A Remote Body must, in the circumstances noted, notify the Regulator of the following information:
|1.||An event occurs which is likely to affect the Regulator's assessment of whether it is satisfied that the Remote Body continues to satisfy the Remote Recognition Requirements (see Rule 7.4.3).||As soon as reasonably practicable.||Particulars of the relevant event.|
|2.||A Remote Body amends its:
(a) memorandum and articles of association or any similar or analogous documents; or
(b) chairman or president, or chief executive (or equivalent).
|In its next annual report (or first annual report, if not notified to the Regulator during application process).||Particulars of the change and effective date.|
|3.||Disciplinary action (or any similar or analogous action) is taken against the Remote Body by any supervisory authority in its home jurisdiction, whether or not that action has been made public in that jurisdiction.||As soon as reasonably practicable.||Particulars of the disciplinary action taken.|
|4.||Publication of annual report and accounts.||Within fourteen days of publication or approval of the auditor, whichever is the sooner.||A copy of the annual report and accounts.|
|5.||A Remote Body proposes to change:
(a) its address in the Abu Dhabi Global Market for the service of notices or other documents required or authorised to be served on it; or
(b) the address of its head office.
|Fourteen days before the change is effective.||The new address.|
|6.||A Remote Body has notice that any license, permission or authorisation which it requires to conduct any regulated activity in its home jurisdiction has been or is about to be revoked or modified in any way which would materially restrict the Remote Body in performing any regulated activity in its home jurisdiction or in the Abu Dhabi Global Market.||As soon as practicable.||
(a) particulars of the license, permission or authorisation which has been or is to be revoked or modified, including particulars of the Remote Body's regulated activities to which it relates;
(b) an explanation of how the revocation or modification restricts or will restrict the Remote Body in carrying on any regulated activity in its home jurisdiction or in the Abu Dhabi Global Market;
(c) the date on which the revocation or modification took, or will take, effect and, if it is a temporary measure, any date on which, or any conditions that must be met before which, it will cease to have effect; and
(d) any reasons given for the revocation or modification.
|7.||A Remote Body admits for the first time a Member whose head or registered office is in the Abu Dhabi Global Market.||As soon as practicable.||
(a) notice of that event;
(b) the address of the new Member.
|8.||A Remote Body decides to put a Member into default.||As close to when such a decision is taken by a Remote Body as practicable.||
(a) notice of that event;
(b) the name of the Member and (where relevant) the class of membership;
(c) the reasons for that decision; and
(d) the names of any other exchange, Clearing house or trading platform on which, to the best of that Remote Body's knowledge, that Member clears business or transacts for, or in respect of, its Clients.
|9.||A Remote Body issues a consultation on proposed changes to its rules or procedures.||As soon as practicable.||A copy of the consultation paper and accompanying documentation.|
|10.||Changes to a Remote Body's rules or procedures become effective.||As soon as practicable.||A copy of the amended rules or procedures.|
|11.||A Remote Body issues guidance on or a circular relating its rules or procedures.||As soon as practicable.||A copy of the guidance or circular.|