注意事项: 提交申请文档的初审阶段，请先将申请文档电子扫描件通过电子邮件发至AIX监管合规部，在经过AIX监管合规部最终确认后，再由潜在发行人将纸质原件邮寄至AIX监管合规部提供的地址。
申请上市所需文件清单:
| № | 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 | AML 5.1.3 (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 (a) | |
| 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 | Board/Shareholder approval on offering (in accordance with the domestic legislation and/or constituent documents of the Issuer) | Scan | MLR 17.4.1 (8) | |
免责申明：任何需要递交至AIX或者由AIX提供的文件语言必须为英文，如果申请文件为非英文，请附带经过认证的英文翻译。所有文件都应当直接发送至AIX监管合规部([email protected])。
AIX将对所有提交的文件进行尽职调查，经审核并确认所有申请文件都符合AIFC、AIX规则和章程的相关要求之后，AIX将向申请者提供上市协议，上市协议应由AIX和申请者在正式上市之前完成签署。
费用:
在AIX上申请上市之前，根据上市前协议申请者需支付50%的上市费用。
在AIX正式上市之前，根据上市协议申请者需支付剩下50%的上市费用。