FSA Code of Market Conduct
FSA Code of Market Conduct
Code Of Market Conduct
The FSA Code of Market Conduct is a set of guidance notes from the FSA. They give guidance on what does and does not amount to market abuse.
It is therefore only relevant to people and/or firms seeking guidance as to whether or not behaviour amounts to market abuse.
The guidance contained within the FSA Code of Market Conduct sourcebook are Business Standards and having a full understanding of them and what your obligations are, are therefore essential.
Having documented and updated FSA Code of Market Conduct procedures for your firm you can assist in demonstrating FSA Code of Market Conduct compliance.
We have produced an overview of the FSA Code of Market Conduct guidance to complete your firm’s procedures. This overview is not a set of FSA Code of Market Conduct procedures but can be included in your procedures, stating what would happen in the event of the FSA investigating market abuse.
Record keeping and FSA notification events are also included to help you, where they are relevant.
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