「problematic」を含む例文一覧(430)

＜前へ 1 2 3 4 5 6 7 8 9
  • When supervisors have recognized an issue of supervisory concern regarding measures taken by the primary business operator to ensure the appropriateness of agency/brokerage services, through daily supervisory administration or the reporting of problematic conduct, they shall identify and keep track of the status of voluntary improvement made by the primary business operator etc., by holding in-depth hearings and, when necessary, requiring the submission of reports based on Article 56-2(1) of the FIEA.
    日常の監督事務や、事故届出等を通じて把握された所属業者による代理・媒介業者の業務の適切性等を確保するための措置に関する課題については、深度あるヒアリングを行うことや、必要に応じて金商法第56条の２第１項の規定に基づく報告を求めることを通じて、所属会社等における自主的な改善状況を把握することとする。 - 金融庁
  • When supervisors have recognized an issue of supervisory concern regarding measures taken by an investment advisory business operator engaging in two or more types of business to prevent internal collusion, through daily supervisory administration or the reporting of problematic conduct, they shall identify and keep track of the status of voluntary improvement made by the investment advisory business operator by holding in-depth hearings and, when necessary, requiring the submission of reports based on Article 56-2(1) of the FIEA.
    日常の監督事務や、事故届出等を通じて把握された投資助言業者が二以上の種別の業務を行う場合の弊害防止措置に関する課題については、深度あるヒアリングを行うことや、必要に応じて金商法第56条の２第１項の規定に基づく報告を求めることを通じて、投資助言業者における自主的な改善状況を把握することとする。 - 金融庁
  • When supervisors have recognized an issue of supervisory concern regarding measures taken by agency/brokerage service providers when undertaking agency/brokerage services on behalf of two or more primary business operators, through daily supervisory administration or the reporting of problematic conduct, they shall identify and keep track of the status of voluntary improvement made by the agency/brokerage services providers by holding in-depth hearings and, when necessary, requiring the submission of reports based on Article 56-2(1) of the FIEA.
    日常の監督事務や、事故届出等を通じて把握された代理・媒介業者が二以上の所属業者から代理・媒介業を受託する場合の措置に関する課題については、深度あるヒアリングを行うことや、必要に応じて金商法第56条の２第１項の規定に基づく報告を求めることを通じて、代理・媒介業者における自主的な改善状況を把握することとする。 - 金融庁
  • When supervisors have, through daily supervisory administration or the reporting of problematic conduct, recognized an issue of operational or financial concern regarding an authorized transaction-at-exchange operator, they shall identify and keep track of the status of voluntary improvement made by the authorized transaction-at-exchange operator by holding in-depth hearings such as through representative persons in Japan, and, when necessary, requiring the submission of reports based on Article 60-11 of the FIEA.
    日常の監督事務や、事故届出等を通じて把握された取引所取引許可業者の業務上・財務上の課題については、国内における代表者を通じること等による深度あるヒアリングを行うことや、必要に応じて金商法第 60条の 11の規定に基づく報告を求めることを通じて、取引所取引許可業者における自主的な改善状況を把握することとする。 - 金融庁
  • When the second Shogun, Yoshiakira ASHIKAGA, died, the Kanrei (regent) Yoriyuki HOSOKAWA gave his support and advice to Yoshimitsu ASHIKAGA, the third Shogun, and helped usher in a new administration, and engineered Masanori KUSUNOKI's defection and other anti-Southern Court efforts as well as dispatching Sadayo IMAGAWA to Kyushu as part of a push to eliminate the Southern Court's forces there, while in domestic, nonmilitary affairs, he crafted a response to the problematic conflict between Nanzen-ji Temple, which represented the new Zen sect, and Mt. Hiei, representing the old guard of influential Buddhist temples, and also implemented the hanzei (half-tax).
    2代将軍足利義詮が死去すると、管領細川頼之は3代将軍足利義満を補佐して執政をはじめ、楠木正儀を寝返らせるなど対南朝工作や九州の南朝勢力排除のための今川貞世派遣、内政においては新興の禅宗である南禅寺と旧仏教勢力の比叡山との対立問題の対応や半済の実施などを行う。 - Wikipedia日英京都関連文書対訳コーパス
  • When supervisors have recognized an issue of supervisory concern regarding a Financial Instruments Business Operator’s internal control environment for implementing customer identification and reporting suspicious transactions, through daily supervisory administration or the reporting of problematic conduct, they shall identify and keep track of the status of voluntary improvement made by the business operator by holding in-depth hearings and, when necessary, requiring the submission of reports based on Article 56-2 (1) of the FIEA.
