What’s New on the FSA Website

Week of October 31 – November 4, 2016

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

Press Conferences

November 4, 2016:	Press Conference by the Minister for Financial Services (October 28, 2016) Japanese version

Public Comments

(The following public comment is available in Japanese)

November 1, 2016:

Publication of a draft amendment to the regulatory notice designating transactions and lending/borrowing to be excluded from the transactions subject to the regulations on “Financial Instruments Obligation Assumption Business” «Summary» The FSA proposed a draft amendment to the regulatory notice designating transactions and lending/borrowing to be excluded from the transactions subject to the regulations on “Financial Instruments Obligation Assumption Business” based on the “Order for Enforcement of the Financial Instrument and Exchange Act.” The amendment aims to extend the applicable period (date of expiration) of the current regulatory notice from December 31, 2016 to June 30, 2017.

Press Releases

(The following press releases are available in English)

International

November 4, 2016:	Exchange of Letters on co-operation Related to the Insurance Supervision with the New Jersey Department of Banking and Insurance (NJDOBI)
November 1, 2016:	Public Statement by the Financial Action Task Force (FATF)
November 1, 2016:	Sixth Issue of the GLOPAC Newsletter

Banks

October 31, 2016:	Update on measures taken in response to the Great East Japan Earthquake (as of October 31, 2016)
October 31, 2016:	Information sharing of cases regarding unauthorized use of bank accounts

Publication

October 31, 2016:	Publication of the 159th issue of the FSA’s monthly journal, Access FSA

Others

November 1, 2016:	Updated list of issuers of gift certificates in repayment procedures based on the “Payment Services Act”
November 1, 2016:	Announcement of personnel changes (announced November 1, 2016)

(The following press releases are available in Japanese)

Councils

November 2, 2016:	Publication of the agenda and handouts of the eighth meeting of the “Working Group on Financial Markets” of the Financial System Council «Summary» The FSA published the agenda and handouts of the eighth meeting of the “Working Group on Financial Markets” of the Financial System Council, which was held on November 2, 2016.
October 31, 2016:	Publication of the agenda and handouts of the third meeting of the “Working Group on the Financial System” of the Financial System Council «Summary» The FSA published the agenda and handouts of the third meeting of the “Working Group on the Financial System” of the Financial System Council, which was held on October 28, 2016.

Securities

November 4, 2016:

Administrative action against Winvol Co.,Ltd. and three other entities (Kanto Local Finance Bureau) «Summary» The Kanto Local Finance Bureau took administrative actions against Winvol Co.,Ltd., Winvol Station LLC., Winvol Dream LLC., and Winvol Falcon LLC., ordering the abolition of the entities’ entire specially permitted businesses for qualified institutional investors and the improvement of their business operations pursuant to the “Financial Instruments and Exchange Act.” These administrative actions are based on a recommendation from the Securities and Exchange Surveillance Commission (SESC) as a result of their on-site inspection.

November 2, 2016:

The first trial of an administrative penalty case against an individual for committing insider trading regarding stocks of KEIOZU HOLDINGS COMPANY «Summary» On November 9, 2016, the first trial of an administrative penalty case against an individual for committing insider trading regarding stocks of KEIOZU HOLDINGS COMPANY by using information received from a contractor of a tender offeror of KEIOZU HOLDINGS COMPANY was conducted.

Others

October 31, 2016:

Activities of the FSA’s Counseling Office for Financial Services Users between July 1 and September 30, 2016 «Summary» The FSA’s Counseling Office for Financial Services Users is offering a counseling service in response to inquiries and comments from financial services users. Between July 1 and September 30, 2016, the counseling office received 8,491 inquiries and comments, a slight decrease from 9,163 cases in the previous quarter (between April 1 and June 30, 2016). Among them, 241 cases were received through the ex-ante consulting services.