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Quantitative Finance · Glosarium

Apa itu Personal account dealing, pre-clearance?

Dikenal juga sebagai: personal account dealing · pre-clearance

Definition 16.4 The Desk and the Firm · Bab 16 — Compliance and Market Abuse

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.

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