「internal regulations」に関連した英語例文の一覧と使い方(2ページ目) - Weblio英語例文検索

In the evaluation of requests for exemption involving provisions which do not require the licensor to pay Philippine taxes on all payments relating to the technology transfer arrangement under section 88.4 of the IP Code (Rule 3(4) of these Regulations), the Bureau shall take into consideration current laws, rules and regulations issued by the Bureau of Internal Revenue regarding the liability for payment of such taxes.例文帳に追加

IP法第88条(88.4)(本規則の規則3(4))に基づく技術移転取決めに関するすべての支払についてのフィリピンの税金を許諾者が納付することを要求しない規定に係る適用除外申請を評価する際に，局は，当該税金の納付義務に関して内国歳入局が発した現行の法律及び規則を考慮に入れる。 - 特許庁

(4) An Association shall stipulate in its articles of incorporation that it will endeavor to prevent any acts in violation of laws and regulations or the articles of incorporation or other rules of the Association and to secure customer confidence by having Association Members establish internal rules and an administrative system for observing laws and regulations and the articles of incorporation and other rules of the Association. 例文帳に追加

４ 協会は、その定款において、協会員に法令及び協会の定款その他の規則を遵守するための社内規則及び管理体制を整備させることにより、法令又は協会の定款その他の規則に違反する行為を防止して、委託者の信頼を確保することに努める旨を定めなければならない。 - 経済産業省

(ii) Whether internal administrators (referring to internal administrators prescribed in the self-regulatory regulations of the Japan Securities Dealers Association, entitled “Regulations Concerning Internal Administrators, etc., of Association Members”) appropriately control information exchanged among Financial Instruments Business Operators. Such information includes that pertaining to loan business to be given to clients for the purpose of legal compliance of those engaged in financial instruments intermediary services, as well as information for the purpose of conducting financial instruments intermediary services and the purpose of legal compliance of entrusted Financial Instruments Business Operators. 例文帳に追加

② 金融商品仲介業務に従事する者が法令を遵守するために顧客に告知しなければならない融資業務に係る情報や、金融商品仲介業務を行うため又は委託金融商品取引業者の法令遵守のために行われる当該委託金融商品取引業者との間での顧客情報の授受について、内部管理責任者（日本証券業協会自主規制規則「協会員の内部管理責任者等に関する規則」に定める内部管理責任者をいう。）等が適切に管理を行っているか。 - 金融庁

② Other companies whose operations related to internal controls (operations related to the observance of laws and regulations, operations related to risk management, operations related to internal audits and internal inspections, operations related to financial affairs, operations related to accounting, operations related to tax affairs) are conducted in whole or in part by the officers or employees concurrently serving in the same capacity for a management company or group financial institutions. 例文帳に追加

②内部管理に関する業務（法令等遵守管理に関する業務、リスク管理に関する業務、内部監査及び内部検査に関する業務、財務に関する業務、経理に関する業務、税務に関する業務）の一部又は全部を、経営管理会社又はグループ内の金融機関と共通の役員又は使用人によって行わせている他の会社 - 金融庁

(4) An Authorized Association shall stipulate in its articles of incorporation that it shall endeavor to prevent acts in violation of laws and regulations or its articles of incorporation or other rules and to ensure confidence of investors, by having Member Firms establish the internal rules and control systems of said Member Firms and Financial Instruments Intermediary Service Providers whose Entrusting Financial Instruments Business Operator, etc. is said Member Firm for the purpose of observance of the laws and regulations and the Authorized Association's articles of incorporation and other regulations. 例文帳に追加

４　認可協会は、その定款において、協会員に、法令及び認可協会の定款その他の規則を遵守するための当該協会員及び当該協会員を所属金融商品取引業者等とする金融商品仲介業者の社内規則及び管理体制を整備させることにより、法令又は認可協会の定款その他の規則に違反する行為を防止して、投資者の信頼を確保することに努める旨を定めなければならない。 - 日本法令外国語訳データベースシステム

