Materials that aim to define acceptable or unacceptable behaviour regarding specific trading practices
This Standard sets out enhancements to existing practices that are designed to improve the new issue process continuum (from the granting of a mandate to the publication of statistics), which improvements should enhance the fairness and effectiveness of the process for all participants, including issuers, investors and lead managers.
The Binary Options standard for the Commodities markets Standard aims to describe the characteristics of a type of transaction which is used by participants in the Commodities markets and to set out certain expected behaviours of wholesale market participants that enter into them.
This Standard aims to describe the characteristics of a Reference Price Transaction (“RPT”) and to set out certain expected behaviours of wholesale market participants that enter into them.
Draft materials published for public review and feedback during the comment period
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Statements of Good Practice
Materials that elaborate on observed good practices in the market as well as on how standards apply at a precise level of detail
SoGP_001-2016 Surveillance in Foreign Exchange Markets
Set out in this document are a set of core principles for surveillance that firms may wish to adopt in order to identify, determine and establish an effective surveillance function.
SoGP_002-2016 Conduct Training
This Statement of Good Practice sets out a number of Core Principles relevant to conduct training, together with good practices that are currently used in Member Firms to achieve the outcomes specified in these Core Principles.