AMI 3.3 Guidance

Under Article 43 of the Regulatory Law, every Authorised Market Institution must have Key Individuals appointed to perform Licensed Functions. Key Individuals appointed by an Authorised Market Institution to perform Licensed Functions must be approved by the DFSA before they are permitted to carry on such functions. This section sets out the matters that will be considered by the DFSA in approving such Key Individuals. The list of Licensed Functions for an Authorised Market Institution is in section 5.3 of this module.

Derived from RM118/2013 [VER15/07-13]
[Amended] DFSA RM133/2014 (Made 21st August 2014). [VER16/06-14]