Guidance

Technical Guidance prior to start filling out and submitting the online AML Return form:

Please restrict your usage to the latest version of Google Chrome while filling this form.
Please ensure with your IT team that pop-ups are not blocked and the browser allows multiple file downloads when the system prompts you to do so after submission.
Relevant Persons are reminded that all answers are mandatory. The system will not allow any submission in case of any mandatory question marked with an asterisk remaining unanswered.
Where the system does not allow enough space for the answer, Relevant Persons are required to upload the detailed answer separately highlighting for each answer the related question and its number. Use the “Upload Supporting Document” function available at the end of Section 1 (Number of files limited to 10, Size per file limited to 5 MBs).
Please ensure that you complete all the required information before submitting the form. The Save option will not be available for this year’s submission. Depending on the activity of each of the Relevant Persons, the completion time may vary. In the absence of a Save function, the FCCP highly recommends Relevant Persons to familiarize themselves with all the questions (AML Return form available on ADGM website https://www.adgm.com/operating-in-adgm/financial-and-cyber-crime-prevention/forms) and collect required data where needed prior to filing the AML Return online.
Relevant Persons are reminded to visit the downloads functionality to obtain the pdf files of the submission. A pdf copy of the submitted AML Return will automatically be downloaded on the computer after the submission. Please allow the multiple files download if the system prompts you to do so. The download of the AML Return will be split into 4 files. There is also a separate download button that will be enabled after the submission to allow the Relevant Person to download this form as well.
Relevant Persons should receive a notification on their mailbox confirming that the Annual AML Return for the relevant year was successfully submitted on the date of such submission.
For technical support please reach out to TS ServiceDesk by email at TS.ServiceDesk@adgm.com or by phone at +97123338997. Technical support is available from Monday - Friday between 8:00 a.m. - 5:00 p.m. For any other non-technical query, please reach out to FCCP by email at amlreturn@adgm.com.

General Guidance while completing the AML Return form:

In completing this AML Return, Representative Offices should refer to the Anti-Money Laundering and Sanctions Rules and Guidance (AML).
A Glossary of defined terms is provided in AML Chapter 3.
A reference in the AML Return to "Money Laundering" includes a reference to Terrorist Financing (TF), Proliferation Financing (PF), the financing of unlawful organizations and sanctions non-compliance unless the context provides or implies otherwise.
Representative Offices must complete and submit this AML Return by the end of April each year in accordance with AML 4.6.1. The AML Return must cover the period from 1 January to 31 December of the preceding year (unless previously authorised by the FSRA).
Representative Offices must retain a signed copy of the completed AML Return along with all supporting materials (Please refer to the above-mentioned Guidance 6).
Separately, Representative Offices must also report at least semi-annually to its Governing Body or Senior Management on the matters set out in AML 12.4.1. In accordance with AML 12.4.3, copies of these reports and the records made under AML 12.4.2(c) must be submitted to the Representative Office’s ADGM Regulator.

1 Core Information

1.1 Details of Relevant Person

1.3 Governance and Oversight

Specify whether the Senior Management or Governing Body were involved in any of the following during the reporting period

Action	Senior Management	Governing Body
a) Approval of the Business Risk Assessment*	Yes No	Yes No
b) Discussion on AML risks at Governing Body meetings*	Yes No	Yes No
c) Oversight of AML compliance review(s) conducted in accordance with AML 4.1.1(4) and any subsequent remedial action*	Yes No	Yes No
d) Review of regular AML compliance reports*	Yes No	Yes No
e) Approval of business partners or respondent/correspondent banks*	Yes No	Yes No
f) Approval of Politically Exposed Persons (PEPs), higher-risk clients, transactions or products*	Yes No	Yes No
g) Approval of policies, procedures or other relevant systems and controls*	Yes No	Yes No
h) Influencing any decisions regarding Suspicious Activity Reports*	Yes No	Yes No
i) Other (specify)

1.6 Policies, Procedures, Systems and Controls

a) Provide the date of the last review of the effectiveness of the Relevant Person’s AML policies, procedures, systems and controls [AML 4.1.1(4) and AML 6.2.1(c)]*

b) Specify who the review was undertaken by [AML 4.1.1 (5) and AML 10.4.1] (where applicable)*

