Compliance Program

Japan Exchange Group, Inc. (JPX) has the compliance program in place as one of the measures for enhancing corporate governance. This program aims to enhance the awareness within JPX of laws and regulations governing its business operations and compliance with JPX group rules, and to achieve proper risk management through the exercise of effective internal controls. The program consists of three parts:

Establishment of the Charter of Corporate Behavior

In order to develop a harmonious relationship with society and clarify the social responsibilities of JPX as an open company, the charter of corporate behavior lays out the basic policies of JPX for behavior as a corporation from both a moral and ethical standpoint. Behind the charter lies our will and determination as JPX to set our investor first policy and to be a socially responsible, open company.

Development of Internal Structure

The Director & Representative Executive Officer, Group CEO of Japan Exchange Group, Inc. is designated as the Chief Compliance Officer and oversees all compliance-related activities. Furthermore, in response to legal developments such as the implementation of the Whistle-Blower Protection Act, JPX has set up an internal compliance hotline to accept reports or consultation from within the company about issues regarding compliance with laws, regulations and the charter of corporate behavior.

Education and Training

Besides making sure that the compliance program is fully understood and shared within the company in advance of its introduction, JPX continues to hold internal training sessions, checks and reviews of how the compliance hotline is used, and internal surveys on the awareness of compliance among employees. At the same time, compliance managers are appointed in each department within JPX, holding activities in order to raise awareness of compliance on a departmental basis.

Through this compliance program, JPX will fulfill our mission and social responsibilities as market infrastructure by carrying out sensible, fair and transparent corporate activities. We hope for your continued support and cooperation.