Build awareness. Strengthen internal controls. Reduce compliance risk. We help organisations translate SEBI's Insider Trading Regulations into practical employee training, clear policies and workable procedures.
For Listed Companies • Directors • Compliance Officers • Company Secretaries • Designated Persons • Intermediaries • Fiduciaries
Insider trading compliance is not limited to preventing illegal trades. It also involves identifying unpublished price sensitive information (UPSI), controlling its communication, monitoring trading activity and maintaining appropriate records.
Employees may unknowingly share sensitive information or misunderstand restrictions applicable to themselves and their immediate relatives.
Inadequate controls over UPSI, trading windows, pre-clearance and disclosures can create significant compliance exposure.
Organisations need appropriate records, monitoring mechanisms and evidence of compliance with applicable regulatory requirements.
An introduction to India Codes and our corporate training and compliance services.
Watch our introduction to understand how India Codes helps organisations simplify regulatory requirements, strengthen employee awareness and create practical training solutions.
Our services include Insider Trading Compliance, Labour Codes, POSH, SOP Digitisation and employee knowledge assessments.
Explore Insider Trading Services →Choose a focused awareness programme, a policy drafting assignment or a combination suited to your organisation's requirements.
Help employees and designated persons understand what the regulations mean in practical workplace situations.
Develop or review internal policies and codes with reference to applicable SEBI PIT requirements and the organisation's operations.
Training content can be customised for directors, designated persons, compliance teams and other employees according to their roles.
Insider trading violations may result in regulatory action, financial penalties and reputational consequences. Appropriate awareness and controls help organisations manage these risks.
For contraventions falling under Section 15G, the statutory penalty is not less than ₹10 lakh and may extend to ₹25 crore or three times the profits made from insider trading, whichever is higher. The actual outcome depends on the facts and applicable law.
Violations or weaknesses in compliance systems may lead to investigation, directions, internal disciplinary measures, remediation expenses and reputational damage. Different breaches attract different legal consequences.
Regulatory reference: SEBI Act, 1992, Section 15G, and the SEBI (Prohibition of Insider Trading) Regulations, 2015, as amended. This section provides general awareness information, not a prediction of penalties in any particular case.
Maintaining a Structured Digital Database is an important aspect of the applicable UPSI-sharing recordkeeping framework under the SEBI PIT Regulations.
We can discuss your organisation's SDD requirements, existing procedures and potential software or implementation support options.
Discuss SDD Requirements →We focus on making regulatory requirements understandable, practical and easier to implement within day-to-day business operations.
Realistic examples rather than regulation-heavy lectures alone.
Digital learning material that can support ongoing onboarding and refresher programmes.
Relevant content for directors, employees, designated persons and compliance teams.
Support stronger awareness, documentation and internal processes.
No. Depending on their roles and access to UPSI, employees, designated persons, immediate relatives, connected persons and external professionals may also need to understand applicable restrictions.
Yes. Training can be structured around the organisation's approved code of conduct, internal procedures and relevant employee responsibilities.
Yes. India Codes offers drafting and review support for insider trading policies and related compliance procedures, subject to an agreed scope of work.
Yes. Online awareness programmes can be planned for designated persons, employees, management or specific departments.
No. SDD requirements and software or implementation support are discussed separately based on the organisation's needs.
Whether you need employee awareness training, policy drafting, a compliance review or SDD-related support, we would be pleased to discuss your requirements.
India Codes | Train • Assess • Comply
