List of Charges under the Listing Rules
(LOC)

SIX Swiss Exchange Ltd

List of Charges under the Listing Rules (List of Charges under the Listing Rules, LOC)

Dated 26 March 2018 Entry into force: 1 May 2018

List of Charges under the Listing Rules 01/05/2018

1 Listing

Clause 2.1.1 Basic charge for processing the listing application CHF 3,000 Clause 2.1.2 Variable charge for the listing of new equity securities new issuer: maximum CHF 10 per million of CHF 80,000 capital increase: maximum of CHF 50,000 CHF capitalisation Clause 2.1.3 Additional charge for new issuers CHF 10,000 Clause 2.1.4 Additional charge for examination of the listing prospectus CHF 5,000 Clause 2.1.5 Additional charge for additional securities CHF 2,000 Clause 2.1.7 Flat charge for the secondary listing of securities of foreign issuers CHF 5,000 Clause 2.1.8 Flat charge for establishing a separate trading line in the event of share CHF 3,000 buy-backs and public offers Clause 2.1.9 Additional charge for trading lines maintained for more than three months CHF 1,000 for each additional quarter Clause 2.1.10 Flat charge for shareholder options in connection with buy-backs or is- CHF 3,000 sue of securities or employee options

2 Maintaining listing

Clause 2.2.1 Basic charge annual basic charge CHF 6,000 Clause 2.2.2 Variable charge annual maximum of CHF 50,000 CHF 10 per million CHF capitalisation

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List of Charges under the Listing Rules 01/05/2018

Annex B – Collective investment schemes

1 Listing

Clause 3.1.1 Basic charge for processing the listing application CHF 3,000 Clause 3.1.2 Additional charge for units of a new collective investment scheme or a new CHF 10,000 legal entity Clause 3.1.3 Additional charge for each additional collective investment scheme CHF 2,000 Clause 3.1.4 Additional charge for additional trading currencies CHF 1,000 per security

2 Maintaining listing

Clause 3.2.1 Basic charge annually as a function of the number of listed collective in- Fee per security vestment schemes from the same issuer: – 1 to 10 CHF 3,000 – 11 to 20 CHF 1,500 – 21 to 30 CHF 1,000 – from 31 CHF 500

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List of Charges under the Listing Rules 01/05/2018

Annex C – Bonds

1 Listing

Clause 4.1.1 Basic charge for processing the listing application CHF 2,000 Clause 4.1.2 Variable charge for the listing of new issues or additional issue of existing CHF 10 per million listed bonds CHF nominal value Clause 4.1.3 Additional charge for new issuers CHF 10,000 Clause 4.1.4 Additional charge for examination of the listing prospectus CHF 5,000 Clause 4.1.5 Flat charge for examination and registration of issue programmes CHF 6,000 Clause 4.1.6 Flat charge for examination of the reissuance and re-registration of is- CHF 3,000 sue programmes Clause 4.1.7 Additional charge for examination of the listing prospectus in connection with CHF 2,000 issue programmes Clause 4.1.8 Flat charge for processing a listing application for bonds with a max- CHF 5,000 imum term of 12 months that are issued on the basis of an issue programme

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List of Charges under the Listing Rules 01/05/2018

Annex D – Derivatives

1 Listing

Clause 5.1.1 Flat charge for the admission of derivatives to trading, a fee per derivative is Fee per charged according to the following table: derivative quantity: 0–200 derivatives CHF 350 quantity: 201–500 derivatives CHF 250 quantity: 501–1,000 derivatives CHF 180 quantity: 1,001–2,000 derivatives CHF 140 quantity: 2,001–5,000 derivatives CHF 110 quantity: 5,001–7,500 derivatives CHF 85 quantity: 7,501–10,000 derivatives CHF 60 quantity: from 10,001 derivatives CHF 50 Clause 5.1.2 Additional charge for "stand-alone prospectus" (Art. 22 para. 1 Additional Rules De- CHF 1,000 rivatives) Clause 5.1.3 Flat charge for the examination and registration of derivatives programmes CHF 6,000 Clause 5.1.4 Flat charge for the examination of the reissuance of derivatives programmes CHF 10,000 Clause 5.1.5 Additional charge for new issuer CHF 10,000 Clause 5.1.6 Flat charge for an adjustment to erroneous entries in CONNEXOR Listing CHF 100 per derivative Clause 5.1.7 Starter discount 10 free derivatives valid for a maximum of 12 months free of charge

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List of Charges under the Listing Rules 01/05/2018

Annex E – Exchange Traded Products (ETP)

1 Listing

Clause 6.1.1 Basic charge for processing the listing application CHF 2,000 Clause 6.1.2 Additional charge for new issuers CHF 10,000 Clause 6.1.3 Additional charge for additional trading currencies per ETP CHF 1,000 Clause 6.1.4 Additional charge for examining the "stand-alone prospectus" CHF 3,000 Clause 6.1.5 Additional charge for examining the listing prospectus with reference to an ap- CHF 2,000 proved listing prospectus Clause 6.1.6 Flat charge for examination and registration of issue programmes CHF 5,000 Clause 6.1.7 Flat charge for examination of the reissuance and re-registration of issue CHF 3,000 programmes Clause 6.1.8 Additional charge for examination of the listing prospectus in connection with is- CHF 1,500 sue programmes

2 Maintaining listing of Exchange Traded Products (ETPs)

Clause 6.2.1 Basic charge annually as a function of the number of listed ETPs from the Fee per ETP same issuer: – 1 to 10 CHF 3,000 – 11 to 20 CHF 1,500 – 21 to 30 CHF 1,000 – from 31 CHF 500

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List of Charges under the Listing Rules 01/05/2018

Annex F – Other services and authorisations Clause 7.1 Charge for processing a delisting application for derivatives or CHF 300 per Exchange Traded Products derivative or ETP, maximum of CHF 3,000 Clause 7.2 Charge for the withdrawal of an application as incurred, CHF 300 per hour Clause 7.3 Charge for providing comprehensive written information as incurred, CHF 300 per hour Clause 7.4 Additional charge to cover extraordinary expenses CHF 300 per derivative or ETP, maximum of CHF 3,000 to cover third party/expert costs as invoiced by the third party / expert for accelerated transaction processing flat charge, maximum of CHF 20,000 Clause 7.5 Charge for expenses such as non-standard postage, notarisation at effective cost fees, etc.

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