FSA Weekly Review No.77 December 24, 2013

What's New on the FSA Website

Week of December 16 - 20, 2013

This page contains the latest in events, developments, and updates to the FSA website.

Topics

“Financial institutions under on-site inspection by the FSA” has been updated
http://www.fsa.go.jp/en/regulated/inspection/index.html

Press Releases

(Following press release is available in English)

December 18, 2013: Additional Statement to modify FATCA Implementation Statement between U.S. and Japanese Authorities 
http://www.fsa.go.jp/en/news/2013/20131218-1.html

(Following press releases are available in Japanese)

OthersDecember 20, 2013: “List of Issuers of Gift Certificates in Repayment Procedures based on the Act on Fund Settlement” updated
http://www.fsa.go.jp/policy/prepaid/index.htmlopen new window

SecuritiesDecember 20, 2013: Progress status of initiatives by market participants to reduce securities settlement risks
http://www.fsa.go.jp/news/25/syouken/20131220-9.htmlopen new window

InternationalDecember 20, 2013: Basel Committee on Banking Supervision published a second consultative document titled “Revisions to the Basel securitisation framework”
http://www.fsa.go.jp/inter/bis/20131220-3.htmlopen new window
http://www.bis.org/press/p131219.htmopen new window (BIS press release is available in English)

InternationalDecember 20, 2013: Basel Committee on Banking Supervision issued a progress report titled “Progress in adopting the principles for effective risk data aggregation and risk reporting”
http://www.fsa.go.jp/inter/bis/20131220-2.htmlopen new window
http://www.bis.org/press/p131218.htmopen new window (BIS press release is available in English)

InternationalDecember 20, 2013: Basel Committee on Banking Supervision issued a report titled “Regulatory Consistency Assessment Programme (RCAP) Second report on risk-weighted assets for market risk in the trading book”
http://www.fsa.go.jp/inter/bis/20131220-1.htmlopen new window
http://www.bis.org/press/p131217.htmopen new window (BIS press release is available in English)

SecuritiesDecember 20, 2013: The FSA regulatory notice concerning the designation of related corporations of credit rating agencies (group designation concerning explanatory items of unregistered ratings) updated
http://www.fsa.go.jp/news/25/syouken/20131220-1.htmlopen new window

OthersDecember 20, 2013: The fifth meeting of the Review Panel Regarding Japanese version of Stewardship Code will be held
http://www.fsa.go.jp/news/25/singi/20131220-7.htmlopen new window

CouncilsDecember 20, 2013: The eleventh meeting of Financial System Council Working Group on the Provision of Risk Money to New/Growth Companies held
http://www.fsa.go.jp/singi/singi_kinyu/risk_money/siryou/20131220.htmlopen new window

BanksDecember 20, 2013: Progress report on the implementation of business enhancement plans
http://www.fsa.go.jp/news/25/ginkou/20131220-6.htmlopen new window

SecuritiesDecember 20, 2013: Decision on an administrative monetary penalty payment order against the insider trading by an employee of a company under negotiation to conclude a contract with SystemSoft Inc. and the recipient of the information from such employee (3)
http://www.fsa.go.jp/news/25/syouken/20131220-5.htmlopen new window

SecuritiesDecember 20, 2013: Decision on an administrative monetary penalty payment order against the insider trading by an employee of a company under negotiation to conclude a contract with SystemSoft Inc. and the recipient of the information from such employee (2)
http://www.fsa.go.jp/news/25/syouken/20131220-4.htmlopen new window

SecuritiesDecember 20, 2013: Decision on an administrative monetary penalty payment order against the insider trading by an employee of a company under negotiation to conclude a contract with SystemSoft Inc. and the recipient of the information from such employee (1)
http://www.fsa.go.jp/news/25/syouken/20131220-3.htmlopen new window

BanksDecember 20, 2013: Summary of results of the questionnaire survey on business sentiment, etc. of small and medium-size enterprises
http://www.fsa.go.jp/news/25/ginkou/20131220-2.htmopen new window

OthersDecember 20, 2013: Partial revision of the “Administrative Guidelines (Volume 3: Finance Company Related)”
http://www.fsa.go.jp/news/25/kinyu/20131220-8.htmlopen new window

OthersDecember 19, 2013: Administrative order against LCA Holdings Corp. to submit a correction report, etc. on securities reports, etc.
http://www.fsa.go.jp/news/25/sonota/20131219-1.htmlopen new window

SecuritiesDecember 18, 2013: Administrative actions against Jiiku Investment Advisory Co. Ltd.
http://www.fsa.go.jp/news/25/syouken/20131218-1.htmlopen new window

InternationalDecember 18, 2013: IAIS begins Public Consultation on Proposal for Basic Capital Requirements for Global Systemically Important Insurers
http://www.fsa.go.jp/inter/iai/20131218-2.htmlopen new window
PDFhttp://www.iaisweb.org/view/element_href.cfm?src=1/20712.pdfopen new window(IAIS press release is available in English)

Press ConferenceDecember 18, 2013: Press Conference by Taro Aso, Deputy Prime Minister, Minister of Finance and Minister for Financial Services (December 17, 2013)
http://www.fsa.go.jp/common/conference/minister/2013b/20131217-1.htmlopen new window

SecuritiesDecember 18, 2013: “List of unregistered financial instruments business operators” updated
http://www.fsa.go.jp/ordinary/chuui/mutouroku.htmlopen new window

InternationalDecember 18, 2013: Additional Statement to modify FATCA Implementation Statement between U.S. and Japanese Authorities
http://www.fsa.go.jp/inter/etc/20131218-1.htmlopen new window

OthersDecember 17, 2013: List of Firms Engaged in Specially Permitted Business for Qualified Institutional Investors which made false notification, etc. updated
http://www.fsa.go.jp/ordinary/chuui/tekikaku.htmlopen new window

SecuritiesDecember 17, 2013: Administrative actions against Global Arena Capital Inc.
http://www.fsa.go.jp/news/25/syouken/20131217-1.htmlopen new window

InternationalDecember 16, 2013: IOSCO Issues Report on the Impact of Trading Fee Models on Trading Behaviour
http://www.fsa.go.jp/inter/ios/20131216-3.htmlopen new window
PDFhttp://www.iosco.org/news/pdf/IOSCONEWS309.pdfopen new window (IOSCO press release is available in English)

InternationalDecember 16, 2013: IOSCO Issues Report on Regulatory Issues Raised by Changes in Market Structure
http://www.fsa.go.jp/inter/ios/20131216-2.htmlopen new window
PDFhttp://www.iosco.org/news/pdf/IOSCONEWS310.pdfopen new window (IOSCO press release is available in English)

Public CommentDecember 16, 2013: Results of public comments regarding the draft partial revision to the Comprehensive Guidelines for Supervision of Financial Instruments Business Operators, etc.
http://www.fsa.go.jp/news/25/syouken/20131216-1.htmlopen new window

InternationalDecember 16, 2013: The Basel Committee on Banking Supervision has published a final standard “Capital requirements for banks' equity investments in funds”
http://www.fsa.go.jp/inter/bis/20131216-1.htmlopen new window
http://www.bis.org/press/p131213.htmopen new window (BIS press release is available in English)

Press ConferenceDecember 16, 2013: Press Conference by Taro Aso, Deputy Prime Minister, Minister of Finance and Minister for Financial Services (December 13, 2013)
http://www.fsa.go.jp/common/conference/minister/2013b/20131213-1.htmlopen new window

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