「Solicitation」に関連した英語例文の一覧と使い方(10ページ目) - Weblio英語例文検索

(iii) an act of visiting or making a telephone call to a customer who has not requested solicitation of conclusion of a Contract for Financial Instruments Transaction (limited to those specified by a Cabinet Order, by taking into consideration the contents of the relevant Contract for Financial Instruments Transaction and other circumstances concerned, contracts for which protection of investors is particularly necessary), thereby soliciting him/her to conclude a Contract for Financial Instruments Transaction; 例文帳に追加

三　金融商品取引契約（当該金融商品取引契約の内容その他の事情を勘案し、投資者の保護を図ることが特に必要なものとして政令で定めるものに限る。）の締結の勧誘の要請をしていない顧客に対し、訪問し又は電話をかけて、金融商品取引契約の締結の勧誘をする行為 - 日本法令外国語訳データベースシステム

(ii) Cases where the Futures Commission Merchant concludes Brokerage Contracts by making automatic transmissions, by wireless communications or wire telecommunications, intended for direct reception by the public, upon request from the public (hereinafter referred to as "automatic transmission" in this item) (excluding the cases set forth in the preceding item)- The method of making automatic transmission of the solicitation policy 例文帳に追加

二　商品取引員が、公衆によつて直接受信されることを目的として公衆からの求めに応じ自動的に無線通信又は有線電気通信の送信を行うこと（以下この号において「自動送信」という。）により受託契約の締結を行う場合（前号に掲げる場合に該当する場合を除く。）　勧誘方針を自動送信する方法 - 日本法令外国語訳データベースシステム

Article 70-2 (1) When an organizer(s) intends to solicit persons to subscribe for Investment Equity Issued at Establishment, he/she shall, on each occasion, provide the following matters with regard to the Investment Equity Solicited at Establishment (meaning the Investment Equity allotted to persons who apply to subscribe for Investment Equity Issued at Establishment in response to said solicitation; the same shall apply hereinafter): 例文帳に追加

第七十条の二　設立企画人は、設立時発行投資口を引き受ける者の募集をしようとするときは、その都度、設立時募集投資口（当該募集に応じて設立時発行投資口の引受けの申込みをした者に対して割り当てる設立時発行投資口をいう。以下同じ。）について次に掲げる事項を定めなければならない。 - 日本法令外国語訳データベースシステム

(2) If any parties that were special project executors or the officers or employees of juridical persons who are special project executors have received or demanded bribes or promised to receive the same for having committed improper acts or having failed to perform required acts during their tenure of office, in response to solicitation, in connection with their duties pertaining to the relevant city planning projects, they shall be punished by imprisonment with work not exceeding three years. 例文帳に追加

２　特別施行者又は特別施行者である法人の役員若しくは職員であつた者が、その在職中に請託を受けて当該都市計画事業に係る職務上不正の行為をし、又は相当の行為をしなかつたことにつき賄賂を収受し、又は要求し、若しくは約束したときは、三年以下の懲役に処する。 - 日本法令外国語訳データベースシステム

(a) False notice with respect to important matters which shall be notified in soliciting funds or subscribers for company bonds (referring to the company bonds as defined in Article 61), or false statement or record with respect to a material used in explaining the business or any other matter of the Mutual Company for the purpose of such solicitation; 例文帳に追加

イ　基金の募集若しくは社債（第六十一条に規定する社債をいう。）を引き受ける者の募集をする際に通知しなければならない重要な事項についての虚偽の通知又は当該募集のための当該相互会社の事業その他の事項に関する説明に用いた資料についての虚偽の記載若しくは記録 - 日本法令外国語訳データベースシステム

Article 295 (1) A Non-Life Insurance Agent or Insurance Broker shall not make it his/her primary business purpose to carry out Insurance Solicitation activities for insurance contracts in which he/she or his/her employer is the Policyholder or the insured (for an Insurance Broker, limited to those contracts specified by a Cabinet Office Ordinance; referred to as "Self-Contracts" in the following paragraph). 例文帳に追加

第二百九十五条　損害保険代理店及び保険仲立人は、その主たる目的として、自己又は自己を雇用している者を保険契約者又は被保険者とする保険契約（保険仲立人にあっては、内閣府令で定めるものに限る。次項において「自己契約」という。）の保険募集を行ってはならない。 - 日本法令外国語訳データベースシステム

