The Securities and Exchange
Surveillance Commission's
Basic Inspection Policy and Plan for 2010-11
Guest Speaker:
Mr. Shuichi Sonoda, Director, Inspection Division, SESC
Schedule
| Date: |
Monday, May 17, 2010 |
| Time: |
12:00 - 13:30 |
| Venue: |
32nd Floor, Morgan Centre, Tokyo Building JPMorgan Chase (Map) 2-7-3 Marunouchi, Chiyoda-ku |
| Language: |
This speech will be in JAPANESE w/ English interpretation. |
On April 6, the SESC released its inspection policy guidelines, which are the basis for the SESC’s inspections in 2010-11. Mr. Sonoda will give an overview of the guidelines. A question and answer session will follow. The new guidelines are available in Japanese at the link below (English translation to be issued soon). http://www.fsa.go.jp/sesc/news/c_2010/2010/20100406-1.htm.
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. Sonoda is responsible for the administration of the SESC's inspections of securities firms, asset management firms, fund managers and SRO's. Previously, he held various positions related to bank supervision and inspection.