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FSRA Rulebook · Abu Dhabi Global Market

General Rulebook (GEN)

A reference record of General Rulebook (GEN), drawn from the instrument's own official text. It sets out how the law is organised — its Parts, its section count and its length — and links to the text itself. It does not interpret the law or offer advice on it.

At a glance

CitationGeneral Rulebook (GEN)
Instrument typeFSRA Rulebook
JurisdictionAbu Dhabi Global Market
Parts0
Numbered sections61
Chapters9

How General Rulebook (GEN) is organised

The 0 Parts below are the instrument's own divisions, in the order the official text sets them out.

PartHeading

What General Rulebook (GEN) covers, section by section

The 61 section headings below are the instrument's own, reproduced in its order. They are a map of the law, not a summary of it — for the wording of any article, read the official text.

  1. Application
  2. Overview of the Rulebook
  3. Principles for Authorised Persons — application
  4. The Principles for Authorised Persons
  5. Principles for Approved Persons – application
  6. The Principles for Approved Persons
  7. Application
  8. Allocation of significant responsibilities
  9. Systems and controls
  10. Whistleblowing
  11. Cyber Risk Management
  12. Climate-Related Financial Risk
  13. Application
  14. Interpreting the Rulebook
  15. Emergency
  16. Disclosure of regulatory status
  17. Location of offices
  18. Close Links
  19. Public records
  20. Communication with the Regulator
  21. Application
  22. Application for a Financial Services Permission
  23. Controlled Functions and Approved Persons
  24. Mandatory appointments
  25. Application for Approved Person status
  26. Application for Recognised Person status
  27. Application
  28. Financial statements and financial reporting standards
  29. Accounting Records and Regulatory Returns
  30. Appointment and termination of Auditors
  31. Co-operation with Auditors
  32. Audit reports
  33. Application
  34. Complaints handling procedures for Retail Clients
  35. Complaints recording procedures for Professional Clients
  36. Information gathering and the Regulator's access to information
  37. Waivers and Modifications
  38. Application to change the scope of a Financial Services Permission
  39. Withdrawal of a Financial Services Permission at an Authorised Person's request
  40. Changes to an Approved Person status
  41. Temporary cover
  42. Withdrawal of Approved Person status
  43. Changes relating to control
  44. Notifications
  45. Provision of notifications and reports
  46. Requirement to provide a report
  47. Application
  48. Financial Services Permission application
  49. Consideration and assessment of applications
  50. Withdrawal of a Financial Services Permission
  51. Application of core principles
  52. Principles for Representative Offices
  53. General provisions
  54. Fitness and Propriety
  55. Dealing with property
  56. Solvency
  57. Disclosure of regulatory status
  58. Clear, fair and not misleading
  59. Record keeping
  60. Communication with the Regulator
  61. Regulatory Processes

Primary sources

Everything on this page comes from these two. Links go to the issuing legislator.

  • General Rulebook (GEN) — official text (HTML) ADGM
  • ADGM Legislation Rulebook — the register this instrument is listed in ADGM

Acting on General Rulebook (GEN)

This page is a record, not advice. If general rulebook (gen) bears on a matter you are dealing with, speak to us about the facts.

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