Last Updated on January 29, 2022 by Admin 3
Where dealing for personal account is allowed, what safeguards to prevent abuse or insider dealing are stated by the Model Code?
- The need to maintain confidentiality with respect to non-public price sensitive information
- The maximum amounts or sizes of trades dealers are allowed to trade for their own account
- The instruments/products dealers can trade for their own account
- The pledge that no action is taken by employees that might adversely affect the interests of clients or counterparties