Confidential Info, Intellectual Property, Privacy - CA Technologies
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Confidential Information, Intellectual Property and Privacy Rights

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Policy against insider trading and tipping

Under U.S. insider trading laws, you and your immediate family members may not, either directly or through other persons or entities, buy or sell CA Technologies securities (such as stocks, bonds, or put or call options) while you are in possession of material non-public information relating to the Company, even if the decision to trade is based on other factors. These laws—including the definitions of "material" and "non-public" and other types of transactions covered—are very broad. If you are considering engaging in a transaction in CA Technologies securities you should first review our Policy Against Insider Trading and Tipping to ensure that any such activity is in compliance with our Policy. If you have any questions or concerns about the Policy or generally around the rules governing the trading of CA Technologies securities, please contact a member of the Worldwide Law Department for advice.

In addition, there may be situations where through your work at CA Technologies you receive material non-public information about another company. Trading in the securities of that company under these circumstances is also prohibited by our Policy and the law.

Finally, you should never recommend or suggest that anyone else buy or sell the securities of CA Technologies or another company while you are in possession of material non-public information. Such "tipping" can be every bit as illegal as engaging in trading that is prohibited by insider trading rules.

What would you do?

I planned to sell CA Technologies stock this Thursday to pay my son's college tuition. On Wednesday, I became aware of material non-public information about CA Technologies.

Can I sell the stock on Thursday anyway since I was planning on doing so even before I became aware of the material non-public information?


You must wait until after the information has been disseminated to the public and the market has had a chance to absorb the information, generally at least one complete trading day.

Contacts with the media, investors and the public

You should never discuss the Company or its business with the media or investment community unless you have been expressly authorized to do so as part of your job by CA Technologies Chief Executive Officer. If you are contacted by a member of the media community regarding a matter involving the Company, you must refer the contact to the Corporate Communications Department. If you are contacted by a member of the investment or analyst community regarding a matter involving the Company, you must refer the contact to the Investor Relations Department.  You must also never disclose material, non-public information about CA Technologies to anyone outside the Company, including securities professionals, security holders, or potential investors without appropriate prior approvals and involvement of the Worldwide Law Department. For more information, see the Compliance with Securities and Exchange Commission Regulation FD Policy.

What would you do?

You read a newspaper article which erroneously reports the Company is doing poorly and you want to respond by a letter to the editor correcting the mistakes in the article by describing expected strong earnings.

Is that okay?   No.

Regardless of your motivation, disclosing material, non-public information in this manner could be considered a violation of Company policy. You should contact the Corporate Communications Department to alert them of the story and let them decide the next steps, if any.

Other company confidential information

CA Technologies regularly creates valuable, non-public ideas and information of many types, which the law allows us to protect from use by outsiders. Some examples of Company confidential information are:

  • Research, formulas, source code, object code or other know-how or technical data
  • Information concerning new products, product functions or services
  • Sales or marketing databases, strategies, pricing, plans and proposals, including information about existing or potential customers or business partners
  • Information about an acquisition target or a planned or pending acquisition or divestiture
  • Non-public financial targets or projections
  • Personnel records
  • Trade secrets of any sort, including information relating to CA Technologies vendors, customers or partners

Because of its importance to our business, you must protect the confidentiality of CA Technologies proprietary information just as you would any tangible resource belonging to the Company. Among other things, confidential information must be accessed, stored and transmitted in a manner consistent with Company policy and procedure. If you learn about or suspect any misuse, unauthorized use or improper requests for access to confidential information, you must immediately notify your manager or any member of the Worldwide Law Department.

If you have a business need to share the Company's confidential information with persons outside CA Technologies, you may only do so after getting appropriate internal approval and engaging the Worldwide Law Department who will work with you to make sure that an appropriate non-disclosure agreement is in place.

What would you do?

In the course of your work you come across a spreadsheet from a fellow Sales representative that contains information from his previous employer about their customer's product sales, pricing and customer product renewal dates and amounts.

Can you use this information?


