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Bank of Queensland Limited ACN 009 656 740 Version 3 approved 12 December 2013 Securities Trading Policy 1. Introduction The Securities Trading Policy (the Policy) has been developed to enable all

How to fill out securities trading policy

How to fill out securities trading policy:

1. Start by obtaining a copy of the securities trading policy template provided by your organization or regulatory body.
2. Familiarize yourself with the content and requirements of the policy to ensure compliance with applicable laws and regulations.
3. Begin by providing your personal information, including your name, position, and contact details, as required by the policy.
4. Review the policy's guidelines and restrictions on securities trading, such as blackout periods, pre-clearance requirements, and reporting obligations.
5. Understand the policy's definition of material non-public information and how it should be handled to avoid insider trading.
6. If applicable, disclose any existing securities holdings or related financial interests that may pose conflicts of interest.
7. Complete any required training or educational programs provided by your organization to ensure a thorough understanding of the policy.
8. Sign and date the document to acknowledge your understanding and agreement to abide by the securities trading policy.

Who needs securities trading policy:

1. Employees and representatives of publicly traded companies who have access to material non-public information.
2. Individuals who engage in trading securities on behalf of their organization or clients.
3. Individuals with significant ownership or leadership positions within the organization, such as executives and directors.
4. Members of boards or committees responsible for overseeing compliance with securities laws and regulations.
5. Any individual who wishes to demonstrate their commitment to ethical and legal securities trading practices.

Note: It is important to consult with legal or compliance professionals within your organization to ensure that the securities trading policy is properly tailored to your specific circumstances and regulatory requirements.

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What is securities trading policy?

A securities trading policy is a set of rules and guidelines that govern the buying and selling of securities by individuals or entities within a company.

Who is required to file securities trading policy?

Certain individuals within a company, such as executives, board members, and employees with access to confidential information, are required to file a securities trading policy.

How to fill out securities trading policy?

Securities trading policy can be filled out by providing relevant personal information, including transactions in securities, holdings in securities, and any other pertinent information related to trading activities.

What is the purpose of securities trading policy?

The purpose of a securities trading policy is to ensure compliance with laws and regulations, prevent insider trading, and maintain transparency in trading activities.

What information must be reported on securities trading policy?

Information such as transactions in securities, holdings in securities, and any other pertinent information related to trading activities must be reported on a securities trading policy.