ACI
3I0-012 · Question #322
3I0-012 Question #322: Real Exam Question with Answer & Explanation
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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
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