An Overview of Japanese Financial Inspections
March 14, 2011 BNA Securities Regulation & Law
Christopher P. Wells
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This sixth article provides a very general overview of the history and current status of inspections of entities registered to act as financial intermediary businesses ("FIB") in Japan. Although actual procedures and check items for such inspections vary considerably by type of FIB inspected, this article focuses on certain basic principles that apply generally to all FIBs. The following article in this series will discuss the procedural aspects of Japanese financial regulatory inspections.
Other articles in the series:
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