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):

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