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Brockman Mining Limited Governance Information 2016

Sep 28, 2016

48994_rns_2016-09-28_894c0bce-2416-479b-bf2e-dd55a07279a6.pdf

Governance Information

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Rules 4.7.3 and 4.10.3[1]

Appendix 4G

Key to Disclosures Corporate Governance Council Principles and Recommendations

Name of entity

Brockman Mining Limited

ABN/ARBN
143 211 867		 Financialyear ended
143 211 867 30 June 2016

Our corporate governance statement[2] for the above period above can be found at:[3]

  • ☒ these pages of our annual report: _22 to 36______ ☒ this URL on our website: http://www.brockmanmining.com____

The Corporate Governance Statement is accurate and up to date as at 30 June 2016 and has been approved by the board.

The annexure includes a key to where our corporate governance disclosures can be located.

Date here: __29 September 2016_ Sign here: ____ ~~Director/~~ company secretary Print name: __Chan Kam Kwan, Jason____

1 Under Listing Rule 4.7.3, an entity must lodge with ASX a completed Appendix 4G at the same time as it lodges its annual report with ASX.

ANNEXURE – KEY TO CORPORATE GOVERNANCE DISCLOSURES

Corporate Governance Council recommendation Corporate Governance Council recommendation We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We haveNOT followed the recommendation in
full for the whole of the period above. We have
disclosed …
PRINCIPLE 1– LAY SOLID FOUNDATIONS FOR MANAGEMENT AND OVERSIGHT
1.1 A listed entity should disclose:
(a) the respective roles and responsibilities of its
board and management; and
(b) those matters expressly reserved to the board
and those delegated to management.		 … the fact that we follow this recommendation:
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report ____
www.brockmanmining.com/en/ir/reports.php
Insert location here
… and information about the respective roles and responsibilities of
our board and management (including those matters expressly
reserved to the board and those delegated to management):
☒at this location:
www.brockmanmining.com/en/ir/cg/board_charters.pdf
Insert location here		 ☐an explanation why that is soin our Corporate
Governance StatementOR
☐we are an externally managed entity and this
recommendation is therefore not applicable
1.2 A listed entity should:
(a) undertake
appropriate
checks
before
appointing a person, or putting forward to
security holders a candidate for election, as a
director; and
(b) provide security holders with all material
information in its possession relevant to a
decision on whether or not to elect or re‐elect
a director.		 … the fact that we follow this recommendation:
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
2016 Notice of meetings
www.brockmanmining.com/en/ir/circulars.php
Nomination Charter
www.brockmanmining.com/en/ir/cg/nc.pdf
Insert location here		 ☐an explanation why that is so in our Corporate
Governance StatementOR
☐we are an externally managed entity and this
recommendation is therefore not applicable

2

Corporate Governance Council recommendation Corporate Governance Council recommendation We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We haveNOT followed the recommendation in
full for the whole of the period above. We have
disclosed …
1.3 A listed entity should have a written agreement
with each director and senior executive setting
out the terms of their appointment.		 … the fact that we follow this recommendation:
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here		 ☐an explanation why that is so in our Corporate
Governance StatementOR
☐we are an externally managed entity and this
recommendation is therefore not applicable
1.4 The company secretary of a listed entity should
be accountable directly to the board, through the
chair, on all matters to do with the proper
functioning of the board.		 … the fact that we follow this recommendation:
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here		 ☐an explanation why that is so in our Corporate
Governance StatementOR
☐we are an externally managed entity and this
recommendation is therefore not applicable
1.5 A listed entity should:
(a) have a diversity policy which includes
requirements for the board or a relevant
committee of the board to set measurable
objectives for achieving gender diversity and to
assess annually both the objectives and the
entity’s progress in achieving them;
(b) disclose that policy or a summary of it; and
(c) disclose as at the end of each reporting period
the measurable objectives for achieving gender
diversity set by the board or a relevant
committee of the board in accordance with the
entity’s diversity policy and its progress
towards achieving them and either:
(1) the respective proportions of men and
women on the board, in senior executive
positions
and
across
the
whole
organisation(includinghow the entityhas		 … the fact that we have a diversity policy that complies with
paragraph (a):
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here
… and a copy of our diversity policy or a summary of it:
☒at this location:
www.brockmanmining.com/en/ir/cg/diversity_policy.pdf
Insert location here		 ☐an explanation why that is so in our Corporate
Governance StatementOR
☐we are an externally managed entity and this
recommendation is therefore not applicable

