Outline of Activities July 1996-June 1997
 
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Contents

Message from the Chairperson  (PDF file: 159KB)
Summary

Chapter 1: Investigations and Accusations of Criminal Offenses  (PDF file: 154KB)
  I. Outline
  II. Status of Accusations of Criminal Offenses

Chapter 2: Recommendations  (PDF file: 186KB)
  I. Outline
  II. Recommendations and actions taken

Chapter 3: Proposals  (PDF file: 16KB)
  I. Outline
  II. Status of Proposals

Chapter 4: Inspections  (PDF file: 577KB)
  I. Outline
  II. Basic Policy and Plan for Inspections
  III. Status 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

Chapter 5: Market Surveillance (PDF file: 143KB)
  I. Outline
  II. Status of Market Surveillance

Chapter 6: Inspections of Financial Institutions by the Minister of Finance (PDF file: 23KB)

Chapter 7: Self-Regulatory Organizations (PDF file: 309KB)
  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 Tokyo International Financial Futures Exchange

Chapter 8: Cooperation with Securities Regulatory Authorities Overseas (PDF file: 38KB)

Chapter 9: Other Activities (PDF file: 74KB)
  I. Receiving Information from the General Public
  II. Strengthening Surveillance Systems

Appendix :
Organization and Functions of the Securities and Exchange Surveillance Commission (PDF file: 103KB)

Diagram 1:
SESC Organization Chart (PDF file: 53KB)
Diagram 2: Relationship between the Minister of Finance and the SESC
Diagram 3: Surveillance Framework
Diagram 4: Relationship Between the SESC and SROs
Chairperson and Commissioners Profiles (PDF file: 73KB)

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