Equity – IPO/SPO

Listings

Equity – IPO/SPO

IMPORTANT: Please note that electronic versions of all documents should be sent via Online Listing platform (to understand how to do it, please follow the instructions). When an applicant get an approval from AIX Regulation and Compliance Department, electronic versions of signed and stamped documents should be sent via Online Listing platform (no need for hard copies).

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

Item Form Details Reference
APPLICATION DOCUMENTS
Agreements between AIX and the Applicant
1 Pre-Listing Agreement Form available
Pre-Listing agreement shall be signed before an Applicant starts submitting the application documents. Unless the Pre-Listing Agreement is signed and the relevant fee is paid, AIX will not consider the listing package provided
2 Listing Agreement To be provided by AIX Listing agreement is to be provided by AIX upon approval of the listing package and shall be signed by an Applicant before the date of Admission to the Official list
3 AIX Listing Application Form available Signed and certified by the Applicant’s stamp MLR 17
4 AIX Trading Application (Static data should be provided as annex to the form) Form available Signed and certified by the Applicant’s stamp ADS 3.2.1
On-going relationship
5 Signature Card of Authorised Individuals Form available Apostilled/notarised ADS 3.4.3 (2)

6 Power of Attorney for Authorised Signatories Apostilled/notarised ADS 3.4.3 (2)
MLR 17.3.2
7 Processing Agent appointment confirmation/acceptance Form available Signed and certified by the Applicant’s stamp MLR 1.2 (2)
Information on Applicant
Required to comply with AIFC Regulations
8 Ownership Structure identifying beneficiaries of the Applicant (including Extract from the Register of shareholders or Register of participants or similar and the proof of country residency) Certified by the Applicant’s stamp AML 5.1.3 (a),
AML 6.3.1 (a)
9 Resolution on appointment of the board of Directors (or relevant bodies responsible for decision making according to the Articles of Association) Scan MAR 2.2.2
10 Passports/ID’s of Authorised signatories, members of the board of Directors and Ultimate Beneficial Owner(s) Scan AML 6.3.1 (a)
11 CV’s of the board of Director’s members (or relevant bodies responsible for decision making according to the Articles of Association) Scan MAR 2.2.4

Company Information
12 Corporate Governance Code Scan MLR 2.1
13 Conflict of Interest Policy Certified by the Applicant’s stamp MLR 8.1
14 Organisational structure of the Applicant Certified by the Applicant’s stamp MAR 2.2
15 Certificate of Incorporation Scan or link if publicly available MLR 3.1
16 Articles of Association Scan MLR 3.1,
ADS 3.3.1 (4)
17 Acceptable Audited Financial Statements (cover a prior period of one year for REM Companies and three years for others) and audited/unaudited interim financial statements (where applicable) Scan or link if publicly available

MLR 4.1

REM 3.1

18 Extract from the decision of the board of Directors on the appointment of the Audit committee’s members Signed and certified by the Applicant’s stamp MAR 2.2.5
OFFER DOCUMENTS
19 Prospectus (approved by the board of Directors or another body competent to decide on such
matters under an Applicant’s constitutive documents and/or applicable law)
Scan

PR 6.2

REM 4

20 Completed Shareholder Statement Form available Signed and certified by the Applicant’s stamp MLR 17.3.1 (1)
21 Completed Pricing Statement Form available Signed and certified by the Applicant’s stamp MLR 17.3.1 (2)
22 Written confirmation of the number of shares to be allotted in the offer (if applicable) Form available Signed and certified by the Applicant’s stamp MLR 17.2.1 (5)
23 Approval on offering, duly authorisation of Securities (in accordance with the domestic legislation and/or constituent documents of the Issuer) Scan MLR 17.4.1 (8),
MLR 9.1 (1)
24 Depositary Agreement (in case of GDR’s listing) Scan ADS 4.2.1

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 via Online Listing platform.

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 date of listing.

Fees:

An amount of USD $ 5,000 shall be paid in advance upon an execution of the Pre-Listing Agreement. Such advance payment is non-refundable regardless of  results of listing eligibility assessment.

The rest of the Listing fee set out in the AIX Fee schedule is payable according to the Listing Agreement before the actual admission to the listing on AIX.