The Japan Securities and Exchange Surveillance Commission has published draft partial amendments to the Basic Guidelines on Securities Monitoring, which set the basic procedures for onsite monitoring conducted by the commission and the Finance Bureau. The proposal would expand the scope of inspection notices for inspections conducted with advance notice and clarify that there is no fixed sequence for receiving opinions, including through questionnaires, in monitoring. Comments are open until June 19, 2026 at 17:00. After the public comment process and required procedures are completed, the amended guidelines are set to apply from the date of publication.
Japan Securities and Exchange Surveillance Commission2026-05-20
Japan Securities and Exchange Surveillance Commission consults on securities monitoring guideline changes expanding the scope of inspection notices
The Japan Securities and Exchange Surveillance Commission has proposed partial amendments to the Basic Guidelines on Securities Monitoring, which govern onsite monitoring by the commission and the Finance Bureau. The draft would expand the scope of inspection notices for advance-notice inspections and clarify that there is no fixed sequence for receiving opinions, including via questionnaires, in monitoring.