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EXCHANGE

EQUITY

DEBT

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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4AX Conflict of Interest Assessment

The annual conflict of interest assessment report is prepared in compliance with section 62 of the Financial Markets Act and the FSCA Board Notice 1 of 2015.

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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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+- Listing Requirements & Schedules
4AX Listing Requirements

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

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4AX LR Schedules

These schedules are a supplement to the 4AX Listing Requirements and set out the salient requirements and prescribed timelines relating to Equities undertaken by an Issuer.

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+- Equity Guidance Notes
Guidance note 1 – Nominees

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

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Guidance note 2 – Submission Timelines

The 4AX Guidance Note 2 to address Submission timelines is currently under review.

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+- Other
Equity Listing Journey

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

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Issuer Agent (external/ internal) Application Letter

The document must be completed by external and/or internal issuer agents wanting to register on the 4AX platform.

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Equity Corporate Actions Timetable

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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+- Checklists
4AX LR Schedule 5 MOI checklist

The MOI checklist a supplement to the 4AX Listing Requirements and set out the method of incorporation. The checklist is currently under review.

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4AX LR Listing Particulars checklist

The listing particulars checklist is a supplement to the 4AX Listing Requirements and set out the particulars as set out by an Issuer.

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4AX LR Business Plan checklist

The Business Plan checklist is a supplement to the 4AX Listing Requirements. The document is currently under review.

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+- Listing Requirements & Schedules
4AX Debt Listing Requirements

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

Download Document

4AX Debt LR Schedules

These schedules are a supplement to the 4AX Listing Requirements and set out the salient requirements and prescribed timelines relating to Debt listing undertaken by an Issuer. The 4AX listing requirements schedules is currently under review.

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+- Debt Guidance Notes
+- Other
Debt Listing Journey

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

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Issuer Agent (external/ internal) Application Letter

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.

Download Document

Debt Corporate Actions Timetable

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.

Download Document

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:

Listing Requirements Appendices

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

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.

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.

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.

4AX Conflict of Interest Assessment

The annual conflict of interest assessment report is prepared in compliance with section 62 of the Financial Markets Act and the FSCA Board Notice 1 of 2015.

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.

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.

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

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.

4AX Listing Requirements

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

4AX LR Schedules

These schedules are a supplement to the 4AX Listing Requirements and set out the salient requirements and prescribed timelines relating to Equities undertaken by an Issuer.

Guidance note 1 – Nominees

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

Guidance note 2 – Submission Timelines

The 4AX Guidance Note 2 to address Submission timelines is currently under review.

Equity Listing Journey

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

Issuer Agent (external/ internal) Application Letter

The document must be completed by external and/or internal issuer agents wanting to register on the 4AX platform.

Equity Corporate Actions Timetable

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.

4AX LR Schedule 5 MOI checklist

The MOI checklist a supplement to the 4AX Listing Requirements and set out the method of incorporation. The checklist is currently under review.

4AX LR Listing Particulars checklist

The listing particulars checklist is a supplement to the 4AX Listing Requirements and set out the particulars as set out by an Issuer.

4AX LR Business Plan checklist

The Business Plan checklist is a supplement to the 4AX Listing Requirements. The document is currently under review.

4AX Debt Listing Requirements

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

4AX Debt LR Schedules

These schedules are a supplement to the 4AX Listing Requirements and set out the salient requirements and prescribed timelines relating to Debt listing undertaken by an Issuer. The 4AX listing requirements schedules is currently under review.

Debt Listing Journey

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

Issuer Agent (external/ internal) Application Letter

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.

Debt Corporate Actions Timetable

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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