How to Evaluate Insider Trading Compliance Software
Evaluation of insider trading prevention compliance software needs to be connected control at an enterprise level. Review the evaluation criteria.
Insider Trading Prevention: Policies Not Enough.
Bring together information, people, trading controls, monitoring system integrations and intelligence into a single platform for complete and automated insider trading prevention and SEBI Compliance.
UPSI – The List Expands
The definition of UPSI has grown to include items that may otherwise have been considered operational in nature.
Trading Plans – Reviewing SEBI’s Regulatory Shift
SEBI's proposed trading plan reforms aim to boost transparency and flexibility, yet compliance verification hurdles remain.
Employee Trade Pre-Clearance – Importance
The importance of employee pre-trade clearance for compliance with SEBI PIT Regulations and the role of insider trading compliance software.
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.
Insider Trading Risks In The Digital Age
Understand how regulators are navigating insider trading risks in the digital age armed with statutory powers of surveillance.
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.
Unpublished Price Sensitive Information: A Comprehensive Guide to UPSI
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.
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.
Affinisio(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
