This Policy Statement implements procedures to deter the misuse of material, nonpublic information in securities transactions. The Policy Statement applies to securities trading and information handling by directors, officers and employees of the company (including spouses, minor children and adult members of their households).
Montana Policies and Procedures Designed to Detect and Prevent Insider Trading
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Federal securities laws prohibit the purchase or sale of securities by persons who are aware of material nonpublic information about a company, as well as the disclosure of material, nonpublic information about a company to others who then trade in the company's securities.
The legislation regarding insider dealing means that anyone who trades on the basis of information that isn't in the public domain is acting illegally.
SEC Rule 10b-5 prohibits corporate officers and directors or other insider employees from using confidential corporate information to reap a profit (or avoid a loss) by trading in the Company's stock. This rule also prohibits ?tipping? of confidential corporate information to third parties.
MAR requires that issuers create an insider list in a specific digital format and make every reasonable effort to ensure that any person on the insider list acknowledges in writing their legal and regulatory duties relating to the use of inside information and preventing insider trading.
How to Create More Robust Securities Compliance and Reduce Insider Trading Risk Have a Securities Trading Policy in Place. Monitor Personal Trade Activities. Communicate Blackout Periods. Record and Maintain Insider Lists. Set Up a Pre-Clearance Process. Make it Your Business to Be a Business with Ethics.
Those who in the course of their employment with BMS have material, non-public information relating to another company (such as a customer, vendor, supplier, other business partner, potential business partner, or potential acquisition target), are prohibited from buying or selling the Securities of such company, or ...
How to reduce the risk of insider trading Conduct due diligence. ... Take extra care outside of the office. ... Clearly define sensitive non-public information. ... Never disclose non-public information to outsiders. ... Don't recommend or induce based on inside information. ... Be cautious in informal or social settings.
If any Designated Person contravenes any of the provisions of the Insider Trading Code / SEBI Regulations, such Designated Person will be liable for appropriate penal actions in ance with the provisions of the SEBI Act, 1992. The minimum penalty under the SEBI Act, 1992 is Rs. 10 Lakhs, which can go up to Rs.