Regulatory Enforcement 

The fair and proportionate use of the FSRA enforcement powers plays a critical role in fulfilling the objectives of the ADGM.

The FSRA will act swiftly and decisively to address and deter conduct that may adversely affect the integrity of the ADGM or the stability of the financial services industry in the ADGM.

The FSRA adopts a risk-based approach to regulation, focusing its efforts on those activities that may pose untoward risks and damaging influence to continuance of its regulatory objectives.   The FSRA will act fairly, openly, accountably and proportionately in the exercise of its enforcement powers.

More information concerning the FSRA’s approach to regulatory actions and enforcement can be found in the FSRA’s Guidance & Policies Manual (GPM).


 Date Regulatory Action    Category
 14 April 2019 Eshara Capital Limited          Final Notice
 14 April 2019 Alexander David Guy          Final Notice