Checklist for Listing Particulars: Issue of Securities by a Mutual Fund

CSX Form LD-13 Retail Debt Securities

CHECKLIST FOR LISTING DOCUMENT: RETAIL DEBT SECURITIES

(CHECKLIST DOES NOT APPLY TO SECONDARY LISTINGS WHICH ARE REGULATED UNDER CHAPTER 7 OF LISTING RULES.)

Name of Company: ______

Name of Listing Agent: ______

Checklist completed by: ______Date: ______

This checklist must be completed as follows:

1. Conditions

i.) When a condition has been satisfied the “Complied” box must be ticked; or

ii.) If a condition is non-applicable, the “Complied” box must be marked “N/A”.

2. Disclosure Items

i.) When an item has been included and complied with in a document, the page number (and draft number if different to that indicated in the “Draft No” box) of the document on which it has been included and complied with must be completed; or

ii.) If an item is non-applicable, the “Page No.” box must be marked “N/A”; or

iii.) If an item is the subject of a waiver, the “Page No.” box must be marked “W”.

Listing Rule Complied

CONDITIONS 13.1 13.2 13.3 13.4 13.5 13.6 13.7

of 5 CSX Form LD-13 Retail Debt Securities

13.8 13.9 13.10 13.11 13.12 13.13

Listing Rule Page No.

CONTENTS OF LISTING DOCUMENT – RETAIL DEBT SECURITIES 13.14 13.15 13.16 (a) (i) 13.16 (a) (ii) 13.16 (a) (iii) 13.16 (a) (iv) 13.16 (a) (v) 13.16 (b) 13.16 (c) 13.16 (d) 13.16 (e) 13.17 (a) 13.17 (b) 13.17 (c) 13.18 13.19 13.20 13.21 13.22 (a) 13.22 (b) 13.22 (c) 13.22 (d) 13.22 (e) 13.22 (f) 13.22 (g) 13.22 (h) 13.22 (i) (i) 13.22 (i) (ii) 13.22 (i) (iii) 13.22 (i) (iv) 13.22 (i) (v) 13.22 (i) (vi)

13.22 (j) 13.23 (a) 13.23 (b) 13.23 (c) 13.23 (d) 13.23 (e) 13.23 (f) 13.24 (a) 13.24 (b) 13.25 13.26 13.27 13.28 13.29 13.30 13.31 13.32 13.33 13.34 13.35 13.36 13.37 (a) 13.37 (b) 13.37 (c) 13.37 (d) 13.38 (a) 13.38 (b) 13.38 (c) 13.38 (d) (i) 13.38 (d) (ii) 13.38 (d) (iii) 13.38 (d) (iv) 13.38 (d) (v) 13.38 (e) 13.39 (a) 13.39 (b) 13.39 (c) 13.40 13.41 13.42 13.43 13.44 13.45

13.46 13.47 13.48 13.49 13.50 13.51 13.52 13.53 13.54 13.55 13.56 13.57 13.58 13.59 (a) 13.59 (b) 13.59 (c) 13.59 (d) 13.60

SCHEDULE 13A – MATTERS TO BE PROVIDED FOR IN THE CONSTITUTION OF A COMPANY ISSUING RETAIL DEBT SECURITIES 13A.1 13A.1 (a) (i) 13A.1 (a) (ii) 13A.1 (b) 13A.1 (c) 13A.1 (d) (i) 13A.1 (d) (ii) 13A.1 (e) 13A.2 13A.3

SCHEDULE 13B – ACCOUNTANTS’ REPORTS 13B.1 13B.2 (a) 13B.2 (b) 13B.2 (c) 13B.2 (d) (i) 13B.2 (d) (ii) 13B.2 (d) (iii) 13B.2 (d) (iv) 13B.2 (d) (v) 13B.2 (e) 13B.2 (f) 13B.2 (g) 13B.3 13B.4

2.25 Formal approval 2.25 (a) Appendix 1A 2.25 (b) Listing document 2.25 (c) Appendix 2A 2.25 (d) Appendix 3A 2.25 (f) Appendix 4 2.25 (g) N/A letter 2.25 (h) Waiver letter 2.25 (i) Appendix 5 2.25 (k) Other documents