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TRADING CODE OF CONDUCT CHAPTER 1 TITLE & PREAMBLE Pursuant to the SEMI Prohibition of (Insider Trading) Regulations, 1992, Kotak Mahindra Bank Limited (Company) had adopted an Employee Share Dealing
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How to fill out trading code of conduct:

01
Begin by carefully reviewing the trading code of conduct document. Familiarize yourself with its contents and understand the rules and guidelines it outlines for trading activities.
02
Provide accurate and up-to-date personal information in the designated sections of the form. This may include your name, contact details, job title, and any relevant identification numbers.
03
Read and understand each section of the trading code of conduct. Ensure that you comprehend the specific rules and regulations that apply to your role or position within the organization.
04
Fill in any required fields or response areas that require your input. These may include questions about your understanding of insider trading, conflict of interest, and compliance procedures, among others.
05
Seek clarification or guidance from the designated compliance officer or supervisor if you encounter any uncertainties or confusion while filling out the form.
06
Review your completed trading code of conduct form to ensure accuracy and completeness. Double-check that you have provided all the necessary information and haven't left any fields blank.
07
Sign and date the document in the designated space to confirm that you have read, understood, and agreed to abide by the rules and principles outlined in the trading code of conduct.

Who needs trading code of conduct?

01
Employees: Trading code of conduct is essential for all employees who are involved in any trading activities on behalf of their organization. This includes traders, brokers, investment professionals, and anyone authorized to handle financial transactions.
02
Executives and Managers: Those in senior positions must particularly adhere to a trading code of conduct to set an example for the rest of the employees and ensure fair and ethical trading practices throughout the organization.
03
Board of Directors: Members of the board are responsible for overseeing the organization's trading activities and ensuring compliance with applicable laws and regulations. A trading code of conduct helps guide their decision-making and establishes a framework for responsible trading behavior.
04
Consultants and Contractors: Individuals or firms engaged by the organization to provide trading-related services should also abide by the trading code of conduct to maintain trust, integrity, and ethical standards while conducting business.
05
Shareholders and Investors: While not directly involved in trading activities, shareholders and investors benefit from a trading code of conduct. It demonstrates the commitment of the organization to transparency, fairness, and compliance, instilling confidence in potential investors and protecting existing stakeholders.
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The trading code of conduct is a set of rules and guidelines that govern the trading activities of individuals and entities in the financial market.
Individuals and entities involved in trading activities in the financial market are required to file a trading code of conduct.
To fill out a trading code of conduct, individuals and entities must provide information about their trading activities, potential conflicts of interest, and compliance with regulations.
The purpose of a trading code of conduct is to promote transparency, integrity, and ethical behavior in the financial market.
Information that must be reported on a trading code of conduct includes details of trading activities, potential conflicts of interest, and compliance with regulations.
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Relevant keywords

2015 1992 Kotak SEBI Mahindra Companys RTL ETTS 30th therefrom 31st LTD Quantit Mumbai shareholding Vysya acquisitio KS Securit Promot intimation allotmen HRMSINT ies Securitie thereunder hereinabove Employe securiti debited purchas applicatio

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