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This document outlines the Securities Trading Policy of Synertec Corporation Limited, detailing the rules and guidelines regarding trading in the company\'s securities, insider trading regulations, compliance requirements, and the procedures for obtaining approval to trade. It aims to ensure adherence to ASX Listing Rules and the Corporations Act 2001, alongside maintaining the integrity of the market and protecting sensitive information.

How to fill out securities trading policy

How to fill out securities trading policy

1. Review the regulatory requirements applicable to your organization.
2. Identify the key objectives of the securities trading policy.
3. Specify the roles and responsibilities of individuals involved in trading activities.
4. Define permissible and prohibited trading activities.
5. Establish guidelines for reporting and monitoring trades.
6. Outline the process for approving and documenting any exceptions.
7. Include training requirements for employees involved in trading.
8. Set a review schedule to update the policy regularly.

Who needs securities trading policy?

1. Organizations involved in buying and selling securities.
2. Employees who are authorized to trade on behalf of the organization.
3. Compliance officers and risk management teams.
4. Regulatory bodies that oversee trading activities.

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What is securities trading policy?

A securities trading policy is a set of guidelines that govern the buying and selling of securities by employees or associated persons of a company to prevent insider trading and ensure compliance with legal and regulatory requirements.

Who is required to file securities trading policy?

Individuals who are insiders of a company, such as executives, directors, and certain employees, as well as those who have access to non-public information, are typically required to file securities trading policies.

How to fill out securities trading policy?

To fill out a securities trading policy, individuals must provide details of their intended trades, including the type of securities, the amount, the date of the transaction, and any relevant insider information they may have.

What is the purpose of securities trading policy?

The purpose of a securities trading policy is to prevent insider trading, ensure transparency in trading activities, protect the integrity of the financial markets, and comply with legal obligations.

What information must be reported on securities trading policy?

The information that must be reported on a securities trading policy includes the names of the individuals involved, the types and amounts of securities traded, the dates of transactions, and the nature of any material non-public information that may be relevant.