Restrictions
Instructions
The Pre-Trade Compliance tool is designed to create, store and apply position and trade-related rules and restrictions to employees.
-
Trading Restrictions are created using one or multiple “rules,” that specify an order be either restricted or allowed if any or all specified conditions are met.
-
Special Restrictions do not fall under any of the restriction categories, for example the Minimum Holding Period trading restriction which only supports one rule.
-
Holding Restrictions check current holdings against one or multiple rules in the restriction. If a holding restriction is violated, a notification is sent. Holding Restrictions trigger notifications only, and do not restrict trading.
-
WhiteList Symbol Restrictions override any symbol restrictions you have set to allow trading in specified symbols and their derivatives.
You can view a list of all restrictions from the Restrictions Library.
See the history of a restriction by selecting the restriction in the Restrictions Library and then selecting History in the upper right corner of the Settings page.