UPSI handling, trading window closures, the structured digital database, and the designated persons list — the controls SEBI's PIT Regulations, 2015 actually require, tested end to end.
Entity: ___ · Period: ___
Scope: compliance with SEBI (Prohibition of Insider Trading) Regulations, 2015 — applicable to listed companies and, for certain provisions, intermediaries and fiduciaries. Covers Unpublished Price Sensitive Information (UPSI) handling, trading window closures, the Structured Digital Database (SDD) under Regulation 3(5), and the Designated Persons (DP) list under the Code of Conduct.
This template follows the format published by the Institute of Chartered Accountants of India (ICAI) in the AASB Audit Working Paper Templates (June 2023), the authoritative reference for Indian statutory-audit documentation. Fill in your firm’s letterhead and the engagement details on the form above, click Download Word file, and you’ll get a fully formatted .docx ready to use.
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