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9A.06

Past version: effective up to 14/02/2018
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An applicant for transfer of listing under this chapter shall submit to the Exchange the following documents:

(1) a formal application for listing in the form set out in Form J in Appendix 5, signed by a duly authorised director of the issuer;
(2) a declaration in the form set out in Form K in Appendix 5, signed by every director and supervisor (if any) of the issuer confirming and declaring compliance with all the requirements for a transfer of listing (save those disapplied under rule 9A.03)
(3) a checklist prescribed by the Exchange from time to time duly completed and signed by every director and supervisor (if any) of the issuer;
(4) an advanced draft public announcement, as required under rule 9A.08, to be published by the issuer in relation to the transfer of listing;
(5) the initial listing fee payable under rule 9.03(1)(b) and paragraph 1(3) of Appendix 8;
(6) the declaration and undertaking set out in rule 9.11(38) duly signed by each director/ supervisor and proposed director/supervisor;
(7) where shareholders', board or regulatory approval is required for the transfer of listing (whether under the issuer's constitutive documents or applicable laws or regulations or otherwise), a copy of the relevant approval(s) or resolutions; and
(8) a written confirmation, together with relevant supporting information, to the Exchange that, for the next 12 months from the date of publication of the announcement under rule 9A.08:
(a) the working capital available for the group is sufficient for its present requirements, that is for at least the next 12 months from the date of publication of the announcement under rule 9A.08; and

Note: In the case of a Mineral Company, it has available working capital to meet 125% of the group's working capital needs for at least the next 12 months, under Listing Rules 18.03(4) and 18.03(5).
(b) the issuer's financial advisers or auditors are satisfied that this confirmation has been given after due and careful enquiry and that persons or institutions providing finance have stated in writing that the relevant financing facilities exist.

Note: Supporting information for the purpose of rule 9A.06(8) typically includes cashflow forecast memoranda, profit forecasts and written statements from persons or institutions providing finance.