Inspection Plan
Tokyo Commodity Exchange (TOCOM) Self-Regulation publicizes an audit plan every fiscal year. The plan includes the basic policies and priorities for audits.
Basic policy
To fulfill its role in maintaining market fairness and reliability, TOCOM conducts audits with the following items as its basic policy.
- Conducting audits with expertise of the exchange
- Monitoring Member's operations and financial situation
- Strengthening audits based on a risk-based approach
(1) Selecting Members for audit based on risk
(2) Conducting flexible audits based on the severity of risk - Strengthening internal management systems of Members
Focus of Audits, etc.
Based on the developments related to the operations of Members, the following topics have been identified for priority audit for FY2025:
- Trading supervision systems to prevent unfair trading
- System risk management systems
- Order Management Systems
- Clearing Margin Management Systems
Audit Plan for FY2025
| Audit Plan for FY2025 |  |
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