问题描述:
[单选]
Which of the following is adequate and effective pre-trade checking? 以下哪項是適當和有效的前端監控?
A.prevent day trading 防止回轉交易
B.ensure sufficient funds (securities) to settle the payment (settlement) obligation whether as principal or as agent 確保有足夠的資金(證券)以繳付作為委託人或代理人的支付(結算)責任
C.ensure accurate inputs of SPSA investor identification number for SPSA orders 確保為SPSA訂單準確輸入SPSA投資者識別號碼
D.all of the above 以上皆是
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上一篇:Which of the following is prohibited under all applicable laws with regard to the Northbound trading of China Connect Securities and B -Share? 有關滬港通/深港通證券北向交易及中國B股的所有適用法律法規均禁止以下哪一項?
下一篇:Which of the following is NOT included in Client Identification Data (“CID”)? 客戶識別信息不包含以下哪項?
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