• Limitation on powers to require Documents

    • 210. Protected information and Documents

      (1) Where there are any grounds for withholding any Protected Items or privileged materials, such grounds shall apply only to the relevant parts of the Document which are affected by such grounds and not to any other part of the Document.
      (2) A lawyer may be required under this Part to furnish the name and address of his client.
      (3) Where the Regulator requires a lawyer to give information or to produce a Document or to answer a question, and the giving of the information or the production of the Document or the answer to the question would involve disclosing a Privileged Communication made by, on behalf of, or to, the lawyer in his capacity as a lawyer, the lawyer is entitled to refuse to comply with the requirement unless —
      (a) where the person to whom, or by, or on behalf of whom, the communication was made is a Body Corporate that is subject to a Winding-Up, the liquidator of the body consents to the lawyer complying with the requirement; or
      (b) otherwise, the person to whom, or by, or on behalf of whom, the communication was made consents to the lawyer complying with the requirement.
      (4) Where a lawyer so refuses to comply with a requirement, he shall, as soon as practicable, give to the Regulator a written notice setting out —
      (a) where the lawyer knows the name and address of the person to whom, or by whom, or on behalf of whom, the communication was made, then that name and address; and
      (b) where the requirement to give information or produce a Document relates to a communication which was made in writing, then sufficient particulars to identify the Document containing the communication.

    • 211. Protected Items

      (1) A person may not be required by or under these Regulations to produce, disclose or permit the inspection of Protected Items.
      (2) "Protected Items" means —
      (a) communications between a professional legal adviser and his client or any person representing his client which fall within subsection (3);
      (b) communications between a professional legal adviser, his client or any person representing his client and any other person which fall within subsection (3) (as a result of paragraph (b) of that subsection);
      (c) items which —
      (i) are enclosed with, or referred to in, such communications;
      (ii) fall within subsection (3); and
      (iii) are in the possession of a person entitled to possession of them;
      (d) in the case of any information held by the Regulator, information which —
      (i) is supplied by or relating to bodies dealing with security matters;
      (ii) is held by public authorities in the exercise of their functions;
      (iii) relates to national security or international relations;
      (iv) relates to the economic and financial interests of the Abu Dhabi Global Market or to its financial stability; and
      (v) constitutes trade secrets.
      (3) A communication or item falls within this subsection if it is made —
      (a) in connection with the giving of legal advice to the client; or
      (b) in connection with, or in contemplation of, legal proceedings and for the purposes of those proceedings.
      (4) A communication or item is not a Protected Item if it is held with the intention of furthering a criminal purpose.

    • 212. Entry of premises under Court order

      (1) The Court of First Instance may issue an order under this section if satisfied on information on oath given by the Regulator or an Investigator that there are reasonable grounds for believing that the first, second or third set of conditions is satisfied.
      (2) The first set of conditions is —
      (a) that a person on whom an Information Requirement has been imposed has failed (wholly or in part) to comply with it; and
      (b) that on the premises specified in the order —
      (i) there are Documents which have been required; or
      (ii) there is information which has been required.
      (3) The second set of conditions is —
      (a) that the premises specified in the order are premises of an Authorised Person or Recognised Body;
      (b) that there are on the premises Documents or information in relation to which an Information Requirement could be imposed; and
      (c) that if such a requirement were to be imposed —
      (i) it would not be complied with; or
      (ii) the Documents or information to which it related would be removed, tampered with or destroyed.
      (4) The third set of conditions is —
      (a) that a contravention mentioned in section 205(2) has been (or is being) committed by any person;
      (b) that there are on the premises specified in the order Documents or information relevant to whether that contravention has been (or is being) committed;
      (c) that an Information Requirement could be imposed in relation to those Documents or information; and
      (d) that if such a requirement were to be imposed —
      (i) it would not be complied with; or
      (ii) the Documents or information to which it related would be removed, tampered with or destroyed.
      (5) An order under this section shall authorise the person named in the order —
      (a) to enter the premises specified in the order;
      (b) to search the premises and take possession of any Documents or information appearing to be Documents or information of a kind in respect of which an order under this section was issued (the "Relevant Kind") or to take, in relation to any such Documents or information, any other steps which may appear to be necessary for preserving them or preventing interference with them;
      (c) to take copies of, or extracts from, any Documents or information appearing to be of the Relevant Kind;
      (d) to require any person on the premises to provide an explanation of any Document or information appearing to be of the Relevant Kind or to state where it may be found; and
      (e) to use such force as may be reasonably necessary.
      (6) An order under this section may be executed only by the person named in the order.
      (7) The order may authorise persons to accompany any person named in the order who is executing it.
      (8) The powers in subsection (5) may be exercised by a person authorised by the order to accompany the person named in the order, but that person may exercise those powers only in the company of, and under the supervision of, a person named in the order.

    • 213. Retention of Documents taken under section 212

      (1) Any Document of which possession is taken under section 212 (a "Seized Document") may be retained so long as it is necessary to retain it (rather than copies of it) in the circumstances.
      (2) A person claiming to be the owner of a Seized Document may apply to the Court of First Instance for an order for the delivery of the Document to the person appearing to the Court of First Instance to be the owner.
      (3) If on an application under subsection (2) the Court of First Instance cannot ascertain who is the owner of the Seized Document the Court of First Instance may make such order as it thinks fit.
      (4) An order under subsection (2) or (3) does not affect the right of any person to take legal proceedings against any person in possession of a Seized Document for the recovery of the Document.
      (5) Any right to bring proceedings (as described in subsection (4)) may only be exercised within six months of the date of the order made under subsection (2) or (3).

    • 214. Certification of defaults

      (1) If a person other than the Investigator (the "Defaulter") fails to comply with a requirement imposed on him under this Part the person imposing the requirement may certify that fact in writing to the Court of First Instance.
      (2) If the Court of First Instance is satisfied that the Defaulter failed without reasonable excuse to comply with the requirement, it may deal with the Defaulter (and in the case of a Body Corporate, any Director or other Officer) as if he were in contempt.
      (3) A person who knows or suspects that an investigation is being or is likely to be conducted under this Part shall not knowingly —
      (a) falsify, conceal, destroy or otherwise dispose of a Document which he knows or suspects is or would be relevant to such an investigation; or
      (b) cause or permit the falsification, concealment, destruction or disposal of such a Document.
      (4) A person shall not, in purported compliance with a requirement imposed on him under this Part —
      (a) provide information which he knows to be false or misleading in a material particular; or
      (b) recklessly provide information which is false or misleading in a material particular.
      (5) A person shall not intentionally obstruct the exercise of any rights conferred by an order under section 212.