Market Conduct
This part of the topic index contains resources on market conduct. Please select the resource that you require by clicking on the relevant tab below.
6
resources
These resources are maintained, meaning that we monitor developments on a regular
basis and update them as soon as possible.
| 1 | Derivatives: overview (UK) An overview of derivatives, including an explanation of common types of derivatives, the key documentation and parties. The note also contains a link to a detailed note on derivatives in the United States. | Practice note: overview | Maintained |
| 2 | EU Emissions Trading Scheme (EU ETS) toolkit A guide to PLC Environment's materials on the EU Emissions Trading Scheme (EU ETS), which is now formally called the EU Emissions Trading System. | Practice note: overview | Maintained |
| 3 | FCA: role, governance and powers An overview of the FCA, the UK financial services regulator responsible for the conduct of firms authorised under the Financial Services and Markets Act 2000 (FSMA). The FCA is also responsible for the regulation of conduct in retail and wholesale financial markets, supervision of the trading infrastructure that supports those markets and the prudential regulation of firms not regulated by the PRA. The note considers the roles and responsibilities of the FCA, its legal status, its governance arrangements and the accountability mechanisms that apply to it. This note is part of a series of notes relating to the new UK financial services regulatory structure. For more information, see Practice note, A guide to the new UK financial services regulatory structure: index. | Practice notes | Maintained |
| 4 | LIBOR review and reform: overview for finance lawyers This note provides an overview of the proposals to reform LIBOR, focussing on those aspects that may impact existing and future finance agreements that refer to LIBOR. | Practice notes | Maintained |
| 5 | Model Code This note summarises the Model Code in the UK Listing Rules. As part of its continuing obligations under the Listing Rules, a company that has a premium listing of equity shares must require compliance with the Model Code (or more rigorous dealing obligations) to restrict the ability of persons discharging managerial responsibilities from dealing in the company's securities. | Practice notes | Maintained |
| 6 | UK Stewardship Code This note outlines the Financial Reporting Council's stewardship code setting out good practice for institutional investors on engagement with investee companies. | Practice notes | Maintained |