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Disciplinary Action on Trading Participants

Japan Exchange Regulation (JPX-R) determines disciplinary actions against trading participants (broker-dealers qualified to access directly the trading platforms of Tokyo Stock Exchange or Osaka Exchange) for violation of laws and regulations. Tokyo Stock Exchange (TSE) and Osaka Exchange (OSE) take action based on the recommendations of JPX-R.

Please click the following link for a detailed description of disciplinary actions by TSE and OSE.

Disciplinary action