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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.

We seek to ensure that:

  • 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

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