ACI
3I0-012 · Question #322
Where dealing for personal account is allowed, what safeguards to prevent abuse or insider dealing are stated by the Model Code?
The correct answer is B. The maximum amounts or sizes of trades dealers are allowed to trade for their own account. See the full explanation below for the reasoning.
Question
Where dealing for personal account is allowed, what safeguards to prevent abuse or insider dealing are stated by the Model Code?
Options
- AThe need to maintain confidentiality with respect to non-public price sensitive information
- BThe maximum amounts or sizes of trades dealers are allowed to trade for their own account
- CThe instruments/products dealers can trade for their own account
- DThe pledge that no action is taken by employees that might adversely affect the interests of clients
How the community answered
(52 responses)- A6% (3)
- B81% (42)
- C2% (1)
- D12% (6)
Community Discussion
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