据荷兰加勒比证券交易所（DCSX）公告报道自2022年开始，DCSX一直在进一步清洁不合规的发行人和上市保荐机构。《DCSX上市保荐机构规则》和《上市技术和交易要求》(以下简称“要求”)的存在，是为了确保一个透明和实用的平台，并不断发展，以确保良好的沟通、用户友好和清晰的流程，最终为发行人、投资者和交易所的利益相关者提供最佳服务。
这种清理需要将不合规的发行人摘牌，并终止DCSX平台上不活跃和不合规的上市保荐机构。必须采取必要措施保护投资者和/或维持市场秩序。重要的是要明白，触发交易所执行发行人退市和终止上市保荐机构地位的是不符合我们的要求。这包括及时交付每年要求的客户尽职调查文件，如年度信息申报表、财务报表、更新的公司和个人文件，仅举几例。
另一个触发因素是发行人或上市保荐机构未能按时支付DCSX应支付的任何费用或征费和/或以其他方式未与交易所沟通。如果我们清楚了解我们的规章制度和上市要求，并在所有相关各方之间进行定期、及时和明确的沟通，就可以防止所有这些触发因素。当我们进一步升级这些要求时，我们将始终努力使它们对发行人、投资者和其他利益相关方更加有利。
原文参考: Clarification of the delisting of issuers and cancellation of Listing Advisor status.
This year 2022, the DCSX has been further cleaning up the non-compliant issuers and Listing Advisors The DCSX Rules for Listing Advisors and the Technical and Tradable Listing Requirements (“Requirements”) exist to guarantee a transparent and practical platform that is constantly in development to assure good communication, user friendly and clear processes and ultimately an optimal service for Issuers, Investors and the exchange’s stakeholders as a whole.
This clean-up entails the delisting of non-compliant Issuers and the termination of inactive and non-compliant Listing Advisor’s on the DCSX platform. Necessary steps needed to be taken for the protection of investors and/or the maintenance of an orderly market. It is important to understand that what triggers the exchange to execute the delisting of Issuers and the termination of the Listing Advisor’s status is the non-compliance with our Requirements. This includes the timely delivery of yearly requested Customer Due Diligence documentation such as the Annual Information Declaration form, Financial Statements, updated corporate and personal documents, just to name a few.
Another trigger is when the Issuer or Listing Advisor fails to pay on time any fees or levies due to the DCSX and/or otherwise remains uncommunicated towards the exchange. All these triggers can be prevented with a clear understanding of our Rules and Regulations and Listing Requirements and regular, timely and clear communication between all the parties involved. As we go through further upgrading of such Requirements, we will always strive to make them ever better for the Issuers, the Investors and other stakeholders.
