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  Versions
(1 version)
 
Jul 14 2013 onwards

MKT A6.1.2



Whole Section PDF

The definitive version of DFSA handbook text is the PDF version as that is the text of the instrument as made and published by the DFSA.

To view past versions of this module in PDF format, please visit the Archive.

A Listed EntityG must, on the occurrence of an event specified in column 1, make the required disclosure detailed in column 2, within the time specified in column 3, in respect of the SecuritiesG identified with a in column 4, of this TableG .

  EVENT GIVING RISE TO DISCLOSURE OBLIGATION DISCLOSURE REQUIRED TIME OF DISCLOSURE Structured ProductsG Shares Warrants over Shares Warrants over Debentures Debentures Certificates  
Shares Debentures
GENERAL
1. Any closure of the Listed Entity'sG register of security holders. Market disclosure of the closure. At least fourteen (14) days before the closure    
2. Any meeting of holders of SecuritiesG . Market disclosure of notice At the same time as such notice is sent to the holders of Securities.    
3. The final timetable for any proposed action affecting the rights of existing holders of its Listed SecuritiesG . Market disclosure As soon as possible after finalisation of the timetable with the DFSAG *  
4. All proposed drawings to effect partial redemptions, and, in the case of registered DebenturesG or Structured ProductsG , the date on which it is proposed to close the books for the purpose of making a drawing. Market disclosure In advance and as soon as possible        
 
                       
5. Changes to rights attaching to Listed SecuritiesG or other SecuritiesG into which they convert. Market disclosure of:
(a) the class of SecuritiesG to which the changes apply;
(b) the date on which the changes become effective;
(c) confirmation that consent of the holders of the SecuritiesG (and any other holders of relevant SecuritiesG ) has been obtained and the date that such consent was obtained); and
(d) a summary of the changes.
 
As soon as possible  
 
6. Any decision made in regard to:
(a) any change in the structure of the Listed SecuritiesG ;
Market disclosure As soon as possible              
 
(b) any change in the index to which any Listed SecuritiesG are linked (including any changes in the constituent elements of the index or basket of Securities or the way in which the index is calculated or in the frequency of calculation of the index or the entity that is responsible for calculating and disseminating information with respect to the index);
                 
 
(c) any changes in the trustee or custodian (where relevant);
           
 
(d) any change in the status of the product for taxation purposes;
                 
 
(e) any suspension in the calculation of the index to which any Listed SecuritiesG are linked;
                 
 
(f) any change in the trust deed or other document constituting the Listed SecuritiesG ;
           
 
(g) Any change in the paying agent;
           
 
(h) All proposed creations, or draw down issuances to effect partial redemptions including the outstanding amount of the Listed SecuritiesG which are listed after any such creation, redemption or drawdown has been made;
           
 
(i) the date on which it is proposed to close the books for the purposes of making drawdown, in the case of registered Structured ProductsG ; and
                 
 
(j) Any purchase, redemption (including predetermined and scheduled redemptions) or cancellation by the Listed EntityG , or any member of the Listed Entity'sG group of its listed Structured ProductsG after such purchase, redemption or cancellation.
           

* To the extent applicable to Debentures or, in the case of Certificates, the underlying Debentures

Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]
[Amended] DFSA RM120/2013 (Made 14th July 2013). [VER4/07-13]