「internal rules」に関連した英語例文の一覧と使い方(5ページ目) - Weblio英語例文検索

Does the Board of Directors have the Manager formulate, in accordance with the Legal Compliance Policy and the Legal Compliance Rules, a program for implementing specific measures to ensure compliance (including the development of internal rules and planning of employee training. Hereinafter referred to as the “Compliance Program”) at least once a year and disseminate it throughout the institution upon approval by the Board of Directors? 例文帳に追加

取締役会は、管理者に、法令等遵守方針及び法令等遵守規程に沿って、コンプライアンスを実現させるための具体的な実践計画（内部規程の整備、職員等の研修計画など。以下「コンプライアンス・プログラム」という。）を最長でも年度毎に策定させ、承認した上で組織全体に周知させているか。 - 金融庁

Has the Board of Directors or organization equivalent to the Board of Directors had the Managers in charge of operations concerning Customer Protection Management develop internal rules that clearly specify the arrangements on the management of Customer Explanation and Customer Support, as well as Customer Information Management, Outsourcing Management and Conflict of Interest Management (hereinafter referred to as the “Customer Protection Management Rules”) in accordance with the Customer Protection Management Policy? 例文帳に追加

取締役会等は、顧客保護等管理方針に則り、顧客説明管理、顧客サポート等管理、顧客情報管理、外部委託管理、利益相反管理に関する取決めを明確に定めた内部規程（以下総称して「顧客保護等管理規程」という。）を各顧客保護等管理に係る管理責任者に策定させているか。 - 金融庁

(ii) Has the Customer Information Supervisory Manager decided the method of monitoring and the organizational framework for securing appropriate Customer Information Management and developed internal rules that clearly define the arrangements for managing the relevant business (hereinafter referred to as the “Customer Information Management Rules”) in accordance with the Customer Protection Management Policy? 例文帳に追加

（ⅱ）顧客情報統括管理責任者は、顧客保護等管理方針に則り、顧客情報管理の適切性を確保するための組織体制及び顧客情報管理に関するモニタリングの方法を決定し、当該業務についての管理を行うための取決めを明確に定めた内部規程（以下「顧客情報管理規程」という。）を策定しているか。 - 金融庁

Does the Board of Directors or equivalent organization to the Board of Directors have the Manager of the Comprehensive Operational Risk Management Division (hereinafter simply referred to as the "Manager" in this checklist) develop internal rules that clearly specify the arrangements concerning comprehensive operational risk management (hereinafter referred to as the Operational Risk Management Rules") and disseminate them throughout the institution in accordance with the Operational Risk Management Policy? 例文帳に追加

取締役会等は、オペレーショナル・リスク管理方針に則り、オペレーショナル・リスクの総合的な管理に関する取決めを明確に定めた内部規程（以下「オペレーショナル・リスク管理規程」という。）をオペレーショナル・リスクの総合的な管理部門の管理者（以下本チェックリストにおいて単に「管理者」という。）に策定させ、組織内に周知させているか。 - 金融庁

Article 14-2 (1) The owner, manager or possessor of a manufacturing facility, storage facility or handling facility specified by Cabinet Order shall, in order to prevent a fire within the manufacturing facility, storage facility or handling facility, establish fire prevention rules concerning the matters specified by Ordinance of the Ministry of Internal Affairs and Communications and obtain authorization from a municipal mayor, etc. The same shall apply when revising these rules. 例文帳に追加

第十四条の二　政令で定める製造所、貯蔵所又は取扱所の所有者、管理者又は占有者は、当該製造所、貯蔵所又は取扱所の火災を予防するため、総務省令で定める事項について予防規程を定め、市町村長等の認可を受けなければならない。これを変更するときも、同様とする。 - 日本法令外国語訳データベースシステム

(b) Whether the legal compliance division or the internal audit division strives to keep track of the progress of negotiations with rating stakeholders, and whether it examines if negotiations are being conducted appropriately; and whether it strives to establish systems for ensuring the effectiveness thereof, such as by revising the internal rules, etc. when necessary. 例文帳に追加

