Services

INSIDER TRADING MANAGEMENT SERVICES

In the arena of capital & security markets, protection of interest of investors is the prime agenda of regulators. SEBI is very stringent with regard to safety and protection of investors from fraudulent market practices. In order to curb such practices, SEBI has put in place the Prohibition of Insider Trading Regulations to regulate the trading done by persons, who being connected to companies are benefited due to having possession of information that put them in an advantageous position to gain undue benefit as against the general public which does not have access to such insider information. These regulations originated way back in the year 1992 and since then efforts have been made by regulators to refine them into a concrete code that aims on keeping eye on such tradings and defining consequent effects of such manipulation.

The coverage on Regulations on Insider Trading has been widened to such an extent that now it not only applies to entities which are listed but also to persons connected to them whether directly or indirectly. Markets intermediaries such as bankers, brokers, registrars and who so ever is in any way connected to the company or any such person who is dealing in the shares of the company, are also under the eye of SEBI. The nature of the Regulations is inclusive and open ended, thereby keeping a more strict watch on the persons dealing in the securities of a Company on the basis of the unpublished price sensitive information and covering more people under the ambit of Insider trading. Hence there arises a need for corporate, connected person and intermediaries to adhere to the requirements prescribed under SEBI (Prohibition of Insider Trading) Regulations, 2015.

Corporate Professionals, a SEBI registered Category-1 Merchant Banker, having 13 years of rich experience of providing services in the field of securities law, corporate laws and finance ,also provides services related to management of insider trading such as planning and designing of code of conduct, compliance of disclosures requirements, obtaining approvals andconsents required to be made or obtained as per the regulations and their execution, conducting audit of insider laws and requirements thereunder, providing legal advisory on various matters related to Insider Trading, representing before various regulatory bodies such as Securities and Appellate Tribunal (SAT) and Securities and exchange board of India (SEBI), organizing workshops and seminars on Insider trading dos & dontsfor the employees as well as various other persons connected with the Company aware of the Insider Trading Regulations, and the obligations posed upon them thereunder, latest amendments and consequences of non-compliance& defaults thereto. Our aim is ensure that the Company and the persons connected, comply with the applicable Regulations in the best effective and efficient manner possible and ultimately safeguarding the Company from various risk caused due to non-compliance such as heavy penalties, time consuming litigations, damage of goodwill, etc.

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key offerings

Key Offerings

1

Planning and Designing of Code of Conduct

2

Compliance Advisory and Execution

3

Audit of Insider Laws

4

Legal Advisory

5

Representations before SAT, SEBI and Stock Exchanges

6

Training and workshops for Corporates

7

Web based application for Insider Trading management

Get In Touch

Ms. Mohini Varshenya

Assistant Vice President & Head - Insider Trading Management Services

mohini@indiacp.com

+91 9971673332

+91 11 40622231

our
clients

Testimonials

Corporate Professionals (CP) always impressed us with the Service orientation. CP is a team of professionals with whom doing work is very easy. They are knowledgeable, responsive and thorough; and all this at an excellent value. Their staff is well trained with broad skill sets.

Mr. Chy. Runveer Krishanan Company Secretary & Compliance Officer Read More

We really appreciate the right acumen offered by the Team of Corporate Professionals for getting our Company’s scrips listed at BSE. The journey of working with them was marvelous and full of valuable experiences!!!

Ms. Smita Agarwal Chief Financial Officer

Although first time listing on BSE was a challenging and cumbersome task for me & my team but the quality of professional services that is too with such a friendly manner provided by your whole team for enlistment of scrips of our Company

Mr. CS Jitesh Grover Group Head Secretarial & Compliance Dept.

We acknowledge that the team of Corporate Professionals is truly professional, supportive and enthusiastic in their approach towards work. We appreciate the expert advisory and assistance provided by them for the Direct Listing of our Company at BSE.

Mr. Harish Pande Director

We had Engaged the services of Corporate Professionals in the matter of direct listing of our scrips at Bombay Stock exchange.

Mr. Hardam Singh Company Secretary cum Head (Legal)

Over the last couple of years, Team Corporate Professionals has provided unwavering support to us with our Securities Law needs.

Mr. Sushil Suri Managing Director

We have had a relationship with Corporate Professionals for several years and, during this time, have received excellent services.

Mr. Mohit Maheshwari Company Secretary

Corporate Professional is a one of the great firm to work with, bringing expert knowledge, integrity and a very easy to work with approach.

Mr. Anil Sultan Chief Financial Officer Read More