ANNEX 26
For internal use:
No. of application:
To
Cyprus Stock Exchange
71 – 73 Lordou Vyronos Avenue
1096 Nicosia
P.O. Box 25427
1309, Nicosia
Date of Application: ………………………
APPLICATION FORM OF COLLECTIVE INVESTMENT SCHEME FOR LISTING ON THE
TRADEABLE / NON-TRADEABLE COLLECTIVE INVESTMENT SCHEMES MARKET(1)
Name of the Collective Investment Scheme: ……………………………………………………….
Please proceed with the initial approval of listing on the Tradeable Collective Investment Schemes
Market / Non Tradeable Collective Investment Schemes Market(1) of shares / units (1) of the
abovementioned
Collective
Investment
Scheme
with
the
listing
method
……………………………………………………...............................................................................
Details of the Applicant / Issuer:
Name:
...............................................................................
Position:
...............................................................................
Location:
...............................................................................
Reg. Number:
...............................................................................
Contact Person:
...............................................................................
Postal Address:
...............................................................................
Email Address:
...............................................................................
Telephone:
...............................................................................
Fax:
...............................................................................
Website:
...............................................................................
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Documents Enclosed (1):
Along with the application, the following documents are enclosed:
(a)
Draft admission document, according to Article 101, attached as Annex Α.
(b)
The Prospectus and basic information for the investors / public offer, according to article
100,
including
their
annexes,
which
were
approved
by
……………………………..………………. (Name of Compement Authority) of
……………………….. (Country of the Competent Authority) on ……………………
(Date).
(c)
Confirmation by the competent regulatory and supervisory authority
………………………. (Name of the regulatory and supervisory authority), of the
………………………… (Country of the competent regulatory and supervisory authority)
according to paragraph (2) (b) of the article 99 on ……………………….. (Date).
(d)
Copy of the licence of registration and operation/ the certificate of recognition granted
to the Collective Investment Scheme by the competent regulatory and supervisory
authority, ………………………. (Name of the competent regulatory and supervisory
authority) of the ………………………… (Country of the competent regulatory and
supervisory authority) on ……………………….. (Date) and a notification letter
according to article 69 of the Directive 2009/65.
(e)
Confirmation by the competent regulatory and supervisory authority,
………………………. (Name of the competent regulatory and supervisory authority) of
the ………………………… (Country of the competent regulatory and supervisory
authority) on ……………………….. (Date) that the Collective Investment Scheme is
allowed to offer its units in the Republic of Cyprus, for Collective Investment Scheme
domiciled in a jurisdiction other than the Republic and a compliance confirmation
according to article 36 of the Regulation 1287/2006.
(f)
Copy of the contract, if any, between the Management Company
…………………………… (Name of the Management Company) and the Collective
Investment Scheme ………………………….. (Name of the Collective Investment
Scheme), which entails satisfactory provisions regarding the smooth settlement of
transactions of units of the Collective Investment Scheme in the Collective Investment
Shceme Market of the Stock Exchange, and particularly according to the provisions of
the paragraph (1) (f) of the Article 101
(g)
Statement with the Regulated and non-Regulated Markets on which either the units of
the Collective Investment Scheme are already listed or a relevant application for listing
is in process.
(h)
Other documents: …..…………….…………………………………………………………...
……………………………………………………………………………………………………
………………………………………………………………………………………………..….
Additional Information (2)
A. Details of the Collective Investment Scheme (in addition to those included in the Admission Document)
Type of Collective Investment
Scheme:
.....................................................................................
Country of Origin:
.....................................................................................
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Country of License:
.....................................................................................
Legal Form:
.....................................................................................
Data of First Issue:
..................................................................................
ISIN Code:
Maximum number of Units to be listed:
Currency of assets’ valuation:
...........................................................................
......................................................
....................................................
Financial Year:
................................................................
Number of Units lot:
.................................................................
Dividend (units are authorised divided form the profits of
the year xx):
............................................
Market Maker (name, registration number, registered office,
contact person, address, telephone, fax, email)
.......................................
Paying Agent (name, address, telephone and contact person)
.......................................
