「Brokerage Business」に関連した英語例文の一覧と使い方(3ページ目) - Weblio英語例文検索

B. Whether the primary business operator has developed a control environment that ensures the results of the above monitoring are examined by its division in charge and reported to the management team when necessary, so that they are reflected in the provision of appropriate guidance by the primary business operator and in the conduct of business operations by agency/brokerage service providers. 例文帳に追加

ロ．上記モニタリングの結果等について、所属業者の責任ある部署において検証が行われ、必要に応じて経営陣に報告が行われるなど、所属業者の適切な業務指導や代理・媒介業者の適切な業務運営に反映させるなどの態勢整備が図られているか。 - 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. 例文帳に追加

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

Article 215 A Futures Commission Merchant shall engage in a Commodity Transactions Brokerage Business in such a manner that it does not fail to protect customers by carrying out solicitation which is found to be inappropriate in light of the customers' knowledge and experience or the status of their property or for the purpose of concluding a Brokerage Contract or risk failing to protect such customers. 例文帳に追加

第二百十五条　商品取引員は、顧客の知識、経験、財産の状況及び受託契約を締結する目的に照らして不適当と認められる勧誘を行つて委託者の保護に欠け、又は欠けることとなるおそれがないように、商品取引受託業務を営まなければならない。 - 日本法令外国語訳データベースシステム

(2) In addition to the business report prescribed in the preceding paragraph, a Futures Commission Merchant shall submit to the competent minister a written report on the Commodity Transactions Brokerage Business or on the status of the property of said Futures Commission Merchant pursuant to the provisions of an ordinance of the competent ministry. 例文帳に追加

２　商品取引員は、前項に規定する事業報告書のほか、主務省令で定めるところにより、当該商品取引員の商品取引受託業務又は財産の状況に関する報告書を主務大臣に提出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

It should be noted that the validity of measures to ensure the appropriateness of the business operations of agency/brokerage service providers need to be examined from a comprehensive perspective, in light of the nature and size of their business and their status of concurrent engagement in different types of business, and that failure to meet some of the criteria included in the supervisory evaluation points should not automatically be deemed to mean that their business operations are inappropriate. 例文帳に追加

なお、代理・媒介業者に求められる業務の適切性を確保するための措置は、その行う業務の内容、規模及び当該業者の兼業状況等を踏まえた上で総合的に判断する必要があり、監督上の評価項目の一部を充足していないことをもって、直ちに不適切とするものではないことに留意するものとする。 - 金融庁

1. With regard to distinction of clearing margins, etc., distinction by clearing margin, customer margin, intermediary margin, clearing intermediary margin, deposit of option premium, or deposit pertaining to Commodity Transactions Brokerage Business shall be recorded. 例文帳に追加

一　証拠金等の別については、取引証拠金、委託証拠金、取次証拠金、清算取次証拠金、オプション料預り金又は商品取引受託業務に係る預り金の別を記載すること。 - 日本法令外国語訳データベースシステム

(18) The term "Futures Commission Merchant" as used in this Act shall mean a person who has received a license from the competent minister pursuant to the provisions of Article 190, paragraph (1) with regard to engagement in the Commodity Transactions Brokerage Business. 例文帳に追加

１８　この法律において「商品取引員」とは、商品取引受託業務を営むことについて第百九十条第一項の規定により主務大臣の許可を受けた者をいう。 - 日本法令外国語訳データベースシステム

On the other hand, it is essential to maintain the sound and appropriate management of agency/brokerage services in order to prevent illegal transactions that may be made through the abuse of a position as an ordinary business operator. 例文帳に追加

その一方で、一般事業者としての取引関係を利用した不公正な取引が行われることのないよう、代理・媒介業の健全かつ適切な運営が確保されなくてはならない。 - 金融庁

Article 15 The provisions of Article 197, paragraph (3) of the New Act shall apply to abolition, merger (limited to a merger in the case where a juridical person surviving the merger or a juridical person established by the merger does not engage in Commodity Transactions Brokerage Business), or dissolution due to any reason other than the merger or bankruptcy of a Commodity Transactions Brokerage Business on and after the day on which 30 days have elapsed from the Effective Date. 例文帳に追加

第十五条　新法第百九十七条第三項の規定は、施行日から起算して三十日を経過した日以後の商品取引受託業務の廃止、合併（合併後存続する法人又は合併により設立される法人が商品取引受託業務を営まない場合の当該合併に限る。）又は合併及び破産以外の理由による解散について適用する。 - 日本法令外国語訳データベースシステム

