ࡱ> qsp RWbjbj$$8\F|F|Off8\s|J:C] iIIIIIII$LO*IiqCCqqITFJqdIqIDXaHt9OuE(IdJ<JFDOWOPaHaH&OHqqqqqqqIIqqqJqqqqOqqqqqqqqqf+ : 0Reference Format0Confirmation Items for Initial Listing Application Issue(Foreign ETF)000000000000000000000000000MMMMM DD, YYYYTo President and CEO, Tokyo Stock Exchange, Inc. Address of Head Office 0 000000000000000 Name of Management Company 000000000 000000 Name (signature) andTitle of Representative 0000000000000 (Name of Management Company) hereby explains the items required in the listing examination criteria with respect to the initial listing application issue.1. Regarding the framework and systems for making the fluctuation rate of net asset value per unit of the initial listing application issue correspond to that of the specific indicator2. Regarding expectations of ensuring the smooth circulation of the initial listing application issue after listing3. Regarding the fund's operations structure4. Regarding the management system and structure with respect to the credit situation, etc. of a counterparty, etc.*With respect to 4. above, please provide information only for cases where the initial listing application issue falls under indicator-linked securities, etc. incorporated ETF specified in Rule 1001, Item 12-2 of the Securities Listing Regulations*The "counterparty, etc." mentioned in 4. above means the following parties:- An issuer and guarantor (limited to cases where a guarantor exists) of the security issued with the aim of achieving investment performance tracking the movement of a specific indicator that is included as an investment trust asset, etc.- A counterparty and guarantor (limited to cases where a guarantor exists) of the contract with the right (see Note 1) pertaining to said contract concluded with the aim of achieving investment performance tracking the movement of a specific indicator that is included as an investment trust asset, etc.(Note 1) Limited to the rights pertaining to OTC derivatives transactions as specified in Article 2, Paragraph 22 of the Act, the rights pertaining to commodities investment, etc. transactions, or receivables as specified in Article 3, Item 7 of the Enforcement Ordinance for the Investment Trust Act.Name of Initial Listing Application Issue* If applying for multiple issues at the same time, please add extra columns as necessary. 1. Regarding the framework and systems for making the fluctuation rate of net asset value per unit of the initial listing application issue correspond to that of the specific indicator.(i) Framework for making the fluctuation rate of net asset value per unit correspond to that of the specific indicator* Please include illustrations, etc. to make the explanation easy to understand. * For example, please include operation policy, the details of trust assets, or the details and results of any simulations that were conducted. (ii) System for making the fluctuation rate of net asset value per unit correspond to that of the specific indicator* Please include information on any systems in ETF operations designed to prevent deviation. 2. Regarding expectations related to ensuring the smooth circulation of the initial listing application issue after listing.Status of application for Foreign ETF Support Member System by Trading Participants that are designated participants Name of Trading Participants who have applied for the designation prescribed in Rule 68 of the Business Regulations* In addition to the above, please separately submit a copy of written proof of the trading participant's application.Systems to ensure smooth circulation and fair price formation of the initial listing application issue * Please include information on systems that the management company assumes for accomplishing the above goals, for example the status of the number of units related to creation and the manner in which it can flexibly handle additional unit creation on an as-needed basis. 3. Regarding the fund's operations structure(1) Fund Operations StructureDepartment Business OperationsNumber of Persons in Charge%%DepartmentPlease provide details what the department is responsible for in fund operation. %%%Department%(2) Administrative Flow of Business Operations * Please use a flow chart, etc. to facilitate easy understanding of the explanation on the relationship between the management company, trustee, and designated participant in ETF operations. (3) Structure for Compliance and Risk Management* If the applicant is the management company for an ETF that is already listed, there is no need to fill out the section "Regarding the fund's operation structure". * However, please include any changes that have occurred since the most recent application for listing. 