AU Small Finance Bank has closed its trading window for dealing in securities from October 1, 2026. The restriction remains in effect until 48 hours after the declaration of financial results for the quarter and half year ending September 30, 2026.

This action is taken pursuant to the SEBI (Prohibition of Insider Trading) Regulations, 2015, and the bank's internal Code of Conduct regarding insider trading. The closure applies to Designated Persons and their immediate relatives, ensuring compliance with regulatory standards during the sensitive pre-results period.

Compliance and Regulatory Framework

The intimation was filed with the National Stock Exchange of India Ltd. and BSE Limited on September 30, 2026. The bank stated that the specific date for the Board Meeting to approve the aforementioned financial results will be communicated to the stock exchanges in due course.

Operational Implications

The trading window closure is a standard procedural requirement for listed entities in India prior to the release of material non-public information. By restricting trading activity among insiders, the bank aims to prevent potential misuse of confidential financial data. The results pertain to the second quarter and first half of the fiscal year 2027, covering the period ending September 30, 2026.

Investors and market participants should note that no trades involving the bank's securities can be executed by designated persons during this blackout period. The resumption of trading privileges for these individuals is strictly tied to the public disclosure of the quarterly performance metrics.

AU Small Finance Bank has re-appointed Vinay Vaish as the Head of Internal Audit for a one-year term effective October 7, 2026. The decision follows recommendations from the bank's Audit and Nomination and Remuneration Committees.

Vaish, a Chartered Accountant with over 30 years of experience, has led the internal audit function since October 2021. His tenure at the bank began in May 2015, where he previously served as Chief of Credit & Collections and Chief of Credit Risk.

Appointment details

The Board of Directors approved the re-appointment during its meeting on September 28, 2026. The disclosure was made under Regulation 30 of the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015.

The re-appointment comes upon the completion of his current two-year term on October 6, 2026. Vaish holds extensive experience across Risk Management, Credit, Collections, Governance, and Internal Audit functions.