Conflict of Interest? Seriously?!
Ethics compliance concerns for conflicts of interest may arise from unknown quarters. A pre-approval process is a chance to head off issues.
Outside Business Activities; Why, Exactly, Is Approval Required?
Understanding employee ethics compliance pre-approval for managing potential conflicts of interest in outside business activities.
Conflicts of interest: Why they Matter Outside Work
Understand the impact of outside conflicts of interest and how to manage them to protect your career, ethics, and employer’s reputation.
Your article could get your Employer in Trouble: Avoiding Compliance Pitfalls
Avoid compliance risks when publishing articles. Learn how to protect your career & employer by adhering to policies & avoiding pitfalls.
Who Is A Designated Person Under SEBI Guidelines?
Designated persons are those connected with the company and reasonably expected to have access to unpublished price-sensitive information or UPSI for that company and comes with several compliance obligations... read on for full details.
Definition of Relatives under SEBI Prevention of Insider Trading Guidelines
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.
Insider Trading vs. Trading Plans vs. Insiders
Filing trading plans provide a legal exemption from Insider Trading compliance obligations. Learn about trading plans.
Employee Trading Approvals – Why It’s Non-Negotiable
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 – Integration vs Irritation
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.
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Knowing what is Unpublished Price Sensitive Information (UPSI) is the first step to managing surrounding compliances, from employee trading to the structured digital database.
Limitations on Trading Activities by Research Analysts.
Trading Activities by Research Analysts – A look at the regulatory limitations and why they are there to start with.
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 vs. Front Running: Same Difference?
Insider Trading vs. Front Running: What is the difference, what are the ethical and legal implications of each.
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.
Affinis(SDD); the Fully Certified Structured Digital Database Solution
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
Structured Digital Database; The Info-Video
Watch the latest info-video launched to celebrate the successful certification of Affinis(SDD).
