Section 11
of Securities Markets Regulations, 2015
Section 11
(1)
An applicant must submit the following information to the Authority-
(a)
a completed registration statement;
(b)
a prospectus;
(c)
if the order of items in the prospectus does not coincide with the order in the guidelines, a cross-reference list identifying the pages where each item can be found in the prospectus;
(d)
a letter identifying any items from the guidelines that have not been included because they are not applicable;
(e)
if information is incorporated in the prospectus by reference to another document, a copy of the document (annotated to indicate which item of the guidelines it relates to);
(f)
if the issuer is requesting the Authority to authorise the omission of information, the requirements under regulation 6 shall apply.
(2)
An applicant must provide contact details of individuals who are
{a)
sufficiently knowledgeable about the documentation to be able to answer questions from the Authority; and
(b)
available to answer questions during the normal business hours of the Authority.
(3)
Drafts of documents must be submitted to the Authority-
(a)
in a substantially complete form;
(b)
in duplicate hard copy or an agreed electronic format;
{c) annotated in the margin to indicate compliance with all applicable requirements of these Regulations; and
{d)
such as may be required by the Authority.
(4)
If the Authority requires further drafts of documents, they must be submitted to the Authority
(a)
marked to indicate all changes made since the last draft was reviewed by the Authority;
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2015
(b}
marked to indicate all changes made to the documents as a consequence of the comments by the Authority;
{c}
in duplicate hard copy or an agreed electronic form; and
{d}
annotated in the margin to indicate compliance with all applicable requirements.
(5)
A prospectus must not be published unless the Authority has approved
Filing and publication of prospectus.