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of <h1>Regulation 5F mandates asset management companies to establish codes of conduct for insider trading; CEOs/MDs to ensure compliance.</h1> Regulation 5F of the Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 2015 mandates that the board of directors of asset management companies must ensure the formulation of a code of conduct by the CEO or managing director. This code is to regulate, monitor, and report dealings in mutual fund units by designated persons and their immediate relatives, adhering to the minimum standards in Schedule B1. Similarly, entities handling unpublished price-sensitive information must establish a code of conduct following Schedule C standards. A compliance officer must be designated to oversee these regulations. This regulation applies to fiduciaries like auditors, consultants, and banks.
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