Conflicts of Interest Statement of Good Practice Transparency Draft

The ability of FICC market participants, and particularly buy and sell side firms operating in FICC markets, to: i) identify situations in which conflicts of interest may arise; and then ii) prevent or appropriately manage and mitigate those conflicts of interest, is one way in which instances of market misconduct can be minimised and, thereby, help to promote fair and effective FICC markets.

The Conflicts of Interest Statement of Good Practice is issued as a Transparency Draft. Please provide your comments by 6 September 2019.

Conflicts of Interest Statement of Good Practice Transparency Draft

The primary aim of this Statement of Good Practice is to provide guidance for FICC market participants as they consider ways in which to identify, prevent, manage or mitigate conflicts of interest that arise both: (i) specifically in connection with their FICC markets business; and (ii) more generally across their firm.

The Conflicts of Interest Statement of Good Practice is issued as a Transparency Draft. Please provide your comments by 6 September 2019.

Last updated 13 May 2020