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Get the free SECURITIES TRADING POLICY - duratex.com.br

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CNJ. 97.837.181/000147Publicly Traded Company-wide 35300154410SECURITIES TRADING POLICY(approved on the Meeting of The Board of Directors on 08.12.2009 and amended of 06.14.2010, 11.04.2011 and 04.22.2014
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How to fill out securities trading policy

01
Read and understand the relevant laws and regulations regarding securities trading policy.
02
Determine what securities trading activities are covered by the policy.
03
Identify the individuals or roles within the organization that need to comply with the policy.
04
Clearly outline the restrictions and limitations on securities trading activities.
05
Specify the process for obtaining pre-approval for securities trades.
06
Establish reporting requirements for securities trades and any conflicts of interest.
07
Provide guidelines for handling insider information and avoiding insider trading.
08
Set forth the consequences for violating the securities trading policy.
09
Communicate the policy to all relevant employees and stakeholders.
10
Regularly review and update the policy to ensure it remains current and effective.

Who needs securities trading policy?

01
Securities trading policy is needed by any organization or individual involved in securities trading activities such as investment firms, banks, brokerages, and their employees.
02
It is also important for publicly traded companies and their officers, directors, and employees to have a securities trading policy in place to ensure compliance with regulations and avoid insider trading.
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Securities trading policy is a set of rules and guidelines that govern the trading of securities by employees of a company.
Employees who engage in trading of securities are required to file securities trading policy.
Securities trading policy can be filled out by following the guidelines provided by the company's compliance department.
The purpose of securities trading policy is to prevent insider trading and ensure compliance with securities regulations.
Information such as the employee's name, trading activities, and compliance with company policies must be reported on securities trading policy.
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