SECURITIES TRADING POLICY
17 September, 2020, Brisbane: Bank of Queensland Limited (BOQ) has revised its Securities Trading Policy. The revised policy is attached in accordance with ASX Listing Rule 12.10.
ENDS
Authorised for release by: The Board of Directors of Bank of Queensland Limited
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Securities Trading Policy
Bank of Queensland
Version 9.0, 17 September 2020
POLICY
Approver
Board
Owner
Head of Secretariat & GM Corporate Governance
Functional Owner
Head of Secretariat & GM Corporate Governance
Hierarchy Classification
Level 1a
Audience (if restricted)
Unrestricted. The Policy applies to all BOQ Directors, Employees and Contractors.
Revision History
Version | Approval Date | Author | Description |
7.0 | 31/05/2018 | Company Secretary | Annual Policy Review |
8.0 | 03/07/2019 | Head of Secretariat & | Annual Policy review |
GM Corporate | |||
Governance | |||
9.0 | 17/09/2020 | Head of Secretariat & | Annual Policy Review |
GM Corporate | |||
Governance | |||
Mandatory Stakeholders
Board
POLICY | |||
Contents | |||
1 | Introduction ...................................................................................................................................... | 4 | |
1.1 | About this Policy...................................................................................................................... | 4 | |
1.2 | Application............................................................................................................................... | 4 | |
2 | Dealing Restrictions ......................................................................................................................... | 4 | |
2.1 | General Dealing Restrictions of Directors, Employees & Contractors.................................... | 4 | |
2.1.1 Short Term Trading ......................................................................................................... | 5 | ||
2.1.2 Derivatives, Hedging, Margin Borrowing, Short Selling and Stock Lending ................... | 5 | ||
2.2 | Dealing Restrictions for Prescribed Persons & their Associates ............................................ | 5 | |
2.2.1 Trading During a Blackout Period ................................................................................... | 5 | ||
2.2.2 Trading outside of a Blackout.......................................................................................... | 5 | ||
2.2.3 Contracts for Difference .................................................................................................. | 6 | ||
2.2.4 Prescribed Person to ensure their Associates comply with the Policy ........................... | 6 | ||
2.3 | Exceptions............................................................................................................................... | 6 | |
2.3.1 Excluded Dealings........................................................................................................... | 6 | ||
2.3.2 Waivers and Special Circumstances............................................................................... | 7 | ||
3 | Consequences of Breach................................................................................................................. | 7 | |
4 | Further Information .......................................................................................................................... | 7 | |
5 | References and Related Documents............................................................................................... | 7 | |
6 | Compliance Monitoring .................................................................................................................... | 8 | |
7 | Definitions ........................................................................................................................................ | 8 |
Commercial in confidence | © Bank of Queensland Limited | All rights reserved | 3 |
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Bank of Queensland Limited published this content on 16 September 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 16 September 2020 23:59:04 UTC