The FSA will examine whether the characteristics of risks faced by insurance companies are shown properly in an easy-to-understand format in the disclosed information pertaining to their risk management frameworks, including whether or not internal risk management and asset-liability management have become more sophisticated than the identification of risks under regulations on the solvency margin ratio. 例文帳に追加

リスク管理体制の開示に際して、ソルベンシー・マージン比率規制上のリスク把握と比べて、より進化した内部リスク管理及び資産負債管理を行っているか等の視点から、各保険会社のリスクの特性が適切かつ分かり易く示されているかについて検証する。 - 金融庁

Although the four objectives of internal control - effectiveness and efficiency of business operations, reliability of financial reporting, compliance with applicable laws and regulations relevant to business activities and safeguarding of assets - are inherent, they are not independent of each other, but rather closely connected. 例文帳に追加

内部統制の 4 つの目的である業務の有効性及び効率性、財務報告の信頼性、事業活動に関わる法令等の遵守及び資産の保全は、それぞれ固有の目的ではあるが、お互いに独立して存在するものではなく、相互に密接に関連している。 - 金融庁

In addition, the revision of the FIEA relaxed the firewall regulations, including the restriction on concurrent executive positions within a financial group. At the same time, the revised law requires such a group to strengthen its conflict of interest management system, as a part of the group-wide internal control system 例文帳に追加

また、役職員の兼職規制が撤廃されることに伴い、金融グループとしての総合的な内部管理体制の構築を促進する観点から、利益相反管理体制の整備が義務付けられるとともに、こうした体制整備に係る検査権限が証券監視委に付与された。 - 金融庁

(i) Whether persons engaging in financial intermediary services (officers and employees engaging in financial intermediary services and managers in charge of internal control and other matters) have passed the securities sales representative qualification examination conducted by the Japan Securities Dealers Association and have a prescribed level of knowledge regarding relevant laws, regulations and rules. 例文帳に追加

① 金融商品仲介業務を行う者（金融商品仲介業務を行う役員、内部管理等の責任者等）が、日本証券業協会が実施する証券外務員資格試験に合格した者であり、法令、諸規則等につき一定以上の知識を有しているか。 - 金融庁

Use “(Attachment 1) Checklist for the Overall Internal Control System for Compliance with the Foreign Exchange Act, etc.” to check whether an institution has a system to comply with foreign exchange laws and regulations (in relation to economic sanctions such as asset freeze) within the framework of the legal compliance system. 例文帳に追加

「（別添１）外為法令等遵守のための内部管理体制全般に係るチェックリスト」により、法令等遵守体制の枠組みの中で、外為法令（資産凍結等経済制裁関係）を遵守する体制がとられているかチェックする。 - 財務省

Use “(Attachment 1) Checklist for the Overall Internal Control System for Compliance with the Foreign Exchange Act, etc.” to check whether an institution has a system to comply with foreign exchange laws and regulations (in relation to economic sanctions such as asset freeze) within the framework of the administrative risk management system. 例文帳に追加

「（別添１）外為法令等遵守のための内部管理体制全般に係るチェックリスト」により、事務リスク管理体制の枠組みの中で、外為法令（資産凍結等経済制裁関係）を遵守する体制がとられているかチェックする。 - 財務省

Even if the names, etc. of countries, individuals, or groups subject to economic sanctions such as asset freeze are not directly stated in the provisions on administrative work of an institution, the institution shall be deemed to fulfill the check item if other internal provisions, etc. to be referred to are clearly indicated. Asset Freeze Administrator coordinates among related divisions and branches (including divisions and branches in charge of identity confirmation), including the Compliance Control Division, operational divisions, administrative divisions, and sales branches, to comply with the provisions of foreign exchange laws and regulations related to economic sanctions such as asset freeze without fail? 例文帳に追加

