1. HOME
  2. Self-Regulation
  3. Maintaining Trading Participant Quality
  4. Inspection Plan

Inspection Plan

The Trading Participants Examination and Inspection Department publicizes an inspection plan every fiscal year. The plan includes the basic policies and priorities for inspections.

Basic policy

To fulfill its role in maintaining market fairness and reliability, Japan Exchange Regulation (JPX-R) conducts inspections with the following items as its basic policy.

  1. Conducting inspections with expertise as an organization of the exchange group
  2. Monitoring trading participant's business operations and financial situation
    (1) Quick understanding of the varied actual cases, etc.
    (2) Regular communications
    (3) Targeted monitoring
  3. Strengthening inspection based on a risk-based approach
    (1) Selecting trading participants for inspection based on risks
    (2) Conducting flexible inspections based on the severity of risk
  4. Strengthening internal management systems of trading participants

Priority Inspection Items, etc.

Based on the market environment, the following topics have been identified for priority inspection for FY2023:

  1. Trading supervision systems to prevent unfair trading
  2. System risk management systems
  3. Management systems pertaining to Low Latency Trading, etc.
  4. Status of management system for commodity futures transactions, etc.
  5. Other matters to be observed during inspections, etc.

Inspection Plan for FY2023

Inspection Plan for FY2023 icon-pdf