JPX’s Market Surveillance and Compliance Department: a focus on surveillance case studies


Mr. Ippei Izumi, Deputy Manager

Department of Market Surveillance and Compliance, Japan Exchange Regulation

Japan Exchange Regulation (JPX-R), was established under the Japanese Financial Instruments and Exchange Law and has a critical role in market surveillance and compliance of the Tokyo Stock Exchange and the Osaka Exchange. As part of its activities, JPX-R undertakes a range of trade surveillance actions aimed to safeguard the stability of the Japanese financial markets and insure fair trading.

We welcome Ippei Izumi who is Deputy Manager of the Department of Market Surveillance and Compliance at JPX –R. He will give a presentation covering the following areas:

  •  Recent trading surveillance case studies.
  •  Particular cases of surveillance in response to market moving events.
  •  The importance of good relationship and cooperation between market participants and JPX-R.

Ippei Izumi is the Deputy Manager of the Department of Market Surveillance and Compliance at Japan Exchange Regulation. He is in charge of  planning various measures concerning trading reviews, consultations with market participants and financial markets education activities for listed companies and trading participants. Prior t that from 2004 he worket at the Osaka Securities Exchange, where he had multiple roles in the Equity Department and the Trade Review division. Also during this period, he worked at the Market Surveillance Division and Inspection Division of Securities and Exchange Surveillance Commission. Mr. Izumi holds a law degree from Osaka City University.



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