資産凍結等経済制裁の対象となる国、個人又は団体の名称等については、事務規定に直接記載されていない場合にあっても、参照すべき他の組織内規定等が明確に示されていれば、チェック項目を満たすものとする。 - 財務省

Use “ Checklist for the Overall Internal Control System for Compliance with the Foreign Exchange Act, etc.” to check whether the institution has a system to comply with foreign exchange laws and regulations (in relation to the Special International Financial Transactions Account) within the framework of the legal compliance system. 例文帳に追加

「外為法令等遵守のための内部管理体制全般に係るチェックリスト」により、法令等遵守体制の枠組みの中で、外為法令（特別国際金融取引勘定関係）を遵守する体制がとられているかチェックする。 - 財務省

Use “(Attachment 1) Checklist for the Overall Internal Control System for Compliance with the Foreign Exchange Act, etc.” to check whether the institution has a system to comply with foreign exchange laws and regulations (in relation to オフショア 2 the Special International Financial Transactions Account) within the framework of the administrative risk management system. 例文帳に追加

「外為法令等遵守のための内部管理体制全般に係るチェックリスト」により、事務リスク管理体制の枠組みの中で、外為法令（特別国際金融取引勘定関係）を遵守する体制がとられているかチェックする。 - 財務省

Use “ Checklist for the Overall Internal Control System for Compliance with the Foreign Exchange Act, etc.” to check whether a specified business operator has a system to comply with criminal proceeds transfer prevention laws and regulations (in relation to the obligation to give notification of suspicious transactions) within the framework of the legal compliance system. 例文帳に追加

「外為法令等遵守のための内部管理体制全般に係るチェックリスト」により、法令等遵守体制の枠組みの中で、犯罪収益移転防止法令（疑わしい取引の届出義務関係）を遵守する体制がとられているかチェックする。疑わしい取引の届出 2 - 財務省

Use “Checklist for the Overall Internal Control System for Compliance with the Foreign Exchange Act, etc.” to check whether a specified business operator has a system to comply with criminal proceeds transfer prevention laws and regulations (in relation to the obligation to give notification of suspicious transactions) within the framework of the administrative risk management system. 例文帳に追加

「外為法令等遵守のための内部管理体制全般に係るチェックリスト」により、事務リスク管理体制の枠組みの中で、犯罪収益移転防止法令（疑わしい取引の届出義務関係）を遵守する体制がとられているかチェックする。 - 財務省

Use “ Checklist for the Overall Internal Control System for Compliance with the Foreign Exchange Act, etc.” to check whether a specified business operator has a system to comply with criminal proceeds transfer prevention laws and regulations (in relation to the notification obligation pertaining to foreign exchange transactions) within the framework of the legal compliance system. 例文帳に追加

「外為法令等遵守のための内部管理体制全般に係るチェックリスト」により、法令等遵守体制の枠組みの中で、犯罪収益移転防止法令(外国為替取引に係る通知義務関係)を遵守する体制がとられているかチェックする。 - 財務省

Use “Checklist for the Overall Internal Control System for Compliance with the Foreign Exchange Act, etc.” to check whether a specified business operator has a system to comply with criminal proceeds transfer prevention laws and regulations (in relation to the notification obligation pertaining to foreign exchange transactions) within the framework of the administrative risk management system. 例文帳に追加

「外為法令等遵守のための内部管理体制全般に係るチェックリスト」により、事務リスク管理体制の枠組みの中で、犯罪収益移転防止法令（外国為替取引に係る通知義務関係）を遵守する体制がとられているかについてチェックする。 - 財務省

In the event that is the subject of Article 88, the inventor shall be assured, in the manner and under the conditions set forth in the statutes or internal regulations of the entity to which this Article refers, an award of part of the value of the benefits gained from the application of patent, as an incentive. 例文帳に追加

第88条が適用される場合は，発明者に対しては，本条の対象である行政主体の定款又は規約に定められている方法と条件により，特許の実施から得られる利益の一部に相当する報奨金が与えられるものとする。 - 特許庁

