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
Japan Exchange Regulation (JPX-R) conducts inspections with the following items as its basic policy, capitalizing on its highly-specialized operations in its neutral role as a self-regulatory organization with close proximity to the market, with the aim of ensuring confidence in trading participants and contributing to the public interest and investor protection.
- Market-integrated inspections
- Risk-based Approach
(1)Flexible Selection of Trading Participants for Inspection
(2)Effective In-depth Inspections - Encourage Development of Better Internal Management
Priority inspection items
Based on the market environment, the following topics have been identified for priority inspection for FY2015:
- Order Management Systems
- Trade Management Systems to Prevent Unfair Trading
- Underwriting Examination Systems for IPO
- Response to Rights Offerings
- Systems for Management of Corporate Information