Article 228 (1) A transfer of the whole or a part of its Commodity Transactions Brokerage Business by a Futures Commission Merchant to another stock company (hereinafter referred to as a "Business Transfer" in this Article and Article 230) shall not come into effect without the approval of the competent minister having been obtained. 例文帳に追加

第二百二十八条　商品取引員が他の株式会社に行う商品取引受託業務の全部又は一部の譲渡（以下この条及び第二百三十条において「事業譲渡」という。）は、主務大臣の認可を受けなければ、その効力を生じない。 - 日本法令外国語訳データベースシステム

(x) a document stating the number of employees who have been sentenced to imprisonment or severe punishment (including an equivalent punishment under the laws and regulations of a foreign state with regard to the business equivalent to a Commodity Transactions Brokerage Business in the foreign state) with regard to Commodity Transactions Brokerage Business and the specified business prescribed in Article 87 (hereinafter referred to as the "Commodity Transactions Brokerage Business, etc."), to fines pursuant to this Act or equivalent laws and regulations of a foreign state (including an equivalent punishment under the laws and regulations of a foreign state), or who have received a final disposition based on the provisions of the Act within the last five years, and include each said employee's name, date of birth, and address, the name of the business office or department to which said employee is assigned, his/her official title, whether or not said employee has been registered as a Sales Representative, the date when and the reasons why said officer was punished by said fines or in receipt of said disposition, and all other such details; 例文帳に追加

十　過去五年以内に、商品取引受託業務及び第八十七条に規定する特定業務（以下「商品取引受託業務等」という。）に関して禁錮以上の刑（外国において商品取引受託業務等に相当する業務に関してこれに相当する外国の法令による刑を含む。）若しくは法若しくはこれに相当する外国の法令の規定により罰金の刑（これに相当する外国の法令による刑を含む。）に処せられ、又は法の規定に基づく処分を受けたことのある職員の数、当該職員の氏名、生年月日、住所、所属する営業所の名称、所属する部署、職名及び外務員登録の有無並びに当該禁錮以上の刑若しくは当該罰金の刑に処せられ、又は当該処分を受けた年月日、理由及びその内容を記載した書面 - 日本法令外国語訳データベースシステム

(ii) Over-the-Counter Transactions of Derivatives where a Financial Instruments Business Operator or a bank, Cooperative Structured Financial Institution, or other financial institution specified by a Cabinet Order prescribed in Article 33(1) conducts intermediary, brokerage or agency service. 例文帳に追加

二　金融商品取引業者又は第三十三条第一項に規定する銀行、協同組織金融機関その他政令で定める金融機関が媒介、取次ぎ若しくは代理を行う店頭デリバティブ取引 - 日本法令外国語訳データベースシステム

(6) A Stock Company Resulting from a Merger shall succeed to the rights and obligations which the Futures Commission Merchant dissolved by a Merger has based on any permission, license or other disposition of the competent minister concerning the Commodity Transactions Brokerage Business of said Futures Commission Merchant dissolved by a Merger. 例文帳に追加

６　合併後の会社は、合併により消滅した商品取引員の商品取引受託業務に関し、主務大臣の許可その他の処分に基づいて有する権利及び義務を承継する。 - 日本法令外国語訳データベースシステム

Whether the primary business operator has established arrangements and procedures for responding to complaints, such as specifying the contact point for customer complaints regarding agency/brokerage services, establishing a division in charge of processing complaints and prescribing procedures for processing complaints. 例文帳に追加

代理・媒介業者が行う代理・媒介業に係る顧客からの苦情受付窓口の明示、苦情処理担当部署の設置、苦情案件処理手順等の策定等の苦情対応体制が整備されているか。 - 金融庁

The establishment of the framework for agency/brokerage services is expected to contribute to securing and improving investors’ access to investment services and facilitate efficient use of various sales channels, including Financial Instruments Business Operators. 例文帳に追加

代理・媒介業の制度が創設されたことにより、投資者の投資サービスに対するアクセスの確保・向上及び金融商品取引業者等の多様な販売チャネルの効率的な活用が期待されるが、 - 金融庁

(i) Whether agency/brokerage service providers ensure the conduct of appropriate business operations in compliance with laws and regulations by prescribing specific procedures for customer solicitation, the provision of explanations of the contents of contracts and the provision of documents at the singing of contracts under internal rules. 例文帳に追加

