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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
 10/170 : A165 : R006 Explanation Of Metal Lending Guidance
 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
 10/240 : R233 Member Indicative Quotes - Confirmation
 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

LMEsword

Ref  Title
 10/131 : A126 LMEsword – Operating Procedures
  LMEsword Operating Procedures

Warehousing

Ref  Title
 10/082 Rent Payment March 2010
 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 Procedure
 
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