Internal audit department

Internal compliance department

Independent audit firm

Independent compliance

Other (specify)

c) Specify the scope of this review [AML 4.1.1(6)]*

d) Provide the date of the last review and update of your AML policy(ies)*

e) Does your AML policies, procedures, systems and controls cover Targeted Financial Sanctions (TFS) and Proliferation Finance (PF) measures*

Yes

1.7 Groups, Branches and Subsidiaries

a) Is the Relevant Person an ADGM Entity, with a branch, subsidiary, or a Group entity in the ADGM?*

Yes

Describe the arrangements in place to ensure that its operations comply with its policies, procedures, systems and controls [AML 4.2]*

b) Is the Relevant Person part of a Group?*

Yes

Describe the arrangements in place with Group entities to ensure the appropriate sharing of AML-related information [AML 4.3]*

1.8 Sanctions

a) Did the Relevant Person screen all of its customers and transactions against local and international lists?*

Yes

b) Please specify which lists the Relevant Person screens against:*

OFAC

HMT

UNSC

UAE

Other (specify)

c) What arrangements did the Relevant Person have in place to comply with relevant resolutions and Sanctions? The response should specify the:

i. roles involved*

ii. frequency of any screening*

Upon any updates to the Local Terrorist List or UN Consolidated List

Prior to onboarding new customers

Upon KYC reviews or changes to a customer’s information

Before processing any transaction

Other (specify)

iii. maintenance of lists*

Manual

Automated

Both manual and automated

Other (specify)

iv. any technology utilised [AML 11.1.1(1)]; Specify the respective name(s) of the service provider(s)*

d) Did the Relevant Person rely on in-house or third- party technology for sanctions screening?*

Yes

Both

e) During the reporting period, did the Relevant Person become aware of an event specified under AML 11.1.1(2) that required it to make a report to its Regulator?*

Yes

Please specify the following information
Sanction Action	Number of Events
Events Identified*
Events Reported to Regulator*

f) Specify the number of Sanctions Screening alerts reviewed during the reporting period

No. of Payment Screening Alerts*

No. of Customer Database Screening Sanctions Alerts*

g) Where the Relevant Person relies on third party technology for sanctions screening, please specify the following:

i. How it has satisfied itself that the technology includes a comprehensive and up-to-date list of resolutions and Sanctions that the Relevant Person must comply with?*

ii. The frequency that the screening lists are updated by the technology provider*

Daily

Weekly

Monthly

Quarterly

Annually

Other (specify)

h) Describe the arrangements in place to ensure that the Relevant Person complies with relevant government, regulatory and international findings, resolutions and Sanctions [AML 11.2.1(1)]*

i) Has the Relevant Person subscribed to the website of the Executive Office for Control and Non-Proliferation (EOCN) to receive updates whenever a change is applied on the United Nations Security Council Resolutions and UAE national sanctions lists?*

Yes

j) Did the Relevant Person screen the database and transactions on a regular basis against the names listed on the United Nations Security Council Resolutions and UAE national sanctions lists issued under the EOCN website?*

Yes

k) Is the Relevant Person aware that they are required to notify the Supervisory Authority in case of the detection of a positive match?*

Yes

l) In the event where the Relevant Person identified a "positive hit" of any designated person or entity, what Targeted Financial Sanctions actions were taken to ensure full compliance with the obligations under Article 21 of Cabinet Decision No.74 of 2020? *

m) When a match is found through the screening process, did the Relevant Person implement freezing measures as well as submitting a reporting without delay through GoAML platform?*

Yes

n) Did Relevant Person maintain records of all screening results (negative, false positive, potential, and confirmed matches) for a period of at least five years?*

Yes

o) Is the Relevant Person aware of completing the TFS mandatory survey after each sanction alert notification received by the EOCN?*

Yes

p) Does the Relevant Person conduct business involving dual-use goods?*

Yes

Did the Relevant Person:

i. Have a clear dual-use goods policy?*

Yes

ii. Have a screening mechanism for transactions involving dual-use goods?*

Yes

iii. Update dual-use goods list into its sanctions screening system?*

Yes

How did the Relevant Person update dual-use goods list into its sanctions screening system?*

iv. Review dual-use goods in transactions to ensure that they do not involve weapons of mass destruction?*

