Standardizing Reporting of violations related to Code of Conduct under SEBI (Prohibition of Insider Trading) Regulations, 2015.

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..... 1. In terms of Regulation 9(1) and 9(2) of SEBI (Prohibition of Insider Trading) Regulations, 2015 (the Regulations), the Board of Directors of every listed company and the Board of Directors or head(s) of the organization of every intermediary and fiduciary are required to formulate a Code of Conduct for designated persons and their immediate relatives and monitor its compliance and promptly inform SEBI about any violations of the Code of Conduct in accordance with Clause 13 of Schedule B (in case of a listed company) or Clause 11 of Schedule C (in case of an intermediary or fiduciary) of the Regulations as applicable. 2. In compliance with the above requirement, SEBI has been receiving various referen .....

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..... tiation of appropriate action against them. 5. The provisions of this circular shall come into effect from the date of the circular. 6. This circular is issued in exercise of the powers conferred under Section 11(1) of the Securities and Exchange Board of India Act 1992 read with regulations 4(3) and 11 of the Regulations and to protect the interests of investors in securities and to promote the development of, and to regulate the securities market. 7. This circular is available on SEBI website at www.sebi.gov.in under the category Circulars Yours faithfully, Deepti Agrawal Deputy General Manager Tel.No : 26449616 .....

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..... 6 Functional Role of DP 7 Whether DP is Promoter /Promoter Group/holding CXO level position (e.g. CEO, CFO, CTO etc.) 8 Transaction details a) Name of the scrip b) No of shares traded (which includes pledge) and value (Rs) (Date- wise) 9 In case value of trade(s) is more than ₹ 10 Iacs in a calendar quarter - a) Date of intimation of trade(s) by con .....

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