「does」を含む例文一覧(49959)
＜前へ 1 2 .... 965 966 967 968 969 970 971 972 973 .... 999 1000 次へ＞- Does the Board of Directors revise the policy development process in a timely manner by reviewing its effectiveness based on reports and findings on the status of Finance Facilitation Management periodically or on an as needed basis?
取締役会は、定期的に又は必要に応じて随時、金融円滑化管理の状況に関する報告・調査結果等を踏まえ、方針策定のプロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - Does the Board of Directors or organization equivalent to the Board of Directors revise the improvement process in a timely manner, by reviewing its effectiveness based on reports and findings on the status of Finance Facilitation Management in a regular and timely or on an as needed basis?
取締役会等は、定期的に又は必要に応じて随時、金融円滑化管理の状況に関する報告・調査結果等を踏まえ、改善プロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - (ii) For an enterprise receiving business improvement support, does the financial institution appropriately grasp the progress status of the business improvement plan, and work on business improvements as needed, such as with business consultation and guidance?
（ⅱ）経営改善支援先については、経営改善計画の進捗状況を適切に把握し、必要に応じて経営相談・経営指導等を行う等、経営改善に向けた働きかけを行っているか。 - 金融庁 - Does the Board of Directors revise the policy development process in a timely manner by reviewing its effectiveness based on reports and findings on the status of legal compliance in a regular and timely manner or on an as needed basis?
取締役会は、定期的に又は必要に応じて随時、法令等遵守の状況に関する報告・調査結果等を踏まえ、方針策定のプロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - Does the Board of Directors or organization equivalent to the Board of Directors revise the analysis and assessment processes in a timely manner by reviewing their effectiveness based on reports and findings on the status of legal compliance in a regular and timely manner or on an as needed basis?
取締役会等は、定期的に又は必要に応じて随時、法令等遵守の状況に関する報告・調査結果等を踏まえ、分析・評価プロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - Does the Board of Directors or organization equivalent to the Board of Directors revise the improvement process in a timely manner by reviewing its effectiveness based on reports and findings on the status of legal compliance in a regular and timely manner or on an as needed basis?
取締役会等は、定期的に又は必要に応じて随時、法令等遵守の状況に関する報告・調査結果等を踏まえ、改善プロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - (iv) With regard to a case in which a customer identity verification of a customer has been done at an overseas head office, branch office, subsidiary or affiliate, does the institution re-check the identity of the customer when he or she opens an account in Japan as required by laws and ordinances?
（ⅳ）海外の本･支店や現地法人、グループ会社等で本人確認が完了している場合であっても、日本において口座を開設する場合等に、法令上必要な本人確認を行っているか。 - 金融庁 - Does the Board of Directors or organization equivalent to the Board of Directors provide a system to ensure that officers and employees disseminate in a timely manner to the person or the department in charge information concerning cases that may constitute suspicious transactions?
また、取締役会等は、各役職員が、当該責任者又は担当部署に対し、疑わしい取引の可能性がある取引について、その情報を適時に伝達する態勢を整備しているか。 - 金融庁 - For example, does the institution exclude employees whose legal compliance is questionable from its in-company awards system as a way to attach importance to legal compliance?
例えば、表彰制度について、法令等遵守の観点から問題のあった営業店等及び職員等を表彰の対象から除外する等、法令等遵守について十分な考慮がなされる態勢となっているか。 - 金融庁 - Does the Board of Directors revise the policy development process in a timely manner by reviewing its effectiveness based on reports and findings on the status of Customer Protection Management in a regular and timely manner or on an as needed basis?
取締役会は、定期的に又は必要に応じて随時、顧客保護等管理の状況に関する報告・調査結果等を踏まえ、方針策定のプロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - (iv) Does the Board of Directors or organization equivalent to the Board of Directors provide a system to ensure that measures for protecting customer information are appropriately disseminated to the Outsourcing Contractor and that accidents, etc. at the contractor are reported to the department in charge promptly and accurately?
