 |
In order to access to a PDF file, you need Adobe Acrobat Reader. |
Contents
Message from the Chairman (PDF file: 407KB) |
|
| Summary | |
| Chapter 1: Investigations and Accusations of Criminal Offences | |
| I. | Outline |
| II. | Status of Accusations of Criminal Offences |
| Chapter 2: Recommendations | |
| I. | Outline |
| II. | Status of Recommendations |
| Chapter 3: Proposals | |
| I. | Outline |
| II. | Status of Proposals |
| Chapter 4: Inspections (PDF file: 433KB) | |
| I. | Outline |
| II. | Basic policy and plan of inspections |
| III. | Status of Inspections and Related Matters |
| IV. | Results of Securities Company Inspections |
| V. | Results of Inspections of Financial Institutions Licensed to Provide Securities Services |
| VI. | Results of Inspections of Financial Futures Dealers |
| Chapter 5: Market Surveillance | |
| I. | Outline |
| II. | Status of Market Surveillance |
| Chapter 6: Inspections of Financial Institutions by the Minister of Finance (PDF file: 403KB) | |
| Chapter 7: Self-Regulatory Organizations | |
| I. | Relationship between the SESC and SROs |
| II. | Activities of the Japan Securities Dealers Association |
| III. | Activities of Stock Exchanges |
| IV. | Activities of the Financial Futures Dealers Association of Japan |
| V. | Activities of the Financial Futures Exchange |
| Chapter 8: Cooperation with Securities Regulatory Authorities Overseas (PDF file: 298KB) | |
| Chapter 9: Other Activities | |
| I. | Receiving Information from the General Public |
| II. | Staff Training |
| Appendix : Organization and Functions of the Securities and Exchange Surveillance Commission | |
| Chairman and Commissioner Profiles | |
| Diagram 1 | SESC Organization Chart |
| Diagram 2 | Relationship between the Minister of Finance and the SESC |
| Diagram 3 | Surveillance Framework |
| Diagram 4 | Relationship between the SESC and SROs |
top