(ii) Commit or carry out an act or transaction with the specified person concerned, or with the Policyholder or the insured in an insurance contract where the specified person concerned is the insurer, provided that the act or transaction is equivalent to that listed in the preceding item and is specified by a Cabinet Office Ordinance as posing a risk of harming the fairness of Insurance Solicitation activities 例文帳に追加

二　当該特定関係者との間又は当該特定関係者を保険者とする保険契約の保険契約者若しくは被保険者との間で行う行為又は取引のうち前号に掲げるものに準ずる行為又は取引で、保険募集の公正を害するおそれのあるものとして内閣府令で定める行為又は取引 - 日本法令外国語訳データベースシステム

(ii) Commit or carry out an act or transaction with the Policyholder or the insured in an insurance contract where the Insurance Company, etc. or Foreign Insurance Company, etc. is the insurer, provided that the act or transaction is equivalent to that listed in the preceding item and is specified by a Cabinet Office Ordinance as posing a risk of harming the fairness of Insurance Solicitation. 例文帳に追加

二　当該保険会社等又は外国保険会社等を保険者とする保険契約の保険契約者若しくは被保険者との間で行う行為又は取引のうち前号に掲げるものに準ずる行為又は取引で、保険募集の公正を害するおそれのあるものとして内閣府令で定める行為又は取引 - 日本法令外国語訳データベースシステム

(8) An Insurance Broker or any other person carrying out Insurance Solicitation activity that has paid to the Insurance Company, etc. or Foreign Insurance Company, etc. any damage or other money for the Revocation of Application, etc. for an insurance contract may not, in connection with such payment, demand from the person who made the Revocation of Application, etc. payment of any damage or other money. 例文帳に追加

８　保険仲立人その他の保険募集を行う者は、保険会社等又は外国保険会社等に保険契約の申込みの撤回等に伴い損害賠償その他の金銭を支払った場合において、当該支払に伴う損害賠償その他の金銭の支払を、申込みの撤回等をした者に対し、請求することができない。 - 日本法令外国語訳データベースシステム

Article 109 (1) The registry of Life Insurance Solicitors and registry of Non-Life Insurance Agents under Article 4, paragraph (1) of the Former Solicitation Control Act in existence at the time this Act enters into force shall be deemed as the registry of Life Insurance Solicitors and registry of Non-Life Insurance Agents under Article 278, paragraph (1) of the Current Act. 例文帳に追加

第百九条　この法律の施行の際現に存する旧募集取締法第四条第一項の規定による生命保険募集人登録簿及び損害保険代理店登録簿は、新法第二百七十八条第一項の規定による生命保険募集人登録簿及び損害保険代理店登録簿とみなす。 - 日本法令外国語訳データベースシステム

(2) The provision of Article 278, paragraph (2) of the Current Act shall apply to those persons who shall be deemed to have obtained the registration with the Minister of Finance set forth in Article 276 of the Current Act at the time when this Act enters into force, pursuant to the provision of the preceding Article and who have not received the notice under Article 4, paragraph (3) of the Former Solicitation Control Act, and to their Affiliated Insurance Companies. 例文帳に追加

２　新法第二百七十八条第二項の規定は、前条の規定によりこの法律の施行の際に新法第二百七十六条の大蔵大臣の登録を受けたものとみなされた者で旧募集取締法第四条第三項の規定による通知を受けていないもの及びその所属保険会社について適用する。 - 日本法令外国語訳データベースシステム

Article 116 For the purpose of applying the provision of Article 307, paragraph (1) of the Current Act, any act falling under Article 7-2, item (iii) or any of the items of Article 20, paragraph (1) of the Former Solicitation Control Act that was committed before the Effective Date by a Life Insurance Solicitor, etc. Registered under the Former Act shall be deemed as the act prescribed in item (ii) or (iii) of Article 307, paragraph (1) of the Current Act. 例文帳に追加

第百十六条　旧法登録の生命保険募集人等が施行日前にした旧募集取締法第七条の二第三号又は第二十条第一項各号のいずれかに該当する行為は、新法第三百七条第一項第二号又は第三号に規定する行為とみなして同条の規定を適用する。 - 日本法令外国語訳データベースシステム

