Management Has a Specific Responsibility to Issue Guidelines to Staff

question 530

Multiple Choice

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?

• A) Dealing should only be allowed during normal trading hours.
• B) It is not recommended that an unofficial close of business be specified for each trading day.
• C) There should be clear written guidelines regarding the limit and type of deals that are permitted after normal hours or off-premises.
• D) All after-hours and off-premises transactions must be dealt exclusively with the dealer's personal mobile phones

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