B. Details for the underlying stock index
……………………………………………………………………………………………………
C. Composition of the underlying stock index
……………………………………………………………………………………………………
D. Composition of the Collective Investment Scheme Asset
……………………………………………………………………………………………………
E. Investment Policy
……………………………………………………………………………………………………
F. Investment Restrictions
……………………………………………………………………………………………………
G. Dividend Policy
……………………………………………………………………………………………………
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H. Subscription - Redemption of Units
……………………………………………………………………………………………………
I. Risk Factors
……………………………………………………………………………………………………
J. Details of the issue
Issued date
………………………..
Total number of Units already issued or to be issued
………………………..
Unit’s issue price
………………………..
Unit’s Net Asset Value (Nav/unit)
………………………..
Κ. Selected Financial Information of the Issuer
Share Capital
………………………..
Number, name and total asset of all the managed Collective
Investment Schemes
………………………..
If the issuer is a part of a group, describe shortly the group and the issuer’s position in it
……………………………………………………………………………………………………
Issuer’s Shareholders
……………………………………………………………………………………………………
……………………………………………………………………………………………………
L.
Confirmation for listing Requirements
1.
The Collective Investment Scheme …………………………. has assets of total
€…………………….. on dd/mm/yyyy, and is fully paid.
2.
The Collective Investment Scheme and the Issuer of the Collective Investment Scheme
have an establishment and an operation license from the competent authorities of the
country of origin ……………...
3.
It has been appointed by the Issuer of the Collective Investment Scheme as Market Maker
the Member of the CSE with the name …….
4.
The Collective Investment Scheme is entitled to dispose its units to investors in Cyprus in
accordance with the relevant legislation.
5.
The issuer assigns the keeping of the Unit’s Registry or Shareholders’ Registry as the
case may be, to the Central Depository Registry.
6.
The beneficiary – index provider named …………. should grant to the Issuer of the
Collective Investment Scheme a lawful user license of the index ….. at the name of the
Collective Investment Scheme …………..
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7.
The initial trading price of each unit of Collective Investment Scheme represents fraction
……….. of the Index that reproduces the Collective Investment Scheme
………………………………………….
M. Statements
With this application, we declare that:
1.
All the listing requirements for the listing of securities at the Stock Exchange are met, as
mentioned in the CSE Laws and Regulations irrespectively whether these are also
mentioned in this application.
2.
The information required for the examining the fulfillment of the listing requirements, will
be updated accordingly either by the issuer or whenever these are requested by the
CSE.
3.
(a)
any legal evidence which may affect the financial condition of the issuer of the
Collective Investment Scheme or the asset of the Collective Investment Scheme
or
(b)
any event or other information that legally prevents the requested listing of units
on the Securities Market of the CSE
does not exist.
4.
The CSE listing requirements for the units of the Collective Investment Scheme can be
affected by:
(a)
any events that are ongoing and are not presented on the already published
financial reports or they are not enclosed with the current application financial
reports of the Collective Investment Scheme and
(b)
any effects that may occur in case of negative outcome of pending court cases
involving the Issuer.
5.
The procedure followed for the submission of the listing application is legitimate.
6.
The content of the documents submitted with the application is complete, true and
updated.
7.
We undertake the responsibility to provide on time to the Stock Exchange any
information required under the provisions of the Article 102 of the CSE Law and Articles
55-65 of the Open-Ended Undertakings for Collective Investment (UCI) Law of 2012
8.
We declare that we have taken all the necessary steps for checking the completeness
and accuracy of the contents of this form and the rest of the supporting documents
submitted by the Collective Investment Scheme and we take relevant responsibility.
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Name, position and signature on behalf of
the(1) Collective Investment Schemes
Name, position and signature on behalf of the(1)
Management Company
……………………………………………….
……………………………………………………
……………………………………………….
……………………………………………………
Note:
(1)
(2)
Please delete, which is not applicable
Complete if applicable
The Council may request any additional information or clarification which may be
considered necessary, in order to ensure the investors’ interests and the proper operation
of the Stock Exchange.
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ANNEX Α
DRAFT FORM OF THE ADDMISSION DOCUMENT
1.
(a)
Data of the Collective Investment Scheme
Name: ................................................................................................................................
