This guidance is applicable to non-member clients, counterparties and their custodians who have unsettled on Exchange transactions with Pritchard Stockbrokers Limited (“Pritchard's”).
Transactions subject to Default rules
Transactions executed away from the Exchange's order books must be trade reported to the Exchange as in accordance with rules 3000 and 3010. In the case of a Pritchard's trade with a non-member counterparty, Pritchard's would have therefore had to trade report that transaction to the Exchange.
If a non-member counterparty had a standing instruction with Pritchard's that it wanted all of its transactions to be subject to the rules, or that it gave similar instructions on a trade by trade basis, then it is likely that Pritchard's would have reported it to the Exchange.
The Exchange’s ability to reconcile non-member unsettled market contracts relies heavily on submissions made by non-members to the Exchange identifying such transactions.
To assist in the reconciliation of any unsettled market contracts, non-members who believe they have unsettled on Exchange market contracts with Pritchard's are requested to complete the excel spreadsheet in the downloads below and return this to firstname.lastname@example.org.
Unsettled Pritchard trades - Non Members (file xls - 710 KB)
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