Attachment 2 to Stock Exchange Notice N06/17
|
|
|
- Kerry Underwood
- 6 years ago
- Views:
Transcription
1 Definitions and Rules Tracker DEFINITIONS ifid II = eneral rule review = admitted to agency cross agent AI AI AI primary market registered organisation AI secondary market registered organisation authorised Deleted as the definition is not used within the rule person book. back Definition has been amended for further accuracy. best bid best offer bid price Retained and updated. broker dealer Amended to remove references to ilt Inter Dealer Brokers and Wholesale Dealer Brokers. business day buyer buying-in buying-in notice call payment day Capital Deleted as the definition is not used within the rule Adequacy Directive book. CDI Deleted as the definition is not used within the rule book. central counterparty central counterparty contract central counterparty netting service central counterparty rules 1
2 central counterparty central counterparty trade choice clearing member clearing membership agreement compliance procedures connected Deleted as the definition is not used within the rule person book. contra counterparty covered warrant covered warrant market maker Deleted as the definition is not used within the rule book. covered warrant order book Deleted as the definition is not used within the rule book. CREST CREST instruction deadline customer dealing agent Definition deleted, however, the concept of a / dealing agent is retained within the rules. default official default rules defaulter deferred publication direct electronic access Definition has been amended for further accuracy. definition as a result of ifid II changes. direct market Definition amended to reflect ifid II definition. access electronic form employee EU regulated market ifid II = eneral rule review = 2
3 exceptional definition to reflect ifid II definition. circumstances Exchange Exchange market size Exchange price list exchange traded product exchange traded fund executable quote fine firm quote fixed interest Definition deleted in order to have a single generic market maker market maker definition. fixed interest fixed penalty FSA eneral Clearing ember gilt-edged market maker gilt-edged Definition deleted in order to have a single generic market maker definition. Definition expanded to include index-linked giltedged securities in order to have a single generic definition. gilt inter Deleted as a result of ifid II requirements. dealer broker uide to the system hammer price holding Amended to update legislative reference. company index index-linked gilt-edged gilt-edged Definition deleted, included within expanded definition of gilt-edged. Individual Clearing ember instruction notice introducing firm ISIN lapsing instruction ifid II = eneral rule review = 3
4 large in scale definition to reflect ifir requirements. large trade Definition deleted. last time for claims latest time for delivery LCH rules LEI definition as a result of ifid II requirements. lending arrangement liquidity Definition deleted and replaced with the concept of provider a bid only market maker. Listing Rules London Stock Exchange Derivatives arket LSE ID definition as a result of changes for ifid II. LSE Transaction Reporting uide for Non- ifid Firms definition as a result of ifid II requirements. mandatory period market maker Retained market making definition as a result of ifid II requirements. agreement market making definition as a result of ifid II requirements. scheme market making strategy definition as a result of ifid II requirements. market situation marketable quantity matched buyer matched principal transaction Amended to include ifid II requirements. Definition deleted as no longer required within the rules. definition to replicate new ifid II definition. matched seller member firm member ID ember Portal definition. membership profile ifid Amended to update legislative reference. ifir definition. ifid II = eneral rule review = 4
5 ifid transparent Amended to update for ifid II. model B firm National ID definition. near maturity gilt Definition deleted as it is only used within the ilt Inter Dealer Broker definition which is itself being negotiated trade Non Clearing ember deleted. Definition updated. Non-iFID member firm definition introduced to reflect ifid II in terms of transaction reporting requirements. notice offer price Retained and updated. on Exchange order book order-driven order-driven service overseas parameters Retained and updated. person portfolio trade Deleted. principal Retained principal relevant market Definition deleted and replaced with definition listing updated to ifid II terminology. PT levy quote quote-driven quote-driven service registrar registration day regular regulated Deleted as ne longer required. activity Regulated Activities Order ifid II = eneral rule review = 5
6 Reg S traded relevant agency contract relevant contracts relevant principal contract RepoClear relevant market definition replacing principal listing definition to reflect updated ifid II terminology. Definition deleted as no longer required within the rule book as it relates to ilt Inter Dealer Broker clearing services. requesting party RFQ quote rights RNS Rules of the London Stock Exchange Rules of the London Derivatives Exchange Scheduled Level 1 Only auction seller settlement agent settlement rules specified time sponsored Amended to reflect ifid II requirements. access standard settlement Stock Exchange market contract stock situation standard trade reporting deadline stressed market conditions definition in order to reflect new ifid II timescales. definition to reflect ifid II requirements. ifid II = eneral rule review = 6
