Regulation & Compliance

Personal Account Dealing

Definition

What is Personal Account Dealing?

Trading by employees in their own accounts, usually subject to firm rules and pre-clearance.

Example in practice

An analyst obtains approval before buying a covered share.

Keep learning

A legal or ethical duty to act loyally and carefully in another person's best interest.

The requirement or process of determining whether an investment fits a client's circumstances and objectives.

A duty to place the client's interests ahead of the provider's when making a recommendation.

Nigeria's principal securities exchange, where listed shares, bonds, ETFs, and other instruments trade.

Think you know your investing terms?

Put your knowledge to the test with a quick quiz.