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Rules, Fees & Significant Changes

The Aequitas NEO Exchange’s rules and policies, i.e. the requirements and guidance set out in the Trading Policies and Listing Manual and Forms, as well as our fees and operational and governance structure, have been approved by the OSC.

New public interest rules and rule amendments must be provided by exchange staff to the Regulatory Oversight Committee, which is responsible for reviewing proposed rules and deciding or making recommendations to the board of directors regarding the filing.

The rules must then be submitted for review by the OSC and the exempting regulators and approved by the OSC in accordance with Schedule 5 of the recognition order. Fee changes and significant changes to information on operations and governance previously filed must also be filed in accordance with Schedule 5 of the recognition order.

All non-housekeeping rule changes and certain significant changes, including those that are considered to have an impact or potential impact on the exchange’s market structure or members, or on issuers, investors or the capital markets or otherwise raise public interest concerns, must be published for comment.

In addition to the Trading Rules, trading on the Aequitas NEO Exchange is governed by the Universal Market Integrity Rules (“UMIR”) maintained by IIROC.

To reference UMIR, please go to www.iiroc.ca

Aequitas NEO Exchange Rules are currently out for comment.