Ch 8

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  • Created by: Dessixox
  • Created on: 29-12-20 15:48

1. A trader with a long position in bond futures buys or borrows a large amount of the cheapest to deliver bonds and either refuses to re-lend these bonds or will only lend them to parties they believe will not lend to the market. Their purpose is to positio

  • Manipulating transactions
  • Abusive squeeze
  • Pre-/ front-positioning
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2. Angela informed Ralph that the price of one of his stocks is due to increase. She got this information from a director at her company and was instructed not to share it with anyone. Ralph was pleased to hear this as he was planning to sell that stock the

  • A general defence
  • A special defence
  • No defence

3. The current de minimis threshold under MAR for disclosure under DTR is set at 5,000 euros in the UK. MAR allows for competent authorities to increase this to ...

  • 20,000 euros
  • 10,000 euros
  • 5,000 euros

4. Safe harbours are not subject to MAR. T or F?

  • True
  • False

5. The DTR closed period applies to...

  • PDMRs
  • CAPs
  • PDMRs and CAPs
  • All employees of the firm
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