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  • ACCESSADGM
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    Complaints

    1. Home
    2. Operating in ADGM
    3. Additional Obligations of Financial Services Entities
    4. Enforcement
    5. Enforcement
    6. Submit a Complaint

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    Submit a Complaint

    Should you wish to submit a regulatory complaint to the Financial Services Regulatory Authority (FSRA), you may do so by completing and submitting the following Complaints Form.

    Complaint Against

    Is the entity (e.g. natural person or legal entity - such as a business, firm, company, partnership or trust) you wish to submit a complaint against an FSRA regulated entity?

    Does the complaint concern the provision (or purported provision) of Regulated Activities (i.e financial services activity) in the ADGM or otherwise to potential misconduct in the ADGM?

    I want to complain about:

    A list of regulated financial services firms in the ADGM is available on the FSRA's public register which can be accessed by clicking here.

    Visit Register

    The FSRA has jurisdiction to deal with complaints concerning:

    • potential misconduct related to the provision of financial services in the ADGM
    • conduct that may constitute a contravention of legislation administered by the FSRA or
    • conduct that causes or may cause damage to the reputation of the ADGM or the financial services industry in the ADGM.

    The FSRA may not be able to assist you directly if your complaint:

    • does not relate to the provision of financial services in the ADGM
    • does not involve conduct that may constitute a contravention of legislation administered by the FSRA
    • does not concern conduct that causes or may cause damage to the reputation of the ADGM or the financial services industry in the ADGM

    Please note that the regulation of financial services in the United Arab Emirates outside of the ADGM, including in the Emirate of Abu Dhabi, falls within the jurisdiction of:

    The Central Bank, for firms providing banking services;

    The Emirates Securities and Commodities Authority (ESCA), for firms offering securities and conducting brokerage business;

    The UAE Insurance Authority (IA) for firms conducting insurance business;

    The Police Services of the relevant Emirate within the United Arab Emirates, including Abu Dhabi Police in the Emirate of Abu Dhabi, for firms engaging in criminal conduct.

    Accordingly, if your complaint concerns the provision of financial services in the United Arab Emirates outside of the ADGM, you may wish to forward your concerns to the relevant authority for consideration.

    The FSRA has jurisdiction to deal with complaints concerning:

    • potential misconduct related to the provision of financial services in the ADGM
    • conduct that may constitute a contravention of legislation administered by the FSRA or
    • conduct that causes or may cause damage to the reputation of the ADGM or the financial services industry in the ADGM.

    The FSRA may not be able to assist you directly if your complaint:

    • does not relate to the provision of financial services in the ADGM
    • does not involve conduct that may constitute a contravention of legislation administered by the FSRA
    • does not concern conduct that causes or may cause damage to the reputation of the ADGM or the financial services industry in the ADGM

    Complaint Subject Details

    Please submit as much contact information as available. First name and last name are required and at least your email or one of the phone numbers must be filled in.

    Please provide us with the contact details of the contact person (at least one of the below should be provided)

    Please select at least one of the above fields.

    Nature of Complaint

    Please describe what has occurred, providing a chronology of events including dates where possible

    Max. 10,000 Characters

    10000 Characters left

    Supporting Material

    Please attach any documents you think may be relevant. If you have written to any person previously regarding your complaint, please provide any correspondence as well as any response received from them. If appropriate, tell us what you would like us to do to resolve your complaint.

    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 25 MB)

      File name not valid

    File name already exists

    Maximum file count of 10 has reached

    • You may upload up to 10 separate files (if you have more than 10 files to upload, please highlight this in your description of the complaint, in the ‘Nature of Complaint’ section and we will contact you to arrange submission).
    • In the event you wish to upload more than 10 separate files, then please upload the 10 most significant files and identify that you have additional files to submit in the “Nature of complaint” box
    • Files are limited up to a size of 10 MB each. Max total size for 10 files is 100 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: * ? # % ~ & : { } | ' > " \ /

    Your Contact Details

    The FSRA’s practice is not to share details of the identity of complainants (or information that could reasonably be expected to reveal the identity of a complainant) with the subject of the complaint, without the prior consent of the complainant.

    Confidentiality

    The FSRA does receive and assess complaints received on an anonymous basis. However, we note that complaints made on an anonymous basis may limit the FSRA's ability to assess and where appropriate take action in relation any concerns raised in a complaint.

    In assessing your complaint it may be necessary to contact the entity or person you have complained about. Do you consent to the FSRA disclosing your name to the person you have complained about?

    We are sorry to inform you that there was an error in the system and your complaint could not be submitted. Please refresh the page and submit your complaint again.

     

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