money-laundering-----反洗钱
2 Investment process and actions(投资流程和行为)
在操纵市场上的限制
market manipulation is illeagal
transaction-based manipulation
information-based manipulation (信息操纵)
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
