可持续产品 | AIX

可持续产品

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 gets approval from AIX Regulation and Compliance Department, electronic versions of signed and stamped documents should be sent via the 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 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
On-going relationship
5	Signature Card of Authorised Individuals	Form available	Apostilled/notarised	ADS 3.4.3 (2) MLR 17.3.2
6	Power of Attorney for Authorised Signatories		Apostilled/notarised	ADS 3.4.3 (2) MLR 17.3.2
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)
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	CVs of the members of the Board of Directors (or relevant bodies responsible for decision making according to the Articles of Association)		Scan	MAR 2.2.4 MLR 6
Company Information
12	Corporate Governance Code (for public offering only, if available)		Scan	MLR 2.1
13	Conflict of Interest Policy (for public offering only)		Certified by the Applicant's stamp	MLR 8.1
14	Organisational structure of the Applicant		Signed and 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 (covering a prior period of two years) and audited/unaudited interim financial statements (where applicable)		Scan or link if publicly available	MLR 4.1
OFFER DOCUMENTS
18	Prospectus (for Retail Investor Offerings) Offer Document or Terms and Conditions (for Professional Client Offerings)		Signed and certified by the Applicant's stamp	Prospectus Rules MLR 16-1.2 MLR 17.2
19	Approval on offering (in accordance with the domestic legislation and/or constituent documents of the Applicant)		Scan	MLR 17.4.1 (8)
For Green Bonds in addition to the above required
20	External Review for Green Bonds	Form available	Signed and certified by External reviewer's stamp	GRN 4.1 (d)

Disclaimer: Every document required to be provided to AIX or provided by AIX shall be in English or accompanied by a translation into English language. All documents shall be sent via the Online Listing platform.

After consideration of all documents provided and confirmation by AIX that all documents comply with the 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.

Fees:

Initial listing fee shall be paid in advance upon 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.