The listing document is required to include the following:—(1) the statements required pursuant to rule 29.04 (disclaimer) and rule 29.05 (GEM characteristics);(2) subject to rule 29.09, all of the specific items of information which are set out in Part C of Appendix 1;(3) appropriate risk factors, taking into consideration the matters set out in rule 29.12; and(4) in respect of a listing document issued in support of an application for listing of debt securities of a class new to listing where those debt securities are offered otherwise than to existing shareholders, the listing document must, as an overriding principle, contain such particulars and information which, according to the particular nature of the issuer and guarantor, in the case of a guaranteed issue, and the debt securities for which listing is sought, is necessary to enable an investor to make an informed assessment of:—(a) the activities, profits and losses, assets and liabilities, financial position, management and prospects of the issuer and guarantor, in the case of a guaranteed issue; and(b) the rights and trading arrangements attaching to such debt securities.
A bank may omit the items of information required by the following paragraphs of Part C of Appendix 1:—
34, 37(2) to (7), 38, 40, 41(2), (3) and (4), 44 and 51
In addition, the Exchange may be prepared to permit the omission of information where it considers it appropriate. Banks who want to omit any of the prescribed information should therefore consult the Exchange at the earliest possible opportunity.
Negative statements are required only where so indicated in Part C of Appendix 1.
The Exchange may require disclosure of such additional or alternative items of information as it considers appropriate in any particular case. Conversely, it may be prepared to permit the omission or modification of items of information to suit the circumstances of a particular case. Consequently, issuers are encouraged, through their Sponsors where so retained, to seek informal and confidential guidance from the Exchange at the earliest opportunity. The issuer shall not publish the listing document until the Exchange has confirmed that it has no further comments thereon.