We note economies progress towards implementing the 2011 APEC Leaders’ commitment to strengthen implementation of good regulatory practices including by ensuring internal coordination of rule-making, assessing the impact of regulations, and conducting public consultations.例文帳に追加

我々は，ルール設計の内部調整の確保，規制の影響力の評価，公共の相談の実施によることを含む，良き規制慣行の実施を強化する，２０１１年のＡＰＥＣ首脳によるコミットメントの実施に向けたエコノミーの進展に留意する。 - 経済産業省

Even if tariff reductions were made as a result of trade negotiations, and if domestic taxes and regulations were to be applied in a discriminatory fashion to protect domestic industry simultaneously, then effective internal trade barriers would remain.例文帳に追加

しかしながら、たとえ貿易交渉によって関税が引き下げられたとしても、同時に国内生産保護の目的の下で内国税・国内規制が差別的に適用されたならば、表面上は貿易障壁（関税）は下がるが実質的には貿易障壁（内国税・国内規制）が存続することとなる。 - 経済産業省

Economic reforms since 1991, including the abolition of the industrial licensing system, liberalization of imports and exports, and relaxation of regulations on foreign participation relating to internal investment, have also enabled the manufacturing industry to increase investment, especially in industries producing consumer durables, and achieve high growth.例文帳に追加

1991 年以降の経済改革で、産業ライセンス制度の廃止、輸出入の自由化、対内投資に関わる外資規制の緩和が進展したことなどに伴い、耐久消費財産業を中心に投資が増大し、製造業も高成長を実現した。 - 経済産業省

These Regulatory Guides do not correspond to the regulatory requirements, but the internal regulations to be used by the Nuclear Safety Commission in the secondary review. NISA also examines the compliance with the Regulatory Guides in the safety review for the installment of the nuclear installations.例文帳に追加

これらの指針類は、規制要求には該当しないが、原子力安全委員会が二次審査において活用する内規として定めているものであり、原子力安全・保安院では、原子炉施設の安全審査において、これらの指針への適合性も審査している。 - 経済産業省

Also, their officers and employees must recognize the public nature of their role and engage in business with an enhanced sense of the need for compliance with laws and regulations and with a high level of work ethics and self-discipline. In order to ensure this, it is essential to establish an effective internal control environment as financial transactions and individual companies' business operations become increasingly diverse. 例文帳に追加

またその役職員においても、証券会社の有する公共的な役割を個々に認識し、高い法令遵守意識、高い職業倫理と自己規律を持って業務を行うことが求められており、金融取引や個々の会社の業務等が多様化する中で、そのことを確実に担保するための実効性のある社内の管理態勢が不可欠となっております。 - 金融庁

In the case of third-party allocations of new shares, however, new shares are allocated directly to business partners, and, for example, when group financial institutions are involved, greater management efforts will be required from the viewpoint of ensuring soundness and faithfulness, with respect to the establishment of an internal control system concerning the compliance of laws and regulations in connection with the "principle of capital substantiation" and the prevention of the "abuse of superior position." 例文帳に追加

しかしながら第三者割当増資については、取引先等に対し直接に割当てを行うので、例えばグループ内の金融機関が関与する場合には、「資本充実の原則」との関係や「優越的な地位の濫用」の防止等、法令等遵守に係る内部管理態勢の確立について、健全性や誠実さ等の観点から、一層の経営努力が払われる必要がある。 - 金融庁

These Policies shall be reviewed on an annual basis, and the respective “Basic Plan for Examinations” and “Basic Plan for Inspections” shall be determined every year, in consideration of the wider scope of audit practices enforced as a result of the introduction of quarterly financial reporting and internal control reports, etc., the amendment of relevant laws and regulations including the CPA Act, changing social and economic situations, and so on. 例文帳に追加

