内部管理責任者 (Internal Supervisor)

内部管理態勢と法令遵守 / Internal administration and compliance

内部管理態勢整備の必要性 / Necessity of the Internal Administration System

業界の信頼と顧客本位の業務運営 / Industry credibility and customer-oriented business conduct

内部管理統括責任者の地位・職責と報告ライン / Internal Administration Supervisor: status, duties and reporting line

内部管理統括補助責任者と警告制度 / Internal Administration Assistant Supervisor and JSDA warnings

営業責任者の資格要件と職責 / Sales Manager: qualification and duties

内部管理責任者の牽制機能 / Internal Administrator and the check-and-balance function

職務配置禁止処分と資格取消しの区別 / Placement ban vs. revocation of qualification

IOSCOの国際行動基準 / IOSCO International Conduct of Business Principles

職業倫理と顧客本位 / Professional ethics and customer interests

市場仲介者の公共性と自己規律 / Public Role as Market Intermediary and Self-Discipline

金融サービス提供法上の誠実・公平義務 / Duty of Sincerity and Fairness under the Financial Services Act

違反行為の帰結とコンダクトリスク / Consequences of Wrongdoing and Conduct Risk

倫理規程の任意整備と検証視点 / Voluntary Ethics Codes and Supervisory Review Points

金融サービス業の諸原理 / Principles in the Financial Services Industry

顧客本位業務運営原則と公表・説明義務 / Customer-Oriented Principles, Publication and Explanation

重要情報の分かりやすい提供（原則5） / Provision of Material Information (Principle 5)

商品ガバナンスと職員の動機付け体制 / Product Governance and Employee Motivation Framework

顧客口座の開設 / Opening customer accounts

顧客等調査と顧客カードの作成 / Customer Investigation and Preparation of Customer Cards

なりすまし等が疑われる取引の強化措置と承継顧客の確認免除 / Enhanced Measures for Suspected Impersonation and the Relief for Inherited Customers

確認の方法：実質的支配者・代表者・資産収入 / Verification Methods: Beneficial Owners, Representatives, Assets and Income

振替口座・保管契約口座の管理 / Management of Book-Entry Transfer and Custodial Service Accounts

契約締結前後の情報提供と外国証券取引の開始 / Pre- and Post-Contract Information and Commencing Foreign Securities Transactions

店頭Handled銘柄の取引開始基準と勧誘の原則禁止 / Setting Commencement Criteria for OTC Handled Securities and the Default Ban on Solicitation

プロ投資家に対する店頭証券等の勧誘 / Solicitation of Professional Investors for OTC Securities

商品別の取引開始基準・確認書と裁量取引・信託口座 / Product Commencement Standards, Letters of Confirmation, Discretionary and Trust Accounts

投資勧誘の管理 / Managing investment solicitation

誠実公平の原則と顧客本位の義務 / Principle of Honesty and Fairness and the Duty Toward Customers

自己責任原則・説明義務・適合性原則 / Self-Responsibility, Duty to Explain, and the Suitability Principle

契約締結前交付書面と実質的説明義務 / Pre-Contract Document Delivery and the Duty of Substantive Explanation

公募・売出しと開示制度 / Public Offerings, Secondary Distributions and the Disclosure System

少人数・プロ投資家向け勧誘の規制区分 / Solicitation to Small Numbers of Investors and Professional Investors

目論見書交付と投資信託勧誘の特例 / Prospectus Delivery and Special Cases in Investment Trust Solicitation

債券の重要事項説明と外国証券の店頭取引の公正確保 / Explanations for Bonds and Fairness in Domestic OTC Transactions in Foreign Securities

プレヒアリング・広告表示・信用供与等の注意義務 / Pre-Hearings, Advertising Representation, Credit Extension and Other Solicitation Cautions

顧客注文の受託管理 / Managing customer orders

注文内容の確認と注文伝票の作成 / Verification of Order Details and Order Forms

受託規則の遵守と事前説明 / Compliance with Brokerage Rules and Explanation to Customers

自己計算売買と顧客注文の区分管理および発注管理態勢 / Separating Proprietary Trades from Client Orders and Order-Handling Controls

