Inspection/Ensuring Trustworthiness of Trading Participants

Cooperation with Relevant Agencies

Update : Jan. 31, 2008

In order to strengthen the effectiveness of our inspections, we cooperate with several agencies in inspection related areas such as the exchange of information, etc.

Reports to the Securities and Exchange Surveillance Committees	In addition to reporting the results of each individual inspection after it is completed, half-term reports, as well as information on the inspection plan and the aggregate results of examinations, are also reported. Information on important points and items to be investigated are also provided.
Information Exchange Meetings	With the goal of strengthening the exchange of information, etc. quarterly meetings are held with fellow self-regulation organizations. Representative supervisors from the inspection departments of the Financial Services Agency, the Securities and Exchange Surveillance Committees, Japan Securities Dealers Association, and the various stock exchanges all attend these meetings and exchange information.
Cooperative Inspections with Various Self-Regulation Agencies	In order to enhance the effectiveness of inspections, the Japan Securities Dealers Association conducts inspections of trading participants in conjunction with the Stock Exchanges.