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An applicant for initial listing of bonds must submit the Initial Bonds Listing Application Form (or the Bonds Listing Request Form for government bonds) and application documents.
- Application Documents for Domestic Bonds
- 1. Samples of certificate. As for government bonds, municipal bonds, monetary stabilization bonds, and specific laws bonds that are continually issued for sale throughout a month, samples are submitted only once. However, they are not required for issuing registered bonds.
- 2. For indirect issuers, copies of trust certificate, an underwriting contract, or sales contract an entrustment contract for public offering
- 3. Business description (including corrections to the statements)
- 4. Financial statements and auditor's reports for the past three business years
- 5. Auditor's report on the financial statements of the most recent business year
- 6. Documents that verify the payment of the bond
- 7. Miscellaneous documents deemed necessary by the KRX
- Exemption of Documents
- Exemption of Document 2~6 : Government bonds. monetary stabilization bonds, municipal bonds(not issued by an initial offering)
- Exemption of Document 3~6 : Municipal bonds issued by an initial public offering, specific laws bonds and debt securities exempted from filing a securities registration statement
- Exemption of Document 4~5 : guaranteed bonds and non-guaranteed bonds that submit business reports Based on Article 159 of Financial Investment Services and Capital Markets Act
- Exemption of Document 2~5 : If securities registration statement that has come into effect was submitted
- Application Documents for Foreign Bonds
- 1. Articles on incorporation or documents equivalent thereto
- 2. For indirect issuers, copies of trust certificate, an underwriting contract, or sales contract, an entrustment contract for public offering
- 3. A copy of the assignment contract as a listing representative
- 4. Auditor's report, or epuivalent documents, on the financial statements for the past three business years
- 5. A copy of a credit rating report
- 6. Miscellaneous documents deemed necessary by the KRX
- Exemption of Documents
- Exemption of Document 1~5 : If securities registration statement that has come into effect was submitted
- Methods for Submitting Documents
- The application documents could be submitted to KRX through the Bond Listing System (http://bonds.krx.co.kr). The system does not provide English service.
- Documents which were not submitted at the time of the listing application could be submitted within three days after the issuance.