Equity – IPO/SPO

Listings

Equity – IPO/SPO

IMPORTANT: Please note that during the preliminary review electronic copies should be sent via email and hard copies will be sent by post to the address provided by AIX when the potential issuer will get an approval from AIX Regulation and Compliance Department.

List of required documentation for admission of securities to listing and trading:

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)

Disclaimer: Every document required to be provided to AIX or provided by AIX shall be in English or accompanied with notarised (apostilled for non-residents) translation into English language. All documents shall be sent directly to AIX Regulation and Compliance Department (regulation@aix.kz).

After consideration of all documents provided and confirmation by AIX that all documents comply with requirement of AIFC and AIX rules and regulation, AIX will provide the Listing Agreement to the Applicant for execution. Listing Agreement should be signed before the actual listing.

Fees:

50% percent of Listing fee is payable according to Pre-listing Agreement before applying for admission to listing on AIX.

The rest 50% of the Listing fee is payable according to the Listing Agreement before the actual admission to listing on AIX.