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Membership application

 

Listing  Department

Membership application

 

General data

 

Arabic long name

1

 

English long name

2

 

Arabic short name

3

 

English short name

4

 

Date of  registration of the company at the Ministry of Industry and Trade

5

 

Date of  approval on licensing  of the company at  Jordan Securities Commission

6

 

Legal status of the company

7

 

Authorized capital / JD

8

 

Paid in capital / JD

9

 

Mail box

10

 

E-mail

11

 

Number of  branches/ offices

12

 

Compliance officer

13

 

Compliance officer phone number

14

 

Liaison officer

15

 

Liaison officer phone number

16

 

 

Licenses given by Jordan Securities Commission:

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

 

The names of Authorized Signatories and their signatures' forms:

 

Signature's form

position

 name

 

 

 

 

1

 

 

 

2

 

 

 

3

 

 

 

4

 

 

 

5

 

 

 

6

 

 

 

7

 

 

 

8

 

 

 

9

 

 

 

10

 

The Names of partners, number of shares owned and the ownership percentage in the capital of the company OR the names of the shareholders who own (5%) or more of the company's shares:

 

Percentage (%)

Number of shares

Name

 

 

 

 

1

 

 

 

2

 

 

 

3

 

 

 

4

 

 

 

5

 

 

 

6

 

 

 

7

 

The names of the members of the Board of Directors or of the Chief Executive Officers of the broker and names of the senior management and their shares in the broker's capital:

Percentage (%)

position

name

 

 

 

 

1

 

 

 

2

 

 

 

3

 

 

 

4

 

 

 

5

 

 

 

6

 

 

 

7

 

 

 

8

 

 

 

9

 

 

 

10

 

The names of certified brokers by Jordan Securities Commission working in the company (At least two brokers):

Date of Accreditation

Branch

Name

 

 

 

 

1

 

 

 

2

 

 

 

3

 

 

 

4

 

 

 

5

 

 

 

6

 

 

 

7

 

 

 

8

 

 

 

9

 

 

 

10

 

 

 

11

 

 

 

12

 

 

 

13

 

 

 

14

 

 

 

15

 

 

 

16

 

 

 

17

 

 

 

18

 

 

 

19

 

 

 

20

 

The names of employees:

position

name

 

 

 

1

 

 

2

 

 

3

 

 

4

 

 

5

 

 

6

 

 

7

 

 

8

 

 

9

 

 

10

 

 

11

 

 

12

 

 

13

 

 

14

 

 

15

 

Head office and branches information

 

Head office

 

address

 

Number of brokers

 

Office manager

 

Number of trading screens

 

Phone number

 

Number of monitoring screens

 

Fax number

 

Branch 1

 

address

 

Number of brokers

 

branch manager

 

Number of trading screens

 

Phone number

 

Number of monitoring screens

 

Fax number

 

Branch 2

 

address

 

Number of brokers

 

branch manager

 

Number of trading screens

 

Phone number

 

Number of monitoring screens

 

Fax number

 

Branch 3

 

address

 

Number of brokers

 

branch manager

 

Number of trading screens

 

Phone number

 

Number of monitoring screens

 

Fax number

 

 

 

 

: Required Documents

 

  1. Certification of incorporation and the right to practice
  2. Articles and Memorandum of Association of the company
  3. Copy of the license granted by the Commission to the company to practice as a broke
  4. Issuers that the company or any of its board members or its executive officers or managers or its registered persons own 5% or more of the securities issued thereby.
  5. Name and address of the company's auditor.
  6. Name of a full-time general manager and financial manager.
  7. The last annual financial report audited by the company's auditor, if any.
  8. Written working procedures related to broker's works.

 

 

 

Endorsement and Undertaking:

  • The company that submitted the application admits on its full responsibility that all information attached with this application is correct and the ASE has the right to take all necessary procedures in accordance with the legislation in force, if otherwise.
  • The company approves on the Stock Exchange's provision of information related to the company to any official competent party requesting such information.

 

 

-    The company commits to respect the provisions of the applicable securities Law, and the regulations, instructions and decisions issued by virtue thereof.

  • The company commits to inform the ASE in any changes in the information contained in the application upon its occurrence.

 

 

Name of Authorized Signatory:

Position:

Signature and company’s stamp:

Date:

 

Note: This application is submitted to Listing and Operations department at the ASE, attached with the names of employees, divisions and departments of the company.