OFS-3.3.6
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's listing 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