「Financial Instruments」を含む例文一覧(2779)
＜前へ 1 2 .... 27 28 29 30 31 32 33 34 35 .... 55 56 次へ＞- (1) Under the Act for Amendment of the Financial Instruments and Exchange Act, the FSA reformed the firewall regulations and introduced a framework under which financial institutions are required to establish systems for managing conflicts of interest and make self-disciplinary efforts in light of their own circumstances (as already mentioned above).
（１） 金融商品取引法等の一部を改正する法律において、ファイアーウォール規制を見直すとともに、金融機関に対して利益相反管理体制の整備を求め、個々の状況に応じた自主的な規律付けを求める枠組みを導入。（再掲） - 金融庁 - This Standard and Practice Standard will be applicable to assessments and audits of internal controls over financial reporting for the fiscal year beginning on or after April 1, 2008, concurrently with the implementation of Internal Control Report System introduced by the Financial Instruments and Exchange Law.
本基準及び実施基準は、金融商品取引法により導入される内部統制報告制度の適用時期と合わせ、平成２０年４月１日以後開始する事業年度における財務報告に係る内部統制の評価及び監査から適用する。 - 金融庁 - The FSA believes that the draft blueprint is conducive to improving the stability and transparency of Japan’s markets and to ensuring investor protection through the implementation of measures for preventing the spread of financial crises in Japan and the regulation and supervision of financial instruments business operators and other market participants.
同骨子案は、我が国における危機の伝播を抑止するための措置の実施、金融商品取引業者等への適切な規制・監督を通じて、我が国市場の安定性・透明性の向上と投資家保護の確保に資するものと考えている。 - 金融庁 - To be more specific, supervisory departments should ensure daily communications with Financial Instruments Business Operators, etc., through periodic exchanges of opinions so as to grasp information not only concerning their financial conditions, but also various business management matters.
具体的には、金融商品取引業者等との定期的な意見交換等を通じて、金融商品取引業者等との日常的なコミュニケーションを確保し、財務情報のみならず、経営に関する様々な情報についても把握するよう努める必要がある。 - 金融庁 - In order to enhance customer protection and to improve customer confidence in financial products and services, it is important to ensure substantial equality between Financial Instruments Business Operators and customers, and to resolve any complaints, etc. in a neutral, fair and effective manner.
顧客保護の充実及び金融商品・サービスへの顧客の信頼性の向上を図るためには、金融商品取引業者と顧客との実質的な平等を確保し、中立・公正かつ実効的に苦情等の解決を図ることが重要である。 - 金融庁 - (vii) In cases where the financial institution is a non-affiliated registered institution, whether it has established internal rules that ensure appropriate business operations with due consideration of rules set by Financial Instruments Firms’ Associations according to the types of business it undertakes.
⑦ 金融商品取引業協会に加入しない金融機関にあっては、行おうとする業務の種類に応じ、金融商品取引業協会の定款及び規則を考慮し、適切な業務運営が行われるよう社内規則を整備しているか。 - 金融庁 - Non-affiliated registered financial institutions must establish internal rules that ensure appropriate business operations, with due consideration of rules set by Financial Instruments Firms’ Associations, according to the types of business they undertake.
金融商品取引業協会に加入していない登録金融機関については、行っている登録金融機関業務の種類に応じ、金融商品取引業協会の定款及び規則を考慮し、適切な業務運営が行われるよう社内規則を整備すること。 - 金融庁 - (i) transactions wherein the parties thereto promise to deliver or receive Financial Instruments (excluding those listed in Article 2(24)(v); hereinafter the same shall apply in this paragraph) or consideration for them at a fixed time in the future, and, when the resale or repurchase of the underlying Financial Instruments or other acts specified by a Cabinet Order is made, settlement thereof may be made by paying or receiving the differences;
一 売買の当事者が将来の一定の時期において金融商品（第二十四項第五号に掲げるものを除く。以下この項において同じ。）及びその対価の授受を約する売買であつて、当該売買の目的となつている金融商品の売戻し又は買戻しその他政令で定める行為をしたときは差金の授受によつて決済することができる取引 - 日本法令外国語訳データベースシステム - (f) a foreign juridical person for whom the Foreign Regulatory Agency (meaning a Foreign Financial Instruments Regulatory Authority defined in Article 189(1) and other regulatory agencies specified by a Cabinet Order that enforces laws and regulations of a foreign state) has not confirmed that a person equivalent to a Major Shareholder has no risk of causing hindrance to sound and appropriate operation of Financial Instruments Business.
