Supporting Trading Participants
JPX-R posts its Inspection Plan every year. The plan contains its policies and priorities.
In addition, it supports trading participants by holding the following seminars and posting the following case studies.
| Content | Details |
|---|---|
| COMLEC Inspection Practitioner Seminar (Compliance Seminar) | Introduces recent inspection cases and hot topics in the industry |
| “COMLEC Inspection College” Basic Program (Compliance Seminar) | Explains basic laws, rules, and regulations on exchange-based trading |
| Inspection Case Studies | Introduces deficiencies that were identified during inspections, the relevant laws and regulations, and points for prevention |
| Compliance Case Studies | Answers frequently asked questions about compliance-related matters |
| Trading Participant Internal Management System Checkpoints | Contains a set of points regarding key inspection items addressing the internal management systems of trading participants |
In addition, it has prepared the Inspection Support Content Guide (Japanese Only) for trading participants. The guide contains an overview and links to the various content. Trading participants were informed of the guide in a notification on the Target. The notification was dated November 13, 2026.
JPX-R hopes that the guide will help further improve trading participants' internal management systems.
