ACI
3I0-012 · Question #325
Management has a specific responsibility to issue guidelines to staff on transacting after-hours and off-premises. Which of the following does the Model Code suggest?
The correct answer is C. There should be clear written guidelines regarding the limit and type of deals that are permitted after. See the full explanation below for the reasoning.
Question
Management has a specific responsibility to issue guidelines to staff on transacting after-hours and off-premises. Which of the following does the Model Code suggest?
Options
- ADealing should only be allowed during normal trading hours.
- BIt is not recommended that an unofficial close of business be specified for each trading day.
- CThere should be clear written guidelines regarding the limit and type of deals that are permitted after
- DAll after-hours and off-premises transactions must be dealt exclusively with the dealer's personal mobile
How the community answered
(30 responses)- A17% (5)
- B3% (1)
- C73% (22)
- D7% (2)
Community Discussion
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