The use of a watch list in combination with a restricted list is an increasingly common means of ensuring effective control of personal trading
请解释下watch list 和restricted list的区别，谢谢！另，教材是否有哪部分讲明分析师个人交易需要多久对公司汇报一次？我记得好像有相关规定，但是没有找到。
韩韩_品职助教 · 2018年04月27日
a watch list shown to only the few people responsible for compliance should be used to monitor transactions in specified securities. watch list是专门给合规人员用来监管分析师等人对名单中的特定股票的交易来用的。
restricted list Securities should be placed on a restricted list when a firm has or may have
material nonpublic information. 是如果有MNI，只能发表事实观点，不能做出推荐。
每次交易前都要进行申报，每个季度都需要提交一次交易记录报告。