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Quantitative Finance · Glosarium

Apa itu Restricted list, watch list?

Dikenal juga sebagai: restricted list · watch list

Definition 16.5 The Desk and the Firm · Bab 16 — Compliance and Market Abuse

A restricted list names the instruments in which the firm and its employees may not trade, or may trade only with approval, usually because the firm holds inside information about the issuer and says so publicly or to its staff. A watch list names, confidentially and for compliance only, the instruments about which some part of the firm holds inside information, so that trading in them anywhere in the firm can be monitored without revealing the information.

A year of personal-trade requests by decision: 1 215 requests, 964 approved; four in five refusals are for names the firm traded in the two days before. Data: fm_compliance.reasons.
Figure 16.3. A year of personal-trade requests by decision: 1 215 requests, 964 approved; four in five refusals are for names the firm traded in the two days before. Data: fm_compliance.reasons.
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