ロ．法令等遵守部門又は内部監査部門においては、格付関係者との交渉経過の把握に努め、適切な交渉が行われているかなどについて検証を行うとともに、必要に応じ社内規則等の見直しを行うなど、その実効性を確保する態勢の構築に努めているか。 - 金融庁

For example, when a company has multiple business locations and outlets, its company-level controls are assessed to be operating effectively if 1) the business is performed based on common rules, 2) information and communication are sufficient to make decisions during the course of business, and 3) an internal audit is conducted to monitor the integrity of internal controls. 例文帳に追加

全社的な内部統制の評価結果が良好である場合や、業務プロセスに係る内部統制に関して、同一の方針に基づく標準的な手続が企業内部の複数の事業拠点で広範に導入されていると判断される場合には、サンプリングの範囲を縮小することができる。 - 金融庁

There are means in the internal audit to confirm that records are being drafted and preserved in accordance with internal procedures (rules concerning contact with competing corporations), to conduct interviews with executives and employees and to check whether there are any records which would be a problem under competition laws, including the emails of individuals and data saved on hard disks.例文帳に追加

内部監査においては、社内の手続（競合他社との接触に関するルール等）に従って 記録が作成・保存されているかを確認する、役職員と面談する、個人のeメールや、 ハードディスクに保存されたデータも含め、競争法上問題のある記録がないか確認す るといった手法がある。 - 経済産業省

ECU8 identifies an updated section showing a newly-built road or a change in traffic rules as the updated section which influences the driving of a vehicle at the time of updating map data, and stores the updated section data in an internal memory.例文帳に追加

ＥＣＵ８は地図データ更新の際、新設された道路または交通規制が変更された更新箇所を、車両の走行に影響を与える更新箇所として識別し、更新箇所データとして内部メモリに記憶する。 - 特許庁

Does the Board of Directors or organization equivalent to the Board of Directors revise the development process of internal rules and organizational frameworks 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? 例文帳に追加

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、内部規程・組織体制の整備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

For example, does the Board of Directors or organization equivalent to the Board of Directors instruct the Managers to take concrete measures such as specifying the internal rules and operational procedures that must be observed by the Marketing and Sales Division, etc. and conducting effective training on a regular basis? 例文帳に追加

例えば、各管理責任者に、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

(i) Does the Board of Directors or equivalent organization to the Board of Directors provide a system to fully disseminate the relevant internal rules and operational procedures to the divisions involving risks to be managed (e.g. the Office (Trading, Banking) Divisions, Marketing and Sales Divisions, etc.) and ensure that such divisions observe them? 例文帳に追加

（ⅰ）取締役会等は、管理すべきリスクの存在する部門（例えば、市場部門、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 equivalent organization to the Board of Directors instruct the Manager to identify the internal rules and operational procedures that should be observed by the Office (Trading, Banking) Divisions, Marketing and Sales Divisions, etc. and to carry out specific measures for ensuring observance such as providing effective training on a regular basis? 例文帳に追加

例えば、管理者に、市場部門、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 equivalent organization to the Board of Directors revise the development process of internal rules and organizational frameworks 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? 例文帳に追加

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、内部規程・組織体制の整備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 development process of internal rules and organizational frameworks 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? 例文帳に追加

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、内部規程・組織体制の整備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 Credit Management Division have in place internal rules and operational procedures concerning credit limits that specify the arrangements, authority, and procedures with regard to reporting of a breach of credit limits to the division (to the Board of Directors or organization equivalent to the Board of Directors as necessary)? 例文帳に追加

（ⅱ）与信管理部門は、クレジット・リミットを超えた際の与信管理部門（必要に応じ取締役会等）への報告体制、権限、手続等を定めたクレジット・リミットに係る内部規程・業務細則等を策定しているか。 - 金融庁

(i) Does the Board of Directors or equivalent organization to the Board of Directors provide a system to fully disseminate the relevant internal rules and operational procedures to the divisions involving market risks to be managed (e.g., the Office (Trading, Banking) Division, Marketing and Sales Divisions, etc.) and ensure that such divisions observe them? 例文帳に追加

（ⅰ）取締役会等は、管理すべき市場リスクの存在する部門（例えば、市場部門、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

