Conduct Risk in Market Transactions Statement of Good Practice for FICC Market participants

The Conduct Risk in Market Transactions Statement of Good Practice for FICC Market participants Transparency Draft sets out Good Practice Statements for the identification of conduct risks in market transactions using this methodology. The identification of conduct risk is an important role undertaken by the Front Office, as well as by control and oversight functions, and firms should consider their own practices in light of this Statement of Good Practice and make any changes to such practices that they deem to be appropriate.

The Conduct Risk in Market Transactions Statement of Good Practice is issued as a Transparency Draft. Please provide your comments by 26 October 2018.

Conduct Risk in Market Transactions Statement of Good Practice for FICC Market participants

This paper sets out Good Practice Statements for the identification of conduct risks in market transactions using this methodology. The identification of conduct risk is an important role undertaken by the Front Office, as well as by control and oversight functions, and firms should consider their own practices in light of this Statement of Good Practice and make any changes to such practices that they deem to be appropriate.

The Conduct Risk in Market Transactions Statement of Good Practice is issued as a Transparency Draft. Please provide your comments by 26 October 2018.

Last updated 13 May 2020