Application forms and notices (afn) – mkt2


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dfsa

APPLICATION FORMS AND NOTICES (AFN) – MKT2




For DFSA use only



     




MKT2 Form
Application for Admission of Securities to the Official List of Securities of the DFSA


For enquiries relating to this form please contact:

Telephone: +971 4 362 1500

E-mail: markets@dfsa.ae



Purpose of this form

This form must be submitted by any Person which proposes to seek an admission of Securities to the Official List of Securities maintained by the DFSA. This application must be made pursuant to Chapter 9 (The Listing Rules) of the Markets Rules of the DFSA Rulebook (MKT).
Contents


Section

Title

Who should complete the section

1

General Information

To be completed by all Applicants

2

Security Details

To be completed by all Applicants

3

Trading Details

To be completed by all Applicants

4

Additional Information

To be completed where relevant

5

Prospectus Exemptions

To be completed where relevant

6

Islamic Securities

To be completed where relevant

7

Declaration

To be completed by all Applicants



Notes for completing this form


  • In this form, the term “Applicant” means an applicant for admission of Securities to the Official List of Securities of the DFSA and includes, where the context requires, the Issuer.




  • In this form, a reference to Securities is a reference to the Securities of the Issuer or, where the context requires, the Securities for which the Applicant is or proposes to be a Reporting Entity but not the Issuer.




  • In this form, a reference to the “Listing Rules” is a reference to Chapter 9 of the MKT and relevant appendices.




  • Defined terms are identified throughout this application form by the capitalisation of the initial letter of a word or phrase and are defined in the Glossary module (GLO) of the DFSA Rulebook.




  • Questions must be answered fully and the use of abbreviations or acronyms should be avoided or such acronym clearly defined.




  • Do not leave any questions blank. If a question is not applicable this should be indicated in the response section. Failure to answer questions or provide full responses may delay the progress of the application.




  • Prior to completion of this form, Applicants are strongly urged to read the Markets Law 2012 and MKT to ensure appropriate information is provided to the DFSA.




  • Answers must be typed in electronic format and the form must be signed by a Director of the Applicant.




  • A passport copy of the individual authorised to sign the declaration must be provided with this form.




  • Applicants are reminded that any material changes to any information submitted in this application whilst it is under consideration by the DFSA must be immediately notified to the DFSA, and that failing to provide such information may lead to an offence under Article 66 of the Regulatory Law 2004 if it causes information submitted to the DFSA to be false, misleading or deceptive at the time that the DFSA relies upon it.




  • The application will not be processed until the relevant fee is paid in full to the DFSA. Details of the fee schedule are set out in the Fees module of the DFSA Rulebook. Please make the payment by bank transfer in US Dollars to the account listed below. Cheques or bank drafts will not be accepted.




Account name

Dubai Financial Services Authority

Account number

020-683751-100

IBAN:

AE080200000020683751100

Bank details

HSBC Bank Middle East

PO Box 66

Dubai, UAE

Swift code

BBMEAEAD

Reference to be quoted

Application fee [applicant name]


(Kindly provide a copy of the remittance advice to the DFSA)

SECTION 1 - GENERAL INFORMATION
About the Applicant


1.1

Full name of Applicant:


     




1.2

Applicant’s registered address

     




Telephone number

     




Fax number

     




E-mail address

     




1.3

Name and address of transfer agent/share registrar and any paying agent:



     




1.4

Name and address of the Applicant’s current auditors, accounting standards and, auditing standards of the Applicant:



     




1.5

Company website address:

     




1.6

Financial year-end:

     




1.7

Name of the adviser or sponsor

     




Adviser/sponsor’s address (if relevant)

     




Adviser/sponsor’s contact person

     




Position/title

     




Telephone number

     




Mobile number

     




Fax number

     




E-mail address

     


Please nominate two individuals (of the Applicant or the Reporting Entity, if different) to be the main points of contact with the DFSA in relation to continuing disclosure and other obligations the MKT.


1.8

Contact person

     




Address

     




Position/title

     




Telephone number

     




Mobile number

     




Fax number

     




E-mail address

     




Contact person

     




Address

     




Position/title

     




Telephone number

     




Mobile number

     




Fax number

     




E-mail address

     




1.9

Country and date of incorporation and registration.

     


SECTION 2 –SECURITY DETAILS
2.1 ISIN code(s) the Securities which are to be admitted to the Official List of Securities.







     



2.2

Type of issue for which application is being made and details of any proposed distribution of the Securities: (For example: IPO, Rights, Placing, Open Offer, Debt Issuance Programme, Warrants).


     




2.3


Amount and full description of each class of Security for which application is now being made: (For example: 30,000,000 common shares of 10 cents each fully paid). Where the Securities are to be issued under an issuance programme, please give a description of the programme and the maximum amount of Securities that may be listed at any one time.