Article 36 (1) Whenever a Specific Purpose Company intends to solicit persons to subscribe for the Specified Equity it issues, the Specific Purpose Company shall determine the following matters with respect to the Specified Equity for Subscription (meaning the Specified Equity that will be allotted to persons who file an application to subscribe for the Specified Equity in response to such solicitation; hereinafter the same shall apply in this Article): 例文帳に追加

第三十六条　特定目的会社は、その発行する特定出資を引き受ける者の募集をしようとするときは、その都度、募集特定出資（当該募集に応じて特定出資の引受けの申込みをした者に対して割り当てる特定出資をいう。以下この条において同じ。）について次に掲げる事項を定めなければならない。 - 日本法令外国語訳データベースシステム

Article 141 (1) With regard to Specified Bonds with Preferred Equity Subscription Rights, in addition to the matters of which to notify a person who intends to file an application pursuant to Article 122(1), a notice of the following matters shall be given to any person who intends to file an application to subscribe for Specified Bonds for Subscription in response to the solicitation made under Article 121(1): 例文帳に追加

第百四十一条　新優先出資引受権付特定社債については、第百二十一条第一項の募集に応じて募集特定社債の引受けの申込みをしようとする者に対し、第百二十二条第一項の規定により通知すべき事項のほか、次に掲げる事項を通知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

(2) When a person who intends to become a director, audit counselor, auditor or employee of the Company or one of the Regional Companies has received, demanded or promised to receive a bribe in response to a solicitation in connection with the functions such person will assume after such person's appointment, such person shall, where such person becomes such director, audit counselor, auditor or employee, be punishable and liable to penal servitude for a term not exceeding two years. 例文帳に追加

２　会社及び地域会社の取締役、会計参与、監査役又は職員になろうとする者が、就任後担当すべき職務に関し、請託を受けて賄賂を収受し、要求し、又は約束したときは、取締役、会計参与、監査役又は職員となつた場合において、二年以下の懲役に処する。 - 日本法令外国語訳データベースシステム

(3) When a person who was a director, audit counselor, auditor or employee of the Company or one of the Regional Companies has received, demanded or promised to receive a bribe in response to a solicitation in connection with such persons having committed an improper act or having omitted a proper act in the course of performing such person's functions while such person was in office, such person shall be guilty of an offense and liable to penal servitude for a term not exceeding two years. 例文帳に追加

３　会社及び地域会社の取締役、会計参与、監査役又は職員であつた者が、その在職中に請託を受けて、職務上不正の行為をしたこと又は相当の行為をしなかつたことに関して、賄賂を収受し、要求し、又は約束したときは、二年以下の懲役に処する。 - 日本法令外国語訳データベースシステム

The FSA has been making efforts to improve customer protection and customer convenience, such as promoting the diversification of insurance products, improving the flexibility of their pricing developing sales and solicitation rules for insurance products, and encouraging insurance companies to improve and develop claims payment management systems by tackling problems like payment leakage and non-payment. 例文帳に追加

金融庁では、これまで、利用者保護・利用者利便の向上の観点から、保険商品の多様化と価格の弾力化の推進、保険商品の販売・勧誘ルールの整備、保険金の不適切な不払い・支払い漏れ等の問題に対する対応を通じた各社における保険金支払管理態勢の改善・整備の促進などの取組みを進めてきた。 - 金融庁

The FSA will examine whether insurance companies have developed a system to enable policyholders to properly make insurance claims, such as through explanation of method for making insurance claims at the time of solicitation and the provision of appropriate guidance when insurance claims are made from the standpoint of policyholders Especially in regards to requests made in February 2007 to life insurance companies reporting the number of cases in which additional payments were required and other such problems, the FSA will examine the measures taken by companies in order to prevent such problems from recurring based on sufficient analysis of the causes, and look into how they are dealing with the situation according to their recurrence prevention measures. 例文帳に追加

保険契約者等が適切に保険金等を請求できるよう、各社において保険契約者等の立場に立ち、募集時における保険金等の請求方法の説明や、保険金等請求時の適切な案内ができる態勢が整備されているか検証する。 - 金融庁

2) Given that the restrictions on the sales of insurance products through banks was fully lifted on December 22, 2007, the FSA will continue to examine the implementation status of measures aimed at preventing the detrimental effects of such sales, and examine the extent to which insurance solicitation rules are being observed by banks, such as providing an appropriate explanation of the features of insurance policies to customers. 例文帳に追加

