澳大利亚国家证券交易所NSX上市顾问名录

导言

要在NSX上上市，必须任命一名提名顾问，以协助发行人进行接纳程序并遵守NSX规则下的现行义务。

提名顾问可以是（二选一）：

内部 -交易所批准上市或已上市公司的两名代表；

外部 -独立的NSX提名顾问。

上市保荐顾问的角色职责是：

提名顾问的角色是通过确保根据NSX规则对董事的职责和义务提供指导和建议，从而帮助发行人董事会进行申请程序。

提名顾问还将向董事会解释NSX规则，尽管可能需要专家来涵盖规则范围之外的顾问专业知识。

由于董事有责任遵守NSX的规则，因此有信心确保自己了解自己的职责，并已采取必要的步骤以确保上市申请中的信息完整和正确是至关重要的。入场时，提名顾问将向NSX确认发行人已遵守相关规则。

证券进入市场后，需要随时有提名顾问来指导和建议发行人，并根据需要提供进一步的帮助。

服务期限

根据NSX规则，发行人必须始终保留提名顾问的服务。为防止顾问可能辞职，建议您在任命时同意通知期限，以提供足够的时间聘请另一位顾问。

英文原文：

To list on the NSX a Nominated Adviser must be appointed to assist the issuer with the admission procedure and compliance with ongoing obligations under the NSX Rules.

A Nominated Adviser can be either

Internal - two representatives of the listing or listed company approved by the exchange; Or

External - an independent approved NSX Nominated Adviser.

Role

The Nominated Advisers role is to help the issuer’s board with the application process by ensuring that the directors have been guided and advised on their responsibilities and obligations under the NSX rules.

The Nominated Adviser also will explain the NSX rules to the board although specialists may be needed to cover areas of the rules that fall outside of the adviser’s range of expertise.

Because the directors are responsible for compliance with the NSX’s rules, it is essential that they are confident that they understand their responsibilities and have taken the steps required to ensure the information in the application for listing is complete and correct.

At the time of admission, the Nominated Adviser will confirm to the NSX that the issuer has complied with the relevant rules.

Once the securities are admitted to the market, the Nominated Adviser needs to be available at all times to guide and advise the issuer and provide further assistance as needed.

Service Period

Issuers are required, under the NSX rules, to retain the services of a Nominated Adviser at all times. To guard against the possible resignation of an adviser it is recommended that you agree to a notice period at the time of appointment to provide sufficient time to engage another adviser.

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