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

3. As a result of the public offering of beneficial rights of the said special purpose trust conducted by the issuer, the beneficial rights have been accepted only by a qualified institutional investor(s) prescribed in Article 2(3)(i) of the Financial Instruments and Exchange Act. 例文帳に追加

（３）　その発行者が行つた受益権の募集により受益権が金融商品取引法第二条第三項第一号に規定する適格機関投資家のみによつて引き受けられたもの - 日本法令外国語訳データベースシステム

Notwithstanding the forgoing, when the CPAAOB recognizes after taking into consideration its possible effects on public interests or investor protection that the publication is inappropriate, the CPAAOB will abstain from publicizing the recommendation or take any other appropriate measure. 例文帳に追加

なお、公益又は投資者等への影響等から、審査会が公表することを不適当と判断した事案については、公表を控える等の措置を講じるものとする。 - 金融庁

(e) In addition to the cases mentioned above, if and when the Board deems it necessary and appropriate for the public interest or investor protection, depending on the results of its individual examinations and on a case-by-case basis, an on-site inspection of any relevant party will be conducted. 例文帳に追加

⑤ 上記のほか、個々の審査の結果、個別事情等を勘案し、公益又は投資者保護のため必要かつ適当であると認められる場合 - 金融庁

3. In addition to the above, new criteria shall be introduced within the boundaries of PTSs that trade other debit securities, if, with the expansion in trading volume, etc., the need arises from the viewpoint of public welfare or investor protection.” 例文帳に追加

３ これらの他、取引量の拡大等に対応して、公益又は投資者保護のため必要があるときは、その限度において、新たな基準を設けることがある。」 - 金融庁

“New criteria shall be introduced within the boundaries of PTSs that trade other debit securities, if, with the expansion in trading volume, etc., the need arises from the viewpoint of public welfare or investor protection.” 例文帳に追加

「取引量の拡大等に対応して、公益又は投資者保護のため必要があるときは、その限度において、新たな基準を設けることがある。」 - 金融庁

Named "Financial Instruments and Exchange Law," it aims to accelerate the shift "from savings to investments" while striking a balance between the expansion of investor protection and financial innovation. Moreover, the postal privatization due to start in October 2007 has enormous implications to changing the flow of funds from the public to the private sector and to mobilizing national savings for the revitalization of the economy and society. 例文帳に追加

更に、2007年10月に始まる郵政事業の民営化は、「官から民へ」資金の流れを変え、国民の貯蓄を経済・社会の活性化につなげていく等の意義を持っています。 - 財務省

To attain a technology capable of exactly computing the number of voting rights concerning a stock borrowed from a general investor and widely collecting advice from the public so that a borrower may appropriately exert the voting rights.例文帳に追加

一般投資家から借り受けた株式に係る議決権数を正確に算出すると共に、この議決権を借主が適切に行使できるように広く一般からのアドバイスを募集可能な技術の実現。 - 特許庁

The latest revision is aimed at regulating takeovers of German companies in all industries by any investor if they are likely to adversely impact "public order and national security."例文帳に追加

今回の改正は、あらゆる投資主体による全ての産業分野における独企業買収につき、「公共の秩序及び国家の安全」を侵害するおそれがある場合に、当該買収を制限できるようにすることが目的としている。 - 経済産業省

(2) The Prime Minister may, when he/she finds it necessary and appropriate for the public interest or investor protection, have, with regard to the services set forth in Article 2(1), relevant officials enter the office of a certified public accountant, foreign certified public accountant or audit corporation or other places related to the services thereof and inspect the books and documents and any other objects related to the services thereof. 例文帳に追加

２　内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、第二条第一項の業務に関し、当該職員に公認会計士、外国公認会計士又は監査法人の事務所その他その業務に関係のある場所に立ち入り、その業務に関係のある帳簿書類その他の物件を検査させることができる。 - 日本法令外国語訳データベースシステム

Notwithstanding the above, when the CPAAOB deems it necessary and appropriate to inspect a Firm in light of public interests or investor protection (for instance, when the CPAAOB comes to notice that a Firm has allegedly made fraudulent or inappropriate attestation), the CPAAOB may conduct inspection on the Firm without going through the process described in “III Information Requirement”. 例文帳に追加

なお、公益又は投資者保護のため必要かつ適当であると認められる場合、たとえば、外国監査法人等による虚偽又は不当の証明に関する情報がある場合には、Ⅲの手続きを経ずに、当該外国監査法人等を検査対象先として選定することができるものとする。 - 金融庁

Furthermore, when deemed necessary and appropriate in light of the public interest or investor protection, including in cases where a firm has made fraudulent or inappropriate attestation, inspection of the firm may be conducted without going through process 1. 例文帳に追加

なお、公益又は投資者保護のため必要かつ適当であると認められる場合、たとえば、外国監査法人等による虚偽又は不当の証明に関する情報がある場合には、１．の手続きを経ずに、外国監査法人等に対する検査を実施することができる。 - 金融庁

Nonetheless, in the case where inspection is conducted in cooperation with foreign competent authorities and collection of the firm’s improvement plan by such authorities is considered to be more effective in light of the public interest or investor protection by Japanese authorities, the FSA may ask the foreign competent authorities to make such collection. 例文帳に追加

