Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® Corporate Communications, Disclosure and Insider Trading Policy 

Slides:



Advertisements
Similar presentations
HIPAA Privacy Practices. Notice A copy of the current DMH Notice must be posted at each service site where persons seeking DMH services will be able to.
Advertisements

Protect Our Students Protect Ourselves
Conflict of Interest, Conflict of Commitment, and Outside Activities UTSA HOP 1.33 Non-covered UTSA staff 1.
Protection of privacy for all Students!
HIPAA and Privacy An Overview of the New Federal Requirements of the Health Insurance Portability and Accountability Act (HIPAA) Reid Cushman, UM Ethics.
HIPAA Privacy Training. 2 HIPAA Background Health Insurance Portability and Accountability Act of 1996 Copyright 2010 MHM Resources LLC.
Health Insurance Portability and Accountability Act HIPAA Education for Volunteers and Students.
HIPAA. What Why Who How When What Is HIPAA? Health Insurance Portability & Accountability Act of 1996.
HIPAA Basic Training for Privacy & Information Security Vanderbilt University Medical Center VUMC HIPAA Website:
COBB/DOUGLAS COMMUNITY SERVICES BOARD Confidentiality and Privacy of Consumer Information.
HIPAA Privacy Training Your Name Here. © 2004 MHM Resources Inc.2 HIPAA Background Health Insurance Portability and Accountability Act of 1996.
The Health Insurance Portability and Accountability Act of 1996– charged the Department of Health and Human Services (DHHS) with creating health information.
HIPAA PRIVACY REQUIREMENTS Dana L. Thrasher Constangy, Brooks & Smith, LLC (205) ; Victoria Nemerson.
What is HIPAA? This presentation was created by The University of Arizona Privacy Office, The Office for the Responsible Conduct of Research on March 5,
1 HIPAA Education CCAC Professional Development Training September 2006 CCAC Professional Development Training September 2006.
NAU HIPAA Awareness Training
1 Louisiana Department of Health and Hospitals Basic HIPAA Privacy Training: Policies and Procedures 01/09/
COMPLYING WITH HIPAA PRIVACY RULES Presented by: Larry Grudzien, Attorney at Law.
HIPAA HIPAA Health Insurance Portability and Accountability Act of 1996.
Legal and Ethical Issues. 1. Describe and explain legal and ethical issues. 2. Describe guidelines for avoiding legal action and list methods for protecting.
1 Practical Ethics: Following the MTA’s Code of Ethics in the Real World A Webinar Presentation March 13, 2007 – Charles Comer, CMT.
Sizewise Code of Ethics, Conflict of Interest and Disclosure HR-CECID.
Legal Responsibilities for Board Members of Nonprofit Organizations Or…all you need to know to stay out of trouble. Presented: July 2007 Prepared by: Elsbeth.
© Copyright 2003 Latham & Watkins. All Rights Reserved. USC Institute for Corporate Counsel The SEC’s New Part 205 Regulations Brian G. Cartwright March.
1 The University of Texas at Tyler Protecting the Confidentiality of Social Security Numbers UTS165 Information Resources Use and Security Policy.
Copyright© 2010 WeComply, Inc. All rights reserved. 5/15/2015 Avoiding Insider Trading.
Sarbanes-Oxley Act. 2 What Is It? Act passed by Congress in response to the recent and continuing corporate scandals. Signed into law July 30, Established.
Congress and Contractor Personal Conflicts of Interest May 21, 2008 Jon Etherton Etherton and Associates, Inc.
Use of Non-Public Information and Other Securities Law Issues.
Matthew L. Harvey Office of General Counsel Illinois Commerce Commission.
