NEO Listings

ENTREPRENEURIAL SPIRIT: YOU’VE GOT IT, WE GET IT

FAQs

YES. All companies or entities wishing to list securities such as common shares, exchange traded funds, closed end funds, structured products or other securities on Aequitas NEO Exchange must meet the minimum listing standards of the Exchange. See Listing Standards

The same minimum listing requirements apply to the listing of any new class of securities. See Listing Standards

Foreign issuers are required to meet the same corporate governance requirements as domestic issuers. However, NEO may grant an exemption from our corporate governance requirements where we are satisfied that the foreign issuer is subject to substantially similar regulatory and exchange listing requirements as in Canada and corporate governance requirements similar to the ones described in the Listing Manual.

For a foreign issuer already listed on a foreign exchange, NEO may require the foreign issuer to show that its original listing jurisdiction has substantially similar requirements to those required by NEO and Ontario securities law. We may also require that the foreign issuer provide a legal opinion or other documentation in support of an exemption from the Exchange requirements.

NEO may publish additional guidance concerning the availability of any exemptions from the Listing Manual for foreign issuers as well as a list of Accepted Foreign Exchanges.

Yes. Securities laws in Canada require that any financial statements included in a prospectus be audited.
Public Float is calculated by subtracting your restricted shares from the total number of issued and outstanding shares at the time of the closing of the offering.

The Listing Application Form 1A, Schedule B for companies and Form 1B, Schedule B for investment funds provides a worksheet to assist you with the calculation.

Our listing team is available to discuss your listing needs at any time. NEO provides a simplified streamlined listing process for ALL issuers. If you do not meet the minimum listing standards of the exchange for your capital raising needs, we would be happy to have the Aequitas EVO Connect team work with you to meet your goals.

The list of documents you must submit with your listing application are as follows:

For companies, Schedule A of Form 1A
For investment funds, Schedule A of Form 1B

You may chose up to three symbol preferences in the Listing Application which must be confirmed by the Exchange.  See Form 1A, Part 5 for companies; or Form 1B, Part 6 for all other issuers.

YES, the Exchange reserves the right to deny a listing application or delist a company that does not meet listing requirements. See our Listing Manual – Part XI: Suspensions, Delisting and Other Remedial Actions.

The securities of the company or investment fund will not be listed. However, we would be happy to have the Aequitas EVO Connect team work with you to meet your capital raising goals.