Здравствуйте, Kerk, Вы писали:

MC>>Ну, во-первых мой банк требует, чтобы я делал pre-clearance при покупке/продаже common stock. И большой процент запросов они блокируют.

K>Интересно, а почему так?

Моя неофициальная версия — потому что уроды.
Официальная:

Prior to placing a transaction, Covered Employees must review the Firm's current Restricted List and abide by any applicable restriction therein. The "Restricted List" is a list of securities, maintained by the Firm, in which certain transactions are restricted or prohibited. The Firm's Restricted List is available to all employees and reflects transactions that have become public. The Corporation's Restricted List can be found on the AIM website.

With the exception of transactions in fully managed accounts, all Employee Investment Account transactions are subject to the restrictions on employee investments related to issuers on the Firm's current Restricted List. Depending upon the nature of the restriction, the appropriate Restriction Categories will be assigned.

The Restricted List should be considered confidential as it is for limited disclosure, on a need-to-know basis, to limited groups or individuals, which, if used in an inappropriate manner, accessed without proper authorization, or disclosed could:
•Impair business functions, cause reputational risk or result in serious damage to the corporation's competitive, financial or legal position;
•Represent a violation of federal, state or banking legislation;

The Watch List is confidential and is maintained by the Global Control Room which reviews the trading of selected employees against the securities on the List. It contains names of companies where the Firm is or is about to be engaged in transactions, usually transactions that have not been publicly announced and where there is a high likelihood that MNPI will be received. The Trade Pre-clearance system could deny a transaction based on the Firm's Watch List or for other conflicts of interest. Due to the confidential nature of the Watch List, Legal or the AIM Group may not be able to provide you with an explanation as to why a particular pre-clearance request was denied.