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CASTRO INDIA LIMITED Code of Conduct for Prevention of Insider Trading 1. This Code of Conduct will be known as CASTRO INDIA LIMITED: Code of Conduct for Prevention of Insider Trading (hereinafter
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How to fill out code of insider trading

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How to fill out code of insider trading:

01
Familiarize yourself with the regulations: Start by thoroughly understanding the laws and regulations surrounding insider trading in your jurisdiction. This will help guide you in creating an effective and compliant code of insider trading.
02
Define prohibited activities: Clearly outline the specific activities that constitute insider trading and are strictly prohibited within your organization. This may include trading on material non-public information, sharing confidential information, or tipping off others.
03
Set guidelines for reporting: Establish a procedure for employees to report any potential violations or concerns related to insider trading. This should include a designated point of contact or a confidential hotline for anonymous reporting.
04
Develop a training program: Implement a comprehensive training program to educate employees about the risks and consequences of insider trading. This should cover the legal requirements, ethical considerations, and examples of insider trading scenarios.
05
Establish internal controls: Implement strict internal controls to prevent unauthorized access to confidential information. This may involve restricted access to certain databases or systems, separation of duties, and regular audits to ensure compliance.
06
Monitor and enforce compliance: Regularly monitor trading activities and conduct periodic audits to ensure compliance with the code of insider trading. Swiftly address any potential violations and enforce appropriate disciplinary actions when necessary.
07
Review and update regularly: Insider trading regulations may evolve over time, so it's crucial to review and update your code of insider trading regularly to stay aligned with the latest legal and regulatory requirements.

Who needs code of insider trading:

01
Financial institutions: Banks, investment firms, and other financial institutions need a code of insider trading to ensure compliance with regulations and protect their clients' interests.
02
Publicly traded companies: Companies listed on stock exchanges are required to have a code of insider trading to prevent illegal trading by employees or executives with access to material non-public information.
03
Government agencies: Government agencies involved in securities regulation or oversight should have a code of insider trading to ensure fair and transparent markets.
04
Nonprofit organizations: Nonprofit organizations that engage in investment activities or have access to sensitive information should also establish a code of insider trading to maintain integrity and ethical standards.
05
Professional associations: Professional associations, such as accounting bodies or legal associations, may need a code of insider trading to uphold professional ethics and protect the reputation of their members.
In summary, creating a code of insider trading involves familiarizing yourself with the regulations, defining prohibited activities, establishing reporting procedures, implementing training programs, setting internal controls, monitoring compliance, and regularly reviewing and updating the code. The code of insider trading is necessary for financial institutions, publicly traded companies, government agencies, nonprofit organizations, and professional associations.
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The code of insider trading governs the trading of securities by individuals who have access to non-public material information.
Individuals who are considered insiders of a company are required to file the code of insider trading.
The code of insider trading can be filled out by providing information on securities transactions, holdings, and any material information that may impact trading decisions.
The purpose of the code of insider trading is to prevent unfair trading practices based on privileged information.
Information on securities transactions, holdings, and any material non-public information must be reported on the code of insider trading.
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