Does the Board of Directors or equivalent organization to the Board of Directors revise the development process of internal rules and organizational frameworks in a timely manner by reviewing their 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? 例文帳に追加

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、内部規程・組織体制の整備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

In the case where the Office (Trading, Banking) Divisions, etc. generate excessive profits, does the Market Risk Management Division analyze the cause thereof and check whether or not the excessive profits result from inappropriate practices such as those deviating from the internal rules? 例文帳に追加

また、市場部門等が過大な収益を挙げている場合には、市場リスク管理部門において、その要因が分析され、それが内部規程等の逸脱等の不適切な取扱いなどによるものでないかを確認しているか。 - 金融庁

In order to exclude arbitrariness from accounting processes and ensure transparency, it is necessary for the Board of Directors or equivalent organization to the Board of Directors to establish internal rules and enforce them on a continuous basis. Does the institution specify the following items at a minimum? 例文帳に追加

会計処理の恣意性を排除し透明性を確保する観点から、取締役会等において明確な内部規程等を制定し、継続的に使用することが必要であり、少なくとも以下の項目について定めているか。 - 金融庁

For example, does the Board of Directors or equivalent organization to the Board of Directors instruct the Manager to identify the internal rules and operational procedures to be observed by operational divisions and sales branches and to carry out specific measures for ensuring observance such as providing effective training on a regular basis? 例文帳に追加

例えば、管理者に各業務部門及び営業店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 equivalent organization to the Board of Directors revise the development process of internal rules and organizational frameworks in a timely manner by reviewing its effectiveness based on reports and findings on the status of information technology risk management in a regular and timely manner or on an as needed basis? 例文帳に追加

取締役会等は、定期的に又は必要に応じて随時、システムリスク管理の状況に関する報告・調査結果等を踏まえ、内部規程・組織体制の整備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 network Manager ensure appropriate, efficient and safe network operation by specifying procedures for network management and approval of network use, etc. as part of the internal rules and operational procedures and the like and fully disseminating them to relevant parties? 例文帳に追加

（ⅰ）ネットワーク管理者は、ネットワークの管理手順及び利用承認手続等を内部規程・業務細則等として定め、関係者に周知徹底させることにより、ネットワークの適切かつ効率的で安全な運用を行っているか。 - 金融庁

(4) Where a Money Lender who has obtained approval under the preceding paragraph intends to change or repeal the approved Internal Rules, the Money Lender shall further obtain approval thereof from the Prime Minister or prefectural governor who registered the Money Lender. 例文帳に追加

４　前項の承認を受けた貸金業者は、当該承認を受けた社内規則を変更し、又は廃止しようとする場合においては、その登録をした内閣総理大臣又は都道府県知事の承認を受けなければならない。 - 日本法令外国語訳データベースシステム

(ii) Whether the securities companies, etc., has established the internal procedures and rules necessary to avoid relying exclusively on credit ratings, and provides information regarding the risks involved in the underlying assets and liquidity risks not reflected in credit ratings when they sell securitization products. 例文帳に追加

② 販売の際に、格付けのみに依存することなく、原資産のリスク、格付けに反映されない流動性リスク等についても情報伝達を行うよう、社内手続き・ルールが定められており、必要な態勢が整備されているか。 - 金融庁

(i) Whether the securities company, etc., has developed appropriate internal rules based on “Regarding Development of Order Management Systems at Members,” which is a resolution adopted by the Japan Securities Dealers Association’s Board of Governors, and strives to ensure that all officers and employees are aware of and comply with them, 例文帳に追加

① 証券会社等は、日本証券業協会理事会決議「協会員における注文管理体制の整備について」を踏まえ、社内規則を適切に整備し、役職員に対する周知、徹底を図っているか。 - 金融庁

(iv) Formulation of internal rules 例文帳に追加

また、コンプライアンス・プログラムの進捗状況や達成状況をフォローアップする担当者等の権限及び責任が明確にされ、代表取締役又は取締役がその進捗状況や達成状況を把握し、評価できる体制を整備し、実施しているか。 - 金融庁

