Equity – Pre-IPO

Listings

Equity – Pre-IPO

MPORTANT: Please note that electronic versions of all documents should be sent via Online Listing platform. 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 Written certification on plans to carry out an IPO on AIX Form available Signed and certified by the Applicant’s stamp PRE 1.1 (4)
5 Written certification on due power, authority and capacity to carry out proposed pre-IPO listing Form available Signed and certified by the Applicant’s stamp PRE 1.1 (5)
On-going relationship
6 Signature Card of Authorized Individuals Form available Apostilled/notarised ADS 3.4.3 (2)
MLR 17.3.2
7 Power of Attorney for Authorised Signatories Apostilled/notarised ADS 3.4.3 (2)
MLR 17.3.2
8 Processing Agent appointment confirmation/acceptance Form available Signed and certified by the Applicant’s stamp MLR 1.2 (2)
Information on the Applicant
Required to comply with AIFC Regulations
9 Ownership Structure identifying beneficiaries of the applicant (including Extract from the Register of shareholders or Register of participants or similar) Certified by the Applicant’s stamp AML 5.1.3 (a)
10 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
11 Passports/ID’s of Authorised signatories, members of the board of Directors and Ultimate Beneficial Owner(s) Scan AML 6.3.1 (a)
12 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
MLR 6
Company Information
13 Organisational structure Certified by the Applicant’s stamp MAR 2.2
14 Certificate of incorporation Scan

or link if publicly available
MLR 3.1
15 Articles of Association Certified by the Applicant’s stamp MLR 3.1, ADS 3.3.1 (4)
16 Acceptable Audited Financial Statements (cover a prior period of three years) and audited/unaudited interim financial statements (where applicable) Scan

or link if publicly available
MLR 4.1
17 Letter on composition of the board of Directors (or relevant bodies responsible for decision making according to the Articles of Association) Signed and certified by the Applicant’s stamp MAR 2.2.4
OFFER DOCUMENTS
18 Terms and Conditions Form available Signed and certified by the Applicant’s stamp PR 1.3.2 (b), PRE 1.1 (2)
19 Approval on listing (in accordance with the domestic legislation and/or constituent documents of the Applicant) 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 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.