ヘ 主要株主に準ずる者が金融商品取引業の健全かつ適切な運営に支障を及ぼすおそれがない者であることについて、外国の当局（第百八十九条第一項に規定する外国金融商品取引規制当局その他政令で定める外国の法令を執行する当局をいう。）による確認が行われていない外国法人 - 日本法令外国語訳データベースシステム - Article 37-3 (1) When a Financial Instruments Business Operator, etc. intends to conclude a Contract for Financial Instruments Transaction, he/she shall, pursuant to the provisions of a Cabinet Office Ordinance, deliver to the customer in advance a document containing the following matters; provided, however, that this shall not apply to cases where the protection of investors will not be hindered as specified by a Cabinet Office Ordinance:
第三十七条の三 金融商品取引業者等は、金融商品取引契約を締結しようとするときは、内閣府令で定めるところにより、あらかじめ、顧客に対し、次に掲げる事項を記載した書面を交付しなければならない。ただし、投資者の保護に支障を生ずることがない場合と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 - Article 38 A Financial Instruments Business Operator, etc. or Officers or employees thereof shall not conduct any of the following acts; provided, however, that in the case of the acts listed in items (iii) to (v) below, those specified by a Cabinet Officer Ordinance as acts that are not likely to result in insufficient protection of investors, harm the fairness of transactions or cause a loss of confidence in Financial Instruments Business shall be excluded:
第三十八条 金融商品取引業者等又はその役員若しくは使用人は、次に掲げる行為をしてはならない。ただし、第三号から第五号までに掲げる行為にあつては、投資者の保護に欠け、取引の公正を害し、又は金融商品取引業の信用を失墜させるおそれのないものとして内閣府令で定めるものを除く。 - 日本法令外国語訳データベースシステム - Article 42-2 A Financial Instruments Business Operator, etc., with regard to his/her Investment Management Business, shall not conduct any of the following acts; provided, however, that in the case of the acts listed in item (i) and (ii) below, those specified by a Cabinet Officer Ordinance as acts that are not likely to result in insufficient protection of investors, harm the fairness of transactions or cause a loss of confidence in Financial Instruments Business shall be excluded:
第四十二条の二 金融商品取引業者等は、その行う投資運用業に関して、次に掲げる行為をしてはならない。ただし、第一号及び第二号に掲げる行為にあつては、投資者の保護に欠け、若しくは取引の公正を害し、又は金融商品取引業の信用を失墜させるおそれのないものとして内閣府令で定めるものを除く。 - 日本法令外国語訳データベースシステム - (2) The provisions of Article 63(5) and (6) and paragraph (3) of the preceding Article shall be applied mutatis mutandis to a Financial Instruments Business Operator, etc. who made a notification under the provisions of the preceding paragraph. In this case, the term "a Specially Permitted Business Notifying Person" in these provisions shall be deemed to be replaced with "a Financial Instruments Business Operator, etc." and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
２ 第六十三条第五項及び第六項並びに前条第三項の規定は、前項の規定による届出を行つた金融商品取引業者等について準用する。この場合において、これらの規定中「特例業務届出者」とあるのは、「金融商品取引業者等」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。 - 日本法令外国語訳データベースシステム - (d) when conducting business other than Financial Instruments Intermediary Service, an act of soliciting by utilizing information on an Issuer of Securities learned during the course of said business (limited to undisclosed information on operation, business or properties of an Issuer of Securities which would affect customers in making their Investment Decisions related to Financial Instruments Intermediary Service); or
ニ 金融商品仲介業以外の業務を行う場合には当該業務により知り得た有価証券の発行者に関する情報（有価証券の発行者の運営、業務又は財産に関する公表されていない情報であつて金融商品仲介業に係る顧客の投資判断に影響を及ぼすものに限る。）を利用して勧誘する行為 - 日本法令外国語訳データベースシステム - (i) in cases where the member effects, outside of Financial Instruments Exchange Markets, sales and purchase of Listed Share Certificates, etc. on its own account, or where sales and purchase of Listed Share Certificates, etc. for which the member serves as the intermediary, introducing broker or agency is effected outside of Financial Instruments Exchange Markets: the kinds, issues, prices, or volumes, or other matters specified by a Cabinet Office Ordinance pertaining to the Listed Share Certificates, etc. for which the sales and purchase is effected; and
一 自己の計算において行う上場株券等の取引所金融商品市場外での売買又は媒介、取次ぎ若しくは代理を行う上場株券等の取引所金融商品市場外での売買が成立した場合 当該売買に係る上場株券等の種類、銘柄、価格、数量その他内閣府令で定める事項 - 日本法令外国語訳データベースシステム - Article 88-11 (1) A Financial Instruments Membership Corporation shall prepare its inventory of assets at the time of establishment and at any time between January and March every year, and shall keep it at its principal office at all times; provided, however, that in cases where a Financial Instruments Membership Corporation establishes any specific business year, it shall prepare the inventory of assets at the time of its establishment and at the end of its respective business year.
第八十八条の十一 金融商品会員制法人は、設立の時及び毎年一月から三月までの間に財産目録を作成し、常にこれをその主たる事務所に備え置かなければならない。ただし、特に事業年度を設けるものは、設立の時及び毎事業年度の終了の時に財産目録を作成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 - (2) When there is any share that has not been paid for after the registration of the establishment under Article 101-20(1), the president and board members of the Membership-Type Financial Instruments Exchange as of the time of the resolution of the general meeting prescribed in Article 101-2(1), and the directors of the Stock Company-Type Financial Instruments Exchange as of the Effective Date shall have the joint and several obligation to make payment therefor.
