CMAEC Rules

The following are tentative translations of CMAEC’s rules for non-Eastern Caribbean readers’ reference. Please be aware that the Eastern Caribbean originals are the authoritative versions. It should be also noted that there may have been subsequent updates to and changes in the rules, which might not be reflected in the translations.

Listing Rules

Chapter 1 Admission to listing
Chapter 2 Quotation of securities
Chapter 3 Disclosure
Chapter 4 Rights attaching to securities
Chapter 5 Dealing with capital
Chapter 6 Transfers & registrations
Chapter 7 Related Party Transactions
Chapter 8 Restricted securities
Chapter 9 Ongoing requirements
Chapter 10 Exchange Powers, Discretions & Fees
Chapter 11 Documents, meetings & other procedural requirements
Chapter 13 Fees

Listing Rules Annexures

Annexure 1A Application for Admission to the IR Plus Official List
Annexure 1B Listing Contract
Annexure 2A&3B Issuance and'or Quotation of Additional Securities Application
Annexure 2B Additional Securities Contract
Annexure 3B New Issue of Security
Annexure 3D Change of Director's Interest Notice
Annexure 3E Directors Initial Interest in an Entity
Annexure 3F Final Share Buy-back Notice
Annexure 3G Daily Buy-Back Notice
Annexure 4A Securities Timetable
Annexure 6A Transfer Timetables
Annexure 8A Restriction Agreement

Business Rules

Business Rules Annexures

Annexure 7A Transfers Consolidation Form
Annexure 7B Renunciations and Transfers Consolidation Form
Annexure 7C Transfer of a Franked Dividend from a Disposer
Annexure 7D Transfer of a Franked Dividend Certificate
Annexure 7E Transfer of a Franked Dividend to an Aquirer
Annexure 7G Split Transfer Advice
Annexure 7H Broker's Transfer Form

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