems based on the analysis of internal audits and disseminate its findings to the Compliance Control Division, operational divisions and sales branches, etc. in a regular and timely manner or on an as needed basis? 例文帳に追加

また、内部監査の結果を分析して問題点等を的確に指摘し、定期的に又は必要に応じて随時、これをコンプライアンス統括部門、各業務部門及び営業店等に通知しているか。 - 金融庁

(ii) Does the Customer Support Manager report the details of Consultation Requests, Complaints and the results of the processing thereof in a timely manner to the Compliance Control and Internal Audit Divisions, etc.? 例文帳に追加

（ⅱ）顧客サポート等管理責任者は、顧客からの相談・苦情等の内容及び処理結果を、適時にコンプライアンス統括部門、内部監査部門等に報告しているか。 - 金融庁

In particular, does the Manager report to the Compliance Control and Internal Audit Divisions, etc., as well as the Board of Directors, without delay any matter that would seriously affect corporate management or significantly undermine customer interests? 例文帳に追加

特に、経営に重大な影響を与える、又は顧客の利益が著しく阻害される事項については、速やかにコンプライアンス統括部門、内部監査部門等の適切な部署へ報告するとともに、取締役会等に報告しているか。 - 金融庁

(ii) Has the Board of Directors approved the Self-Assessment Standards and the Write-Off/Loan Loss Provision Standards based on the opinions of the Compliance Control Division and the Internal Audit Division, etc.? 例文帳に追加

（ⅱ）取締役会は、自己査定基準及び償却・引当基準について、コンプライアンス統括部門及び内部監査部門等の意見を踏まえた上で承認しているか。 - 金融庁

Does the institution report serious problems, such as a violation related to economic sanctions such as asset freeze, to the Administrative Division, the Internal Audit Division, the Compliance Control Division, etc. and also report them to the Board of Directors, etc.? 例文帳に追加

資産凍結等経済制裁に関する違反等重大な問題については、事務部門、内部監査部門及びコンプライアンス統括部門等に報告するとともに、取締役会等に報告しているか。 - 財務省

• National Beef (California) added the written requirement that pre-labeling boxes is not acceptable in their program and added audit criteria to verify that they are in compliance with the revised program.例文帳に追加

・ナショナルビーフ社カリフォルニア工場は、事前のラベル貼り付けが許可されないことを明文化した条件をQSAプログラムに追加したほか、変更したプログラムの遵守を保証するための監査基準を追加した。 - 厚生労働省

Article 69 When it is necessary to ensure that payment of remuneration is made to officials in compliance with laws and regulations, rules of the National Personnel Authority or directives of the National Personnel Authority, the National Personnel Authority may audit payrolls and order rectifications when it finds it necessary. 例文帳に追加

第六十九条　職員の給与が法令、人事院規則又は人事院指令に適合して行われることを確保するため必要があるときは、人事院は給与簿を検査し、必要があると認めるときは、その是正を命ずることができる。 - 日本法令外国語訳データベースシステム

The inspector shall verify whether the Firm is in compliance with laws, regulations, standards as well as the Firm’s policies and procedures concerning quality control by examining books, records and other materials and interviewing officers and employees of the Firm, including partners and staffs engaged in the audit. 例文帳に追加

検査官は、帳簿書類その他の物件の閲覧並びに検査対象先の役職員（監査責任者及び監査補助者を含む。）に対してヒアリングを実施し、法令諸基準等や外国監査法人等の定める品質管理に関する方針と手続への準拠の状況を検証するものとする。 - 金融庁

Those deficiencies led to defects in certain areas, such as the development of the firm's compliance system, information security, monitoring system, the establishment and notification of internal rules, and the retention of audit files. 例文帳に追加

・ 社員会、最高経営責任者及び品質管理担当責任者の役割等が不明確であったことから、それぞれの指示監督が不十分となり、法令等遵守態勢、情報管理態勢、日常的監視、内部規程の整備・周知及び監査調書の管理などに不備がみられる。 - 金融庁

