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(1) [Repealed 25 June 2007]
(2) [Repealed 2 November 2009]
(3) [Repealed 1 March 2019]
(4) [Repealed 1 March 2019]
(5) [Repealed 1 March 2019]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 equity 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: (i) each overall coordinator; (ii) each syndicate member (other than an overall coordinator); (iii) any distributor (other than a syndicate member); and (iv) any Exchange Participant referred to in that Appendix; and
(b) a placee list from each relevant party mentioned in sub-paragraph (a) above, setting out the required information in rule 10.12(5). Such lists may be supplied directly to the Exchange by each relevant party mentioned in sub-paragraph (a) above in order to maintain confidentiality.
In the case of the placing by a listed issuer of a class of securities already 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 Exchange’s website.