trading operationsとは 意味・読み方・使い方

(2) Securing of business operations pertaining to prohibited acts such as solicitation of investment with positive judgment statements, discretionary account trading, loss compensation, provision of additional profits, etc., based on the principles of "self responsibility" and "suitability".発音を聞く 例文帳に追加

②「自己責任原則」、「適合性の原則」に基づき、断定的判断の提供による勧誘、取引一任勘定、損失補填、利益追加等の禁止行為等に留意した業務運営の確保 - 金融庁

c. Methods and measures have been developed in the operations either to not handle margin trading, or to exclude transactions that undermine the fairness of trade, such as insider trading, market manipulation, intentional market making, and short selling and other acts which, if conducted in a financial instruments exchange market, would infringe on restrictions on short-selling.発音を聞く 例文帳に追加

ｃ．当該業務において信用取引を取り扱わず、また、インサイダー取引、相場操縦、作為的相場形成、取引所金融商品市場で行えば空売り規制に抵触することとなる空売り等の取引の公正を害する売買等を排除する方法及び態勢が確立していること。 - 金融庁

(i) Are staff members with expertise in using the market risk measurement technique and the pricing model secured according to the needs of the operations of the relevant divisions (the Office (Trading, Banking) Divisions, the Market Risk Management Division, the Back-Office Division, the Internal Audit Division, etc.)?発音を聞く 例文帳に追加

（ⅰ）各部門（市場部門、市場リスク管理部門、事務管理部門、内部監査部門等）の業務に応じて、市場リスク計測手法及びプライシング・モデルの使用に習熟した人員が確保されているか。 - 金融庁

To provide an accounting apparatus capable of reflecting trading data such as sales/purchase to business at an earlier stage than that of in the past and reducing time and manpower required by accounting operations.例文帳に追加

売上・仕入などの取引データを従前より早期に経営に反映させることが可能であり、かつ会計処理業務に有する手間と人手とを削減することが可能な旅行業向け会計処理装置を提供する。 - 特許庁

With regard to foreign securities companies that apply for permission under Article 60(1) of the FIEA to engage only in proprietary trading, supervisors shall examine whether the foreign securities companies can appropriately conduct the business operations for which permission is being sought.発音を聞く 例文帳に追加

自己の勘定による取引のみを行うために金商法第 60条第１項の許可の申請を行う外国証券業者については、申請業務を適切に行うことができるかどうかを審査することとする - 金融庁

(1) Whether registered financial institutions, which conduct dealing operations of government bond certificates, etc., short-term investment securities or asset finance-type investment securities (in the case of accounts other than specified trading accounts conducted by registered financial institutions which have adopted specified trade accounts (accounts similar to the specified trade accounts for a branch of foreign banks; the same shall apply hereinafter)), conduct trading for the purpose of investment of securities related to the said operations in an integrated manner.発音を聞く 例文帳に追加

（１）国債証券等、短期有価証券又は資産金融型有価証券のディーリング業務を行う登録金融機関にあっては、当該業務に係る有価証券等についての投資目的（特定取引勘定(外国銀行支店にあっては特定取引勘定と類似の勘定。以下同じ。)を設けている登録金融機関については特定取引勘定以外の勘定で行う場合。以下同じ。）の売買業務等を一体として行っていないか。 - 金融庁

Against the background of the increasing diversity and complexity of the business operations of securities companies, etc., as market players, such as principal investments, M&A advisory services, proposals for fund-raising through complex schemes and trading of securitization products, the number of incidents involving potential conflicts of interest and ethical problems related to their business operations is increasing.発音を聞く 例文帳に追加

プリンシパル投資やＭ＆Ａ助言業務、複雑な商品性を有する資金調達の提案、証券化取引など、市場プレイヤーとしての証券会社等の業務が多様化・複雑化していることを背景に、証券会社等の業務において潜在的な利益相反や企業倫理の観点から問題を孕むケースが増加している。 - 金融庁

(v) Regarding the selection of the entities to which orders are placed and business operations are entrusted, whether the discretionary investment business operator has properly specified the matters concerning the entities’ transaction execution capability, the control environment for legal compliance, credit risk and trading costs as items that should be taken into consideration.発音を聞く 例文帳に追加

⑤ 発注先や業務委託先等の選定に関し、当該者に係る取引執行能力、法令等遵守状況、信用リスク及び取引コスト等に関する事項が、勘案すべき事項として適切に定められているか。 - 金融庁