Opcin 2: London Stock Exchange Traders and Brokers Rules and Regulations 2014

Fuente en lnea: http://www.londonstockexchange.com/traders-and-brokers/rules-

regulations/change-and-updates/updatesguidance
Fecha de descarga: 29 de septiembre de 2014


STOCK EXCHANGE NOTICES AND GUIDANCE


Rules of the London Stock Exchange (the rules)

The rules are updated from time to time. Amendments to the rules are notified to the market
through Stock Exchange Notices and are incorporated into a revised version of the rules. The
revised rules are published on the effective date of the rule change (which is noted in the
associated Stock Exchange Notice and on the front cover of the rules). All amendments to the
rules have their effective date and the reference number of the associated Stock Exchange
Notice noted in the text.

Stock Exchange Notices

Stock Exchange Notices are issued throughout the year and contain information on a number
of regulatory issues. These can include the consultation and confirmation of proposed
changes to the rules, as described above. They may also contain regulatory and operational
information and guidance in relation to specific market issues.

Compliance Update

The Exchange issues a periodic newsletter called Compliance Update (previously
called Regulation Briefing) to assist member firm personnel that have responsibility for their
firms compliance with the Exchanges rules. It is sent to everyone who is registered to receive
Stock Exchange Notices.

Compliance Update is available in electronic form with links to key articles on the Exchanges
website. Therefore you only need to read those articles that are of interest to you. The
content includes information about investigations that the Exchange has carried out, including
those that have not necessarily resulted in disciplinary action. The aim of this is to give
compliance officers examples of the kind of behaviour that the Exchange is focusing on from a
regulatory perspective.

It provides clarification on existing rules (and guidance contained there-in) where formal
consultation is not required these changes will then be included in periodic rule sweep-ups.

Finally it will include summaries of other current Exchange projects with links to the relevant
areas of the website. This will help to keep compliance officers up-to-date on projects which,
although not necessarily driven by regulatory requirements, may be of interest.