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CBB Debt Securities Guidelines

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CBB Debt Securities Guidelines
Guidelines for the Issuing, Offering and Listing of Debt Securities
CAPITAL MARKETS SUPERVISION DIRECTORATE
March 2004
Download in PDF Format
Chapter 1
Preliminary
1. Short Title
2. Scope
3. Definitions:
Chapter 2
Issuance of Debt Securities
1. General
2. Eligible Issuer
3. Basic Conditions
4. Additional Requirements or Exceptions
5. Submission of Application and Documents
6. Subsequent Events
7. Timeframe for Agency's Approval
Chapter 3
Prospectus Requirements
1. General
2. Documentary Requirements
3. Statement of Disclaimer
4. Responsibility Statement
5. Language
6. Illustrations
7. Prospectus Contents
8. Additional Requirements and Exceptions
9. Amendments and Subsequent Events
10. Penalties Under this Chapter
Chapter 4
Public Offering and Announcement
1. General
2. Announcement of Offering
3. Subscription Procedures
4. Penalties Under This Chapter:
Chapter 5
Allotments, Certificates and Registrars
1. Procedures
2. Forms and Content of Certificates
3. Penalties Under This Chapter
Chapter 6
Protection of Debtholders' Interests
1. General
2. Appointment of a Trustee
3. Retirement of Trustees
4. Contents of a Trust Deed
5. Power of the Court in Relation to Irredeemable Debt Securities
6. Duties of Trustees
7. Powers of the Trustee to Apply to Court
8. Obligations of Borrowing Corporation
9. Obligations of Guarantor
Chapter 7
Listing and Dealing
1. Methods of Listing
2. Listing Document
3. Listing Agreement
4. Listing of Convertible Debt Securities
5. Listing of Private Placement of Debt Securities
6. Modification to Listing Agreement
7. Standard Criteria for Listing Debt Securities
8. Other Listing Requirements
Chapter 8
Ongoing Obligations
1. General Requirements
2. Alteration in the Terms of Debt Securities
3. Payment of Interest or Return
4. Purchase, Redemption or Termination
5. Financial Statements
6. Notification
7. Review of Announcement and Documents
8. Communication with Debtholders
9. Settlement
10. Appointment of Paying Agent
11. Equality of Treatment of Debtholders
12. Response to Agency and Exchange Enquiries
13. Additional Information
14. Contact Information
Chapter 9
Suspension of Dealing and Delisting
1. Suspension of Dealing
2. Delisting of Debt Securities
Chapter 10
Fees and Charges
1. Prospectus Registration Fees
2. Initial Listing Fee
3. Annual Listing Fee
Appendix 1
Contents of the Prospectus
First: Introduction and Scope
Second: General Requirements
Third: Specific Requirements
Fourth: Prospectus Submission and Registration
Appendix 2
List of Information