「Financial Instruments」を含む例文一覧(2779)

＜前へ 1 2 .... 10 11 12 13 14 15 16 17 18 .... 55 56 次へ＞
  • By applying regulations on the conduct of financial instruments business operators in accordance with this division, attempts are being made to make the regulation more flexible.
    地方公共団体については、現行、「一般投資家へ移行可能な特定投資家」と分類されている。 - 金融庁
  • As part of off-site monitoring activities, supervisors shall hold periodic hearings with Financial Instruments Business Operators as follows.
    モニタリングの一環として、金融商品取引業者に対し、定期的に以下ヒアリングを実施することとする。 - 金融庁
  • Whether it is appropriate to leave it to the Financial Instruments Operator, etc., to make improvement efforts on a voluntary basis.
    改善に向けた取組みを金融商品取引業者等の自主性に委ねることが適当かどうか、 - 金融庁
  • Also, whether the Financial Instruments Business Operator analyzes the causes of information leaks and has implemented measures designed to prevent a recurrence.
    また、情報漏えい等が発生した原因を分析し、再発防止に向けた対策が講じられているか。 - 金融庁
  • A. Whether the Financial Instruments Business Operator has established internal rules that specify internal arrangements and procedures for implementing customer identification.
    イ．社内規則等において、本人確認を行うための社内体制や手続きが明確に定められているか。 - 金融庁
  • A. Whether the Financial Instruments Business Operator has implemented appropriate measures to avoid creating unnecessary confusion among customers in the event of system troubles.
    イ．障害発生時に、顧客に無用の混乱を生じさせないための適切な措置を講じているか。 - 金融庁
  • In order to deal with such cases properly, the management teams of Financial Instruments Business Operators need to take a resolute stance and implement specific countermeasures.
    こうしたケースに適切に対処するには経営陣の断固たる対応、具体的な対応が必要である。 - 金融庁
  • B. Any person who has defaced or damaged the registry of a Financial Instruments Business Operator, or who may do so.
    ロ．金融商品取引業者登録簿を汚損若しくは破損し、又はそのおそれがあると認められる者 - 金融庁
  • Even if an officer or an employee is deemed to not meet the requirements, it should not automatically lead to the conclusion that the Financial Instruments Business Operator is not adequately staffed.
    特定の要素への該当をもって直ちにその人的構成の適否を判断するものではない。 - 金融庁
  • In this case, securities jointly owned by a Financial Instruments Business Operator and its client(s) shall be further separated.
    この場合、金融商品取引業者と顧客が共有している有価証券は、更に分別すること。 - 金融庁
  • (iii) Cancellation shall be effective when a Financial Instruments Business Operator can no longer conduct cumulative investment activities.
    ③ 金融商品取引業者が累積投資業務を行うことができなくなったときに解約されること。 - 金融庁
  • (1) The following points shall also be taken into consideration with regard to the appropriateness (quality) and sufficiency (quantity) of the equity capital of financial instruments business groups with international operations:
    指定親会社グループの自己資本の充実に関しては、以下の点にも留意するものとする。 - 金融庁
  • Supervisors shall examine the appropriateness of Financial Instruments Business Operators’ business operations by paying attention to the following points.
    金融商品取引業者の業務の適切性に関しては、以下の点に留意して検証することとする。 - 金融庁
  • (xiv) Settlement and clearing services for financial assets, including securities, derivative products, and other negotiable instruments;
    (xiv) 金融資産(有価証券、派生商品その他の譲渡可能な証書を含む。)のための決済及び清算のサービス - 経済産業省
  • The graphical depiction includes a multidimensional representation of a broad range of market information for at least two financial instruments.
    グラフィカル表示は、少なくとも２つの金融商品の広範な市場情報の多次元表示を有する。 - 特許庁
  • (8) Where a Financial Instruments Business Operator, etc. who has concluded a Specified Subject Contract made a notification under the provisions of paragraph (6), with regard to a Contract for Financial Instruments Transaction that the Financial Instruments Business Operator, etc. concludes with the Counterparty Financial Business Operators, etc. on behalf of the Applicant under the Specified Subject Contract (limited to a Contract for Financial Instruments Transaction concluded before the Expiration Date), the Applicant shall be deemed to be a customer other than a Professional Investor and this Act (excluding this Subsection) shall apply to the Applicant.