(2) In order to conduct supervision prescribed in the preceding paragraph, the Prime Minister may order a Financial Instruments Business Operator, etc. who has not joined an Association or who is not a Member, etc. of a Financial Instruments Exchange to prepare or change the rules which the Financial Instruments Business Operator, etc. or the Officers or employees thereof shall comply with (hereinafter referred to as "Internal Rules" in this Article), while considering the articles of incorporation and any other rules of the Association or Financial Instruments Exchange. 例文帳に追加

２　前項に規定する監督を行うため、内閣総理大臣は、協会に加入せず、又は金融商品取引所の会員等となつていない金融商品取引業者等に対して、協会又は金融商品取引所の定款その他の規則を考慮し、当該金融商品取引業者等又はその役員若しくは使用人が遵守すべき規則（以下この条において「社内規則」という。）の作成又は変更を命ずることができる。 - 日本法令外国語訳データベースシステム

Does the Board of Directors or organization equivalent to the Board of Directors have the Manager (hereinafter simply referred to as the “Manager” in this checklist) of the division in charge of overseeing matters related to legal compliance in an integrated manner (hereinafter referred to as the “Compliance Control Division”) develop internal rules that clearly specify the arrangements on legal compliance (hereinafter referred to as the “Legal Compliance Rules”) and disseminate them throughout the institution in accordance with the Legal Compliance Policy? 例文帳に追加

取締役会等は、法令等遵守方針に則り、法令等遵守に関する取決めを明確に定めた内部規程（以下「法令等遵守規程」という。）を、法令等遵守に関する事項を一元的に管理する部門（以下「コンプライアンス統括部門」という。）の管理者（以下本チェックリストにおいて単に「管理者」という。）に策定させ、組織内に周知させているか。 - 金融庁

(ii) Has the Customer Explanation Manager, in accordance with the Customer Protection Management Policy, specified the business which require appropriate and sufficient Customer Explanation, decided the method of monitoring with regard to Customer Explanation and developed internal rules that clearly define the arrangements for managing those business (hereinafter referred to as the “Customer Explanation Management Rules”)? 例文帳に追加

（ⅱ）顧客説明管理責任者は、顧客保護等管理方針に則り、顧客説明の適切性及び十分性を確保する必要性のある業務の特定、顧客説明に関するモニタリングの方法を決定し、これに基づいた当該業務についての管理を行うための取決めを明確に定めた内部規程（以下「顧客説明管理規程」という。）を策定しているか。 - 金融庁

Does the Board of Directors or organization equivalent to the Board of Directors revise the development process of internal rules and organizational frameworks in a timely manner, by reviewing their effectiveness based on reports and findings on the status of Finance Facilitation Management in a regular and timely or on an as needed basis? 例文帳に追加

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、内部規程・組織体制の整備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 development process of internal rules and organizational frameworks 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? 例文帳に追加

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、内部規程・組織体制の整備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, through the person in charge of customer information management, monitor on an ongoing basis the status of compliance with the internal rules and the Customer Information Management Manual as well as the status of customer information management at each division? 例文帳に追加

顧客情報統括管理責任者は、顧客情報管理担当者を通じて、各部門の内部規程及び顧客情報管理マニュアルの遵守状況及び顧客情報の管理状況について継続的にモニタリングを実施しているか。 - 金融庁

Does the Board of Directors or equivalent organization to the Board of Directors revise the development process of internal rules and organizational frameworks 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? 例文帳に追加

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、内部規程・組織体制の整備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

The purpose of this manual is not to require the establishment of an independent division in charge of capital management, or to seek to bar a financial institution from having two or more divisions conduct capital management operations in accordance with their respective polices and internal rules as mentioned above. 例文帳に追加

本マニュアルは、自己資本管理の役割を担う独立した部門の整備を求めるものではなく、上記のように、複数の部門が、複数の方針・内部規程に従って自己資本管理業務を行うことを否定するものではない。 - 金融庁

In the case where two or more divisions engage in capital management in coordination with each other, the inspector should review whether the policies and internal rules adopted by the divisions and the tasks undertaken by them are compatible with one another and whether their respective capital management processes are functioning effectively. 例文帳に追加

