• MKT 5.2.1 MKT 5.2.1

    This section applies to a Reporting Entity that is required by the ADGM to appoint a compliance adviser.

    • Guidance

      The requirement for the appointment of a compliance adviser is designed to ensure that a Reporting Entity is aware of and complies with its continuing obligations under the FSMR and this module. A compliance adviser should therefore be a person familiar with the requirements of the FSMR and this module and should have the necessary knowledge, experience, qualifications and resources to assist a Reporting Entity to comply with its regulatory obligations.