We aim to support and empower a healthy and successful financial system, where firms can thrive and consumers can place their trust in transparent and open markets.

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We seek to ensure that:

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• senior management are accountable for their capital markets activities, including principal and agency responsibilities

• there is a positive culture of proactively identifying and managing conflicts of interest

• there is orderly resolution and return of client assets

• firms’ business models, activities, controls and behaviour maintain trust in the integrity of markets and do not create or allow market abuse, systemic risk or financial crime

• market efficiency, cleanliness and resilience is delivered through transparency, surveillance and the supervision of infrastructures, as well as their principal users

• firms, acting as agents on behalf of their clients, put clients’ best interests at the heart of their businesses

• we intervene early in wholesale markets to mitigate the risk of harm being transmitted to retail consumers