## Japan: Financial Sector Assessment Program-Technical Note-Regulation and Supervision of Securities

_IMF Staff Country Reports, September 18, 2017_

## Source details

**Canonical URL:** [Japan: Financial Sector Assessment Program-Technical Note-Regulation and Supervision of Securities](https://www.imf.org/en/publications/cr/issues/2017/09/18/japan-financial-sector-assessment-program-technical-note-regulation-and-supervision-of-45262)

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## Bibliographic details
- Published: September 18, 2017
- Series: IMF Staff Country Reports
- DOI: https://doi.org/10.5089/9781484319789.002

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### Main findings
- Discusses findings in the Financial Sector Assessment Program for Japan in the areas of regulation and supervision of securities firms.
- Supervision of the two major Japanese securities groups and the Japanese subsidiaries of global banking groups deserves special attention, given the domestic and cross-border interconnectedness of these firms.
- The supervisory teams for the major Japanese groups need access to a sufficient number of experienced staff.

### Policy recommendations and supervisory priorities
- Continue to ensure that supervisory teams for the major Japanese groups have access to a sufficient number of experienced staff.
- Continue to enhance existing international cooperation in the supervision of:
  - Japanese firms’ overseas operations.
  - Foreign-owned firms’ activities in Japan.

### Scope and thematic coverage
- Subject areas covered: Capital adequacy requirements; Economic sectors; Financial institutions; Financial instruments; Financial regulation and supervision; Foreign corporations; National accounts; Private investment; Securities.
- Keywords highlighted: board of directors; business model; business report; capital adequacy ratio; Capital adequacy requirements; control environment; CR; financial institution; financial instruments business; financial instruments firms association; financial product; Foreign corporations; Global; ISCR; parent company; Private investment; risk management; Securities.

### Publication metadata and identifiers
- Pages: 44
- Volume: 2017
- Issue: 284
- Series: Country Report No. 2017/284
- Stock No: 1JPNEA2017007
- ISBN: 9781484319789
- ISSN: 1934-7685
- DOI: https://doi.org/10.5089/9781484319789.002

*International Monetary Fund. Monetary and Capital Markets Department "Japan: Financial Sector Assessment Program-Technical Note-Regulation and Supervision of Securities", IMF Staff Country Reports 2017, 284 (2017).*

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- **Country Report**
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_Source: https://www.imf.org/en/publications/cr/issues/2017/09/18/japan-financial-sector-assessment-program-technical-note-regulation-and-supervision-of-45262_