- 3.9. Clearing services
- 1.1.1. Definitions
- 1.1.2. Outsourcing
- 2.1. Requirements in GEN
- 2.2.1. Minimum capital requirement
- 2.3.1. Conflicts of interest – core obligation
- 2.3.2. Conflicts of interest – identification and management
- 2.3.3. Conflicts of interest – personal account transactions
- 2.3.4. Conflicts of interest – code of conduct
- 2.4.1. Sufficient resources
- 2.4.2. Confidentiality
- 2.4.3. Cyber-security
- 2.4.4. Resources of Members
- 2.4.5. On-going monitoring
- 2.4.6. Testing of technology systems
- 2.4.7. Testing relating to Members’ technology systems
- 2.4.8. Regular review of systems and controls
- 2.5.8. Appeals
- 2.5.2. Content and effect of Business Rules
- 2.5.7. Financial penalties
- 2.5.3. Review, amendment and consultation
- 2.5.4. Amendment of rules
- 2.5.6. Monitoring and enforcing compliance with Business Rules
- 2.6.1. Persons eligible for Membership
- 2.6.2. Admission criteria
- 2.6.3. Membership Rules
- 2.6.4. Undertaking to comply with AIFC rules
- 2.6.5. Lists of users or Members
- 2.7.2. Direct electronic access – general conditions
- 2.7.3. Direct electronic access – criteria, standards and arrangements
- 2.7.4. Direct electronic access rules
- 2.8.2. Measures to prevent, detect and report market abuse or Financial Crime
- 2.8.3. Whistleblowing
- 2.9.1. Safeguarding and administration of users’ assets
- 3.2.3. Undertaking to comply with AIFC rules
- 3.6.6. Undertaking to comply with AIFC rules
- 4.6.1. Default rules in respect of Market Contracts
- 5.1. Introduction
- 5.2.4. Notification of significant breaches of the Business Rules
- 5.2.1. Information gathering on the AFSA’s own initiative
- 5.2.2. Ongoing notification obligations
- 5.2.3. Notification of significant breaches by the Authorised Market Institution or its Employees
- 5.2.5. Notification of changes in constitution and governance
- 5.2.6. Notification of complaints
- 5.3.1. Annual reports and accounts
- 5.3.2. Audit committee reports
- 5.3.3. Quarterly management accounts
- 5.3.4. Forward-looking estimates
- 5.3.5. Fees and charges
- 6.3.4. Undertaking to comply with the acting law of the AIFC
- 1.5 Definitions etc.
- 3.1. Keeping of registers
- 36. Application for a Licence to carry on Market Activities
- 14. Definition of Authorised Market Institution
- 38. Grant or rejection of application
- 51. Requirement to have Business Rules
- 52. Approval and consultation on Business Rules
- 53. Legal effect of Business Rules
- 54. Enforcement of Business Rules
- 55. Persons eligible for Membership
- 56. AFSA power to require report from an Authorised Market Institution
- 59. Liability of Authorised Market Institutions and their Employees
- 61. Definition of an Offer of Securities
- 89. Recognition of Non-AIFC Market Institutions
- Guidance: Purpose of this rulebook
- 1.1.14. Exclusion in respect of dealing in Commodity Derivatives or Environmental Instruments
- 1.2.8. Modification or withdrawal of an Authorised Market Institution’s Licence
- 1.2.2. Exclusions in relation to certain categories of Centre Participant
- 2.4.1. Requirements to be a Deemed Professional Client
- 2.9.2. Exclusion from the "agent as client" rule
- 6.4. Direct Electronic Access
- AMI
- Business Rules
- Customer
- Default Rules
- Deposit
- Direct Electronic Access Rules
- Member
- Membership Rules
- Offer of Securities
- Offer of Units
- 3.1.1. What annual supervision fees must be paid
- 1.2 Application fees for modification and withdrawal of a Licence or Approved Individual's registration