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5 December 2023Updated Securities Trading Policy Zip Co Limited (ASX: ZIP) (Zip, or the Company) attaches a copy of the updated Securities Trading Policy in accordance with ASX Listing Rule 12.10.

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How to fill out securities trading policy

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Step 1: Start by reading and understanding the securities trading policy document.

02

Step 2: Determine the scope and applicability of the policy to your specific role and responsibilities.

03

Step 3: Familiarize yourself with the rules and regulations governing securities trading in your jurisdiction.

04

Step 4: Follow the guidelines provided in the policy for pre-clearance of securities transactions.

05

Step 5: Make sure to report all securities transactions as required by the policy.

06

Step 6: Adhere to any blackout periods or restrictions on trading as outlined in the policy.

07

Step 7: Keep records of all securities transactions and relevant documentation for auditing purposes.

08

Step 8: Stay updated with any amendments or changes to the securities trading policy and comply accordingly.

09

Step 9: Seek clarification or guidance from the designated compliance officer if you have any doubts or questions.

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Step 10: Regularly review and refresh your knowledge of the securities trading policy to ensure ongoing compliance.

Who needs securities trading policy?

01

Securities trading policy is needed by individuals or entities involved in securities trading, such as employees of financial institutions, investment firms, or publicly-traded companies.

02

It is particularly important for those who have access to insider information or are in positions where their trading activities can potentially impact the market.

03

Companies or organizations may also require their employees to adhere to a securities trading policy to maintain transparency, prevent conflicts of interest, and comply with legal or regulatory requirements.

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What is securities trading policy?

Securities trading policy is a set of guidelines that regulate the trading of securities by individuals, especially insiders or employees of a company, to prevent insider trading and maintain market integrity.

Who is required to file securities trading policy?

Typically, executives, board members, and employees with access to material non-public information about the company are required to file a securities trading policy.

How to fill out securities trading policy?

Filling out a securities trading policy involves providing details about the individual's trading activities, any transactions they plan to execute, and disclosing any conflicts of interest as per the company's guidelines.

What is the purpose of securities trading policy?

The purpose of securities trading policy is to ensure compliance with legal regulations, protect investors from insider trading, and maintain fair trading practices in the securities market.

What information must be reported on securities trading policy?

The information that must be reported includes the individual's name, position, details of the trades undertaken, relevant dates, and any other required disclosures related to the trading of securities.

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