AMI 5.11.2

(1) Without limiting the generality of Rule 5.11.1, an Authorised Market Institution must:
(a) operate appropriate measures to identify, deter and prevent Market Abuse, money laundering and financial crime on and through the Authorised Market Institution's facilities; and
(b) report promptly to the DFSA any Market Abuse, money laundering and financial crime, as required.
(2) For the purposes of (1)(a), an Authorised Market Institution must:
(a) include in its Business Rules a regime to prevent Market Abuse, money laundering and financial crime that meets the requirements in (3), which is applicable to its Members; and
(b) implement adequate measures to ensure that its Members comply with that regime.
(3) The regime referred to in (2)(a) must, at a minimum, include rules and procedures in relation to:
(a) compliance arrangements to prevent Market Abuse, money laundering and financial crime;
(b) transaction monitoring;
(c) risk assessment; and
(d) training.
Derived from RM118/2013 [VER15/07-13]
[Amended] RM193/2016 (Made 7th December 2016). [VER18/02-17]