7 subsidiary tradeable instrument code LSE ID Deleted as new definition introduced. TRADEcho definition. trade report trade reporting period trader group system transaction reporting fields definition to reflect ifid II changes. uncertificated securities United Kingdom unsettled claim warning notice warrant when issued dealing wholesale Deleted as a result of ifid II changes.. dealer broker RULES CORE RULES Deleted ilt-edged market maker ring-fenced membership Deleted Fixed interest market maker ring-fenced membership Re-numbered as a result of above rule amendments rule and guidance in order to clarify membership profile of a non- member firm Retained - guidance amended to clarify and legislative references updated rule and guidance regarding transaction reporting requirements for non-ifid member firms rule and guidance regarding transaction reporting requirements for non-ifid member firms Re-numbered and amended to reflect action that can be taken by the Exchange where new rules 1011 or 1012 are breached Re-numbered. ifid II = eneral rule review = 7
8 Re-numbered Retained guidance added regarding the Exchange s assessment of a member firm s compliance with the rules to reflect ifid II requirements Retained uidance updated Retained uidance updated Amended to reflect ifid II requirements Deleted Relates to ilt Inter Dealer Broker and Deleted Relates to ilt Inter Dealer Broker and Deleted Relates to ilt Inter Dealer Broker and Deleted Relates to ilt Inter Dealer Broker and Deleted Relates to ilt Inter Dealer Broker and Deleted Relates to ilt Inter Dealer Broker and ifid II = eneral rule review = 8
9 Deleted Relates to ilt Inter Dealer Broker and Deleted Relates to ilt Inter Dealer Broker and Deleted Relates to ilt Inter Dealer Broker and Rule and guidance amended Retained - guidance regarding closing auctions updated Retained - guidance and contact information updated rule and guidance reflecting ifid II requirements rule reflecting ifid II requirements rule reflecting ifid II requirements rule and guidance reflecting ifid II requirements regarding the testing of algorithms Retained - guidance updated and references to liquidity providers deleted Retained - guidance updated for ifid II Amended to update references to ifid II terminology. ifid II = eneral rule review = 9
10 uidance to rule updated for clarity uidance to rule amended Retained - wording amended Deleted - rule collapsed into amended Rule Amended to incorporate Rule 1531 and renumbered Retained renumbered as a result of above amendments Retained renumbered as a result of above amendments Retained minor amendment to guidance Reordered and renumbered rule (was Rule 3070) guidance deleted Rule amended and guidance deleted ORDER BOOK TRADIN RULES Retained- minor amendment Retained- minor amendment rule and guidance to reflect ifid II requirements regarding information to be submitted on orders Retained, minor amendment to guidance Rule updated for ifid II Rule and guidance amended for ifid II, rule reordered and re-numbered Rule and guidance amended for ifid II, rule reordered and re-numbered Rule reordered and re-numbered Rule reordered and re-numbered Retained rule reordered and re-numbered Amended for accuracy, rule reordered and renumbered Retained rule reordered and re-numbered Rule and guidance updated for ifid II, rule reordered and re-numbered Rule and guidance updated for ifid II, rule reordered and re-numbered Retained rule reordered and re-numbered Retained rule reordered and re-numbered Deleted Deleted Deleted. ifid II = eneral rule review = 10
11 2140 Deleted Deleted Deleted Deleted Deleted Deleted. OFF ORDER BOOK TRADIN RULES Retained rule amended Retained, rule wording and guidance updated Retained, rule wording and guidance updated Deleted guidance deleted Retained guidance amended to include matched principal transactions and guidance regarding erroneous trade reports Retained rule and guidance amended to reflect ifid II requirements including matched principal transactions Retained, guidance amended Retained, guidance amended Retained, guidance amended Retained, guidance amended Retained rule and guidance updated to reflect ifid II requirements rule and guidance regarding Exchange enforced cancellations of off order book trades Retained rule and guidance amended. Provisions of Rule 3032 added to guidance Rule moved as guidance to Rule Rule and guidance updated for ifid II Deleted Deleted Retained - guidance updated for ifid II Rule amended to reflect ifid II requirements new guidance added Deleted Deleted Deleted Deleted Deleted Retained wording amended. ifid II = eneral rule review = 11
12 Retained wording amended Deleted Deleted Deleted Rule reordered and re-numbered and guidance deleted Deleted Deleted Rule and guidance amended to include matched principal transactions Deleted Deleted Deleted Deleted Deleted Deleted Deleted Deleted Deleted Deleted Deleted Deleted Retained - rule renumbered and new guidance added Retained rule renumbered Retained rule renumbered Retained rule renumbered Retained rule renumbered Retained rule renumbered Deleted. ARKET AKER RULES Retained guidance deleted in relation to giltedged and index-linked gilt-edged securities Retained rule and guidance updated Retained, updated with new guidance Rule updated Retained minor amendment Retained minor amendment rule to allow for bid-only market makers in Exchange designated fixed income securities ifid II = eneral rule review = 12
13 Rule updated to reflect ifid II terminology Rule updated to reflect ifid II terminology Retained rule cross reference amended Rule reordered and re-numbered cross references in guidance updated Retained rules reordered and re-numbered Retained rules reordered and re-numbered Retained rules reordered and re-numbered Retained rules reordered and re-numbered Retained rule cross reference amended. Rule reordered and re-numbered Retained rule reordered and re-numbered Retained rule reordered and re-numbered Retained rule reordered and re-numbered Retained wording amended Retained wording amended Retained wording amended to reflect ifid II terminology Retained wording amended to reflect ifid II terminology Retained minor amendment to guidance Retained rule reordered and re-numbered Retained rule reordered and re-numbered Retained rule reordered and re-numbered Retained rule reordered and re-numbered Retained rule reordered and re-numbered Retained rule cross reference amended. Rule reordered and re-numbered Deleted Deleted Deleted Deleted Deleted Deleted Retained wording and guidance amended. ifid II = eneral rule review = 13
