Message from the Chairman (PDF : 451KB) |
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At the beginning (PDF : 514KB) |
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1. | Enhanced efforts to eradicate securities-related criminal offenses that undermine fairness of markets | ||
2. | Efforts to crack down on malicious acts by market agents | ||
3. | Effective market supervision | ||
4. | Response to information-era trading and internationalization | ||
1. Investigations of Criminal Offenses and Filing of Complaints (PDF : 619KB) |
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1) | Outline | ||
1. | Authority to investigate criminal offenses | ||
2. | Scope of criminal offenses and others | ||
2) | Investigations of criminal offenses and filing of complaints | ||
1. | Investigations of criminal offenses | ||
2. | Filing of complaints | ||
2. Inspections (PDF : 653KB) |
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1) | Outline | ||
1. | Inspections to ensure fair trading | ||
2. | Inspections to verify traders' identity | ||
2) | Basic inspection policy | ||
3) | Results of inspections | ||
1. | Outline of inspections | ||
2. | Outline of securities company inspection results | ||
3. | Inspections of self-regulatory organizations | ||
3. Recommendations (PDF : 1,255KB) |
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1) | Outline | ||
2) | Recommendations and steps taken | ||
1. | Violations of laws by securities companies | ||
2. | Violations of laws by executives and employees of securities companies | ||
4. Policy Proposals (PDF : 355KB) |
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1) | Outline | ||
2) | Implementation of proposals and measures taken based on proposals | ||
5. Market Surveillance (PDF : 398KB) |
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1) | Outline | ||
1. | Outline of market surveillance | ||
2. | Legal basis | ||
3. | Cooperation with self-regulatory organizations | ||
2) | Summary of surveillance results | ||
6. Gathering of Information from the General Public (PDF : 397KB) |
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7. Surveillance Activities, Efforts to Strengthen Surveillance Functions (PDF : 755KB) |
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1) | Strengthening surveillance systems | ||
2) | New authority over investor identity verification | ||
3) | Cooperation with FSA and SROs | ||
4) | Cooperation with Foreign Regulators | ||
5) | Dealing with Internet trading | ||
6) | Efforts to prevent violations on information disclosure | ||
8. Operations of Self-Regulatory Organizations to Ensure Fair Trading (PDF : 128KB) |
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1) | Roles of self-regulatory organizations | ||
2) | Activities of self-regulatory organizations |
Supplements (PDF : 954KB) |
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Table 1. | Organization of the SESC |
Table 2. | Conceptual Chart for Supervision of Securities Transactions |
Table 3. | Conceptual Chart for Relationship among the Prime Minister, FSA Commissioner, SESC and local Finance Bureau Chiefs |
Table 4. | Relationship to Self-Regulatory Organizations |
Outline of Main Cases for which Recommendations were issued in the 2002 SESC Year (a-1) (PDF : 500KB) (a-2) (PDF : 286KB) (b-1) (PDF : 451KB) (b-2) (PDF : 259KB) (c) (PDF : 424KB) (d-1) (PDF : 483KB) (d-2) (PDF : 353KB) (e) (PDF : 326KB) (f-1) (PDF : 626KB) (f-2) (PDF : 478KB) (g-1) (PDF : 484KB) (g-2) (PDF : 459KB) (g-3) (PDF : 796KB) (h) (PDF : 344KB) (i) (PDF : 358KB) |
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Introduction Chairman and Commissioners (PDF : 345KB) |
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