Code of Conduct- Securities Dealing Procedures in terms of SEBI (Research Analysts) Regulations, 2014
INTRODUCTION
SEBI vide its Notification No. LAD-NRO/GN/2014-15/07/1414 dated 1st September, 2014 has notified SEBI (Research Analysts) Regulations, 2014 which are effective on/after expiry of 29th November, 2014 (Ninetieth day from the date of their publication if official gazette). These regulations have been introduced by SEBI with the objective of fostering transparency in security research and provide the investors with more reliable and useful information to make investment decisions.
These Code of Conduct – Securities Dealing Procedures are being implemented in line with these regulations.
APPLICABILITY
The policy shall be applicable to Sidharth Singh Dau Singh Rajput, (“RA”) Research analyst i.e. a person primarily responsible for preparation or publication of the content of the research report; or providing a research report or making ‘buy, sell/hold’ or ‘overweight / underweight’ recommendation or giving price target or offering an opinion on any security that are listed or to be listed in a Stock Exchange and its associates.
No staff member in possession of inside information may be involved in trading, making recommendations or publishing research with respect to the financial instruments to which the information relates.
Statutory Disclaimer:
“Investment in securities market are subject to market risks. Read all the related documents carefully before investing. Registration granted by SEBI and certification from NISM in no way guarantee performance of the intermediary or provide any assurance of returns to investors”
Sidharth Rajput – The Stock Savvy (Proprietor)
SEBI Registered Research Analyst – INH000016612
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