Developing a Records & Information Retention & Disposition Program:
FERPA The Family Educational Rights and Privacy Act.
Stockholder Rights and Corporate Governance Stockholders Corporate Governance Executive Compensation: A Special Issue Shareholder Activism Government.
Version 6.0 Approved by HIPAA Implementation Team April 14, HIPAA Learning Module The following is an educational Powerpoint presentation on the.
FERPA 2008 New regulations enact updates from over a decade of interpretations.
Data Protection Paul Veysey & Bethan Walsh. Introduction Data Protection is about protecting people by responsibly managing their data in ways they expect.
Office of General Counsel Princeton University FERPA Issues for Princeton Administrators
HIPAA PRIVACY AND SECURITY AWARENESS.
An Educational Computer Based Training Program CBTCBT.
An Educational Computer Based Training Program CBTCBT.
Copyright© 2010 WeComply, Inc. All rights reserved. 9/19/2015 Record Management.
Established in 1996 to enforce standards for electronic health information & enhance the security and privacy of health information.
Business Law and the Regulation of Business Chapter 40: Securities Regulation By Richard A. Mann & Barry S. Roberts.
Family Educational Rights and Privacy Act (FERPA) UNION COLLEGE.
Insider Trading, Code of Ethics, and Procedures for Complaints re: Ethics & Accounting Controls By John Smith, General Counsel Investors, Inc.
Health Insurance Portability and Accountability Act of 1996 HIPAA Privacy Training for County Employees.
Mr. Fleming.  Law passed by Congress in  Right to Privacy ◦ Medical information of patient can only be shared with doctor and professionals administering.
© 2010 The McGraw-Hill Companies, Inc. Managerial Accounting and the Business Environment Chapter 1.
FAMIS CONFERENCE Mari M. Presley, Assistant General Counsel Florida Department of Education June 12, 2012.
Confidentiality A Training Without the Video. Laws FERPA (1976) or the Buckley Amendment (1994) IDEA (1991) KY Safe Schools (1998)
FACULTY DIRECTOR TRAINING OFFICE OF EDUCATION ABROAD 1 Legal Issues and Education Abroad.
DIRECTOR’S LEGAL LIABILITIES Doug Jackson Gungoll, Jackson, Collins & Box, P.C.
Session 12 Information management and security. 1 Contents Part 1: Introduction Part 2: Legal and regulatory responsibilities Part 3: Our Procedures Part.
FERPA for the Financial Aid Office NCASFAA Fall Conference November 2012.
CLCCS Mission The specific mission of each charter school of the Corporation is to create a powerful, safe,* secure,* active, project-based learning environment.
TASFAA 2016 Legacy of Leadership. TASFAA 2016 Legacy of Leadership Family Educational Rights and Privacy Act (FERPA) An Overview Molly Thompson Associate.
The Medical College of Georgia HIPAA Privacy Rule Orientation.
Somerset ISD Online Acceptable Use Policy. Somerset Independent School District Electronic Resources Acceptable Use Policy The purpose of this training.
HIPAA Training Workshop #3 Individual Rights Kaye L. Rankin Rankin Healthcare Consultants, Inc.
Protect Our Students Protect Ourselves
HIPAA Privacy & Security
Protection of CONSUMER information
Privacy & Confidentiality
HIPAA PRIVACY AWARENESS, COMPLIANCE and ENFORCEMENT
Disability Services Agencies Briefing On HIPAA
Move this to online module slides 11-56
Confidentiality of Information Acknowledgment and Agreement 2018
HIPAA Privacy & Security
Government Data Practices & Open Meeting Law Overview
Government Data Practices & Open Meeting Law Overview
Presentation transcript:

