Person

1.3. Waivers
2.1. Prohibition on establishment, promotion and marketing of Collective Investment Schemes
[deleted]
2.5. Secondary transactions and excluded Offers
3.4. Deposits
3.7. Group arrangements
3.18. Sukuk
3.21. Other circumstances
6.11. Rules relating to Real Estate Investment Trusts
6.12. Rules relating to Private Equity Funds
6.13. Rules relating to Venture Capital Funds
7.4. Use of prime brokers
7.11. Ability to delegate or outsource
8.3. Eligible Custodian
8.4. Contents of a custody agreement
8.7. Requirements for notification
SCHEDULE 1: CONTENT REQUIREMENTS FOR CONSTITUTION
10.4. Auditor of a Non-Exempt Fund and a Real Estate Investment Trust
1.1.1. Definitions
1.1.2. Outsourcing
2.6.1. Persons eligible for Membership
3.1.7. Short selling and position management
3.6.2. Contents of Listing Rules
5.2.4. Notification of significant breaches of the Business Rules
5.2.1. Information gathering on the AFSA’s own initiative
5.2.6. Notification of complaints
11. Arranging Deals in Investments
5. Providing Custody
7. Providing Trust Services
10. Advising on Investments
6.6.1. Cyber-security policy
7.2.2 Permitted Investments and Permitted Loans
7.3.15 Forums
7.4.2 Loan Administration
1.4.4. Section 1: The Introduction
2.3.8. Other matters requiring shareholder approval
2.5.2. Definitions
4.1.1. Appointment of sponsors
4.1.2. Procedures relating to appointment of sponsors
4.1.3. Independence of sponsors and their employees
4.1.4. AFSA’s power of direction
4.1.5. Obligations of a sponsor
4.1.6. Sponsor’s obligation when aware of non-compliance
4.1.7. Duty of care of sponsors
4.1.8. Co-operation with sponsors
4.1.9. Notifying the AFSA of failure to co-operate
4.1.10. Termination of appointment
4.2.1. Appointment of a compliance adviser
5.1.1. Conduct amounting to Market Abuse
12.11. Fitness and Propriety of Persons acting as trustees
12.10. Due diligence
17.1. [intentionally omitted]
