Alle boeken

Professioneel

Apps Over Coach Inloggen Begin met lezen

Quantitative Finance · Begrippenlijst

Wat is Personal account dealing, pre-clearance?

Ook bekend als: personal account dealing · pre-clearance

Definition 16.4 The Desk and the Firm · Hoofdstuk 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.

Lees in het hoofdstuk →