everglow2022-09-18 12:08:35
everglow关于restricted-list，哪些情况下投行要将某家公司列入restricted-list呢？
回答（1）
Danyi2022-09-19 13:22:27
Danyi同学你好，
Restricted lists：禁止交易清单，在清单内的标的股票，公司将不发表意见。
通常情况下，一般是公司跟标的公司有业务往来，所以不希望负面的评论伤害彼此之间的业务往来，此时就可以把标的公司放在Restricted lists里面，在清单内的标的股票，公司将不发表意见。也就避免了发表负面评论损害合作关系。
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当了解到与某公司相关的NMI时也应该放入list吧？我看原版书上有一道题好像是这样描述的
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Andrews, a private wealth manager, is conducting interviews for a new research analyst for his firm. One of the candidates is Wright, an analyst with a local investment bank. During the interview, while Wright is describing his analytical skills, he mentions a current merger in which his firm is acting as the adviser. Andrews has heard rumors of a possible merger between the two companies, but no releases have been made by the companies concerned. Which of the following actions by Andrews is least likely a violation of the Code and Standards?
这是题目，答案中有选项是放入list
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是的，restricted list禁止交易清单，在清单内的标的股票，公司将不发表意见。所以在没有更好的办法将MNI尽快公开的情况下，那么标的公司是需要放入清单中的
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