Regulation & Compliance

Restricted List

Definition

What is Restricted List?

A list of securities subject to trading or research restrictions because of confidential information or conflicts.

Example in practice

Employees cannot trade a company on the restricted list.

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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.

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