「Financial Instruments」を含む例文一覧(2779)

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  • Article 149 (1) When a Financial Instruments Exchange intends to amend its articles of incorporation, operational rules or brokerage contract rules, it shall obtain authorization from the Prime Minister.
    第百四十九条　金融商品取引所は、定款、業務規程又は受託契約準則を変更しようとするときは、内閣総理大臣の認可を受けなければならない。 - 日本法令外国語訳データベースシステム
  • (iii) the Operational Regulations of the Applicant for authorization are sufficient for achieving the fair and smooth Foreign Market Transactions conducted by a Participants of Foreign Financial Instruments Exchange and for the protection of investors.
    三　認可申請者の業務規則が外国金融商品取引所参加者が行う外国市場取引を公正かつ円滑にし、及び投資者を保護するために十分であること。 - 日本法令外国語訳データベースシステム
  • (iii) in light of personnel structure, the Applicant has sufficient knowledge and experience for conducting Financial Instruments Obligation Assumption Service appropriately and certainly and has sufficient social credibility.
    三　その人的構成に照らして、金融商品債務引受業を適正かつ確実に遂行することができる知識及び経験を有し、かつ、十分な社会的信用を有すること。 - 日本法令外国語訳データベースシステム
  • Article 156-12 When a Financial Instruments Clearing Organization intends to amend the articles of incorporation or business rules, it shall obtain authorization from the Prime Minister.
    第百五十六条の十二　金融商品取引清算機関は、定款又は業務方法書を変更しようとするときは、内閣総理大臣の認可を受けなければならない。 - 日本法令外国語訳データベースシステム
  • Article 156-30 (1) A representative director or a representative executive officer of a Securities Finance Company shall be persons other than Officers and employees of a Financial Instruments Business Operator.
    第百五十六条の三十　証券金融会社の代表取締役又は代表執行役は、金融商品取引業者の役員及び使用人以外の者でなければならない。 - 日本法令外国語訳データベースシステム
  • (xxiii) when having distributed properties of a Financial Instruments Membership Corporation, in violation of Article 664 of the Companies Act as applied mutatis mutandis pursuant to Article 100-17(1);
    二十三　第百条の十七第一項において準用する会社法第六百六十四条の規定に違反して金融商品会員制法人の財産を分配したとき。 - 日本法令外国語訳データベースシステム
  • (i) Where such solicitation is made only to Qualified Institutional Investors (meaning Qualified Institutional Investors as prescribed in Article 2, paragraph (3), item (i) of the Financial Instruments and Exchange Act) as specified by a Cabinet Order; or
    一　適格機関投資家（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をいう。）のみを相手方として行う場合で政令で定める場合 - 日本法令外国語訳データベースシステム
  • (iii) In cases where a Settlor Company of an Investment Trust has been dissolved as a result of consolidation, when the juridical person established as a result of consolidation has become a Financial Instruments Business Operator after said establishment without delay; or
    三　投資信託委託会社が合併により解散した場合において、当該合併により設立した法人が設立後遅滞なく、金融商品取引業者となつたとき。 - 日本法令外国語訳データベースシステム
  • (iii) In addition to what is listed in the preceding two items, a Financial Instruments Business Operator specified by a Cabinet Office Ordinance as having a relationship with the supervisory officers of the Registered Investment Corporation as an interested party.
    三　前二号に掲げるもののほか、当該登録投資法人の監督役員と利害関係を有する金融商品取引業者として内閣府令で定めるもの - 日本法令外国語訳データベースシステム
  • TELEMATIC SYSTEM FOR GENERATION OF ATTENTION SIGNAL AND FOR SECONDARY/SIMPLE TRANSMISSION OF TRANSACTION ORDER FOR PURCHASE AND SALES OF FINANCIAL INSTRUMENTS FROM REMOTE STATIONARY OR MOBILE INFORMATIVE-OPERABLE TERMINAL
    アテンション信号の生成用並びに金融商品を購入及び販売するための取引オーダーをリモート固定又は移動報知操作端末から二次的／簡略送信するためのテレマティークシステム - 特許庁
  • (iv) the matters specified by the Authorized Financial Instruments Firms Association as the matters necessary for identifying the relevant Foreign Securities With No Restrictions on Transfer (excluding the matters set forth in the preceding three items).
    四　当該譲渡制限のない海外発行証券を識別するために必要な事項として認可金融商品取引業協会が定める事項（前三号に掲げる事項を除く。） - 日本法令外国語訳データベースシステム
  • (iii) the matters specified by the Authorized Financial Instruments Firms Association as the matters necessary for identifying the relevant Foreign Securities With No Restriction on Transfer (excluding the matters set forth in the preceding two items).
