取引参加者の内部管理態勢に係るチェックポイント | 日本取引所グループ

This page presents checkpoints regarding internal control systems for trading participants, compiled by Japan Exchange Regulation (JPX-R). Based on examination experience, JPX-R has organized key points concerning trading participants' internal control frameworks. These items are currently confirmed during examinations and serve as reference points when citing violations of laws and regulations. Trading participants are encouraged to refer to these checkpoints for enhancing their internal control systems. While primarily targeting comprehensive trading participants, relevant items should be reviewed according to specific business operations.