The Whistleblower System is designed to allow every member of the organization to inform management, the board of directors, corporate auditors or the audit committee, or in some cases, people outside the company such as a lawyer or other independent counsel, of regulatory compliance issues and others. 例文帳に追加

内部通報制度は、法令等の遵守等をはじめとする問題について、組織のすべての構成員から、経営者、取締役会、監査役又は監査委員会、場合によっては弁護士等の外部の窓口に直接、情報を伝達できるようにするものである。 - 金融庁

(b) Whether the legal compliance division or the internal audit division strives to keep track of the progress of negotiations with rating stakeholders, and whether it examines if negotiations are being conducted appropriately; and whether it strives to establish systems for ensuring the effectiveness thereof, such as by revising the internal rules, etc. when necessary. 例文帳に追加

ロ．法令等遵守部門又は内部監査部門においては、格付関係者との交渉経過の把握に努め、適切な交渉が行われているかなどについて検証を行うとともに、必要に応じ社内規則等の見直しを行うなど、その実効性を確保する態勢の構築に努めているか。 - 金融庁

Do auditors endeavor to develop a favorable environment for collecting information and conducting audits in order to execute their operations appropriately, for example by maintaining close coordination with directors, accounting auditors, the Internal Audit Division, the Manager of the Compliance Control Division and directors of subsidiaries, etc. and seeking reports from them regularly? 例文帳に追加

監査役は、その職務を適切に遂行するため、取締役、会計監査人、内部監査部門、コンプライアンス統括部門の管理者、子会社の取締役等との間の緊密な連携を図り、定期的な報告を求める等、情報の収集及び監査の環境の整備に努めているか。 - 金融庁

(ii) Does the Board of Directors or organization equivalent to the Board of Directors provide a system to ensure that matters concerning customer identity verification that would seriously affect corporate management are reported to the Compliance Control Division, the Internal Audit Division and the Board of Directors or organization equivalent to the Board of Directors without delay? 例文帳に追加

（ⅱ）取締役会等は、本人確認に関する事項で、経営に重大な影響を与えるものについては、速やかにコンプライアンス統括部門や内部監査部門へ報告されるとともに、取締役会等に報告される態勢を整備しているか。 - 金融庁

(v) Does the Board of Directors or organization equivalent to the Board of Directors provide a system to ensure that matters concerning suspicious transactions that would seriously affect corporate management are reported to the Compliance Control Division and the Internal Audit Division as well as the Board of Directors or organization equivalent to the Board of Directors without delay? 例文帳に追加

（ⅴ）取締役会等は、疑わしい取引に関する事項のうち、経営に重大な影響を与えるものについては、速やかにコンプライアンス統括部門や内部監査部門へ報告されるとともに、取締役会等に報告される態勢を整備しているか。 - 金融庁

Does the Board of Directors appropriately determine whether there are any weaknesses or problems in the internal audit system and the particulars thereof, and appropriately examine their causes by precisely grasping the status of internal audits and analyzing and assessing the effectiveness of internal audits, based on all information available regarding the status of internal audits (including the status of compliance with the Internal Audit Implementation Guidelines and the Internal Audit Plan), such as the results of audits by corporate auditors, internal audits and external audits, findings of various investigations and reports from various divisions? 例文帳に追加

取締役会は、監査役監査、内部監査及び外部監査の結果、各種調査結果並びに各部門からの報告等の内部監査の状況に関する情報（内部監査実施要領及び内部監査計画の遵守状況に関する情報を含む。）に基づき、内部監査の状況を的確に把握し、内部監査の実効性の分析・評価を行った上で、態勢上の弱点、問題点等改善すべき点の有無及びその内容を適切に検討するとともに、その原因を適切に検証しているか。 - 金融庁

