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Articles, posts, insights, opinions, factoids or musings with Compliance
SEBI proposes to widen the definition of relatives under insider trading rules to include spouse, siblings, siblings of spouse, siblings of parents, all lineal ascendant or descendant as well as their spouses.
Employee trading approvals can be challenging, but understanding the risks is key. Read why following these rules (compliance) is crucial and the risks involved when you don't (non-compliance).
Employee personal account trading systems for insider trading management of compliances only work when properly integrated with organizational systems. Otherwise, user irritation leads to poor compliance.
UPSI - if that word seems to take up a huge part of your day, there is a reason. It takes up even more of your compliance officer’s day and yet more of the regulators. Here is the comprehensive low-down.
Knowing what is Unpublished Price Sensitive Information (UPSI) is the first step to managing surrounding compliances, from employee trading to the structured digital database.
Trading Activities by Research Analysts – A look at the regulatory limitations and why they are there to start with.
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 vs. Front Running: What is the difference, what are the ethical and legal implications of each.
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.
Affinis(SDD) the Structured Digital Database solution from Jonosfero International is now fully certified as compliant based on extensive independent professional review by Practicing Company Secretary firm
Watch the latest info-video launched to celebrate the successful certification of Affinis(SDD).
In this comprehensive guide, we explore the compliance hurdles faced in compliance with the SEBI Structured Digital Database guidelines with a step-by-step guide to overcoming them.
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 processes are critical to the management of compliances for preventing insider trading. Learn about regulations and frameworks from SEBI.
The Structured Digital Database Compliance Certificate is an essential part of the SEBI(PIT) compliances for Insider Trading. This blog post provides an overview of Compliance Certification for Structured Digital Database (SDD). Read on to learn more about the SDD Compliance Certificate.
