Annual Report 2004/2005 |
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View Entire 2004/2005 Annual Report (PDF : 3,973KB) |
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Message from the Chairman (PDF : 561KB) |
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1. Investigations of Criminal Offenses and Filing of Complaints (PDF : 163KB) |
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1) | Outline | ||
1. | Authority to investigate criminal offenses | ||
2. | Scope of criminal offenses and others | ||
2) | Filing of complaints | ||
2. Administrative Civil Money Penalty Investigations (PDF : 121KB) |
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1) | Purpose of and Authority for Investigations | ||
2) | Acts Subject to Penalties | ||
3. Inspections towards regulated market intermediaries (PDF : 157KB) |
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1) | Outline | ||
1. | Inspections to ensure fair trading | ||
2. | Inspections with respect to confirming customers’ identity | ||
2) | Basic inspection policy and Basic Inspection Plan | ||
3) | Results of inspections | ||
1. | Outline of conducted inspections | ||
2. | Outline of securities company inspection results | ||
3. | Outline of registered financial institution inspection results | ||
4. | Inspections of Financial Futures Traders | ||
5. | Inspections of Self-Regulatory Organizations | ||
4. Recommendations (PDF : 194KB) |
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1) | Outline | ||
2) | Recommendations and measures taken based on recommendations | ||
1. | Violations of laws and regulations by securities companies | ||
2. | Violations of laws or regulations by executives and other employees of securities companies | ||
3. | Violations of laws or regulations by Registered Financial Institutions | ||
5. Policy Proposals (PDF : 175KB) | |||
6. Market Surveillance (PDF : 172KB) | |||
1) | Outline | ||
1. | Outline of market surveillance | ||
2. | Legal basis | ||
3. | Cooperation with Self-Regulatory Organizations | ||
2) | Summary of surveillance results | ||
7. Gathering of Information from the General Public (PDF : 154KB) | |||
8. Efforts to Strengthen Surveillance Activities and Functions (PDF : 185KB) | |||
1) | Expansion and Strengthening of the Market Surveillance systems | ||
1. | Expansion human resources | ||
2. | Improvement of information gathering and analytical competence | ||
2) | New surveillance functions | ||
1. | Outline | ||
2. | Expanded scope of authority to inspect | ||
3) | Efforts to communicate with investors | ||
4) | Cooperation with FSA and SROs | ||
5) | Cooperation with Foreign Regulators | ||
1. | Participation in the International Organization of Securities Commissions(IOSCO) | ||
2. | Bilateral Information Sharing and Exchange with Foreign Securities Regulatory Authorities | ||
3. | Memoranda of Understanding (MOU) concerning Information Exchange | ||
4. | Training Program for Officials of Foreign Securities Regulators | ||
Supplements
(PDF : 1,245KB) Basic Principle - On the Start of New Regime (July 2004) - 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 Directors General of Local Finance Bureaus Table. 4 Relationship to Self-Regulatory Organizations Outline of Main Cases for which Recommendations were Issued in the 2004 SESC Year Introduction of Chairman and Commissioners (PDF : 469KB) |
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