Past Events

The SESC’s Basic Inspection Policy and Program 2012-13

Mr. Yasuhito Suzuki, Director, Inspection Division, SESC

Mr. Suzuki gave an overview of the SESC inspection policy guidelines, which are the basis for the SESC’s inspections in 2012-13. The presentation was followed by a question and answer session. 

Legal/Regulatory 

The FSA’s 2012-13 Basic Inspection Policy for Banks

Mr. Kiyotaka Sasaki, Deputy Director-General, Inspection Bureau, FSA

Mr. Sasaki gave an overview of the financial inspection policy for banks for 2012-13. Topics addressed included liquidity risk management on a global basis, dialogue with foreign financial institutions’ head/regional offices, and enhanced monitoring of foreign banks in cooperation with home country regulations.

Legal/Regulatory 

Full Day Introduction to Compliance Issues for Foreign Banks

Mr. Yoshiki Uchida, President, MDP Business Advisory, Co., Ltd.

Mr. Uchida gave a course to member firm staff requiring an introduction to the legal, regulatory and compliance framework for foreign banks in Japan. This training combined a text-based lecture with hands-on practical case studies so that participants could increase their understanding of key compliance issues.

Training 

Full Day Introduction to Compliance Issues for Foreign Banks

Mr. Yoshiki Uchida, President, MDP Business Advisory, Co., Ltd.

Mr. Uchida gave a course to member firm staff requiring an introduction to the legal, regulatory and compliance framework for foreign banks in Japan. This training combined a text-based lecture with hands-on practical case studies so that participants could increase their understanding of key compliance issues.

Training 

Regulations on OTC Derivative Transactions and Reporting Requirements

Mr. Mamoru Nakaya, Senior Deputy Director, FSA
Mr. Hironobu Akamatsu, Deputy Director, FSA
Mr. Takanori Naito, Deputy Director, FSA

Mr. Nakaya, Mr. Akamatsu, and Mr. Naito from the Financial Services Agency discussed regulatory framework under the recently promulgated Cabinet Office Ordinance on OTC Derivative Transactions including the requirement to report OTC derivative transactions. The presentation consisted of an overview of the regulations on OTC derivative transactions with a central focus on of the Cabinet Office Ordinance on Regulations on OTC Derivative Transactions, as well as the purpose and specific details of the OTC derivative transaction reporting requirement.

Legal/Regulatory 

Pages