This Policy Statement implements procedures to deter the misuse of material, nonpublic information in securities transactions. The Policy Statement applies to securities trading and information handling by directors, officers and employees of the company (including spouses, minor children and adult members of their households).
Georgia Policies and Procedures Designed to Detect and Prevent Insider Trading
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FAQ
Market surveillance activities: This is one of the most important ways of identifying insider trading. The SEC uses sophisticated tools to detect illegal insider trading, especially around the time of important events such as earnings reports and key corporate developments.
Insider trading by a designated person or their close associates is forbidden at all times. ing to SEBI laws, a Designated Person who buys or sells any number of the company's stocks may not engage in a contrary transaction within 6 months of the date.
No Insider may give trading advice of any kind about the Company to anyone, whether or not such Insider is aware of material nonpublic information about the Company. No Insider may trade in any interest or position relating to the future price of Company Securities, such as a put, call or short sale.
Before it escalates to the government level, most companies take several measures to prevent insider trading within their securities. Some companies have blackout periods when officers, directors, and other designated people are barred from purchasing the company's securities (usually around earnings announcements).
On December 14, 2022, the Securities and Exchange Commission (the ?Commission?) adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 (the ?Exchange Act?), which provides affirmative defenses to trading on the basis of material nonpublic information in insider trading cases.
In most cases, when an insider executes a transaction, he or she must file a Form 4. With this form filing, the public is made aware of the insider's various transactions in company securities, including the amount purchased or sold and the price per share.
SEC Rule 10b-5 prohibits corporate officers and directors or other insider employees from using confidential corporate information to reap a profit (or avoid a loss) by trading in the Company's stock. This rule also prohibits ?tipping? of confidential corporate information to third parties. Who is an insider?
No person shall procure from or cause the communication by any insider of unpublished price sensitive information, relating to the Bank or securities listed or proposed to be listed, except in furtherance of legitimate purposes, performance of duties or discharge of legal obligations.