The Participants Examination and Inspection Department publicizes the "Inspection Plan" every fiscal year. The plan includes basic policies and priorities for inspections to be conducted.
With the advantage of close proximity to the market as a self-regulatory organization, JPX-R conducts inspections with the following 4 items as its basic policy.
- I.Market-integrated inspections
- II.Flexible approach to inspections
- III.In-depth inspections
- IV.Promotion of improved internal controls
Priority inspection items
Based on the market environment, the following topics have been identified for priority inspection for FY2014.
- I.Development of Corporate Information Management
- II.Development of Order Management and Related System Management
- III.Compliance with Rules pertaining to Customer Margin for Margin Transactions and Collateral for Futures/Options and Risk Management of Such Transactions
- IV.Responses based on Recent Increases in Order Numbers, etc.