なお、四半期報告書や内部統制報告書の導入等に伴う監査業務の範囲の拡大、公認会計士法など関連法令等の改正、社会経済情勢の変化等を踏まえ、これらの方針については、年度毎に見直しを行うとともに、年度毎に「審査基本計画」及び「検査基本計画」を策定する。 - 金融庁

In principle, an "internal control" is a process undertaken by everyone in an organization in order to achieve the four company objectives (①Effectiveness and efficiency of business operations, ② Reliability of financial reporting, ③ Compliance with applicable laws and regulations relevant to business activities and ④Safeguarding of assets), which consists of six basic components ( ① Control environment, ② Risk assessment and response, ③ Control activities, ④Information and communication, ⑤Monitoring and ⑥Response to IT). 例文帳に追加

内部統制は、基本的に、企業等の４つの目的（①業務の有効性及び効率性、②財務報告の信頼性、③事業活動に関わる法令等の遵守、④資産の保全）の達成のために企業内のすべての者によって遂行されるプロセスであり、６つの基本的要素（①統制環境、②リスクの評価と対応、③統制活動、④情報と伝達、⑤モニタリング、⑥ＩＴへの対応）から構成される。 - 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

1) Taking the basic approach of verifying conducts in violation of laws, regulations and market rules, and in consideration of the protection of the interests of the public and investors, to focus also on verification of appropriateness of the internal control systems, etc. of financial instruments firms, which could possibly be a factor in causing violations, taking into account the size and characteristics of those firms. 例文帳に追加

① 法令や市場ルールに関する違反行為の検証を行うことを基本としつつ、公益の確保や投資者保護を念頭に、金融商品取引業者等の規模・特性を踏まえた上で、その背景となる金融商品取引業者等の内部管理態勢等の適切性の検証にも着目した検査を行う。 - 金融庁

(v) Whether the Financial Instruments Business Operator has established a system for enabling the person in charge of supervising the status of compliance with laws, regulations, rules, etc., (the person specified by Article 15-4(i) of the FIEA Enforcement Order) to perform his or her functions fully so as to enhance the internal control environment and contribute to appropriate business execution. 例文帳に追加

金融商品取引業者の内部管理態勢を強化し、適正な業務の遂行に資するため、金融商品取引業者における法令諸規則等の遵守状況を管理する業務を担う者（金商法施行令第15条の４第１号に規定する者をいう。）の機能が十分に発揮される態勢となっているか。 - 金融庁

(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

Basically, the financial and capital markets comprise a diverse range of players. First, there is governance exercised by issuers, and there are internal audits and external audits. And then there are restrictions that are imposed as necessary, including administrative regulations. It is very important to make efforts to enhance corporate governance. 例文帳に追加

基本的に、金融・資本市場というのは、様々なプレーヤーから成り立ちますが、まず発行体のガバナンスがあって、それを会社の内部監査というものがあり、さらに外部監査というものがあり、さらに必要に応じて様々な行為規制等が、これは行政も含めてあるわけでございますが、そういった順序で自らのコーポレートガバナンスの向上に努めていただくということは、大変大事なことではないかと思っております。 - 金融庁

The President shall manage the Patent Office and shall be responsible for the performance of the tasks of the Office; he shall issue the internal organizational regulations of the Office; he shall appoint the staff and exercise official supervision over them; he shall represent the Patent Office in the international organizations and unions; he shall sign bilateral and regional treaties with foreign patent offices. 例文帳に追加

長官は，特許庁を管理し，かつ，特許庁の職務を遂行する責任を負う。長官は，特許庁の内部組織に関する規則を公布する。長官は，職員を任命し，かつ，これに対する職務上の指揮監督権を行使する。長官は，諸国際機関及び諸同盟において特許庁を代表する。長官は，外国特許庁との間の2 国間又は広域条約に署名する。 - 特許庁

