Application Documents for Listing
CMB Registration Certificate (to be delivered to the Exchange when acquired from the CMB), Prospectus approved by the CMB (to be delivered to the Exchange when acquired from the CMB), Authorized body decision relating to warrant issue, Where the relevant registration stipulates the decision or consent of other bodies for warrant issue, then a document relating to such decision or consent, The names, titles and contact details of persons authorized to conduct transactions on behalf of the issuer, market maker, intermediary institution, and guarantor if any, and other relevant entities and institutions, A declaration to be made by the board of directors or persons authorized to represent the issuer to the effect that the warrants are not subject to reservations restricting their assignment or circulation, or preventing the exercise of holder rights and that there is no beneficial interest on the warrants, A copy of each of the market making agreement, intermediation agreement, guarantee agreement if any, and other documents relating to public offering, information describing the parties to the agreement, and the officially-certified signature circulars of the parties to the agreement, Other information and documents that may be required by the Presidency of the Stock Exchange
The above mentioned documents are submitted to the Presidency of the Stock Exchange.
Application Documents for Being Traded
- Information form and application petition for being traded, signed by the intermediary institution or the issuer
- Circular approved by the CMB
- Document evidencing payment of warrant initial listing fee
- Other information and documents that may be required by the Presidency of the Stock Exchange