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

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