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This document outlines the code of conduct for prevention of insider trading to be observed by the directors, officers, and designated employees of the company, as mandated by the Securities and Exchange
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How to fill out Code of Conduct for Prevention of Insider Trading

01
Read the Code of Conduct document thoroughly to understand its purpose and scope.
02
Identify key terms and definitions related to insider trading.
03
Complete the sections regarding personal trading activities, outlining previous trading history if required.
04
Specify any family members or associates who may be subject to the same trading policies.
05
Understand the reporting requirements for potential insider information.
06
Acknowledge your understanding of the Code by signing and dating the document at the designated section.

Who needs Code of Conduct for Prevention of Insider Trading?

01
Employees of publicly traded companies.
02
Board members and executives.
03
Affiliated individuals such as contractors and consultants.
04
Any personnel who have access to confidential or non-public information.
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People Also Ask about

The SEC monitors insider trading in various ways. For example, it uses market surveillance systems to monitor trading volume. If no new public information has been issued, but trading volume rises substantially, it raises a red flag. Additionally, the SEC responds to tips and complaints about illegal activity.
SEC Rule 10b5-1, codified at 17 CFR 240.10b5-1, is a regulation enacted by the United States Securities and Exchange Commission (SEC) in 2000. The SEC states that Rule 10b5-1 was enacted in order to resolve an unsettled issue over the definition of insider trading, which is prohibited by SEC Rule 10b-5.
The Supreme Court proscribed 4 elements to prove insider trading under the misappropriation theory, 1) a lie or deception 2) a transgression of a fiduciary obligation 3) the use of secret information in relation to a securities transaction 4) willfulness by the defendant.
Trading when in possession of unpublished price sensitive information. Trading when in possession of unpublished price sensitive information.
No person shall procure from or cause the communication by any insider of unpublished price sensitive information, relating to the Bank or securities listed or proposed to be listed, except in furtherance of legitimate purposes, performance of duties or discharge of legal obligations.
SEC Rule 10b-5 prohibits corporate officers and directors or other insider employees from using confidential corporate information to reap a profit (or avoid a loss) by trading in the Company's stock. This rule also prohibits “tipping” of confidential corporate information to third parties. Who is an insider?

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The Code of Conduct for Prevention of Insider Trading is a set of guidelines and rules established by a company to prevent insider trading activities among its employees, directors, and other associated personnel. It outlines the obligations to maintain confidentiality of material information and the procedures for handling such information.
Typically, all employees, directors, and officers of the company, as well as other stakeholders who may have access to sensitive information, are required to comply with and file the Code of Conduct for Prevention of Insider Trading.
To fill out the Code of Conduct for Prevention of Insider Trading, individuals need to review the guidelines provided by the company, ensure understanding of the rules, and formally acknowledge their compliance by signing or submitting required documentation as specified in the Code.
The purpose of the Code of Conduct for Prevention of Insider Trading is to promote ethical behavior, prevent illegal trading practices, protect the integrity of the market, and ensure that all insiders understand their responsibilities regarding the handling of confidential information.
The information that must be reported includes any personal trades in company securities, disclosures of material information received, and compliance training acknowledgments, as well as any potential breaches of the Code or concerns regarding insider trading activities.
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Relevant keywords

insider trading SEBI regulations company policy code of conduct price sensitive information regulations directors employees securities trading

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