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Legal Framework

4.1. Application and requirement for registration and notification

LEGAL ENTITIES LEGISLATION

FINANCIAL SERVICES LEGISLATION

REGULATIONS

RULES

GENERAL RULES

CONDUCT OF BUSINESS RULES

ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING AND SANCTIONS RULES

COLLECTIVE INVESTMENT SCHEME RULES

Guidance: Purpose of this rulebook

Guidance: Listed Funds

1. INTRODUCTION

2. CLASSIFICATION OF FUNDS AND APPLICATION OF THE RULES

3. ARRANGEMENTS NOT AMOUNTING TO A COLLECTIVE INVESTMENT SCHEME

4. REGISTRATION AND NOTIFICATION REQUIREMENTS

4.1. Application and requirement for registration and notification

4.2. Application for registration

4.3. Requirements for registration

4.4. Rejection of an application

4.5. Granting registration

4.6. Withdrawal of registration

4.7. Requirements for notification

4-1. RECOGNITION OF FOREIGN FUND MANAGERS

5. MARKETING REQUIREMENTS

6. RULES REGARDING THE CONSTITUTION AND INVESTMENT POWERS OF FUNDS

7. RULES REGARDING THE MANAGEMENT AND OPERATION OF FUNDS

8. ADDITIONAL SERVICE PROVIDERS

9. RULES REGARDING DEALINGS IN OPEN-ENDED FUNDS AND LIQUIDITY

10. AUDIT, FINANCIAL AND VALUATION REQUIREMENTS

SCHEDULE 1: CONTENT REQUIREMENTS FOR CONSTITUTION

SCHEDULE 2: RECOGNISED JURISDICTIONS

SCHEDULE 3: ACCEPTABILITY ASSESSMENT

SCHEDULE 4: Forms

SCHEDULE 5: USE OF PRICE INFORMATION PROVIDERS

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

4.1. Application and requirement for registration and notification

This chapter applies to:
(a) any Domestic Fund that is managed by a Domestic Fund Manager;
(b) any Domestic Fund that is managed by a Foreign Fund Manager;
(c) any Foreign Fund managed by a Domestic Fund Manager; and
(d) any Centre Participant that wishes to market a Fund in the AIFC.

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Registration

4.1. Application and requirement for registration and notification

This chapter applies to:
(a) any Domestic Fund that is managed by a Domestic Fund Manager;
(b) any Domestic Fund that is managed by a Foreign Fund Manager;
(c) any Foreign Fund managed by a Domestic Fund Manager; and
(d) any Centre Participant that wishes to market a Fund in the AIFC.

4.1. Application and requirement for registration and notification

This chapter applies to:(a) any Domestic Fund that is managed by a Domestic Fund Manager;(b) any Domestic Fund that is managed by a Foreign Fund Manager;(c) any Foreign Fund managed by a Domestic Fund Manager; and(d) any Centre Participant that wishes to market a Fund in the AIFC.

This chapter applies to:
(a) any Domestic Fund that is managed by a Domestic Fund Manager;
(b) any Domestic Fund that is managed by a Foreign Fund Manager;
(c) any Foreign Fund managed by a Domestic Fund Manager; and
(d) any Centre Participant that wishes to market a Fund in the AIFC.