Supporting Trading Participants
Based on its past inspection experiences, JPX-R has developed a set of key items for inspecting trading participants' internal management systems. They are checked in current inspections and cited when determining actions against violations of laws and regulations.
JPX-R hopes that trading participants will use the points as a reference for improving their internal management systems.
(Note)
- ･The checkpoints are primarily for TSE's general trading participants. Trading participants should refer to the items that are relevant to their own businesses. JPX-R uses similar checkpoints when it inspects trading at TOCOM. Trading at TOCOM is subject to different laws and regulations. TOCOM's trading participants should be aware of the differences when they refer to the checkpoints.
| Summary of Revisions |  |
|---|---|
| Trading Participant Internal Management System Checkpoints | |