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01683 APPENDIX 1: ADDITIONAL TRADING RESTRICTIONS FOR RESTRICTED PERSONSDocument No: 03263 Revision: 1 Issue Date: 09 Nov 2017 Owner: General Counsel Page: 1 of 51. Persons covered by trading restrictions

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Determine the key areas that need to be covered in the policies and procedures, such as customer due diligence, risk management, and compliance monitoring.

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Who needs broker-dealer policies and procedures?

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Broker-dealers, including individuals and firms, who are involved in buying and selling securities on behalf of customers.

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Regulatory authorities who oversee the operations of broker-dealers.

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What is broker-dealer policies and procedures?

Broker-dealer policies and procedures are a set of rules and guidelines followed by brokerage firms to ensure compliance with regulations and protect investors.

Who is required to file broker-dealer policies and procedures?

Broker-dealers are required to file their policies and procedures with the appropriate regulatory authorities.

How to fill out broker-dealer policies and procedures?

Broker-dealers can fill out their policies and procedures by detailing their processes for compliance, risk management, and client protection.

What is the purpose of broker-dealer policies and procedures?

The purpose of broker-dealer policies and procedures is to maintain a transparent and ethical working environment, protect investors, and ensure compliance with regulations.

What information must be reported on broker-dealer policies and procedures?

Broker-dealer policies and procedures typically include information on risk management, client onboarding, conflicts of interest, and regulatory compliance.

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