Guidance and Policy Statements
ADGM and its three Authorities have issued relevant guidance to communicate and explain the principles that underpin the legal framework, which is based on English Common Law.
Published on 14 October 2019
Updated on 14 October 2019
This Guidance sets out the FSRA’s approach to those considering developing or using “Application Programming Interfaces (APIs)”, including applicants for a Financial Services Permission in ADGM, financial services firms located outside ADGM, and participants in FinTech, RegTech, SupTech, amongst others.
Published on 05 September 2019
Updated on 05 September 2019
This Guidance sets out the FSRA’s approach to the regulation of Digital Securities in ADGM for both primary and secondary markets, including in relation to Offers, Listings and Market Infrastructures (Recognised Investment Exchanges (RIEs), Multilateral Trading Facilities (MTFs), Recognised Clearing Houses (RCHs), amongst others).
Published on 16 July 2019
Updated on 16 July 2019
This Guidance sets out the FSRA’s approach to authorisation of Digital Investment Managers. It also describes the relief available to Digital Investment Managers whose business models meet conditions that serve to reduce the risks they pose to clients and to the FSRA’s objectives.
Published on 10 September 2018
Updated on 10 September 2018
This Guidance sets out the FSRA’s approach towards the regulation of operators of Private Financing Platforms (PFPs) serving equity investment, debt financing and trade receivables funding needs of start-ups, private enterprises and SMEs.
Published on 25 June 2018
Updated on 14 May 2019
This Guidance sets out the FSRA’s approach to the regulation of Crypto Asset activities in ADGM, including activities conducted by Crypto Asset Exchanges, Crypto Asset Custodians and, as applicable, intermediaries engaged in Crypto Asset activities.
Published on 15 May 2017
Updated on 15 May 2017
The Guidance sets out the FSRA’s approach to an application for an FSP to operate under the framework outlined here for VC Managers (the “VC Manager Framework”), in addition to the existing requirements in relation to the Threshold Conditions as set out in the FSMR and GEN Rules.
Published on 09 October 2017
Updated on 25 June 2018
The Guidance sets out the FSRA’s regulatory approach to issuers seeking to raise funds through ICOs, and market intermediaries or operators dealing in or offering services in Crypto Assets under the Financial Services and Markets Regulations.
Published on 09 May 2016
Updated on 09 May 2016
This document covers an introduction to FATCA, the intergovernmental agreement between the UAE and the United States and general guidance on the application of FATCA to ADGM regulated entities.
Please note: The ADGM portal URL as mentioned on page 55 of the Guidance Notes is currently unavailable. Once the URL is available, the guidance notes will be updated accordingly.
Published on 02 November 2016
Updated on 02 November 2016
This Guidance sets out the Financial Services Regulatory Authority’s (“FSRA’s” or the “Regulator’s”) approach to the Regulatory Laboratory (“RegLab”) framework. In particular, this Guidance includes the eligibility and authorisation criteria that the applicants must satisfy to be authorised as FinTech Participants, the authorisation process, the types of restrictions that the Regulator may impose on the FinTech Participants’ conduct, as well as the information that FinTech Participants may be required to produce to the Regulator.
Published on 26 May 2016
Updated on 06 June 2017
This Confidentiality Policy provides guidance concerning the obligations and requirements on the Financial Services Regulatory Authority (the “Regulator”) when using and disclosing non-public information provided by third parties in the course of regulating financial services in the Abu Dhabi Global Market (“ADGM”).