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CODEOFCONDUCTTOREGULATE, MONITORANDREPORT TRADINGBYINSIDERS (AdoptedbytheBoardofDirectorsatthemeetingheldon 30thMay2015) Introduction Regulation 9(1) of the newly introduced SEMI (Prohibition of Insider

How to fill out codeofconducttoregulatemonitorandreport tradingbyinsiders adoptedbyformboardofdirec

1. Understand the purpose of the code of conduct: Before filling out the code of conduct, it is important to have a clear understanding of its purpose. The code of conduct is designed to regulate, monitor, and report trading by insiders. It provides guidelines and rules for individuals within the organization to follow to ensure fair and ethical practices in trading.
2. Familiarize yourself with the content of the code of conduct: Take the time to read through the code of conduct in detail. Understand each section and the specific requirements it outlines. This will help you accurately fill out the necessary information and ensure compliance with the code.
3. Complete the required sections: The code of conduct may have specific sections that require your attention. These sections could include personal information, contact details, acknowledgment of understanding, and commitment to comply. Fill out each section accurately and provide any necessary supporting documentation.
4. Seek guidance if needed: If you have any questions or concerns while filling out the code of conduct, don't hesitate to seek guidance from your organization's legal or compliance department. They can provide clarification and ensure that you are completing the form correctly.
5. Submit the completed code of conduct: Once you have filled out the code of conduct and reviewed it for accuracy, submit it according to the instructions provided. This may involve submitting it electronically, physically signing it, or mailing it to the appropriate department or individual.

Who needs the codeofconducttoregulatemonitorandreport tradingbyinsiders adoptedbyformboardofdirectorsatformmeetingheldon 30thmay2015?

1. Employees within the organization: All employees working within the organization need to adhere to the code of conduct. This includes individuals involved in trading activities or those who may have access to insider information.
2. Board of Directors: The code of conduct is adopted by the board of directors and they are responsible for ensuring its implementation and compliance within the organization.
3. Compliance officers: Compliance officers play a vital role in enforcing the code of conduct and monitoring trading activities to ensure adherence to the regulations and guidelines outlined in the document.

Ultimately, anyone who is involved in trading activities within the organization or has access to insider information needs to comply with the code of conduct. It sets the standards and expectations for ethical and fair trading practices.

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