№ lp_1_19702
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Guidance document detailing the preparation, content, and disclosure obligations of pre-listing statements, revised listing particulars, and circulars required for companies and applicants on the Johannesburg Stock Exchange.
Year:
2011
Regulation:
The Companies Regulations 2011, as amended
Region / Market:
Johannesburg Stock Exchange (JSE)
Document Type:
Regulatory guidance / compliance document
Scope:
Pre-Listing Statements (PLS), Revised Listing Particulars (RLP), Circulars
Language:
English
Applicable Parties:
Issuers and applicants seeking listing on JSE
Requirements:
Disclosure obligations, material contracts, corporate actions
Website Obligation:
Operational website for disclosure compliance
Audience:
Investors, shareholders
Price: 8 / 10 USD
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Note:
Year
Theme:
Financial Instruments, Listings
Document Type:
Checklist
Organization / Institution:
JSE
Target Audience:
Issuers, Advisors, and Financial Professionals
Note:
Year
Country:
Philippines
Sector:
Maritime education and training
Type of document:
Inspection and evaluation checklist
Regulatory authority:
Maritime Industry Authority (MARINA)
Applicable regulations:
MARINA Memorandum Circular No. SC-2021-09; MARINA Memorandum Circular No. SC-2022-05; MARINA Memorandum Circular No. SC-2021-08
Subject matter:
Accreditation, inspection, and compliance of Maritime Training Institutions
Intended users:
Maritime Training Institutions, evaluators, inspection teams
Assessment stages:
Self-assessment, tabletop evaluation, inspection
Training scope:
Theoretical training, practical training, simulator training, onboard training
Course components:
Course framework, course outline, syllabus, instructor’s guide, assessment plan
Quality system reference:
Quality Standards System (QSS)
Signatories:
MTI representative, tabletop evaluator, evaluation and inspection team
Year:
2023–2024
Issuing Authority:
Reserve Bank of India
Region:
India
Document Type:
Regulatory circulars and notifications
Legal Basis:
Banking Regulation Act, 1949 (Sections 35A, 26A, 51 and 56)
Applicable To:
Commercial Banks (including RRBs), Co-operative Banks, Regulated Entities, Small Finance Banks
Subject:
Inoperative Accounts and Unclaimed Deposits
Note:
Subject
Amendment to Master Direction on KYC
Effective Date:
April 1, 2024 (for revised instructions on inoperative accounts)
Referenced Scheme:
Depositor Education and Awareness (DEA) Fund Scheme, 2014
Issuing Authority:
Reserve Bank of India
Signatory:
Vaibhav Chaturvedi, Chief General Manager
Document Type:
Master Circulars and Regulatory Notifications
Addressees:
Scheduled Commercial Banks; Primary (Urban) Co-operative Banks; State Cooperative Banks; Exim Bank
Reference Numbers:
RBI/2023-24/114; RBI/2023-24/124; RBI/2024-25/03; RBI/2024-25/04; RBI/2024-25/11; RBI/2024-25/12
Dates:
January 16, 2024; February 22, 2024; April 1–2, 2024
Subject Areas:
Exposure Norms; Interest Equalization Scheme; Guarantees and Co-acceptances; Letters of Credit; Housing Finance; Prudential Norms on Income Recognition, Asset Classification and Provisioning
Geographical Scope:
India
Related Authority:
Government of India; Director General of Foreign Trade (DGFT)
Period Covered:
Instructions issued up to March 31, 2024
Year:
2023
Issuing body:
Marine Committee
Document type:
Committee circulars index
Subject:
Maritime safety, risk intelligence, environmental regulation and IMO submissions
Geographical focus:
Northern Black Sea and international maritime sector
Related organizations:
International Maritime Organization (IMO), International Chamber of Shipping (ICS), BIMCO
Associated committees:
MSC 107, MEPC 80, PPR 10, SDC 9, SSE 9, ISWG-GHG
Reporting period:
January–March 2023
Content includes:
Risk intelligence reports, briefing notes, draft submissions, questionnaires, meeting notices, and nomination calls
Year:
2023
Region / City:
Philippines
Topic:
Insurance and Investment Requirements
Document Type:
Checklist
Issuing Authority:
Insurance Commission
Author:
Not specified
Target Audience:
Entities and organizations requiring regulatory compliance in investments and insurance
Period of Validity:
Not specified
Approval Date:
Not specified
Amendment Date:
Not specified
