Jamaica Stock Exchange s Monthly Regulatory Report December 2017

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1 Jamaica Stock Exchange s Monthly Regulatory Report December 2017 Page 1 of 5

2 Jamaica Stock Exchange December 2017 Regulatory Report Overview This is the Jamaica Stock Exchange s (JSE) December 2017 Monthly Regulatory Report. The report gives a synopsis of the following regulatory activities: 1. Member-dealers reporting, 2. Listed companies submissions, 3. Market surveillance and compliance activities, 4. Regulatory breaches and enforcement actions. Member-Dealers Reporting In accordance with JSE Rule 209 (A) member-dealers were required to file Monthly Reports for the period ended November 30, 2017 by December 31, For the reporting period, twelve (12) Monthly Reports were due and submitted on time. Based on JSE Rule 209 (B) member-dealers were required to file Quarterly Reports for the period ended November 30, 2017 by December 31, No Quarterly Reports were due, hence no filings were received. Under JSE Rule 209 (C) member-dealers with financial year ended September 30, 2017 were required to file their Audited Reports by December 31, For the reporting period, two (2) Audited Reports were due and submitted on time. For the period, all member-dealers satisfied the JSE s Excess Net Free Capital (ENFC) requirement as prescribed by JSE Rule Appendix 12 Member/Dealers Report and Financial Information, which is represented in Table 1 below. Table 1 Member-Dealers Excess Net Free Capital (ENFC) as at November 30, 2017 ENFC Range($M) # Of Member- Dealers Nov 2017 # Of Member- Dealers Nov 2016 Below , ,000 5, ,000 and above 2 3 Page 2 of 5

3 Listed Companies Submissions During the month of December 2017, Listed Companies were required to file Unaudited Reports for the period ended October 31, 2017 by December 15, Listed Companies with year ended October 31, 2017 that selected the 60-days filing option were required to file Audited Statements by December 30, Listed Companies with year ended September 30, 2017 that selected a 90-days filing option were also required to file their Audited Statements December 29, Additionally, Listed Companies with year ended August 31, 2017 were required to file Annual Reports by December 29, The filing statistics are represented in Table 2 below: Table 2 Listed Companies Financial Submissions December 2017 December 2016 Reports Total Due Timely Filing Late Outstanding Total Due Timely Filing Late Outstanding Unaudited Audited Annual Key: Late reports are filings after the due date that came in before the close of the month. Outstanding reports are due reports that were not received as at the close of the month. Market Surveillance and Compliance Activities The JSE s tally of market surveillance and compliance issues as at December 31, 2017 amounted to Forty-Nine (49) versus Seventeen (17) for the comparative month last year. Further statistics of JSE s market surveillance and compliance activities are presented in Table 3 below. Table 3 Market Surveillance & Compliance Log Total Issues Issues Closed Issues Unclosed Dec 2017 Dec 2016 Dec 2017 Dec 2016 Dec 2017 Dec Y-T-D 17 Y-T-D 16 Y-T-D 17 Y-T-D 16 Y-T-D 17 Y-T-D List of Regulatory Breaches and Enforcement Actions In Table 4 below is the list of regulatory breaches and enforcement actions for the period ended December 31, 2017: Table 4 # Entity Code Rule Details 1 Margaritaville Turks MMC JSE Rule 409 Annual Reports The Company s Annual Report for the year ended May 31, 2017, Page 3 of 5

4 2 C2W Music 3 Jetcon Corporation 4 Medical Disposables & Supplies JMC JSE Junior Market Rule Appendix 2, Part 4 (1a) (i) Quarterly Financial Statements JMC Junior Market Rule Appendix 7, Section 9 (b) JMC 1. JSE Junior Market Rule Appendix 2, Part 7, Model Code for Securities Transactions, Section 4 (b). 2. JSE Junior Market Rule Appendix 2, Part 7, Sections 8 (a) to (d) Procedures for dealing during the Closed Periods. which became due on September 28, 2017, was submitted in December Consequently the company was processed in accordance with JSE Rule Appendix 3, Section 16 (vii). The Company's 3 rd Quarter Unaudited Financial Statements for the period ended September 30, 2017 which became due on November 14, 2017 was submitted on December 30, The Company in correspondences to the JSE advised of the delay. notification on November 27, 2017 of dealings in its securities by a Director on October 9, Given JSE Junior Market Rule Exchange was forty-one (41) days A Director traded in the company s shares during the closed period on November 8, 2017 and the Exchange was notified of the trade on November 13, Given details provided in the notice and further correspondences with the Medical Disposables and Supplies, the Company breached JSE Junior Market Rule Appendix 2, Part 7, Model Code for Securities Transactions, Section 4 (b) and did not adhere to the requirements of JSE Junior Market Rule Appendix 2, Part 7, Sections 8 (a) to (d) Procedures for dealing during the Closed Periods. In correspondence dated December 15, 2017, the company informed that it took full responsibility for the breach, which was due primarily to an operational error in the upload of the Reports. This error resulted in the Report being uploaded later than the intended date. The Company also committed to Page 4 of 5

5 5 Knutsford Express Services 6 Medical Disposables & Supplies JMC JMC Junior Market Rule Appendix 7, Section 9 (b) Junior Market Rule Appendix 7, Section 9 (b) making every effort to remain compliant with the JSE Junior Market Rules. notification on December 6, 2017 of dealings in its securities by a Director on November 16, Given the JSE Junior Market Rule Exchange was thirteen (13) days notification on December 6, 2017 of dealings in its securities by a Director on November 15, Given the JSE Junior Market Rule Exchange was fourteen (14) days Code Key: 1. JMC Junior Market Company 2. MMC Main Market Company 3. M/D Member-Dealer 4. O Others The RMOD undertakes enforcement actions as prescribed by the JSE rules. Enforcement actions take the form of fines; suspension and delisting that are imposed on entities that are found to be in breach of the rules and regulations of JSE. Page 5 of 5

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