Legal and Regulatory

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Legal and Regulatory

UK Money Markets code

The TP ICAP group has reviewed the content of the UK Money Markets Code (“Code”) and acknowledges that the Code represents a set of principles generally recognised as good practice in the UK Money Markets. The TP ICAP group confirms, for each of its Tullett Prebon and ICAP businesses which act as Market Participants as defined by the Code, that it is committed to conducting the UK Money Markets activities of those businesses (“Activities”) in a manner consistent with the principles of the Code. To this end, the TP ICAP group has in a manner commensurate with the size and complexity of the Activities, and the nature of their engagement in the UK Money Markets, established and implemented policies and procedures that accord with the Code (In so far as the content does not conflict with applicable law.)

FX Global Code (“Code”)

The TP ICAP group has reviewed the content of the FX Global Code (“Code”) and acknowledges that the Code represents a set of principles generally recognised as good practice in the wholesale foreign exchange market (“FX Market”). The TP ICAP group confirms, for each of its Tullett  Prebon and ICAP divisions and subsidiaries that act as a Market Participant as defined by the Code, that it is committed to conducting the FX Market activities of its group (“Activities”) in a manner consistent with the principles of the Code. To this end, the TP ICAP group has taken appropriate steps, through its Tullett  Prebon and ICAP divisions and subsidiaries, based on the size and complexity of their Activities, and the nature of their engagement in the FX Market, to align the Activities with the principles of the Code.

Statement of Commitment to the Global Precious Metals Code

The TP ICAP group has reviewed the content of the Precious Metals Global Code (“Code”) and acknowledges that the Code represents a set of principles generally recognised as good practice in the wholesale Precious Metals Market (“Market”).
The TP ICAP group confirms for each of its Tullett Prebon and ICAP divisions and subsidiaries that it acts as a Market Participant as defined by the Code, that it is committed to conducting its Market activities (“Activities”) in a manner consistent with the principles of the Code.
To this end, the TP ICAP group has taken appropriate steps, through its Tullett Prebon and ICAP divisions and subsidiaries, based on the size and complexity of their Activities, and the nature of their engagement in the wholesale Precious Metals Market, to align the Activities with the principles of the Code.

Futures North America Disclaimer

The use of this material and the data, information, and/or opinions reflected herein (collectively referred to as the "Data"), whether you used/use the Data in the past, present, or future is subject to the terms of this disclaimer. 

To read the full document click here

U.S. Broking Practices

The Broking Practices described in the below-linked document address TP ICAP’s provision of broking services in its wholly-owned businesses in the United States (except for tpSEF Inc. and ICAP Global Derivatives Ltd. (“IGDL”)), with regard to the provision of voice and/or electronic brokerage of securities, futures, commodities, swaps, and currencies. 
 
To read the full document click here:  TP ICAP Broking Practices