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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
    • 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
            • 4. Supervisory And Enforcement Powers
              • 4.1 Introduction
              • 4.2 Power to request information and documents
              • 4.3 Power to require a report
              • 4.4 Power to impose requirements on a firm or Recognised Body
              • 4.5 Power to cancel a Financial Services Permission or revoke recognition
              • 4.6 Power to impose conditions on the status of an Approved Person
              • 4.7 Power to withdraw the status of an Approved Person
            • 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 Assets
        • Funds and Investment Management
        • FinTech
        • Alternative Financing/Funding
      • RA
    • PUBLIC CONSULTATION PAPERS
    • NOTICES OF PUBLICATION
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Breadcrumb

  1. ABU DHABI GLOBAL MARKET
  2. GUIDANCE & POLICY STATEMENTS
  3. FSRA
  4. General
  5. Guidance & Policies Manual (GPM) [03 February 2020]
  6. 4. Supervisory And Enforcement Powers
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  • Jun 16 2016 - Jun 15 2016
  • Jun 16 2016 - Jun 15 2016
  • Jun 16 2016
‹ 3.4.9 4.1 Introduction ›

4. Supervisory And Enforcement Powers

  • 4.1 Introduction
    • 4.1.1
    • 4.1.2
    • 4.1.3
    • 4.1.4
  • 4.2 Power to request information and documents
    • 4.2.1
    • 4.2.2
    • 4.2.3
  • 4.3 Power to require a report
    • 4.3.1
    • 4.3.2
  • 4.4 Power to impose requirements on a firm or Recognised Body
    • 4.4.1
    • 4.4.2
    • 4.4.3
    • 4.4.4
    • 4.4.5
  • 4.5 Power to cancel a Financial Services Permission or revoke recognition
    • At the request of a firm
    • On our own initiative
  • 4.6 Power to impose conditions on the status of an Approved Person
    • 4.6.1
    • 4.6.2
  • 4.7 Power to withdraw the status of an Approved Person
    • 4.7.1
    • 4.7.2
    • Disqualification of Auditors and actuaries under section 233 of the FSMR
‹ 3.4.9 4.1 Introduction ›
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