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Insider Trading Policy & Compliance Program
Insider Trading Poilicy

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Product Code: SOP-V-CT-441

A 17 page insider trading policy on the definition of insider trading, the structure of an insider compliance program, detailed policy language on prohibiting insider trading, definition of what facts are material in an insider trading issue, what data is considered non-public, who is considered an insider, insider reporting requirements, what happens when trading is done by persons other than insiders, penalties for insider trading activities, recovery of profits under Section 16(b), how it applies to a company required to comply, prevention techniques, etc.This is a thorough policy that will provide your organization with a strong start to a complete insider trading compliance program.

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