III. Conditions for maintaining listing
Art. 50 LR (Interim financial reporting) is not applicable to listings under these Additional Rules.
2 The total of the fees collected in a given business year, expressed as a percentage of net asset value (NAV), must be notified to the market in the form of an "Official Notice" at the same time as the annual business report is published. The Regulatory Board may issue regulations concerning the calculation of net asset value (NAV).
Further duties to inform, facts subject to the reporting obligation
Art. 52 LR (Corporate calendar) is not applicable to listings under these Additional Rules.
2 As part of the maintenance of listing, issuers are under regular reporting obligations. The Annex states which report must be submitted by which deadline and in which form, the requirements placed on the report contents and the form in which a report may be published by SIX Exchange Regulation.
Form of the reports
1 For some reporting obligations SIX Exchange Regulation may make standardised forms or entry screens available that support issuers in the fulfilment of their reporting obligations.
2 Each report must clearly reflect which issuer and securities are involved, as well as the name of the person who has submitted the report (the responsible individual, including telephone number and e-mail address in case any further information is required). In addition, it must be clearly evident which reportable fact is being addressed (indication of the corresponding point, as per the Annex).
Publication in accordance with terms and conditions
If a reportable fact is to be published in the sense of a “Publication in accordance with conditions”, then the details of the publication are based on the terms and conditions as disclosed in the given listing prospectus.
1 If the dissemination of a reportable fact is to be made via an "Official Notice", then the issuer is obliged to forward to SIX Exchange Regulation the text of the "Official Notice" electronically at the earliest possible date, but no later than 11.00 a.m. Central European time (CET) on the exchange day immediately prior to the desired date of publication if no differing regulation applies. An "Official Notice" is no substitute for any mandatory publication of an ad-hoc notice.
2 Prior notification by telephone is requested in urgent cases. In addition, SIX Exchange Regulation is to be notified of the desired publication date.
3 SIX Exchange Regulation can provide other ways for the generation and the dispatch of "Official Notices" (e.g. via Web-based applications).
4 For reasons related to SIX Exchange Regulation publication media, "Official Notices" are to be submitted as text documents without formatting (i.e. as Notepad documents or similar).
5 SIX Swiss Exchange will make no changes to the content of the "Official Notices" it disseminates on a broader scale. The issuer bears full responsibility for the content of such announcements.
6 The "Official Notices" are published via:
Publication and distribution of the notice by SIX Exchange Regulation
1 SIX Exchange Regulation may process the data submitted by issuers, as well as publish and further disseminate such data via the Internet and other suitable media.
2 Information which, at the time of its transmission to SIX Exchange Regulation, is still to be treated confidentially or the publication of which is to be deferred, must be clearly and obviously designated as such ("Confidential"/"Publication only after consultation", or similar). In addition, the date and time must be specified as of which the information may be published. SIX Exchange Regulation cannot otherwise guarantee the confidential treatment of the information.
Fulfilment by the guarantor
The conditions for maintaining listing must be fulfilled by both the issuer and the guarantor.