    ８　特定対象契約を締結した金融商品取引業者等が第六項の規定による告知をした場合には、当該金融商品取引業者等が当該特定対象契約に基づき申出者を代理して相手方金融商品取引業者等との間で締結する金融商品取引契約（期限日以前に締結するものに限る。）については、当該申出者を特定投資家以外の顧客とみなして、この法律（この款を除く。）の規定を適用する。 - 日本法令外国語訳データベースシステム
  • (3) A Registered Financial Institution which receives agency service from a person who conducts Specified Financial Instruments Business shall take responsibility to compensate a damage that the person caused to a customer with regard to Specified Financial Instruments Business; provided, however, that this shall not apply to cases where said Registered Financial Institution has paid reasonable attention in appointing the person, and has endeavored to prevent the damage that the person caused to a customer with regard to Specified Financial Instruments Business.
    ３　特定金融商品取引業務を行う者が代理する登録金融機関は、その者が特定金融商品取引業務につき顧客に加えた損害を賠償する責任を負う。ただし、当該登録金融機関がその者の選任につき相当の注意をし、かつ、その者の行う特定金融商品取引業務につき顧客に加えた損害の発生の防止に努めたときは、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
  • (4) Where a Contract for Financial Instruments Transaction has been cancelled under paragraph (1), the Financial Instruments Business Operator, etc. shall refund any Consideration paid in advance for the relevant Contract for Financial Instruments Transaction to the customer who paid it; provided, however, that this shall not apply to the amount specified by a Cabinet Office Ordinance as prescribed in the preceding paragraph.
    ４　金融商品取引業者等は、第一項の規定による金融商品取引契約の解除があつた場合において、当該金融商品取引契約に係る対価の前払を受けているときは、これを顧客に返還しなければならない。ただし、前項の内閣府令で定める金額については、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
  • (iii) an act of visiting or making a telephone call to a customer who has not requested solicitation of conclusion of a Contract for Financial Instruments Transaction (limited to those specified by a Cabinet Order, by taking into consideration the contents of the relevant Contract for Financial Instruments Transaction and other circumstances concerned, contracts for which protection of investors is particularly necessary), thereby soliciting him/her to conclude a Contract for Financial Instruments Transaction;
    三　金融商品取引契約（当該金融商品取引契約の内容その他の事情を勘案し、投資者の保護を図ることが特に必要なものとして政令で定めるものに限る。）の締結の勧誘の要請をしていない顧客に対し、訪問し又は電話をかけて、金融商品取引契約の締結の勧誘をする行為 - 日本法令外国語訳データベースシステム
  • (iii) the Securities belonging to the account of a General Customer or Securities deposited to a Financial Instruments Business Operator from a General Customer (excluding Securities prescribed in item (i), Securities that a Financial Instruments Business Operator may use under a contract, and other Securities specified by a Cabinet Order), with regard to a transaction pertaining to Financial Instruments Business; and
    三　金融商品取引業に係る取引に関し、一般顧客の計算に属する有価証券又は金融商品取引業者が一般顧客から預託を受けた有価証券（第一号に規定する有価証券、契約により金融商品取引業者が消費できる有価証券その他政令で定める有価証券を除く。） - 日本法令外国語訳データベースシステム
  • (2) The provision of the preceding paragraph shall not apply to the cases where a Financial Instruments Business Operator, etc. or a Financial Instruments Intermediary Service Provider conducts sales and purchase of Securities or Market Transactions of Derivatives (excluding transactions conducted outside the Financial Instruments Exchange Markets), or intermediary, brokerage or agency services for these transactions pursuant to the provisions of this Act.
    ２　前項の規定は、金融商品取引業者等又は金融商品仲介業者が、この法律の定めるところに従つて有価証券の売買若しくは市場デリバティブ取引（取引所金融商品市場によらないで行われるものを除く。）又はこれらの取引の媒介、取次ぎ若しくは代理を行う場合には、適用しない。 - 日本法令外国語訳データベースシステム
  • Article 87-3 (1) A Financial Instruments Exchange shall not hold as its Subsidiary Company a company other than a company which carries out establishment of a Financial Instruments Exchange Market and other businesses incidental thereto; provided, however, that in cases where an authorization from the Prime Minister has been obtained, it may hold as its Subsidiary Company a company which conducts a business related to the establishment of Financial Instruments Exchange Markets.