    日常の監督事務や、事故届出等を通じて把握された金融商品取引業者の本人確認義務又は疑わしい取引の届出義務の履行に関する内部管理態勢上の課題については、深度あるヒアリングを行うことや、必要に応じて金商法第56条の２第１項の規定に基づく報告を求めることを通じて、金融商品取引業者における自主的な業務改善状況を把握することとする。 - 金融庁
  • When supervisors have recognized an issue of supervisory concern regarding a Financial Instruments Business Operator’s control environment for managing information technology risk, through daily supervisory administration or the reporting of problematic conduct, they shall identify and keep track of the status of voluntary improvement made by the business operator, by holding in-depth hearings with the business operator and the outsourcing contractor and, when necessary, requiring the submission of reports based on Article 56-2 (1) of the FIEA.
    日常の監督事務や、事故届出等を通じて把握された金融商品取引業者のシステムリスク管理態勢上の課題については、金融商品取引業者又はその業務委託先に対し深度あるヒアリングを行うことや、必要に応じて金商法第56条の２第１項の規定に基づく報告を求めることを通じて、金融商品取引業者における自主的な改善状況を把握することとする。 - 金融庁
  • When supervisors have recognized an issue of supervisory concern regarding a Financial Instruments Business Operator’s measures to prevent violation of law by an entrusted financial instruments intermediary service provider, through daily supervisory administration or the reporting of problematic conduct, they shall identify and keep track of the status of voluntary improvement made by the business operator by holding in-depth hearings and, when necessary, requiring the submission of reports based on Article 56-2 (1) of the FIEA.
    日常の監督事務や、事故届出等を通じて把握された金融商品取引業者による金融商品仲介業者の法令違反の防止措置に関する課題については、深度あるヒアリングを行うことや、必要に応じて金商法第56条の２第１項の規定に基づく報告を求めることを通じて、金融商品取引業者における自主的な業務改善状況を把握することとする。 - 金融庁
  • When supervisors have recognized an issue of supervisory concern regarding a primary business operator’s selection of agency/brokerage service providers and its measures to ensure the appropriateness of their business operations, through daily supervisory administration or the reporting of problematic conduct, they shall identify and keep track of the status of voluntary improvement made by the primary business operator and the service providers by holding in-depth hearings and, when necessary, requiring the submission of reports based on Article 56-2(1) of the FIEA.
    日常の監督事務や、事故届出等を通じて把握された代理・媒介業者の選定等、又は所属業者による代理・媒介業者の業務の適切性等を確保するための措置に関する課題については、深度あるヒアリングを行うことや、必要に応じて金商法第56条の２第１項の規定に基づく報告を求めることを通じて、所属業者等における自主的な改善状況を把握することとする。 - 金融庁
  • At the time, there was something called the warranty against defects, which was extremely problematic. It goes without saying that financial discipline is necessary, but in those days, financial businesses collapsed one after the other. Given that such outcome is not desirable either, I believe it is necessary to have a balanced view on these matters as the Minister of State in charge of financial regulation and supervision. It is vital to maintain balance and carefully monitor the situation with both eyes.
    あのときは瑕疵担保条項というのがございまして、これは非常に問題でございましたけれども、そんなことを踏まえて金融規律は当然必要でありますが、あの頃は、金融業はばたばた破綻しまして、そういったことになっても当然いけないわけですし、そこら辺のバランス感覚が、私は金融行政を預かる国務大臣にとって非常に必要だと思っています。バランスと、両方の目でよく見ておかないといけないと思っています。 - 金融庁
  • When supervisors have recognized an issue of supervisory concern regarding a Financial Instruments Business Operator’s control environment for managing administrative risk or for managing the outsourcing of business operations, through daily supervisory administration or the reporting of problematic conduct, they shall identify and keep track of the status of voluntary improvement made by the business operator by holding in-depth hearings with the business operator or the outsourcing contractor and, when necessary, requiring the submission of reports based on Article 56-2 (1) of the FIEA.
    日常の監督事務や、事故届出等を通じて把握された金融商品取引業者の事務リスク管理態勢ないし事務の外部委託管理態勢に係る課題については、金融商品取引業者又はその業務委託先に対し深度あるヒアリングを行うことや、必要に応じて金商法第56条の２第１項の規定に基づく報告を求めることを通じて、金融商品取引業者における自主的な改善状況を把握することとする。 - 金融庁
  • When supervisors have recognized an issue of supervisory concern regarding the transactions, as specified under Article 123(1)(xiii)(a) to (e) of the FIB Cabinet Office Ordinance of a securities equivalents seller, etc., through daily supervisory administration and the reporting of problematic conduct, they shall identify and keep track of the status of voluntary improvement made by the securities equivalents seller, etc., by holding in-depth hearings and, when necessary, requiring the submission of reports based on Article 56-2(1) of the FIEA.