To inhibit the high frequency originated from an electric field generating circuit from being radiated to the outside of a vehicle to observe the Radio regulations and prevent trouble by leaked high frequency in a spark ignition type internal combustion engine performing an ignition method of superposing inductive voltage by an ignition coil on a high frequency electric field by the electric field generating circuit and applying the same to the electrodes of an ignition plug.例文帳に追加

点火コイルによる誘導電圧と電界生成回路による高周波電界とを重ね合わせて点火プラグの電極に印加する点火方法を実施するものにおいて、電界生成回路を源とする高周波が車体外に放射されることを抑止し、電波法規の遵守を図るとともに漏出高周波による支障を未然に防ぐ。 - 特許庁

In order to enhance the internal reserves of SMEs, SMEs will be excluded from the targets of taxation on the retained earnings of special family businesses, and in order to support systematic business successions, exceptions to regulations concerning settlement taxes at succession will be established for stock of individual enterprises, and assessment methods of classified stock will be clarified.例文帳に追加

そこで、中小企業の内部留保の充実を図るため、特定同族会社の留保金課税制度の適用対象から中小企業を除外するとともに、計画的な事業承継を支援するため、相続時精算課税制度の自社株式特例の創設や種類株式の評価方法の明確化を行う。 - 経済産業省

We agreed on specific actions we will take to develop, use, and strengthen implementation of good regulatory practices, including by ensuring internal coordination of rule-making, assessing the impact of regulations, and conducting public consultations, as a critical contribution to our work to advance regulatory convergence and cooperation in the region, and submitted it to Leaders for their consideration. 例文帳に追加

我々は，地域において，規制の収斂及び協力を進めるための我々の取組への重要な貢献として，規制の策定時における政府部内の調整を確実にし，規制の影響を評価し，また一般の意見公募を行うことを含め，良き規制慣行の実施を策定し，使用し，また強化するため，具体的な措置を講ずることに合意した。そして，この合意を首脳の検討に委ねた。 - 経済産業省

As reviewed in Section 2, Chapter III, arrangement of the following environment is required in Japan as a part of the measures to expand the scale of internal direct investments: (i) utilization of location advantages including local areas and the dissemination of investment information abroad; (ii) further improvement of Japan’s investment environment by, for example, reviewing regulations; and (iii) development of legal system for M&A. As for measures to address (i), establishing a location advantage is important by making the use of superior human resources and well-developed information infrastructure rather than simply reducing business activity costs. As for (ii) regulations that hinder market entry in the service business still remain, therefore, reexamination of such regulations are expected to help foreign companies newly enter into particular fields, such as medicine and welfare, education, and human resources business,. Lastly, for (iii), cross-border M&As are expected to accelerate by overcoming hindering factors.例文帳に追加

対内直接投資の規模を拡大するための取組としては、第３章第２節で見たように、①地域を含めた我が国の立地優位性の活用と対外的な情報発信、②規制の見直し等を通じた投資環境の一層の整備、③M&Aに関する法整備が必要である。①については、単に事業活動コストを引き下げるのではなく、優れた人材、整備された情報インフラ等をいかした立地優位性を確立していくことが重要である。②については、サービス業において実質的な参入障壁となっているような規制が一部残存しており、これらの見直しによって、特に医療・福祉サービス分野、公共サービス分野への外資企業の新規参入が期待される。また、③については、M&Aに関する阻害要因の克服などにより、クロスボーダーM&Aの加速が期待される。 - 経済産業省

Internal control is defined as a process performed by everyone in an organization and incorporated in its operating activities in order to provide reasonable assurance of achieving four objectives: effectiveness and efficiency of business operations, reliability of financial reporting, compliance with applicable laws and regulations relevant to business activities, and safeguarding of assets. Internal control consists of six basic components: control environment, risk assessment and response, control activities, information and communication, monitoring, and response to IT (Information Technology). 例文帳に追加

