Sponsors and Advisors - Role - Useful Info

Role

• responsible to the ISE for assessing an applicant for admission to the ESM; and
• advising existing ESM companies on their compliance responsibilities.

Rules and forms for advisors

• Rules for ESM Advisors (189 KB)
• ESM Advisor Application Form (476 KB)
• ESM Advisor Executive Application Form (262 KB)

Rules and forms for companies

• ESM Rules for Companies (321 KB)
• ESM Applicant Company Declaration (463 KB)
• ESM Pre-Admission Announcement - Schedule One (44 KB)

ESM fees

• ESM Advisor Fees (30 KB)
• ESM Company Fees (1038 KB)

Current list of ESM advisors

• ESM Advisor Directory (59 KB)

Become an ESM advisor

If you meet the requirements to become and ESM advisor, complete an ISE application form and provide supporting documentation for assessment by the ISE.

Forms

• ESM Advisor Application Form (476 KB)
• ESM Advisor Executive Application Form (262 KB)

Role

A corporate finance company registered with the ISE to advise companies seeking admission or already listed on the Main Securities Market of the ISE.

Rules and forms for sponsors

• Equity Sponsor Rules (43 KB)
• Sponsor Notification Requirements (41 KB)
• Equity Sponsor Firm Application Form (132 KB)
• Equity Sponsor Employee Application Form (129 KB)

Rules and forms for listing

Rules

• Main Securities Market Listing Rules (2 MB)
• UK Corporate Governance Code (Sept 2014) (475 KB)
• Irish Corporate Governance Annex (44 KB)

Pre listing forms

• Schedule 1A - Sponsor's Confirmation of Independence (133 KB)
• Schedule 2 - Shareholder and Pricing Statements for Main Securities Market (130 KB)
• Schedule 3A - Equity Admission Application for Main Securities Market (137 KB)

• Schedule 4A - Sponsor Declaration (128 KB)

Post listing forms

• Schedule 5 - Block Listing Six Monthly Return form (39 KB)

• Schedule 10 - Approved List of Regulatory Information Services (RIS) (122 KB)

Checklists for listing

Pre listing

• Listing Conditions Dual Primary Checklist (133 KB)
• Listing Conditions ISE Primary Checklist (132 KB)
• Listing Conditions ISE Primary Checklist - REITs (220 KB)
• Listing Conditions Mineral Company Checklist (131 KB)
• Listing Conditions Scientific Research Based Company Checklist (133 KB)

Post listing

• Class 1 Acquisition Circular Checklist (147 KB)
• Class 1 Disposal Circular Checklist (140 KB)
• Class 2 Transaction Checklist (128 KB)
• General Requirements for Circulars Checklist (130 KB)
• Related Party Transaction Circular Checklist (130 KB)
• Pro Forma Financial Information (Annex II) Checklist (133 KB)

Fees

• MSM company fees (679 KB)
• Registered sponsor fees (30 KB)

Current list of equity sponsors

• Equity Listing Sponsor Directory (62 KB)

Become an equity sponsor

If you meet the requirements to become an equity sponsor, complete an ISE application form and provide supporting documentation for assessment by the ISE.

Forms

• Equity Sponsor Firm Application Form (132 KB)
• Equity Sponsor Employee Application Form (129 KB)

Role

• responsible to the ISE for assessing an applicant for admission to the ASM; and
• advising existing ASM companies on their compliance responsibilities.

Rules and forms for advisors

• Rules for ASM Advisors (1 MB)
• ASM Advisor Application Form (482 KB)
• ASM Advisor Executive Application Form (429 KB)
• ASM Advisor Declaration Form (413 KB)
• ASM Advisor Reduction in Executive Notification Form (406 KB)

Rules and forms for companies

• ASM Rules for Companies (1 MB)
• ASM Applicant Company Declaration (1 MB)
• ASM Pre-Admission Announcement - Schedule One (431 KB)

ASM fees

• ASM Advisor Fees (30 KB)
• ASM Company Fees (36 KB)

Current list of ASM advisors

• To follow

Become an ASM advisor

If you meet the requirements to become and ASM advisor, complete an ISE application form and provide supporting documentation for assessment by the ISE.

