Guidelines

Securities Inspection

• Basic Principles of Securities Business Monitoring (PDF)
• Monitoring Priorities for Securities Businesses (July 2024 - June 2025) (PDF)

    Summary of Monitoring Priorities for Securities Businesses (PDF)

• Basic Guidelines on Securities Business Monitoring  (PDF)Reference Materials and Forms

  Inspection Manuals（These documents were repealed on June 26, 2020.）

• Inspection Manual for Financial Instruments Business Operators (PDF)
• Inspection Manual for Credit Rating Agencies (PDF)

Investigation of Market Misconduct

• Basic Guidelines on Investigation of Market Misconduct (PDF)

Disclosure Statements Inspection

• Basic Guidelines on Disclosure Statements Inspection (PDF)