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The 2nd Tokyo Enforcement Seminar
Nov25-29
The 2nd Tokyo Enforcement Seminar was
held from November 25, 2003 through November 29, 2003. In the seminar, 29
market regulators participated from 15 Asian countries. The main purpose
of this Seminar is to develop a better understanding of basic enforcement
principles on securities markets through presentations about the common
concern, skills to deal with them, and the current topics in securities
market regulation.
 |
Participants |
Opening Statement by Mr.Takahashi,
Chairman of the SESC |
 |
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Case discussion by participants |
Closing Statement by Mr.Kawagishi,
Commissioner of the SESC |
 |
Sponsor and Cooperation:
| Sponsor |
: |
Securities and Exchange Surveillance Commission (SESC),
Financial Services Agency (FSA) |
| Cooperation |
: |
Asia Development Bank Institute(ADBI),
The Tokyo Stock Exchange (TSE),
The Japanese Securities Dealers Association (JSDA),
Daiwa Securities Co., Ltd.
Daiwa SMBC Co., Ltd.
Australian Securities and Investment Commission
Hong Kong Securities and Futures Commission
Korea Financial Supervisory Service |
the 2nd Tokyo Enforcement Seminar Schedule
| November 25(Monday) |
| 10:00 |
- |
10:30 |
|
Opening Statement |
| 10:30 |
- |
12:00 |
the Securities Market in Japan (Presentation by SESC) |
| 12:00 |
- |
12:30 |
the Role of the SESC (presentation by SESC) |
| 12:30 |
- |
14:00 |
Lunch hosted by Commissioner, Mr.Kawagishi |
| 14:00 |
- |
15:30 |
Securities Exchange Act in Japan (presentation by FSA) |
| 15:30 |
- |
16:00 |
Coffee Break |
| 16:00 |
- |
17:30 |
SESC Inspections of Securities Companies in Japan
(Presentation by SESC) |
| 18:00 |
- |
|
Welcome Receptio Exchange, etc. |
November 26(Tuesday) |
| 9:00 |
- |
17:00 |
|
Visit Tour to The Tokyo Stock Exchange & Kamakura
Market surveillance pursued by Tokyo Stock Exchange (presentation by TSE) |
November 27(Wednesday) |
| 9:45 |
- |
12:45 |
|
Market surveillance by SESC (presentation by SESC)
Investigation by SESC (presentation by SESC) |
| 12:45 |
- |
14:15 |
Lunch |
| 14:15 |
- |
16:00 |
Inspection of Securities Companies by Japan Securities
Dealers
Association (Presentation by JSDA) |
| 16:00 |
- |
16:30 |
Coffee break |
| 16:30 |
- |
18:00 |
Internal Control System in Daiwa Securities Co. Ltd.
(presentation by Daiwa Securities Co. Ltd.) |
November 28(Thursday) |
| 10:00 |
- |
11:30 |
|
Enforcement Activity in Korea (presentation by Korea FSS) |
| 11:30 |
- |
13:00 |
Lunch |
| 13:00 |
- |
14:30 |
International Cooperation in Investigation - Hong Kong
Experience
(presentation by Hong Kong SFC) |
| 14:30 |
- |
15:00 |
Coffee Break |
| 15:00 |
- |
16:30 |
Enforcement Activity in Australia (presentation by ASIC) |
November 29(Friday) |
| 9:30 |
- |
11:30 |
|
Visit Tour to the Daiwa Securities SMBC |
| 11:30 |
- |
13:00 |
Lunch |
|
15:30 |
- |
17:00 |
Case Discussion |
| 17:00 |
- |
17:30 |
Ceremony in ADBI |
| 18:30 |
|
|
Farewell Party |
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