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13.2.2. Principle 2 ‐ Independence
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LEGAL ENTITIES LEGISLATION
FINANCIAL SERVICES LEGISLATION
REGULATIONS
RULES
GENERAL RULES
CONDUCT OF BUSINESS RULES
Guidance: Purpose of this rulebook
1. APPLICATION
2. CLIENT CLASSIFICATION
3. COMMUNICATIONS WITH CLIENTS AND FINANCIAL PROMOTIONS
4. KEY INFORMATION AND CLIENT AGREEMENT
5. CONDUCT OF INVESTMENT BUSINESS
6. ORDER EXECUTION AND ORDER HANDLING
7. CONFLICTS OF INTEREST
8. CLIENT ASSETS
9. REPORTING TO CLIENTS
10. INVESTMENT RESEARCH
11. INSURANCE INTERMEDIARIES
12. TRUST SERVICE PROVIDERS
13. ANCILLARY SERVICE PROVIDERS
13.1. Application
13.2. Principles for Ancillary Service Providers
13.2.1. Principle 1 ‐ Integrity
13.2.2. Principle 2 ‐ Independence
13.2.3. Principle 3 ‐ Good faith
13.2.4. Principle 4 ‐ Best Interests
13.2.5. Principle 5 ‐ Service
13.2.6. Principle 6 ‐ Legal and regulatory obligations
13.2.7. Principle 7 ‐ Governance
13.2.8. Principle 8 ‐ Client Money and Client Assets
13.2.9. Principle 9 ‐ Conflicts of interest
13.2.10. Principle 10 – Complaints
14. CREDIT RATING AGENCIES
15. COMPLAINTS HANDLING AND DISPUTE RESOLUTION
16. RECORD KEEPING AND INTERNAL AUDIT
17. [intentionally omitted]
18. BANKS
19. CONDUCT OF INSURANCE AND TAKAFUL BUSINESS
20. INSURANCE MANAGEMENT
SCHEDULE 1: TRANSACTION RECORDS
SCHEDULE 2: KEY INFORMATION AND CONTENT OF CLIENT AGREEMENT
SCHEDULE 3: TRADE CONFIRMATION
SCHEDULE 4: PERIODIC STATEMENTS
SCHEDULE 5: FINANCIAL PROMOTIONS
ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING AND SANCTIONS RULES
COLLECTIVE INVESTMENT SCHEME RULES
AUTHORISED MARKET INSTITUTION RULES
MARKET RULES
RECOGNITION RULES
DEMATERIALISED INVESTMENT RULES
RULES FOR PRE-IPO LISTINGS
SOVEREIGN BONDS RULES
BANKING BUSINESS PRUDENTIAL RULES
PRUDENTIAL RULES FOR INVESTMENT FIRMS
PRUDENTIAL RULES FOR INSURANCE INTERMEDIARIES
INSURANCE AND REINSURANCE PRUDENTIAL RULES
ISLAMIC BANKING BUSINESS PRUDENTIAL RULES
ISLAMIC FINANCE RULES
TAKAFUL AND RETAKAFUL PRUDENTIAL RULES
REPRESENTATIVE OFFICE RULES
AIFC AUDITOR RULES
AIFC Financial Technology Rules
COOPERATION AND EXCHANGE OF INFORMATION RULES
TERMS AND PROCEDURE FOR CURRENCY TRANSACTIONS
FINANCIAL SERVICES EXEMPT FROM CORPORATE TAX
GLOSSARY
FEES RULES
RULES ON CURRENCY REGULATION AND PROVISION OF INFORMATION ON CURRENCY TRANSACTIONS IN THE AIFC
RULES ON THE SUBSTANTIAL PRESENCE OF THE AIFC PARTICIPANTS APPLYING TAX EXEMPTIONS FOR THE PAYMENT OF CIT, VAT
MULTILATERAL AND ORGANISED TRADING FACILITIES RULES
AIFC RECOVERY AND RESOLUTION RULES
AIFC RULES ON DIGITAL ASSET ACTIVITIES
RULES AND MECHANISMS OF COOPERATION OF UNBACKED DIGITAL ASSET EXCHANGES AND/OR CENTRE PARTICIPANTS AUTHORIZED TO CARRY OUT DIGITAL ASSETS-RELATED ACTIVITIES WITH SECOND-TIER BANK OF THE REPUBLIC OF KAZAKHSTAN
AIFC RULES ON PROVIDING MONEY SERVICES
POLICIES AND POLICY STATEMENTS
NOTICES
GUIDANCE
TEMPLATE
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13.2.1. Principle 1 ‐ Integrity
13.2.3. Principle 3 ‐ Good faith
13.2.2. Principle 2 ‐ Independence
An
Ancillary Service Provider
must not allow its independence to be compromised.