The written engagement agreement of an overall coordinator pursuant to rule 3A.35 must at least specify the following:
|(1)||the roles and responsibilities of the overall coordinator;|
|(2)||the fee arrangement (including the fixed fees to be paid to the overall coordinator as a percentage of the total fees to be paid to all syndicate CMIs);|
|(3)||the time schedule for payment of the fees to the overall coordinator;|
|(4)||(for a sponsor-overall coordinator only) the obligation of the new applicant and its directors to provide the information in rule 9.11(23a) to the sponsor-overall coordinator for its submission to the Exchange within the required timeframe; and|
|(5)||(for placing in connection with a New Listing) the obligations of the new applicant and its directors to provide the assistance specified in rule 3A.46.
|Note:||The total fees in this rule, also commonly referred to as “underwriting fees”, include fixed and discretionary fees for providing one or more of the following services to the issuer: providing advice, marketing, bookbuilding, making pricing and allocation recommendations and placing the equity securities or interests (including equity securities, interests in a REIT, stapled securities and securities of an investment company (as defined in rule 21.01)) with investors.