Which internal document governs the wall-crossing procedure?
The AMF General Regulation
Internal compliance policies
The internal code of conduct
The financial procedures manual
Which article of Delegated Regulation 2017/565 requires procedures to prevent the exchange of information between persons engaged in activities with a risk of conflict of interest?
Article 31(1)(b)
Article 34(2)(a)
Article 35(3)(c)
Article 36(4)(d)
Which activities are typically positioned on the private side of the Chinese wall?
Corporate finance, mergers and acquisitions, and equity research departments
Client sales and proprietary trading teams
Compliance and human resources departments
Marketing and communications teams
What is the consequence for persons positioned 'above the wall'?
They only have access to public information
They receive all inside information and are subject to enhanced monitoring
They are exempt from all restrictions
They cannot access inside information
'Need-to-know' principle
Click to see answer
Categorize items by dragging them to the appropriate zones
Items to categorize:
Corporate finance department
Client sales team
Mergers and acquisitions department
Proprietary trading team
Categories:
Private side
Public side
A simple glass partition is sufficient to ensure the physical separation of conflicting activities according to the AMF Sanctions Committee.
True
False
An accidental breach of information barriers does not need to be reported immediately.