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  3. Self-Regulatory Operations
  4. Outline of Self-Regulatory Operations
  5. Support to Prevent Violations of Laws and Regulations

Outline of Self-Regulatory Operations

In order to build a fair and transparent market, it is important that all market users, including investors, correctly understand the rules regarding financial instruments trading, and that trading participants and listed companies establish appropriate compliance systems.

For this reason, JPX-R places importance on providing trading participants and listed companies with support for their compliance efforts in order to promote further understanding of laws and regulations among market users and to prevent activity that would be detrimental to the market in advance. Specific activities are as follows.

  • A Compliance Learning Center (COMLEC) has been established for the purpose of compliance support. Through COMLEC, JPX-R provides various services based on the knowledge and experience it has gained through its operations as a self-regulatory organization close to the market, including various compliance-related seminars, dispatching training instructors upon individual request, and creating e-learning contents.
  • JPX-R conducts activities to prevent inappropriate activities at listed companies such as lectures by legal and accounting experts, publications, and exchanging opinions directly with listed companies.
  • We support the prevention of unfair trading and risk management at trading participants by proactively explaining to trading participants real examples of forms of transactions identified in the course of market surveillance that could lead to unfair trading.
  • Even if a trading participant is not currently in violation of any laws or regulations, we support the establishment of an internal control system by requesting trading participants to take appropriate measures when there is a possibility that a violation of laws or regulations may occur in the future.