ただし、検査協力等の場合で、当該国当局が当該外国監査法人等に対して報告徴収を行うことが、我が国当局として公益又は投資者保護を図る観点からより実効性があると認められる場合には、報告徴収を当該国当局に要請することも可能とする。 - 金融庁

In the case where a follow-up conducted by the foreign competent authorities is considered to be more effective in light of the public interest or investor protection by Japanese authorities, the FSA may ask the foreign competent authorities to conduct such a follow-up. 例文帳に追加

当該国当局による当該外国監査法人等に対するフォローアップが、我が国当局として公益又は投資者保護を図る観点からより実効性があると認められる場合には、当該国当局によるフォローアップを要請することとする。 - 金融庁

In the above case, the FSA may request the foreign competent authorities to give the firms necessary instruction for the firms’ operational improvement, instead of directly giving such instruction to them, when it is considered to be more effective in light of the public interest or investor protection by Japanese authorities. 例文帳に追加

以上の場合において、我が国当局として公益又は投資者保護を図る観点からより実効性があると認められる場合には、業務改善指示の発出に代えて、改善措置を当該国当局に要請することも可能とする。 - 金融庁

Since April 2008, certain foreign audit firms are obliged to make notification to the FSA, and the revised CPA Act empowers the CPAAOB to conduct on-site inspections of firms, when deemed necessary and appropriate in light of public interest and investor protection in Japan. 例文帳に追加

平成20年４月より、一定の外国監査法人等に対する金融庁への届出が義務化され、公益又は投資者保護のため必要かつ適当と認められる場合に、審査会は、当該外国監査法人等に対し検査を実施することができることとなった。 - 金融庁

The stock opened to the public in the stock publishing part 14 is sold to the circulation preset in the stock management part 15 at most to the requesting investors at the price of stock set in the stock management part 15 in response to a selling request from a terminal device 2a of the investor in a stock selling means 16.例文帳に追加

さらに、株公開部１４において公開された株は、株販売手段１６において投資家の端末装置２ａから販売要求を受けて、多くとも株管理部１５において設定された発行数までの当該株が、株管理部１５において設定された株価で要求元の投資家に販売される。 - 特許庁

ABF1 was dollar-denominated and small in size, and purchasers were limited to the central banks, but ABF2 consists of local currency-denominated bonds, and in Phase 2 other public and private sector investors will be able to purchase ABF2 bonds. Therefore, it is expected that the investor base will be broadened and the size of the fund expanded.例文帳に追加

ABF1はドル建てで金額も小さく、購入者は中央銀行に限定されていたが、ABF2は現地通貨建て債券となり、第２フェーズではその他の公的・民間セクタ－の投資家もABF2を購入できるようになるため、投資家層に加え、規模の拡大も期待されている。 - 経済産業省

It is indeed important to conduct listing examinations from the viewpoint of appropriate disclosure about conditions and risks, financial soundness, and the public interest and investor protection. But excessive, unnecessarily rigorous listing examination might impose too heavy a burden on start-ups that intend to go public. 例文帳に追加

上場に際し、企業内容・リスク情報等の開示の適切性、企業経営の健全性、その他公益または投資者保護の観点から、実質審査が行われることは必要なことである。しかし、行き過ぎた必要以上の上場審査が行われれば、上場を予定するベンチャー企業に過度の負担を生じるおそれがある。 - 経済産業省

(3) With regard to a Public Offering or Secondary Distribution of Securities (excluding that falling under the category of Secondary Distribution of Securities set forth in item (iv) of paragraph (1), but including a General Solicitation for Securities Acquired by Qualified Institutional Investor (excluding those falling under the category of Secondary Distribution of Securities) and Procedures Relating to Securities Delivery for Reorganization; the same shall apply hereinafter in this Chapter and the following Chapter, except in the following paragraph and paragraph (5) of this Article, Article 13 and Article 15(2) to (6)) to be made to shareholders (including preferred equity investors provided in the Act on Preferred Equity Investment) who are stated or recorded in the shareholder registry (including the preferred equity investor registry provided in the Act on Preferred Equity Investment) on a certain date, the notification for the Public Offering or Secondary Distribution under the preceding two paragraphs shall be made twenty five days prior to the day on which the Public Offering or Secondary Distribution is to be made; provided, however, that this shall not apply to the cases specified by a Cabinet Office Ordinance by taking into consideration the Issue Price or distribution price of the Securities or other factors. 例文帳に追加

３　有価証券の募集又は売出し（第一項第四号に掲げる有価証券の売出しを除くものとし、適格機関投資家取得有価証券一般勧誘（有価証券の売出しに該当するものを除く。）及び特定組織再編成交付手続を含む。次項及び第五項、第十三条並びに第十五条第二項から第六項までを除き、以下この章及び次章において同じ。）が一定の日において株主名簿（優先出資法に規定する優先出資者名簿を含む。）に記載され、又は記録されている株主（優先出資法に規定する優先出資者を含む。）に対し行われる場合には、当該募集又は売出しに関する前二項の規定による届出は、その日の二十五日前までにしなければならない。ただし、有価証券の発行価格又は売出価格その他の事情を勘案して内閣府令で定める場合は、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

