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

Furthermore, they shall provide active support to self-regulatory organizations’ efforts to exercise cross-sectoral self-regulatory functions through participation in meetings aimed at facilitating liaison and coordination between self-regulatory organizations. 例文帳に追加

また、各自主規制機関の間の連絡調整のための会議等に参加するなど、横断的な自主規制機能の発揮に向けた取組みを、当局としても積極的に支援することとする。 - 金融庁

・The SESC will work with Self Regulatory Organizations (SROs) to enhance necessary collaboration, and exchange information on both regular and ad-hoc bases, in order to ensure that their industrial and self-regulatory functions are well in place. 例文帳に追加

・ 自主規制機関との間では、業界や自主規制機能の発揮の状況について実態把握に努める観点から、定期的もしくは随時に情報交換を行うなど、必要な連携を一層強化する。 - 金融庁

Strengthening the administrative civil money penalty system and the enforcement system, unification of market surveillance systems, and appropriate partnerships with self-regulatory organizations 例文帳に追加

・ 課徴金制度及び執行体制の強化、市場監視体制の一元化、自主規制機関との適切な連携等 - 金融庁

It is also essential that supervisors strive to share the recognition of the location of risks and perspectives on problems with self-regulatory organizations. 例文帳に追加

積極的な意見交換等を通じたリスクの存在や問題意識の共有を図るよう努めることとする。 - 金融庁

Basically, these recommendations should be used as a basis for voluntary rules formulated by self-regulatory organizations, such as the Japan Securities Dealers Association. 例文帳に追加

基本的には日本証券業協会等の自主規制機関の策定する自主ルール等として確立するものであるが、 - 金融庁

However, they shall also examine it in relation to a broad range of matters, including the status of compliance with voluntary rules set by self-regulatory organizations. 例文帳に追加

が、それ以外にも、自主規制機関の策定する自主規制ルールの遵守状況も含めた幅広い検証を行うこととする。 - 金融庁

As I told you earlier, the JSDA, a self-regulatory body of the securities industry, plans to start working on relevant voluntary rules, while the Tokyo Stock Exchange also issued a request related to a similar matter as a self-regulatory body. In cooperation with self-regulatory bodies such as the JSDA and the TSE, we, the regulatory authorities, will encourage action in this regard. This is the purpose of our request today. 例文帳に追加

先ほども申し上げましたように、自主規制機関である日本証券業協会においては、これに関連する自主規制ルールの策定作業に入るということがございましたし、また東京証券取引所においては同様の要請を自主規制機関として発出しているということでございまして、日本証券業協会、東京証券取引所といった自主規制機関と連携しつつ、当局としてもとりあえず同様の対応を促していくというのが本日の要請でございます。 - 金融庁

I hope that securities companies will continue efforts to establish proper internal control systems in accordance with the requests made by the self-regulatory bodies. 例文帳に追加

各証券会社におかれては、こうした各自主規制機関からの要請等も踏まえ、適切な内部管理態勢の構築に向けて、引き続き取り組んでいただきたいと考えております。 - 金融庁

Ensuring market fairness and transparency requires further improvement in supervision and market surveillance by regulators. At the same time, it is also important to promote further strengthening of self regulatory functions by the industry, which complements the regulators' activities. 例文帳に追加

市場の公正性・透明性を高めていくためには、規制当局による監督や市場監視体制のより一層の充実が必要であるとともに、これを補完する自主規制機能の強化を推進していくことが重要である。 - 金融庁

Trouble-shooting and mediation are the particularly important functions of self-regulatory organizations from the standpoint of customer protection. Industry-wide measures to reinforce these functions by five financial instruments firms associations will be promoted promptly. Integration of the contact points of these associations for trouble-shooting and mediation is a good example of these industry-wide measures. 例文帳に追加

また、苦情・あっせん機能については、利用者保護の観点から特に重要な自主規制機能であるとの観点から、各協会で統一の窓口を設けるなど、横断的な取組みを早急に推進する。 - 金融庁

As for SROs, the SESC will verify whether self-regulatory operations are satisfactorily effective, whether their functions are appropriately executed, and whether they have a system to adequately execute functions. 例文帳に追加

自主規制機関については、自主規制業務が実効性の高いものとなっているか、その機能が適切に発揮されているか、機能発揮のために十分な態勢が整えられているかについて検証する。 - 金融庁

