Inspection/Ensuring Trustworthiness of Trading Participants

Support Operations

Update : Jan. 31, 2008

The Participants Examination and Inspection Department carries out various operations to prevent trading participant violations of laws, rules, or regulations.

Liaison Meetings for Persons Responsible for Inspections at Trading Participants	The TSER holds information sessions to explain the causes of violations that were identified during inspections. These sessions target trading participants' persons in charge of inspections. They are designed to strengthen the sharing of information between trading participants and also to prevent the occurrence of similar violations.
Holding of Compliance Seminars	In response to trading participant requests, etc. the TSER dispatches staff members to hold information sessions about compliance. These sessions are designed to help achieve a thorough adherence to laws, rules, and regulations. The contents of the compliance information sessions are based on the individual request from the trading participant. The session targets trading participant executives and employees and provides specific examples of violations and how to prevent them as well as solutions to problems related to management systems, etc.
Collection and Publication of Case Studies	The Participants Examination and Inspection Department handles inquiries from trading participants about examinations, etc. and gathers information for case studies based on these questions and any violations identified in inspections. These examples are then summarized and arranged in a question-and-answer format before being distributed. As part of our plan to provide a practical useful publication, wherever necessary we make a conscious effort to confirm the details of the examples that we publish with the relevant organizations.