(i) a person who has conducted a Public Offering or Secondary Distribution of Securities for which a notification under Article 4(1) is required, or conducted a General Solicitation for Securities Acquired by Qualified Institutional Investor for which a notification under Article 4(2) is required, or dealt with these, although such required notifications have not been accepted; 例文帳に追加

一　第四条第一項の規定による届出を必要とする有価証券の募集若しくは売出し又は同条第二項の規定による届出を必要とする適格機関投資家取得有価証券一般勧誘について、これらの届出が受理されていないのに当該募集、売出し若しくは適格機関投資家取得有価証券一般勧誘又はこれらの取扱いをした者 - 日本法令外国語訳データベースシステム

Article 49-3-2 (1) The Prime Minister may, when he/she finds it necessary and appropriate in light of public interest or investor protection, request a foreign audit firm, etc. to report to, or submit relevant documents on the services that are found to correspond to the services set forth in Article 2(1) concerning financial documents of foreign companies, etc. provided by the foreign audit firm, etc. 例文帳に追加

第四十九条の三の二　内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、外国監査法人等の行う外国会社等財務書類についての第二条第一項の業務に相当すると認められる業務に関し、外国監査法人等に対し、報告又は資料の提出を求めることができる。 - 日本法令外国語訳データベースシステム

Activities to engage in services, which require technology and/or knowledge pertinent to physical science, engineering or other natural science fields, based on a contract with a public or private organization in Japan (except for the activities listed in the right-hand column of the "Professor" column of Table (1) and except for the activities listed in the right-hand column of the "Investor/Business Manager", "Medical Services", "Researcher", "Instructor", "Intra-company Transferee" and "Entertainer" columns of this table). 例文帳に追加

本邦の公私の機関との契約に基づいて行う理学、工学その他の自然科学の分野に属する技術又は知識を要する業務に従事する活動（一の表の教授の項の下欄に掲げる活動並びにこの表の投資・経営の項、医療の項から教育の項まで、企業内転勤の項及び興行の項の下欄に掲げる活動を除く。） - 日本法令外国語訳データベースシステム

The certified investor protection organization system was introduced by the Financial Instruments and Exchange Act that took effect in September 2007 in order to contribute to the expansion of alternative dispute resolution in the financial sector. Under this system, the FSA certifies private organizations for assisting in the resolution of disputes related to transactions of financial instruments. Efforts will be made to raise further the public awareness of this system so as to promote wider use of the system by consumer organizations, non-profit organizations and various industry organizations. 例文帳に追加

金融分野における裁判外紛争処理機能の拡充に資するものとして、本年９月施行の金融商品取引法で導入された、金融商品取引に係る苦情解決・あっせんを業務とする民間団体を認定する認定投資者保護団体制度について、一層の周知を図り、消費者団体やＮＰＯ法人、各種業界団体などに広く同制度が活用されるよう促進する。 - 金融庁

(1) For the sake of public interests and investor protection, once the CPAAOB makes recommendations to FSA concerning administrative actions or any other measures to be taken in order to assure proper operations of the Audit and Attestation Services conducted by the Firms, based on the provision of Article 41-2 of the Act, the CPAAOB will, in principle, publicize the recommendations. 例文帳に追加

（１）審査会は、公益又は投資者保護に資するため、法第41条の２の規定に基づき、外国監査法人等の監査証明業務に相当すると認められる業務の適正な運営を確保するため行うべき行政処分その他の措置について金融庁長官に勧告した事案について、勧告後、原則として、公表するものとする。 - 金融庁

The power investment system (11, 12, 13, 14), constituted in a green power investment company 1 promotes the green power generation, by performing public subscription about purchase of green securities constituted by scrutinizing an asset value of green power generation equipment 2 via the Internet and managing an investor whas has purchased the green securities.例文帳に追加

グリーン電力投資会社１に構成された電力投資システム（１１，１２，１３，１４）は、グリーン発電設備２の資産価値を証券化してなるグリーン証券の購入についての公募をインターネットを介して行うとともにグリーン証券を購入した投資家の管理を行うことでグリーン発電を促進する。 - 特許庁

The provision on expropriation and compensation provides that when the contracting party country expropriates the investment of the investor (including nationalization), it should do so in accordance with four conditions: (i) for a public purpose, (ii) on a non-discriminatory basis, (iii) upon payment of prompt compensation and (iv) in accordance with due process of law. In addition, prompt payment of compensation in accordance with fair market value as of the expropriation should be made.例文帳に追加

投資家の投資財産を締約国が収用（国有化も含む）する場合、４つの条件（①公共目的であること、②無差別の措置であること、③迅速に補償が支払われること、④正当な法手続きに則って行われること）に沿って行い、また補償は収用時の公正な市場価格によって遅滞なく支払うべき旨を規定するもの。 - 経済産業省

(10) The term "Prospectus" as used in this Act means a document which states the business operated by an Issuer of Securities or other mattes and prepared for a Public Offering or Secondary Distribution of Securities (excluding those specified in Article 4(1)(iv)) or for a General Solicitation for Securities Acquired by Qualified Institutional Investor defined by Article 4(2) (excluding those falling under the category of Secondary Distribution of Securities), and which are delivered, or are to be delivered on request, to the other party of the Public Offering or Secondary Distribution. 例文帳に追加