Yes

Detail the standard operating procedure*

1.9 Suspicious Activity Reports (SARs) /Suspicious Transactions Reports (STRs)

Specify the number of SARs / STRs reported during the reporting period [AML 14.2.2 and AML 14.3.1(c)]
SAR / STR Type	Number of SARs / STRs
a) Internal (to MLRO)*
b) External (to UAE Financial Intelligence Unit)*
c) Has the Relevant Person registered on the UAE Financial Intelligence Unit’s (FIU) goAML system?*	Yes No
d) Have all external SARs / STRs been submitted to the UAE FIU via the goAML system?*	Yes No N.A
e) Number of SARs/STRs raised through the goAML system*
f) Has the Relevant Person notified the Regulator of SARs /STRs reported to the UAE FIU?*	Yes No N.A

1.10 Training

a) List the AML/CFT and TFS training, conferences and events attended by the MLRO and Deputy MLRO, where applicable, during the reporting period

MLRO

Trainings' Number*

Trainings’ Details*

Deputy MLRO

Trainings' Number*

Trainings’ Details*

b) Did relevant Person conduct adequate internal training and awareness on AML obligations and sanctions evasion typologies to relevant staff and senior management?*

Yes

c) Did Relevant Person conduct adequate internal training and awareness on TFS (TF & PF) obligations and typologies to relevant staff and senior management?*

Yes

d) Where relevant Employees did not complete training during the reporting period, what were the reasons for this?*

e) Specify when the Relevant Person provided AML and Sanctions trainings to relevant Employees during the reporting period:*

Shortly after employment commenced

Annually

Other (specify)

Specify the scope of topics covered in the training material:*

f) Specify how the training was provided:*

Presented by an external training provider

Presented by MLRO

Online training tool

External course

Self-study

Other (specify)

1.11 Notifications

Upload supporting documents

Invalid file type

Acceptable Formats (.doc, .docx, .dot, .xls, .xlsx, .jpg, .jpeg, .pdf, .bmp, .txt, .ppt, .pptx, .odt, .ods, .odp).

The uploaded file format is too large (maximum file size is 5 MB)

File name not valid

File name already exists

Maximum file count of 10 has reached

File Name should not exceed 100 characters

Number of files limited to 10.
Size per file is limited to 5 Mb.
Acceptable Formats (.doc, .docx, .dot, .xls, .xlsx, .jpg, .jpeg, .pdf, .bmp, .txt, .ppt, .pptx, .odt, .ods, .odp).
A file name cannot contain the following special characters: .* ? # % ~ & : { } | ' > " \ /

Declaration

5.1. I declare that, to the best of my knowledge and belief, having made due enquiry, the information given in this return is complete and correct.

5.2. I understand that under ADGM’s:

Financial Services and Markets Regulations 2015, section 219, it is an offence to mislead the Regulator by knowingly or recklessly providing to the FSRA any information which is false, misleading, or deceptive or to conceal information where the concealment of such information is likely to mislead or deceive the FSRA; and
Commercial Licensing Regulations 2015, section 39(4), it is a contravention of the Regulations to knowingly or recklessly provide false or misleading information to the Registrar, in a material particular.

5.3. I understand that any personal data provided to the ADGM will be used to discharge its regulatory functions under the Abu Dhabi Law No. 4 of 2013 and other relevant legislation and may be disclosed to third parties for those purposes only.

5.4. I confirm that I have the authority to complete this form, to declare as specified above and sign this form for, or on behalf of, the Relevant Person.

Name of the person filling this AML Return*

Function of the person filling this AML Return*

Upload Signature*

Invalid file type

Acceptable Formats (.doc, .docx, .dot, .xls, .xlsx, .jpg, .jpeg, .pdf, .bmp, .txt, .ppt, .pptx, .odt, .ods, .odp).

The uploaded file format is too large (maximum file size is 5 MB)

File name not valid

File name already exists

Maximum file count of 10 has reached

File Name should not exceed 100 characters

Size per file is limited to 5 Mb.
Acceptable Formats (.doc, .docx, .dot, .xls, .xlsx, .jpg, .jpeg, .pdf, .bmp, .txt, .ppt, .pptx, .odt, .ods, .odp).
A file name cannot contain the following special characters: .* ? # % ~ & : { } | ' > " \ /

Emirates ID Number*

Upload Emirates ID*

Invalid file type

Acceptable Formats (.doc, .docx, .dot, .xls, .xlsx, .jpg, .jpeg, .pdf, .bmp, .txt, .ppt, .pptx, .odt, .ods, .odp).

