3 Step 1 Set-up advisory meeting An Advisory Meeting with TMX staff is recommended to review listing suitability, potential sponsorship requirement, and to provide guidance on timing and other matters relating to dual listed companies. TMX contact information is at the end of this document. TSX Applicants may qualify either as an exempt issuer or a non-exempt issuer. Exempt issuers are the most senior companies that meet profitability requirements and / or technical requirements. Non-exempt issuers are those entities who have not yet met certain profitability or technical thresholds, but still meet the other TSX listing requirements. TSXV Applicants may qualify either as a Tier 1 or Tier 2 issuer. Tier 1 issuers are more established junior issuers that meet certain financial, technical and share distribution thresholds. Tier 2 includes similar standards/ thresholds but at a lower level. See Appendix A for detailed TSX & TSXV Listing Requirements for Mining and Oil and Gas Companies. Step 2 Submit TSX or TSXV listing documents At this stage, a company files the required listing documents with the appropriate exchange. The time period will vary for each file but generally you should allow 6 – 12 weeks for the initial processing of an application. The longest lead items are frequently the processing and review of Personal Information Forms and the review of technical information, if any. Companies applying to dual-list on TSX will likely be in at the shorter end of the filing period. A listings manager will be assigned to each applicant at this stage. Listing documents required to be filed DOCS Description A Draft Listing Application and Principal Disclosure Document B Application Fees C Personal Information Forms D Financial Statements E Articles or Corporate By-Laws F Projected Sources and Uses of Funds G Sponsorship Report (if applicable) H Technical Reports for Mining and Oil & Gas Applicants I Material Contracts and other required documents
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