Entire Section

  • AMI 9.2 AMI 9.2 Relations with Regulators and the Risk Based Approach

    • AMI 9.2.1

      An Authorised Market Institution must deal with regulatory authorities in an open and co-operative manner and keep the DFSA promptly informed of significant events or activities, wherever they are carried on, relating to the Authorised Market Institution, of which the DFSA would reasonably expect to be notified.

      Derived from RM118/2013 [VER15/07-13]

    • AMI 9.2.2

      An Authorised Market Institution must advise the DFSA immediately if it becomes aware, or has reasonable grounds to believe, that a significant breach of a Rule or Licensing Requirement by the Authorised Market Institution or any of its Employees may have occurred or may be about to occur.

      Derived from RM118/2013 [VER15/07-13]