② 保険商品の銀行等の窓口での販売については、平成 19年 12月 22日に全面解禁が実施されたが、引き続き、弊害防止措置の実施状況を検証するとともに、顧客に対する契約内容の適切な説明など、保険募集に関するルールの銀行等における遵守状況について検証する。 - 金融庁

A. A “situation disadvantageous to the customer” refers to a case in which the theoretical price of the relevant bond at the time of the solicitation (or the theoretical price based on the closing price of the relevant bond on the previous day) has fallen below the bottom of the range set in advance by the securities companies, etc., in relation to the offer price (secondary offer price). 例文帳に追加

イ．「顧客にとって不利な状況」とは、証券会社等があらかじめ一定の値幅を定め、債券を取得させ又は売り付けようとする時点の（又はその前日の対象銘柄の終値等を基にした）当該債券の理論価格が募集（売出）価格からの当該値幅を超えて下落している場合をいうこと。 - 金融庁

When supervisors have recognized an issue of supervisory concern regarding the control environment for customer solicitation and explanations of a securities company, 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 company, etc., by 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証券会社等の勧誘・説明態勢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、証券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 control environment for customer solicitation and explanations, 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. 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ファンド運用会社の勧誘・説明態勢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、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

Activities for temple solicitation led by priests of the Shingon Risshu sect were well recognized because they were strict by themselves and had know-how of temple restoration, which soon promoted the movement of renaissance of other Risshu sects so much so that the Risshu sect, including the Shingon Risshu sect, was criticized by Nichiren as 'Ritsu traitor to the country,' having the same power of influence as the Zen sect and the Jodo sect. 例文帳に追加

自身に厳格で寺院再建のノウハウを積んだ真言律宗の僧侶主導の勧進活動に対する評価の上昇はやがて他の律宗諸派再興の動きを促し、一時は真言律宗を含めた律宗は禅宗・浄土宗などと勢力を分けて日蓮より「律国賊」との非難を受けるほどであった。 - Wikipedia日英京都関連文書対訳コーパス

Article 171 Upon making Solicitation of Securities to Many and Unspecified Persons (excluding such solicitation to be made for Securities listed in Article 2(1)(i) to (vi) or other Securities specified by a Cabinet Office Ordinance; hereinafter the same shall apply in this Article), any person who makes Solicitation of Securities to Many and Unspecified Persons, or Officers, advisors, consultants, others at a position equivalent to these persons, agents, employees or other workers of such a person shall not make a indication to many and unspecified persons to the effect that a fixed amount (including an amount that may be calculated in advance by using a certain standard; hereinafter the same shall apply in this Article) or higher amount of money (including things that would bring about a fixed amount or higher amount of money by disposing of them) will be provided for the Securities so solicited after a certain period (including a indication that is likely to be understood as meaning to that effect), irrespective of how such money is called, including dividend of profits or distribution of profits; provided however, that this shall not apply to cases where it is clearly indicated that such a indication only indicates an expectation. 例文帳に追加

第百七十一条　有価証券の不特定多数者向け勧誘等（第二条第一項第一号から第六号までに掲げる有価証券その他内閣府令で定める有価証券に係るものを除く。以下この条において同じ。）をする者又はこれらの者の役員、相談役、顧問その他これらに準ずる地位にある者若しくは代理人、使用人その他の従業者は、当該有価証券の不特定多数者向け勧誘等に際し、不特定かつ多数の者に対して、当該有価証券に関し一定の期間につき、利益の配当、収益の分配その他いかなる名称をもつてするを問わず、一定の額（一定の基準によりあらかじめ算出することができる額を含む。以下この条において同じ。）又はこれを超える額の金銭（処分することにより一定の額又はこれを超える額の金銭を得ることができるものを含む。）の供与が行われる旨の表示（当該表示と誤認されるおそれがある表示を含む。）をしてはならない。ただし、当該表示の内容が予想に基づくものである旨が明示されている場合は、この限りでない。 - 日本法令外国語訳データベースシステム

Article 15 (1) With regard to Securities of which Public Offering or Secondary Distribution is subject to the main clause of Article 4(1) or the main clause of Article 4(2), its Issuer, a person who engages in Secondary Distribution of Securities, an Underwriter (including a person who, with regard to a General Solicitation for Securities Acquired by Qualified Institutional Investor (excluding in the Case Where Disclosures Have Been Made with regard to the Securities for which the general solicitation is made), carries out any of the acts specified in the items of Article 2(6); hereinafter the same shall apply in this Chapter), a Financial Instruments Business Operator, a Registered Financial Institution, or a Financial Instruments Intermediary Service Provider shall not have another person acquire such Securities or sell such Securities to another person through Public Offering or Secondary Distribution unless the notification made under Article 4(1) or (2) comes into effect. 例文帳に追加

