Message from
the Chairperson (PDF file:
491KB) |
Summary |
Chapter 1:
Investigations of Criminal Offenses and Filing of Complaints |
Section 1. |
Outline |
Section 2. |
Investigations of criminal offenses
and filing of complaints |
Chapter 2:
Inspections (PDF file: 283KB) |
Section 1. |
Outline |
Section 2. |
Basic policy and plan for inspections |
Section 3. |
Results of inspections |
Section 4. |
Results of inspections of securities
companies |
Section 5. |
Results of inspections of registered
financial institutions |
Section 6. |
Results of inspections of financial
futures dealers |
Chapter 3:
Recommendations (PDF file: 555KB) |
Section 1. |
Outline |
Section 2. |
Recommendations and actions taken |
Chapter 4:
Proposals (PDF file: 345KB) |
Section 1. |
Outline |
Section 2. |
Proposals |
Chapter 5: Market
Surveillance |
Section 1. |
Outline |
Section 2. |
Market surveillance |
Chapter 6: Other
Activities |
Section 1. |
Publishing the Inspection Manual for
Securities Companies |
Section 2. |
Dealing with new financial devices |
Section 3. |
Dealing with Internet trading |
Section 4. |
Seeking/Receiving information from the
general public |
Section 5. |
Cooperating with foreign regulatory
authorities |
Section 6. |
Strengthening surveillance systems |
Chapter 7:
Self-Regulatory Organizations (PDF file: 552KB) |
Section 1. |
Relationship between the Securities
and Exchange Surveillance Commission and self-regulatory
organizations |
Section 2. |
Activities of the Japan Securities
Dealers Association |
Section 3. |
Activities of stock exchanges |
Section 4. |
Activities of the FFA |
Section 5. |
Activities of the TIFFE |
Diagram 1 |
Securities and Exchange Surveillance
Commission Organization Chart |
Diagram 2-1 |
Surveillance Framework (After January
6, 2001) |
Diagram 2-2 |
Surveillance Framework (July 1, 2000,
to January 5, 2001) |
Diagram 2-3 |
Surveillance Framework (July 1, 1999,
to June 30, 2000) |
Diagram 3 |
Relationship among the Prime Minister,
the Financial Reconstruction Commission, the Commissioner of the
Financial Supervisory Agency, and the Securities and Exchange
Surveillance Commission |
Diagram 4 |
Relationship between the Securities
and Exchange Surveillance Commission and Self-Regulatory
Organizations |
Chairperson and
Commissioner Profiles |
List of Abbreviations |