Ensuring Sound Market Operations

Japan Exchange Regulation (JPX-R) is the quality control center providing self-regulation for markets operated by Tokyo Stock Exchange and Osaka Exchange. JPX-R engages in the following initiatives to ensure sound market operations.

Maintaining Trading Participant Quality An introduction of initiatives and measures to maintain the quality of trading participants (broker-dealers qualified to access directly the trading platforms of Tokyo Stock Exchange or Osaka Exchange), as well as checkpoints for trading participants' internal management systems and points considered when determining disciplinary actions.
Inspection Plan
Check Points related to Trading Participant Internal Management Systems
Points of Note When Determining Disciplinary Actions