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Administration of Members

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.

  1. Conducting audits with expertise of the exchange
  2. Monitoring Member’s operations and financial situation
  3. 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
  4. 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 FY2024:

  1. Trading supervision systems to prevent unfair trading
  2. System risk management systems
  3. Order Management Systems
  4. Clearing Margin Management Systems

Audit Plan for FY2024

Audit Plan for FY2024 icon-pdf

Check Points related to Members’ Internal Management Systems

Japan Exchange Regulation has developed a set of points regarding key inspection items. It is our hope that TOCOM Members will find them useful in their efforts to improve their internal management systems.

Check Points related to Trading Participant Internal Management Systems