RE: aim-rules-for-nomads27 Dec 2018 12:49
Changes at a nominated adviser
A nominated adviser must inform AIM Regulation as soon as possible (by telephone and by
email) of any matters that may affect its operation, role or performance as a nominated adviser.
Such notifications include (but are not limited to):
— any proposed changes to its name, its address or places of business;
— the commencement of an investigation by any other regulatory body or law enforcement
authority in any jurisdiction which relates to the conduct of the nominated adviser;
— the commencement of any disciplinary action or criminal proceedings which relate to the
conduct of the nominated adviser and/or any of its employees relevant to the work
undertaken by the nominated adviser;
— the receipt of any conviction or finding of breach of duties to which the nominated adviser
and any of its employees was subject, or any formal warning or disciplinary communication
from any other regulatory body or law enforcement authority;
— any material adverse change in its financial or operating position that may affect its ability to
act as a nominated adviser;
— as soon as any decision is made to consult, engage or appoint an administrator(s) or similar
practitioners;
— any potential changes to the structuring or organisation of the directors, partners or
employees which impacts the nominated adviser services provided by the firm. Such
changes include (without limitation) the notice of resignation of a Qualified Executive, Head
of Corporate Finance or relevant compliance officer; or
— any proposed change of control of the nominated adviser which is reasonably likely.
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