A. Principle

Art. 3
Application and deadlines

The listing procedure and related deadlines are governed by the provisions of Arts. 23 et seq. Additional Rules Bonds and Arts. 29 et seq. Additional Rules Derivatives except where divergent or additional provisions are contained in the following pages.

Art. 4
Annexes to the application

¹ In connection with the listing of debt securities, the following annexes to the application should be submitted together with the listing application:

1. listing prospectus or corresponding document as defined in Arts. 13 et seq. Additional Rules Bonds or Arts. 20 et seq. Additional Rules Derivatives as long as there is no exemption from the obligation to draw up a listing prospectus;
2. issuer declaration pursuant to Art. 45 LR or Art. 16 Additional Rules Bonds and Art. 23 Additional Rules Derivatives;
3. where necessary, the original, duly signed declaration by the issuer that the SIX SIS Ltd ("SIX SIS") printing regulations will be fulfilled should the securities be printed;
4. for permanent global certificates (Arts. 5 et seq. Directive Form of Securities), a copy of the certificate;
5. in the case of book-entry securities – if not required by the articles of association or general conditions of issue – a description of the means by which those having rights may obtain proof of their holding must be submitted by the issuer. In the case of book-entry securities based on foreign law, the relevant legal text and its translation into German, French, Italian or English must also be submitted;
6. evidence that the issuer has fulfilled Arts. 7 and 8 of the Federal Act on the Admission and Oversight of Auditors (AOA) (copy of the appropriate entry on the Website of the Federal Audit Oversight Authority).

² The listing application, listing prospectus and issuer declaration must be duly signed by the issuer or the applicant and, where applicable, the guarantor, and submitted as originals. The other annexes to the application may be submitted as copies.

³ If these annexes to the application are translations, the applicant must ensure the reliability and accuracy of the translation (e.g. by certification). In this case the documents must be accompanied by the texts in the original language.

See also:

• Declaration of Consent

• Federal Act of 16 December 2005 on the Admission and Oversight of Auditors (Audit Oversight Act, AOA) (in German)

Art. 5
Additional annexes to the application

¹ Pursuant to Art. 4, new issuers must also submit with the annexes to the application both a copy of the valid articles of association and a copy of the extract from the Commercial Register or entry in the Commercial Register (journal entry) or any comparable foreign register from which it may be seen that the issuer exists legally.

² Furthermore, new issuers of derivatives must provide evidence that the issuer itself or, alternatively, its guarantor, holds a securities trading licence from the Swiss Financial Market Supervisory Authority ("FINMA") or an equivalent foreign supervisory authority, in accordance with Art. 5 Additional Rules Derivatives.