AIM Rules for Nominated Advisers

E223468

London Stock Exchange regulation regulatory framework rulebook

AIM Rules for Nominated Advisers are a regulatory framework issued by the London Stock Exchange that sets out the eligibility, responsibilities, and ongoing obligations of nominated advisers overseeing companies listed on the Alternative Investment Market.

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All labels observed (2)

Label	Occurrences
AIM Rules for Nominated Advisers canonical	5
AIM Regulation (division of London Stock Exchange)	1

How this entity was disambiguated

This entity first appeared as the object of triple T1975666 — resolving that mention is where its identity was fixed. The disambiguator weighed these candidate entities and picked the highlighted one (or “None”, minting a new entity). This is how homonymy is resolved: the same surface form can point to different entities.

NED1 Entity disambiguation (via context triple) gpt-5-mini-2025-08-07

Target entity: AIM Rules for Nominated Advisers
Context triple: [Alternative Investment Market, governedBy, AIM Rules for Nominated Advisers]

A. Investment Adviser Registration Depository
The Investment Adviser Registration Depository (IARD) is an electronic filing system operated by FINRA that facilitates the registration, filing, and public disclosure of information about investment advisers in the United States.
B. Investment Advisers Act of 1940
The Investment Advisers Act of 1940 is a U.S. federal law that regulates investment advisers by imposing registration, fiduciary, disclosure, and anti-fraud obligations to protect investors.
C. Division of Investment Management of the SEC
The Division of Investment Management of the SEC is the U.S. Securities and Exchange Commission unit responsible for regulating and overseeing investment companies, investment advisers, and related financial products to protect investors and promote fair, efficient markets.
D. Basel Program
The Basel Program was the foundational political platform adopted at the First Zionist Congress in 1897, outlining the movement’s goal of establishing a Jewish homeland in Palestine.
E. Australian Securities and Investments Commission Act 2001
The Australian Securities and Investments Commission Act 2001 is the federal law that establishes and governs Australia’s corporate, markets, financial services and consumer credit regulator, defining its powers, functions and regulatory framework.
F. None of above. chosen
G. Unsure - the case is ambiguous/there is not enough information to decide.

NED2 Entity disambiguation (via description) gpt-5-mini-2025-08-07

Target entity: AIM Rules for Nominated Advisers
Target entity description: AIM Rules for Nominated Advisers are a regulatory framework issued by the London Stock Exchange that sets out the eligibility, responsibilities, and ongoing obligations of nominated advisers overseeing companies listed on the Alternative Investment Market.

A. Investment Adviser Registration Depository
The Investment Adviser Registration Depository (IARD) is an electronic filing system operated by FINRA that facilitates the registration, filing, and public disclosure of information about investment advisers in the United States.
B. Investment Advisers Act of 1940
The Investment Advisers Act of 1940 is a U.S. federal law that regulates investment advisers by imposing registration, fiduciary, disclosure, and anti-fraud obligations to protect investors.
C. Division of Investment Management of the SEC
The Division of Investment Management of the SEC is the U.S. Securities and Exchange Commission unit responsible for regulating and overseeing investment companies, investment advisers, and related financial products to protect investors and promote fair, efficient markets.
D. Basel Program
The Basel Program was the foundational political platform adopted at the First Zionist Congress in 1897, outlining the movement’s goal of establishing a Jewish homeland in Palestine.
E. Australian Securities and Investments Commission Act 2001
The Australian Securities and Investments Commission Act 2001 is the federal law that establishes and governs Australia’s corporate, markets, financial services and consumer credit regulator, defining its powers, functions and regulatory framework.
F. None of above. chosen

Statements (47)

Predicate	Object
instanceOf	London Stock Exchange regulation ⓘ regulatory framework ⓘ rulebook ⓘ
allows	the London Stock Exchange to impose sanctions on nominated advisers ⓘ
appliesTo	NOMADs ⓘ firms advising AIM companies ⓘ nominated advisers ⓘ
appliesWhen	a firm acts as nominated adviser to an AIM company ⓘ
basedOn	AIM regulatory framework of the London Stock Exchange ⓘ
contains	continuing obligations for nominated advisers ⓘ disciplinary provisions for nominated advisers ⓘ eligibility rules for nominated adviser status ⓘ guidance on responsibilities of nominated advisers ⓘ
enforcedBy	London Stock Exchange AIM Regulation ⓘ linked to: London Stock Exchange
governsMarket	Alternative Investment Market ⓘ
issuedBy	London Stock Exchange ⓘ
jurisdiction	United Kingdom ⓘ
language	English ⓘ
legalNature	contractual regulation between LSE and nominated advisers ⓘ
objective	to ensure nominated advisers perform a gatekeeping role ⓘ to ensure only suitable companies are admitted to AIM ⓘ
purpose	to maintain standards of conduct for nominated advisers on AIM ⓘ to support the integrity of the AIM market ⓘ
regulates	nominated advisers on AIM ⓘ
relatedConcept	sponsor regime on the Main Market of the London Stock Exchange ⓘ
relatedTo	AIM Rules for Companies ⓘ
requires	nominated advisers to advise AIM companies on compliance with AIM Rules ⓘ nominated advisers to be approved by the London Stock Exchange ⓘ nominated advisers to be available to the London Stock Exchange at all times ⓘ nominated advisers to ensure directors of AIM companies understand their responsibilities ⓘ nominated advisers to have appropriate experience and resources ⓘ nominated advisers to have internal procedures and controls ⓘ nominated advisers to liaise with the London Stock Exchange ⓘ nominated advisers to maintain appropriate records ⓘ nominated advisers to monitor AIM companies on an ongoing basis ⓘ nominated advisers to notify the London Stock Exchange of material issues concerning AIM clients ⓘ nominated advisers to review AIM company disclosures ⓘ nominated advisers to undertake due diligence on AIM applicants ⓘ
sanctionsMayInclude	financial penalties ⓘ public censure of a nominated adviser ⓘ removal of nominated adviser status ⓘ
scope	admission of securities to AIM ⓘ ongoing oversight of AIM companies ⓘ
sector	capital markets regulation ⓘ
setsOut	eligibility criteria for nominated advisers ⓘ ongoing obligations of nominated advisers ⓘ responsibilities of nominated advisers ⓘ