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AAFM Chartered Wealth Manager (CWM) Global Examination GLO_CWM_LVL_1 Question # 176 Topic 18 Discussion

AAFM Chartered Wealth Manager (CWM) Global Examination GLO_CWM_LVL_1 Question # 176 Topic 18 Discussion

GLO_CWM_LVL_1 Exam Topic 18 Question 176 Discussion:
Question #: 176
Topic #: 18

Mutual funds in India are required by SEBI to


A.

prohibit their employees from personal trading in secondary markets


B.

allow all employees to trade freely in secondary markets without restrictions


C.

establish a code of conduct and allow employees to do personal trading that conforms to SEBI guidelines


D.

allow employees to carry on personal trading as long as they abide by SEBI regulations


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