AMI 9.10.1

Where an Authorised Market Institution becomes aware that a person other than the DFSA has been appointed by any regulatory authority to investigate:

(a) any business transacted on or through its facilities; or
(b) any aspect of the clearing or settlement services which it provides,

it must immediately give the DFSA notice of that event.

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