Self-Regulation Activities

Outline of Self-Regulatory Corporation Activities

Update : Jan. 31, 2008

The Self-Regulation Corporation is divided into two units: the Listing Regulation Unit and the Compliance Unit.

1. Listing Regulation Unit

The Listing Regulation Unit is engaged in various activities to ensure the soundness and fairness of the securities market with a focus on issues related to listing.
This Unit is comprised of the following two divisions:

1. The Listing Examination Division, which conducts examinations of companies aspiring to list on the TSE to determine each company's listing eligibility.
   
   
2. The Listed Company Compliance Division, which conducts examinations related to information disclosure of companies already listed on the TSE, and determines their eligibility to continue to be listed.

Compliance Unit

The Compliance Unit is engaged in various activities to ensure the soundness and fairness of the securities market with a focus on issues related to trading participants.
This Unit is comprised of the following two divisions:

1. The Participants Examination and Inspection Division, which conducts activities such as inspections of banks, securities companies, and other trading participants who possess the qualifications necessary to conduct securities trading on the TSE.
   
   
2. The Market Surveillance and Compliance Division, which conducts detailed investigative activities to ensure that transactions such as insider trading, market manipulation, and other potentially unfair transactions do not occur, in order to preserve the fairness and trustworthiness of the securities market.