4. Regarding the management system and structure, etc. as well as credit situation, etc. of a counterparty, etc.Name of Counterparty, etc.Outline%%Please provide an outline of the counterparty, etc. (e.g., address, name of representative, and details of main business) (1) Criteria for selecting the counterparty, etc.(2) Summaries of the rights of the security that was issued with the aim of achieving investment performance tracking the movement of a specific indicator or the rights pertaining to the contract, as well as the status of satisfying the above criteria(3) Management system and structure pertaining to financial situation, etc. of the counterparty, etc.(4) System pertaining to, where it becomes clear that the financial situation, etc. of the counterparty, etc. has significantly deteriorated, response to situations where damage or loss is incurred as well as measures to reduce the likelihood of damage/loss to investment trust assets, etc.(5) System and structure pertaining to distributing information regarding the counterparty, etc. (information distribution methods, etc.)* Please separately submit financial statements, etc. as well as the audit report attached to said financial statements, etc. of the counterparty, etc. (In the case where they are published on the Internet, the"$&(tv   Ϳ͖xiXiXK>K>h3Vh6CJOJQJh3VhCJOJQJ h3Vh+CJOJQJnHtHh3Vh+CJOJnHtH h3Vh+OJQJaJnHtHh3Vh6OJQJaJh3Vh&zOJQJaJh3Vh&z>*CJOJQJh3Vh>*CJOJQJh3Vh6>*CJOJQJh3Vh+>*CJOJQJh3Vh+CJOJQJh3Vh; ]CJOJQJh3Vh+CJOJ&(   & 8 d f N WDd`gd%gd% -WD:`-gdH hWD`hgdgd6 $4$a$gd6$a$$a$ $da$gd3V$da$dgdoJ^    < > r  " & 6 8 \ ^ . 0 J d f h  F L M zoh3VhOJQJh3Vh+OJQJnHtHh3VhOJQJh3Vh8+>*OJh3VhH>*OJQJh3Vh8+>*OJQJh3VhHOJQJh3Vh8+OJQJh3Vh+OJQJh3VhCJOJQJh3Vh6CJOJQJh3Vh6>*CJOJQJ(N O |cS}DVDWD^D`gd*[VDgWD^[`gd[VDgWD^[`gd%VDWD^`gdx[;LVDWD^;`Lgd%v\VDdWD8^v`\gd%VDdWDj^`gd WDd`gd% M O R \ n v z  %28Ln{|аwkwk`h3Vh+OJQJh3VhmOJQJo(h3Vh2;OJQJo(h3Vh&zOJQJ h3Vh&zKHOJQJ^JaJ h3Vhk7KHOJQJ^JaJ h3VhKHOJQJ^JaJh3Vh}CJOJQJaJh3VhCJOJQJaJh3VhOJQJh3VhOJQJh3VhOJQJ"TY]bcbcdRSUdׯעו}}}}}qdhhOOJQJaJh3Vh+>*OJQJh3Vh*OJQJaJhaOJQJaJo(h3VhBOJQJaJh3VhOJQJaJh3Vh~ZOJQJaJh3VhzNOJQJaJo(h3VhqOJQJaJh3Vh&zOJQJaJh3Vhx[OJQJaJh3Vh+CJOJQJaJ'$dh$&#$/Ifa$gd$d$&#$/Ifa$gd.VDVWD^`.gd5;od[L=4v^vgd} WD8^` gd}\WD8^`\gd}v^vgdOkd$$Ifc01a  t6 0644 lapyt:<@\dPnpr"`$'(MVZpξξήξήxήΞޓh3VhHE>*CJOJQJaJh3Vhk7OJQJh3Vh}OJQJh3Vh}>*CJOJQJaJh3Vhk7>*CJOJQJaJh3VhO>*CJOJQJaJh3Vh}>*CJOJQJaJh3Vh+OJQJh3Vh!OJQJo(h3VhOOJQJ.opST'$dh$m&#$/Ifa$gd & FgdHE^v^vgd}.VDWD^`.gdk7iVD2WD^i`gd}i^igd} OS @MTmۿynch3VhWwOJQJh3Vhl;OJQJh3VhWwOJQJo(h3VhK>OJQJh3Vh!OJQJh3Vh!OJQJo(h3VhHE>*OJQJh3Vh}>*OJQJhh}OJQJaJhhHECJOJQJaJhh}CJOJQJaJh3Vh}OJQJh3VhHEOJQJ$  tfaPG? & FgdHE^gd}vVDWD^v`gdHEgd}kd$$Ifc0:  t6m 0644 lapytt$dh$Ifa$gddhgd}gd%v.VDWD^v`.gdI DTdn *68dhGSsw軮{{nnnnnnnnh3VhI OJQJaJhh}OJaJhhI OJQJaJhh}OJQJaJh3Vh%OJQJaJo(h3Vh}OJQJaJh3VhoOJQJaJh3Vh}>*CJOJQJaJh3Vho>*CJOJQJaJh3Vh+OJQJh3Vh>*OJQJ*6K??? dh$Ifgdkd$$IfcF l! uU  t06    44 laZpyt`TTT dh$Ifgdkdu$$IfcF l! uU t06    44 laZpytdrs`XXGGXv.VDWD^v`.gd}dhgd}kd,$$IfcF l! uU t06    44 laZpytGHJLuz HJLŵꍀsh]h3Vh`OJQJh3VhOJQJhh`OJQJaJhh+OJQJaJhh2 OJQJaJh3Vh2 OJQJh3Vh2 >*CJOJQJaJh3Vh}>*CJOJQJaJh3Vh+CJOJQJh3Vh+OJQJaJh3VhI OJQJh3Vh}OJQJh3VhoOJQJJJL$dh$Ifa$gd$Ifgd=go^ VDcWD}^ `gdbdh.VDWD^`.gdI i]Q d$Ifgd dh$Ifgdkd$$Ifc0[t"m  t0644 laZpyt xllZBB$7$8$H$VDdWDj^`a$gd l$7$8$H$WDd`a$gd% $7$8$H$a$gd%kd$$Ifc0[t"m t0644 laZpyt J!M!`!a!e!z!{!!""""""""""#ȷݛݦyhZNZhhhyh3VhsOJQJhh3VhsOJQJho( h3Vh^$KHOJQJ^JaJ h3Vh]KHOJQJ^JaJ h3VhKHOJQJ^JaJhaOJQJaJo( h3VhcKHOJQJ^JaJ h3Vh`KHOJQJ^JaJ)h3Vh@B*KHOJQJaJphh3VhcOJQJaJ)h3Vhc@B*KHOJQJaJph a!b!""##STlWnWoWqWrWzxxxxv.VDWD^v`.gd; ]v.VDWD^v`.gdcgd%$H7$8$H$VDdWD^H`a$gd%$7$8$H$VDdWDj^`a$gd^$$7$8$H$VDdWDj^`a$gdc$7$8$H$WDd`a$gd%########T:TBTCTHTSTUTTTTTUUUUV&VeVVVVkWlWmWoWpWrWsWuWvWxWyWzW澼澯}uquququqmqh=gh`jh`UhJh+CJOJQJh3Vh; ]OJQJaJh3VhqOJQJaJhaOJQJaJo(h3Vh 0OJQJaJUh3Vh lOJQJaJh3VhsOJQJaJo(h3Vh]OJQJaJh3VhcOJQJaJh3Vh+CJOJQJ( URL will suffice.). 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