① 社内規則に顧客への勧誘、契約内容の説明及び契約締結時交付書面の交付の方法が具体的に定められており、法令等を遵守した適切な業務を行うこととしているか。 - 金融庁

(3) When a Futures Commission Merchant intends to abolish its Commodity Transactions Brokerage Business, implement a merger (limited to a merger where the juridical person surviving a merger or a juridical person established by a merger does not engage in Commodity Transactions Brokerage Business) or dissolve based on a reason other than a merger or a decision to commence bankruptcy proceedings, the Futures Commission Merchant shall, by 30 days prior to that day, give a public notice to that effect and post a notice to that effect in a place easily seen by the public at all of its business offices pursuant to the provisions of an ordinance of the competent ministry. 例文帳に追加

３　商品取引員は、商品取引受託業務の廃止をし、合併（合併後存続する法人又は合併により設立される法人が商品取引受託業務を営まない場合の当該合併に限る。）をし、又は合併及び破産手続開始の決定以外の理由による解散をしようとするときは、その日の三十日前までに、主務省令で定めるところにより、その旨を公告するとともに、すべての営業所の公衆の目につきやすい場所に掲示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

When discretionary investment business operators entrust business operations to agency/brokerage service providers (business operators engaging in agency/brokerage services (as specified under Article 2(8)(xiii); the same shall apply hereinafter); the same shall apply hereinafter), it is important that they provide the service providers with guidance regarding the establishment of a control environment for customer management, from the viewpoint of ensuring the implementation of appropriate investment solicitation suited to the customers’ attributes, and require them to ensure thorough legal compliance based on the examination of the actual status of their investment solicitation. 例文帳に追加

投資一任業者が代理・媒介業者（代理・媒介業（金商法第２条第８項第13号に規定する業務をいう。以下同じ。）を行う者をいう。以下同じ。）に業務の委託を行う際には、顧客属性等に則した適正な投資勧誘の履行を確保する観点から、当該代理・媒介業者に対し、顧客の属性等及び取引実態を的確に把握し得る顧客管理態勢の確立につき指導するとともに、当該代理・媒介業者の投資勧誘実態を把握したうえで法令遵守の徹底を求めることが重要である。 - 金融庁

Article 233 When the competent minister finds it necessary for securing the sound implementation of the Commodity Transactions Brokerage Business of a Futures Commission Merchant, he/she may recommend said Futures Commission Merchant to take any necessary measures concerning its Subsidiary Business or the business of a juridical person over which said Futures Commission Merchant has a controlling interest under Article 196, paragraph (2). 例文帳に追加

第二百三十三条　主務大臣は、商品取引員の商品取引受託業務の健全な遂行を確保するため必要があると認めるときは、当該商品取引員に対し、兼業業務又は当該商品取引員が第百九十六条第二項に規定する支配関係を持つている法人の業務に関し必要な措置をとるべきことを勧告することができる。 - 日本法令外国語訳データベースシステム

(6) A Formed Company shall succeed to the rights and obligations which the Futures Commission Merchant implementing a Consolidation-Type Split has based on any permission, license or other disposition of the competent minister concerning the Commodity Transactions Brokerage Business of said Futures Commission Merchant which is subject to the transfer. 例文帳に追加

６　設立会社は、新設分割をした商品取引員の承継の対象となる商品取引受託業務に関し、主務大臣の許可その他の処分に基づいて有する権利及び義務を承継する。 - 日本法令外国語訳データベースシステム

(6) A Succeeding Company shall succeed to the rights and obligations which the Futures Commission Merchant implementing an Absorption-Type Split has based on any permission, license or other disposition of the competent minister concerning the Commodity Transactions Brokerage Business of said Futures Commission Merchant which is subject to the transfer. 例文帳に追加

６　承継会社は、吸収分割をした商品取引員の承継の対象となる商品取引受託業務に関し、主務大臣の許可その他の処分に基づいて有する権利及び義務を承継する。 - 日本法令外国語訳データベースシステム

(i) When signing contracts for entrusting agency/brokerage services, whether the discretionary investment business operator specifies the significance of the entrustment in relation to governance, identifies the various risks involved therein and conducts sufficient deliberations on the method of risk management. 例文帳に追加

