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- UID
- 223296
- 帖子
- 248
- 主题
- 140
- 注册时间
- 2011-7-11
- 最后登录
- 2016-4-19
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| so let's say regardless of that inquiry from his client... would it be appropriate if the broker approches his compliance officer as soon as he receives the material non-public information to put the stock on the restricted list, to avoid conflicts of interest in the future? |
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发表于 2011-7-13 16:16
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