1. The AIM Rules for Nominated Advisers provide that AIM Regulation will not provide ‘no-names’ guidance in relation to detailed or specific regulatory matters. The relevant company’s name plus the enquirer’s details should be disclosed to AIM Regulation so it can provide appropriate advice. All information received is kept confidential, in accordance with the AIM rules. If AIM Regulation does provide any guidance on a ‘no-names’ basis, it is provided for general, high-level purposes only and it is non-binding upon the Exchange and should not be relied upon.
2. Before contacting AIM Regulation, please ensure you have first checked all appropriate resources, such as those listed on the Adviser rules and regulations page. Contacting AIM Regulation should not be treated as a substitute for reviewing these resources in the first instance.
3. Complex or specific queries, class test queries or requests for rule derogations must be sent by email by a company's Nominated Adviser.
4. When contacting AIM Regulation, you must provided it with all the material information necessary for it to advise on the query. If AIM Regulation provides advice or a derogation and the information on which this was based subsequently changes, you should approach AIM Regulation again as soon as possible.
5. AIM Regulation strives to respond to all queries as quickly as possible. However, complex or policy-related queries may require three business days or possibly longer if the team needs to access further information. This timescale should be factored into any transaction timetable. In any event, AIM Regulation should always be contacted at the earliest opportunity.
6. An adviser should not assume that a derogation from the AIM Rules has been provided unless a member of the AIM Regulation team has confirmed this specifically in an email to the company’s Nomad.
7. Please note that all telephone calls to and from AIM Regulation are recorded.
You can contact AIM Regulation by phone on
+44 (0)20 7797 4154, or by preferably email.