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TMI BlogReporting to Stock Exchanges regarding violations under Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 2015 relating to the Code of Conduct (CoC).X X X X Extracts X X X X X X X X Extracts X X X X ..... stered with SEBI under Section 12 of the SEBI Act, 1992 3. Fiduciaries as per SEBI (Prohibition of Insider Trading) Regulations, 2015 Dear Sir/Madam, Sub: Reporting to Stock Exchanges regarding violations under Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 2015 relating to the Code of Conduct (CoC). 1. Vide Gazette Notification No. SEBI/LAD-NRO/GN/2020/2 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... een suitably modified and placed at Annexure A. The listed companies, intermediaries and fiduciaries shall inform the violations of PIT Regulations relating to CoC as per the revised format to the Stock Exchange(s). 4. Further, in terms of clause 12 of Schedule B and clause 10 of Schedule C read with Regulation 9 of the PIT Regulations, any amount collected by the listed companies, intermediaries ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ISD/ISD/CIR/P/2019/82 dated July 19, 2019. 7. 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 PIT Regulations and to protect the interests of investors in securities and to promote the development of and to regulate the securities market and shall come into force with i ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... kbox Reporting in capacity of : ☐ Listed Company ☐ Intermediary ☐ Fiduciary 3 A. Details of Designated Person (DP) i. Name of the DP ii. PAN of the DP iii. Designation of DP iv. Functional Role of DP v. Whether DP is Promoter or belongs to Promoter Group B. If Reporting is for immediate relative of DP i. Name of the immediate relative of DP ii. PAN of the immediate ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... e of transfer to SEBI - IPEF (Online/Demand Draft) ii. Details of transfer/payment In case of Online: Particulars Details Name of the transferor Bank Name, branch and Account number UTR/Transaction reference Number Transaction date Transaction Amount (in Rs.) In case of Demand Draft (DD): Particulars Details Bank Name and branch DD Number DD date DD amount (in Rs.) 9 Any other ..... X X X X Extracts X X X X X X X X Extracts X X X X
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