14 Deleted collapsed into Rule Deleted Deleted Deleted Deleted Deleted Deleted Deleted Deleted Deleted Deleted Deleted Deleted Deleted Deleted Deleted Deleted Deleted rule and guidance to reflect ifid II requirements for market 4401 rule to reflect ifid II requirements for market rule to reflect ifid II requirements for market rule to reflect ifid II requirements for market rule to reflect ifid II requirements for market rule to reflect ifid II requirements for market rule to reflect ifid II requirements for market rule to reflect ifid II requirements for market rule to reflect ifid II requirements for market 4402 rule to reflect ifid II requirements for market 4403 rule to reflect ifid II requirements for market 4410 rule and guidance to reflect ifid II requirements for market maker schemes rule to reflect ifid II requirements for market maker schemes.. ifid II = eneral rule review = 14
15 4412 rule to reflect ifid II requirements for market maker schemes. SETTLEENT, CLEARIN AND BENEFIT RULES Rules retained Rule and guidance amended to include matched principal transactions Rules retained COPLIANCE PROCEDURES C100 C100 Rules retained. C506 C506 DEFAULT RULES D010 D010 D020 D020 Retained guidance amended to remove references to Repoclear. D021 D021 Rules retained. D115.5 D115.5 D120 D120 Rule amended to remove references to ilt Inter Dealer Brokers and Wholesale Dealer Brokers. D130 D130 Rules retained. D152 D152 D153 Deleted as rule relates to ilt Inter Dealer Brokers and Wholesale Dealer Brokers. D154 D154 Rules retained. D200.2 D200.2 ifid II = eneral rule review = 15
Rules of the London Stock Exchange
Rules of the London Stock Exchange Draft Rule Book PROPOSED EFFECTIVE DATE 3 JANUARY 2018 Table of Contents Contents Introduction to the Rulebook and the Markets in Financial Instruments Directive Page
Rules of the London Stock Exchange. Rule Book
Rules of the London Stock Exchange Rule Book EFFECTIVE 13 MARCH 2017 Table of Contents Contents Introduction to the Rulebook and the Markets in Financial Instruments Directive Page Number 3 Definitions
Gilt inter dealer brokers and wholesale dealer brokers [ ]
![Gilt inter dealer brokers and wholesale dealer brokers [ ]](/thumbs/73/68958557.jpg "Gilt inter dealer brokers and wholesale dealer brokers [ ]")
Attachment 2 to Stock Exchange Notice N13/11 Member firm services Gilt inter dealer brokers and wholesale dealer brokers [1120-1128] List of users 1124 A member firm which operates a service that is available
Attachment 1 to Stock Exchange Notice N09/17 DEFINITIONS CORE RULES. Member firms
DEFINITIONS AIM secondary market registered organisation negotiated trade standard trade report deadline a Regulated Market, Multilateral Trading Facility, or Approved Publication Arrangement trading venue
SIX Swiss Exchange Ltd. Directive 3: Trading. of 09/11/2017 Effective from: 01/01/2018
SIX Swiss Exchange Ltd Directive : Trading of 09//07 Effective from: 0/0/08 Directive : Trading 0/0/08 Content. Purpose and principle... I General.... Trading day and trading period.... Clearing day....
1. Customers will have freedom of choice regarding which of the central counterparties above to use.
Contents 1. Introduction... 1 2. Description of competitive clearing... 5 3. Impact on market participants. 10 4. General requirements... 12 5. Implementation.. 13 6. Future enhancements...14 TRADING ENHANCEMENT
MiFID II: Impact on LME members
MiFID II: Impact on LME members THE LONDON METAL EXCHANGE 10 Finsbury Square, London EC2A 1AJ Tel +44 (0)20 7113 8888 Registered in England no 2128666. Registered office as above. LME.COM Table of Contents
International Property Security Exchange
International Property Security Exchange Guide for Trading Members January 2019 IPSX Guide for Trading Members v0.10 IPSX Guide for Trading Members v1.0 Page 2 of 16 Table of Contents 1. Disclaimer...
SIX Swiss Exchange Ltd. Directive 3: Trading. of 30/06/2016 Effective from: 17/10/2016
SIX Swiss Exchange Ltd Directive 3: Trading of 30/06/06 Effective from: 7/0/06 Content. Purpose and principle... I General.... Trading day and trading period... 3. Clearing day... 4. Trading hours... II
I N M A R K E T T E R M S
I N M A R K E T T E R M S After hours Means before the opening auction call period and after the end of the closing auction call period and any extensions thereto and any other time that the equities market
LONDON METAL EXCHANGE RULES AND REGULATIONS
LONDON METAL EXCHANGE RULES AND REGULATIONS AS AUTHORISED BY THE BOARD OF DIRECTORS PREFACE P art s 1 13 of this book set forth the Rules and Regulations of the London Metal Exchange, and the Appendices
SIX Swiss Exchange Ltd. Directive 3: Trading. Dated 16 March 2018 Entry into force: 28 May 2018
SIX Swiss Exchange Ltd Directive : Trading Dated 6 March 08 Entry into force: 8 May 08 Directive : Trading 8/05/08 Content Purpose and principle... I General... Trading day and trading period... Clearing
Report Data File Layout
Report Data File Layout FINAL CLEARING STATEMENT (FCS) This file contains the data information of the FCS. The record length is 143 bytes. Control Record : Record type X(1) 0 = control header Participant
The Bermuda Securities Depository (BSD) Participants User Guide WEB VERSION
The Bermuda Securities Depository (BSD) Participants User Guide WEB VERSION October 2017 Table of Contents INTRODUCTION... 1 LEGAL STRUCTURE... 5 PARTICIPANTS... 7 SYSTEM... 10 ACCOUNTS... 12 TRADING...
