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Rules, Procedures & Guidance

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05 Mar 2021 FGL Operating Rules FGL Operating Rules v2.3_0.pdf (1.77 MB)
05 Mar 2021 FGL Procedures FGL Procedures v2.3_0.pdf (1.05 MB)
17 Mar 2021 FGL Product Determinations FGL Product Determinations_210823.pdf (268.83 KB)
05 Mar 2021 GN1 - Good Fame Character and Repute GN1 - Good Fame, Character & Repute v3.pdf (634.21 KB)
05 Mar 2021 GN10 - Non-Disclosure of Client Order Information GN10 - Non-Disclosure of Client Order Information v3_0.pdf (805.48 KB)
05 Mar 2021 GN11 - Mobile Phone Usage GN11 - Mobile Phone Usage v3_0.pdf (698.05 KB)
05 Mar 2021 GN12 - Derivative Staff Experience GN12 - Derivative Staff Experience v3_0.pdf (626.63 KB)
05 Mar 2021 GN13 - Training of Directors, Officers and Derivatives Staff GN13 - Training of Directors, Officers and Derivatives Staff v3_0.pdf (790.41 KB)
05 Mar 2021 GN16 - Key Client Risk GN16 - Key Client Risk v3_0.pdf (716.42 KB)
18 Mar 2021 GN19 - Accounting and Financial Records GN19 - Accounting and Financial Records v3_0.pdf (805.63 KB)
05 Mar 2021 GN2 -Product Terminology in the Operating Rules GN2 -Product Terminology in the Operating Rules v3.1.pdf (794.31 KB)
05 Mar 2021 GN21 - Communications Surrounding Compliance Matters GN21 - Communications Surrounding Compliance Matters v3_0.pdf (816.54 KB)
05 Mar 2021 GN22 - Matching Algorithm Examples GN22 - Matching Algorithm Examples v3_0.pdf (832.01 KB)
05 Mar 2021 GN23 - Order Types GN23 - Order Types v3_0.pdf (823.1 KB)
06 Mar 2021 GN24 - Exchange for Physicals GN24 - Exchange for Physicals v3.2_0.pdf (806.97 KB)
06 Mar 2021 GN25 - Block Trades GN25 - Block Trades v3.2_0.pdf (818.5 KB)
06 Mar 2021 GN29 - Tailored Strategies GN29 - Tailored Strategies v3.pdf (817.71 KB)
06 Mar 2021 GN35 - Daily Settlement Price for Option Contracts GN35 - Daily Settlement Price for Option Contracts v3.1.pdf (803.58 KB)
06 Mar 2021 GN38 - Price Limits GN38 - Price Limits v3.2.pdf (821.83 KB)
06 Mar 2021 GN39 - Error Trades and Cancellation of Trades GN39 - Error Trades and Cancellation of Trades v3_0.pdf (752.37 KB)
05 Mar 2021 GN4 - Net Tangible Assets GN4 - Net Tangible Assets v3_0.pdf (786.54 KB)
06 Mar 2021 GN40 - Powers of the Exchange GN40 - Powers of the Exchange v3_0.pdf (825.54 KB)
06 Mar 2021 GN41 - Security Assistance with Electronic Access GN41 - Security Assistance with Electronic Access v3_0.pdf (896.58 KB)
06 Mar 2021 GN42 - Defined Strategies GN42 - Defined Strategies v3_0.pdf (815.5 KB)
06 Mar 2021 GN43 - System Failures and Market Halts GN43 - System Failure & Market Halts v3.pdf (648 KB)
06 Mar 2021 GN44 - Sweep Price Rules GN44 - Sweep Price Rules v3.1.pdf (892.16 KB)
06 Mar 2021 GN45 - Fair and Orderly Pricing Block Trades and EFP Transactions GN45 - Fair and Orderly Pricing Block Trades and EFP Transactions v3_0.pdf (648.46 KB)
06 Mar 2021 GN46 - Consolidation of Disciplinary Proceedings GN46 - Consolidation of Disciplinary Proceedings v3_0.pdf (622.42 KB)
06 Mar 2021 GN47 - Communicating with FEX Global GN47 - Communicating with FEX Global v3_0.pdf (799.01 KB)
06 Mar 2021 GN48 - Waivers GN48 - Waivers v3_0.pdf (629.25 KB)
06 Mar 2021 GN49 - Supervisory Arrangements GN49 - Supervisory Arrangements v3_0.pdf (812.26 KB)
06 Mar 2021 GN50 - Client Application for Compensation GN50 - Client Application for Compensation v3_0.pdf (905.09 KB)
06 Mar 2021 GN51 - Client Notification regarding Clearing House GN51 - Client Notification regarding Clearing House v2.3_0.pdf (799.44 KB)
06 Mar 2021 GN52 - Complaints GN52 - Complaints v3_0.pdf (816.13 KB)
06 Mar 2021 GN53 - Pre-Negotiation GN53 - Pre-Negotiation v3.pdf (810.74 KB)
06 Mar 2021 GN54 - Firm and User Limits GN54 - Firm and User Limits v1.1_0.pdf (791.03 KB)
06 Mar 2021 GN55 - Appeals GN55 - Appeals v1 .pdf (539.47 KB)
05 Mar 2021 GN6 - What is a Significant Breach GN6 - What is a Significant Breach v3_0.pdf (954.63 KB)
05 Mar 2021 GN7 - Beneficial Owner GN7 - Beneficial Owner v3_0.pdf (830.69 KB)
18 Mar 2021 GN9 - Monitoring and Enforcing Compliance GN9 - Monitoring and Enforcing Compliance v3_0.pdf (729.02 KB)

Fees

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17 Mar 2021 Fee Schedule FGL Fee Schedule_210927.pdf (677.14 KB)