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Regulatory Compliance

Code of Conduct

Last Verified:
Binding Document

PKC TRADING and its research analysts are dedicated to upholding the values of integrity, transparency, and professional excellence. This code applies to all our business activities and research practices.

1. Integrity and Good Faith

We conduct our business and research activities with the utmost honesty, fairness, and good faith. We ensure that our recommendations are driven solely by objective analysis and reliable data, free from deceit or manipulation.

2. Due Diligence and Analytical Rigor

Every research report is the product of diligent, independent verification. We exercise reasonable care to ensure that:

  • Facts are accurate and sourced from credible platforms.
  • Opinions are objective and justifiable based on current market conditions.
  • The methodology used is consistent and rationally defensible.

3. Transparency in Conflict of Interest

To maintain trust, we promptly disclose to our clients any actual or potential conflicts of interest. This includes revealing any significant financial holdings, beneficial ownership, or business relationships that might be perceived as influencing our research objectivity.

4. Prohibition of Insider Trading and Front Running

We strictly adhere to SEBI (Prohibition of Insider Trading) Regulations.

  • No Front Running: Analysts and employees are prohibited from trading in securities ahead of publishing research or recommendations on those same securities.
  • Confidentiality of UPSI: Any Unpublished Price Sensitive Information (UPSI) encountered is kept strictly internal and never used for personal gain.

5. Confidentiality and Data Security

We respect the privacy of our clients and the confidentiality of proprietary data. Any non-public information received in a professional capacity is safeguarded and used only for its intended compliance-approved purpose.

6. Maintenance of Professional Standards

We conduct ourselves in a manner that enhances the reputation of the market and our profession. We avoid making exaggerated claims, misleading statements, or engaging in hostile competition practices.

7. Regulatory Compliance

We operate in strict accordance with the SEBI (Research Analysts) Regulations, 2014 (SEBI Reg. No. INH000021836 | BSE Enlistment No. 6634). Any updates in regulatory norms are promptly integrated into our operational practices.

8. Accountability of Senior Management

The senior management of PKC TRADING is responsible for ensuring that this Code of Conduct is communicated, understood, and adhered to by all employees. Ongoing monitoring mechanisms are in place to detect and address any deviations.

© 2026 PKC TRADING | SEBI REG NO. INH000021836 | BSE ENLISTMENT NO. 6634
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