第十五条　発行者、有価証券の売出しをする者、引受人（適格機関投資家取得有価証券一般勧誘（開示が行われている場合における有価証券に係るものを除く。）に際し、第二条第六項各号のいずれかを行う者を含む。以下この章において同じ。）、金融商品取引業者、登録金融機関又は金融商品仲介業者は、その募集又は売出しにつき第四条第一項本文又は第二項本文の規定の適用を受ける有価証券については、これらの規定による届出がその効力を生じているのでなければ、これを募集又は売出しにより取得させ、又は売り付けてはならない。 - 日本法令外国語訳データベースシステム

For example, in coordination with the insurance company which outsourced the work, does the Customer Explanation Manual have stipulations needed to ensure accurate explanations for insurance products and contracts, and explanations in accordance with Laws such as the Insurance Business Law (including the Insurance Solicitation Guidelines)? Are staff thoroughly informed of its content, such as by providing periodic training? 例文帳に追加

例えば、委託元である保険会社と連携して、保険商品及び契約に関する正確な説明や保険業法等の法令等（保険募集指針を含む）に則った説明等が確保されるために必要な内容を顧客説明マニュアルに規定するとともに、その内容について、定期的に研修を実施する等、職員に対し周知徹底を図っているか。 - 金融庁

Article 199 (1) Whenever a Stock Company intends to solicit persons to subscribe for shares it issues or for Treasury Shares it disposes of, the Stock Company shall prescribe the following matters with respect to the Shares for Subscription (meaning shares the Stock Company allots to persons who subscribed for those shares in response to such solicitation. The same shall apply hereinafter in this Section.): 例文帳に追加

第百九十九条　株式会社は、その発行する株式又はその処分する自己株式を引き受ける者の募集をしようとするときは、その都度、募集株式（当該募集に応じてこれらの株式の引受けの申込みをした者に対して割り当てる株式をいう。以下この節において同じ。）について次に掲げる事項を定めなければならない。 - 日本法令外国語訳データベースシステム

(i) a person who has conducted a Public Offering or Secondary Distribution of Securities for which a notification under Article 4(1) is required, or conducted a General Solicitation for Securities Acquired by Qualified Institutional Investor for which a notification under Article 4(2) is required, or dealt with these, although such required notifications have not been accepted; 例文帳に追加

一　第四条第一項の規定による届出を必要とする有価証券の募集若しくは売出し又は同条第二項の規定による届出を必要とする適格機関投資家取得有価証券一般勧誘について、これらの届出が受理されていないのに当該募集、売出し若しくは適格機関投資家取得有価証券一般勧誘又はこれらの取扱いをした者 - 日本法令外国語訳データベースシステム

(2) In addition to what are listed in the items of the preceding paragraph, a fire mutual aid cooperative may act as an agent in carrying out the operations or processing the affairs (limited to insurance solicitation and affairs that are specified by an ordinance of the competent ministry set forth in Article 9-2, paragraph (6) as those associated thereto) of an insurance company or any person specified by an ordinance of the competent ministry set forth in the same paragraph as one equivalent thereto. 例文帳に追加

２　前項各号に掲げるもののほか、火災共済協同組合は、保険会社その他これに準ずる者として第九条の二第六項の主務省令で定めるものの業務の代理又は事務の代行（保険募集及びこれに関連する事務として同項の主務省令で定めるものに限る。）の事業を行うことができる。 - 日本法令外国語訳データベースシステム

Article 82 (1) When an Investment Corporation intends to solicit persons to subscribe for the Investment Equity it issues, the corporate officer(s) shall, on each occasion, provide for the following matters regarding the Investment Equity for Subscription (meaning the Investment Equity allotted to persons who have applied to subscribe for the Investment Equity in response to solicitation; hereinafter the same shall apply in this Section) and obtain the approval of the board of officers: 例文帳に追加

