Entire Section

  • Before dealings commence

    • 9.23

      The following documents must be submitted to the Exchange before dealings commence:—

      (1) [Repealed 1 March 2019]
      (2) in the case of the placing by a listed issuer of a class of securities new to listing:
      (a) a copy of the placing letter and separate marketing statements in the form set out in Form D in Appendix 5, signed by each of: (i) the lead broker; (ii) any distributors; and (iii) any Exchange Participant referred to in paragraph 9 of Appendix 6; and
      (b) a list from each placing broker setting out the names, addresses and identity cards or passport numbers (if individuals) and the names, addresses and business registration numbers (if companies) of all its placees, the names and addresses of the beneficial owners of the securities (in the case of nominee companies) and the amounts taken up by each of its placees.
      In the case of the placing by a listed issuer of a class of securities al listed, the Exchange may require the issuer to submit information on the placees for the purpose of establishing their independence (see also rule 13.28(7));
      (3) [Repealed 1 March 2019]
      (4) [Repealed 1 March 2019]
      (5) if required, a declaration from the security printers responsible for production of bearer documents of title in accordance with paragraph 25 of Part B of Appendix 2; and
      (6) any annual listing fee which is payable and which has not previously been paid (see Appendix 8).