BEST EXECUTION POLICY
BEST EXECUTION POLICY 1 INTRODUCTION As required by the Markets in Financial instruments Directive II ( MiFID II ), this document (the Policy ) sets out ITI Capital Limited s ( ITIC ) Order Execution Policy
JSE Interest Rate and Currency Rules
JSE Interest Rate and Currency Rules Date Notice No. Amendment Interest Rate and Currency Rules January 2005 As amended by 1 June 2005 Y008 Rule 8.90 - change in option structure from American style to
ALTERNATIVE TRADING SYSTEM RULES
ALTERNATIVE TRADING SYSTEM RULES (text according to legal condition at 3 January 2018)* *The Alternative Trading System Rules, with Exhibits, adopted in Resolution No. 147/2007 of the WSE Management Board
MiFID II: Implications for and application to non-member trading firms
MiFID II: Implications for and application to non-member THE LONDON METAL EXCHANGE 10 Finsbury Square, London EC2A 1AJ Tel +44 (0)20 7113 8888 Registered in England no 2128666. Registered office as above.
RULES OF BURSA MALAYSIA SECURITIES BERHAD TABLE OF CONTENTS
RULES OF BURSA MALAYSIA SECURITIES BERHAD TABLE OF CONTENTS CHAPTER 1 DEFINITION AND RELATED PROVISIONS Part A DEFINITION AND INTERPRETATION Rule 1.01 Definition 1.02 Interpretation Part B APPLICATION
MiFID II: The Unbundling ISITC Meeting
MiFID II: The Unbundling ISITC Meeting Nick Philpott 18 September 2017 0 Salmon is illiquid ESMA December 2014 Consultation Paper on MiFID II / MiFIR, p. 141 https://www.esma.europa.eu/press-news/consultations/consultation-mifid-iimifir
ApEx15. Securities and Derivatives
ApEx15 Securities and Derivatives Summary of Learning Outcomes ApEx15a Securities ApEx15 Securities and Derivatives Candidates will be expected to: K Demonstrate a knowledge of: K1 regulatory requirements
List of Trading Charges
SIX Swiss Exchange Ltd List of Trading Charges Dated March 08 Entry into force: April 08 Content Purpose, scope and list of fees... 4. Purpose... 4. Scope... 4. List of fees... 4 Definitions... 5 Participation
SIX Swiss Exchange Ltd. Directive 3: Trading. of 24/08/2017 Effective from: 23/10/2017
SIX Swiss Exchange Ltd Directive : Trading of /08/07 Effective from: /0/07 Directive : Trading /0/07 Content. Purpose and principle... I General.... Trading day and trading period.... Clearing day....
Listings, registration, dealings and settlement
1. Listings The Company currently has a primary listing of Shares on the SGX-ST, which it intends to maintain alongside its proposed dual primary listing of Shares on the Stock Exchange. Application has
FIT Rule Book Trading
FIT Trading Trading Procedures and Guidelines V1.10 Effective Date 1 May 2013 CONTENTS PAGE INTRODUCTION 3 ROLES AND RESPONSIBILITIES 3 PRICE TAKER RULES 5 PRICE TAKER OPERATIONAL RESPONSIBILITIES 5 PRICE
MiFID II: What is new for buy side? Best Execution Topic 3
Global Market Structure Europe Execution Excellence November 24, 2016 MiFID II: What is new for buy side? Best Execution Topic 3 In our document on Topic 1 of this series looking at MiFID II, we examined
NASDAQ NORDIC MEMBER RULES
NASDAQ NORDIC MEMBER RULES VERSION 3.4 January 3, 2018 Iceland... 79 1. GENERAL... 4 2. DEFINITIONS AND ABBREVIATIONS... 8 3. GENERAL PROVISIONS... 22 3.1 General provisions regarding the Nasdaq Nordic
MTS Israel Market Rules Effective as of 04 January MTS Israel is an MTF organised and managed by EuroMTS Limited
MTS Israel Market Rules Effective as of 04 January 2016 MTS Israel is an MTF organised and managed by EuroMTS Limited Contents MTS Israel Market Rules 1.0 General Provisions 4 4.12 Suspension of Quoting
Pensions Administration. Annual General Meeting Jonathan Clewes Pensions Manager
Pensions Administration Annual General Meeting Jonathan Clewes Pensions Manager 04.10.2018 Context New Pensions System - November 2014 2014 LGPS changes Average Salary scheme 1/49 accrual rate Change to
SPONSORED CLEARING REGULATIONS OF LCH LIMITED
SPONSORED CLEARING REGULATIONS OF LCH LIMITED Clearing House : Sponsored Clearing Regulations - i- CONTENTS Sponsored Clearing Regulation Page Regulation 1 Definitions... 1 Chapter I SCOPE... 24 Regulation
Transaction reporting of standard and non-standard contracts
