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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.
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 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.
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.
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.
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.
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.
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.
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
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.
