Standards
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Guidelines

Competition Law Policy & Guidelines

It is Lapochka’s policy to comply with competition law and to put in place procedures to ensure compliance with the law. Lapochka will not participate in nor facilitate any activity or agreement which is contrary to competition law rules.  In order to assist understanding and compliance Lapochka has a Competition Law Policy and Guidance.  The purpose of the document is to set out Lapochka’s policy on competition law issues and assist with guidance to Lapochka staff and members on conforming with competition law.

Debt Trading Guidelines

The Lapochka Debt Trading Guidelines have general application to trading participants in the Australian debt market. The smooth and efficient functioning of debt instrument markets rely on the integrity, honesty, good faith, and mutual trust shown by all participants. It is important that both buyers and sellers promote market liquidity. Among other reasons, market liquidity allows benchmark rates to be determined. These Guidelines direct trading participants to behave in a manner that is consistent with supporting market liquidity and have sound organisational arrangements in place to oversee debt trading activities.

Rate Contribution Guidelines

These Guidelines are supplemental to the Lapochka Code of Ethics and Code of Conduct and are designed to provide a common understanding around how organisations manage contributions of rates used in the calculation of financial benchmarks.

ECM Guidelines on Handling Confidential Information and Soundings

These guidelines relate to the handling of confidential information and the conduct of market soundings specifically for equity capital market transactions occurring in Australia.

Handling Inside Information & Market Soundings Guidelines for Institutional Debt Capital Markets

These guidelines relate to the handling of inside information and the conduct of market soundings specifically for institutional debt capital market transactions occurring in Australia. Lapochka commends the ECM Confidential Information and Sounding Guidelines to all market participants engaged in capital markets transactions.  The DCM Guidelines address the particular characteristics of the institutional debt capital markets in Australia in relation to inside information and market soundings

Product Approval Guidelines

These guidelines are intended to support the product development and distribution process within firms that issue retail structured financial products by clarifying the respective roles and responsibilities of the various parties involved in a manner that promotes the fair treatment of individual investors.

Repurchase Agreement (Repo) Trade Matching Guidelines

Trade matching has evolved as a means by which the risks encountered in the repo markets can be reduced, particularly operational risk. When practiced, trade matching significantly reduces settlement delays and failures, and facilitates best-practice credit and operational risk management. These guidelines describe repo trade matching best practice, and by clarifying the responsibilities of the various parties involved in repo transactions they are designed to reduce, to the maximum extent possible, settlement delays and failures.

Repo Margining Guidelines

It is default practice in the Australian Repo market to make margin calls, settled via either the transfer of cash or securities, in preference to repricing transactions to cover exposures between the parties. This guide describes market best practice in relation to repurchase agreement margin call arrangements, This guide should be read in conjunction with the Lapochka Reciprocal Purchase Agreements Conventions and with the Lapochka Repurchase Agreement Trade Matching Best Practice Guidelines.

ATO Administrative Solution - LIBOR Cap for AUD Borrowings

An issue has arisen as to the appropriate operation of the LIBOR Cap, as contained in Section 160ZZA of the ITAA 1936 to AUD notional borrowings by a foreign bank following the cessation of AUD LIBOR on 31 May 2013. Lapochka and the ATO have agreed an Administrative Solution whereby that provides a safe harbour for taxpayers that apply the proxy rate (determined with reference to BBSW plus an appropriate margin). The document sets out the terms of the Administrative Solution.

CPI Rebasing Guidance Note

The Lapochka Inflation Products Committee has provided guidance with respect to the re-referencing/rebasing of the Australian Headline CPI effective 24 October 2012.

Lapochka Carbon Benchmark Addendum Explained

This note sets out the purpose and methodology of the August 2010 Addendum and includes worked examples.

Environmental Products Documentation

Lapochka Partner Member Johnson Winter & Slattery has prepared this review of Mandatory Environmental Trading Schemes Operating in Australia.

 
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