How to complete checklists and cross-reference lists

Instructions to help issuers, sponsors and advisers fill out checklists or cross-reference lists. These lists show us how issuers, sponsors and advisers have complied with the applicable disclosure requirements.

When completing checklists or cross-reference lists, issuers, sponsors or advisers must do three things:

  1. Provide information on the:
    • name of the company
    • nature of the transaction
    • name of the sponsor/adviser and
    • date the checklist or cross-reference list is submitted.
  2. Complete the checklist or cross-reference list box using the instructions below.
  3. Add brief comments, if appropriate (see below for further details).

We sometimes update the checklists and cross-reference lists so please make sure you are using the latest version.

When to submit the Listing Rules checklists or Prospectus Rules cross-reference lists

  • We will only accept documents for review if all relevant checklists or cross-reference lists are submitted with page numbers accurately recorded.  This is essential for an efficient review process.
  • Submit updated checklists with each draft of a circular. Only amend page references when text has been changed to comply with a Listing  Rule and note the draft number in the comments box.
  • For final circular approval, we require a final signed copy of the  checklists. The signatory must be properly authorised to sign on behalf of the issuer or, where LR8.2.1R applies, the sponsor.
  • Please accurately record page numbers on the comment sheet if you revise and address.
  • To admit securities to a listing segment in which that class of security is not already listed, you  must submit an eligibility checklist. This applies to new applicant issuers seeking admission of securities to the Official List, an issuer seeking to transfer securities between listing categories of the Official List, or an issuer with an existing listing looking to admit a new line of securities to the Official List.

Sponsors and advisers do not need to provide a separate letter stating that items are non-applicable under  Listing Rule 13.2.4 (2) at the time of document approval. Instead, state they are non-applicable at the bottom of the signed checklist.

Completing the Listing Rules checklist or Prospectus Rules cross-reference list

When completing the checklist or cross-reference list, please only use these options:

Option

When to use it

Page reference

This page reference should correspond with the notes on the document

N/A

If an item is either non-applicable, or there is no information to be disclosed within the document at this point

Variation

If a derogation is sought for an item

N/R

If an item is not relevant

Omission

If you want to omit an item

Where items are N/A, N/R or omission, please explain why.

Adding comments

To keep checklists and cross-reference lists as short as possible, there is only a small amount of space for comments. If you need more space, please attach a separate sheet of paper to the checklist, cross-referencing all comments to the appropriate listing rule.

If an eligibility rule is not directly satisfied by disclosure in accompanying documents, please provide confirmation that it has been met in the relevant eligibility checklist.