Transaction reporting of standard and non-standard contracts Elio Zammuto arket onitoring Department 9 th Public Workshop on REIT implementation Ljubljana, 10 December 2014 Outline Transaction reporting
Jefferies International Limited
Jefferies International Limited Order Execution Policy January 2018 Issued November 2013 Version 3.0 Supersedes all previous Compliance Policies regarding this subject matter Jefferies International Limited
UK response to CPSS/IOSCO Framework
01.02 UK response to CPSS/IOSCO Framework CREST System 1 Contents General introductory comments on ETT & DVP 1 Legal framework 2 Trade confirmation 3 Settlement cycles 4 Central counterparties (CCP) 5
Nasdaq Commodities Europe
Upcoming Functional Changes Genium INET 5.0.0201 Revision 1.2 17 Oct 2017 2017 Nasdaq, Inc. All Rights Reserved. Copyright 2017, Nasdaq, Inc. All rights reserved. All content in this document is owned,
Jefferies International Limited
Jefferies International Limited Order Execution Policy August 2015 Issued November 2013 Version 2.0 Supersedes all previous Compliance Policies regarding this subject matter Jefferies International Limited
Summary of Scotiabank London Best Execution Policy
1. Introduction Summary of Scotiabank London Best Execution Policy 1.1 The Bank of va Scotia ( BNS ) is authorised and regulated by the Office of the Superintendent of Financial Institutions in Canada.
London Stock Exchange. Millennium Exchange MiFID II Deployment Guide
London Stock Exchange Millennium Exchange MiFID II Deployment Guide Issue 3.0 28 December 2017 Contents 1.0 Purpose 5 2.0 Document History 6 3.0 References to MiFIR / MiFID II documentation published
General MTS Domestic Market Rules Effective as of 4 th April 2016
General MTS Domestic Market Rules Effective as of Contents General MTS Domestic Market Rules 1.0 General Provisions 4 1.1 Definitions 4 1.2 Market Rules 7 5.0 Clearing and settlement of Trades 20 5.1
decision to firm-up to trade
LIQUIDNET EUROPE LIMITED ( LIQUIDNET ) LIQUIDNET EUROPE FIXED INCOME MTF PARTICIPATION RULES 1. GLOSSARY Term Actionable Indication of Interest Applicable Law Competent Authority Customer EEA Eligibility
SIX Corporate Bonds AG. Directive 3: Trading. Dated 16 March 2018 Entry into force: 27 March 2018
SIX Corporate Bonds AG Directive : Trading Dated 6 March 08 Entry into force: 7 March 08 Content Purpose and principle... General.... Trading day and trading period.... Trading hours... Definitions....
ORDER EXECUTION POLICY
ORDER EXECUTION POLICY CONTENTS 1 INTRODUCTION & APPROACH 1.1 INTRODUCTION 1.2 SCOPE 1.3 BEST EXECUTION 1.4 SPECIFIC INSTRUCTIONS 1.5 POLICY CONSENT 2 TRADING ARRANGEMENTS FOR DIFFERENT TYPES OF INVESTMENT
Policy Statement PS10/17 Ensuring operational continuity in resolution: reporting requirements. April 2017
Policy Statement PS10/17 Ensuring operational continuity in resolution: reporting requirements April 2017 Prudential Regulation Authority 20 Moorgate London EC2R 6DA Policy Statement PS10/17 Ensuring operational
Definitions. Trading Appendix 1. Nord Pool AS. Obsolete
Definitions Trading Appendix 1 Nord Pool AS DEFINITIONS This document sets out the definitions of capitalized terms in the Trading Rules and the Clearing Rules (as defined below): Acceptance Ratio Account
Covered Warrants. Policies & Procedures
Policies & Procedures TABLE OF CONTENTS Introduction... 3 Covered Warrant Issuance... 3 Publication of Dealing Notice... 4 Market Regulation... 4 Liquidity Provision Committed Principal Obligations...
Crest. Electronic Share Trading
Crest Electronic Share Trading Rules, Procedures, Practices, Guidelines & Interpretations Contact: Donal Savage + 353 (0)1 6087819 Document reviewed February 2018 1 Table of Contents 1. Introduction...4
LSE Equity Trade and Quote Data File Format Document Version 3.1
LSE Equity Trade and Quote Data File Format Document Version 3.1 LSE Equity Trade and Quote Dataset, v3.1 Page 1 of 17 Overview Tick Data provides three types of market data for issues traded on the London
SBL Negotiated Transactions either to borrow for itself or its client, has been approved by the Clearing House.