    三　当該譲渡制限のない海外発行証券を識別するために必要な事項として認可金融商品取引業協会が定める事項（前二号に規定する事項を除く。） - 日本法令外国語訳データベースシステム
  • (ii) the Parent Company, etc. (meaning a Parent Company, etc. as defined in Article 15-16, paragraph (3) of the Cabinet Order; the same shall apply in the following item and the following paragraph) of the Financial Instruments Specialist referred to in item (ii) of the preceding paragraph;
    二　前項第二号の金融商品取引業者の親会社等（令第十五条の十六第三項に規定する親会社等をいう。次号及び次項において同じ。） - 日本法令外国語訳データベースシステム
  • 3) The FSA will encourage efforts to ensure market confidence, by enhancing the disclosure of information on risks to which financial instruments are exposed, in consideration of international best practices.
    ③ 国際的なベストプラクティスも踏まえ、保有する金融商品等に関するリスク情報の開示の充実を通じて、市場からの信任を確保するための取組みを促していく。 - 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.
    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
  • Approval of the compilation, change or abolition of internal rules by Financial Instruments Business Operators, etc., who have not joined an association under Article 56-4(3) and (4) of the FIEA
    金商法第56条の４第３項及び第４項の規定による協会等未加入金融商品取引業者等に係る社内規則の作成又は変更若しくは廃止の承認 - 金融庁
  • Whether the Financial Instruments Business Operator, etc., has acted in a malicious way, such as by continuing to sell similar products despite receiving numerous complaints from users.
    例えば、利用者から多数の苦情を受けているのにもかかわらず、引き続き同様の商品を販売し続けるなど、金融商品取引業者等の行為が悪質であったか。 - 金融庁
  • Naturally, the representative director, as the director empowered to represent the Financial Instruments Business Operator, bears the greatest responsibility for the management thereof.
    代表取締役が、金融商品取引業者を代表する権限を付与された取締役として、金融商品取引業者の経営の最高責任を担うことは言うまでもない。 - 金融庁
  • In light of the importance of internal audits, it is necessary to examine whether the function of internal audits is working effectively at Financial Instruments Business Operators, by paying attention to the following points, for example.
    このような重要性に鑑み、金融商品取引業者の内部監査が有効に機能しているかどうかを、例えば以下の点に留意して検証することとする。 - 金融庁
  • Other acts which could undermine the soundness and appropriateness of a Financial Instruments Business Operator’s business operations and which are similar to the acts described in (a) and (b).
    (c) その他金融商品取引業者の業務の健全かつ適切な運営に支障を来す行為又はそのおそれのある行為であって、上記(a)又は(b)に掲げる行為に準ずるもの。 - 金融庁
  • Whether the Financial Instruments Business Operator avoids soliciting customers to sign up for products and transactions that impose an undue burden on customers or lack economic rationality, or whether it makes sure to provide sufficient explanations regarding matters important for customers making investment decisions.
    チ．その他、顧客に不当な負担となる、あるいは経済合理性に欠ける商品や取引の勧誘、又は投資判断上の重要な事項の説明不足はないか。 - 金融庁
  • B. Whether the Financial Instruments Business Operator has implemented appropriate measures when displaying credit card information, etc. on computer monitors, such as not displaying whole credit card numbers, unless needed for business operations.
    ロ．業務上必要とする場合を除き、クレジットカード情報等をコンピューター画面に表示する際には、カード番号を全て表示させない等の適切な措置を講じているか。 - 金融庁
  • C. Whether the Financial Instruments Business Operator has developed a control environment wherein it promptly settles any outstanding cases and prevents the occurrence of any long-term outstanding cases by conducting progress management aimed at the resolution of complaints, etc.
    ハ．苦情等の解決に向けた進捗管理を適切に行い、長期未済案件の発生を防止するとともに、未済案件の速やかな解消を行う態勢を整備しているか。 - 金融庁
  • Also, whether the Financial Instruments Business Operator has developed a control environment wherein it extensively publicizes these contact points and ways of making applications, and wherein it makes them well known to customers in a way that is easy for them to understand and which also takes into account their diversity.
    また、これら受付窓口、申出の方式等について広く公開するとともに、顧客の多様性に配慮しつつ分かりやすく周知する態勢を整備しているか。 - 金融庁
  • a. Whether the Financial Instruments Business Operator has developed a control environment wherein, in cases where it receives a request from a designated ADR body for compliance with procedures, submission of materials or the like, it responds to the request promptly, unless there is justifiable reason not to.
