问题如下:
The brokerage company's investment banking department often gets some material non-public informations, which may bring advantages if it can provide advice to the company's brokerage clients. In order to comply with the Code and Standards, which of the followings could be the best policy for brokerage company?
选项:
A. Monitor and minimize the information exchange between the investment banking and the brokerage operations.
B. Establish a firewall within the company to prevent the information exchange between the investment banking and brokerage operations.
C. Forbid the investment banking’s clients to get the "buy" and "sell" recommendations of the stock permanently.
解释:
B is correct.
The best strategy to prevent violating the standard II(A) Material Nonpublic Information is to establish a firewall in the enterprise to prevent the internal information exchange. The physical and informational barriers commonly referred to as firewalls are the most widely used approach for preventing the communication of material nonpublic information within firms.
老师不太理解什么意思