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I received an e-mail from my job stating "As a 'Fund Service' employee you are required to report your brokerage accounts that you directly and/or indirectly own and the individual holdings within those accounts"
Doesn't seem right to me.
"Flutie was better than Kelly, Elway, Esiason and Cunningham." - Ben Kenobi
"I have nothing against Wilson, but he's nowhere near the same calibre of QB as Flutie. Flutie threw for 5k+ yards in the CFL." -Ben Kenobi
Um, isn't that to prevent self dealing or steering clients to fund that you are invested in?
In which case, why isn't it right?
“I give you a new commandment, that you love one another. Just as I have loved you, you also should love one another. By this everyone will know that you are my disciples, if you have love for one another.”
- John 13:34-35 (NRSV)
Um, isn't that to prevent self dealing or steering clients to fund that you are invested in?
In which case, why isn't it right?
I don't work in client services.
"Flutie was better than Kelly, Elway, Esiason and Cunningham." - Ben Kenobi
"I have nothing against Wilson, but he's nowhere near the same calibre of QB as Flutie. Flutie threw for 5k+ yards in the CFL." -Ben Kenobi
1) only have a brokerage account with my employer
2) pre-clear all trades through compliance
3) only trade a limited set of instruments (no futures, fx, etc)
4) only trade in equities and debt not on the firm's blacklist
5) hold all positions for more than 30 days
I'm under similar restrictions at my new employer as well.
1) only have a brokerage account with my employer
2) pre-clear all trades through compliance
3) only trade a limited set of instruments (no futures, fx, etc)
4) only trade in equities and debt not on the firm's blacklist
5) hold all positions for more than 30 days
I'm under similar restrictions at my new employer as well.
Yeah I can only have a brokerage account with approved broker dealers. WTF?
You'd think they would have told me this stuff before 6 months into the job.
"Flutie was better than Kelly, Elway, Esiason and Cunningham." - Ben Kenobi
"I have nothing against Wilson, but he's nowhere near the same calibre of QB as Flutie. Flutie threw for 5k+ yards in the CFL." -Ben Kenobi
Yeah I can only have a brokerage account with approved broker dealers. WTF?
You'd think they would have told me this stuff before 6 months into the job.
Or you coulda thought to ask
"I hope I get to punch you in the face one day" - MRT144, Imran Siddiqui
'I'm fairly certain that a ban on me punching you in the face is not a "right" worth respecting." - loinburger
Yeah I can only have a brokerage account with approved broker dealers. WTF?
You'd think they would have told me this stuff before 6 months into the job.
They should have, but what KH is saying is right. It's to cover the employer's ass against possible market manipulation and other securities law violations. I worked as a consultant to TD Waterhouse just before they got Borged by Ameritrade, and contractually had most of the same restrictions. Only 1 and 2 didn't apply to me from KH's list, but I had to report all trades to compliance within a short period after the trade.
When all else fails, blame brown people. | Hire a teen, while they still know it all. | Trump-Palin 2016. "You're fired." "I quit."
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