Documents to be Submitted After Approval In-Principle and Before the Prospectus, Offering Memorandum or Introductory Document is Issued

Mainboard Rules

Chapter 2 Equity Securities Part X Listing Procedures

Documents to be Submitted After Approval In-Principle and Before the Prospectus, Offering Memorandum or Introductory Document is Issued

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As soon as practicable after the company receives approval in-principle for listing from the Exchange but in any event not later than the date of issue of the prospectus, offering memorandum or introductory document, the following must be submitted:—

(1) The signed listing undertaking in the form set out in Appendix 2.3.1 or 2.3.2, whichever is applicable;

(2) Two signed copies of the Memorandum and Articles of Association or other constituent document (incorporating all amendments made to date);

(3) A copy of certificate of incorporation and certificate of change of status, if any;

(4) A signed copy of the auditors' letter on the profit projections for the current financial year and any unaudited accounts included in the prospectus, offering memorandum or introductory document, in a form acceptable to the Exchange;

(5) A signed copy of the underwriting agreement, if any;

(6) A signed copy of the Accountants' Report, if any;

(7) A signed copy of the Directors' Report, if any;

(8) A signed copy of the minutes of the due diligence meetings;

(9) Copies of the letters of consent to act from directors, valuers, solicitors, issue managers, registrars and other professional firms, if applicable;

(10) The required number of copies of the prospectus, offering memorandum or introductory document; and

(11) A signed copy of the escrow agreement, if any.

Amended on 3 September 2021.