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CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS TABLE OF CONTENTS Sr. No. 1INTRODUCTION2DEFINITIONS AND INTERPRETATIONS3ROLE OF COMPLIANCE OFFICER4RESTRICTIONS ON COMMUNICATION

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How to fill out code-of-conduct-to-regulate-monitor-and-report-trading-by

01

Define the scope and purpose of the code of conduct.

02

Establish clear guidelines and rules for trading activities.

03

Implement monitoring procedures to track trading behavior.

04

Create reporting mechanisms for violations or suspicious activities.

05

Ensure all traders are aware of and trained on the code of conduct.

Who needs code-of-conduct-to-regulate-monitor-and-report-trading-by?

01

Financial institutions, investment firms, trading companies, and any organization involved in trading activities can benefit from implementing a code of conduct to regulate, monitor, and report trading.

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What is code-of-conduct-to-regulate-monitor-and-report-trading-by?

Code-of-conduct-to-regulate-monitor-and-report-trading-by is a set of rules and guidelines established to oversee, regulate, and report trading activities.

Who is required to file code-of-conduct-to-regulate-monitor-and-report-trading-by?

All individuals or entities engaged in trading activities are required to file the code-of-conduct-to-regulate-monitor-and-report-trading-by.

How to fill out code-of-conduct-to-regulate-monitor-and-report-trading-by?

The code-of-conduct-to-regulate-monitor-and-report-trading-by can be filled out online through the designated platform provided by the regulatory authority.

What is the purpose of code-of-conduct-to-regulate-monitor-and-report-trading-by?

The purpose of the code-of-conduct-to-regulate-monitor-and-report-trading-by is to ensure transparency, integrity, and compliance in trading activities.

What information must be reported on code-of-conduct-to-regulate-monitor-and-report-trading-by?

Information such as trading volume, assets traded, parties involved, and any relevant transactions must be reported on the code-of-conduct-to-regulate-monitor-and-report-trading-by.

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