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 |