第八十二条　投資法人がその発行する投資口を引き受ける者の募集をしようとするときは、執行役員は、その都度、募集投資口（当該募集に応じて当該投資口の引受けの申込みをした者に対して割り当てる投資口をいう。以下この節において同じ。）について次に掲げる事項を定め、役員会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

Article 139-3 (1) When an Investment Corporation intends to solicit persons to subscribe for the Investment Corporation Bonds it issues, it shall, on each occasion, provide the following matters with regard to the Investment Corporation Bonds for Subscription (meaning Investment Corporation Bonds allotted to persons who have applied to subscribe for the Investment Corporation Bonds in response to the solicitation; hereinafter the same shall apply in this Section): 例文帳に追加

第百三十九条の三　投資法人は、その発行する投資法人債を引き受ける者の募集をしようとするときは、その都度、募集投資法人債（当該募集に応じて当該投資法人債の引受けの申込みをした者に対して割り当てる投資法人債をいう。以下この節において同じ。）について次に掲げる事項を定めなければならない。 - 日本法令外国語訳データベースシステム

1. The public offering of beneficial rights of the said special purpose trust by the issuer (meaning an issuer prescribed in Article 2(5) of the Financial Instruments and Exchange Act; hereinafter the same shall apply in this item) has been conducted by way of a solicitation of acquisition prescribed in paragraph (3) of the said Article (limited to one that falls under the case listed in item (i) of the said paragraph), and the total issue price of the beneficial rights is not less than 100 million yen. 例文帳に追加

（１）　その発行者（金融商品取引法第二条第五項に規定する発行者をいう。以下この号において同じ。）による受益権の募集が同条第三項に規定する取得勧誘（同項第一号に掲げる場合に該当するものに限る。）であつて、その受益権の発行価額の総額が一億円以上であるもの - 日本法令外国語訳データベースシステム

(v) the Securities listed in Article 2, paragraph (1), item (xvii) of the Act which have the nature of share certificates: offers to sell and the solicitation of offers to buy said Securities (limited to those of which the Issuer is the relevant Issuer) by the Issuer thereof pursuant to the governing laws and regulations of a foreign state upon the establishment of such Issuer; 例文帳に追加

五　法第二条第一項第十七号に掲げる有価証券のうち株券の性質を有するもの　当該有価証券の発行者が所有する当該発行者の設立に当たって準拠した外国の法令に基づいて行う当該有価証券（当該発行者が発行者であるものに限る。）の売付けの申込み又はその買付けの申込みの勧誘 - 日本法令外国語訳データベースシステム

Article 117 Any Life Insurance Solicitors, etc. Registered under the Former Act who fell under any of the items of Article 7-3 of the Former Solicitation Control Act before the Effective Date and have not had its registration deleted under that Article by the time when this Act enters into force shall be deemed to fall under Article 308, paragraph (1), item (ii) of the Current Act. 例文帳に追加

第百十七条　旧法登録の生命保険募集人等のうちに施行日前に旧募集取締法第七条の三各号のいずれかに該当する事実があり、かつ、この法律の施行の際同条の規定による登録の抹消がされていない者があるときは、それらの者は新法第三百八条第一項第二号に該当する者とみなす。 - 日本法令外国語訳データベースシステム

Article 132 (1) In cases where a Specific Purpose Company issues convertible Specified Bonds (excluding those on which a resolution as set forth in paragraph (2) of the preceding Article has been made), it shall give public notice or notify the members of the total amount of convertible Specified Bonds, the Amount to Be Paid In, conditions for conversions, details of the Preferred Equity to be issued upon conversion, the period during which conversion may be demanded and the method of solicitation. 例文帳に追加

第百三十二条　特定目的会社は、転換特定社債（前条第二項の決議があったものを除く。）を発行する場合には、転換特定社債の総額、払込金額、転換の条件、転換によって発行すべき優先出資の内容、転換を請求することができる期間及び募集の方法を公告し、又は社員に通知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

B. Whether the division in charge of customer due diligence has prescribed a specific method for identifying and keeping track of the actual state of the financial instruments intermediary service provider’s solicitation for investment and has communicated the method to them, and is striving to establish a control environment that ensures the effectiveness of the method by identifying and examining the implementation and reviewing and revising the method when necessary. 例文帳に追加

ロ．管理担当部門においては、金融商品仲介業者による投資勧誘実態の把握に係る具体的な方法を定め、当該方法を金融商品仲介業者に周知し、徹底させるとともに、必要に応じて、その実施状況を把握･検証し、当該方法の見直し等、その実効性を確保する態勢を構築させるよう努めているか。 - 金融庁

