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 |