Compliance with lawsand regulationsCOMPLIANCE WITH LAWSMercuria’s businesses and activities stretch faracross the globe and fall within the scope ofmany different authorities and jurisdictions.Mercuria requires all of its activities to be incompliance with all of the laws, rules andregulations applicable to it, including thosein the physical and financial markets in whichMercuria operates and trades. Mercuria worksin an open and co-operative way with all ofthe authorities that regulate its businesses.“We Comply withAll Applicable Laws,Rules and Regulations”Our employees must always know and understand the local and international laws, rulesand regulations that apply to them and their activities. Any real or potential conflicts amongany of the various laws that apply to our activities should be brought to the attention ofCompliance, Legal or Management immediately.In addition to complying with Mercuria’s Code, our employees are expected to be vigilantover the conduct of our counterparts. Facilitating any party to breach applicable lawscould result in legal consequences and serious reputational damage to our company. Anysuspicions that a counterpart is conducting its activities in violation of any laws, rules orregulations should be taken to Compliance or Legal immediately.MARKET ABUSEMarket abuse is behaviour in a financial or physical market that involves market manipulationor the misuse of confidential information. Market manipulation includes behaviour thathas the effect of artificially distorting or affecting the supply, demand and / or price of acommodity or creating an artificial squeeze on a market. Market abuse can be intentionalor unintentional and can be the result of action or inaction. Any number of activities inphysical commodity markets can be considered a market abuse under many of the globalmarket-abuse regulations, especially if they have an impact on a financial commodity market.Breaches of market-abuse regulations can lead to criminal prosecution in many jurisdictions.Mercuria expects all of its employees to behave and trade in a way that is appropriate andin compliance with market-abuse rules and regulations. All employees should be familiarwith the market-abuse rules and regulations applicable to their activities and should act inaccordance with them at all times.5
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