money-laundering-----反洗錢
2 Investment process and actions(投資流程和行為)
在操縱市場上的限制
market manipulation is illeagal
transaction-based manipulation?
information-based manipulation (信息操縱)
Recommendations and Guidance
deal fairly and objectively with clients
Have a reasonable and adequate basis for investment decisions
when managing a forfolio or pooled fund accounting to a specific mandate strategy, or style
when managing a separate accounts and before providing ?investment advice or taking investment action on behalf of the client
