Resources

Download our
resource documents

EXCHANGE

EQUITY

DEBT

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.

Download Document

4AX Fee Schedule

This document sets out the fees payable by Issuers, Issuer Agents and Authorised Users to any 4AX group entity.

Download Document

Listing on 4AX

This document provides Applicants with information regarding an equity listing on 4AX.

Download Document

Conflict of Interests Policy

This document sets out how 4AX meets its Regulatory Obligations to manage potential, perceived or actual conflicts.

Download Document

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.

Download Document

Authorised User Application Form

This form should be completed by a party wishing to be admitted as an Authorised User of 4AX.

Download Document

Introduction to 4AX

This document sets out information regarding 4AX and its service offerings.

Download Document

+- Listing Requirements & Schedules
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 Document

Equity Listing Schedules

The Schedules are supplemental to the 4AX Equity Listing Requirements.

Download Document
+- Equity Guidance Notes
Guidance Note 1 - Nominees

Guidance Note 1 provides guidance around the treatment of Nominees recorded on an Issuer’s share register.

Download Document

Guidance Note 2 - Submissions

Guidance Note 2 provides guidance around the submission of documents to the 4AX Issuer Regulation Division.

Download Document
+- Other
Equity Listing Journey

This sets out the steps that should be followed when applying for an Equity listing on 4AX.

Download Document

Issuer Agent Application Form

This form should be completed by a party wishing to be accredited as an Internal or External Equity Issuer Agent.

Download Document

Equity Corporate Actions Timetables

This document sets out the prescribed timelines relating to Corporate Actions undertaken by an Issuer.

Download Document
+- Checklists
4AX Equity Business Plan Checklist

This checklist is to be used regarding the submission of a Business Plan to the Issuer Regulation Division.

Download Document

4AX Equity MOI Checklist

This checklist is to be used regarding the submission of an MOI to the Issuer Regulation Division.

Download Document

4AX Equity New Listings Checklist

This checklist is to be used regarding the submission of Listing Particulars or a Prospectus to the Issuer Regulation Division.

Download Document

+- Listing Requirements & Schedules
4AX Debt Listing Requirements

This document contains the 4AX Debt Listing Requirements for the listing of debt instruments on the Official List.

Download Document

Debt Listing Schedules

The Schedules are supplemental to the 4AX Debt Listing Requirements.

Download Document

Proposed amendments to 4AX Debt Listing Requirements

This document contains the proposed marked-up amendments to the 4AX Debt Listing Requirements for public comments.

Download Document
+- Debt Guidance Notes
To date, no Debt Guidance Notes have been issued
+- Debt Checklists
Debt Placing Document

This checklist is to be used regarding the submission of a Programme Memorandum or Offering Circular to the Issuer Regulation Division.

Download Document
+- Other
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.

Download Document

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.

4AX Fee Schedule

This document sets out the fees payable by Issuers, Issuer Agents and Authorised Users to any 4AX group entity.

Listing on 4AX

This document provides Applicants with information regarding an equity listing on 4AX.

Conflict of Interests Policy

This document sets out how 4AX meets its Regulatory Obligations to manage potential, perceived or actual conflicts.

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.

Authorised User Application Form

This form should be completed by a party wishing to be admitted as an Authorised User of 4AX.

Introduction to 4AX

This document sets out information regarding 4AX and its service offerings.

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.

Equity Listing Schedules

The Schedules are supplemental to the 4AX Equity Listing Requirements.

Guidance Note 1 - Nominees

Guidance Note 1 provides guidance around the treatment of Nominees recorded on an Issuer’s share register.

Guidance Note 2 - Submissions

Guidance Note 2 provides guidance around the submission of documents to the 4AX Issuer Regulation Division.

Equity Listing Journey

This sets out the steps that should be followed when applying for an Equity listing on 4AX.

Issuer Agent Application Form

This form should be completed by a party wishing to be accredited as an Internal or External Equity Issuer Agent.

Equity Corporate Actions Timetables

This document sets out the prescribed timelines relating to Corporate Actions undertaken by an Issuer.

4AX Equity Business Plan Checklist

This checklist is to be used regarding the submission of a Business Plan to the Issuer Regulation Division.

4AX Equity MOI Checklist

This checklist is to be used regarding the submission of an MOI to the Issuer Regulation Division.

4AX Equity New Listings Checklist

This checklist is to be used regarding the submission of Listing Particulars or a Prospectus to the Issuer Regulation Division.

4AX Debt Listing Requirements

This document contains the 4AX Debt Listing Requirements for the listing of debt instruments on the Official List.

Debt Listing Schedules

The Schedules are supplemental to the 4AX Debt Listing Requirements.

Proposed amendments to 4AX Debt Listing Requirements

This document contains the proposed marked-up amendments to the 4AX Debt Listing Requirements for public comments.

To date, no Debt Guidance Notes have been issued

Debt Placing Document

This checklist is to be used regarding the submission of a Programme Memorandum or Offering Circular to the Issuer Regulation Division.

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.

Cookies