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Allegation of Non-compliance with Code of Conduct under Insider Trading Regulations is distinct from the charge of insider trading itself

  • By Regstreet Law Advisors
  • / June 30, 2021
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A Company through its Compliance Officer is required to close the trading window when a UPSI comes into existence.

In a recent case, SEBI settled and disposed off the proceedings against a compliance officer who was alleged to have not closed the trading window. SEBI claimed that UPSI was created when Bliss GVS Pharma Limited (BGPL), a listed company, through its subsidiary Bliss GVS Healthcare Limited (BGHL) procured a USD 35 Million contract in Kenya for providing healthcare services and before this announcement made on stock exchanges, its Compliance Officer was required to close the trading window for BGPL.

Without accepting or denying the allegations,ย Regstreet Law Advisorsย obtained the settlement order for the compliance officer.

In-the-matter-of-Bliss-GVS-Pharma-Limited-1Download

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