Past version: effective from 18/02/2021 - 17/02/2021
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1.1 This Decision Procedures, Disqualification and Enforcement Manual (the Manual) provides information on the policies, processes and procedures of the Abu Dhabi Global Market (ADGM) Registration Authority in relation to the exercise of its disqualification and enforcement powers and related decision making.
1.2 The Manual contains various policies and procedures and is intended to be both a reference for staff of the Registration Authority as well as to provide guidance to persons operating, or intending to operate, as licensed persons in the ADGM. However, the information in this Manual is general and non-binding. Decisions about particular matters or investigations are made based on the specific facts of the case.
1.3 The Manual is not an exhaustive source of the Registration Authority’s policy and procedures on the exercise of its disqualification, enforcement and disciplinary powers and related decision making (refer to the ‘Application’ section below for further detail on the scope of this Manual).
1.4 This Manual should be read in conjunction with ADGM’s commercial legislation, in particular, the Commercial Licensing Regulations 2015 (CLR 2015) and Companies Regulations 2020 (CR 2020). A link to ADGM’s commercial legislation is available here.
1.5 The disqualification powers of the Registrar are set out in Chapters 9 and 10 of Part 10 of CR 2020