RULES OF BURSA MALAYSIA SECURITIES CLEARING SDN. BHD. INTERPRETATION [Note: Entire section reproduced as the amendments encompass a large part of this section.] Comment [B1]: Unless otherwise stated, amendments
Turquoise. Millennium Exchange MiFID II Deployment Guide Proposal
Turquoise Millennium Exchange MiFID II Deployment Guide Proposal Issue 1.2 29 December 2017 Contents 1.0 Purpose 4 2.0 Document History 5 3.0 References to MiFIR / MiFID II documentation published by
RULES Table of Contents
CENTRAL SECURITIES DEPOSITORY COMPANY OF BOTSWANA LIMITED RULES Table of Contents Introduction 3 Page Section Title 1 Legal and Contractual Framework 3 2 Definitions and Interpretations 6 3 Nominated Transfer
BEST EXECUTION AND CLIENT ORDER HANDLING POLICY FOR PROFESSIONAL AND RETAIL CLIENTS
BEST EXECUTION AND CLIENT ORDER HANDLING POLICY FOR PROFESSIONAL AND RETAIL CLIENTS APPLICABLE TO SOCIÉTÉ GÉNÉRALE ENTITIES IN THE EUROPEAN ECONOMIC AREA (Head office, Branches, and Subsidiaries) Version
ETFs for private investors
ETFs for private investors Simple products. Sophisticated strategies. ETFs Exchange Traded Funds (ETFs) are instruments which track an index. Indices can be country or region specific and based on emerging
ETFs for private investors
ETFs for private investors Simple products. Sophisticated strategies. Contents ETFs What are ETFs 2 How ETFs differ from other funds 3 Comparing product costs 4 Pricing and liquidity 5 Combining active
DEFINITION AND RELATED PROVISIONS DEFINITION AND INTERPRETATION
CHAPTER 1 DEFINITION AND RELATED PROVISIONS PART A DEFINITION AND INTERPRETATION 1.01 Definition The following terms have the following meanings unless the context requires otherwise: Term ABFMY1 ACE Market
MARKET RULES FOR THE CENTRALIZED MARKET FOR SALE/PURCHASE OF ELECTRICITY THROUGH BILATERAL CONTRACTS INDEPENDENT BULGARIAN ENERGY EXCHANGE
MARKET RULES FOR THE CENTRALIZED MARKET FOR SALE/PURCHASE OF ELECTRICITY THROUGH BILATERAL CONTRACTS INDEPENDENT BULGARIAN ENERGY EXCHANGE 1 Contents Terms... 3 Main provisions... 5 Purpose of the rules...
IOC Introduction to S&I: Mock 1
IOC Introduction to S&I: Mock 1 1 2 3 4 5 6 7 How are shares in an open-ended investment company MOST LIKELY to be priced? Single-pricing based on supply and demand for the shares Bid/Offer spread incorporating
EXCHANGE RULES OF NASDAQ DERIVATIVES MARKETS
CONTENTS CHAPTER 2 2.1 The Exchange's exchange activities... 2017-11-20 2.2 Exchange Membership and Exchange Traders... 2018-01-02 2.3 Exchange Listing... 2017-11-20 2.4 Electronic Trading System (EMP)...
Euromoney Institutional Investor PLC (the "Company") Interim Dividend - Scrip Alternative
Euromoney Institutional Investor PLC (the "Company") Interim Dividend - Scrip Alternative As stated in today's announcement of the Company's interim financial results for the six months ended March 31
Elektron Technology plc
THIS DOCUMENT IS IMPORTANT AND REQUIRES YOUR IMMEDIATE ATTENTION If you are in any doubt as to the action you should take, you should seek your own advice from a stockbroker, solicitor, accountant or other
Order Execution Policy Disclosure. Effective as at 3 January 2018.
Order Execution Policy Disclosure. Effective as at 3 January 2018. Introduction This disclosure sets out selected details of the order execution policies applicable to Westpac Banking Corporation and Westpac
Report Data File Layout
Report Data File Layout PROVISIONAL CLEARING STATEMENT (PCS) This file contains the data information of the PCS. The record length is 127 bytes. Record type X(1) 0 = control header ID Report ID X(7) CCLTN04
An Introduction to Exchange Traded Products
September 2015 An Introduction to Exchange Traded Products Investment vehicles come in a number of forms in the UK, of which Exchange Traded Products (ETPs) are one. Understanding the differences between
Raymond James UK ("RJUK") ORDER EXECUTION POLICY
Raymond James UK ("RJUK") ORDER EXECUTION POLICY INTRODUCTION As required by the Markets in Financial Instruments Directive II 2014/65/EU ( MiFID II ), this Order Execution policy sets out the arrangements
FREQUENTLY ASKED QUESTIONS
NOV 2017 MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE II (MIFID II) FREQUENTLY ASKED QUESTIONS Table of Contents Background...4 What is MiFID?... 4 The general objectives of MiFID II are to:... 4 How was
Scrip dividend mandate scheme and scrip dividend alternative for the dividend relating to the period from 1 July 2014 to 30 September 2014
THIS DOCUMENT IS IMPORTANT AND REQUIRES YOUR IMMEDIATE ATTENTION. When considering what action you should take, you are recommended to seek your own personal advice from your stockbroker, bank manager,
OVER-THE-COUNTER DERIVATIVES, CENTRAL COUNTERPARTIES AND TRADE REPOSITORIES INSTRUMENT 2013
