Enforcement - Submit a Complaint

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?

Yes

I Don't Know

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?

Yes

I Don't Know

I want to complain about:

A natural person

A legal entity (e.g. business, firm, partnership or a trust)

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.

Entity Name *

Complaint Subject Website

Complaint Subject Address

Complaint Subject Email

Complaint Subject Telephone Number

Contact Person First Name

Contact Person Last Name

Complaint Subject First Name *

Complaint Subject Last Name

Complaint Subject Legal Entity *

Complaint Subject Address *

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

Complaint Subject Email

Complaint Subject Mobile Number

Complaint Subject Home Number

Complaint Subject Work Number

Nature of Complaint

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

Max. 10,000 Characters

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.

Upload Files

Delete All

You can only upload up to 10 files of size up to 10 MB each, and allowed file types are jpg, png, pdf, docx, doc, jpeg, xlsx, txt.

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 to 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? *

Yes

Do you wish to submit your Complaint as a Whistleblowing Report and to remain anonymous? *

Yes

Note: Any information that you share with us will be stored securely and we limit access to this information. Whilst it is not mandatory for you to submit your contact details (name, address, email address for example) it would be helpful to have your contact details because there are times when we may need to ask you more questions or follow up on the information you have provided. Nevertheless, we will accept and process your information if you prefer to remain anonymous.

Your First Name *

Your Last Name *

Your Legal Entity

Your Address

Your Email *

Your Mobile Telephone Number

Your Home Telephone Number

Your Work Telephone Number

We will process any reports made anonymously in accordance with our complaints handling procedures. An acknowledgement of receipt will be provided to an anonymous complainant who has given us valid contact information, but no further information will be given thereafter.

Further information on how the FSRA handles Whistleblowing Reports can be found in the Whistleblower Protection Regulations 2024.

Submit

Changing your answer will delete all data. Are you sure you want to continue?

Yes

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

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 or insurance services;

Telephone: +971 2 665 2220
Facsimile: +971 2 665 2504
URL: http://www.centralbank.ae/en/index.php

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

Telephone: +971 2 627 7888
Facsimile: +971 2 627 4600
URL: http://www.sca.gov.ae/English/Pages/default.aspx

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.

URL: https://www.adpolice.gov.ae/en/Pages/home.aspx

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

Complaints

Submit a Complaint

Complaint Subject Details

Nature of Complaint

Supporting Material

Your Contact Details

Confidentiality

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