|
Annual Report 2003/2004 |
||
Contents |
Message from the Chairman (PDF : 106KB) |
|||
1. Investigations of Criminal Offenses and Filing of Complaints (PDF : 65KB) |
|||
| 1) | Outline | ||
| 1. | Authority to investigate criminal offenses | ||
| 2. | Scope of criminal offenses and others | ||
| 2) | Investigations of criminal offenses and filing of complaints | ||
| 1. | Investigations of criminal offenses | ||
| 2. | Filing of complaints | ||
2. Inspections (PDF : 70KB) |
|||
| 1) | Outline | ||
| 1. | Inspections to ensure fair trading | ||
| 2. | Inspections with respect to verifying traders' identity | ||
| 2) | Basic inspection policy | ||
| 3) | Results of inspections | ||
| 1. | Outline of conducted inspections | ||
| 2. | Inspections of interest-conflicting acts in connection with analysts' reports | ||
| 3. | Outline of securities company inspection results | ||
| 4. | Outline of registered financial institution inspection results | ||
| 5. | Outline of financial futures trader inspection results | ||
| 6. | Outline of self-regulatory organization inspection results | ||
3. Recommendations (PDF : 115KB) |
|||
| 1) | Outline | ||
| 2) | Recommendations and measures taken based on recommendations | ||
| 1. | Violations of laws by securities companies | ||
| 2. | Violations of laws or regulations by executives and other employees of securities companies | ||
| 3. | Violations of laws or regulations by financial futures traders | ||
| 4. | Violations of laws by self-regulatory organizations | ||
4. Policy Proposals (PDF : 69KB) |
|||
| 1) | Outline | ||
| 2) | Forwarded proposal and measures taken based on the proposals | ||
5. Market Surveillance (PDF : 61KB) |
|||
| 1) | Outline | ||
| 1. | Outline of market surveillance | ||
| 2. | Legal basis | ||
| 3. | Cooperation with self-regulatory organizations | ||
| 2) | Summary of surveillance results | ||
6. Gathering of Information from the General Public (PDF : 46KB) |
|||
7. Efforts to Strengthen Activities and Function of Surveillance (PDF : 69KB) |
|||
| 1) | Strengthening surveillance systems | ||
| 1. | Expanding of human resources | ||
| 2. | Improving information gathering and analyzing capability | ||
| 2) | New surveillance functions | ||
| 3) | Efforts to communicate with investors | ||
| 4) | Cooperation with FSA and SROs | ||
| 5) | Cooperation with Foreign Regulators | ||
| 1. | Activities at IOSCO | ||
| 2. | Bilateral exchange and cooperation with overseas securities authorities | ||
8. Operations of Self-Regulatory Organizations to Ensure Fair Trading (PDF : 59KB) |
|||
| 1) | Roles of self-regulatory organizations | ||
| 2) | Activities of self-regulatory organizations | ||
Supplements (PDF : 121KB) |
|
| Basic ideas-upon the establishment of a new structure | |
| Table 1. | Organization of the SESC |
| Table 2. | Conceptual Chart for Supervision of Securities Transactions |
| Table 3. | Conceptual Chart for Relationship among the Prime Minister, FSA Commissioner, SESC and Local Finance Bureau Chiefs |
| Table 4. | Relationship to Self-Regulatory Organizations |
| Outline of Main Cases for which Recommendations
were issued in the 2003 SESC Year (a) (PDF : 74KB) (b) (PDF : 89KB) (c) (PDF : 117KB) (d) (PDF : 102KB) (e) (PDF : 67KB) (f) (PDF : 63KB) (g) (PDF : 66KB) (h) (PDF : 70KB) (i) (PDF : 66KB) (j) (PDF : 62KB) |
|
Introduction of Chairman and Commissioners (PDF : 113KB) |
|
top |
