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AFSL Insider Trading and Personal Dealing Policy Template (including Personal Trading Declaration)



This template is a complete Insider Trading and Personal Dealing Policy that is easily customisable to your business. The document outlines when dealing by employees is permitted, and also sets out procedures to reduce the risk of insider trading in accordance with the relevant provisions in the Corporations Act and the Corporations Regulations.

This document requires all representatives to notify the company of certain intended transactions prior to the transaction taking place. It also includes a declaration for all representatives to sign in relation to their personal trading.

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Go back to AFSL Compliance Documents and Policies.