２ 第百一条の二十第一項の設立の登記後に払込みのない株式があるときは、第百一条の二第一項の総会の決議の当時の会員金融商品取引所の理事長及び理事並びに効力発生日の当時の株式会社金融商品取引所の取締役は、連帯して払込みを行う義務を負う。 - 日本法令外国語訳データベースシステム - (a) when the Shares, etc. are the shares of the Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger, the number of said shares (in the case of a company with class shares, the classes of shares and the number of shares for each class) or the method of calculating such number, and matters concerning the amount of the stated capital and reserve funds of the Stock Company-Type Financial Instruments Exchange Surviving an Absorption-Type Merger; and
イ 当該株式等が吸収合併存続株式会社金融商品取引所の株式であるときは、当該株式の数（種類株式発行会社にあつては、株式の種類及び種類ごとの数）又はその数の算定方法並びに当該吸収合併存続株式会社金融商品取引所の資本金及び準備金の額に関する事項 - 日本法令外国語訳データベースシステム - (3) No person shall conduct a series of Sales and Purchase of Securities, etc. or make offer, Entrustment, etc. or Accepting an Entrustment, etc. therefor in violation of a Cabinet Order for the purpose of pegging, fixing or stabilizing 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.
３ 何人も、政令で定めるところに違反して、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をくぎ付けし、固定し、又は安定させる目的をもつて、一連の有価証券売買等又はその申込み、委託等若しくは受託等をしてはならない。 - 日本法令外国語訳データベースシステム - xiii) Sales transactions, etc. of foreign means of payment, etc.: Meaning sales transactions of foreign means of payment, etc. (excluding those falling under over-the-counter transactions of derivatives or market transactions of derivatives, etc.) or transactions similar to market transactions of derivatives pertaining to a currency, which are conducted outside the financial instruments market and foreign financial instruments market (excluding those falling under sales transactions of foreign means of payment, etc.
十三 対外支払手段等の売買取引等 対外支払手段等の売買取引（店頭デリバティブ取引又は市場デリバティブ取引等に該当するものを除く。）又は金融商品市場及び外国金融商品市場以外で行う通貨に係る市場デリバティブ取引と類似の取引（対外支払手段等の売買取引に該当するものを除く。）をいう。 - 日本法令外国語訳データベースシステム - (ii) in relation to the Firms which provide Audit and Attestation Services to the issuers of securities which are listed on a financial instruments exchange in Japan, in addition to the information mentioned in (i) above, (a) information concerning Audit and Attestation Services for companies, etc. listed on a financial instruments exchange in Japan and (b) information concerning operation control system (including manuals regarding quality control system), as specifically set forth in Section VIII B.
② 我が国の金融商品取引所に上場されている有価証券の発行会社の監査証明業務に相当すると認められる業務を行う外国監査法人等：①の事項に加え「Ⅷ 報告徴収事項一覧 Ｂ．」に定める監査等に関する事項の概要及び品質管理のシステムに関連する規程を含む業務管理体制に関する事項 - 金融庁 - Of the processes delegated to the directors-general of Local Finance Bureaus under Article 42 of the Order for the Enforcement of the Financial Instruments and Exchange Act (hereinafter referred to as the “FIEA Enforcement Order”), the directors-general may re-delegate the following processes to the director-general of local Finance Offices that have jurisdiction over the regions where the head offices of the applicants and Financial Instruments Business Operators, etc., are located as well as to the heads of the Otaru and Kitami Branch Offices.
財務局長は、金融商品取引法施行令（以下「金商法施行令」という。）第42条の規定により財務局長に委任された事務のうち、次に掲げるものについては、申請者及び金融商品取引業者等の本店等の所在地を管轄する財務事務所長、小樽出張所長又は北見出張所長に再委任することができる。 - 金融庁 - (i) With regard to information concerning individual customers, in cases where a Financial Instruments Business Operator entrusts the security control, supervision of employees and handling of the said information to others in accordance with Article 123(1)(vi) of the FIB Cabinet Office Ordinance, whether the Financial Instruments Business Operator has implemented the following necessary and appropriate measures with regard to supervising the contractor in order to prevent such information from being leaked, lost or damaged.
個人である顧客に関する情報については、金商業等府令第 123条第１項第６号の規定に基づきその安全管理、従業者の監督及び当該情報の取扱いを委託する場合にはその委託先の監督について、当該情報の漏えい、滅失又は損の防止を図るために必要かつ適切な措置として以下の措置が講じられているか。 - 金融庁 - (i) Whether the employee concurrently holding office at the parent/subsidiary bank, etc., in effect, forces customers to sign contracts under which they make financial instruments transactions (hereinafter referred to as “financial instruments transaction contracts”) by implying that he/she will suspend transactions relating to loans or give unfavorable treatment to them unless they sign the contracts.
