№ |
Document title
|
Placement/Circulation
|
Listing level
|
Filing format
|
1.
|
Application for the listing of securities or for a change in the listing level (via the IPA)
|
placement and circulation
|
all levels
|
Document with ES via the IPA
or
|
2.
|
Security Questionnaire (via the IPA)
|
placement and circulation
|
all levels
|
Document with ES via the IPA
or
|
3.
|
Documents evidencing the powers of the signatory to the Application, Questionnaire, and/or executed agreement, including the consent to personal data processing (standard form) in accordance with the requirements of Annex A to these Rules
|
placement and circulation
|
all levels
|
Document with ES via the IPA
or
on paper
electronically as a pdf. File via the IPA
|
4.
|
Text of the regulation containing the general terms and conditions of securities issuance and circulation with all amendments and supplements thereto
|
placement and circulation
|
all levels
|
electronically via the IPA
|
5.
|
Text of the regulation containing the terms and conditions of securities issuance and circulation with all amendments and supplements thereto
|
placement and circulation
|
all levels
|
electronically via the IPA
|
6.
|
A copy of the document evidencing state registration of the terms and conditions of issuance and circulation
|
placement and circulation
|
all levels
|
electronically via the IPA
|
7.
|
Text of the decision to effect a specific issue of securities, and of a document approving the same
|
placement and circulation
|
all levels
|
electronically via the IPA
|
8.
|
An agreement for the provision of appropriate listing services as envisaged in these Rules (2 copies)15 (also possible via the IPA)
|
placement and circulation
|
all levels
|
Document with ES via the IPA
or
on paper
|
9.
|
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 levels
|
Document with ES via the IPA
or
on paper
electronically, IPA form
|
10.
|
Notice of the securities placement/sale start, of the trading start date (produced via the IPA)
|
Placement and circulation
|
all levels
|
Document with ES via the IPA
or
|
11.
|
Coupon rate determination notice (produced via the IPA)
|
placement
|
all levels
|
Document with ES via the IPA
or
|
12.
|
Notice of bond placement completion (produced via the IPA)
|
placement
|
bonds
|
or on before the placement completion date
|
13.
|
Other documents (information) necessary for the listing of the securities (as requested by the Exchange)
|
placement and circulation
|
all levels
|
upon request:
Document with ES via the IPA
or
on paper, and/or
electronically
|