Document Category:
Regulatory Compliance Document
Year:
2019
Region / city:
India
Topic:
Banking regulations and rural livelihoods programs
Document type:
Government circular / notification
Issuing authority:
Reserve Bank of India
Related programs:
Lead Bank Scheme, Deendayal Antyodaya Yojana – National Rural Livelihoods Mission (DAY-NRLM)
Target audience:
Scheduled Commercial Banks, Small Finance Banks, Regional Rural Banks
Period covered:
July 1, 2019 – December 31, 2019
Effective date:
April 1, 2013 (NRLM implementation), March 29, 2016 (DAY-NRLM renaming)
Document references:
RBI/2019-20/10 FIDD.CO.LBS.BC.No.06/02.01.001/2019-20, RBI/2019-20/04 FIDD.GSSD.CO.BC.No.02/09.01.01/2019-20
Key components:
Women Self-Help Groups (SHGs), Revolving Fund, Community Investment Support Fund, interest subvention, capacity building, livelihood support
Note:
Year
Year:
2023
Regulatory Body:
Securities and Exchange Board of India (SEBI)
Document Type:
Circular
Subject:
Online Dispute Resolution and Investor Grievance Redressal
Scope:
Investors, Listed Companies, Specified Intermediaries, Regulated Entities
Related Platforms:
ODR Portal, SCORES Platform
Implementation Date:
July 31, 2023
Linked Circulars:
SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131, SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/135, SEBI/HO/OIAE/IGRD/CIR/P/2023/156
Registrar and Share Transfer Agent:
MUFG Intime India Private Limited
Contact Information:
C 101, 247 Park, L B S Marg, Vikhroli West, Mumbai 400 083; Phone: +91 8108114949; Email: [email protected]; Website: https://web.in.mpms.mufg.com/helpdesk/Service_Request.html
Document type:
Compliance certificate
Form designation:
FORM D1
Stock exchange:
JSE Limited
Applicable listings:
Primary listing; Secondary listing; Interest Rate Market instruments
Regulatory framework:
JSE Listings Requirements; Debt Listings Requirements
Reporting period:
Twelve months ended at the relevant financial year-end
Issuing authority:
JSE Limited
Signatory requirement:
Duly authorised representative on behalf of the directors
Corporate bodies referenced:
Board of directors; Audit committee
Purpose:
Certification of compliance with listing, disclosure, and statutory requirements
Context:
Standardised regulatory source text used by issuers to formally attest compliance with stock exchange obligations during a defined financial period.
Year:
2021
Month:
March
Jurisdiction:
South Africa
Region:
South African financial markets
Theme:
Securities regulation and listing requirements
Document type:
Consultation paper
Issuing body:
JSE Limited
Division:
Issuer Regulation Division
Author:
Issuer Regulation Division, JSE Limited
Director responsible:
André Visser
Target audience:
Market participants and stakeholders
Markets concerned:
Main Board and Alternative Exchange (AltX)
Legal framework referenced:
JSE Listings Requirements; Financial Markets Act No. 19 of 2012
Consultation deadline:
9 April 2021
Purpose:
Request for comments on potential regulatory amendments
Status:
Non-binding consultation initiative
Source type:
Regulatory consultation document
Note:
Year
Context:
This document outlines the listing requirements and procedures for sponsored and unsponsored Depository Receipts (DRs) under the Johannesburg Stock Exchange (JSE).
Year:
2022
Region / City:
Jamaica
Subject:
Employment Tax Credit, Jamaica Stock Exchange Junior Market
Document Type:
Technical Advisory
Issuing Organization:
Tax Administration Jamaica (TAJ)
Author:
Tax Administration Jamaica
Target Audience:
Companies listed on the JSE Junior Market
Period of Validity:
Not specified
Approval Date:
November 10, 2022
Date of Changes:
Not specified
Year:
2025
Region / City:
South Africa
Theme:
Corporate Actions
Document Type:
Proposal
Organization / Institution:
Johannesburg Stock Exchange
Author:
Sharon Nair
Target Audience:
Stakeholders in corporate actions, financial institutions, and securities holders
Effective Period:
2025
Approval Date:
Not specified
Date of Changes:
Not specified
Note:
Year
Document type:
Compliance certificate
Organization / institution:
JSE Limited
Target audience:
Issuers with listings on the JSE
Context description:
Legal and financial document used for certifying compliance with listing requirements on the Johannesburg Stock Exchange.
