Reference
Trade Surveillance & Market Abuse Monitor glossary
Terms used in Trade Surveillance & Market Abuse Monitor and its documentation.
Applies to Trade Surveillance & Market Abuse Monitor as it works today. Moraph updates the platform continuously, and this page is reviewed when it changes.
Terms used in Trade Surveillance & Market Abuse Monitor and its documentation.
| Term | Meaning |
|---|---|
| Access person | An employee covered by the reporting and pre-clearance requirements of your Code of Ethics. |
| Pre-clearance | Approval an employee must get before trading certain securities in a personal account. |
| Restricted list | Securities employees may not trade, maintained by the control room with effective dates and reasons. |
| Watch list | Securities compliance monitors closely without telling employees, maintained by the control room. |
| Blackout window | A period around fund trades, research or deals during which personal trading in a security is not allowed. |
| Holding period | The minimum time an employee must hold a position before selling it. |
| Front-running | A personal trade placed ahead of client or firm orders in the same security. |
| Exception | A trade or reporting issue flagged by a rule for compliance review. |
| Duplicate statement | A copy of an employee's brokerage statement sent to compliance. |
| Control room | The compliance function that maintains restricted and watch lists and blackout periods. |
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