5.2.5. Unlawful disclosure of Inside Information
5.2.6. Persons possessing Inside Information
5.3.1 Definition of Insider Dealing
5.3.2. Recommending or Inducing Insider Dealing
5.3.3. Persons to whom MAR 5.3.2 and MAR 5.3.1 apply
5.3.4. Behaviour that does not constitute Insider Dealing
5.3.5. Behaviour that does not constitute Insider Dealing – public takeover
5.3.6. Behaviour that does not constitute Insider Dealing – use of own knowledge
5.4.2. Market Manipulation Activities
5.4.3. Market Manipulation Behaviour
5.4.4. Accepted Market Practice
5. MARKET ABUSE
5.5.1. Definition of Market Sounding
5.5.2. Disclosure of Inside Information in the course of Market Sounding
5.5.3. Requirements on a Person conducting or intending to conduct Market Sounding
6.2.1. Obligation to draw up insider lists
6.2.2. Reporting Entity is responsible for complying with MAR 8.2.2 (Obligation to draw up insider lists)
6.2.7. Record Keeping
6.2.3. Contents of the Insider List
6.2.4. Persons on the Insider List
6.2.5. Updating the Insider list
6.2.6. Provision of Insider Lists to the AFSA
6.3.2. Transactions on behalf of Persons discharging managerial responsibilities
6.3.3. Content of notification
6.3.6. Notifying Persons discharging managerial responsibilities of their obligations
6.3.9. Discretion to permit trading with the closed period
Chairman and chief executive
Executive and non-executive directors
Audit committee
1.1.1. Application procedure
1.1.6. Default procedures
1.2.5. Supervisory powers of the AFSA
2.1.1. Application procedure
2.2.5. Supervisory powers of the AFSA
1.4 Application of these Rules
3.1. Keeping of registers
4.4. No Certificates of Title in relation to Uncertificated Investments
4.2. Substitution of tangible documentary requirements
4.3. Instructions to transfer Uncertificated Investments
SCHEDULE 1: INTERPRETATION
1.8. Application of these rules — genera
Securities Settlement System
4.3 Calculating Liquid Assets
4.2 Who is suitable to provide professional indemnity insurance?
General Insurance Category 1: Accident
General Insurance Category 15: Suretyship
25. Prohibition relating to Controlled Functions
26. Prohibition relating to Designated Functions
27. Prohibition relating to Financial Promotions
36. Application for a Licence to carry on Market Activities
6. Meaning of “in or from the AIFC"
11. Appeals against decisions of the AFSA, and the AFSA's statutory immunity
28. Enforceability of Agreements
29. False claims to be a Centre Participant
30. Application for a Licence to carry on Regulated Activities
32. Financial technology
40. Application for a Licence to carry on Ancillary Services
48. Requirement for AFSA approval to change in control
79. Civil compensation
49. Rules governing Controllers
50. Powers of the AFSA in respect of Controllers
53. Legal effect of Business Rules
78. Statements about future matters
54. Enforcement of Business Rules
55. Persons eligible for Membership
60. Prohibition – Offer of Securities
81. Definition of Reporting Entity
61. Definition of an Offer of Securities
62. Prohibition – Admission to trading
66. Admission of Securities or Units in a Listed Fund to an Official List
70. AFSA power to prescribe Prospectus content
77. Defence of reasonable reliance on information given by another Person
72. AFSA power to publish or require publication of information
73. Obligation to issue a Supplementary Prospectus
75. Prohibition against misleading and deceptive statements or omissions
76. Defence of reasonable inquiries and reasonable belief
82. Governance
85. Sponsors and compliance advisers
86. Market Abuse
88. Takeover Rules
124. Injunction – contraventions
89. Recognition of Non-AIFC Market Institutions
90. Exemption for Recognised Non-AIFC Market Institutions from General Prohibition
91. Recognised Non-AIFC Member
94. Power to give directions in respect of Collective Investment Schemes
95. Exercise of supervisory powers by the AFSA
97. Power to require the production of a report
99. Power to impose a prohibition
100. Power to impose a requirement
101. Power to enter into enforceable agreement
102. Obligation of disclosure to the AFSA
105. Obstruction of the AFSA
106. No liability for provision of information or documents to the AFSA
107. Self-incrimination
125. Injunction – investigations and proceedings
108. Privilege
112. Application to the AIFC Court
113. Powers of the Court in relation to a transfer scheme
114. Power of the AFSA to conduct an investigation
115. Costs of an Investigation
116. Powers to Obtain Information and Documents for Investigation
117. Use and effect of information and documents obtained for an Investigation
118. Sanctions for contraventions
119. General contravention provision
122. Appointment of Managers
120. Involvement in contraventions
126. Injunction – market abuse
127. Restitution Order – contraventions
128. Restitution Order – market abuse
129. Action for damages
132. General prohibition on disclosure
1. Interpretation
4. Opportunity to make representations before a decision
5. Decision Notice
6. Opportunity to make representations after a decision
4. Appeal of decision to publish a statement to be held in private
3.2.2. No avoidance of regulatory liability
1.4.1. Activities performed in FinTech Lab
1.1.13. . Exclusion in respect of non-financial business
Unitholder
1.1.2. Form and content of application for a Licence
1.1.5. Fitness and propriety
