Unveiling UPSI: A Guide to Identifying Unpublished Price-Sensitive Information
Empower your employees with the knowledge to minimize legal risks, and safeguard your organization’s reputation by educating them on the various types of information that can be classified as UPSI. This invaluable resource will enable your team to maintain compliance and make well-informed decisions, ensuring the integrity of your business.
| Category of Information | Examples |
| Financial Results | Upcoming earnings announcements, quarterly or annual financial statements, profit/loss figures, revenue data, changes in financial performance or forecasts |
| Dividend Information | Declaration of dividends, dividend payout ratios, changes in dividend policies or rates |
| Mergers and Acquisitions | Plans for mergers, acquisitions, or takeovers, discussions or negotiations with potential buyers or sellers, information on the status or progress of a merger or acquisition |
| Changes in Capital Structure | Stock splits, bonus issues, buybacks, rights issues, issuance of additional securities, changes in capital structure or shareholding patterns |
| Key Managerial Personnel Changes | CEO appointments, resignations, changes in top management, appointment or removal of directors, changes in key executive positions |
| Material Contracts and Agreements | Signing of significant contracts, strategic partnerships, joint ventures, major supply or distribution agreements, licensing agreements |
| Product Launches and Innovations | Introduction of new products or services, significant updates or enhancements to existing products, technological advancements |
| Regulatory Approvals | Clearance from regulatory authorities for business operations, approvals for new products or services, regulatory changes impacting the company |
| Litigation and Regulatory Actions | Pending legal disputes, regulatory investigations, penalties, fines, settlements, or any significant legal developments |
| Expansion or Closure of Operations | Opening or closing of new business units, plants, or offices, major expansions or downsizing of operations |
| Technology Developments | Patents, research breakthroughs, new inventions, advancements in technology with potential commercial applications |
| Market Speculation | Rumors or speculation that may significantly impact the market, insider buying or selling activities, unusual trading patterns |
*Please note that this is not an exhaustive list, and other information not known to the public or that can potentially impact the price of a company’s securities may also be considered UPSI. It is important to exercise caution and refrain from trading or disclosing such information until it is made public.
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