Compliance with the SEBI (Prohibition of Insider Trading) Regulations, 2015 is critical for every listed company and organisations handling unpublished price sensitive information (UPSI). An effective insider trading compliance framework safeguards market integrity and protects companies from regulatory actions.
We assist organisations in designing, implementing and reviewing comprehensive insider trading compliance systems that align with regulatory requirements and industry best practices.
Our PIT Compliance Services Include:
- Drafting and review of the Code of Conduct
- Drafting and review of the Code of Fair Disclosure
- Structured Digital Database (SDD) implementation and review
- UPSI identification and management framework
- Identification of Designated Persons
- Trading Window management
- Pre-clearance process implementation
- Contra Trade monitoring
- Initial, continual and event-based disclosure compliance
- Digital compliance systems
- Compliance Officer advisory and support
- Quarterly and annual compliance reviews
- Review of internal controls relating to UPSI
- Compliance health checks
- Employee awareness programmes and training sessions
- Review of insider trading policies
- Assistance during SEBI inspections and regulatory queries
Our practical approach enables organisations to establish effective internal controls, minimise compliance risks and ensure seamless adherence to the Insider Trading Regulations.