1.1.9. Activities carried on by way of business
1.1.10. Exclusion in respect of Dealing in Investments as Principal
1.1.12. Exclusion in respect of acting with or for Group companies
1.1.14. Exclusion in respect of dealing in Commodity Derivatives or Environmental Instruments
1.1.16. Exclusion in respect of acting as a trustee
1.1.17. Exclusion in respect of Single Family Offices
1.2.1. Form and content of application for a Licence
1.2.5. Fitness and propriety
1.3.2. Form and content of application for a Licence
2.3.7. Appointment of Designated Individual
3.1.1. Definition of a Controller
3.1.2. Definition of “share” and “holding”
3.1.3. Disregarded holdings
3.2.2. Approval process
3.2.3. Effect of AFSA approval or conditional approval
3.3.1. Notification for decrease in the level of control of Authorised Person incorporated in the AIFC
3.3.2. Notification of changes relating to control of Branches
5.6.1. Identification of conflicts of interest
5.6.2. Factors relevant to the existence of a conflict of interest in the provision of a service
6.1.2. Nomination or approval of Skilled Person
6.1.4. Contract with Skilled Person
6.2.5. Suspected Market Abuse
6.2.6. Fraud and errors
6.2.9. Winding up, bankruptcy, insolvency and resolution
2.3.1. Classification as a Professional Client
3. Managing Investments
15. Insurance Intermediation
17. Accepting Deposits
18. Providing Credit
19. Advising on a Credit Facility
20. Arranging a Credit Facility
2. Operating a Clearing House
4. Operating a Loan Crowdfunding Platform
5. Operating an Investment Crowdfunding Platform
2.1.1. Obligation to classify Clients
2.1.3. Person may be classified as more than one category of Client
2.2.2. Authorised Firm may choose to treat any Person as a Retail Client
2.4.2. Large Undertakings
2.5.1. Assessed Professional Clients: Individual Clients
2.5.3. Assessment of experience and understanding
2.6.1. Obligation to notify Professional Client of right to be treated as a Retail Client
2.7.1. Classification as a Market Counterparty
2.7.2. Requirement for confirmation by the Client
2.9.1. General application of the "agent as client" rule
3.2.3. Information to be communicated directly to Client
3.3.1. Prohibition on Financial Promotions
3.3.3. Exempt Financial Promotions
3.3.4. Other exclusions from the Financial Promotions Prohibition
3.3.6. Financial Promotions included in other communications
3.3.7. Withdrawal of a financial promotion
3.4.3. No express request for a real time Financial Promotion
3.4.7. Procedure for Unsolicited Real Time Financial Promotions
2.5. Fee for keeping information in the Register kept by the Registrar
4.2.1. Requirement to enter into a client agreement
6.2.9. Records of orders and transactions
6.3.1. General requirement
7.2. Identifying a conflict of interest
7.3. Managing a conflict of interest
7.5.2. Content of written notice
8.1.3. Meaning of "hold" and "control"
8.2.1. Meaning of "Client Money"
8.2.8. Exceptions to Holding Client Money in Client Money Accounts
8.3.11. Use of Client Investments for the purposes of the Authorised Firm or another Person
8.3.16. Reconciliations
8.5.4. Client Money
5.1.4. Identification of Politically Exposed Persons
5.1.6. Prohibition on relationships with Shell Banks
Financial Promotion
Fund Manager
1.1. Application
1.9. Islamic Banking Business
1.10. Providing Islamic Financing
2.1. Requirements for Authorisation
2.3. Prohibition on holding out as conducting Islamic Financial Business
8.1. Application
General Takaful Category 1: Accident
General Takaful Category 15: Suretyship
PRU Dealing Investment Firm
PRU Intermediary Investment Firm
PRU Investment Firm
1.1 Application
3.1 Representation
3.6 Dealing with property
3.7 Communications
1.1. General application rule
2.1.1. Form of application
Contract of Reinsurance
2.1. General introduction to FinTech Lab
2.2. Testing the FinTech Activities
2.3. Developing the FinTech Activities
2.4. Application process
2.5. Licence
2.6. Waivers, conditions, restrictions
Externally Regulated PRU Investment Firm
2.7.
4.1.
3.1.2. Obligation to keep disclosed information confidential
3.2.5. Confidentiality of requests for information
3.2.6. Applications to request confidential information
3.2.8. Notice of disclosure
7. Providing Trust Services
3. Managing Investments
5. Providing Custody
10. Advising on Investments
2. Operating a Clearing House
11. Arranging Deals in Investments
13. Insurance Intermediation
Associate
Borrower
Client
Central Securities Depository
Certificate
Client Money
Company service provider
Connected Person
Controller
Credit Facility
Credit Rating
Deposit
Director
Insider Dealing
Investor
Issuer
Loan Administrator
Market Abuse
Market Contract
Market Making Strategy
Marketing Material
Member
Offer of Securities
Offer of Units
Operating a Private E-currency Business
Partner
PEP
Policyholder
Policyholder or Participant
Private Placement
Property Manager
Reporting Entity
Recognised NonAIFC Clearing House
Recognised NonAIFC Investment Exchange
Recognised NonAIFC Member
Recognition Requirements
Regulated Financial Institution
Related Person
Skilled Person
1.2.3. Application fees payable to the AFSA in respect of Ancillary Services
2.4.1. Fee for Post- Registration Procedures
2.6. Fee for reservation of a name
5.1.2. Increase of sum due if fee not paid
7.1.1. General
7.2.1. General
7.3.1. General

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