3

Corporate Governance Council recommendation Corporate Governance Council recommendation We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We haveNOT followed the recommendation in
full for the whole of the period above. We have
disclosed …
defined
“senior
executive”
for
these
purposes); or
(2) if the entity is a “relevant employer” under
the Workplace Gender Equality Act, the
entity’s most recent “Gender Equality
Indicators”, as defined in and published
under that Act.		 … the measurable objectives for achieving gender diversity set by
the board or a relevant committee of the board in accordance with
our diversity policy and our progress towards achieving them:
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here
… and the information referred to in paragraphs (c)(1) or (2):
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here

4

Corporate Governance Council recommendation Corporate Governance Council recommendation We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We haveNOT followed the recommendation in
full for the whole of the period above. We have
disclosed …
1.6 A listed entity should:
(a) have and disclose a process for periodically
evaluating the performance of the board, its
committees and individual directors; and
(b) disclose, in relation to each reporting period,
whether
a
performance
evaluation
was
undertaken in the reporting period in
accordance with that process.		 … the evaluation process referred to in paragraph (a):
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here
… and the information referred to in paragraph (b):
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php		 ☐an explanation why that is so in our Corporate
Governance StatementOR
☐we are an externally managed entity and this
recommendation is therefore not applicable

5

Corporate Governance Council recommendation Corporate Governance Council recommendation We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We haveNOT followed the recommendation in
full for the whole of the period above. We have
disclosed …
1.7 A listed entity should:
(a) have and disclose a process for periodically
evaluating the performance of its senior
executives; and
(b) disclose, in relation to each reporting period,
whether
a
performance
evaluation
was
undertaken in the reporting period in
accordance with that process.		 … the evaluation process referred to in paragraph (a):
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here
… and the information referred to in paragraph (b):
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here		 ☐an explanation why that is so in our Corporate
Governance StatementOR
☐we are an externally managed entity and this
recommendation is therefore not applicable

6

Corporate Governance Council recommendation We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We haveNOT followed the recommendation in
full for the whole of the period above. We have
disclosed …
PRINCIPLE 2‐ STRUCTURE THE BOARD TO ADD VALUE

7

2.1 The board of a listed entity should:
(a) have a nomination committee which:
(1) has at least three members, a majority of
whom are independent directors; and
(2) is chaired by an independent director,
and disclose:
(3) the charter of the committee;
(4) the members of the committee; and
(5) as at the end of each reporting period, the
number of times the committee met
throughout the period and the individual
attendances of the members at those
meetings;OR
(b) if it does not have a nomination committee,
disclose that fact and the processes it employs
to address board succession issues and to
ensure that the board has the appropriate
balance of skills, knowledge, experience,
independence and diversity to enable it to
discharge its duties and responsibilities
effectively.		 [If the entity complies with paragraph (a):]
… the fact that we have a nomination committee that complies with
paragraphs (1) and (2):
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here
… and a copy of the charter of the committee:
☒at this location:
www.brockmanmining.com/en/ir/cg/nc.pdf
Insert location here
… and the information referred to in paragraphs (4) and (5):
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here
[If the entity complies with paragraph (b):]
… the fact that we do not have a nomination committee and the
processes we employ to address board succession issues and to
ensure that the board has the appropriate balance of skills,
knowledge, experience, independence and diversity to enable it to
discharge its duties and responsibilities effectively:
☐in our Corporate Governance StatementOR
☐at this location:
_________		 ☐an explanation why that is so in our Corporate
Governance StatementOR
☐we are an externally managed entity and this
recommendation is therefore not applicable

