AIM Rules for Nominated Advisers
E223468
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.
All labels observed (1)
| Label | Occurrences |
|---|---|
| AIM Rules for Nominated Advisers canonical | 4 |
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]
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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.
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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.
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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.
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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.
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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
ⓘ
surface form:
London Stock Exchange AIM Regulation
|
| 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 ⓘ |
How these facts were elicited
The pipeline generated the facts above by prompting gpt-5.1 with this entity's name + description and the instruction below.
Instruction
You are a knowledge base construction expert. Given a subject entity and a description of it, return factual statements that you know for the subject as a JSON list of dictionaries(triples), where keys must be "subject", "predicate" and "object". The number of facts may be very high, between 25 to 50 or more, for very popular subjects. For less popular subjects, the number of facts can be very low, like 5 or 10. # Requirements - If you don't know the subject at all, return an empty list. - If the subject is not a named entity, return an empty list. - Include at least one triple where predicate is "instanceOf". - Do not get too wordy. - Separate several objects into multiple triples with one object.
Input
Subject: AIM Rules for Nominated Advisers Description of subject: 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.
Referenced by (4)
Full triples — surface form annotated when it differs from this entity's canonical label.