Where dealing through an intermediary with an unidentified principal, the Model Code recommends:
A) It is good practice for compliance, legal or credi
B) Management should have in place a clear written po
C) Management needs to be aware of the risks involved
D) All of the above.

Question

Quizplus · Accepted Answer

The Model Code recommends all of the above. It is good practice to have compliance, legal or credit involved when dealing with an unidentified principal through an intermediary, management should have a clear written policy in place, and they need to be aware of the risks involved in such transactions.

Where Dealing Through an Intermediary with an Unidentified Principal, the Model