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Who Can Be A Member?


Who Can Be A Member?

06/01/2017

A GSX Member Firm has a duty to maintain and uphold the reputation and integrity of the Gibraltar Stock Exchange’s markets. They play a crucial role in maintaining the quality of the markets and, in particular, are responsible for critically assessing the appropriateness of an issuer for admission to listing. A GSX Member Firm is also responsible for advising its client on its obligations and guiding it through the listing application process.

Membership Classes & Suitability

GSX offers 2 classes of membership:

  • Class 1: Main Market Listing Member Firm – Funds (members who specialise in sponsoring the listing of Collective Investment Schemes)
  • Class 2: Main Market Listing Member Firm - Debt Securities (members who specialise in sponsoring the listing of Debt Securities)

Applicants must have relevant and satisfactory experience to undertake listing activities in relation to the listing products and employ suitably qualified staff or have access to such staff through satisfactory contractual arrangements;

Applicants may apply for multiple classes of membership at no extra cost.

Who can be a Member?

GSX welcomes applicants from within the EEA and Switzerland.

All prospective Member Firms should be:

  • a body corporate or a partnership; and
  • either be licensed or authorised by a recognised Competent Authority or Regulatory Authority of equivalent standing preceding the application; or
  • a Member of another EU regulated market preceding the application; and
  • able to demonstrate relevant experience for both senior executives and staff

Where the above requirements are not met, GSX may at its sole discretion admit as a Member Firm an applicant which satisfies GSX that it is competent to discharge the responsibilities of a Member Firm; has appropriate financial resources for the role that they are to perform; is fit and proper; where applicable, has adequate organisational arrangements; and undertakes to GSX to accept and discharge those responsibilities at all times to the satisfaction of GSX.

GSX does not currently accept applications from outside the EEA and Switzerland.

Listing Members Code

For further information regarding membership criteria, requirements and continuing obligations of Member Firms, please refer to the Listing Members Code.

Procedures Manual

One of the most important duties of a Member Firm is to ensure that its client meets the eligibility criteria, and is otherwise suitable for our market as an admission, and whether the client is likely to affect the orderly operation or integrity and reputation of GSX.

A vital component of that determination is the due diligence process.

The GSX Procedures Manual sets out basic procedures that will enable GSX to ensure that all Member Firms adopt a consistent set of key due diligence parameters for all applications to GSX.

Next Steps

If you a considering becoming a Member Firm, please review the GSX listing membership rules, application forms and Procedures Manual on our website. You can also contact GSX directly at [email protected]

Completed application forms must be submitted to the GSX Membership and Listing Committee for approval. 



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Why? Source: Gibraltar Stock Exchange
 

GSX Main Market

Members

+ Who Can Become a Member
+ Why Become a Member
+ How to Become a Member
+ List of Members
+ Members Application Bundle
Debt Securities

+ Who Can List
+ Why List
+ How to List
+ Recognised States
+ Debt Prospectus Handbook
+ Debt Securities Application Bundle
Open Ended Funds

+ Who Can List
+ Why List
+ How to List
+ Recognised States
+ Open Ended Fund Application Bundle
Closed Ended Funds

+ Who Can List
+ Why List
+ How to List
+ Recognised States
+ CECIS Prospectus Handbook
+ Closed Ended Fund Application Bundle
Fees

+ Open Ended Fund Fees PDF
+ Fund Fee Calculator
+ Closed Ended Fund Fees PDF
+ Debt Security Fees PDF
+ Member Firm Fees PDF
+ Fees Bundle
Codes

+ Listing Code for Debt Securities
+ Listing Code for Open Ended CIS
+ Listing Code for Closed Ended CIS
+ Members Code for Listing Members
+ Stock Exchange Code

GSX Global Market

Members

See above for Member Firm details.
Debt Securities

+ Who Can List
+ Why List
+ How to List
+ GM Debt Securities Application Bundle
Funds

+ Who Can List
+ Why List
+ How to List
+ GM Fund Application Bundle



Fees

+ GM Fund Fees PDF
+ Fund Fee Calculator
+ GM Debt Security Fees PDF
+ GM Fees Bundle
Codes

+ GM Listing Code for Debt Securities
+ GM Listing Code for Funds

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