37.35

An issuer must submit the following:
 
(a)    completed application form. If an issue is guaranteed the guarantor must also complete the application form. This is set out in Appendix 5, part C.
 
(b)    listing fee as provided in Appendix 8.
 
(c)    draft listing document.
 
(d)    draft formal notice of listing.
 
(e)    [Repealed 1 November 2020]
 
(1)    [Repealed 1 November 2020]
 
(2)    [Repealed 1 November 2020]
 
(f)    [Repealed 1 November 2020]
 
(1)    [Repealed 1 November 2020]
 
(2)    [Repealed 1 November 2020]
 
(g)    [Repealed 1 November 2020]
 
(h)    [Repealed 1 November 2020]
 
(i)    [Repealed 1 November 2020]
 
(j)    if an issue is convertible into shares a copy of the approvals authorising the issue and listing of those shares.
 
(k)    a written statement by the issuer’s duly authorised representative confirming:
 
(1)    where the issuer is not listed on the Exchange, the issuer has been validly incorporated or established in its place of incorporation or establishment; and
 
(2)    the issuer has obtained all necessary internal authorisations to issue and allot the debt securities, make an application for listing and issue the listing document.
 
(l)    if an issue is guaranteed, a written statement by the guarantor’s duly authorised representative confirming:
 
(1)    where the guarantor is not listed on the Exchange, the guarantor has been validly incorporated or established in its place of incorporation or establishment; and
 
(2)    the guarantor has obtained all necessary internal authorisations to approve the listing application and the issuing of the listing document.
 
(m)    if an issuer (or a guarantor on which the issuer relies in eligibility assessment pursuant to rule 37.08) is not exempted from rules 37.05 and 37.06, a copy of the audited financial statements of an issuer (or the guarantor on which the issuer relies in eligibility assessment pursuant to rule 37.08) to evidence its fulfilment of rules 37.05 and 37.06.

Where the required financial statements are disclosed in the listing document, it is not necessary to separately submit them to the Exchange.
 
An issuer may submit drafts of the application form in (a) and the confirmation in (k) and (l) to enable the Exchange to consider whether an issue and issuer are eligible for listing. The final confirmation in (k) and (l) may be submitted after the listing application but before listing.