    日常の監督事務や、事故届出等を通じて把握されたみなし有価証券販売業者等の金商業等府令第123条第１項第13号イからホまでに掲げる取引に関する課題については、深度あるヒアリングを行うことや、必要に応じて金商法第56条の２第１項の規定に基づく報告を求めることを通じて、みなし有価証券販売業者等における自主的な改善状況を把握することとする。 - 金融庁
  • When supervisors have recognized an issue of supervisory concern regarding a market derivatives business operator’s practices, as specified under Article 123(1)(xiii)(a) to (e) of the FIB Cabinet Office Ordinance through daily supervisory administration and the reporting of problematic conduct, they shall identify and keep track of the status of voluntary improvement made by the market derivatives business operator by holding in-depth hearings and, when necessary, requiring the submission of reports based on Article 56-2(1) of the FIEA, while paying consideration to the above viewpoints.
    日常の監督事務や、事故報告等を通じて把握された、市場デリバティブ取引業者の金商業等府令第123条第１項第13号イからホまでに掲げる取引に関する課題については、上記の着眼点に基づきながら、深度あるヒアリングを行うことや、必要に応じて金商法第56条の２第１項の規定に基づく報告を求めることを通じて、市場デリバティブ取引業者における自主的な業務改善状況を把握することとする。 - 金融庁
  • I understand. As the first Minister who has given the go-ahead to the “pay-off” scheme, do you intend to create some kind of organization to tackle this issue properly? I am not saying that the financial inspections conducted by the FSA were problematic, but the proper disclosure of facts such as the events dating back to 2002 you just explained would ensure transparency, which may involve providing an explanation dating back to the foundation of the FSA.
    よく分かりましたが、初のペイオフを発動した大臣として、この問題について何らかの組織をつくって、別に金融庁の金融検査が問題だということを言っているのではなくて、2002年からそういうちゃんとした、今おっしゃったような経緯も含めて事実として公表することが透明性を確保することだし、本来の金融庁の成り立ちのところからの説明になるわけですけれども、そういう組織をつくってしっかりやるというお考えがあるのかどうかを伺いたいと思います。 - 金融庁
  • To provide a semiconductor substrate with ceramics and its manufacturing method wherein a heat can be efficiently radiated from a semiconductor element; properties superior in heat radiation, optical transparency, mechanical strength or the like can be obtained; a problematic warpage of the substrate or chip can be reduced while the complicated manufacturing process and an increase in cost are suppressed; and cleavage and dicing during formation of the semiconductor substrate into chips can be eased.
    半導体素子の熱を効率的に放熱することができ、放熱特性、光透過性及び機械的強度等に優れたセラミックス付き半導体基板及びセラミックス付き半導体チップを得ることができ、更に特に問題となる基板又はチップの反りを、製造プロセスの複雑化及び高コスト化を抑制しつつ、低減することができ、更にまた、半導体基板からチップにするときの劈開及びダイシング加工を容易にすることができるセラミックス付き半導体基板及びその製造方法を提供する。 - 特許庁
  • When supervisors have recognized an issue of supervisory concern regarding an over-the-counter derivatives business operator’s practices specified under Article 123(1)(xiii)(a) to (e) of the FIB Cabinet Office Ordinance through daily supervisory administration and the reporting of problematic conduct, they shall identify and keep track of the status of voluntary improvement made by the over-the-counter derivatives business operator by holding in-depth hearings and, when necessary, requiring the submission of reports based on Article 56-2(1) of the FIEA, while paying consideration to the above viewpoints.
