SoGP_001-2019
Suspicious Transaction and Order Reporting Statement of Good Practice for FICC Market Participants

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This Statement of Good Practice for FICC Market Participants deals with the identification of suspicious orders and transactions and their reporting to relevant regulators (the FCA in the case of the UK). There are ten Good Practice Statements contained within this document which firms should look to when considering their own practice in this area. The SGP is designed to be relevant to all front office and control or support function personnel who are active in the FICC markets and to those who are engaged in the monitoring and surveillance of those activities.