TAG

Compliance

Articles, posts, insights, opinions, factoids or musings with Compliance

What information is UPSI.

What information is UPSI.

Knowing what is Unpublished Price Sensitive Information (UPSI) is the first step to managing surrounding compliances, from employee trading to the structured digital database.

UPSI – It May Not Be What You Think

UPSI – It May Not Be What You Think

Trading based on UPSI is Insider Trading at its most basic sense. We know Insider Trading is illegal, but what exactly is UPSI to start with? If it is not important for your job, you may know less than you need.

Insider Trading Regulations for Mutual Funds in India

Insider Trading Regulations for Mutual Funds in India

As SEBI extends the scope of Prevention of Insider Trading regulations to mutual funds along with the need to maintain a Structured Digital Database, lets take a look at their impact on the compliance challenges they pose.

Trade Pre-Clearance and Insider Trading Prevention

Trade Pre-Clearance and Insider Trading Prevention

Preventing insider trading is critical for maintaining the integrity of capital markets By mandating the pre-clearance process, SEBI sends a clear message that insider trading will not be tolerated. These regulations demonstrate the importance of ethical business practices to maintain market integrity and investor confidence.

Trading Window Closure – Why It Matters

Trading Window Closure – Why It Matters

Trading window closure processes are critical to the management of compliances for preventing insider trading. Learn about regulations and frameworks from SEBI.