- Compliance
- Group Policies
Compliance
Group policies
Forty policies, each with an owner, a version, an effective date and a review cycle. Every policy is published in full and as a document.
Financial crime
- Anti-Money Laundering and Counter-Terrorist FinancingIGC-FC-001 · v6.1 · effective 2025-03-03
- Know Your Client and Client Due DiligenceIGC-FC-002 · v5.3 · effective 2025-06-16
- Sanctions and EmbargoesIGC-FC-003 · v4.0 · effective 2026-02-09
- Anti-Bribery and CorruptionIGC-FC-004 · v3.4 · effective 2024-11-18
- Fraud Prevention and DetectionIGC-FC-005 · v2.6 · effective 2025-09-08
- Prevention of the Facilitation of Tax EvasionIGC-FC-006 · v3.1 · effective 2024-05-13
- Financial Crime Training and CompetenceIGC-FC-007 · v4.2 · effective 2026-01-13
Conduct and clients
- Client Classification and EligibilityIGC-CC-001 · v5.0 · effective 2025-04-21
- Suitability and AppropriatenessIGC-CC-002 · v3.7 · effective 2026-03-10
- Conflicts of InterestIGC-CC-003 · v4.5 · effective 2025-11-24
- Complaints HandlingIGC-CC-004 · v3.2 · effective 2022-09-01
- Client Assets and Client MoneyIGC-CC-005 · v2.4 · effective 2022-11-01
- Fair Treatment of ClientsIGC-CC-006 · v2.1 · effective 2023-06-01
- Marketing and Financial PromotionsIGC-CC-007 · v3.0 · effective 2022-06-01
- Cross-Border Services and PerimeterIGC-CC-008 · v2.0 · effective 2024-01-01
Markets and trading
- Market Abuse PreventionIGC-MT-001 · v3.3 · effective 2022-04-01
- Best ExecutionIGC-MT-002 · v2.2 · effective 2023-04-01
- Personal Account DealingIGC-MT-003 · v4.0 · effective 2022-02-01
- Information Barriers and Inside InformationIGC-MT-004 · v3.1 · effective 2022-08-01
- Valuation of InvestmentsIGC-MT-005 · v2.5 · effective 2023-09-01
- Order Handling and AllocationIGC-MT-006 · v2.2 · effective 2023-04-01
Data and technology
- Data Protection and PrivacyIGC-DT-001 · v3.1 · effective 2022-10-01
- Information SecurityIGC-DT-002 · v3.3 · effective 2022-11-01
- Records Management and RetentionIGC-DT-003 · v2.4 · effective 2022-06-01
- Model Risk ManagementIGC-DT-004 · v3.0 · effective 2023-02-01
- Artificial Intelligence GovernanceIGC-DT-005 · v2.0 · effective 2024-03-01
- Third-Party Risk and OutsourcingIGC-DT-006 · v2.5 · effective 2023-01-01
- Business Continuity and Disaster RecoveryIGC-DT-007 · v3.1 · effective 2022-08-01
Governance and risk
- Risk Appetite FrameworkIGC-GR-001 · v4.0 · effective 2022-03-01
- Liquidity and FundingIGC-GR-002 · v3.2 · effective 2022-05-01
- Operational ResilienceIGC-GR-003 · v2.1 · effective 2024-04-01
- Whistleblowing and Speaking UpIGC-GR-004 · v3.0 · effective 2023-09-01
- Regulatory Reporting and EngagementIGC-GR-005 · v3.4 · effective 2022-10-01
- Internal Audit CharterIGC-GR-006 · v3.0 · effective 2022-06-01