Issuer Regulation

The JSE currently acts as the frontline regulator, setting listings requirements and enforcing trading rules. The Financial Sector Conduct Authority, supervises the JSE in the commission of its regulatory duties and, as the JSE has no criminal or civil jurisdiction, processes any cases where legislation has been contravened.

A new regulatory oversight framework – the ‘twin peaks’ model’ has recently been introduced in the South African financial market. The two new ‘twin peaks’ regulators: Prudential Authority (PA) and the Financial Sector Conduct Authority (FSCA), were established on 1 April 2018. The PA, responsible for prudential supervision of banks, insurance companies and market infrastructures (e.g. exchanges and clearing houses), was established within the Reserve Bank. The FSCA, responsible for the supervision of the conduct of financial institutions including market infrastructures, replaces the Financial Services Board.

The JSE will continue to act as frontline regulator, reporting to the FSCA as the lead regulator.

South Africa was ranked third in the world in terms of the regulation of securities exchanges in the World Economic Forum’s Global Competitiveness Survey for 2016- 2017. This is an accolade for both the JSE and its regulators. ​.

​Conflicts Officer
Alwyn Fouchee ​+27 11 520 7678
​ ​ ​Refer to Useful Links for access to the Issuer Regulation Conflicts of Interest Policy
​Continuing Obligations Department:​Sipho Mhlambi​+27 11 520 7050
Corporate Finance Department: Annalie de Bruyn +27 11 520 7063
 
Tania Wimberley +27 11 520 7067
​Investigations Department:​Nadia Jada​+27 11 520 7968
​SENS Department:​Johanna van der Merwe​+27 11 520 7155

 Announcements regarding Listing Requirements

 


 

 

 

 

 

 

Contact Us

 

 

Accounting MattersAccounting Mattershttps://www.jse.co.za/current-companies/issuer-regulation/accounting-matters, https://www.jse.co.za/current-companies/issuer-regulation/accounting-matters
JSE Listing Requirements Service Issue 26JSE Listing Requirements Service Issue 26https://www.jse.co.za/content/JSERulesPoliciesandRegulationItems/JSE%20Listings%20Requirements%20Service%20Issue%2026.pdf, JSE Listing Requirements Service Issue 26
Equity Schedule 2Equity Schedule 2https://www.jse.co.za/Pages/currentcompanies/listingapplications.aspx, /Pages/currentcompanies/listingapplications.aspx
Debt Listings Requirements Requirements Service Issue 26Debt Listings Requirements Requirements Service Issue 26https://www.jse.co.za/content/JSERulesPoliciesandRegulationItems/Debt%20Listings%20Requirements%20Service%20Issue%2026.pdf, Debt Listings Requirements Service Issue 26
Debt Schedule 4Debt Schedule 4https://www.jse.co.za/current-companies/debt-application-forms, /current-companies/debt-application-forms
Debt Market Process DocumentDebt Market Process Documenthttps://www.jse.co.za/content/JSEEducationItems/Debt%20Market%20Process%20Document.pdf, https://www.jse.co.za/content/JSEEducationItems/Debt%20Market%20Process%20Document.pdf
Investigations UnitInvestigations Unithttps://www.jse.co.za/current-companies/issuer-regulation/investigations-unit, https://www.jse.co.za/current-companies/issuer-regulation/investigations-unit
2019 JSE Document Fees2019 JSE Document Feeshttps://www.jse.co.za/content/JSEPricingItems/MPL/JSE%20Price%20List%202019%20-%20Issuers%2C%20Services%20and%20Trading.pdf, 2019 JSE Document Fees
Conflicts of Interest PolicyConflicts of Interest Policyhttps://www.jse.co.za/content/JSEAnnouncementItems/Issuer%20Regulation%20Conflicts%20Policy%20Final%20FINAL%20January%202018.pdf, https://www.jse.co.za/content/JSEAnnouncementItems/Issuer%20Regulation%20Conflicts%20Policy%20Final%20FINAL%20January%202018.pdf
List of Underlying Reference AssetsList of Underlying Reference Assetshttps://www.jse.co.za/content/JSERulesPoliciesandRegulationItems/List%20of%20Underlying%20Reference%20Assets%20-%20October%202019.xlsx?Web=1, List of Underlying Reference Asset
SAMCODES Synopsis 2016SAMCODES Synopsis 2016https://www.jse.co.za/content/JSEAnnouncementItems/Synopsis%20june%202016.pdf, /content/JSEAnnouncementItems/Synopsis%20june%202016.pdf
JSE ExtranetJSE Extranethttp://extranet.jse.co.za/, JSE Extranet
Issuer Regulation System (SENS)Issuer Regulation System (SENS)https://sens.jse.co.za/Login.aspx, https://sens.jse.co.za/Login.aspx
Issuer Regulation : Archived DocumentsIssuer Regulation : Archived Documentshttps://www.jse.co.za/downloadable-files?RequestNode=/Issuer_Regulations, https://www.jse.co.za/downloadable-files?RequestNode=/Issuer_Regulations

 Guidance Letters

 

 

In-Principle Approval - JSE GuidanceIn-Principle Approval - JSE Guidancehttps://www.jse.co.za/content/JSEGuidanceLettersItems/In-Principle Approval - JSE Guidance - 23 October 2019.pdfpdf
Section 19 Specialist Issuer's Annual QuestionnaireSection 19 Specialist Issuer's Annual Questionnairehttps://www.jse.co.za/content/JSEGuidanceLettersItems/Section 19 Specialist Issuer's Annual Questionnaire updated.docdoc
Guidance Letter BEE Compliance Report August 2017 Guidance Letter BEE Compliance Report August 2017 https://www.jse.co.za/content/JSEGuidanceLettersItems/Guidance Letter BEE Compliance Report August 2017.pdfpdf

 Bulletins

 

 

Limited Listings Bulletin 1 of 2017Limited Listings Bulletin 1 of 2017https://www.jse.co.za/content/JSEBulletinItems/Limited Listings Bulletin 1 of 2017.pdfpdf

 Checklists

 

 

Debt Issuers Annual Questionnaire 2019Debt Issuers Annual Questionnaire 2019https://www.jse.co.za/content/JSEChecklistsItems/Section 19 Specialist Issuer's Annual Questionnaire updated.docdoc
Fast Track ListingFast Track Listinghttps://www.jse.co.za/content/JSEChecklistsItems/Fast Track Listing.pdfpdf
S19 - ABS - ChecklistS19 - ABS - Checklisthttps://www.jse.co.za/content/JSEChecklistsItems/S19 - ABS - Checklist.docxdocx
S19 - DRs - ChecklistS19 - DRs - Checklisthttps://www.jse.co.za/content/JSEChecklistsItems/S19 - DRs - Checklist.docxdocx
S19 - ETFs - ChecklistS19 - ETFs - Checklisthttps://www.jse.co.za/content/JSEChecklistsItems/S19 - ETFs - Checklist.docxdocx

 Approved party courses

 

 

SDP 2017 Rules for CertificationSDP 2017 Rules for Certificationhttps://www.jse.co.za/content/JSEEducationItems/SDP 2017 Rules for Certification.pdfpdf
Updated training courses for Auditors and Reporting Accountant SpecialistsUpdated training courses for Auditors and Reporting Accountant Specialistshttps://www.jse.co.za/content/JSEEducationItems/Updated training courses for Auditors and Reporting Accountant Specialists.pdfpdf