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POLICY STATEMENT ON TRADING IN SECURITIES OF DOCTOR CORPORATION Amended and Restated as of July 30, 2013, This memorandum sets forth the policy of Doctor Corporation and its subsidiaries (the Company)
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How to fill out a policy statement on trading:

01
Begin by clearly stating the purpose of the policy statement. This could be to establish guidelines for trading activities, ensure compliance with regulatory requirements, or manage risk.
02
Identify the scope of the policy statement. Specify whether it applies to all employees, specific departments, or trading activities within the organization.
03
Define key terms and concepts related to trading that are relevant to the policy statement. This will ensure a common understanding among employees.
04
Outline the responsibilities and obligations of individuals involved in trading. This may include roles such as traders, compliance officers, risk managers, and senior management.
05
List the procedures and processes that must be followed when engaging in trading activities. This could include steps for trade execution, trade surveillance, risk assessment, recordkeeping, and reporting.
06
Specify any restrictions or limitations on trading activities. This may include guidelines on prohibited securities, types of trades, leverage, or trading on inside information.
07
Address the compliance and monitoring measures that will be implemented to ensure adherence to the policy statement. This could include periodic reviews, audits, training programs, and reporting mechanisms.
08
State the consequences of non-compliance with the policy statement. Make it clear that violations may result in disciplinary action, legal consequences, or reputational damage.

Who needs a policy statement on trading?

01
Financial institutions such as banks, investment firms, and brokerage houses that engage in trading activities.
02
Companies that have their own trading desks or engage in proprietary trading.
03
Organizations that invest in securities or derivatives.
04
Regulated entities that need to meet compliance requirements set by regulatory authorities.
05
Businesses that want to manage and mitigate risks associated with trading activities.
06
Any organization that handles sensitive information related to trading, such as insider information or proprietary trading strategies.
Remember to consult legal or compliance professionals to ensure your policy statement meets the specific requirements of your organization and jurisdiction.
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The policy statement on trading is a document outlining the rules and guidelines for trading activities within a company.
All employees who are involved in trading activities are required to file a policy statement on trading.
Employees can fill out the policy statement on trading by providing information about their trading activities, including any potential conflicts of interest.
The purpose of the policy statement on trading is to ensure transparency and compliance with trading regulations.
Employees must report their trading activities, any conflicts of interest, and any regulatory compliance issues on the policy statement on trading.
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