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Contents
Message from the Chairperson (PDF file:401 KB) |
|
| Summary | |
| Chapter 1: Investigations and Accusations of Criminal Offenses | |
| I. | Outline |
| II. | Status of Accusations of Criminal Offenses |
| Chapter 2: Inspections (PDF file: 264KB) | |
| I. | Outline |
| II. | Basic Policy and Plan for Inspections |
| III. | Results of Inspections |
| 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 |
| VII. | Results of lnspections of Self-Regulatory Organizations |
| Chapter 3: Recommendations (PDF file:443 KB) | |
| I. | Outline |
| II. | Status of Recommendations and Actions Taken |
| Chapter 4: Proposals (PDF file:278KB) | |
| Chapter 5: Market Surveillance | |
| I. | Outline |
| II. | Status of Market Surveillance |
| Chapter6: Other Activities | |
| I. | Receiving Information from the General Public |
| II. | Cooperation with Overseas Regulatory Authorities |
| III. | Strengthening Surveillance Systems |
| Chapter 7: Inspections of Financial Institutions by the Financial Supervisory Agency (Minister of Finance) (PDF file: 329KB) | |
| I. | Outline |
| II. | Proposal Concerning Basic Policy and Plan of Inspections |
| III. | Inspection Results and Outline of the Results |
| Chapter 8: Self-Regulatory Organizations (PDF file: 310KB) | |
| 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 |
| Diagram 1: | SESC Organization Chart |
| Diagram 2: | Surveillance Framework |
| Diagram 3: | Relationship among the Prime Minister, the Financial Supervisory Agency, and the SESC |
| Diagram 4: | Relationship between the SESC and SROs |
| Chairperson and Commissioner Profiles | |
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