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This document outlines St Barbara Limited\'s Securities Dealing Policy, effective November 29, 2016, to prevent insider trading and ensure compliance.
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What is securities dealing policy?
A securities dealing policy is a set of guidelines that govern the buying, selling, and trading of securities by individuals within an organization to prevent insider trading and conflicts of interest.
Who is required to file securities dealing policy?
Typically, employees, officers, and directors of a company, as well as any related parties who have access to material non-public information, are required to file a securities dealing policy.
How to fill out securities dealing policy?
To fill out a securities dealing policy, individuals must provide details about their securities transactions, including the type of security, date of transaction, amount, and any relevant approvals if applicable.
What is the purpose of securities dealing policy?
The purpose of a securities dealing policy is to ensure compliance with legal regulations, protect the integrity of the financial markets, mitigate the risk of insider trading, and establish a framework for ethical trading practices.
What information must be reported on securities dealing policy?
The information reported on a securities dealing policy typically includes the names of the individuals involved, the type and quantity of securities traded, transaction dates, and any relevant transaction approvals.
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