     





2.4

Expected size of offering ( if relevant).

     




2.5

Expected market cap post issue (US$) (In the case of Debentures, the total net tangible assets of the Applicant).

     




2.6

Are the Securities for which application is now made identical in all respects:




With each other?

Yes:



No:






With an existing class of Security?

Yes:



No:



If you answered NO to either question, how do the Securities differ and, if relevant, when will they become identical?


     

SECTION 3 – TRADING DETAILS



3.1

The name of the proposed AMI on which the Securities of the Applicant are intended be traded:


     




3.2

The name of the proposed settlement system and details regarding the clearing and settlement arrangements for the Securities:


     




3.3

The name of any other stock exchange on which any Securities of the Applicant are already listed and/or traded or an application for listing or trading has been made:


     




3.4

An Exempt Offeror who intends to issue Securities in dematerialised form must state the date when the definitive certificates in respect of the Securities for which this application relates will be issued :


     



SECTION 4 – ADDITIONAL INFORMATION


4.1

Address at which the listing documents (and all the material documents that the listing documents states will be available for inspection) will be available to the public and the date of publication of the listing documents:


     




4.2

Particulars of any litigation or material claims made against the Applicant or Reporting Entity (if different) or any member of its group in the last five (5) years or which is pending or threatened against the Applicant or the Reporting Entity or any member of its group, or an appropriate negative statement:


     




4.3

Has the Applicant or Reporting Entity (if different), in any jurisdiction, ever been refused an admission to listing or trading of any of its securities by a market operator or regulatory/listing authority or had to withdraw its application for admission to listing or trading for any reason? If yes, please provide details for such refusal or withdrawal?”


     



SECTION 5 – Prospectus Exemptions
5.1 Where application is made for Exempt Securities without a Prospectus, explain in detail as to why the exemptions in 2.4 of the Markets Rules apply or if you are an Exempt Offeror, state the basis of the exemption.


     


SECTION 6 – ISLAMIC SECURITIES


6.1

Background information on the originator:

     




6.2

A description of the transaction and structure of the issue including the Islamic concept adopted:

     




6.3

Details on the utilisation of the proceeds. If the proceeds are to be utilised for a specific project, details of that project must be included.


     




6.4

Details of any assets, including

Type of asset:

     

Value of underlying asset:

     

Location:

     

Usage:

     

Periodic Distribution date:

     

Redemption date:

     



6.5

Details of the Shari’a Advisory Board, including the identity, qualification and experience of every member of the Board.


     


SECTION 7 - DECLARATION
7.1 Declaration by the Applicant


  1. I declare that, to the best of my knowledge and belief, having made due enquiry, the information given in this application is complete and correct. I understand that it is an offence under Article 66 of the Regulatory Law 2004 to provide to the DFSA any information which is false, misleading or deceptive or to conceal information where the concealment of such information is likely to mislead or deceive the DFSA.




  1. I agree to provide to the DFSA further or more detailed information upon request where the DFSA considers such information is necessary to adequately assess this application.




  1. I confirm that I have the authority to make this application, to declare as specified above and sign this form for, or on behalf of, the Applicant. I also confirm that I have the authority to give any consent specified above, and if applicable.




  1. For the purposes of complying with DIFC Data Protection Law 2007, I understand that any Personal Data provided to the DFSA will be used to discharge its regulatory functions under the Regulatory Law 2004 and other relevant legislation and may be disclosed to third parties for those purposes.




  1. I acknowledge my and the Applicant’s obligations under the Listing Rules. Accordingly I declare:




    1. that all the eligibility criteria for listing in the Listing Rules which are required to be fulfilled prior to application have been fulfilled;




    1. all the documents and information required to be included in the application have been or will be supplied in accordance with the Listing Rules and all other requirements of the DFSA in respect of the application have been or will be complied with;




    1. there are no legal or regulatory restrictions that prevent the listing by the DFSA of the Securities for which application is now made;




    1. there are no other facts bearing on our application which, in our opinion, should be disclosed to the DFSA; and




    1. that the Applicant and where different, the Issuer, are in compliance with the requirements of all Securities regulators that regulate the Applicant or the Issuer and in compliance with the rules and regulations of any other exchange on which the Applicant or the Issuer’s Securities listed and/or traded.




  1. Where application for admission is made with respect to Exempt Securities, I confirm that between the date of this application form and the date of admission the Applicant or the Issuer will not take any action that would otherwise require the publication of a prospectus in respect of the Securities which form the subject of this application.




Signature of Director of the Applicant

     

Date

     



Name of Director of the Applicant

     


Please return the completed form to:
Dubai Financial Services Authority

Markets Department

Level 13, The Gate Building

Dubai International Financial Centre

PO Box 75850

Dubai, UAE
Applicants are advised to retain a copy of the form and any relevant attachments for their records.


of MKT2/VER2/07-13



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