Message from the Chairman (PDF : 106KB) |
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1. Investigations of Criminal Offenses and Filing of Complaints (PDF : 65KB) |
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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 : 70KB) |
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1) | Outline | ||
1. | Inspections to ensure fair trading | ||
2. | Inspections with respect to verifying traders' identity | ||
2) | Basic inspection policy | ||
3) | Results of inspections | ||
1. | Outline of conducted inspections | ||
2. | Inspections of interest-conflicting acts in connection with analysts' reports | ||
3. | Outline of securities company inspection results | ||
4. | Outline of registered financial institution inspection results | ||
5. | Outline of financial futures trader inspection results | ||
6. | Outline of self-regulatory organization inspection results | ||
3. Recommendations (PDF : 115KB) |
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1) | Outline | ||
2) | Recommendations and measures taken based on recommendations | ||
1. | Violations of laws by securities companies | ||
2. | Violations of laws or regulations by executives and other employees of securities companies | ||
3. | Violations of laws or regulations by financial futures traders | ||
4. | Violations of laws by self-regulatory organizations | ||
4. Policy Proposals (PDF : 69KB) |
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1) | Outline | ||
2) | Forwarded proposal and measures taken based on the proposals | ||
5. Market Surveillance (PDF : 61KB) |
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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 : 46KB) |
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7. Efforts to Strengthen Activities and Function of Surveillance (PDF : 69KB) |
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1) | Strengthening surveillance systems | ||
1. | Expanding of human resources | ||
2. | Improving information gathering and analyzing capability | ||
2) | New surveillance functions | ||
3) | Efforts to communicate with investors | ||
4) | Cooperation with FSA and SROs | ||
5) | Cooperation with Foreign Regulators | ||
1. | Activities at IOSCO | ||
2. | Bilateral exchange and cooperation with overseas securities authorities | ||
8. Operations of Self-Regulatory Organizations to Ensure Fair Trading (PDF : 59KB) |
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1) | Roles of self-regulatory organizations | ||
2) | Activities of self-regulatory organizations |
Supplements (PDF : 121KB) |
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Basic ideas-upon the establishment of a new structure | |
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 2003 SESC Year (a) (PDF : 74KB) (b) (PDF : 89KB) (c) (PDF : 117KB) (d) (PDF : 102KB) (e) (PDF : 67KB) (f) (PDF : 63KB) (g) (PDF : 66KB) (h) (PDF : 70KB) (i) (PDF : 66KB) (j) (PDF : 62KB) |
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Introduction of Chairman and Commissioners (PDF : 113KB) |
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