8

Corporate Governance Council recommendation Corporate Governance Council recommendation We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We haveNOT followed the recommendation in
full for the whole of the period above. We have
disclosed …
Insert location here
2.2 A listed entity should have and disclose a board
skills matrix setting out the mix of skills and
diversity that the board currently has or is
looking to achieve in its membership.		 … our board skills matrix:
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here		 ☐an explanation why that is so in our Corporate
Governance StatementOR
☐we are an externally managed entity and this
recommendation is therefore not applicable

9

Corporate Governance Council recommendation Corporate Governance Council recommendation We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We haveNOT followed the recommendation in
full for the whole of the period above. We have
disclosed …
2.3 A listed entity should disclose:
(a) the names of the directors considered by the
board to be independent directors;
(b) if a director has an interest, position,
association or relationship of the type
described in Box 2.3 but the board is of the
opinion that it does not compromise the
independence of the director, the nature of the
interest, position, association or relationship
in question and an explanation of why the
board is of that opinion; and
(c) the length of service of each director.		 … the names of the directors considered by the board to be
independent directors:
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here
… where applicable, the information referred to in paragraph (b):
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here
… the length of service of each director:
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here		 ☐an explanation why that is so in our Corporate
Governance Statement
2.4 A majority of the board of a listed entity should
be independent directors.		 … the fact that we follow this recommendation:
☐in our Corporate Governance StatementOR
☐at this location:		 ☒an explanation why that is so in our Corporate
Governance Statement in the 2016 Annual Report
OR
☐we are an externally managed entity and this
recommendation is therefore not applicable

10

Corporate Governance Council recommendation Corporate Governance Council recommendation We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We haveNOT followed the recommendation in
full for the whole of the period above. We have
disclosed …
2.5 The chair of the board of a listed entity should be
an independent director and, in particular,
should not be the same person as the CEO of the
entity.		 … the fact that we follow this recommendation:
☐in our Corporate Governance StatementOR
☐at this location:		 ☒an explanation why that is so in our Corporate
Governance Statement in the 2016 Annual Report
OR
☐we are an externally managed entity and this
recommendation is therefore not applicable
2.6 A listed entity should have a program for
inducting new directors and provide appropriate
professional
development
opportunities
for
directors to develop and maintain the skills and
knowledge needed to perform their role as
directors effectively.		 … the fact that we follow this recommendation:
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here		 ☐an explanation why that is so in our Corporate
Governance StatementOR
☐we are an externally managed entity and this
recommendation is therefore not applicable
PRINCIPLE 3– ACT ETHICALLY AND RESPONSIBLY
3.1 A listed entity should:
(a) have a code of conduct for its directors, senior
executives and employees; and
(b) disclose that code or a summary of it.		 … ou
☐in
☒at		 r code of conduct or a summary of it:
our Corporate Governance StatementOR
this location:
Code of Conduct
www.brockmanmining.com/en/ir/cg/code_of_coduct.pdf
Insert location here		 ☐an explanation why that is so in our Corporate
Governance Statement
PRINCIPLE 4– SAFEGUARD INTEGRITY IN CORPORATEREPORTING
4.1 The board of a listed entity should:
(a) have an audit committee which:
(1) has at least three members, all of whom are
non‐executive directors and a majority of
whom are independent directors; and
(2) is chaired by an independent director, who
is not the chair of the board,		 [If the entity complies with paragraph (a):]
… the fact that we have an audit committee that complies with
paragraphs (1) and (2):
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report		 ☐an explanation why that is so in our Corporate
Governance Statement

