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OPUS INTERNATIONAL CONSULTANTS LTD SECURITIES TRADING POLICY AND GUIDELINES APRIL 2014 Adopted at Opus Board Meeting 15 April 2014 1. GENERAL APPLICATION OPUS INTERNATIONAL CONSULTANTS LIMITED SECURITIES

How to fill out opus securities trading policy

How to fill out Opus Securities Trading Policy:

1. Start by reading the Opus Securities Trading Policy thoroughly to understand its content and the guidelines it provides for trading activities.
2. Gather all the necessary information and documents required to complete the policy form. This may include personal identification details, employment information, and financial disclosures.
3. Begin filling out the policy form by providing your personal details such as your full name, contact information, and job title. Ensure that all the information is accurate and up to date.
4. Next, carefully go through each section of the policy form and provide the requested information. This may include details about your trading experience, financial situation, and any affiliations with other financial institutions.
5. Consider consulting with your supervisor or compliance officer if you have any doubts or questions while filling out the form. They can provide guidance and ensure that you are adhering to the policy’s requirements.
6. Review the completed form to ensure all sections are filled out correctly and completely. Double-check for any errors or missing information.
7. Once you are satisfied with the accuracy of the information provided, sign and date the form. By doing so, you acknowledge your understanding of the policy and agree to comply with its guidelines.

Who needs Opus Securities Trading Policy:

1. Employees in the financial and investment industry: The Opus Securities Trading Policy is primarily designed for individuals working in the financial sector, including banks, investment firms, and brokerage houses. It ensures that employees involved in securities trading activities adhere to ethical standards and regulatory requirements.
2. Traders and investors: Traders and investors who engage in securities trading, either as part of their profession or personal investment activities, can benefit from the Opus Securities Trading Policy. It provides guidance on the proper handling of confidential information, potential conflicts of interest, and other important considerations.
3. Compliance officers and supervisors: Compliance officers and supervisors responsible for overseeing trading activities within their organizations should be familiar with the Opus Securities Trading Policy. It enables them to enforce its provisions and ensure that employees comply with the established guidelines.

Note: It is important to note that the specific individuals and roles that require the Opus Securities Trading Policy may vary depending on the organization and its regulatory requirements.

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What is opus securities trading policy?

Opus securities trading policy is a set of rules and guidelines established by Opus Securities to regulate the buying and selling of securities.

Who is required to file opus securities trading policy?

All employees of Opus Securities who are involved in securities trading are required to file the Opus Securities trading policy.

How to fill out opus securities trading policy?

Employees can fill out the Opus Securities trading policy by following the guidelines provided by Opus Securities and ensuring all required information is included.

What is the purpose of opus securities trading policy?

The purpose of the Opus Securities trading policy is to prevent insider trading, protect confidential information, and ensure compliance with securities regulations.

What information must be reported on opus securities trading policy?

Employees must report any securities transactions they undertake, including the type of security, quantity, date of transaction, and any relevant details.