「underwriting process」を含む例文一覧(2)
- In cases where a securities company, etc. acts as a lead underwriter of share certificates issued by its parent/subsidiary corporations, etc. under Article 153(1)(iv)(c) of the FIB Cabinet Office Ordinance, whether the following measures have been taken to ensure that other securities companies, etc. can appropriately participate in the process of determining the issue price for such underwriting.
証券会社等が、金商業等府令第153条第１項第４号ニに基づき、その親子法人等が発行する株券等の引受けの主幹事会社となる場合には、当該引受けに係る発行価格の決定に関して他の証券会社等の適切な関与を確保するため、以下の措置が講じられているか。 - 金融庁 - The recent subprime loan crisis has revealed the global extent of focuses of the securitized instruments market and its attendant risk management issues. One of the SESC inspection’s focuses will thus be on the securitization process, namely underwriting examination, risk management, sales management and other related control systems of financial instruments firms that arrange, underwrite, and market such securitized instruments.
他方、サブプライムローン問題を通じて顕在化した、証券化商品の世界的な広がりと、それに伴うリスク管理上の問題を踏まえ、特に、証券化商品の組成、引受、販売等を行う金融商品取引業者の引受審査態勢、リスク管理態勢及び販売管理態勢等に着目して検証を行っていく必要がある。 - 金融庁
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