PRE-LISTING STATEMENT CHECKLIST (SECTION 20 HFI) – CLIENT: JSE REFERENCE: This documentation will be subject to the turnaround times as stipulated in paragraph 16.3 in the Listings Requirements. Company name: Round of comments: 1st Submission Date of comments: Introduction: My comments are given in the following ways Under the will list all the principle issues you did not heading “Principle issues and general comments” I comply with as well as the general comments. The checklist details all the requirements for the specific transaction. Comments on the checklist means the following: means that you to comply with the requirement. NB: the issuer maybe “Please note” – don’t need required to comply with the requirement at a later stage, e.g. those sections that will be required in the Final pricing supplement. means that you do not have to comply with that specific requirement in this circular. “N/A” means that the requirements has been complied with to the “” JSE’s satisfaction means that you still have to comply with the specific requirement or advise that it is N/A. “Blank” OS = Outstanding HFI = Hybrid Financial Instrument Any other comment on the checklist will be of a more specific nature. Means that the advisors have confirmed this item to be not applicable. “Confirmed n/a” – Under the heading you will find details of documents that was not submitted. “Outstanding Documents” Please hesitate to call me if something is not clear. don’t […] Tel: 011 […] Tel: 011 General comments: LR Ref Response by the JSE 2nd JSE sponsor Comments comments 20.1 Requirements for listing Hybrid Financial Instruments 20.2 Definitions General 20.3 Due to the complex nature of HFI the JSE must be consulted at an early stage before formal application for the listing is made. Depending on the nature and the structure of any particular issue, the requirements set out in the following paragraphs may be modified or additional requirements may apply. The
PRE-LISTING STATEMENT – CHECKLIST (SECTION 20 HFI) CLIENT: JSE REFERENCE: This documentation will be subject to the turnaround times as stipulated in paragraph 16.3 in the Listings Requirements. Company name: Round of comments: 1st Submission Date of comments: Introduction: My comments are given in the following ways Under the heading “Principle issues and general comments” I will list all the principle issues you did not comply with as well as the general comments. The checklist details all the requirements for the specific transaction. Comments on the checklist means the following: “Please note” – means that you don’t need to comply with the requirement. NB: the issuer maybe required to comply with the requirement at a later stage, e.g. those sections that will be required in the Final pricing supplement. “N/A” means that you do not have to comply with that specific requirement in this circular. “” means that the requirements has been complied with to the JSE’s satisfaction “Blank” means that you still have to comply with the specific requirement or advise that it is N/A. OS = Outstanding HFI = Hybrid Financial Instrument Any other comment on the checklist will be of a more specific nature. “Confirmed n/a” – Means that the advisors have confirmed this item to be not applicable. Under the heading “Outstanding Documents” you will find details of documents that was not submitted. Please don’t hesitate to call me if something is not clear. […] Tel: 011 […] Tel: 011 General comments: LR Ref Response by the sponsor JSE Comments 2nd JSE comments 20.1 Requirements for listing Hybrid Financial Instruments 20.2 Definitions General 20.3 Due to the complex nature of HFI the JSE must be consulted at an early stage before formal application for the listing is made. Depending on the nature and the structure of any particular issue, the requirements set out in the following paragraphs may be modified or additional requirements may apply. The