Amazon S3
DETAILS OF SUPPORTING DOCUMENTATION REQUIRED TO BECOME AN NZX SPONSOR OR DISTRIBUTION AND UNDERWRITING SPONSOR
|INFORMATION |REQUIREMENTS |PARTICIPANT COMMENTS |NZXR COMMENTS |
|Application Form: |Appendix 1 (including schedules 3 and 7) | | |
|Responsible Executive: |Please supply the following documentation: | | |
|(Rule 3.4) |Application Form (Appendix 1B); | | |
| |Statutory Declaration (Appendix 1C); and | | |
| |Meets the requirements of Rule 3.4. | | |
|Directors / Partners Details: |Please supply the following documentation: | | |
|(Rules 3.5 / 3.6) |Details of all Directors / Partners; and | | |
| |Statutory Declaration (Appendix 1D) for each Director / Partner. | | |
|Emergency Contact Details: |Please provide the following details for each emergency contact: | | |
|(Rule 3.28) |Email; | | |
| |Landline; and | | |
| |Mobile. | | |
|Integrity, Reputation, Character: |Please provide confirmation that the following are not applicable, or provide specific | | |
| |details if they are: | | |
| |Any legal or arbitration proceedings active, threatened or pending against the | | |
| |Participant or any member of its group which may have a significiant impact on the | | |
| |reputation of the Participant; and | | |
| |Any adverse or potentially adverse matters which have been brought to the attention of | | |
| |any relevant regulatory authority during the last 6 years. | | |
|Business Plan: |Please provide specific details of your intentions as an NZX Sponsor or Distribution | | |
|(Rule 3.1.3(d)) |and Underwriting Sponsor and the future direction of your company / partnership in | | |
| |relation to being an NZX Sponsor or Distribution and Underwriting Sponsor. | | |
|Insurance Details: |Please provide a certificate of currency for each of the following: | | |
|(Rule 3.26) |Professional Indemnity Insurance; and | | |
| |Directors and Officers Liability Insurance (when applicable to the Legal Structure of | | |
| |the Participant). | | |
|Company Details: |Please provide the following: | | |
|(Rule 3.1.3(d) and (f)) |Constitution; | | |
| |Details of shareholders; | | |
| |Certificate of Incorporation (or equivalent document confirming establishment of the | | |
| |entity); | | |
| |Company Number; | | |
| |Registered address of company, if different to place of business; | | |
| |Details of the type of Company and nature of its activities; | | |
| |A description of your management structures evidencing that management is sufficiently | | |
| |experienced and capable to conduct business as an NZX Sponsor or Distribution and | | |
| |Underwriting Sponsor; | | |
| |A copy of the corporate structure chart; and | | |
| |Details of any companies, partnerships or other business entities within the group. | | |
|Financial Performance: |Please provide copies of your audited financial statements for the previous five years.| | |
|(Distribution and Underwriting Sponsors only) | | | |
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