3. Conditions for maintaining listingArt. 71
Annual reporting The notes to the annual financial statements must contain certain additional information, as determined by the Regulatory Board. This information must be confirmed by the auditors. See also:Art. 72
Interim reportingThe Regulatory Board disposes the content and intervals of the interim reports that must be produced. See also:Art. 73
Publication of current value (net asset value)The current value (net asset value) of securities must be published at regular intervals, but at least quarterly. The Regulatory Board may determine the frequency and type of publication in specific individual cases. See also:Art. 74
Valuation of investments that are difficult to assessIf an investment company invests to a considerable extent in investments which have only limited marketability (specifically those not listed on a secondary market with regular price determination mechanisms) or whose value is difficult to assess for other reasons, then special disclosure requirements, set by the Regulatory Board, must be observed. See also:Art. 75
Compliance with the investment policy1 The principles of the investment policy must be complied with at all times from listing onwards. These principles must be made available to investors upon request. 2 If the issuer is a newly established company that is less than six months old, or if listing is used as a means of raising capital, then the company must comply with the principles of investment policy no later than three months following listing. 3 If changes in the market mean that it is no longer possible to comply with the principles of investment policy, the investors must be informed of major deviations from the policy, as well as of the action that has been taken and of the period within which proper circumstances will be restored. The issuer must notify the market of the success of this action no later than at the end of the period mentioned. See also:Art. 76
Changes to investment policy and compensation model1 Should any changes be made to the principles of the investment policy and/or to the compensation model, the change must be announced in accordance with Art. 55 at least one month prior to its entry into force, and must also be disclosed in the context of annual reporting. 2 Compliance with new investment regulations must be assured no later than three months after their entry into force. See also:
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