ICMA’s lead manager constituency regularly discusses issues relating to conduct of business rules and responds to regulatory consultations in this area. See also distinct MiFID II/R in primary markets webpage.
General materials
10 January 2024
ICMA Quarterly Report article: ICMA response to HK SFC market soundings consultation
11 December 2023
ICMA response to HK SFC consultation on proposed guidelines for market soundings
(For market soundings in Europe, see the Market Abuse Regulation (MAR) - Primary Market Aspects webpage)
15 February 2022
ICMA response to Monetary Authority of Singapore Consultation Paper P020-2021 - Introduction of Due Diligence Requirements for Corporate Finance Advisers
7 May 2021
ICMA response to HK SFC consultation on a proposed bookbuilding & placing code of conduct
14 February 2020
ICMA public comment on IOSCO’s December 2019 Consultation Report: Conflicts of interest and associated conduct risks during the debt capital raising process (CR05/2019)
29 March 2018
ICMA public comment on IOSCO’s Consultation Report on conflicts of interest and associated conduct risks in equity capital raising
September 2018
ICMA Primary Market Handbook Appendix A12, Pre sounding, bookbuilding and allocations (subsequently amended)
10 May 2004
IPMA/ISMA/BBA Joint Guidance Paper
UK (FEMR/FMSB and FCA competition) reviews
16 March 2021
ICMA response to the FMSB transparency draft standard for the sharing of investor allocation information in the fixed income primary markets
31 August 2018
ICMA response to the FMSB transparency draft Statement of Good Practice on Information & Confidentiality for the Fixed Income and Commodities markets
20 December 2017
ICMA response to FMSB’s Transparency Draft Risk Management Transactions for New Issuance
17 January 2017
ICMA response to FMSB’s Transparency Draft New Issue Process standard for the Fixed Income markets
25 May 2016
ICMA response to the UK FCA’s Investment and corporate banking market study Interim report (MS15/1.2)
14 January 2015
ICMA response to Fair and Effective Markets Review consultation
6 October 2014
ICMA response to the UK FCA’s Wholesale sector competition review – Call for input
Contact:
Ruari Ewing
Senior Director, Market Practice and Regulatory Policy; secretary to the ICMA Primary Market Practices Committee and related groups.
Direct line: +44 20 7213 0316
