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Code of Conduct to Regulate, Monitor and Report Trading by Designated Persons & their immediate
relatives and Connected Persons
VersionApproval Preprepared ByV106.11.2019ComplianceV215.08.2020ComplianceV308.11.2022Compliance1.2.
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How to fill out code-of-conduct-to-regulate-monitor-and-report-trading
How to fill out code-of-conduct-to-regulate-monitor-and-report-trading
01
Clearly define the rules and guidelines for trading within the organization.
02
Specify the procedures for monitoring and enforcing the code of conduct.
03
Provide training to employees on the code of conduct and how to adhere to it.
04
Implement a system for reporting any violations or suspicious activities.
05
Regularly review and update the code of conduct to ensure its effectiveness.
Who needs code-of-conduct-to-regulate-monitor-and-report-trading?
01
Financial institutions such as banks and investment firms.
02
Companies involved in trading activities.
03
Regulatory bodies overseeing the financial sector.
04
Individual traders and investors looking to adhere to ethical standards.
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What is code-of-conduct-to-regulate-monitor-and-report-trading?
The code of conduct to regulate, monitor, and report trading is a set of rules and guidelines designed to oversee and control trading activities.
Who is required to file code-of-conduct-to-regulate-monitor-and-report-trading?
All traders and financial institutions engaged in trading activities are required to file the code of conduct.
How to fill out code-of-conduct-to-regulate-monitor-and-report-trading?
The code of conduct can be filled out by providing detailed information about trading activities, compliance measures, and reporting procedures.
What is the purpose of code-of-conduct-to-regulate-monitor-and-report-trading?
The main purpose of the code of conduct is to ensure transparency, integrity, and compliance in trading practices.
What information must be reported on code-of-conduct-to-regulate-monitor-and-report-trading?
The code of conduct requires reporting of trading volumes, transactions, compliance breaches, and any suspicious activities.
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