• GEN 4.4 GEN 4.4 Disclosure of regulatory status

    • GEN 4.4.1

      Neither an Authorised Person nor a Recognised Body must misrepresent its status expressly or by implication.

    • GEN 4.4.2

      (1) Each Authorised Person and Recognised Body must take reasonable care to ensure that every key business Document which is made available to third parties in connection with the Authorised Person or Recognised Body carrying on a Regulated Activity in or from the ADGM includes one of the disclosures under this Rule.
      (2) A key business Document includes letterhead whether issued by post, fax or electronic means, terms of business, Client Agreements, written promotional materials, business cards, Prospectuses and websites but does not include compliment slips, account statements or text messages.
      (3) The disclosure required under this Rule is: 'Regulated by the ADGM Financial Services Regulatory Authority'; or
      (4) The Regulator's logo must not be reproduced without express written permission from the Regulator and in accordance with any conditions for use.
      (5) Rules 4.4.2(1) to (4) also apply to the operation and administration of an Official List of Securities by a Recognised Body.