Personal account dealing is trading by employees for their own accounts or accounts they control or benefit from. Pre-clearance is the requirement that an employee obtain the compliance function’s approval before a personal trade, which is refused if the instrument is restricted, if the firm is trading or about to trade it, if a minimum holding period has not passed, or if the employee holds inside information about it.
Quantitative Finance · Glosarium
Apa itu Personal account dealing, pre-clearance?
Dikenal juga sebagai: personal account dealing · pre-clearance