https://www.taxtmi.com/circulars?id=61722 Regulatory guidelines require AMCs and trustee companies to control employees' personal securities transactions to prevent conflicts of interest and misuse of price sensitive information. Access persons must obtain Compliance Officer pre clearance for non exempt secondary market trades, comply with time limited approvals and cooling off intervals where mutual fund schemes have transacted, and submit periodic transaction and holding disclosures. Prohibitions include front running, self dealing, carry forward and short sales; the Compliance Officer records approvals and the boards review compliance and report violations and remedial action to the regulator. en-us Tue, 08 May 2001 00:00:00 +0530 Fri, 12 Jul 2019 12:17:00 +0530 TaxTMI RSS Generator https://www.taxtmi.com/circulars?id=61722 Regulatory guidelines require AMCs and trustee companies to control employees' personal securities transactions to prevent conflicts of interest and misuse of price sensitive information. Access persons must obtain Compliance Officer pre clearance for non exempt secondary market trades, comply with time limited approvals and cooling off intervals where mutual fund schemes have transacted, and submit periodic transaction and holding disclosures. Prohibitions include front running, self dealing, carry forward and short sales; the Compliance Officer records approvals and the boards review compliance and report violations and remedial action to the regulator. Circulars SEBI Tue, 08 May 2001 00:00:00 +0530 https://www.taxtmi.com/circulars?id=61722