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MKT A6.1 Continuing Obligations — Market Disclosures for Listed Entities

Past version: effective from 05/07/2012 - 13/07/2013
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NO EVENT REQUIREMENTS TIME Structured Products Shares Warrants over Shares Warrants over Debentures Debentures Certificates Units
Shares Debentures
GENERAL
1. Any closure of the Listed Entity's register of security holders. Public disclosure of the closure. At least fourteen (14) calendar days before the closure X X X X   X X X
2. Any meeting of holders of Securities. Public disclosure of notice At the same time as such notice is sent to the holders of Securities. X X X X   X X X
3. The final timetable for any proposed action affecting the rights of existing holders of its Listed Securities. Public disclosure As soon as possible after finalisation of the timetable with the DFSA X X X X X X X* X
4. All proposed drawings to effect partial redemptions, and, in the case of registered Debentures or Structured Products, the date on which it is proposed to close the books for the purpose of making a drawing. Public disclosure In advance and as soon as possible X       X   X  
Listed Fund
5. Any decision made in regard to:
(a) any change in the general character or nature of the Fund;
(b) any change in the redemption of all or any of the Units of the Listed Fund;
(c) any change to its published investment policies or objectives, investment restrictions or borrowing restrictions;
(d) any change in the way in which net asset value or issue and redemption prices are calculated, or in the frequency of calculation of the net asset value;
(e) any change in the manner in which the management fees payable by the Fund are calculated;
(f) any changes in the trustee, custodian or prime broker(s), Investment Manager, Advisor, Fund Administrator or auditor;
(g) any changes in the control of the trustee, custodian or prime broker(s), Investment Manager or Advisor;
(h) any change in the tax status of the Fund;
(i) any suspension in the calculation of net asset value or of redemptions.
(j) details of any repurchase, drawing or redemption by the Listed Entity or any of its subsidiaries of the Listed Entity'sListed Securities, unless the purchases are made pursuant to a purchase of own shares Rules in the Listing Rules
Public disclosure As soon as possible               X
6. Changes to rights attaching to Listed Securities or other Securities into which they convert. Public disclosure of:
(a) the class of Securities to which the changes apply;
(b) the date on which the changes become effective;
(c) confirmation that consent of the holders of the Securities (and any other holders of relevant Securities) has been obtained and the date that such consent was obtained); and
(d) a summary of the changes.
(e)
As soon as possible X X X X X X X X
STRUCTURED PRODUCTS
7. Any decision made in regard to:
(a) any change in the structure of the Listed Securities;
(b) any change in the index to which any Listed Securities 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 Securities are linked.
(f) any change in the trust deed or other document constituting the Listed Securities;
(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 Securities 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 Products; and
(j) Any purchase, redemption (including predetermined and scheduled redemptions) or cancellation by the Listed Entity, or any member of the Listed Entity's group of its listed Structured Products after such purchase, redemption or cancellation
Public disclosure As soon as possible X              
ISLAMIC SECURITIES
8. Any material change in the Shari'a nature of its Listed Securities as determined by the Shari'a Supervisory Board     X X X X X X X X
9. Where there are any material changes to the structure of the Listed Securities, or the use of proceeds, then the Listed Entity must obtain and disclose new Shari'a opinion     X X X X X X X X

•   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]