Forms

• ASM Advisor Application Form (482 KB)
• ASM Advisor Executive Application Form (429 KB)

Role

A company registered with the ISE to advise investment funds seeking admission to or already listed on the Main Securities Market or Global Exchange Market of the ISE.

Rules and forms for sponsors

• Investment Fund Sponsor Rules (45 KB)
• Investment Fund Sponsor Firm Application Form (131 KB)
• Investment Fund Sponsor Employee Application Form (129 KB)

Rules and forms for listing

Main Securities Market

• Open Ended Fund Rules (806 KB)
• Closed Ended Fund Rules (294 KB)
• Admission to Trading Rules (79 KB)
• MSM Investment Funds Admission Application Form - Schedule 3A (136 KB)
• MSM Sponsor Declaration Form - Schedule 4A (127 KB)

• GEM Investment Fund Rules (294 KB)
• GEM Investment Funds Admission Application Form (127 KB)
• GEM Investment Funds Sponsor Declaration Form (127 KB)

Fees

• Investment fund fees (56 KB)
• Registered investment fund sponsor fees (48 KB)

Current list of sponsors

• ISE Listing Sponsors Directory (62 KB)

Become a sponsor

If you meet the requirements to become an investment fund sponsor, complete an ISE application form and provide supporting documentation for assessment by the ISE.

Forms

• Investment Fund Sponsor Firm Application Form(131 KB)
• Investment Fund Sponsor Employee Application Form(129 KB)

Role

• acts as the intermediary between the ISE and the issuer, arranger and legal counsel;

• ensures approval of the issuer’s listing documents by the ISE;

• liaises with the ISE to ensure successful listing of securities on the Main Securities Market or Global Exchange Market.

Rules, forms, checklists and email templates for listing on the MSM

Rules

• Main Securities Market Listing Rules (2 MB)
• Admission to Trading Rules (78 KB)
• Listing and Admission to Trading Rules for Short Term Paper (173 KB)
• Central Bank of Ireland Securities Market Regulations

Forms

ISE Listing and Trading Application Forms may be obtained by contacting the Regulation Department by email at debt@ise.ie.

Checklists

• ABS Listing Conditions Checklist (163 KB)
• Debt Listing Conditions Checklist (166 KB)
• Derivative Listing Conditions Checklist (177 KB)
• Covered Debt Listing Conditions Checklist (166 KB)

Email templates

• Initial Submission Email Template (32 KB)
• Redraft Submission Email Template (31 KB)
• Final Terms Submission Email Template (31 KB)
• Short Term Paper Submission Email Template (27 KB)
• Approval Submission Email Template (31 KB)

Rules, forms, checklists and email templates for listing on the GEM

Rules

• GEM Listing and Admission to Trading Rules (524 KB)

Forms

ISE Listing and Trading Application Forms may be obtained by contacting the Regulation Department of the ISE by email at debt@ise.ie.

 Checklists

• GEM Checklist (294 KB)

Email templates

• Initial Submission Email Template (32 KB)
• Redraft Submission Email Template (31 KB)
• Final Terms Submission Email Template (31 KB)
• Short Term Paper Email Submission Template (27 KB)
• Approval Submission Email Template (31 KB)

Fees

GEM

• GEM Listing Fees (74 KB)
• GEM Short Term Paper Listing Fees (71 KB)

MSM

• MSM Listing Fees (75 KB)
• MSM Short Term Paper Listing Fees (71 KB)

Current list of agents

• ISE Debt Listing Agents (65 KB)

Become an agent

If you meet the requirements to become a debt listing agent, please contact the ISE outlining which requirement you meet and requesting to be included on our register of listing agents.