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      (1) [Repealed 1 March 2019]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 equity securities or interests (including equity securities, interests in a REIT, stapled securities and securities of an investment company (as defined in rule 21.01)) 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 (i) each overall coordinator; (ii) each syndicate member (other than an overall coordinator); (iii) any distributor (other than a syndicate member); and (iv) any Exchange Participant referred to in paragraph 9 of Appendix 6; and
      (b) a placee list from each relevant party mentioned in sub-paragraph (a) above, setting out the required information in paragraph 11 of Appendix 6.
      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      (3) [Repealed 1 March 2019]
      (4) [Repealed 1 March 2019]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).