GUIDANCE AND POLICY STATEMENTS

FSRA issues Guidance and Policy Statements within the intention to communicate and explain:-

  • the principals that are fundamental to FSRA’s regulatory approach and decisions;
  • how the FSRA will exercise its powers under the applicable regulations and rules; and
  • interpretation of those regulation and rules.

Being guidance and policy, it is not legally binding on the Regulator or Authorised Persons.

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  • Supplementary Guidance on Regulatory Framework for Fund Managers of Venture Capital Funds

    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. For more details, please click here.

    Published on: 15 May 2017 Updated on: 15 May 2017
  • Supplementary Guidance on Authorisation of Investment Management Activities

    The Guidance sets out the FSRA’s expectations on the minimum criteria for an applicant seeking a Financial Services Permission to carry on the regulated activities of Managing Assets or Managing a Collective Investment Fund. For more details, please click here.

    Published on: 21 October 2015 Updated on: 10 April 2017
  • FinTech Regulatory Laboratory Guidance

    This Guidance sets out the Financial Services Regulatory Authority’s (“FSRA’s” or the “Regulator’s”) approach to the Regulatory Laboratory (“RegLab”) framework. In particular, this Guidance includes the eligibility and authorisation criteria applicant must satisfy to be authorised as FinTech Participants, the authorisation process, the types of restrictions that the Regulator may impose on the FinTech Participants’ conduct, as well as the information that FinTech Participants may be required to produce to the Regulator.  For more details, please click here.

    Published on: 02 November 2016 Updated on: 02 November 2016
  • Guidance & Policies Manual (GPM)

    This Guidance & 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.For more details, please click here.

    Published on: 16 June 2016 Updated on: 16 June 2016
  • FSRA Confidentiality Policy

    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”).For more details, please click here.

    Published on: 26 May 2016 Updated on: 06 June 2017