Please familiarise yourself with the following important market standards and disclosure documents. The information will be updated from time to time so we encourage you to review the content prior to entering into a transaction.

Regulatory Disclosures

Sales and Trading Practices

These letters explain the nature of the trading relationship between wholesale customers and the NAB Markets business and discloses our practices in relation to certain terms of dealing (including execution and management of conflicts of interest) with NAB where NAB acts as a dealer or counterparty on a principle basis.

FX Sales and Trading Practices (PDF, 1,557KB)

Markets Wholesale Disclosure Letter July 2018 (PDF, 153KB)

Australian Market Product Information

NAB Business Markets Loan

Foreign Exchange and Financial Markets

Commodities

Fixed Income and Debt Securities

Equity Investing

Tailored Deposits

Dodd-Frank Disclosure

NAB is a provisional registered non-U.S. Swap Dealer and has adhered to the August 2012 and March 2013 ISDA Protocols. The Dodd Frank Swap Disclosures contain disclosure information for in-scope customers and transactions.

MiFID II and other European Economic Area information

NAB London is subject to the updated Markets in Financial Instruments Directive (MiFID II). Customer information on MiFID II is contained here.

Market Statements

FMSB Statement of Commitment

The FICC Markets Standards Board (“FMSB”) was established in 2015 as a private sector response to the conduct problems revealed in global wholesale Markets after the global financial crisis. We are a member of FMSB and have signed a Statement of Commitment in relation to Reference Price Transactions.

FMSB Statement of Commitment (PDF, 46 KB)

FX Global Code of Conduct

On 21st December 2017 NAB committed to adopt and comply with the Foreign Exchange Global Code of Conduct when it comes in to effect in May 2018. NAB signed a statement of commitment to the Code which is a set of principles that guides good practice and effective functioning of the wholesale foreign exchange market.

FX Global Code of Conduct (PDF, 251KB)

UK Money Markets Code

On 8th January 2018 NAB London signed a statement of commitment to adhere to the principles of the UK Money Markets Code (‘the Code’). The Code was developed to promote the integrity and effective functioning of the UK Money Markets and is intended to promote an open, fair, effective and transparent market.

UK Money Markets Code (PDF, 243KB)

Global Precious Metals Code

NAB became a full member of the London Bullion Markets Standards Board on 17th July 2017. On 3rd May 2018, NAB signed a statement of commitment to the Code, which sets out the standards and best practice expected from participants in the global Over the Counter (OTC) wholesale market for Precious Metals.

Statement of Commitment (PDF, 202KB)

Have a question?

If you have any questions about our financial markets regulatory disclosures, please email us at Markets.Management.Assurance@nab.com.au

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