Industry Guidelines, Standard Forms and Documents

All

  • 19 Jan 2017

    AFME MiFID II Exchange Questionnaire (43 kb)

  • 21 Dec 2016

    AFME Model – Selling Restrictions for Equity (EEA and UK) (192 kb)

  • 08 Dec 2016

    AFME Post Trade Due Diligence Questionnaire (158 kb)

  • 22 Sep 2016

    AFME Position Paper CRR2 Possible modifications of LE framework (484 kb)

  • 22 Sep 2016

    AFME Position Paper IFRS9 vs CRD4 CRR Capital Requirements (540 kb)

  • 01 Aug 2016

    AFME model clauses for contractual recognition of bail-in (4.43 mb)

  • 04 Jul 2016

    Electronic Trading Information Platform (250 kb)

  • 04 Jul 2016

    Practices and Procedures with Respect to Research Meetings/Material Prior to the Award of a Capital Markets Mandate (445 kb)

  • 18 May 2016

    AFME Market Abuse Regulation - Industry Outreach Session (72 kb)

  • 13 Apr 2016

    Information Statement in accordance with Article 15 of the Securities Financing Transactions Regulation (92 kb)

  • 07 Apr 2016

    AFME Recommended Market Practices Disclosure by Issuers of Non-Investment Grade Debt Securities (68 kb)

  • 07 Apr 2016

    AFME Recommended Listing Practices for Non-Investment Grade Debt Securities (125 kb)

  • 07 Apr 2016

    AFME Standard Form Agreement Among Initial Purchasers (English Law Version) (98 kb)

  • 07 Apr 2016

    AFME Standard Form Book-Entry Delivery and Form - Option I (102 kb)

  • 07 Apr 2016

    AFME Standard Form Book-Entry Delivery and Form - Option II (99 kb)

  • 07 Apr 2016

    AFME Standard Form Book-Entry Delivery and Form - Option III (157 kb)

  • 07 Apr 2016

    AFME Standard Form Notice to Investors (98 kb)

  • 07 Apr 2016

    AFME Standard Form Plan of Distribution (90 kb)

  • 07 Apr 2016

    AFME Standard Form Transfer Restrictions (83 kb)

  • 07 Apr 2016

    AFME Standard Form Agreement Among Initial Purchasers (New York Law Version) (136 kb)

  • 23 Mar 2016

    AFME recommendations for TARGET2-Securities Settlement (126 kb)

  • 16 Mar 2016

    AFME Block Trade Procedures – Volcker Rule/Investment Company Act (90 kb)

  • 14 Mar 2016

    Block Trade Procedures – Volcker Rule/Investment Company Act (90 kb)

  • 11 Feb 2016

    AFME and The Investment Association's EEA electronic trading systems and controls statement (169 kb)

  • 11 Feb 2016

    AFME and The Investment Association's EEA equities electronic order handling questionnaire (100 kb)

  • 11 Feb 2016

    AFME and The Investment Association's EEA equities electronic order handling questionnaire (107 kb)

  • 25 Aug 2015

    AFME and The Investment Association's code of conduct for IOIs (4.17 mb)

  • 09 Feb 2015

    CAJWG Explanatory Memorandum (61 kb)

  • 24 Jul 2014

    Modifications without direct noteholder consent: wording for inclusion in terms and conditions (688 kb)

  • 02 Jul 2014

    Block trade lock-ups Guidelines for increased transparency (335 kb)

  • 09 Feb 2014

    Market Standards for Corporate Actions Processing Q and A March 2014 (1.70 mb)

  • 17 Jan 2014

    Joint Trade Association letter re: Legal Entity Identifier codes (114 kb)

  • 26 Nov 2013

    AFME Standard Publicity Guidelines (44 kb)

  • 24 Oct 2013

    AFME Model Block Trade Agreement (Backstop) (138 kb)

  • 24 Oct 2013

    AFME Model Block Trade Agreement (138 kb)

  • 24 Oct 2013

    AFME ECM Model Block Trade Agreements - explanatory memo (134 kb)

  • 13 Jul 2013

    Standard Form Anti-Corruption Representations (94 kb)

  • 01 Jul 2013

    Business Process Requirements Document: Triparty (CFD) Matching and CCP Clearing Requirement Specification (982 kb)

  • 08 Dec 2012

    AFME ECM division form confidentiality agreement for listed issuers - First Published on 8.12.09 (492 kb)

  • 16 Nov 2012

    AFME The EMEA ECM Model Agreement Among Underwriters (Equities - English Law) (315 kb)

  • 12 Jul 2012

    AFME Standard Form Anti-Corruption Representations (243 kb)

  • 01 Jul 2012

    AFME Recommended Market Practices Disclosure by Issuers of Non-Investment Grade Debt Securities (63 kb)

  • 26 Apr 2012

    BPRD: Broker Matching Solutions (476 kb)

  • 26 Apr 2012

    BPRD: Bilateral Netting via a Vendor Solution (727 kb)

  • 26 Apr 2012

    BRPD: Broker Netting via a CCP Solution (703 kb)

  • 02 Jan 2012

    AFME ECM Research Guidelines 5 - First Published on 1.01.01 (543 kb)

