Appendix 2 List of Information


Following is a list of information to be submitted for the purpose of obtaining the Agency's approval. The Debt Securities issuer shall submit an application disclosing the following items in advance:

(a) Background information on the issuer and/or originator in the case of an Asset-backed Securities (ABS) and Mortgaged-backed Securities (MBS) issue;
(b) Profile of the directors of the issuer;
(c) A description of the transaction and structure of the issue;
(d) Details of the utilization of the proceeds. If the proceeds are to be utilized for the project, give details of the project;
(e) A schedule of the utilization of the issue proceeds;
(f) Details of expenses for the issue;
(g) Waiver(s) from complying with "Guidelines for the Issuing, Offering and Listing of Debt Securities" and/or specific approval sought and obtained from the Agency for the issue (where applicable);
(h) Specific approval sought and obtained from the Agency in relation to the appointment of an independent Sharia adviser and/or applicable Sharia principle or concept;
(i) Conflict of interest situations and appropriate mitigating measures;
(j) For issuances made for the purpose of refinancing an existing Debt Securities issue, information on the existing issue;
(k) Any other material information in relation to the issue; and
(l) Names, telephone and facsimile numbers of the officers-in-charge of the principal adviser for the issue;
(m) Principal terms and conditions of the proposal;
(n) In the case of an issue with warrants:
•  Terms and conditions of the warrants;
•  Financial effects of the warrants issue;
•  Rationale for the attachment of warrants; and
•  Compliance checklist on the Agency's Guidelines with respect to the warrants issue.
(o) Issuer's and principal adviser's declaration in accordance to the form described by the Agency;
(p) Principal adviser's confirmation on compliance with all requirements of Anti-Money Laundering rules, in accordance with the Agency's rules.
(q) Latest audited accounts of the issuer;
(r) Compliance checklist on the Guidelines on the Offering of Debt Securities;

The following information should be submitted after obtaining approval from the Agency:

In the case of debt programmes, the issuer's notification to the Agency should include the following information following each draw-down:

•  Size of issue
•  Mode of issue
•  Utilisation of proceeds
•  Minimum level of subscription (where applicable)
•  Tenor (nature)
•  Actual yield or price
•  Revisions of the rating, if any, since the date of the last draw-down.