求解，什么时候进restricted list

是 否 +2 论坛币

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Refusing to make the trade he was instructed to make would be "acting" on the information in this case.

答案选B， 难到有了material nonpublic info 放进restricted list 拒绝交易也不行么
trade的话不算 violate loyal to client 么
是不是practice exam 不用做了。。。

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关键词：Restricted list Rest Est ICT restricted

ding...

11111

II(A)里Recommended Procedures for Compliance中Proprietary Trading Procedures有如下原文：
A prohibition on all types of proprietary activity when a firm comes into possession of material nonpublic information is not appropriate.
又在Achieve Public Dissemination中要求the member or candidate should make reasonable efforts to achieve public dissemination of the information. ...... must not take investment action or alter current investment recommendations on the basis of the information. ......

sailingly 发表于 2013-5-27 12:17
II(A)里Recommended Procedures for Compliance中Proprietary Trading Procedures有如下原文：
A prohibit ...

亲，你这是要我费阿....55555~~~