    日常の監督事務や、事故報告等を通じて把握された、店頭デリバティブ取引業者の金商業等府令第123条第１項第13号イからホまでに掲げる行為に関する課題については、上記の着眼点に基づきながら、深度あるヒアリングを行うことや、必要に応じて金商法第56条の２第１項の規定に基づく報告を求めることを通じて、店頭デリバティブ取引業者における自主的な業務改善状況を把握することとする。 - 金融庁
  • (a) the amount obtained by multiplying the transaction amounts of the transactions prescribed in Article 2, paragraph (8), item (i) of the Act (excluding transactions based on a person's own account and the transactions set forth in (e)) in each business year by the Problematic Conduct Rate -- which means the proportion of the total sum of the payments made as a result of any Problematic Conduct [which means the Problematic Conduct prescribed in Article 112] in each business year starting within three years prior to the commencement of the relevant business year [excluding payments pertaining to transactions in cases where a Futures Commission Merchant receives a consignment of transactions, etc. on the Commodity Market (excluding Commodity Clearing Transactions; hereinafter the same shall apply in this Article) from a Person With Specialized Knowledge and Experience (which means a person specified in Article 107; hereinafter the same shall apply in this Article) or receives a consignment of transactions, etc. on the Commodity Market by using an Electronic Data Processing System (which means an Electronic Data Processing System connecting a computer used by the Futures Commodity Merchant and a computer [including the input/output devices] used by the customer through a telecommunications line; hereinafter the same shall apply in this Article) without carrying out solicitation]; hereinafter the same shall apply in this Article) to the total sum of the transaction amounts of the transactions prescribed in Article 2, paragraph (8), items (i) to (iii) of the Act and the amount of the consideration for the transactions prescribed in item (iv) of the same paragraph (excluding the transaction amounts and the amount of the consideration for transactions in cases of transactions based on a person's own account and in cases where a Futures Commission Merchant receives a consignment of transactions, etc. on the Commodity Market from a Person With Specialized Knowledge and Experience or receives a consignment of transactions, etc. on the Commodity Market by using an Electronic Data Processing System without carrying out solicitation -- or the amount equivalent to 0.0001 percent of the transaction amounts, whichever amount is greater (in cases where the amount of liability reserve for commodity trading that has already been accrued [in cases where a specific amount of money is used under the provisions of Article 221, paragraph (2) of the Act, the amount after deducting said amount; the same shall apply in the following item] is less than ten million yen, the amount obtained by adding, to such larger amount, an amount obtained by multiplying -- an amount calculated by dividing the amount that has been obtained by deducting the amount of liability reserve for commodity trading and the amounts listed in (b) to (h) from ten million yen by double the Problematic Conduct Rate, or by 0.0002 percent, whichever rate is higher (or, if said calculated amount exceeds the transaction amount in the relevant business year, such amount shall be the transaction amount in the relevant business year; hereinafter the same shall apply in this item) -- by the Problematic Conduct Rate or an amount equivalent to 0.0001 percent of said calculated amount, whichever amount is greater);
    イ　各事業年度における法第二条第八項第一号に規定する取引（自己の計算による取引及びホに掲げる取引を除く。）の取引金額に事故率（当該事業年度開始日前三年以内に開始した各事業年度における事故（第百十二条に規定する事故をいう。）による支払額（商品取引員が、専門知識及び経験を有する者（第百七条で定める者をいう。以下この条において同じ。）から商品市場における取引等（商品清算取引を除く。以下この条において同じ。）の委託を受ける場合並びに電子情報処理組織（商品取引員の使用に係る電子計算機と、顧客の使用に係る電子計算機（入出力装置を含む。）とを電気通信回線で接続した電子情報処理組織をいう。以下この条において同じ。）を使用して勧誘を伴わずに商品市場における取引等の委託を受ける場合の取引に係る支払額を除く。）の合計額の、法第二条第八項第一号から第三号に規定する取引の取引金額と同項第四号に規定する取引の対価の額の合計額（自己の計算による取引並びに商品取引員が、専門知識及び経験を有する者から商品市場における取引等の委託を受ける場合並びに電子情報処理組織を使用して勧誘を伴わずに商品市場における取引等の委託を受ける場合の取引金額及び取引の対価の額を除く。）に占める割合をいう。以下この条において同じ。）を乗じた金額と取引金額の百万分の一に相当する金額とのいずれか大きい金額（既に積み立てられた商品取引責任準備金の金額（法第二百二十一条第二項の規定により使用された金額がある場合には、当該金額を控除した金額。次号において同じ。）が千万円に満たない場合には、当該いずれか大きい金額に、千万円から当該商品取引責任準備金の金額、及びロからチまでに掲げる金額を控除した金額を事故率に二を乗じて得た率と百万分の二とのいずれか大きい率で除して計算した金額（当該計算した金額が当該事業年度の取引金額を超える場合には、当該事業年度の当該取引金額。以下この号において同じ。）に事故率を乗じた金額と当該除して計算した金額の百万分の一に相当する金額とのいずれか大きい金額を加算した金額） - 日本法令外国語訳データベースシステム
  • Even if we act urgently, a revision cannot be made in time for the announcement of the financial results for the first half ended in September. The fiscal year ends mostly in December according to foreign accounting standards, while most Japanese companies close annual account books in March, although they announce results for the quarter ending in December. In any case, it is problematic that there is a gap between the standards in Japan and abroad, so I hope that a conclusion on this matter will be reached quickly from the viewpoint of ensuring consistency, and I am strongly interested in this matter.
    ただ緊急ということになれば、９月期決算というのはとてもこれは間に合いませんけれども、世界の会計基準は大体12月が決算になっていますね。日本は３月が大体多いですけれども、そうすると12月決算、しかし日本は四半期決算が12月にありますけれども、その時にちょっと基準がずれちゃうという問題点が出てきますので、これは整合性を持たせるという意味からも私は早急にこれは結論を出してもらいたいし、これについては私自身も強い関心を今持っているところでございます。 - 金融庁
  • I will not rule out any option, which means I will consider taking prevention measures that are most appropriate to our era while reflecting on that sort of thing.　Although this case concerns the third tier, namely the private portion of the pension system, worries over pensions are spreading among the people, so I would like to ask you two questions.　First, looking back at the long history of the pension system, what do you think of the government's responsibility, or in other words, what do you think was problematic about the administration of the FSA and the Ministry of Health, Labour and Welfare in relation to this case?