１０　この法律において「目論見書」とは、有価証券の募集若しくは売出し（第四条第一項第四号に掲げるものを除く。）又は同条第二項に規定する適格機関投資家取得有価証券一般勧誘（有価証券の売出しに該当するものを除く。）のために当該有価証券の発行者の事業その他の事項に関する説明を記載する文書であつて、相手方に交付し、又は相手方からの交付の請求があつた場合に交付するものをいう。 - 日本法令外国語訳データベースシステム

In this regard, the importance of companies' internal controls has also been recognized in the United States since a series of misconducts such as the Enron case. Consequently, under the Public Company Accounting Reform and Investor Protection Act of 2002 (Sarbanes-Oxley Act of 2002), the management of the Securities and Exchange Commission (SEC) registrant are obliged to prepare the Internal Control Report, which shall contain an assessment of the effectiveness of the internal controls over financial reporting. In addition, each registrant is assumed to have an audit by certified public accountants. 例文帳に追加

この点に関しては、米国においても、エンロン事件等をきっかけに企業の内部統制の重要性が認識され、企業改革法（サーベインズ＝オクスリー法）において、証券取引委員会（ＳＥＣ）登録企業の経営者に財務報告に係る内部統制の有効性を評価した内部統制報告書の作成が義務づけられ、さらに、これについて公認会計士等による監査を受けることとされている。 - 金融庁

(4) A Prospectus used for, among Public Offerings or Secondary Distributions of Securities specified in item (iii) or (v) of paragraph (1) or general solicitations for Securities acquired by Qualified Institutional Investor excluded from the application of the main clause of paragraph (2) by the proviso to said paragraph, that which falls under the category of Secondary Distribution of Securities or that which does not fall under the category of Secondary Distribution of Securities and does not fall under the Case Where Disclosures Have Been Made (hereinafter referred to as the "Specified Public Offering, etc." in this and the following paragraph), or used for having Securities pertaining to a Specified Public Offering, etc. to be acquired or for selling such Securities, should include a statement to the effect that the main clause of paragraph (1) or the main clause of paragraph (2) does not apply to the Specified Public Offering, etc. 例文帳に追加

４　第一項第三号若しくは第五号に掲げる有価証券の募集若しくは売出し若しくは第二項ただし書の規定により同項本文の規定の適用を受けない適格機関投資家取得有価証券一般勧誘のうち、有価証券の売出しに該当するもの若しくは有価証券の売出しに該当せず、かつ、開示が行われている場合に該当しないもの（以下この項及び次項において「特定募集等」という。）をし、又は当該特定募集等に係る有価証券を取得させ若しくは売り付ける場合に使用する目論見書には、当該特定募集等が第一項本文又は第二項本文の規定の適用を受けないものである旨を記載しなければならない。 - 日本法令外国語訳データベースシステム

(i) cases where a notification made under paragraph (1) has come into effect with regard to the Public Offering or Secondary Distribution (excluding that falling under the category of General Solicitation for Securities Acquired by Qualified Institutional Investor) that was already made for the Securities, or a notification made under paragraph (2) has come into effect with regard to the General Solicitation for Securities Acquired by Qualified Institutional Investor that was already made for the Securities (excluding the cases where the proviso to Article 24(1) (including the cases where it is applied mutatis mutandis pursuant to Article 24(5) or where these provisions are applied mutatis mutandis pursuant to Article 27) applies to the Issuer of the Securities); or 例文帳に追加

一　当該有価証券について既に行われた募集若しくは売出し（適格機関投資家取得有価証券一般勧誘に該当するものを除く。）に関する第一項の規定による届出又は当該有価証券について既に行われた適格機関投資家取得有価証券一般勧誘に関する第二項の規定による届出がその効力を生じている場合（当該有価証券の発行者が第二十四条第一項ただし書（同条第五項において準用し、及びこれらの規定を第二十七条において準用する場合を含む。）の規定の適用を受けている者である場合を除く。） - 日本法令外国語訳データベースシステム

Article 188 In addition to the cases prescribed in this Act, a Financial Instruments Business Operator, etc., Financial Instruments Intermediary Service Provider, Authorized Financial Instruments Firms Association, Public Interest Corporation-Type Financial Instruments Firms Association under Article 78(2), Investor Protection Fund, Financial Instruments Exchange or its Member, etc., self-regulation organization under Article 85(1), Financial Instruments Exchange Holding Company, Foreign Financial Instruments Exchange or the Participants of Foreign Financial Instruments Exchange, Financial Instruments Clearing Organization or its Clearing Participants, or a Securities Finance Company shall, pursuant to the provisions of a Cabinet Office Ordinance (with regard to an Investor Protection Fund, a Cabinet Office Ordinance and Ordinance of the Ministry of Finance), prepare and preserve the books, statements, correspondences, vouchers and other documents concerning its business, or submit report on its business. 例文帳に追加

