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IPO Document Checklist

Documents that companies must produce in order for an IPO.


Documents required by DFSA

  • DFSA listing application form (MKT2 Form)

  • DFSA approved prospectus

  • Three years audited financial statements (in accordance with IFRS)

  • Certificate of incorporation

  • Board (or other authorised governance body) resolution authorising:

    • The issue and allotment of securities;

    • The raising of capital and the filing of the DFSA listing application form

  • Memorandum and articles of association

  • Directors undertaking


Documents required by Nasdaq Dubai

  • A duly completed trading application form signed by the relevant authorised parties (Form 1)

  • A certified copy of the articles of association or other document constituting the securities

  • Certified copies of the Board of Directors resolution authorising:

  • The issue and allotment of all securities for which admission is sought;

  • The raising of capital and the filing of the trading application to NASDAQ Dubai

  • Audited annual reports and financial statements

  • Where an issuer is seeking a secondary listing, evidence that the class of securities is subject to a primary listing

  • Final copy of the DFSA approved prospectus

  • A copy of any waiver of the DFSA Markets Rules issued by the DFSA

  • A copy of an issuer’s receipt of the DFSA’s conditional approval of admission to the Official List

  • Executed NASDAQ Dubai CANDI issuer agreement, if applicable

  • Executed NASDAQ Dubai market maker agreement, if applicable

  • Executed NASDAQ Dubai registry agreement, if applicable