Home » Knowledge Hub »

Safeguarding Market Integrity: Compliance Officer’s Role in Trading Window Closure under Insider Trading

Introduction The Compliance Officer under the Securities and Exchange Board of India (Prohibition…

Read More

Trading Plan under Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 2015 – Actionable and obligations

Introduction Securities and Exchange Board of India (‘SEBI’) (Prohibition of Insider Trading) (Second…

Read More

Challenges in Compliance with PIT Regulations by Intermediaries / Fiduciaries.

Background Unpublished Price Sensitive Information [‘UPSI’] is the most important aspect when it…

Read More

Deciphering the Commencement of UPSI in Acquisition Scenarios- A Comprehensive Analysis

Understanding UPSI and its Regulatory Implications Before delving into specific cases, it’s essential…

Read More

Role of Compliance Officer – Relevance of Standard Operating Procedures for compliance under SEBI (PIT) Regulations 2015

Introduction Compliance Officer under Securities and Exchange Board of India (Prohibition of Insider…

Read More

Upholding Compliance: The Compliance Officer’s Role in Adhering to the Code of Conduct while addressing Family Disputes within the ambit of Insider Trading Regulations

Introduction: In the intricate landscape of financial regulations, the role of a compliance…

Read More