    「あらゆる選択肢を排除することなく」ですから、そういったことも過去にはあったわけですから、そういったことも振り返りつつ、きちんとこういった時代に最適な再発防止方法も考えていきたいというふうに思っております。　私的年金、3階建て部分ではありますが、国民の年金に対する不安というのが広がっていて、2点伺いたいんですけれども、まず、随分過去に遡って、経緯はあるんですけれども、政府の責任というと大げさなんですけれども、問題点。 - 金融庁
  • When supervisors have recognized an issue of supervisory concern regarding a discretionary investment business operator’s measures to prevent internal collusion between different types of business, through daily supervisory administration or the reporting of problematic conduct, they shall identify and keep track of the status of voluntary improvement made by the discretionary investment business operator by holding in-depth hearings and, when necessary, requiring the submission of reports based on Article 56-2(1) of the FIEA, since such an issue could directly undermine the interests of rights holders and, in some cases, lead to legal violations, such as a violation of the duty of loyalty and duty of due care.
    日常の監督事務や、事故届出等を通じて把握された投資一任業者の弊害防止措置等に関する課題については、権利者に直接不利益を与えるおそれがあり、場合によっては忠実義務違反又は善管注意義務違反等の法令違反に該当する可能性があることから、深度あるヒアリングを行うことや、必要に応じて金商法第56条の２第１項の規定に基づく報告を求めることを通じて、投資一任業者における自主的な改善状況を把握することとする。 - 金融庁
  • When supervisors have recognized an issue of supervisory concern regarding measures taken by an investment trust investment company, etc., to prevent internal collusion between different types of business, through daily supervisory administration or the reporting of problematic conduct, they shall identify and keep track of the status of voluntary improvement made by the investment trust investment company, etc., by holding in-depth hearings and, when necessary, requiring the submission of reports based on Article 56-2(1) of the FIEA, since such an issue could directly undermine the interests of rights holders and, in some cases, lead to legal violations, such as a violation of the duty of loyalty and duty of due care.
    日常の監督事務や、事故届出等を通じて把握された投資信託委託会社等の弊害防止措置等に関する課題については、権利者に直接不利益を与えるおそれがあり、場合によっては忠実義務違反又は善管注意義務違反等の法令違反に該当する可能性があることから、深度あるヒアリングを行うことや、必要に応じて金商法第56条の２第１項の規定に基づく報告を求めることを通じて、投資信託委託会社等における自主的な改善状況を把握することとする。 - 金融庁
  • When supervisors have recognized an issue of supervisory concern regarding a fund management company’s measures to prevent collusion between different types of business, through daily supervisory administration or the reporting of problematic conduct, they shall identify and keep track of the status of voluntary improvement made by the fund management company by holding in-depth hearings and, when necessary, requiring the submission of reports based on Article 56-2(1) of the FIEA, since such an issue could directly undermine the interests of rights holders and investment assets and, in some cases, lead to legal violations, such as a violation of the duty of loyalty and duty of due care.
    日常の監督事務や、事故届出等を通じて把握されたファンド運用会社の弊害防止措置等に関する課題については、権利者又は運用財産に直接不利益を与えるおそれがあり、場合によっては忠実義務違反又は善管注意義務違反等の法令違反に該当する可能性があることから深度あるヒアリングを行うことや、必要に応じて金商法第56条の２第１項の規定に基づく報告を求めることを通じて、ファンド運用会社における自主的な改善状況を把握することとする。 - 金融庁
  • I think that it is absolutely inappropriate that the United State and Europe, which previously urged Japan to carry out liberalization, as well as other countries, employ practices that are problematic under WTO rules and engage in protectionism now that the situation has become like this, and I think we must stop this by all means. All countries, whether they are in the WTO or in the G-7, have been saying all along and will continue to say that protectionism is not good. However, if countries engage in protectionism regardless of what they say, I believe that Japan should take resolute actions.
    ＷＴＯ的に見れば問題があるようなことをやっているということを、今まで日本に対して自由化、自由化と言っていたアメリカやヨーロッパが、あるいはほかの国々がこういう状況になると保護主義に走るというのは、これは絶対的に私は悪だと思っていますので、これは何としても阻止しなければいけませんし、各国とも多分言葉としてはみんなそうだと、ＷＴＯの世界でもＧ７の世界でも保護主義は良くないよねというのが今までの流れですし、これからもそうでしょうけれども、言葉は言葉として実際にそういうことをやるとすれば、日本としては断固たる対策、対応を取っていかなければいけないと思います。 - 金融庁
  • For example, when a deficiency is identified in a business process relating to the sales of a certain item, the total sales of the location or business unit would be affected, if such a sales process is pervasively adopted in the location or business unit (for example, when a deficiency is identified in a shipment process of a location or business unit where all shipments are made according to formulated sales procedures). On the other hand, if the problematic business process were peculiar to the sales process of a specified item, the deficiency would only affect the sales of the item.