① 代理・媒介業を委託する契約を締結するに際して、経営管理上の位置付けや業務を委託することに伴う各種リスクの把握及びリスク管理の方法等について、十分に検討が行われているか。 - 金融庁

A. When signing contracts for entrusting agency/brokerage services, whether the investment advisory business operator specifies the significance of the entrustment in relation to governance, identifies the various risks involved therein and conducts sufficient deliberations on the method of risk management. 例文帳に追加

イ．代理・媒介業を委託する契約を締結するに際して、経営管理上の位置付けや業務を委託することに伴う各種リスクの把握及びリスク管理の方法等について、十分に検討が行われているか。 - 金融庁

In cases where the agency/brokerage service providers concurrently engage in other services in particular, whether the discretionary investment business operator not only examines the possibility of the nature of the other services damaging public confidence in the service providers, but also conducts sufficient deliberations in consideration of the primary business operator’s reputational risk. 例文帳に追加

特に、代理・媒介業者が兼業業務を行う場合にあっては、当該兼業業務の内容について、代理・媒介業者としての社会的信用を損なうおそれがないこと等に係る検討を行うことに留まらず、所属業者のレピュテーション等の観点からも十分な検討が行われているか。 - 金融庁

(i) Cases where the Futures Commission Merchant concludes Brokerage Contracts at branch offices or any other business offices other than the head office (with regard to a juridical person established in accordance with the laws and regulations of a foreign state, secondary business offices in Japan; hereinafter referred to as the "Branch Office(s), etc." in this item and Article 29, paragraphs (2) and (3))- The method of posting the solicitation policy in a clearly visible manner or providing the solicitation policy for public inspection at each Branch Office, etc. where Brokerage Contracts will be concluded 例文帳に追加

一　商品取引員が、支店その他の本店以外の営業所（外国の法令に準拠して設立された法人にあつては、国内における従たる営業所。以下この号並びに第二十九条第二項及び第三項において「支店等」という。）において受託契約の締結を行う場合　受託契約の締結を行う支店等ごとに、勧誘方針を見やすいように掲示する方法又は勧誘方針を閲覧に供する方法 - 日本法令外国語訳データベースシステム

When investment advisory business operators entrust business operations to agency/brokerage service providers, it is important that they provide the service providers with guidance regarding the establishment of arrangements and procedures for customer due diligence that enable precise identification of the attributes of customers and the actual state of transactions, from the viewpoint of ensuring the implementation of appropriate investment solicitation suited to customer attributes. In addition, they should require the agency/brokerage service providers to ensure thorough legal compliance based on the examination of the actual status of their investment solicitation. 例文帳に追加

投資助言業者が代理・媒介業者に業務の委託を行う際には、顧客属性等に則した適正な投資勧誘の履行を確保する観点から、当該代理・媒介業者に対し、顧客の属性等及び取引実態を的確に把握し得る顧客管理体制の確立につき指導するとともに、当該代理・媒介業者の投資勧誘実態を把握したうえで法令遵守の徹底を求めることが重要である。 - 金融庁

However, once the said foreign securities company has been granted the said permission, if it intends to start conducting brokerage services for orders on consignment for overseas customers, supervisors will need to re-examine whether the foreign securities company can appropriately conduct the said business operations. 例文帳に追加

が、当該外国証券業者が当該許可を受けた後に、新たに海外顧客の委託注文の取次ぎ業務を行おうとする場合には、当該業務を適切に行うことができるかについて、改めて審査する必要がある。 - 金融庁

Apart from the traditional business operator engaged in face-to-face brokerage business, the services of financial instruments business operators have been diversifying into, for example, operators specialized in principal transactions, Internet financial service providers, operators exclusively handling derivatives and other complicated instruments, new entrants from different industries, and so on. 例文帳に追加

このような変化に対応するため、欧州はもとより、米国においても規制の横断化が図られており、金融・資本市場のグローバル化が進展する中、わが国においても証券取引法等の関係法律を改正し、幅広い金融商品を包括的・横断的に規制し、また、これらを取り扱う業者に対しても同等の規制を及ぼすことを内容とした金融商品取引法が整備されたところである。 - 金融庁

(2) A Futures Commission Merchant which intends to obtain the approval set forth in the preceding paragraph shall submit to the competent minister a written application stating the matters set forth in the respective items of Article 192, paragraph (1) with regard to the stock company receiving the whole or a part of its Commodity Transactions Brokerage Business by the Business Transfer (hereinafter referred to as the "Transferee Company"). 例文帳に追加

