C. Listing procedure

Art. 42
Listing application

An application must be submitted before securities may be listed on SIX Swiss Exchange.

Art. 43
Submitting a listing application

¹ The listing application must be submitted by a recognised representative (applicant) in writing to SIX Exchange Regulation.

² Anyone who can provide evidence that they possess the professional knowledge required by the Regulatory Board may submit an application to the latter for registration as a recognised representative.

See also:

• Directive Procedures Equity Securities (DPES)

• Directive Procedures Debt Securities (DPDS)

Art. 44
Content of the listing application

¹ The listing application must contain a short description of the securities and a request regarding the planned first trading day, as well as a reference to the enclosures to the application that are required by the Regulatory Board.

² If certain listing requirements are not met, the listing application must contain a well-founded request for an exemption.

See also:

• Directive Procedures Equity Securities (DPES)

• Directive Procedures Debt Securities (DPDS)

• Directive Procedures Exchange Traded Products (DPETP)

Art. 45
Issuer declaration

Prior to the planned listing date, the issuer must submit a duly signed declaration stating that:

1. its responsible bodies are in agreement with the listing;
2. the listing prospectus (where one is required) and the listing notice are complete pursuant to the Listing Rules;
3. there has been no material deterioration in the issuer's assets and liabilities, financial position, profits and losses and business prospects since the listing prospectus was published;
4. the issuer has read and acknowledges the Listing Rules, with their Additional Rules and the corresponding implementing provisions, as well as the Rules of Procedure and sanction regulations of SIX Swiss Exchange, and that it recognises them expressly in the form of the Declaration of Consent. The issuer recognises the Board of Arbitration determined by SIX Swiss Exchange, and expressly agrees to be bound by any arbitration agreement. The issuer further recognises that continued listing is conditional upon its agreeing to be bound by the version of the legal foundations that is in force at any given time;
5. the issuer will pay the listing charges.

See also:

• Declaration of Consent

Art. 46
Review of listing application

The Regulatory Board will review the listing application on the basis of the documents that have been submitted.

Art. 47
Decision

¹ The Regulatory Board will approve the listing application if it fulfils the requirements laid down in these Listing Rules. Approval may be subject to further requirements and/or conditions.

² If the requirements are not fulfilled, the Regulatory Board will refuse the application either finally or pending a renewed application in which all conditions are met.

³ Listing does not constitute a value judgement about the securities or about the issuer.

⁴ The decision of the Regulatory Board will be communicated in writing. It will also state the regulatory standard according to which the securities in question are to be listed or, as the case may be, the exchange on which the securities in question are to be traded (Art. 3).

Art. 48
Preliminary decision

The applicant may request a preliminary decision from the Regulatory Board.