複数の部門が自己資本管理業務を連携して行っている場合には、それぞれの方針・内部規程及び部門の役割が整合的であり、それぞれの自己資本管理プロセスが有機的に機能しているかを検証する。 - 金融庁

For example, does the Board of Directors or equivalent organization to the Board of Directors instruct the Managers to identify the internal rules and operational procedures that should be observed by the divisions in charge of first- and second-stage assessments and to carry out specific measures for ensuring observance such as providing effective training on a regular basis? 例文帳に追加

例えば、管理者に第一次査定部門及び第二次査定部門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 equivalent organization to the Board of Directors revise the development process of internal rules and organizational frameworks 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 as needed basis? 例文帳に追加

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、内部規程・組織体制の整備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 development process of internal rules and organizational frameworks 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?例文帳に追加

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、内部規程・組織体制の整備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 development process of internal rules and organizational frameworks 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 as needed basis? 例文帳に追加

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、内部規程・組織体制の整備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

With regard to the full enforcement of the Financial Instruments and Exchange Act and the implementation of rules concerning internal control that you mentioned, we have released a Q&A collection and the like, believing that it is important to correct misinterpretations and misunderstandings. 例文帳に追加

例示をいただいた金商法の全面施行であるとか内部統制ルールの実施については、実態を踏まえて、行き過ぎた解釈や誤解を解くことが重要だということで、Ｑ＆Ａのようなものを発表させていただいたわけです。 - 金融庁

The business risk management device stores the risk to be assumed in a specified business activity in association with the business activity for handling the risk, detects any problem on internal control in the business processes, based on internal control rules to be kept in each business process, and announces the problem to the user.例文帳に追加

本発明の業務リスク管理装置において、特定の業務活動に関し、そこで想定される業務上のリスクおよび該リスクに対処する業務活動を関連付けて記憶し、各業務プロセスにおいて守られるべき内部統制上の規約に基づいて、業務プロセスにおける内部統制上の問題点を検出し、これを利用者に通知するようにする。 - 特許庁

Has the Board of Directors or equivalent organization to the Board of Directors had the Manager of the Information Technology Risk Management Division (hereinafter simply referred to s the "Manager" in this checklist) develop internal rules that clearly specify the arrangements concerning information technology risk management (hereinafter referred to as the "Information Technology Risk Management Rules") and disseminated them throughout the institution in accordance with the Information Technology Risk Management Policy? Has the Board of Directors r equivalent organization to the Board of Directors approved the Information Technology Risk Management Rules after determining if they comply with the Information Technology Risk Management Policy after legal checks, etc.? 例文帳に追加

取締役会等は、システムリスク管理方針に則り、システムリスク管理に関する取決めを明確に定めた内部規程（以下「システムリスク管理規程」という。）をシステムリスク管理部門の管理者（以下本チェックリストにおいて単に「管理者」という。）に策定させ、組織内に周知させているか。取締役会等は、システムリスク管理規程についてリーガル・チェック等を経て、システムリスク管理方針に合致することを確認した上で承認しているか。②【システムリスク管理部門の態勢整備】 - 金融庁

Financial institutions, for their part, should endeavor to ensure the soundness and appropriateness of their business based on the principle of self-responsibility and under the leadership of the management by exploiting resourcefulness and creativity to develop policies and internal rules suited to their own scales and natures. 例文帳に追加

各金融機関においては、自己責任原則に基づき、経営陣のリーダーシップの下、創意・工夫を十分に生かし、それぞれの規模・特性に応じた方針、内部規程等を策定し、金融機関の業務の健全性と適切性の確保を図ることが期待される。 - 金融庁

(i) When conducting legal checks, etc., does the instituti the underlying facts necessary for judgment on legality are provided with regard to documents such as the internal rules, contracts, and advertisements written by the relevant division as well as transactions and businesses in which the division is involved? 例文帳に追加

（ⅰ）リーガル・チェック等を行うに際し、各部門が業務上作成又は関与する内部規程、契約書、広告等の文書、取引、業務等について、適法性等の判断の前提となる背景事情や前提事実が適切に提供され、判断されているか。 - 金融庁