Guidance, Templates and Policy Statements

This Guidance and Policies Manual (“GPM”) contains guidance on how the FSRA regulates and supervises financial services firms and markets that operate in ADGM. The GPM is meant to assist persons operating or intending to operate financial services or a market in the ADGM and should be read in conjunction with the Financial Services and Markets Regulations and the ADGM Rulebooks.

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.

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).

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.

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”).

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.

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.

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.

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.

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.