信託口取引・信用取引等の利用上の留意と前金等の管理 / Trust Accounts, Margin and Derivatives Prudence, and Advance Deposits

偽名取引の防止管理 / Preventing Trades Under a False Name

安定操作・買付け期間中の注文受託管理 / Managing Orders During Financing and Stabilization Periods

反社会的勢力との取引の排除 / Elimination of Transactions with Antisocial Forces

店頭売買株券等・フェニックス銘柄の注文管理 / Managing Orders for OTC Securities and Phoenix Issues

受渡し・保管等の管理 / Settlement and custody

分別管理義務の基礎 / Duty of Separate Management

有価証券の分別管理（単純保管・混蔵保管・振替口座） / Separate Management of Securities: Simple Custody, Commingled Custody and Book-Entry Accounts

契約締結時交付等が不要となる場合 / Cases Not Requiring Provision of Information upon Conclusion of Contract

残高報告書の交付が不要となる例外と顧客属性による除外 / Exceptions to Delivery of the Transaction Balance Statement and Exclusions Based on Customer Attributes

照合通知の交付と記録 / Notice of Reconciliation and Its Record-Keeping

新規顧客・大口取引に係る代金等の前払い / Advance Deposits for New Customers and Large-Lot Transactions

証拠金の管理（外国株信用取引・先物・オプション） / Management of Margin Deposits (Foreign Stocks Margin, Futures and Options)

帳簿書類の保存と死亡顧客の口座管理 / Retention of Books of Account and Handling a Deceased Customer's Account

協会員・役職員の規制 / Member and employee conduct

勧誘行為に係る禁止規制 / Prohibited Solicitation Practices

損失補填等の禁止と手数料の自由化 / Loss Compensation Ban and Commission Liberalization

市場の公正性を害する行為の禁止 / Acts Undermining Market Fairness

役職員の自己取引等の禁止 / Employee Personal Trading and Related Prohibitions

与信・同意・損益共同に関わる禁止行為 / Prohibitions on Credit Extension, Consent and Shared Profit Arrangements

情報管理と利益相反管理 / Information Handling and Conflicts of Interest Management

引受業務と親子会社間取引の規制 / Underwriting Conduct and Group Company Transactions

市場取引の規制と公開買付け等の事務 / Market Trading Regulations and Tender Offer Administration

不公正取引の規制 / Preventing unfair transactions

不公正取引規制の全体像と罰則・課徴金 / Overview of Unfair Transaction Regulations, Penalties and Administrative Monetary Penalties

包括条項と風説の流布・偽計等の禁止 / General Prohibition and Rules Against Rumors and Fraudulent Means

相場操縦と虚偽表示類型の区別 / Market Manipulation and False-Indication Types

インサイダー取引規制の構造：重要事実の類型 / Structure of Insider Trading Regulation: Types of Material Facts

インサイダー取引禁止の例外 / Exceptions to the Insider Trading Prohibition

自己株式取得とインサイダー規制・162条の2 / Company Acquisitions of Its Own Shares: Insider Rules and Article 162-2

特定組合等の資産に係る規制：取得規制・短期売買規制・空売り禁止 / Regulation of Specified Partnership Assets: Acquisition Restriction, Short-Swing Exclusions and Short-Selling Ban

売買審査体制の構築と審査後の措置 / Trade Screening Systems and Measures Following Screening

その他の内部管理事項 / Other internal administration duties

顧客管理・営業員管理体制 / Customer and sales staff management systems

不適切・不誠実な勧誘 / Inappropriate or unfaithful solicitation

FATCA・CRS対応 / FATCA and CRS compliance

FINMACの苦情処理・紛争解決手続 / FINMAC complaints and dispute resolution procedures

協会への事故報告・不祥事通知 / Reporting incidents to the JSDA

損失補償と財務局長確認の例外 / Compensation of customer losses and exceptions

訴訟・民事調停と届出 / Litigation, civil conciliation and notifications

公共法人等との取引の管理 / Management of transactions with public corporations and public interest corporations