Information which must be contained in an application for the renewal of an exchange, central securities depository or clearing house licence.
| (1) |
A copy of the latest audited annual financial statements of the applicant. |
| (2) |
A copy of the latest annual budget of the applicant approved by the controlling body. |
| (3) |
A copy of the latest strategic planning document, which has been approved by the controlling body, dealing with financial resource adequacy, human resource adequacy, business continuity planning, disaster recovery, and any other matter considered to be of strategic importance to the controlling body of the applicant. |
| (4) |
A management discussion and analysis report, signed by the chief executive officer, addressing the material changes that have occurred in the information previously submitted in terms of SS1 (or SS2 for previous licence renewals) as pertaining to the previous licence period. |
| (5) |
A management discussion and analysis report, signed by the chief executive officer, addressing the progress made in complying with any conditions laid down by the registrar in respect of the previous licence which has been granted or renewed. |
| (6) |
A statement, signed by the chief executive officer, confirming that during the year preceding the date of the application for renewal— |
| (a) |
the rules of the applicant were properly enforced and if some rules were not enforced, the reasons therefor must be given; |
| (b) |
the applicant at all times complied with the Act as well as the applicable conditions; |
| (c) |
the applicant complied with all directions, requests, conditions or requirements of the registrar; and |
| (d) |
the applicant has given effect to all decisions of the board of appeal, if any. |
Statistics Act, 1999
