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7.3.3 Information about default or failure rates
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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
AUTHORISED MARKET INSTITUTION RULES
Guidance: Purpose and application of AMI
1. INTRODUCTION
2. RULES APPLICABLE TO ALL AUTHORISED MARKET INSTITUTIONS
2-1. RULES APPLICABLE TO AUTHORISED MARKET INSTITUTIONS OPERATING A FACILITY FOR INVESTMENT TOKENS
3. RULES APPLICABLE TO AUTHORISED INVESTMENT EXCHANGES
4. RULES APPLICABLE TO AUTHORISED CLEARING HOUSES
5. SUPERVISION
6. [intentionally omitted]
7. RULES APPLICABLE TO AN AUTHORISED CROWDFUNDING PLATFORM
7.1. Application
7.2. Permissible activities
7.3. Requirements for Authorised Crowdfunding Platforms
7.3.1 Clients of an Authorised Crowdfunding Platform
7.3.2 Crowdfunding risk disclosure
7.3.3 Information about default or failure rates
7.3.4 Information about the service and lender or Investor education tools
7.3.5 Risk acknowledgement form
7.3.6 Due diligence on Borrowers or Issuers
7.3.7 Disclosure of information about the Borrower or Issuer
7.3.8 Disclosure of information about the Permitted Loan or Permitted Investment
7.3.9 Proposals not to be advertised outside platform
7.3.10 Material changes affecting a Borrower or Issuer
7.3.11 Borrower or Issuer use of other platforms
7.3.12 Equal treatment of lenders or Investors
7.3.13 No suitability disclosure
7.3.14 An Authorised Crowdfunding Platform not to permit staff to use the platform
7.3.15 Forums
7.3.16 Facility for transfer of Permitted Loans or Permitted Investments
7.3.17 Business cessation plan
7.3.18 AFSA power to impose a prohibition or requirement
7.3.19 Complaints
7.3.20 Obligation to report transactions
7.3.21 Cooling-off period
7.3.22 Target funding amount
7.3.23 Lending and Investment limits
7.3.24 Fundraising limits
7.3.25 Market Rules
7.4. Additional Requirements for Loan Crowdfunding Platforms
SCHEDULE 1: COMMODITY DERIVATIVE CONTRACT DELIVERY SPECIFICATIONS
SCHEDULE 2: TRADE REPOSITORY
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
POLICIES AND POLICY STATEMENTS
NOTICES
GUIDANCE
TEMPLATE
CONSULTATION PAPERS
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7.3.2 Crowdfunding risk disclosure
7.3.4 Information about the service and lender or Investor education tools