Section 19 Issuer’s Annual Report Questionnaire

LR REF / Listings Requirements paragraph description / Summarise the issuer’s compliance/Reference
1.19
Annual Revision of list
Proactive monitoring report / All listings shall be revised by the JSE annually after receipt by the JSE of a certificate from each applicant issuer complying with Schedule 2 Form D1 (“the certificate”), which must be submitted to the JSE together with the applicant
Issuer’s annual financial statements pursuant to paragraphs 3.19 and 3.21(a).
See updated annual compliance certificate as at 1 August 2017 on the JSE website. Schedule Form D1.
Has the audit committee considered the JSE letter of 14 February 2017 (JSE Proactive Monitoring Process)?
a.  If yes, have they taken appropriate action
b.  If no, when will the committee consider it
All annual compliance certificates lodged on or after 1 April 2017 must make reference to the 2016 report whilst those lodged before then must, at least, make reference to the 2015 report if you have not already done so.
3.14 Restatement notification / Did the applicant issuer submit a restatement notification (if applicable) on “Webstir” containing details of the restatement and the reasons thereof?
Changes to the Placing Documents 19.20(b)
19.23(a)(ii) / Did the applicant issuer comply with the following provision of the Listing Requirements?
within four months after the issuer’s year end, update the placing document in the event of a material change and if there have been no changes it must include a statement on its website that there has been no material changes;
a change in company information or to provide additional company information, the issuer’s written notice to the JSE must be accompanied by a certified copy of the certificate reflecting this amended or additional information;
Annual Financial Statements submission:
19.20(d) and (e)
19.20(h) / Did the applicant issuer comply fully with the following provision of the Listing Requirements?
publish on its website, within four months after the issuer’s financial year end, the annual financial statements for the relevant financial year, which financial statements are required to have been reported on by the issuer’s external auditors; release an announcement on SENS confirming that the information in terms of paragraphs 19.20(a) to 19.20(d) above is available on its website;
NB: late submission of annual financial statements is subject to non-compliance procedure of paragraphs 3.23 to 3.24 of the JSE Listings Requirements
3.25 Modified audit report / Did the applicant issuer’s audited annual financial statements contain a modification such as the ones indicated in paragraphs 3.25 of the JSE Listings Requirements? If yes, please note that the issuer’s listing will be annotated on the trading engine.
Publication of NAV:
19.20(f), 19.28; 19.59 and 19.70
Guidance letter dated 17 August 2017 / Changes in the constituents of the asset pool:
19.28 The issuer will also be required to make an announcement should there be any changes in the constituents of the asset pool relating to a corporate action or otherwise (if applicable). Such announcement must be made through SENS and posted on the issuer’s website.
Daily publication
19.20(f) publish a net asset value (NAV) of its listed securities daily on its website (if applicable to the type of security being listed)
(g) if the issuer obtained a credit rating for the issuer itself or for the placing document, any changes in such rating must be disclosed on SENS;
The issuer must publish the following details on its website each day:
(a) the NAV, showing the fair value based on the index level for the preceding day, and the accrued costs incurred in the ETN;
(b) the accrued distributions that are distributable to ETN holders, if applicable; and
(c) the index level for the preceding day.
Daily publication
19.70 The issuer must publish the following details on its website each day:
(a) the NAV of the security, showing the fair value based on the index level
for the preceding day;
(b) the accrued reserves distributable to ETF holders (if applicable);
(c) the index level (if applicable) for the preceding day;
(d) the accrued costs incurred in the ETF (if applicable);
(e) the index constituents (if applicable); and
(f) constituent shares applicable to index for creation and redemption purposes.
ABS Information: 19.83(a) / Did the applicant issuer ensure adherence to the following provisions during the reporting period?
(i) Submit Trustees annual report showing current holdings of assets in the trust and detailing all dealings relating to the assets in the trust for the last financial year ended
(ii) disclose, on a semi-annual basis, historical information about all assets of the pool that were the subject of a demand to repurchase or replace for breach of the representations and warranties contained in the transaction agreements underlying the ABS;
Availability of Investor information / Did the applicant issuer ensure that its Placing Documents, Offering Circulars, Annual Financial Statements etc is published in its website?