    ａ．指定ＡＤＲ機関から手続応諾・資料提出等の求めがあった場合、正当な理由がない限り、速やかにこれに応じる態勢を整備しているか。 - 金融庁
  • a. Whether the Financial Instruments Business Operator has developed a control environment wherein, in cases where it is presented with a recommendation to accept a reconciliation plan or with a special conciliation proposal from a dispute resolution committee member, it makes prompt decisions on whether to accept or not.
    ａ．紛争解決委員から和解案の受諾勧告又は特別調停案の提示がされた場合、速やかに受諾の可否を判断する態勢を整備しているか。 - 金融庁
  • a. Whether the Financial Instruments Business Operator has developed a control environment wherein it improves the skills of those employees engaged in processing complaints, such as periodically conducting training run by consumer counselors and the like.
    ａ．定期的に消費生活専門相談員等による研修を実施する等、苦情処理に従事する従業員のスキルを向上させる態勢を整備しているか。 - 金融庁
  • d. Whether the Financial Instruments Business Operator has developed a control environment wherein, in cases where it has accepted a proposed solution, the division in charge takes prompt action, and the audit division conducts a follow-up examination on matters including the progress of its fulfillment.
    ｄ．解決案を受諾した場合、担当部署において速やかに対応するとともに、その履行状況等を監査部門等が事後検証する態勢を整備しているか。 - 金融庁
  • (Note) Accumulating data regarding matters that may lead to “suspicious transactions” and establishing formal criteria for such transactions may serve as an effective means for Financial Instruments Business Operators to make judgment on whether a certain transaction constitutes a case of suspicious transaction.
    （注）金融商品取引業者において、「疑わしい取引」の端緒となる情報の蓄積や形式的な基準を設けることも有用な手段として考えられる - 金融庁
  • Financial instruments business operators need to strive to ensure their reliability and creditworthiness by properly developing an internal control environment regarding administrative risk and maintaining the soundness and appropriateness of their business operations.
    金融商品取引業者は、事務リスクに係る内部管理態勢を適切に整備し、業務の健全かつ適切な運営により、信頼性の確保に努める必要がある。 - 金融庁
  • F. Whether the Financial Instruments Business Operator has established a system for properly handling complaints and inquiries regarding outsourced business operations by, for example, opening a contact point through which customers can directly consult the business operator.
    ヘ．委託事務に係る苦情等について、顧客から金融商品取引業者への直接の連絡窓口を設けるなど適切な苦情相談体制が整備されているか。 - 金融庁
  • In examining a Financial Instruments Business Operator’s control environment for banning any relations with anti-social forces, supervisors shall pay attention to the following points, for example, while also giving consideration to the characteristics of specific transactions.
    反社会的勢力との関係を遮断するための態勢整備の検証については、個々の取引状況等を考慮しつつ、例えば以下のような点に留意することとする。 - 金融庁
  • (vii) Items to be listed in the books and documents may be entered using codes, brevity codes or any other symbols that have been standardized by the said Financial Instruments Business Operator.
    ⑦ 帳簿書類の記載事項については、当該金融商品取引業者において統一した取扱いをしているコード又は略号その他の記号により記載することができる。 - 金融庁
  • (i) Whether the Financial Instruments Business Operator properly identifies the market risk equivalent based on the appraisal values of all securities that it holds (the appraisal values verified for objectivity at the end of each month).
    ① すべての保有する有価証券等の評価額（月末にあっては、客観性の検証を行った評価額）に基づき、市場リスク相当額を適切に把握しているか。 - 金融庁
  • Counterparty risk is the risk of a Financial Instruments Business Operator incurring losses due to a failure by the counterparties to its transactions to fulfill their contractual obligations.
    取引先リスクとは、取引先に対する債権の保有に伴うリスクをいい、取引先が義務を履行しないことなどにより、金融商品取引業者が損失を被るリスクである。 - 金融庁
  • With due consideration of the above viewpoints, supervisors shall encourage an appropriate exercise of the market intermediary function of securities companies, etc., in cooperation with relevant organizations, including Financial Instruments Firms’ Associations.
    上記の着眼点を踏まえ、金融商品取引業協会を含む関係機関との連携の下、証券会社等の市場仲介機能等の適切な発揮を促していくこととする。 - 金融庁
  • A. Top managers must be sufficiently qualified to conduct financial instruments business in a fair and appropriate manner, in terms of their backgrounds and capabilities.
    イ．経営者が、その経歴及び能力等に照らして、金融商品取引業者としての業務を公正かつ的確に遂行することができる十分な資質を有していること。 - 金融庁
  • D. The Financial Instruments Business Operator must be staffed and organized so that managers in charge of internal control are appropriately allocated, and personnel necessary for conducting business in an appropriate manner are allocated to individual divisions.
