About Registered Facilitators
Registered Facilitators are organisations or individuals that provide
services to entities wishing to list their securities or have listed
their securities on the NSX. These services include but are not
restricted to:
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Share Registries |
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Corporate Advisory Groups/Firms |
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Financial Planning |
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Company Secretarial |
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Promoters of companies |
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Small or boutique law firms |
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Small or boutique accounting firms |
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Information technology Providers |
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Geologists |
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Valuation Experts |
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Public relations |
Eligibility
Eligible organisations can be but are not limited to stockbrokers,
bankers, lawyers, accountants, professionals experienced in corporate
finance, promoters, company secretarial service providers, share
registries, public relations firms, information technology companies.
To remain eligible a facilitator must be providing services to at
least one NSX listed entity or providing services to an entity that is
making application to list. An annual declaration is required from the
Registered Facilitator declaring in what capacity they are involved with
the entity. The Registered Facilitator must have this declaration signed
by the Company they are representing.
The facilitator must also abide by its relevant industry body code of
conduct and ethics or if not a member of an industry body then it must
abide by the NSX Code of Conduct and ethics relevant to Registered
Facilitators.
Please see the document �Eligibility Criteria and Framework for
Making Applications for Registered Facilitator� for further information.
Their Role
The role of Registered Facilitator is very general depending on the
services their organisation usually provides. These can be, but not
limited to accounting, legal, registry, corporate advisory, company
secretarial, promotion, public relations, information technology
services, research, geological.
How long is a Registered Facilitator required?
It is optional for a listed entity to retain services of Registered
Facilitators.
Why does the NSX have Registered Facilitators?
The NSX is aware of many organisations that provide services to
listed entities, but that do not have any other official recognition
either in the Listing or Business Rules of the exchange. The NSX is also
aware that many entities seeking to list or who are listed require the
services of Registered Facilitators in their day to day business to
enable them to satisfy various requirements as a professional company.
The Recognition of Facilitators by the NSX provides entities with the
ability to contract services with those that are experienced with the
needs of listed entities and have declared their suitability to help
listed entities by adhering to standards of professional conduct.
However, the recognition by the NSX does not warrant the services
provided by the Registered Facilitator. The Registered Facilitator must
adhere to the code of conduct and standards as provided for in their
membership to an appropriate industry body or the NSX Code of Conduct
and Ethics for Registered Facilitators.
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