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

International Monetary Fund

No 2017/284, IMF Staff Country Reports from International Monetary Fund

Abstract: This Technical Note discusses the findings and recommendations made in the Financial Sector Assessment Program for Japan in the areas of regulation and supervision of securities firms. The 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 authorities should continue to ensure that the supervisory teams for the major Japanese groups have access to sufficient number of experienced staff. It is also important to continue to enhance the existing international cooperation in the supervision of Japanese firms’ overseas operations and foreign-owned firms’ activities in Japan.

Keywords: ISCR; CR; capital adequacy ratio; risk management; board of directors; business report; financial institution; parent company; financial instruments business; financial instruments firms association; business model; financial product; control environment; Securities; Capital adequacy requirements; Private investment; Foreign corporations; Global (search for similar items in EconPapers)
Pages: 44
Date: 2017-09-18
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