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POLICY FOR PROCEDURE OF INQUIRY IN CASE OF LEAK OF UNPUBLISHED PRICE SENSITIVE INFORMATION (UPS) [Under Regulation 9A of Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations,

How to fill out policy-for-procedure-of-inquiry-in-case-of-upsi

How to fill out policy-for-procedure-of-inquiry-in-case-of-upsi

1. Clearly define the purpose of the policy for procedure of inquiry in case of UPSI.
2. Identify the key stakeholders involved in the process such as compliance officers, legal team, and senior management.
3. Establish a step-by-step process for handling inquiries related to UPSI, including how to report, investigate, and escalate issues.
4. Develop guidelines for maintaining confidentiality and information security throughout the inquiry process.
5. Train employees on the policy and procedures to ensure compliance and understanding.

Who needs policy-for-procedure-of-inquiry-in-case-of-upsi?

1. Companies and organizations that are publicly traded and deal with sensitive information such as insider trading.

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What is policy-for-procedure-of-inquiry-in-case-of-upsi?

The policy-for-procedure-of-inquiry-in-case-of-upsi is a set of guidelines and steps to follow when conducting an inquiry related to undisclosed sensitive information.

Who is required to file policy-for-procedure-of-inquiry-in-case-of-upsi?

All employees and stakeholders who have access to undisclosed sensitive information are required to file the policy-for-procedure-of-inquiry-in-case-of-upsi.

How to fill out policy-for-procedure-of-inquiry-in-case-of-upsi?

The policy-for-procedure-of-inquiry-in-case-of-upsi can be filled out by providing detailed information related to the incident or inquiry, steps taken, and any relevant supporting documents.

What is the purpose of policy-for-procedure-of-inquiry-in-case-of-upsi?

The purpose of the policy-for-procedure-of-inquiry-in-case-of-upsi is to ensure transparency, integrity, and proper handling of sensitive information during an inquiry process.

What information must be reported on policy-for-procedure-of-inquiry-in-case-of-upsi?

The policy-for-procedure-of-inquiry-in-case-of-upsi must include details of the incident, individuals involved, actions taken, and any relevant findings or outcomes.