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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