OVER-THE-COUNTER DERIVATIVES, CENTRAL COUNTERPARTIES AND TRADE REPOSITORIES INSTRUMENT 2013 WHEREAS: A. The Authority has, in accordance with Article 5 of the Designation Order, appointed persons to exercise
EKF Diagnostics Holdings plc ( EKF or the Company ) Proposed Placing
Not for publication, distribution or release directly or indirectly, in whole or in part, in or into the United States, Canada, Australia, New Zealand, Japan, the Republic of Ireland or the Republic of
A2X TRADING RULES. A2X Rules. Page 1
A2X TRADING RULES Page 1 SECTION CONTENT OF THE RULES PAGE NUMBER Index Index 2 Introduction Introduction 3 Section 1 Definitions and interpretation 4 Section 2 Applications for and termination of Membership
INSTRUCTIONS TITLE IA.3 PARTICIPATION OF INTERMEDIARIES IN THE MARKETS CHAPTER IA.3.1 CONDITIONS FOR ADMISSION TO TRADING AND MAINTAINING ELIGIBILITY
INSTRUCTIONS TITLE IA.3 PARTICIPATION OF INTERMEDIARIES IN THE MARKETS CHAPTER IA.3.1 CONDITIONS FOR ADMISSION TO TRADING AND MAINTAINING ELIGIBILITY Article IA.3.1.1 (Intermediaries admitted to trading)
RAVEN RUSSIA LIMITED (Registered No ) Second Floor La Vieille Cour La Plaiderie St Peter Port Guernsey GY1 6EH
THIS DOCUMENT IS IMPORTANT AND REQUIRES YOUR IMMEDIATE ATTENTION. When considering what action you should take, you are recommended to seek your own personal advice from your stockbroker, bank manager,
COMMISSION DELEGATED REGULATION (EU) /... of
EUROPEAN COMMISSION Brussels, 14.7.2016 C(2016) 4390 final COMMISSION DELEGATED REGULATION (EU) /... of 14.7.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council
Amendments to Futures Trading Rules
Amendments to Futures Trading Rules Amendments are marked in red. Chapter 1 General Matters 1. Market Overview 1.6 Exclusion of Liability, Disclaimer of Warranties & Statutory Immunity 1.6.1 No Liability
Summary of Scotiabank London Best Execution Policy
1. Introduction Summary of Scotiabank London Best Execution Policy 1.1 The Bank of va Scotia ( BNS ) is authorised and regulated by the Office of the Superintendent of Financial Institutions in Canada.
ASX OPERATING RULES INTERPRETATION
ASX OPERATING RULES SECTION 7 DEFINITIONS AND INTERPRETATION INTERPRETATION... 703 General principles of interpretation... 703 Words and expressions defined in the Corporations Act... 704 Headings and
EuroMTS Market Rules Effective as of 4 th April EuroMTS is a Multilateral Trading Facility organised by EuroMTS Limited
EuroMTS Market Rules Effective as of EuroMTS is a Multilateral Trading Facility organised by EuroMTS Limited Contents EuroMTS Market Rules 1.0 General Provisions 4 5.2 Clearing and Settlement institutions
FIA Webinar: Understanding Regulation AT December 16, 2015
FIA Webinar: Understanding Regulation AT December 16, 2015 Moderator: Allison Lurton, General Counsel, FIA Speakers: Paul Architzel, Partner, WilmerHale Dan Berkovitz, Partner, WilmerHale Paul Pantano,
HICL INFRASTRUCTURE COMPANY LIMITED
If you are in any doubt as to the contents of this document or the action that you should take, you should seek your own personal financial advice from your stockbroker, bank manager, solicitor, accountant
The Renewables Infrastructure Group Limited SCRIP DIVIDEND CIRCULAR 2018
If you are in any doubt as to the contents of this document or the action that you should take, you should seek your own personal financial advice from your stockbroker, bank manager, solicitor, accountant
ASX OPERATING RULES PROCEDURES. ASX Limited ABN Exchange Centre 20 Bridge Street Sydney NSW 2000 Australia
ASX OPERATING RULES PROCEDURES ASX Limited ABN 98 008 624 691 Exchange Centre 20 Bridge Street Sydney NSW 2000 Australia ASX Operating Rules Procedures Page 1 1 August 2010 SECTION 1 ACCESS TO THE MARKET...
Service & Technical Description
Service & Technical Description New Trading Service for ETFs - Euroclear Bank Settlement Version 1.4 8 July 2015 1. Introduction...5 1.1. Purpose... 5 1.2. Readership... 5 1.3.Overview of new Trading
Sector Investment Managers LTD 67 Grosvenor Street London W1K 3JN. Pillar 3 Disclosures
Sector Investment Managers LTD 67 Grosvenor Street London W1K 3JN Pillar 3 Disclosures 8 January 2013 1 Overview The Capital Requirements Directive consists of three pillars: Pillar 1 Pillar 2 Pillar 3
REPORT OLD MUTUAL GLOBAL INVESTORS (UK) LIMITED QUALITATIVE EXECUTION
REPORT OLD MUTUAL GLOBAL INVESTORS (UK) LIMITED QUALITATIVE EXECUTION APRIL 2018 MIFID II REQUIRES (UK) LIMITED (OMGI) TO PRODUCE THIS QUALITATIVE EXECUTION REPORT COVERING ORDERS EXECUTED IN 2017. APPENDIX
DEALINGS IN SECURITIES
CHAPTER 7 DEALINGS IN SECURITIES PART A DEALINGS IN SECURITIES 7.01 General (1) The provisions in this Rule 7.01 are applicable to On-Market Transactions and Direct Business Transactions whether transacted
AMENDMENTS TO CDP CLEARING RULES [.]