The uploaded file format is too large (maximum file size is 5 MB)

File name not valid

File name already exists

Maximum file count of 10 has reached

File Name should not exceed 100 characters

Size per file is limited to 5 Mb.
Acceptable Formats (.doc, .docx, .dot, .xls, .xlsx, .jpg, .jpeg, .pdf, .bmp, .txt, .ppt, .pptx, .odt, .ods, .odp).
A file name cannot contain the following special characters: .* ? # % ~ & : { } | ' > " \ /

Please enter your email address *

I confirm that I am authorised to submit this form and uploading my signature*

Guidance

Technical Guidance prior to start filling out and submitting the online AML Return form:

Please restrict your usage to the latest version of Google Chrome while filling this form.
Please ensure with your IT team that pop-ups are not blocked and the browser allows multiple file downloads when the system prompts you to do so after submission.
Relevant Persons are reminded that all answers are mandatory. The system will not allow any submission in case of any mandatory question marked with an asterisk remaining unanswered.
Where the system does not allow enough space for the answer, Relevant Persons are required to upload the detailed answer separately highlighting for each answer the related question and its number. Use the “Upload Supporting Document” function available at the end of Section 4 (Number of files limited to 10, Size per file limited to 5 MBs).
Please ensure that you complete all the required information before submitting the form. The Save option will not be available for this year’s submission. Depending on the activity of each of the Relevant Persons, the completion time may vary. In the absence of a Save function, the FCCP highly recommends Relevant Persons to familiarize themselves with all the questions (AML Return form available on ADGM website https://www.adgm.com/operating-in-adgm/financial-and-cyber-crime-prevention/forms) and collect required data where needed prior to filing the AML Return online.
Relevant Persons are reminded to visit the downloads functionality to obtain the pdf files of the submission. A pdf copy of the submitted AML Return will automatically be downloaded on the computer after the submission. Please allow the multiple files download if the system prompts you to do so. The download of the AML Return will be split into 6 files. There is also a separate download button that will be enabled after the submission to allow the Relevant Person to download this form as well.
Relevant Persons should receive a notification on their mailbox confirming that the Annual AML Return for the relevant year was successfully submitted on the date of such submission.
For technical support please reach out to TS ServiceDesk by email at TS.ServiceDesk@adgm.com or by phone at +97123338997. Technical support is available from Monday - Friday between 8:00 a.m. - 5:00 p.m. For any other non-technical query, please reach out to FCCP by email at amlreturn@adgm.com.

General Guidance while completing the AML Return form:

In completing this AML Return, Relevant Persons should refer to the Anti-Money Laundering and Sanctions Rules and Guidance (AML).
A Glossary of defined terms is provided in AML Chapter 3.
A reference in the AML Return to "Money Laundering" includes a reference to Terrorist Financing (TF), Proliferation Financing (PF), the financing of unlawful organizations and sanctions non-compliance unless the context provides or implies otherwise.
All Relevant Persons must complete and submit this AML Return by the end of April each year in accordance with AML 4.6.1. The AML Return must cover the period from 1 January to 31 December of the preceding year (unless previously authorised by the FSRA).
Relevant Persons must retain a signed copy of the completed AML Return along with all supporting materials (Please refer to the above-mentioned Guidance 6).
Separately, a Relevant Person must also report at least semi-annually to its Governing Body or Senior Management on the matters set out in AML 12.4.1. In accordance with AML 12.4.3, copies of these reports and the records made under AML 12.4.2(c) must be submitted to the Relevant Person’s ADGM Regulator.

1 Core Information

1.3 Governance and Oversight

Specify whether the Senior Management or Governing Body were involved in any of the following during the reporting period

Action	Senior Management	Governing Body
a) Approval of the Business Risk Assessment*	Yes No	Yes No
b) Discussion on AML risks at Governing Body meetings*	Yes No	Yes No
c) Oversight of AML compliance review(s) conducted in accordance with AML 4.1.1(4) and any subsequent remedial action*	Yes No	Yes No
d) Review of regular AML compliance reports*	Yes No	Yes No
e) Approval of business partners or respondent/correspondent banks*	Yes No	Yes No
f) Approval of Politically Exposed Persons (PEPs), higher-risk clients, transactions or products*	Yes No	Yes No
g) Approval of policies, procedures or other relevant systems and controls*	Yes No	Yes No
h) Influencing any decisions regarding Suspicious Activity Reports*	Yes No	Yes No
i) Other (specify)

