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2021-04-23-listing-rules

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

  • on paper

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

  • on paper

  • IPA form

13

Bond Issuer’s Report (standard form)
(in the events prescribed by Annex 7 to the Rules)

circulation

bonds

Level Three

  • on paper

  • electronically

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

  • on paper, and/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



Notes:

    1. When submitting Application for listing securities on the List or making changes in the listing level in one of allowed formats (a document with ES via the IPA or in hard copy), or documents in another form (format) without using ES), all documents attached to such Applications should be submitted in the same format (except for documents which are submitted only electronically).

    2. When the Entity submit Applications (Letters), previously submitted documents may not be resubmitted, unless the documents have been amended and/or supplemented.

    3. An agreement for listing services provided for in the Rules shall not be submitted if there is a previously executed agreement for the provision of such services.

Pre-consideration of documents in accordance with Clause 7.1 hereof:

    1. The documents (draft documents) shall be submitted for pre-consideration electronically via the Issuer’s Personal Account on the website of the Exchange, except for the relevant agreements are originally submitted. Draft issue documents for exchange-registered bonds shall not be submitted.

    2. The agreements for listing services/pre-consideration of documents for listing securities on paper in two copies or a document signed with ES via the IPA (the document can be produced via the IPA).

    3. If the Issuer submits an Application for documents pre-consideration for the listing, it shall not be necessary to re-submit any earlier provided documents.




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