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You are here: home | lme services | regulation & compliance | rules notices | principle compliance notices
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Principal Compliance Notices

The LME has published the key member notices containing detailed rules in relation to regulatory and compliance matters.  These notices should be considered in conjunction with the LME Online Rulebook available from Lexis Nexis provides which access to the full database of member notices.  Member notices can also be purchased in printed form from the LME Online Store.

Lending Guidance

Ref  Title
08/429 Plastics Lending Guidance
08/178 Plastics Lending Guidance - Extension of Interim Application
08/034 Suspension of Five-Day Rule
07/170 Plastics Lending Guidance – Interim Application
07/118 Plastics Rules and Lending Guidance
05/377 Lending Guidance for Metals
98/363 Market Aberrations: The Way Forward
[October 1998] Market Aberrations: The Way Forward

Reporting and publication of information

Ref  Title
09/231 : R004 Daily Position and Other Reporting
04/087 Obligation to Input Prices into MDS
01/122 Concentration of Warrant Holdings
99/324 LME Vendor Feed System – Indicative Quotes
99/272 The Futures Banding Report and Warrant Holdings, Tom and Cash (WTC) Report
99/075 Publication of Large Futures Positions
99/064 Concentration of Warrant Holdings
98/447 Disclosure of Information on Concentration of Warrant Holdings
98/090 Reporting of Open Interest on the LME

Access to OTC Information

Ref  Title
99/256 Access to Over the Counter (OTC) Information Impacting the Official Markets

Trading, Matching, Registration and Clearing

Ref  Title
09 431 A422 Matching Rules for LMEsmart
09/397 : A389 Matching Performance
09/328:A321:R008 Consolidated Matching Rules for LMEsmart
09/081 Matching Performance
08/322 Trades Times When Using Short Codes
08/155 Compulsory Use of Short Codes for Matching
08/126 Matching Deadlines
08/081 Cleared Average Price Swaps
07/270 Matching Performance
07/068 Matching Performance
06/067 Revised Guidance on the Structure of and Order Execution on the London Metal Exchange
05/258 New Rules on Matching Deadlines
05/067 Rules on the Matching and Registration of Plastics Futures Contracts
05/002 Matching of Trades for Non-LME Business Days
03/304 Omnibus Accounts and LME Clients
[July 2003] Guidance: Client Trading on the LME
02/150 Matching Periods for and Trade Times of Trades Entered into the LME Matching and Clearing System
01/402 Rules for the Use of Trade Types for the LME Matching and Clearing System
01/305 Definition of End of Business Day for Options Declaration
01/232 Rules on the Movement of LME Positions
00/418 Registration of Client Crosses
00/384 Rules on Exchange for Physicals
00/383 Rules for LME Give-Up Agreements
00/385 Rules on Introducing Brokers
99/586 Guidance on Notice 99/486 Requirements to Distinguish LME contracts from OTC Contracts
99/486 Requirements to Distinguish LME Contracts from OTC Contracts
99/484 Rules on Historical/Original Price Carries/NMPTs
99/326 Timing of Trades Between Ring Dealing Members and other Counterparties/Customers
97/321 Non-Market Price Transactions - Standard Risk Disclosure
97/128 Automatic Declaration of Certain In-the-Money Options

Options Strike Price Gradations

Ref  Title
08/387 LME Traded Options Volatilities
08/199 Amended Options Strike Price Gradations

Financial Rules

Ref  Title
99/485 Financial Rules
94/436 Net Worth Requirement

Ring Disciplinary Code

Ref  Title
07/185 Ring Disciplinary Code

Access to Audio and Video Tapes

Ref  Title
97/432 Access to Audio and Video Tapes

LMEselect

Ref  Title
09/352 : A344 Distribution of LMEselect Data
08/444 Increase to the LME Select Order to Trade Policy Ratio
08/047 New LME Select Error Trade Policy
06/324 Order to Trade Ratio Charging Policy

Warehousing

Ref  Title
09/098 Rent Payment March 2009
98/362 Relationship Between Members and Warehouse Companies
96/019 LME Warehousing Procedures

Complaints procedures

Ref  Title
04/258 LME Complaints Officer
01/492 LME Complaints Officer
 
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