第百八十八条　金融商品取引業者等、金融商品仲介業者、認可金融商品取引業協会、第七十八条第二項に規定する公益法人金融商品取引業協会、投資者保護基金、金融商品取引所若しくはその会員等、第八十五条第一項に規定する自主規制法人、金融商品取引所持株会社、外国金融商品取引所若しくはその外国金融商品取引所参加者、金融商品取引清算機関若しくはその清算参加者又は証券金融会社は、別にこの法律で定める場合のほか、内閣府令（投資者保護基金については、内閣府令・財務省令）で定めるところにより、帳簿、計算書、通信文、伝票その他業務に関する書類を作成し、これを保存し、又は業務に関する報告を提出しなければならない。 - 日本法令外国語訳データベースシステム

Article 206 In the case of violations set forth in any of the following items, a representative person, agent, employee or other worker of an Authorized Financial Instruments Firms Association, Public Interest Corporation-Type Financial Instruments Firms Association prescribed in Article 78(2), Investor Protection Fund, Financial Instruments Exchange, Self-Regulation Organization prescribed in Article 85(1), Financial Instruments Exchange Holding Company, Foreign Financial Instruments Exchange, Financial Instruments Clearing Organization, or Securities Finance Company that has committed such act shall be punished by a fine of not more than 300 thousand yen: 例文帳に追加

第二百六条　次の各号に掲げる違反があつた場合においては、その行為をした認可金融商品取引業協会、第七十八条第二項に規定する公益法人金融商品取引業協会、投資者保護基金、金融商品取引所、第八十五条第一項に規定する自主規制法人、金融商品取引所持株会社、外国金融商品取引所、金融商品取引清算機関又は証券金融会社の代表者、代理人、使用人その他の従業者は、三十万円以下の罰金に処する。 - 日本法令外国語訳データベースシステム

(2) The Prime Minister may, when he/she finds it necessary and appropriate in light of public interest or investor protection, have relevant officials enter the offices of the foreign audit firm, etc. or other places related to the services thereof and inspect books and documents and any other objects related to the services that are found to correspond to the services set forth in Article 2(1) concerning financial documents of foreign companies, etc. provided by a foreign audit firm, etc. 例文帳に追加

２　内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、外国監査法人等の行う外国会社等財務書類についての第二条第一項の業務に相当すると認められる業務に関し、当該職員に外国監査法人等の事務所その他その業務に関係のある場所に立ち入り、その業務に関係のある帳簿書類その他の物件を検査させることができる。 - 日本法令外国語訳データベースシステム

Article 60 (1) With regard to Dealings in a Public Offering, etc. of Beneficiary Certificates of a Foreign Investment Trust, in cases where instructions on investment given for the assets of a Foreign Investment Trust pertaining to the Beneficiary Certificates or the investment thereof is highly inappropriate and has actually caused or clearly will cause serious damage to the Investor's profits and it is found that there is an urgent necessity to prevent the damages suffered by the Investors from spreading, the court may issue an order to a person who has actually conducted or who intends to conduct such acts prohibiting or suspending such acts upon the filing of a petition by the Prime Minister. 例文帳に追加

第六十条　裁判所は、外国投資信託の受益証券の募集の取扱い等につき当該受益証券に係る外国投資信託の資産の運用の指図若しくは運用が著しく適正を欠き、かつ、現に投資者の利益が著しく害されており、又は害されることが明白である場合において、投資者の損害の拡大を防止する緊急の必要があると認めるときは、内閣総理大臣の申立てにより、その行為を現に行い、又は行おうとする者に対し、その行為の禁止又は停止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

Activities to engage in services, which require knowledge pertinent to jurisprudence, economics, sociology or other human science fields or to engage in services which require specific ways of thought or sensitivity based on experience with foreign culture, based on a contract with a public or private organization in Japan (except for the activities listed in the right-hand column of the "Professor", "Artist" and "Journalist" columns of Table (1), and except for the activities listed in the right-hand column of the "Investor/Business Manager", "Legal/Accounting Services", "Medical Services", "Researcher", "Instructor", "Intra-company Transferee" and "Entertainer" columns of this table). 例文帳に追加

本邦の公私の機関との契約に基づいて行う法律学、経済学、社会学その他の人文科学の分野に属する知識を必要とする業務又は外国の文化に基盤を有する思考若しくは感受性を必要とする業務に従事する活動（一の表の教授の項、芸術の項及び報道の項の下欄に掲げる活動並びにこの表の投資・経営の項から教育の項まで、企業内転勤の項及び興行の項の下欄に掲げる活動を除く。） - 日本法令外国語訳データベースシステム

