Application of AI to Market Surveillance
Press release regarding the introduction of Artificial Intelligence to market surveillance operations.
Prevention of Corporate Scandals
Principles to encourage listed companies to take initiatives to prevent corporate scandals and set forth conduct expected of listed companies from the perspective of preventing damage to corporate value.
| Establishment of “Principles for Prevention of Corporate Scandals” (Mar. 2018) (in Japanese only) |
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Response to Corporate Scandals
Fundamental principles of conduct for listed companies in dealing with corporate scandals aimed at helping to restore corporate value impaired by such scandals.
| Establishment of “Principles for Response to Corporate Scandals” (Feb. 2016) (in Japanese only) |
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Response to Equity Financing
Principles that should be observed in the implementation of equity financing in order to support and promote quality equity financing.
| Establishment of “Principles for Equity Financing” (Oct. 2014) (in Japanese only) |
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Case studies to illustrate evaluations and approaches based on the Principles for Equity Financing
| “Principles for Equity Financing - Case Studies and Commentary” (Dec. 2014) (in Japanese only) |
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A case study of a company which consulted with TSE and commentary on points of focus in response to this, to prevent inappropriate third-party allotments of new shares.
| “Listed Company Compliance ? Preventing Inappropriate Third-Party Allotments of New Shares” (Sep. 2010) (in Japanese only) |
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Guidelines on Prevention of Unfair Trading
Guidelines summarizing the main types and patterns of behavior that JPX-R monitors to ensure that listed companies that acquire their own shares conduct such acquisitions appropriately in accordance with the intent of the regulations on market manipulation.
| Guidelines Concerning the Acquisition of Own Shares (Apr. 2014) |
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Guidelines summarizing the main types and patterns of behavior that JPX-R monitors to ensure that persons who buy and sell financing stocks do so appropriately in accordance with the intent of the regulations on market manipulation.
| Guidelines Concerning the Trading of Financing Stocks (Jun. 2008) |
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Guidelines summarizing (a) points that trading participants accepting purchase orders on the financial accounting date should pay particular attention to and (b) the main types and patterns of behavior that JPX-R monitors to ensure that persons who make purchases on the financial accounting date do so appropriately in accordance with the intent of the regulations on market manipulation.
| Guidelines Concerning the Trading on the Financial Accounting Date (Jun. 2008) |
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Guidelines summarizing the key points trading participants should consider and the main types and patterns of behavior that JPX-R monitors to ensure that trading participants that engage in syndicated cover transactions conduct such transactions appropriately in accordance with the intent of the regulations on market manipulation.
| Guidelines Concerning Syndicate Cover Transactions (Jun. 2008) |
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Guidelines summarizing (a) the main types and patterns of behavior that JPX-R monitors and (b) points to be noted with regard to the execution of such transactions to ensure that securities companies that engage in advance hedging, such as closing price guaranteed transactions, conduct such transactions appropriately in accordance with the intent of the regulations on market manipulation.
| Guidelines Concerning Closing Price Guaranteed Transactions, etc. (Jun. 2008) |
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Technical Listings
| Guidebook on Technical Listings (revised in Feb. 2023) (in Japanese only) |
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