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Example Of A Personal Trading Policy.pdf

personal-securities-trading-policy.pdf
Preview of Example of a Personal Trading Policy
🔗 Source: bnymellon.com
📊 Size: 370 KB
👤 Author: Ekta Agarwal
⬇️ Downloads: 268

Summary

I-A-045, Personal Securities Trading Policy, is effective March 13, 2025, and applies to all BNY employees. The policy aims to prevent conflicts of interest and ensure compliance with applicable laws and regulations regarding personal securities trading. Key provisions include avoidance of conflicts of interest, restrictions on trading in firm securities, non-firm securities, initial public offerings, private placements, and firm-affiliated Volcker Covered Funds. Monitored employees, who have access to sensitive information, are subject to additional requirements, such as reporting, preclearance, and prohibition on short-term trading. The policy also outlines governance and responsibilities, including adherence to the policy, control, and periodic review. An addendum for EMEA (Europe, Middle East, and Africa) provides region-specific requirements and restrictions.

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Description

I-A-045, Personal Securities Trading Policy, is effective March 13, 2025, and applies to all BNY employees.

Technical Information

  • File Format: PDF
  • File Size: 370 KB
  • Pages: 27
  • Language: EN
  • Author: Ekta Agarwal
  • Total Downloads: 268
  • Last Updated: 1 week ago

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This PDF document about Example of a Personal Trading Policy provides comprehensive information and guidance. Whether you're a beginner or advanced user, this resource offers valuable insights into Example of a Personal Trading Policy.

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