内部統制とは、基本的に、業務の有効性及び効率性、財務報告の信頼性、事業活動に関わる法令等の遵守並びに資産の保全の４つの目的が達成されているとの合理的な保証を得るために、業務に組み込まれ、組織内のすべての者によって遂行されるプロセスをいい、統制環境、リスクの評価と対応、統制活動、情報と伝達、モニタリング（監視活動）及びＩＴ（情報技術）への対応の６つの基本的要素から構成される。 - 金融庁

If I am to reply to you in general terms, the FSA has responded to past cases of problems found in securities companies' business operations by examining the cases closely and taking action as necessary in accordance with the relevant laws and regulations with due consideration of the seriousness and maliciousness of the misconduct concerned and the appropriateness of the underlying institutional environment such as an internal control environment for corporate governance and business operations, and this stance remains unchanged. 例文帳に追加

一般論としてのお答えになると思いますが、金融庁としてはこれまでも証券会社等の業務運営等に問題が生じた場合には、その時々の事案の内容を精査し、問題となった行為の重大性、悪質性やその背景にある経営管理態勢の適否、また業務運営態勢の適切性等を勘案した上で必要に応じて法令に則って適切に対応してきたところでございまして、その方針に変更はございません。 - 金融庁

The firewall regulations among banking, securities, and insurance businesses will be revamped and a new regulatory framework will be introduced. These measures are expected to pull out synergies within financial groups with their various business operations complementing each other and efficiently conducted, thereby improving customer convenience and accommodating the demand from financial groups for integrated internal control. At the same time, the measures will ensure the effectiveness of prevention against conflicts of interest or abuse of dominant position by banks. Specifically, the ban on concurrent posts will be lifted and the restrictions on the sharing of undisclosed corporate customer information will be relaxed between banking and securities businesses. At the same time, measures will be taken to prohibit securities companies from soliciting customers by abusing dominant positions held by banks, in addition to making it obligatory to put in place a system for controlling conflicts of interest described in II.4. Below. 例文帳に追加

具体的には、下記４．の利益相反管理態勢の整備の義務付けに加え、銀行等の優越的地位を濫用した証券会社による勧誘の禁止等の措置を講じた上で、役職員の兼職規制を撤廃するとともに、法人顧客に関する証券会社・銀行等の間の非公開情報の授受の制限について緩和する等の措置を講じる。 - 金融庁

Retention scope, format and period of prepared records on internal control over financial reporting should be determined by respective companies, in the light of the requirements under applicable laws and regulations. However, based on the Financial Instruments and Exchange Law, companies may be required to retain the appropriate scope and format of records (digital media, paper, film, etc. and other formats that can be visualized on a timely basis when necessary) for the period of time equivalent to the inspection period for the Annual Report and the Exhibits thereto (five years). 例文帳に追加

財務報告に係る内部統制について作成した記録の保存の範囲・方法・期間は、諸法令との関係を考慮して、企業において適切に判断されることとなるが、金融商品取引法上は、有価証券報告書及びその添付書類の縦覧期間（５年）を勘案して、それと同程度の期間、適切な範囲及び方法（磁気媒体、紙又はフィルム等のほか必要に応じて適時に可視化することができる方法）により保存することが考えられる。 - 金融庁

I understand that the compilation of the report was commissioned to the third-party committee on NHK's own responsibility in order to prevent the recurrence of such incidents, and so I would like to refrain from commenting thereon. Generally speaking, it is quite obvious that the market surveillance authorities must deal with cases of insider trading in accordance with laws and regulations. At a more fundamental level, it is essential that market players, including non-professional investors, maintain self-discipline and that market intermediaries and other parties involved in the transaction process improve internal rules and educate employees properly. 例文帳に追加

今般の第三者委員会の報告書というのは、ＮＨＫご自身の責任において今後の再発防止を図る観点からまとめられたものと承知をしておりまして、そのものに対するコメントは差し控えたいと思いますが、一般論として申し上げれば、インサイダー取引事案につきましては、市場監視当局が法令に基づいて対処することが必要であることは言うまでもございませんけれども、より基本的には、先ほども申し上げましたように一般投資家を含む市場参加者の自己規律、市場関係者による社内ルールの整備や啓蒙活動が不可欠だと思っております。 - 金融庁