Specifically, the Commission will verify the establishment of their self-regulatory rules for their members, and their regulatory enforcement, such as on-site and off-site reviews, penalties, and listing examination and management. 例文帳に追加

具体的には、会員等に対する規則の制定、考査等及び処分等を行う業務、上場審査・管理を行う業務等について検証する。 - 金融庁

It should be kept in mind that in the supervision of Financial Instruments Business Operators, etc., it is necessary to attach importance to rules set by relevant self-regulatory organizations as well as to laws and regulations. 例文帳に追加

金融商品取引業者等の監督に当たっては、法令上の規制と併せて各自主規制機関の定める規則を重視する必要があることに留意する。 - 金融庁

In addition, supervisors shall maintain the appropriate exchange of information necessary for supervision with self-regulatory organizations, to the extent necessary for the purpose of ensuring the fairness of transactions and protecting investors. 例文帳に追加

また、自主規制機関との間では、取引の公正性の確保や投資者保護を図る目的の範囲において、金融商品取引業者等を監督する上で必要と考えられる情報についての情報交換を適切に行うとともに、 - 金融庁

(v) Whether the securities company, etc., has established appropriate rules, regarding the calculation of prices based on laws and regulations as well as the self-regulatory regulations, in order to prevent underwriting under terms, such as volume and price, deemed to be markedly inappropriate. 例文帳に追加

⑤ 著しく不適当と認められる数量、価格その他の条件により引受けを行うことを防止するために、法令や自主規制規則を踏まえ、価格の算定方法等に関する適切な規程が整備されるとともに、 - 金融庁

If such experts are spread across various sectors―at issuer companies, securities companies, self-regulatory organizations and supervisory authorities―it will contribute to the maintaining of an “eco-system” in the financial sector. 例文帳に追加

発行会社にも証券会社にも自主規制機関にも、また監督当局にもそのような人材が散らばっていることによって、いわば生態系の秩序が維持されるようになると思います。 - 金融庁

Some people say that the results of efforts by self-regulatory organizations representing industrial sectors do not deserve a passing grade. In what respects do you think the current state of affairs is found wanting? 例文帳に追加

今の金融ADRの話で、業界団体の自主規制機関の取組みが数字的に見てもまだまだ足りないという意見もありますが、佐藤長官は現状の水準というのはどのあたりが足りないと思われていますか。 - 金融庁

In order to facilitate communication with foreign authorities, financial firms, and market participants, the FSA will actively promote the translation of financial laws and regulations, including supervisory guidelines, inspection manuals, and self-regulatory rules, into English, taking into account the government’s initiative to promote the translation of Japanese laws and regulations into foreign languages. 例文帳に追加

海外当局・外国金融機関等とのコミュニケーションの円滑化等を図るため、法令外国語訳推進に係る政府全体の取組みも踏まえ、金融関連法令等（監督指針、検査マニュアル、自主規制ルール等も含む。）の英訳を積極的に推進する。 - 金融庁

Type I Financial Instruments Businesses and Registered Financial Institutions.:130 firms (inc1uding 110 firms to be inspected by the Local Financial Bureaus) Asset management firms and Investment advisories/agencies: 65 firms (including 35 firms to be inspected by the Local Financial Bureaus) Self regulatory organizations: To be inspected as needed Type II Financial Instruments Business Operators, etc: To be inspected as needed 例文帳に追加

第１種金融商品取引業者等130社（うち財務局等が行うもの 110社） 投資運用業者、投資助言・代理業者 65社（うち財務局等が行うもの 35社）自主規制機関必要に応じて実施第２種金融商品取引業者等 必要に応じて実施 - 金融庁

(i) Whether the securities company, etc., has established appropriate rules regarding the screening of matters used for judgment as to the appropriateness of underwriting, such as the financial condition and business performance of issuers based on the self-regulatory regulations of the Japan Securities Dealers Association, entitled “Regulations Concerning Underwriting, etc. of Securities,” and whether it conducts effective screening in an appropriate manner. 例文帳に追加

① 日本証券業協会自主規制規則「有価証券の引受け等に関する規則」等を踏まえ、発行体の財務状態及び経営成績その他引受けの適否の判断に資する事項の審査に関する適切な規程が整備され、実質的な審査が的確に行われているか。 - 金融庁

With this in mind, in the case of trust beneficiary rights sellers who handle the sale, etc. of trust beneficiary rights, supervisors shall pay attention to the following points, in accordance with the self-regulatory regulations of the Japan Securities Dealers Association, entitled “Regulations Concerning the Distribution, etc. of Securitized Products. 例文帳に追加