① 親子銀行等との兼職者が、顧客に対して、金融商品取引行為を行うことを内容とする契約（以下「金融商品取引契約」という。）の締結に応じない場合には、融資等にかかる取引を取りやめる旨又は当該取引に係る不利な取り扱いをする旨を示唆し、当該金融商品取引契約を締結することを事実上余儀なくさせていないか。 - 金融庁 - (2) When supervisors have received the original of a certificate of receipt submitted by a Financial Instruments Business Operator after it has submitted a request for substitute deposit/additional deposit in order to substitute redemption funds for deposited securities, they shall provide a certificate of custody in accordance with (5) below and return the original of the statement of deposit already in their custody to the Financial Instruments Business Operator.
（２）金融商品取引業者が既に供託している有価証券の償還金の代供託を行うため、供託所に代供託・付属供託請求書を提出した後、その受入証書正本を届け出てきた場合は、下記（５）に準じ保管証書を交付するとともに、既に受理保管していた原供託書正本を金融商品取引業者に返還する。 - 金融庁 - (i) Regarding an applicant service provider which undertakes service on behalf of two or more primary Financial Instruments Business Operators under Article 258(iii) of the FIB Cabinet Office Ordinance, supervisors shall check whether the following requirements are met in judging whether the names of the primary Financial Instruments Business Operators responsible for compensating for losses that may arise from problematic conduct are properly indicated.
①金商業等府令第258条第３号に規定する、所属金融商品取引業者等が２以上あるときに、登録申請者の事故につき、当該事故による損失の補てんを行う所属金融商品取引業者等の商号又は名称が適切に記載されているか否かの審査にあたっては、以下の事項が満たされていることを確認するものとする。 - 金融庁 - (6) With regard to the application of the provisions of the Act on Concurrent Operation of Trust Business by a Financial Institution, in cases where a Financial Institution Engaged in Trust Business invests the trust property of an Investment Trust Managed Without Instructions from the Settlor, the phrase "and the provisions Article 42-2 and Article 44-3, paragraph (2) (excluding item (ii)) of the Financial Instruments and Exchange Act (including penal provisions pertaining to these provisions) shall apply mutatis mutandis to business for investing the trust property of an Investment Trust Managed Without Instructions from the Settlor as prescribed in Article 2, paragraph (2) of the Act on Investment Trusts and Investment Corporations operated by a financial institution, respectively" shall be added after the term "(meaning the Specific Trust Agreement prescribed in Article 24-2 of the Trust Business Act)" in Article 2-2 of the Act on Concurrent Operation of Trust Business by a Financial Institution, the phrases "in these provisions," "Article 34 of the Financial Instruments and Exchange Act," and "in Article 39, paragraph (4) of the Financial Instruments and Exchange Act" in Article 2-2 of the Act on Concurrent Operation of Trust Business by a Financial Institution shall be deemed to be replaced with "in these provisions (excluding the provisions of Article 42-2 of the Financial Instruments and Exchange Act)," "Article 34 of the Trust Business Act" and "in Article 39, paragraph (4) and Article 42-2, item (vi) of the Financial Instruments and Exchange Act" respectively, and the phrase ", the term 'giving advice to conduct a transaction that is unnecessary in light of the transaction policy, the amount of the transaction, or the market conditions regarding the Investment Advisory Business, or the Investment Management Business that does so' in Article 44-3, paragraph (2), item (iii) of the Financial Instruments and Exchange Act shall be deemed to be replaced with 'or making an investment to conduct a transaction with regard to business for conducting investment of the trust property of an Investment Trust Managed Without Instructions from the Settlor' " shall be added after the phrase "a Financial Institution (meaning a Financial Institution as prescribed in Article 1, paragraph (1) of the Act on Concurrent Operation of Trust Business by a Financial Institution)" in Article 2-2 of the Act on Concurrent Operation of Trust Business by a Financial Institution.
