On June 26, 2013, Mr. Suzuki gave IBA Japan members an overview of the SESC inspection policy guidelines, which are the basis for the SESC’s inspections in 2013-14. Nearly 40 staff from IBA Japan member firms attended this presentation.
Mr. Yasuhito Suzuki
Director, Inspection Division
In April, the SESC released its inspection policy guidelines, which are the basis for the SESC’s inspections in 2013-14. Mr. Suzuki will give an overview of the guidelines, which will be followed by a question and answer session. IBA events featuring updates from senior representatives of the SESC are always well attended by branch managers and other senior executives from areas such as compliance, legal, risk and IT. This presentation should again be of high interest. Mr. Suzuki is responsible for the administration on the SESC’s inspections of securities firms, asset management firms, fund managers and SRO’s. Previously, he held various positions related to economic and legislative affairs.