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INSIDER TRADING POLICY This Insider Trading Policy provides guidelines with respect to transactions in shares or other securities of Au Rico Metals Inc (Au Rico). This Policy is also intended to ensure

How to fill out this insider trading policy

How to fill out this insider trading policy:

1. Familiarize yourself with the purpose and scope of the policy. Understand why it is important to prevent insider trading and how this policy aims to achieve that goal.
2. Review relevant laws and regulations pertaining to insider trading in your jurisdiction. Ensure that the policy aligns with these legal requirements and is up-to-date.
3. Identify key terms and definitions used in the policy. It is vital to have a clear understanding of insider trading, material non-public information, and other related concepts.
4. Assess the policy's applicability to your organization. Determine who should be aware of and adhere to the policy. This may include directors, officers, employees, consultants, and others who have access to material non-public information.
5. Customize the policy to fit your organization's specific needs. Adapt the language, structure, and examples to reflect your industry, company size, and corporate culture.
6. Include procedures for reporting and handling potential insider trading violations. Outline the steps employees should take to report suspicious activities or disclose their own potential breaches.
7. Establish guidelines for employees to obtain pre-clearance before trading in company stocks or securities. This helps prevent inadvertent violations and ensures compliance with the policy.
8. Communicate the policy effectively to all employees. Provide training sessions to ensure everyone understands their obligations, the consequences of non-compliance, and how to report concerns or seek clarification.
9. Regularly review and update the policy. Insider trading laws and regulations evolve, so it is essential to keep your policy current and relevant.

Who needs this insider trading policy:

1. Directors and officers: As key decision-makers and individuals privy to material non-public information, directors and officers must adhere to this policy to maintain the integrity of the organization's securities trading.
2. Employees: Anyone who has access to material non-public information, regardless of their role or level of authority, must be aware of and comply with the insider trading policy to prevent illegal trading activities.
3. Consultants and contractors: External individuals engaged with the organization who have access to sensitive information should also be aware of and follow the insider trading policy to ensure compliance.
4. Governing bodies and regulatory authorities: Having a robust insider trading policy demonstrates a commitment to transparency and compliance, which can enhance the organization's reputation and avoid legal issues.
5. Investors and stakeholders: Investors and other stakeholders have an interest in organizations with strong corporate governance and ethics. Communicating and adhering to an insider trading policy can help maintain their confidence in the company.

Overall, the insider trading policy is relevant to anyone associated with the organization who could be exposed to material non-public information and aims to prevent illegal trading activities that could harm the integrity of the securities market.

For pdfFiller’s FAQs

What is this insider trading policy?

This insider trading policy is a set of rules and guidelines that govern the buying and selling of securities by individuals who have access to confidential information.

Who is required to file this insider trading policy?

All employees and executives within the company are required to file this insider trading policy.

How to fill out this insider trading policy?

Employees must carefully read and understand the policy, and then fill out the required information accurately and honestly.

What is the purpose of this insider trading policy?

The purpose of this insider trading policy is to prevent individuals from using confidential information to gain an unfair advantage in the stock market.

What information must be reported on this insider trading policy?

Employees must report any transactions involving securities, as well as any relevant personal financial information.

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