11

Corporate Governance Council recommendation Corporate Governance Council recommendation We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We haveNOT followed the recommendation in
full for the whole of the period above. We have
disclosed …
and disclose:
(3) the charter of the committee;
(4) the relevant qualifications and experience
of the members of the committee; and
(5) in relation to each reporting period, the
number of times the committee met
throughout the period and the individual
attendances of the members at those
meetings;OR
(b) if it does not have an audit committee, disclose
that fact and the processes it employs that
independently verify and safeguard the
integrity of its corporate reporting, including
the processes for the appointment and
removal of the external auditor and the
rotation of the audit engagement partner.		 www.brockmanmining.com/en/ir/reports.php
Insert location here
… and a copy of the charter of the committee:
☐at this location:
www.brockmanmining.com/en/ir/cg/ac.pdf
Insert location here
… and the information referred to in paragraphs (4) and (5):
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here
[If the entity complies with paragraph (b):]
… the fact that we do not have an audit committee and the
processes we employ that independently verify and safeguard the
integrity of our corporate reporting, including the processes for the
appointment and removal of the external auditor and the rotation
of the audit engagement partner:
☐in our Corporate Governance StatementOR
☐at this location:
_________
Insert location here

12

Corporate Governance Council recommendation Corporate Governance Council recommendation We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We haveNOT followed the recommendation in
full for the whole of the period above. We have
disclosed …
4.2 The board of a listed entity should, before it
approves the entity’s financial statements for a
financial period, receive from its CEO and CFO a
declaration that, in their opinion, the financial
records of the entity have been properly
maintained and that the financial statements
comply with the appropriate accounting
standards and give a true and fair view of the
financial position and performance of the entity
and that the opinion has been formed on the
basis of a sound system of risk management and
internal control which is operating effectively.		 … the fact that we follow this recommendation:
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here		 ☐an explanation why that is so in our Corporate
Governance Statement
4.3 A listed entity that has an AGM should ensure
that its external auditor attends its AGM and is
available to answer questions from security
holders relevant to the audit.		 … the fact that we follow this recommendation:
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here		 ☐an explanation why that is so in our Corporate
Governance StatementOR
☐we are an externally managed entity that does not
hold an annual general meeting and this
recommendation is therefore not applicable
PRINCIPLE 5– MAKE TIMELY AND BALANCED DISCLOSURE
5.1 A listed entity should:
(a) have a written policy for complying with its
continuous disclosure obligations under the
Listing Rules; and
(b) disclose that policy or a summary of it.		 … ou
☐in
☒at		 r continuous disclosure compliance policy or a summary of it:
our Corporate Governance StatementOR
this location:
Communication Strategy & Continuous Disclosure Policy
www.brockmanmining.com/en/ir/cg/communication.pdf
Insert location here		 ☐an explanation why that is so in our Corporate
Governance Statement

13

Corporate Governance Council recommendation Corporate Governance Council recommendation We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We haveNOT followed the recommendation in
full for the whole of the period above. We have
disclosed …
PRINCIPLE 6– RESPECT THE RIGHTS OF SECURITY HOLDERS
6.1 A listed entity should provide information about
itself and its governance to investors via its
website.		 … information about us and our governance on our website:
☒at this location:
www.brockmanmining.com/en/ir/cg_board.php
http://www.brockmanmining.com/en/about/introduction.php
Insert location here		 ☐an explanation why that is so in our Corporate
Governance Statement
6.2 A listed entity should design and implement an
investor relations program to facilitate effective
two‐way communication with investors.		 … the fact that we follow this recommendation:
☐in our Corporate Governance StatementOR
☒at this location:
Shareholders Information
www.brockmanmining.com/en/ir/shareinfo.php
Communication strategy
www.brockmanmining.com/en/ir/cg/communication
Insert location here		 ☐an explanation why that is so in our Corporate
Governance Statement
6.3 A listed entity should disclose the policies and
processes it has in place to facilitate and
encourage participation at meetings of security
holders.		 … our policies and processes for facilitating and encouraging
participation at meetings of security holders:
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here		 ☐an explanation why that is so in our Corporate
Governance StatementOR
☐we are an externally managed entity that does not
hold periodic meetings of security holders and this
recommendation is therefore not applicable
6.4 A listed entity should give security holders the
option to receive communications from, and send
communications to, the entity and its security
registry electronically.		 … the fact that we follow this recommendation:
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here		 ☐an explanation why that is so in our Corporate
Governance Statement

