Where Dealing for Personal Account Is Allowed, What Safeguards to Prevent

question 408

Multiple Choice

Where dealing for personal account is allowed, what safeguards to prevent abuse or insider dealing are stated by the Model Code?

• A) The need to maintain confidentiality with respect to non-public price sensitive information
• B) The maximum amounts or sizes of trades dealers are allowed to trade for their own account
• C) The instruments/products dealers can trade for their own account
• D) The pledge that no action is taken by employees that might adversely affect the interests of clients or counterparties

Distinguish between different health insurance policies based on coverage and benefits.

Recognize the importance and mechanisms of cost-sharing in health insurance.

Identify which health insurance plans may not fully cover medical care bills.

Understand the role of employers in providing group health insurance plans.

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Definitions:

Economic Factors

Elements that influence the economy of a region or country, including inflation, unemployment, and interest rates.

Collectivities

Groups or entities that individuals belong to, which have collective goals, interests, or identities.

Interacting People

The process by which individuals communicate, influence, and relate to one another within a society.

Decentralizing Decision-making

involves distributing authority for decision-making from a central figure or location to individuals or units at various levels within an organization or system.