６ 信託業務を営む金融機関が委託者非指図型投資信託の信託財産の運用を行う場合における金融機関の信託業務の兼営等に関する法律の規定の適用については、同法第二条の二中「、金融機関」とあるのは「金融機関」と、「準用する。」とあるのは「、金融商品取引法第四十二条の二及び第四十四条の三第二項（第二号を除く。）の規定（これらの規定に係る罰則を含む。）は金融機関が行う投資信託及び投資法人に関する法律第二条第二項に規定する委託者非指図型投資信託の信託財産の運用を行う業務について、それぞれ準用する。」と、「これらの規定中」とあるのは「これらの規定（金融商品取引法第四十二条の二の規定を除く。）中」と、「金融商品取引法第三十四条」とあるのは「同法第三十四条」と、「同条第四項中」とあるのは「同条第四項及び同法第四十二条の二第六号中」と、「「金融機関（金融機関の信託業務の兼営等に関する法律第一条第一項に規定する金融機関をいう。）の責めに帰すべき事故」」とあるのは「「金融機関（金融機関の信託業務の兼営等に関する法律第一条第一項に規定する金融機関をいう。）の責めに帰すべき事故」と、同法第四十四条の三第二項第三号中「投資助言業務に関して取引の方針、取引の額若しくは市場の状況に照らして不必要な取引を行うことを内容とした助言を行い、又はその行う投資運用業」とあるのは「委託者非指図型投資信託の信託財産の運用を行う業務」」とする。 - 日本法令外国語訳データベースシステム - (v) transactions wherein the parties mutually promise that, using the amount the parties have agreed to as the principal, one of the parties will pay the amount of money calculated based on the rate of change in the agreed period of the interest rate, etc. of the Financial Instruments (excluding those listed in Article 2(24)(iii)) or of a Financial Indicator agreed with the other party, and the other party will pay the amount of money calculated based on the rate of change in the agreed period of the interest rate, etc. of the Financial Instruments (excluding those listed in Article 2(24)(iii)) or of a Financial Indicator agreed with the former party (including transactions wherein the parties promise that, in addition to the payment of such amounts, they will also pay, deliver or receive the amount of money or financial instruments that amounts to the agreed principal), or any other similar transactions;
五 当事者が元本として定めた金額について当事者の一方が相手方と取り決めた金融商品（第二十四項第三号に掲げるものを除く。）の利率等若しくは金融指標の約定した期間における変化率に基づいて金銭を支払い、相手方が当事者の一方と取り決めた金融商品（同号に掲げるものを除く。）の利率等若しくは金融指標の約定した期間における変化率に基づいて金銭を支払うことを相互に約する取引（これらの金銭の支払とあわせて当該元本として定めた金額に相当する金銭又は金融商品を授受することを約するものを含む。）又はこれに類似する取引 - 日本法令外国語訳データベースシステム - (4) When Purchase, etc. of Share Certificates, etc. is made by means of Tender Offer as required by the main clause of paragraph (1), management of Share Certificates, etc., payment for the Purchase, etc. and other affairs specified by a Cabinet Order shall be performed by a Financial Instruments Business Operator (limited to those engaged in Type I Financial Instruments Business as defined in Article 28(1); the same shall apply in Article 27-12(3)) or a Bank, etc. (meaning a bank, Cooperative Structured Financial Institution or other financial institution specified by a Cabinet Order; the same shall apply in Article 27-12(3)).
４ 第一項本文に規定する公開買付けによる株券等の買付け等を行う場合には、株券等の管理、買付け等の代金の支払その他の政令で定める事務については、金融商品取引業者（第二十八条第一項に規定する第一種金融商品取引業を行う者に限る。第二十七条の十二第三項において同じ。）又は銀行等（銀行、協同組織金融機関その他政令で定める金融機関をいう。第二十七条の十二第三項において同じ。）に行わせなければならない。 - 日本法令外国語訳データベースシステム - (5) The term "Parent Bank, etc." as used in paragraph (1) means a person who falls under the categories of bank, Cooperative Structured Financial Institution or other financial institution specified by a Cabinet Order which also falls under the category of juridical person or other organization that satisfies the requirement that the juridical person or other organization holds the majority of the Voting Rights Held by All the Shareholders, etc. of the Financial Instruments Business Operator or other requirements specified by a Cabinet Order as those for being regarded as having close relationship with the Financial Instruments Business Operator (such juridical persons or other organizations are referred to as a "Parent Juridical Person, etc." in Article 33-3(2)(iii) and Article 44-3).
５ 第一項の「親銀行等」とは、金融商品取引業者の総株主等の議決権の過半数を保有していることその他の当該金融商品取引業者と密接な関係を有する法人その他の団体として政令で定める要件に該当する者（第三十三条の三第二項第三号及び第四十四条の三において「親法人等」という。）のうち、銀行、協同組織金融機関その他政令で定める金融機関に該当するものをいう。 - 日本法令外国語訳データベースシステム - (6) The term "Subsidiary Bank, etc." as used in paragraph (2) means a person who falls under the categories of a bank, Cooperative Structured Financial Institution or other financial institution specified by a Cabinet Order which also falls under the category of juridical person or other organization that satisfies the requirement that the Financial Instruments Business Operator holds the majority of Voting Rights Held by All the Shareholders, etc. of the juridical person or other organization, etc. or other requirements specified by a Cabinet Order as those for being regarded as having close relationship with the Financial Instruments Business Operator (such juridical persons or other organizations are referred to as a "Subsidiary Juridical Person, etc." in Article 33-3(2)(iii) and Article 44-3).