Article 1 (1) As used in this Cabinet Office Ordinance, the term "Securities," "Public Offering of Securities," "Private Placement of Securities," "Secondary Distribution of Securities," "Issuer," "Financial Instruments Services," "Financial Instruments Specialist," "Financial Instruments Market," "Financial Instruments Exchange," "Derivatives Transactions," "Exchange-Traded Derivatives Transactions," "Over-the-Counter Transactions of Derivatives," "Exchange-Traded Derivatives Transactions in a Foreign Market," "Financial Instruments," "Financial Indicator," "Brokerage for the Clearing of Securities, etc.," "Professional Investor," "Specified Listed Securities," and "(a) Credit Rating(s)" respectively mean Securities, Public Offering of Securities, Private Placement of Securities, Secondary Distribution of Securities, Issuer, Financial Instruments Services, Financial Instruments Specialist, Financial Instruments Market, Financial Instruments Exchange, Derivatives Transactions, Exchange-Traded Derivatives Transactions, Over-the-Counter Transactions of Derivatives, Exchange-Traded Derivatives Transactions in a Foreign Market, Financial Instruments, Financial Indicator, Brokerage for the Clearing of Securities, etc., Professional Investor, Specified Listed Securities, and (a) Credit Rating(s) as defined in Article 2 of the Financial Instruments and Exchange Act (Act No. 25 of 1948; hereinafter referred to as the "Act"). 例文帳に追加

第一条　この府令において「有価証券」、「有価証券の募集」、「有価証券の私募」、「有価証券の売出し」、「発行者」、「金融商品取引業」、「金融商品取引業者」、「金融商品市場」、「金融商品取引所」、「デリバティブ取引」、「市場デリバティブ取引」、「店頭デリバティブ取引」、「外国市場デリバティブ取引」、「金融商品」、「金融指標」、「有価証券等清算取次ぎ」、「特定投資家」、「特定上場有価証券」又は「信用格付」とは、それぞれ金融商品取引法（昭和二十三年法律第二十五号。以下「法」という。）第二条に規定する有価証券、有価証券の募集、有価証券の私募、有価証券の売出し、発行者、金融商品取引業、金融商品取引業者、金融商品市場、金融商品取引所、デリバティブ取引、市場デリバティブ取引、店頭デリバティブ取引、外国市場デリバティブ取引、金融商品、金融指標、有価証券等清算取次ぎ、特定投資家、特定上場有価証券又は信用格付をいう。 - 日本法令外国語訳データベースシステム

(3) The special interests referred to in the preceding two paragraphs shall mean those which the Prime Minister specifies in a Cabinet Office Ordinance as he/she finds necessary and proper for the public interest or protection of investors, from among the relationships which a certified public accountant or audit firm has in connection with a person submitting a balance sheet, profit and loss statement or other statements on finance and accounting and an Internal Control Report under said two paragraphs, as set forth in Article 24 of the Certified Public Accountants Act (including the cases where it is applied mutatis mutandis pursuant to Article 16-2(6) of said Act), Article 24-2 of the same Act (including the cases where it is applied mutatis mutandis pursuant to Article 16-2(6) and Article 34-11-2 of said Act), Article 24-3 of said Act (including the cases where it is applied mutatis mutandis pursuant to Article 16-2(6) of said Act) or Article 34-11(1) of the same Act, and the relationships as a shareholder or an Equity Investor which a certified public accountant or audit firm has in connection with said person, or the relationships which a certified public accountant or audit firm has in connection with said person's business or property accounting. 例文帳に追加

３　前二項の特別の利害関係とは、公認会計士又は監査法人が同項の規定により貸借対照表、損益計算書その他の財務計算に関する書類及び内部統制報告書を提出する者との間に有する公認会計士法第二十四条（同法第十六条の二第六項において準用する場合を含む。）、第二十四条の二（同法第十六条の二第六項及び第三十四条の十一の二において準用する場合を含む。）、第二十四条の三（同法第十六条の二第六項において準用する場合を含む。）又は第三十四条の十一第一項に規定する関係及び公認会計士又は監査法人がその者に対し株主若しくは出資者として有する関係又はその者の事業若しくは財産経理に関して有する関係で、内閣総理大臣が公益又は投資者保護のため必要かつ適当であると認めて内閣府令で定めるものをいう。 - 日本法令外国語訳データベースシステム

Article 4 (1) A Public Offering of Securities (including Specified Procedures Relating to Securities Issuance for Reorganization; the same shall apply hereinafter in this Chapter and the following Chapter, except in Article 13 and Article 15(2) to (6)) or Secondary Distribution of Securities (excluding those falling under the category of General Solicitation for Securities Acquired by Qualified Institutional Investor as defined in the following paragraph, but including Specified Procedures Relating to Securities Delivery for Reorganization; the same shall apply hereinafter in this paragraph) may not be made unless the Issuer thereof has made a notification of Public Offering or Secondary Distribution of the Securities to the Prime Minister; provided, however, that this shall not apply to cases that fall under any of the following items: 例文帳に追加

第四条　有価証券の募集（特定組織再編成発行手続を含む。第十三条及び第十五条第二項から第六項までを除き、以下この章及び次章において同じ。）又は有価証券の売出し（次項に規定する適格機関投資家取得有価証券一般勧誘に該当するものを除き、特定組織再編成交付手続を含む。以下この項において同じ。）は、発行者が当該有価証券の募集又は売出しに関し内閣総理大臣に届出をしているものでなければ、することができない。ただし、次の各号のいずれかに該当するものについては、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

