Japan: IOSCO Objectives and Principles of Securities Regulation: Detailed Assessment of Implementation

August 10, 2012

Summary

This report analyzes the functioning of the legal and regulatory framework for the securities market in Japan. The Financial Services Agency (FSA) enjoyed specific powers with respect to the various security laws and regulations laid down by the International Organization of Securities Commission (IOSCO). The FSA has been authorized to bring about certain changes, to implement new principles, and to develop new frameworks to ensure and strengthen the smooth functioning of supervision and investigation. It is also necessary to identify and assess risks to determine FSA intervention.

Subject: Capital adequacy requirements, Financial institutions, Financial instruments, Financial regulation and supervision, Financial sector policy and analysis, Financial stability assessment, Financial statements, Public financial management (PFM), Securities

Keywords: audit firm, capital adequacy ratio, Capital adequacy requirements, certificate of incorporation, CR, financial institution, Financial stability assessment, Financial statements, FSA staff, Global, holding company, insider trading, ISCR, material information, public offering, Securities, SESC staff, subsidiary company, terms and conditions

Pages:
107
Volume:
2012
DOI:
https://doi.org/10.5089/9781475506440.002
Issue:
230
Series:
Country Report No. 2012/230
Stock No:
1JPNEA2012006
ISBN:
9781475506440
ISSN:
1934-7685

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