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This document outlines the code of conduct for prevention of insider trading and corporate disclosure practices in compliance with SEBI regulations, to protect unpublished price-sensitive information.
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How to fill out Code of Conduct for Prevention of Insider Trading

01
Read the entire Code of Conduct for Prevention of Insider Trading to understand its purpose and requirements.
02
Identify any sections that are relevant to your role or position within the company.
03
Fill in personal information such as your name, position, and department where indicated.
04
Acknowledge understanding of the rules by signing and dating the document in the designated area.
05
Submit the completed document to the compliance department as instructed.

Who needs Code of Conduct for Prevention of Insider Trading?

01
All employees of the company who have access to material nonpublic information.
02
Contractors, consultants, and other third-party individuals who may interact with sensitive company information.
03
Board members and executives who influence company decisions and may be privy to insider 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Trading when in possession of unpublished price sensitive information. Trading when in possession of unpublished price sensitive information.
No person shall procure from or cause the communication by any insider of unpublished price sensitive information, relating to the Bank or securities listed or proposed to be listed, except in furtherance of legitimate purposes, performance of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 adopted by a company to ensure that its directors, employees, and other associated persons do not trade securities based on material, non-public information.
All company directors, employees, and associated persons who have access to material, non-public information 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, individuals must acknowledge the receipt of the code, understand their obligations under it, and may be required to provide confirmations of compliance, usually through designated forms or electronic systems established by the company.
The purpose of the Code of Conduct for Prevention of Insider Trading is to promote ethical standards and legal compliance, to prevent insider trading, and to protect the integrity of the securities markets by ensuring that all investors have equal access to material information.
Typically, the Code of Conduct for Prevention of Insider Trading may require individuals to report any transactions in the company's securities, the receipt of non-public material information, and any breaches of the code or instances of insider trading.
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insider trading corporate disclosure SEBI price-sensitive information compliance officer trading window pre-clearance reporting requirements penalties corporate governance

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