２　前項の認可を受けようとする商品取引員は、事業譲渡により商品取引受託業務の全部又は一部を譲り受ける株式会社（以下この条において「譲受会社」という。）について第百九十二条第一項各号に掲げる事項を記載した申請書を主務大臣に提出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

(xiii) a document stating, with regard to the parties to the Business Transfer, the number of employees who have been sentenced to imprisonment or severe punishment with regard to Commodity Transactions Brokerage Business, etc. (including an equivalent punishment under the laws and regulations of a foreign state with regard to the business equivalent of Commodity Transactions Brokerage Business, etc. in the foreign state), to fines pursuant to this Act or equivalent laws and regulations of a foreign state (including an equivalent punishment under the laws and regulations of a foreign state), or who received a final disposition based on the provisions of the Act within the last five years, and include each said employee's name, date of birth, and address, name of the business office or department to which said employee is assigned, the official title, whether or not said employee has been registered as a Sales Representative, the date when and the reasons why punished by said fines or in receipt of said disposition, and all other such details; 例文帳に追加

十三　過去五年以内に、事業譲渡の当事者について商品取引受託業務等に関して禁錮以上の刑（外国において商品取引受託業務等に相当する業務に関してこれに相当する外国の法令による刑を含む。）若しくは法若しくはこれに相当する外国の法令の規定により罰金の刑（これに相当する外国の法令による刑を含む。）に処せられ、又は法の規定に基づく処分を受けたことのある職員の数、当該職員の氏名、生年月日、住所、所属する営業所の名称、所属する部署、職名及び外務員登録の有無並びに当該禁錮以上の刑若しくは当該罰金の刑に処せられ、又は当該処分を受けた年月日、理由及びその内容を記載した書面 - 日本法令外国語訳データベースシステム

Article 189 (1) The provisions of the Commodity Exchange Act revised by the provisions of Article 12 (hereinafter referred to as the "New Commodity Exchange Act" in this Article) shall apply to the Commodity Transactions Brokerage Business prescribed in Article 2, paragraph (17) of the New Commodity Exchange Act that are carried out after the enforcement of this Act, and the provisions then in force shall remain applicable to the Commodity Transactions Brokerage Business prescribed in Article 2, paragraph (17) of the Commodity Exchange Act prior to the revision by the provisions of Article 12 that are carried out prior to the enforcement of this Act. 例文帳に追加

第百八十九条　第十二条の規定による改正後の商品取引所法（以下この条において「新商品取引所法」という。）の規定は、この法律の施行後に行われる新商品取引所法第二条第十七項に規定する商品取引受託業務について適用し、この法律の施行前に行われた第十二条の規定による改正前の商品取引所法第二条第十七項に規定する商品取引受託業務については、なお従前の例による。 - 日本法令外国語訳データベースシステム

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. 例文帳に追加

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

Meanwhile, unregistered foreign securities companies with no business base in Japan are allowed to engage in activities concerning securities-related businesses with persons in Japan as their transaction counterparts, if they take orders from the said persons without conducting solicitation regarding activities concerning securities-related businesses or take orders through agency and brokerage services provided by Financial Instruments Business Operators (limited to Type I Financial Instruments Business Operators). 例文帳に追加

他方、国内に拠点を有しない無登録の外国証券業者であっても、有価証券関連業に係る行為についての勧誘をすることなく、あるいは金融商品取引業者（第一種金融商品取引業に限る。）による代理又は媒介により、国内にある者の注文を受けて外国からその者を相手方として有価証券関連業に係る行為を行うことについては許容されている。 - 金融庁

(xvii) in cases where the person uses an electronic data processing system for Commodity Transactions Brokerage Business, a document stating the description, installation location, capacity, and maintenance system of said electronic data processing system, and the process for responding in the event of the failure of said electronic data processing system; 例文帳に追加

十七　商品取引受託業務において電子情報処理組織を使用する場合には、当該電子情報処理組織の概要、設置場所、容量及び保守の方法並びに当該電子情報処理組織に異常が発生した場合の対処方法を記載した書類 - 日本法令外国語訳データベースシステム

(xvi) in cases where the Formed Company uses an electronic data processing system for Commodity Transactions Brokerage Business, a document giving the description, installation location, capacity, and maintenance system of said electronic data processing system, and the process for responding in the event of the failure of said electronic data processing system; 例文帳に追加