14

Corporate Governance Council recommendation Corporate Governance Council recommendation We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We haveNOT followed the recommendation in
full for the whole of the period above. We have
disclosed …
PRINCIPLE 7– RECOGNISE AND MANAGE RISK
7.1 The board of a listed entity should:
(a) have a committee or committees to oversee
risk, each of which:
(1) has at least three members, a majority of
whom are independent directors; and
(2) is chaired by an independent director,
and disclose:
(3) the charter of the committee;
(4) the members of the committee; and
(5) as at the end of each reporting period, the
number of times the committee met
throughout the period and the individual
attendances of the members at those
meetings;OR
(b) if it does not have a risk committee or
committees that satisfy (a) above, disclose that
fact and the processes it employs for
overseeing the entity’s risk management
framework.		 [If the entity complies with paragraph (a):]
… the fact that we have a committee or committees to oversee risk
that comply with paragraphs (1) and (2):
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here
… and a copy of the charter of the committee:
☒at this location:
Risk Management
www.brockmanmining.com/en/ir/cg/risk.pdf
Insert location here
… and the information referred to in paragraphs (4) and (5):
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Committees
www.brockmanmining.com/en/ir/cg_board.php
Insert location here
[If the entity complies with paragraph (b):]
… the fact that we do not have a risk committee or committees that
satisfy (a) and the processes we employ for overseeing our risk
management framework:		 ☐an explanation why that is so in our Corporate
Governance Statement

15

Corporate Governance Council recommendation Corporate Governance Council recommendation We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We haveNOT followed the recommendation in
full for the whole of the period above. We have
disclosed …
☐in our Corporate Governance StatementOR
☐at this location:
_________
Insert location here
7.2 The board or a committee of the board should:
(a) review the entity’s risk management
framework at least annually to satisfy itself
that it continues to be sound; and
(b) disclose, in relation to each reporting period,
whether such a review has taken place.		 … the fact that we follow this recommendation:
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here		 ☐an explanation why that is so in our Corporate
Governance Statement
7.3 A listed entity should disclose:
(a) if it has an internal audit function, how the
function is structured and what role it
performs;OR
(b) if it does not have an internal audit function,
that fact and the processes it employs for
evaluating and continually improving the
effectiveness of its risk management and
internal control processes.		 [If the entity complies with paragraph (a):]
… how our internal audit function is structured and what role it
performs:
☐in our Corporate Governance StatementOR
☐at this location:
_________
Insert location here
[If the entity complies with paragraph (b):]
… the fact that we do not have an internal audit function and the
processes we employ for evaluating and continually improving the
effectiveness of our risk management and internal control
processes:
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here		 ☐an explanation why that is so in our Corporate
Governance Statement

