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Contents
Message from the Chairperson (PDF file: 491KB) |
|
| Summary | |
| Chapter 1: Investigations of Criminal Offenses and Filing of Complaints | |
| Section 1. | Outline |
| Section 2. | Investigations of criminal offenses and filing of complaints |
| Chapter 2: Inspections (PDF file: 283KB) | |
| Section 1. | Outline |
| Section 2. | Basic policy and plan for inspections |
| Section 3. | Results of inspections |
| Section 4. | Results of inspections of securities companies |
| Section 5. | Results of inspections of registered financial institutions |
| Section 6. | Results of inspections of financial futures dealers |
| Chapter 3: Recommendations (PDF file: 555KB) | |
| Section 1. | Outline |
| Section 2. | Recommendations and actions taken |
| Chapter 4: Proposals (PDF file: 345KB) | |
| Section 1. | Outline |
| Section 2. | Proposals |
| Chapter 5: Market Surveillance | |
| Section 1. | Outline |
| Section 2. | Market surveillance |
| Chapter 6: Other Activities | |
| Section 1. | Publishing the Inspection Manual for Securities Companies |
| Section 2. | Dealing with new financial devices |
| Section 3. | Dealing with Internet trading |
| Section 4. | Seeking/Receiving information from the general public |
| Section 5. | Cooperating with foreign regulatory authorities |
| Section 6. | Strengthening surveillance systems |
| Chapter 7: Self-Regulatory Organizations (PDF file: 552KB) | |
| 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 FFA |
| Section 5. | Activities of the TIFFE |
| Diagram 1 | Securities and Exchange Surveillance Commission Organization Chart |
| Diagram 2-1 | Surveillance Framework (After January 6, 2001) |
| Diagram 2-2 | Surveillance Framework (July 1, 2000, to January 5, 2001) |
| Diagram 2-3 | Surveillance Framework (July 1, 1999, to June 30, 2000) |
| Diagram 3 | Relationship among the Prime Minister, the Financial Reconstruction Commission, the Commissioner of the Financial Supervisory Agency, and the Securities and Exchange Surveillance Commission |
| Diagram 4 | Relationship between the Securities and Exchange Surveillance Commission and Self-Regulatory Organizations |
| Chairperson and Commissioner Profiles | |
| List of Abbreviations | |
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