Checklist

Get started with the Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 2015, Checklist, published on June 24, 2020.

No. Regulation Brief Disclosure Format
1 Regulation 7(1)(a) Initial Disclosures
Who: Promoters, Directors, KMPs
Whom: to the Company
What: Disclose the securities' holding
Exempted: Other Designated Persons, Insiders
Exchange: No filling/ intimation to Stock Exchange
 30 Days of May 15, 2015 Form A
2 Regulation 7(1)(b) Subsequent Initial Disclosures
Who: Promoters, Directors, KMPs
Whom: to the Company
What: Disclose the securities' holding
Exempted: Other Designated Persons, Insiders
Exchange: No filling/ intimation to Stock Exchange
 Within 7 Days of appointment as Director/ KMP or becoming a promoter Form B
3 Regulation 7(2)(a) Continual Disclosures
Who: Promoters, Directors, Employees
Whom: to the Company
What: Number of securities transacted, if the value of total transactions exceeds Rs. 10 Lacs in a calendar quarter
Exempted: Other Insiders, connected persons
Exchange: Yes, by the Company
 Within 2 Trading Days of Transaction taking place Form C
4 Regulation 7(2)(b) Disclosure by the Company
Who: the Company
Whom: Stock Exchange
What: Particulars of trading of which the value of total transactions exceeds Rs. 10 Lacs in a calendar quarter
Exempted: Other Insiders, connected persons
Exchange: Yes, by the Company
 Within 2 Trading Days of Transaction taking place Form C
5 Regulation 7(3)(a) Disclosure by the Connected Person
Who: Connected Person
Whom: the Company
What: Disclosure of holdings and trading in securities
Exempted: Other Insiders, connected persons
Exchange: No filling/ intimation to Stock Exchange
 Company can define its own timeline/ awareness Form D

Note: The checklist is prepared by Erience Solutions, based on the Rules and Regulations notified from time to time.