そのため、信託受益権販売業者がこのような信託受益権の販売等を行う場合においても、日本証券業協会自主規制規則「証券化商品の販売等に関する規則」に準じて、以下のような点に留意するものとする。 - 金融庁

As transactions involving securitization products are basically made between professional investors (e.g., securities companies, etc., and qualified institutional investors), they are unlikely to be subject to the legal regulation on disclosure and the legal obligation for explanations. However, regarding the sale of securitization products, supervisors shall pay attention to the following with due consideration of the viewpoint described above as well as the self-regulatory regulations of the Japan Securities Dealers Association, entitled “Regulations Concerning the Distribution, etc. of Securitized Products.” 例文帳に追加

証券化商品の取引は、基本的にはプロ同士（証券会社等と適格機関投資家等）の取引と考えられるため、法令上の開示規制や業者の説明義務の対象にはならない可能性が高いものの、その販売に関しては、上記の視点も勘案し、日本証券業協会自主規制規則「証券化商品の販売等に関する規則」を踏まえ、以下のような点に留意するものとする。 - 金融庁

As you know, in late April the FSA asked all securities companies to take quick actions, such as reviewing their internal control systems. I believe that it is important that the industry as a whole puts in place measures to prevent incidents like this case while maintaining cooperation with self-regulatory organizations. 例文帳に追加

ご案内のとおり、４月の末だったと思いますが、全ての証券会社宛に金融庁から内部管理態勢の検証等についての早急な対応を図るように要請を行ったところでございまして、今後とも自主規制機関とも連携しながら、業界全体としてこのような事案が発生しないような態勢を整えていただくことが重要だと思っております。 - 金融庁

I would like to remind you that on April 28, the FSA issued a notice to all securities companies, asking them to take prompt action for the purpose of checking their internal control systems. I hope that securities companies, in cooperation with self-regulatory organizations, will make industry-wide efforts toward devising and implementing effective measures with a view to preventing the recurrence of similar cases. 例文帳に追加

ちなみに、金融庁としては先般４月28日に全ての証券会社宛に内部管理態勢の検証等についての早急な対応を図るということで要請を行ったところでございまして、自主規制機関とも連携しながら、業界全体として、このような事案が発生しないような実効性のある再発防止策が策定・実行されることを期待しているというところでございます。 - 金融庁

Furthermore, the supervisory authorities need to maintain close cooperation with Financial Instruments Firms Associations (which refer to the Authorized Financial Instruments Firms Association and Public Interest Corporation-Type Financial Instruments Firms. The same shall apply hereinafter.), which are self-regulatory organizations as specified by the Financial Instruments and Exchange Act (hereinafter referred to as “FIEA”), as well as financial instruments exchanges, since they, in their capacity as entities familiar with the circumstances of the market, are responsible for exercising the function of self-regulation that is intended to secure investors’ confidence in Financial Instruments Business Operators, etc. 例文帳に追加

また、金融商品取引業者等の監督において、金融商品取引法（以下「金商法」という。）上に規定されている自主規制機関である金融商品取引業協会（認可金融商品取引業協会又は公益法人金融商品取引業協会をいう。以下同じ。）や金融商品取引所は、金融商品取引業者等に対して市場の実情に精通している者として自らを律していくことにより投資者からの信頼を確保させる自主規制機能を担っており、監督上の連携を密接に行う必要がある。 - 金融庁

(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

As you know, this group is based on voluntary participation by consumer groups, self-regulatory organizations, industry groups, lawyers' associations, academics and relevant administrative organizations. Because of the voluntary efforts made through the group over the past eight years, a definite improvement has been made with regard to the framework for financial sector ADR. Still, the numerical results achieved so far have been insufficient, leading consumer members of the group, among other participants, to point out the need for measures that transcend the limits of voluntary efforts. 例文帳に追加

このいわゆる金トラ協はご案内のとおり、消費者団体、自主規制機関ないし業界団体、弁護士会、学識経験者そして関係行政機関の自主的な参加による取組みということでございます。協議会におけるこれまで８年間の自主的な取組みによって、金融ADRは一定の改善を見てきたわけですが、未だ、十分な水準とは言い難いということでございまして、自主的な取組みの枠を超えた施策が必要ではないかといった意見が消費者委員を中心に出てきているところでございます。 - 金融庁