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MIR 8.4.4

Notwithstanding Rule 8.4.2, a Remote Member must notify the Regulator as soon as possible of:

(a) anything which causes, or may cause, it to fail to satisfy the Remote Member Requirements;
(b) it becoming aware that a Non‐ADGM Financial Services Regulator has started an investigation into the affairs of the Remote Member;
(c) the appointment of inspectors, howsoever named, by a Non‐ADGM Financial Services Regulator to investigate or manage the affairs of the Remote Member;
(d) the imposition of disciplinary measures or sanctions on the Remote Member by any Non‐ADGM Financial Services Regulator;
(e) any significant event, or anything else relating to the Remote Member, which the Recognised Body would reasonably expect to notified of; or
(f) it receiving an order from a Client, or arranges or executes a transactions with or for a Client, and has reasonable grounds to suspect that the order or transaction may constitute Market Abuse in the ADGM.
(i) The notification under 8.4.4(f) must provide sufficient details of the order or transaction, and the reasons for the Remote Member suspecting that the order or transaction may constitute Market Abuse in the ADGM.
(ii) A Remote Member must not inform the Client, or any other Person involved in the order or transaction, of a notification under Rule 8.4.4(f).