1.6 Policies, Procedures, Systems and Controls

a) Provide the date of the last review of the effectiveness of the Relevant Person’s AML policies, procedures, systems and controls [AML 4.1.1(4) and AML 6.2.1(c)]*

b) Specify who the review was undertaken by [AML 4.1.1 (5) and AML 10.4.1] (where applicable)*

Internal audit department

Internal compliance department

Independent audit firm

Independent compliance

Other (specify)

c) Specify the scope of this review [AML 4.1.1(6)]*

d) Provide the date of the last review and update of your AML policy(ies)*

e) Does your AML policies, procedures, systems and controls cover Targeted Financial Sanctions (TFS) and Proliferation Finance (PF) measures*

Yes

1.7 Groups, Branches and Subsidiaries

a) Is the Relevant Person an ADGM Entity, with a branch, subsidiary, or a Group entity in the ADGM?*

Yes

Describe the arrangements in place to ensure that its operations comply with its policies, procedures, systems and controls [AML 4.2]*

b) Is the Relevant Person part of a Group?*

Yes

Describe the arrangements in place with Group entities to ensure the appropriate sharing of AML-related information [AML 4.3]*

1.8 Sanctions

a) Did the Relevant Person screen all of its customers and transactions against local and international lists?*

Yes

b) Please specify which lists the Relevant Person screens against:*

OFAC

HMT

UNSC

UAE

Other (specify)

c) What arrangements did the Relevant Person have in place to comply with relevant resolutions and Sanctions? The response should specify the:

i. roles involved*

ii. frequency of any screening*

Upon any updates to the Local Terrorist List or UN Consolidated List

Prior to onboarding new customers

Upon KYC reviews or changes to a customer’s information

Before processing any transaction

Other (specify)

iii. maintenance of lists*

Manual

Automated

Both manual and automated

Other (specify)

iv. any technology utilised [AML 11.1.1(1)]; Specify the respective name(s) of the service provider(s)*

d) Did the Relevant Person rely on in-house or third- party technology for sanctions screening?*

Yes

Both

e) During the reporting period, did the Relevant Person become aware of an event specified under AML 11.1.1(2) that required it to make a report to its Regulator?*

Yes

Please specify the following information
Sanction Action	Number of Events
Events Identified*
Events Reported to Regulator*

f) Specify the number of Sanctions Screening alerts reviewed during the reporting period

No. of Payment Screening Alerts*

No. of Customer Database Screening Sanctions Alerts*

g) Where the Relevant Person relies on third party technology for sanctions screening, please specify the following:

i. How it has satisfied itself that the technology includes a comprehensive and up-to-date list of resolutions and Sanctions that the Relevant Person must comply with?*

ii. The frequency that the screening lists are updated by the technology provider*

Daily

Weekly

Monthly

Quarterly

Annually

Other (specify)

h) Describe the arrangements in place to ensure that the Relevant Person complies with relevant government, regulatory and international findings, resolutions and Sanctions [AML 11.2.1(1)]*

Yes

k) Is the Relevant Person aware that they are required to notify the Supervisory Authority in case of the detection of a positive match?*

Yes

m) When a match is found through the screening process, did the Relevant Person implement freezing measures as well as submitting a reporting without delay through GoAML platform?*

Yes

n) Did Relevant Person maintain records of all screening results (negative, false positive, potential, and confirmed matches) for a period of at least five years?*

Yes

o) Is the Relevant Person aware of completing the TFS mandatory survey after each sanction alert notification received by the EOCN?*

Yes

p) Does the Relevant Person conduct business involving dual-use goods?*

Yes

Did the Relevant Person:

i. Have a clear dual-use goods policy?*

Yes

ii. Have a screening mechanism for transactions involving dual-use goods?*

Yes

iii. Update dual-use goods list into its sanctions screening system?*

Yes

How did the Relevant Person update dual-use goods list into its sanctions screening system?*

iv. Review dual-use goods in transactions to ensure that they do not involve weapons of mass destruction?*

