ASX Supervision downloads

• Appendix 1A - ASX Listing Application and Agreement
  
• Information Form and Checklist - ASX Listing
  • Annexure 1 Mining Entities
  • Annexure 2 Oil & Gas Entities
  • Annexure 3 Foreign Entities
  • Annexure 4 Externally Managed Entities
  • Annexure 5 Stapled Entities
• Application for In-Principle Advice (ASX Listing Rules 1.1 Condition 1 and 1.19)
• Appendix 1B - ASX Debt Listing Application and Agreement
• Information Form and Checklist - ASX Debt Listing
• Appendix 1C - ASX Foreign Exempt Listing Application and Agreement
• Information Form and Checklist - ASX Foreign Exempt Listing
  • Annexure 1 Entities Not Listed on NZX Main Board
  • Annexure 2 Entities Listed on NZX Main Board
• Constitution Checklist
• Appendix 9A Restriction Deed
• Appendix 9C Restriction Notice
• ASX Restricted Securities Table
• ASX Spread Register Template
• ASX Attestation for Minimum Spread Requirement
• ASX Online Agreement
• Sample Statutory Declaration required under Listing Rule 1.1 Condition 20 (‘good fame and character’ requirement)
• US SEC Regulation S No Action Letter for Initial Public Offerings by US Companies on the ASX

• ASX Corporate Governance Council Principles and Recommendations (fourth edition)
• Appendix 4G (fourth edition)
• ASX Listing Rules Guidance Note 9

• Appendix 4C (effective for quarters ending on or after 30/9/20)
• Appendix 5B (effective for quarters ending on or after 30/9/20)

• ASX Interim Scoping Study Guide
  
• Answers to FAQs on the new mineral reserves and resources reporting requirements
• List of Recognised Professional Organisations for reporting under Appendix 5A (JORC Code 2012)
• Competent Person’s consent form (JORC Code 2012)
• Qualified Petroleum Reserves and Resources Estimators for the purposes of the ASX Listing Rules

• Summary of ASX notice of meeting requirements

• Results of Meeting Template (Excel)
  
• Results of Meeting Template (Word)

• Work Sheet to Calculate Placement Capacity under Rule 7.1
  
• Work Sheet to Calculate Placement Capacity under Rule 7.1A

Template for Trading Halt Request

For participants other than Austraclear participants and specialist settlement participants.

Standard participant application form and supporting documentation

Austraclear participant form

• Specialist Settlement Participant Application Form
  
• Sample Statutory Declaration – Body
• Sample Statutory Declaration – Natural Person
• Certification – Resources and Processes

Participant bidder notice

AQUA Admission Application and Agreement

AQUA disclosure obligations

AQUA notification obligations

AQUA notification form - change of name (10A.4.2(1))

AQUA notification form - loss or change of licence (10A.4.2(2))

AQUA notification form - regulatory action (10A.4.2(3))

AQUA notification form - change of auditor (10A.4.2(4))

AQUA notification form - adverse audit report (10A.4.2(5))

AQUA notification form - material change in business (10A.4.2(6))

AQUA notification form - system malfunction or other issues (10A.4.2(7))

AQUA notification form - material breach (10A.4.2(8))

Warrant Appendix Application Form