Investigations Unit ​

Investigations Unit

The JSE derives its powers from the provisions of the Financial Markets Act, 2012 (“FMA”) which imposes an obligation on an exchange to make listings requirements and also prescribes what must be contained in such requirements. The JSE, as regulator of its exchange, is obliged to enforce its rules and listing requirements (“Listing Requirements”) and to supervise compliance thereof in accordance with the provisions of the FMA. 

As part of its regulatory duties, the JSE through its Investigations Unit, enforces and supervises compliance of the Listings Requirements, investigates any contravention thereof and takes action against a regulated party after following due process at all times.

The principles and procedures adopted by the Investigations Unit in the exercise of its regulatory and investigative duties is set out hereunder in the document entitled Understanding JSE Investigations and Imposition Of Censures. ​​​​​​​​​​​​

 Transgression Letters

 

 

02. Late Announcements and the 28 day rule02. Late Announcements and the 28 day rule714655https://www.jse.co.za/content/JSERulesPoliciesandRegulationItems/02. Late Announcements and the 28 day rule.pdfpdf
05. Trading Statements05. Trading Statements242152https://www.jse.co.za/content/JSERulesPoliciesandRegulationItems/05. Trading Statements.pdfpdf
01. Directors Dealings01. Directors Dealings653115https://www.jse.co.za/content/JSERulesPoliciesandRegulationItems/01. Directors Dealings.pdfpdf
03. Late Disclosure of Financial Information03. Late Disclosure of Financial Information215389https://www.jse.co.za/content/JSERulesPoliciesandRegulationItems/03. Late Disclosure of Financial Information.pdfpdf
04. Share Incentive Schemes04. Share Incentive Schemes189241https://www.jse.co.za/content/JSERulesPoliciesandRegulationItems/04. Share Incentive Schemes.pdfpdf