６ 第二項の「子銀行等」とは、金融商品取引業者が総株主等の議決権の過半数を保有していることその他の当該金融商品取引業者と密接な関係を有する法人その他の団体として政令で定める要件に該当する者（第三十三条の三第二項第三号及び第四十四条の三において「子法人等」という。）のうち、銀行、協同組織金融機関その他政令で定める金融機関に該当するものをいう。 - 日本法令外国語訳データベースシステム - (x) transactions listed in Article 2, paragraph (22), item (v) of the Act: the issues of the Financial Indicators or Financial Instruments pertaining to the calculation of the amount of money to be paid from one party to the other party and the method of the calculation of said amount of money, the issues of the Financial Indicators or Financial Instruments pertaining to the calculation of the amount of money to be received by one party from the other party and the method of the calculation of said amount of money, the term of the transaction or any other matters to properly indicate the contents of said transaction, the amount agreed upon by the parties as the principal, and the date of delivery;
十 法第二条第二十二項第五号に掲げる取引 当事者の一方が相手方に支払うこととなる金銭の額の計算に係る金融指標又は金融商品の銘柄及び当該金銭の額の計算方法並びに当事者の一方が相手方から受け取ることとなる金銭の額の計算に係る金融指標又は金融商品の銘柄及び当該金銭の額の計算方法、取引期間その他の当該取引の内容を適確に示すための事項、当事者が元本として定めた金額並びに受渡日 - 日本法令外国語訳データベースシステム - A. Regarding Article 123(1)(xxi) of the FIB Cabinet Office Ordinance, in cases where an over-the-counter financial futures business operator offers the price of a financial instruments, a financial index or an option concerning over-the-counter financial futures trading to a customer requesting the offer of the price indicated at the time of the transaction, the price offered by the business operator may be either the opening price, the intraday high, the intraday low or the closing price of the relevant transaction date.
イ．金商業等府令第123条第１項第21号に関し、店頭金融先物取引について、店頭金融先物取引業者が顧客の取引時に表示した金融商品、金融指標又はオプションの価格を、当該価格の提示を要求した当該顧客に提示する場合には、各取引日ごとの始値、高値、安値及び終値の提示によることができる。 - 金融庁 - Last autumn, we put into force the Financial Instruments and Exchange Act in order to enhance rules concerning the protection of customers and to promote financial innovation by introducing cross-sectoral and flexible regulation. We will continue to devote our sincere efforts to enforcing this Act properly while avoiding the situation in which financial institutions would respond excessively to the Act and constrain their activities to an extent exceeding its purpose.
昨秋、規制の横断化・柔軟化を通じて利用者保護ルールの整備と金融イノベーションの促進を図るべく、金融商品取引法を施行いたしましたが、引き続き、その適切な運用に努めるとともに、法律の趣旨を超えた過度の対応により実務が萎縮することのないよう、真摯に対応してまいります。 - 金融庁 - (2) The term "Parent Financial Institution, etc." as used in the preceding paragraph means a person who holds the majority of voting rights of all of a Bank Holding Company's shareholders and any other person specified by Cabinet Order as one with a close relationship to said Bank Holding Company, which is a Bank, Financial Instruments Specialist, Insurance Company, or any other person engaged in financial services specified by Cabinet Order.
２ 前項の「親金融機関等」とは、銀行持株会社の総株主の議決権の過半数を保有している者その他の当該銀行持株会社と密接な関係を有する者として政令で定める者のうち、銀行、金融商品取引業者、保険会社その他政令で定める金融業を行う者をいう。 - 日本法令外国語訳データベースシステム - While institutional reforms implemented since the financial “Big Bang” have brought about benefits, a series of incidents involving problematic conduct occurred, including placement of large-scale erroneous orders in the financial instruments market, system troubles at securities companies, etc., insider trading cases, illegal transactions by investors, such as those aimed at market manipulation, and inappropriate practices by issuer companies, such as including false representations in financial statements.
金融ビッグバン以降の制度改革の成果が現れる一方で、金融商品市場における大規模な誤発注や証券会社等のシステム障害、インサイダー取引、相場操縦などの投資者による不公正取引、有価証券報告書の虚偽記載等の発行体による不正行為が相次いで見られたこと踏まえ、 - 金融庁 - Article 124 (1) Notwithstanding the provision of Article 121, if a Financial Instruments Exchange intends to list on the Financial Instruments Exchange Market established by itself the Securities issued by any person listed in the following for the purpose of sales and purchase, or said Securities, the Financial Indicators pertaining thereto or the Options pertaining thereto for the purpose of Market Transactions of Derivatives, it shall obtain approval on such listing from the Prime Minister, on each occasion and for each Financial Instruments Exchange Market subject to said listing; provided, however, that this shall not apply to cases where such listing is made based on the order given under the provision of the following Article:
第百二十四条 第百二十一条の規定にかかわらず、金融商品取引所は、次に掲げる者が発行者である有価証券をその売買のため、又は当該有価証券、当該有価証券に係る金融指標若しくは当該有価証券に係るオプションを市場デリバティブ取引のためにその開設する取引所金融商品市場に上場しようとする場合には、その上場しようとする取引所金融商品市場ごとに、その都度、その上場について、内閣総理大臣の承認を受けなければならない。ただし、次条の規定による命令に基づき上場する場合は、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 - Article 155 (1) Notwithstanding the provisions of Article 29 and Article 80(1), an operator of a Foreign Financial Instruments Market may, with an authorization from the Prime Minster, have the persons listed in the following items conduct sales and purchase of Securities and Foreign Market Derivatives Transactions on the Foreign Financial Instruments Market (with regard to the person listed in item (ii), limited to the transactions related to the Registered Financial Institution Business) by connecting its electronic data processing system to the input/output device used by the persons listed in the following items (hereinafter referred to as the "Input/Output Device for Foreign Financial Instruments Exchange"):
第百五十五条 外国金融商品市場を開設する者は、第二十九条及び第八十条第一項の規定にかかわらず、内閣総理大臣の認可を受けて、その使用する電子情報処理組織と次に掲げる者の使用に係る入出力装置（以下「外国金融商品取引所入出力装置」という。）とを接続することにより、これらの者に外国金融商品取引所入出力装置を使用して外国金融商品市場における有価証券の売買及び外国市場デリバティブ取引（第二号に掲げる者にあつては登録金融機関業務に係る取引に限る。）を行わせることができる。 - 日本法令外国語訳データベースシステム - Article 11-2 (1) Financial institutions specified by Cabinet Order as prescribed in Article 21, paragraph (3) of the Act shall be banks, long-term credit banks, credit associations, federations of credit associations, Norinchukin Bank, Shokochukin Bank Limited, insurance corporations (meaning insurance corporations prescribed in Article 2, paragraph (2) of the Insurance Business Act (Act No. 105 of 1995) and foreign insurance corporations, etc. prescribed in paragraph (7) of the said Article) and financial instruments business operators (limited to financial instruments business operators prescribed in Article 2, paragraph (9) of the Financial Instruments and Exchange Act who conduct acts listed in Article 28, paragraph (1), item (i) of the said Act in the course of trade).
