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Strengthening Principles & Code of Conduct Standards in FX Markets

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Principle 5: Risk Management & Compliance

Risk Management & Compliance: FX Market Participants are expected to promote and maintain a strong environment of compliance and control.

“Market Participants are expected to promote and maintain a robust control and compliance environment to effectively identify, measure, monitor, manage, and report on the risks associated with their engagement in the FX Market”

Phase 1: Material for Global FX Code May 2016, FXWG

Principle 5 of the FX Global Code:

Participants in FX Markets are expected to both promote and to maintain a strong environment of compliance and control, one that effectively:

upon the risks associated with their participation in the Foreign Exchange Market.

It is expected that additional guidance relating to Principle 5: Risk Management & Compliance will be published in Phase 2 of The Global Code of Conduct, expected in May 2017.


“Market Participants are expected to promote and maintain a robust control and compliance environment to effectively identify, measure, monitor, manage, and report on the risks associated with their engagement in the FX Market”

Phase 1: Material for Global FX Code May 2016, FXWG






Related Reading:


Risk Management & Compliance

FX Market News

Principle 6: Confirmation & Settlement Process

Principle 4: Execution

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