FX Global Code, SMCR & Ethics – Example Webinar

Course Outline:

Using building blocks of knowledge transfer as well as scenarios and real life experiences we have structured a course specifically for members of the Broker Club. The eight blocks comprise:

Evolution of financial markets towards greater personal accountability

  • The evolution towards greater personal accountability
  • How personal can personal accountability get?
  • Culture change and personal accountability
  • Regulators approach to supervision and enforcement


The FX Global Code

  • Importance of the Code
  • Regulatory Risk Reputational Risk
  • Commercial Advantage
  • The core principles


The FX Global Code: Ethics Principles 1-3

  • Highest ethical standards
  • Maintaining high standards of behaviour
  • Education
  • Non-financial misconduct

The FX Global Code: Governance Principles 4 – 7

  • Regulatory perspective
  • Good practice
  • Your responsibilities


The FX Global Code: Execution Principles 8-18

  • Order Handling
  • Benchmarks
  • Pre-hedging
  • Mark ups
  • Last look Algorithms


The FX Global Code: Information Sharing Principles 19-23

  • Confidential Information Communications¬†

The FX Global Code: Risk Management and Compliance Principles 24-41

  • Compliance standards
  • Risk management
  • Your responsibilities

The FX Global Code: Confirmations and Settlement Principles 42-55

  • Settlement risk in FX
  • Practical issues
  • Your responsibilities

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