Update : Feb. 29, 2012
Tokyo Stock Exchange Regulation, based on experience accumulated in its inspection operations, has developed a set of points regarding key inspection items.
These points address matters that concern the internal management of trading participants, are the focus of inspections, and are key in deciding whether to cite a trading participant for violation of a law, rule, or regulation.
They are included in inspection manuals of Tokyo Stock Exchange Regulation and reflected in regular inspection work.
It is our hope that trading participants will find them to be useful references in efforts to improve their internal management systems.
(Note1: These contents apply mainly to General Trading Participants.)
(Note2: Necessary revisions were made based on laws and regulations as of end of January 2012.)
|Summary of Revisions|
|Cover - P24|
|P25 - P48|
|P49 - P60|