Past Events

Financial Sector Regulatory and Compliance Seminar

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Mr. Haruhiko (Harry) Saito, CEO and Managing Director, TIC K.K.

Mr. Saito discussed the following topics: (1) recent regulatory dynamics; (2) new areas of focus and the regulatory intent; (3) major expectations on internal controls and key determinants of regulatory sanctions; and (4) practical measures for IBA member firms in dealing with regulators. The content was practical, covering recent regulatory concerning areas such as information controls, management of outsourced services and IT risk management.

Legal/Regulatory 

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

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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

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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 

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

このページは英語のみとなります

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

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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 

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