II. Listing procedure

Art. 3
Timing of submission of application

The listing application must be submitted to the Regulatory Board by regular mail no later than 20 exchange days prior to the intended listing date.

Art. 4
Annexes to the application

¹ The following annexes must accompany the duly signed listing application submitted within the deadlines laid down in Art. 6:

1. listing prospectus or corresponding document as defined in Arts. 27 et seq. LR or Arts. 15 et seq. Additional Rules Exchange Traded Products;
2. copy of the market making agreement;
3. duly signed issuer declaration pursuant to Art. 45 LR or point 2 of Art. 9 ;
4. copy of the valid articles of association or valid deed of partnership of the issuer, unless the document in question has already been submitted at an earlier date and has not been changed since then. In the latter case, a negative declaration must be provided; In the latter case, a negative declaration must be provided;
5. where necessary, the original, duly signed declaration by the issuer that the SIX SIS Ltd ("SIX SIS") printing regulations will be fulfilled should the debt securities be printed;
6. for permanent global certificates (Arts. 5 et seq. Directive Form of Securities), a copy of the certificate;
7. in the case of book-entry securities – if not contained in the articles of association or general conditions of issue – the issuer must submit an explanation of the means by which those having rights may obtain proof of their holding. 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;
8. duly signed declaration from the issuer, that
   1. the ETPs do not constitute collective investment schemes in the sense of the Federal Collective Investment Schemes Act (CISA); and
   2. it will indemnify the Exchange in the event that the ETP is actually found to be a collective investment scheme.
9. an "Official Notice", sent by e-mail to zulassung@six-group.com, containing the following details:
   1. company name, registered office and address of the issuer;
   2. description, security number and ISIN of the securities;
   3. regulatory standard under which listing has been applied for;
   4. nature and brief description of the transaction (first day of trading, underlying instrument, nature of collateral, parties involved, etc.);
   5. person responsible for submitting the information (incl. telephone and fax numbers as well as e-mail address in case additional information is required);
   6. date (publication date of the notice).

² For new issuers, the following must be submitted in addition to the aforementioned annexes to the application:

1. duly signed declaration of consent pursuant to Art. 45 LR; as well as
2. copy of the extract from the Commercial Register or entry in the Commercial Register (journal entry), or any comparable foreign register, confirming the legal existence of the issuer.

³ If multi-currency trading is to be subsequently introduced for ETPs already listed on SIX Swiss Exchange, an application must be submitted by letter to SIX Exchange Regulation – providing that the subsequent introduction of multi-currency trading is specified in the product terms. It must state the additional trading currency(ies) per ETP and the desired first trading date in the additional trading currency(ies). In addition, the following annexes to the application must be submitted:

1. official notice in accordance with Art. 4 para. 1 point 9 and
2. copy of the updated market making agreement.

The issuer must also ensure that clearing and settlement is guaranteed in the additional trading currency(ies).

⁴ If these annexes to the application are translations, the applicant must ensure the reliability and accuracy of the translation by means of official, notarised certification. The documents must be accompanied by the texts in the original language.

See also:

• Declaration of Consent

• Directive Form of Securities (DFS)

Art. 5
Number of copies to be submitted

¹ One physical copy of the final listing prospectus pursuant to point 1 Art. 4 para. 1, which has been duly signed by the issuer, must be submitted along with one electronic copy. The electronic copy may be made available on the SIX Exchange Regulation website for the information of investors after listing has been approved.

² One hard copy of the remaining annexes to the application must be submitted.

Art. 6
Submission deadlines for annexes to applications

¹ The annexes must be submitted at the same time as the listing application. Should the annexes not yet be in final form at the time the application is submitted, then draft versions must be submitted.

² The signed copy of the final listing prospectus (one or two parts) must be submitted no later than 7.30 a.m. (Central European Time, CET) on the morning of the first trading day. The remaining annexes to the application must be submitted in their final forms no later that 4.00 p.m. (CET) one exchange day prior to the first trading day; the Official Notice must be submitted no later than 11.00 a.m. (CET).