Ethical Conduct in Financial Markets

About

ACI have always encouraged its membership to acknowledge, respect and adhere to principles of ethical behaviour. ACI has been an active part of the evolution towards the new global standards being developed by the BIS Single FX Code and the FICC Market Standards Board, for global adherence. We are proud to endorse this work.

Historically ACI developed The ACI Model Code: which represents behavioural expectations when operating within Financial Markets from Front Office, Middle Office and Back office staff. Globally ACI has retained support for this initiative from not only our membership and the institutions they represent, but also from Central Banks and Regulators.

The new Global Code is expected to be launched at the end of May 2017, and ACI is well positioned to offer both its members and the financial markets solutions to tangibly measure adherence to the Principles of the New Code. ACI is in full support of the initiative by the BIS to develop this code in partnership with market practitioners globally and looks forward to continuing to support ethical behavioural practices in the future.

ELAC-Portal

ELAC  — E Learning Attestation and Certification portal allows individuals to demonstrate adherence to the Code of Conduct on a continuous basis through a Personal Accreditation rating (PAR).

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For Institutions & Individuals

Partnering with the ACI can substantially add to the image of your institution as one that embraces the top global values so important to clients today.

The contribution ACI corporate customers and ACI individual members make to the improvement of the financial services industry, and the overall leadership that these companies provide, is widely recognised.

  1. Central banks
  2. Consulting firms
  3. Broker-dealers
  4. Service providers
  5. Government / Regulatory Agencies
  6. Academia

By implementing our ACI Code of Conduct Complience Pack or by sponsoring the code of conduct programme, you are assisting the entire wholesale financial services to improve its behaviour and embed the cultural norms that you expect of your staff. While ACI encourages organisations to do their utmost to set the “Tone From The Top”, it is up to individual staff members and their supervisors to hold themselves to the standard, and to be accountable accordingly. 

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ACI MEMBERSHIP BENEFITS

Committee for Professionalism

CFP (The Committee For Professionalism) is an ACI committee of Market practitioners that represent deep experience within all aspects of Financial Market Participation. The CFP is responsible for oversight and review of the cases and questions to measure delegate understanding of practicle applications suggested in the principles discussed in The Global Code of Conduct.

Additionally the CFP offers guidance to professionals in a dispute, and is willing and able to provide suggestions for resolution. The Chair of the ACI CFP is sometimes called as an expert witness in certain cases.