Financial Services AgencyFSA Weekly Review No.316

October 25, 2018

What’s New on the FSA Website

Week of October 15 - October 19, 2018

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

Public Comments

(The following public comment is available in Japanese)

October 15, 2018 Publication of the finalized amendments to the report titled “JFSA’s Supervisory Approaches to Compliance Risk Management” open new window
< Summary>
The FSA finalized the amendments to the report titled “JFSA’s Supervisory Approaches to Compliance Risk Management” which was subject to public consultation from July to August 2018. The primary aim of the FSA’s approach is to assist financial institutions to enhance their compliance risk management by engaging in dialogues with them.

Press Releases

(The following press releases are available in English)

International 

October 19, 2018 The Basel Committee on Banking Supervision published a newsletter entitled Statement on leverage ratio window-dressing behaviour open new window
October 19, 2018 The Basel Committee on Banking Supervision published a consultative document entitled Leverage ratio treatment of client cleared derivatives open new window
October 18, 2018 The FSA appoints Mr. Leo Melamed, Chairman Emeritus of the CME Group, as the FSA advisor
October 17, 2018 The Asia Region Funds Passport Joint Committee held its fifth face-to-face meeting open new window
October 15, 2018 PDF The Financial Stability Board (FSB) published Crypto-asset markets: Potential channels for future financial stability implications open new window
October 15, 2018 G7 presidency Canada announced "G7 Fundamental Elements for Threat-Led Penetration Testing" and "G7 Fundamental Elements for Third Party Cyber Risk Management in the Financial Sector" open new window


Others

October 16, 2018 Updated list of issuers of gift certificates in repayment procedures based on the “Payment Services Act”


(The following press releases are available in Japanese)

Councils

October 17, 2018 Publication of the agenda and handouts of the 40th general meeting of Financial System Council and the 28th meeting of Sectional Committee on Financial System open new window
< Summary>
The FSA published the agenda and handouts of the joint session of the 40th general meeting of Financial System Council and the 28th meeting of Sectional Committee on Financial System, which was held on October 17, 2018.


Securities

October 19, 2018 Administrative penalty charge against an individual for committing insider trading regarding stocks of NIPPON KINZOKU CO., LTD. by using received insider information open new window
< Summary>
On October 18, 2018, the FSA issued an order to impose an administrative penalty charge against an individual for committing insider trading of stocks of NIPPON KINZOKU CO., LTD. by using information received from an officer of the entity.
October 19, 2018 Administrative penalty charge against an individual for recommending the purchase of stocks of POCKET CARD CO., LTD. based on insider information obtained as an employee of the entity open new window
< Summary>
On October 18, 2018, the FSA issued an order to impose an administrative penalty charge against an employee of POCKET CARD CO., LTD. for recommending the purchase of stocks of the entity based on insider information regarding implementation of a tender offer of shares of the entity (the insider information itself was withheld by the employee) to a non-insider who purchased the stocks based on the employee’s recommendation.


Others

October 16, 2018 Publication of a tutorial video used in the FSA-sponsored financial literacy class titled “What is Money? – Happy Money ® Class for Elementary School Students” (provisional English title) open new window
< Summary>
The FSA published a tutorial video used in the FSA-sponsored financial literacy class titled “What is Money? –Happy Money ® Class for Elementary School Students” (provisional English title). The tutorial video (inclusive of contents of the financial literacy class) is a documentary on the elementary school students who attended the financial literacy class hosted by the FSA on the occasion of “the FSA’s Kids’ Day” held in August 2018 as part of the “Children’s Day for Visiting Kasumigaseki” campaign, wherein an external expert was invited as the tutor of the class.
October 15, 2018 Publication of the minutes and handouts of the Expert Panel on Policy Assessment open new window
< Summary>
The FSA published the minutes and handouts of the Expert Panel on Policy Assessment held on September 13, 2018.

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