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AFSA NOTICE №AFSA-N-NB-2022-0001 ON EQUIVALENT REGULATED EXCHANGES

NOTICE No. AFSA-N-NB-2022-0001


THE ASTANA FINANCIAL SERVICES AUTHORITY HEREBY GIVES NOTICE THAT:

The following Regulated Exchanges are determined as Equivalent Regulated Exchanges for Securities and Listed Funds to be admitted to the Official List maintained by the Astana International Exchange (AIX) in accordance with MAR 1.2.2(2) and AIFC Glossary (Equivalent Regulated Exchange for Listed Funds):


No.

Equivalent Regulated Exchange

Effective Date

1.

London Stock Exchange



-Main Market

28 February 2019


-Alternative Investment Market

10 September 2019

2.

Euronext Dublin

10 September 2019

3.

Hong Kong Stock Exchange



-Main Board

1 November 2019


-Growth Enterprise Market

1 November 2019

4.

Shanghai Stock Exchange



-Main Board

10 January 2020

5.

Toronto Stock Exchange

3 November 2021

6.

Frankfurt Stock Exchange



-     General Standard

3 November 2021


-     Prime Standard

3 November 2021

7.

Australian Securities Exchange

20 April 2022

8.

New York Stock Exchange

20 April 2022

9.

Nasdaq Stock Market

20 April 2022


INTERPRETATION

Defined terms are identified in this notice by the capitalisation of the initial letter of a word or of each word in a phrase and are defined in the AIFC Glossary. Unless the context otherwise requires, where capitalisation of the initial letter is not used, an expression has its natural meaning.


THIS NOTICE IS CONSIDERED TO BE A REPLACEMENT TO AFSA NOTICE №0004 ISSUED ON 28 FEBRUARY 2019 (AS AMENDED), AFSA NOTICE №0009 ISSUED ON  23 JULY 2019 (AS AMENDED) AND AFSA NOTICE №AFSA-N-NB-2021-0004 ISSUED ON 3 NOVEMBER 2021.


AFSA NOTICE №AFSA-N-NB-2021-0004 ON EQUIVALENT REGULATED EXCHANGES FOR SECURITIES AND LISTED FUNDS

NOTICE No. AFSA-N-NB-2021-0004


THE ASTANA FINANCIAL SERVICES AUTHORITY HEREBY GIVES NOTICE THAT:

The following Regulated Exchanges are determined as Equivalent Regulated Exchanges for Securities and Listed Funds to be admitted to the Official List maintained by the Astana International Exchange (AIX) in accordance with MAR 1.2.2 (Exempt Securities) and AIFC Glossary (Equivalent Regulated Exchange for Listed Funds):

1.Toronto Stock Exchange

2.Frankfurt Stock Exchange (General Standard and Prime Standard segments)




EFFECTIVE PERIOD

This notice comes into effect on the date of issue.


INTERPRETATION

Defined terms are identified in this notice by the capitalisation of the initial letter of a word or of each word in a phrase and are defined in the AIFC Glossary. Unless the context otherwise requires, where capitalisation of the initial letter is not used, an expression has its natural meaning.



NOTICE N9 ON THE EQUIVALENT REGULATED EXCHANGES FOR LISTED FUNDS

RELEVANT STATUTORY PROVISION: GLO (EQUIVALENT REGULATED EXCHANGE FOR LISTED FUNDS)

THE ASTANA FINANCIAL SERVICES AUTHORITY HEREBY GIVES NOTICE THAT:

The following Regulated Exchanges are determined as Equivalent Regulated Exchanges for Listed Funds:

1. The Main Market of the London Stock Exchange for Listed Funds that must be in the form of open-ended Investment Company as defined in section 236 of the Financial Services and Markets Act 2000;

2. AIM (Alternative Investments Market) of the London Stock Exchange (LSE) for admitted to trading Units of Listed Funds;

3. Euronext Dublin for admitted to trading Listed Funds and Exchange-traded funds (ETFs).

NOTICE N4 ON EXEMPT SECURITIES

Notice N4 on Exempt Securities

RELEVANT STATUTORY PROVISION: MAR 1.2.2 (EXEMPT SECURITIES)

THE ASTANA FINANCIAL SERVICES AUTHORITY HEREBY GIVES NOTICE THAT:

The List of Regulated Exchanges determined to be Equivalent and Securities to be admitted to the Official List maintained by the Astana International Exchange (AIX) without a Prospectus, where such securities meet requirements under (i), (ii) and (iii) of MAR 1.2.2(h):

1. Shares, Debentures and Certificates admitted to trading on the main market of the London Stock Exchange (LSE);

2. Shares admitted to trading on the AIM (Alternative Investments Market) of the London Stock Exchange (LSE);

3. Shares, Debentures admitted to trading on the Euronext Dublin;

4. Shares admitted on Main Board and Growth Enterprise Market (GEM) of the Hong Kong Stock Exchange (HKEX);

5. Shares admitted on Main Board of the Shanghai Stock Exchange (SSE).