Check Points related to Trading Participant Internal Management Systems

Japan Exchange Regulation (JPX-R), based on experience accumulated in its inspections, has developed a set of points regarding key inspection items.
These points address the internal management of trading participants (broker-dealers qualified to access directly the trading platforms of Tokyo Stock Exchange or Osaka Exchange) which are the focus of inspections, and are cited when determining actions against violation of laws and regulations.
It is our hope that trading participants will find them useful in their efforts to improve their internal management systems.

(note)

･These checkpoints are aimed mainly at General Trading Participants. For details, please refer to items relevant to the businesses of each trading participant. Trading at Tokyo Commodity Exchange (TOCOM) will be examined at the same points of inspection. Please refer to these points by substituting terms as needed as trading is subject to different laws and regulations.
･Current as of end of September 2022.