    例えば、ある事業拠点において、ある商品の販売に係る業務プロセスで問題が起きた場合、その問題の影響が及ぶ売上高は、当該販売プロセスが当該事業拠点に横断的な場合（例えば、ある事業拠点において、すべての出荷が定型化した販売手順を経て行われる場合であって、その出荷のプロセスに不備が発見された場合）には、当該事業拠点全体の売上高に影響を及ぼすものと考えられる一方、問題となった業務プロセスが特定の商品に係る販売プロセスに固有のものである場合には、当該商品の売上高だけに影響を及ぼすものと考えることができる。 - 金融庁
  • Regarding violation of laws pointed out in inspection reports, and acts and situations that are related to Financial Instruments Business Operators’ business operations and assets and registered financial institutions’ business operations, and that are problematic from the viewpoint of protecting public interests and investors, as well as important matters pointed out in the previous inspection regarding which improvement is not sufficient, supervisors shall order, under Article 56-2(1) of the FIEA, the submission within one month (the deadline for the submission may be shortened on an item-by-item basis) of a report on factual confirmation, the analysis of causes, and improvement and corrective measures, when they deem it necessary and appropriate to do so.
    検査報告書において指摘のあった法令に抵触する行為、その他金融商品取引業者の業務の運営又は財産の状況、登録金融機関の業務の運営に関し、公益又は投資者保護の観点から問題のある行為又は状況、及び前回検査で指摘を受けた重要な事項で改善が認められない場合のうち、必要かつ適当と認められる場合には、金融商品取引業者等に対し、当該報告書で指摘された事項についての事実確認、発生原因分析、改善・対応策、その他を取りまとめた報告書を１ヵ月以内（必要に応じ、項目ごとに短縮するものとする。）に提出することを、金商法第56条の２第１項の規定に基づき命ずるものとする。 - 金融庁
  • The United States is the only country in the world to maintain a first-to-invent system. While this principle is not in violation of the TRIPS Agreement, the first-toinvent system is problematic because: (a) the validity of a patent is neither predictable nor secure since the status of a current patent holder may be negated afterwards by the claim of the first inventor; (b) a lengthy period of time and an enormous amount of money are often required to determine who the first inventor is; and, (c) there is no system for a third party to start proceedings to determine the first inventor, such as an interference. If multiple applicants created similar inventions independently and obtained patents for them respectively, a third party would be required to pay royalties to all such inventors in an overlapping manner, which would be unfair for the third party.
    先発明主義自体は、TRIPS 協定に違反するものではないが、世界中で米国だけが採用している制度であり、⒜先発明者の出現で事後的に特許権者の地位が覆されることがありうる点で確実性、予見可能性がないこと、⒝先発明者決定手続に長期間を要するとともに多大のコストがかかること、⒞インターフェアレンス等の先発明者決定手続を第三者が開始させるための制度がないことから、複数の者が独立に同一の発明を行い、かつ、特許が付与された場合には、第三者はそれぞれの特許権者にロイヤリティを重複的に支払わなければならない状況が生じうる点で公正を欠くこと等の問題がある。 - 経済産業省
  • On the other hand, it is stipulated in an agreement on the outline of the tax system revision, reached at the end of last year between the government and the ruling parties, that the reduced tax rate of 10% applicable to stock dividend income should be raised back to the original rate of 20% at the end of 2008. In addition, some tax experts have pointed out that the planned tax exemption measures would make the tax system too complicated and problematic, from the viewpoint of the integrated taxation of financial income. It is said that taxation is politics. As the minister in charge of both the FSA, which makes tax-related requests, and the Ministry of Finance, which makes judgments on the requests, how are you going to deal with the issue of tax revision? My second question is - I will keep this simple - do you think it will be appropriate to combine the fiscal and financial affairs portfolios at the vice ministerial and parliamentary secretary levels?
