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:
|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|
|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)
|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|
|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|
|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|
|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)
|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||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)
|23||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.
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.