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of <h1>SEBI Sets Code of Conduct Standards for Intermediaries; Requires Trade Monitoring, Reporting, and Compliance with Sanctions for Violations.</h1> The Securities and Exchange Board of India (SEBI) outlines minimum standards for the code of conduct for intermediaries and fiduciaries to regulate, monitor, and report trading by designated persons. Compliance officers must report to the organization's board or audit committee, ensure information is shared on a need-to-know basis, and manage pre-clearance of trades. A restricted list of securities is maintained, and trades must be executed within specified timeframes. Contra trades are restricted, with exceptions requiring written justification. Violations must be reported to stock exchanges, and designated persons must disclose specific personal and financial information. Sanctions for non-compliance include wage freezes and suspensions.
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