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of <h1>Regulation 9A mandates CEOs to establish internal controls against insider trading, ensuring confidentiality and compliance in listed companies.</h1> Regulation 9A of the Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 2015 mandates that the CEO, Managing Director, or equivalent of a listed company, intermediary, or fiduciary establish robust internal controls to prevent insider trading. These controls include identifying employees with access to unpublished price-sensitive information, maintaining confidentiality, restricting communication of such information, and maintaining lists of individuals with access. Boards must ensure compliance, and audit committees review these controls annually. Companies must have policies for handling leaks of sensitive information and a whistle-blower policy to report such leaks, with intermediaries and fiduciaries required to cooperate in inquiries.
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