Event

Timing

Information requirement

1

A change in name of the Recognised Non-AIFC Member.

Reasonable advance notice.

Particulars of the change and effective date.

2

A change in any business name or trading name the Recognised Non-AIFC Member uses in the AIFC (if different to its name).

Reasonable advance notice.

Particulars of the change and effective date.

3

A change in the address of the Recognised Non-AIFC Member’s registered office or home office in its home jurisdiction.

Reasonable advance notice.

Particulars of the change and effective date.

4

The granting, modification, variation, withdrawal or refusal of any application for, or revocation of, licensing, recognition or authorization of the Recognised Non-AIFC Member in the jurisdiction in which the Recognised Non-AIFC Member has its head office or principal business.

Immediately.

(a) Particulars of the granting, modification, variation, withdrawal or refusal of the application for, or revocation of, licensing, recognition or authorization including particulars of the Recognised Non-AIFC Member's regulated activities to which it relates;(b) An explanation of how the revocation or modification restricts or will restrict the Recognised Non-AIFC Member in carrying on any regulated activity in its home territory or in the AIFC;(c) the date on which the event took, or will take, effect and, if it is a temporary measure, any date on which, or any conditions that must be met before which, it will cease to have effect; and(d) any reasons given for the granting, modification, variation, withdrawal or refusal of the application for, or revocation of, licensing, recognition or authorization.

5

The Recognised Non-AIFC Member provides any information to any financial services regulator to which the Recognised Non-AIFC Member is subject and which is relevant to its status as a Recognised Non-AIFC Member, save where the activities of the financial services regulator are part of a routine or regular inspection or audit of the affairs of the Recognised Non-AIFC Member.

As soon as practicable.

A copy of the information provided.

6

Anything which causes or may cause the Recognised Non-AIFC Member to fail to satisfy the Non-AIFC member Recognition Requirements.

As soon as possible.

Particulars of the event.

7

The Recognised Non-AIFC Member becomes aware that a financial services regulator has started an investigation into the affairs of the Recognised Non-AIFC Member or has appointed inspectors to investigate or manage the affairs of the Recognised Non-AIFC Member.

As soon as possible.

Particulars of the event.

8

The imposition of disciplinary measures or disciplinary sanctions on the Recognised Non-AIFC Member by any financial services regulator.

As soon as possible.

Particulars of the event

9

A Recognised Non-AIFC Member receives: an order from a client, or arranges or executes a transaction with or for a client; and has reasonable grounds to suspect that the order or transaction may constitute Market Abuse or Financial Crime.

Immediately.

(a) Sufficient details of the order or transaction; and (b) the reasons for the Recognised Non-AIFC Member suspecting that the order or transaction may constitute Market Abuse.

10

The Recognised Non-AIFC Member becomes aware of anything which reasonably tends to show a breach, or likely breach, by itself or third party of a provision of legislation administered by the AIFC.

As soon as possible.

Particulars of the relevant event.