●
Earnings Feed
Filings
Companies
Insiders
Pricing
Blog
⌘
K
Login
Start Free
$SSNC
·
10-K
SS&C Technologies Holdings Inc · Feb 26, 4:16 PM ET
Share
SS&C Technologies Holdings Inc 10-K
Loading document...
Share
More
Contents
23
Introduction
Who Is Covered by This Policy?
This Policy covers all directors, executive officers and employees of SS&C and its world-wide subsidiaries and affiliates.
Policy Against Trading on the Basis of Material Non-Public Information
You may not purchase or sell SS&C securities or securities of another company if you know of material non-public information relating to SS&C or such other company.
Except with respect to Permitted Transactions (as defined below), no Covered Person may:
Certain Limited Exceptions for “Permitted Transactions”
The prohibitions set forth above do not apply to the following (each, a “Permitted Transaction”):
Examples of “Material” information include information about revenues or earnings, information about potential acquisitions or information about a client’s trading activities.
Other Types of Transactions That Are Prohibited
Certain types of trading activity are not appropriate for Covered Persons to engage in, or may subject SS&C to an unacceptable level of risk, and are therefore prohibited by this Policy. These include:
You may not trade on client data, e.g. by “front running” foreseeable client trades or replicating
client trading strategies.
▪ Conflict With Client Interests. No Covered Person may trade in a manner which is contrary to the interest of a current or prospective SS&C client, for example:
Your Obligation to Certify Your Compliance With This Policy
Am I Still Bound by This Policy After My Employment With SS&C Terminates?
Directors, Executive Officers and Certain Other Employees Are Prohibited From Trading in SS&C Securities During Blackout Periods
Directors, Executive Officers and Certain Other Designated Employees Must Pre-Clear All Transactions in SS&C Securities
All directors and executive officers are required to pre-clear all of their (and their Covered Persons’) trades in SS&C securities with the Chief Financial Officer or the General Counsel.
Penalties for Violation of This Policy
Company Assistance and Education
Administration and Interpretation of This Policy
If you have questions regarding this Policy, contact the General Counsel.
Contents
Share
More
Download PDF