[CFA入门] 请教一下关于report to regulatory authority和restricted list的问题~~~ report, 问题, require, restricted, regulatory

hakunamatata

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！！！！

angelawangxt

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