Public Consultation on Partially Amendment of Securities Monitoring Guidelines

The Securities and Exchange Surveillance Commission (“SESC”) has now launched a public consultation on Partially Amendment of Securities Monitoring Guidelines which sets out the basic procedure for inspection.

1. Key Points of the Amendment

The proposal allows newly registered foreign asset management firms and other eligible financial business operators to prepare and submit documents in English to the SESC.

Please refer to the link here for the key point of the proposals.
Partially Amendment of Securities Monitoring Guidelines- (Draft) (Japanese)

2. How to Submit Comments

Please send your comments by email, making sure to include your name, address, and company/organization name by 18:00 (JST), Monday, December 7, 2020.

The SESC may disclose your name or company/organization name as well as comments it received if so requested. Please indicate at the beginning of your comment if you wish to be anonymous in the case of such disclosure.

The SESC may respond to similar comments all together. It should be noted that the SESC will not respond to each person submitting comment individually.

Email address: inspection-english@fsa.go.jp

The public comment period is now closed.