第十一条の二 法第二十一条第三項に規定する政令で定める金融機関は、銀行、長期信用銀行、信用金庫、信用金庫連合会、農林中央金庫、株式会社商工組合中央金庫、保険会社（保険業法（平成七年法律第百五号）第二条第二項に規定する保険会社及び同条第七項に規定する外国保険会社等をいう。）及び金融商品取引業者（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であつて、同法第二十八条第一項第一号に掲げる行為を業として行う者に限る。）とする。 - 日本法令外国語訳データベースシステム - In cases where the party who is likely to have a material impact on the business management of a financial instruments business operator by filing a petition for commencement of bankruptcy proceedings, etc. (hereinafter referred to as the “parent company, etc.” in V-2-3) has actually filed a petition for commencement of bankruptcy proceedings, etc. against the financial instruments business operator, supervisors shall, by issuing an order for production of a report under Article 56-2(1) of the FIEA, quickly identify the financial instruments business operator’s financial conditions in combination with the most recent conditions of the parent company, etc., the business relationships with the parent company, etc., the status of contracts with customers (if the business operator has received deposits from customers, the specific content thereof), and the business operator’s policy for continuing the business.
破産等手続開始の申立てにより金融商品取引業者の経営に重大な影響を与え得る者（以下Ⅴ－２－３において「親会社等」という。）が破産等手続開始の申立てを行った場合は、当該金融商品取引業者に対する金商法第 56条の２第１項に基づく報告徴求命令を通じて、当該親会社等の直近の状況を踏まえた財務の状況、親会社等との間の取引関係、顧客との契約の状況（顧客からの預り金がある場合にはその具体的な内容）及び業務の継続に関する方針等を速やかに把握するものとする。 - 金融庁 - In cases where the party who is likely to have a material impact on the business management of a financial instruments business operator by filing a petition for commencement of bankruptcy proceedings, etc. (hereinafter referred to as the “parent company, etc.” in VII-2-3) has actually filed a petition for commencement of bankruptcy proceedings, etc. against the financial instruments business operator, supervisors shall, by issuing an order for production of a report under Article 56-2(1) of the FIEA, quickly identify the financial instruments business operator’s financial conditions in combination with the most recent conditions of the parent company, etc., the business relationships with the parent company, etc., the status of contracts with customers (if the business operator has received deposits from customers, the specific content thereof) and the business operator’s policy for continuing the business.
破産等手続開始の申立てにより金融商品取引業者の経営に重大な影響を与え得る者（以下Ⅶ－２－３において「親会社等」という。）が破産等手続開始の申立てを行った場合は、当該金融商品取引業者に対する金商法第 56条の２第１項に基づく報告徴求命令を通じて、当該親会社等の直近の状況を踏まえた財務の状況、親会社等との間の取引関係、顧客との契約の状況（顧客からの預り金がある場合にはその具体的な内容）及び業務の継続に関する方針等を速やかに把握するものとする。 - 金融庁 - (2) When the Prime Minister finds it necessary and appropriate for the public interest or protection of investors, he/she may order a Major Shareholder (meaning Major Shareholders prescribed in Article 29-4(2); hereinafter the same shall apply in this paragraph) of a Financial Instruments Business Operator (limited to those engaged in Type I Financial Instruments Business or Investment Management Business and excluding foreign juridical persons; hereinafter the same shall apply in this paragraph) or a Major Shareholder of a Holding Company which holds a Financial Instruments Business Operator as its Subsidiary Company to submit notification or take action under Article 32 to Article 32-3, or submit reports or materials that will be helpful for understanding the business or property of the Financial Instruments Business Operator, or have the officials inspect documents or other articles of the Major Shareholder (the inspection shall be limited to what is necessary to understand the notification or action under Article 32 to Article 32-3 or the business or property of the Financial Instruments Business Operator, etc.).
