5 - Ongoing Requirements for Issuers and Insiders

PART

TITLE

PART 1

BACKGROUND

1.1

History

1.2

Fundamental Principles

PART 2

GENERAL

2.1

Application of Instrument

2.2

Application to Foreign Securityholders and U.S. Issuers

2.3

Interim Financial Statements

2.4

“Client” and “Intermediary” to be Distinguished From “Beneficial Owner”

2.5

Definition of “Corporate Law”

2.6

Fees

2.7

Agent

PART 3

REPORTING ISSUERS

3.1

Timing for Notice of Meeting and Record Dates and Intermediary Searches

3.2

Adjournment or Change in Meeting

3.3

Request for Beneficial Ownership Information

3.4

Depository’s Index of Meetings

3.5

Voting Instructions

PART 4

INTERMEDIARIES

4.1

Client Response Form

4.2

Separate Accounts

4.3

Reconciliation of Positions

4.4

Identification of Intermediary

4.5

Changes to Intermediary Master List

4.6

Incomplete or Late Deliveries

4.7

Other Obligations of Intermediaries

4.8

Instructions from Existing Clients

PART 5

MEANS OF SENDING

5.1

General

5.2

Materials in Bulk for Sending to Beneficial Owners

5.3

Number of Sets of Materials

5.4

Electronic Communication

5.5

Multiple Deliveries to One Person or Company

PART 6

USE OF NOBO LIST

6.1

Use of NOBO List

PART 7

EXEMPTIONS

7.1

Materials Sent Less Than 21 Days Before Meeting

7.2

Delay of Audited Annual Financial Statements or Annual Report

7.3

Additional Costs if Time Limitations Shortened

7.4

Applications

PART 8

APPENDIX A

8.1

Appendix A