What is a Statement of Holdings in the context of Insider Trading compliances?
A Statement of Holding refers to a summary of all securities held by you in your Demat account as on a particular date. A request for your statement of holdings may be made by your compliance officer as part of the regulatory requirements surrounding employee personal account trading in addition to other similar requirements such as Trading Window Closures.
A request to submit the Statement of Holdings can be triggered by the Compliance Officer through Affinisio(ETT) trading pre-clearance and tracking software. The Compliance Office may also Close the Trading Window and intimate you via Affinisio(ETT) insider trading compliance software as required by regulatory controls over Employee Trading and Insider Trading.
Designated Persons can independently login and submit these statements or request trading approvals via Affinisio(ETT) employee trading and holdings tracking software.