（ⅳ）取締役会等は、顧客情報保護のための施策が委託先に適切に伝達され、また、委託先の事故等が責任部署に対して迅速かつ正確に報告される態勢を整備しているか。 - 金融庁 - Does the Board of Directors or organization equivalent to the Board of Directors revise the analysis and assessment processes in a timely manner by reviewing their effectiveness based on reports and findings on the status of Customer Protection Management in a regular and timely manner or on an as needed basis?
取締役会等は、定期的に又は必要に応じて随時、顧客保護等管理の状況に関する報告・調査結果等を踏まえ、分析・評価プロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - Does the Board of Directors or organization equivalent to the Board of Directors revise the improvement process in a timely manner by reviewing its effectiveness based on reports and findings on the status of Customer Protection Management in a regular and timely manner or on an as needed basis?
取締役会等は、定期的に又は必要に応じて随時、顧客保護等管理の状況に関する報告・調査結果等を踏まえ、改善プロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - Does the Customer Information Supervisory Manager provide appropriate guidance and supervision to the divisions engaged in the relevant business as well as sales branches so as to enable them to implement administrative work related to customer information management in an appropriate and timely manner?
顧客情報統括管理責任者は、顧客情報管理事務を適時・適切に実施できるよう、関係業務部門及び営業店等に対して、指導・監督を行う等適切に管理しているか。 - 金融庁 - Does the outsourcing contract have provisions that prohibit the use of customer information for purposes other than the prescribed ones and obligate confidentiality, for example?
外部委託管理責任者は、外部委託先における顧客情報管理のための措置を講じているか。 例えば、外部委託契約において顧客情報の目的外使用の禁止、守秘義務を課する等の措置が講じられているか。 - 金融庁 - (ii) For the conduct of Conflict of Interest Management, does the Conflict of Interest Manager develop a system for appropriate coordination with the Compliance Control Division, Customer Explanation Manager, Customer Information Manager, etc.?
（ⅱ）利益相反管理責任者は、利益相反管理を行うにあたり、コンプライアンス統括部門、顧客説明管理責任者及び顧客情報管理責任者等との連携を適切に行う態勢を整備しているか。 - 金融庁 - Does the Board of Directors revise the policy development process in a timely manner by reviewing its effectiveness based on reports and findings of various investigations on the status of comprehensive risk management in a regular and timely manner or on an as needed basis?
取締役会は、定期的に又は必要に応じて随時、統合的リスク管理の状況に関する報告・調査結果等を踏まえ、方針策定のプロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - Does the Board of Directors or equivalent organization to the Board of Directors revise the analysis and assessment processes in a timely manner by reviewing their effectiveness based on reports and findings on the status of comprehensive risk management in a regular and timely manner or on an as needed basis?
取締役会等は、定期的に又は必要に応じて随時、統合的リスク管理の状況に関する報告・調査結果等を踏まえ、分析・評価プロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - Does the Board of Directors or equivalent organization to the Board of Directors revise the improvement process in a timely manner by reviewing its effectiveness based on reports and findings on the status of comprehensive risk management in a regular and timely manner or on an as needed basis?
取締役会等は、定期的に又は必要に応じて随時、統合的リスク管理の状況に関する報告・調査結果等を踏まえ、改善プロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - Does it ensure the consistency of the definition of capital used in the internal capital adequacy assessment and the financial institution's corporate management policy and plans, its strategic objectives, etc. in light of the fact that building up capital means preparing for potential losses?
自己資本が潜在損失への備えであることを踏まえ、自己資本充実度の評価に用いる自己資本の定義と、経営方針、経営計画、戦略目標等との整合性を確保しているか。 - 金融庁 - Does the Board of Directors or equivalent organization to the Board of Directors provide a system to disclose the information concerning capital adequacy as specified by Laws (including but not limited to laws and regulations, etc.; hereinafter referred to "Laws.") in a timely and appropriate manner based on a full understanding of the purpose thereof?
