Download Mineral Companies

Eligibility for listing – Premium Listing
Mineral Companies
For issuers to be admitted on or after 16 May 2014
Name of Company:
Nature of Transaction:
New applicant
Name of Sponsor
Date Submitted:
Rule
Page
Proof Comment (where applicable)
Number
LR 2
Required by LR6.1.2
Duly incorporated
2.2.1 (1)
2.2.1 (2)
Operating in conformity with
constitution
2.2.2 (1)
Conforms with law of place of
constitution
2.2.2 (2)
Duly authorised
2.2.2 (3)
Statutory and other consents
2.2.3
Admitted on RIE
2.2.4 (1)
Freely transferable
2.2.4 (2)
Fully paid
2.2.7 (1)(a)
Minimum market capitalisation
2.2.9 (1)
Whole class to be listed
2.2.10 (2)(a) Prospectus approved by FCA and
published
2.2.10 (2)(b) Other EEA home member state
documentation
LR 6
Historical Financial Information
6.1.3 (1)(b)
6/9 month rule
6.1.3 (1)(c)
Accounts consolidated
6.1.3 (1)(d)
Reported on in accordance with
standards acceptable under item
20.1 of Annex I of the PD regulation
6.1.3 (1)(e)
Not subject to a modified report,
except as set out in LR 6.1.3AG or
LR 5.6.21R
6.1.3 (2)(a)
Independent person providing the
opinion
1
May 2014
Rule
Page
6.1.3 (2)(b)
Confirmation from person providing
the opinion
6.1.3B (1)
75% of business
6.1.3B (2)
Investors in position to make
informed assessment
6.1.3D (1)
Historical financial information
related to acquired entities for 3
years
6.1.3D (2)
Consistent with accounting policies
adopted
6.1.3D (3)
Not subject to a modified report
6.1.3D (4)
Represents 75% of enlarged
business
6.1.4
Independent business as main
activity
6.1.4B(1)
Written agreement with controlling
shareholder
6.1.4B(2)
Constitution that allows for election
in accordance with LR 9.2.2ER and
LR 9.2.2FR
Agreement with appropriate number
of controlling shareholders in light of
understanding
Agreement includes procurement
provision
6.1.4C(1)
6.1.4C(2)(a)
6.1.4C(2)(b)
Agreement includes names of nonsigning controlling shareholders
6.1.4D(1)
Agreement includes undertaking
regarding transactions
6.1.4D(2)
Agreement includes undertaking
regarding compliance with
obligations
Agreement includes undertaking
regarding resolutions
6.1.4D(3)
6.1.8 (1)
Published or filed historical financial
information since inception
6.1.10 (2)
Reasonable spread of direct
interests and rights to participate in
extraction
6.1.16
Working capital
6.1.19 (1)
Shares in public hands in EEA
states
Warrants limited to 20%
6.1.22 (1)
6.1.23
Compatible with electronic
settlement
6.1.25 (1)
Constitution provides at least
equivalent rights
6.1.25 (2)
Conferring such rights not
incompatible with law of country of
incorporation
Proof Comment (where applicable)
Number
2
May 2014
Rule
Page
6.1.26
Discretion of board not limited or
transferred, and capable board
6.1.28
Constitution allows compliance with
LR 9.2.22R
Proof Comment (where applicable)
Number
Non-applicability Confirmation
We inform you that items marked “N/A” in the Page column of the above checklist are considered not
applicable and no equivalent information is available in relation to the enclosed document.
Signed by:
On behalf of1:
1
The signatory should be properly authorised to do so on behalf of the sponsor
3
May 2014