money-laundering-----反洗钱

2 Investment process and actions(投资流程和行为)

在操纵市场上的限制

market manipulation is illeagal

transaction-based manipulation 

information-based manipulation (信息操纵)

Recommendations and Guidance

deal fairly and objectively with clients

Have a reasonable and adequate basis for investment decisions

when managing a forfolio or pooled fund accounting to a specific mandate strategy, or style

when managing a separate accounts and before providing  investment advice or taking investment action on behalf of the client