Registration Number: .........................................................................................................
Date of registration license: ………..…………………………………….……………………..
Date of operation license / certificate: ……………………………........................................
Initial Asset: ………………………………………………………………………………………
Investment purpose: …………….………………………………………………………………
Tax Regime: …………..…………………………………………………………………………
Board of Directors of the Investment Company (identification and duties of the members
of Management) (where applicable):
……………………………………..….…….
……………………………………..….…….
……………………………………..….…….
……………………………………..….…….
……………………………………..….…….
……..…………………………………………..
……..…………………………………………..
……..…………………………………………..
……..…………………………………………..
……..…………………………………………..
Pre-specified duration (if applicable): .................................................................................
Contact Person:……………...……………………………………...…….................................
Telephone:……………………………..………. Fax.:…………………..………………………
Email: ………………………………………………………………………….……………………
Postal Address: ……………………………………………………………………………………
(b)
Management Company / Manager
Name: …………………………………………………………………………….………………..
Registration Number: ……………………………………………….……………………………
Date of Registration: …………………………………………………….………………………..
Registration Office: ………………..………………………………………...……………………
Contact Person: ……………………………………………………….…………………………..
Telephone: ………………………..………….. Fax: …………………..………………………..
Email: ………………………………………………………………………………………………
Postal Address: ……………………………………………………………………………………
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(c)
Custodian / Trustee
Name: …………………………………………………………………………….………………..
Date of Registration: ….…………………………………………….……………………………
Registered Office: …,,……………..………………………………………...……………………
Address: ……………………………………………………………………………………………
Contact Person: ……………………………………………………….…………………………..
Telephone: ………………………..………….. Fax: …………………..………………………..
Email: ………………………………………………………………………………………………
Postal Address: ……………………………………………………………………………………
(d)
Accountants
Name: …………………………………………………………………………….………………..
Address: ……………………………………………………………………………………………
Contact Person: ……………………………………………………….…………………………..
Telephone: ………………………..………….. Fax: …………………..………………………..
Email: ………………………………………………………………………………………………
Postal Address: ……………………………………………………………………………………
(e)
Describe the procedure for trading and Clearing & Settlement of the units between the
Collective Investment Scheme and the Unit Holders and especially if there is a contract
between the Collective Investment Scheme, the Management Company and the
Custodian, for the exercise through the Custodian, of the payments in the Republic during
the execution of trades in Units of the Collective Investments Scheme (where applicable):
………………………………………………………………………………………………………
………………………………………………………………………………………………………
………………………………………………………………………………………………………
(f)
Describe the relevant documents related to the purchase of units
………………………………………………………………………………………………………
………………………………………………………………………………………………………
………………………………………………………………………………………………………
(g)
Describe the time frame, within which the Collective Investment Scheme fulfils its
obligations for the payment of the price of acquisition of its units, or the delivery of
certificate (if any), for the purchase of units on behalf of the investor. :
………………………………………………………………………………………………………
………………………………………………………………………………………………………
………………………………………………………………………………………………………
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(h)
The exact address within the Republic in which the Admission Document is available as
well as the website in which details of the Collective Investment Scheme and the trades
of units in the Republic are published for the Collective Investment Scheme according to
the law are:
Address: ……………………….………………………………………………………………….
Website: ………………………….……………………………………………………………….
(i)
Reference that the Management Company and the Custodian operate independently
between them (if applicable).
………………………………………………………………………………………………………
………………………………………………………………………………………………………
2.
In the Admission, the Articles of Incorporation of the Collective Investment Scheme are attached
as Annex A, as well as the last Annual and semi-annual economic results which are attached as
Annex B and C respectively (2).
………………………………………………………………………………………………………………
………………………………………………………………………………………………………………
I state that I placed the proper effort for the control of the completeness and accuracy of the content of
the admission document and the other details and supporting documents submitted by the Collective
Investment Scheme, the circulation of which has been approved by the CSE Council on
……………………………. and I take full responsibility.
Signature
………………………………………………………………………..
Name
………………………………………………………………………..
Position
………………………………………………………………………..
On behalf of the Collective Investment Scheme / Management Company
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