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COMPLIANCE
Operating Rules
to download the current version of the Operating Rules.
Operating Rules: Procedures
to download the current version of the Operating Rules: Procedures.
The Investment Products Information Pack
to download a PDF version of The Investment Products Information Pack
Consultation Papers
to download a PDF version of Consultation Paper 01/2011
to download a PDF version of Consultation Paper 01/2012
to download a PDF version of Consultation Paper 02/2012
to download a PDF version of Consultation Paper 01/2013
to download a PDF version of Consultation Paper 02/2013
to download a PDF version of Consultation Paper 03/2013
to download a PDF version of Consultation Paper 01/2015
to download a PDF version of Consultation Paper 02/2015
to download a PDF version of Consultation Paper 01/2016
to download a PDF version of Consultation Paper 02/2016

to download a PDF version of Consultation Paper 03/2016
 
Trade Cancellation Policies
to download a PDF version of Trade Cancellation Policies
Operating Rules - Previous Versions
Operating Rules v1.0
Operating Rules v1.1
Operating Rules v1.2
Operating Rules v1.3
Operating Rules: Procedures - Previous Versions
Operating Rules: Procedures v1.0
Operating Rules: Procedures v1.1
Operating Rules: Procedures v1.2
Operating Rules: Procedures v1.3
Operating Rules: Procedures v1.4
Operating Rules: Procedures v1.5
Operating Rules: Procedures v1.6
Operating Rules: Procedures v1.7
Managing Material Conflicts
Managing Material Conflicts: Instinet & Nomura
Managing Material Conflicts: Board Members
Compensation
Claim for Compensation (Rule 11 of the Operating Rules)