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resource documents
resource documents
4AX Exchange Rules
This document contains the 4AX Exchange Rules that concern the conduct and activities of 4AX, Authorised Users, the Registry, Issuers and Clients.
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4AX Fee Schedule
This document sets out the fees payable by Issuers, Issuer Agents and Authorised Users to any 4AX group entity.
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Listing on 4AX
This document provides Applicants with information regarding an equity listing on 4AX.
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Conflict of Interests Policy
This document sets out how 4AX meets its Regulatory Obligations to manage potential, perceived or actual conflicts.
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4AX Conflict of Interest Assessment
The annual conflict of interest assessment report is prepared in compliance with section 62 of the Financial Markets Act and the FSCA Board Notice 1 of 2015.
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Authorised User Application Form
This form should be completed by a party wishing to be admitted as an Authorised User of 4AX.
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Introduction to 4AX
This document sets out information regarding 4AX and its service offerings.
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- +- Listing Requirements & Schedules
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4AX Equity Listing Requirements
This document sets out the 4AX Equity Listing Requirements for the listing of securities on the Official List and the respective continuing obligations.
Download DocumentEquity Listing Schedules
The Schedules are supplemental to the 4AX Equity Listing Requirements.
Download Document - +- Equity Guidance Notes
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Guidance Note 1 - Nominees
Guidance Note 1 provides guidance around the treatment of Nominees recorded on an Issuer’s share register.
Download DocumentGuidance Note 2 - Submissions
Guidance Note 2 provides guidance around the submission of documents to the 4AX Issuer Regulation Division.
Download Document - +- Other
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Equity Listing Journey
This sets out the steps that should be followed when applying for an Equity listing on 4AX.
Download DocumentIssuer Agent Application Form
This form should be completed by a party wishing to be accredited as an Internal or External Equity Issuer Agent.
Download DocumentEquity Corporate Actions Timetables
This document sets out the prescribed timelines relating to Corporate Actions undertaken by an Issuer.
Download Document - +- Checklists
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4AX Equity Business Plan Checklist
This checklist is to be used regarding the submission of a Business Plan to the Issuer Regulation Division.
Download Document4AX Equity MOI Checklist
This checklist is to be used regarding the submission of an MOI to the Issuer Regulation Division.
Download Document4AX Equity New Listings Checklist
This checklist is to be used regarding the submission of Listing Particulars or a Prospectus to the Issuer Regulation Division.
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- +- Listing Requirements & Schedules
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4AX Debt Listing Requirements
This document contains the 4AX Debt Listing Requirements for the listing of debt instruments on the Official List.
Download DocumentDebt Listing Schedules
The Schedules are supplemental to the 4AX Debt Listing Requirements.
Download Document - +- Debt Guidance Notes
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To date, no Debt Guidance Notes have been issued
- +- Debt Checklists
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Debt Placing Document
This checklist is to be used regarding the submission of a Programme Memorandum or Offering Circular to the Issuer Regulation Division.
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Debt Issuer Agent/Designated Person Application Form
This form should be completed by a party wishing to be accredited as a Debt Issuer Agent or Designated Person.
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