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DCM FINANCIAL SERVICES LIMITED CODE OF INTERNAL PROCEDURES & CONDUCT FOR PREVENTION OF INSIDER TRADING Effective Date: 02.11.2011 (pursuant to SEMI (Prohibition of insider Trading) Regulations, 1992)

How to fill out code of conduct insider

Answer for how to fill out code of conduct insider:

1. Familiarize yourself with the code of conduct document. Read through the entire document carefully to understand its purpose, principles, and expectations.
2. Ensure you have a clear understanding of the organization's values and ethical standards. This will help you align your behavior and actions with the code of conduct.
3. Review any applicable laws, regulations, and industry standards that are relevant to your role or the organization's operations. This will help you comply with legal requirements and industry best practices.
4. Take note of any specific policies and procedures mentioned in the code of conduct. These may include guidelines for conflicts of interest, confidentiality, information security, anti-bribery, discrimination, harassment, and other important areas.
5. Reflect on your own behaviors and potential conflicts of interest. Be honest and objective in assessing whether you are complying with the code of conduct and if any changes or adjustments need to be made.
6. Seek clarification or guidance from appropriate personnel, such as your supervisor, human resources department, or legal team, if you have any questions or uncertainties about certain sections of the code of conduct.
7. Sign and date the code of conduct acknowledgement form, if required by your organization. This confirms that you have read, understood, and agreed to abide by the code of conduct.

Who needs code of conduct insider?

1. All employees of the organization: The code of conduct applies to everyone within the organization, regardless of their position or level of authority. It sets the standards and expectations for ethical behavior and guides employees in making the right decisions.
2. Contractors and consultants: Individuals or firms working with the organization on a contractual basis should also adhere to the code of conduct. This ensures consistency in ethical standards and protects the organization's reputation.
3. Board members and volunteers: Those in leadership positions, including board members and volunteers, should comply with the code of conduct to set an example for others and maintain trust from stakeholders.
4. Suppliers and business partners: The code of conduct may extend to suppliers, vendors, and business partners to ensure they also adhere to ethical standards when interacting with the organization.
5. Customers and stakeholders: Some organizations may create a code of conduct for their customers and other stakeholders to encourage ethical behavior in their interactions with the organization.

For pdfFiller’s FAQs

What is code of conduct insider?

Code of conduct insider is a set of rules and guidelines that govern the behavior of individuals who have access to confidential information about a company.

Who is required to file code of conduct insider?

Individuals who are considered insiders of a company, such as executives, directors, and employees who have access to non-public information, are required to file code of conduct insider.

How to fill out code of conduct insider?

Code of conduct insider is usually filled out online through a secure portal provided by the company. Insiders need to disclose details of their transactions involving company stock and certify that they are in compliance with the company's code of conduct policies.

What is the purpose of code of conduct insider?

The purpose of code of conduct insider is to promote transparency and prevent insider trading by holding insiders accountable for their trading activities and ensuring they do not use non-public information for personal gain.

What information must be reported on code of conduct insider?

Insiders must report any transactions involving company stock, including buys, sells, gifts, and transfers, as well as any other financial interests they may have in the company.

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