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FSRA Authorisation and supplementary forms

Authorisation and supplementary forms

Each Applicant will be required to fill out the requisite forms when making an application to conduct Regulated Activities within the Abu Dhabi Global Market. The forms include guidance notes which provide information on completing the forms and should be read in conjunction with the relevant legislation.

Types of forms:

NOTE: The forms provided below are NON-EDITABLE and FOR REFERENCE ONLY. To receive editable versions, please contact the FSRA by emailing authorisation@adgm.com or via the contact us form by clicking here.

Listing Authority

These Forms should be submitted to the FSRA Listing Authority, when required under the Markets Rules to disclose the information within each Form. To find out more on the FSRA Listing Authority, and the Offer and Admission to the Official List of Securities, please contact the FSRA Listing Authority at LA@adgm.com.

Restriction Agreement (MKT 9-1)

Reporting Entities - Quarterly Cash Report (MKT 10-1)

Mining Reporting Entities (MKT 11-1)

Petroleum Reporting Entities (MKT 12-1)

General Information for Regulated Activities

This form must be submitted by Applicants applying to conduct one or more Regulated Activities, as defined in the ADGM FSRA Rulebook. These include guidance notes which provide information on completing the forms and should be read in conjunction with the relevant legislation.

General Information for Regulated Activities (GIRA) form

General Information for Venture Capital Fund Managers

Regulated Activities are defined in ADGM FSRA’s Financial Services and Markets Regulations 2015. If Applicants are applying to Manage a Collective Investment Fund and if the fund being managed is a Venture Capital Fund and if only that one activity is being applied for, then the VCFM form is to be submitted. Otherwise, please refer to the General Information for Regulated Activities and the GIRA form.

Venture Capital Fund Manager Form

Regulated Activities involving the use of Virtual Assets

This form must be submitted by Applicants looking to conduct the Regulated Activities involving the use of Virtual Assets , as defined in the ADGM FSRA Rulebook.

Regulated Activities involving the use of Virtual Assets

Controlled and recognised functions

These forms must be submitted by a new applicant or an existing authorised person applying for approved person status for an individual who is to carry out one or more controlled functions.

Approved Person Status-1 (APS-1) form

Recognised Persons Status-1 (RPS-1) form

Principal Representative Status-1 (PRS-1) form

Extend or Vary Approved Person Status (EVAP) form

Withdrawal of Approved Person Status (APS-2) form

Registration and notification of funds

All investment funds, domestic and foreign, that are structured as collective investment schemes (CIS) must be authorised or recognised by FSRA to be promoted in ADGM. The forms provide for applications of foreign funds managers, and the notification, registration and marketing and selling of funds. To find out more on Funds, please contact ADGM at funds@adgm.com.

Public Fund Registration (FPR) form

Exempt Fund or Qualified Investor Fund Notification (FEQN)

Foreign Fund Manager (FFM) form

Foreign Fund Notification (FFN)

Funds Passporting Registration Notification (FPP)

Marketing and Selling of Funds Notification (FMN)

Supplementary Forms

In addition to the information above, you may be required to complete other supplementary forms as applicable to your intended activities in ADGM.

AML Return form for FIs & DNFBPs

AML Return form for Representative Offices

Asset Management Supplement (AMS) form

Banking Business Supplement (BBS) form

Captive Insurer Business (CIBF) form

Change in Control (CIC) form

Credit Rating Agency (CRA) form

Dealing and Advisory Supplement (DAS) form

Islamic Financial Business Supplement (IFBS) form

Insurance Business Supplement (IBS) form

Private Financing Platform Supplement form

Representative Office (RO) form

Cancel a Financial Services Permission (FSPC) form

Remote Member

This form must be submitted by Applicants applying for a Recognition Order as a Remote Member.

NOTE: The form provided below is NON-EDITABLE and FOR REFERENCE ONLY. To receive editable versions, please contact the FSRA by emailing mip@adgm.com, or via the contact us form by clicking here.

Remote Member Recognition form

Suspicious Transaction Reporting

For more details, kindly refer to Anti-Money Laundering and Suspicious Cases Unit (AMLSCU) Central Bank of UAE, AMLSCU PO Box: 854, Abu Dhabi, UAE Tel: +971 2 666 8496 Email: cbuaeamlscu@cbuae.gov.ae

Suspicious Transaction Report

Waivers or Modifications

The authorised entity may apply for a waiver or a modification of specific regulatory requirements. The authorised entity must submit form WM with written details of the reason(s) for the request and all relevant facts to support the application, including details of any waivers or modifications previously granted by the FSRA (available here) that are believed to serve as a precedent for the application.

Waivers or Modifications (WM) form