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AIM - Adviser rules & regulations

AIM - Adviser rules & regulations


The AIM rules are integral to the flexibility and accessibility of AIM, and are written in a straightforward, clear and concise manner. 

AIM rules & regulations
AIM rules
This document sets out the AIM rules for an AIM company and its Nomad.

You may wish to also download PD Annex I-III, which

illustrates, for guidance only the requirements of schedule 2 of the AIM rules.

AIM Designated Markets
This document sets out the criteria for companies to qualify for the 'fast-track' admission route via AIM Designated markets.


AIM disciplinary procedures and appeals
This handbook forms part of the AIM rules and sets out the procedures to be followed when: (i) the Exchange wished to commence disciplinary proceedings or; (ii) an AIM company or Nomad wishes to lodge an appeal.


Regulatory Information Service Providers
A list of Regulatory Information Service Providers 

as required by the AIM Rules and which provide regulatory disclosure services for AIM companies.


AIM Rules for Nominated Advisers
This document sets out the criteria to become a Nominated Adviser.

Nominated Adviser reduction in executives form (NA3)
When an approved qualified executive leaves a Nomad's full-time employment, this NA3 form should be completed and returned to AIM Regulation.

Company admission and application forms
Schedule 1 - Pre-admission announcement
In accordance with AIM Rule 2, this template form must be completed by the Nomad for each new company it is intending to bring to the market, and sent to AIM Regulation (by email and in word format) at least 10 clear business days (or 20 if it is a quoted applicant) before its admission to the market. AIM Regulation will review it and then release it over RNS. Released forms are available on the Market News sections under the name of AIM.


Declaration by Nominated Adviser
The declaration must be completed by the Nomad in respect of each application for admission which requires the production of an admission document and where a Nomad is engaged by an existing AIM company. This declaration includes confirmation of the Nomad’s responsibilities as set out in the Nomad eligibility criteria and AIM Rules.

Application to be signed by the company
This application form must be completed by an AIM company in respect of every application for admission of shares (initial and further) to trading on AIM. The form includes confirmation of the company’s responsibilities, as set out in the AIM Admission Rules.

Admission and annual fee payments
AIM admission and annual fees

This booklet outlines all admission and annual fees payable by AIM companies and Nomads. 


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Links

Downloads

 Dividend Procedure Timetable 2008 (PDF 104Kb) 
 AIM Rules for Companies (PDF 1Mb)
 AIM Rules for Nominated Advisers (PDF 1Mb)
 PD-AIM Annex III-I (PDF 117Kb)
 Guidance note for Mining, Oil & Gas Companies March 2006 (PDF 1Mb)
 AIM disciplinary procedures (PDF 1Mb)
 AIM Company Application Form - February 2007 (MS Word 597Kb)
 Regulatory Information Service Providers (MS Word 23Kb)
 Schedule 1 Pre-admission announcement (MS Word 74Kb)
 Nomad declaration 2007 (MS Word 566Kb)

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