Where dealing for personal account is allowed, what safeguards to prevent abuse or insider dealing are stated by the Model Code?

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
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