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 Short Summaries of Listing Rule policy

• 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

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))

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

Warrant Appendix Application Form