十六　設立会社が商品取引受託業務において電子情報処理組織を使用する場合には、当該電子情報処理組織の概要、設置場所、容量及び保守の方法並びに当該電子情報処理組織に異常が発生した場合の対処方法を記載した書類 - 日本法令外国語訳データベースシステム

(xx) in cases where the Succeeding Company uses an electronic data processing system for Commodity Transactions Brokerage Business, a document giving the description, installation location, capacity, and maintenance system of said electronic data processing system, and process for responding in the event of failure of said electronic data processing system; 例文帳に追加

二十　承継会社が商品取引受託業務において電子情報処理組織を使用する場合には、当該電子情報処理組織の概要、設置場所、容量及び保守の方法並びに当該電子情報処理組織に異常が発生した場合の対処方法を記載した書類 - 日本法令外国語訳データベースシステム

(xx) in cases where the Transferee Company uses an electronic data processing system for Commodity Transactions Brokerage Business, a document stating the description, installation location, capacity, and maintenance system of said electronic data processing system, and the process for responding in the event of the failure of said electronic data processing system; 例文帳に追加

二十　譲受会社が商品取引受託業務において電子情報処理組織を使用する場合には、当該電子情報処理組織の概要、設置場所、容量及び保守の方法並びに当該電子情報処理組織に異常が発生した場合の対処方法を記載した書類 - 日本法令外国語訳データベースシステム

Article 213-2 (1) A Futures Commission Merchant shall, when advertising the contents of its Commodity Transactions Brokerage Business or conducting any similar acts specified by an ordinance of the competent ministry, indicate the following matters pursuant to the provisions of an ordinance of the competent ministry: 例文帳に追加

第二百十三条の二　商品取引員は、その行う商品取引受託業務の内容について広告その他これに類似するものとして主務省令で定める行為をするときは、主務省令で定めるところにより、次に掲げる事項を表示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

Article 220-2 (1) A Futures Commission Merchant shall, when having received a Clearing Margin, etc. to be deposited by the customer with regard to its Commodity Transactions Brokerage Business, immediately deliver to the customer, pursuant to the provisions of an ordinance of the competent ministry, a document stating to that effect. 例文帳に追加

第二百二十条の二　商品取引員は、その行う商品取引受託業務に関して顧客が預託すべき取引証拠金等を受領したときは、顧客に対し、直ちに、主務省令で定めるところにより、その旨を記載した書面を交付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

(Note) It should be kept in mind that in cases where the business operator not only points out technical errors in the application form or failure to attach necessary documents when collecting them from customers but also checks the contents of the application form and other documents, the activity may be deemed to constitute a brokerage service. 例文帳に追加

（注）このとき、単なる契約申込書の受領・回収又は契約申込書の誤記・記載漏れ・必要書類の添付漏れの指摘を超えて、契約申込書の記載内容の確認等まで行う場合は、媒介に当たることがあり得ることに留意する。 - 金融庁

When supervisors have recognized an issue of supervisory concern regarding the primary business operator’s selection of agency/brokerage service providers, 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 by holding in-depth hearings and, when necessary, requiring the submission of reports based on Article 56-2(1) of the FIEA. 例文帳に追加

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・媒介業者の選定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

(ii) rights based on a contract under which Business Associates of a company that issues share certificates (meaning persons who are designated by said company as business associates of said company; hereinafter the same shall apply in this item) promise to purchase (limited to purchases made through applying for intermediation, brokerage or agency to a Financial Instruments Specialist) the share certificates of said company on a continual basis, jointly with the other Business Associates of said company, according to a certain plan, without depending on an individual investment decision (limited to a contract wherein each Business Associate is to contribute less than one million yen on each occasion). 例文帳に追加

二　株券の発行者である会社の取引関係者（当該会社の指定する当該会社と取引関係にある者をいう。以下この号において同じ。）が当該会社の他の取引関係者と共同して当該会社の株券の買付け（金融商品取引業者に媒介、取次ぎ又は代理の申込みをして行うものに限る。）を、一定の計画に従い、個別の投資判断に基づかず、継続的に行うことを約する契約（各取引関係者の一回当たりの拠出金額が百万円に満たないものに限る。）に基づく権利 - 日本法令外国語訳データベースシステム