  • 02 Jan 2012

    AFME Form Confidentiality Agreement for Block Trades - First published on 8.12.09 (500 kb)

  • 02 Jan 2012

    AFME Market Standards for Corporate Actions Processing, revised version 2012 (232 kb)

  • 01 Dec 2011

    AFME Recommended Market Practices Disclosure by Issuers of Non-Investment Grade Debt Securities (53 kb)

  • 11 Nov 2011

    AFME Standard Form: Agreement Among Initial Purchasers (English Law) (148 kb)

  • 01 Nov 2011

    AFME Standard Form: High Yield Publicity Guidelines (51 kb)

  • 15 Aug 2011

    AFME Agreement Among Initial Purchasers (131 kb)

  • 01 Feb 2011

    AFME Credit Price Discovery & Market Data Guide (759 kb)

  • 01 Feb 2011

    AFME Credit Price Discovery & Market Data Guide (759 kb)

  • 28 Jan 2011

    AFME Global FX Division requests discussions with interested parties concerning the establishment of a trade repository for foreign exchange transactions (182 kb)

  • 24 Sep 2010

    AFME Signed OTC Protocol Documents (41 kb)

  • 22 Sep 2010

    AFME OTC Cash Equity Trades - default protocol (71 kb)

  • 11 Jan 2010

    AFME Industry Good Practice Guidelines on Pillar 3 disclosure requirements for Securitisation (Updated) (145 kb)

  • 04 Jan 2010

    AFME Industry Guidance Maintenance of Wholesale Customer data (work in progress) (325 kb)

  • 08 Dec 2009

    AFME ECM Division Form Confidentiality Agreement for Listed Issuers (96 kb)

  • 08 Dec 2009

    AFME ECM SFD Form Confidentiality Agreement for Block Trades (492 kb)

  • 27 Nov 2009

    AFME Market Standards for Corporate Actions Processing (254 kb)

  • 05 Oct 2009

    EPDA Best Practices for Auction Systems (66 kb)

  • 01 Sep 2009

    AFME EPDA Electronic Inter-Dealer Market Trade Cancellation Procedure Recommendations (66 kb)

  • 10 Jun 2009

    SIFMA Guidelines for Compensation (34 kb)

  • 06 Apr 2009

    AFME Guidelines on disclosure practices for High Yield Issuers in Light of Current Market Conditions (57 kb)

  • 11 Dec 2008

    Joint EFAMA/ ESF/ IMA Asset Management Industry Guidelines To Address Over-Reliance Upon Ratings (97 kb)

  • 01 Dec 2008

    AFME Eurozone Trading hours & calendar recommendations - cash trading of eurozone government bonds (35 kb)

  • 01 Dec 2008

    AFME EHYA Closing Memorandum (364 kb)

  • 01 Dec 2008

    AFME EHYA Standard Form: Book-Entry Delivery & Form - Option I (252 kb)

  • 01 Dec 2008

    AFME EHYA Standard Form Book-Entry Delivery & Form - Option II (253 kb)

  • 01 Dec 2008

    AFME EHYA Standard Form Book-Entry Delivery & Form - Option III (262 kb)

  • 01 Dec 2008

    AFME EHYA Standard Form Due Diligence Request List (269 kb)

  • 01 Dec 2008

    EHYA Standard Form Notice to Investors (285 kb)

  • 01 Dec 2008

    AFME EHYA Standard Form Plan of Distribution (246 kb)

  • 01 Dec 2008

    AFME EHYA Standard Form Transfer of Restrictions (233 kb)

  • 01 Dec 2008

    AFME ESF combined uniform CRA reporting templates for UK Non-Conforming RMBS (63 kb)

  • 01 Dec 2008

    AFME ESF Credit Rating Agency Unified Template for UK Non-Conforming (52 kb)

  • 01 Dec 2008

    AFME ESF Prime RMBS Standardised Reporting Template (75 kb)

  • 01 Dec 2008

    AFME ESF Prime RMBS Standardised Reporting Template (PDF) (84 kb)

  • 01 Dec 2008

    Recording Telephone conversations and electronic communications under COBS 11.8 - Guidelines (134 kb)

  • 01 Dec 2008

    ESF RMBS Issuer Principles for Transparency and Disclosure (236 kb)

  • 16 Sep 2008

    AFME EPDA Recommendation for Quotation performance measurement systems in the Government bond market (30 kb)

  • 02 Jul 2008

    Ten Industry Initiatives to Increase Transparency in the Securitisation Market: Executive Summary (111 kb)

  • 30 Jun 2008

    AFME Industry Good Practice Guidelines on Pillar 3 disclosure requirements for Securitisation (454 kb)

  • 01 Jun 2008

    Issuer and Investor Transparency Initiatives (482 kb)

  • 08 Feb 2008

    Summary of European Industry Commitments to the European Commission Regarding Transparency in the European Securitisation Market (126 kb)

  • 01 Jan 0001

    AFME and The Investment Association's EEA electronic trading systems and controls statement (179 kb)

  • 01 Jan 0001

    AFME Standard Form: Research Guidelines (184 kb)