Information from a previous employer is the property of that previous employer and cannot be used at CA. The information should be deleted, should not be forwarded, and the incident reported to management and the Business Practices and Compliance Team.

Third-party confidential information

We sometimes receive information from our customers, vendors, business partners and other third parties that has been provided to us on the condition that we keep it confidential. When we agree to these confidentiality provisions, we must make sure that we are adequately safeguarding the confidentially of such information in accordance with Company policy and procedure (which generally requires the same level of care that we would use to safeguard our own confidential information). Additionally, we must ensure that we are not using or disclosing, or inducing CA Technologies employees, contractors or business partners to use or disclose, any confidential information that belongs to others, including prior employers.

It is your responsibility to understand the particular terms that apply to safeguarding third-party confidential information. You should never bring confidential information belonging to another entity (such as a former employer) to a CA Technologies office nor should you load such information onto a CA Technologies computer or device or use or share such information in the performance of your job.

Information about competitors

Obtaining information about competitors can be important to our business; however, the rules around the types of competitive information we may lawfully use can be very tricky. You must never use improper means, deception or any activity that is illegal to obtain confidential information, nor should you receive or use such information that has been obtained by a third party through improper means. You should promptly consult with a member of the Worldwide Law Department any time you have questions or concerns about competitive information or are simply unsure about whether you are allowed to use or obtain a certain piece of information.

Other types of intellectual property

Certain information belonging to the Company is characterized as "intellectual property"—including patents, copyrights, trade secrets, trademarks and trade dress. It is the Company's policy to establish, protect, maintain and defend its rights in all intellectual property and to use those rights in responsible ways. Additionally, CA Technologies respects the intellectual property rights of others. Because this is a complex and often technical subject, you should contact the Worldwide Law Department with any questions regarding intellectual property.

What would you do?

In the course of your work you erroneously receive an email from your customer that contains information that is confidential or competitively sensitive about a competitor.

Can you act upon this information?


You were erroneously added to an email meant for others, and the correct thing to do is to delete the email, not forward it to others, and reply back to the sender stating you were added in error, and that you have deleted the email.

Data protection and privacy

We are committed to complying with applicable privacy and data protections laws wherever the Company does business. All Personally Identifiable Information ("PII") that CA Technologies maintains about its employees, customers, prospects, vendors, or partners—even just a name or email address of an individual—must be collected and used only for its intended and lawful purpose and with the appropriate notice to and/or consent of the individual, as required by local law. PII should always be kept up-to-date, accurate and secure, and should not be kept for longer than is necessary. PII should not be transferred to other employees unless they have a legitimate business need for that information. PII should not be transferred to third parties without first consulting with your local Privacy Officer in the Worldwide Law Department.

Privacy rights

Certain sensitive personal or financial information should never be collected or used without prior approval from your local Privacy Officer due to the risks associated with using and securing such information. The general types of information that we are referring to here include information about social security or tax ID numbers, bank account numbers, credit/debit card numbers, driver's license information, birth dates, maiden names, racial or ethnic origin, political opinions, religious and philosophical beliefs, trade union memberships, sexual life, criminal activity, physical and mental health-related information or any information that can be used to access a person's financial resources.

This type of information should not be kept on any laptop or other mobile device and must be encrypted before it is sent to anyone electronically.


You ask a colleague for a list of CA employee names and office locations that you need for a business project. The colleague inadvertently sends a spreadsheet with the list of employees and their national identification numbers.

What should you do?

Because national identification numbers are considered "highly confidential" (as defined in our Data Classification Policy) it is important that you treat this information very carefully. The loss or unauthorized access to certain highly confidential information could result in substantial damages to CA as well to the affected individuals. You should promptly delete the email you received from your inbox and contact the CA Technologies Privacy Officer for further guidance.

We're Here for You

Contact the Business Practices and Compliance team if you have any questions or concerns.

Call 1-800-648-8014

(US and Canada only)
All other countries go to:
Call us at 1-800-225-5224
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