Get the free SECURITIES TRADING POLICY Effective: 4 January 2016 - Decimal

SECURITIES TRADING POLICY Effective: 4 January 2016 1. INTRODUCTION 1.1 Securities of the Company are listed on ASX. 1.2 This policy outlines: (a) (b) when a KM and other Employees may deal in listed

How to fill out securities trading policy effective

How to Fill Out Securities Trading Policy Effectively:

1. Start by reviewing the purpose and scope of the securities trading policy. Understand why it's necessary and what it covers to ensure compliance.
2. Familiarize yourself with any legal and regulatory requirements related to securities trading. This will help you understand what information needs to be included in the policy.
3. Gather all relevant information about the company's securities trading practices, including any restrictions or guidelines employees must follow. This could include information about insider trading, blackout periods, or reporting requirements.
4. Consult with legal and compliance teams to ensure that the drafted policy aligns with all applicable laws and regulations. They can provide guidance on language, formatting, and any specific requirements.
5. Clearly define the responsibilities and obligations of employees under the securities trading policy. This includes information about reporting suspicious activities, maintaining confidentiality, and adhering to compliance procedures.
6. Provide guidelines on how employees should handle confidential information, including a clear definition of what constitutes insider trading and how to avoid it.
7. Explain the consequences of non-compliance and violations. Detail the disciplinary actions that may be taken if employees fail to adhere to the policy.
8. Review the drafted policy with key stakeholders, such as senior management, legal teams, and human resources. Incorporate their feedback and make any necessary revisions to ensure the policy is comprehensive and effective.
9. Consider providing training or educational resources to employees to ensure they fully understand the securities trading policy and its importance.
10. Regularly review and update the policy to reflect any changes in regulatory requirements, company practices, or industry standards.

Who Needs Securities Trading Policy Effective?

1. All employees who have access to material non-public information about a company.
2. Individuals involved in the buying, selling, or trading of securities on behalf of the company.
3. Individuals responsible for disclosing or reporting securities transactions, such as executive officers, directors, and other key personnel.
4. Employees who have decision-making authority regarding the company's securities, including trading or investment decisions.
5. Contractors, consultants, and temporary employees who have access to confidential information or are involved in securities transactions on behalf of the company.
6. Compliance officers and legal teams who are responsible for enforcing and monitoring adherence to the policy.
7. Any other individuals specified by the company's compliance and legal teams who may need to adhere to the securities trading policy.

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