    第八十七条の三　金融商品取引所は、取引所金融商品市場の開設及びこれに附帯する業務を行う会社以外の会社を子会社としてはならない。ただし、内閣総理大臣の認可を受けた場合は、取引所金融商品市場の開設に関連する業務を行う会社を子会社とすることができる。 - 日本法令外国語訳データベースシステム
  • Article 100-5 (1) The document proving the grounds for the dissolution, and when the president or the board member representing the Financial Instruments Membership Corporation is not the liquidator, a document proving that the liquidator is the one representing the Financial Instruments Membership Corporation shall be attached to the application for registration of dissolution of a Financial Instruments Membership Corporation.
    第百条の五　金融商品会員制法人の解散の登記の申請書には、解散の事由を証する書面及び理事長又は金融商品会員制法人を代表する理事が清算人でない場合においては、金融商品会員制法人を代表する清算人であることを証する書面を添付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
  • (v) the number of shares of the Stock Company-Type Financial Instruments Exchange after Entity Conversion which the members of the Membership-Type Financial Instruments Exchange implementing Entity Conversion shall acquire upon Entity Conversion (in cases where the Stock Company-Type Financial Instruments Exchange after Entity Conversion is a company with class shares, the classes of shares and the number of shares for each class) or the method of calculating such number;
    五　組織変更をする会員金融商品取引所の会員が組織変更に際して取得する組織変更後株式会社金融商品取引所の株式の数（組織変更後株式会社金融商品取引所が種類株式発行会社である場合にあつては、株式の種類及び種類ごとの数）又はその数の算定方法 - 日本法令外国語訳データベースシステム
  • (2) A member and a creditor of a Membership-Type Financial Instruments Exchange implementing Entity Conversion may make the following requests to the Membership-Type Financial Instruments Exchange at any time during the business hours; provided, however, that in order to make the request listed in item (ii) or (iv), such person shall pay the cost determined by the Membership-Type Financial Instruments Exchange:
    ２　組織変更をする会員金融商品取引所の会員及び債権者は、当該会員金融商品取引所に対して、その事業時間内は、いつでも、次に掲げる請求をすることができる。ただし、第二号又は第四号に掲げる請求をするには、当該会員金融商品取引所の定めた費用を支払わなければならない。 - 日本法令外国語訳データベースシステム
  • Article 126 (1) When a Financial Instruments Exchange intends to delist the Securities listed for the purpose of sales and purchase or the Financial Instruments, etc. listed for the purpose of Market Transactions of Derivatives, it shall notify to that effect to the Prime Minister, for each Financial Instruments Exchange Market subject to said delisting.
    第百二十六条　金融商品取引所は、売買のため上場した有価証券又は市場デリバティブ取引のため上場した金融商品等の上場を廃止しようとするときは、その上場を廃止しようとする取引所金融商品市場ごとに、その旨を内閣総理大臣に届け出なければならない。 - 日本法令外国語訳データベースシステム
  • (2) A person who intends to obtain the authorization under the preceding paragraph shall submit to the Prime Minister a written application for authorization of merger containing the following matters with regard to the Financial Instruments Exchange surviving the merger or the Financial Instruments Exchange established by the merger (hereinafter collectively referred to as the "Financial Instruments Exchange Resulting from a Merger" in this Division):
    ２　前項の認可を受けようとする者は、合併後存続する金融商品取引所又は合併により設立する金融商品取引所（以下この目において「合併後金融商品取引所」と総称する。）について、次に掲げる事項を記載した合併認可申請書を内閣総理大臣に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 150 (1) When the Prime Minister discovers that a person has become an Officer of a Financial Instruments Exchange by wrongful means, or when an Officer of a Financial Instruments Exchange has violated laws and regulations, its articles of incorporation, or a disposition given by government agencies based on laws and regulations, he/she may order the Financial Instruments Exchange to dismiss the Officer.
