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CORPORATE GOVERNANCE Trading in Company Securities Policy March 2015 Introduction This Trading in Company Securities Policy (Policy) relates to dealings in securities and other financial products,

How to fill out trading in company securities

How to fill out trading in company securities:

1. Gather all necessary information: Before filling out any forms, it is important to gather all the necessary information related to your company securities. This includes the type of securities being traded, their value, and any other relevant details.
2. Review the trading regulations: Familiarize yourself with the trading regulations specific to your company securities. This may include understanding any restrictions or limitations on trading, as well as any reporting requirements.
3. Fill out the necessary forms: Once you have all the information and understand the trading regulations, proceed to fill out the required forms. These forms may vary depending on your jurisdiction and the type of securities being traded, so ensure you have the correct forms for your specific situation.
4. Provide accurate and complete information: When filling out the forms, make sure to provide accurate and complete information. This includes details about the securities being traded, the parties involved in the transaction, and any other required information.
5. Double-check for errors: Before submitting the forms, double-check them for any errors or omissions. It is crucial to ensure that all information provided is accurate and complete to avoid any potential legal or compliance issues.
6. Submit the forms: Once you have filled out the forms and reviewed them for accuracy, submit them to the appropriate authority or regulatory body. Follow any specific submission instructions or deadlines to ensure a smooth process.

Who needs trading in company securities?

1. Investors: Trading in company securities is commonly carried out by individual or institutional investors. These investors may buy or sell securities such as stocks, bonds, or options to either generate profits or diversify their investment portfolios.
2. Company employees: In some cases, company employees, particularly those who have stock options or other forms of equity compensation, may need to engage in trading company securities. This could include exercising stock options or selling vested shares.
3. Financial professionals: Traders and financial professionals working for brokerage firms or investment banks may also need to trade company securities as part of their job responsibilities. They may execute trades on behalf of clients or their employers, following the established trading regulations.
4. Company executives: Executives of publicly traded companies may engage in trading company securities for various reasons, such as buying or selling shares as part of their compensation packages or personal investment strategies. However, they must adhere to strict legal and regulatory requirements to ensure compliance and avoid insider trading.

Note: It is essential to consult with legal and financial professionals or refer to specific regulations and guidelines in your jurisdiction to ensure compliance with all relevant laws and regulations regarding trading in company securities.

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