取締役会等は、法令等に定める自己資本の充実の状況に関する情報開示について、その趣旨を十分踏まえ、適正かつ適時に開示するための態勢を整備しているか。 - 金融庁 - Does the Board of Directors or equivalent organization to the Board of Directors revise the analysis and assessment processes in a timely manner by reviewing their effectiveness based on reports and findings on the status of capital management in a regular and timely manner or on an as needed basis?
取締役会等は、定期的に又は必要に応じて随時、自己資本管理の状況に関する報告・調査結果等を踏まえ、分析・評価プロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - Does the Board of Directors or equivalent organization to the Board of Directors revise the improvement process in a timely manner by reviewing its effectiveness based on reports and findings on the status of capital management in a regular and timely manner or on an as needed basis?
取締役会等は、定期的に又は必要に応じて随時、自己資本管理の状況に関する報告・調査結果等を踏まえ、改善プロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - Also, does the director in charge grasp the debtor's and study specific measures to provide the debtor with business consultation, guidance and support for initiatives to improve its business, as necessary?
また、担当取締役は、債務者の実態を把握し、必要に応じ債務者に対する経営相談・経営指導及び経営改善に向けた取組みへの支援を行うための具体的な方策を検討しているか。 - 金融庁 - Does the Board of Directors revise the policy development process in a timely manner by reviewing its effectiveness based on reports and findings on the status of credit risk management in a regular and timely manner or on an as needed basis?
取締役会は、定期的に又は必要に応じて随時、信用リスク管理の状況に関する報告・調査結果等を踏まえ、方針策定のプロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - (i) Does the Board of Directors or organization equivalent to the Board of Directors provide a system to fully disseminate the relevant internal rules and operational procedures to the divisions involving credit risks to be managed (e.g., the Marketing and Sales Division, etc.) and ensure that such divisions observe them?
（ⅰ）取締役会等は、管理すべき信用リスクの存在する部門（例えば、営業推進部門等）に対し、遵守すべき内部規程・業務細則等を周知させ、遵守させる態勢を整備しているか。 - 金融庁 - For example, does the Board of Directors or organization equivalent to the Board of Directors instruct the Manager to identify the internal rules and operational procedures that should be observed by the Marketing and Sales Division, etc. and to carry out specific measures for ensuring observance such as providing effective training on a regular basis?
例えば、管理者に営業推進部門等が遵守すべき内部規程・業務細則等を特定させ、効果的な研修を定期的に行わせる等の具体的な施策を行うよう指示しているか。 - 金融庁 - Does the Board of Directors or organization equivalent to the Board of Directors revise the analysis and assessment processes in a timely manner by reviewing their effectiveness based on reports and findings on the status of credit risk management in a regular and timely manner or on an as needed basis?
取締役会等は、定期的に又は必要に応じて随時、信用リスク管理の状況に関する報告・調査結果等を踏まえ、分析・評価のプロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - Does the Board of Directors or organization equivalent to the Board of Directors revise the improvement process in a timely manner by reviewing its effectiveness based on reports and findings on the status of credit risk management in a regular and timely manner or on an as needed basis?
取締役会等は、定期的に又は必要に応じて随時、信用リスク管理の状況に関する報告・調査結果等を踏まえ、改善プロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - (ii) Does the problem Loan Management Division, in accordance with the Credit Risk Management Rules, appropriately grasp and manage the status of corporate management at problem borrowers and provide guidance on the formulation of business rehabilitation plans or collect loans as necessary?
（ⅱ）問題債権の管理部門は、信用リスク管理規程に基づき、問題先の経営状況等を適切に把握・管理し、必要に応じて再建計画の策定の指導や整理・回収を行っているか。 - 金融庁 - (v) For an enterprise receiving business improvement support, does the financial institution appropriately understand the progress status of the business improvement plan, and work on business improvements as needed, such as with business consultation and guidance?
