Insider transaction disclosure requirement: employees and trustees must report investee-company trades for conflict review and trustee guidance. Regulation 49T mandates disclosure to the compliance officer, within one month, of all transactions in investee companies by trustees, employees or directors of the asset management company or trustee company; the compliance officer must assess possible conflicts of interest and report with recommendations to the trustees, and covered persons may request trustees' views prior to entering such transactions.
Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
Provisions expressly mentioned in the judgment/order text.
Insider transaction disclosure requirement: employees and trustees must report investee-company trades for conflict review and trustee guidance.
Regulation 49T mandates disclosure to the compliance officer, within one month, of all transactions in investee companies by trustees, employees or directors of the asset management company or trustee company; the compliance officer must assess possible conflicts of interest and report with recommendations to the trustees, and covered persons may request trustees' views prior to entering such transactions.
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