Outline of Activities July 1997-June 1998

 
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Contents


Message from the Chairperson
  (PDF file:401 KB)
Summary
Chapter 1: Investigations and Accusations of Criminal Offenses
I. Outline
II. Status of Accusations of Criminal Offenses
Chapter 2: Inspections  (PDF file: 264KB)
I. Outline
II. Basic Policy and Plan for Inspections
III.  Results 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
VII. Results of lnspections of Self-Regulatory Organizations
Chapter 3: Recommendations  (PDF file:443 KB)
I. Outline
II. Status of Recommendations and Actions Taken
Chapter 4: Proposals  (PDF file:278KB)
Chapter 5: Market Surveillance
I. Outline
II. Status of Market Surveillance
Chapter6: Other Activities
I. Receiving Information from the General Public
II. Cooperation with Overseas Regulatory Authorities
III. Strengthening Surveillance Systems
Chapter 7: Inspections of Financial Institutions by the Financial Supervisory Agency (Minister of Finance)  (PDF file: 329KB)
I. Outline
II. Proposal Concerning Basic Policy and Plan of Inspections
III. Inspection Results and Outline of the Results
Chapter 8: Self-Regulatory Organizations  (PDF file: 310KB)
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
Diagram 1: SESC Organization Chart
Diagram 2: Surveillance Framework
Diagram 3: Relationship among the Prime Minister, the Financial Supervisory Agency, and the SESC
Diagram 4: Relationship between the SESC and SROs
Chairperson and Commissioner Profiles

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