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Compliance rules


The compliance rules (procedures) cover the disciplinary process used by the Exchange.  Where the Exchange believes there has been a rule breach by a member firm it may commence disciplinary action against that firm.

The Exchange may impose a fixed penalty, issue a warning notice and/or refer disciplinary matters to either an Executive Panel or a Disciplinary Committee.

The rules detail the process applied to each of the above sanctions, including the appeals process.

Downloads
Rules of the London Stock Exchange(pdffile pdf - 1011 KB)
Guide to the New Trading System (docfile doc - 1 MB)
Millennium Exchange Business Parameters (xlsfile xls - 787 KB)

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