TaxTMI Login
Just a moment...
Press 'Enter' to add multiple search terms. Rules for Better Search
of 
of 
No Folders have been created
Are you sure you want to delete "My most important" ?
NOTE:
of of 
All Acts & Rules
of of All Acts & Rules
Note
Bookmark
Share
Don't have an account? Register Here
of <h1>Asset Management Firms Must Strengthen Insider Trading Controls Under SEBI Regulation 5H; Annual Reviews Required</h1> Regulation 5H of the SEBI (Prohibition of Insider Trading) Regulations, 2015 mandates that asset management companies establish internal controls to prevent insider trading. The CEO or Managing Director, with trustee approval, must identify employees with access to sensitive information, maintain its confidentiality, restrict its communication, and review internal controls periodically. The board of directors and audit committee are responsible for ensuring compliance and reviewing the effectiveness of these controls annually. Companies must also have policies for investigating leaks of sensitive information and a whistle-blower policy for reporting such leaks. Intermediaries and fiduciaries must cooperate in inquiries related to information leaks.
TaxTMI 
TaxTMI 
