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OPUS INTERNATIONAL CONSULTANTS LTD SECURITIES TRADING POLICY AND GUIDELINES DECEMBER 2012 Adopted at Opus Board Meeting 12 December 2012 GENERAL APPLICATION SECURITIES TRADING POLICY AND GUIDELINES

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How to fill out securities trading policy guidelines

How to fill out securities trading policy guidelines:

01

Start by reviewing any regulatory requirements or industry guidelines related to securities trading policies. This will provide a framework for your own policy development.

02

Identify key stakeholders who should be involved in the process, such as compliance officers, legal counsel, and senior executives. Their input and expertise will be valuable in creating a comprehensive and effective policy.

03

Conduct a thorough risk assessment to identify potential risks and vulnerabilities related to securities trading. This will help inform the content of your policy and ensure that appropriate controls are in place.

04

Clearly define prohibited activities and insider trading policies. Outline specific actions that are not permitted, as well as the consequences for non-compliance. This will help employees understand the boundaries and expectations related to securities trading.

05

Establish procedures for pre-clearance of trades and reporting of trades. This will ensure that all securities transactions are properly documented and supervised, reducing the risk of misconduct or non-compliance.

06

Include provisions for training and education on securities trading policies. Employees should be informed of the policy, their responsibilities, and the potential consequences of non-compliance. Regular training sessions and updates can help reinforce these principles.

07

Set up monitoring and reporting mechanisms to detect and address potential violations. Implement systems and processes to track and analyze trading activities, identify suspicious activities, and escalate any concerns to the appropriate authorities.

08

Regularly review and update the securities trading policy guidelines to ensure they remain relevant and effective. Market conditions and regulatory requirements can change, so it is important to keep the policy up to date.

Who needs securities trading policy guidelines?

01

Investment firms and financial institutions: These organizations typically engage in securities trading as part of their core business activities. Having clear and comprehensive policy guidelines is crucial for ensuring compliance and minimizing risk.

02

Publicly traded companies: Companies that have publicly traded securities are subject to various regulations and must establish policies to prevent insider trading and other illicit activities.

03

Employees and executives: All individuals involved in securities trading, including employees and executives, should be aware of the policy guidelines. This ensures that everyone understands their responsibilities, avoids conflicts of interest, and acts in accordance with applicable laws and regulations.

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What is securities trading policy guidelines?

Securities trading policy guidelines outline the rules and regulations that govern the buying and selling of securities within a company.

Who is required to file securities trading policy guidelines?

All employees, officers, and directors who have access to material nonpublic information are required to file securities trading policy guidelines.

How to fill out securities trading policy guidelines?

Employees, officers, and directors must provide information about their securities holdings, trading activities, and any insider trading policies they are aware of.

What is the purpose of securities trading policy guidelines?

The purpose of securities trading policy guidelines is to prevent insider trading and ensure compliance with securities laws.

What information must be reported on securities trading policy guidelines?

Employees, officers, and directors must report their securities holdings, trading activities, and any insider trading policies they are aware of.

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