    第百五十条　内閣総理大臣は、不正の手段により金融商品取引所の役員となつた者のあることを発見したとき、又は金融商品取引所の役員が法令、定款若しくは法令に基づく行政官庁の処分に違反したときは、当該金融商品取引所に対し、当該役員の解任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
  • Article 156-10 A Financial Instruments Clearing Organization shall stipulate in its business rules that when a loss has been incurred due to Financial Instruments Obligation Assumption Service, a Clearing Participant shall bear all of said loss, and/or take other measures for securing the appropriate provision of Financial Instruments Obligation Assumption Service.
    第百五十六条の十　金融商品取引清算機関は、金融商品債務引受業により損失が生じた場合に清算参加者が当該損失の全部を負担する旨を業務方法書において定めることその他の金融商品債務引受業の適切な遂行を確保するための措置を講じなければならない。 - 日本法令外国語訳データベースシステム
  • ii) Shares of over-the-counter managed issues (meaning shares which have been delisted from a financial instruments exchange prescribed in Article 2, paragraph (16) of the Financial Instruments and Exchange Act or whose registration as issues registered for over-the-counter trading prescribed in the preceding item has been canceled, and which have been designated by an authorized financial instruments firms association in accordance with the rules it has defined
    二　店頭管理銘柄株式（金融商品取引法第二条第十六項に規定する金融商品取引所への上場が廃止され、又は前号に規定する店頭売買登録銘柄としての登録が取り消された株式のうち、認可金融商品取引業協会が、その定める規則に従い指定したものをいう。） - 日本法令外国語訳データベースシステム
  • (iv) A person who has failed to deliver the document under Article 37-4, paragraph (1) of the Financial Instruments and Exchange Act as Applied Mutatis Mutandis or has delivered a document with false statements therein, or a person who has provided false matters by the method prescribed in Article 34-2, paragraph (4) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 37-4, paragraph (2) of the Financial Instruments and Exchange Act as Applied Mutatis Mutandis.
    四　準用金融商品取引法第三十七条の四第一項の規定による書面を交付せず、若しくは虚偽の記載をした書面を交付した者又は同条第二項において準用する金融商品取引法第三十四条の二第四項に規定する方法により虚偽の事項の提供をした者 - 日本法令外国語訳データベースシステム
  • In order to ensure the development of the Japanese financial market as well as the economy, it is necessary to provide financial instruments and services in an appropriate manner in a fair and transparent securities market, and the confidence of users in Financial Instruments Business Operators is one of the important elements thereof.
    我が国金融・経済の発展のためには、公正、透明で効率的な市場の下で、金融商品・サービスが適切な方法で提供される必要があり、金融商品取引業者に対する利用者の信頼は、そのための最も重要な要素の一つである。 - 金融庁
  • Supervisors shall notify the following points to a registered financial institution which does not have a plan at the time of the application to join any Financial Instruments Firms’ Association or to obtain membership in or trade participant rights at any financial instruments exchange and require them to take appropriate actions.
    登録申請時において金融商品取引業協会に加入する予定がなく、又は金融商品取引所の会員若しくは取引参加者となる予定のない登録金融機関に対しては、以下の事項を通知し、適切な対応を求めることとする。 - 金融庁
  • Article 151 When the Prime Minister finds it necessary and appropriate for the public interest or protection of investors, he/she may order a Financial Instruments Exchange, its Subsidiary Company, an Issuer of Securities listed in said Financial Instruments Exchange or a person who received entrustment of business from said Financial Instruments Exchange to submit reports or materials that will be helpful for understanding the business or property of said Financial Instruments Exchange or said Subsidiary Company, or have the officials inspect the status of the business or property, or the book and documents or other articles of said Financial Instruments Exchange, Subsidiary Company or the person who received entrustment of business from said Financial Instruments Exchange (with regard to said Subsidiary Company or the person who received entrustment of business from said Financial Instruments Exchange, the inspection shall be limited to what is necessary to understand the business or property of said Financial Instruments Exchange).