    ニ．行おうとする業務の適確な遂行に必要な人員が各部門に配置され、内部管理等の責任者が適正に配置される組織体制、人員構成にあること。 - 金融庁
  • Whether the Financial Instruments Business Operator agrees in principle to over-the-counter buyback of gold bullion (including gold bullion in custody) that it has sold to customers, upon their request.
    自社が販売した金地金（保護預り証による場合を含む。）については、顧客から買取り請求があった場合には、原則として店頭においてこれを買い取ることとしているか。 - 金融庁
  • B. The Financial Instruments Business Operator may re-deposit the said securities in its own name in securities finance companies, banks or trust companies, instead of managing the said securities itself.
    ロ．当該有価証券を自ら管理することに代えて、金融商品取引業者名義をもって証券金融会社、銀行又は信託会社に再寄託することができること。 - 金融庁
  • In this case, the Financial Instruments Business Operator may re-deposit the said securities in its own name in securities finance companies, banks or trust companies instead of storing them themselves.
    なお、当該有価証券を自ら保管することに代えて、金融商品取引業者名義をもって、証券金融会社、銀行又は信託銀行に再寄託できるものとする。 - 金融庁
  • The upshot is that financial instruments business groups with international operations need to ensure that compensation structures do not lead to officers and employees taking excessive risks while also giving consideration to these international trends.
    指定親会社グループにおいては、こうした国際的動向も考慮しつつ、報酬体系が役職員の過度なリスクテイクを引き起こさないよう確保していくことが必要である。 - 金融庁
  • (iii) In cases where the relevant business involves the signing of contracts with customers, whether the Financial Instruments Business Operator has prescribed specific procedures for the prevention of conflicts of interest, which is necessary for investor protection.
    ③ 顧客との契約締結等を伴う業務については、当該契約締結等に当たって投資者保護に必要な利益相反防止の方策等が具体的に整備されているか。 - 金融庁
  • A. Providing client companies with advice useful for initial public offerings, and introducing client companies with potential for initial public offerings to underwriting Financial Instruments Business Operators.
    イ．取引先企業に対し株式公開等に向けたアドバイスを行い、又は引受金融商品取引業者に対し株式公開等が可能な取引先企業を紹介する業務 - 金融庁
  • Furthermore, foreign securities companies may, with the permission of the authorities based on Article 60(1) of the FIEA, engage in trading at financial instruments exchanges in Japan.
    また、外国証券業者は、金商法第60条第１項に基づく当局の許可を受けて、国内の金融商品取引所における取引を業として行うことができる。 - 金融庁
  • B. Business style (e.g., whether the business involves physical contact with customers, is conducted through a computer system linked to a telecommunications network and, in the case of an applicant who is an individual person, whether the service provider employs persons engaging in financial instruments intermediary service)
    ロ．業務の形態（対面、電気通信回線に接続した電子計算機利用、申請者が個人である場合の金融商品仲介業務を行う使用人の有無等） - 金融庁
  • It is expected that the bill to amend the Financial Instruments and Exchange Act will be enacted today. What is your view concerning the challenges to be overcome in order to revitalize the Tokyo market in the future.
    金融商品取引法の改正案が本日成立する見通しですが、今後、東京市場の活性化への諸課題等について大臣のご所見をお願いします。 - 金融庁
  • The system includes a variety of servers, applications, and interfaces that enable users to interactively communicate and trade financial instruments among one another, and to manage their portfolios.
    上記システムは、ユーザが金融商品を相互に双方向通信および取引し、自身のポートフォリオを管理することを可能にする様々なサーバ、アプリケーションおよびインターフェースを含む。 - 特許庁
  • Regarding the case of AIJ Investment Advisors, the Financial Services Agency is considering measures to prevent a recurrence of cases like that. Meanwhile, I understand that the FSA is planning to submit a bill to amend the Financial Instruments and Exchange Act (FIEA) to the Diet in early March. Is it possible to include measures to prevent a recurrence in that bill?
    AIJ（投資顧問）に関して、再発防止策を金融庁で検討していますけれども、一方で、3月上旬には金商法改正案を国会に提出する予定だと思うのですが、そこに再発防止策は盛り込めるのでしょうか。 - 金融庁
  • Specifically, the main acts including the Banking Act, the Financial Instruments and Exchange Act and the Insurance Business Act will be translated in the first half of 2008 and other acts highly relevant to foreign financial firms and overseas investors will be translated into English by the end of March 2010.
    具体的には、銀行法・金融商品取引法・保険業法等の主要な法律については平成２０年前半までに、その他の外国金融機関や海外投資家に関連性が高い法令等については平成２１年度までに英訳を行う。 - 金融庁
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