Outline of Activities July 1993-June 1994

 
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Contents


Message from the Chairman
  (PDF file: 482KB)
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: 404KB)
I. Outline
II. Basic policy and plan of inspections
III. Number 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. Results of Market Surveillance
Chapter 6: Inspections of Financial Institutions by the Minister of Finance
Chapter 7: Self-Regulatory Organizations (PDF file: 442KB)
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
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
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

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