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® Corporate Communications, Disclosure and Insider Trading Policy 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® Preamble Public Disclosure Insider Trading Confidentiality 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® Preamble Public Disclosure Insider Trading Confidentiality 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® Ensure consistent standards and procedures for corporate communications Ensure timely compliance with regulations Ensure directors, officers and employees of SIRTEX understand corporate obligations Purpose of Policy The objectives of this policy are: 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® Directors Officers Employees All other individuals authorised to speak on “behalf of SIRTEX” (contractors, agents, distributors, proctors, consultants etc) Application of Policy The communication policy applies to: 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® Internal disciplinary action Civil penalties Criminal penalties Termination of employment without notice Non-Compliance Failure to comply with this policy may result in: 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® Preamble Public Disclosure Insider Trading Confidentiality 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® It is against the law and this policy for any person acting on behalf of SIRTEX to selectively disclose material and non-public information to securities professionals or to stockholders of SIRTEX under circumstances where it is reasonably foreseeable that the stockholder may be likely to trade on the basis of such information, unless the information is simultaneously disclosed to the public. Public Disclosure - Definition Public Disclosure: 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® Chairman CEO CFO Company secretary Others designated in writing by the CEO and/or the Company secretary (the “Authorised Company Representatives”). Public Disclosure – Who is acting on behalf of SIRTEX The only individuals authorised to represent SIRTEX in its dealings with securities professionals and stockholders, including institutional investors, are 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® Material information is any information that a reasonable investor would consider important in making an investment decision. This includes but is not limited to: Public Disclosure – What is material information Financials Change in corporate objectives Product discovery FDA activities Legal action Change in management 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® Material information is “non-public” if it has not been disseminated in a manner making it available to investors generally. Public Disclosure – What is non-public information 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® We must organise and facilitate dissemination of non-material information Speaking engagements and presentations by employees of SIRTEX must be approved in advance Directors, officers or employees who are not authorised company representatives must not respond to inquiries from the investment community, the media or others, unless specifically asked to do so by an authorised company representatives. Public Disclosure of non-material information 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® If a director, officer or employee of SIRTEX becomes aware that non-public material information has been selectively disclosed by a person acting on behalf of SIRTEX, the Chairman, CEO, CFO, director, company secretary should be contacted immediately. Public Disclosure - Reporting of Violations 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® Preamble Public Disclosure Insider Trading Confidentiality 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® All employees, officers and directors of SIRTEX who have knowledge of undisclosed material information relating to SIRTEX or its business are expressly prohibited from buying or selling, exercising options to buy or sell or tipping someone else to buy or sell (or not to buy or sell), securities of SIRTEX unless and until such information has been publicly disclosed and disseminated. Insider Trading Policies 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® This prohibition applies to family members and others living in your household who gain access to or become aware of inside information. All employees, officers & directors of SIRTEX are also responsible for compliance within their own environment. Insider Trading Policies 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® There are three scheduled permitted trading periods each year. These follow bi-annual disclosures of earnings, and AGM. Insider Trading Policies - Blackout Periods The trading window is defined as the period two days after and no later than 45 days after the company has released its annual or half yearly results to the market, or held its AGM. Anytime outside these trading windows is to be considered a black-out period The trading periods are as follows: 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® Preamble Public Disclosure Insider Trading Confidentiality 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® All directors, officers and employees of SIRTEX who know material information relating to SIRTEX that has not been communicated to the public are prohibited from communicating that information internally or externally to anyone else, except as may be necessary in the course of business to persons who “need-to-know” the information in order to perform his or her responsibilities at SIRTEX. Confidentiality 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® Documents and files containing confidential information should be kept in a safe place to which access is restricted to individuals on a need-to-know basis. Confidential matters should not be discussed in places where the discussion may be overheard, such as elevators, hallways, restaurants, airplanes or taxis. Use of analogue wireless telephones or other analogue wireless devices to discuss confidential matters should be avoided, where possible. Confidentiality The following procedures should be observed at all times: 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® Confidential documents should not be read or displayed in public places and should not be discarded where others can retrieve them. Employees must ensure that they maintain the confidentiality of information in their possession outside of the office as well as inside of the office. Transmission of documents by electronic means, such as by fax or directly from one computer to another, should be made only where it is reasonable to believe that the transmission can be made and received under secure conditions. Confidentiality 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® Unnecessary copying of confidential documents should be avoided and documents containing confidential information should be promptly removed from conference rooms and work areas after meetings have concluded. Extra copies of confidential documents should be shredded or otherwise destroyed. Access to confidential electronic data should be restricted through the use of passwords. Confidentiality 

Training Module 11 – Version 1.1 For Internal Use Only Communication Policy ® Preamble Public Disclosure Insider Trading Confidentiality 