2. Listing notice

Art. 37
Principle

¹ If the listing prospectus is not provided in full in an advertisement, as per Art. 30 para. 1, the issuer must publish a listing notice.

² The listing notice is intended to draw investors' attention to the following:

1. the listing applied for;
2. where the listing prospectus may be obtained free of charge (incl. details of where it has been published electronically, if possible);
3. any material changes compared with the information contained in the listing prospectus.

Art. 38
Form of publication

¹ The listing notice may be published in either printed (for national distribution) or electronic form.

² However, electronic publication is permitted only if electronic distribution would serve the information needs and protection of investors. In particular, the Regulatory Board may make the use of specific systems, processes or formats compulsory for the electronic publication of listing notices, where this is necessary for security reasons, to maintain procedural efficiency or to ensure transparent and correct information for investors.

³ The issuer must also ensure that data that is published electronically is made available to investors at a centralised and publicly accessible site.

Art. 39
Time of publication

¹ The listing notice must be published no later than the day of listing.

² No further listing notice need be published if a notice fulfilling all of the requirements laid down in the Listing Rules has been published no more than three months prior to the listing application being submitted.

Art. 40
Content of the listing notice

The listing notice must contain the following information:

1. company name, registered office and address of the issuer;
2. description, nominal amount, number and denomination of the securities;
3. planned listing date, if known;
4. summary information on the conditions attached to the securities put forward for listing;
5. indication of any factors that depart significantly from normal market practice, as well as any other important provisions which are given a prominent place in the listing prospectus;
6. mention of the stock exchanges where the same securities are already listed or where listing has been applied for;
7. the security number and ISIN;
8. details of where the listing prospectus and any reference documents, as described in Art. 35, may be obtained and where further information, as described in Art. 41, which may facilitate an informed assessment of the investment may be found;
9. mention of the fact that the listing prospectus is the only authoritative source of information on the listing in question;
10. mention of the fact that the listing notice does not constitute an issuing prospectus, as defined in Art. 652a of the Code of Obligations;
11. the regulatory standard under which listing has been applied for, as well as the first day of trading, if known;
12. date of publication.

See also:

• Federal Act of 30 March1911 Concerning Additions to the Swiss Civil Code (Fifth Part: Code of Obligations, CO) (in German)