(xiii) a document stating, with regard to the parties to the merger, the number of employees who have been sentenced to imprisonment or severe punishment with regard to Commodity Transactions Brokerage Business, etc. (including an equivalent punishment under the laws and regulations of a foreign state with regard to the business equivalent of Commodity Transactions Brokerage Business, etc. in the foreign state), to fines pursuant to this Act or equivalent laws and regulations of a foreign state (including an equivalent punishment under the laws and regulations of a foreign state), or who have received a final disposition based on the provisions of the Act within the last five years, and include each said employee's name, date of birth, and address, the name of the business office or department to which said employee is assigned, the official title, whether or not said employee has been registered as a Sales Representative, the date when and the reasons why punished by said fines or in receipt of said disposition, and all other such details; 例文帳に追加

十三　過去五年以内に、合併の当事者について商品取引受託業務等に関して禁錮以上の刑（外国において商品取引受託業務等に相当する業務に関してこれに相当する外国の法令による刑を含む。）若しくは法若しくはこれに相当する外国の法令の規定により罰金の刑（これに相当する外国の法令による刑を含む。）に処せられ、又は法の規定に基づく処分を受けたことのある職員の数、当該職員の氏名、生年月日、住所、所属する営業所の名称、所属する部署、職名及び外務員登録の有無並びに当該禁錮以上の刑若しくは当該罰金の刑に処せられ、又は当該処分を受けた年月日、理由及びその内容を記載した書面 - 日本法令外国語訳データベースシステム

(ix) a document stating, with regard to the parties to a Consolidation-Type Split, the number of employees who have been sentenced to imprisonment or severe punishment with regard to Commodity Transactions Brokerage Business, etc. (including an equivalent punishment under the laws and regulations of a foreign state with regard to the business equivalent of Commodity Transactions Brokerage Business, etc. in such foreign state), to fines pursuant to this Act or equivalent laws and regulations of a foreign state (including an equivalent punishment under the laws and regulations of a foreign state), or who have received a final disposition based on the provisions of the Act within the last five years, and include each said employee's name, date of birth, and address, the name of the business office or department to which said employee is assigned, the official title, whether or not said employee has been registered as a Sales Representative, the date when and the reasons why punished by said fines or in receipt of said disposition, and all other such details; 例文帳に追加

九　過去五年以内に、新設分割の当事者について商品取引受託業務等に関して禁錮以上の刑（外国において商品取引受託業務等に相当する業務に関してこれに相当する外国の法令による刑を含む。）若しくは法若しくはこれに相当する外国の法令の規定により罰金の刑（これに相当する外国の法令による刑を含む。）に処せられ、又は法の規定に基づく処分を受けたことのある職員の数、当該職員の氏名、生年月日、住所、所属する営業所の名称、所属する部署、職名及び外務員登録の有無並びに当該禁錮以上の刑若しくは当該罰金の刑に処せられ、又は当該処分を受けた年月日、理由及びその内容を記載した書面 - 日本法令外国語訳データベースシステム

(xiii) a document stating, with regard to the parties to an Absorption-Type Split, the number of employees who have been sentenced to imprisonment or severe punishment with regard to Commodity Transactions Brokerage Business, etc. (including an equivalent punishment under the laws and regulations of a foreign state with regard to the business equivalent of Commodity Transactions Brokerage Business, etc. in the foreign state), to fines pursuant to this Act or equivalent laws and regulations of a foreign state (including an equivalent punishment under the laws and regulations of a foreign state), or who have received a final disposition based on the provisions of the Act within the last five years, and include each said employee's name, date of birth, and address, the name of the business office or department to which said employee is assigned, the official title, whether or not said employee has been registered as a Sales Representative, the date when and reasons why punished by said fines or in receipt of said disposition, and all other such details; 例文帳に追加

十三　過去五年以内に、吸収分割の当事者について商品取引受託業務等に関して禁錮以上の刑（外国において商品取引受託業務等に相当する業務に関してこれに相当する外国の法令による刑を含む。）若しくは法若しくはこれに相当する外国の法令の規定により罰金の刑（これに相当する外国の法令による刑を含む。）に処せられ、又は法の規定に基づく処分を受けたことのある職員の数、当該職員の氏名、生年月日、住所、所属する営業所の名称、所属する部署、職名及び外務員登録の有無並びに当該禁錮以上の刑若しくは当該罰金の刑に処せられ、又は当該処分を受けた年月日、理由及びその内容を記載した書面 - 日本法令外国語訳データベースシステム