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ADGM LEGAL FRAMEWORK

  • ABU DHABI GLOBAL MARKET
    • FEDERAL LAW NO (8) OF 2004
    • FEDERAL DECREE NO (15) OF 2013
    • CABINET RESOLUTION NO (4) OF 2013
    • Matters for determining unfitness of directors
    • CABINET RESOLUTION NO. 28 OF 2007
    • ABU DHABI LAW NO. (4) OF 2013
    • ABU DHABI LAW NO. (12) OF 2020
    • ADGM LEGAL FRAMEWORK
    • ADGM COURTS PROCEDURES
    • GUIDANCE & POLICY STATEMENTS
      • FSRA
        • General
          • Guidance & Policies Manual (GPM) [03 February 2020]
            • 1. Introduction
            • 2. Becoming Regulated
            • 3. Supervision: Being Regulated
              • 3.1 Our approach to supervision
              • 3.2 Supervision of Firms
              • 3.3 Supervision of Representative Offices
              • 3.4 Supervision of Recognised Bodies
            • 4. Supervisory And Enforcement Powers
            • 5. Enforcement
            • 6. Penalty Guidance
            • 7. Decision Making
            • 8. Waivers And Modification
          • FSRA Confidentiality Policy [18 April 2019]
          • Guidance on Joint Guidance on the treatment of IFRS 9 Expected Credit Loss provisions in the UAE in the context of the COVID-19 crisis [5 April 2020]
        • Digital Securities
        • Funds and Investment Management
        • FinTech
        • Alternative Financing/Funding
        • Dealing
      • RA
    • PUBLIC CONSULTATION PAPERS
    • NOTICES OF PUBLICATION
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  1. ABU DHABI GLOBAL MARKET
  2. GUIDANCE & POLICY STATEMENTS
  3. FSRA
  4. General
  5. Guidance & Policies Manual (GPM) [03 February 2020]
  6. 3. Supervision: Being Regulated
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  • Jun 16 2016 - Jun 15 2016
  • Jun 16 2016 - Jun 15 2016
  • Jun 16 2016
‹ 2.9.7 3.1 Our approach to supervision ›

3. Supervision: Being Regulated

  • 3.1 Our approach to supervision
    • Supervision philosophy
    • Risk management cycle
    • Impact and risk ratings
    • Risk mitigation
    • Our relationship with firms
    • Notifications to us
    • Co-operation with other regulators
  • 3.2 Supervision of Firms
    • Group supervision
    • Domestic Firm's Group with ADGM head office
    • Subsidiary of a non-ADGM firm
    • Branch of a non-ADGM firm
    • Periodic returns for Firms
    • Review of risk management systems
    • Desktop reviews
    • On-site visits
    • Periodic communications
    • External Auditor reports, statements and meetings
    • Controllers — Our approval
  • 3.3 Supervision of Representative Offices
    • 3.3.1
    • 3.3.2
    • 3.3.3
  • 3.4 Supervision of Recognised Bodies
    • Introduction
    • Group supervision
    • Application for a change in control
    • Directions power
‹ 2.9.7 3.1 Our approach to supervision ›
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