24 7. For an IPO or a direct listing: • A letter from the transfer agent confirming that the security certificate complies with Exchange requirements (see Policy 3.1 – Directors, Officers, Other Insiders & Personnel and Corporate Governance). In the case of a generic certificate, the letter must confirm that the generic certificate complies with the requirements of the Security Transfer Association of Canada; • An unqualified letter from CDS Clearing and Depository Services Inc. (CDS) confirming the CUSIP or ISIN number(s) assigned to your securities; • A letter from your transfer agent and registrar confirming that it has been appointed as your transfer agent and registrar. The transfer agent must also undertake to provide the Exchange with a copy of each treasury order of your company within five business days after any issuance of Listed Shares; • A legal opinion which says that your company is in good standing under, or not in default of, applicable corporate law, and is a reporting issuer in good standing and not in default in each jurisdiction in which you report (if applicable); 8. For a reverse takeover or a qualifying transaction: a. Where shareholder approval for the transaction is required, evidence of shareholder approval; b. A legal opinion, or officer’s certificate, confirming that all closing conditions other than Exchange acceptance have been satisfied and, in the case of a qualifying transaction, that the CPC is in good standing under or not in default of applicable corporate law and is a reporting issuer in good standing and not in default in each jurisdiction in which it is a reporting issuer; 9. The balance of the applicable listing fee as set out in Policy 1.3 – Schedule of Fees; and 10. Any other documentation requested by the Exchange. In addition to the above documents required, if your Application for Listing is made concurrently with a prospectus offering, the Exchange must also receive a Distribution Summary Statement (Form 2E) prepared by a Member firm acting as, or on behalf of, your company’s Agent prior to providing final Exchange acceptance of the listing. Approval of listing and posting of securities When all the documentation has been submitted and approved, TSXV staff will complete an Exchange Bulletin regarding your listing. This bulletin acts as the notification to TSX Trading that they should initialize your stock symbol, and provides details about your listing to member firms of the Exchange. The bulletin is sent out two days prior to the first day of trading of your company.
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