16

Corporate Governance Council recommendation Corporate Governance Council recommendation We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We haveNOT followed the recommendation in
full for the whole of the period above. We have
disclosed …
7.4 A listed entity should disclose whether it has any
material exposure to economic, environmental
and social sustainability risks and, if it does, how
it manages or intends to manage those risks.		 … whether we have any material exposure to economic,
environmental and social sustainability risks and, if we do, how we
manage or intend to manage those risks:
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here		 ☐an explanation why that is so in our Corporate
Governance Statement
PRINCIPLE 8– REMUNERATE FAIRLY AND RESPONSIBLY
8.1 The board of a listed entity should:
(a) have a remuneration committee which:
(1) has at least three members, a majority of
whom are independent directors; and
(2) is chaired by an independent director,
and disclose:
(3) the charter of the committee;
(4) the members of the committee; and
(5) as at the end of each reporting period, the
number of times the committee met
throughout the period and the individual
attendances of the members at those
meetings;OR
(b) if it does not have a remuneration committee,
disclose that fact and the processes it employs
for setting the level and composition of
remuneration
for
directors
and
senior
executives
and
ensuring
that
such
remuneration is appropriate and not excessive.		 [If the entity complies with paragraph (a):]
… the fact that we have a remuneration committee that complies
with paragraphs (1) and (2):
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here
… and a copy of the charter of the committee:
☒at this location:
www.brockmanmining.com/en/ir/cg/rc.pdf
Insert location here
… and the information referred to in paragraphs (4) and (5):
☐in our Corporate Governance StatementOR
☒at this location:
www.brockmanmining.com/en/ir/cg_board.php		 ☐an explanation why that is so in our Corporate
Governance StatementOR
☐we are an externally managed entity and this
recommendation is therefore not applicable

17

Corporate Governance Council recommendation Corporate Governance Council recommendation We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We haveNOT followed the recommendation in
full for the whole of the period above. We have
disclosed …
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here
[If the entity complies with paragraph (b):]
… the fact that we do not have a remuneration committee and the
processes we employ for setting the level and composition of
remuneration for directors and senior executives and ensuring that
such remuneration is appropriate and not excessive:
☐in our Corporate Governance StatementOR
☐at this location:
_________
Insert location here
8.2 A listed entity should separately disclose its
policies and practices regarding the remuneration
of non‐executive directors and the remuneration
of executive directors and other senior executives.		 … separately our remuneration policies and practices regarding the
remuneration of non‐executive directors and the remuneration of
executive directors and other senior executives:
☐in our Corporate Governance StatementOR
☒at this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here		 ☐an explanation why that is so in our Corporate
Governance StatementOR
☐we are an externally managed entity and this
recommendation is therefore not applicable
8.3 A listed entity which has an equity‐based
remuneration scheme should:
(a) have a policy on whether participants are
permitted to enter into transactions (whether
through the use of derivatives or otherwise)
which limit the economic risk of participating
in the scheme; and
(b) disclose that policy or a summary of it.		 … ou
☐in
☒at		 r policy on this issue or a summary of it:
our Corporate Governance StatementOR
this location:
2016 Annual Report
www.brockmanmining.com/en/ir/reports.php
Insert location here		 ☐an explanation why that is so in our Corporate
Governance StatementOR
☐we do not have an equity‐based remuneration
scheme and this recommendation is therefore not
applicableOR
☐we are an externally managed entity and this
recommendation is therefore not applicable

18

Corporate Governance Council recommendation Corporate Governance Council recommendation We have followed the recommendation in full for the whole
of the period above. We have disclosed …		 We haveNOT followed the recommendation in
full for the whole of the period above. We have
disclosed …
ADDITIONAL DISCLOSURES APPLICABLE TO EXTERNALLY MANAGED LISTED ENTITIES
‐ Alternative to Recommendation 1.1 for externally
managed listed entities:
The responsible entity of an externally managed
listed entity should disclose:
(a) the arrangements between the responsible
entity and the listed entity for managing the
affairs of the listed entity;
(b) the role and responsibility of the board of the
responsible
entity
for
overseeing
those
arrangements.		 … the information referred to in paragraphs (a) and (b):
☐in our Corporate Governance StatementOR
☐at this location:
_________
Insert location here		 ☐an explanation why that is so in our Corporate
Governance Statement
‐ Alternative to Recommendations 8.1, 8.2 and 8.3 for
externally managed listed entities:
An externally managed listed entity should clearly
disclose the terms governing the remuneration of
the manager.		 … the terms governing our remuneration as manager of the entity:
☐in our Corporate Governance StatementOR
☐at this location:
_________
Insert location here		 ☐an explanation why that is soin our Corporate
Governance Statement

19

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