SESC BRIEFING LUNCHEON

THE CURRENT ROLE AND FUTURE DIRECTION OF THE SESC

The IBA held a luncheon for members featuring a senior representative from the Securities and Exchange Surveillance Commission (SESC).

Guest Speaker: Mr. Kiyotaka Sasaki, Director, Enforcement Division, SESC
 
(This presentation was conducted in English.)

Mr. Sasaki addressed the following topics:

• The role and function of the SESC enforcement section in order to provide fair and transparent markets, and how collaboration with IBA member firms ensures that this crucial role is met and;
  
• The future direction of the SESC, including enhanced dialogue on internal control, internal audit and external audit function with IBA members.

This luncheon was open to Chief Executive Officers and General Managers of IBA securities firms and banks, in addition to senior legal and compliance staff.