Listing Rules and Guidance: Contents


 
 

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9.09
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There must be no dealing in the securities for which listing is sought by any core connected person of the issuer (except as permitted by rule 7.11):

(a) in the case of listing application by listed issuers, from the time of submission of the formal application for listing until listing is granted; and
(b) in the case of a new applicant, from 4 clear business days before the expected hearing date until listing is granted.

The directors of the issuer for whose securities listing is being sought shall forthwith notify the Exchange of any such dealing or suspected dealing of which they become aware. If any of the directors or their close associates are found to have engaged in such dealing, the application may be rejected.