FSA and SESC Inspections:
Orienting Your Staff to Their Role
in a Regulatory Inspection and
Preparing Your "Day One Package"
Presenter:
Mr. Christopher Wells, Partner, White & Case LLP
Schedule
| Date: |
Wednesday, September 30, 2009 |
| Time: |
9:30 - 12:00 |
| Venue: |
BNP PARIBAS, Seminar Room A/B, 42F GranTokyo North Tower (Map) 1-9-1 Marunouchi, Chiyoda-ku |
| Fee: |
Y7,000 |
| Language: |
This seminar will be conducted IN ENGLISH. |
This seminar will emphasize how to handle an onsite inspection and how to prepare for FSA and SESC inspections. Mr. Wells presented on similar topics to the IBA’s membership in 2006 and 2008. Of the 62 people who submitted an evaluation form for his most recent course in September 2008, 94% said that they would recommend this course.
Mr. Wells will cover:
- How to help staff to understand the purpose and procedures for regulatory inspections in Japan
- Preparing all staff for the FSA/SESC inspection onsite process and interviews
- Orienting senior management in the continuing oversight and managerial obligation before, during and after a regulatory inspection
- How to document the conduct of business in a manner which reflects the firm’s compliance culture
- Preparing effectively for FSA and SESC inspections by following the “Day One Package” requirements
- What should be included in a “Day One Package” for securities regulators
Mr. Wells is a Partner in the Tokyo office of the international law firm of White & Case. Mr. Wells’ practice currently focuses on the establishment, operation and licensing of investment funds and fund-related investment intermediaries in Japan and issues related to regulatory compliance and license qualification matters in Japan. He also handles financing and banking transactions, including cross-border securities offers, credit financings and syndications, equipment financings and securitization transactions.