Units

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:

№	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:

Please note that Domestic Fund Manager of Exempt Funds (as defined in AIFC CIS Rules) must obtain written approval from AFSA to seek to have Units admitted to trading on an AIX.

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.