These documents should be provided if so required by the Russian Federation laws for the securities to trade publicly.
|
placement and circulation
|
all types of securities
|
all levels
|
Electronically via the IPA
|
6.
|
Full of the report on, or notice of, the results of an issue (additional issue) of securities (made by the Issuer in accordance with the legislation of the Russian Federation) (if applicable)
|
circulation
|
all types of securities
|
all levels
|
Electronically via the IPA
|
7.
|
Copies of notification letters from the authorised body on the joining of securities issues and/or notice from the authorised body on cancellation of the individual number (code) of an additional issue of securities
|
circulation
|
shares
|
all levels
|
Document with ES via the IPA
or
Electronically via the IPA
|
8.
|
A document confirming that the net assets value of the business entity that provided suretyship on bonds is at least equal to the amount of such suretyship (as regards listing of bonds backed by suretyship) (information to be provided as of the date preceding the Application date)
|
placement and circulation
|
bonds
|
all levels
|
Document with ES via the IPA
or
on paper
Electronically via the IPA
|
|
|
|
|
| |
9
|
A report containing evidence of the issuer's compliance with the requirements to the issuer's corporate governance, as referred to in Clauses 2.18 – 2.20 Annex 2 to these Rules (via the IPA), accompanied by the issuer's documents evidencing compliance therewith
|
placement and circulation
|
shares
and
bonds
|
Levels One and Two
Level One
|
the report and accompanying documents:
Document with ES via the IPA
or
on paper
IPA form (for the report)
electronically via the IPA (for accompanying documents)
|
10
|
A letter describing reasonable grounds for the impossibility to form corresponding Committee(s) of the BoD (Supervisory Board) completely among independent directors (submitted in the report containing information confirming compliance of the issuer with corporate governance requirements)
(if this situation exists)
|
placement and circulation
|
shares
|
Levels One and Two
|
Document with ES via the IPA
or
Electronically via the IPA
|
11.
|
An agreement for the provision of appropriate listing services as envisaged in these Rules (2 copies) (using IPA option)
|
placement and circulation
|
all types of securities
|
all levels
|
on paper
|
12.
|
Notice of compliance with regard to a number of free-float shares (using IPA)_
|
placement and circulation
|
shares
|
Level One and
Level
Two
|
Document with ES via the IPA
or
|
13
|
Bond Issuer’s Report (standard form)
(in the events prescribed by Annex 7 to the Rules)
|
circulation
|
bonds
|
Level Three
| |
14
|
Documents confirming a decision made by the issuer’s authorised body to apply for listing of securities and (or) issue-grade securities convertible into shares (for Russian issuers)
|
placement and circulation
|
Shares and (or) issuer-grade securities convertible into shares
|
all levels
|
Document with ES via the IPA
or
on paper
electronically, as a pdf file via the IPA
|
15.
|
Agreement/Contract between the issuer and the guarantor and/or an entity affiliated with the guarantor (entities from the same holding company (group) as the guarantor), whereby the guarantor and/or an entity affiliated with the guarantor (entities from the same holding company (group) as the guarantor) receives funds raised from the issuer’s bonds placement (in the events prescribed in Clause 2.2.1 of Annex 2 to the Rules)
|
placement and circulation
|
bonds
|
Level
Two
|
Document with ES via the IPA
or
electronically via the IPA
|
16
|
Report on correcting all discrepancies identified in the course of pre-listing (unless three months from the date of Exchange’s notice of discrepancies identified during prelisting procedures are expired)
|
placement and circulation
|
all types of securities
|
all levels
|
Document with ES via the IPA
or
on paper
electronically via the IPA
|
17.
|
Other documents (information) necessary for the listing of the securities (as requested by the Exchange)
|
placement and circulation
|
all types of securities
|
all levels
|
upon request:
Document with ES via the IPA
or
on paper, and/or
electronically via the IPA
|