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 | 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 | 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 | 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 | Board/Shareholder approval on offering | 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 certified (if applicable) translation into English language. All documents shall be sent directly to AIX Issuers Regulation 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.