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、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り、外国法人を除く。以下この項において同じ。）の主要株主（第二十九条の四第二項に規定する主要株主をいう。以下この項において同じ。）若しくは金融商品取引業者を子会社とする持株会社の主要株主に対し第三十二条から第三十二条の三までの届出若しくは措置若しくは当該金融商品取引業者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主要株主の書類その他の物件の検査（第三十二条から第三十二条の三までの届出若しくは措置又は当該金融商品取引業者の業務若しく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 - (i) a contract in which it is agreed that a party will acquire all or part of the Securities from their Issuer or holder (excluding cases where the holder is a Financial Instruments Business Operator or Registered Financial Institution; the same shall apply in the following item) for the purpose of having other persons acquire them; or
一 当該有価証券を取得させることを目的として当該有価証券の全部又は一部を発行者又は所有者（金融商品取引業者及び登録金融機関を除く。次号において同じ。）から取得することを内容とする契約 - 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, any of the acts that are conducted in relation to Other Businesses of the Registered Financial Institution and are specified by a Cabinet Office Ordinance as resulting in insufficient protection of investors, harming the fairness of transactions or causing a loss of confidence in Financial Instruments Business.
三 前二号に掲げるもののほか、登録金融機関その他業務に関連して行う登録金融機関業務に係る行為で投資者の保護に欠け、若しくは取引の公正を害し、又は登録金融機関業務の信用を失墜させるものとして内閣府令で定める行為 - 日本法令外国語訳データベースシステム - (7) In addition to what is listed in the preceding paragraphs, in cases of applying the provisions of the Financial Instruments and Exchange Act, the Trust Business Act, and the Act on Concurrent Operation of Trust Business by a Financial Institution pursuant to the provisions of this Article, any technical replacement of terms and other necessary matters shall be specified by a Cabinet Order.
７ 前各項に掲げるもののほか、この条の規定により金融商品取引法、信託業法及び金融機関の信託業務の兼営等に関する法律の規定を適用する場合における技術的読替えその他必要な事項は、政令で定める。 - 日本法令外国語訳データベースシステム - (i) Business of carrying out any acts listed in each item of Article 33(2) (Prohibition, etc. of Securities-Related Business by Financial Institutions) of the Financial Instruments and Exchange Act for the securities or transactions listed in each item of the that paragraph (excluding the business conducted under the provisions of paragraph (2) of the preceding Article); and
一 金融商品取引法第三十三条第二項各号（金融機関の有価証券関連業の禁止等）に掲げる有価証券又は取引について、同項各号に定める行為を行う業務（前条第二項の規定により営む業務を除く。） - 日本法令外国語訳データベースシステム - (ii) Business of carrying out any acts listed in the items of Article 33, paragraph (2) (Prohibition, etc. of Securities Services by Financial Institutions) of the Financial Instruments and Exchange Act for the securities or transactions listed in the items of the that paragraph (excluding the business conducted under the provisions of paragraph (2) of the preceding Article);
二 金融商品取引法第三十三条第二項各号（金融機関の有価証券関連業の禁止等）に掲げる有価証券又は取引について、同項各号に定める行為を行う業務（前条第二項の規定により営む業務を除く。） - 日本法令外国語訳データベースシステム - From a broad perspective, an agreement was reached at the recent London summit (the second Summit on Financial Markets and the World Economy) that systemically important financial institutions, markets, and instruments should be subject to an appropriate degree of regulation and oversight.
大きく捉えますと、先のロンドン・サミット（第2回金融・世界経済に関する首脳会合）で、金融システム上重要な金融機関、それから全ての重要な金融商品、重要な市場というのが、適切な規制・監督の下に置かれるべきであるといった点が合意されております。 - 金融庁 - Supervisors shall examine whether the Financial Instruments Business Operator has developed a control environment in light of the size and specific characteristics of its business operations, wherein, in cases where it implements complaint processing measures and dispute resolution measures, it deals properly with any complaints or disputes made by customers while bearing in mind the objectives of the financial ADR system.
金融商品取引業者が、苦情処理措置・紛争解決措置を講じる場合、金融ＡＤＲ制度の趣旨を踏まえ、顧客からの苦情・紛争の申出に関し、業務の規模・特性に応じ、適切に対応する態勢を整備しているかを検証する。 - 金融庁 - B. Whether the Financial Instruments Business Operator has prescribed specific guidelines for the financial intermediary service provider to manage customer information, such as customer attributes, based on careful deliberations made from the viewpoint of the confidentiality obligation, and has communicated the guidelines to the intermediary service provider and strives to ensure compliance therewith.
ロ．顧客属性等の顧客情報の管理について、守秘義務等の観点から十分に検討を行った上で、金融商品仲介業者に対して求める具体的な取扱基準を定め、当該基準を金融商品仲介業者に周知し、徹底させているか。 - 金融庁
- ※この記事は「日本法令外国語訳データベースシステム」の2010年9月現在の情報を転載しております。
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