    ただ一方で、昨年末に政府・与党が合意した税制改正大綱では、その株式配当に適用している軽減税率10％を本則の20％に戻すと、2008年末で廃止すると明記されており、租税法の専門家からの間からも金融所得の一体課税など課税の中立性の観点から税制を複雑にするといった指摘もあがっていますが、税は政治と言いますけれども、財務省と金融庁、この要望側とそれをどうするか判断する側、両方を所管される大臣として、まさにこの問題にどう取り組んでいかれるかというあたりをお伺いしたいのが１点と、２点目は簡潔に、人事のあり方として、副大臣、政務官人事についても兼務するのが相応しいとお考えかどうか、この点について教えてください。 - 金融庁
  • This concerns the issue of whether you can expect ordinary investors to have accurate knowledge regarding such products. It also concerns how sales activity is conducted, so we are considering all these issues. This is a complicated field. Some derivatives are like creating something from nothing. To put it simply, it is like, if I may say so, gambling. This has nothing to do with trading actual goods. In a betting game that used to be popular, we placed a bet as to whether the serial number of the next train would be an odd or even number. This is somewhat like that game, and transactions could be made without any relation to the real economy. If the parties involved in such transactions alone are to be affected, it may not be so problematic. However, as the scale of transactions has grown, the entire economy could be affected if the deals implode. So, we cannot just say, “We don't care if you suffer losses, as you have done the OTC(over-the-counter) deal with each side understanding the risk.” Therefore, we are considering all these issues.
    だから、いろいろ、これは一般投資家が、その商品にとって正確な知識を持ち得るかどうかというようなことも一つあるでしょうね。そういうことを含めての営業のやり方もあるだろうし、だから、全般について、今、検討しているところなので。だから、この世界は難しいのですよ。「虚」が「虚」を生んでいるような世界があるでしょう。簡単に言うと、言葉は悪いですけど、博打場みたいなところがありますね。実態的な取引と関係ない形で、こんなことを言ったらおかしいけれども、昔、電車が来たら、次に来るのが奇数番号か偶数かということで賭けていたでしょう。それと似たような、実態とは縁のない形での取引がされる危険性があるし、いろいろな、そういう物事を捕まえてはやる。これは、お互いだけだったら何ということはないかもしれない。それでも、やはり取引がでかくなってしまった場合、それが破裂してしまった場合は、経済全体に影響が起きる場合があるので、「相対取引で、お互い納得づくで勝手に商品を取引していたので、損しようが関係ない」といってしまえない面もあるわけでしょう。だから、そういうことを含めて、今、検討しているという最中です。 - 金融庁
  • Article 24-2 The provisions of Chapter III, Section 1, Subsection 5 of the Financial Instruments and Exchange Act (Professional Investors) (excluding Article 34-2(6) to (8) inclusive (Cases Where Professional Investors Are Deemed to Be Customers Other Than Professional Investors) and Article 34-3(5) and (6) (Cases Where Juridical Persons Who Are Customers Other than Professional Investors Are Deemed to Be Professional Investors)), the provisions of Chapter III, Section 2, Subsection 1 of that Act (General Rules) (excluding Article 35 to Article 36-4 inclusive (Scope of Business of Persons Who Engage in Type I Financial Instruments Business or Investment Management Business; Scope of Additional Business of Persons Who Only Engage in Type II Financial Instruments Business or Investment Advisory and Agency Business; Duty of Good Faith to Customers; Posting of Signs; Prohibition on Name Lending; Prohibition on Administration of Bonds, etc.), Article 37(1)(ii) (Regulations on Advertising, etc.), Article 37-2 (Obligation to Clarify in Advance), Article 37-3(1)(ii) to (iv) inclusive and (vi) and 37-3(3) (Delivery of Documents Prior to the Conclusion of a Contract), Article 37-4 (Delivery of Documents upon Conclusion of a Contract, etc.), Article 37-5 (Delivery of Documents Pertaining to Receipt of Security Deposits), Article 38(i) and (ii) and Article 38-2 (Prohibited Acts), Article 39(1), Article 39(2)(ii), Article 39(3) and (5) (Prohibition of Compensation of Loss, etc.), Article 40(i) (Rule of Suitability), and Article 40-2 to Article 40-5 inclusive (Best Execution Policy; Prohibition of Sales and Purchases, etc. where Separate Management Is Not Maintained; Restriction on Sales, etc. of Securities to Professional Investors; Obligation to Provide Professional Investors with Information Regarding Securities)), and the provisions of Article 45 (Miscellaneous Provisions) of that Act (excluding items (iii) and (iv)) shall apply mutatis mutandis to acceptance by a Trust Company of a trust under a trust agreement (meaning those that are specified by a Cabinet Office Ordinance as trust agreements with the risk of a trust principal loss caused by fluctuation in the interest rate, currency value, quotations on a Financial Instruments Market (meaning a Financial Instruments Market as prescribed in Article 2(14) of that Act), or any other index; hereinafter referred to as a "Specific Trust Agreement"). In this case, the term "Contract for a Financial Instruments Transaction" and "Financial Instruments Business" in these provisions shall respectively be deemed to be replaced with "Specific Trust Agreement" and "business for the conclusion of Specific Trust Agreements"; the term "Financial Instruments Transaction" in these provisions (excluding Article 34 of that Act) shall be deemed to be replaced with "conclusion of Specific Trust Agreements"; the term "contract to carry out Acts for a Financial Instruments Transaction (meaning acts listed in the items of Article 2(8); the same shall apply hereinafter) with a customer as the other party or on behalf of a customer" in Article 34 of that Act shall be deemed to be replaced with "Specific Trust Agreements prescribed in Article 24-2 of the Trust Business Act"; the term "the trade name or name and address" in Article 37-3(1)(i) of the Financial Instruments and Exchange Act shall be deemed to be replaced with "the address"; the term "Article 37-4(1)" in Article 37-6(1) of that Act shall be deemed to be replaced with "Article 26(1) of the Trust Business Act"; the terms "Sales and Purchases or Other Transactions of Securities, etc." and "item (i) of the preceding paragraph" in Article 39(2)(i) of the Financial Instruments and Exchange Act shall respectively be deemed to be replaced with "conclusion of Specific Trust Agreements" and "Compensation of Losses, etc. (meaning compensation for losses or supplementation of profit as prescribed in Article 24(1)(iv) of the Trust Business Act; the same shall apply in item (iii))"; the term "Sales and Purchases or Other Transactions of Securities, etc." and "provided under item (iii) of the preceding paragraph" in Article 39(2)(iii) of the Financial Instruments and Exchange Act shall respectively be deemed to be replaced with "conclusion of Specific Trust Agreements" and "pertaining to compensation of losses, etc."; and the term "Problematic Conduct" in Article 39(4) of that Act shall be deemed to be replaced with "an accident imputable to a Trust Company." In addition, the necessary technical replacement of terms shall be specified by a Cabinet Order.
    第二十四条の二　金融商品取引法第三章第一節第五款（第三十四条の二第六項から第八項まで（特定投資家が特定投資家以外の顧客とみなされる場合）並びに第三十四条の三第五項及び第六項（特定投資家以外の顧客である法人が特定投資家とみなされる場合）を除く。）（特定投資家）、同章第二節第一款（第三十五条から第三十六条の四まで（第一種金融商品取引業又は投資運用業を行う者の業務の範囲、第二種金融商品取引業又は投資助言・代理業のみを行う者の兼業の範囲、顧客に対する誠実義務、標識の掲示、名義貸しの禁止、社債の管理の禁止等）、第三十七条第一項第二号（広告等の規制）、第三十七条の二（取引態様の事前明示義務）、第三十七条の三第一項第二号から第四号まで及び第六号並びに第三項（契約締結前の書面の交付）、第三十七条の四（契約締結時等の書面の交付）、第三十七条の五（保証金の受領に係る書面の交付）、第三十八条第一号及び第二号並びに第三十八条の二（禁止行為）、第三十九条第一項、第二項第二号、第三項及び第五項（損失補てん等の禁止）、第四十条第一号（適合性の原則等）並びに第四十条の二から第四十条の五まで（最良執行方針等、分別管理が確保されていない場合の売買等の禁止、特定投資家向け有価証券の売買等の制限、特定投資家向け有価証券に関する告知義務）を除く。）（通則）及び第四十五条（第三号及び第四号を除く。）（雑則）の規定は、信託会社が行う信託契約（金利、通貨の価格、金融商品市場（同法第二条第十四項に規定する金融商品市場をいう。）における相場その他の指標に係る変動により信託の元本について損失が生ずるおそれがある信託契約として内閣府令で定めるものをいう。以下「特定信託契約」という。）による信託の引受けについて準用する。この場合において、これらの規定中「金融商品取引契約」とあるのは「特定信託契約」と、「金融商品取引業」とあるのは「特定信託契約の締結の業務」と、これらの規定（同法第三十四条の規定を除く。）中「金融商品取引行為」とあるのは「特定信託契約の締結」と、同法第三十四条中「顧客を相手方とし、又は顧客のために金融商品取引行為（第二条第八項各号に掲げる行為をいう。以下同じ。）を行うことを内容とする契約」とあるのは「信託業法第二十四条の二に規定する特定信託契約」と、同法第三十七条の三第一項第一号中「商号、名称又は氏名及び住所」とあるのは「住所」と、同法第三十七条の六第一項中「第三十七条の四第一項」とあるのは「信託業法第二十六条第一項」と、同法第三十九条第二項第一号中「有価証券売買取引等」とあるのは「特定信託契約の締結」と、「前項第一号」とあるのは「損失補てん等（信託業法第二十四条第一項第四号の損失の補てん又は利益の補足をいう。第三号において同じ。）」と、同項第三号中「有価証券売買取引等」とあるのは「特定信託契約の締結」と、「前項第三号の提供」とあるのは「損失補てん等」と、同条第四項中「事故」とあるのは「信託会社の責めに帰すべき事故」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
＜前へ 1 2 3 4 5 6 7 8 9

例文データの著作権について