Insider Trading Compliance Score Check

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Does your organization maintain a Structured Digital Database (SDD) with time-stamped entries and audit trails for all UPSI (Unpublished Price Sensitive Information) sharing?

Option A: Yes, with automated time-stamping and audit trail

Option B: Yes, but it's maintained manually

Option C: No, we don't currently maintain an SDD

Question 2 of 5

Is access to UPSI in your organization restricted and monitored, with role-based permissions?

Option A: Yes, with regular audits and logs

Option B: Partially – access is controlled but not monitored

Option C: No specific controls in place

Question 3 of 5

Do you maintain a dynamic insider list, updated in real-time, with details like PAN, contact info, and date of inclusion/removal?

Option A: Yes, and it's regularly updated and stored securely

Option B: Yes, but updates are manual and occasional

Option C: No, we do not maintain a structured insider list

Question 4 of 5

Do you have a centralized system to track communication (email, verbal, digital) of UPSI between insiders and external parties?

Option A: Yes, every UPSI exchange is logged and auditable

Option B: Only email-based UPSI is tracked

Option C: No, there is no such tracking mechanism

Question 5 of 5

If SEBI demands a report on UPSI flow or insider access during a specific period, can you generate and share it within 24 hours?

Option A: Yes, instantly through our system

Option B: It would take 2–3 days with manual compilation

Option C: It would be difficult or impossible

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Processes in SDD Software

Attractive Dashboard

Get a visually engaging and user-friendly dashboard that gives you a real-time overview of compliance activities. Navigate effortlessly with a clean and intuitive interface.

BenPOS Reporting

Simplify Beneficial Ownership (BenPOS) reporting with automated, accurate, and SEBI-compliant data submissions. Stay audit-ready at all times.

Communication

Streamline communication between compliance officers and insiders. Send alerts, notifications, and approvals through a centralized, secure channel.

Trading Window

Efficiently manage trading windows with real-time alerts and automatic tracking. Ensure insiders stay compliant with timely disclosures.

Audit Trails

Maintain a complete, tamper-evident log of all activities and actions. Ensure transparency and accountability across all compliance operations.

UPSI Reports

Track and manage Unpublished Price Sensitive Information (UPSI) seamlessly. Record disclosures and access controls with complete traceability.

Our Certifications

ISO/IEC 27001:2022 certification held by Naapbooks Limited

CMMI Maturity Level 3 appraisal held by Naapbooks Limited

ISO 9001:2015 certification held by Naapbooks Limited

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