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- 2011-7-2
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- 2015-11-28
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2#
发表于 2013-4-2 12:35
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As a candidate or charterholder you can’t disadvantage a client by front running on a trade or using information about a company BEFORE you first let the client in on the information (think client before self).
Preclearance procedures ensure that the firm gets to look at employee trades before they are executed to be sure that none of the above violations take place. |
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