Equity – IPO/SPO

上市信息

Equity – IPO/SPO

注意事项: 提交申请文档的初审阶段,请先将申请文档电子扫描件通过电子邮件发至AIX监管合规部,在经过AIX监管合规部最终确认后,再由潜在发行人将纸质原件邮寄至AIX监管合规部提供的地址。

申请上市所需文件清单:

Item Form Details Reference
APPLICATION DOCUMENTS
Agreements Between AIX and the Issuer
1 Pre-Listing Agreement Form available
2 Listing Agreement To be provided by AIX
3 AIX Listing Application Form available Signed and certified by stamp of the Applicant MLR 17
4 AIX Trading Application (Static data should be provided as annex to the form) Form available Signed and certified by stamp of the Applicant ADS 3.2.1
Enforceable Undertakings
5 AFSA Undertaking Form available Signed and certified by stamp of the Applicant MLR 1.2 (1)
6 AIX Undertaking Form available Signed and certified by stamp of the Applicant MLR 1.2 (1)
On-going Relationship
7 Signature Card of Authorized Individuals Form available Apostilled/notarised ADS 3.4.3 (2)
8 Power of Attorney for Authorised Signatories Apostilled/notarised ADS 3.4.3 (2)
9 Processing Agent appointment confirmation/acceptance Form available Signed and certified by stamp of the Applicant MLR 1.2 (2)
ISSUER INFORMATION
Required to Comply with AIFC Regulations
10 Ownership Structure identifying beneficiaries of the issuer (including Extract from the Register of shareholders or Register of participants or similar) Apostilled/notarised copy MDR 4.2 (a)
11 Resolution on appointment of the Board of Directors and Members of the Management Board (or relevant bodies responsible for decision making according to the Articles of Association) Scan MAR 2.2.2
12 Passports/ID’s of Authorised signatories, Senior Management and Ultimate Beneficial Owners Apostilled/notarised copy AML 6.3.1 (i)
13 CV’s on Senior management and Directors (or relevant bodies responsible for decision making according to the Articles of Association) Scan MAR 2.2.4
Company Information
14 Corporate Governance Code Scan MLR 2.1
15 Organizational Structure Signed and certified by stamp of the Applicant MAR 2.2
16 Conflict of Interest Policy Scan MLR 9.1
17 Certificate of Incorporation Apostilled/notarised copy MLR 3.1
18 Articles of Association Scan MLR 3.1, ADS 3.3.1 (4)
19 Annual reports / Acceptable Audited Financial Statements (cover a prior period of three years, which must include a balance sheet that is dated not more than 6 months before the date of any approved prospectus and not more than 9 months before the date on which the application for listing is made) Scan MLR 4.1
20 Letter on composition of the Board of Directors and Management Board (or relevant bodies responsible for decision making according to the Articles of Association) Signed and certified by stamp of the Applicant MAR 2.2.4
OFFER DOCUMENTS
21 Prospectus Signed and certified by stamp of the Applicant MLR 17.2, AIX Prospectus Rules
22 Completed Shareholder Statement Form available Signed and certified by stamp of the Applicant MLR 17.3.1 (1)
23 Completed Pricing Statement Form available Signed and certified by stamp of the Applicant MLR 17.3.1 (2)
24 Written confirmation of the number of shares to be allotted in the offer Form available Signed and certified by stamp of the Applicant MLR 17.2.1 (3)
25 Approval on offering (in accordance with the domestic legislation and/or constituent documents of the Issuer) Scan MLR 17.4.1 (8)

免责申明:任何需要递交至AIX或者由AIX提供的文件语言必须为英文,如果申请文件为非英文,请附带经过认证的英文翻译。所有文件都应当直接发送至AIX监管合规部(regulation@aix.kz)。

AIX对所有提交的文件进行尽职调查,经审核并确认所有申请文件都符合AIFC、AIX规则和章程的相关要求之后,AIX将向申请者提供上市协议,上市协议应由AIX和申请者在正式上市之前完成签署。

费用:

在AIX上申请上市之前,根据上市前协议申请者需支付50%的上市费用。

在AIX正式上市之前,根据上市协议申请者需支付剩下50%的上市费用。