2. Changes after the approval periodArt. 30 Fixed core data 1 For technical reasons, once the security number, ISIN or trading currency is approved, it is fixed and can no longer be changed. The procedure in such cases is as follows:
- Suspension of trading:
the applicant must immediately apply to the Regulatory Board to have trading in the security in question suspended;
- "Official Notice":
the market must be informed of the cancellation of provisional admission to trading or of delisting as soon as possible by means of an "Official Notice" (zulassung@six-group.com). The "Official Notice" must indicate that the cancellation of provisional admission or delisting is at the request of the issuer;
- Application for the cancellation of provisional admission to trading or for delisting:
the issuer must submit an application for the cancellation of provisional admission to trading or for the delisting of the security in question to SIX Exchange Regulation as soon as possible. A copy of the publications required under the terms of the prospectus must be included with the application. Furthermore, depending on the circumstances, the application must include one of the following confirmations:
- no open interest exists, i.e. all securities are held in the issuer's own books;
- open interest exists, however, all investors who hold the securities in their deposit accounts have been notified of the pending cancellation of provisional admission to trading or of delisting by the issuer or the clearing house, as well as about any re-admission of a successor security (change in security number, ISIN and possibly also symbol), and no further securities will be placed with investors prior to the cancellation of provisional admission.
If open interests exist, the application must also be accompanied by a declaration of indemnity, in which the issuer undertakes to indemnify SIX Swiss Exchange and/or Scoach in full against all third-party claims under civil law that such third parties might otherwise have been able to assert in connection with the cancellation of provisional admission to trading or with delisting.
 2 The cancellation of provisional admission to trading or delisting is possible at the earliest two exchange days after the "Official Notice" has been published (submission up to the morning of the day of publication).  3 The dispatch of the "Official Notice" must be planned so that provisional admission to trading can be cancelled, or the security delisted, on the planned date.  4 The same stock exchange symbol may be re-used for the successor security, provided its desired initial trading day is no earlier than the day on which provisional admission to trading is cancelled or the original security is delisted. Art. 31 Correction of price-relevant core data The issuer must follow the procedure set out below to correct price-relevant data (e.g. incorrectly entered exercise price, underlying instrument, interest rate p.a., etc.):
- Suspension of trading:
the issuer must immediately apply to the Regulatory Board to have trading in the security in question suspended until the relevant core data have been amended;
- Declaration of indemnity:
before the relevant data are amended, the issuer must submit a declaration of indemnity to SIX Swiss Exchange, in which it undertakes to indemnify SIX Swiss Exchange and/or Scoach in full against all third-party claims under civil law that such third parties might otherwise have been able to assert in connection with the amendment of data;
- "Official Notice":
once SIX Swiss Exchange has received the declaration of indemnity, an "Official Notice" must be submitted (zulassung@six-group.com) indicating what data is being amended as of what date;
- Deadlines:
the "Official Notice" must be submitted to the Regulatory Board no later than 11.00 a.m. on the day before the actual amendment is made.
Art. 32 Correction of non-price-relevant core data All that is required to correct non-price-relevant core data (e.g. symbol, last trading day, etc.) is an "Official Notice" sent to (zulassung@six-group.com). Art. 33 Electronic processing 1 For certain parts of the procedure described in Arts. 28 to 32, the Regulatory Board may make provision for processing using an electronic system.  2 Furthermore, the Regulatory Board reserves the right to evaluate each amendment on an individual case-by-case basis and, where appropriate, to impose further conditions.
|