![AMENDMENTS TO CDP CLEARING RULES [.]](/thumbs/75/72561541.jpg "AMENDMENTS TO CDP CLEARING RULES [.]")
AMENDMENTS TO CDP CLEARING RULES Current Rule 5.6 Exposure to Single Customer 5.6.3 In Rule 5.6.1, exposure to a single customer means:- (1) in the case of securities carried in a customer s account (other
AMENDMENTS TO THE SGX-DC CLEARING RULES
AMENDMENTS TO THE SGX-DC CLEARING RULES PROPOSED RULE AMENDMENTS SGX-DC CLEARING RULES Chapter 2: Clearing Membership 2.11.5 Capital to Meet Loss Exposure 2.11.5.1 Before a Clearing Member can clear an
Nasdaq Commodities Europe
Upcoming Functional Changes Genium INET 5.0.0201 Revision 1.0 15 Sep 2017 2017 Nasdaq, Inc. All Rights Reserved. Copyright 2017, Nasdaq, Inc. All rights reserved. All content in this document is owned,
MiFID II / MiFIR seminar Break-out session 1 The Institutional Landscape
MiFID II / MiFIR seminar Break-out session 1 The Institutional Landscape Hannah Meakin, Partner Kennedy Masterton-Smith, Senior Associate Norton Rose Fulbright LLP 15 October 2014 Overview Do I need to
Exchange Rules of Eurex Deutschland
, as of 28.01.2019 Table of Contents Page I Table of Contents Page I. Section Areas of Business and Organisation...1 1 Areas of Business... 1 2 Administrating and Operating Institutions of Eurex Deutschland...
Recognised Investment Exchanges
Recognised Investment Exchanges REC Contents Recognised Investment Exchanges REC 1 Introduction 1.1 Application 1.2 Purpose, status and quotations REC 2 Recognition requirements 2.1 Introduction 2.2 Method
Westpac Corporate Lending Portal
Westpac Corporate Lending Portal Fast, efficient and secure online loan management Westpac Institutional Bank Date: 22 August 2018 Commercial in Confidence 2018 Contents Overview... 5 Functionality @ August
Customer Account Application - Corporate
Customer Account Application - Corporate Thank you for choosing FXDD. Please complete ALL SECTIONS in full using BLOCK CAPITALS to open your account. We have included all the necessary forms in this application
HICL INFRASTRUCTURE COMPANY LIMITED
If you are in any doubt as to the contents of this document or the action that you should take, you should seek your own personal financial advice from your stockbroker, bank manager, solicitor, accountant
SCRIP DIVIDEND ALTERNATIVE BOOKLET TERMS AND CONDITIONS
SCRIP DIVIDEND ALTERNATIVE BOOKLET TERMS AND CONDITIONS SCRIP DIVIDEND ELECTION If you wish to elect to receive new ordinary shares automatically in respect of the cash dividend for the financial year
Definitions and Glossary
Definitions and Glossary ABI Admission Admission and Disclosure Standards ADRs Cazenove certificated or in certificated form Companies Act CREST CRESTCo CREST Manual CREST member CREST participant CREST
Legal Entity Identifier (LEI)
Association of National Numbering Agencies scrl ANNA Workshop Legal Entity Identifier (LEI), ANNA Secretariat Bali, Indonesia November 19, 2014 Background Longstanding issues with risk and exposure management
Is the Polish CCP structure more advanced than Western Europe s? Brian Taylor Managing Director, BTA Consulting
Consulting Is the Polish CCP structure more advanced than Western Europe s? Brian Taylor Managing Director, BTA Consulting Consulting Agenda Hypothesis What is a CCP? Current CCP issues Comparison of the
For personal use only
Product Disclosure Statement Announcement for the Vanguard Exchange Traded Funds 21 November 2013 Vanguard Investments Australia Ltd is pleased to launch the Vanguard FTSE Emerging Markets Shares ETF (VGE).
eurexbondscircular 51/17
eurexbondscircular 51/17 Date: 18 September 2017 Recipients: All Trading Participants of Eurex Bonds and Vendors Authorised by: Gloria Pfaue MiFID II / MIFIR: Further information on the technical and functional
Order Handling and Execution Policy Asset Class Specific Appendices Rates Appendix
BNP London, Paribas June 2017 CIB Order Handling and Execution Policy Asset Class Specific Appendices Rates Appendix BNP PARIBAS CIB GLOBAL MARKETS London, December 2017 Table of Contents 1. Products in
The Vanguard Group, Inc. 3 June 2014
PRODUCT KEY FACTS Vanguard FTSE Asia ex Japan High Dividend Yield Index ETF The Vanguard Group, Inc. 3 June 2014 This is an exchange traded fund. This statement provides you with key information about
Transaction Reporting User Manual (TRUM)
Transaction Reporting User Manual (TRUM) Tommy Johansson Elio Zammuto Sigrid Granström Market Monitoring Department Public workshop on REMIT implementation Ljubljana, TITRE 16 July 2014 Hierarchy of REMIT