标题: [CFA入门] 请教一下关于report to regulatory authority和restricted list的问题~~~ [打印本页]
作者: hakunamatata 时间: 2009-11-29 11:32 标题: 请教一下关于report to regulatory authority和restricted list的问题~~~
是不是Code and Standards不require report to regulatory authority啊？？
另外谁能通俗地讲下什么情况下要用到restricted list？？
谢谢！！！！
作者: angelawangxt 时间: 2009-11-30 10:18
report to regulatory authority是recommend，不是require。
restricted list应该是针对雇主的吧，insider trading prevented by : firewalls, watch list, restricted list
不知我的理解对不对
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