Article 13 (1) With regard to Securities of which Public Offering or Secondary Distribution (excluding Secondary Distribution of Securities specified in Article 4(1)(iv), but including General Solicitation for Securities Acquired by Qualified Institutional Investor (excluding those falling under the category of Secondary Distribution of Securities); hereinafter the same shall apply in this Article and paragraphs (2) to (4) and paragraph (6) of Article 15) shall be subject to the main clause of Article 4(1) or the main clause of Article 4(2), the Issuer of such Securities shall prepare a Prospectus for the Public Offering or Secondary Distribution. The same shall apply to an Issuer of Securities of which the Secondary Distribution (excluding that of which the total distribution price is less than 100 million yen or that falling under the categories specified by a Cabinet Office Ordinance) falls under the Case Where Disclosures Have Been Made (meaning the Case Where Disclosures Have Been Made as referred to in Article 4(1)(ii)(a); the same shall apply hereinafter in this Chapter) (such Securities are hereinafter referred to as "Already Disclosed Securities" in this Chapter). 例文帳に追加

第十三条　その募集又は売出し（第四条第一項第四号に掲げる有価証券の売出しを除くものとし、適格機関投資家取得有価証券一般勧誘（有価証券の売出しに該当するものを除く。）を含む。以下この条並びに第十五条第二項から第四項まで及び第六項において同じ。）につき第四条第一項本文又は第二項本文の規定の適用を受ける有価証券の発行者は、当該募集又は売出しに際し、目論見書を作成しなければならない。開示が行われている場合（同条第一項第二号イに規定する開示が行われている場合をいう。以下この章において同じ。）における有価証券の売出し（その売出価額の総額が一億円未満であるものその他内閣府令で定めるものを除く。）に係る有価証券（以下この章において「既に開示された有価証券」という。）の発行者についても、同様とする。 - 日本法令外国語訳データベースシステム

Article 15 (1) With regard to Securities of which Public Offering or Secondary Distribution is subject to the main clause of Article 4(1) or the main clause of Article 4(2), its Issuer, a person who engages in Secondary Distribution of Securities, an Underwriter (including a person who, with regard to a General Solicitation for Securities Acquired by Qualified Institutional Investor (excluding in the Case Where Disclosures Have Been Made with regard to the Securities for which the general solicitation is made), carries out any of the acts specified in the items of Article 2(6); hereinafter the same shall apply in this Chapter), a Financial Instruments Business Operator, a Registered Financial Institution, or a Financial Instruments Intermediary Service Provider shall not have another person acquire such Securities or sell such Securities to another person through Public Offering or Secondary Distribution unless the notification made under Article 4(1) or (2) comes into effect. 例文帳に追加

第十五条　発行者、有価証券の売出しをする者、引受人（適格機関投資家取得有価証券一般勧誘（開示が行われている場合における有価証券に係るものを除く。）に際し、第二条第六項各号のいずれかを行う者を含む。以下この章において同じ。）、金融商品取引業者、登録金融機関又は金融商品仲介業者は、その募集又は売出しにつき第四条第一項本文又は第二項本文の規定の適用を受ける有価証券については、これらの規定による届出がその効力を生じているのでなければ、これを募集又は売出しにより取得させ、又は売り付けてはならない。 - 日本法令外国語訳データベースシステム

With an increasing number of listed companies accused or having been delisted due to, for instance, misstatements, window dressing, or links to antisocial organizations, the emerging equity exchange are examining listings more carefully, and securities underwriters and auditing firms are becoming more cautious. Some start-ups, among others, claim that listing examinations are becoming more rigorous. No change has been made in anything about formalities stipulated in the criteria for listing (rather, some of the standards are relaxed), but parts relating to examinations of substantiality (viewpoints such as appropriate disclosure of conditions of the company and information of its risks, soundness of the business, and public interests / investor protection) are getting stricter. 例文帳に追加

虚偽記載、粉飾決算や反社会的勢力との関係などから問題化したり、上場廃止になったりするケースが増加してきたことを受けて、新興株式市場の各取引所は慎重に審査しており、また引受証券会社や監査法人でも同様に慎重となっている。こうしたことから、ベンチャー企業等から、上場審査が実質的に強化、厳格化しているとの指摘もなされている。上場審査のうち形式基準に係る部分については変化がない（あるいは一部緩和が行われている）ものの、実質審査に係る部分（企業内容・リスク情報の開示の適切性、企業経営の健全性、公益・投資者保護の観点等）の審査が強化・厳格化されているとの声が強い。特にベンチャーキャピタル、ベンチャー企業の視点から見ると、数年前に比して上場審査が厳しくなったという見方が強い。 - 経済産業省

(8) When the notification has been filed pursuant to the provisions of paragraph (3), the Commissioner of the Financial Services Agency shall give a public notice of the trade name or name, and the location of the head office or principal office or the domicile, of the person who made said notification, the period during which the person who made said notification is to be regarded as falling under the category of a Qualified Institutional Investor (meaning the period as prescribed in paragraph (5)), and, if the person who has made said notification made such notification as a person who falls under paragraph (1), item (xxiii), sub-item (b) or, item (xxiv), sub-item (b) it shall be published to that effect in Official Gazette until March 1 of the year in which the date of the notification falls in cases where said notification was made during the period from January 1 until one month thereafter; until June 1 of the year in which the date of the notification falls in cases where said notification was made during the period from April 1 until one month thereafter; until September 1 of the year in which the date of the notification falls in cases where said notification was made during the period from July 1 until one month thereafter; or until December 1 of the year in which the date of the notification falls in cases where said notification was made during the period from October 1 until one month thereafter. 例文帳に追加

