AMI 9.10.2

Where an Authorised Market Institution has taken disciplinary action against a Member or any other Person granted access to its facilities, or any Employee of such Person, in respect of a breach of its Business Rules, trading rules or Listing Rules, the Authorised Market Institution must immediately notify the DFSA of that event, and give:

(a) the name of the Person concerned;
(b) details of the disciplinary action taken by the Authorised Market Institution; and
(c) the Authorised Market Institution's reasons for taking that disciplinary action.
Derived from RM118/2013 [VER15/07-13]