    第百五十一条　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、金融商品取引所、その子会社、当該金融商品取引所に上場されている有価証券の発行者又は当該金融商品取引所から業務の委託を受けた者に対し当該金融商品取引所若しくは当該子会社の業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ、又は当該職員に当該金融商品取引所、当該子会社若しくは当該金融商品取引所から業務の委託を受けた者の業務若しくは財産の状況若しくは帳簿書類その他の物件の検査（当該子会社又は当該金融商品取引所から業務の委託を受けた者にあつては、当該金融商品取引所の業務又は財産に関し必要な検査に限る。）を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
  • (vi) when the majority of Voting Rights Held by All the Shareholders, etc. of a Financial Instruments Business Operator (limited to those engaged in Type I Financial Instruments Business or Investment Management Business) have come to be held by another juridical person or other organizations;
    六　金融商品取引業者（第一種金融商品取引業又は投資運用業を行う者に限る。）の総株主等の議決権の過半数が他の一の法人その他の団体によつて保有されることとなつたとき。 - 日本法令外国語訳データベースシステム
  • (ii) to conduct investigations, to provide guidance and recommendation and to conduct other activities necessary for ensuring appropriateness in contracts and asset investment and for otherwise protecting investors with regard to Financial Instruments Business conducted by its members and Financial Instruments Intermediary Service Providers;
    二　会員及び金融商品仲介業者の行う金融商品取引業に関し、契約の内容の適正化、資産運用の適正化、その他投資者の保護を図るため必要な調査、指導、勧告その他の業務 - 日本法令外国語訳データベースシステム
  • (2) A Financial Instruments Business Operator which has withdrawn from a Fund under the provisions of the preceding paragraph shall be deemed, for the purpose of application of Articles 79-52 to 79-61, to be a Financial Instruments Business Operator which is a member of said Fund.
    ２　前項の規定により基金を脱退した者は、第七十九条の五十二から第七十九条の六十一までの規定の適用については、なお当該基金の会員である金融商品取引業者とみなす。 - 日本法令外国語訳データベースシステム
  • (6) A Prospective Member who has not completed the payment of the full amount of the contribution by the time of the establishment of a Financial Instruments Membership Corporation shall be deemed to have rescinded his/her application for membership at the time of the establishment of the Financial Instruments Membership Corporation.
    ６　加入予定者で、金融商品会員制法人の成立の時までに出資の全額を払い込まない者は、金融商品会員制法人の成立の時に加入の申込みを取り消したものとみなす。 - 日本法令外国語訳データベースシステム
  • (2) A Self-Regulating Committee shall determine the matters concerning the Self-Regulation Related Services of a Stock Company-Type Financial Instruments Exchange which establishes said Self-Regulating Committee (hereinafter referred to as a "Specified Stock Company-Type Financial Instruments Exchange" in this Division).
    ２　自主規制委員会は、当該自主規制委員会を設置する株式会社金融商品取引所（以下この目において「特定株式会社金融商品取引所」という。）の自主規制業務に関する事項の決定を行う。 - 日本法令外国語訳データベースシステム
  • (i) exercising of the Subject Voting Rights by the applicant for authorization is not likely to impair sound and appropriate operation of the business of the Stock Company-Type Financial Instruments Exchange which is a Subsidiary Company of a Financial Instruments Exchange Holding Company; and
    一　認可申請者がその対象議決権を行使することにより、金融商品取引所持株会社の子会社である株式会社金融商品取引所の業務の健全かつ適切な運営を損なうおそれがないこと。 - 日本法令外国語訳データベースシステム
  • Article 106-23 (1) A Financial Instruments Exchange Holding Company shall not conduct any business other than business administration of the Stock Company-Type Financial Instruments Exchange which is its Subsidiary Company and other businesses incidental thereto.
    第百六条の二十三　金融商品取引所持株会社は、子会社である株式会社金融商品取引所の経営管理を行うこと及びこれに附帯する業務のほか、他の業務を行うことができない。 - 日本法令外国語訳データベースシステム
  • Article 139-12 (1) A creditor of a Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger may make an objection with regard to the Absorption-Type Merger against the Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger.
    第百三十九条の十二　吸収合併存続株式会社金融商品取引所の債権者は、吸収合併存続株式会社金融商品取引所に対し、吸収合併について異議を述べることができる。 - 日本法令外国語訳データベースシステム
  • (vi) where the person conducts business other than Financial Instruments Obligation Assumption Service, service set forth in Article 156-6(1) (hereinafter referred to as the "Financial Instruments Obligation Assumption Service, etc.") and business incidental thereto, the contents of the business.