(i) Does the Board of Directors or organization equivalent to the Board of Directors have the Internal Audit Division or the chief of the division grasp the status of business consultation and guidance and other finance facilitation, legal compliance, customer protection and risk management at the divisions audited and formulate a plan for implementing internal audits in an efficient and effective manner with due consideration for the frequency and depth of necessary audits (hereinafter referred to as the “Internal Audit Plan”) and approve basic matters concerning the plan, including its key priority items? 例文帳に追加

（ⅰ）取締役会等は、被監査部門等における経営相談・経営指導等をはじめとした金融円滑化、法令等遵守、顧客保護等及びリスク管理の状況を把握した上、頻度及び深度等に配慮した効率的かつ実効性のある内部監査の計画（以下「内部監査計画」という。）を内部監査部門又は内部監査部門長に策定させ、その重点項目を含む基本的事項を承認しているか。 - 金融庁

Do directors fully understand that the development of an effective internal audit system suited to the scales and natures of the financial institution’s business and its risk profile as well as the Laws applicable to the business are vital for business consultation and guidance and other finance facilitation, appropriate legal compliance, customer protection and risk management? 例文帳に追加

取締役は、業務の規模・特性、業務に適用される法令等の内容及びリスク・プロファイルに応じた実効性ある内部監査態勢を整備することが、経営相談・経営指導等をはじめとした金融円滑化、適切な法令等遵守、顧客保護等及びリスク管理に必要不可欠であることを十分に認識しているか。 - 金融庁

Does the Internal Audit Division formulate a plan for implementing internal audits in an efficient and effective manner with due consideration for the frequency and depth of necessary audits based on its understanding of the status of business consultation and guidance and other finance facilitation, legal compliance, customer protection and risk management at the divisions audited and obtain approval by the Board of Directors or organization equivalent to the Board of Directors of basic matters concerning the plan, including its key priority items? 例文帳に追加

内部監査部門は、被監査部門等における経営相談・経営指導等をはじめとした金融円滑化、法令等遵守、顧客保護等及びリスク管理の状況を把握した上、頻度及び深度等に配慮した効率的かつ実効性のある内部監査計画を立案し、重点項目を含む基本的事項について取締役会等の承認を受けているか。 - 金融庁

Article 34-35 (1) A person who makes it his/her practice to audit or attest financial documents for fees at the request of others in a foreign state in compliance with the laws and regulations of the foreign state, when intending to provide services that are found to correspond to the services prescribed in Article 2(1) concerning financial documents to be submitted by an issuer of securities listed in Article 2(1)(xvii) of the Financial Instruments and Exchange Act that have the nature of securities listed in Item (ix) of the same paragraph or any other securities specified by Cabinet Order or to be submitted by any other person specified by Cabinet Office Ordinance pursuant to the provisions of the same Act (such financial documents shall be hereinafter referred to as "financial documents of a foreign company, etc."), shall notify the Prime Minister in advance pursuant to the provisions of a Cabinet Office Ordinance; provided, however, that this shall not apply to a person who is specified by Cabinet Office Ordinance as one who is deemed to receive appropriate supervision of the administrative agency of the foreign state that supervises persons who provide services that are found to correspond to those set forth in the same paragraph concerning financial documents of the foreign company, etc. or an organization equivalent to such administrative agency. 例文帳に追加

第三十四条の三十五　外国の法令に準拠し、外国において、他人の求めに応じ報酬を得て、財務書類の監査又は証明をすることを業とする者は、金融商品取引法第二条第一項第十七号に掲げる有価証券で同項第九号に掲げる有価証券の性質を有するものその他の政令で定める有価証券の発行者その他内閣府令で定める者が同法の規定により提出する財務書類（以下「外国会社等財務書類」という。）について第二条第一項の業務に相当すると認められる業務を行うときは、あらかじめ、内閣府令で定めるところにより、内閣総理大臣に届け出なければならない。ただし、外国会社等財務書類について同項の業務に相当すると認められる業務を行う者に対する監督を行う外国の行政機関その他これに準ずるものの適切な監督を受けると認められる者として内閣府令で定めるものについては、この限りでない。 - 日本法令外国語訳データベースシステム