Date:
23 June 2016
Subject:
New Financial Instrument Listing (FORTRESS INCOME FUND LIMITED – FIFB09)
Exchange:
JSE Limited
Market:
Interest Rate Market
Issuer:
Fortress Income Fund Limited
Instrument Type:
Floating Rate Note
Bond Code:
FIFB09
ISIN:
ZAG000137654
Nominal Issued:
R 200,000,000.00
Issue Price:
100%
Coupon:
9.165% (3 Month JIBAR as at 22 June 2016 of 7.325% plus 184 bps)
Coupon Rate Indicator:
Floating
Trade Type:
Price
Issue Date:
27 June 2016
Interest Commencement Date:
27 June 2016
First Interest Payment Date:
27 September 2016
Interest Payment Dates:
27 March, 27 June, 27 September, 27 December
Books Close Dates:
17 March, 16 June, 17 September, 17 December
Last Day to Register:
By 17:00 on 16 March, 15 June, 16 September, 16 December
Final Maturity Date:
27 June 2019
Date Convention:
Following
Security Status:
Senior Unsecured Floating Rate Notes
Settlement System:
Central Securities Depository (CSD) electronic settlement
Related Document:
Applicable Pricing Supplement
Contact – Issuer Representative:
Courtney Galloway, RMB, +27 11 2824155
Contact – Exchange:
Corporate Actions, JSE, +27 11 5207000
Date:
12 March 2021
Exchange:
JSE Limited
Market:
Interest Rate Market
Subject:
New Financial Instrument Listing
Issuer:
FIRSTRAND BANK LIMITED
Instrument Type:
Equity Structured Note
Bond Code:
FRS258
ISIN:
ZAG000174855
Nominal Issued:
R 260,392,055.00
Issue Price:
100%
Coupon:
Zero
Trade Type:
Price
Issue Date:
16 March 2021
Interest Commencement Date:
16 March 2021
First Interest Payment Date:
23 January 2024
Interest Payment Date(s):
23 January 2024
Books Close Date:
19 January 2024
Last Day to Register:
by 17:00 on 18 January 2024
Final Maturity Date:
23 January 2024
Security:
Unsecured
Settlement System:
Central Securities Depository (CSD) electronic settlement in terms of JSE Rules
Applicable Pricing Supplement:
https://clientportal.jse.co.za/Content/JSEPricingSupplementsItems/2021/FRS258%20PricingSupplement1603.pdf
Contact:
Corporate Actions, JSE, +27 11 5207000
Currency:
South African Rand (R)
Note:
Year
Type of Document:
Annual financial statement questionnaire
Applicable Standards:
International Financial Reporting Standards, South African financial reporting requirements
Scope:
Consolidated group financial statements
Required Disclosures:
Directors’ interests, major shareholders, public shareholders, share incentive schemes, individual directors’ remuneration, transactions, issues for cash, repurchased equity securities, property entity reporting, investment trust reporting, restrictive funding arrangements
Auditor:
Specified in compliance with reporting requirements
Relevant Sections:
8.62, 8.63, Practice Note 3/2017
Year:
2025
Organization:
Johannesburg Stock Exchange (JSE)
Document Type:
Consultation Paper / Comments Template
Audience:
Market participants and stakeholders
Scope:
Financial reporting, non-IFRS measures, corporate governance, trading statements, headline earnings per share
Jurisdiction:
South Africa
Related Standards:
IFRS 18, JSE Listings Requirements
Submission Format:
Name, Organisation, Date, Consent confirmation
Privacy Policy Reference:
https://www.jse.co.za/privacy-policy
Year:
2023
Organization:
Johannesburg Stock Exchange (JSE)
Document Type:
Regulatory update / guideline
Scope:
Listing requirements and amendments to Sections 4, 14, 15, 18, 20, 21
Target Audience:
Issuers, sponsors, advisers
Period Covered:
September 2023 – Final Release
Key Sections:
Conditions of Listing, Pyramids, Investment Entities, Secondary Listings, Hybrid Securities, AltX, New Listings
Purpose:
Simplification of legal language, reduction of red tape, clarification of listing criteria
Amendments Included:
Section 5 Independent Fairness Opinion, Schedule 10 MOI requirements, Section 11 Rescue Operations, Schedule 14 Share Incentive Scheme
Context:
Official source document detailing final simplification and structural amendments to the JSE listing requirements to streamline criteria, remove outdated legal language, and clarify obligations for issuers and sponsors