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Stock Exchange Agreement

Stock Exchange Agreement Template for South Africa

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Key Requirements PROMPT example:

Stock Exchange Agreement

"I need a Stock Exchange Agreement for our investment bank to become a trading member of the JSE with direct market access and derivatives trading capabilities, including provision for cross-border trading with connections to international markets."

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Document background
The Stock Exchange Agreement serves as the primary contractual framework governing the relationship between the Johannesburg Stock Exchange (JSE) and entities seeking to participate in South Africa's securities markets. This document is essential when financial institutions wish to become trading members of the JSE and requires careful consideration of the Financial Markets Act 2012, JSE Listings Requirements, and other applicable regulations. The agreement covers crucial aspects such as membership criteria, trading rights, technical requirements, risk management protocols, and compliance obligations. It is typically implemented when financial institutions expand their trading operations to include JSE market participation or when existing members need to update their relationship with the exchange due to regulatory changes or business evolution.
Suggested Sections

1. Parties: Identification of the Stock Exchange and the Member/Participant

2. Background: Context of the agreement and brief description of the parties' intentions

3. Definitions and Interpretation: Comprehensive definitions of terms used throughout the agreement and interpretation rules

4. Membership Requirements: Qualifications, conditions and ongoing requirements for exchange membership

5. Regulatory Compliance: Obligations to comply with Financial Markets Act, JSE rules, and other applicable regulations

6. Trading Rights and Obligations: Scope of trading privileges and associated responsibilities

7. Technical Requirements: Systems, connectivity, and operational requirements for trading

8. Risk Management: Risk management obligations and procedures

9. Fees and Charges: Structure of fees, payment terms, and billing procedures

10. Confidentiality: Protection and handling of confidential information

11. Default and Termination: Events of default, consequences, and termination procedures

12. Dispute Resolution: Procedures for resolving disputes between parties

13. General Provisions: Standard legal provisions including notices, amendments, and governing law

Optional Sections

1. Market Making Obligations: Required when the member will act as a market maker, specifying obligations and incentives

2. Derivatives Trading: Include when the member will participate in derivatives markets

3. Clearing Membership: Required when the member will also be a clearing member

4. Cross-Border Trading: Include for members requiring access to international markets or foreign participants

5. Direct Market Access: Required when the member will provide DMA services to clients

6. Securities Lending: Include if the member will participate in securities lending activities

7. Research Services: Required when the member will provide research services

Suggested Schedules

1. Schedule 1 - Fee Schedule: Detailed breakdown of all applicable fees, charges, and payment terms

2. Schedule 2 - Technical Specifications: Detailed technical requirements for systems and connectivity

3. Schedule 3 - Compliance Manual: Detailed compliance procedures and requirements

4. Schedule 4 - Risk Management Procedures: Detailed risk management protocols and requirements

5. Schedule 5 - Trading Hours and Calendar: Trading hours, holidays, and special trading sessions

6. Appendix A - Required Forms: Standard forms for notifications, applications, and reporting

7. Appendix B - Contact Details: List of key contacts and escalation procedures

8. Appendix C - Service Level Agreement: Detailed service levels and performance metrics

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Linkedin in social icon imageX social icon image
alex.den.21@genieai.co
Relevant legal definitions
Account
Applicable Laws
Authorised Representative
Best Execution
Business Day
Capital Adequacy Requirements
Clearing House
Clearing Member
Client
Commencement Date
Compliance Manual
Confidential Information
Control
Default Event
Direct Market Access
Exchange Rules
Exchange Systems
FAIS Act
Financial Markets Act
Force Majeure Event
FICA
Good Standing
Intellectual Property Rights
JSE
JSE Listings Requirements
Market Data
Market Hours
Member
Member Systems
Membership Requirements
Order
Participant
Protected Information
Regulated Services
Regulatory Authority
Related Party
Risk Management Requirements
Securities
Settlement Date
Sponsored Access
System Requirements
Technical Specifications
Trading Day
Trading Hours
Trading Platform
Trading Rights
Transaction
User ID
Clauses
Interpretation
Membership Requirements
Regulatory Compliance
Trading Rights
Technical Requirements
Market Access
Risk Management
Client Relations
Clearing and Settlement
Fees and Charges
Market Data
System Access
Security Requirements
Confidentiality
Intellectual Property
Data Protection
Record Keeping
Reporting Requirements
Audit Rights
Representations and Warranties
Covenants
Default
Suspension
Termination
Force Majeure
Liability and Indemnification
Insurance
Assignment and Transfer
Notices
Amendments
Dispute Resolution
Governing Law
Jurisdiction
Entire Agreement
Severability
Waiver
Counterparts
Relevant Industries

Financial Services

Banking

Securities Trading

Investment Management

Financial Technology

Professional Services

Market Infrastructure

Clearing and Settlement

Relevant Teams

Legal

Compliance

Trading Operations

Risk Management

Technology

Market Operations

Finance

Regulatory Affairs

Business Development

Information Security

Relevant Roles

Chief Executive Officer

Chief Financial Officer

Chief Operating Officer

Head of Trading

Head of Compliance

Legal Counsel

Risk Manager

Trading Operations Manager

Technical Operations Director

Compliance Officer

Head of Market Operations

Chief Technology Officer

Head of Securities

Market Structure Manager

Regulatory Affairs Director

Industries
Financial Markets Act 19 of 2012: The primary legislation governing financial markets in South Africa, regulating trading in securities, market infrastructure, clearing houses, and market abuse provisions
Companies Act 71 of 2008: Provides the fundamental rules and regulations for companies in South Africa, including corporate governance requirements and shareholder rights
Financial Intelligence Centre Act 38 of 2001: Establishes anti-money laundering and counter-terrorist financing requirements for financial institutions and market participants
Financial Advisory and Intermediary Services Act 37 of 2002: Regulates the provision of financial advisory and intermediary services to clients
JSE Listings Requirements: Comprehensive set of rules governing listed companies on the Johannesburg Stock Exchange, including continuing obligations and disclosure requirements
Competition Act 89 of 1998: Relevant for ensuring compliance with competition law in cases of substantial shareholding or market concentration
Exchange Control Regulations: Governs cross-border transactions and foreign investment in South African securities
Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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