Yes

Detail the standard operating procedure*

1.9 Suspicious Activity Reports (SARs) /Suspicious Transactions Reports (STRs)

Specify the number of SARs / STRs reported during the reporting period [AML 14.2.2 and AML 14.3.1(c)]
SAR / STR Type	Number of SARs / STRs
a) Internal (to MLRO)*
b) External (to UAE Financial Intelligence Unit)*
c) Has the Relevant Person registered on the UAE Financial Intelligence Unit’s (FIU) goAML system?*	Yes No
d) Have all external SARs / STRs been submitted to the UAE FIU via the goAML system?*	Yes No N.A
e) Number of SARs/STRs raised through the goAML system*
f) Has the Relevant Person notified the Regulator of SARs /STRs reported to the UAE FIU?*	Yes No N.A

1.10 Training

a) List the AML/CFT and TFS training, conferences and events attended by the MLRO and Deputy MLRO, where applicable, during the reporting period

MLRO

Trainings' Number*

Trainings’ Details*

Deputy MLRO

Trainings' Number*

Trainings’ Details*

b) Did relevant Person conduct adequate internal training and awareness on AML obligations and sanctions evasion typologies to relevant staff and senior management?*

Yes

c) Did Relevant Person conduct adequate internal training and awareness on TFS (TF & PF) obligations and typologies to relevant staff and senior management?*

Yes

d) Where relevant Employees did not complete training during the reporting period, what were the reasons for this?*

e) Specify when the Relevant Person provided AML and Sanctions trainings to relevant Employees during the reporting period:*

Shortly after employment commenced

Annually

Other (specify)

Specify the scope of topics covered in the training material:*

f) Specify how the training was provided:*

Presented by an external training provider

Presented by MLRO

Online training tool

External course

Self-study

Other (specify)

1.11 Notifications

2 Supplementary Information

2.2. Reliance and Outsourcing

a) Did the Relevant Person rely on a third party “qualified professional” to conduct one or more elements of CDD on its behalf?*

Yes

b) Describe the arrangements in place to ensure that the Relevant Person has access to the CDD information from the third party, in compliance with AML 9.1.1(3)(a) and (b)*

c) Did the Relevant Person have an outsourcing agreement in place with the third party that complies with GEN 3.3.32 [AML 9.3.1]?*

Yes

N.A

2.3. Business Partner Identification

a) Did the Relevant Person have a process for conducting Business Partner identification including the roles involved and any approvals sought [AML 9.2.1]*

Yes

4 Customers and Transactions Data
As at the end of the reporting period

4.1. Breakdown of customers by nationality (for natural persons) or domicile (for non-natural persons)

Geographical Area	Number of Customers which are natural persons	Number of Customers which are non-natural
UAE*
GCC (other than UAE)*
Middle East (other than UAE & GCC)*
Africa*
Asia*
Oceania*
North America*
South America*
Europe and UK*
Overall Total Number of Customers*

4.2 Breakdown of customers by residency status (for natural persons)

Geographical Area	Number of Customers which are natural persons	Specify the country (ies)
UAE*
GCC (other than UAE)*
Middle East (other than UAE & GCC)*
Africa*
Asia*
Oceania*
North America*
South America*
Europe and UK*
Overall Total Number of Customers*

4.3 Breakdown for customers which are non-natural

Legal Persons	Legal Arrangements	Type of Legal Arrangements

4.4 Breakdown of customers from FATF high risk and other monitored jurisdictions

FATF Jurisdiction	Number of Customers
		Click Add to add row

4.5 Breakdown of customers by risk rating

Risk Rating (e.g. low, medium, high)	Number of Customers
		Click Add to add row

4.6 Breakdown of customers by type of due diligence

Number of Standardised due diligence	Number of Enhanced due diligence

4.7 Customers and beneficial owners identified as PEPs [AML 8.3 Guidance]

PEP Type	Number of Customers	Nationality	Number of Beneficial Owners	Nationality
a) Domestic*
b) Foreign*

4.8 Breakdown of customers by status

Customer Status	Internal Definition of Status	Number of Customer
Active*
Inactive*
Dormant*

Upload supporting documents

Invalid file type

Acceptable Formats (.doc, .docx, .dot, .xls, .xlsx, .jpg, .jpeg, .pdf, .bmp, .txt, .ppt, .pptx, .odt, .ods, .odp).