（ⅴ）経営改善支援先については、経営改善計画の進捗状況を適切に把握し、必要に応じて経営相談・経営指導等を行う等、経営改善に向けた働きかけを行っているか。 - 金融庁 - Does the institution regularly conduct stress testing for the purpose of evaluating the level of its capital buildup and useful and adequately conservative credit risk stress testing that takes account of a scenario of at least a moderate economic recession?
自己資本の充実度を評価するためのストレス・テスト及び少なくとも緩やかな景気後退のシナリオの効果を考慮した有意義かつ適度に保守的な信用リスクのストレス・テストを定期的に実施しているか。 - 金融庁 - Does the Board of Directors or equivalent organization to the Board of Directors revise the analysis and assessment processes in a timely manner by reviewing their effectiveness based on reports and findings on the status of asset assessment management in a regular and timely manner or on an as needed basis?
取締役会等は、定期的に又は必要に応じて随時、資産査定管理の状況に関する報告・調査結果等を踏まえ、分析・評価プロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - Does the Board of Directors or equivalent organization to the Board of Directors revise the improvement process in a timely manner by reviewing its effectiveness based on reports and findings on the status of asset assessment management in a regular and timely manner or on an as needed basis?
取締役会等は、定期的に又は必要に応じて随時、資産査定管理の状況に関する報告・調査結果等を踏まえ、改善プロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - Does the Board of Directors revise the policy development process in a timely manner by reviewing its effectiveness based on reports and findings on the status of market risk management in a regular and timely manner or on an as needed basis?
取締役会は、定期的に又は必要に応じて随時、市場リスク管理の状況に関する報告・調査結果等を踏まえ、方針策定のプロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - Does the Board of Directors or equivalent organization to the Board of Directors revise the analysis and assessment processes in a timely manner by reviewing their effectiveness based on reports and findings of investigations on the status of market risk management in a regular and timely manner or on an as needed basis?
取締役会等は、定期的に又は必要に応じて随時、市場リスク管理の状況に関する報告・調査結果等を踏まえ、分析・評価プロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - Does the Board of Directors or equivalent organization to the Board of Directors revise the improvement process in a timely manner by reviewing its effectiveness based on reports and findings of investigations on the status of market risk management in a regular and timely manner or on an as needed basis?
取締役会等は、定期的に又は必要に応じて随時、市場リスク管理の状況に関する報告・調査結果等を踏まえ、改善プロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - (iii) With regard to corporate bonds, credit derivatives, etc., does the Market Risk Management Division identify, for example, the risk that changes in the credit spread will affect the current value (or periodic profit) and consider whether or not to subject the risk to market risk management?
（ⅲ）社債、クレジット・デリバティブ等については、例えば、信用スプレッドが変動することによって、現在価値（又は期間収益）に影響を与えるリスクなどを洗い出し、管理対象とすべきか検討しているか。 - 金融庁 - In the case where the quantity of market risks is measured with a uniform yardstick, does the Market Risk Management Division measure all of the risks identified as subject to market risk management with the use of a uniform yardstick?
市場リスク量を統一的な尺度で定量的に計測している場合、市場リスク管理部門は、市場リスク管理の管理対象として特定した全てのリスクについて、統一的な尺度で計測しているか。 - 金融庁 - (ii) Does the Market Risk Management Division conduct theoretical and empirical review of the pricing model, the market measurement and analysis techniques and the assumptions, etc. and make the revision thereof in a regular and timely manner or on an as needed basis?
（ⅱ）市場リスク管理部門は、プライシング・モデル、市場リスク計測・分析手法、前提条件等の妥当性について、定期的に又は必要に応じて随時、理論的及び実証的に検証し、見直しているか。 - 金融庁 - (ii) Does the Market Risk Management Division review whether the market risk control is conducted in accordance with the strategic objectives, etc., the Market Risk Management Policy and the Market Risk Management Rules and the like and report its findings to the Board of Directors or equivalent organization to the Board of Directors?
