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AMI 9.4.2

Where any Key Individual of an Authorised Market Institution:

(a) is the subject of any:
(i) disciplinary action arising out of alleged misconduct; or
(ii) criminal prosecution arising out of alleged misconduct involving fraud or dishonesty;
(b) resigns as a result of an investigation into alleged misconduct; or
(c) is dismissed for misconduct;

the Authorised Market Institution must immediately give the DFSA notice of that event and give the following information:
(d) the name of the Key Individual and his responsibilities within the Authorised Market Institution;
(e) details of the alleged acts of misconduct by that Key Individual; and
(f) details of any disciplinary action which has been imposed or is proposed to be taken by that body in relation to that Key Individual.
Derived from RM118/2013 [VER15/07-13]