８　金融庁長官は、第三項の規定により届出が行われたときは、当該届出が一月一日から一月を経過する日までの間に行われた場合はその日の属する年の三月一日までに、四月一日から一月を経過する日までの間に行われた場合はその日の属する年の六月一日までに、七月一日から一月を経過する日までの間に行われた場合はその日の属する年の九月一日までに及び十月一日から一月を経過する日までの間に行われた場合はその日の属する年の十二月一日までに、当該届出を行った者の商号、名称又は氏名、本店若しくは主たる事務所の所在地又は住所、適格機関投資家に該当する期間（第五項に規定する期間をいう。）及び当該届出を行った者が第一項第二十三号ロ又は第二十四号ロに該当するものとして届出を行った者である場合にはその旨を官報に公告しなければならない。 - 日本法令外国語訳データベースシステム

Article 203 (1) In cases where an Officer or official of a Financial Instruments Business Operator (in cases where said Financial Instruments Business Operator is a foreign juridical person, an Officer refers to a Representative Person in Japan and an Officer who is stationed at a business office or office established in Japan; hereinafter the same shall apply in this paragraph), an Officer or official of an Authorized Financial Instruments Firms Association, Public Interest Corporation-Type Financial Instruments Firms Association prescribed in Article 78(2), or Financial Instruments Exchange (an Officer includes a provisional director, provisional auditor, and provisional executive officer), or a representative person (including, in cases where there is an office in Japan, an Officer stationed at said office) or official in Japan of a Foreign Financial Instruments Exchange has accepted, requested or promised bribes with regard to his/her duties (in the case of an Officer or official of a Financial Instruments Business Operator, limited to duties pertaining to businesses of a Financial Instruments Business Operator that received entrustment of an Investor Protection Funds under the provisions of Article 79-50(1)), he/she shall be punished by imprisonment with work for not more than five years. 例文帳に追加

第二百三条　金融商品取引業者の役員（当該金融商品取引業者が外国法人である場合には、国内における代表者及び国内に設ける営業所又は事務所に駐在する役員。以下この項において同じ。）若しくは職員、認可金融商品取引業協会若しくは第七十八条第二項に規定する公益法人金融商品取引業協会若しくは金融商品取引所の役員（仮理事及び仮監事並びに仮取締役、仮執行役及び仮監査役を含む。）若しくは職員又は外国金融商品取引所の国内における代表者（国内に事務所がある場合にあつては、当該事務所に駐在する役員を含む。）若しくは職員が、その職務（金融商品取引業者の役員若しくは職員にあつては、第七十九条の五十第一項の規定により投資者保護基金の委託を受けた金融商品取引業者の業務に係る職務に限る。）に関して、賄賂を収受し、又はその要求若しくは約束をしたときは、五年以下の懲役に処する。 - 日本法令外国語訳データベースシステム

Article 208 An Issuer of Securities, a representative person or Officer of a Financial Instruments Business Operator or Financial Instruments Intermediary Service Provider, a Financial Instruments Business Operator or Financial Instruments Intermediary Service Provider, a Financial Instruments Business Operator which is a foreign juridical person, a person who has received permission under Article 59 or representative person of an Authorized Transaction-at-Exchange Operator in Japan, an Officer (including a provisional director) or person who used to be a representative person of an Authorized Financial Instruments Firms Association or Public Interest Corporation-Type Financial Instruments Firms Association prescribed in Article 78(2), an Officer (including a provisional director and provisional auditor) or liquidator of an Investor Protection Fund, an Officer (including a provisional director and provisional executive officer), person who used to be a representative person, or liquidator of a Financial Instruments Exchange or self-regulation organization prescribed in Article 85(1), a representative person or person who used to be a representative person of a Foreign Financial Instruments Exchange in Japan, a representative person or Officer of a Financial Instruments Clearing Organization, or a representative person or Officer of a Securities Finance Company shall be punished by a non-penal fine of not more than 300 thousand yen in the following cases: 例文帳に追加

第二百八条　有価証券の発行者、金融商品取引業者等若しくは金融商品仲介業者の代表者若しくは役員、金融商品取引業者若しくは金融商品仲介業者、外国法人である金融商品取引業者、第五十九条の規定により許可を受けた者若しくは取引所取引許可業者の国内における代表者、認可金融商品取引業協会若しくは第七十八条第二項に規定する公益法人金融商品取引業協会の役員（仮理事を含む。）若しくは代表者であつた者、投資者保護基金の役員（仮理事及び仮監事を含む。）若しくは清算人、金融商品取引所若しくは第八十五条第一項に規定する自主規制法人の役員（仮理事、仮取締役及び仮執行役を含む。）、代表者であつた者若しくは清算人、外国金融商品取引所の国内における代表者若しくは代表者であつた者、金融商品取引清算機関の代表者若しくは役員又は証券金融会社の代表者若しくは役員は、次の場合においては、三十万円以下の過料に処する。 - 日本法令外国語訳データベースシステム