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Question 1

Which is the first country to ban insider trading?

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Question 2

As per SEBI (Prohibition of Insider Trading) Regulations 2015, an insider is required to submit trading plan in advance to the compliance officer for his approval.
Consider the below statements regarding trading plan.
Statement 1: It is submitted for a minimum period of 12 months.
Statement 2: An insider can start trading only after 12 months from public disclosure of trading plan.
Statement 3: Trading plan, once approved, will be irrevocable and the insider shall mandatorily have to implement the plan.
Which of the above statements is/are correct?

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Question 3

Insider trading in India is regulated by SEBI (Prohibition of Insider trading) Regulations 2015. Which of the following statements do not conform with these regulations?

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Question 4

Section 15G of the SEBI Act 1992 deals with the penalty for insider trading. What is the penalty specified as per this section?

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Question 5

Consider the following statements:
Statement 1: Every listed company is required to have an effective system of internal controls to prevent insider trading.
Statement 2: SEBI (Prohibition of Insider Trading) Regulations 2015 are based on the recommendations of M.H. Kania Committee.
Statement 3: An insider has to submit trading plan to compliance officer in advance and trading can start only after 6 months of public disclosure of plan.
Which of the above statements is/are correct?

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Question 6

Within how many days of appointment, a director or KMP is required to disclose to the company his holding of securities of the company as on the date of appointment?

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Question 7

Under whose Chairmanship, a committee was constituted to review SEBI (Prohibition of Insider Trading) Regulations 1992?

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Securities Market - Insider Trading

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