# Restricted lists

- Canonical URL: https://www.gerhardmerk.de/restricted-lists-2
- Post ID: 589939
- Modified: 2023-07-25T21:12:57+00:00
- Language: en

## Definition

In the pursuit of compliance, a procedure whereby all transactions in certain securities are prohibited; unless these are based exclusively on clear, documented customer instructions. This is recommended and in some cases required by regulators. - Published list of stolen and otherwise lost securities to warn against their purchase. - See Watch List, Trading Surveillance Office, Insider Reporting Requirement, Insider Transactions, Insider Surveillance, Nominee, System Securities Watch Application (SWAP), Tax Advisor, Auditor. Attention: The financial encyclopedia is protected by copyright and may only be used for private purposes without express consent! University Professor Dr. Gerhard Merk, Dipl.rer.pol., Dipl.rer.oec. Professor Dr. Eckehard Krah, Dipl.rer.pol. E-mail address: info@ekrah.com https://de.wikipedia.org/wiki/Gerhard_Ernst_Merk https://www.jung-stilling-gesellschaft.de/merk/ https://www.gerhardmerk.de/

## Machine-readable

- Generator: Merk Knowledge 1.1.1