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Rules, Procedures & Guidance

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05 Mar 2021 FGL Operating Rules FGL Operating Rules v2.2.pdf (1.09 MB)
05 Mar 2021 FGL Procedures FGL Procedures v2.2.pdf (489.02 KB)
17 Mar 2021 FGL Product Determinations FGL Product Determinations-17March2021.pdf (72.88 KB)
05 Mar 2021 GN1 - Good Fame Character and Repute GN1 - Good Fame Character and Repute v3.pdf (243.96 KB)
05 Mar 2021 GN10 - Non-Disclosure of Client Order Information GN10 - Non-Disclosure of Client Order Information v3.pdf (252.46 KB)
05 Mar 2021 GN11 - Mobile Phone Usage GN11 - Mobile Phone Usage v3.pdf (193.37 KB)
05 Mar 2021 GN12 - Derivative Staff Experience GN12 - Derivative Staff Experience v3.pdf (241.93 KB)
05 Mar 2021 GN13 - Training of Directors, Officers and Derivatives Staff GN13 - Training of Directors, Officers and Derivatives Staff v3.pdf (282.72 KB)
05 Mar 2021 GN16 - Key Client Risk GN16 - Key Client Risk v3.pdf (192.32 KB)
18 Mar 2021 GN19 - Accounting and Financial Records GN19 - Accounting and Financial Records v3.1.pdf (35.01 KB)
05 Mar 2021 GN2 -Product Terminology in the Operating Rules GN2 -Product Terminology in the Operating Rules v3.pdf (195.3 KB)
05 Mar 2021 GN21 - Communications Surrounding Compliance Matters GN21 - Communications Surrounding Compliance Matters v3.pdf (310.92 KB)
05 Mar 2021 GN22 - Matching Algorithm Examples GN22 - Matching Algorithm Examples v3.pdf (311.54 KB)
05 Mar 2021 GN23 - Order Types GN23 - Order Types v3.pdf (471.78 KB)
06 Mar 2021 GN24 - Exchange for Physicals GN24 - Exchange for Physicals v3.2.pdf (283.62 KB)
06 Mar 2021 GN25 - Block Trades GN25 - Block Trades v3.2.pdf (273.95 KB)
06 Mar 2021 GN29 - Tailored Strategies GN29 - Tailored Strategies v2.2.pdf (513.8 KB)
06 Mar 2021 GN35 - Daily Settlement Price for Option Contracts GN35 - Daily Settlement Price for Option Contracts v3.pdf (248.26 KB)
06 Mar 2021 GN38 - Price Limits GN38 - Price Limits v3.1.pdf (296.24 KB)
06 Mar 2021 GN39 - Error Trades and Cancellation of Trades GN39 - Error Trades and Cancellation of Trades v3.pdf (270.52 KB)
05 Mar 2021 GN4 - Net Tangible Assets GN4 - Net Tangible Assets v3.pdf (202.25 KB)
06 Mar 2021 GN40 - Powers of the Exchange GN40 - Powers of the Exchange v3.pdf (270.58 KB)
06 Mar 2021 GN41 - Security Assistance with Electronic Access GN41 - Security Assistance with Electronic Access v3.pdf (257.62 KB)
06 Mar 2021 GN42 - Defined Strategies GN42 - Defined Strategies v3.pdf (249.84 KB)
06 Mar 2021 GN43 - System Failures and Market Halts GN43 - System Failures and Market Halts v3.pdf (250.91 KB)
06 Mar 2021 GN44 - Sweep Price Rules GN44 - Sweep Price Rules v3.pdf (308.1 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.pdf (265.72 KB)
06 Mar 2021 GN46 - Consolidation of Disciplinary Proceedings GN46 - Consolidation of Disciplinary Proceedings v3.pdf (253.41 KB)
06 Mar 2021 GN47 - Communicating with FEX Global GN47 - Communicating with FEX Global v3.pdf (224.38 KB)
06 Mar 2021 GN48 - Waivers GN48 - Waivers v3.pdf (255.58 KB)
06 Mar 2021 GN49 - Supervisory Arrangements GN49 - Supervisory Arrangements v3.pdf (309.58 KB)
06 Mar 2021 GN50 - Client Application for Compensation GN50 - Client Application for Compensation v3.pdf (263.79 KB)
06 Mar 2021 GN51 - Client Notification regarding Clearing House GN51 - Client Notification regarding Clearing House v2.3.pdf (244.65 KB)
06 Mar 2021 GN52 - Complaints GN52 - Complaints v3.pdf (379.8 KB)
06 Mar 2021 GN53 - Pre-Negotiation GN53 - Pre-Negotiation v2.2.pdf (239.76 KB)
06 Mar 2021 GN54 - Firm and User Limits GN54 - Firm and User Limits v1.1.pdf (229.07 KB)
06 Mar 2021 GN55 - Appeals GN55 - Appeals v1.pdf (160.06 KB)
05 Mar 2021 GN6 - What is a Significant Breach GN6 - What is a Significant Breach v3.pdf (383.59 KB)
05 Mar 2021 GN7 - Beneficial Owner GN7 - Beneficial Owner v3.pdf (234.09 KB)
18 Mar 2021 GN9 - Monitoring and Enforcing Compliance GN9 - Monitoring and Enforcing Compliance v3.1.pdf (41.88 KB)

Fees

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17 Mar 2021 Fee Schedule FGL Fee Schedule_210322.pdf (646.66 KB)