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Volody Insider Trading
Compliance Platform

Volody Insider Trading Compliance Platform

Volody's insider trading software is intelligent, cloud-based software designed for the company secretaries and compliance officers to monitor, follow and track all the compliances related to insider trading. Be it trading on your own company shares or trading on restricted shares, our Insider Trading Software help you manage all.

Applicability of SEBI (Prohibition of Insider Trading) Regulation is fairly vast and it is applicable to listed companies, banks, investment banks, NBFCs,Auditors, Rating Agencies, Stock Exchanges, Clearing House, Registrars &Transfer Agents, mutual funds, insurance companies, investment companies, Internal Auditors, Practicing Company Secretaries.

As per the new amendment, SEBI has made additional compliances as below effective Apr 1, 2019:
  • All listed company and connected persons as defined under the regulation are required to maintain a structured digital database with adequate internal controls, containing the name of the person with whom UPSI is shared and nature of UPSI.
  • While sharing UPSI, listed company/intermediaries should serve a notice on, or sign a confidentiality/ non-disclosure agreement with, a person with whom UPSI is shared, informing him/her that he/she has to ensure compliance of PIT Amendment Regulations while in possession of UPSI shared with him/her.
  • Maintaining a list of all employees and other persons with whom unpublished price sensitive information is shared and confidentiality agreements shall be signed or notice shall be served to all such employees and persons
  • Database of all employees, immediate dependents & persons with material financial relationship

  • Holding statement of all employees, immediate dependents and persons with material financial relationship.

  • Systemic work-flow for all trading approvals, upload of broker notes and monthly demat statement.

  • Database with adequate internal controls, containing name of person and sharing of UPSI.

  • Database of employees and other persons with whom UPSI is shared and repository of executed confidentiality agreements.

  • Blackout period / no-trading windows.

  • Information on Trading plans & approval mechanism.

  • Restricted securities list.

  • Escalation for non-compliances to various levels.

  • Centralized communication with all the users.

  • Email & Notification alert for all events.

  • MIS, Dashboard, Reconciliation with shareholders data.

  • Audit trail and centralized data storage.

  • Insider Trading regulations and internal policy.

  • SEBI compliances - Form A, Form B, Form C & Form D.

  • SEBI regulations, User Manual, Internal policy & FAQ.

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