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This document outlines the Code of Conduct established by Dewan Housing Finance Corporation Limited (DHFL) for preventing insider trading, including obligations, confidentiality of price sensitive
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How to fill out Code of Conduct for Prevention of Insider Trading

01
Begin with your organization's name and the purpose of the Code of Conduct.
02
Clearly define 'insider trading' and explain why it is illegal.
03
Outline the responsibilities of employees regarding insider information.
04
Provide examples of what constitutes insider information.
05
Specify the procedures for reporting suspected insider trading incidents.
06
Detail the penalties for violations of the Code.
07
Include a section for employee acknowledgment of understanding and compliance.
08
Review and update the Code regularly to reflect any changes in laws or company policies.

Who needs Code of Conduct for Prevention of Insider Trading?

01
All employees who have access to non-public information regarding the company or its securities.
02
Management and executives who make trading decisions based on insider information.
03
Members of the board of directors.
04
Contractors, consultants, and other third parties with access to sensitive information.
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People Also Ask about

The SEC monitors insider trading in various ways. For example, it uses market surveillance systems to monitor trading volume. If no new public information has been issued, but trading volume rises substantially, it raises a red flag. Additionally, the SEC responds to tips and complaints about illegal activity.
SEC Rule 10b5-1, codified at 17 CFR 240.10b5-1, is a regulation enacted by the United States Securities and Exchange Commission (SEC) in 2000. The SEC states that Rule 10b5-1 was enacted in order to resolve an unsettled issue over the definition of insider trading, which is prohibited by SEC Rule 10b-5.
The Supreme Court proscribed 4 elements to prove insider trading under the misappropriation theory, 1) a lie or deception 2) a transgression of a fiduciary obligation 3) the use of secret information in relation to a securities transaction 4) willfulness by the defendant.
Trading when in possession of unpublished price sensitive information. Trading when in possession of unpublished price sensitive information.
No person shall procure from or cause the communication by any insider of unpublished price sensitive information, relating to the Bank or securities listed or proposed to be listed, except in furtherance of legitimate purposes, performance of duties or discharge of legal obligations.
SEC Rule 10b-5 prohibits corporate officers and directors or other insider employees from using confidential corporate information to reap a profit (or avoid a loss) by trading in the Company's stock. This rule also prohibits “tipping” of confidential corporate information to third parties. Who is an insider?

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The Code of Conduct for Prevention of Insider Trading is a set of guidelines established to prevent the misuse of insider information by prohibiting individuals from trading securities based on material, non-public information.
Individuals who are considered insiders, including directors, officers, employees, and any other person who has access to material, non-public information about a company, are required to adhere to the Code of Conduct for Prevention of Insider Trading.
To fill out the Code of Conduct for Prevention of Insider Trading, insiders typically need to acknowledge their understanding of the rules, confirm their compliance with the regulations, and may need to report specific transactions or holdings as required by the organization's policies.
The purpose of the Code of Conduct for Prevention of Insider Trading is to ensure transparency, maintain market integrity, protect against unfair advantage in trading, and comply with legal requirements to safeguard against insider trading.
Individuals are typically required to report any transactions involving the company's securities, holdings of those securities, receipt of material information, or any changes in their status as an insider under the Code of Conduct for Prevention of Insider Trading.
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Insider Trading Code of Conduct Dewan Housing Finance Compliance Confidentiality Trading Restrictions Reporting Requirements Disclosure Price Sensitive Information SEBI Regulations

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