Stock Exchange Agreements are essential documents used to establish and regulate the relationship between a stock exchange and its member firms. These agreements, governed by English and Welsh law, set out the comprehensive framework for trading activities, including membership criteria, trading rules, compliance requirements, and operational procedures. The Stock Exchange Agreement ensures alignment with UK financial regulations and provides clear guidelines for all market participants, while protecting the interests of both the exchange and its members.
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1. Parties: Identification of the contracting parties and their registered details
2. Background: Context and purpose of the stock exchange agreement
3. Definitions: Key terms and their meanings used throughout the agreement
4. Trading Rules: Core rules governing trading activities on the exchange including order types, matching rules, and trading procedures
5. Membership Requirements: Eligibility criteria, obligations, and responsibilities of exchange members
6. Trading Hours and Operations: Operating hours, trading sessions, and operational procedures
7. Fees and Charges: Financial obligations, fee structure, and payment terms for members
8. Compliance Requirements: Regulatory compliance obligations and reporting requirements
9. Market Surveillance: Monitoring procedures and mechanisms to ensure fair trading
10. Termination Provisions: Circumstances and procedures for termination of membership or agreement
1. Cross-Border Trading: Rules and procedures for international trading activities
2. Technology Requirements: Technical specifications and requirements for electronic trading systems
3. Market Maker Obligations: Specific rules and obligations for designated market makers
4. Derivatives Trading: Specific provisions for trading derivative instruments
5. Dispute Resolution: Procedures for handling disputes between members or with the exchange
1. Schedule 1 - Fee Schedule: Detailed breakdown of all applicable fees, charges, and payment terms
2. Schedule 2 - Trading Hours: Detailed trading hours including holidays and special trading sessions
3. Schedule 3 - Technical Requirements: Detailed technical specifications for connection to trading systems
4. Schedule 4 - Membership Application Form: Standard form and documentation required for membership applications
5. Schedule 5 - Compliance Procedures: Detailed compliance requirements, reporting procedures, and regulatory obligations
6. Schedule 6 - Risk Management Procedures: Detailed procedures for managing trading risks and market exposure
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