When supervisors have recognized an issue of supervisory concern regarding an over-the-counter derivatives business operator’s control environment for customer solicitation and explanations, 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 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. 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店頭デリバティブ取引業者の勧誘・説明態勢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、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

When soliciting customers to sign association contracts, whether the Financial Instruments Business Operator and its officers and employees provide sufficient explanations regarding the contents of the contracts and make solicitation in an appropriate manner suited to the customers’ intentions, knowledge and experiences regarding the relevant associations, as well as their financial capacity and the nature of their investment funds. 例文帳に追加

金融商品取引業者又は金融商品取引業者の役員若しくは使用人は、顧客に対し組合契約の締結等の勧誘を行うに当たっては、契約内容につき十分な説明を行うとともに、顧客の意向、当該組合に関する知識及び経験並びに資力及び資金の性質等に応じた適正な勧誘が行われているか。 - 金融庁

When supervisors have recognized an issue of supervisory concern regarding the control environment for customer solicitation and explanations 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 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みなし有価証券販売業者等の勧誘・説明態勢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 control environment for customer solicitation and explanations, 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 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. 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市場デリバティブ取引業者の勧誘・説明態勢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、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

When supervisors have recognized an issue of supervisory concern regarding a discretionary investment business operator’s control environment for customer solicitation and explanations, 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. 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投資一任業者の勧誘・説明態勢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

B. To implement measures to ensure the necessary and appropriate supervision of agency/brokerage service providers, such as examining periodically or as necessary whether the service providers properly conduct the services, including investment solicitation and requiring them to make improvement when necessary. 例文帳に追加

ロ．代理・媒介業者における代理・媒介業に係る投資勧誘の実態、その他業務の実施状況等について、定期的に又は必要に応じて確認すること等により、代理・媒介業者が当該代理・媒介業を的確に遂行しているかを検証し、必要に応じ改善させる等、代理・媒介業者に対する必要かつ適切な監督等を行うための措置 - 金融庁

When supervisors have recognized an issue of supervisory concern regarding the control environment for customer solicitation and explanations to beneficiaries of an investment trust management company, etc., 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 management company, etc., 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受益者に対する勧誘・説明態勢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

b. Measures to ensure necessary and appropriate supervision of agency/brokerage service providers, such as examining periodically or as necessary whether the service providers properly conduct the services, including investment solicitation, and requiring them to make improvement when necessary. 例文帳に追加

ｂ．代理・媒介業者における代理・媒介業に係る投資勧誘の実態、その他業務の実施状況等について、定期的に又は必要に応じて確認すること等により、代理・媒介業者が当該代理・媒介業を的確に遂行しているかを検証し、必要に応じ改善させる等、代理・媒介業者に対する必要かつ適切な監督等を行うための措置 - 金融庁

Article 7 (1) When the Prime Minister finds that a deposit, etc. servicer is engaging in any act in violation of the provisions of Article 3 to the preceding Article inclusive and is likely to continue to engage in said act, or that a solicitor is engaging in any act in violation of the provisions of Article 4, paragraph (1) or Article 5 and is likely to continue to engage in said act, he/she may order the deposit, etc. servicer to suspend solicitation for concluding or renewing deposit, etc. transaction agreements or to suspend its use of a solicitor to conduct such solicitation, may order the deposit, etc. servicer to suspend its business related to deposit, etc. transaction agreements in whole or in part, or order the deposit, etc. servicer to take any other necessary measures to protect the interests of its customers or depositors, for a fixed period not exceeding one year. 例文帳に追加

第七条　内閣総理大臣は、預託等取引業者が第三条から前条までの規定に違反する行為をし、かつ、当該行為を引き続きするおそれがあると認めるとき、又は勧誘者が第四条第一項若しくは第五条の規定に違反する行為をし、かつ、当該行為を引き続きするおそれがあると認めるときは、その預託等取引業者に対し、一年以内の期間を定めて、預託等取引契約の締結若しくは更新についての勧誘を行い若しくは当該勧誘を勧誘者に行わせることを停止し、又は預託等取引契約に関する業務の全部若しくは一部を停止すべきことを命じ、その他顧客又は預託者の利益を保護するために必要な措置をとるべきこと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