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ESM Adviser Rules

Companies with securities on and seeking admission to the ESM are required to appoint and retain an ESM Adviser. 

The ISE:

  • Maintains a register of approved ESM Advisers (please click here to access the list of approved ESM Advisers)
  • Reviews ESM Adviser applications; and
  • Monitors compliance by ESM Advisers with their on-going obligations. 

Rules for ESM Advisers

Advisers are required to comply with the Rules for ESM Advisers when applying to become a registered ESM Adviser and on an on-going basis.

The Rules for ESM Advisers set out:

  • Conditions for admission to the register;
  • Applications procedures;
  • Continuing obligation and notification requirements; and
  • Compliance and enforcement procedures.

ESM Adviser Forms

For copies of the forms relating to the ESM, please click on the relevant link below.

Admission application form (Firm)

Admission application form (Executive employees)

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