    六　金融商品債務引受業及び第百五十六条の六第一項の業務（以下「金融商品債務引受業等」という。）並びにこれらに附帯する業務以外の業務を行うときは、その業務の内容 - 日本法令外国語訳データベースシステム
  • (ii) to spread a rumor to the effect that prices of Listed Financial Instruments, etc. in a Financial Instruments Exchange Market or prices of Over-the-Counter Traded Securities in an Over-the-Counter Securities Market would fluctuate by his/her own or other party's market manipulation: or
    二　取引所金融商品市場における上場金融商品等又は店頭売買有価証券市場における店頭売買有価証券の相場が自己又は他人の操作によつて変動するべき旨を流布すること。 - 日本法令外国語訳データベースシステム
  • (iv) A person who has violated the provisions of Article 39(1) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 13-4 or Article 52-45-2 (hereinafter referred to as the "Financial Instruments and Exchange Act as Applied Mutatis Mutandis");
    四　第十三条の四又は第五十二条の四十五の二において準用する金融商品取引法（以下「準用金融商品取引法」という。）第三十九条第一項の規定に違反した者 - 日本法令外国語訳データベースシステム
  • As secure and stable operation of computer systems is the overriding prerequisite for ensuring public confidence in the market for financial instruments and in Financial Instruments Business Operators, it is extremely important to enhance the control environment for managing information technology risk.
    システムが安全かつ安定的に稼動することは、金融商品市場及び金融商品取引業者に対する信頼を確保するための大前提であり、システムリスク管理態勢の充実強化は極めて重要である。 - 金融庁
  • Supervisors shall notify the following matters to a business operator that does not plan, at the time of the application, to join any Financial Instruments Firms’ Association or to obtain membership in or trade participant rights at any financial instruments exchange, and request them to take appropriate actions.
    金融商品取引業協会に加入する予定がなく、又は金融商品取引所の会員若しくは取引参加者となる予定のない業者に対しては、以下の事項を通知し、適切な対応を求めることとする。 - 金融庁
  • (9) No Financial Instruments Business Operator (meaning a Financial Instruments Business Operator as prescribed in Article 2(9) of the Financial Instruments and Exchange Act, and including a person who is deemed to be a Financial Instruments Business Operator pursuant to the provisions of Article 65-5(2) of that Act) or a Registered Financial Institution (meaning a Registered Financial Institution as prescribed in Article 2(11) of that Act, and including a person who is deemed to be a Registered Financial Institution pursuant to the provisions of Article 2(4) of the Act on Provision, etc. of Trust Business by Financial Institutions) shall sell a beneficial interest in a trust under paragraph (1) to a person who does not belong to the same Company Group as the trustee, nor shall act as an agent or an intermediary in such selling.
    ９　金融商品取引業者（金融商品取引法第二条第九項に規定する金融商品取引業者をいい、同法第六十五条の五第二項の規定により金融商品取引業者とみなされる者を含む。）又は登録金融機関（同法第二条第十一項に規定する登録金融機関をいい、金融機関の信託業務の兼営等に関する法律第二条第四項の規定により登録金融機関とみなされる者を含む。）は、第一項の信託の受益権について、受託者と同一の会社集団に属さない者に対する販売並びにその代理及び媒介をしてはならない。 - 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:
    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
  • (v) transactions wherein one of the parties pays money, and the other party, as the consideration therefor, promises to pay money in cases where a cause agreed by the parties in advance and listed in the following items occurs (including those wherein one of the parties promises to transfer Financial Instruments, a right pertaining to Financial Instruments or monetary claim (excluding claims that are Financial Instruments or rights pertaining to Financial Instruments), but excluding those listed in the preceding three paragraphs); or
    五　当事者の一方が金銭を支払い、これに対して当事者があらかじめ定めた次に掲げるいずれかの事由が発生した場合において相手方が金銭を支払うことを約する取引（当該事由が発生した場合において、当事者の一方が金融商品、金融商品に係る権利又は金銭債権（金融商品であるもの及び金融商品に係る権利であるものを除く。）を移転することを約するものを含み、前三号に掲げるものを除く。） - 日本法令外国語訳データベースシステム
＜前へ 1 2 .... 10 11 12 13 14 15 16 17 18 .... 55 56 次へ＞

例文データの著作権について