Regulatory Alerts2023-06-30
Comprehensive Guidelines for Supervision of Financial Service Intermediaries
The Financial Services Agency of Japan issued these guidelines to establish comprehensive supervisory standards for financial service intermediaries. The document details key principles for administrative services, including supervisory processes, cooperation with self-regulatory organizations, and procedures for administrative guidance and enforcement actions. It further specifies supervisory evaluation points and administrative procedures for general operations, deposit intermediary business, insurance intermediary business, and securities intermediary business.
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