business management systems / trade surveillance systems / large-scale securities / system management / internal control systems / sales management systems / to such products / online participation / transaction surveillance systems / financial market infrastructure / derivatives products / information security management / discretionary investment management services / finance / examination systems / Internet transactions / online trading / system risk management / risk financial products / risk management systems / management systems / risk derivatives products / /
Organization
Securities and Exchange Surveillance Commission / Japan Investor Protection Fund / Japan Securities Dealers Association / /
Position
advisors / manager / their systems for managing conflicts / good manager / /
(Provisional Translation) March 25, 2014 Securities and Exchange Surveillance Commission The Securities Inspection Policy and the Program for 2014 I. Securities Inspection Policy