Entire Section

  • Before dealings commence (12.27)

    • 12.27

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

      (1) [Repealed 25 June 2007]
      (2) [Repealed 2 November 2009]
      (3) [Repealed 1 March 2019]
      (4) [Repealed 1 March 2019]
      (5) [Repealed 1 March 2019]
      (6) 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 Appendix 5D signed by each of: (i) the lead broker; (ii) any distributors; and (iii) any Exchange Participant referred to in that Appendix; and
      (b) a list from each placing broker setting out the names, addresses and identity card or passport numbers (in the case of individuals) and the names, addresses and registration numbers (in the case of companies) of all its placees, the names and addresses of the beneficial owners (in the case of nominee companies) and the amounts taken up by each of its placees. Such lists may be supplied directly to the Exchange by each placing broker in order to maintain confidentiality.
      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 17.30(7));
      (7) if required, a declaration from the security printers responsible for production of bearer documents of title in accordance with paragraph 24 of Part B of Appendix 2;
      (8) any fee which is payable and which has not previously been paid (see Appendix 9); and
      (9) the completed company information sheet, in the prescribed form set out in Appendix 5F, submitted in the electronic format specified by the Exchange from time to time, for publication on the GEM website.