Where the lead manager is also acting as a listing agent or sponsor in relation to a planned listing, the lead manager is also responsible for:

(a) Advising the issuer on its suitability for listing;
(b) Ensuring the applicant, as well as the listing documents, meet admission requirements;
(c) Preparing the application and listing documents for listing;
(d) If the securities listing application for obtaining the CBB approval is made separately from the application for the offering of securities, ensuring that in the case of the listing documents the requirements related to the declaration under Subparagraph OFS-3.3.3 (d) and prospectus checklist under Subparagraph OFS-3.3.3 (e) are also applied;
(e) Ensuring that the issuer is sufficiently set up to comply with the continuing listing obligations under the licensed exchange'slisting rules including meeting the corporate governance requirements;
(f) Ensuring the CBB is informed of all matters which should be brought to its attention; and
(g) Notifying the CBB of any amendments to the application or listing documents after submission.
January 2014