Units

Listings

Units

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 Pre-Listing agreement shall be signed before the Fund 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 the Fund before the date of Admission to the Official list.
3 AIX Listing Application Form available Signed and certified by the Fund’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 Fund’s stamp ADS 3.2.1
5 Processing Agent appointment confirmation/acceptance Form available Signed and certified by the Fund’s stamp LFR 2.1(c)
6 Articles of Association / Constitution of the Fund established in compliance with AIX LFR 2.2 Scan LFR 2.1(d)(i)
MLR3.1,
ADS 3.3.1 (4)
7 Acceptable Audited Financial Statements and audited/unaudited interim financial statements (where applicable) of the Fund and Fund Manager  Scan or link if publicly available MLR 4.1
8 Regulatory approval for the incorporation of the Fund (if applicable) Scan LFR 2.1(d)(iii)
9 License of the Fund Manager  Scan LFR 2.1(d)(iii)
10 CV’s of the board of Director’s members (or relevant bodies responsible for decision making according to the Articles of Association) of the Fund and the Fund Manager Scan LFR 2.1(d)(v)
11 Passports/ID’s of Authorised signatories, members of the board of Directors and Ultimate Beneficial Owner(s) of the Fund and the Fund Manager Scan AML 6.3.1 (a)
12 Resolution on appointment of the board of Director’s members (or relevant bodies responsible for decision making according to the Articles of Association) of the Fund and the Fund Manager Scan MAR 2.2.2
13 Ownership Structure identifying beneficiaries of the Fund Manager (including Extract from the Register of shareholders or Register of participants or similar and the proof of country residency) Scan AML 5.1.3 (a),
AML 6.3.1 (a)
14 Signature Card of Authorised Individuals of the Fund Apostilled/Notarised copy ADS 3.4.3 (2) MLR 17.3.2
15 Power of Attorney for Authorised Signatories of the Fund Apostilled/Notarised copy ADS 3.4.3 (2)
MLR 17.3.2
16 Corporate Governance Code Scan MLR 2.1(d)(vi)
17 Organisational structure of the Fund and the Fund Manager Scan MLR 2.1
18 Offering Materials of the Fund  Scan AIX LFR 2.1(d)(ix)
19 Completed Unit holder statement Form available LFR 2.3(b)(ii)

Following documents shall be provided by the Secondary Listed Fund:

Item Form Details Reference
1 Pre-Listing Agreement Form available Pre-Listing agreement shall be signed before the Fund 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 the Fund before the date of Admission to the Official list.
3 AIX Listing Application Form available Signed and certified by the Fund’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 Fund’s stamp ADS 3.2.1
5 Processing Agent appointment confirmation/acceptance Form available Signed and certified by the Fund’s stamp LFR 2.1(c)
6 Articles of Association / Constitution of the Fund established in compliance with AIX LFR 2.2 Scan LFR 2.1(d)(i)
MLR3.1,
ADS 3.3.1 (4)
7 Acceptable Audited Financial Statements and audited/unaudited interim financial statements (where applicable) of the Fund and Fund Manager  Scan or link if publicly available MLR 4.1
8 Offering Materials of the Fund  Scan AIX LFR 2.1(d)(ix)
9 Completed Unit holder statement Form available   LFR 2.3(b)(ii)

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 ([email protected]).

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.