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Investment Funds

Ongoing Obligations

This provides a summary only of the ongoing requirements of the ISE. The Funds Publications section contains the complete set of listing requirements and ongoing obligations.

 

General obligation of disclosure.*

  • A listed Fund must disclose all material changes and developments relating to the listed Fund’s operations immediately to the ISE through the Companies Announcement Office..


Annual report and accounts.

  • A listed fund must issue an annual report and accounts. The annual report and accounts must be circulated to unitholders and the ISE’s Investment Fund department as soon as possible after the accounts have been approved and in any event within six months of the end of the financial period to which they relate..

 

Notifications relating to capital.

  • Alterations to capital structure, new issues of debt securities, changes of rights attaching to listed units or issues affecting conversion rights.

 

Notification of NAV.

  • NAV’s should be notified to the ISE immediately upon calculation.  These can be submitted by emailing nav@ise.ie, autonav@ise.ie or by using the AutoNAV service. The AutoNAV service is easy to use and updates your NAV information directly to the ISE website. When the listed security's identifiers have been certified by the AutoNAV system the information will be displayed immediately thereafter, no manual input is required. For more information on the AutoNAV service please email autonav@ise.ie.


Notification of interests in units.

  • A listed fund must notify the CAO without delay of the following information relating to interests in units, of which the listed fund, its directors or investment manager are aware and where such interests vary from date of first or subsequent notification;
  • any person which would be treated as a controlling unitholder;
  • where any listed fund is subject to the Companies Act 1990, any information disclosed to it in accordance with sections 67-81 of the Companies Act 1990;
  • any change in the holding of units by the legal entity appointed as investment manager.
  • provisions for equality of treatment for all unitholders and a requirement for prior notification, and in limited circumstances prior approval, of proposed variation to rights.

Investment Portfolio details

  • A listed fund must provide details of any investments held at the end of the financial period.  The information presented should provide a comprehensive and meaningful analysis of all investments, demonstrating compliance with  the listing rules

*A listed fund should aconsider its obligations under applicable European Directives

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