I would like to refrain from offering my assessment of the investigative report and the preventive measures, as these are matters that concern an individual financial institution. Generally speaking, given the highly public nature of their role, securities companies are required to ensure strict compliance with laws and regulations and to maintain rigorous internal control systems. In addition, their officers and employees must engage in business with an enhanced sense of legal compliance and a high level of professional ethics and self-discipline based on the recognition of the public nature of securities companies. 例文帳に追加

個別金融機関が公表した調査報告、あるいは再発防止策でございますので、これについて直接評価を加えるということは差し控えたいと思いますけれども、一般論として申し上げますと、証券会社、その非常に高い公共性を担っているという点にかんがみても、厳格な法令遵守態勢、内部管理態勢の整備が求められているわけでありまして、更に、その役職員も証券会社の有する公共的な役割を個々に認識をし、高い法令遵守意識や職業倫理と自己規律を持って業務にあたっていただくということが求められていると思います。 - 金融庁

Even if the detailed contents, including the names of countries, individuals, or groups subject to economic sanctions such as asset freeze, are not directly stated in the Compliance Manual of an institution, the institution shall be deemed to fulfill the check item if other internal provisions, etc. to be referred to are clearly indicated. as asset freeze prescribe specific administrative procedures for complying with foreign exchange laws and regulations related to economic sanctions such as asset freeze, including (i) obtainment of information on changes, etc. to the content of economic sanctions such as asset freeze as well as updating and dissemination to related divisions and branches of information on those subject to economic sanctions such as asset freeze (including a list of the names, etc. of those subject to economic sanctions such as asset freeze (List of Those Subject to Sanctions)), (ii) means of and criteria for checking to confirm whether a deposit transaction, etc. is with a person subject to economic sanctions such as asset freeze, (iii) means of and criteria for checking to confirm whether a payment, etc. falls under the category of payments subject to economic sanctions such as asset freeze, and (iv) criteria for judgment and measures, etc. taken after judgment in cases where it is not clear whether a transaction or an act falls under the category of transactions or acts subject to economic sanctions such as asset freeze? 例文帳に追加

資産凍結等経済制裁の対象となる国、個人又は団体の名称等、詳細な内容については、コンプライアンス・マニュアルに直接記載されていない場合にあっても、参照すべき他の組織内規定等が明確に示されていれば、チェック項目を満たすものとする。 - 財務省

This matter has been reported in various news articles, and one article asserted that Japan Post Insurance would be allowed to do anything as long as it notifies the authorities. However, that is not true. Even if Japan Post Insurance notifies the authorities, it will have to give consideration to competition with other financial institutions and notify the privatization committee, and it is subject to orders from the Minister for Financial Services, acting on behalf of the Prime Minister, and the Minister for Internal Affairs and Communications. I would like you to understand that Japan Post Insurance is subject to such additional regulations, which are not applicable to other insurance companies, as stipulated in the law. In particular, I would like foreign correspondents here to avoid misunderstanding in that respect. 例文帳に追加

早速色々（報道されており）、どこかの新聞を読ませて頂きましたら、届出制で、届出すれば何でもできるんだというふうなどこかの記事がございましたが、そうではなくて、届出しても今言ったように、他の金融機関への配慮義務、あるいは民営化委員会への通知、それから最後は、内閣総理大臣、（すなわち委任を受けている）金融担当大臣及び総務大臣による監督上の命令まで出来るわけですから、そういった他の保険会社にはない上乗せ規制があるということを十分に、そう法律に書いてありますから、ぜひそのことをご理解して頂いて、特に外国の報道機関の方もおられますので、そこら辺は是非誤解のないようにご理解をして頂きたいというふうに思っております。 - 金融庁