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4AX Exchange Listing Information

4AX Listing Requirements
This manual contains the Listing Requirements of 4AX for the Listing of Securities on the Official List. In accordance 4AX operates and pursuant to the award of an exchange license by the FSB, 4AX will operate a securities exchange to maintain and provide an infrastructure for, inter alia:

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Listing Requirements Appendices
This Procedure is to supplement the 4AX Listing Requirements and sets out the Appendices to the 4AX Listing Requirements.

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4AX Exchange Rules
4AX is licensed to operate an Exchange in South Africa to bring together buyers and sellers of Securities.These Rules are the operating Rules in respect of the Exchange and are binding on the Exchange, all Authorised Users, Issuers and Clients.

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4AX Fee Schedule
This 4 Africa Exchange (“4AX”) fees document sets out the fees payable to 4AX and/or 4AX Registry and/or 4AX Debt Services Company by Issuers, Issuer Agents and Authorised Users and is effective from 01 March 2020.

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4AX Conflict of Interest Policy
The purpose of this document is to clearly set out how 4AX will meet its Regulatory Obligations to manage potential, perceived or actual Conflicts.

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How to Trade on 4AX Exchange
The purpose of this document is to clearly set out how 4AX will meet its Regulatory Obligations to manage potential, perceived or actual Conflicts.

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4AX Authorised User Guide
4 Africa Exchange Proprietary Limited (“4AX”) will make financial markets more inclusive by providing a safe and licensed exchange that provides easier access, and more product variety to issuers and brokers.

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Guidance Note 1 - Nominees
4 Africa Exchange Proprietary Limited’s (“4AX” or “Exchange”) pre-validated, pre-funded operating model is unique in South Africa (based on international best practice) and is made possible by using a central

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4AX Corporate Action Timetables
These Procedures are a supplement to the 4AX Listing Requirements and set out the salient requirements and prescribed timelines relating to Corporate Actions undertaken by an Issuer.

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Application Forms

4AX Issuer Agent Application Form
This Procedure is to supplement the 4AX Listing Requirements and sets out the Appendices to the 4AX Listing Requirements.

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Authorised User Application Form
Please note all the following requirements all form part of an application to 4AX Compliance Committee for admission as an authorised user in terms of the 4AX Exchange Rules; but that the 4AX Compliance Committee has the right to request additional information to access the application.

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Issuer Information

Issuer Guide
4AX was founded in 2014 to establish a well-regulated exchange alternative to qualifying Issuers and the South African capital markets, with the aim of meeting the needs of Issuers and investors who are not served by current...

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Issuer Agent Guide
4 Africa Exchange Proprietary Limited (“4AX”) will make financial markets more inclusive by providing a safe and licensed exchange that provides easier access, and more product variety to issuers and brokers.

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4AX Debt Listing Information

4AX Debt Listing Requirements
This document contains the Debt Listing Requirements of 4AX for the Listing of Debt Securities on the List. In accordance 4AX operates pursuant to the awarding of an exchange license by the FSCA and within the framework of the FMA. The definitions contained in Chapter 1 of these Debt Listing Requirements applies to this Preface.

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