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Rules for Advisers


AIM Rules

AIM has its own rulebooks for companies and Nomads, that consist of rules, schedules and guidance notes. The rules have been written in a clear and concise manner,  to make them transparent and easy to understand for all market participants. The rulebooks are updated via a consultation between the Exchange and the AIM community, to ensure they remain appropriate and pragmatic for smaller growing companies.

AIM Notices

The Exchange issues notices to inform AIM market participants of rule consultations, rule confirmations, post-consultation guidance on regulatory matters and any administrative matters relating to the operation of the market. In addition to the AIM Notices, the London Stock Exchange issues notices concerning secondary market rules and regulatory issues that may impact AIM companies.

Downloads
 
  • Rulebooks and Guidance Notes

AIM Rules for Companies  (pdffile pdf - 656 KB)  
AIM Rules for Nominated Advisers  (pdffile pdf - 489 KB)  
PD-AIM Annex I-III (pdffile pdf - 213 KB)
AIM note for Mining, Oil & Gas Companies (pdffile pdf - 4 MB)
AIM Note for Investing Companies  (pdffile pdf - 351 KB)
AIM Disciplinary Procedures and Appeals Handbook  (pdffile pdf - 814 KB)

Dividend Procedure Timetable 2018  (pdffile pdf - 274 KB)
Dividend Procedure Timetable 2019   (pdffile pdf - 266 KB)

  • Forms for AIM companies

AIM Company Application Form - October 2017 (docfile doc - 145 KB)
Schedule 1 Pre-admission announcement (docfile doc - 75 KB)
Nomad declaration - 2009 (docfile doc - 469 KB)

  • Forms for Nomads

Nominated Adviser application form NA1  (docfile doc - 618 KB)
Nominated Adviser application form NA2(docfile doc - 575 KB)
Nominated Adviser application form NA3  (docfile doc - 558 KB)

  • Forms for AIM Disciplinary Procedures and Appeals Handbook

Appendix 1 - Appeal form for appeals to an AIM Executive Panel of a warning notice 

Appendix 2 - Appeal form for appeals to the AIM Executive Appeals Panel of a final determination of an AIM Executive Panel  

Appendix 3 - Case Management Memorandum 

Appendix 4 - Indicative standard directions and timetable for disciplinary proceedings 

Appendix 5 - Appeal form for appeals to the AIM Disciplinary Appeals Committee of an ADC Disciplinary Determination  

Appendix 6 - Appeal form for appeals to the AIM Executive Panel of a non disciplinary decision 

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