（ⅱ）市場リスク管理部門は、戦略目標、市場リスク管理方針、市場リスク管理規程等に基づき、市場リスクのコントロールが行われているかを検証し、取締役会等に報告しているか。 - 金融庁 - Does the institution not decide in an arbitrary manner whether to enter a transaction in the segregated or non-segregated trading book, for example deciding to process a transaction that should be handled in the non-segregated trading book as a segregated transaction in dealing with a market risk-related problem?
本来、非特定取引勘定で処理すべき取引について、マーケット・リスク対策等の理由により特定取引勘定における取引として処理するなど、恣意的に勘定を決定していないか。 - 金融庁 - Does the Board of Directors revise the policy development process in a timely manner by reviewing its effectiveness based on reports and findings on the status of liquidity risk management in a regular and timely manner or on an as needed basis?
取締役会は、定期的に又は必要に応じて随時、流動性リスク管理の状況に関する報告・調査結果等を踏まえ、方針策定のプロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - (iv) Does the Board of Directors or equivalent organization to the Board of Directors secure a check-and-balance system of the Liquidity Risk Management Division by ensuring its independence from the Funds Management Division, the Office (Trading, Banking) Divisions, Marketing and Sales Divisions, etc.?
（ⅳ）取締役会等は、流動性リスク管理部門について、資金繰り管理部門、市場部門、営業推進部門等からの独立性を確保し、牽制機能が発揮される態勢を整備しているか。 - 金融庁 - Does the Board of Directors or equivalent organization to the Board of Directors revise the analysis and assessment processes in a timely manner by reviewing their effectiveness based on reports and findings on the status of liquidity risk management in a regular and timely manner or on an a needed basis?
取締役会等は、定期的に又は必要に応じて随時、流動性リスク管理の状況に関する報告・調査結果等を踏まえ、分析・評価プロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - Does the Board of Directors or equivalent organization to the Board of Directors revise the improvement process in a timely manner by reviewing its effectiveness based on reports and findings on the status of liquidity risk management in a regular and timely manner or on an as needed basis?
取締役会等は、定期的に又は必要に応じて随時、流動性リスク管理の状況に関する報告・調査結果等を踏まえ、改善プロセスの有効性を検証し、適時に見直しているか。 - 金融庁 - (ii) Does the Manager of the Liquidity Risk Management Division provide a system to report promptly to the Comprehensive Risk Management Division when detecting any weaknesses or problems of the liquidity risk management system that may affect comprehensive risk management?
（ⅱ）流動性リスク管理部門の管理者は、統合的リスク管理に影響を与える態勢上の弱点、問題点等を把握した場合、統合的リスク管理部門へ速やかに報告する態勢を整備しているか。 - 金融庁 - In the case where the financial institution has exceeded the funds gap limits, limits on market-based fund-raising and position limits, etc., does the Liquidity Risk Management Division provide information necessary for the Board of Directors or equivalent organization to the Board of Directors without delay to decide what measures should be taken?
流動性リスク管理部門は、資金ギャップ枠、市場資金調達枠、ポジション枠等の限度枠を超過した場合、速やかに、対応策を策定できる情報を取締役会等に報告しているか。 - 金融庁 - Does the Liquidity Risk Management Division regularly review the effectiveness of a contingency plan to be implemented in the event of a liquidity crisis by having the Funds Management Division, Marketing and Sales Division, etc. conduct crisis simulation exercises?
流動性リスク管理部門は、資金繰り管理部門や営業推進部門等に想定訓練等を行わせることにより、流動性危機時の対応策（コンティンジェンシー・プラン）の実効性を定期的に確認しているか。 - 金融庁 - Does the Funds Management Division at all times conduct funds management in light of the trading environment so as to keep the institution ready to liquidate assets smoothly in the event of a liquidity crisis through means such as the sale of securities?
資金繰り管理部門は、流動性危機時において、有価証券の処分など資金調達のための資産の流動化が円滑に行えるよう、常時、取引環境を踏まえて適切に対応しているか。 - 金融庁
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