 |
In order to access to a PDF file, you need Adobe Acrobat Reader. |
Contents
Message from the Chairperson (PDF file: 284KB) |
|
| Summary | |
| Chapter 1: Investigations and Accusations of Criminal Offenses | |
| Section 1. | Outline |
| Section 2. | Investigations and accusations of criminal offenses |
| Chapter 2: Inspections (PDF file: 357KB) | |
| Section 1. | Outline |
| Section 2. | Basic policy and plan for inspections |
| Section 3. | Results of inspections |
| Section 4. | Results of securities companies inspections |
| Section 5. | Results of financial futures dealers inspections |
| Chapter 3: Recommendations (PDF file: 547KB) | |
| Section 1. | Outline |
| Section 2. | Recommendations and actions taken |
| Chapter 4: Proposals (PDF file: 581KB) | |
| Section 1. | Outline |
| Section 2. | Proposals and measures taken based on the proposals |
| Chapter 5: Market Surveillance | |
| Section 1. | Outline |
| Section 2. | Market surveillance |
| Chapter 6: Other Activities | |
| Section 1. | Measures for Internet trading |
| Section 2. | Measures for new markets |
| Section 3. | Information received from the general public |
| Section 4. | Cooperation with foreign regulatory authorities |
| Section 5. | Strengthening surveillance systems |
| Chapter 7: Self-Regulatory Organizations (PDF file: 913KB) | |
| Section 1. | Relationship between the Securities and Exchange Surveillance Commission and Self-Regulatory Organizations |
| Section 2. | Activities of the Japan Securities Dealers Association |
| Section 3. | Activities of stock exchanges |
| Section 4. | Activities of the Financial Futures Association of Japan |
| Section 5. | Activities of the Tokyo Financial Futures Exchange |
| Diagram 1 | Securities and Exchange Surveillance Commission Organization Chart |
| Diagram2-1 | Surveillance Framework (during the year under review) |
| Diagram2-2 | Surveillance Framework (July 1, 2000 to January 5, 2001) |
| Diagram2-3 | Surveillance Framework (after January 6, 2001) |
| Diagram3 | Relationship among the Prime Minister, the Financial Reconstruction Commission, the Commissioner of the Financial Supervisory Agency, and the Securities and Exchange Surveillance Commission |
| Diagram4 | Relationship between the Securities and Exchange Surveillance Commission and Self-Regulatory Organizations |
| Chairperson and Commissioners Profiles | |
| List of Abbreviations | |
top