The uploaded file format is too large (maximum file size is 5 MB)

File name not valid

File name already exists

Maximum file count of 10 has reached

File Name should not exceed 100 characters

Number of files limited to 10.
Size per file is limited to 5 Mb.
Acceptable Formats (.doc, .docx, .dot, .xls, .xlsx, .jpg, .jpeg, .pdf, .bmp, .txt, .ppt, .pptx, .odt, .ods, .odp).
A file name cannot contain the following special characters: .* ? # % ~ & : { } | ' > " \ /

5 Declaration

5.1. I declare that, to the best of my knowledge and belief, having made due enquiry, the information given in this return is complete and correct.

5.2. I understand that under ADGM’s:

Financial Services and Markets Regulations 2015, section 219, it is an offence to mislead the Regulator by knowingly or recklessly providing to the FSRA any information which is false, misleading, or deceptive or to conceal information where the concealment of such information is likely to mislead or deceive the FSRA; and
Commercial Licensing Regulations 2015, section 39(4), it is a contravention of the Regulations to knowingly or recklessly provide false or misleading information to the Registrar, in a material particular.

5.4. I confirm that I have the authority to complete this form, to declare as specified above and sign this form for, or on behalf of, the Relevant Person.

Name of the person filling this AML Return*

Function of the person filling this AML Return*

Upload Signature*

Invalid file type

Acceptable Formats (.doc, .docx, .dot, .xls, .xlsx, .jpg, .jpeg, .pdf, .bmp, .txt, .ppt, .pptx, .odt, .ods, .odp).

The uploaded file format is too large (maximum file size is 5 MB)

File name not valid

File name already exists

Maximum file count of 10 has reached

File Name should not exceed 100 characters

Size per file is limited to 5 Mb.
Acceptable Formats (.doc, .docx, .dot, .xls, .xlsx, .jpg, .jpeg, .pdf, .bmp, .txt, .ppt, .pptx, .odt, .ods, .odp).
A file name cannot contain the following special characters: .* ? # % ~ & : { } | ' > " \ /

Emirates ID Number*

Upload Emirates ID*

Invalid file type

Acceptable Formats (.doc, .docx, .dot, .xls, .xlsx, .jpg, .jpeg, .pdf, .bmp, .txt, .ppt, .pptx, .odt, .ods, .odp).

The uploaded file format is too large (maximum file size is 5 MB)

File name not valid

File name already exists

Maximum file count of 10 has reached

File Name should not exceed 100 characters

Size per file is limited to 5 Mb.
Acceptable Formats (.doc, .docx, .dot, .xls, .xlsx, .jpg, .jpeg, .pdf, .bmp, .txt, .ppt, .pptx, .odt, .ods, .odp).
A file name cannot contain the following special characters: .* ? # % ~ & : { } | ' > " \ /

Please enter your email address *

I confirm that I am authorised to submit this form and uploading my signature*

Specify below the number of relevant Employees that completed AML training during the reporting period
Role	Number Completed	Number Not Completed
Senior Management & Government Body*
Client Facing Employees*
Risk, Compliance & Internal Audit*
Operations (Finance, IT, HR, administration etc)*
Other (specify)

Specify below the number of relevant Employees
Role	Number Completed	Number Not Completed
Senior Management & Government Body*
Client Facing Employees*
Risk, Compliance & Internal Audit*
Operations (Finance, IT, HR, administration etc)*
Other (specify)

Specify below the number of relevant Employees that completed AML training during the reporting period
Role	Number Completed	Number Not Completed
Senior Management & Government Body*
Client Facing Employees*
Risk, Compliance & Internal Audit*
Operations (Finance, IT, HR, administration etc)*
Other (specify)

Specify below the number of relevant Employees
Role	Number Completed	Number Not Completed
Senior Management & Government Body*
Client Facing Employees*
Risk, Compliance & Internal Audit*
Operations (Finance, IT, HR, administration etc)*
Other (specify)

Please list these below [AML 9.1.1(1)]
Name of Qualified Professional	Type of Qualified Professional	Element/s of CDD undertaken

AML Return for Representative Offices

Guidance

Technical Guidance prior to start filling out and submitting the online AML Return form:

General Guidance while completing the AML Return form:

1 Core Information

AML Return for FIs and DNFBPs

Guidance

Technical Guidance prior to start filling out and submitting the online AML Return form:

General Guidance while completing the AML Return form: