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ALARMS ROYALTY CORP. TRADING AND BLACKOUT POLICY Purpose The purpose of this Policy is to ensure compliance with applicable Canadian securities laws governing trading in securities of Alarms Royalty

How to fill out trading and blackout policy

How to fill out trading and blackout policy:

1. Start by gathering all relevant information: Before you begin filling out the trading and blackout policy, gather all the necessary information such as your company's trading restrictions, blackout period dates, and any other relevant policies or guidelines.
2. Define trading restrictions: Clearly outline the restrictions on trading activities during blackout periods and any other specified periods. Include details such as what constitutes prohibited trading activities, the consequences of violating the policy, and any exceptions or special circumstances.
3. Specify blackout period dates: Clearly define the blackout period dates during which employees are prohibited from trading company securities. This could be during earnings releases, merger announcements, or any other significant events that may impact the stock price.
4. Communicate the policy to employees: Once the policy is filled out, it is crucial to effectively communicate it to all relevant employees. This can be done through company-wide emails, training sessions, or any other appropriate means to ensure that everyone understands the policy and their obligations.

Who needs trading and blackout policy:

1. Publicly traded companies: Trading and blackout policies are most relevant for publicly traded companies that have shares traded on a stock exchange. These policies help maintain transparency, prevent insider trading, and protect the integrity of the company's securities.
2. Corporate executives and employees: Executives, employees, and any individuals who have access to material non-public information about a company need to adhere to trading and blackout policies. This ensures that they do not take advantage of privileged information for personal gain.
3. Regulatory compliance: Trading and blackout policies may be required by regulatory bodies such as the Securities and Exchange Commission (SEC) or other financial authorities to prevent insider trading and maintain fair and transparent markets.

Overall, filling out the trading and blackout policy involves defining trading restrictions, specifying blackout period dates, and effectively communicating the policy to relevant individuals. These policies are essential for publicly traded companies, employees with access to sensitive information, and to comply with regulatory requirements.

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What is trading and blackout policy?

Trading and blackout policy is a set of rules and regulations that govern the trading activities of individuals within an organization, especially during sensitive periods like earnings announcements or mergers.

Who is required to file trading and blackout policy?

Employees, executives, and board members who have access to material nonpublic information are typically required to file trading and blackout policy.

How to fill out trading and blackout policy?

Trading and blackout policy forms are typically filled out electronically or on paper, and require the individual to disclose their trading activities and certify compliance with the policy.

What is the purpose of trading and blackout policy?

The purpose of trading and blackout policy is to prevent insider trading and to ensure a level playing field for all investors.

What information must be reported on trading and blackout policy?

Information such as the securities being traded, the dates of the trades, and any potential conflicts of interest must be reported on trading and blackout policy.