Titanium Media App reported on July 19 that the Compliance Management and Integrity Professional Committee of the Securities Association of China recently conducted a survey on the implementation of the Guidelines for the Information Separation Wall System of Securities Companies. The survey found that some securities companies have certain problems in list management and cross-wall management. In terms of list management, a few brokerages advance the entry time of the restricted list to the date of approval of the project, sign a non-disclosure agreement, or enter the market for work, whichever is earlier (i.e., watch list requirements). The management and implementation standards are stricter, but because the restricted list is not a confidential list, the timing of placing orders is moved forward too much, which may lead to the leakage and improper flow of inside information. (Source: China Securities Journal)
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